The Studies of Heaven and Earth in Ancient China: History of Science and Technology in China Volume 2 (History of Science and Technology in China, 2) 9811578400, 9789811578403

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History of Science and Technology in China

Xiaoyuan Jiang Editor

The Studies of Heaven and Earth in Ancient China History of Science and Technology in China Volume 

History of Science and Technology in China

This is a series of handbooks with high academic values on the general history of Chinese science and technology, with contributions by top-notch scholars in this field. This 5-volume work provides an encyclopedic historical panorama of Chinese scientific and technological development. It unfolds the history of Chinese science and technology through a clarified timeline from as early as the far ancient times to the very present. This work consists of five volumes: Origins of Chinese Sciences, Ancient Chinese Studies of Heaven and Earth, High Tide of Chinese Sciences, Theoretical and Technological Development, and Western Influences. More information about this series at http://www.springer.com/series/16685

Xiaoyuan Jiang Editor

The Studies of Heaven and Earth in Ancient China History of Science and Technology in China Volume 2

With 107 Figures and 16 Tables

Editor Xiaoyuan Jiang School of History and Culture Science Shanghai Jiao Tong University Shanghai, China Translated by Caiyun Lian Science & Technology Information Institute of Shanxi Province Taiyuan, China Tingyu Wang Shanxi Plinth International School Taiyuan, China

Yongling Wang XinZhou Teachers University XinZhou, China Dianhua Zhao China North Industries Group Corporation Limited Beijing, China

Weige Li Insititute of Mechanics, Chinese Academy of Sciences Beijing, China

ISSN 2730-910X ISSN 2730-9118 (electronic) ISBN 978-981-15-7840-3 ISBN 978-981-15-7841-0 (eBook) ISBN 978-981-15-7842-7 (print and electronic bundle) https://doi.org/10.1007/978-981-15-7841-0 Jointly published with Shanghai Jiao Tong University Press The print edition is not for sale in The Mainland of China. Customers from The Mainland of China please order the print book from Shanghai Jiao Tong University Press. Translation from the language edition: 经天纬地 by Xiaoyuan Jiang, © Shanghai Jiao Tong University Press 2016. Published by Shanghai Jiao Tong University Press. All Rights Reserved. © Springer Nature Singapore Pte Ltd. 2021 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

Contents

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Ancient Chinese Astronomical Observation and Calendar . . . . . . Xiaoyuan Jiang

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Observe the Celestial Phenomena and Provide the Time Service: The Ancient Chinese Calendars and Their Properties and Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Weixing Niu

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Liu Xin and Ancient Astronomical Chronology . . . . . . . . . . . . . . . Weixing Niu

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The Ancient Chinese Timekeeping Instruments . . . . . . . . . . . . . . . Kehui Deng

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Hydrologic and Hydraulic Engineering Survey in Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Kuiyi Zhou

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Pan Jixun and the Ancient Governance Plan of the Yellow River . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Kuiyi Zhou and Jun Deng

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The Concept of Earth-Center in Ancient China . . . . . . . . . . . . . . . Zengjian Guan

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Zhang Heng’s Seismograph: Earthquake Measuring and Forecasting in Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Zhichao Li

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Overview of Ancient Geoscience and Views of Geological Disasters and Abnormalities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Qianjin Wang

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The Ancient Chinese Thoughts on World Geography . . . . . . . . . . Qianjin Wang

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Contents

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The Ancient Chinese Thoughts on Military Geography . . . . . . . . . Qianjin Wang

357

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Surveying and Drawing of Maps in Ancient China . . . . . . . . . . . . Qianjin Wang

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Dujiangyan Irrigation System: A Hydraulic Engineering Project Bearing Cultural Charm and Creativity . . . . . . . . . . . . . . Xuming Tan

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China Grand Canal Projects and Their Scientific and Technological Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yunpeng Li and Xuming Tan

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Translator’s Postscript . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Contributors

Jun Deng Water History Department, China Institute of Water Resources and Hydropower Research, Beijing, China Kehui Deng College of Humanities, Donghua University, Shanghai, China Zengjian Guan Division for Development of Liberal Arts, Shanghai Jiao Tong University, Shanghai, China Xiaoyuan Jiang School of History and Culture Science, Shanghai Jiao Tong University, Shanghai, China Yunpeng Li Water History Department, China Institute of Water Resources and Hydropower Research, Beijing, China Zhichao Li Department for the History of Science and Scientific Archaeology, University of Science and Technology of China, Hefei, China Weixing Niu Department for the History of Science and Scientific Archaeology, University of Science and Technology of China, Hefei, China Xuming Tan Water History Department, China Institute of Water Resources and Hydropower Research, Beijing, China Qianjin Wang School of Humanities, University of Chinese Academy Science, Beijing, China Kuiyi Zhou Water History Department, China Institute of Water Resources and Hydropower Research, Beijing, China

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Ancient Chinese Astronomical Observation and Calendar Xiaoyuan Jiang

Contents 1.1 The Fundamental Question of the Ancient Astronomy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1.1 The Fundamental Question . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1.2 The Ways of Solving the Fundamental Question . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1.3 The Geometrical Model in Ancient Greece . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1.4 The Periodical Model of Babylon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1.5 The Periodical-Digital Model of China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2 The Model of the Universe and the Coordination System of the Celestial Sphere . . . . . . . 1.2.1 Evaluation of Several Models of the Universe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.2 Coordinates of the Celestial Sphere . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.3 The Coordinate System for the Celestial Spheres of the 28 Chinese Constellations and Its Origin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3 The Properties and Functions of Ancient Chinese Calendars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.1 Calendar Chronicle Almanac . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.2 Ancient Chinese Calendar: Mathematical Astronomy as a Tool . . . . . . . . . . . . . . . . . . 1.3.3 Objectives Sought by Calendar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.4 Relationship Between Calendar and Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.5 The Relationship Between Calendar and Astrology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter gives more information about astronomical observation and calendar. It let us not only know the model of the universe and the coordination system of the celestial sphere, coordinates of the celestial sphere, the properties and functions of ancient Chinese calendars, relationship between calendar and agriculture and the relationship between calendar and astrology, but also introduces us two books: Three Sequences Calendar and Great Derivative Calendar.

X. Jiang (*) School of History and Culture Science, Shanghai Jiao Tong University, Shanghai, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_1

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Keywords

Astronomy · Observation · Calendar · Model of the Universe · Celestial sphere · Coordination System · Agriculture · Astrology

1.1

The Fundamental Question of the Ancient Astronomy

1.1.1

The Fundamental Question

The fundamental question of the ancient astronomy was, in short, to calculate the positions of the sun, the moon, and the five planets on the celestial sphere at the given time and place. This question was common in the East and the West. The questions of spherical physics, which make up the main stream of the modern astronomy, did not exist in ancient times.

1.1.2

The Ways of Solving the Fundamental Question

With the law of universal gravitation, the modern Celestial Mechanics can calculate the position of the sun, the moon, and the five planets on the celestial sphere at any time. Before the modern Celestial Mechanics was born, there were only two ways of solving the fundamental question mentioned above: One was adopting geometrical models, and the other was adopting digital models.

1.1.3

The Geometrical Model in Ancient Greece

Ancient Greek astronomers adopted geometrical models of the universe and Ptolemy epitomized them. His epicycle/deferent model can be used in deduction to calculate the position of the sun, the moon, and the five planets on the celestial sphere at any time. According to Ptolemy, this model is merely a geometrical expression of the universe, and it does not represent the real situation of the universe. After that, the varied models of the universe made by Arab astronomers in the Middle Ages, the Copernicus model of the universe, and the Kepler laws of planet movement are all geometrical models. Only after the birth of Newton’s law of universal gravitation did the Western model of planet movement become a model of physics.

1.1.4

The Periodical Model of Babylon

The ancient Babylon had a well-developed mathematical astronomy. Through long periods of observation, Babylonian astronomers accumulated precise data, with which they constructed a series of periodic functions. Superimposing these functions, they were capable of fairly precisely calculating the position of the sun, the moon, and the five planets on the celestial sphere at any time.

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1.1.5

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The Periodical-Digital Model of China

The practice of the heavenly scientists in ancient China was essentially similar to that of Babylon, and they also made a kind of digital model. The method in ancient China was to observe the behaviors in a “synodic period” (forward motion, reverse motion, conceal, staying) and describe in detail. Then, starting from an ideal point (i.e., the so-called grand origin), use the superimposing of “synodic periods” and calculate the position of the sun, the moon, and the five planets on the celestial sphere at any time. In this digital modeling, the real situations of the universe may be avoided. So the Chinese study of heaven had the theory of sphere-heavens as its major model of the universe, but this model is not closely connected to concrete calculation of celestial phenomena. That is quite different from the geometrical model of ancient Greece.

1.2

The Model of the Universe and the Coordination System of the Celestial Sphere

1.2.1

Evaluation of Several Models of the Universe

In ancient China, there were six doctrines of the universe. Three of them had theoretical outlines, namely the theory of sphere-heavens, the theory of canopyheavens, and the theory of expounding appearance in the night sky. Among these three theories, the theory of expounding appearance in the night sky has always been held in high esteem, starting with Dr. Joseph Needham. In his work Science and Civilisation in China, Volume on study of heaven, Needham sets a special section to deal with the “theory of expounding appearance in the night sky.” He appraises this model of the universe enthusiastically: “The openness and progress in this view of the universe is not inferior to any of its counterparts in Greece. . . .. . . The Chinese view that sparse celestial bodies are floating in the infinitive space is far more advanced than the European concept of a crystal ball.” For historical material on the theory of expounding appearance in the night sky, refer to Book of Jin·Annals of Astronomy. All the books publicizing the theory of expounding appearance in the night sky were lost, except a hearsay which was recorded by Xi Meng, Assistant in the Palace Library in the Han Dynasty. It is recorded that “The sky has no texture. When you look up at the sky, it seems high, remote and limitless. You have blurred vision and feel dizzy. You are exhausted, so the space seems to be vast and boundless. It is just like when you look at the yellow hills far away, they appear green, and when you look down the deep valley, it appears dark. That green color is not the true color; that darkness is not the appearance of anything real. The sun, the moon and the stars float in the vacant space naturally, and they move or stop depending on the atmosphere. Therefore, the Big Dipper seems now clear, now vague, sometimes in direct motion, sometimes in prograde motion; concealing and appearing are irregular, progressing and regressing differ in the orbit. Because they are not rooted together or tied to each other, they behave differently. Thus Stella Polaris is always at the fixed place, the Big

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Dipper does not sink down westward. Mufrid and Saturn move eastward by one grade each day and 13 grades each month at irregular speeds. So it is thinkable that they are not tied to each other. If they were tied to a celestial body, they would not behave like that.” First of all, this paragraph does not imply that the universe is limitless. Seeming to be “high, remote and limitless” refers to the limit of human eye sight. Secondly, Seven Luminaries (the sun, the moon, and the five planets) “conceal and appear irregularly, progress and regress differently in the orbit.” But the paragraph does not give even a simple narration about their motion. The reason for this deficiency is “because they are not rooted together or tied to each other,” which makes it clear that this model of the universe cannot lead to any practical conclusion. Comparatively, the Western model of the universe before Copernicus – and even the crystal ball system in Aristotle’s doctrine – can lead to the orbits of Seven Luminaries, and the orbits can stand rigorous observation and verification. The former is merely a product of mental analysis by philosophers, although it is closer to the universe we know today. The latter is a product of empirical and scientific research, although it has a discrepancy from the universe we know today. The “theory of expounding appearance in the night sky” did not lead to even a preliminary mathematical astronomical system – that is, the explanation or mathematical description of celestial phenomena or the prediction of the future celestial phenomena. Seen from this viewpoint, the theory of expounding appearance in the night sky (not to mention the theory of bright heavens, the theory of vaulting heavens, and the theory of stable heavens) is not qualified to be placed in the same category as the theory of canopy-heavens and the theory of sphere-heavens. What really played a vital role and exerted major influences in ancient China are the two models of the universe – the theory of canopy-heavens and the theory of sphereheavens. The theory of canopy-heavens in the book Zhoubi Suanjing, as a geometrical model of the universe, is a bit inferior to the ancient Greek model of its kind in terms of “explaining the phenomena.” But it does give us a sense of science characteristic of ancient Greece. From the viewpoint of history of scientific thoughts, axiomatization was tried and practiced in the remote East two thousand years ago – and this is meaningful indeed. After Zhoubi Suanjing, the method of axiomatizing died out in China. We remain especially curious about whether its geometrical model of the universe is a result of some foreign influence, or a random mutation of the native science in China. Moreover, why did it last so briefly and die so quickly? These questions interest us, and yet we still do not know the answer. Compared to the theory of canopy-heavens, the theory of sphere-heavens had a much higher standing in ancient China. Actually, it was a mainstay and dominating doctrine of the universe in ancient China. However, it does not have a book like Zhoubi Suanjing to systematically expound its theory. Usually, Notes of Zhangheng’s Armillary Sphere cited in Treatise on Astrology of the Kaiyuan Era Volume 1 is considered as a creed literature of the theory of sphere-heavens. This citation is short, as follows:

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The sphere-heaven is like an egg. The sky body (meaning the “form of the heaven”) is shaped like a pellet. The earth is like the yolk, staying in an egg. The sky is large, and the earth is small. The sky has water in its skin. The water encloses the earth as the egg white encloses the yolk. The sky and the earth stand on the air, or float on the water. The great circle of the celestial sphere consists of 365 and 1/4 degrees and can be divided into two halves, with 182 and 5/4 each – one half covers the earth, and the other winds the bottom. So the 28 constellations are halfseen and half-hidden. The two ends are called North Pole and South Pole. The North Pole is the center of the heaven; it is in the due north, 36 degrees above the earth. The North Star is at the 72-degree upper radius, appearing forever, never hiding. The South Pole is the middle of the heaven; it is in the south, 36 degrees into the earth. The South Star is at the 72-degree lower radius, hiding forever, and never appearing. The two poles are 182 and a half degrees from each other. The heaven rotates like a wheel, revolving endlessly; its shape is spherical, hence the sphereheaven. That is the basic theory of sphere-heavens. Its content is not so rich and detailed as the theory of canopy-heavens. But this model of the universe corresponds directly to “armillary sphere,” the major traditional Chinese instrument for astronomical observation. And those instruments for demonstration of sky phenomena, such as “celestial sphere,” “celestial globe,” etc. simulate this model. So of the three theories of the universe, only the theory of sphere-heavens is compatible with the mathematical astronomy in the consequent two thousand years in China.

1.2.2

Coordinates of the Celestial Sphere

The Western ecliptic coordinates. Traditionally, the Western astronomy always uses the ecliptic coordinates, that is, a coordinate system which takes the yearly apparent motion orbit of the sun (actually the orbit of the earth revolving around the sun) on the celestial globe as the datum. It was not until the late sixteenth century when Tycho renovated the astronomical instruments that Westerners began to use the equator coordinate system. Today most instruments adopted by the international astronomical world are the equator coordinate devices. The Chinese equator coordinates. The ancient Chinese people always used the equator coordinates that is a coordinate system which takes the projection of the equator plane of the earth on the celestial sphere as the datum. The datum can be determined through observing the daily apparent motion of specific stars around the North Pole (actually the rotation of the earth). The traditional Chinese coordinate system of the celestial sphere is the “28 constellations” system, of which the “lunar lodge degrees” is equivalent to the right ascension, and the “pole-bound degrees” is equivalent to the declination in modern astronomy. The “false ecliptic coordinates” in ancient China. The traditional Chinese study of heaven always used the equator coordinate system, but this does not mean that they did not know the ecliptic. The ecliptic as the motion orbit of the sun and moon was known to any person who had acquired astronomical knowledge to some extent.

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Fig. 1.1 A coordinate system of the celestial sphere

However, ancient Chinese people used a kind of ecliptic coordinates which is different from the Western system (as shown in Fig. 1.1). Modern scholars call it the “false ecliptic coordinates.” The “false ecliptic coordinates” has an ecliptic plane that conforms to the real situation, and yet it has never defined an ecliptic pole. The “false ecliptic coordinates” adopts the intersecting point of the right ascension line from the North Pole extending southward and the ecliptic plane to measure the position of celestial bodies. The values so gotten are different from the correct ecliptic longitude and latitude. The reason for this discrepancy is that geometry was not developed enough in ancient China.

1.2.3

The Coordinate System for the Celestial Spheres of the 28 Chinese Constellations and Its Origin

On the question of the origin of the 28 constellations system, Joseph Needham firmly holds the doctrine of Babylon origin. He thinks that “the 28 constellations are commonly to the astronomy of the Chinese, Indian and Arab peoples. The original might be none of the three places. Instead, their concept of 28 constellations was derived from the concept introduced from Babylon.” Of modern Chinese scholars who deal with the question of the origin of the 28 constellations, Guo Moruo and Zhu Kezhen are noticeable. Guo Moruo maintains that the Babylon study of heaven was introduced to China in the early Yin period or even before it and became a major part of the Chinese study of heaven. But he believes that the 28 constellations system originated from China. Zhu Kezhen had 4 papers published about the origin of the 28 constellations. He held the Chinese origin doctrine first, but later, he changed his mind and inclined to accept the Babylon origin doctrine.

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Fig. 1.2 The system of 31 standard stars in Seleucid Dynasty

Though we don’t adhere rigidly to the number 28, a coordinate system of the celestial sphere similar to the Chinese system of 28 constellations exists in the Babylon study of heaven. During the Seleucid period, two coordinate systems existed in the Babylon study of heaven. One is the universally acknowledged zodiacal signs, and the other is not so noticeable. This method constitutes a frame of reference with 31 stars (as shown in Fig. 1.2) in order to describe the position of the moon and planets, and they are called the “standard stars.” This coordinate system has the following characteristics: 1. 2. 3. 4.

The ecliptic longitudes are arranged unevenly. The ecliptic latitudes are arranged within the scope of
7°300 , 10°. The 31 stars are mostly bright stars. Six of the 31 stars overlap with the 28 mansions in the Chinese system, as follows: βAri(娄) μGem(井) θCnc(鬼) χVir(角) αLib(氐) βCap(牛) βAri(Bond) μGem(Well) θCnc(Ghost)

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χVir(Horn) αLib(Root) βCap(Ox) 5. When using this system to describe the position of a celestial body, the angular distance is not needed. But the units of length are given as cubif and finger. 1 cubif ¼ 30 fingers. Its relation to the angle is: 12 fingers ¼ 1 degree. Let us discuss briefly as follows: Longitudes are distributed unevenly. This is exactly the most noticeable characteristic of the 28 mansions in China. The Western system of 31 standard stars has the same characteristic. Isn’t it meaningful? The question of the distribution of latitudes. Many scholars believe that the datum of the 28 mansions is equator. But the distribution of the determinative star (the datum star) coincides with the elliptic better than with the equator. For instance, the declination of the determinative star of Stomach mansion is as large as 27° and more and that of the determinative star of Tail mansion is as large as
37°and more. On the contrary, the ecliptic attitude of any determinative star can never be as large. Tracing back to 2400 BC, the determinative star coincided with the equator better then than now, nearly as well as with the ecliptic latitude. Nevertheless, it is questionable whether the history of the 28 mansions could be traced back to so early a time. Compared to the ecliptic latitude distribution of the 31 standard stars, the distribution of the determinative stars of the 28 mansions was more dispersed. Most of the 31 standard stars are famous bright stars. This situation differs from the determinative stars of the 28 mansions. Of the 31 standard stars, 6 overlap with determinative stars of the 28 mansions, accounting for about 20% of the total. If this discrepancy is interpreted as a pure coincidence, the percentage will seem too large. If interpreted otherwise, it will be too small. This point gives us a ground for further research. The lower limit of the age when the 28 mansions system was established in China has been determined now as 430 BC with physical historical materials. The names of all the 28 mansions are written on a Warring States lacquer box excavated from Zenghouyi Tomb at Leigudun, Suixian County, Hubei Province in 1978 (as shown in Fig. 1.3). Note that this judgment is only 30 years different from the presumption made by Zhu Kezhen about the first appearance of the 28 mansions system in China. As for the upper limit, it is hard to determine for the time being, as there are many factors undetermined. Thus, logically we have three possible conclusions to choose from: The 31 standard stars system originated from the 28 mansions system. The 28 mansions system originated from the 31 standard stars system. Both systems originated independently. Unfortunately, all the research in this field up to now is far from enough to enable us to decide on any of the three conclusions.

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Fig. 1.3 Warring States Lacquer box excavated from Zenghouyi Tomb, at Leigudun, Suixian county, Hubei Province

1.3

The Properties and Functions of Ancient Chinese Calendars

1.3.1

Calendar Chronicle Almanac

A monthly calendar for daily use is called chronicle. This article has long existed from ancient times, such as the Chronicle of the first year of Yuanguang (134 BC) of Emperor Wudi of the Han Dynasty, written on bamboo slips excavated from a Western Han tomb in Linyi City, Shandong Province. Early chronicles only have dates, the Heavenly Stem and Earthly Branch of each date, and a few notes in them. Later on, they grew more sophisticated, and each date was noted with auspicious or ominous things, while the length increased by dozens of times in comparison to the original chronicles. Finally, they evolved into almanacs. The difference between a typical chronicle and an almanac (e.g., the chronicle of the first year of Emperor Wu of the Han Dynasty and the Huitian Alamanac of the fourth year of Baoyou in the Song Dynasty) is so obvious that you cannot mix them up. Problems occur with the word “calendar,” a phrase commonly used today. Apparently, this word should refer to the method of compiling chronicles and almanacs. Such an understanding is partially correct only. Today people call the content of Treatise on Bells and Almanac or Treatise on Almanac in official histories calendar (excluding the part on Bells of course). Actually, most of such content is not associated with compilation of chronicles and almanacs, or needed for compiling them. Besides, today people call a chronicle or almanac calendar, too, making the situation more complex. Ancient people often called a calendar, chronicle, or

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almanac by the joint name “calendar” or “calendric art.” That term is a little vague, and yet it is invulnerable as long as the concept is concerned. To make it convenient for discussion, we use the word calendar in the contemporary sense, that is, calendar refers to the content of Treatise on Bells and Almanac or Treatise on Almanac in official histories. But we must point out that this calendar is very different from the monthly calendar for daily use in concept. As for chronicle and almanac, the difference between them is clear, as we have mentioned earlier. A calendar book with notes is called an almanac, while a simple tablet with dates and corresponding heavenly stems and earthly branches is called a chronicle. An almanac must contain all the elements of a chronicle, but a chronicle is not comprehensive enough to be called almanac.

1.3.2

Ancient Chinese Calendar: Mathematical Astronomy as a Tool

The so-called calendar in ancient China was not a calendar in the Western sense. If we are to express its meaning more exactly with a modern word, it should be “mathematical astronomy.”

1.3.3

Objectives Sought by Calendar

In the traditional Chinese study of heaven, an ideal calendar seeks precision as its final objective, apart from decoration with digital mysticism. The objectives include calculating the positions of the sun, the moon, and the five planets in the sky at any moment. The most severe test in this respect is calculation and forecast of solar eclipses as it requires an accurate mastery of the movement pattern of the sun and the moon. (The motion of the sun is relatively simple, and yet the motion of the moon is complex.) The calculation precision is directly related to the basic calendric parameters, such as the length of the tropical year and that of the lunar month. As the number of years using a calendar increased, errors accumulated gradually, resulting in a gradual decrease in the precision of prediction. Therefore, calendars were modified from time to time in ancient China. In the past 3000 years, more than one hundred and more calendars have left traces in records.

1.3.4

Relationship Between Calendar and Agriculture

The belief that in ancient China “calendar served agriculture” is popular and widely accepted in modern times. Almost everybody says so without questioning. This saying sounds reasonable, but in fact it can hardly be testified. The trouble is caused by the assumption of the content of the calendar – people confused an ancient calendar with the current monthly calendar as a matter of course. The monthly calendar has dates, seasons, and solar terms on it, and farmers sow seeds and reap crops according to seasons. So calendar serves agriculture.

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Theoretically the logic seems so simple. However, the most part of the ancient Chinese calendar was not related to formulation of a chronicle. We can investigate a typical calendar which is representative. The traditional Chinese calendar can be traced back to very early times. The first calendar to have a complete written record is the Three Sequences Calendar of the late Western Han Dynasty. This calendar is thought to be a transformed version by Liu Xin of the Primordial Calendar. The basic content of the Three Sequences Calendar laid the general framework for Chinese calendars in the subsequent two thousand years. So we might as well investigate roughly the structure and content of the Three Sequences Calendar. This calendar is recorded in the Treatise on Bells and Almanac (Second Half), Volume 21 of the Book of Han. It is divided into six chapters, as follows: Chapter One is data, called “Tongmu” (statistic elements) that consists of 87 data, of which two third are related to planetary movements. These data are to be used for arithmetic operations in the following chapters. Many data are attached with mysticism meanings. For example, 7 leap years out of 19 years, comes from the “ultimate number combining heaven and earth” (The Book of Changes, Xici (1): Heaven one, earth two, heaven three, earth four, heaven five, earth six, heaven seven, earth eight, heaven nine, earth ten); “lunar and solar eclipses concur in every 135 months” comes from “3 heavenly numbers 25 and 2 earthly number 30” (The Book of Changes, Xici(1): Heavenly number 20 plus 5, earthly number 30); and so on. Chapter Two is entitled “Five steps.” It describes the regular pattern of motion of the five planets. Each planet moves in several phases, namely, morning first sight, forward motion, stationary, reverse motion, conceal, evening first sight. The duration time and the average speed of each planet in each phase are given. Chapter Three is named “Tongshu” (statistic technique). It deals with items related to the solar and lunar motions, such as the first day of lunar month, solar terms, lunar eclipses, and other items related to the motion of the sun and the moon. This chapter has something to do with compiling chronicles. Chapter Four is named “Jishu” (recording technique). It deals with supplementary items related to the previous two chapters. Chapter Five is named “Suishu” (year-counting technique). It calculates Tai Sui year designation, matches the 12 times with the 24 solar terms, gives the degree of each mansion in the 28 constellations, etc. Chapter Six is entitled “Shijing” (scripture of generations). It does chronological research on generations of monarchs since the former Han Dynasty. This chapter does not belong to the scope of calendar, at most it can be considered as application of calendar. From the above introduction to the Three Sequences Calendar, we know that only Chapter Three is closely related to compiling chronicles. That chapter takes up merely a small portion of the complete calendar, and its position is not the most important either.

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Take for another example the Great Derivative Calendar for investigation. The Great Derivative Calendar was compiled by Yixing in15th Year of Kaiyuan in the Tang Dynasty. This is one of the most important calendars in Chinese history. Its structure became a model for the calendars of subsequent Dynasties. So investigating into it enables us to draw inferences about other calendars. The Great Derivative Calendar made improvements and adjustments on previous calendars. It is divided into seven parts. According to Old History of Tang, Volume 34 – Annals of Almanac 3 (and New History of Tang, Volume 28 – Annals of Almanac 4 also recorded but simpler), we expound the calendar roughly as follows: “Calculation of the middle and new moon” as the first chapter. “Calculation of divergence and convergence” as the second chapter. These two chapters are especially short. The chapter “Calculation of the middle and new moon” consists of six sections, and the chapter “Calculation of divergence and convergence” consists of five sections only. The former projects lunar phases as obscure, new, bowstring, and full moon. The latter predicts the 72 climates (corresponding to the 24 solar terms, phenological phases, and phenomena), 60 trigrams, 5 elements and utilities, and other items. These two chapters are needed for compiling chronicles and calendar notes. The following five chapters constitute the main body of the calendar: “Calculation of the solar degree of the zodiac” as the third chapter, consisting of nine sections. This chapter is dedicated to discussing the apparent motion of the sun. Both the depth and the precision exceed the need for compiling calendars, and the purpose is to serve the eclipse forecast. “Calculation of the lunar equation” as the fourth chapter, a chapter made up of 21 sections. Because the lunar motion is far more complex than the solar motion, the number of sections and the total length exceed the foregoing chapter. This chapter is specialized in research on the lunar motion, and the purpose is similar to the foregoing chapter, that is, to lay a foundation for forecasting eclipses. “Calculation of the orbit” as the fifth chapter is composed of 14 sections. This chapter is specialized in research on the problems concerning time service. “Calculation of encounter” as the sixth chapter consists of as many as 24 sections. This chapter is devoted to solar eclipses, lunar eclipses, and related issues, based on the knowledge and method that are discussed in Sections 3 and 4. “Calculation of five planets” as the seventh chapter consists of as many as 24 sections too. This chapter studies the motion of the five planets, going to great lengths. The depth, carefulness, and techniques here surpass the “Five Steps” in the Three Sequences Calendar. By observing the structure and content of the Three Sequences Calendar and the Great Derivative Calendar, we get to know that their major part is research in the motion pattern of the sun, the moon, and the five planets. The main purpose is to

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provide the method and formula for predicting the position of these seven great bodies at any moment. As for compiling chronicles, it is merely a concurrent job. This conclusion is true to all calendars in ancient China. Thus, we can investigate into the relationship between calendar and agriculture: To begin with, study the moon and the planets. Does the operation of these two kinds of celestial bodies have anything to do with agricultural production? If the relationship here refers to a connection that really exists in the material world, or a physical linkage, then the answer is totally negative. And then, study the remaining heavenly body – the sun. What is the relationship between the sun and agriculture? There is indeed a relation between them. However, the portion of ancient calendars studying the relation between the solar motion and agricultural production still needs further discussion. We will illustrate it in five points in the following part: China is a country with a long-standing history of agriculture. So sayings like “Calendars serve agriculture” and “The astronomical calendar originated from the need of agricultural production” sound quite reasonable. To the contrary, seen from the known historical data, the research on solar motion developed extremely slowly among the elements in the Chinese calendar. For instance, ancient Greek astronomers were able to measure star coordinates, using the solar motion tablet as a datum and the moon as a medium. Ten odd centuries later, China measured the position of the sun, using the star as a datum and the moon and planets as media. Another example, the Chinese mastered the unevenness of the annual apparent motion of the sun 1000 years after ancient Babylons did. It is worthwhile to note that the Chinese development in the lunar and planetary motion theory was not so slow. This fact alone constitutes a serious threat to the doctrine “Calendar serves agriculture.” This is the first argument. In ancient calendars, the only portion relevant to agricultural production is deduction of the 24 solar terms, a result of studying the annual apparent motion of the sun on the ecliptic. The complete set of names for the 24 solar terms is first seen in the work Huainanzi – Astronomical Standards. Some names in it are seen in the pre-Qin period classics. But appearance of certain solar terms does not necessarily indicate that the solar motion was already mastered then. On the other hand, our ancestors observed phenology directly, which is much easier. In the calendars that are passed down to us, when the 24 solar terms are listed, the corresponding 72 pentads are also listed under the solar terms. For example, the Great Derivative Calendar does so. This implies that the origin of the 24 solar terms is related to the observation of pentads by ancient people. This is the second argument. It is true that the establishment of the 24 solar terms plays a role in guiding agricultural production, but endeavors to ceaelessly improve the calculation of the solar terms are irrelevant to agriculture. In the beginning, ancient people divided the time of a year into 24 equal parts. Each part was a solar term, called “even term.” Later they got to know that this treatment could not reflect exactly the annual solar

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motion because of unevenness of the motion, and they used division of the celestial sphere ecliptic into 24 equal parts. Whenever the sun moves across one part of arc, it is a solar term. As the sun moves at uneven speeds, the times for the terms are not the same and are no longer constants as with the “even term.” So they are called “definite terms.” Actually, guiding the agricultural time does not require a high precision of the solar term, and precision to the day is good enough. In fact, observation of pentads alone can largely fulfill the task of guiding the agricultural time. Thus the “definite term” is not so significant; as for seeking the precision to the minute or the second is simply meaningless to agriculture. This is the third argument. Since Liu Chao proposed the “definite term” in the Sui Dynasty, all the calendars in the thousand years after him used the “definite term” to project the solar motion, while the “even term” is still used in compiling chronicles. This fact eloquently demonstrates that precise calculation of solar terms is not relevant to agriculture. The role played by solar terms in guiding the agricultural time must be realized through chronicles, of course. After the “definite term” method appears, calendric specialists still do not use it to make notes for chronicles or almanacs. This shows that it is not a necessity for daily life (including agricultural activities by farmers). This is the fourth argument. In the early years of the Western Han Dynasty, a complete system of the 24 solar terms occurred. In the Sui Dynasty, the technique of calculating the solar terms was developed into the “definite term.” In the early Qing period, the “definite term” was used to annotate chronicles, improving the understanding of solar terms by ordinary citizens. But up to now, experts who do research on the history of ancient Chinese agriculture have never found any leap in agricultural production attributable to calendric improvement in the Han, Sui, or Qing Dynasties. This indicates that the saying of “Calendars serving agriculture” has exaggerated to a large extent, though the 24 solar terms, even though their relation to agricultural production is authentic. This is the fifth argument. In summary, the situation is very clear: In the ancient Chinese calendar, the great amount of research on the lunar motion and planetary motion is totally unrelated to agriculture. As for the research on the solar motion, its relation to the agricultural production is very limited. The famous Great Derivative Calendar, as mentioned above, consists of 7 chapters, 103 sections. Of which the content concerning the compiling of chronicles takes up less than 5% of the total. If we admitted that the saying that “Calendars serve agriculture” has something right, then the right part would take up no more than 5% of the whole content. Supporting the saying that “Calendars serve agriculture,” there may be another proof. In the Book of Documents: Cannon of Yao, the sentence “Celestial phenomena of the sun, moon, planets and stars in the calendar provide people with the time service” or the so-called “Observe the celestial phenomena and provide the time service” does not implicate “arrange agricultural activities.” Instead, it refers to arranging the itinerary of important political affairs for the ruling class to follow.

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The Relationship Between Calendar and Astrology

The ancient Chinese calendar is dedicated to research in the motion patterns of the sun, the moon, and the five planets, far beyond the need for compiling chronicles and almanacs, and the greatest part of its content is unrelated to agriculture, as said above. Then a big question is raised: What is the application of the calendar? The ancient Chinese calendar did research with all its strength in the motion patterns of the sun, the moon, and the five planets for two purposes: One is to calculate and forecast solar and lunar eclipses. The other is to calculate and forecast the planetary motion. Forecasting eclipses is needed because the imperial court would conduct magnificent and solemn ceremonies to avert disasters believed to accompany solar eclipses, not only in the capital but also in other places (though the ceremonies might be simpler there). It would be impossible to organize such activities when the solar eclipse occurs in the sky. So forecast was a must, as preparations and arrangements were to be done 3 days ahead of the eclipse. Considering that places other than the capital would hold activities also to save the sun and moon, probably the forecast should be conveyed to all places. Forecasting the planetary motion is purely for astrology. As the omens that heaven displays, planetary phenomena not only warn people of ominous things to happen but also directly guide many significant affairs, in the mind of the Chinese – they are actually capable of controlling the political and military operations. So it is not hard to understand why ancient people attached great importance to predicting and describing the planetary motion. Take the following case for example. It is recorded in the Book of Wei, Volume 35 – Biography of Cui Hao. Originally, 1 year before Yao Xing (King of the latter Qin state) died, the Grand Astrologer reported to the Emperor: The Mars was among Good Gourds and then disappeared to nowhere overnight. Someone said: It set down to a state in peril of death, allowing folk rhymes and heresies to arise, and then a great disaster will befall. Hearing this news, Emperor Taizong (Minyuan Di) was frightened. He called in master scholars and asked them to discuss with the Historiographer (Chancellor of the Erudites) and interpret the implication. Cui Hao replied: “A case on file recorded in Spring and Autumn Annals–Commentary of Zuo says: The spirit landed in the state Shen. On his arrival, sacrifices were offered to him, and he was requested to predict on the basis of Heavenly Stems and Earthly Branches. He derived: In the evening of the geng-wu day and in the morning of the xin-wei day, there will be dark clouds in the sky; the death in the direction of Xin ought to happen within two days. Both gen and wei dominate the Qin state, and xin is a tribe in the west. Now Yao Xing lives in Xianyang, and the Mars enters the state Qin.” All the men present got angry, and they said: “When a planet disappears in the sky, how can a human being know its implication? He is driveling nonsense that cannot be testified!” Cui Hao smiled but did not reply. In the following 80 days, the Mars really appeared at Eastwell, stayed and lingered there. Then a big drought took place on the Qin plain and

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the land got parched; water in Lake Kunming dried out. Folk rhymes and rumors sprang up and spread throughout the country. In the next year, Yao Xing died, and his two sons went into war. Three years later, the state fell and ended. At last, everybody admired him and said: We can never reach his capability. If we are to understand the meaning of this matter completely, two technical details must be explained beforehand: First, according to the Dividing Line theory, East-well (i.e. mansion Well) belongs to the stellar time of Alhena, exactly the dividing line of Qin. Second, the astrological meaning of Mars appearing at the Well mansion is an omen of various events to happen in the latter Qin state in 2 years to come. Let me quote three divination oracles for example: The Mars enters East-well, war takes place, terrible drought comes, and the state is disturbed. (Treatise on Astrology of the Kaiyuan Era, Volume 34 – Quotation from Shi). The Mars enters East-well, stays there for over 30 days, goes away, and then comes back. If it revolves around, forming a hook Si, then the monarch will die; if it rounds again, someone else will die. (ibid, quoted from Divination in the sea). The Mars goes out and comes in, stays at East-well for 30 days and does not set down, indicating that the country will fall, and the king will die. (ibid, Quotation from Xi Meng). In the astrological divination by Cui Hao, the Mars “stayed and hovered” precisely over East-well. (According to the planetary motion theory in modern astronomy, this occurrence is not strange.) This exposition is entirely the same as that in Divination in the sea. As a result, a terrible drought occurred in the year; the emperor died in the next year; the latter Qin was destroyed by the Eastern Jin in the third year; and Yao Hong the last Emperor was escorted to Jiankang and executed. Let’s turn back to Cui Hao’s prophecy. What surprises “master scholars” most was his prediction about the whereabouts of Mars when it could not be seen, and 80 days later, the prediction came true. The secret is that Cui Hao mastered the motion pattern of Mars. He knew that Mars was in the “conceal” phase, that is, moving in the direction close to the sun, so after dark it set down below the horizon and could not be seen. He also knew that after this phase it would move to the zone of Well mansion, and Well mansion corresponds to the state Qin exactly. Of course, Cui Hao’s capability is beyond this. Apart from mastery of Mars motion pattern, and proficiency with the astrological theory, he learned a lot about the latter Qin regime, because he was “often consulted about military and state affairs and held in high esteem by the monarch.” His knowledge of history and experience in society enabled him to judge that the state Qing was coming to an end. Later, relying on a comet occurrence, he predicted successfully the usurpation of the Eastern Jin’s state power by Liu Yu, using the same method. On the contrary, the greatest difference between other “master scholars” and Cui Hao is that they know nothing about the planetary motion pattern, that is, they do not know calendar. Thus they cannot know the time and place of Mars appearing and disappearing, and they are incapable of making any wise astrological prophesy. To sum up, the famous astrological prophesy made by Cui Hao eloquently demonstrates that a successful and high-level astrological divination needs

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knowledge of astrological theories, political information, historical experience, and social psychology; in addition, calendar is necessary, and calculation of the motion of the sun, the moon, and the five planets plays a leading role. What’s special is that the planetary astrology is the vital part of Chinese astrology. This strengthens the interaction between calendar and astrology. Now it can be concluded that we have found the object served by the ancient Chinese calendar, the most part which deals with calculation of eclipses and the motion of the five planets. That is to say, astrological divination needs calendar. (Translator: Dianhua Zhao) (Proofreader: Weige Li)

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Observe the Celestial Phenomena and Provide the Time Service: The Ancient Chinese Calendars and Their Properties and Functions Weixing Niu

Contents 2.1 An Overview of the History of Ancient Chinese Calendars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.1 The Calendars Made in the Han, Wei, Jin, and the Northern and Southern Dynasties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.2 The Calendars Made in the Dynasties of Sui, Tang, Northern Song, and Southern Song . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Fundamental Issues and Concepts in Calendars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.1 Concepts of Year, Month, and Day . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.2 Lunar Calendar, Solar Calendar, and Lunisolar Calendar . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.3 Intercalary Month . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.4 Twenty-Four Divisions (Solar Term) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.5 Ways of Numbering the Days and the Years . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.6 Month Names, Earthly Branch Month Names, and Different First-months in Three Calendars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.7 Chronometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3 Typical Content and Fundamental Problems of Calendars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.1 Framework of Typical Calendars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.2 The Apparent Motion of the Sun . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.3 The Apparent Motion of the Moon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.4 Solar and Lunar Eclipses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4 Nature and Functions of Calendars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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W. Niu (*) Department for the History of Science and Scientific Archaeology, University of Science and Technology of China, Hefei, China © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_2

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Abstract

This chapter focuses on ancient Chinese calendars. Firstly, it recounts the history of ancient Chinese calendars according to its four stages. Secondly, it discusses the main issues and fundamental concepts concerning calendars, such as solar calendar, lunar calendar, lunisolar calendar, 24 divisions, month names, among others. Thirdly, it elucidates the typical content and fundamental issues of calendars, such as the solar apparent motion, the lunar apparent motion, and the apparent motion of the five planets. Fourthly, the nature and functions of calendars are discussed. Keywords

Ancient Chinese calendars · Concepts in calendars · Apparent motion The calendar was known as “Li” or “Li Shu.” More profound than the modern ones in conceptual meaning, the ancient calendars, involving the sun, moon, and five planets (In ancient times, the sun, moon, and five planets were collectively called Qi Zheng (Seven Luminaries), or Qi Yao in the post-Han period. The sun was called Tai Yang, the moon Tai Yin, five planets Wu Wei (Five Latitudes), namely Jupiter, Mars, Saturn, Venus, and Mercury, corresponding to the Five Elements: wood, fire, earth, metal, and water. The seven luminaries were so named after the doctrine of Yin-Yang and the Five Elements emerged, and before that, the five planets were officially named Sui Planet, Ying Huo, Zhen Planet, Tai Bai, and Chen Planet, corresponding respectively to Jupiter, Mars, Saturn, Venus, and Mercury, which sequence was a standard one in ancient Chinese astronomy), were intended to address the following two fundamental problems: (1) coordination between the year, the month, and the day, specifically, the distribution of days in the month and of months in the year, the insertion of the intercalary month, the arrangement of divisions in the year, etc. and (2) the motion law of the sun, the moon, and five planets. Mastery of the law serves to explain and predict the solar and lunar eclipses and dynamic conditions of the planets. Thus, as far as its research content and objectives are concerned, it is appropriate to refer to the ancient Chinese calendars as mathematical astronomy. Of course, in terms of its nature and functions, the ancient Chinese calendars are closely associated with various aspects such as society, culture, and politics. Distinct from modern astronomy, which is aimed at exploring the laws of nature, astronomy and calendars in ancient China, as part of heaven-human interaction, were intended not to explore the laws of nature. For the sake of better describing the interactive relationship between the heavens and man, it is essential to master the rules of celestial movements in a relatively accurate manner, but eventually, calendars function socially, culturally, and politically to serve humans.

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An Overview of the History of Ancient Chinese Calendars

The ancient Chinese calendars recorded in the post-Han historic books totaled over 100, of which over 50 were officially issued. In content and methods, new calendars inherited something from the previous ones and reforms were also made to them. The cycle continued for more than 2000 years, with new versions continually coming out, thus forming a splendid collection. Investigated longitudinally, the ancient Chinese calendars experienced four stages successively: (1) the calendars made in the dynasties of Han, Wei, Jin, and the Northern and Southern Dynasties; (2) the calendars made in the dynasties of Sui, Tang, Northern Song, and Southern Song; (3) the calendars made in the Yuan and Ming Dynasties; and (4) the calendars made in the Qing Dynasty.

2.1.1

The Calendars Made in the Han, Wei, Jin, and the Northern and Southern Dynasties

Legend has it that in the pre-Qin period there existed six ancient calendars, namely the Emperor Huang calendar, the Zhuanxu calendar, the Xia calendar, the Yin calendar, the Zhou calendar, and the Lu calendar. As for their authenticity, some ancient scholars took a skeptical attitude. In The History of the Han Dynasty – Annals of Calendars, the author remarked, “The ancient calendars did not survive the turmoil of the Warring States and the Qin Dynasty. In effect, the six calendars prevailing in the Han Dynasty, though described more detailedly in the doctrine of Wu Ji (i.e. the year, month, day, stars and calendars), were made in the Qin and Han dynasties under the name of those ancient ones.” Another book, The History of the Song Dynasty – Annals of Calendars recorded the story that Zu Chongzhi (an outstanding mathematician and scientist in the Northern and Southern Dynasties) proved the method adopted in the six ancient calendars was quarter remainder and furthermore they used the method to prove that in these calendars the moment of new moon was slightly late than its actual time. Thus, a conclusion could be drawn that they were made at the turn of the Han Dynasty rather than in the Pre-Qin period. Though no mathematical text survived in full, the Taichu calendar (Grand Beginning calendar) was the first one of its type ever recorded in ancient books. Emperor Wu of the Han Dynasty (141–87 BC) introduced reforms halfway through his reign. He recruited folk talents, reinstated Luo Xiahong, a distinguished astronomer, and others and made a series of improvements to the calendar. At the end of the Western Han Dynasty, Liu Xin, a scholar, produced the Santong calendar. It was acclaimed as “secret of calendar” by Ban Gu but was thought poorly of by some scholars of the later generations, among whom were He Cheng-tian, a Southern Song astronomer. At present, it can be generally agreed on that the Santong calendar was developed by Liu Xin on the basis of the Taichu calendar (Bo Shuren 1983) By the beginning of the Eastern Han Dynasty (25–220 AD), the cumulative error of the Taichu calendar had reached up to a day, and thus a reform must be enforced.

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The year 85 AD witnessed the implementation of A Quarter-remainder Calendar of the Later Han Dynasty, and over the calendar. There was much controversy, which led to two confirmations: the sun and moon orbit along the ecliptic plane; the moon moves in an irregular pattern: sometimes fast and sometimes slow, and “where it moves fastest, it covers 3 du in a month” (An Extension of the History of the Han Dynasty-Annals of Calendars). Modification of the calendar bred a new one, the Qian-xiang calendar, which, in History of the Jin Dynasty – Annals of Calendars, was acclaimed as “a paragon of astronomical and calendric calculations for later generations” and which was the basis of both the Jingchu calendar made in the Kingdom of Wei during the period of Three Kingdoms (220–265 AD) and the Taishi calendar in the Kingdom of Jin during the same period. In the Southern Dynasty, prevailing calendars were the Yuanjia calendar by He Cheng-tian and the Daming calendar by Zu Chongzhi. In his Yuanjia calendar, He Chengtian provided a series of innovations, for example, the arrangement of Rain Water as the first solar term, the establishment of a “Hou Yuan” for the five planets, determining 17 du of the Big Dipper to be the winter solstice, and changing the practice of calculating the new moon moment on an average basis to calculating the real new moon moment. The last proposed reform, in particular, was strongly opposed to by conservative scholars since it would result in three consecutive 31-day months and two consecutive 30-day months, so it was eventually abandoned. Another astronomer and mathematician, Zu Chong-zhi, criticized He Chengtian for his practice of establishing “Hou Yuan” for the five planets, proposing that perigee of the sun, moon, and five planets, ascending node of the ecliptic and the moon’s path, the winter-solstice point should come to one common point. Breaking the tradition of arranging seven intercalary months in 19 years, he also maintained the idea of a new cycle of intercalary months – 144 intercalary months in 391 years. What was more, he officially introduced precession in calendar making, making the time of winter solstice slightly different year by year. These innovations of his, however, were also objected to by some conservative scholars and thus his calendar was not enacted in his days. The calendars in the Northern Dynasties were lackluster, except for three highlights. First, Xiang Ji in the Later Qin Dynasty put forward the idea of determining positions of the sun by observing them at middle of the lunar eclipse. Second, in the state of Northern Liang, Zhao Fei broke the tradition of arranging seven intercalary months in 19 years, and presented a new cycle of intercalary months – 221 intercalary months in 600 years. Third, in the Northern Qi Dynasty (550–577 AD), Zhang Zixin first proposed the notion of nonuniformity of the annual apparent motion of the sun, thus laying a foundation for improving the precision of the Sui and Tang calendars.

2.1.2

The Calendars Made in the Dynasties of Sui, Tang, Northern Song, and Southern Song

After Yang Xian, the founding emperor of the Sui Dynasty, became emperor, Zhang Bin’s Kai Huang calendar was adopted. This calendar, based on the Yuan Jia

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calendar, with some additions and reductions, had no innovation at all, so it was harshly criticized by astronomers Liu Xiaosun and Liu Zhao. Nevertheless, since the calendar was issued as the calendar for a new dynasty and Zhang himself was minion of the then emperor, they were encountered with accusations from Zhang and Imperial Astronomer Liu Hui. Liu Xiaosun was criticized for “reproaching and calumniating the Holy calendar and making eccentric remarks” and Liu Zhao for “misleading the masses with fabricated lies” (History of the Sui Dynasty – Annals of Calendars). In the eyes of the Emperor, the appeal for calendar reform was ill-timed at the initial period of the dynasty when they had just stabilized their state power. Liu Xiaosun and Liu Zhuo, consequently, were dismissed from their posts. After the death of Zhang Bin, there appeared a favorable turn. Liu Xiaosun, who was Deputy Governor of the Ye County, attempted to submit his new calendar to the Emperor, but was stopped by Liu Hui. Contrary to his own wishes, he was appointed as a court historian, which he held for many years. In order to change the situation, he “took his calendar book in his arms and came to the palace, with his disciples carrying a coffin for him, and knelt down wailing, asking to be met by the Emperor” and attracted the Emperor’s attention. Then, the Emperor inquired He Tuo, Chancellor of Commission for Education, about the calendar. The latter replied it was right of Liu to suggest a calendar reform. Liu Xiaosun was assigned to the post of Governor, whose job was to compare Liu’s calendar with Zhang Bin’s. Astronomerroyal Zhang Zhouxuan, who used to be noteless, rose to join Liu in assailing Zhang’s calendar. Subsequently, there appeared divergent opinions and the heated argument lasted for quite a long time. In July 594 AD, the 14th year of the Kaihuang reign-period, as Emperor Gaozu of the Sui Dynasty inquired about solar eclipses, Yang Su et al reported to him as follows: Among the 25 solar eclipses calculated by the astronomer-royal, only three fell on the first day of the month, and one took place as predicted on the last day of the month, with the exact time and direction remained unknown, and the rest of his predictions were not verified. However, solar eclipses predicted by Zhang Zhouxuan all came true and half of predictions made by Liu Xiaosun came true as well. Hearing this, the Emperor immediately called in the two and extended his regards to them. Liu’s proposal, nevertheless, that calendar reform should start with the beheading of Liu Hui irritated the Emperor, who then ruled that calendar reform was abandoned and Liu Xiaosun would cease to be a government official. Before long, Liu Xiaosun died and Yang Su, Niu Hong, and others felt pity for the talent and recommended Zhang for the post of astronomer-royal. Delighted about Zhang’s view, daytime longer and the Sun’s shadow shorter, the Emperor gave him a handsome reward and assigned to him the task of making a new calendar. At the news, Liu Zhuo revamped the calendar made by Liu Xiaosun, changed its name to Qi Yao Xin Shu (A New Calendar of the Seven Luminaries) and presented it to the royal palace. Eventually, this calendar was not adopted because it was quite contrary to that of Zhang’s and also because Zhang and Yuan Chong, the Emperor Gaozu’s minion, were strongly opposed to it. Upon the completion of Zhang’s calendar in 597, the 17th year of the Kaihuang reign-period, Emperor Gaozu ordered Yang Su to check it. Liu Hui stuck to the old

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calendar and along with Liu Yiyuan, the official in charge of calendric affairs, he refuted Zhang’s calendar. The heated argument between the two parties bewildered the Emperor, making the issue pending for a prolonged time. As it happened, an official, Yan Minchu, submitted a memorial to the emperor, “When Luo Xiahong in the Han Dynasty abrogated the Zhuanxu calendar and implemented the Daming calendar, he declared that the calendar would have an accumulated error of a day in 800 years and that there should appear a sage who could reformulate it. Now, 710 years has passed. Many talented astronomers have appeared. Could the so-called sage have turned up now?” (History of the Sui Dynasty – Calendars). Emperor Gaozu was so pleased that he issued an imperial decree to adopt Zhang Zhouxuan’s calendar. Four officials, as a consequence, including Liu Hui, were removed from the astronomical staff and six officials including Yu Jicai were dismissed from their posts. Zhang Zhouxuan was promoted to the position of imperial astronomer. Zhang recommended Yuan Chong to the Emperor. The two sang highly of each other. Zhang praised Yuan for his overwhelming excellence and Yuan praised Zhang for his unparalled astronomical achievements. Zhang Zhouxuan followed Zu Chongzhi in his calendar making method. After the promulgation of Zhang’s calendar in the 17th year of the Kaihuang reignperiod, there was slight improvement in the accuracy of eclipse forecasts; years later, however, the flaws of the calendar came to be recognized. But it was not until 608 AD (the fourth year of Daye in the Sui Dynasty), when Liu Zhao died, that any attempts to revise the calendar were made. Liu, in the several arguments about calendar making, created the Huangji calendar. This calendar employed “mean Qi” besides “true Qi” in accordance with principle of nonuniformity of the apparent annual motion of the sun, and adopted the real new moon algorithm following He Chengtian’s proposal, and adopted precession introduced by Zu Chongzhi and advanced mathematical method – the quadratic interpolation method with uniformly-spaced – was used to solve the problems in calculations caused by the nonuniformity of solar and lunar motion. All these advanced principles and methods employed in the Huangji calendar made it a milestone in the history of calendar making, but it turned out that the calendar was not enacted because of its maker, Liu Zhuo was at a disadvantage in the previous disputes about calendar making. The early Tang Dynasty saw the implementation of Fu Renjun’s Wuyin calendar, and it was subsequently replaced by Li Chunfeng’s Linde calendar. Both, however, were less advanced than the Huangji calendar and on top of that, Li even denied precession, which was undoubtedly regression in calendrical science. It was not until the enactment of the Dayan calendar prepared by the Buddhist monk Yi Xing that things began to turn better. In order to obtain measured data for a new calendar, the imperial court requested Liang Lingzan to make an armillary sphere which was called Huangdao-youyi (Instrument with a Movable Ecliptic Circle) and Nangong Yue to measure the latitudes and lengths of solar shadow across the country. Yi Xing adopted these updated data in his Dayan calendar and made inhomogeneity correction, an innovative measure, based on his correct understanding of solar and lunar motion discovered by Zhang Zixin. Moreover, in terms

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of mathematical techniques, he initiated the quadratic interpolation formulae with unequal differences, thus improving calculation accuracy. All these major reforms made the Dayan calendar stand out in the whole history of calendar-making in ancient China. Such appraisal of the calendar can be found in New Book of TangAnnals of Calendars: Up to now, there have been 23 calendar systems, from the Taichu calendar to the Linde calendar, all approximately in line with the solar and lunar cycles but with unsatisfactory accuracy. In Yi Xing’s calendar, however, accuracy was achieved, and on account of his expert mathematical calculations no changes could be made to it. Though modifications were made to it by later generations, they were imitations after all.

In the Tang Dynasty, despite the several calendar reforms, the mode of the Dayan calendar was all the time followed. Of the subsequent Tang calendars, the Xuanming calendar was outstanding, recognizing the three differences as to solar eclipses in time, division and moment and adopting relatively accurate perilune data. Also outstanding was the Chongxuan calendar, whose preparer Bian Gang, a mathematician, introduced the method of subtraction and multiplication in calendrical calculations and simplified the interpolation formulae used in the previous period. Another new look in the Tang calendar systems lies in the fact that Indian calendars were referred to, together with the Chinese calendars, in the Astronomical Bureau. The number of calendars issued by the imperial courts of the Northern and Southern Song dynasties reached as many as 19. Most of them, however, were imitations of the Tang calendars, with no major breakthroughs but more accurate data.

2.1.2.1 The Calendars Made in the Yuan and Ming Dynasties The Time-telling calendar (or Shoushi calendar), prepared by Guo Shoujing et al., became another peak in the history of calendar making in China. Entirely on the basis of measured data, the calendar broke away from the traditional practice of calendar making and initiated new ways in calendrical science. According to the conclusions made by Guo himself, the innovations involved in this calendar were “seven issues of verification” and “five mathematical breakthroughs.” The former refers to verification of the moment of winter solstice, end of the tropical year, the sun’s apparent motion, the moon’s apparent motion, solar and lunar eclipses, stardistance between 28 constellations, and the moment of sunrise. The latter runs as follows: (1) using Li Zhaocha method to calculate the sun’s daily motion on the ecliptic; (2) using Duolei Zhaocha method to calculate the moon’s daily revolution around the earth; (3) using Gougu Hushi method to calculate the difference between the ecliptic longitude and equatorial longitude; (4) using the mathematical method of Gougu Rongfang (a method of solving geometrical problems concerning right triangles)to calculate the distances between the ecliptic and the poles; (5) using the method of Lihun biliang to calculate the intersection point of the lunar orbit and the equator. These five innovative methods served as reliable mathematical devices for processing measured data. Guo’s zhaocha fa, as is stated above, which was a method of calculating position of a celestial body in every time zone and which was

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constructed algebraically according to some of the measured data and the position was expressed in terms of table and formula, has been considered to be a world-class mathematical achievement. It is 3-power interpolation, and theoretically it can be increased to any power. In the entire 227 years of the Ming Dynasty, a mere calendar, the Datong calendar, in effect the Time-telling calendar with slight modifications, was in use. The positions in the Astronomical Bureau in the early Ming were hereditary, and holders were strictly forbidden to turn to other professions, thus causing the majority of them to be ignorant, incompetent, and neglectful of their duties. Not long after the issuance of the Datong calendar, there occurred repeated prediction errors in solar and lunar eclipses. As for this, the fellows inside the Imperial Astronomical Bureau could not help it, while those scholars who proposed a calendar reform had their proposals rejected time and time again. Toward the end of the Ming Dynasty, Jesuits brought with them the occidental calendar among other things. Believing that China should learn from the west in calendrical science, Xu Guangqi and others led a team to compile a new calendar and the 130-plus-volume Chongzhen calendar was brought into being. It was a pity, however, that the Ming Dynasty came to an end before the calendar could be put into effect.

2.1.2.2 Calendars Made in the Qing Dynasty After Manchu troops entered Shanhai Pass in 1644, the Chongzhen calendar was modified into a 103-volume Western-style one by Johann Adam Schall von Bell and presented to the Qing imperial court. Subsequently, the Qing government issued it, naming it the Shixian calendar. In accordance with Tycho Brahe’s theory of geocentric system and his measured data, this calendar was able to achieve accuracy at that time. Moreover, it was the first calendar to adopt Qi annotation in the annual almanacs. When the calendar was revised in the seventh year of the reign of Emperor Qianlong (1742), Tycho’s epicycle system was abandoned and the laws of elliptic motion and areas were adopted and parallax error and astronomical refraction were taken into account. During the 266-year reign of the Qing Dynasty, all the calendars originated from western astronomy rather than the traditional Chinese astronomy, so astronomy was the starting point of the westernization of the Chinese knowledge hierarchy in modern times.

2.2

Fundamental Issues and Concepts in Calendars

2.2.1

Concepts of Year, Month, and Day

As most fundamental units of time, year, month, and day have different meanings. In civil calendar, they refer respectively to the tropical year, the synodic month, and the mean solar day. The mean solar day is the average cycle of alternation between day and night, the synodic month is the average phase of the moon, and the tropical year is the interval between two spring equinoxes, or as defined in ancient Chinese astronomy, between two winter solstice points with equivalent meaning. Unless otherwise stated, year, month, and day in the following text refers respectively to

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the tropical year, the synodic month, and the mean solar day. It should be noted that it was not until the calendar system became rather mature that the year started to be defined in relation to winter solstice and solar motion and in early history year is associated with phenological changes, for instance, in Shuowen, the year was defined as the growth cycle of cereals. According to modern astronomy, if measured in terms of day, year and month can be expressed by the following two formulae: A year ¼365.24219878-0.000 000 0614·(t-1 900.0) days A month ¼29.530 588 67 +0.000 000 019 (t-1 900.0) days

In the formulae, t represents temporal order. They suggest that the relationship between year, month, and day is not simple, that is, their relationship is not fixed, the cause of which is the slowing trend of earth rotation, which is, of course, so slow that it can be ignored in a short term. Nevertheless, seen from the data, the three have no simple common divisor and what is more, the number of days in a month or a year measured in ancient times was somewhat approximate values. It is impossible, therefore, to determine for good their relationship in a concise fashion. That is why approximately a hundred calendars have appeared successively in Chinese history.

2.2.2

Lunar Calendar, Solar Calendar, and Lunisolar Calendar

Any periodic motion can be used as a measure of time. The moon’s alternating changes from new moon to full moon and the sun’s apparent annual motion are visual and relatively precise so it is no wonder that the ancient Chinese chose them as measurement of time. Independent of each other, either of the two motions can be employed in calendar making. Owing to different choices of measurement, there have appeared three types of calendars: lunar calendar, solar calendar, and lunisolar calendar. Based on lunar cycles, a lunar calendar, such as the Islamic calendar, takes only lunar motion in account and stipulates how many synodic months constitute a year. A solar calendar, however, like the calendar in current use, is based on the annual solar motion without taking into account lunar motion. Taking both motions into consideration, a lunisolar calendar has both the synodic month and the tropical year as fundamental cycles in calendar making and nearly all documented calendars in ancient China fall into this type. A 365.25-day year was adopted in ancient Chinese calendars, with 12 months of 30 or 29 days. A nonleap year constitutes six 30-day months and six 29-day months, altogether 354 days. It follows that the tropical year is longer than 12 synodic months by 11.25 days, which accumulates to over a month in three years. By considering lunar and solar motion simultaneously, a lunisolar calendar is aimed to align seasonal changes (reflecting solar motion) with lunar year, for instance, the beginning of a lunar year is fixed in spring, unlike the Islamic calendar, where the New Year day may occur in any season. The solution to the abovementioned problems lies in intercalary month, an important topic.

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Intercalary Month

Some ancient documents indicate that ancient Chinese attached great significance to intercalation. Book of History – The Chronology of Emperor Yao stated that intercalary months could be adopted to formulate a year. Zuo Qiuming’s Commentary on the Spring and Autumn Annal – the Sixth Year of Emperor Wengong also recorded the method of using intercalary months. An early practice in ancient times was to insert two leap months in five years (Explanation of Script and Elucidation of Characters), so that five years would contain 62 synodic months. In the following five years, the same pattern of intercalation was repeated. The cycle is called an intercalary cycle. To be exact, a tropical year constitutes 365.2422 days, so five tropical years comprise 1826.2110 days. In a synodic month, there are 29.5306 days on average, so 62 synodic months will comprise 1830.8972 days. It can be seen that incompatibility between lunar and solar calendars remained by inserting two leap months in five years, with an accumulative difference of over 4 days in 5 years. That was why there appeared subsequently a new intercalary cycle of seven leap months in nineteen years, 235 synodic months in 19 years. With 6939.6018 days in 19 tropical years and 6939.6910 days in 235 synodic months, the gap between the lunar and solar calendars was remarkably narrowed. Prevailing for a long time, this intercalary cycle was replaced in the Southern and Northern dynasties by one of 221 leap months in 600 years, proposed by astronomer Zhao Fei in Northern Liang and later by one of 144 leap months in 391 years, brought forward by Zu Chongzhi in the Southern Dynasty. In the early days of calendrical history, intercalary cycles were somewhat conducive to calendar making. However, as cycles of two independent motions, synodic month and tropical year have no simple mathematical relationship, while intercalary cycles impose such a relationship. As time progressed, lengths of synodic month and tropical year could be determined more accurately through astronomical observations, it became increasingly irrational to use intercalary cycles. He Chengtian in the Southern Dynasty maintained that no more effort should be put into exploring new intercalary cycles and from the Tang Dynasty on, attempt of this kind was not made any more. Where to locate an intercalary month also gradually improved. In early calendars an intercalary month was placed at the end of a year, known as the “thirteenth month.” From the Han Taichu calendar onwards, the principle of intercalaration was established, that is, to insert it into a 29-day month.

2.2.4

Twenty-Four Divisions (Solar Term)

The 24 divisions, a main feature of ancient Chinese calendars, are part of the solar system in a lunisolar calendar and reflect the sun’s annual motion. As early as the Western Zhou Dynasty and the Spring and Autumn Period, ancient Chinese determined the positions of winter solstice, summer solstice, Spring Equinox and Autumnal Equinox; in Lv’s Almanac, four more solar terms appeared: the Beginning of

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Table 2.1 Correspondence between the 24 divisions and the 12 months January February March April May June

The Beginning of Spring, Rain Water The Waking of Insects; the Spring Equinox Pure Brightness; Grain Rain The Beginning of Summer, Grain Full Grain in Ear, the Summer Solstice Slight Heat, Great Heat

November

The Beginning of Autumn, the Limit of Heat White Dew, the Autumnal Equinox Cold Dew, Frost’s Descent The Beginning of Winter, Slight Snow Great Snow, the Winter Solstice

December

Slight Cold, Great Cold

July August September October

Spring, the Beginning of Summer, the Beginning of Autumn, the Beginning of Winter; in Writings of Prince Huainan-Instructions in Astronomy, a complete version of the 24 divisions could be found, whose correspondence with the 12 months is shown in the following table (see Table 2.1). The above 24 divisions fall into two categories: solar terms, such as the Beginning of Spring, the Waking of Insects and Pure Brightness, and Middle Qi (Traditionally, the 24 divisions are collectively called 24 solar terms)., such as Spring Water, the Spring Equinox, and Grain Rain. They are in radial arrangement. In calendrical calculations, the Winter Solstice is regarded as the first term while in civil use the Beginning of Spring is looked on as the beginning of year. At the outset, the 24 divisions were defined in this way: a tropical year is divided equally into 24 segments, each segment representing the length of a term and each node representing the moment of a term. At the winter solstice, the solar shadow measured with a gnomon is the longest, while at the summer solstice, the shadow is the shortest. The other divisions can be designated according to their distance from the winter solstice or the summer solstice. The 24 Qi defined in that way is called mean Qi. Later, when the nonuniformity of the apparent annual solar motion was discovered, mean Qi became inconvenient for many calendrical calculations. Therefore, true Qi, which was determined by the position of the sun on a band representing the ecliptic also marked with 24 divisions, came into use. It is thus evident that mean Qi is the temporal divisions of the solar cycle while true Qi is the spatial divisions of the same cycle. Since the solar moves in a cycle at a nonuniform velocity, each mean Qi is not equidistant nor the interval between true Qi. As early as the Sui and Tang dynasties, true Qi was discovered but prior to the Qing Dynasty, mean Qi was adopted in calendar making. From what is discussed above, we know that the length of a mean Qi is a 24th of a tropical year, or 15.2184 days and the length of a mean Qi plus a middle Qi is longer than that of a synodic month (29.5306 days), so it is likely that a synodic month has merely a Qi (a division or a middle Qi). A synodic month without a middle Qi is designated as a leap month; if the preceding month is labeled as X, then the month is called X intercalary month. This principle of intercalation has been used since the Han Dynasty.

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Reflecting the solar motion, the 24 divisions occupy almost fixed positions in the current calendar (a solar calendar).

2.2.5

Ways of Numbering the Days and the Years

There existed a special way of numbering days and years in ancient China, not profound but distinctive, widely used and frequently found in literature. This system consists of ten Heavenly Stems and 12 Earthly Branches. The former include Jia, Yi, Bing, Ding, Wu, Ji, Geng, Xin, Ren, and Gui, while the latter Zi, Chou, Yin, Mao, Chen, Si, Wu, Wei, Shen, You, Xu, and Hai. The ten stems are paired with the 12 branches to form a 60-year cycle known as 60 Stem-Branch or Ganzhi, or 60 Jiazi (see Table 2.2). Each pair of Stem-Branch is used to designate a day, for instance, if a particular day is Wuzi, then the following day is Jichou, and the preceding day Dinghai; and the day following Guihai is Jiazi, thus forming a cycle of 60 days. The complete signs for the 60 Stem-Branch system appeared as early as in the oracle inscriptions on tortoise shells or animal bones found in the ruins of the Shang Dynasty and the ever since the day of Ji-Si in February, 720 BC, the system has been in continuous use to record days. However, it remains to be proven whether the system was in continuous use prior to that year. Obviously, the Stem-Branch system, an independent calendrical system, was of great significance in chronology. As for numbering the years, a Jupiter-related method was adopted in chronology, called Sui Xing (Jupiter) Ji Nian Fa. Based on the fact that Jupiter completes an orbit in approximately 12 years, zodiacal constellations were divided into 12 parts named “twelve star orders,” which correspond to the zodiacal signs in the west. The 12 star orders are Xingji, Xuanxiao, Juzi, Xian glou, Daliang, Shishen, Chunshou, Chunhuo, Chunwei, Shouxing, Dahuo, and Ximu in proper order. (Note by the translator: The 12 star orders were named after (1) ancient Chinese celebrities, such as Xuanxiao, Shishen, and Yubo (Dahuo); (2) ancient nations and seigneurs, such as Juzi, Ximu, and Daliang; and (3) bird totems of nations in ancient South China.) Jupiter passes one star order in a year, thus the position of Jupiter in relation to the star orders can be Table 2.2 Names of years in a cycle of 60 years 0 Jiazi 1 Yichou 2 Bingyin 3 Dingmao 4 Wuchen 5 Jisi 6 Gengwu 7 Xinwei 8 Renshen 9 Guiyou

10 Jiaxu 11 Yihai 12 Bingzi 13 Dingchou 14 Wuyin 15 Jimao 16 Gengchen 17 Xinsi 18 Renwu 19 Guiwei

20 Jiashen 21 Yiyou 22 Bingxu 23 Dinghai 24 Wuzi 25 Jichou 26 Gengyin 27 Xinmao 28 Renchen 29 Guisi

30 Jiawu 31 Yiwei 32 Bing-shen 33 Dingyou 34 Wuxu 35 Jihai 36 Gengzi 37 Xinchou 38 Renyin 39 Guimao

40 Jiachen 41 Yisi 42 Bingwu 43 Dingwei 44 Wushen 45 Jiyou 46 Gengxu 47 Xinhai 48 Renzi 49 Guichou

50 Jiayin 51 Yimao 52 Bingchen 53 Dingsi 54 Wuwu 55 Jiwei 56 Gengshen 57 Xinyou 58 Renxu 59 Guihai

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used to designate the years. This way of counting the years prevailed at the turn from the Spring and Autumn Period to the Warring States Period. The correspondence between the 12 star orders and the 28 lunar mansions is shown in Table 2.3 (Such correspondence is taken from History of the Jin DynastyAnnals of Astronomy). In some classics, such as Records of the Grand Historian – Astronomy, the names of the 12 star orders were borrowed from the 12 Earthly Branches, except for in opposite orders. It is not ideal to employ the motion of Jupiter as a measurement of time, since it travels at an un-uniform velocity against the backdrop of the starry sky and worse still, it moves retrograde at times. Hence, ancient Chinese astronomers assumed that there existed a Taisui (also known as Suiyin), which traveled from east to west in an opposite direction to Jupiter at a uniform velocity. Furthermore, they divided the celestial sphere into 12 Chen’s, which were arranged in an opposite position to the 12 Star Orders and marked with the 12 Earthly Branches, namely Zi, Chou, Yin, Mao, Chen, Si, Wu, Wei, Shen, You, Xu, and Hai, which were given bizarre names, respectively: Kundun, Chife ruo, Shetige, Chan’uu, Zhixu, Dahuangluo, Dunzang, Xieqia, Tuntan, Zuo’e, Yanmao, and Dayuanxian. Covering one Chen each year, Table 2.3 Correspondence between the 12 star orders and the 28 lunar mansions

Twelve star orders Chen (Shou Xing, Virgo κ)

Twenty-eight constellations (In this column, the Arabic numerals in the bottom right corner of the lunar mansions shows the range of every star order. For example, Chen covers a range from Zhen 12oto Di 4o, and the rest can be deduced in the same manner.) Chariot 12Horn, Neck, Root 4

Mao (Dahuo, Acrab α)

Root 5Room, Heart, Tail 9

Yin (Xi Mu, Sagittarius γ)

Tail10Winnowing Basket, Dipper11

Chou (Xing Ji, Capricrnus α)

Dipper12Herdboy,Girl7

Zi (Xuan Xiao, Aguarius ε, Pegasus θ) Hai (Ju Zi, Andromeda α)

Girl8 Emptiness, Rooftop15

Rooftop16 House, Wall, Legs4

Twelve star orders Xu (Xian g Lou, Aries β) You (Da Liang, Taurus α) Shen (Shi Shen, Orion α) Wei (Chun Shou, Cancer θ) Wu (Chun Huo, Hydra μ) Si (Chun Wei, Corvus γ)

Twenty-eight constellations Legs5 Bond, Stomach6 Stomach7 HairyHead, Net11 Net12 Turtle, Three Stars, Well 15 Well16 Ghost, Willow 8 Willow9 Star, Extended Net 16 Extended Net17 Wings, Chariot 11

Note: the correspondence between the 12 star orders and the constellations were taken from a paper Discussion on the Meaning and Origin of the Names for the Twelve Star Orders in China by Li Weibao, Chen Jiujin

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Taisui could be used to count the years in accordance with its motion. This way of counting the years is referred to as Taisui chronology (or Suixing chronology). Jupiter completes its orbit in a period of 11.86 years, so after 84 years, its actual position would precede its calculated position by one star order. Consequently, Taisui chronology would not conform to the actual celestial phenomena over ages. For instance, in the year of Dahuo according to Suixing chronology, Jupiter itself had already been in the place of Xi Mu, which would apparently cause great confusion. That was why Suixing chronology were gradually replaced by Stem-Branches Annals. Around 104 BC (the first year of Emperor Wu’s reign period in the Western Han Dynasty), Suixing chronology and Stem-Branch chronology were both in use, but after 54 AD (the 30th year of the reign of Emperor Guangwu in the Eastern Han Dynasty) , the former was eliminated and replaced by the latter. Similar to the Stem-Branch system of counting days, the Stem-Branch chronology is also based on the 60-year cycle of ten stems, known also as Suiyang, and 12 branches, known as Suiyin. The ten Sui Yang Jia, Yi, Bing, Ding, Wu, Ji, Geng, Xin, Ren, and Gui are also given proper names: Yanfeng, Zhanmeng, Rouzhao, Qiangyu, Zhuyong, Tuwei, Shangzhang, Chongguang, Xuanyi, and Zhaoyang while the 12 Suiyin, namely Zi, Chou, Yin, Mao, etc. are named after the 12 Chen. It follows that the year of Jiazi can be called Yanfeng Kundun while the year of Xinhai, Chongguang Dayuanxian. Independent of celestial phenomena, the Stem-Branch chronology can be used cycle after cycle, like the Stem-Branch system of counting days. In the history of ancient China, reign titles saw frequent changes, and in case of regime changes, calendars saw frequent reforms too. Despite this, the dates of the events in history caused no confusion at all, just due to the fact that ancient Chinese never ceased to use the two independent timekeeping systems.

2.2.6

Month Names, Earthly Branch Month Names, and Different First-months in Three Calendars

In ancient China, a common approach to naming the months was to draw upon ordinal numbers, such as the first month (January), also named Zhengyue (lunar January), the second month (February), the third month (March). In terms of seasons, the first to third months constitute spring, the fourth to sixth summer, the seven to ninth autumn, and the tenth to twelfth winter. Thus, the 12 months were also referred to as early spring, mid-spring, late spring, early summer, mid-summer, late summer, early autumn, mid-autumn, late autumn, early winter, mid-winter, and late winter. The12months were named in another different way in the pre-Qin period, and according to Book on the Seasonal Variation and Weather (Er’ya Shitian), they were respectively Zou, Ru, Bing, Yu, Gao, Qie, Xiang, Zhuang, Xuan, Yang, Gu, and Tu, and similar names can be found in silk books of the State of Chu, which were excavated in the ancient tombs of the Warring States in a small place called Zidanku, east of the city of Changsha.

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Matched with the 12 Earthly Branches, the months were also named by ancient Chinese as the months of Zi, Chou, Yin, and so on. So came the concept of Yuejian (月建, the names of the months). One story has it that ancient people attached great importance to the designation of the first month of year (lunar January), which was the month of Zi in the Zhou Dynasty, Chou in the Yin Dynasty, and Yin in the Xia Dynasty, collectively called “different first-months in three calendars.” In the three calendars, four seasons included different months due to the fact their first month varied. In the Zhou calendar, spring comprised Zi, Chou, and Yin, Summer Mao, Chen, and Si, autumn Wu, Wei, and Shen, and winter You, Xu, and Hai. In the Yin calendar, spring comprised Chou, Yin, and Mao, summer Chen, Si, and Wu, autumn Wei, Shen, and You, and winter Xu, Hai, and Zi. In the Xia calendar, whereas, spring consisted of Yin, Mao, and Chen, summer Si, Wu, and Wei, autumn Shen, You, and Xu, and winter Hai, Zi, and Chou. As Yuejian had a fixed correspondence relationship with solar position or fixed climate, the different first-months in the three calendars corresponded to different seasonal climate. In the Spring and Autumn Period and the Warring States Period, the calendric systems were not unified, so the different first-months were likely no more than a reflection of such a unification, rather than the real calendric systems in use. As Confucius remarked, “In order to investigate into the rites in the Xia Dynasty, I made a journey to the state of Qi, the fief to the posterity of Xia Yu. Though I did not collect as much document on Xia rites as I had expected, I was fortunate enough to have obtained the Xia calendar (Book of Rites-Evolutions of Rites) on my journey.” From the cited few lines, we can see that Xia calendar was in use in Qi and we should distinguish the three calendars while reading classics from the pre-Qin period. Around 221–210 BC, when the first Emperor of Qin (259–210/209 BC) unified China, the month of Hai was designated as January, but it was not called first month, and the matches between seasons and months were the same as they were in the Xia calendar. In 104 BC (the first year of Emperor Wu’s reign period in the Western Han Dynasty), the Taichu calendar was brought into effect, in which the month of Yin was stipulated as the first month and the Xia calendar was in effect. Later in the history of China, the Xia calendar was in constant use, except for the reign-period of Wang Mang and later that of Emperor Xiao Ming of Northern Wei, when the Yin calendar was adopted and whereas, in the reign-period of Empress Wu Zetian and Emperor Su Zong, the Xia calendar was in use except that the Zhou calendar was also adopted for a short period. The current lunar calendar, which is in use along with the Gregorian calendar, is none other than the Xia Calendar.

2.2.7

Chronometry

The day is a basic timekeeping unit in calendric system, but it is quite essential to further divide it into smaller units to meet various needs in life, such as setting an appropriate time for a sacrificial ceremony, timing a celestial phenomenon, or setting a time for a military assembly.

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The oracle inscriptions on tortoise shells or animal bones found in the ruins of the Shang Dynasty showed that in that period the day was divided into the following sub-units: Moments of Dan (daybreak), Dacai, Dashi, Zhongri (midday), Xiaoshi, Xiaocai, Mu (dusk), etc. The Rites of Zhou recorded many official posts related to time control, such as Summer-timekeeping official qie hu shi’s “holding water clock to make military wells,... keeping them by fire and water, thus dividing the day and the night.” Autumn-timekeeping official si wu shi “being responsible for telling the time during the night according to the positions of the stars” and so on. These data show that ancient people mastered the method of using water clock for time measurement and that not only the day was divided but also the night and that administrators were nominated to tell the time and a system of time-telling came into being. The Commentary of Zuo-the Fifth Year of Emperor Zhaogong (537BC) recorded that “In a day there are ten periods.” History of the Sui Dynasty-Astronomy said that “The day constitutes Zhao 朝, Yu 禺, Zhong 中, Bu 哺 and Xi 夕 and the night Jia, Yi, Bing, Ding, and Wu. Huai Nan Zi-Astronomy further divided the day into fifteen periods: Chenming (晨明 dawn), Feiming (胐明 sunshine), Danming (旦 明 morning), Zaoshi (蚤食 breakfast time), Yanshi (宴食 feast), Yuzhong (隅中 toward noon), Zhengzhong (正中 noon), Xiaohuan (小还 early afternoon), Pushi (铺 时 mid-afternoon), Dahuan (大还 late afternoon), Gaochong (高舂 toward dusk), Xiachong (下舂 sunset), Xuanche (悬车 stop work), Huanghun (黄昏 toward evening), and Dinghun (定昏 evening). The above-mentioned names of time primarily reflected people’s activities during the day, beginning from daybreak and finishing at dark. The night was spent resting. For civil use, it is not quite essential to divide night hours further. Nevertheless, for a complete chronometry, night time should be divided as detailed as daytime. In essence, as the civil timekeeping system occurred, two relatively mature chronometries also came into existence, namely 12-earth-chronometry and 100 units of chronometry, two independent timekeeping systems. The 12-earth-chronometry, evenly divided the 24 hours into 12 parts, one part being a two-hour unit represented by one of the 12 earthly branches. The first two-hour unit around midnight was designated as the start of a day, which was a result of astronomical advance compared with the past practice of regarding daybreak as the beginning of a day. Thus the 12-earth-chronometry has something to do with astronomical purposes. In contrast, 100 units of chronometry is used for a water clock, in which a floating arrow with a hundred bars indicates the time accurately, thus a day and night is evenly divided into 100 units. The 12-earth-chronometry, though with less accuracy, conforms to astronomical practice, while 100 units of chronometry, though unsuitable for astronomy and calendars, has improved accuracy. Therefore, they are not inter-replaceable with each other. That is why they are both in practical use. Apparently, with no simple multiple relationships between 12 and 100, the two systems cannot be simply interchangeable. There were times in history when reforms were made about 100 units of chronometry. For instance, 120 units was adopted in the reign period of Emperor Ai of Han and that of Wang Mang, though lasting a short time, and in the reign of Emperor Liangwu, 96 units and 100 units were successively used, the

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Table 2.4 Correspondence between 12-earthly chronometry and 24 hours 12-earthly chronometry Zi period Chou period Yin period Mao period Chen period Si period

24 hours 23:00~1:00 1:00~3:00 3:00~5:00 5:00~7:00 7:00~9:00 9:00~11:00

12-earthly chronometry Wu period Wei period Shen period You period Xu period Hai period

24 hours 11:00~13:00 13:00~15:00 15:00~17:00 17:00~19:00 19:00~21:00 21:00~23:00

former effective for 37 years and the latter 16 years. It was not until late Ming Dynasty when western astronomy was introduced into China and the 24-hour chronometry was adopted that 96 units of chronometry was brought forward again and later formally used in the Qing period. Those who attempted to make reforms about chronometry tended to be blamed for “violating conventional practice left by ancestors,” so ancient Chinese came up with several mediations matched with 12-earth chronometry. For example, they allowed a two-hour period to contain an unequal number of ke (unit), dividing every ke into 60 fen, thus making a two-hour period equal to eight ke and 20 fen. In addition, in calendric calculations, every calendar has its own particular divisions. The 12-earthly chronometry, in which the middle of the Zi period was designated as midnight, has the following correspondence with the modern chronometry of 24 hours, as shown in Table 2.4. From the Song Dynasty on, every two-hour period was divided into two parts, Chu and Zheng, for example the Chu of Zi period ¼ 23:00~24:00, the Zheng of Zi period ¼ 0:00~1:00. Each of the two parts make up half of the two-hour period, called a “Xiao Shi.” Thus, every hour contained 4 16 quarters and there are four sharp quarters and the remaining one-sixth was fractional part.

2.3

Typical Content and Fundamental Problems of Calendars

2.3.1

Framework of Typical Calendars

The ancient Chinese calendars had as their central research topics studying and grasping the precise characteristics of motion of the sun, the moon, and five planets, with the Santong calendar as a typical example in terms of framework and layout. The Taichu calendar was the first calendar to have left part of its calculations, but its complete mathematical text does not survive until today. Considered to be an adapted version of the Taichu calendar, the Santong calendar can be well regarded as a representative of early calendars and serves as an example for later calendars to follow in terms of structure and content. According to History of the Han DynastyAnnals of Calendars, the Santong calendar consists of six chapters:

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1. Tong Mu. This chapter lists altogether 87 calendrical constants which are used in the following chapters. 2. Wu Bu (Motional stages). This chapter describes the law of apparent motion of the five planets, classifying planetary synodic period into six stages, “Chen Shi Xian” (first appearance in the east), “Shun” (prograde motion), “Liu” (stillness), “Ni” ( retrograde motion), “Fu” (concealment), “Xi Shi Xian” (first appearance in the west) and stating the duration, average, velocity, etc. at each stage. 3. Tong Shu. This chapter calculates the first day of the month, divisions, lunar eclipses, and other items concerning solar and lunar motion. 4. Ji Shu. The determination of the position of the planets on a given day. 5. Sui Shu. The determination of Taisui Annals, the correspondence between the 12 star orders and the 24 divisions and star-distance between 28 constellations. 6. Shi Jing. This chapter gives information about the reign periods of the emperors from remote ages to the end of the Western Han Dynasty, applying calendar to historical chronology. It can be seen that the Santong calendar developed a preliminary framework of research content. By the time of the Dayan calendar, it was so developed that it became a monumental work of the time and a good example that later calendars followed. It made improvements and adjustments to foregoing calendars in terms of content and structure and is recorded in both Old Book of Tang-Annals of Calendars III and New Book of Tang-Annals of Calendars IV. The calendar contains seven parts: Part 1 “Bu Zhong Shuo” (On the year and month), containing six sections. This part deals with different phases of the moon: the new moon, the full moon, crescent, and topics like Mo and Mieri. Part 2 “Bu Fa Lian” containing five sections. This part deals with topics such as the 72 climates, the 64 Diagrams, and the 5 elements. Part 3 “Bu Ri Chan” (On the solar motion), containing nine sections. This part is devoted to the solar apparent motion. Part 4 “Bu Yue Li” (On the lunar motion), containing 21 sections. This part is devoted to the lunar apparent motion. Part 5 “Bu Gui Lou” (On timekeeping devices), containing 14 sections. This part deals with various topics related to time service. Part 6 “Bu Jiao Hui” (On eclipses), containing 24 sections. This part deals with solar and lunar eclipses and so on. Part 7 “Bu Wu Xing” (On the five planets), containing 24 sections. This part deals with the apparent motion of the five planets, which was far more advanced than the “Wu Bu” in the Santong calendar in terms of its theoretical depth and research methods. The research scope of the Dayan calendar remains restricted to the sun, the moon, and five planets, aiming to provide methods of calculating their position at any given time. As time progressed to the Yuan Dynasty, Guo Shoujing’s Time-telling calendar

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studied the same central topics as the Dayan calendar and made few changes in content and form of expression despite its major reforms, such as completely abolishing the calculating the Shangyuan Jinian and adopting actual measurement data. The Time-telling calendar consists of seven volumes of Calculations, two volumes of Licheng (ready-reference astronomical tables) and three volumes of Liyi (Comments on calendars). History of the Yuan Dynasty · Annals of Calendars adapted the Time-telling calendar into two volumes of Time-telling Liyi and two volumes of Time-telling Lijing. The latter consists of the seven parts as listed above. In the late Ming Dynasty, Western astronomy was first introduced into China and culminated in the compilation of Chongzhen Reign Treatises on Calendrical Astronomy (Chongzhen Lishu). This book consists of five parts. The first part “Fa Yuan” (Astronomical theory) introduces fundamental astronomical theory. The second part “Fa Shu” (Astronomical mathematical tables) provides various astronomical mathematical tables. The third part “Fa Suan” (Astronomical calculation) introduces basic mathematical methods in astronomical calculation, mainly trigonometrical and geometrical knowledge. The fourth part “Fa Qi” (Astronomical devices) introduces knowledge about astronomical devices. The fifth part “Hui Tong” (Conversion tables) introduces tables of conversion between Chinese and Western measurements. The compilation embodies obvious influence from western astronomy and particularly the practice of sorting out astronomical theory from concrete calculations, which is quite typical of traditional western science.

2.3.2

The Apparent Motion of the Sun

Many of the above typical items of calendrical calculations are related to the sun. A precise grasp of the solar apparent motion is a fundamental subject of ancient calendrical science. Prior to the Sui Dynasty, Chinese people had a simple knowledge of the apparent motion of the sun, believing that the sun embarks on its journey from a certain point on the ecliptic and completes its journey in a tropical year and returns to its starting point again. The length of a tropical year has different values in different ancient Chinese calendars (see Table 2.5, which provides different values of a tropical year in some significant Chinese calendars). According to ancient Chinese astronomy, the sun travels 1 du in a day, so the du of the celestial circle is equal to the length of a tropical year. In ancient Chinese calendrical science, the winter solstice was regarded as the starting point of the tropical year, so the exact determination of the winter solstice became the key to measuring the length of the tropical year. Ancient Chinese used the gnomon to measure sun-shadow to determine the exact winter solstice since at the noon of the winter solstice the gnomon shadow was the longest in a year, but the noontime was not necessarily the exact winter solstice. The length of the tropical year in early calendars could not achieve great accuracy until the time of Zu Chongzhi, who came up with an ingenious method of determining the winter solstice:

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Table 2.5 Length of a tropical year and that of a synodic month in some significant ancient Chinese calendars

Calendar name Taichu calendar Quarterremainder calendar Qianxiang calendar Sanji calendar Yuanjia calendar Daming calendar Zhengguang calendar Huangji calendar Linde calendar Dayan calendar Xuanming calendar Yingtian calendar Chongtian calendar Jiyuan calendar Huiyuan calendar Time-telling calendar Shixian calendar

Author(s) Deng Ping, et al Bin Xin, et al

Year of publication 104BC

Length of a tropical year (day) 365.250 1624

Length of a synodic month (day) 29.530 864 2

85

365.250 000 0

29.530 851 1

Liu Hong

206

365.246 180 0

29.530 542 2

Xian g Ji He Chengtian Zu Chongzhi Zhang Longxiang Liu Zhuo Li Chunfeng Yi Xing Xu Ang

384 443 463 518

365.246 838 0 365.246 710 5 365.242 814 8 365.243 729 4

29.530 595 4 29.530 585 1 29.530 591 5 29.530 592 9

604 665 728 822

365.244 543 7 365.244 776 1 365.244 407 8 365.244 642 8

29.530 595 8 29.530 597 0 29.530 592 1 29.530 595 2

Wang Chune Song Xinggu

960 1024

365.244 451 1 365.244 570 3

29.530 593 9 29.530 594 9

Yao Shunfu Liu Xiaorong Guo Shoujing

1106 1191 1281

365.243 621 4 365.243 720 9 365.242 500 0

29.530 589 8 29.530 594 3 29.530 593 0

Tang Ruowang

1644

365.242 187 5

29.530 593 0

On October 10, the noon sun shadow measured 1077.50 fen (1 fen ¼ 1/3 cm), and on November 25 1081.75 fen (0.75 fen is called tai (minimum) in ancient Chinese 1 1 mathematics)., and on November 26 1075 12 (12 fen is called qiang (maximum) in ancient Chinese mathematics). Take an average and it can be known that the winter solstice should be on November 3. The determination of the winter solstice moment: subtract the numerical values of the noon sun shadows on November 25 and 26, and the D-value is obtained (i.e., 1081.75-1075.08 ¼ 6.67fen). Double it and use the value as the divisor; subtract the numerical values of the noon sun shadows on November 25 and October 10, and D-value is 4.25 (i.e., 1081.75-1077.50 ¼ 4.25 fen). Multiply this value with 100 ke, and this is used as the dividend fen100ke ¼ 31.86 ke). The result shows that the winter solstice moment is (i.e., 4:256:67fen2 31 ke after midnight (The History of the Song Dynasty – Annals of Calendars). The principle of the method is shown in Fig. 2.1. A stands for the date of the first measurement, and a is the length of the first measured sun-shadow; B stands for the

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Fig. 2.1 Zu Chongzhi’s method of calculating the winter solstice moment

date of the second measurement, and b is the length of the second measured sun-shadow; C stands for the date of the third measurement, and c is the length of the third measured sun-shadow. D, the midpoint of A, B, is the date of the winter solstice, and E is the time of the winter solstice. With Zu Chongzhi’s method, the length of DE, namely the distance of E from the starting point of the winter solstice, can be determined by a, b and c, and b and c must be measured data on two neighboring days. In effect, Zu Chongzhi’s train of thought gave tacit consent to the idea that the sun-shadows around the noon were symmetrical and that they took on linear changes. Thus, we can suppose that between B and C there exists an imaginary moment A1, and its corresponding imaginary sun-shadow is a1. Let’s make a1 ¼ a. E is the midpoint of segment AA1, and the corresponding imaginary sun shadow is the longest, representing the moment of the winter solstice. It is not difficult to prove: 1 DE ¼ BA1 2 and based on the assumption that sun shadows took on linear changes, we know

Thus:

The above formula is modern interpretation of Zu Chongzhi’s train of thought as to the calculation of the winter solstice. After he proposed this method, calendar makers of later generations mostly adopted similar methods to determine the length of the tropical year, thus making its accuracy greatly improved. Nevertheless, there were errors with the length of the tropical year measured with this method as the assumptions about symmetry and linearity were not strictly established. Just as the determination of the winter solstice is crucial to that of the length of the tropical year, the determination of the position of the sun in the heavens at the time of the winter solstice is crucial to many other calendrical calculations. In early times, astronomers determined the position of the sun by observing the star right in the south heavens at dusk, specifically speaking, by observing the star on the south meridian line at dusk. The Taichu calendar designated the winter solstice as Altair Chudu based on pre-Qin literature. For quite a long time, Altair Chudu was a

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synonym of the winter solstice point. After A Quarter-remainder Calendar of the Later Han Dynasty was issued, the calendars had a dispute regarding the winter solstice point, some believing that it had regressed into Dipper. By the time of the Eastern Jin Dynasty ( 317–420 AD), astronomer Yu Xi brought forward the concept of precession, that is, the position of the sun at the winter solstice was a little bit westward year by year, approximately one degree westward in 50 years (The New Book of Tang-Calendars 3). Although the precession value put forward by Yu Xi was a rough value, which should be one degree of precession every 71.7 years to our knowledge, the concept was of vital importance. Yu Xi’s discovery, however, did not produce immediate effect on later calendars. In the Later Qin Dynasty Xiang Ji designed a method of observance at middle of the lunar eclipse to determine the position of the sun on the winter solstice, concluding that it was at 17 degree in the constellation Dipper and making it a fixed law. He deemed the solar-position data in previous calendars a result of inaccurate measurement, the equivalent of denying precession. Another astronomer, He Chengtian, also held the same opinion when he made his Yuanjia calendar. Nevertheless, in the Ming Dynasty, astronomer Zu Chongzhi introduced the concept of precession, asserting that “the position of the sun on the winter solstice slightly varies from year to year.” Thus, he brought the constant of precession into calendrical calculations. Nevertheless, as it progressed into the Tang Dynasty, when Li Chunfeng made his Linde calendar, he negated precession once again, claiming that “the winter solstice is at 12 du in the constellation Sagittarius and there exists no difference in its position from year to year.” This was described as “a slip of a wise man” in Chou Ren Zhuan (Biographies of Astronomical Mathematicians). It was not until the time of Yi Xing’s Dayan calendar that precession was officially confirmed and from then onwards, no relapses occurred. Crucial as the determination of the winter solstice, the position of the sun on the winter solstice, the length of the tropical year and others to a correct depiction of the solar apparent motion, the discovery of nonuniformity of the apparent annual solar motion was a remarkable step forward in both the description of such motion and calendrical calculations. Early calendars had deemed the apparent annual motion of the sun as uniform circular motion before Zhang Zixin in the Northern Qi Dynasty proposed the idea of nonuniformity. As is recorded in The History of the Sui Dynasty-Annals of Astronomy, in late Northern Wei Dynasty (386–534 AD), there lived a learned scholar in Qinghe County (in present-day Hebei Province) named Zhang Zixin, who was especially proficient in calendrical mathematics. During the peasant uprising led by Ge Rong, he took refuge on an island, where he lived for over 30 years, devoted to astronomical study. He made a celestial globe to observe the motion of the sun, moon, and five planets and had astronomical calculations. From his measured data, he discovered that both the sun and the moon travel at a nonuniform velocity and that the five planets move in their orbits sometimes slow and sometimes fast. The first calendar to have made calculations regarding inhomogeneity correction of the apparent annual motion of the sun was Liu Zhuo’s Huangji calendar, where he provided a table, known as “Table of the solar motion,” of inhomogeneity arranged

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according to divisions. In the calendars that followed, the table became an indispensable part of the determination of the apparent motion of the sun and its introduction greatly improved the accuracy of many other items in calendrical calculations. Firstly, it improved the accuracy of calculations of the solar positions, and then improved that of the synodic month, thus greatly improving the accuracy of ecliptical calculations. Besides, the rectification of the nonuniformity of the annual solar apparent motion was also beneficial to the accuracy in calculating the apparent motion of the five planets.

2.3.3

The Apparent Motion of the Moon

The moon’s apparent motion is very complex with more obvious nonuniformity. Hence, the discovery of the moon’s nonuniform motion was approximately 500 years ahead of that of the sun’s. In ancient Chinese calendar, the mastery and description of the moon’s apparent motion is mainly manifested in the understanding of its several cycles, namely, synodic month, sidereal month, anomalistic month as well as draconic month. As a most conspicuous celestial body in the night sky, the moon is most noticeable for its periodic changes in phases. One such periodic change is called a synodic month, from the new moon to the full moon and vice versa. At the moment of the new moon, the moon travels close to the sun or exactly speaking, the geocentric longitude of the moon is equal to that of the sun; at the moment of the full moon, the two celestial bodies stand on the ecliptic far apart facing each other, that is, their ecliptic longitude are 180 du apart. The new moon, therefore, is invisible to us and the full moon is the brightest of all phases. The two days that respectively encompass the moment of new moon and that of full moon are customarily called Shuo and Wang. In actual fact, on the preceding and following days of new moon, the moon remains invisible too. On the dusk of the next day, the moon, which is shaped like a thin curved eyebrow, turns up in the western sky. This day was referred to as Fei (meaning the moon coming out) in ancient China. It was not until later times that the new moon was designated as the start of the synodic month. Pre-Qin literature shows that it is likely that Fei was regarded as the beginning of the month. In bronze inscriptions of the Western Zhou Dynasty could be found some terms used to describe phases, such as Chu Ji, Ji Sheng Ba, Ji Wang, and Ji Si Ba. Their exact meanings, however, remain to be further discussed. Due to the complexity of the lunar movement and the fact that the synodic month is not a constant in its strict meaning, the length of the synodic month that was calculated based on perpetual observance was merely an average value, and the new moon and the full moon thus calculated are called Pingshuo and Pingwang. Li Fan and Su Tong of the Eastern Han Dynasty brought forward the idea of the moon’s nonuniform motion and Zhang Zixin of the Northern Qi Dynasty discovered the phenomenon of the sun’s nonuniform motion. Hence, on the basis of Pingshuo and Pingwang rectification was made as to the nonuniformity of the solar and lunar motion, thus moments of real new moon (Dingshuo) and real full moon (Dingwang)

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were obtained, the interval between which was the real length of the synodic month, which, however, varies from month to month. The synodic month generally refers to the average value. In ancient Chinese calendars, the average length of the synodic month and that of the tropical year were two basic parameters. In the calendars preceding the Linde calendar, the two were not independent of each other but interconnected via the cycle of the intercalary months. The cycle in early times was seven intercalary months in every 19 years. Thus, the length of the synodic month could be calculated on the basis of that of the tropical year. Let’s take A Quarter-remainder Calendar of the Later Han Dynasty for example. According to the calendar, the length of the tropical year was 365 14 days, then 1 synodic month ¼

19 tropical years 19  365 14 days 499 ¼ days ¼ 29 19  12 þ 7 940 235

and vice versa, namely, suppose the length of the synodic month was given, the length of the tropical year could be calculated via the cycle of intercalary month. This approach, binding the calculation of synodic month and that of the tropical year via the cycle of intercalary months, was fundamentally flawed, since they were parameters that could be measured independently and by using this formula, measurement errors could be passed on. In addition, with the cycle of 7=19 being an approximate value, the precision of the length of the synodic month would unavoidably lead to the inexactness of that of the tropical year and vice versa. Fortunately, later calendar makers noticed this flaw and some breakthroughs were made in this aspect. Zhao Fei in the Northern Liang Dynasty proposed a new cycle of 221=600 and Zu Chongzhi went a step further by bringing forward a cycle of 144=391. In practice, the length of the synodic month and that of the tropical year can be measured in an independent manner and the two have no simple integral multiple relationship. The establishment of the cycle of intercalary months is therefore superfluous. That is why new attempts in this regard were no longer made in ancient Chinese calendars from the Linde calendar on. The synodic month is in effect the cycle of motion with the sun as object of reference. The cycle of lunar motion measured with stars as the backdrop is called the sidereal month. The ancient Chinese calendars tended not to give the value of the sidereal month directly. Instead, they provided the du that the moon covers in a day in the backdrop of stars in the form of “the daily du covered by the moon.” Hence, the sidereal month can be calculated through the following formula: 1sidereal month ¼

degrees of revolution of the moon daily degrees of the lunar motion

Due to the nonuniformity of the lunar motion, the position of the moon calculated according to its daily motion was not identical to its real position. Li Fan and Su Tong in the Eastern Han Dynasty pointed out that in the apparent lunar motion there existed a point where it travels fastest, which was named Ji Chu, namely perigee (the point in the moon’s orbit when it is closest to the earth) in modern astronomy, and

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that this point moved three du forward monthly and three years later the moon returned to this point again. Because of perigee moving forward, the anomalistic month, the interval between the moon’s two successive returns to perigee, is slightly longer than the sidereal month, the average period of revolution of the moon around the earth with respect to a fixed star. The apparent lunar motion is fundamentally symmetrical relative to perigee, so the table of lunar motion is arranged in accordance with perigee. Lastly, the moon’s path has two intersections with the ecliptic: ascending node and descending node. The mean time taken by the moon between successive passages through is called draconic month. Due to the regressing of the nodes in the moon’s orbit, the draconic month is smaller than the sidereal month. The concept of the draconic month was first proposed by Liu Hong in his Qianxiang calendar. Solar and lunar eclipses are bound to occur near the nodes, so draconic month plays a vital role in the calculations of eclipses.

2.3.4

Solar and Lunar Eclipses

One of the important goals in the exploration of the apparent motion of the sun and the moon in ancient Chinese calendars was to accurately predict the moments of solar and lunar eclipses. A solar eclipse is bound to occur at New Moon while the latter at Full Moon. In determining eclipses, the first step is to determine the moment of real New Moon and that of real Full Moon. The stages are roughly as follows: First, from the length of the mean synodic month, determine the moments of the new moon and full moon, starting from the Lantern Festival and the average moments of new moon and full moon. Then, determine the location of the new moon or full moon in an anomalistic month, namely, the period between the new moon or full moon and the perigee. Next, based on the table of lunar motion, determine the correction value of the average new moon or full moon relative to the real new moon or full moon. Finally, add the correction value to the average moments of new moon or full Moon to get the moments of the real new moon and full moon. After that, roughly four stages are essential to predict solar or lunar eclipses. Firstly, judge whether the sun or moon enters the ecliptic limit. Eclipses occur near the intersection between the ecliptic and the moon’s path. The first step to predict a lunar or solar eclipse is to judge whether the sun and moon come near the intersection at New Moon or full Moon. Ancient Chinese calendars considered half the difference between the synodic month and the draconic month as ecliptic limit. If we substitute the values with their present measurements, we can get the result of ecliptic limit, 1.159 185 days, which is multiplied by the daily du of the lunar motion (13. 368 75 du) to get 15.50 du. Thus, we can predict whether a lunar or solar eclipse will occur by calculating whether the du of the moon departing from the intersection is smaller than the ecliptic limit at New Moon or Full Moon. The position of the moon observed from the earth is the apparent position, so parallax correction must be made in order to determine its real position. The effect of parallax in eclipse determination was called Shi Cha in ancient Chinese calendars. Yi

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Xing initiated the method of calculating Shicha in his Dayan calendar. Then, the result of Shicha was used to correct the degree value that the moon moved away from the intersection. If the final result was smaller than the ecliptic limit, then an eclipse would happen. The next step was to calculate how much the sun’s surface or the moon’s surface was covered, namely the magnitude of eclipse. In ancient astronomy, 15 was taken as the full magnitude of eclipse, then a full eclipse would measure 15. Calculation of degree obscuration after the Sui and Tang dynasties was comparatively complex: in the case of a solar eclipse, what needed to be taken into account were whether the moon happened to lie south or north of the ecliptic and various corrections caused by such factors as parallax. Then, eclipse duration was to be determined. Ancient Chinese calendars recorded the methods of determining the moments of the three or five limits of solar and lunar eclipses. The three limits were the hours of Chukui (eclipse beginning or first contact), Shishen (middle of an eclipse), and Fuyuan (partial eclipse ends or fourth contact) and the five limits were Chukui, Shiji (second contact), Shishen, Shengguang (total eclipse ends), and Fuyuan. Some calendars also incorporated items such as the determination of the initial point of an eclipse, the positions of the sun and moon in time of an eclipse occurrence, and the areas where an eclipse could be observed. Lastly, it is necessary to note that the above was a general summary of how ancient Chinese calendars determined the moments of eclipses but in effect each of them varied in their specific methods. What they had in common, however, was that their makers were doing their utmost to determine and predict eclipses as precisely as possible.

2.3.4.1 The Apparent Motion of the Five Planets With stars as the backdrop, the five planets have comparatively complex movement locus and it was a significant part of ancient Chinese calendars to describe the motion of the five planets as accurately as possible. Observed from the earth, the orbits of the five planets around the sun are some complex curves. For the most part, the planets travel from west to east against the backdrop of stars, which motion is called the prograde motion of the planets. For some time, the planets travel from east to west, which motion is called the retrograde motion. At moments of the planets changing their motion from prograde motion to retrograde motion or vice versa, they will slow down and even at one point keeps still, which state is called Liu (stillness). When they travel to somewhere near the sun, they become invisible, which state is called Fu (concealment). The durations of these states of motion and some others constitute the converging periods of the planets. Apparently, due to their varying distances from the sun, the five planets have different converging periods (see Table 2.6). In the following converging period, the planets are repeating their apparent motion in the previous period. In this way, by observing the motion of the planets in sufficient number of converging periods and calculating the overall time consumed and the average days of a converging period, ancient Chinese astronomers were able to get relatively precise converging periods of the five planets.

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Table 2.6 Converging periods of the five planets in some ancient Chinese calendars (days) Calendar name Taichu calendar Quarter-remainder calendar Qianxiang calendar Yuanjia calendar Daming calendar Zhengguang calendar Huangji calendar Linde calendar Dayan calendar Xuanming calendar Yingtian calendar Jiyuan calendar Huiyuan calendar Time-telling calendar Shixian calendar

Year of Issuance 104BC 85

Jupiter 398.7064 398.8459

Mars 780.5253 779.5324

Saturn 377.9355 378.0595

Venus 584.1298 584.0241

Mercury 115.9101 115.8813

206 443 463 521

398.8801 398.8726 398.9031 398.7888

779.4849 779.7193 779.0308 779.8429

378.0799 378.0797 378.0698 378.0563

584.0214 583.9573 583.930 9 583.850 0

115.8830 115.8815 115.879 7 115.871 6

604 665 728 822 960 1106 1191 1281

398.8823 398.8683 398.8747 398.8739 398.8858 398.8861 398.8846 398.8800

779.8987 779.9109 779.9355 779.9280 779.9200 779.9297 779.9294 779.9290

378.0892 378.0771 378.092 1 378.0809 378.0803 378.0917 378.0917 378.0916

583.9166 583.9172 583.891 5 583.9102 583.8994 583.9028 583.9028 583.9026

115.8778 115.8796 115.8815 115.8798 115.8800 115.8763 115.8761 115.8760

1644

398.8832

779.9351

378.0923

583.9199

115.8772

One noteworthy thing here is that the retrograde motion of the five planets was not noticed very early. According to History of the Sui Dynasty-Annals of Astronomy, “In early calendars, the five planets made prograde motion only and it was not until the Qin Dynasty that the retrograde motion of Venus and Mars were found recorded. At the time of Gan and Shi, they made some further discoveries. From the astronomical and meteorological observations made in the Han Dynasty, people came to know that retrograde motion occurred to all the five planets.” According to the 30th volume of Book on Astronomy by Gautama Siddhartha (Kai Yuan Zhan Jing), Gan De stated, “Planet Yinghuo (Mars) follows such a pattern of motion: after it rises in the east, Mars travels eastward for 16 She (1 She ¼15kilometers) and then it stops to travel retrograde for 1.5 She.” The book also cited Gan, “Mars moves retrograde in a way like a Chinese character ‘巳’.” Chi Meng in the Eastern Han Dynasty explained that “the motional locus of the planet is like the character ‘巳’.” It follows that as early as the time of Gan De ancient Chinese discovered Liu (stillness) and retrograde motion of the planets, especially in the apparent motion locus of Mars. Sima Qian, in his Records of the Grand Historian-Astronomy, remarked, “Since the Han Dynasty, predestination has been paid much attention to by astronomers. Tang Du was especially good at telling predestination by observing stars, Wang Shuo, by observing the six factors in nature (wind, cold, summer heat, humidity, dryness and fire) and Wei Xian by observing Sui Xing (Jupiter). Hence, according to Gan and Shi’s theory of the motion of the five planets, Ying Huo (Mars) alone travels retrogradely; its retrograde motion is normal, so divination need not be practiced as

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to the phenomenon. Nevertheless, if during its retrograde motion, it keeps still somewhere, divination should be practiced. Gan and Shi’s calendar does not record the retrograde motion of the other four planets, but if such motion occurs, divination should be practiced about the phenomenon. Divination should also be practiced in the event of the sun’s and the moon’s Bo (becoming dim) and Shi (no eclipse occurs despite the fact that the three happen to be in a line).” This remark shows that Gan and Shi did discover the retrograde motion of the planets, but that retrograde of Mars was seen as normal while that of the other four planets and Bo and Shi were deemed as “abnormal” and therefore should be divination. In accordance with the principle of astrology, divination should be based on what is abnormal rather than what is normal. Sima Qian also stated, “I studied Records of the Grand Historian and did some astronomical research, I found that the five planets all make retrograde motion after they rise in the east and during their retrograde motion, their appearance seems to change. It is normal that in time of Bo and Shi, the sun and moon lie south and north of the earth respectively. Among the constellations of the lunar mansion, most conspicuous are these five: Zi Gong, Fang Xin, Quan Heng, Xian Chi, and Xu Wei. Varying in size, they are the mansions of the officials in heaven. They form the longitude of the heaven. The five planets, Jupiter, Mars, Saturn, Venus and Mercury, form the latitude of the heaven. Their appearance and disappearance follow a certain pattern.” This citation shows that at the time of Sima Qian, astronomers were well aware that retrograde motion occurs to all the five planets and follows some pattern. All in all, retrograde motion is quite normal for the five planets. Records of the Grand Historian-Astronomy gave a clear description of the retrograde motion of Jupiter, Mars, Saturn, and Venus: Jupiter: Jupiter’s motion can be determined by observing the motion of the sun and moon. . . . After it rises, Jupiter travels eastward for 12 du for a hundred days, and then it stops to travel retrograde for 8 du for another hundred days, and afterwards it travels eastward again. Jupiter completes an orbit every 12 years, 1 36.167 du each year, 12 du each day. It usually rises in the east. Mars: After it rises, Mars travels eastward for 16 She (1 She ¼15 kilometers) and then it travels retrograde for two She. After 60 days, its eastward motion continues for dozens of She until it keeps still. Ten months later it sets in the west and remains concealed for five months and rises again in the east. Saturn: 120 days after its rises, Saturn goes retrograde westward. After 120 days of westward motion, it begins to travel eastward; 330 days later it goes into concealment; and 30 days later it reappears in the east. Venus: After it rises in the east, it goes at a slow pace, with each day 0.5 du. After 120 days later it will definitely move retrograde for 1 or 2 She. Then it turns and moves eastward for 120 days, each day 1.5 du. . . .. If it rises in the west, it goes at a quick pace for 120 days, with each day 1.5 du. Then it travels prograde slowly again, 0.5 du per day. After 120 days, it moves retrograde for 1 or 2 du and then sets.

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Up to the Santong calendar, quite detailed quantitative account had been given of the motion stages of the five planets, like prograde motion, Liu (stillness), retrograde motion, re-stillness, and re-prograde motion. A quantitative description of the motion of the five planets in a converging period is the basis of calculating their apparent motion. An account of the motional state of Jupiter, Saturn, and Venus could be found in the earliest astronomical document preserved until today, Divination of the Five Planets, a silk book excavated from Mawangdui Tomb of Changsha. In this book, ancient astronomers calculated the motion of Jupiter over 12 years, that of Saturn over 30 years and Venus over 8 years since the first reign year of First Emperor of Qin, demonstrating astronomers’ ability to calculate planetary motion (It is certain that in Divination of the Five Planets, the table of the planetary motion of Jupiter, Saturn, and Venus was attained through measured data and people’s preliminary knowledge of the planetary motion law. This calculation ability must have been obtained at least before the silk book was completed, that is, around 170 BC). Up to the Santong calendar, a complete and exhaustive description was made concerning planetary motion in a converging period. According to the technique of “Wu Bu” (stages of planetary motion) in the Santong calendar, we can make the following two tables (Tables 2.7 and 2.8). Table 2.7 Motional state of Mercury and Venus in the Santong calendar Motional state Chen Shi Xian (First appearance in the east) Ni (retrograde motion)

Motion

Mercury Half a day

Venus Half a day

Daily motion

2 degrees

1 2

Liu (stillness) Shun (prograde motion) (slow)

Number of days Number of days Daily motion

1 day 2 days 6 7 degrees

6 days 8 days 33 46 degrees

Shun (prograde motion) (fast)

Number of days Daily motion

7 days 1 13 degrees

Fu (concealment)

Number of days Number of days

18 days 1 79 degrees

46 days 1 15 92 degrees 184 days 1 33 92 degrees 83days

Daily motion Xi Shi Xian (first appearance in the west) Shun (prograde motion) (fast)

Number of days Daily motion

029 605 37 122 134 082 297 days Half a day 1 13 degrees 1 2

Number of days

16

Shun (prograde motion) (slow)

Daily motion

6 7

Liu (stillness)

Number of days Number of days

7 days 1 12 days

days

degrees

degrees

Half a day 1 15 92 degrees

45 days 181 107

33 46

degrees

46 days 62 7 107 degrees

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Table 2.8 Motional state of Mars, Jupiter, and Saturn in the Santong calendar Motional state Chen Shi Xian (First appearance in the east) Shun (prograde motion)

Motion

Mars Half a day

Jupiter Half a day

Saturn Half a day

daily motion

53 92

2 11

1 15

number of days number of days daily motion

276 days 10 days 17 62 du

121 days 25 days 1 7 du

87 days 34 days 5 81 du

number of days number of days

62 days 10 days

81 days 247 3083 711 days

Shun (prograde motion)

daily motion

53 92

2 11

101 days 33 19862275455975 days 1 115 du

number of days

276 days

362 11117 828 308 711 days

85 days

Motion in concealment

daily motion

73 92

1 11

3 15

number of days

15 689 700 14629 867 373 days

33

37

Liu (stillness) Ni (retrograde motion) Liu (stillness)

Yi Xian (one cycle)

number of days

du

du

du

15 689 700 78029 867 373 days

du

du

5 163 102 7 308 711

days

du

du

17 170 170 19 275 975 days 032 625 37718 19 275 975

days

The ancient calendars believed that the pattern of motional state in a converging period will repeat itself in another. Despite the complexity of the actual planetary motion, the table of motional state in calendars like the Santong calendar could well serve the purpose of predicting planetary motion, which requires less preciseness. In the Santong calendar, the chapter “Tong Shu,” following the section on “Wu Bu,” provided the approach to calculating the position of a planet on a given day. Roughly it had the following three steps: 1. Calculate the day of the planet’s first appearance (α) and the corresponding planetary position (β) by means of planetary epoch and planetary converging period. 2. Determine the duration between the given day (β) and α, (α-β), and then by virtue of the table of planetary motional state determine the du covered by the planet in the duration (α-β), thus getting (B). 3. The result of planetary position is A+B. This calculation approach was not altered until the Sui Dynasty: Also taken into consideration was the nonuniform correction for the apparent motion of the planets and that of the sun. Take Zhang Zhouxuan’s Daye calendar for example, the steps to determine planetary position became the following: 1. Determine the day of first appearance of the planet in a converging period on a given day drawing upon the table of planetary motional state. The day was called Ping Xian Ri (the average day of first appearance).

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2. Make planetary nonuniform correction about the Ping Xian Ri and get Ding Xian Ri (actual day of first appearance). 3. Usetheduofthesun’seclipticonthedayofDingXianRitoaddorsubtracttheduofthe planet in relation to the sun on the day of first appearance, and thus get the ecliptic degree of the planet on the day of first appearance. 4. Determine the ecliptic degree of the planet on any day in a converging period with the help of the data in the table of planetary motional state and with the ecliptic degree of the planet on its first appearance as the starting point. In the Huangji calendar, Liu Zhuo considered not just the nonuniform correction of planetary motion but also the nonuniform correction of solar apparent motion. Specifically, he changed Dingxianri (constant day of first appearance) in the Daye calendar to Changxianri (average day of first appearance) and made nonuniform corrections about the solar apparent motion thus getting another version of Dingxianri (actual date of first appearance). Nonuniform correction in the Sui Dynasty was rough, but up to Yi Xing’s Dayan calendar, it saw great advancements in either calculation method or specific values.

2.4

Nature and Functions of Calendars

Records of the Grand Historian-Calendars pointed out the political implications of calendars in ancient China: when a dynasty was initiated in accordance with the mandate of heaven, the ruler had to exercise great caution. After a founding emperor came to the throne, he would have the calendar revised and costume style changed to be subservient to the will of Heaven. Deemed as the sign of establishment and recognition of a regime, calendar revision was one of the predominant issues to address at the turn of a dynasty. Similar statements were given emphasis repeatedly in following calendars. Calendar reform was often essential due to data deviation in calendars. When he presented his Daming calendar, Zu Chongzhi asserted in his report to the emperor that “Deviation in the moments of divisions and solstices will lead to the incorrectness of solar terms and intercalation” (The History of the Song Dynasty, Volume 13). This summarized the reason why calendar-makers in ancient China would do their utmost to pursue preciseness of calendars. Incorrectness of solar terms and intercalation caused by deviation in the moments of divisions and solstices were considered as severe errors made by ancient Chinese. For instance, in the second year of Emperor Zhangdi’s reign-period (85AD), he issued an imperial edict to have the calendar reformed, claiming that “Inappropriateness of his policies has caused disharmony between Yin and Yang and constant disasters and bizarre phenomena.” In order to correct these errors of his, he ordered to have the calendar reformed by redetermining the Beginning of Spring, which was already a day later than its actual moment. In the outdated Taichu calendar, the Beginning of Spring was a day later than its actual time, so the previous day, which was in theory fine for pronouncing death sentence, was the actual time for Beginning of Spring, on which death sentence pronunciation would be deemed as harming harmony between Heaven

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and Earth. In effect, the period between Beginning of Spring and Autumnal Equinox was supposed to be inappropriate for pronouncing death sentence due to its “harming Heaven-Earth harmony.” That was why such solar terms as Winter Solstice and Beginning of Spring shall never be misdated. The laws of the Tang Dynasty stipulated explicitly the dates on which death sentence shall not be pronounced: Between Beginning of Spring and Autumnal Equinox, no death sentence shall be determined. Those who break this article shall be sentenced to one year’s exile. Other no-death-sentence days are: grand sacrifices, fasts, first moon and full moon, first and last quarters, 24 solar terms, continuous rain, predawn, no-slaughter days, and holidays (Codes of Tang Dynasty, Volume 30). These inconceivable ideas in the eyes of modern people, as a matter of fact, conform to the ancient theory of Yin-Yang harmony. The ancients believed that supposing the above rules were violated, their country would suffer or even be overthrown. In ancient China, the making and issuance of calendars, one of the most important events of the country, was arranged entirely by the government owing to their particular symbolic significance. What went hand in hand with this was a special phenomenon: A considerable controversy was sure to be caused before or after a calendar appeared. The two or more parties of the controversy did not simply argue over which party was standing by the truth. The winning party was not necessarily right while the losing party was not definitely wrong. The calendar issued later was not necessarily superior to the previous ones. The calendar that was in practice was not necessarily more refined than one that was not issued. We can see this clearly if we take for example the controversy over the calendar in the Sui Dynasty. The founding emperor Yang Jian, or Emperor Wendi, usurped the throne from the Northern Zhou Dynasty (557–581). In order to show that his usurpation conformed to the will of both Heaven and his people, he sought to have some propitious signs worked up. It happened that a Taorist priest, Zhang Bin, who claimed himself to an ephemeris master, asserted that he had observed signs of regime changes and that Yang Jian had extraordinary appearance. Thus, Zhang Bin won the favor of Yang Jian. As soon as the emperor came to the throne, he ordered Zhang Bin et al to make a new calendar. They made some additions and reductions about He Chengtian’s calendar and a new calendar was born. After usurpation, Emperor Yang Jian was anxious to introduce calendric reforms and change national costume style, so he hit it off easily with Zhang, who was worming his way to win the emperor’s favor. After the new calendar was issued, the calendars Liu Xiaosun and Liu Zhuo pointed out the omissions from the calendar. Their voice of rectifying the calendar, nevertheless, was regarded as quite untimely because Zhang Bin was the emperor’s favor, the new calendar had just been promulgated, and the new regime had just taken roots. They were then dismissed for some other cause. Zhang Bin and Liu Xiaosun died successively. Zhang Zhouxuan, a supporting role in the last controversy, took center stage instead. Liu Zhuo made some rectifications as to Liu Xiaosun’s calendar and gave it another name Qi Yao Xin Shu and presented it to the court. Yet his calendar was not adopted because this calendar went against Zhang Zhouxuan’s calendar, which was on the way of appearing, and

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because Zhang, as well as his partner Yuan Chong, envied Liu Zhuo very much. In the seventeenth year of Emperor Wendi’s reign period (597 AD), Zhang’s calendar was completed and the officials had divided opinions as to whether the new calendar should be adopted. Each side attacked the other verbally and neither could win. The emperor was hesitating on what to do when an official, Yan Minchu, submitted a memorial to the emperor, “When Luo Xiahong in the Han Dynasty abrogated the Zhuanxu calendar and implemented the Daming calendar, he declared that the calendar would have an accumulated error of a day in 800 years and that there should appear a sage who could reformulate it. Now, 710 years has passed. Many talented astronomers have appeared. Could the so-called sage have turned up now?”. Emperor Gaozu was so pleased that he issued an imperial decree to adopt Zhang Zhouxuan’s calendar. The decree read: “I was inspired by Heaven to rule the country. I intend to revive religions and promote regulations so as to conform to the will of Heaven and time human activities. The old calendar shall be rectified and the calendar by Zhouxuan conforms to the law of motion of the seven luminaries. His deeds stand out among others.” Four officials, as a consequence, including Liu Hui, were removed from the astronomical staff and six officials including Yu Jicai were dismissed from their posts. Zhang Zhouxuan was promoted to the position of imperial astronomer and his calendar was put into effect. Between the two parties there was a world of difference in their fates all because of Emperor Wendi’s “intention to make calendar-making divine.” The promotion of Zhang Zhouxuan and Yuan Chong led to the squeezingout of Liu Zhuo and his Huangji calendar, which, despite being appraised as “ingenious” by many diviners and astrologists alike, eventually failed to be put into use. Therefore, ancient Chinese calendars were not just a knowledge system of great precision, but also a cultural phenomenon typical of ancient China and with profound ideological foundation. Calendar reforms were not purely scientific activities in their modern sense but cultural and political activities with characteristics of ancient China. As a precise knowledge system, ancient Chinese calendars introduced comparatively objective criteria. It was a significant task for ancient Chinese calendars, for instance, to predict the moments and locations of eclipses and imprecise predictions would lead to a calendar being modified or even replaced by a new one. Yi Xing, an eminent tantric monk, pointed out in On the Dayan Calendar that “if solar eclipses cannot be predicted in a constant way, the accuracy of the calendar cannot be checked” (The New Book of Tang, Volume 29). It follows that whether the predictions of eclipses were accurate or not was considered as an important index to judge whether a calendar was good or not. Yet, precision of eclipse predictions was attached great importance to in ancient China mainly because of the astrological significance of eclipses. The statement that followed the above citation is often omitted by commentators. “On the other hand, if all of them can be predicted in a constant way, there is no way to know the good or evil of politics and education.” What is revealed in this statement is that Yi Xing believed that some solar eclipses were so unexpected that they could not be determined by formulae calculations and

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that if they could be determined, Heaven would lose one of its powerful means of giving warnings or rewards to rulers on Earth. As an example, Yi Xing mentioned a solar eclipse predicted to happen on January 8, 726, on the lunar calendar. According to the then calendar, a partial solar eclipse was supposed to happen on that day. Emperor Xuanzong, who had just completed a grand sacrificial ceremony called “Feng Shan” (a ceremony to pay tribute to Heaven and Earth, only a few outstanding emperors ever did so) on Mount Tai and was on his way back to Chang’an (the capital of the Tang Dynasty), made a lot of preparations for the eclipse. He had his meals removed, music paused, canopy folded, and clothes changed into white to pay tribute to Heaven. It turned out that the predicted solar eclipse failed to occur at all. Those officials who accompanied him all congratulated the emperor and worshipped him respectfully.” In the opinion of Yi Xing, the calendar could not have made such a serious error. It must be that the emperor’s virtues were so great that they moved Heaven, which, the Almighty, stopped the eclipse from happening. In effect, the predicted solar eclipse did occur. It was an annular eclipse, the greatest magnitude being 0.922, when the umbra fell on 17.9 du north latitude and 34.3 east longitude. The moment when the greatest magnitude occurred was 17:13 Beijing time, when the sun had set. That was why the solar eclipse could not be observed by observers from Central China. Yet Yi Xing had the belief that “it was likely that in a country’s peaceful days solar eclipses did not strike and comets did not appear.” In the eyes of great calendars like Yi Xing, hence, human efforts to determine solar eclipses were apparently not simply the exploration into natural laws. Another significant social function of ancient Chinese calendars is to provide guidance for people to pursue good fortune and avoid disaster in everyday activities. To some extent, they were designed to guarantee the full play of this function, thus propelling forward ancient Chinese astronomy and calendars. In their mind picture of the universe, ancient Chinese associated time and space closely. In their eyes, man, dwelling between Heaven and Earth, should seek to choose appropriate time and space for every event they were to perform. Only in this way, they believe, could good fortune and blessings be brought to them and otherwise, disasters and ill fortune would befall them. Such ideology was first recorded in Book of History – Chronology of Emperor Yao (Yao Dian), “Emperor Yao observed and calculated the motion laws of the sun, moon and stars and Jingshou Renshi “敬授人时,” and in later documents like Book of Rites-Yue Ling (or climate and phenology in a lunar month) and Writings of Prince HuainanInstructions on the Four Seasons, this remark was further expounded on. Some scholars interpret “Jingshou Renshi” as “arranging agricultural activities” and deem it as the main purpose ancient astrology serves. This, however, is untenable. For one thing, rulers’ activities recorded in Book of Rites-Yue Ling and Writings of Prince Huainan-Instructions on the Four Seasons barely had anything to do with agriculture. For another, the content of ancient Chinese calendars, determination of planetary motion and solar and lunar eclipses, mostly has nothing to do with agriculture. According to the preceding content, this treatise interprets “Jingshou Renshi” as “to observe celestial phenomena and provide the time service.” It reflects the

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ancients’ concept of “conducting a particular thing in particular space at a particular time.” It was owing to their laying stress on the concept that a new theory, theory of Zeji (picking an auspicious day for a certain event) emerged, which, in combination with ancient astrology, formed the content-rich ancient system of Chinese calendars. They showed people when to do what and when not to do what. In early times, the list of “when-to-do-what” and “when-not-to-do-what” was solely related to the sovereign, like “good time for a battle” or “inappropriate for launching a battle.” Roughly from the Tang period onwards, probably under the influence of the western horoscope astrology (Astrology, which appeared in all civilizations, can be roughly divided into two types. One primarily focuses on military affairs and can be called military astrology, with ancient Chinese astrology being a representative. The other, which originated from Mesopotamia and later prevailed in the entire western world, is mainly concerned about fortunes and misfortunes of individuals and can be called Horoscope astrology)., which was introduced into China together with Buddhism, the calendars gradually underwent changes, the content of the Zeji list popularized and a huge system of annotations (Calendars based on astrology are arrangements about the year, month and day. Calendar notes stipulate what activities are appropriate or inappropriate on a particular day. Calendars with such notes are calendar books issued by the court). developed. (Translator: Yongling Wang) (Proofreader: Caiyun Lian)

References Bo Shuren. (1983). A Preliminary Exploration into the Differences between the Santong Calendar and the Taichu Calendar. Studies in the History of Natural Sciences, 2(2).

3

Liu Xin and Ancient Astronomical Chronology Weixing Niu

Contents 3.1 Liu Xin’s Work in Astronomical Chronology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.1 Reign Period for Each Emperor Stated in Santong Calendar – Shi Jing . . . . . . . . . 3.1.2 Chronology in the Western Zhou Dynasty, Spring and Autumn Period, and Warring States Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.3 Planet Sui Chronology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.4 Work Schedule by Liu Xin as to King Wu’s Triumph over Shang . . . . . . . . . . . . . . . 3.2 Evaluation of Liu Xin’s Chronological Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.1 Evaluation of Lin Xin’s Chronological Work by Generations of Scholars . . . . . . . 3.2.2 Reasonable Evaluation of Liu Xin’s Chronological Work . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Inheritance of Liu Xin’s Method: Yixing’s Work in Astronomical Chronology . . . . . . . . . . 3.4 Astronomical Chronology Based on Modern Astronomical Methods . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Liu Xin, renowned Confucianist and bibliographer in the late Western Han Dynasty, was also an astronomer and calendarist. Shi Jing written by Liu Xin was the first literature to research chronological issues with astronomical methods and initiated the research of this kind. The first two parts of the chapter give an account of his achievements in astronomical chronology and evaluate his work objectively. The third part introduces the achievements made by Buddhist monk Yixing, who inherited Liu’s research method in astronomical chronology. The last part of the chapter elaborates on astronomical chronology based on modern astronomical methods. Keywords

Liu Xin · Yixing (or Yi Xing) · Astronomical chronology W. Niu (*) Department for the History of Science and Scientific Archaeology, University of Science and Technology of China, Hefei, China © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_3

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Liu Xin, renowned Confucianist and bibliographer in the late Western Han Dynasty, was also an astronomer and calendarist. His Santong calendar was the first calendar to have left a complete mathematical text. The last chapter, Shi Jing, or Book of History, a paper in astronomical chronology, was the first literature to research chronological issues with astronomical methods and initiated the research of this kind, and therefore is well worth studying. Of course, by investigating Liu Xin’s work in astronomical chronology, we do not intend to evaluate it simply by telling whether it is right or wrong but to get inspirational ideas and methods from his pioneering work and make the ancient serve the present so as to promote our chronological work. To this end, it is essential to make a good analysis of what Liu Xin did in his Santong Calendar: Shi Jing.

3.1

Liu Xin’s Work in Astronomical Chronology

3.1.1

Reign Period for Each Emperor Stated in Santong Calendar – Shi Jing

Liu Xin’s achievements in astronomical chronology are primarily recorded in the last chapter of the Santong calendar, Shi Jing, or Book of History, which chronologically stated the ruling period of each ruler from the Three Sovereigns and Five Emperors till the Han Dynasty, and specific reign years were provided from Emperor Yao. In Table 3.1, we have sorted out the number of years of each dynasty given in the book (except the periods prior to Diku) and marked the initial point of each period according to the Gregorian calendar. Needless to say, these data, though based on some historical documents, are mostly questionable. The information concerning the Three Sovereigns and Five Emperors came mainly from such literature as The Book of Changes, which provided only the names of ancient emperors, whose reign period remained unknown. The dynastic years of the Xia, Shang, and early Western Zhou dynasties are more reliable due to increased sources of literature, but we cannot rely on Liu Xin too much to give us accurate answers. Historically significant temporal nodes such as the years when attacks against the Xia Dynasty and the Shang Dynasty were conspicuously marked by Liu Xin in relation to “Shangyuan,” the former being 141, 480 years, and the latter 142, 109 years. Shangyuan is of course a fixed year in the Santong calendar, so without doubt those temporal nodes can be determined. Furthermore, Liu Xin matched the dynasties with the five virtues: wood, fire, earth, gold, and water but did not include the Qin Dynasty in the cycle of five virtues, for example, Zhou obtained the virtue of wood, and Han succeeded Qin and obtained that of fire. This was probably related to the Confucian concept that Qin was regarded as tyrannical, thus resulting in the unreasonable exclusion of Qin from the list of Chinese dynasties since ancient times.

Wood Fire

Accession (2303 BC)

Accession (2233 BC)

Accession (2183 BC)

Diku

Emperor Tang

Emperor Yu

Boyu

Gold

Earth

Gold Water

Emperor Shaohao Zhuanxu

Five virtues Wood Fire Earth

Reign period or event

Emperor Yan Emperor Huang

Title Emperor Taihao

Table 3.1 Reign period for each king or emperor in Santong Calendar – Shi Jing

(continued)

Documents The Book of Changes says: Paoxi ruled between Heaven and Earth The Book of Changes says: Paoxi died and Shennong rose The Book of Changes says: Shennong died and Emperor Huang rose Kao De says: Emperor Shaohao ruled Anecdotes on Spring and Autumn Annals says: Shaohao’s power was declining and the Jiuli nationality lost their virtues. Zhuanxu ascended to the throne and ruled the empire Anecdotes on Spring and Autumn Annals says: The kingdom was founded by Zhuanxu, and Diku succeeded Shi Ben says: Diku had four imperial concubines, of whom Chen Feng gave birth to a son, Yao, who was given a fief, Tang Santong calendar: Yao reigned for 70 years Shi Ben says: Zhuanxu had a son named Qiongchan, and Gusou was one of his great-great-great-grandsons, and Emperor Shun was the son of Gusou Santong: Shun reigned for 50 years Shi Ben says: Gun was one of Zhuanxu’s great-great-greatgrandsons, and Yu was the son of Gun and he ruled through Shun’s abdication Santong calendar: The Xia Dynasty, which existed for 432 years, saw 17 kings altogether

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Reign period or event Waging a crusade against Jie, the last ruler of the Xia Dynasty (1751 BC)

Waging a crusade against King Zhou and wiping it out (1122 BC)

Accession 51 (256 BC)

The Qin Dynasty was overthrown. (207 BC)

Title King Chengtang

King Wu

King Qinzhao

Emperor Wu of the Han Dynasty

Table 3.1 (continued)

Fire

Wood

Five virtues Water

Documents The Book of Documents – An Official Call to Arms: King Chengtang of the Shang Dynasty attacked the Xia Dynasty out of wrath against tyrannical Jie Zuo Qiuming’s Commentary on the Spring and Autumn Annals says: The Shang Dynasty lasted for 600 years Santong calendar: The year when King Chengtang waged a war against the Xia Dynasty was 141, 480 years from Shangyuan. Planet Sui (Jupiter) was at the order of Dahuo, fifth degree of Room. It was 629 years later that the dynasty was overthrown The Book of Documents – An Official Call to Arms: King Wu attacked the Shang Dynasty out of wrath Santong calendar: The duration between Shangyuan and the year when a war was waged against King Zhou was 142, 109 years. Planet Sui was at the order of Chunhuo (corresponding to Leo of the 12 zodiacal signs), 13th degree of Extended Net The Zhou Dynasty was overthrown By Qin, it was 867 years and 36 kings altogether Records of the Historian – Story of the Founding Emperor of the Han Dynasty: The Qin Dynasty was overthrown 143, 25 years from Shangyuan. Planet Sui was east of Dadi, 22nd degree of Well, Dadi, and 6th degree of Chunshou

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3.1.2

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Chronology in the Western Zhou Dynasty, Spring and Autumn Period, and Warring States Period

Shi Jing adopted a dating method in relation to Duke Lu through lack of documentary bases for determining the exact number of reign years of the sovereigns prior to Duke Zhou in the Western Zhou Dynasty. Duke Lu’s reign years were explicitly recorded in Records of the Historian except that of the first duke of Lu, Boqin was left blank. Shi Jing concluded that Boqin reigned for 46 years, and this result was accepted by most later historians, who argued that it was inappropriate to change the result without adequate evidence. However, Duke Lu chronology record in Shi Jing and Records of the Historian-Lu was not completely identical, and the differences are as follows: Duke Yang died at his 6th year of reign according to Shi Jing and Records of the Historian-Lu in comparison to 60th year of reign according to Shi Jing. Duke Xian died at his 32nd year of reign according to Shi Jing and Records of the Historian-Lu in comparison to 50th year of reign according to Shi Jing. Duke Wu died at his ninth year of reign according to Shi Jing and Records of the Historian-Lu in comparison to second year of reign according to Shi Jing. The fact that the numbers of Duke Lu’s reign years were not identical in the two books is one of the primary reasons why the later generations did not believe in Liu Xin’s conclusion of King Wu’s attack against King Zhou. A nonacademic reason for the disbelief is that Records of the Historian, which came out earlier, struck deep roots in the hearts of the people, while Liu Xin served the Wang Mang government of the Han Dynasty, which may be deemed as a shame. It came quite natural for astronomer Liu Xin to approach chronological problems in astronomical ways by dating certain historical events that occurred simultaneously with certain astronomical phenomena. What’s more, he took advantage of the these records in a systematic way, rather than in a sporadic and isolated way, unlike some modern scholars, who turn to astronomical records only when they are in conformity with the events in question. Liu Xin processed astronomical records systematically, which, as is stated above, was manifested in the fact that the Santong calendar came out earlier than Shi Jing. In other words, Liu Xin created the calendar in the first place, determined the time of celestial phenomena by virtue of his calendar, and then compared his calculation results with documented data to determine the exact time of the celestial occurrences. The astronomical phenomena Liu Xin researched into involved many aspects such as the positions of the sun, moon, and five planets, moon phases, calendric issues, Heavenly Stems, and Earthly Branches. It can be found from the column “Documents, annals” of the Annals of the Western Zhou Dynasty, the Spring and Autumn Period, and the Warring States Period that Shi Jing comprehensively considered astronomical records used for time location in such pre-Qin documents as The Book of Documents, Zuo Qiuming’s Commentary on the Spring and Autumn Annals as well as Sayings of the States. On the other hand, the astronomical occurrences at a given time can be used to test the accuracy of the Santong calendar.

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For instance, Zuo Qiuming’s Commentary on the Spring and Autumn Annals – the Fifth Year of Duke Xi’s Reign recorded the astronomical phenomena happening in the course of the State of Jin annihilating the state of Guo, and Shi Jing made a detailed analysis of the phenomena and used the result as a chronological basis. The Santong calendar designated 76 years as a cycle and if new moon and winter solstice happened to occur on the same day, it was called a new-moon-wintersolstice. Shi Jing listed in chronological order the year when each new-moonwinter-solstice occurred and the Heavenly Stem and Earthly Branch of the day. To cite some as an example, “new-moon-winter-solstice on Bin-Yin, the first lunar month of the 22nd year of Duke Min’s reign (275 BC),” “new-moon-winter-solstice on Dinghai, the first lunar month of the 4th year of Duke Kang’s reign,” “new-moonwinter-solstice on Ding-Si, the first lunar month of the 5th year of Duke Zhou’s regency.” Like wood piles used for fence building, these data were significant time references for Shi Jing to determine the year of a certain historic occurrence according to astronomical records. With these time references, it became possible to locate on the chronological axis such astronomical records of moon phases and Stems-Branches in Zhao Gao as “the following day of full moon of the second lunar month, Yiwei of the 6th day, Binwu, new moon rise of the third lunar month.” Nevertheless, restricted observational preciseness and knowledge of the motion law of celestial bodies led to the inaccuracy of the initial value in calendric calculations and of mathematical description of the motion law of celestial bodies in the long run, thus further resulting in the unsatisfactory accuracy of Liu Xin’s Santong calendar by today’s standards. Inaccuracy in calendars would directly affect the accuracy of the chronological calculations based on the calendars. To give an example, a “new-moon-winter-solstice occurred on Ding-Si, the first lunar month of the 5th year of Duke Zhou’s regency” according to Shi Jing. But the calculation result based on the modern advanced ephemerides shows that in the 5th year of Duke Zhou’s regency(1111 BC), new moon appeared on Gengshen of the first lunar month (a deviation of three days) and winter solstice arrived on Guihai (a deviation of six days). It thus follows that the new-moon-winter-solstice determined by Shi Jing in early Western Zhou Dynasty is not the real one, three days earlier than real new-moon moment and six days earlier than real winter-solstice moment. Deviation would occur if these data were used as reference to determine the moon phases of Stem-Branch day recorded in such historical documents as Zhao Gao, Luo Gao, and Gu Ming and further to determine the reign periods of Duke Zhou and King Cheng. For example, Zhao Gao recorded “the following day of full moon of the second lunar month, Yiwei of the 6th day, Bin-Wu, new moon rise of the third lunar month.” The calculation result on the basis of the Santong calendar shows that in the 7th year of Duke Zhou’s regency (1109 BC), Yihai of the second lunar month saw new moon and Gengyin of the month saw full moon. Jiachen of the third lunar month witnessed full moon and Bin-Wu witnessed crescent moon. The reign period of King Cheng was thus determined. However, modern calculations show that in 1109 BC, in the second month of Zhou Zheng, Wuyin saw new moon (a deviation of three days) and Guisi full moon (a deviation of three days) and the new moon of the third month appeared on Wushen (a deviation of four days). With no Bingwu in the third month, the record “Binwu, crescent moon of the third lunar

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month” in Zhao Gao was incorrect, so it was wrong of Shi Jing to state that 1109 BC was the year when Duke Zhou’s regency ended. In order to testify the accuracy of new-moon-winter-solstice in Shi Jing, we not only included new-moon-winter-solstice provided by Shi Jing in our table “Annals of the Western Zhou Dynasty, the Spring and Autumn Period and the Warring States Period,” but also provided our calculation results of corresponding new moon and Stem-Branch of winter solstice. As can be found, The more distant it is from the appearance of the Santong calendar, the greater deviations occurred to new moon and winter solstice. The nearer it is from the appearance of the Santong calendar, the smaller deviations occurred to new moon and winter solstice, even no deviations at all. The deviation of new moon decreased from three days in the early Western Zhou Dynasty to one or two days, and eventually to zero in the late Warring States Period and the deviation of winter solstice decreased from six days in the early Western Zhou Dynasty to five, four, three, two days, or one, and eventually to zero in the late Warring States Period. The causes of the deviations were that in Liu Xin’s days, people’s knowledge of lengths of tropical year and synodic month were a little far from accurate and so was their mathematical description of solar and lunar motion law. The further back it went in time, the greater deviations were accumulated (See Table 3.2). The above table, which was sorted out based on The Santong Calendar-Shi Jing, is the bulk of Liu Xin’s chronological achievements. A unique creation, his dating King Wu’s triumph and the Western Zhou Dynasty, had a profound impact on the later generations.

3.1.3

Planet Sui Chronology

In terms of the motion law of another important celestial body-Planet Sui (i.e., Jupiter), Santong calendar did not perform so well, which cast a shadow on this important paper in astronomical chronology. In pre-Qin documents, there were records of Planet Sui being used in chronology, that is, to use the position of the planet in relation to the 12-star orders to designate the year. They are, of course, significant chronological materials in that if the motion law of Planet Sui is known, then its position can be employed to determine the corresponding year. Of course, the precondition is a complete grasp of its motion law. At first, believing that the planet completed its orbit every 12 years, astronomers divided the ecliptic into 12 equal parts (12-star orders), each part being what the planet covered supposedly in each year. Later it was discovered that it did not follow this rule in a strict sense, a little bit faster in effect. A number of years later, therefore, its actual position was one order ahead of the calculated position. In the Santong calendar, Liu Xin stated that Planet Sui would be one order ahead every 144 years and determined the corresponding years recorded in pre-Qin documents in this way. Yet, the planet actually travels faster than that, with one-star order ahead every 84 years. The astronomical record of King Wu’s triumph says “When King Wu initiated a military action against Shang, Planet Sui was at the order of Chunhuo” (Sayings of the States-The State of Zhou), which means Liu Xin’s calculation result must conform to

King Wu seized Yindu, the capital city of Shang, in his 13th reign year (1122 BC)

Passing away (1116 BC) Fifth year of regency (1111 BC) Seventh year of regency (1109 BC) and returning power to King Wu’s heir

King Wu Duke Zhou

Annalistic events Passing away in his nine years after coming to the throne Attacking King Zhou in his 11th reign year

King Wu

Dukes of Lu King Zhou King Wen King Wu

Zhao Gao: The following day of full moon of the second lunar month, six days later was Yiwei. Bingwu saw crescent moon of the third lunar month Santong calendar: Yihai of the second lunar month saw new moon and Gengyin of the month saw full moon. Jiachen of the third lunar month witnessed new moon and Binwu witnessed crescent moon Modern calculation result shows: In 1109 BC, in the second month of Zhou Zheng, Wuyin saw new moon (a deviation of three days) and Guisi full moon (a deviation of three days) and the new moon of the third month appeared on Wushen (a deviation of four days) and no Bingwu in the third month Guo Gao: On the day of Wuchen, the King was in Xinyi. . .Duke Zhou initiated his regency of seven years

Book Preface (Shu Xu): On the 11th year of his ascending the throne, King Wu initiated a military action against King Zhou of the Shang Dynasty and made an oath-taking speech named Tai Shi (Speech on an Oath-taking Rally) Book Preface: King Wu seized Yindu, and returned with Jizi (King Zhou’s uncle), who wrote Hong Fan Hong Fan: Thirteen years after taking the throne, King Wu paid a visit to Jizi Santong calendar: The duration between Shangyuan and the year of King Wu’s triumph was 142, 109 years, and this year Planet Sui (Jupiter)was at the order of Chunhuo, the 13th degree of Extended Net Seven years after seizing Yindu

Documents, annals

Table 3.2 Annals of the Western Zhou, Spring and Autumn Period, and Warring States Period

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The first reign year Passing away in his 30th year of reign (1079 BC)

12th reign year (1067 BC)

Passing away in his 46th reign year (the first year of King Kang’s reign)

Passing away in his 4th reign year 24th reign year (1035 BC)

Passing away in his 60th reign year Passing away in his 14th reign year

King Chen

King Kang

Boqin

Duke Kao Duke Yang

Duke You

(continued)

Santong calendar: Bingshen of the first lunar month saw new-moonwinter-solstice Modern calculation result shows: Wuxu of that month saw new moon (a deviation of two days) and Xinchou saw winter solstice (a deviation of five days)

Santong calendar: Granting the fief of Lu to Boqin Gu Ming: Zai Sheng Po (哉生魄) (the 16th day of the lunar phase) in the fourth month, the King was fallen ill; and on the day of Jiazi, he eventually began to wash his face and hands Santong calendar: Gengxu of the fourth lunar month saw new moon and Jiazi was Zai Sheng Po (哉生魄) Modern calculation result shows: Guichou of the fourth lunar month saw new moon (a deviation of three days), and 11 days later was Jiazi Bi Ming: Gengwu of the sixth lunar month of his 12th reign year, when the crescent moon could be seen, King Kang ordered Feng Xing to be compiled Santong calendar: New moon in the sixth lunar month appeared on Wuchen, and three days later was Gengwu Modern calculation result shows: New moon in the sixth lunar month appeared on Renshen (a deviation of four days), and no Gengwu in that month Zuo Zhuan, Zuo Qiuming’s Commentary on the Spring and Autumn Annals: Jie Xie and Boqin (both grandsons of King Wu) served King Kang.

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Passing away in his 50th reign year Passing away in his 37th reign year 15th reign year (883 BC)

Passing away in his 50th reign year Passing away in his 30th reign year Passing away in his 2nd reign year Passing away in his 9th reign year (807 BC)

Passing away in his 11th reign year Passing away in his 27th reign year 38th reign year (731 BC)

Duke Li Duke Xian

Duke Shen Duke Wu Duke Yi

Baiyu Duke Xiao Duke Hui

Passing away in his 46th reign year

Annalistic events 26th reign year (959 BC)

Dukes of Lu King Zhou Duke Wei

Table 3.2 (continued)

Santong: New-moon-winter-solstice fell on Renshen of the first lunar month. Modern calculation result shows: Guiyou saw new moon (a deviation of one day) and Yihai saw winter solstice (a deviation of three days) Santong: The end of the Western Zhou Dynasty and the beginning of the Spring and Autumn Period. The period from Boqin to the Spring and Autumn Period covered 386 years

Santong: New-moon-winter-solstice fell on Guisi of the first lunar month Modern calculation result shows: Yiwei saw new moon (a deviation of two days) and Bingshen saw winter solstice (a deviation of three days)

Santong: New-moon-winter-solstice fell on Jiayin of the first lunar month Modern calculation result shows: Bingchen saw new moon (a two-day deviation) and Wuwu saw winter solstice (a four-day deviation)

Documents, annals Santong: New-moon-winter solstice fell on Yihai of the first lunar month Modern calculation result shows: Dingchou saw new moon (a deviation of two days) and Yimao saw winter solstice (a deviation of four days)

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1st reign year (722 BC)

Passing away in his 11th reign year Passing away in his 18th reign year Passing away in his 32th reign year Passing away in his 2nd reign year 5th reign year (655 BC)

Duke Yin

Duke Huan Duke Zhuang Duke Min Duke Xi

Liu Xin and Ancient Astronomical Chronology (continued)

Santong: New-moon-winter-solstice fell on Xinhai of the first lunar month. Modern calculation result shows: New moon appeared on Renzi (a deviation of 1 day) and winter-solstice fell on Guichou (a deviation of 2 days) Zuo Qiuming’s Commentary on the Spring and Autumn Annals: It was spring. Xinhai of the first lunar month witnessed new moon while the sun was in the southern sky. Jiawu of the eighth lunar month, Marquis Jin besieged Shangyang.” A children’s folk rhyme went like this, “On the morning of Bingzi (Dec.1st on the lunar calendar), the sunshine dimmed the radiance of Tail. The Jin forces, which looked magnificent and mighty in their martial attire, seized the commander’s banner of the Guo army. Chunhuo was like a bird and the star of Tiance did not shine. When Chunhuo appeared in the southern sky, the Jin forces started out for their attack, and the Duke of Guo fled.” Bo Yan remarked, “Was that probably the turn of September and October? The morning of Bingzi, the sun was at Tail, the moon was at Tiance, and Chunhuo was in the southern sky. This must be the celestial phenomenon at that time.” “When Planet Sui was at the order of Dahuo, Chong’er took refuge in other states” Santong calendar: The state of Jin annihilated the state of Guo on Bingzi, the 12th lunar month in winter. The 12th month in the Zhou calendar was the 10th month in the Xia calendar Modern calculation result (see the illustrations of the celestial bodies at the time of Guo being annihilated) Santong: The year was 143, 577 years away from Shangyuan

Santong: The first year of Duke Yin’s reign period was 400 years away from King Wu’s conquest over Shang

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Passing away in his 33th reign year Passing away in his 18th reign year Passing away in his 18th reign year 12th reign year (579 BC)

Passing away in his 18th reign year 27th reign year (546 BC)

Duke Xiang

24th reign year

Annalistic events 16th reign year

Duke Wen Duke Xuan Duke Cheng

Dukes of Lu King Zhou Duke Xi

Table 3.2 (continued)

Santong calendar: New moon appeared on Yihai of the 9th lunar month, the month of Jian-Shen A book on the history of Lu State: Yihai of the 12th lunar month witnessed new moon and solar eclipse Zuo Qiuming’s Commentary on the Spring and Autumn Annals: Yihai of the 11th lunar month in winter saw new moon and solar eclipse. Thus Mercury was at the order of Shishen; it was the fault of the calendric official to have made an error in intercalary month designation Modern calculation result shows: Yihai of the 10th lunar month (Oct.13, 546BC) saw solar eclipse; new moon appeared in the 11th month on the calendar of the Zhou period. Bingzi of the 9th month on the calendar of Zhou saw new moon (a deviation of 1day)

Santong calendar: New-moon-winter-solstice fell on Gengyin of the first lunar month Modern calculation result shows: new moon fell on Xinmao (a deviation of 1 day) and winter solstice fell on Renchen (a deviation of 2 days)

Documents, annals Zuo Qiuming’s Commentary on the Spring and Autumn Annals: Planet Sui was at Shouxing (Carina α). Chong’er, the prince of Jin, started his journey back with his men after staying in Di for 12 years. When they passed the city of Wulu (literally Five Deer, a place in the state of Wei), they were so starving that they had to beg peasants working in a field for food Zuo Qiuming’s Commentary on the Spring and Autumn Annals: Planet Sui was at the order of Shishen. Qinbo admitted Chong’er

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7th reign year(503 BC)

Passing away in his 15th reign year 14th reign year (481 BC)

Passing away in his 27th reign year Passing away in his 37th reign year 4th reign year (427 BC)

Duke Ai

Duke Diao Duke Yuan

Passing away in his 32nd reign year

Passing away in his 31st reign year 8th reign year 20th reign year (522 BC)

Duke Ding

Duke Zhao

28th reign year

Liu Xin and Ancient Astronomical Chronology (continued)

Santong calendar: Wushen of the first lunar month saw new-moonwinter-solstice

Santong calendar: It was altogether 242 years from the appearance of The Spring and Autumn Annals to the 14th reign year of Duke Ai

Santong calendar: Planet Sui was at the order of Ximu Santong calendar: Yichou of the first lunar month saw new-moonwinter-solstice Modern calculation result shows: New moon appeared on Gengying (a deviation of 1 day)and winter solstice fell on Xin-Mao (a deviation of 2 days) Zuo Qiuming’s Commentary on the Spring and Autumn Annals: Yichou of the second lunar month, the sun reached the lowest in the southern sky and another error was made in intercalary month designation Santong calendar: Planet Sui was at the order of Xingji, full moon Zuo Qiuming’s Commentary on the Spring and Autumn Annals: The state of Yue was lucky to be shone by auspicious Planet Sui; the state of Wu would surely suffer a defeat if they were at war Santong calendar: Jisi of the first lunar month saw new-moon-wintersolstice Modern calculation result shows: New moon appeared on Jisi (no deviation) and winter solstice fell on Gengwu (a deviation of 1 day)

Spring and Autumn Annals: No ice in spring Zuo Qiuming’s Commentary on the Spring and Autumn Annals: Planet Sui was at the order of Xingji, but actually it had travelled to the position of Xuanxiao, which was a bad omen

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Passing away in his 21st reign year Passing away in his 33rd reign year Passing away in his 22nd reign year 4th reign year (351 BC)

Passing away in his 9th reign year Passing away in his 29th reign year Passing away in his 20th reign year 22nd reign year (275 BC)

Passing away in his 23rd reign year 18th reign year (256 BC)

Duke Mu Duke Gong Duke Kang

Duke Jing Duke Ping Duke Min

Duke Qing

24th reign year (his state was annihilated)

Annalistic events

Dukes of Lu King Zhou

Table 3.2 (continued)

Records of the Historian: In the 51st year of King Zhao’s reign, the State of Qin annihilated Zhou Santong calendar: The Zhou Dynasty extended for 867 years, with 36 kings successively Records of the Historian-Qin: King Chukaolie killed Duke Qing and his family

Santong calendar: New-moon and winter-solstice fell on Bingyin of the first lunar month Modern calculation result shows: Bingyin saw new-moon and wintersolstice (no deviation)

Santong calendar: New-moon-winter-solstice fell on Dinghai of the first lunar month Modern calculation result shows: Dinghai saw new-moon-wintersolstice (no deviation)

Documents, annals Modern calculation result shows: new moon appeared on Yiyou (a deviation of 1 day), and winter solstice fell on Yi-You (a deviation of 1 day)

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this. This result was attained through inaccurate data about the motion of the planet, but in effect the planet could not have been at the order of Chunhuo. So if the historical record was true to the then celestial phenomena, the conclusion about when King Wu’s triumph took place made by The Santong calendar-Shi Jing is unreliable. Of course, the astronomical record about Planet Sui is perplexing in another way. In Sayings of the States, the materials about Duke Xi’s reign period contained much information about “Planet Sui was at the order of. . .” and so did those about Duke Xiang’s and Duke Zhao’s reign periods in Zuo Qiuming’s Commentary on the Spring and Autumn Annals. When the three dukes ruled was definitely known to us, so we can accurately determine the positions of the planet in corresponding periods by drawing upon our today’s knowledge of its motion. Surprisingly enough, however, none of what was depicted about Planet Sui in the two ancient books conforms to what has been reckoned through modern astronomy, which has puzzled astronomers and historians for over two thousand years. As a matter of fact, the assumption, which was brought forward by Liu Xin in his Santong calendar, that Planet Sui was one star order ahead every 144 years was his answer to this question. For him, the motion law of the planet at known time served as known conditions in his calculation, and the law he discovered must account for these celestial facts. Hence, his calculation result was that the planet was one star order ahead every 144 years. Yixing in the Tang Dynasty also attempted to find an answer to this question. In his Dayan calendar-Comment on the Five Planets, he remarked: Planet Sui was one star order ahead every 120 years or so from the Shang and Zhou dynasties up to the Spring and Autumn Period. After the Warring States Period, it accelerated and did not slow down until the period of Emperor Ai and Emperor Ping’s reign in the Han Dynasty, and every 84 years there was a gap of one order. This is what Planet Sui distinguishes itself from others. By the time of Yixing, the cycle of Planet Sui had been known in a relatively accurate way, that is, one star order ahead every 84 years. Consequently, Yixing believed that the motion velocity of the planet varied in a long run. According to him, it travelled slow before the Warring States Period, one star order ahead every 120 years or so, accelerated after the Warring States Period and then slowed down to a constant speed in the period of Emperor Ai and Emperor Ping’s reign, one star order ahead every 84 years. Apparently, Yixing’s description was against modern astronomical knowledge. If the planet varied its velocity to such a degree, the stability of our solar system would be worrying indeed. Anyway, nevertheless, Yixing attempted to provide his answer to this perplexing question. In the early twentieth century, Japanese scholar Shinzo Shinjo offered another interpretation to this problem. According to him, in the two ancient books, the astronomical records about the position of the planet in relation to the 12 star orders were not based on real astronomical observations; instead, the fact might be that some historian around 365 BC, by following the rule that the planet passed one star order per year, deduced the position of the celestial body from its actual position in his time and then inserted his calculation result into the two books. This explanation did account for the fact that in the two books the data about the planetary position had a one-year gap from its supposed positions, with one as an exception, “The state

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of Yue was lucky to be shone by auspicious Planet Sui; the state of Wu would surely suffer a defeat if they were at war.” in Duke Zhao’s 32nd reign year. We should say that Shinzo Shinjo put forward a bold conjecture, which, so to speak, is a good interpretation to the problem. But the astronomical records in Zuo Qiuming’s book looked much like results of actual observation. Of course, some more people might give interpretations that could justify themselves, but it is a pity that each may have one loophole or another. Consequently, the problem will remain before sufficient evidence is found. Being the first to have put forward a solution to the problem, Liu Xin surely performed great historic feats. Furthermore, no documentary accounts could be found as to Planet Sui’s Chaochen (a term used to describe Jupiter completes its orbit in 11.86 years instead of 12 years sharp). This achievement alone would win him a prominent place in astronomical history, but of course, his achievements were far beyond that.

3.1.4

Work Schedule by Liu Xin as to King Wu’s Triumph over Shang

The Santong calendar-Shi Jing, the essence of Liu Xin’s work in astronomical chronology, determined the period of King Wu’s campaign against King Zhou of Shang by using the astronomical records about that period and provided a schedule concerning the war. We sorted it out and made a chronological table, stating the events and corresponding celestial phenomena, and modern calculation results are also provided as a support or contrast (See Table 3.3). Obviously, Liu Xin was well aware of the importance of dating the event, so he allocated a large part in Shi Jing for the introduction of his calculating process and documentary proofs. Yet, due to the inherent shortcomings of his calendar, his data about the battle and the corresponding schedule were unreliable. Whether it is true or false to the facts, the table is significant in that it brought forward a new approach to address the chronological problems. Prior to that, determining when a historical event took place could only appeal to integrating reign years of rulers. Liu Xin, however, without the help of annals first proposed a method of determining the exact year of an occurrence.

3.2

Evaluation of Liu Xin’s Chronological Work

3.2.1

Evaluation of Lin Xin’s Chronological Work by Generations of Scholars

It has been approximately 2000 years since Liu Xin completed his chronological work. Prior to him, determining when a historical event took place primarily relied on integrating reign years of rulers. As a consequence, if the information about reign years of certain rulers was lost, it became impossible to date the contemporaneous historical events. As Sima Qian did in his Records of the Historian-Chronological

New moon, Xinmao of the first month of the Zhou calendar

Wu-Zi, the 11th month of the Shang calendar

12th reign year

13th reign year

Date

Year 11th reign year

The sun and moon were aligned, at the first degree of Dipper.

Planet Sui was at the order of Chunhuo.

The sun was at the order of Xi-Mu, the seventh degree of Winnowing Basket, and the moon was at the fifth degree of the Room

Celestial phenomena recorded in the Santong calendar

Nov. 30, 1123 BC (New moon appeared on Jiawu (a 3-day deviation); the sun and moon were aligned at Dipper

1122 BC Planet Sui was at the order of Juzi

1123 BC

Calculation results 1124 BC

Table 3.3 Work schedule by Liu Xin as to King Wu’s campaign against King Zhou

Dispatching troops

Events Meeting at Mengjin (in present Henan)

Liu Xin and Ancient Astronomical Chronology (continued)

Documents Book Preface (Shu Xu): On the 11th year of his ascending the throne, King Wu initiated a military action against King Zhou of the Shang Dynasty and made a speech Tai Shi (《泰誓》 Speech on an Oathtaking Rally) Guoyu-Zhouyu (Sayings of the States-the State of Zhou): When King Wu attacked King Zhou, . . .the moon was at the order of Tian-Si, and the sun was at Xi-Mu Zuo Qiuming’s Commentary on the Spring and Autumn Annals: When King Wu of Zhou attacked King Zhou of Shang, Planet Sui was at Chunhuo and that was the time when we began to part with Zhou Guoyu-Zhouyu (Sayings of the States-The State of Zhou): When King Wu attacked King Zhou of Shang, the sun and moon were aligned at the handle of the mansion of Dipper

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Year

Dec. 24, 1123 BC Dec. 31, 1123 BC, winter solstice fell on Yichou (a 6-daydeviation) Mercury was at Xingji, neither at Tian-Yuan nor in the first ten-day period of the dog days

Wuwu

Yiwei

Winter solstice, Mercury and Maiden set, passing Jian star and Herd Boy and reaching Maiden and Tian-yuan

Dec. 12, 1123 BC

Bingwu

Calculation results Nov. 28, 1123 BC, no Renchen in the first lunar month

Nov. 29, 1123 BC, no Guisi in the first lunar month

Celestial phenomena recorded in the Santong calendar The moon was at Pang Si Po and Mercury appeared

Guisi

Date Renchen

Table 3.3 (continued)

King Wu was ready to send out his troops King Wu’s troops sailed across Mengjin

King Wu started to dispatch troops.

Events

Guoyu-Zhouyu (Sayings of the States-The State of Zhou): When King Wu attacked King Zhou, . . .Mercury was at TianYuan. . .

Documents The Triumph of King Wu: It was Ren-Chen of the first month, and the moon was at the phase of Pang Si Po (旁死 霸the second day of the lunar phase). . . The Triumph of King Wu: The next day being Guisi, King Wu started off from the Zhou capital for the military camp, ready for an attack on King Zhou of Shang

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Yisi

Jiachen

Yichou 2nd month Gengyin of the second month, a leap month Gengshen, the second day of the third month Yichou of the fourth month

Jiazi the fifth day

Gengshen, 2nd month of the Zhou calendar Guihai, the fourth day

Full moon, or Wang (望, the 15th day of the lunar phase) Waning gibbous, or Ji Pang Sheng Po (既旁生霸, the 17th day of the lunar phase)

Jingzhe (the waking of insects) according to the definition given by the Santong calendar New moon, or Shuo Si Po (朔 死霸)

Hui (晦) New moon

New moon

New moon fell on Guisi, Jan. 28, 1122 BC (a deviation of 3 days) New moon and the waking of insects fell on KuiHai of March (a deviation of 3 days) New moon fell on Renchen, 28th March, 1122 BC (a deviation of 3 days) Full moon fell on Dingwei (a deviation of 3 days)

Dec. 29, 1123 BC, new moon appeared on Guihai (a 3-day deviation)

At dawn, the troops from several states gathered and defeated Shang

A fierce battle took place at Muye (in Henan)

Liu Xin and Ancient Astronomical Chronology (continued)

Wu Cheng (The Triumph of King Wu): It was Ji Pang Sheng Po in the fourth month

Wai Zhuan (Supplementary Commentary): King Wu led the Muye battle on the night of Guihai in the second lunar month Wu Chen (The Triumph of King Wu): It was Ji Si Po (既 死霸, the first day of the lunar phase) of the second month, and five days later was Jiazi. The Shang Dynasty was overthrown

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Sacrifices from the smaller states were offered in the royal temple

Events His Majesty performed the ritual of Liao Ji in the royal ancestral temple

Yimao

Calculation results

His Majesty offered sacrifices before the gods

Celestial phenomena recorded in the Santong calendar

Xinhai

Date Gengxu

Documents Wu Cheng (The Triumph of King Wu): on Gengxu, King Wu performed in the royal ancestral temple the ritual of Liao Ji (see Note) Wu Cheng (The Triumph of King Wu): The next day was Xinhai, King Wu offered sacrifices Wu Cheng (The Triumph of King Wu): Five days later was Yimao, sacrifices from the smaller states were offered in the royal temple

Note: Liaoji, a sacrificial event in which sacrifices, such as silk and pig head, are placed on an alter were burned to pay tribute to the Heaven

Year

Table 3.3 (continued)

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Table of the Twelve Dukes, historians should leave the temporal column blank if the material about a historical event contained no information about reign periods of the ruling duke – a practice appraised as rigorous by later generations of scholars. Liu Xin, nevertheless, in his Santong calendar, first attempted to use celestial phenomena in sync with the historical events to date them. This provided a means of solving the abovementioned problem, thus initiating the new scientific field, astronomical chronology. Yet this does not mean he had solved all the problems in chronology up to his time. Besides, some research may not start from astronomical records. Liu Xin’s work, whether regarded as a staged achievement to be surpassed or as an obstacle to be overcome, requires to be evaluated. If we evaluate his work in terms of “quote rate,” an established evaluation standard in contemporary academic world, Liu Xin would have, with Shi Jing alone, been qualified enough to become a distinguished researcher or academician in today’s academic world. Of course, in his time, as an advisor to Wang Mang, he occupied a position far higher than a present ordinary academician. Scholars of all generations have had divided judgments, either positive or negative, on Liu Xin’s work in astronomical chronology. Negative opinions mainly justify themselves from the following several aspects. (1) His chronological conclusions were unreliable. As has been pointed out in this paper, the essence of Liu Xin’s achievements in astronomical chronology was the determination of the year when the Zhou Dynasty initiated and the year when King Wu succeeded in conquering Shang, 1122 BC in modern terms, which was proved, with much documentary evidence, to be a little earlier than the actual time. Then most people will follow such a logic: it can be deduced from the wrong timing that his conclusions in astronomical chronology were unreliable and insignificant in the same way. Despite its practicality and ease in operation, this practice, in my opinion, is too simple and superficial since the judgment is based merely on conclusions. In a scientifically advanced society as today, when we evaluate the achievements made by ancient people, we should take a more in-depth and more comprehensive manner, and failing to meet such a standard, we should feel sorry for the ancient people. (2) His specific calculation methods were questionable. Scholars who hold this opinion look at Liu Xin’s work in a more in-depth way. As mentioned above, in dating historical events by virtue of astronomical records, Liu made two technical mistakes, which can be easily spotted today. Firstly, the length of a tropical year and the length of a synodic month, two fundamental data in the Santong calendar, were not accurate enough, resulting in the progress of the calculated value of winter solstice point and syzygy moment. This was explicitly pointed out by Yixing in his Comments on the Dayan Calendar. Secondly, the reckoned orbital period of Jupiter did not conform to its actual one, thus causing deviations in his calculations. We must take the restrictions of the times into account when we judge whether a calendar is advanced or not. As the first ancient calendar (The Taichu calendar was

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the first calendar to have been officially published, but it is a pity that its mathematical text was lost, except that calendar days of a calendric cycle and related data are preserved in Records of a Historian-Calendars) that had explicit mathematical text, the Santong Calendar was relatively advanced in those times. According to Houhan shu–Lvlv zhi (History of the Later Han Dynasty – Annals of Calendars), Minister Bian Shao made such comments on the calendar in 143, “Deng Ping and others developed the Taichou calendar. . .afterwards, Liu Xin made in-depth research about calendar-making, and with Spring and Autumn Annals and the Book of Change as reference, he reckoned the orbits of the sun, moon and five planets by virtue of two books, River Map and Book of Luo-The Sun. He concluded that Planet Sui retrograded and progressed 63 fen every 171 years and every 144 years it would have a gap of one star order. This conforms to the law of heavens, with no faults or errors.” Astronomy, however, is a science with observations as the foundation, many fundamental data can only be obtained through years of observations. When calendric theory reaches a certain height, the accuracy of calendars can be attained solely through accurate observation data. The more such data are accumulated, the more accurate calendar scientists can produce. Astronomical observation data take quite a long time to obtain. For instance, the length of solar shadow on the noon of winter solstice, an important calendric datum, is accessible merely on a sunny winter solstice, meaning that people can have only one opportunity to collect the data and what is more, the day must be a sunny day. It follows that the general trend is that the calendar that appeared later was superior to the previous ones. For example, up to the Jin Dynasty, the calendar had seen remarkable progress. Du Yu, a renowned scholar in the Western Jin Dynasty, in his Exemplifications to Spring and Autumn Annals, spoke poorly of Liu Xin’s Santong calendar, “Liu Zijun (Liu Xin’s other name) made the Santong calendar to make revisions about Spring and Autumn Annals. The latter, however, recorded 34 solar and lunar eclipses, but in contrast, the former only recorded one solar eclipse so Liu’s Santong calendar was the roughest of all. . ..” Yet, suppose Du Yu had lived in Liu Xin’s time, and vice versa, it would have been next to impossible for Du Yu to create a Santong calendar, not to mention Shi Jing; Liu Xin would, in the Jin Dynasty, which saw far more advanced science and technology than the Han Dynasty, have made a calendar one hundred times better than his Santong calendar with his great learning and would have given a better answer to chronology in remote ages. (3) The historical data he quoted were unreliable. Believing that the historical data Liu Xin quoted were unreliable, some scholars denied his work. The theoretical approaches applied in astronomical chronology and the initial value needed in calculation are now accessible, so, for the purpose of timing a historical event, what we merely need are astronomical records simultaneous with the historical event, which, without doubt, can merely be found in preserved documents. To cite an example, Liu Xin referred to two important documents while dating King Wu’s attack on King Zhou of the Shang, calendar days and Heavenly Stem-Earthly Branch around the Battle of Muye recorded in

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Book of History-The Success of King Wu and a series of celestial phenomena which took place simultaneously with the historical event recorded in Sayings of the StatesThe State of Zhou. Both documents were cast doubt on by some scholars. He Bingdi remarked, “Besides Bamboo Book-Chronology. (Ji Nian, a book written on bamboo slips), The Triumph of King Wu (Wu Cheng) in the Book of History is the only historical material directly related to the early Zhou Dynasty. It has been mostly lost, the remaining part being three fragments with information about month, moon phase and Stem-Branch day and preserved in History of the Han Dynasty-Annals of Calendars. . . .Liu Xin was the first scholar to determine the time when King Wu of Zhou attacked King Zhou of the Shang based on the three fragments. . . .Putting aside other less rigorous points, the part is aimed to discuss various difficulties that will arise in adopting this approach, some of which may not be overcome for objective reasons.” At last, He Bingdi made such a conclusion: “The origin of the book remained unclear today and it remains to be investigated whether the segments were improved by scholars in late Zhou instead of raw material coming from early Zhou. Some prerequisites to this approach are to clearly define the technical terms concerning moon phases, to determine month division adopted in early Zhou and to clarify specific adjustments in intercalation, none of which has had a final conclusion yet. On top of that, more important prerequisites remained to be investigated, that is, whether the method of numbering days using Heavenly Stems and Earthly Branches dates back to the turn of Shang and Zhou and has prevailed since without interruption or confusion. With all these prerequisites undetermined, it is like putting the cart before the horse when Liu, regardless of insufficient supporting knowledge, attempted to time the historical event according to the records in The Triumph of King Wu using calendars made out of nowhere.” He Bingdi’s arguments cited above are not targeted at Liu Xin alone, but at all those who sought to time King Wu’s attack using the material in The Triumph of King Wu. Though the reliability of the documents requires further investigation, skepticism about everything cannot help solve problems. As a matter of fact, an increasing amount of evidence indicates that what is recorded in the book is mostly likely to be true. For example, the date when the Battle of Muye took place was Jiazi according to the book, the inscriptions on the bronze ware Li Gui, which was unearthed approximately two thousand years later than Liu Xin’s time, proved its truth. (4) Some other scholars directly denounce Liu Xin’s forging the historical material. Scholars who hold such an opinion seem to lack some necessary trust in ancient people. According to them, Liu Xin tampered and forged some historical materials just for some personal purposes to go along with his calculation results attained through his Santong calendar. When Ling Zhoujiu, according to Sayings of the States-The State of Zhou, recounted to King Jing of Zhou the celestial phenomena during King Wu’s attack on King Zhou of Shang, he said these materials were forged by Liu Xin and inserted in the book. He Youqi, who most firmly held this opinion,

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remarked, “In the same book, the chapter ‘Zhu Wu She’ stated that ‘King Wu attacked King Zhou of Shang in the year when Planet Sui was at Chunhuo, and that was when we had a dividing line.’ This was a doctrine created by Liu Xin. According to the author’s research, this chapter was forged by Liu Xin and then inserted into Sayings of the States. No researchers have made comprehensive research into the chapter; instead, focusing all their attention on ‘Planet Sui was at Chunhuo,’ they hastily started their calculations and arguments. What conclusion could be reached is therefore imaginable. It sounds absurd enough that the term ‘Planet Sui was at Chunhuo’, one of the twelve star orders, could be spoken out by a scholar in the Spring and Autumn Period” (He Youqi, The Issue of When King Wu’s triumph over King Zhou of Shang, A Collection of Treatises on Chronology about Western Zhou). In effect, this Jupiter-related chronology, or Planet Sui Dating System, appeared more than ten times in the two books, Sayings of the States and Zuo Qiuming’s Commentary on the Spring and Autumn Annals, and most of the accounts were not related to the historical event. Could it be that Liu Xin made up all this, including the other 11 star orders in the two books, just for the sake of conforming to what Ling Zhoujiu said? In our opinion, the Jupiter-related chronology was very likely to be widely used in the Spring and Autumn Period though whether it originated from early Zhou was uncertain. It is thus not absurd at all that a scholar in the Spring and Autumn period like Liu Zhoujiu could utter such a technical term. Another evidence they used to denounce Liu Xin’s forgery was Duke Lu chronology. In the book Santong calendar-Shi Jing, the years were designated by Duke Lu’s reign period, but compared to Records of the Historian-Lu, there are significant differences in the reign years of the three Lu dukes. In Investigation into the Chronology of the Western Zhou Dynasty, Chen Mengjia argued that Liu Xin made alterations in Records of the Historian-Lu to make it in conformity with the number of years of the Zhou Dynasty as he designated. Dong Zuobin, in his Calendar of the Western Zhou, also held that it was certain that Liu first determined the year of King’s Wu’s conquest and then made corresponding adjustments in Duke Lu chronology. For these criticisms, it may be fair and equitable to say that the end of Western Han Dynasty was not distant from the completion of Records of the Historian, so the knowledge of the reign years of Lu dukes is almost common sense for historians, and it is no easy task to make alterations. Furthermore, to alter the data to make it in conformity with the year when King Wu attacked King Zhou of Shang is to undermine the reliability of reign years of Lu dukes. Actually, it is unreasonable to argue against Liu in terms of Duke Lu chronology. For one thing, the reign years of Lu dukes in Records of the Historian-Lu did not change with Shi Jing. For another, he and Sima Qian were nearly contemporary, so similar historical materials might be within their reach; what was more, together with his father Liu Xiang, Liu Xin once participated in the collation of the royal collection of books, so perhaps a much wider range of books might be available to him than to Sima Qian, and absolutely he could determine how long Lu dukes were on the throne based on the historical materials available to him. In addition, the book Records of the Historian may not be as highly respected as it is today, its opinion as to the

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chronology of early Western Zhou may be just one of the diverse opinions. If so, there was no need for Liu to tamper with what was in Records of the Historian. (5) Other scholars questioned about Liu Xin’s moral quality. Why did they say so? That is all because of Liu Xin’s rough life experience. Here are two incidents about how he had offended some people. Liu once intended to list three books among school textbooks Zuo Qiuming’s Commentary on the Spring and Autumn Annals, Mao Shi (known as Book of Songs today), Classics of Rites (Yi Li), and Book of History in Ancient Script (Guwen-Shangshu). This caused great dissatisfaction among scholars and Liu was thus slandered. The generations of disciples of these scholars of course spoke poorly of Liu. Upon the appearance of Liu’s Shi Jing, there were dissenting voices, of which many were through no academic causes. Liu’s other thing that was regarded as being “against the rites” was that he served Wang Mang as advisor. As a throne usurper, Wang Mang was not able to hand down his throne to his offspring; instead, his regime was overthrown soon and he himself died a shameful death. Though Liu killed himself after his failure to overthrow Wang Mang’s regime through secret military action, his “reputation” was not restored after his death because of his former close relationship with Wang. Even in modern times, such questions would still arise as “The Santong calendar was made by Liu Xin, who made up false classics to please Wang Mang. With false documents selling so well, how could we believe in the truth of the calendar?” As is often said, great learning reflects noble moral quality and vice versa, but moral quality probably has nothing to do with one’s learning. Plus, Liu Xin’s not observing Confucian doctrines is not a matter of moral quality. Therefore, it is not advisable to negate Liu Xin’s character from the viewpoints of Confucian doctrines and go so far as to negate his learning. The above summarized negative opinions of generations of scholars about Liu’s work in astronomical chronology. Of course, some scholars hold positive attitude toward his work. Fan Wenlan (1893–1969), a distinguished modern historian, in his General History of China, commented on Liu’s work in this way. “Liu Xin developed a complete calendric theory and produced Shi Jing, in which the date information about historic events recorded in classic texts could all be calculated through the Santong calendar. Despite its questionable accuracy, it made contributions to chronologic exploration.” Fan Wenlan emphasized Liu’s pioneering work in chronology, regardless of whether the results were right or wrong. About Liu’s work in chronology, Zhang Hongzhao (1877–1951), a modern geologist, mineralogist, and professor, commented on Liu’s work like this: Talented in calendar making, Liu Xin was able to figure out Planet Sui (Jupiter) was one star order ahead every 144 years and designate 30 yuan of the Taichu calendar as Shangyuan. In addition, he was able to figure out that the year when King Wu of Zhou attacked King Zhou of Shang was the 142, 109 years through moon-phase recordings in Book of History and Jupiterrelated annals in Sayings of the States-The State of Zhou. He also added, “To date the early Zhou Dynasty in the current dating system, the Gregorian calendar, essential conditions are Liu Xin’s three research results: days of new moon and full moon, reign years of dukes and that year Planet Sui was at Chunhuo. These rules were

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afterwards observed by great astronomers like Yixing and Shinzo Shinjo, except that there were various calendars and interpretations” (Zhang Hongzhao, Investigation into King Wu Conquering Yin, Research on King Wu Conquering Shang). Here he stressed Liu’s pioneering and founding work in dating events in ancient times, especially in the Western Zhou Dynasty. Though later scholars like Yixing and Shinzo Shinjo differed in their specific calendars and interpretations for ancient documents, what they followed in problem solving was none other than Liu’s train of thought.

3.2.2

Reasonable Evaluation of Liu Xin’s Chronological Work

In evaluating the work of ancient people from the angle of modern people, we should first set up a principle, as is previously mentioned in this paper, that we should not judge their achievements simply according to whether the results are right or wrong. As time has progressed to today, we are without doubt superior to the ancients in many aspects. For instance, when Liu Xin made his Santong calendar, what his time could offer him were solely bamboo chips, whereas at present we have personal computers available. Besides, in the final analysis, our superiority is also founded on the contributions of ancient people. That is why we must first focus on his achievements in methodology in our evaluation of his chronological work. First of all, Liu Xin was the first to put forward a dating method using astronomical records. This methodology has the Santong calendar as its theoretical basis and Shi Jing as a concrete research result. This methodology can stand the test of even today’s standard. By saying “stand the test,” we do not mean his conclusions were absolutely right but that his dating method was theoretically systematic and that his process of reasoning was clear, both of which conform to the present academic standard required of a general theory. We will be clear about how the result was reached after reading Shi Jing. This result is repeatable and does not vary from person to person. With Liu’s method and initial value, anyone can come to the same conclusion. This definiteness of his chronological method makes it easy for descendants to understand, grasp, and inherit it and to know clearly where its mistake lies. As we all know, no theory can boast everlasting correctness, which can only be relative. In effect, according to the definition of science given by a school of philosophy of science, falsification is a feature of a scientific theory. Hence, we can say that Liu’s chronological theory is a scientific theory that fits in with its historical background. His pioneering work, that is, dating historical events using astronomical records, opened a new field of chronology, which is currently known as astronomical chronology. He was also the founder of another discipline: bibliography. Following his father, Liu Xin edited the royal collection of books, sorted them out and wrote a book called Qi Lue, so he well deserved to be the founder of bibliography. On top of that, he was the inaugurator of the school of classical learning based on earlier texts, despite the fact that he was severely criticized by some of his contemporaries and later scholars. Now we have also to attribute the founding of

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astronomical chronology to him. Scholars after him made consistent effort in the research in this field, not vigorously but precariously. As a matter of fact, research in this field requires a good knowledge of specialized knowledge, including astronomical and calendric knowledge. Astronomy learning in ancient China, however, was prohibited for ordinary people. This determines that this discipline cannot develop into a notable doctrine. The work of astronomical chronology throughout the history was basically part of calendric work, with its research outcomes preserved in Annals of Calendars of history books. Shi Jing, for example, was affixed to the Santong calendar and his outcomes in astronomical chronology were preserved in Comments on Calendars (or Li Yi), that is, Comments on the Solar Motion and Comments on the Five Planets. Another important contribution made by Liu Xin was that he cited many important ancient documents in his Shi Jing. The original texts of some have already been lost, but those paragraphs cited in Shi Jing have been fortunately preserved until today. The most well-known example is Book of History-The Triumph of King Wu, which recorded some significant events around the Battle of Muye together with their corresponding calendar days and Heavenly Stem-Earthly Branch. Three paragraphs of the book were cited in Shi Jing. It was Renchen of the first month, Pang Si Po, the second day of the lunar phase. The next day being Guisi, King Wu started off from the Zhou capital for the military camp, ready for the punitive expedition. It was Ji Si Po, the first day of the lunar phase of the second month, five days later was Jiazi. The Shang Dynasty was completely overthrown. It was Ji Pang Sheng Po in the fourth month. . .six days later was Gengxu. King Wu performed in the royal ancestral temple the ritual of Liao Ji in which such sacrifices as silk, pig head placed on an alter were burned to pay tribute to the Heaven. The next day was Xinhai. King Wu offered sacrifices. Five days later was Yimao. Sacrifices from the smaller states were offered in the royal temple.

The message conveyed in the three paragraphs plays a crucial role in dating the event of King Wu’s triumph over King Zhou of Shang. Despite the fact that historians of all generations, including those in modern and contemporary times, have mostly had veiled criticism against Liu Xin and even censured him for forgery, surprisingly enough, they all hold that these three paragraphs were indeed cited from The Triumph of King Wu, which perhaps shows that there are more reasons for us to believe than to disbelieve him. From philological research in recent years, scholars have found that these three paragraphs may have the same origin as part of Yi Zhou Shu-Shi Fu Jie: It was Bingwu, the sixteenth day of the first lunar month, and the next day was Dingwei. With King Wu as the leader, the allied army started off from the Zhou capital and went on a punitive expedition, aiming to overthrow King Zhou of Shang. When it passed the first day of the next month, on the morning of Jiazi, five days later, the army reached Shang capital, killed King Zhou and captured approximately one hundred Shang officials.

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Or the fact may be that Wu Cheng (The Triumph of King Wu) is just another version of Shi Fu Jie. In the beginning, this finding undermined the reliability of the former, since quite a few bibliographers held that Yi Zhou Shu was completed in the Warring States Period. Recent research, nevertheless, indicates that some texts in Yi Zhou Shu might date back to a far distant period. As far as Shi Fu Jie is concerned, it depicted very bloody killings. According to it, King Wu captured and killed thousands of wild animals, like tigers, bears, elks, and deer, cut off over one million left ears, captured over three million enemy soldiers, destroyed 99 and conquered 652 states; King Zhou surrounded himself with jades and burned himself. Brutal customs like this did not conform to the civilized image of the Zhou Dynasty, which was in favor of ruling with rites. For this reason, many people doubted about the truth of what was depicted in Shi Fu Jie. Yet archeological findings in recent years have proved that what was depicted in the book might be true. The unearthed bronze ware Li Gui, in particular, proved that the day of King Wu’s triumph was indeed Jiazi, because the inscriptions on the ware said: King Wu of Zhou attacked King Zhou of Shang and, on the morning of Jiazi, when Planet Sui was right in the sky, his armed forces seized the capital of Shang and annihilated the dynasty overnight. On Xinwei, eight days later, King Wu awarded his men according to their contributions. Li, as an officer, was awarded large quantities of such metals as bronze and tin, and he then utilized them to make this sacrificial utensil in memory of his forefather, Duke Tan.

The inscriptions introduced why and how the King of Zhou had the officer named Li make a Gui (ancient vessel) as a reward to him. In this citation, King Wu won the decisive battle against King Zhou of Shang on the morning of Jiazi. Evidence of all kinds has proved that Liu did not forge texts in The Triumph of King Wu in his citation, and historians have long believed that what Liu Xin cited was indeed from the ancient book. Then, was it necessary for him to forge any other things? We are strongly convinced that in solving the chronological problems, Liu Xin, like the majority of contemporary scholars, observed basic professional conscience and academic standards: on the one hand, he was well aware that his calculation results in the calendar were correct; on the other hand, he tried to cite the acknowledged historical facts to support his conclusion. If some of his statements are found not to conform to ancient literature, we should hold the belief that that was not forgery but a conclusion he reached by way of inference.

3.3

Inheritance of Liu Xin’s Method: Yixing’s Work in Astronomical Chronology

Yixing’s work in astronomical chronology is preserved primarily in Comments on the Dayan Calendar, according to which we have sorted out the following table, Table of Yixing’s Achievements in Astronomical Chronology (Table 3.4). It can be

New moon was on Gengxu of the 9th month

The year of Guisi, the 5th year of Zhongkang’s reign (2128 BC)

Winter solstice was at the 6th degree of Maiden

Planet Sui (Jupiter) was at the order of Chunhuo

The year was Yimao (1122 BC)

Emperor Cheng Tang of Shang attacked Jie of Xia The 628th year of Shang

Solar eclipse was at the second degree of Room

Winter solstice was at the 11th degree of Maiden

Comments on the Dayan Calendar The 432th year of Xiahoushi

1st reign year of Emperor Cheng Tang of Shang (1738 BC) The 2nd year of Taijia’s reign, the year of Renwu? (1659 BC)

The year of Renxu (1739 BC)

Month and date

Year First year of Emperor Yu of Xia, Renzi (2169 BC) The 12th year of Taikang’s reign, the year of Wu-Zi? (2133 BC)

Table 3.4 Yixing’s achievements in astronomical chronology

King Wen of Zhou passed away

Events

(continued)

Modern calculation result shows that during that year, the sun was at the 8th degree of the constellation of Maiden and there was a deviation of 2 days in winter solstice on the Dayan calendar

Modern calculation result shows that during that year the sun was at the third degree of Emptiness. And there was a deviation of 3 days in winter solstice on the Dayan calendar Book of Xiashu-Ying Zheng: new moon appeared in a fall, and a solar eclipse occurred at the constellation of Room

Documents, notes

3 Liu Xin and Ancient Astronomical Chronology 83

Month and date The 2nd month on the Shang calendar

Wuzi, the 10th month on the Xia calendar (Nov. 26, 1112 BC)

Gengyin, 1st month on the Zhou calendar, new moon (Nov. 28, 1112 BC)

Year The year was Gengchen, the first year of King Wu’s reign (1121 BC)

The year was Yichou, the 10th year of King Wu’s reign (1112 BC)

The year was Gengyin, the 11th year of King Wu’s reign (1112 BC–1111 BC), the year of King Wu’s triumph

Table 3.4 (continued)

Planet Sui reached the order of Chunhuo and the sun and moon were aligned at 1st degree of South Dipper

The sun was at the 10th degree of Winnowing Basket, in the early morning, the moon was at the 5th degree of Room

Comments on the Dayan Calendar New moon was on Bingchen in the first month of spring.

The allied army of Zhou started its punitive expedition

Events King Wu ascended the throne.

Documents, notes History of the Zhou Dynasty: King Wu visited Duke of Zhou on Bingchen, new moon in 2nd month after he ascended the throne Modern calculation result shows that that year new moon was on Dingsi (a deviation of 1 day) in 2nd month on the Shang calendar Sayings of the States-The State of Zhou: When King Wu initiated a military action against Shang, the moon was at Tiansi and the sun was at Ximu. . . Modern calculation result shows the same Sayings of the States-The State of Zhou: When King Wu attacked King Zhou of Shang, Planet Sui (Jupiter) was at Chunhuo. . .Mercury was at Bucket. . . Bamboo Book: Geng-Yin, the 11th year of King Wu’s reign, he started his attack on Shang

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Jiachen of the 4th month (Apr.11th)

New moon

Wuzi, the 2nd month on the Xia calendar 2nd month on the Xia calendar and 4th month on the Zhou calendar Full moon

Zai Sheng Ming (哉生明, the third day of the lunar phase)

Mercury was at Tianyuan, in the first period of the hot season

Mercury could be seen at dusk, at the 20th degree of South Dipper

Wuwu of the first month (Dec. 26th)

Guisi of the first month (Dec. 1st)

Renchen of the first month (Nov.30th)

King Wu returned triumphantly, and reached Feng (in present Xi’an)

King Wu’s army set out from the Zhou capital for the camp. King Wu’s troops sailed across Mengjin.

Liu Xin and Ancient Astronomical Chronology (continued)

Modern calculation result shows the same

Modern calculation result shows that it was true that Gengyin, the first month on the Zhou calendar saw new moon but that year Jupiter was at Xuanxiao, not Chunhuo The Triumph of King Wu: Renchen of the first month saw Pang Si Po (the second day of the lunar phase) Modern calculation result shows that Mercury was seen at dawn, at the 5th degree of Ximu, Winnowing Basket The Triumph of King Wu: the next day was Guisi, King Wu started his punitive expedition Modern calculation result shows that Mercury was at the order of Xingji, 5th degree of Maiden, with Tianyuan ahead. And it was the third period of the hot season, not the first Modern calculation result shows the same

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The 6th year of Revolution of Zhou (1105 BC) The 7th year of Duke Zhou’s regency 1098 BC

1st year of Revolution of Zhou (1110 BC)

Year

Table 3.4 (continued)

Jiaxu of the second month (Jan. 3rd) Yichou of the 2nd month

Gengxu of the 4th month (Apr. 17th)

Month and date Yisi of the 4th month (Apr.12th)

Full moon

New moon

Jupiter regressed to the order of Chunshou and then progressed to the order of Chunwei

Comments on the Dayan Calendar Ji Pang Sheng Po (既旁生霸, the 17th day of the lunar phase)

King Wu passed away

Zhou initiated a revolution

King Wu performed the sacrificial ritual, Liaoji in the royal ancestral temple

Events

Modern calculation result shows the same Zhao Gao: It was Ji Wang (the 16th day of the lunar phase) of the 2nd month and six days later was Yiwei. King Wu started off from the Zhou

Documents, notes The Triumph of King Wu: Ji Pang Sheng Po, in the 4th month. . . The Triumph of King Wu:. . .on the day of Gengxu, King Wu performed the ritual of Liao Ji in the royal ancestral temple Modern calculation result shows that in that year Jupiter traveled from Juzi to Xianglou and then regressed to Juzi and progressed to Xianglou again. It was not in the orders of Chunshou and Chunwei

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30th year of King Cheng’s reign

1st year of King Cheng’s reign (1097 BC) The year of Bingwu, the 3rd year of King Cheng’s reign (1095 BC)

Yiyou of the 4th month Jiazi of the fourth month

Jiachen of the 3rd month (Feb. 2nd) Bingwu of the 3rd month

New moon Zai Sheng Po (哉生魄, the 16th day of the lunar phase)

Planet Sui (Jupiter) was at the order of Dahuo

Moon rise (the third day of the lunar month)

Real new moon

King Cheng ascended the throne.

(continued)

Gu Ming: On Zai Sheng Po (哉生魄 the 16th day of the lunar phase) in the fourth month, the King fell ill; and on the day of Jiazi, he eventually began to wash his face and hands

Guoyu (Sayings of the States): Tang Shu was granted the fief of Jin and that year Planet Sui was at Dahuo Modern calculation result shows that in the first half year Jupiter was at Shishen, and in the second it was at Chunshou

capital, and arrived in Feng (in present Xi’an) Modern calculation result shows the same. Zhao Gao: Bingwu saw moon rise and three days later was Wushen, Duke Zhou arrived in Luoyang in the morning

3 Liu Xin and Ancient Astronomical Chronology 87

Year The year was Yiyou, the 12th year of King Kang’s reign (1056 BC)

Table 3.4 (continued)

Gengwu of the 6th month.

Month and date Wuchen of the 6th month Third day

Comments on the Dayan Calendar New moon Events

Documents, notes Modern calculation result shows the same Bi Ming: in the 12th year, Gengwu of the 6th month was the third day of the lunar phase. And three days later it was Renshen; the King entrusted Duke Bi with the whole Zhou state Dayan calendar: it was 56 years later after King Wu’s conquest

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found that when he drew upon astronomical records to date historical events, Yixing had similar train of thought and solutions to some specific problems to Liu Xin. As for the period of the Xia and Shang dynasties, Yixing adopted the data provided in Shi Jing, that is, 432 years for Xia dynasty and 628 years for Shang dynasty. Yet, after all, it was 700 years later, when astronomy saw much more progress and naturally, Yixing should have a better knowledge of astronomy than Liu Xin. Yixing was able to improve some of Liu’s calculations. Modern calculation results show that in terms of the determination of the moments of syzygies and winter solstice, Liu Xin gave results with greatly improved accuracy. In terms of the moment of syzygies in the initial period of the Western Zhou Dynasty, there was a deviation of 3 days in Liu Xin’s calculation result and 1 day in Yixing’s, or basically no error. As for the determination of the moment of winter solstice, there was a deviation of 6 days for the Western Zhou in Liu Xin’s calculation and a mere deviation of 3 days for the initial period of Xia in Yixing’s calculation and no deviation at all for the beginning of Western Zhou. Yixing, so to speak, had a better knowledge of the law of solar and lunar motion than Liu Xin. In terms of the movement of Jupiter and Mercury, nevertheless, Yixing’s calculation result was no more accurate than Liu Xin’s. This is particularly true of the location of Jupiter in the celestial sphere, on which both astronomers relied in their dating system. As has been mentioned above, “Chaochen of Planet Sui” proposed by Liu Xin was inaccurate, but Yixing was not able to correct it. Instead, he put forward a reconciled motion mode of the planet, arguing that Jupiter moved one star order forward every 120 plus years from Shang dynasty to the Spring and Autumn Period, and then it accelerated and did not slow down until the years of Emperor Ai and Emperor Ping of the Han Dynasty, at a pace of one star order ahead every 84 years. It should be acknowledged that the two modes brought forward by Liu Xin and Yixing seem to be absurd in our eyes, but we should notice that the reason why they put forward the motion modes was to better interpret observation data of Jupiter. To determine the motion of a celestial body takes observation data over a long period of time. What was available to Liu Xin at that time was the information about Jupiter recorded in Zuo Zhuan (Zuo Qiuming’s Commentary on the Spring and Autumn Annals) and Gu Yu (Sayings of the States), based on which he brought forward the notion of Jupiter’s one-star-order ahead every 144 years. Yixing was able to have access to more observation data, most of which were collected after Liu Xin’s time. As for those prior to him, Liu should have better access to Yixing. Therefore, it was hard for Yixing to produce a quite different result of the rate of Chaochen (超辰). The observation data after Liu’s time were closer to the truth, and Yixing was able to produce a more accurate value according to them. Our astronomical knowledge tells us that solar planets orbit the sun under the gravitational force, whose motion is quite stable over a very long period of time. Then it is impossible for Jupiter to vary its speed. On the part of Yixing, however, there is nothing wrong with him to have drawn a conclusion that fitted in his times. Despite a good many similarities between the work done by Yixing and Liu Xin, Yixing drew independent conclusions in terms of some key time nodes. For one

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thing, the former grasped more advanced astronomical knowledge; for another, the former had access to some materials impossible to be available to the latter. Bamboo Book-Chronology is such a material. Unearthed from an ancient tomb dating back to the Warring States Period in the second reign year of Taikang of Western Jin (281AD), the book was Chronicles written by a Wei historian in the Warring States Period. In the book, it stated that “The 11th year, Gengyin, Zhou started to attack Shang,” which was an important argument employed by Yixing to date King Wu’s conquest. The above table shows that King Wu conquered Shang in Gengyin. Nowadays, nevertheless, it is generally acknowledged that Stem-Branch chronology did not appear until later Western Han, so it is suspected whether the above statement about King Wu’s triumph in Gengyin is reliable.

3.4

Astronomical Chronology Based on Modern Astronomical Methods

Zhao Guangxian’s treatise, Dating King Wu’s Conquest Over King Zhou of Shang from Records of Celestial Phenomena, published in Historical Research, cast doubts about “dating ancient events using later-made calendars,” arguing that “the conclusion reached in this way cannot be convincing.” Then he highlighted two citations from Huainanzi-Bingluexun (Writings of Prince Huainan-Admonitions on Arts of War) and Guyu-Zhouyu Vol. 2 (Sayings of the States-The State of Zhou), based on which astronomers, drawing upon modern astronomy, can date King Wu’s conquest. The citation from the former goes like this: “When King Wu attacked King Zhou of Shang, Planet Sui appeared in the eastern sky,. . . and a comet also appeared, with its head pointing eastward, the direction of Yindu (the capital of Shang).” The citation from the latter is what Ling Zhoujiu said to King Jing of Zhou, “When King Wu went on his punitive expedition to seize Yindu, Planet Sui was located at the order of Chunhuo, Moon at Tiansi, Sun at Ximu, Mercury at Bucket, Venus at Scorpio, all of which were found in the northern celestial sphere.” Actually, the two practices, dating ancient events using later-made calendars and dating such historical events as King Wu’s triumph according to the documentary astronomical records, are the same in essence, both from the perspective of astronomical chronology. Furthermore, the celestial phenomena described by Ling Zhoujiu to King Jing of Zhou were the primary foundation Liu Xin and Yixing reckoned on. Hence, we are convinced that what Zhao Guangxian was skeptical about was whether ancient calendars were accurate enough to satisfy the requirements of chronological study. It is of course fine to raise doubts from this perspective since our analysis above also shows that some calendric data produced by the two were not accurate enough and their knowledge of the motion law of some celestial bodies was incorrect. Astronomical chronology, however, with modern astronomical methods as the foundation, is just an inheritance and development of the practice “dating ancient events using latermade calendars” initiated by Liu Xin. Astronomical chronology based on modern astronomical methods is featured with a correct knowledge of the movement law of celestial bodies and enhanced

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ability to reckon the celestial phenomena at a given moment. As has been mentioned above, a comet appeared in the eastern sky at the time of King Wu’s conquest. Attempting to draw upon this record to date King Wu’s conquest is a typical case where modern astronomical methods are involved in solving chronological problems. The late Director of Purple Mountain Observatory, Chinese Academy of Sciences, Zhang Yuzhe, Irish-Chinese astronomer Jiang Tao both studied these statements from Writings of Prince Huainan, especially the former, whose research exerted a great influence on the Chinese historical field. Presupposing that the comet mentioned in the book was Halley’s comet, they attempted to date King Zhou’s triumph by, combined with other historical materials available, reckoning the moments in history when the comet passed the perihelion. Nevertheless, we should say that there are very small chances that the celestial body was Halley’s comet and even if it was indeed Halley’s comet itself (Xie Yuanzhen, On Dating King Wu’s Conquest Over Shang, Research on King Wu’s Conquest Over Shang), big error would occur in reckoning the 40th passing back in time. The results attained by the two astronomers, for instance, showed a gap of 2 years. Yet, reckoning the motion of comets was a very specialized field in celestial mechanics and astrometry, historians chose to respect the result obtained by astronomers or to accept it, blindly to some extent. For example, where some historians were in disfavor of Zhang’s reckoning result, they still declared that it was beyond doubt that both Jupiter and Halley’s comet appeared at the order of Chunwei (the ninth of the 12 star orders), which has been proved by modern astronomy. This opinion is quite representative. Nevertheless, there is nothing “beyond doubt” in scientific research. Modern astronomical methods failed in its attempt to be used in chronological research. Then, does this mean that modern astronomical methods will not work in the field of chronology? Absolutely not! It is with such methods that we have been able to prove that the information about comet motion is not adequate for chronological purposes. In ancient astronomy and calendar, it was impossible to study the motion law of comets as some inauspicious connotations were attributed to them in astrology. With the development of astronomy, people have come to know that some comets return periodically, which property can be taken advantage of for chronological purposes. Further studies in celestial mechanics suggest that accurate prediction of comet motion is difficult because the motion becomes extremely complex due to gravitational perturbation from larger planets and nongravitational perturbation from sunlight pressure, mass loss of comets, and other factors. All this knowledge comes from none other than modern astronomy. Considering the present theoretical level, it is rational to exclude comets from celestial phenomena for chronological purposes. Yet, we are still able to use other astronomical records for dating purposes, particularly some common ones, which may play an unexpected role in chronology. In chronology, celestial phenomena conventionally used for dating purposes are solar eclipses, which, though rare, can be precisely determined, accurate not just to month and date, but to hour and minute as well. In ancient China, records of solar eclipses at known time were usually employed to test the accuracy of a calendar; those in Spring and Autumn Annals, for instance, were often used for this purpose. For another example, Yixing, via his Dayan calendar, determined a solar eclipse,

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so-called Solar Eclipse of Shu Jing recorded in Book of Xia-Ying Zheng, to have occurred in the reign years of Zhongkang (the fourth sovereign of the Xia Dynasty). In dating the solar eclipse of Shu Jing with modern astronomical approaches, we are in essence doing the same as Yixing did. Records of the locations of the sun, the moon, and the five planets in the star background are important data for chronological purposes. The abovementioned celestial phenomena described by Ling Zhoujiu formed a picture of celestial bodies in relation to one another. The location of any single celestial body does not suffice to exactly date King Wu’s conquest, but that of a group will effectively help us to narrow the time scope required. More common celestial phenomena, like a star rising, setting, reaching the meridian or the altitude variance of the sun at noon, can be of service in chronology. All the abovementioned celestial phenomena can be reckoned by modern astronomical means, enormous computation no longer posing a problem at all. Though enhanced computation competence does not result from the development of astronomy, such ability is extremely vital for research in astronomical chronology. In the past, some historians with solid academic foundation, when they conducted research in astronomy and calendar, had to rely on the calculation results provided by others or to consult published calendars. This, obviously, constrained their research: astronomical evidence available to them was often scattered and incomplete. However, no possible calculation result will be left out at all in modern astronomy, where computer programs, starting from the basic principles and modern astronomical data, are used for reckoning the celestial phenomena in question. This was unimaginable in the non-computer age, when it might take a lifetime for a scholar to work out one of the results, which, so hard won, he would more often than not put irrational feelings into and strongly wish to be correct. Of the great many views about King Wu’s conquest, nearly every one was a scholar’s lifetime achievements, who, faced with a new different opinion, would do his utmost to maintain his own opinion or even declare that he would “be forever unrepentant.” That is why there are so many different views concerning this issue. A scholar’s attempt to maintain his own view is not just human but also essential to the normal operation of academic ecology. After all, if every scholar tended to change his view, that would be abnormal. In conclusion, large amounts of computation made possible by computers is a change in quantity, but as a saying goes, “A change in quantity entails a change in quality.” Astronomical chronology based on modern astronomy has bright prospect, and the research tradition initiated by Liu Xin can continue to be carried forward in modern times. (Translator: Yongling Wang) (Proofreader: Caiyun Lian )

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References 1. He Bingdi. (1974). Comments on the years in early Zhou. Journal of The Chinese University of Hong Kong, the first issue in 1974. 2. Jiang Xiaoyuan. (1991). Origin of astronomy (Chapter 3). Shenyang: Liaoning Education Press. 3. Zhu Fenghan, & Zhang Rongming. (1988). Review of chronology about Western Zhou Kings (Research on Chronology about Western Zhou Kings). Guiyang: Guizhou People’s Publishing House.

4

The Ancient Chinese Timekeeping Instruments Kehui Deng

Contents 4.1 The Political Systems Concerning Time Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 Ancient Chinese Time Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3 Clepsydrae in Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.1 Single Dripping Water Clepsydra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.2 Multilevel Compensation Clepsydra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.3 Steelyard Clepsydrae . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.4 Overflow Type Clepsydra with Water Inflow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.5 Multilevel Compensation Clepsydrae Combined with Overflow . . . . . . . . . . . . . . . . 4.3.6 Other Clepsydrae . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.7 Small Clepsydrae for Civil Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 Sundials in Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4.1 Sundials Prior to the Ming-Qing Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4.2 Sundials During the Late Ming and Early Qing Dynasties . . . . . . . . . . . . . . . . . . . . . . 4.4.3 The Production of the Sundials in the Qing Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4.4 The Features of the Sundials in the Qing Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5 Mechanical Timer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.1 Zhang Heng’s Water-Driven Computational Armillary . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.2 Yi Xing and Liang Lingzan’s Water-Driven Celestial Sphere . . . . . . . . . . . . . . . . . . . 4.5.3 Zhang Sixun’s Taiping Tianguo Armillary Sphere . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.4 Su Song and the Water-Driven Astronomical Clock Tower . . . . . . . . . . . . . . . . . . . . . 4.5.5 Two Artificial Astronomic Water-Driven Celestial Globes . . . . . . . . . . . . . . . . . . . . . . 4.5.6 Guo Shoujing’s Clepsydra of Da Ming Hall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.7 Palace Clepsydra of the Late Yuan Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.8 Crystal Clepsydra of the Early Ming Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.9 Zhan Xiyuan’s Sand Clepsydra and Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter mainly introduces the time-keeping devices in ancient China. Timekeeping, which used to be closely related to the development of astronomy, was attached great importance to by the ancient Chinese. Special institutions were set up to be responsible for time management in various dynasties. In addition, three main types of time laws prevailed: unequally spaced time law, the Hundred Quarter Time Law, as well as the Duodecimal Time Law. Then the chapter illustrates various clepsydrae, such as single dripping water clepsydra, multilevel compensation clepsydra, steelyard clepsydra. Lastly, the chapter introduces sundials, including the making method and their features, as well as mechanical timers made by eminent astronomers such as Zhang Heng, Zhang Sixun, Su Song, Guo Shoujing, among others. Keywords

Time-keeping devices · Clepsydra · Sundial · Mechanical timer

Time measurement in ancient China was done by a special agency established by the royal family and specialized officials were appointed for the management and operation of the agency. At a time when astrology prevailed, the motions of celestial bodies were regarded as manifesting the will of the Heavens, and time measurement, as a consequence, had long been under the rule of official agencies. The making of official timekeeping instruments saw a handful of folk producers and skilled craftsmen, such as Zhang Sixun of the Northern Song Dynasty and Zhan Xiyuan and Zhou Shuxue of the Ming Dynasty. As an independent system, ancient Chinese time keeping devices mainly included clepsydrae, sundials, and mechanical timekeepers. Clepsydrae fell into two types: water-driven type and non-water-driven type; wheel clepsydrae, discovered by the academic world at the end of the twentieth century, incense clepsydrae and rolling-shot clepsydrae just belonged to the latter. In addition to hydraulic armillary sphere, mechanical timekeeping devices also included Guo Shoujing’s Great-Brightness Hall Clepsydra, palace clepsydrae, crystal clepsydrae as well as sand clepsydrae. Here is an introduction to these ancient Chinese timekeepers and their features.

4.1

The Political Systems Concerning Time Measurement

Time measurement is a branch of astronomy. Though today’s time keeping and adjustment has atomic time-frequency as the standard, it still has intimate connection with astronomy. Deeming it essential to have standardized time in their various activities, such as convening a military assembly, holding a sacrificial event or simply going hunting, the rulers established official timekeeping agencies. For the first time, The Rites of

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Zhou (Zhou Li) listed the agencies in charge of time measurement and their specific duties, such as Astronomical Officials (冯相氏, Ping xiang shi), the Official in charge of detecting abnormal astrological and meteorological phenomena (保章氏, bao zhang shi), and the Official in charge of Raising the vessel (挈壶氏, qie hu shi), all of which found constant use in subsequent dynasties. Timekeeping officials recorded in Zhou Rites included: for spring time measurement, time manager (鸡人, Ji ren), Taishi (太史), the Official in charge of observing astronomical phenomena from high positions, Astronomical Officials ( feng xiang shi), the Official in charge of detecting abnormal astrological and meteorological phenomena (bao zhang shi), for summer time measurement, the Official in charge of Raising the vessel (qie hu shi) and for autumn time keeping, the Official in charge of measuring waking hours (司寤氏, si wu shi). With the passage of time, these posts performed basically the same functions despite changes in their names and in which department they were attached to. According to records, spring-timekeeping officials included one time manager, one lower-rank clerk (xia shi li), and four apprentices (tu). Time manager’s obligations were to “to observe the activity of roosters and cattle and consequently report the arrival of dawn and daybreak to wake up all the officials for work.” In the Chinese term “冯相氏,” “冯 feng” reading as “凭 ping,” means upward and “相 xiang” literally means “observing,” so “冯相 ping xiang” means “observing astronomical phenomena from high positions.” The agency consisted of two middle-rank clerks (zhong shi), four lower-rank clerks (xia shi), two storehouses keeper ( fu), four historians (shi), and eight apprentices (tu), and the same was the case with the officials in charge of detecting abnormal astrological and meteorological phenomena. Their duty was to observe the changes in the sun, moon, and stars so as to identify and speculate about good or bad fortune befalling the state. Summer-timekeeping officials were responsible for the management of military affairs and related work. Those who were in charge of time measurement were called the Officials in charge of Raising the vessel, comprised of six lower-rank clerks, two historians, and 12 apprentices. Their obligations were to “raise the vessel in the army to indicate the positions of wells, operate clepsydrae to inform watchmen of time, hang a snaffle and rein to indicate a camping site and hang a bamboo scoop to show a place for grain supply” (Zhou Rites: Summer Timekeeping official Mr. Sima). Autumn-timekeeping officials were responsible for the management of penal code. The Officials in charge of measuring waking hours consisted of two lower-rank clerks and eight apprentices. Their duty was to tell the time during the night according to the positions of stars and, meanwhile, to ensure safety for the capital city at night. In addition, there were officials who were in charge of observing the changes of the gnomon shadow for time adjustment. It can be seen that work division was quite clear in the official timekeeping agencies, signalizing the prominent position of timekeeping in government work. The Zhou Dynasty witnessed significant advances in astronomy: the gnomon was already in use for measuring the shadow of the sun to determine the season and the length of the tropical year; the earth sundial was used for direction determination; the armillary sphere was probably in embryo; basic timekeepers such as clepsydrae saw

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their practical application; 12 Earthly Branches were adopted in chronology; the day and night was divided into twelve parts; ancient people’s star knowledge was remarkably expanded. The rank Court Historian (tai shi), an astronomical official, saw constant use till future generations. In the Qin Dynasty, a primary astronomical official was called Imperial Historian (tai shi ling). The Qin government established a deacon staff (zhan shi) for the management of affairs in the princes’ mansions, among whom was Clepsydra Managers for the Prince’s Mansion (tai zi lü geng ling), a post that was not abolished until the Song Dynasty, whose principal duty was to take charge of the clepsydrae in the palace and accordingly open and close the gates strictly on time to keep good order in the palace. In his annotations, Yan Shigu, renowned Confucianist and historian of Tang, remarked that “the post was called shuai geng because they were in charge of clepsydra time” (Wei Hong: Old Rites in The Han Dynasty (Vol. II)), pointing out the main duties of the post. Inheriting this system from Qin, the Han government had four agencies for clepsydra timekeeping: Imperial Historian on Call (tai shi dai zhao), under Imperial Historians, was responsible for astronomical observations through clepsydrae; Imperial Clepsydra Operator and their subordinates; clerks under Chief of Palace Administration (guang lu xun qing); official slaves in the most important government departments like the Prime Minister Mansion. This system did not cease to be employed by later generations until the Qing period. A handful of ancient clepsydrae were unearthed after the mid-twentieth century, all of which were from the Han Dynasty, sufficing to prove that the clepsydra was not something rare up to that time. Astronomy in the Han Dynasty saw remarkable advances. Lao Xiahong created the armillary sphere in the reign period of Emperor Wu of Han, set up the gnomon and clepsydrae in the third year of Taichu (102BC) to determine the positions of the 28 lunar mansions. Geng Shouchang (?–?) made a bronze armillary sphere to demonstrate astronomical phenomena in the reign period of Emperor Xuan (91–48 BC). Zhang Heng created an armillary sphere driven by leaking water in the reign period of Emperor of the Eastern Han Dynasty. All the above is related to time measurement. The time system of Han was basically inherited by later dynasties before the Sui. According to the records in Annotations on Daily Life in the Jin Dynasty (Jin Qi Ju Zhu), a post called Clepsydra Historian (lou ke shi) was established in the royal palace (Chen Menglei et al.: Collection of Ancient and Modern Books-Calendars (Vol. 99)). On their royal progresses, the emperors were equipped with a carriage named “wu shi che” to take charge of time (Chen Menglei et al.: Collection of Ancient and Modern Books-Calendars (Vol. 99)). In the Northern Zhou Dynasty, the emperors were also equipped with carriages with timekeeping devices on. “Operate the clepsydra and read the rod-indicator” “Announce the time according to the drumbeat, and move the rod-indicator” (Pang Xuanling: History of the Jin Dynasty-Annals on Transportation and Apparel). These records indicate that the supreme rulers attached great importance to time-related work in their daily life. Significant changes took place in astronomical management agencies as time progressed to the Sui Dynasty. Prior to that time, Imperial Historian (tai shi ling) had always been a subordinate organ of Chamberlain for Ceremonials (tai chang), an

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agency in charge of ceremonies in the ancestral temple. The Sui government transferred the leadership of Imperial Historian to Imperial Library, and then upgraded it to an independent institution. History of the Sui Dynasty: Government Positions stated that ten time managers and 110 Clepsydra Managers were assigned for timekeeping in the lord families. In the reign period of Emperor Yang, time managers became subordinate to the Imperial Historian Bureau (tai shi ju). It can be seen that time and clepsydrae played a crucial role not only in the armies but also on royal progresses, with clepsydrae serving simultaneously as sacrificial vessel and guard of honor. Roughly from the Sui Dynasty, a position “Clepsydra Doctor” was established in astronomical agencies (Wei Zheng and others: History of the Sui Dynasty: Government Positions) to be in charge of Clepsydra Managers (Sun Fengji: “Division of Officials” (Vol. 17)). This position sustained in subsequent dynasties, with Clepsydra Managers as subordinates. A major move made by the Tang government was to raise the status and rank of astronomical institutions as well as their officials. Astronomical management body reached its climax size in the Tang period. In the 2nd year of Chang’an (702 AD), the government established a position named “Chief in charge of the clepsydra and time (挈壶正, qie hu zheng)”. In total, there were two chiefs in charge of Raising the Vessel (an eighth-grade rank), 70 Clepsydra Managers (si chen, a ninth-grade rank), 22 clepsydra clerks, nine clepsydra doctors, 360 clepsydra clerks, 112 bell managers-in-charge, 88 drum managers-in-charge, two calligraphers, four administrators (Ting Zhang), and four music managers (Zhang Gu). In 758, a position of Wu Guan was added to the system, with slight alterations in staff and five Wu Guan chiefs in charge of clepsydra and time (a ninth-grade rank proper). In the Tang Dynasty, Clepsydra Managers for the Prince’s Mansion had a considerable size of clepsydra operator staff, whose duties, instead of being confined to “being responsible for the security and time announcement in the royal palace (Wei Zheng and others: History of the Sui Dynasty: Government Positions;),” were to “be in charge of proper order in clans, rites, music and penalties and political decree regarding time.” “Where there are disorderly clans, inappropriate etiquette, unharmonious music, inaccurate water clocks, unlawful penalty, Clepsydra Managers for the Prince’s Mansion are obliged to detect and rectify them. In case that a prisoner should be executed, the official will be present together with the prime minister” (Ouyang Xiu and others: A New Book of Tang’s History: Government Positions). These accounts reveal that time-related work was connected with political decree and affairs, thereby expanding the power scope of the agency. The above reflects that the Tang rulers attached great importance to timekeeping. In addition to the above, time-related work was also reflected in imperial rituals. Timing standards were distinctly stipulated, such as when to refill the clepsydra, which quarter it was at a specific time etc. and unified across the capital and some other places by striking the bell in the bell tower and the drum in the drum tower. The astronomical institution in the Song Dynasty was called the Institute of Imperial Astronomers (Si tian jian), head astronomers being Chief Astronomer (Jian), and Assistant Astronomer (Shao jian). The subordinates included Head Officials for those in charge of timekeeping in spring, summer, autumn, and winter,

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respectively, the Official in charge of astronomical observation, Head Official for those in charge of detecting abnormal astrological and meteorological phenomena, and Head Official for those in charge of Raising the Vessel, who was in charge of clock towers and bells. It remains unclear how many subordinate members it had, but it was likely that it had an enormous staff size. Plus, the Song government established Institute of Astronomy (tian wen yuan), which was equipped with clepsydrae, observatory, bronze armillary sphere, just like in the Institute of Imperial Astronomers. The two institutions inspected and complemented each other, whose memorials to the emperors were “compared in case of fakery and falseness” (Shen Kuo: Dream Pool Essay (Vol.8)). Reform was made in the Yuanfeng period (1078–1085) by replacing the Institute of Imperial Astronomers with Imperial Historian Bureau (taishi ju). Under it, the Institution of Astronomy was established, which was responsible for testing clepsydrae as well as armillary spheres and observing stars through the latter. Another subordinate department was the Institute of Bells and Drums, whose obligations were to announce time according to the bells, drums, and clepsydrae in the Wende Palace. Puzzlingly, there was a promotion system for all the officials in the Imperial Historian Bureau other than Chief in charge of Raising the Vessel (Shen Kuo: Dream Pool Essay (Vol.8)). The Bureau consisted of one Chief in charge of Raising the Vessel (Tuotuo et al: History of the Song Dynasty-Annals of Government Positions 4.), two Timekeeping Clerks (si chen lang), one Lamp Clepsydra Manager (deng lou zhi zhang), and other staff members, whose number remains unclear (Tuotuo et al: History of the Jin Dynasty-Government Officials 3). The astronomical institution of the Liao period (916–1125) was the Institution of Imperial Astronomers, which offered such positions as Imperial Historian, Chief in charge of Raising the Vessel, Clepsydra Manager, Clepsydra Doctor, Bell Manager-incharge, Drum Manager-in-charge, but the number for each position remains unclear. The astronomical institution of the Jin period (115–1234) was in charge of Imperial Astronomy (si tian tai), a branch of the Board of Secretaries (mi shu jian), whose head officials were Board Director (Ti dian), Board Manager (Jan), Vice Manager (shao jian), and a branch department was Clepsydra Department, altogether 25 members and their titles are unclear to us. The Imperial Board of Astronomy (qin tian jian) of the Ming had four departments, one of which was Clepsydra Department, consisting of two Chiefs in charge of clepsydra and time (later one was dismissed), eight Chief Clepsydra Managers (later six were dismissed), and six Clepsydra doctors (later five were dismissed). The Qing government established the Imperial Board of Astronomy as early as the beginning year of the Shunzhi reign-period (1644–1661), head officials being Board Director ( jian zheng) and Vice Board Director ( jian fu). It was comprised of four departments, including Clepsydra Department headed by western expert Johann Adam Schall von Bell. The department was responsible for the management of timekeeping devices, time measurement (clepsydra adjustment), latitude measurement, sacrificial affairs, regular conferences of the emperor and officials, choice of auspicious days for construction projects as well as taboo discrimination.

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Ancient Chinese Time Laws

In ancient China, three types of time laws prevailed: unequally spaced time law (mainly the Sexadecimal Time Law), the Hundred Quarter Time Law as well as the Duodecimal Time Law. Shiji-Tianguan Shu (on Astronomers in Records of the Historian) had the following astrological description and observations concerning Venus: “when it is in the west the weather is gradually dark, Yinqi is gradually more than Yangqi and when it is in the east at day break, the Yangqi is gradually more than Yinqi”. Here, dusk (hun), wane (mushi), midnight (yeban), the crow started ( jiming), daybreak (ming) are all names of quarters of the day. The Commentary of Zuozhuan-the Fifth Year of Duke Zhao recorded that “In a day there are ten periods.” This suggested a decimal time law in the Spring and Autumn Period in ancient China. In its narration, Writings of Prince HuainanAdmonitions on Astronomy mentioned the following 15 time names: Chenming (dawn), Zhuoming (sunshine), Danming (morning), Zaoshi (flea food), Yanshi (feast), Yuzhong (toward noon), Zhengzhong (noon), Xiaohuan, Pushi, Daqian, Gaochong, Xiachong, Xuanche, Huanghun (dusk), and Dinghun (evening); this indicated a sexadecimal time law, which, probably originating from the Spring and Autumn Period, prevailed in the period of Qin and Han. On the basis of statistics and research on bamboo slips of the Han Dynasty, renowned modern archaeologist Chen Mengjia argued that ancient Chinese used to adopt 18 periods in one day. This theory was further developed by others into a time measurement system where the day was divided into 18 shi (时) and one shi into ten fen (分). According to the Hundred Quarter Time Law, the day and night was evenly divided into 100 parts, each part being an ancient quarter (ke) with identical length. In his Explanation of Script and Elucidation of Characters, Xu Shen of the Eastern Han Dynasty said “clepsydrae are bronze water vessels with 100 graduations on its outside, representing 100 quarters of the day and night.” In his annotations to The Chronology of Emperor Yao (Yao Dian), Xu’s contemporary Ma Rong also said, “In ancient clepsydrae, the day and night was divided into one hundred quarters.” According to the day-night proportion and the latitude range where the time law was adopted, some scholars asserted that the Hundred Quarter time law might have originated from the Shang Dynasty. At different latitudes (except the equator), the lengths of day and night vary. This phenomenon was detected quite early by ancient Chinese. For instance, the earliest Chinese calendar The Xia Calendar recorded “the longest daytime” and “the longest nighttime” Book of History-the Chronology of Emperor Yao classified the day and night into Ri Zhong (medium daytime), Ri Yong (longest daytime), Xiao Zhong (medium nighttime), and Ri Duan (shortest daytime). The clepsydra time measurement has always adopted the Hundred Quarter time law in recorded history of ancient China, though for transient periods other systems were in use, such as the 120-quarter system, 96-quarter system, 108 quarter system, and 12 double-hour system.

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Prior to the Warring States Period, ancient Chinese divided the sphere into 12 areas, calling them “twelve star orders.” They also divided the vault of heaven, with the Northern Pole as the center, into 12 positions represented by 12 chens (辰), namely zi, chou, yin, mao, chen, si, wu, wei, shen, you, xu, hai. In accordance with the theory of canopyheavens, the sun completed one revolution around the Northern Pole each day and night, passing the 12 positions, which thus became a yardstick to measure the day and night, known as the equally spaced Duodecimal time law. Zhoubi Suanjing (Zhoubi Computing Classics) completed approximately in the first century BC, recorded such information as “the sun was at the you position” and “the sun was at the mao position.” History of the Han Dynasty: Yi Feng recorded that “the sun was at the shen position” in a story which took place in the first year of Chuyuan of the Emperor Yuan of the Western Han Dynasty, and another recording said “the sun was at the mao position.” In order to better use clepsydrae for nighttime timekeeping, ancient Chinese simultaneously adopted a time law where the night was divided into five equal parts, and it evolved into “Five Gengs Time Law” after the Qin and Han period. In terms of time division, China differed from the West. Ancient Babylonians, divided the day and night into 12 h or six gengs, each geng comprised of two 30-min h. Ancient Greeks adopted a quartering time law in the beginning and around 550 BC, they started to divide the day and night into 12 h, which practice might originate from Babylon; up to the second century BC, however, they transformed their time law into a 24-h unequally spaced one. Ancient Romans also adopted a 24-h unequally spaced time law around the second century BC and the Persians did so quite early. Ancient Egyptian adopted a different 24-h time law from ancient Chinese, where a day, starting from sunrise, consisted of daytime and nighttime, each including three four-hour segments. Joseph Needham asserted that the Chinese clepsydra “was not invented in China” but was “introduced from the cultural centers on the fertile crescent” His assertion was grounded in the following, “clepsydrae originated early in Babylonian culture” and “Both in Babylonia and in Egypt, as we know from cuneiform texts and from actual objects and models recovered from Egyptian tombs, it had already been used for centuries by the time of the early Shang period (1500 BC).” Judging from the above text, Joseph’s argument was untenable.

4.3

Clepsydrae in Ancient China

The clepsydra was one of the most important timekeeping devices in ancient China. Literally Lou Ke in Chinese, the clepsydra consisted of a floating vessel (Lou) which was filled with water, and an indicator-rod, a rod with a scale marked with divisions of time (Ke), used for indicating and measuring day and night hours. Time can be measured by the regulated flow of water and the readings indicating water level against the scale. The appearance of the centesimal system was a remarkable event in the history of clepsydrae, promoting their development and improving their accuracy.

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Clepsydrae in ancient China were given miscellaneous names, such as Qiehu (portable vessel), Lou, Tonglou (bronze clepsydra), Louhu (leakage vessel), Kelou (scale clepsydra), and Fulou (float clepsydra). Generally speaking, clepsydrae are categorized into bronze clepsydrae, jade clepsydrae, glass clepsydrae, and so on in terms of materials, steelyard clepsydrae, candle clepsydrae, bullet clepsydrae, roller clepsydrae, table clepsydrae, jar clepsydrae, lotus clepsydrae, etc. in terms of structure and shape, field clepsydrae, horseback clepsydrae, portable clepsydrae, etc. in terms of purposes. Clepsydrae should also incorporate incense-clock and sand hour-glass. In addition, crystal clepsydrae, Great-Brightness Hall clepsydra, armillary sphere clepsydra, etc. are also clepsydrae except that they have close connection with mechanical time measuring devices. Clepsydrae originated early in China. According to The Book of clepsydrae (Lou Ke Jing) of the Liang period, “The making of clepsydrae may date back to the days of Xuanyuan and thrived in the Xia and Shang period”. History of the Sui DynastyAnnals of Astronomy also mentioned that Emperor Huang initiated the practice of observing water leaking and made containers to store it so as to divide day and night. The invention was inspired by observing water dripping from a vessel. After the 1950s, archaeological workers successively discovered four clepsydrae constructed in the Western Han period and studying them further enriches our understanding of Western Han clepsydrae in such aspects as structure, shape, indicator-rod, scalemarking, usage and accuracy. Archaeological excavation indicated that in early New Stone Age (approximately 10,000 years ago), ancient Chinese people were able to make pottery water containers, which might leak water due to breakage, leading to the discovery of the principle that the loss of water has some correspondence with the elapse of time. Among the large number of pottery wares unearthed from a Yangshao cultural heritage site, the Ginger Village site, Lintong District, Xi’an City, Shaanxi Province, there was a vessel used for filtering liquid from brewed food, preserved now in Xi’an Banpo Museum. From a Yangshao cultural site, the Fulinbao site, Baoji City, Shaanxi Province, a pottery drain cap was unearthed and from a late New Stone Age cultural site, Zijin Village, Shangxian County, Shaanxi a pottery clepsydra was unearthed. Early pottery clepsydrae, drain caps, and brewing vessels are mostly of the mono-vascular type of inflow clepsydrae. The fragility of pottery clepsydrae led to its replacement by bronze ones when times progressed into the Bronze Age. In the period of Xia and Shang, enhanced social productive forces and increased social activities put a higher requirement on timekeeping and called for unity of timemeasuring standard. Book of Rites-Music said, “. . .One hundred represents the constant way of heaven.” Zheng Xuan’s annotation was “This is the centesimal system of time measurement, meaning that the day and night was divided into one hundred quarters (Ke).” Kong Yingda remarked that “The centesimal system contains one hundred quarters, used to divide the day and night.” The centesimal system originated roughly from the Shang period. According to the proportion between the quarters of the day and night, it was inferred that the system was constructed somewhere approximately 36.6° northern latitude, where the Shang capital, Anyang, was on.

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According to their shapes and accuracy requirements, clepsydrae were classified into five categories: single dripping water clepsydra, multilevel compensation clepsydra, steelyard clepsydra, overflow type clepsydra with water inflow, and multilevel compensation clepsydrae combined with overflow. Below is an exposition of each type.

4.3.1

Single Dripping Water Clepsydra

On the type of clepsydrae was a lid, with an aperture in the middle, through which came a bamboo (wooden) float, which, as the water level in the tank dropped, went down to indicate water level. The item and the scale were what were later referred to as floating-boat and indicator-rod. Clepsydrae for military purposes must be portable, and for this reason, the most common clepsydrae for this purpose was “one quarter clepsydra,” that is, the delivery of the tank of water took exactly a quarter (the quarter here and in the centesimal system are both the ancient quarter, correspondent to 14.4 min in modern timekeeping system). Ancient Chinese discovered, in their enduring practice, that a bamboo or wooden float, with a bamboo or wooden scale standing on it, could be used to indicate the water level within the tank to facilitate time management. The unearthed pottery clepsydrae and bronze clepsydrae are all of this type. In primitive times, when social productivity was quite low and social life was rather simple, there was no need or possibility of dividing the day into very accurate time units. What the ancients did was to fill the tank, let the water flow out, mark on a bamboo or wooden piece the time that elapsed – a time unit called a quarter. If necessary, the process was repeated. In accordance with the centesimal system, it took one hundred quarters for a tank of water to flow out.

4.3.2

Multilevel Compensation Clepsydra

Clepsydrae in the pre-Qin period were chiefly used for military purposes, “so that the guards can perform duties and shift turns according to time.” The earliest regulation concerning this refers to the time of Emperor Wu of the Han Dynasty, when clepsydrae were in official use as a timekeeping device. “The Emperor had east and west designated, sundials erected, clepsydrae adopted to record the movement of the twenty-eight lunar mansions in the heavenly sphere.” The inflow clepsydra was invented in this period. This type of clepsydrae was characterized with two receivers, used respectively for reception and delivery of the water. It was also known as “rod clepsydra” owing to the indicator-rod in it. The tank received water and as the water level in the vessel rose, the indicator-rod on the float went up too. The appearance of the inflow clepsydra was a significant milestone in the history of clepsydrae, greatly improving the accuracy of the timekeeping device. The inflow clepsydrae were divided into mono-vascular inflow clepsydrae, two-level compensating inflow clepsydrae, and multilevel compensation clepsydrae.

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The single inflow clepsydra, the simplest type, consisting of a reservoir and an inflow receiver, was invented around the initial year of the reign period of Emperor Wu of Han. The Western Han Dynasty tomb at Hongtushan in Juye County, Shandong Province was excavated in 1977. Among the many funerary objects was a cylindrical object, measuring 79.3 centimeters in height, 47 centimeters in bottom diameter, and 0.7 centimeters in wall thickness. It was claimed in a report that the vessel was perhaps a timekeeping device according to its shape and the signs on the excavation spot. Research shows that it is the reservoir of an inflow clepsydra. Inscriptions on Bronze Vessels of Various Dynasties (Lidai Zhongding Yiqi Kuanshi Fatie) by Xue Shanggong of the Song period recorded a Han-dynasty “clepsydra in a prime minister mansion.” In its lid the vessel had an opening, which probably served the purpose of receiving the water issued from the reservoir. In combination with each other, the vessel and the abovementioned bronze reservoir would make a complete inflow clepsydra. With a single reservoir, the mono-vascular clepsydra had a relatively big error in time measurement. This was because there was an interval before the reservoir was filled again and the water level could not remain constant, causing the instability of the water flow. After many years of practice, the Chinese came up with the idea of installing another vessel above the reservoir. This made it possible to keep constant the water level in the vessel below, which got water supply constantly from the above one. This was two-level compensating inflow clepsydra, through the invention of which, so to speak, the ancient Chinese managed to solve the problem of inconstant water level. When the invention dated back to was unclear to us but according to Professor Hua Tongxu, it might date from the mid and late period of the Western Han. In his Quoted Confucian Classics (chu xue ji), Xu Jian of the Tang period remarked that what Zhang Heng of the Eastern Han Dynasty adopted was a typical bi-vascular compensating inflow clepsydra. It was described as follows, “Made of bronze, the clepsydra consists of two levels. Filled with pure water, the tanks, with apertures in the bottom, deliver water through dragon-shaped jade mouths. The water dripping from above enters two inflow receivers (alternatively), the left one being for the night and the right one for the day. On the covers of each there are small cast statuettes in gilt bronze; the left (night) one is an immortal, and the right (day) one is a yamen runner. The two figures held indicator-rods in their left hands, pointing to the graduations on the interior so as to tell the time.” (See Fig. 4.1.) The two tanks were placed in such a manner as one was above the other at different levels. Since the metrical inscriptions on the two indicator-rods varied from each other, two receivers were simply adopted, one for the day and the other for the night. Bronze fairy and golden runner were utilized to replace the beam of the indicator-rod on the cover. On the one hand, this design ingeniously helped keep the indicator-rod vertical when it moved upwards and downward; on the other hand, it can be used to indicate the time. The bronze delivery pipe was vulnerable to rust, thus affecting the stability of the water flow, so it was replaced by the jade pipe, the mouth of which was carved into the shape of a dragon.

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Fig. 4.1 Diagram of a two-level compensating inflow clepsydra

Later, a three-level compensating inflow clepsydra formed when another tank was added to a two level one. The earliest document to have recorded a tri-vascular compensating inflow clepsydra was Inscriptions on the Waterclock by Sun Chuo in the Jin period. The depiction went like this, “The device consists of three levels of bronze vessels, filled with water. When one vessel becomes filled with dripping water, it will overflow into the vessel below. Water issues from the silver dragon mouth and delivers into the mouth of the frog receiver below.” The inscription was made in 360 AD, so the three-level compensating inflow clepsydra appeared not later than the year. Four-leveled compensating inflow clepsydra was made by a Tang scholar, Lv Cai. “There were four overlaid vessels, the upper tank, the constant-level tank, the constant-level overflow tank and the flow balancer. There was also an indicatorrod reservoir. Originating from the upper tank, water filled in is conducted in turn into the vessels below until it flows into the reservoir so that the indicator-rod, which is marked with graduated lines, will rise to indicate time.” In Lv’s water clock, the pipes were classified into two types: kewu (siphons) and long pipes. Multi-stage type of inflow clepsydra contained up to six tanks above the inflow receiver. The increase in the number of compensating tanks was aimed to stabilize the water level in the lowest tank. Experiment results have revealed that the bi-vascular type should be stable enough so the tanks beyond two are dispensable and more than four are utterly unnecessary.

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Steelyard Clepsydrae

The steelyard clepsydra, a special type of water clock, was invented by the Northern Wei Taoist Li Lan in the fifth century. It told the time by weighing the water that flowed into the receiver. Li Lan’s steelyard clepsydra was documented in Xiu Zhong Ji by Shen Yue of the Liang period and in Chu Xue Ji written by Xu Jian of the Tang period, “Water is placed in a vessel (whence it issues by) a Kewu (siphon) of bronze shaped like a curved hook. Thus the water within is conducted to a silver dragon’s mouth which delivers it to a balance vessel. One Sheng of water dripping out weighs one Jin (half a kilogram), and the time which has elapsed is one quarter (hour).” The so-called Kewu was actually a siphon, an invention of the Han period. The steelyard clepsydra adopted it as the delivery pipe. Of simple design, Li Lan’s clepsydra was intended just to measure the time in the course of making pills of immortality, so it was for civil purpose. According to the book Qi Zhun by Xin Dufang in the Northern Qi Dynasty, “China has seen numerous ancient ingenious devices such as armillary sphere, device (Qiqi), seismograph, bronze water clock, seismoscope. The bronze water clock was likely to refer to Li Lan’s steelyard clepsydra. The most apparent distinction between the steelyard clepsydra and the inflow (or outflow) clepsydra lay in their system of indicating the time. Generally, the steelyard clepsydra had better sensitivity, thus improving the graduations. For instance, “one Sheng of water dripping out weighs one Jin (a unit of measurement, 1 jin ¼ 0.5 kg.), and the time which has elapsed is one quarter (hour).” One Jin of water corresponded to one quarter in ancient measurement system, that is, 14.4 min or 846 s in modern measurement system. Then one Liang of water would correspond to 54 s, which people could easily read from the beam graduations. It was no tough task to converse the weight units into time units or the graduations on the beam showed the time (see Fig. 4.2).

Fig. 4.2 Li Lan’s steelyard

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A large steelyard clepsydra ever made officially for the purpose of timekeeping was an improved version of Li Lan’s. It was documented in Division of Officials (Zhiguan Fenjiby) Southern Song Sun Fengji. It was a constant-level water supply system consisting chiefly of water vessel, water bat, brass basin, Kewu (or siphon), a rabbit-shaped part. It was one of the most important inventions in the history of water clocks. As experiments show, the steelyard clepsydra could keep the daily measurement error within one minute, even around 20 s, so it could well satisfy the requirements of astronomical observations. In terms of accuracy and ability to continuously keep and tell time without being affected by weather conditions, it was superior to the sundial. The steelyard clepsydra caught on soon after its invention. In accordance with History of the Sui Dynasty-Astronomy, around 605 AD, Emperor Yang gave an imperial decree to Geng Xun and Yuwen Kai to “create a steelyard following the example of the Northern Wei Taoist Li Lan’s so that he could bring it along during trips.” From then onwards, the improved steelyard clepsydra became an imperial timekeeping apparatus and was adopted by astronomical institutions. Up till the Northern Song period, it was long employed as the primary astronomical timekeeping instrument. It was in the Tang period that the steelyard clepsydra caught on across the country. According to Yu Hai by Wang Yinglin, “Li Lan created a clepsydra of a new type, which measured time by weighing water flows, thus improving accuracy in time telling. The device in the Tang Dynasty mostly followed this pattern.” In his Xiao Xue Gan Zhu, he also stated, “Since ancient times there have been two types of clepsydrae, the inflow clepsydra and the steelyard clepsydra.” The statement shows that the steelyard clepsydra was one of the main timekeeping devices at that time. During the Sui and Tang period, interactions between China and the rest of the world became increasingly frequent, and the steelyard clepsydra was likely to be among those introduced into foreign countries at that time. According to the research carried out by Dutch scholar W.A. Sleeswyk, medieval Islamic states used to turn to clepsydrae for timekeeping and those were likely to be an introduction from China. Related details, however, remain unclear and call for further research.

4.3.4

Overflow Type Clepsydra with Water Inflow

The Song Dynasty saw a rich and colorful development of clepsydrae and made remarkable advancements in such aspects as type, structure, and accuracy. In around 1030, Yan Su adopted the overflow principle in clepsydra design and made a step forward in stabilizing water level in the reservoir. Another celebrated scientist in the Song period, Shen Kuo, devoted himself for more than a decade to clepsydra research. As is described, “He researched into dozens of clepsydrae for over a decade” (Shen Kuo: Comments on Inflow clepsydrae. History of the Song Dynasty-Annals of Astronomy). Eventually he succeeded in creating an inflow type. On this foundation, by combining the overflow constant-level type with the compensating type, Wang Pu devised the combined poly-stage and overflow type,

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which was taken as a prototype for centuries afterwards. In addition, the time telling device used in this type became the pioneer for modern mechanical clocks. Particularly, the automatic cut-off device incorporated in it and the candle clepsydra in the Yuan period reflected the complexity of the instrument at that time. So to speak, the Song and Yuan period saw a peak of the Chinese clepsydra development. Originated from lotus clock, Yan Su’s model was the first to adopt the overflow system. It was similar to the two-level compensating inflow clepsydra in structure. Different from the latter, however, next to the lower vessel, which supplied water for the receiver, there were three objects, “tank for overflow water, bamboo reservoir, bronze water-saving bucket” (Yang Jia of the Song Dynasty: The Illustrated Book of Six Classics). That is to say, on the top of the lower vessel, there was an aperture (or a canal). As the water flow delivered from the upper vessel to the lower one surplus that delivered from the lower vessel to the receiver, water level in the upper one could remain in the state of overflow. The water overflowed from the water-saving bucket of bronze into the tank for overflow water via the bamboo reservoir, thus keeping the water level in the lower vessel constant and eliminating the impact of water level changes on water flow (History of the Song Dynasty-Yan Su and Wang Yinglin: Yu Hai (Vol.11)). (See Fig. 4.3) Witnessing many zigzags, the official adoption of Yan Su’s lotus clepsydra took altogether 9 years. Eventually, it took the place of the steelyard clepsydra since it was difficult for the time display system of the latter to reflect the elapse of time in a continuous manner. In the second year of the Huangyou period (1049–1054), the Astronomical Bureau of the Song Dynasty made a significant improvement to Yan Su’s model. According to History of the Song Dynasty-Annals of Calendars, Shu Yijian, Yu Yuan as well as Zhou Cong, following an imperial decree, made modifications in Yan Su’s lotus clepsydra and developed a clepsydra with double constant-level tanks to

upper vessel kewu (siphon) lower vessel graduations lotus nut reservoir overflow water aperture vessel bamboo pipe tank for overflow water

Fig. 4.3 San Yu’s lotus clepsydra (Selected from Collection of Ancient and Modern BooksCalendars

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regulate water flow and changed the scale of 21 graduations into 41. The so-called double constant-level tank did not refer to two constant-level tanks; instead, the tank (the lower vessel) was divided into two compartments by a board, which mostly likely provided inspiration for Shen Kuo’s Fuhu. The adoption of the double constant-level tank further stabilized water level in the clepsydra. In 1162, Han Zhongtong, the governor of Ming Zhou (present-day Ningbo, Zhejiang), “sought for a water clock expert everywhere and eventually met Zhu Min, a Wu civilian. Following the ancient way, they collaborated to make a bronze lotus clepsydra (Li Baishi & Yan Yizhong: Institutions of Bronze Vessel clepsydrae, Qing codex, collected in Capital Library of China).” The device was probably made accordingly and double constant-level tank was adopted in it. The clepsydra in its physical form did not survive till today, but fortunately, a book containing information about it was handed down, titled Institutions of Bronze Vessel clepsydrae (Institutions of Bronze Vessel clepsydrae, Qing codex, collected in Capital Library of China, the only copy extant at home), which gave elaborate details on how the clepsydra was made, its shape, structure as well as the pattern of the indicator-rod graduations, accompanied by pictures and illustrations. Among them, in the pattern of the graduations were marked the quarters, dawn and dusk moments, and the dates for changing indicator-rods. It is one of the only two indicator-rod graduation patterns still extant today. Han Zhongtong et al. added automatic timing device to Shu Yijian’s model. Clepsydrae with such timers were not rare, for instance, in A General History of the Capital Region, it was documented that in 1271, a clepsydra was made by Qi Zhenglou, “The apparatus was so exquisite that it was passed down from generation to generation as a treasure. It consisted of four vessels of brass, named respectively as upper reservoir, constant-level tank, flow balancer and water-receiving scoop from top to bottom. In the middle were cymbals, with a mechanical hour-jack in it”. Among other water-powered mechanical clocks, similar instruments were relatively common, such as Great-Brightness Hall Clepsydra and crystal clepsydrae. Shen Kuo was adept in clepsydra research. In his Dream Pool Essay, Shen Kuo wrote, “I practiced divination for astronomical phenomena and measured sun shadows, testified the data obtained with astronomical apparatuses, and investigated dozens of water clocks. I did this for over a decade before I eventually had a rough knowledge of it. Comprised of four volumes, the completed book, called Xining Sundials and Water Clocks, is a complete innovation.” Now missing, the book was partly preserved in History of the Song Dynasty-Comments on Inflow Clepsydra. Comments on Inflow clepsydrae Shen’s model of clepsydra resembled Shu’s in shape and structure, but there were some differences too. For instance, straight pipes instead of the siphon were used as delivery pipes so as to prevent bubbles from affecting water flow. Da was used between the vessels, and on its side were two “branch canals” or overflow passages; a device was attached to the top of the pipes to regulate water flow. (See Fig. 4.4) As for the structure of the inflow clepsydra, our predecessors provided varied diagrams due to their divergent understanding of the instrument, especially that of the structure of Fuh.

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Fig. 4.4 Diagram of Shen Kuo’s inflow clepsydra (Quoted from History of Chinese Astronomy)

4.3.5

Multilevel Compensation Clepsydrae Combined with Overflow

The overflow constant-level tank guaranteed that no significant changes would take place in the water level of the tank, but anyway, around the moments of refilling, slight changes could not be avoided. Slight as the changes were, they had an impact on the accuracy of the clepsydra, which was quite demanding for accuracy. Clepsydrae with double constant-level tanks were developed to “regulate water flow.” Since the two-level compensating inflow clepsydra, properly operated, could basically keep the water level in the tank at a constant state, ancients combined the overflow constant-level tank type with the poly-stage compensating inflow type to create the combined overflow compensating with inflow type. In the initial period of the Northern Song or Southern Song, Wang Pu made a lotus clepsydra, consisting mainly of the reservoir, constant-level tank, constantlevel overflow tank, inflow receiver, etc. Wang Pu’s lotus clepsydra were of great significance in two aspects. Firstly, in structure, it combined poly-stage compensating inflow type with Yan Su’s lotus clepsydra, that is, a compensating tank was inserted between the upper vessel and the lower vessel or an overflow constant-level tank was placed below the second-level compensating tank. This form of structure was inherited by later water clocks, becoming a prototype from the Song period onwards. Secondly, a simple and special device was adopted in it, stopping the delivery pipe from issuing water when the indicator-rod rose to its fullest extent. Detailed illustrations of the device lack, and only several descriptive sentences could be found in Pictures of the Six Classics written by Yang Jia, a Song geographer and writer. The illustrations show that there was a fish-shaped object near the delivery pipe of the constant-level overflow tank. It would have worked this way: when the indicator-rod rose to its fullest height, it would push the fish-shaped object to turn so as to block the passage of the delivery pipe. No evidence has so far been discovered of the device being used afterwards, but it is an important representation of automatic control technology.

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Other Clepsydrae

The incense-clock originated from the folk practice of incense burning and when lighted, the incense burned at a regular rate so that it could be used for time measurement. Incense-clocks were thus invented. Some timekeeping incenses were made in the shape of stylized seal character, so it got another name “incense seal character” (xiangzhuan). It was documented in Incense Chart (xiangpu) compiled in the Song period that among the timekeeping incenses, “A 100-quarter incense seal character was made, with graduations for twelve double-hours and 100 quarters, and it would burn away in just one day and night.” “The incense seal character was carved out of wood, and it was used on occasions like banquets or Buddha worship. It could reach up to two or three Chi (a unit of measurement, 1chi ¼ 13 meter) in diameter.” From the second citations, it can be seen that the model of seal character was carved out of wood and then employed to make incenses shaped like stylized seal character. As time elapsed, the burning point was made to wind its way through the maze of the strokes of a stylized seal character. Jesuit Gabriel de Magalhaaes, who visited China in the seventeenth century, was impressed with the widely spread folk practice of using incenses to measure time. Eminent astronomer in the Yuan period, Guo Shoujing, also took note of incense seal character. “In the reign period of Emperor Chengzong Tiemu’er, Guo Shoujing created a cabinet incense clock. He also made a screen incense clock for timekeeping in time of the Emperor worshipping Heaven and Earth or the royal ancestors.” Yan Dunjie was the first to discover from Southern Song scholar Xue Jixuan’s Selections of Langyu Ji (random speaking) depiction of the rolling-shot clepsydra. The descriptions were as follows: The apparatus is a screen. It is made in this way: Split a bamboo tube into two and get through the bamboo joints and then cut the tube into five segments, which are placed into a screen of about four square Chi (equal to 44 square centimeters). Both ends of the bamboo pipes are attached to openings shaped like lotus flowers. Prepare ten bronze shots (each weighing 12 Zhu, roughly 25 grams) and toss one shot from the lotus-shaped mouth so that it will go down the zigzag tubes. The instant the shot reaches the other end, it will strike the interior of the tube, producing a loud and clear sound, and then toss the second shot. In this way, the shots roll down the tubes one after another. On the screen there is a time display system, consisting of 20 cards, every ten shots turning one card over. After all the 20 cards are turned over, the process will be repeated. It takes a quarter (Ke) to turn over 12 cards and a fu (meaning repetition) to turn over 20. Sixty fu is equivalent to 100 quarters, that is, a day and a night. Five fu is equivalent to a quarter and 100 quarters will take exactly a day and a night. It was documented that the rolling-shot clepsydra was invented by a Tang Buddhist monk Wen Gao. The device was a set of bamboo pipes placed in a way resembling Chinese character “之.” The bamboo pipes were attached to a screen of two chi in height and width respectively. Bronze shots were tossed down the pipes

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and they reached the bottom in such a regular way that they could be employed for timing. Human operation, which was unavoidable in this type of clepsydra, could affect its objectivity in time measurement. According to History of the Jin state-Calendars, around the time of Xue Jixuan, when Emperor Zhang Zong of the Jin state was in power among the Northern China minorities, traces of rolling-shot clepsydrae could be discerned. “Initially, when Zhang was promoted to Minister of Rites Supervising Bureau of Astronomy, he used to make two clepsydrae, one being a lotus clepsydra and the other star and ball clock (Xing Wan Lou) and present them to His Majesty, who had the lotus one placed in his palace and the other used on his tours of inspection. Then in the reign period of Xuanzong of Jin (1213–1217), the two clepsydrae were transported to Bian (present-day Kaifeng, Henan). After Bian was occupied, the clepsydrae were destroyed as well (Tuotuo et al: History of the Jin Dynasty-Calendars Part 2).” Seen from their names and usage occasions, the star and ball clock and the rollingshot clepsydra are the same in essence. The stele clepsydra mentioned in History of the Yuan Dynasty was undoubtedly a rolling-shot clepsydra. “The water clock used in the capital was made out of wood and shaped like a stele, so it got its name. It consisted of bamboo pipes. Shots made of bronze were tossed down the pipes from the upper pipe opening, striking the wall of the pipe to produce clear and loud sound. Over time, the clepsydra was decayed and no longer accurate. In the first year of Dade (1297), head of the secretariat, Bi Lvqian, noticed that beside the decayed clepsydra were four bronze vessels made in the Song period, and named them according to their shapes and designs, such as lotus clocks, treasure hill. . .”(Song Lian, et al: History of the Yuan Dynasty-Qi Lvqian). Except for the details for tossing shots and methods adopted, the rest of the accounts resembles that of the rolling-shot clepsydra. In 2005, in cooperation with Suzhou Ancient Astronomical Timekeeping Instrument Research Institute, the Repository of Cultural Relics in Drums and Bells Building carried out restoration research concerning stele clepsydrae with the help of experts in the history of science and technology. A model thus produced perches on top of the Drums and Bells Building at the present time. The Northern Wei Taoist Li Lan documented a clepsydra called “Ma Shang Ben Chi” (rapid stopwatch), consisting of jade vessels, jade pipes, and liquid pearls. “Liquid pearls is simply another name for mercury.” The instrument was a timekeeping device carried about on the horseback for use. Due to lack of supporting documents, its structure remains a mystery for us today. With siphons to conduct water, the device must be a small portable steelyard clepsydra. History of the Sui Dynasty-Astronomy contained such a line, “In the reign period of Emperor Yang of Sui, Geng Xun and Yuwen Kai constructed a horseback clepsydra so as to be carried about in the field for timing.” The statement concerning the clepsydra was too simple an account and did not mention its structure. Being a portable timekeeper, it must have something to do with the portable stopwatch clepsydra. Some researchers, however, have different views about it. Some others believe it is a rolling-shot clepsydra.

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Small Clepsydrae for Civil Use

Invented by a Buddhist monk in the Jin period (266–420), the bronze jar clepsydra (Yu Lou) enjoyed its popularity in the Song period. The clepsydra was easy to construct, and as Lou Ke Jing by Que Ming wrote, “Take two bronze jars, one big and the other small. Serving as the reservoir, the bigger one must be wider than the smaller one. If you cannot find such a bronze jar, you can use a china jar instead. The smaller one weighs 5 liang (1 liang ¼ 50 g), measuring 3.4 cun (1 cun ¼ 3.33 cm) in height and 4.7 cun in width for both its opening and bottom. The weight of the device is equivalent to 50 wen coins, which rule can be taken advantage of to determine the weight of the device to avoid measurement error. When the small jar is ready, make an aperture in its bottom and float it on the reservoir, so that water in the reservoir will run into the jar through the aperture. A tool for exploring the water depth may be used to determine the time”. The usage of the bronze jar clepsydra was not complicated as well. “At a time between dawn and sunrise, have the smaller jar float on the reservoir in the larger one. At the time of sunset, the smaller one, now filled with water, sinks. Then take out the smaller jar, empty it and repeat the process. The next morning, the jar will sink again. So when the smaller jar is filled with water, it is dawn or dusk. The day and night is thus determined.” There were two ways of this type of clepsydra displaying time, respectively, by exploring the water depth and floating the jar. Invented by Hui Yuan, a Buddhist monk of the Jin period, the lotus clepsydra was originally a container, with a hole in the bottom. It was floated on a water body so that water would flow into it. When filled with water, it would sink to the bottom. Then the user could take the container out and empty it so as to repeat the process again and again. In making the device, it was only essential to control the size, weight of the vessel as well as the size of the aperture so that it would take exactly double-hours to sink. By counting how many times it sank, people could know what the time was. “In the beginning, in order to know the time in the mountains, Monk Huiyuan constructed a vessel of bronze, which was shaped like a lotus and had a hole in its bottom. He placed it on the water surface and waited for it to sink. Every day and night, it sank twelve times. Whether it was summer or winter, cloudy or sunny, it produced no errors.” The lotus clepsydra hence got its name, from which clepsydrae in the Song period mostly drew inspirations. Clepsydrae for civil life also included bowl clocks, coconut clocks, table clepsydrae, field clepsydrae, and so on. The table clepsydra was a small instrument invented by Sun Fengji in the Song Dynasty. The coconut clock was used for sailing while the field clepsydra was in use in the countryside.

4.4

Sundials in Ancient China

4.4.1

Sundials Prior to the Ming-Qing Period

The sundial is a traditional Chinese timekeeping instrument, and of all the types, the equatorial sundial is the most practical and most handy and enjoyed great popularity from the Song Dynasty onwards. With the spread and influence of western learning,

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the sundial witnessed scientific development in Ming and Qing China and increasing research interest in both the court and the commonalty in Qing, and accordingly an enormous family of sundials formed. As a prevalent technique for astronomy, gnomon shadow measurement was adopted to determine orientations, seasons, and divisions of the year and specific time. It consisted of a flat plate (the dial) and an upright pole (the gnomon), which cast a shadow on the dial. The origin of the gnomon dated back to quite early times, and the method of measuring the shadow length of a standing pole appeared roughly in the mid New Stone Age. The earliest document concerning the gnomon as an astronomical apparatus, which came into existence in the Spring and Autumn period, was Zhoubi Suanjing (Zhoubi Computing Classics), which stipulated that the gnomon was eight chi in height, presumably inspired by human height. The bronze gnomon appeared in the Western Han Dynasty. In the Chinese phrase “土圭,” “土” cannot be interpreted as a measurement, but as a mark made on the ground; “圭,” in ancient Chinese, was equivalent to “卦.” It was after the Han period that a fixed implement (like stone) was chosen as the gnomon. It was made facing the south or north and the user could directly read from the dial the length of the gnomon shadow. The traditional Chinese gnomon shadow measurement was expounded systematically in Zhoubi Suanjing, which came out in 100 BC. As one of the earliest timekeeping devices, the sundial was most likely to have originated from the gnomon, which could perform the timekeeping function to some degree and played partial role of a horizontal sundial. Positional changes of gnomon shadow during the day, in effect, reflect those of the solar positions, which could be employed to construct a sundial to measure the real local solar time. This could easily lead to the association: Erect a thin stick in the middle of a plate-like object, and a simple sundial will form. Next, improve the plate-like object by graduating it according to the shadow cast by the stick (the gnomon hand) on the plate. Then, place the device in the sun, and it can make a timekeeping instrument. A Han sundial (see Fig. 4.5) excavated in Togtoh, Shanxi Province (present-day County Togtoh, Inner Mongolia) in the 23rd year of Emperor Guangxu’s reign (1897), and one excavated in Jincun Village, Luoyang in 1932 (See Fig. 4.6) became the earliest material evidence of the apparatus. Some people in academia believed that there existed a third sundial and also proved that the three all dated back to late Qin and early Han. On the dial of the unearthed sundial, there were 69 graduated lines, which should refer to the daytime length of the Summer Solstice, and correspondingly, equinoxes 50, the Winter Solstice 31. The 69 graduated lines were marked on the dial to facilitate everyday use. The sundial served no single purpose. Apart from the primary purpose of direction determination, it could be used as the calibrator for clepsydrae. The 69 graduated lines must come from the graduations on the indicator-rod. By rectifying both the seasons of the year and the double-hours of the day, the two devices worked in coordination with each other to accomplish the task of timekeeping. As History of the Han DynastyAnnals of Calendars stated, “The Emperor had east and west designated, sundials erected, clepsydrae adopted to record the movement of the twenty-eight lunar mansions in the heavenly sphere.”

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Fig. 4.5 The sundial of Han unearthed from Togtoh County, Inner Mongolia

Fig. 4.6 The sundial of Han unearthed from Jincun Village, Luoyang in 1932

Li Jiancheng (1905–), an astronomer and expert in ancient Chinese astronomical history, researched into the three cultural relics and, supported by large quantities of historical materials concerning gnomon shadow observations in Han and pre-Han Chinese classics, proved that they should be renamed as “sundial instrument ” (Gui Yi) instead (Li Jiancheng: Sundial Instrument-The Oldest Extant Astronomical Apparatus in China, Selected Papers on Ancient Chinese Astronomical Cultural Relics). This work is of great significance.

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Fig. 4.7 Gnomon-shadow clepsydra by Yuan Chong

As is said in History of the Sui Dynasty-Annals of Astronomy-clepsydrae: In the 14th year (574) of Emperor Wen of the Sui Dynasty, Yuan Chong presented a gnomon-shadow clepsydra, a shorter shadow plane sundial (Duan Ying Ping Yi). “Twelve double-hours were marked on the dial, and the gnomon shadow indicated the time of the day to verify the graduations of dripping water.” (See Fig. 4.7 for the restored picture.) The following argument reveals a new problem. “How many quarters are there in the twelve double-hours? They are not uniformly distributed around the divisions. The solstices and equinoxes are marked with Are there any distinctions on solstices or equinoxes? They are marked with the arrow-dial as illustrated” (History of the Sui Dynasty-Astronomy I. P527–528). Here, Yuan Chong discovered that the quarters in the 12 double-hours were not evenly distributed, but due to the limitations of the times, he failed to solve the problem effectively. Up till the end of the Qing Dynasty, no Chinese scholars made such an attempt. This, nevertheless, provided evidence for the fact that the sundial instrument and the shorter shadow plane sundial from the Han and Sui period could not tell the time in an accurate fashion, since a horizontal dial could not well reflect the annual solar apparent motion and a new version of dial graduations had not come into existence yet. Therefore, we can draw the conclusion that, with imperfections in some ways, the sundial instrument and the short shadow horizontal sundial were in the early phase of the sundial. Prior to the Sui Dynasty, as the relationship between the graduations of the dial in a horizontal gnomon and the annual solar apparent motion was not solved, the primary function of the horizontal sundial could not be performed-measuring time. From this perspective, it is safe to say that China never had the horizontal sundial in its real sense.

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The equatorial sundial, however, was indeed a product of Chinese characteristics. Mei Wending’s Wu’an Book List on Calendars -Reference to Sundials 《勿庵历算书 目·日晷备考》 marked, “In my prefecture, the sundial is erected parallel to the equatorial plane, which was a legacy of the Tang Dynasty.” But it is a shame that there was no relevant statements in the Tang documents. What can be traced was a paragraph from Essays by A Single Clear Mind 《独醒杂志》 by Zeng Minxing, a scholar in the Southern Song. Scholar Zeng Nanzhong once said, “The recorded ancient ways of measuring sun shadow were miscellaneous, but all of them were restricted to comparing the lengths of sun shadow, without ever corresponding to clepsydrae.” He (Zeng Nanzhong) ever devised and drew a sundial in Yuzhang (roughly present-day Nanchang, Jiangxi Province). Its plate, shaped like a waning gibbous, was a wooden board four fen (a unit of measurement, 1 fen ¼ 0.0033 m) across, marked with hours and quarters, placed in a tilted way, with the south pointing upward. In the center of the plate stood a vertical pole, used as the gnomon, with one end pointing to the North Pole, the other the South Pole. Thus, the plate consisted of two faces, the North Face and the South Face, the former showing the time after Spring Equinox, while the latter showing the time after Autumn Equinox. The sun shadow obtained corresponded to the clepsydra. I perceived this drawing was an innovation up to that time, so I made a sundial according to his design. The most marvelous thing about the device was that after it was so divided into the South Face and the North Face, neither of them cast shadows. Only the side would cast shadows, corresponding to the equator. After Spring Equinox, the sun would move within the equator, and after Autumn Equinox, the sun shadow would go beyond the equator. On the equinoxes, the sun was above the equator, so no shadow would be cast on both the South and North faces. How mysterious the design was ! (Zeng Minxing: Essays by A Single Clear Mind (Duxing Zazhi)(Vol.2)) The above citation illustrates the working principle and structure of the equatorial sundial (see Fig. 4.8). In this type of sundial, the polar-pointing gnomon was

Fig. 4.8 Diagram of the equatorial sundial recorded by Zeng Minxing

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perpendicular to the equatorial plane and ran across the center. The dial plate was parallel to the equatorial plane and both faces were used according to the time of year, with the face pointing to the north used for the half year between the Spring Equinox and the Autumn Equinox and that pointing to the south for the other half. Azimuth angle cast by the gnomon shadow on the dial and hour angle were equivalent, so the hours and quarters pointed by the gnomon shadow were of the equal-hour system. It was handy to design and construct such a sundial and when used in different places, it was only necessary to adjust the device so that the tilt of the dial aligned with the equatorial plane. If made portable, it could enjoy a wider range of usage. The traditional Chinese equatorial sundial caught on afterwards owing to its practicality and convenience. With the passage of time, nevertheless, people transformed the dial plate from a wooden segment circle into a stone full circle in consideration of erosion. Xu Guangqi, a scholar in the Ming Dynasty, said “Round stone and tilted gnomon make the equatorial sundial (History of the Ming Dynasty-Astronomy I, P360).” Astronomer Guo Shoujng of the Yuan devised the scaphe sundial. History of the Yuan Dynasty-Guo Shoujing wrote, “It is better to use a round dial instead of a square one to measure the celestial sphere, so I created the scaphe sundial” (History of the Yuan Dynasty-Biographies No.51-Guo Shoujing. P3947). His creation was aimed to imitate the celestial sphere with a hemispherical instrument and measure it. It could rival with that of a gnomon in terms of effect, and to some degree, even be superior to the latter. As a measurement for celestial bodies, it must have the function of measuring time as well. According to History of the Yuan Dynasty-Astronomy: Scaphe, “The scaphe, made of bronze and shaped like a cauldron, can be erected on a brick terrace.” Inside it was a drawing of the celestial sphere and the 12 doublehours. It was probably an overlooking view of the sphere. There was inscription on it. “We cannot tell how big the device is, but the whole heaven is within its view. We cannot find a rival for it in the human world, but everything humans want to know about the sun is carried in the scaphe. With the four directions marked, it can tell us the locations. In a tilted way, it points to the South Pole. In an accurate way, it carries a network of longitudes and latitudes. It is also marked with quarters and hours to indicate the time. The horizontal pole, carved with divinatory symbols, supports a flexible pole extending from the south Pole to the center. . .Through the aperture comes the sun’s real image. Whether summer or winter, it can inform us the sun’s motion. If a solar eclipse occurs, it can tell us the phases and locations. The strong sunlight that a naked eye is exposed to it can help us to avoid, and the harm strong light brings in observation it can protect us from” (History of the Yuan Dynasty-Astronomy Part I-Scaphe Sundial, P993). Gists of Mei Wending’s Collection of Works gave a detailed interpretation of the above-cited inscription (Men Wending: Supplementary Annotation of Inscriptions on Devices Gists of Mei Wending’s Collection of Works, Vol.60, Miscellaneous Works). The quoted paragraph clarified that the functions of the scaphe sundial were to verify divisions, measure quarters and hours as well as discern directions. Guo Shoujng also pointed out that another advantage of the instrument was that the user could observe solar eclipses through the shadow cast through the wooden hole, thus preventing sight damage caused by direct observation.

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Fig. 4.9 Diagram of Guo Shoujing’s scaphe sundial

Adopting a polar-equatorial coordinate network, from which time and divisions could be read (see Fig. 4.9), the scaphe sundial was of intuitive design. Afterwards, the instrument was employed as the indicator of solar time, so it was also named “Pitching sundial.” In Joseph Needham’s Science and Civilization in China, two similar sundials were preserved in Korea and Japan, respectively, but Joseph argued that this type of sundial came “undoubtedly from China.” Guo Shoujing also devised a “star-dial timer,” and illustrated it briefly as follows, “The equator of the globe acts as a wheel; the poles can point upward or downward to the graduations on the dial” (Qi Lvqian, A Brief Biographical Sketch of Guo Shoujing). Its name indicates that it was a time measuring instrument by virtue of a certain illuminating star at night. According to its illustrations, it had something to do with the equator and poles, which shows that it might have an equatorial device, which is graduated with hours and quarters. “The poles can point upward and downward” means it could point to a certain big bright star upward or downward, thus indicating the time. Ancient Chinese’s knowledge of projective geometry was rather meager, and they did not know how to graduate the equatorial plane of the horizontal sundial. That may be the main reason why this type of sundial was not popular. Relatively speaking, the equatorial sundial followed the equal-hour system, so it enjoyed such great popularity from the Southern Song onwards that the then scholar Wang Yinlin, in his educational book Xiaoxue Ganzhu (a primer), listed it among the four timekeepers.

4.4.2

Sundials During the Late Ming and Early Qing Dynasties

The projective principle of sundials and the scientific way of graduating the sundial plane were not known to the Chinese until the end of the Ming, when Western missionaries brought into China Western sundials as well as skills for constructing them. A scientific definition of the sundial goes like this: a fixed wooden, stone metal dial is marked accurately with graduations for hours, quarters, and divisions. When sunlight shines on the device, the gnomon will cast a shadow on the dial, the end of which pointing to the graduations for the time and corresponding division,

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respectively. To perform this function, it is necessary, based on certain mathematical and astronomical theories, to draw graduated lines for hours, quarters and divisions on the dial. In late Ming and early Qing, as the Jesuits came to China, they brought Western sundials in large numbers with them. A prominent Jesuit in doing this was Italian Jesuit Matteo Ricci (1552–1610). In the book, Commentary of China by Matteo Ricci, the author mentioned several times how Matteo Ricci presented or showed various Western sundials to locals of Zhaoqing, Shaozhou and other places, thereby greatly broadening their horizons. In the 28th year (1601) of the Wanli reign-period, Matteo Ricco settled in Beijing and afterwards he presented several types of sundials to the emperor. Matteo Ricci’s only book on sundial production is The Essentials of Jurisprudence Instruments (Lifaqi Cuoyao). Study shows that it is a book of dubious authenticity. The book consists of three volumes: Volume 1, including 13 chapters, deals with theories with regard to celestial movement, star charts, and “God’s right”; Volume 2, including 3 chapters, introduces the geometry knowledge involved in celestial movement measurement; Volume 3, including 20 chapters, introduces sundial images and tool kits. The third chapter Sundials introduces the Nine Drawing Instruments: the compass, used for drawing or measuring circles; the square, for measuring angles, made of steel; the ruler, for drawing straight lines; the scale, a copper quadrant board; the throttle plate, categorized into two types-oblique throttle line density method and parallel throttle line density method; the calibration ruler; leveling ruler; the bisector; the micrometer. Each is illustrated in Fig. 4.10. The content and schema are consistent with the content and legends in Rigui Tufa (Sundial Diagramming Method) (Xu Chaojun: Illustrations of Sundial Time-telling Methods. Gaohou Mengqiu, four-section version, published in Yi-Hai of the

Fig. 4.10 Diagram of the Nine Drawing Instruments

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Jiangqing reign-period, A collection of the Xu family in Yunjian). In the chapter Sundials, there are also five mathematical methods, including bisector method, bisector roundness method, perpendicularity method, long line method, and threepoint method. These contents are not just covered in Rigui Tufa but also reflected to some extent in The Essentials of Jurisprudence Instruments. The latter introduces sundials of different shapes and structures, including facing south horizontal sundial, compass horizontal sundial, horizontal sundial with solar terms, southern zenith sundial, east-west sundial, kuixin sundial, etc. The distinction between the two books lie in that Styles of Sundials, Lunar Dial and Star Dial lacks the basic knowledge of spherical astronomy and the trigonometric function table, which are included in Rigui Tufa. This may reflect the fact that the Chinese scholars at that time were not fully aware of the production principles of sundials and the scientific way of graduating the dial. In the late Ming Dynasty, Chinese officials, represented by Xu Guangqi (1562– 1633), began to study the western sundials, made some and put them into use. History of the Ming Dynasty-Astronomy I incorporates the following illustrations: “The sundial has a stone flat plate (the dial), graduated with 13 solar-term lines, a line for the winter solstice and a line for the summer solstice. Other lines are equivalent to western solar terms. Its edge is marked with hour and quarter lines, in reference to the solar terms, sunrises and sunsets. A triangle copper gnomon is placed in the middle according to the latitude of the capital. The whole shadow of the gnomon indicates the hour and the acute-angled shadow indicates the solar term. This is roughly what a sundial looks like.” It is a typical Western practice to replace the vertical pole with a triangular copper gnomon. History of the Ming Dynasty-Annals of Astronomy said, “The star dial has a copper pillar, which is equipped with a heavy dial. The inner dial is carved with degree of the sphere, listed with twelve palaces corresponding to the solar terms. The outer dial is carved with hour and quarter lines. Hold the dial upside down, and sight the North Star through the center hole. Move the top of the dial’s arm to align with the uppermost stars of the Big Dipper, and read the time on the inner dial where the arm crosses the hour mark. This is roughly what a star dial is like.” Later in the book, it said, “The sundial and the star dial should be used appropriately. They should be placed on specially-made platforms.” All these show that the Ming Dynasty officials laid special stress on sundials and star dials. According to the historical records, Xu Guangqi submitted a memorial to the emperor, asking for the materials used for horizontal sundial production, and he also used the sundial as a timer to test whether solar or lunar eclipses were consistent with predictions (Collated by Wang Zhongmin: A Collection of Xun Guangqi’s Articles, Shanghai Classics Publishing House, 1963). Xu Guangqi was said to have written books entitled Illustrated Book of Sundials (Rigui Tushuo) and Illustrated Book of Star Dials (Yegui Tushuo), but they have not been discovered yet. Li Zhizao (1565–1630) claimed in his memorial to the emperor, A Request for Translating Western Calendars and others, “A type of sundial, marked with shadow lines can be placed on the ground; another type of sundial can be fixed on a wall and turn 360° and besides indicating time it can also indicate solar terms. All aspects of

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the sundials conform to astronomical phenomena”. That was a summary of the features that sundials of different shapes and structures shared. Missionary Sabbath inode ursis (1575–1620) stated, “Time-telling sundials are categorized into two branches, dozens of types, and there are also books on the device” (Sabbatino deUrsis: On the Elementary Astronomical Instrument). This indicated that western sundials were of various types. In On Sundials, he added, “Sundials are of hundreds of types with a wide range of working principles.” He also introduced such dials as “cylinder sundial,” “square sundial,” “round sundial.” Several decades later, Missionary Johann Adam Schall von Bell (1591–1666) made similar remarks, “There are horizontal sundial, vertical sundial, movable sundial and transparent sundial, cylinder sundial, tile-shaped sundial, bowl -shaped sundial, cross sundial, etc., in different shapes and dozens of structures.” He added, “When it comes to time-telling alone, sundials are the most accurate. Probably the sundials made with the traditional method could tell time in an unhandy way regardless of their geographical location, while those made with the new method must be preset with latitudes, so they are not critical about locations” (Xinfa Biaoyi. Under the general editorship of Pan Nai, Ten Supplementary Issues on Chongzhen Calendar and New Western Calendars, Shanghai Classics Publishing House, 2009). Styles of Sundials, Lunar Dial and Star Dial (Ri Yue Xing Gui Shi) was completed in the year of Renshu of the Ming Dynasty (1622) and transcribed by Lu Zhongyu. Judging from its content, it may be a translation version. According to when and where the book was completed, the translators were presumably Matteo Ricci, Long Huamin (1559–1654), Diego de Pantoja (1571–1618), and Sabbatino deUrsis. The author of the book was most likely to be associated with two books by Matteo Ricci’s tutor, C. Clavius (1537–1612), when he studied in Collegio Romano. The two books, Star Plate and Book of Sundials, but other source texts might exist. Styles of Sundials, Lunar Dial and Star Dial, a relatively complete book written by the Chinese themselves on sundials, was to a great extent analogous to the four-volume book Rigui Tufa (1834), which was copied by the Library of the Beijing University from Japan and then incorporated into Chongzhen Calendar, despite the latter had extra contents, such as cylinder sundials, round center sundials. Styles of Sundials, Lunar Dial and Star Dial is divided into three sections, rather than volumes, according to content and summary. The first section deals with three aspects: basics of sundial production in the first section and introductions to various sundials, including horizontal sundial, zenith sundial, equatorial sundial, square sundial, partial sundial, wheel sundial, etc. The second section repeats the first section in the most part but with more concise expression. It can be seen that the author was experienced in the practical application and installation of these dials. It incorporates many illustrations, despite some wrong or missing marks and inconsistency with the text. It involves the methods of circle division, curve division, circle division, etc. Some common mathematical methods are employed in making sundial schema, such as the methods of dividing a circle into several equal sections and angles, and of drawing tangent lines of curves. Some scholars hold that this part of content has no direct relationship with the making of sundials. This opinion should be corrected.

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The third section of the book, on sundials, lunar dials, and star dials, chiefly discusses the drawing principle of four types of horizontal sundials and several models of lunar dials and star dials. The earliest document on western sundials in the Qing Dynasty was Sundials for Reference, though not printed, by Mei Wending (1633–1721), who gave a brief introduction to this book in his Wu’an Calendar Catalog. The first volume of the three-volume book Sundials for Reference records the following: The sundial in my county, which is installed in a tilted way, is of a Tang structure. It follows that the sundials did not originate from the West. The western styles of sundials are classified in no less than a hundred types, including horizontal sundial, vertical sundial, bowl-shaped sundial and cross sundial. Apart from the three books I have ever seen, namely Calendar Book, On Armillary Sphere, Explanations to Proportional Scales, there are also three books on sundials. They may complement each other. Some drawing methods are specious, probably because of different academic level of authors or because of confusion and difficulty in production or duplication. Things in the world tend to be like this, particularly in the case of calendars, sundials being a typical example. It follows that Mei Wending made supplementary notes to some intercomplementary methods of making sundials, which were specious in his opinion. It is a pity that the complete book is not yet available to us today. Mei Wending also referred to the volume entitled On Ringed Equatorial Sundial and commented that “one friend keeps an instrument of this kind, and is at a loss as to its usage”; in the volume entitled The Study on the Instruments for the Observation of the Astronomical Phenomena by Wuan, a description of the ecliptic and the celestial equator was given, which was the first of its kind; and as to the volume entitled An Elementary Introduction to the Observation of the Astronomical Phenomena, Mei Wending singled out the most intriguing parts about the sundials to offer explanation which generally focused on the fundamentals of the Sphere-heavens theory, because in the volume only a detailed description of the sundials was given and guiding principles of the sundials were hardly referred to, which led to many faults in the sundials made in imitation. The list of books on sundials and the brief explanations of them offered by Mei Wending revealed the troubles in accepting and understanding the sundials imported from the West in the early Qing Dynasty, which was universal; most of the books failed to be published.

4.4.3

The Production of the Sundials in the Qing Dynasty

Instructions on Proportional Divider-The Drawing Method for Sundials, the 40th volume of Shuli Jingyun (An Encyclopedia of Mathematics) which was written by Mei Wending and was printed in the first year in the reign of Emperor Yongzheng (1723), was one of the books published earlier which focused on the manufacture methods of sundials such as east-west sundial, horizontal sundial, vertical south sundial, etc. This book proved to be a fundamental literature for the study on sundials and was cited a lot by the experts after the author. In Chuaiyue Xiaolu (A Speculation

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on the Sun) from Cuiwei Shanfang Calculation Method, Zhang Zuonan (1772~?) offered a detailed description of the shape, structure, and the drawing methods for the east-west sundial developed by Qi Yanhuai. Qi Yanhuai (1774~1841), a remarkable astronomer, an expert of agricultural water conservancy, a poet, was from Wuyuan of Huizhou; he had a polite nameYinshan, and another one-Mengshu, and he was styled Meilu. In the 24th year in the reign of Emperor Jiaqing (1819), he designed an east-west sundial. The east-west sundial was installed vertical on the ground, facing east and west, and was also called vertical sundial or sloping sundial. It was composed of four parts: plate, plumb line, pole, base. As shown in Fig. 4.11, marks carved on the edge of the plate of the sloping sundial designed by Qi Yanhuai can be adjusted to match the geographical latitudes of the observation sites, and there are carved lines on both the east side and the west side; the vertical sundial is also called east-west adaptable sundial. In order to supplement the drawing methods for the east-west sundial, this book was enclosed with A Complete Table of Right Ascensions and Declinations of the North Celestial Pole, A Table of Tangent Lines for Each Hour, A Table of Tangent Lines for Each Solar Term to Its Declination. At the end of A Speculation on the Sun, there was a line: “It was made by Qi Meilu in conformity to the method for making horizontal-poled eastwest sundials which was recorded in the royal Shuli Jingyun.” It was emphasized in the book that the east-west sundial made by Qi Yanhuai could be adjusted to match different latitudes, which was an original design (Zhang Zuonan etc. (editor): Chuaiyue Xiaolu -Cuiwei Shanfang -Pao, stone-block lithographed version, Hongbao Zhai Press, Shanghai, the first lunar month in the spring of the year Dingyou (1897) in Fig. 4.11 The diagram of an east-west sundial made by Qi Yanhuai

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the reign of Emperor Guangxu.). Later, Zhang Zuonan made a “round sundial” in imitation of this sundial. The real object of the sundial of this kind is kept in Changzhou Museum, which was made by Zhang Zuonan. Because the hour lines and the solar term lines were carved on one fixed slab of stone, this sundial was unable to be adjusted to match the alteration of the height of celestial pole. The astronomical principle for the hour lines on the east-west sundial is given as follows: The track of the diurnal motion of the sun is parallel to the celestial equator, and the shadow of the pole of the sundial on the equator line (tangent line) is to be found in different positions at different hours. The carving of the hour lines entails “a series of tangent lines marked on a proportional divider for different hours,” and the formula x ¼ R·tgα is to be adopted to solve the length of tangent lines for different hours. In this formula “α” refers to the angle between each hour line and the hour line of Mao卯sharp, and “R” refers to the lengths of the two poles on the two sides. The tangent lines on proportional divider mean to carve the tangent line “x” for each hour in turn on the proportional divider for convenient use. And A Table of Tangent Lines for Each Hour can be consulted alternatively when the proportional divider is not available. Then make marks on the equator line in turn according to the length of the tangent lines for different hours and draw a horizontal line through the marks, which is perpendicular to the equator line, and a line for each hour is finished. At the hour of Mao sharp, the sun rises in the due east and shines straight on the pole; the angle is zero and there is no shadow and no tangent line. The angle between the hour of Wu午 sharp and the hour of Mao sharp is 90° and the tangent line runs parallel to the secant line, therefore there is no tangent line visible, that is, there is no shadow. The hour line of Wu sharp stretches to infinity and cannot be made on the plate surface of the sundial. It is equally true with a west sundial. The continuity of the shadow in the sun light causes the hour lines to appear in turn on an east sundial from the top to the bottom as: Mao sharp, Chen start, Chen sharp, Si start, Si sharp, Wu start; it causes the hour lines to appear in turn on a west sundial from the bottom to the top as: Wei start, Wei sharp, Shen start, Shen sharp, You start, You sharp. The solar term lines on an east-west sundial are made in conformity to the trigonometric function x ¼ R·tgδ, the δ in this formula refers to declinations of the sun for different solar terms, and the R refers to the length of the pole. For practical methods for the hour lines, turn to the proportional dividers or consult A Table of Tangent Lines for Each Solar Term to Its Declination. The solar term lines on an east-west sundial are in fact the lines that connect the projections of solar annual apparent motion on meridian plane at different dates. It was recorded in A Speculation on the Sun: “It is specified that the length of the pole is the radius and check the declinations of the sun for different solar terms with fen-li scale (equivalent to a proportional divider, with marks on it) to draw tangent lines and make marks on the left and the right sides of Mao sharp on the horizontal line, the shadows for each solar term at Mao sharp are hence made.” “The declinations of the sun for different solar terms” in this statement refers to the declinations of the sun for each solar term: the declinations for the Spring Equinox and the Autumn Equinox are 0°, the declinations for the Winter Solstice and the Summer Solstice are 23°300 south of the equator and north of the equator,

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respectively, the declinations for Less Cold and Greater Snow are 22°400 south of the equator and the declinations for Grain in Beard and Lesser Heat are 22°400 north of the equator, respectively, the declinations for Greater Cold and Lesser Snow are 20°120 south of the equator and the declinations for Less Fullness of Grain and Greater Heat are 20°120 north of the equator, respectively, . . . So the distances between the shadows for each solar term at Mao sharp and the projection points on the celestial equator at Mao sharp is to be solved with the formula x ¼ R·tgδ; the “δ ” in this formula refers to declinations for different solar terms, and the “R” refers to the length of the pole. For the solar term line for each hour, it was specified that “make the distance between the tip of the pole and the mark of each hour on the sundial the radius, check with fen-li scale and draw the tangent lines for the declinations for different solar terms, and make marks on both sides of the hour line, the shadows for each solar term at each hour are hence made.” “Connect the points and a solar term line is made.” A further research reveals that knowledge of solid geometry was applied in drawing the solar term line. The solar term lines drawn in this way are: From the Spring Equinox to the Autumn Equinox, the sun is north of the celestial equator, so the shadow is south of the celestial equator; from the Autumn Equinox to the Spring Equinox, the sun is south of the celestial equator, so the shadow is north of the celestial equator. The east side of the sundial plate rotates clockwise from the Winter Solstice via the Spring Equinox to the Summer Solstice; the west side of the sundial plate rotates anticlockwise from the Summer Solstice via the Autumn Equinox to the Winter Solstice. There are screws in the base of an east-west sundial to be adjusted to make the base level and keep the whole sundial firm and stable for use. The marks on the edge of the sundial are to be read in conjunction with the copper plumb line that is hanging down to fix the height of celestial pole. The sundial plate rotates vertically clockwise or anticlockwise, and it can be installed in different sites for observation. The plate of an east-west sundial is facing the east and the west at once and has a pole on either side of it, which is perpendicular to the plate. The shadows of the tip of the pole projected on the sundial plate indicate hours and solar terms. As for the east side of the sundial, at the hours of Mao sharp and Wu sharp when no shadow of the tip of the pole is found, relevant circumstantial factors have to be consulted to make judgment; it is equally true with the west side. While the movement of the shadow of the pole among solar term lines can hardly be noticed in one or two days, the shadow will move right to the adjacent solar term line about half a month later. The knowledge of trigonometric function, solid geometry, proportional divider, and fen-li scale is needed to make an east-west sundial. About in 1773, trigonometry developed into an independent subject in Europe, and the six common trigonometric functions were no longer new things. A missionary from Switzerland named Deng Yuhan (Jean Terrenz, 1576–1630) wrote Da Ce (a book on astronomy), in two volumes, to usher trigonometry into China. The first six volumes of Elements were introduced to China in late Ming Dynasty and were translated by experts such as Xu Guangqi. Proportional divider was one calculation instrument invented by Galileo Galilei (1564~1642) in 1597 and was introduced to China by Luo Yagu (Jacques

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Rho, 1593~1638) in 1630 in his book Introduction to a Proportional Divider. The solar term lines on plate of sundials are peculiar to China, which were created by Chinese experts. Horizontal sundials can be divided into two kinds according to the directions the poles point to. One kind of the horizontal sundials have a pole pointing to the north celestial pole; they once appeared in the Qing Dynasty. When the folding cover of a sundial of this kind is opened, a string will be pulled taut to serve as the pole of the sundial to point to the north celestial pole. There are fewer carved lines found on the plate. The other kind of horizontal sundials have a pole that is perpendicular to the plate, which points to the northern celestial pole and has a complex system of projection lines from the celestial sphere; specific hours and solar terms can be read on the shadows of the tip of the pole on the plate. “A method for horizontal sundial” was recorded in Drawing Method for Sundials in the 40th volume of Shuli-Jingyun (Mei Yucheng, etc. (compiler): Royal ShuliJingyun (vol. 40, the Second Part), the quotes in the passage are unexceptionally from this book): The solution is: Firstly draw a south-north line and an east-west line which intersect with each other at spot Jia at right angles, and make a triangle pole which is named Jia-Yi-Bing. Angle Jia is set at 50° to indicate the height of the celestial equator, angle Bing is set at 40° to indicate the height of the northern celestial pole, angle Yi is a right angle. Then mark out a section of line in the south-north line at spot Ding which is equal in length to the section of line between the spot Jia and spot Yi, and draw a circle, making the length between the spots of Jia and Ding the radius, and the circle can be divided with a proportional divider into a series of 15°, 30°, 45°, 60°, 75°, etc. segments, then make marks on the circle. Draw lines from the spot Ding, the center of the circle, through the marks to intersect with the east-west line, and the series of specific hours around Wu sharp are demonstrated. Alternatively, make the length between spot Jia and spot Yi the radius, check against tangent lines on proportional divider and the tangent lines for the series of 15°, 30°, 45°, 60°, 75° are made; make marks on the east-west line on both sides of the spot Jia, and the series of specific hours around Wu sharp are demonstrated, too. Make spot Bing, on which the pole of the sundial is fixed, the center of the sundial; the lines drawn to connect the center and the marks are the hour lines. Firstly to draw a north-south line and an east-west line on a piece of paper; the two lines intersect with each other at spot Jia (see Fig. 4.12). Then make a Jia-YiBing pole which is perpendicular to the surface. Angle Bing, which is 40°, indicates the height of the northern celestial pole, and angle Yi is a right angle. Mark out a section of line in the north-south line at spot Ding and make the line between the two spots of Jia and Ding equal with the line between the two spots of Jia and Yi. Draw a circle with the line between the two spots of Jia and Ding being the radius; divide the circle into a series of 15°, 30°, 45°, 60°, 75° , etc. segments with a proportional divider and make marks on the circle. Draw lines from the spot Ding to the marks on the circle and extend them to intersect with the east-west line; make the spot Bing, on which the pole of the sundial is fixed, the center of the sundial, and draw lines to connect the center and the hour marks on the east-west line, the series of specific

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Fig. 4.12 The method for the hour lines on the horizontal sundials

hours around Wu 午 sharp are demonstrated. There is an angle of 90° between the line of Wu 午 sharp and the lines of Mao sharp and You sharp, which are on opposite two sides of the Wu 午 sharp, so a straight line drawn from spot Bing, the center of sundial, which is parallel with the east-west line is the line of Mao sharp and You sharp. When the sun is on the east, the Mao sharp is on the west; when the sun is on the west, the You sharp is on the east. As for the hour lines at night, the reverse extension lines of the lines of Chen start, You start . . . drawn in the south part are the hour lines of Mao start, Wu 戌 start . . . There has been a second drawing method for the hour lines on a horizontal sundial, that is, by means of the tangent line (the length of the shadow) of each hour x ¼ R·tgα, and the principle behind it is: At Wu sharp, the sun is on the due south, and the shadow is on the due north, so no shadow is to be found on the east-west line, nor the tangent line; spot Jia is the hour point of Wu 午 sharp. The angles between the series of lines of Wei start, Wei sharp, Shen start, Shen sharp, You start, and the line of Wu sharp are 15°, 30°, 45°, 60°, 75°, respectively; according to x ¼ R·tgα, in which R is the length between Jia and Yi, and α is set as 15°, 30°, 45° . . . in turn, take the tangent lines of the pole of Jia and Yi on the sundial to make marks on the east-west line, the hour points of Wei start, Wei sharp, Shen start, Shen sharp, You start are hence made; the lines between spot Bing, the center of the sundial, and the hour points are hour lines. When other hour lines are drawn likewise, all hour lines laid out clockwise in the figure are hence made. “A method for solar term lines on horizontal sundial” was recorded in Drawing Method for Sundials in the 40th volume of Shuli Jingyun: The solution is: from the spot Jia of the Jia-Yi-Bing pole draw a line between spot Wu and spot Ji, which is parallel with the line between spot Bing and spot Yi. Make the line between

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spot Jia and spot Yi the radius, check against tangent lines on proportional divider and make marks for the series of tangent lines of 23°300, 22°400, 20°120, 16°230, 11°300, 5°550 on the line between spot Wu and spot Ji on both sides of the spot Jia, the shadows for each solar term are hence made. Draw lines from spot Yi through the marks to intersect with the hour line of Wu sharp, and the intersection points are the shadows for each solar term on Wu sharp.

With Jia-Yi-Bing pole and all the hour lines (see Fig. 4.13) given, draw a line from spot Jia, the intersection point of the hour line of Wu sharp and east-west line for the celestial equator, to connect spot Wu and spot Ji, and the line is parallel with the line between spot Bing and spot Yi. Spot Wu is below the plate of the sundial and spot Ji is above the plate of the sundial. Make the line between spot Jia and spot Yi the radius, check against tangent lines on proportional divider (the tangent lines for declinations on different solar terms) and make marks for the series of tangent lines of 15°300, 22°400, 20°120, 16°230, 11°300, 5°550, etc. on the line of spot Wu 戊 and spot Ji (x ¼ R·tgα). Draw lines to connect spot Yi and the marks on the line of spot Wu and spot Ji and extend these lines to intersect with the line of Wu 午 sharp; the solar term lines on Wu 午 sharp are hence made. The line of the Spring equinox and the Autumn equinox coincides with the hour line of Wu 午 sharp, and the line between spot Jia and spot Yi is literally the line of the Spring equinox and the Autumn equinox. There has been another method of drawing lines for solar terms, that is, to divide a circle with a proportional divider. It was recorded in “sine line” in the 40th volume of Shuli Jingyun: “To draw solar term lines on the bottom plate of a horizontal sundial, what method is it? The solution is to draw a horizontal line through spot Jia that is the center of the circle to connect spot Yi and spot Bing, and draw a celestial equator line through spot Jia to bisect the circle, the line for the Spring equinox and the Autumn equinox is hence made. Then arrange the lines on two fixed spots, which are 90° of sine lines on proportional divider, by the distance between spot Jia and spot Yi, which is the radius. Keep the lines fixed, then on the line between spot Bing and Fig. 4.13 To find the shadows for each solar term at Wu sharp

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spot Yi make marks of spot Ding and spot Wu on both sides of the celestial equator line by the distance between the two spots which are twenty-three and a half degrees of sine lines on proportional divider. Make lines parallel to the celestial equator line on the marks, and the Summer solstice line and the Winter solstice line re made, then . . .” the tangent lines on proportional divider mentioned above refer to the line between spot Jia and spot Wu and the line between spot Jia and spot Ding, which equals the distance between spot Jia and spot Yi·sin 23°300. The lines made between spot Wu and spot Ding are parallel to the celestial equator line, and they are the Winter solstice line and the Summer solstice line. Other solar term lines which intersect with the circle can be drawn in the same way (see Fig. 4.14). Finally, lines drawn to connect the intersection points of the hour lines and the solar term lines are the solar term lines. On the Spring equinox and the Autumn equinox, the sun moves along the celestial equator line, which is indicated by the east-west line, so the east-west equator line is the Spring equinox and the Autumn equinox line. When the sun appears north of the celestial equator in its revolution after the Spring equinox and before the Autumn equinox, it casts its shadow on the south of the celestial equator. There are pairs of solar terms that share the same declination of the sun and can be listed in sequence as Pure Brightness and White Dew, Grain Rain and the End of Heat, the Beginning of Summer and the Beginning of Autumn, Lesser Fullness of Grain and Greater Heat, Grain in Beard and Lesser Heat, the Summer Solstice, which is at one end. When the sun appears south of the celestial equator in its revolution after the Autumn equinox and before the Spring equinox, it cast its Fig. 4.14 The method for drawing solar lines that intersect with the circle

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Fig. 4.15 the diagram on the surface of the horizontal sundial

shadow on the north of the celestial equator, and the solar terms from the Autumn equinox on can be listed in sequence as the Waking of Insects and Cold Dew, Rain Water and Frost’s Descent, the Beginning of Spring and the Beginning of Winter, Greater Cold and Lesser Snow, Lesser Cold and Greater Snow, the Winter Solstice, which is at the other end (Fig. 4.15). There is a large collection of diverse sundials in the Palace Museum in Beijing, about 50 or 60 sundials of different types, and there are also some moon dials and star dials.

4.4.4

The Features of the Sundials in the Qing Dynasty

Research on sundials became increasingly popular in the Qing Dynasty; The Collection of Manufacturing Methods for the Sundials edited by Xu Chaojun (1752~1823, the fifth-generation descendant of Xu Guangqi) included approximately 16 different kinds of sundials such as horizontal sundial, south sundial, east sundial, west sundial, and zenith sundial, and most of which had been carefully studied and competently produced by the previous generations. And there were compass horizontal sundial, Kuixin sundial, celestial equator sundial, nocturnal dial, etc. in the book. As to Kuixin sundial, Xu Chaojun held that it was similar to and could be transformed into other dials such as suspension dial, cavity dial, slope dial, pivotal dial, ring dial (see Fig. 4.16), but he failed to offer further explanations. Xu Chaojun also mentioned some kinds of slanting dials, and intended to give further information on them in a supplement to the book because the thought the sophisticated structure of them may baffle the first learners. In making a celestial equator sundial and an octagonal equator sundial, in order to guard against the stubborn fault of a faint shadow from a thin pole of the sundials produced in former periods, he quit the pole and alternatively designed a special ring with marks on it to read shadows. The nocturnal dials developed by Xu Chaojun included star dial (also named Gouchen (the names of two stars)) and moon dial (also named Taiyin (lunar) dial)

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Fig. 4.16 Kuixin sundial

(Xu Chaojun: An Introduction to Astronomy· Preface; Gaohou Mengqiu (four volumes), the year of Jihai in the reign of Emperor Jiaqing, Xu’s edition, Yunjian district), and he offered detailed and reasonable instructions for the moon dial, which was rare in the Qing Dynasty. Liu Heng (1776~1841) offered a diagram (Fig. 4.17) in his book Chisuan Rigui Xiyi (Different Perspectives on the Astronomical Calculation with Sundials) to help to explain the correlations between the tangent line of the north celestial pole height and the length of pole of sundial; most trigonometric functions were adopted in the diagram (Liu Heng: Chisuan Rigui Xiyi, the 21st year in the reign of Emperor Jiaqing). Liu Heng also adopted the astronomy diagram shown in Fig. 4.18 to determine the specific declinations for the sun at each hour on the Summer Solstice and the Winter Solstice in drawing the lines for a sloping south sundial, which shows that Liu Heng had a good knowledge of the degrees of celestial longitude and celestial latitude of the sun. In writing, Liu Heng mainly turned to such books as Shuli Jingyun and Yuzhi Lixiang Kaocheng (Royal Allocation on Calendars). It was recorded that he also consulted Instructions on Proportional Dividers from the West, and the word “ruler” in his explanation “to calculate with the ruler” in fact refers to the proportional divider. On the whole, there are more kinds of sundials in the Qing Dynasty, and geometrical drawing methods were heavily relied in making lines on the plate of the sundials which involve the knowledge of geometry and trigonometric functions, the tools such as proportional divider and fen-li scale, and some explanations given

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Fig. 4.17 The first diagram for the principle of the sundial

Fig. 4.18 The second diagram for the principle of the sundial

from the perspective of spherical astronomy principles. The great development of the sundials in the Qing Dynasty has to be attributed to a group of scholars who studied the sciences from the West enthusiastically and worked assiduously to bridge the cultures of the East and the West. The astronomers mentioned above were little known figures except for Mei Wending; they followed their bent for astronomy and conducted their research from grass-roots level and helped to cultivate the sundials into a popular, household astronomical instrument for timekeeping.

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Mechanical Timer

The mechanical timers in ancient China were capable of simulating and demonstrating the diurnal motions of the sun and celestial bodies. For the purpose of accurate timekeeping, mechanical devices are supposed to be equipped with a dynamic system that keeps the device in constant motion, a graduation system that marks specific time, and be relatively stable with the passage of time. The birth of the concept of time had close connection with sunrise, sunset, and its diurnal motion. The demonstration and stimulation of the natural periodic regular motion could both satisfy the needs of ancient astronomical development and perform timekeeping function. In this context, ancient mechanical timekeeping devices were developed. Judging from their fundamental functions, they must have been developed on condition that social productivity had seen significant progress and people already had access to a type of constant and inexhaustible power and energy. A prominent scholar in the Eastern Han Dynasty, Huan Tan made the following statement, “Fuxi devised a pestle and mortar, thus benefiting his people. Then, the lever was employed in production, increasing production efficiency by ten times. Subsequently, a mechanical system was adopted and donkeys, mules, horses or oxen were used to pull a water-driven instrument for grounding rice and increased production efficiency by a hundred times” (Huan Tan: New Political Comments by Huan Zi). As the quoted sentences indicate, no later than the Western Han Dynasty, people were able to use water-driven farm implements and afterwards the lever principle was used in production by pedaling the lever with human feet, thus increasing production efficiency by ten times, and subsequently, mechanical structures appeared in production, and animal power and water power were used, increasing production efficiency by a hundred times. The appearance of waterdriven farm implements in large quantities provided sufficient technical conditions for the birth of mechanical timekeepers. Ancient Chinese mechanical timekeeping devices mostly measured time by virtue of the mechanical device worked by constant water flow from clepsydrae. Consequently, the birth of water-driven mechanical timekeepers was inseparable from the development of clepsydra time-keeping techniques, with the accuracy of the former totally relying on that of the latter. Due to errors in mechanical drive, the former was inferior to the latter in terms of accuracy in time measurement. So to speak, ancient Chinese mechanical timekeepers had close connection with ancient mechanical manufacture technology.

4.5.1

Zhang Heng’s Water-Driven Computational Armillary

During the years between 126 AD and 133 AD, distinguished scientist of the Eastern Han Dynasty Zhang Heng constructed a water-driven computational armillary (Shuiyun Hunxiang), limited documents concerning which are now available to

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us. At present, the academia believes that it is the world’s first mechanical timekeeping device and was at an initial stage. Joseph Needham pointed out, “Chang Heng’s achievement was so strong and widespread that there is no adequate reason for doubting it. . . nearly every succeeding century produced some astronomer or technician who accomplished the same thing. Before the 8th century one can only call them mechanised orreries, or power-driven spheres for demonstration and computation, designed to show a rough approximation to time- keeping. In fact, throughout this long period of Chinese developments the form was often that of an observational astronomical instrument, but the essence was that of the clock.” The computational armillary consisted of three components: a dynamic system, a mechanical drive system and a demonstration system. Ancient Chinese mechanical timekeepers were powered by the water flow of a clepsydra. The clepsydrae, however, could solely produce a roughly constant amount of water in a unit time, so it took ingenious design to transform it into mechanical energy for the purpose of driving the armillary. Dripping from a clepsydra, the water flow was not strong enough to impact a blade fixed on a wheel, so it seemed next to impossible for it to rotate the wheel. A conventional solution was to make the wheel respond immediately it received a certain amount of water from the clepsydra, thus rotating it. Generally, this was achieved by placing some receivers evenly spaced around the wheel, only one under the mouth of the clepsydra with the aim of receiving dripping water. When the water in the working receiver reached a certain weight, the state of balance was thus disturbed due to gravity and the wheel was turned a certain angle. Simultaneously, another receiver was staying under the mouth to receive dripping water until the balance was disturbed again. The process repeated itself. The so-called mechanical drive system was in reality a gear transmission system. archaeological findings indicate that gears were in use as early as the Qin-Han period. In the mid-Western Han there appeared a distance-measuring drum carriage, the drum beating once per li (a unit of measurement 1 li ¼ 0.5 kilometers). This instrument adopted a relatively complicated gear drive system and contained a cam structure. The time-demonstrating function of Zhang Heng’s computational armillary was of great significance as well. Each type of ancient mechanical timekeepers had its unique features in time display and time telling, some by ringing, some by puppets holding time boards, and others by the relative movement between time indicator and fixed graduations of quarters and hours. Concerning Zhang Heng’s computational armillary, there were two explicit pieces of historical materials. One can be found in History of the Jin DynastyAnnals of Astronomy, “In the time of Emperor Shundi (126 to 144) Zhang Heng constructed a (computational) armillary, which included the inner and outer circles, the south and north celestial poles, the ecliptic and the equator, the 24 fortnightly periods, the stars within (i.e., north of) and beyond (i.e., south of) the 28 hsiu, and the paths of the sun, moon, and five planets. The instrument was rotated by the water of a clepsydra (lit. dripping water) and was placed inside a (closed) chamber above a hall.

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The transits, risings, and settings of the heavenly bodies (shown on the instrument in the chamber) corresponded with (lit. resonated with) those in the (actual) heavens, following the (motion of the) trip-lug, and the turning of the auspicious wheel.” Zhang Heng’s computational armillary was not only marked with the south and north poles, but also the ecliptic and the equator, and the circle of perpetual apparition (inner circle) and the circle of perpetual occultation (outer circle). The instrument incorporated a list of 24 divisions and the 28 lunar mansions (xiu), the main star sign in the heavens, acting as a reference coordinate system for the purpose of determining the correspondence between rising and setting of stars and their transit time. Here it is explicitly documented that the armillary was powered by dripping water of a clepsydra. Its time display device was referred to as “ming jia” (a kind of lucky grass) while its time indicating system could “follow the (motion of the) trip-lug, and the turning of the auspicious wheel.” The so-called Ming jia referred to a plant originated from the time of Emperor Yao. The plant followed a fixed growth pattern: from the first day (new moon) of each lunation onwards, a pod would come out each day so that by the 15th day (full moon) a total of 15 pods would appear. From the 16th day, a pod would fall per day and by the end of the lunation, all the pods would fall. It the month consisted of 29 days, one pod would be spared, which would go dry rather than fall off the plant. It was so regular that, simply by observing the plant the observer could tell which day of the synodic month it was and whether it was a 30-day or 31-day month. The plant was actually a natural calendar, known as “calendar pods.” Another piece can be found in History of the Sui Dynasty-Annals of Astronomy, “In 164AD, imperial astronomer Zhang Heng constructed a bronze armillary sphere, regarding four fen (a unit of measurement) as a degree and the celestial circle as 1461 fen and erected it in a close chamber, where it rotated by the (force of) flowing water. Then, the order having been given for the doors to be shut, the observer in charge of it would call out to the watcher on the observatory platform, saying the sphere showed that such and such a star was just rising, or another star just culminating, or yet another star just setting. Everything was found to correspond (with the phenomena) like (the two halves of) a tally.” This quoted paragraph mentioned that Zhang Heng constructed an armillary sphere which could rotate to correspond to the celestial phenomena. Liu Xianzhou, from Tsinghua University, made in-depth research into the mechanical structure of Zhang Heng’s computational armillary, believing that the instrument incorporated a gear transmission system and employed a cam structure to enable the pod to turn a tooth a day, thus acting as an automatic calendar. In his restoration design, Zhang Heng’s computational armillary adopted four pairs of gears to decelerate the first wheel driven by flowing water of the clepsydra, ultimately producing the effect of one rotation during a day (see Fig. 4.19). In 1992, Professor Li Zhichao, from University of Science and Technology of China, constructed a restoration model entirely different from Liu’s. He argued that there seemed to be no sufficient cause of an armillary “rotating with leaps every two hours,” as is shown in Liu’s restoration design. Li regarded the escapement

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Fig. 4.19 Zhang Heng’s Water-driven Computational Armillary restored by Liu Xianzhou (the left one being the diagram of its appearance and the right one being that of its inner structure)

mechanism of mechanical timekeepers as “a water-wheel supported by a steelyard clepsydra,” and went further to deny Liu’s design by arguing that the invention of the steelyard was 500 years later than the time of Zhang Heng. Noteworthy is the fact that ancient people held that the clepsydra employed in Zhang’s instrument incorporated two or three linking vessels. This can be proved by a paragraph in Xu Jian’s Chuxue Ji, “Zhang Heng’s armillary sphere was like this: The bronze clepsydra consists of two levels. Filled with pure water, the tanks, with apertures in the bottom, deliver water through dragon-shaped jade mouths. The water dripping from above enters two inflow receivers (alternatively), the left one being for the night and the right one for the day.” The quoted phrases “dripping from above” “with apertures in the bottom” indicate that there was more than one vessel.

4.5.2

Yi Xing and Liang Lingzan’s Water-Driven Celestial Sphere

It is documented that during the 600 years from the time of Zhang Heng onward, several water-driven computational armillary were constructed. The inventor of one of them was Wang Fan, about whose armillary sphere we can find the following description, “Considering the antecedent instruments were of small size, stars densely populated, while Zhang Heng’s armillary sphere was too huge to be transported freely, (Wang) Fan constructed a medium-sized one, measuring 10.9534 chi (13 meterÞ , three fen (0.1 cm) covering one du (Li Chunfeng: History of the Jin Dynasty-Annals of Astronomy Part I). In History of the Sui Dynasty-Annals of Astronomy, a paragraph may be a citation of Wang Fan’s words, “Fan’s instrument

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had three fen as one du. . . . . . so that on the armillary, the ecliptic and the equator encompass 4.5 fen across. . ..” Wang Fan’s contemporary, Ge Heng also constructed an armillary sphere. Also documented in History of the Sui Dynasty, “Ge Heng, prominent astronomer of the Wu State in the Three Kingdom Period, was proficient in astronomy. He made an armillary sphere, where the Heaven encompasses the Earth, powered by a mechanical apparatus so that when the Heaven was in motion, the Earth was brought to a halt. The degrees of the lengths of the sun shadow cast on the sundial were elucidated by Qian Lezhi.” In the Northern and Southern dynasties (420–589), Qian Lezhi, Tao Hongjing, and others constructed a water-driven computational armillary and so did Geng Xun in the Sui Dynasty, but relevant account in historical classics was too brief for us to have any knowledge of specific improvements made in these instruments. Yi Xing and Liang Lingzan’s water-driven celestial sphere was documented both in Old History of the Tang Dynasty and New History of the Tang Dynasty. The text goes like this: After they accomplished the task of devising an Ecliptic Astronomical Instrument (Huangdao Youyi) in 723, Yi Xing and Liang lingzan, observing the imperial decree given by Emperor Xuanzong, continued to construct an armillary sphere. “One (of these) was made in the image of the round heavens and on it were shown the lunar mansions in their proper order, the equator and the degrees of the heavenly circumference. Water, flowing (into scoops), turned a wheel automatically, rotating it (the sphere) one complete revolution in one day and night. Besides this, there were two wheels fitted round the celestial (sphere) outside, having the sun and moon threaded on them, and there were made to move in circling orbit. Each day as the celestial sphere turned one revolution westwards, the sun made its way one du eastwards, and the moon 13 and 7/19 du (eastwards). After 29 and a fraction rotations (of the celestial sphere) the sun and moon aligned. After it made 365 rotations the sun accomplished its complete circuit. And they made a wooden casing the surface of which represented the horizon, since the instrument was half sunk in it. This permitted the exact determinations of the times of dawns and dusks, full and new moons, tarrying and hurrying. Moreover, there were two wooden jacks standing on the horizon surface, having one a bell and the other a drum in front of it, the bell being struck automatically to indicate the hours, and the drum being beaten automatically to indicate the quarters. All these motions were brought about (by machinery) within the casing, each depending on wheels and shafts (lun chu), hooks, pins and interlocking rods, coupling devices and locks checking mutually (i.e. the escapement). Since (the clock) showed good agreement with the Tao of Heaven, everyone at that time praised its ingenuity. When it was all completed (in 725) it was called the ‘Water-Driven Spherical Bird’s-Eye-View Map of the Heavens’ (shui yun hun tian fu shi tu) or ‘Celestial Sphere Model Water-Engine’ and was set up in front of the Wu Cheng Hall (of the Palace) to be seen by the multitude of officials. Candidates in the imperial examinations (in 730) were asked to write an essay on the new armillary (clock). But not very long afterwards the mechanism of bronze and iron began to corrode and rust, so that the instrument could no longer rotate automatically. It was therefore relegated to the (museum of the) College of All

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Sages (Chi Hsien Yuan) and went out of use” (Song Qi, Ouyang Xiu: Old History of the Tang Dynasty-Annals of Astronomy). It can be asserted from the above statement that the Water-Driven Spherical Bird’s-Eye-View Map of the Heavens devised by Yi Xing and Liang Lingzan was indeed a water-driven celestial sphere, placed in a casing with half of the sphere outside so that it corresponded to the hemispherical heavens. The sphere was marked with the lunar mansions, the equator and the eclipse, and 365.25 du of the sphere. Furthermore, it adopted a mechanical drive system. Yet pitifully it went out of service before long. Its time telling device was two wooden jacks standing on the horizon surface. One of them had a drum in front of it, and with the passage of each quarter it would automatically strike the quarter. The other had a bell, and the passage of each hour, it would automatically strike the hour. It was able to demonstrate the motion of the sun, moon in relation to the starry sky. Two wheels were fitted round the celestial sphere outside, having the sun and moon threaded on them, and there were made to move in circling orbit. Each day as the celestial sphere turned one revolution westwards, the Sun made its way one degree eastwards, and the moon 13 and 7/19 du (eastwards). Simultaneously, they were in diurnal motion along with the sphere, thus displaying the changes in moon phases and the horizontal position where the sun and moon rose and set. As is known from “Each depending on wheels and shafts (lun zhou), hooks, pins and interlocking rods, coupling devices and locks checking mutually,” the celestial sphere did not only have complicated gear transmission system, but also components controlling its operation. As far as their names are concerned, “wheels and shafts (lun zhou)” apparently refers to a gear transmission system, “hooks” are presumably components shaped like hooks, whose function is to snag another component to set it in motion, and “pins and interlocking rods” are parts for joint or fixation, “coupling devices and locks” are distinctly employed to stop the motion of some other components. Prominent British historian of science and technology Joseph Needham made the assertion that “the invention of the first escapement by I-Hsing and Liang Ling-Tsan about +723.” Accordingly he drew the conclusion that China had a long tradition of constructing astronomical clocks. In the 1950s, with regard to the transmission structure, Liu Xianzhou wrote a treatise, whose conclusions were mostly speculative. Based on the water-driven celestial spheres ever constructed in history, Li Zhichao managed to restore Yi Xing and Liang Lingzan’s model, designing a relatively simple gear transmission system.

4.5.3

Zhang Sixun’s Taiping Tianguo Armillary Sphere

In the fifth year of Emperor Taizong of Song (980), astronomer and engineer Zhang Sixun created a hydraulic-powered armillary sphere, which could automatically tell the time through a drum and a bell.

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A historical text from History of the Song Dynasty-Annals of Astronomy recorded Zhang’s work as follows, “At the beginning of the Taiping Tianguo reign-period (979) the Zhang Sixun, a student in the Bureau of Astronomy, invented an astronomical clock (lit. armillary sphere, hun yi) and presented the designs to the emperor Tai Zhong who ordered artisans of the Imperial Workshops to construct it within the Palace. In the first month of the 4th year (979) the elaborate machine was completed, and the emperor caused it to be placed under the eastern drum-tower of the Wen-Ming Hall. The system of Zhang Sixun was as follows: they built a tower of three storeys (totalling) more than ten feet in height, within which was concealed all the machinery. It was round (at the top to symbolize) the heavens, and square (at the bottom to symbolize) the earth. Below there was set up the lower wheel (ti lun), lower shaft (ti chu), and the framework base (ti tsu). There were also horizontal wheels (heng lun), (vertical) wheels fixed sideways (tshe lun), and slanting wheels (hsieh lun, i.e. oblique gearing); bearings for fixing them in place (ting shen kuan), a central coupling device (chung kuan) and a smaller coupling device (hsiao kuan) (i.e. the escapement); with a main transmission shaft (thien chu). Seven jacks rang bells on the left, struck a large bell on the right, and beat a drum in the middle to indicate clearly the passing of the quarter(-hours). Each day and night (each 24 h) the machinery made one complete revolution, and the seven luminaries moved their positions around the ecliptic. Twelve other wooden jacks were also made to come out at each of the (double-)hours, one after the other, bearing tablets indicating the time. The lengths of the days and nights were determined by the (varying) numbers of the quarters (passing in light and darkness). At the upper part of the machinery there were the top piece (thien ting), upper gear(-wheel or -wheels)(thien ya), upper linking device (thien kuan; another part of the escapement), upper (anti-recoil) ratchet pin (thien chih), celestial (ladder) gear-box (thien tho), upper framework beam carrying bearings (thien shu), and the upper connecting-chain (thien thiao). There were also (on a celestial globe?) the 365 du (to show the movement of) the sun, moon, and five planets; as well as the Purple Palace (north polar region), the lunar mansions (hsiu) in their ranks, and the Great Bear, together with the equator and the ecliptic which indicated how the changes of the advance and regression of heat and cold depend upon the measured motions of the sun, and the motion was on water-driven according to the method of Kai Yuan period. Moreover, as during winter the water partly froze and its flow was greatly reduced, the machinery lost its exactness, and there was no constancy between the hot and cold weather. Now, therefore, mercury was employed as a substitute, and there were no more errors. On the Winter Solstice, the sun was outside the ecliptic and farthest from the North Pole and its corresponding solar term was Slight Cold, when the day was shorter than the night. On the Summer Solstice, the sun was within the equator and nearest to the North Pole and its corresponding solar term was Slight Heat, when the day was longer than the night. On the equinoxes, when the plane of Earth’s equator passes through the center of the Sun, warm in spring and cool in autumn, the day and the night were of equal length. The images of the sun and moon were also attached high up (to the globe) and according to the old method they had been moved by human

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hand (each day), but now success was attained in having them move automatically. This was a marvellous thing.” The most remarkable advancement in Zhang Sixun’s armillary sphere was that its time indicating system was improved. In addition to the function of striking the bell, its sound system also incorporated the function of ringing the bell, and altogether there were seven statuettes in charge of beating the drum, striking the clock and ringing the bell. Textual research reveals that up to that time it had become a current practice to divide a double-hour further into two parts: Shichu (initial hour) and Shi zheng (proper hour) and to subdivide each hour into four Big Ke and one Small Ke. In Gexiang Xinshu (A New Book on Sciences) by Zhao Youqin, in the item “time is divided into 100 ke.” A day and night consists of 12 shi (double hour), which is evenly divided into 100 ke, 8 Big Ke, and 2 Small Ke (6 Small Ke equals 1 Big Ke). Among the seven jacks, the left and the right ones ring the bell and strike the clock, announcing Shichu and Shizheng, the five in between beat the drum, respectively, announcing Big Ke and Small Ke. If there were a distinction between the times of beating the drum or the sound quality, then the exact time could be known solely from the sound. The account “a tower of three storeys (totalling) more than ten feet in height” suggests that the celestial sphere was of a rather huge scale and of a complicated structure, the components mentioned reaching as many as 16 varieties, some technical terms of which can correspond to those of what will be mentioned later in the chapter about the escapement mechanism in the Armillary Clock-tower devised by Su Song and Han Gonglian. Another innovation in the Taiping Tianguo armillary sphere was using mercury, a uniform flow medium, as the substitute for water for the purpose of driving the transmission system. What an original creation! As early as the turn of the Western and Eastern dynasties, ancient Chinese had discovered that the rate of water flow varies according to temperature.

4.5.4

Su Song and the Water-Driven Astronomical Clock Tower

Xin Yi Xiang Fa Yao- a monograph on astronomical instruments by Su Song of the Northern Song Dynasty, begun in 1088 and completed around 1094, is composed of three volumes. The main thread of the book is drawings, over 60 in all, with detailed illustrations and captions. Featuring smooth lines, appropriate sizes and proportions, they are mostly diagrams, dotted with some three-dimensional pictures. The illustrated book occupies a prominent position in ancient Chinese history of machinery. The astronomical clock tower was innovative in that it was equipped with a form of escapement, called Tianheng (celestial balance), a perfect time-announcing system and the world’s earliest movable-roof astronomical observation room and the world’s earliest tracking observation device. The structure of Tianheng was explained as follows: On the right is Tianheng, which is on the pivot axis; in the middle is the iron shaft; on the horizontal cross-bar of the eastern Tianzhu (supporting column) is a hump-

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shaped part, whose rotation axis is attached to two iron cheeks. A part, called Tianquan, is hanging on the end of Tianheng; still another part, called Tianguan, hangs on the head part; a part called Tiantiao, hanging on the right of Tianquan (whose length is variable according to the height of the pivot wheel). Tianheng has a tongueshaped part, called Tianshe, and its end is the iron shaft, placed on the south-north rung of the framework of the constant-level tank, which is made movable. When the head part dips to Tiantiao, the tongue-part will lift Tianguan. On both the right and the left there are locks, the end of which are iron shaft, placed on the horizontal bar of the supporting column. The two parts face each other to resist the spoke of the pivot wheel. There are two levers, the ends of one being Shuheng (or a balancing part) and Gecha and the ends of the other being Shuquan and Guanshe (or the initiator). In the middle is the shaft and the south-north rung of the horizontal bar of the constant-level tank are the two cheek-parts, whose axle makes it movable. Gecha lies west to the receiving scoop of the pivot wheel. Shuquan lies on the east of Tianheng, and turns upward or downward in accordance with the water level in the vessel. An account of the usage of Tianheng was also given in the book Xin Yixiang Fayao: Water is transmitted by the bucket into the upper flume, and then conducted eastward into the upper reservoir, and then southward into the constant-level tank through the mouth of the siphon, which issues water into the water-receiving scoop of the pivotal wheel. Below the water receiving scoop are two levers, the ends of one being is opposite to the iron Shuheng and Gecha, and the ends of the other being Shuquan and Guanshe. Gecha is designed to withstand the movable lever of the receiving scoop. When the weight of the water in the scoop is larger than that of Shuheng, Gecha will be levered down so that the scoop will dip and push down Guanshe, which is linked to Tianheng via Tiantiao. As Tiantiao moves, Tianheng will be initiated and the left Tiansuo (or left lock) will unlock to allow the pivotal wheel to rotate one wheel arm, which will set the pivotal shaft in motion. . . .Afterwards, left Tiansuo locks and Tianguan closes, and the water withdraws into the waterwithdrawing tank. In this way, the water in the constant-level tank issues evenly at a uniform rate and provides power for the entire armillary clockwork. The first to have put forward the idea that the water-driven astronomical clock tower incorporated an escapement was Joseph Needham, who went further to give the restoration picture of the escapement structure as well as the diagram showing the various phases in an escapement period. After careful study, Hu Weijia revised what Needham called “water- linkage control mechanism,” holding that the mechanism should be renamed as “water-bucket linkage escapement mechanism.” According to the third volume of Xin Yixiang Fayao, the armillary clock was powered by two levels of delivery tanks, namely, the upper reservoir and the constant-level tank, the latter of which indicates that water level in the vessel was kept stable by means of overflow, thus guaranteeing the stability of delivery rate. The water delivered from the constant-level tank flowed into the water-receiving scoop fixed to the rim of the pivotal wheel. Tianheng was designed to control the pivotal wheel so that all the water in the constant-level tank flowed into the water-receiving scoop and to maintain even rotation of the pivotal wheel.

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Another obvious feature of the water-power astronomical clock-tower devised by Su Song and Han Gonglian lay in the fact that it had a complete time-telling system. According to the material already quoted and the depiction in Xin Yixiang Fa Yao (new astronomical law), a monograph on astronomical instruments, the parts exhibited to onlookers consisted of three layers: On the top platform, above the ground, there was a mechanized armillary sphere, in a chamber on the first floor there was a mechanized celestial globe, and below, what was called Sichen (or timer), namely the part for time announcing. Sichen was comprised of five parts, placed respectively in a five-tier wooden cabinet. On the whole the five-tier cabinet looked like a five-tiered pagoda at the doors of which an elaborate company of puppets gave visual and audible notice of the passage of time. This clock-tower, compared with Zhang Sixun’s hydraulic-powered armillary sphere, is more elaborate and more complicated. Above the astronomical clock tower, on the first floor was one of the earliest innovation the world has ever seen. As was recorded in the third volume of New Design for an Armillary Sphere, “With the globe placed in the closed chamber below, the armillary sphere was set on the open platform above, and it contained three parts, Outer Nest (Liuhe, meaning six directions), Middle Nest (Sanchen, meaning three luminaries, namely the sun, moon and stars) and Inner Nest (Siyou, meaning four polar pivots) . . . The platform is roofed with movable board.” The ingenious movable board roof here referred to was the world’s earliest movable astronomical observation room. Since then, astronomical apparatuses have generally been installed in astronomical observation rooms with movable roofs for the sake of shelter. As was recorded in the astronomical work, “To the right there is the diurnal motion gear-ring, an innovation as well, attached to the Middle Nest and lying south of the ecliptic circle. On the outer ring were 478 pitches, affixed on the bottom to the hub of the vertical column. The motion of the diurnal motion gear-ring set the ring and the instrument in motion as well, simulating the celestial phenomena.” Thus, we know that on the armillary sphere above the platform was installed a tracking observation device. On the Middle Nest there was a toothed ring, called diurnal motion gear-ring, installed to the south of the ecliptic ring, in fixed position in relation to the Middle Nest. The northernmost part of the ring was linked to the hubs, a pair of coaxial gears, front and rear hubs, respectively, concealed in the decorative part Vertical Column (Aoyunzhong). The gears of the rear hub was connected with the upper wheel of the Supporting Column (Tianzhu), a rotation axis, which was set in rotation through a series of transmission mechanism when the pivotal wheel in the tower-clock was in motion. The bevel gear (known as the upper wheel gear) on the pillar top brought the rear hub into motion, whose coaxial part, the front hub, brought the rear hub into motion, thus the entire Middle Nest was set in rotation, and the Inner Nest (the sighting tube ring) attached within rotated accordingly. Thus, the function of tracking celestial bodies was fulfilled (see Fig. 4.20). The book also gave star-charts showing the relative positions of the multitude of star images. Needham spoke highly of them, holding that the star maps were drawn with a projection analogous to that of Mercator was used, or according to its

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Fig. 4.20 Diagram of the gear transmission system of the water-power clock-tower (Cited from Encyclopedia of China-Volume of Mechanical Engineering )

principle, it was also called “cylindrical projection drawing method.” Hu Weijia, after careful analysis and study of the above-mentioned star charts, was skeptical about the method adopted. With actual measurement and comparison results, he concluded that “the star maps could not have been drawn with the method of projection of a positive cylinder,” but it was probably drawn by using the same scale to convert the de extreme of a star into 3-ordinate-4. This method was an innovation in ancient China when grid coordinates were always employed in mapping due to the ancients’ concept that the earth was regarded as a horizontal plane.” In the 1950s, Liu Xianzhou of the Tsinghua University took the lead in the research into the water-power armillary clockwork. In 1956, at the seminar on the history of natural sciences held by the National Science Planning Commission and the Chinese Academy of Sciences, the subject of restoration research on the waterpower armillary clock-tower erected by Su Song and Han Gonglian was brought forward. In 1957, Mr. Wang Zhenduo of China History Museum was appointed by the Chinese Academy of Sciences and the Cultural Heritage Bureau of the Ministry of Culture of the PRC to organize and take charge of the restoration work. In June 1958, a test model was completed and exhibited in China History Museum. They commented on the model as follows, “This is a model that cannot work, merely for appearance appreciation.” Wang Zhenduo’s report, Restoration of the Water-power Armillary Clock-tower of the Song Dynasty, included in his treatise collection A Collection of Treatises on Scientific Archaeology, incorporated 35 illustrations, 25 of which are delicate mechanical engineering drawings of the restoration model. Judging from the drawings, the pivotal wheel was stuck by locks on both the right and the left, leaving no crevices, so it seems that the model could not work indeed.

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Two Artificial Astronomic Water-Driven Celestial Globes

According to the fourth volume of Yuhai by Wang Yinglin of the Song Dynasty, “Su Song comprehended its construction owing to a sample collected in his household, and he had Han Gonglian make calculations and eventually over several years a celestial globe was accomplished. As large as a human body, the globe was carved with asterisms and ready to be rotated by flowing water. Observed from inside, an observer could see the simulated movement of the celestial sphere. Many astronomical officials gathered and marveled at it. Probably it was the most wonderful astronomical instrument of all time.” The above quotation shows that Su Song and Han Gonglian jointly made an artificial water-driven celestial globe. The instrument was so exquisitely designed as to allow an observer to observe from within it and what he could see was no different from the real starry sky. The celestial globe was also rotated by water (“rotated by flowing water”), which in effect was a water-driven celestial globe which could “ stimulate the movement of the celestial sphere.” Guo Shoujing, a very notable astronomer and hydraulic engineer of the Yuan Dynasty, ever constructed a Linglong (meaning literally “exquisite”) astronomical instrument. In the book of History of the Yuan Dynasty-Guo Shoujing, Song Lian and others in the Song Dynasty made the following statement, “Despite its resemblance to the celestial sphere in shape, the Celestial Globe was not applicable enough, so Guo went on to create a Linglong astronomical instrument.” Ye Ziqi of the early Ming pointed out that “The Linglong was carved with star images, which could be observed from inside the instrument.” These statements show that the instrument was hollow inside, carved with all the asterisms on the surface and that an observer could make observations from inside it. In other words, it was a waterdriven celestial globe. Yang Huan of the Yuan Dynasty wrote an essay called Inscription on the Linglong astronomical Instrument, and when it came to the structure of the instrument, it narrated like this: The armillary spheres he erected were all exclusively dedicated, the most delicate of which was the Linglong Instrument. On the sphere there were approximately 100 (or 160?) thousand grids altogether, even distributed both in longitude and latitude. As a model of the Heavens, the instrument corresponded to the Heavens perfectly. The whole body was transparent and the surface of the sphere was covered with marks of miscellaneous celestial bodies. The observer could enter the globe and watch from within and then the celestial phenomena would manifest themselves before the observer’s eyes. This pointed out that the Linglong instrument was a multifunctional instrument. When observed from inside, the instrument looked like artificial Heavens, and the observer could also directly read the value of the equatorial coordinates from the coordinate grids on the sphere according to the position of the sun or moon. Observed from outside, however, the instrument resembled a celestial globe and functioned like a water-driven celestial globe. The above reflects a distinguishing feature of Guo’s philosophy of astronomical-instrument design.

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The Ancient Chinese Timekeeping Instruments

4.5.6

147

Guo Shoujing’s Clepsydra of Da Ming Hall

In the 13th year of Zhiyuan of the Yuan Dynasty (1276), Guo Shoujing supervised the construction of a series of astronomical instruments. One of them was a huge timer called Da Ming Hall Ornamental-lighted clock (it was so named because it was set in the hall of Da Ming, literally meaning Great Brightness, of the royal palace), about which History of the Yuan Dynasty-Annals on Astronomy gave a detailed depiction as follows: Da Ming Hall Ornamental-lighted clock is seven chi in height and its framework is made of gold. On its curved beam is a metal ball, whose left is a statue of the sun god and whose right, the moon god. Below it hangs another metal ball. Both ends of the beam are decorated with a wooden dragon head, which can open its mouth and move its eyes and monitor the flow velocity of water. Over the central beam there are two wooden dragons with balls in their mouths. They can move their heads upward or downward with the movement of the balls and they monitor the flow rate of water. All these are not merely for decoration. The apparatus comprises four tiers. The first tier is home to four statues of gods, corresponding to the sun, the moon, stars, and planets. It completes its leftward round in a day. The second tier is stationed with models of the four deity animals, which dwell in their proper places and leap according to the quarter in coordination with the striking of cymbal. Marked with the hundred quarters on its surface, the third tier incorporates 12 god statues, who hold time display boards in their hands and show time at the four doors. Within the doorway another god statue is placed, whose hand points to the quarters. On the corners of the fourth tier are four puppets holding a clock, a drum, a gong, and a cymbal, respectively. For each double-hour, the clock is sounded at the first quarter, the drum the second, the gong the third, and the cymbal the fourth. Hidden in the cabinet, the driving system of the apparatus is driven by flowing water. As a time-keeping device, the apparatus consisted of two parts: the upper part, accessories used for adjustment, and the lower part, the main body. The lower part was composed of four tiers. Both the first and second tiers were designed to demonstrate the motions of celestial bodies. Completing one leftward revolution daily, the first tier incorporated four statues of gods, corresponding to the sun, the moon, stars, and planets, respectively. The second incorporated the models of animals representing the four main palaces of the heavens: the Blue Dragon in the east, the Vermilion Bird in the south, the White Tiger in the west, and the Black Tortoise in the north. These models would automatically leap at each quarter in coordination with the striking of cymbals. The third tier gave visual notice of the passage of an hour or quarter and the fourth gave audible notice of the passage of a quarter. As for its mechanical drive, “the driving system hidden in the cabinet is driven by flowing water,” but whether there was an escapement on the apparatus was not mentioned. Da Ming Hall Clockwork was a four-tier time keeper, slightly different from Zhang Sixun’s Taiping Tianguo armillary sphere, whose time indicating system consisted of two tiers, and the Astronomical Clock Tower, whose time announcing system, called “wooden cabinet,” was a five-tier structure. The most innovative part

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about the instrument was that it adopted a new method to make things on a plane equal in height and that it told time by means of leaps. It has been recorded that, “Guo presented a Qi Bao clockwork when Emperor Shizu was having a routine meeting with his officials at the Da Ming Hall. Afterwards, whenever there was a routine meeting at the hall, the clockwork was operated and the bells and drums would automatically strike at proper time” (Su Tianjue, Imperial Historian Guo Shoujing, Sketches of Pillars of the State (Guochao Mingzheng Shilue), Vol.9). This seems to us to refer to Da Ming Hall Ornamentallighted clock, which was originally called “Seven Treasure clepsydra” and was renamed so owing to the fact that it was placed at the Hall of Da Ming in the Forbidden City of Dadu, capital of the Yuan Dynasty. Before the routine meeting between the emperor and officials began, the time indicating device was adjusted to conform to the specific time and in no time the machine was started by letting in water and when the meeting was over, water flow was stopped. Another document says, “In lunar February, the 3rd year of the Zhongtong reignperiod (1262),” the year of Bingshen, “Guo Shoujing accomplished the achievement of Bao Shan clepsydra, which was transferred to Yanjing.” There was no historical document yet discovered to prove the connection between the so-called Baoshan Clepsydra and Qi Bao clepsydra.

4.5.7

Palace Clepsydra of the Late Yuan Dynasty

Song Lian et al of the Ming Dynasty narrated in History of the Yuan DynastyEmperor Shundi that in the 14th year of Zhizheng (1354): A clepsydra, about six or seven feet high and half this size in breadth, was also designed for the royal palace. A wooden cabinet was made to conceal the various vessels, water running through the instrument. Above the cabinet are three sacred palaces in the West, and halfway of the cabinet there was a jade maiden holding timepieces in her hand, and when the right hour arrives, they all float to the surface of water. On the right and the left there stood two jacks, one holding a clock and the other a bell-shaped percussion instrument. At night hours, the jacks could strike the hours with great accuracy. When they struck the hour, the lion and phoenix figures on the side of the apparatus would be set in motion. To the west and east of the cabinet there were solar and lunar palaces, six flying fairy ladies stood in front of the doors. When it was noon or midnight, the fairy ladies would automatically enter the palaces, travel over the fairy bridge, and reach the three sacred palaces. After that time, they would return to the doorway and restore to their original gestures. The great delicacy of the instrument is said to be unprecedented. The powering system of this type of clepsydra “circulated water around the vessels” shows that it adopted several overflow receivers and its operation structure is assumed to adopt the method of fixing receiving vessels evenly on the circumstance of the driving wheel so that it could be rotated by gravity torques. Its great accuracy in timekeeping is speculated to have been achieved by something similar to an escapement mechanism. Its function of telling night hours could be fulfilled

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through mechanical drive or manual adjustment. In general, Emperor Shundi’s clepsydra was original in its form of time announcing and occupied a unique position in the development history of timekeeping instruments.

4.5.8

Crystal Clepsydra of the Early Ming Dynasty

As has been recorded that “In the reign period of Emperor Taizu of Ming, the Astronomical Bureau presented to the emperor a crystal clepsydra, in which two wooden puppets could automatically strike the drum and the gong to announce time. Believing it to do no good, the emperor, however, had it broken” (Zhang Tingyu, et al: History of the Ming Dynasty-Annals of Astronomy). The 17th volume of Shendao Dabian Lizong Tongyi, commentary on calendars by Zhou Shuxue gave a more detailed narration of the shape and structure of crystal clepsydra, “The armillary sphere is over 2.5 chi in circumstance and twelve Juyu of eight cun are arranged in it, with the upper and lower not meeting properly. The Juyu, which correspond to the twelve double-hours, rotate on the driving wheel and when touching the hand of Zhishi (one of the puppets), they strike the drum to indicate the hour. Another one hundred Juyu were lined on the rim corresponding to the hundred (ancient) quarters of the day, and when touching the hand of Zhifu (the other puppet), they strike the gong (a bell-shaped percussion instrument) to indicate the quarter. In the temple of Dingjia there were twelve gods and twelve zodiacs, which share the same axis. When the Juyu touch the axis, one god will be in the upper position.” The Juyu here refers to gear teeth which do not meet properly, and Zhishi and Zhifu are the two puppets that could automatically strike the drum and gong. The former struck the drum every double-hour and the latter struck gong every quarter. The instrument was driven by flowing water from the clepsydra, and as is said, “to strike the wheel of the armillary wheel.” The axis was by this means made to rotate at constant speed and then the gear system transmitted the power to achieve the purpose of automatic time telling.

4.5.9

Zhan Xiyuan’s Sand Clepsydra and Others

Mechanical time keepers of the Ming Dynasty are featured with sand clepsydrae. History of the Ming Dynasty-Annals on Astronomy recorded that “At the beginning of the Ming, Zhan Xiyuan reformed the clepsydra by replacing water with sand on account that water in clepsydrae would freeze in severe winter and failed to function properly. Sand, nevertheless, flowed too quickly, so four more wheels were added to the driving wheel, each with thirty-six teeth.” This statement implies that the sand clepsydra, distinct from western sand glasses, was actually a mechanical time keeper employing flowing sand to rotate the gear system. Evolving from water-driven clepsydrae, Zhan Yuanxi’s sand clepsydra was designed to overcome the default of water clepsydrae, that is, the water in it would freeze in severe winter and could not

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flow in the vessels. The above citation mentions that four wheels were added to the sand clepsydra, so, apart from the driving wheel, it altogether had five wheels. That is why it is generally referred to as “five-wheel sand clepsydra”. Zhan’s contemporary, Song Lian wrote an article Inscription for the Five-wheel Sand Clepsydra, incorporated in the 15th volume, Wen Xian Collections, (wen xian ji). In this article, Song pointed out that the originality of Zhan Xiyuan’s five-wheel sand clepsydra was “unprecedented and could well be a rival with Guo Shoujing’s automatic striking clock, Qi Bao Clepsydra.” In the essay, he wrote as follows: The sand clepsydra works in this way: Fine sand stored in the sand pit is allowed to flow into the buckets and power the wheels to rotate in turn, altogether five of them. Settled on a crosspiece, the initial wheel is 0.15 chi in circumference and its axle is 2.3 chi (a unit of measurement, 1 chi ¼ 0.333 meters) in length. On the end of the axle, attached to a six-tooth gear, is another wheel, 28 fen (1 fen ¼ 0.01 chi) in circumference, ringed with sixteen buckets whose breadth and depth are both 8 fen. When sand flows and the buckets operate, the wheels are powered to rotate. Fixed in the same manner, the second wheel, with an axle of one chi, is almost as large as the initial wheel, around 1.5 chi in circumference. It is equipped with a 36-tooth gear set. On the end of its axle is also a six-tooth gear, which turns the third wheel. The third wheel duplicates the two in terms of axle and circumference, and its crosspiece is the same as that of the first one. Its end is also fixed to a six-tooth gear, which rotates the fourth one. The fourth wheel is a duplicate of the third one, except that its crosspiece copies the second wheel. Its end is attached to a six-tooth gear, which rotates the central wheel, a duplicate of the fourth wheel. Unlike the four wheels, the central wheel, with no teeth on its end, rotates on a horizontal plane. Running through the central wheel is an axle of 0.6 chi long, the other end of which goes through the center of a dial. The dial is marked with 12 h which are subdivided into a hundred quarters. The axle end was attached to a cloud-shaped indicator-rod with drawings of the sun. The five wheels mesh with each other and rotate in turn. The central wheel completes a round on the dial surface daily, with the foot of the cloud pointing to the time. The wheels other than the central one are flexible to some degree. The wheels and the sand pit are all hidden in the cabinet, and the dial exclusively is exposed to the outside. Beside it, there stand two carved puppets in yellow, who struck the drum and the gong powered also by flowing sand. The amount of sand is monitored daily. This sand clepsydra was roughly divided into four components: sand pit, bucketwheel, reduction gear device, and time display device. The speed of the bucketwheel was moderated by a series of gear set, altogether four pairs, each of which constituted a 6-tooth gear and a 36-tooth one. The other end of the axle went through the center of a dial, which was marked with the graduations for the twelve doublehour and the hundred quarters of the day and night. The axle end was attached to a cloud-shaped indicator-rod with drawings of the sun. In this clepsydra, sand pit, bucket-wheel and underdriving gear set were hidden in the cabinet, and time display device alone was exposed, so it looked more like a modern mechanical clock. It was also equipped with a sound time-telling device: two puppets in yellow struck the drum and the gong, respectively, at appropriate time. The book, nevertheless, mentions nothing regarding how it was linked to the gear system.

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Western missionaries of the Ming Dynasty brought to China a new style of mechanical time keeper – the mechanical clock. Italian missionary Michelle Ruggieri (1543–1607) presented a striking clock to General Governor of the Guangdong-Guangxi area at the beginning of the reign-period of Emperor Wanli (1573–1620), and in 1601, he and Matteo Ricci presented two The Sympathiqueclocks to Emperor Wanli, and afterwards, imitations of these clocks were made by Chinese craftsmen. The gradual popularity of mechanical clocks facilitated time keeping among folks. Yet, up to the 13th year of the Shunzhi reign-period (1644– 1661), the mechanical clocks far lagged behind a well-tended professional clepsydra in accuracy, with daily error up to 20 min. It was not until Dutch physicist Huygens’ application of the pendulum to clock making for speed control and his invention of spiral hairspring in 1675 that the accuracy of mechanical clocks was substantially improved. (Translator: Yongling Wang) (Proofreader: Caiyun Lian)

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Hydrologic and Hydraulic Engineering Survey in Ancient China Kuiyi Zhou

Contents 5.1 Hydrologic Survey in Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1.1 The Origin and Development of River Level Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1.2 Water Gauge Steles in Taihu Area in the Song Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . 5.1.3 Yinxian County’s Scientific Achievements in Water Level Survey in the Song Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1.4 Flow Survey and Calculation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1.5 Modern Hydrologic Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2 Technology of Hydraulic Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.1 The Concept of Leveling and Original Leveling Survey . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.2 Original Invention and Application of Leveling Instruments . . . . . . . . . . . . . . . . . . . . 5.2.3 Leveling Instrument and Large-Scale Leveling Practice . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.4 Elevation Survey on the Principle of a Perpendicular Plumb – Ancient Chinese Hanping (No Water Measuring) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.5 Survey and Calculation of Height, Depth, Distance, and Bearings . . . . . . . . . . . . . . 5.3 Achievements in Ancient and Modern Hydraulic Surveying . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3.1 Construction Method of “Well Channel” in the Longshou Canal . . . . . . . . . . . . . . . 5.3.2 The Huitong River Running Through the Shandong Horst . . . . . . . . . . . . . . . . . . . . . . 5.3.3 Calculations in Hydraulic Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3.4 The Application of Modern Hydraulic Survey Technology . . . . . . . . . . . . . . . . . . . . . .

154 155 159 161 168 171 173 173 175 179 185 189 191 191 194 197 199

Abstract

This chapter tells of the technological achievements in hydrologic and hydraulic survey in ancient and modern China. Firstly, water level survey appeared very early in ancient China, and by the Song Dynasty, it had reached a peak, with water gauges widely used. Besides water level survey, flow measurement and calculation were also attached importance to. In modern times, more advances were made in K. Zhou (*) Water History Department, China Institute of Water Resources and Hydropower Research, Beijing, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_5

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hydrologic survey. Secondly, in terms of hydraulic survey, leveling instruments and practice are elaborated on. In addition, this chapter also introduces measurement of distance, height, depth, and bearings. Thirdly, the chapter sums up the achievements in hydraulic surveying in both ancient and modern China. Keywords

Hydrologic survey · Hydraulic survey · Leveling · Water gauge Survey is the technical basis of water conservancy construction. By surveying, data of rainfall, water level, and topography can be obtained to facilitate the planning and designing of hydraulic works. A multitude of scientific and technological achievements were made in those well-known hydraulic works in ancient China. Among them, one that cannot be overlooked was the outstanding survey technology adopted. In the ancient Chinese myth Da Yu Led People in Curbing Floods, what Yu did first in fighting the floods was “climb the mountains, planting wood piles on the way and survey the high mountains and big rivers”, (Records of the Historian-the Xia Dynasty (Vol. 2), Shanghai Classics Publishing House, Twenty-five Historic Classics, P11) which was the earliest application of topographic survey in water conservancy activities. The Dujiang Weir diverted the waters of the Minjiang River to Chengdu Plain, aqueducts carried water supply to towns, villages, and even tens of thousands of households and self-flow irrigation canals extended to nearly every field. All these became possible just owing to engineering surveying, by means of which hydraulic plans were able to be put into practice. The water conservancy project marking the peak of ancient survey technology was the Grand Canal, which crossed the natural watersheds and linked up the five large rivers. In constructing the canal, the foremost technology adopted was geodetic surveying, followed by the planning and designing of water source engineering, control engineering, and waterway engineering. Geodetic survey and engineering survey were both the cornerstones for the success of the project. In ancient times, surveys concerning water conservancy were roughly divided into two types: hydrologic survey and topographic survey. The former was the exclusive technology in the field of water conservancy, and the latter fell into the application fields of surveying. Ancient hydrologic surveys mainly incorporated rainfall, water flow, water level, and so on. Surveying tools, known as Shuize (water gauge), Shuiping (water level), or Shuizhi (water marker), were carved on cliffs or riverbed bedrocks, or located at a specific position on a worksite. Topographic surveying, nevertheless, was made with dedicated instruments. The oldest Chinese measurement device is Shuiping (water level) or Hanping (no water level), which has been in constant use for thousands of years.

5.1

Hydrologic Survey in Ancient China

The important content of ancient hydrological science was to survey the water level of rivers with fixed water gauges. For one thing, the water level of rivers and lakes determined the height of dikes and indicated whether diversion irrigation could be

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realized through channels. For another, water depth, directly related to water level, was a primary determining factor of water flow. China has a 4000-year history of water level survey, with the Song Dynasty witnessing the peak of technological development. The water gauge used for measuring water level in the Song period was called Shuize (water gauge). In the Southern Song Dynasty, Yinxian County took the lead nationwide and even worldwide in terms of water level survey.

5.1.1

The Origin and Development of River Level Survey

The earliest water level survey originated from ancient Egypt. It is said that ancient Egyptians’ observation of the water level of the Nile River dated from 3500 BC and at present Egypt still retains the water scale carved into the rock around 2000 BC ( translated by Wang Yizhu, History of the Ancient East, SDX Joint Publishing Company, 1956, P236. Encyclopedia of China -Hydrography Vol., Encyclopedia of China Publishing House, 1987, P712, the rock inscriptions were dated around 2200 BC.). In ancient China, Da Yu managed to curb floods by means of dredging, and the approaches he adopted included water level survey and topography survey (Records of the Historian-the Xia Dynasty (Vol. 2), Shanghai Classics Publishing House, Twenty-five Historic Classics, P11). A renowned Eastern Han scholar, Xu Shen, in his book Paraphrasing Texts and Words, (Shuowen Jiezi, completed in 121 AD) gave the following annotation to the Chinese character “测”, indicating that its phonetic part is “则”(ze)and its radical part is “水”(water), meaning exploring the depth of water. Obviously, “测”derived from measuring water depth. Accordingly, later generations referred to water level as water gauge. Fixed water gauge survey in ancient times took such forms as low water and flood graduations, stone figure water gauges, and equidistant water gauges. The earliest flood inscription in China was recorded in Commentary on Waterways Classic (Shui Jing Zhu). According to the book, “There was a stone inscription on the left-side cliff of Yique, saying: on Xinsi, June 24 on the lunar calendar, the fourth year of Huangchu, a flood reached as high as 45 chi (1 chi ¼ 31 meter) against the cliff. This mark was made to record the rising and falling of water level.” The flood mark, converted into modern measurement, suggested that the peak discharge of this flood was about 20,000 cubic meters per second. Similar flood and low water level inscriptions are common everywhere, particularly along the trunk stream of the Yangtze River. For instance, in the ninth year of the Tongzhi reign period (1870), an extraordinary flood struck the Chongqing-Yichang section of the Yangtze River, becoming the largest one in 800 years. The flood was so extraordinary that people marked its highest water level on the rock, so that such inscriptions as “The GengWu Flood reached this point” could be found at as many as 90 places (See Fig. 5.1). Based on these inscriptions and textual documents, modern people, utilizing modern hydraulics and hydrologic methods, made calculations and obtained such data as flood hydrograph and peak discharge. It can be confirmed after comparison that the peak discharge that year was 105,000 cubic meters per second. This value has found its practical application in the water conservancy planning of the Yangtze River and the designing of the Three Gorges Water Control Project.

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Fig. 5.1 One of the flood inscriptions made in the ninth year of the Tongzhi reign period. (Selected from Summary of Flood Records in 2000 Years in Sichuan)

Water level testing was sometimes done with the aid of stone figure water level, the earliest of which found their application in the Dujiang Weir. According to the records in Chronicles of Huayang-The State of Shu(completed in 354), when Li Bing supervised the construction of the weir, “he made three stone figures at Baishayou, planted them in the river and, with the river god, made the following agreement: “In the low-water season, water level would not drop below the figures’ feet; in highwater season, it would not overtop their shoulders.” The shoulders and feet of the stone figures were equivalent to graduations. Two stone figure water gauges were excavated from the outer river near the head works of the Dujiang Weir in 1974 and 1975 successively. One of them was dilapidated while the other was a stone figure of Li Bing, 2.9 meters in height and 4.5 tons in weight, constructed in 168 in the Eastern Han Dynasty (See Fig. 5.2). There are three lines of inscriptions on the skirts and sleeves of stone robes. (Governor of Shu Prefecture, Li Bing, on the 25th of intercalary month Wushen, first year of Jianning (168 AD), together with water conservancy officials Yin Long and Chen Yi, made three stone figures, reminding people to cherish water for thousands of generations) These lines partly confirmed what was recorded in Chronicles of Huayang. It follows that the stone figure water level on the Dujiang Weir was built no later than 168. Similar stone figure water level were discovered in and around Luoyang, Henan Province. Waterways Classic-Comments on Valley Water 《水经·谷水注》 says “At the eastern end of the dam stands a stone figure, bearing flood inscriptions.” Equidistant water gauges were in use no later than the Song period. In the Northern Song Dynasty, The Dujiang Weir water gauge was carved on the cliff wall off Lidui, Baopingkou, totaling ten graduations. “If reaching six graduations, the river water is sufficient for utilization. If surpassing that mark, the river water has to be discharged by Shilang Dam (present Flying Sand Dam) into the Yangtze River (History of the Song Dynasty-Annals of Rivers and Canals(Vol. 95)). ” In the 30th year of the Qianlong reign-period (1765), on the left bank of Baopingkou, a water gauge of 24 graduations was replanted. Thirteen graduations indicated sufficiency for spring ploughing, and 16 the warning line. This water gauge has been in use till today. The Zhengguo Canal (now Jinghui Canal) which conveyed the Jing River from Shaanxi Province was called the Fengli Canal in the Northern Song Dynasty, and its inlet on the left-side cliff wall was inscribed with an equidistant water gauge. Its graduations remain distinct, but the text was mottled, the solely distinguishable being two Chinese characters “已上” (See Fig. 5.3).

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Fig. 5.2 A stone figure of Li Bing excavated at the Dujiang Weir. (Selected from Cultural Heritage, 1974, No.7)

Water gauges were prevalent in Jiangsu-Zhejiang area in the Song Dynasty. The late Southern Song saw three in Yinxian County alone, one at Huisha Sluices next to Tashan Weir, another at Big Stone Bridge Sluices, both employed as the basis for controlling the opening and closing of the sluice gates and constructed in 1242 and the third one at the southern end of Pingqiao Bridge, built by Wu Qian (1196–1262), Prime Minister in the Baoyou reign period (1253–1258). In Yinxian County, a place which fronted the sea with hills on the back, when the sea tides ran upstream, all the streams in the county became salty so they were not suitable for drinking or irrigation. Consequently, in the early years, sluices were constructed in the lower reaches. The sluices were closed in normal times so as to prevent salty water from flowing upstream and store fresh water, and when the water level rose, the sluices were opened for flood discharge. Hence, the opening and closing of the sluices were directly related to the life and production of the masses in the small watershed. Prior to the time of Wu Qian, the sluices would be opened on condition that the water rose to three meters, which was neither easy to measure nor precise. Consequently, Wu Qian carried out a survey of the fields and the rivers by boat, converted the data in relation to the water level at Pingqiao Bridge of the Moon River and erected a water

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Fig. 5.3 The water gauge at the inlet of the Fengli Canal (the picture was provided by Jinghui Canal Administration Bureau)

gauge stele carved with a Chinese character “平”, by which the opening and closing of the sluices could be determined. When the stele was submerged by rising water, the sluices were opened for discharge, while ordinarily, the sluices were closed (Records of Wu Qian’s Ping-Stele, Zhizheng Local Chronicles of Siming (Vol. 4), Local Chronicles Series of Song and Yuan Dynasties, Zhonghua Book Company, 1990). It facilitated management and publicity lest disputes between villages with different topographical conditions arose over irrigation. This is the well-known “Ping stele.” Wu Qian’s intimate relationship with his contemporary renowned mathematician Qin Jiuzhao (1202–1261) would also be of some aid to his scientific practice. The practice of applying water gauges to water level control used to be employed in Haihe depression lakes. In the Northern Song Dynasty, there were a series of pools and depression lakes north and south of the Daqing River in the Haihe River Basin. Depression lakes chiefly served the purpose of preventing the army of Liao from invading the Central Plains, so they must retain a certain depth to meet the requirements of “being neither deep enough to support boats nor shallow enough to support

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wading.” For this reason, the Northern Song government planted “wooden piles as water gauges for water level control,” (History of the Song Dynasty-Annals of Rivers and Canals(Vol. 95, Pools and Lakes)) that is, to impound or discharge according to water level. As for the dangerous sections of the main stream of the Yellow River, not only water levels were in place to survey water level but also hydrological logs were kept to record water level in the Northern Song Dynasty. For example, in the Xining period (1068–1077), there was a proposal that the Yellow River be dredged by means of harrowing, but fierce controversy arose in the court as to its practical effect, with both sides presenting their experimental results. “In the 8th year of Xining, I made a survey of the river and recorded the dates and the corresponding water level,” (Li Tao, Extended Addition to Chronicles for the Ruler (Vol. 282), Shanghai Classics Publishing House, 1986.) so the water level was recorded chronically. This hydrological log was called “water calendar” (Shuili), that is, the calendar on the changes in water level (Li Tao, Extended Addition to Chronicles for the Ruler (Vol. 282), Shanghai Classics Publishing House, 1986.). The application of water gauges and water calendar for the Yellow River marked improvement in hydrologic survey, flood prevention, and bank protection. By the Song Dynasty, water level survey had been in general use and its technological levels had seen a peak too. The advancement in the Yuan Dynasty was chiefly displayed in the fact that Guo Shoujing put forward the concepts of elevation and absolute elevation (Qi Lvqian, The Poems and Articles of the Yuan Dynasty (Vol. 49), A Brief Biographical Sketch of Guo Shoujing, a four-series edition.). It was restricted to general application in the Ming-Qing period until Western hydrology was introduced into China.

5.1.2

Water Gauge Steles in Taihu Area in the Song Dynasty

The Taihu Plain in the Song Dynasty witnessed a large number of water gauge steles, and the most typical of the existent ones were those erected in Wujiang county. As was recorded in The Complete Hydraulic Works of Wuzhong District, “In the 2nd year of Xuanhe of Huizong of Song (1120), a great number of water gauge steles were erected in western Zhejiang Province. The government promoted water conservancy construction for impoundment, irrigation or navigation on ponds, lakes, streams, rivers and channels. The government also had them measured and defined, recording the data on stone tablets, which were known as water gauge steles. The two prominent steles on Long Bridge must have been erected during this time. Of the numerous steles, only two keep standing until today.” The two steles mentioned in this citation were actually the water gauge steles on the Wujiang River, which were standing on Hanging Rainbow Bridge, commonly known as Long Bridge or Liwang Bridge (Liwang literally means benefiting traffic). Since Long Bridge was the principal water outlet for the flooding water of the Taihu River to drain into the Wusong River, changes in water level here could represent those of the lake and its eastern areas.

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In his Hydraulic Study of the Wujiang River – Study of Water Gauges (Wujiang Shuikao -Shuizai Kao), Shen Ji wrote that the water gauge steles on the Wujiang River consisted of two, one horizontal, the other vertical, and recounted why they were erected and what the graduations indicated. The horizontal water gauge stele(the left one), more than seven chi (1chi¼ 13 meter), stood on the left of Hanging Rainbow Bridge, but its source was untraceable. The face of the stele was marked with seven graduations. The lowest graduation represented the water level during drought period. When water stage reached the lowest graduation, both low-lying and high-lying fields were free from inundation. When it reached two graduations, rather low-lying fields were inundated. When it reached three graduations, slightly low-lying fields suffered from inundation. When it climbed to four graduations, low- and middle-lying fields could not escape flooding. When it climbed to five graduations, middleabove fields could not avoid being flooded. When it rose to six graduations, slightly high-lying fields were flooded. When it rose to seven graduations, rather high-lying fields were all under flood water as well. The markings on the left stele indicated the highest water stage in a year (Shen Ji, Hydraulic Study of the Wujiang River-Study of Water Gauges, block-printed edition. Reedited by Huang Xiangxi, 1884, P7). For instance, the sixth horizontal line marked the water stage in the fifth year of Shaoxi of Song, while the seventh that of the 23rd year of Zhiyuan of Yuan. The vertical one(the right one), also more than seven chi, sat on the right of Hanging Rainbow Bridge, whose source was untraceable too. The graduations on the right one consisted of two sections, the upper section and the lower section. Each section incorporated six graduations indicating six months, the upper from the first lunar month to the sixth and the lower from the seventh to the twelfth. Under each month-indicating graduation, there were three smaller graduations indicating each ten-day period of the month. In this way, each section consisted of 18 graduations. A government clerk would report the highest water level of each ten-day period to the official in charge, and water stages would be marked on the stele (Shen Ji, Hydraulic Study of the Wujiang River-Study of Water Gauges, block-printed edition. Reedited by Huang Xiangxi, 1884, P8). Later, the two steles were either damaged or missing. The right stele was reconstructed in 1747, the 12th year of the Qianlong reign period (Huang Xiangxi, Extended Addition of Hydraulic Study of the Wujiang River (Vol. 2), Guangxu Jia-Wu year edition, P9.). In 1964, based on a contrast between the flooding situation of fields on record and the measured elevations, Shanghai Survey and Design Institute of Water Resources and Power Ministry (former unit of SGIOI Engineering Consulting (Group), Co. Ltd) calculated the historic flood 4 stages and produced Brief Table of Historic Floods on the Taihu River. The table covered approximately 800 years, from 1194 till 1954, of which 800 years were listed to have witnessed floods above six graduations (Shanghai Investigation, Design& Research Institute: Discuss the Historic Floods of the Taihu Lake from Wujiang Water Gauge Steles, Jiangsu Water Science-technology, 1983, No.2, P76) (Fig. 5.4).

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Fig. 5.4 Pattern of the Wujiang water gauge steles (Selected from Shen Ji’s Hydraulic Study of the Wujiang River)

5.1.3

Yinxian County’s Scientific Achievements in Water Level Survey in the Song Dynasty

The documented Yinxian County water gauges first appeared in the Northern Song Dynasty. The levees of Dongqian Lake were home to seven weirs, through which boats could sail. During floods, overflowing lake water was discharged by means of the weirs. In addition, stone sluices were attached to four of the weirs: Qian Weir, Da Weir, Meihu Weir, and Mozhi Weir. In the stone sluices, trussed atop log was designed to control water flow. Specifically, they could be employed to aid flood discharge and provide water for the lower reaches. “To control flood storage, it is a customary in the Jiangyou reign-period to set four stone sluices, and to the left and right, two level stones were erected, which could open, close, discharge or store water when necessary (Zhang Shiche, et al. Local Chronicles of Ningbo -Rivers and Channels (Vol.23), photo-offset copy produced by Cheng Wen Publishing Co.Ltd., Taiwan, P1983).” The stone sluice water gauge on Dongqian Lake resembled those used in contemporary water conservancy projects. Yinxian County was a place fronting the sea with hills on the back, so when the sea tides ran upstream, all the streams in the county became too salty to drink or irrigate. Hence, in late Southern Song Dynasty, people began to construct sluices on the tributaries. In normal times the sluices were closed to prevent salty water from flowing upstream and store fresh water, and when the water level rose, the sluices were opened for flood discharge. Therefore, the opening and closing of the sluices were intimately related to the life and production of the masses dwelling in Yinjiang

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River Basin. Documented water gauges in this period included three: one at Huisha Sluices next to Tashan Weir, one at Big Stone Bridge Sluices, and the third one at the southern end of Pingqiao Bridge in downtown Yinxian County.

5.1.3.1 The Kaiqing Water Gauge on Pingqiao Bridge Of the three water gauges in Yinxian County, the one that enjoyed the greatest fame was Ping Stele, which was placed at Pingqiao Bridge and constructed by Wu Qian (1196–1262), one of the two prime ministers in the 11th year of Chunyou (1251) and governor of Qingyuan (present-day Yinxian County was under its administration) from 1256 to 1259. While he was in office, he made great contributions to water conservancy construction. As is documented, “All stone sluices, weirs and dikes that need to be created, renovated or removed under official order have seen Wu Qian’s work and effort (Kaiqing Addition Local Chronicles of Siming-Water Conservancy (Vol. 4), Local Chronicle Series of Song and Yuan Dynasties, Zhonghua Book Company, 1990, P595).” In addition, in the first year of Kaiqing, “Ping stele” was established in downtown Yinxian County. The water gauge stele was carved with a Chinese character “平”, by which the opening and closing of the sluices could be determined. That summer a steady rain struck the county, and Wu Qian instructed people to open or close the sluices according to the water level indicated on the water gauge and ordered levee breaches for flood discharge at critical moments when the discharge workload became too heavy for the sluices to bear, thus preventing devastating floods that would otherwise be hard to evade and guaranteeing harvest in the whole prefecture. Wu did plenty of field investigation before he determined the elevation of “Ping Stele.” He recorded this experience in his Story of Water Gauges on Pingqiao Bridge as follows, “I devoted lots of my effort to the work concerning stone sluices and by the time of fighting against the floods in Hongshui Bay, most of my talent had been exhausted. In the year of Yiwei, from Cuishan Mountain I embarked on my journey of field investigation, went through Lincun Village and sailed back via the western city gate. Another time when I had spare time, starting from the Moon Lake, I surveyed the fields along Zhuzhou and southern Yicheng City. Where the field topography was high, I would make a mark on a bamboo stick and then compared the mark against the Pingqiao water gauge. A stone pavilion, called a water gauge stele, was thus constructed.” The Siming Mountain water system in Yinxian County consisted mainly of the Middle Pond River in the west and the Southern Pond River in the southwest, and the two rivers entered the city through the western and southern water gates, respectively. Hence, for the purpose of knowing about and taking control of the water level in the two rivers by means of monitoring and operating that in the city channels, it was essential to be aware of the water level in the channels in relation to the two rivers. In his field investigation Wu followed the following routes: one was to start from Cuishan Mountain and Lincun Village and sail along the Middle Pond River to the west of the city; one was to start from Zhuzhou and surveyed the area in and around Southern Pond River, measuring the elevational positions of the sluices in relation to the fields and the water level at Pingqiao Bridge. In other words, the water levels in the west and south of the city were converted into

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those at Pingqiao Bridge, the result of which was the mark to determine the opening and closing of the sluices. The staff gauge was a Chinese character “平”. When the first stroke of “平” was submerged by rising water, the sluice gates would be opened for discharge; when the second stroke of the character appeared, they would be closed to facilitate fresh water storage. What was the benefit of such conversion? The answer could be found in the inscription on the stele, “Pingqiao Bridge was so near to the government office that pedestrians’ voices could be heard in the office (Zhang Shu et al. Guangxu, Local Chronicles of Yinxian County (Vol. 6)). In effect, the bridge was no more than fifty steps from the government office and what’s more, there was a large space around the stele, so that “the governors and county magistrates could easily see it when they passed by in their carriages.” This would greatly facilitate government monitoring and administration. Up to the 13th reign year (1534) of Emperor Jiajing of Ming, the then magistrate of the prefecture, Zhang Wei, had a school constructed in the space, so that the original function it was intended for of facilitating monitoring and administration was lost. Over a century later, the school was turned into ruins and the water gauge was buried under rubble. In the seventh year of the Shunzhi reign period (1650) and the 24th year of the Jiaqing reign period (1819), the water gauge stele constructed in the Song Dynasty was discovered and a pavilion was reconstructed in the 26th year of the Daoguang reign period, and meanwhile another “Ping Stele” was carved and the original one was attached to the new one. Due to a higher base of the pavilion and an altered elevation, the water gauge failed to act as a mark indicating the water level in the river basin, thus solely becoming a monument instead. The above summarizes Wu Qian’s achievements in this field. It needs to be noted that in writing his “Story of Pingqiao Bridge Water Gauge,” Wu seemed to be partial about what his predecessors had achieved in water level surveying. He asserted that people used to control water level by means of a gauge called “water leveler” (ping shui chi), which regards “a water depth of three chi (1 chi¼13meter)” as being level. The terrain under the flat surface of water cannot be constantly flat whereas the water surface over varied topography is always level. What an enormous difference it would make to use that as a criterion!” It appeared as if a water depth of three-chi was deemed as a criterion for the opening and closing of sluices. However, this is not the case. As early as 17 years before the Pingqiao Bridge water gauge stele was erected, similar water level observation had existed in Yingxian County.

5.1.3.2 The Chunyou Water Gauge on Big Stone Bridge Located one li (1 li ¼ 0.5 km) east of the county, Big Stone Bridge was constructed in the first year of Yuanfu of the Northern Song Dynasty (1098). In the second year of Chunyou (1242), Prefecture Chief, Chen Kai (styled Kezhai) had it reconstructed and had a downflow weir built under the bridge. “A sluice and a bridge at Pukou were designed to discharge flood water or act as a barrier for tides.” Yet, how to manage the opening and closing of the sluice? The occurrence of floods in this area was mostly due to delayed discharge since farmers were over-concerned that

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discharge would result in irrigation water shortage after rains. Consequently, Chen Kai erected the water-level to measure and monitor water level and had the sluice opened or closed accordingly. Just like varied topography, water depth varied from place to place. For the municipal river, a depth of three chi would submerge the water level, in which case a discharge would be desirable. Chen Kai’s water gauge was called Pingshui Chi (water ruler). It focused on the relationship between topography and water depth. In other words, what it measured was water level rather than the depth of water. The water level could not just survey the water paths in the east of the county, but also “detect those outside it based on the analogical method.” It follows that the water leveler established the correlation between water level within the city and that at the sluices in the other reaches. The wide distribution of water conservancy projects designed by Chen Kai in the county made it possible to establish a unified stage relation within a small watershed. According to Zhizheng Local Chronicles of Siming, while working as Prefecture Chief of Qingyuan Fu between December 1241 and March 1243, he undertook the following seven hydraulic projects: (1), the dredging of the waterways of the Dongqian Lake and the Xiaojiang Lake, (2)the desilting of Tashan Weir and construction of Huisha Locks, (3)the opening of discharging channels, (4)the clearing of folk houses from waterways, (5)the construction of Baofeng stone sluice north of the county, 6) the restoration of discharge sluices at Pukou, and (7) the reconstruction of the stone sluice at Big Stone Bridge. Not only did he undertake a multitude of projects, but he worked diligently and did field research in person. It is documented that “Whenever rain water overflowed valleys as a consequence of steady rain, Chen would ride a horse and inspect the waterways alone and monitor flood prevention in person. Considering that he could not visit every sluice, he created the water leveler for stage determination so as to decide upon the opening and closing of the stone sluices.” The above quotation brings out how the sluices were simultaneously controlled via the water leveler and reflects the role that the water leveler played in indicating water level at different elevations using a unified standard. His contemporary, Zheng Qingzhi, commented on Chen this way, “In addition to his regular office work, Chen did lots of field research on rivers and channels, striving to do something conducive to the future of his hometown and even his motherland.“ In his own poem, he also exclaimed that “Twice in months I toured the suburbs, appreciating well-grown crops while promoting agricultural work,” mirroring his devotion to investigation and research into hydraulic projects and thus laying a foundation for unified water control in each township. Unified water level measurement via the water level in the east of the county brought great convenience to prefectural management. Prior to the innovative move, when fields were inundated and farmers desired to open the stone sluice for discharge, a report had to be made first to dou bao zhang (head of a group of five hundred households), who would in turn report to the county government, and the county government to its superior, the prefectural government. The prefectural government being in charge of the opening and closing of stone sluices was intended to ensure the coordination of hydraulic interests of farmers from both upstream and

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downstream, from both left and right banks. Nevertheless, such a round trip would take approximately 10 days, during which “flooding water gullied, and inundated rice sprouted,” so that flood water could not be discharged timely. Now that a water level was erected at Big Stone Bridge in the east of the prefecture, the prefectural government would be instantly informed of an imminent heavy rain and a possible flood and accordingly dispatched someone to open the sluice even prior to the arrival of a report from dou bao zhang to the county government. By this means, the prefectural government was able to directly control the opening, closing, storage, and discharge of relevant sluice gates according to the readings from the water level, thus facilitating management and promoting effectiveness. Baoqing Local Chronicles of Siming 《宝庆四明志》 was completed in the third year of Baoqing (1227), then how was it that what happened fifteen years later (the second year of Chunyou, 1242) was recorded in it? Wang Yuangong, the author of Zhizheng Local Chronicles of Siming 《至正四明续志》, after a detailed textual research, argued that the book was supplemented to four times in reprinting. In the first supplementation, which took place in the beginning year of Chunyou (1241), Chen Kai intended to add his hydraulic achievements to the new issue chronicles, and reported it to Zheng Qingzhi (? –1251), a native of Yinxian County and the then Prime Minister, whose earnest reply was affixed by Chen to the item Big Stone Bridge in the chronicles. In the reply, Zheng affirmed Chen’s achievements, saying that Chen’s enthusiasm about hydraulic construction led him to have confidence in his fruitful achievements, but that he was still amazed at how soon all these came. In his own field research in the suburbs, he was so delighted to see with his own eyes the good harvest, a fruit of Chen’s hydraulic construction, which he believed was conducive to document what he did in the local chronicles, so that the later generations would know about Chen’s devotion and contributions. Zheng affirmed Chen’s hydraulic achievements and assented to adding these facts to the new issue of the chronicles. It can be seen that Chen’s water level preceded Wu’s water gauge by 17 years and was of the same technical level, but that the latter was so close to the prefectural government office that pedestrians’ voices could be heard in the office, thus facilitating message conveyance and management. Of the three water gauges in Yinxian County, later generations deemed Wu Qian’s as representative, but its precedent, Chen’s water level, was left unnoticed. For one thing, Wu was also renowned for his handed-down document, Story of Water Gauges on Pingqiao Bridge; for another, Wu was the then Prime Minister, inevitably making Chen’s radiance dimmed, who, other than the water gauge, also constructed Huisha Locks at Tashan Weir.

5.1.3.3 Chunyou Water Gauge at Huisha Locks Yinxian County used to boast luxuriant trees and good vegetation, which provided shielding and rainwater storage, and its rivers, hence, had a relatively balanced flow and little sediment. From the Southern Song Dynasty, nevertheless, due to deforestation, silty water came mixing with floods, leading to the streams and ports of Tashan Weir being silted up, severely affecting water supply. In the past, the river was able to perform its function of water supply mainly thanks to regular systematic

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sediment dredging. In the second year of Chunyou (1242), Cen Kai proposed that “it was better to prevent floods than to curb them.” Thus, silting would concentrate in the upper part of the river, making desilting easier than other would have been. Taking advantage of the weir’s feature-sand in the bed load was of relatively large particles, he decided to construct locks at the head of the diversion canal. As is recorded in document, “The sluice consists of three gates, seven flashboards for each. Between every two gates is a movable flashboard, which can be lifted to allow boats to pass and removed in case of the river drying up. Two boards are stationed at the eastern and western sluices. . . If there is a supercritical flow, the boards will be instantly removed. The number of boards will vary according to water level. The water flows into the stream from overtop so that sand will be kept out of the sluice. Boards removed, navigation will not be affected in the least.” This paragraph pointed out that flashboards were utilized to keep the bed load out of the diversion canal to facilitate dredging. Supercritical flow brought much sand, so more boards would be added; otherwise, one or two boards would work for smooth navigation. The construction of Huisha Locks not just facilitated management but also gave full play to the Tashan Weir. Lin Yuanjin, the engineer in charge of the project, believed that the two were of equate significance. “What the weir is to tides is what the sluice is to sand, the importance of both of which remains unchanged despite the passage of thousands of years.” At Huisha Locks, was there a water gauge utilized as a sign of the gate opening and closing? Wei Xian, the then engineer in charge of the construction project, wrote the following, “How many flashboards are required depends on the water level. When it is high, some flashboards will be placed and when it is low, they will be removed. The opening and closing of the sluice gate will not affect navigation”. But it did not explicitly state whether there existed a water gauge or what was used for measuring water level. The supplementary edition of Baoqing Local Chronicles of Siming included in such statement as “increase or reduce the flashboards accordingly,” which implied a water gauge but still lacked explicit statement. However, Local Chronicles of Ningbo-Waterways, compiled in the Jiajing reign period (1522–1566) of the Ming Dynasty, explicitly recorded the water gauge at Huisha Locks and what was more, it was Wei Xian’s Guidance for Water Conservancy of Tashan, Siming 《四明它山水利备览》 that provided its source of information. “Hundreds of steps northwest of the weir is Huisha Locks, as to which Chen Kai consulted his fellowman Wei Xian. Wei wrote a book Guidance for Water Conservancy of Tashan, Siming, the gist of which read as follows: Both banks of the streams were sand, which would be washed away in heavy rains,. . .. . . The three arches of Wujia Bridge were employed to create a sluice, each equipped with seven flashboard. A Ping water gauge was carved on the supporting piers, operated by a native, Ah Xu according to the readings from the gauge. Beside it stood a stone with a notice on it, warning people to keep away.” These quotations show that the sluice consisted of three arches, each having seven boards and that the water gauge, with a Chinese character “平” on it, was carved into the bridge’s supporting piers. It was a convenient tool for guiding the opening and closing of Huisha Locks. Xu Shidong, a scholar of the late Daoguang reign period (1821–1850), added this paragraph to

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Zhizheng Local Chronicles of Siming in emendation. Later, Chronicles of NingboWaterways was scattered and lost, and the one that the author had access to was a manuscript and photocopy of a copy from the Japanese collection. What puzzles us, nevertheless, is that the above paragraph cannot be found under the items of sand prevention and Huisha Locks project in the present edition of the book. The reasons behind it, according to Xu Shidong, are “In the present edition, the item of Huisha Locks solely mentioned surveying and the costs of labor service, and something seems to be missing from this part. The paragraph of over 100 Chinese characters ought to be the initial part of the item about Huasha Locks”. This argument is well-grounded, confirmed by the following three facts. Firstly, the shape of the sluice recorded was “three-gated, each with seven flashboards,” the same as “three-arched, seven flashboards.” Sluices in Yinxian County mostly took the shape of stoplog, Baofeng Stone Sluice, which lay in the northern outskirts of the county, being one example. Secondly, the recorded Huisha Sluice was a “Ping” water gauge. As for above-mentioned Big Stone Bridge water gauge, there is no way for us to know how it was specifically graduated; yet we do know that Wu Qian’s Pingqiao Bridge Water Gauge had a Chinese character “平” on it. Thirdly, it is recorded that Huisha Sluice was managed by “a native Xu.” The item Huasha Sluice” in the 12th volume of “Baoqing Siming Annals” says “The keepers are Xu Yayi and other members of Xu family.” In the present edition of the book, the item Huasha Sluice keepers says that the three sluice gates were guarded by eight guardians, all of whom are surnamed Xu. The three items are consistent with one another regarding this problem.

5.1.3.4 The Technical Achievements and Historical Status of Yinxian Water Gauges of Song The representatives of Yinxian water gauges of the Southern Song Dynasty were Big Stone Bridge water gauge, presided over by Chen Kai in the second year of Chunyou (1242), Huisha sluice water gauge at Tashan Weir, and the “Ping” stele at Pingqiao Bridge, presided over by Wuqian in the first year of Kaiqing (1259). Their outstanding achievement lay in the fact that water gauges were placed where observations were convenient for decision-makers and where there was a concentrated reflection of water level changes of a small watershed. The graduation mode on the water gauges was primarily based on such indicators as production-and-livelihood-friendly water level, warning level, and water level required for the storage of fresh water resources in the river course. What also mattered was the correlation between water level elevations and the water level readings indicated by the water gauges at various sluice gates. In this way, a chief executive in charge of the small watershed would be able to realize centralized control and management of the opening and closing of each sluice gate. In terms of water level measurement technology, Yinxian County’s achievements were mainly manifested in the centralized indication of water level in the basin. This region was characterized with a complex water network and wide distribution of stone sluices and a proper use of water resources had to do with the interests of various parties across the region, so in terms of management and application, centralized management of water gauges remarkably shortened the

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interval between water level change and the operation of the sluice gates, thus improving the preciseness of management and application and reducing disputes over irrigation between villages with different topography. Yinxian County was leading nationwide at that time in scientific achievements in water level survey.

5.1.4

Flow Survey and Calculation

The flow rate survey of rivers and channels is the need of production. Flow rate is the product of the average flow velocity on the cross-section of river and discharge section area. According to the modern hydraulic theory, flow velocity in open channels, such as rivers and channels, mainly depends on such factors as slope and roughness. The ancients’ understanding of this principle underwent a long process. Discharge section area and flow rate had an intuitive relationship, of which the ancients already had an understanding in earlier times. This is because, for a channel with a fixed cross-section, the cross-section area depends on the water depth. Take the stone-figure water gauge at the Dujiang Weir as an example. The stone figure’s shoulders and feet acted as graduations on the water gauge. In order to ensure that the irrigated area of the Dujiang Weir would not be inflicted with water shortage in low-water season and floods in high-water season, they “made an agreement with the river god that in low-water season, the water level would not drop below the figures’ feet and that in high-water season, it would not overtop their shoulders.” It follows that the water gauge indicates not just water level but flow rate below a particular water level. That is to say, the relatively stable cross-section of the inlets and river bottom slope allowed people to know whether the irrigation water yield was sufficient or not for the irrigated area simply from the readings on the water gauge. Even to this day, the practice of judging water yield by water level remains in use in regulating water of the Dujiang Weir. Yet, the estimation of the downstream water yield according to the upstream water level must be based on experience obtained from long-term practical observations. It can be seen that practical application of flow rate survey via water level should have been traced back to an earlier time. For the non-fixed section, section calculation must be first made in flow rate measurement. There was one such example in the Northern Song Dynasty. The Bianqu Canal, the then backbone of inland navigation, was inflicted with silting induced by the muddy Yellow River, which supplied water for the canal. In the second year of Yuanfeng (1079), it was suggested that less-sandy rivers like Luohe, Sishui, and Suoshui should be the water supplier of the Bianqu Canal to substitute the Yellow River (referred to as “the Clear-Bianqu Project”). Fan Ziyuan from Water Conservancy Bureau of Song (Du Shui Jian, 都水监) did obtain the discharge section area of the three rivers, totaling 2136 square chi (1 square chi ¼ 0.111 square meter), exceeding the Bianqu Canal by 974 square chi. In the Yuan Dynasty, the unit to calculate the flow in the irrigation area of diversion Jing was called “Jiao,” equivalent to one square chi, which shows that section area was employed to estimate flow rate. In field measurement, a water gauge was placed at the head of

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the channel, and thus the section area could be obtained by multiplying water depth and the average width of the cross-section. Although the concept was omitted, flow velocity was approximately the same for the same channel slope, and the discharge section area can directly represent the flow rate in the channel. Apart from cross-section, the feasibility study of the “Clear-Bianqu Project” also considered the correlation between flow velocity and flow rate and after a comparison, argued that “the flow rate of the Yellow River differs from that of the Luohe River” (Li Tao, Extended Addition to Chronicles for the Ruler (Vol. 297), Shanghai Classics Publishing House, 1986) and finally concluded that “the two can complement each other with surplus amount” (Li Tao, Extended Addition to Chronicles for the Ruler (Vol. 287), Shanghai Classics Publishing House, 1986) and that the project was feasible. Unfortunately, due to misrepresentation of the measurement results, the project failed after the completion of construction due to water shortage. In the second year of Yuanyou (1087), flow measurement was also carried out in the demonstration of the shift of the Yellow River’s route. The officials opposed to the project arguing that “after measuring the partial flow rate, we believe it is hard to make the Yellow River shift to the eastern streamway (History of the Song DynastyAnnals of Rivers and Canals(Vol. 92)).” Flow velocity measurement and flow rate calculation were actually carried out, but how flow velocity was measured has not been found recorded in any document (Fig. 5.5). At the turn of the Ming and Qing dynasty, as more European science and technology were introduced into China, flow rate measurement saw remarkable advances. Hydrologist Chen Huang (1637–1688), who assisted Jin Fu in river regulation in the Kangxi reign period (1661–1722), introduced the method of earthwork calculation into flow rate calculation. He regarded water of “one zhang (one zhang ¼ 3 13 metersÞ in three dimensions of length, width and depth” as one cubic zhang (Jin Fu, River Training Strategies (Vol. 9). On Flood PreventionJournal No.11) and illustrated the concept of flow rate by means of human walk, which, in actual calculations, was represented by the flow rate in a day and night (History of the Song Dynasty-Annals of Rivers and Canals (Vol. 92)) as if “to measure how many cubic zhang a river can cover in a day and night” (Jin Fu, River Training Strategies (Vol. 9). On Flood Prevention-Journal No.11) Here the concept of flow rate was clear-cut, but the method of flow rate survey remained Fig. 5.5 Li Bing stone figure and the relationship between water level and flow rate it shows. Note: Q1- minimum water demand of irrigation area. Q2- maximum water diversion volume to ensure the safety of irrigation area (selected from the “History of Water Conservancy in China” (Vol. I), page 115

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unexplained. Emperor Kangxi had had profound attainments in such natural sciences as mathematics. In his 31st reign year (1692), he proposed the following method of measuring flow rate, “Water flow at a sluice gate in a day and night can be calculated with arithmetic method: First, measure the breadth of the sluice gate and calculate the distance covered by flowing water in a second and then flow rate in a day and night can be calculated (Jiang Liangqi: East-China History (Vol. 16), Zhonghua Book Company, 1980, P. 260).” Here, the breadth of the sluice gate refers to crosssection, and the distance flowing water covered in a second is flow velocity, but how flow velocity can be measured remains unsolved. In a practical calculation example of flow measurement, the book proposed a method of measuring open channel flow velocity. “Float a wooden board on the channel water surface, and time it with a measuring pendant for sixty seconds to see what distance it has covered (The essence of Imperial Mathematics and Physics (Vol. 37, Part II), a collection of four books. In 1730, he Mengyao compiled the example into his book “Mathematics Enlightenment (Suan Di)”. See Li Di:” Calculation of Water Flow in Ming and Qing Dynasties of China”. Studies in the History of Natural Sciences, 1986, No. 4.).” Currently known as float gauging, the method made velocity measurement feasible in practice. Nevertheless, due to air resistance and other reasons, float gauge velocity was merely an approximate value of the actual open channel surface velocity. Plus, flow velocity varies from point to point on the cross-section, so an accurate value can be obtained solely by calculating the weighted average velocity at each point. Now that the surface flow velocity measured with this method is not equal to the average cross-sectional velocity, the method is not quite satisfactory in accuracy. The phenomenon that flow velocity varies from point to point on cross-section has been expounded by Jie Xuan, a scholar of late Ming and early Qing dynasty. He pointed out that “Flow velocity at the centre is constantly larger that on the river edge.” (Fang Yizhi: A Treatise on Natural Philosophy (Wuli Xiaozhi) (Vol. 2) Comments by Jiexuan: Water Motion.) Yet, what correction factor should be adopted to compensate for the defect induced by drawing upon surface velocity to calculate flow rate? As for this problem, no good solution had been found by then. Ancient Chinese were well aware that current magnitude in open channels is directly determined by the bottom slope and wall roughness. Guan Zi-Di Du (Earth Measurement) put forth the concept of gradient and had devised a method of calculating the proper bottom slope. Gradient already found its application in water conservancy practice. For instance, in the fourth year of Hongjia in the Western Han Dynasty (17 BC), the prime minister Shi Sunji proposed that the lower reaches of the Yellow River should be diverted to the south. He said, “The Yellow River should follow the course of the former Duma River and then the 500 li (1li ¼ 0.5 km) waterway to the sea would be free of silt (History of the Han Dynasty -Annals of Rivers and Canals (Vol. 29)). “This statement means that the Yellow River was so severely silted up that it should be diverted to a new course and that if it flowed into the sea via the Duma River, its waterway would be free of silt, for the latter had a large gradient owing to its short distance from the sea.

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In addition, in the third year of Yuanguang era (129 BC), Zheng Dangshi, the official in charge of state revenue and expenditure of the Western Han Dynasty, proposed constructing a canal along the south bank of the Weihe River to substitute the river for grain transportation. The canal was as long as 300 Li (15,000 m) and had strict slope requirements. It shows that they already had a relatively good command of the gradient of its main canal. Whereas, the modern flow velocity equation was put forward by European scientists. The well-known Chezy’s equation, brought forth by French scientist Chezy in 1775, clarified the relationship between open channel flow velocity and the hydraulic gradient. Manning’s equation, proposed by Irish scientist Manning in 1889, provided more convenience for the application of Chezy’s equation to practice (Encyclopedia of China -Hydrography Vol., Encyclopedia of China Publishing House, 1987, P715).

5.1.5

Modern Hydrologic Survey

Modern hydrologic survey started from water level measurement and rainfall observation. In the tenth year of the Xianfeng reign period (1860), a tidal station was established in Wusongkou, off the Changjiang Estuary of Shanghai Customs. In the fourth year of the Tongzhi reign period (1865), (Xu Hanxing: “A Brief History of Tide Forecast in Shanghai Port”. Reports on Hydraulic History of the Yangtze River 1986, No.4) the Customs established a gaging station on the trunk stream of the Yangtze River in Hankou, and afterward it set up nine more respectively in Chongqing, Yichang, Chenglingji, Shashi, Jiujiang, Wuhu, Nanjing, Zhenjiang, and Wusong (Water Conservancy in China in the Past Three Decades, 1941) from the sixth year of Guanxu to the third year of Xuantong (1880–1911). In the early years of the Republic of China, Shanghai Junpu Bureau set up branch tidal stations at the Huangpu River Side and Jiangyin. By then, a system of Yangtze River tidal stations had preliminarily taken shape. In 1914, the data of Wusong main tide levels were used for harmonic analysis, making a forecast of tidal changes in 1918. During this period, more tidal stations sprung up in the coastal areas and important ports along inland rivers. From 1880 to 1904, tidal stations and rainfall observation stations were successively established at Fuzhou, Xiamen, Mazu, Taiwan, etc. The earliest tidal station in the Pearl River Estuary was jointly constructed by the Customs, the church, and the Guangdong-Wuhan Railway Administration. After the River Controlling Department of Guangdong was brought into existence, it established gaging stations and hydrologic stations successively on the rivers of Xijiang, Dongjiang, and Beijiang in 1915. In the 1920s, hydrologic survey started to develop from water level and rainfall observations to comprehensive surveying. After the establishment of water conservancy institutions in the river basins of China, hydrologic stations became more densely distributed. From 1904 to 1920, the Ship Management Office of the Hehai River Basin and Haihe River Engineering Bureau supervised the construction of four gaging stations on the Chaobai River, Wenyu River, Yongding River, and Hutuo River. During the period from the establishment of Shunzhi (present Hebei Province,

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Tianjin and Beijing) Water Conservancy Commission in 1919 to the outbreak of Anti-Japanese war in 1937, the Haihe Basin incorporated 19 hydrologic stations (including 10 flood-period hydrologic stations, 22 gaging stations, 158 rainfall stations (flood-period temporary stations included)), which monitored flow rate, sediment concentration, rainfall, as well as evaporation. The Huaihe River Basin saw the first batch of hydrologic stations in 1913, which were primarily distributed in northern Jiangsu Province. Following the foundation of the Huaihe River Dredging Committee in 1929, hydrologic stations were constructed one after another successively on the river’s main stream and tributaries. According to the statistics collected at the end of 1937, the Huaihe River Basin incorporated 117 gaging stations, 97 rainfall observation stations, and 18 flow and sediment monitoring stations, most of which were established by the Committee and the rest by the Jiangbei Canal Engineering Bureau, Shandong and Henan Construction Department. A network of Huaihe-River-Basin hydrologic stations had preliminarily formed by then (Water Conservancy in China in the Past Three Decades, 1941.). The Yellow River saw the development of its hydrologic survey network on the basis of the gaging stations built in the Qing Dynasty. In the 30th year of the Qianlong reign period (1765), Shuizhi Zhuang (equivalent to modern gaging stations) were set up on the Yellow River of Henan: Wanjin Shoals, Luohe River Estuary of Gongxian County, Muluandian of Wuzhi County. These stations monitored the general condition of water supply to the River and its tributaries such as the Jinghe River, the Leihe River, the Luohe River, and the Qinhe River. From 1918 to 1932, during the Republic of China, the main stream of the Yellow River witnessed the successive construction of eight hydrologic stations and then their revocation. It was not until 1933, when the Yellow River Water Conservancy Commission was founded, that the River and its tributaries saw an increase in hydrologic stations. The upper reaches of Shanxi, Inner Mongolia, and Gansu saw the initial foundation of hydrologic stations in 1937. The 1949 statistics showed that in the Yellow River Basin there were 33 hydrologic stations and 28 gaging stations, which regulated the river from such aspects as flow rate, sediments, and flood-period water level. After the War of Resistance broke out in 1937, hydrological survey was mostly interrupted but an increase showed in the number of hydrologic stations in the middle and upper reaches of the Yangtze River and its tributaries, with approximately 300 constructed on the Minjiang River, Dadu River, Jialing River, Qingyi River, Chishui River, Qianjiang River, and other tributaries respectively by the Yangtze River Water Conservancy Commission, Sichuan Water Conservancy Bureau, the Central Hydraulic Test Institute, Huaihe River Dredging Committee, and others. From 1941 onward, master stations were established on cross-provincial rivers, which played a considerable role in compiling hydrological data and improving their accuracy. After the War of Resistance ended, the neglected stations were successively brought back to normal, and according to the statistics in Hydrologic Test, released by News Bureau of the Administration Institute, Nanjing National Government in 1948, there were 18 master stations, 191 hydrologic stations, and 245 gaging stations nationwide by then.

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5.2

173

Technology of Hydraulic Survey

In a hydraulic engineering project, whether it is an embankment project along the river, a man-made ditch that connects natural lakes and rivers, or the construction of water diversion irrigation area, it is prerequisite to know the bearings, spacing, and elevation difference between the upper stream and the lower stream or between the related areas. Otherwise, we cannot proceed with design and construction. For that reason, survey is an important basic job in hydraulic engineering projects. Compared with advanced astronomical measurement in ancient times, the survey of bearings and distance is relatively simple, whereas higher requirements are put on that of relative height difference and absolute elevation. In ancient mathematical works, the mathematical calculation related to hydraulic survey was often cited as an example.

5.2.1

The Concept of Leveling and Original Leveling Survey

The definition of level was first put forth by Mozi, who remarked, “Level means equal height,” (Mozi Xiangu, a collection of articles of the ancient philosophers, P190) a concise definition indeed. And leveling in engineering construction was mentioned several times in the documents before Christ. Zhuang Zi (369 BC– 286 BC), a great ancient Chinese thinker, philosopher, and literati, pointed out that “Still water can mirror a man’s beards and eyebrows. It is such a standard level that great craftsmen take it as leveling criterion.” To this, Wang Xianqian’s (1842–1917) annotation, the earliest document concerning leveling theory, read as follows, “Water’s level can be taken as a criterion, and that is why craftsmen call it water level (Wang Xianqian, A Collective Interpretation of Zhuangzi, a collection of articles of the ancient philosophers, P. 81.).” This clearly shows that experienced ancient engineers used leveling to draw horizontal lines. It follows that by the fourth century BC, leveling technology had found application in engineering practice. In the third century BC, Doctor Fu Sheng of the Qin Dynasty elucidated the practical application of leveling, “No substance other than water can create a level surface stretching as far as ten thousand of li.” (1li ¼ 0.5 km). (This is a remark made by Fu Sheng, a doctor of the Qin Dynasty who had a special study of Book of History in his Commentary on Book of History. Quoted from Taiping Yulan, Zhonghua Book Company, 1960, P279) In effect, the record of leveling technology may be traced back to an earlier time. Mozi (about 468 BC–376 BC), the founder of Mohism, remarked, “Those who engage in something cannot do without a criterion or norm (Fayi), without which, few can accomplish anything. . . . . . .craftsmen, use compasses for circles, squares for squares, plumb line for straight lines, and suspension for vertical line. Whether they are skilled or not, these five instruments are utilized as norms (Mozi XianguLaw and Rites, a collection of articles of the ancient philosophers, P11.). Only four instruments, were mentioned in his article, but at the end the author summarized them as “five instruments.” As for this, Sun Yirang (1848–1908), a Confucian scholar in the Qing Dynasty, first cast doubts by saying that “Checking it against

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Kaogongji, Technical Rules for Handcraft Industry), I suppose the previous text may contain the three characters “平以水.” Altogether five instruments were mentioned, but one was left out by accident (Mozi Xiangu-Law and Rites, a collection of articles of the ancient philosophers, P11).” His analysis is deemed reasonable. Prior to the written record, leveling had already seen practical application in urban architecture. Archeological findings show that the technology was in use in the urban buildings in the Shang Dynasty. In the ruins of mid-Shang buildings in Xitai, Gaocheng, Hebei Province, horizontal lines drawn with mica powder could be found on the wall of the foundation trench. They may be a mark for leveling the foundation. Drawing such horizontal lines calls for a “leveling-instrument-like device (Wang Quantai, On the Architectural Survey in the Pre-Qin period from Kaogongji. Architectural Technology, 1978, No.10, P59)” In the architectural ruins of the late Shang Dynasty in Xiaotun, Anyang, Henan Province, the bottoms of many foundation trenches were basically at the same level. In the process of excavation, two intersecting ditches, filled with solid rammed earth (see Fig. 5.6), were also found. Shi zhangru, who was at the excavation site, held the view that these two intersecting ditches were utilized for leveling in construction. He also cited as proof “a practice which still prevails in the countryside of western Henan, namely, on a building lot, an X-shaped cross ditch was first dug” . . . (Shi zhangru: The Recent Important Discoveries of Yin Ruins. , vol.13, Journal of Chinese Archaeology, Vol. 2, pp. 27–30, The Commercial Press, 1947)” This type of cross leveling was used in the Northern Wei Dynasty as leveling for astronomical instruments: “make a ditch on the gnomon, and fill it with water to make it level.” (According to History of the Sui Dynasty-Annals of Astronomy (Vol.19), in the fourth year of Yongxing (412), a “cross level” was set on the base of the iron armillary sphere to fix the instrument. History of the Song Dynast-Calendars, the Ninth Part, Vol. 76: “Cross horizontal trough. One cun wide and eight fen deep.”) In the Yuan Dynasty, the making of fixed feet for astronomical instruments followed the same principle, “create a ditch around the foundation boards, and place it on a flat ground and fill the ditch with water, so a level water surface is formed (History of the Yuan Dynasty-Annals of Astronomy (Vol.48), Twenty-five Historic Classics, Shanghai Classics Publishing House, P 127).” The above analysis also finds etymological support. Xu Shen, in his Explanation of Script and Elucidation of Characters, explained the Chinese character “癸” as follows, “in winter, the soil and water are flat and coquettish, just like water flowing into the earth from all directions.” 癸, written as in the Oracle, resembling two intersecting ditches (Guo Baojun: Bronze Age of China, SDX Joint Publishing Company, 1963, P.242. When he explained the pictographic origin of Oracle characters, he pointed out that the horizontal confirmed with underground ditches.” Mr. Guo was also a major participant in the archaeological excavation of the Yin Ruins). Xu explained that the two intersecting ditches were used for leveling in civil engineering construction and that 癸, original meaning being measurement, should originate from leveling.

5.2.2

Original Invention and Application of Leveling Instruments

5.2.2.1 Textual Research on Level Measurement in Kaogongji In Zhou Rites: Kaogongji, (Wen Renjun: Translation and Annotation of Kaogongji, Shanghai Classics Publishing House, 1993, P. 152) (Wen Renjun: Translation and Annotation of Kaogongji, Shanghai Classics Publishing House, 1993, P. 152) a book completed in the initial years of the Warring States Period, a paragraph recorded how to determine bearings and to level grounds in urban construction, and it incorporated a phrase shui di yi xuan “水地以县(悬).” What is meant by shui di yi xuan? Renowned Confucianist of the Eastern Han Dynasty, Zheng Xuan annotated it as follows, “Put ‘wood pile’ on the four corners, and determine its height via water surface. Once the height is determined, the ground can be leveled accordingly (Notes and commentaries on Rites of the Zhou Dynasty 《周礼注疏》, version of 13 classics notes and commentaries, Shanghai Classics Publishing House, 1990, P641. On the 97th page of Illustrations to Kaogongji, written by Dai Zhen, published by the Commercial Press, this cited paragraph goes like this, “put “wood piles” on the four corners and determine its height via water surface.” So there was an error in the sentence before and after, which can be seen from the below-cited paragraph of Jia Gongyan).”According to this annotation, put four wood piles on the four corners in

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the construction site, and their heights could be determined with the leveling method. Once the ground elevations on four corners are determined, the ground can be leveled and dug according to different elevation requirements of various parts of the building. More supporting evidence can be found for the record in Technical Rules for Handcraft Industry and Zheng Xuan’s explanation. History of the Han DynastyAnnals of Calendars said, “A vertical rope can make a norm,” to which, Wei Zhao of the Three Kingdoms Period gave the following annotation, “A rope is taken as a norm and water as a surveyor’s level.” These are consistent with Zheng Xuan’s explanation. When Jingfu Palace of the Wei State was completed in 232, He Yan (190–249) wrote a fu (Chinese ode) to eulogize the palace building, saying that “no details of the palace building is not in harmony with the surroundings, and no minor scale is against the shuinie (水臬),” meaning it followed strict requirements in scale and shape. Li Shan of Tang annotated to this in 658, stating that in shuinie, shui was in effect the surveyor’s level for measuring height, and nie was the gnomon for measuring bearings (Prince Zhaoming, Ode to Jingfu Palace. An Anthology of Literary Works (Vol.11), four-section version). That was a practical example where leveling was employed in architecture. How was the leveling approach recorded in Technical Rules for Handcraft Industry implemented? According to Jia Gongyan, a doctor of the Imperial College in Yonghui period (650–655) of the Tang Dynasty, “plant a stake at each corner of the construction site, and adjust it against a hanging ball to make it upright.” Then he added, “When the stakes are upright, observe them from a distance with the leveling method. The heights of the stakes reflect the topography. Level the ground accordingly and the ground will be level (Notes and commentaries on Rites of the Zhou Dynasty, version of 13 classics Notes and commentaries, Shanghai Classics Publishing House, 1990, P641).” Coincidentally, the official in charge of architecture in the royal palace, supervisor of water, Li Jie (?–110) quoted the practice prevalent in construction in the Northern Song Dynasty and his understanding of “shui di yi xuan,” which coincided with that of Jia Gongyan, was as follows: Nowadays, any construction project must start with leveling the four corners of the base with a surveyor’s level so that the stakes are on the same horizontal plane, and then set the pillar. This coincides with what is recorded in the classics. Now I list the following according to Zhou Rites: Kaogongji (Li Jie: Building Method (Preface), 《营造法式》, The Commercial Press, 1933, P28).

This paragraph further confirmed the authenticity and vividness of the Han-andTang Confucianists’ annotations to “shui di yi xuan.” Then arises a question, “What instrument was utilized to make sure that the stakes are on the same horizontal plane?”, to which, no answer was given by Zheng Xuan, Wei Zhao, and Jia Gongyan. They gave detailed explanation to how the leveling method was implemented, whereas they mentioned nothing about the leveling

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instrument, which implies that the instrument was common and of simple structure. A simple leveling instrument, in effect, may be a basin-like vessel filled with water, the horizontal plane of which could be detected with our naked eyes or via floats placed at both ends of the vessel (Li Shilu, Scattered Annals of Dike Construction 《修防琐志》, Xiu fang Suo zhi (Vol.2), water conservancy rare edition series, P62. It mentioned an easy and simple water level measurement method, “Prepare a big vessel of over two chi in diameter, probably a basin or bucket, and then pour water into it. . ..”. This method may have originated from an earlier time). Hence, there was no need for these scholars to give much explanation in their annotations. Confucianist Daizhen (1724–1777) of the Qing Dynasty, also believed that the leveling instrument mentioned in Kaogongji was nothing but a long water-containing plate, that is, “a vessel of several chi in length, with water in it,” (In the excavation of Dadiwan Site in Qin’an, Gansu in the 1980s, a bar-shaped plate, over 30 cm long and 4.5 cm wide, dating back 7000–5000 years, was unearthed. It is believed to be the earliest leveling instrument in China. If this is true, it will be the world’s oldest leveling instrument ever discovered. See the second illustration on Cultural Heritage, No.2, 1986 and People’s Daily (Overseas Version), the fourth section of Aug. 7, 1986) or other similar speculations (In the excavation of Dadiwan Site in Qin’an, Gansu in the 1980s, a bar-shaped plate, over 30 cm long and 4.5 cm wide, dating back 7000–5000 years, was unearthed. It is believed to be the earliest leveling instrument in China. If this is true, it will be the world’s oldest leveling instrument ever discovered. See the second illustration on Cultural Heritage, No.2, 1986 and People’s Daily (Overseas Version), the fourth section of Aug. 7, 1986).

5.2.2.2 Surveyor’s Level in Ancient Rome European surveyor’s level, recorded in De architectura by Roman architect and civil engineer Marcus Vitruvius Pollio, fell into two types in terms of shape and structure. The first type, a bar-type water tank, drew upon the principle that still water creates a horizontal plane. That is to say, create in the board a ditch of five chi in length, one digitus (1 digitus ¼ 1.85 centimeters) across and 1.5 digituses in depth, and fill the ditch with water. If the water surface evenly touches the upper edge of the ditch, it shows that it is level (De architectura was written by Vitruvius between 32 BC and 22 BC. The manuscript was found in the middle ages and was used to guide construction design. During the Renaissance, it was still used as the design standard. The part about leveling appeared at the end of the eighth book. See Gao Lvtai’s Chinese translation, published by China Architecture &Building Press, 1986, P189). The second type, similar to ancient Chinese hanping (a no-water level) utilized in river engineering projects in the Ming and Qing dynasties, drew upon the principle that a plumb is constantly perpendicular to the horizontal plane (see below). The fourth chapter of the worldwide influential work, Engineering in History, written by Richard Shelton Kirby and Sidney Withington, introduced the two types of Roman surveyor’s levels. Speaking of the first type of surveyor’s level, Dioptra in Roman, the authors said, “Since there was no distinct depiction of dioptra, people were ignorant of what on earth it was. It was not until 1912, when a surveying engineer excavated the remaining metal part of Dioptra from the ruins of ancient

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Fig. 5.7 Surveyor’s Level in ancient Rome

Rome, that people were able to decipher the structure of the instrument. Its main body, a metal trough, was supported by a rotatable shaft plate so that the trough could rotate in a horizontal or pitching way and measure with considerable accuracy a distance as far as the eyes could see” (R.Kirby, S. Withington. Engineering in History. Dover Publications, inc, New York, 1990:82) (see Fig. 5.7). Checking this against the records in De architectura, we can find that the metal surveyor’s level and the wooden trough one were of exactly the same principle and structure, except that the former was more exquisite. Kirby et al. believed that ancient Greek civilization had reached a fairly high level between 500 BC and 300 BC. After the Roman’s seizure, they inherited ancient Greeks’ inventions and improved them, which shows the metal surveyor’s level was an inheritance from the wooden one. It can be argued that China’s leveling instrument was similar to Europeans’ surveyor’s level in terms of occurrence time, basic principle, shape, and structure, except for the distinctness in size and craft. The latter was made of metal, driven by screws and gears to switch directions and adjust pitching, so it was superior to the former in accuracy and convenience.

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After the Romans’ period, the development of surveying instruments stagnated for over ten centuries. After the long darkness of the Middle Ages, science revived and boomed. It was not until the appearance of modern level in the eighteenth century that a qualitative leap was made in the making of leveling instruments. It is said that in constructing the Suez Canal in the sixth century BC, Egyptians also used a trough level of six meters in length.

5.2.3

Leveling Instrument and Large-Scale Leveling Practice

Definite records of the shape and structure of the leveling instrument originated from the Tang Dynasty, and up to the Qing Dynasty, its structure and usage underwent slight changes. As for leveling, Guo Shoujing’s large-scale leveling in devising the Grand Canal from Beijing to Hangzhou were of a high standard.

5.2.3.1 Large-Scale Leveling Practice During the Periods of the Warring States, Qin and Han How reliable is the above inference about leveling instruments? It can be verified by the leveling practice in those eras. Yizhou Shu-Chengdian contained the following lines, “A cautious attitude towards land means that we must map it with natural resources clearly marked, check the fertile of soil, survey the terrain, take advantage of ponds and ditches...,” (Yizhoushu-Chengdian, a collection series, pp. 44–45. This book contains the historical materials from the eleventh century BC to the sixth century BC. Some records of historical facts, which may have been added in by later generations, were no later than the Warring States Period. According to the book Zhou Rites, for a minister in the Ministry of Revenue, his duty, similar to what is recorded in Yizhoushu, is “to take charge of the fields and the population and help the King to govern the country.” See notes and commentaries on Rites of the Zhou Dynasty, version of 13 classics notes and commentaries, P148.) which means that mapping the territory of the Zhou Dynasty must involve survey to facilitate hydraulic engineering construction. Later, the Han Dynasty saw the increasing popularity of large-scale leveling, which was mirrored in History of the Han Dynasty: Annals of Water Conservancy. For instance, in the period of Zhenghe (92 BC–88 BC) in the Western Han Dynasty, a man of the State of Qi, named Yannian, sent in a memorial to propose that the Yellow River should be diverted from the middle reaches in order to get rid of its menace to Henan, Hebei, Shandong, and others eastward to the Bohai Sea. He wrote, “We can refer to books and maps, observe the topography, have a hydraulic craftsman determine the height, open the river from the estuary, and divert it eastward into the sea via Huzhong (History of the Han Dynasty -Annals of Rivers and Canals, Annotations to annals of rivers and canals in twenty-five historic classics, P23).” He wrote this in 90 BC. From this quotation, we can see that leveling was not just required in water conservancy construction, but there also appeared the profession of hydraulicians (hydraulic engineers), who was responsible for leveling. In the sixth year of Yuanguang era (129 BC), Zheng Dangshi, the official in charge of

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state revenue and expenditure of the Western Han Dynasty, proposed constructing a canal of more than 300 Li (15,000 m) in length and “ordered Qi Bo, a hydraulic engineer of the State of Qi, to biao.” (History of the Han Dynasty -Annals of Rivers and Canals, Annotations to annals of rivers and canals in twenty-five historic classics, P17) Yan Shigu interpreted “biao” as “to make a circuit of the channel course and plant landmarks.” In the third year of Zhenghe era of Emperor Wudi of the Han Dynasty (90 BC), Sang Hongyang, who was in charge of the production of army provisions and other affairs, suggested that the station farm system (tun tian zhi, 屯田制) be implemented in the Western Regions (a Han Dynasty term for the area west of Yumenguang, including what is now Xinjiang and parts of Central Asia). The preliminary work was “mapping the topography to facilitate the construction of ditches and canals,”(History of the Han Dynasty-The Western Regions Annals (Vol.96Part II), twenty-five historic classics version, Shanghai Classics Publishing House, P363) which must have involved leveling. Especially when a Luohe River diversion project Longshou Canal was built in the period from Yuanshou to Yuanding (120–110 BC), a tunnel had to be dug through the Shangyan Mountain. The five-kilometer tunnel was not intervisible from the two ends, so the shaft method required precise leveling and bearing. Other similar cases can be found (According to History of the Three Kingdoms-The State of Wei: Qian Zhao, around the sixth year of Huangchu (225), When Qian Zhao was Governor of Yanmen Prefecture (present southwest of Daixian County, Shanxi), the well water of the city was rather salty and bitter, so residents had to carry water from several miles away. He took charge of the water diversion project. “He measured the topography and had the canal dug accordingly and diverted water into the city. Residents benefited a lot from the project.”). The abovementioned engineering practice fully demonstrates the existence of leveling and the great accuracy it had achieved in ancient China. In a large-scale hydraulic engineering project, the determination of an appropriate slope for water conveyance required highly accurate leveling, and it is unimaginable to use the sole ditch-digging method to measure elevation. To be sure, portable leveling instruments had already seen wide application no later than the Warring States Period.

5.2.3.2 Shape and Structure of the Tang-and-Song Leveling Instruments and Their Applications The shape and structure of leveling instruments were first found in a military work entitled Manual of the White and Gloomy Planet of War (Taibai Yinjing) by Li Quan of the Tang Dynasty in the second year of Qianyuan in the Suzong reign period (759). Nearly half a century later, some level-related statements were cited by Du You (735–812) in his multi-volume masterpiece Tong Dian in 17 year of Zhenyuan (801), and these were further quoted by Zeng Gongliang (999–1078) in his Collections of the Most Important Military Techniques (wu jing zong yao) in the Kangding era of the Northern Song Dynasty(1040–1041) (See Li Juan for details: Manual of the White and Gloomy Planet of War (Vol. 4); Du You: Tong Dian (Vol. 160); Zeng Gongliang: Collections of the Most Important Military Techniques

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Fig. 5.8 The level in Collections of the Most Important Military Techniques

(Vol.11)). The latter, apart from textual depiction, also attached diagrams, illustrating what the level was like and how it should be used (see Fig. 5.8). These military works attached great importance to leveling because in wartime, various tactics might be exploited, such as launching fire or water attacks and cutting off the enemy’s roads and provisions, but these were only possible when “a level was in place to measure the height.” In reference to the abovementioned three books, we can have some knowledge about the shape and size of the level prevalent in the Tang and Song dynasties. 1 The body of the level was a trough of 24 cun (1 cun¼30 meter), which was chiseled into three pools with a distance of 10.5 cun between one another at both ends and in the middle, each being 1 cun in length and 1.3 cun in depth. The pools were connected to one another with 0.3 cun-edged water channels of 0.2 cun in width and 1.3 cun in depth. Its sights, three pieces of light driftwood, 0.3 cun thick and slightly narrower than the tank, were put into the tank of the trough when observation was to be performed. On it were vertical teeth of 0.8 cun in height, 1.7 cun in width, and 0.1 cun in thickness. Mounted on a holder, the instrument body could rotate flexibly. The surveyor should keep his eyes at the height of the holder. A plumb-bob, or a lead weight, was hanging both front and back. In addition to the leveling apparatus, surveying tools also include a level gauge and a sighting board (zhao ban).

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The level gauge was called du gan, a graduated vertical pole with grids of 200 cun both in length and width. A rectangular cavity in the center, the sighting board was a rectangular board of 40 cun in length and 30 cun in width. Its upper part was painted white and the lower part black. A handle was nailed to the board. Against the sighting board the object of observation would stand out, making survey convenient. The surveying procedure was as follows: set up the leveling instrument at a known elevation, fill the pools with water so that the three sight beads float on the water surface. Sightings through the sight beads would make a horizontal plane. In the meantime, set up a measurement rod at the measured elevation point. Align the leveling instrument with the measuring rod and move the sighting board up and down in front of the measuring rod in the process of observation. When the intersection line between white and board of the reference plate levels with the sight beads, the measured elevation can be known. “By this means, the height and depth of mountains, valleys and streams can all be measured.” Leveling is also required in construction. Li Jie (?–1110) of the Northern Song Dynasty compiled Construction Method (Yingzao Fashi) in the third year of Yuanfu period (1100) during his service as supervisor (jiang zuo jian) in charge of architecture in the royal palace. This masterpiece of his comprehensively and systematically summarized the experience handed down by generations of builders and the architectural achievements of the time, establishing itself as an architectural code of the Northern Song government. It recorded the history of surveying, the structure of the leveling apparatus, and the survey method (See Fig. 5.9). Compared with the leveling instrument depicted in Manual of the White and Gloomy Planet of War and Collection of the Most Important Military Techniques, the one in Building Formulas did not vary in size, shape, and structure, but it was perfected in the following three aspects (Li Jie: “Building Formulas” (Preface), The Commercial Press, 1933, pp. 28–29.): 1. For some, there were buoys both front and back, whereas some had an extra one in the middle. 2. The upper part of the buoy was not dentate but lamellar. 3. The plumb was placed in the middle of the body, corresponding to the ink line on the pillar-base holder. In modern times, research on the levels were fruitful, and they summarized the primary technical principles as follows: 1. Why were three buoys utilized? It is common knowledge that two buoys would make a line, so it was enough to align it with the graduations on the level gauge to produce a result. However, since the buoy surface was of a smaller size than that of the trough, it might get stuck; or sometimes when the leveling instrument was tilted, the water level of the higher end would drop and the buoy would not float, causing errors in observation. A third buoy, nevertheless, would play a calibrating role. A two-trough level was also mentioned in Construction Specifics, whose

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Fig. 5.9 Leveling instrument in Building Formulas

calibration could be made by observing whether the plumb hanging on the pillarbase holder deviated from the vertical line on the pillar. 2. The sighting board was painted white and black, the intersection line of which served as reference, thus improving accuracy (The analysis of the technical principle of the level in Tang and Song dynasties can be seen in “Random Talk on Ancient Leveling” by Zhu Shi’ao. Journal of Wuhan University of Hydraulic and Electric Engineering, 1978, No. p3–4. Zhu Wen, who compiled his book based on the information provided by Professor Yao Hanyuan, held that in Collection of the Most Important Military Techniques, the sighting board should not be hollow, and that there was a mistake in the book. In effect, the sighting board serves to highlight the observation target and is placed in front of the du gan, need to be hollow).

5.2.3.3 Survey in Planning the Grand Canal from Beijing to Hangzhou Supervised by Guo Shoujing In the Yuan Dynasty (1275), a feasibility study was carried out about the construction of the Beijing-Guangzhou Grand Canal, and it was presided over by distinguished scientist Guo Shoujing (1231–1316). In the study, cross-basin survey was performed. One of the biggest challenges encountered in the construction of the

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canal was how to cross the Shandong horst. North of the horst was the Yuhe River (the present-day Weihe River) and the Sishui River in the south and Wenhe River in the middle, which originates from Yimeng mountain. Therefore, their survey covered the area south of Dezhou in Shandong Province, north of Xuzhou in Jiangsu Province, east of Daming in Hebei Province, and west of Ningyang in Shandong Province. As is documented, “They thus managed to survey the topographies of Jizhou (now Jining in Shandong Province), Daming, Dongping, the Wenshui River, the Sishui River in relation to the Yuhe River, and mapped them.” (The Poems and Articles of the Yuan Dynasty (Vol. 50), A Brief Biographical Sketch of Guo Shoujing, (four-series edition). P544) Eventually, they reached the conclusion that a canal could link them all up. The article A Brief Biographical Sketch of Guo Shoujing (Guogong Xingzhuang) mentioned that in this surveying, the courses started with or ended with Dongping four times. Nevertheless, the plan, which was made on the basis of this surveying, namely, the Wenshui, Sishui and Yuhe rivers could be linked up because of their favorable topography, was not implemented in the Yuan Dynasty. It was not until the ninth year of Yongle (1411) of the Ming Dynasty, when Song Li, who presided over the construction of Daicun Dam 60 li (1 li ¼ 0.5 km) east of Dongping, dammed the Wenshui River from flowing southward into the canal via Nanwang threshold, that the canal started to have improved water supply and unblocked transportation. As the Yuhe River, the Sishui River, and the Wenshui River, belonging to the Haihe, Huaihe, and Huanghe river systems, respectively, were three non-interconnected waterways, it required a common measurement benchmark to demonstrate their interconnected water levels. The seas are where the rivers eventually go, so it is scientific to take sea level as this measurement benchmark. Guo Shoujing was the first to have brought forth the idea, a world leading one, of “determining the terrain level difference between the capital (presentday Beijing) and Bianliang (present-day Kaifeng) in relation to sea level.” In Europe, however, German mathematician Gauss brought forward the idea of using sea level as measurement standard in 1828, approximately 500 years later than Guo Shoujing (Fig. 5.10).

5.2.3.4 Levels Used by Hydraulicians of the Ming and Qing Dynasties and Their Survey Method The levels used in Ming and Qing hydraulic construction were recorded and illustrated in the four hydraulics works: On the Yellow River and Canals (Wen Shui Ji) by Liu Tianhe in the Ming Dynasty, Scattered Annals of Dike Construction, (Xiu Fang Suo Zhi), Summary of River Regulation (An lan Ji Yao), and Illustrations of Tools Used in Hydraulic Construction (Hegong Qiju Tushuo) in the Qing Dynasty. Among them, Scattered Annals of Dike Construction gave a relatively detailed account, from which we know that the levels were nearly tantamount to those of the Tang and Song dynasties in terms of shape and structure and leveling method. What distinguished between them was that the float was distinct in that an aperture was chiseled in each corresponding part of the float, so that surveying could produce a more accurate result.

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Fig. 5.10 Fragments of Guo Shoujing’s Achievements in Survey (selected from: The Poems and Articles of the Yuan Dynasty – A Brief Biographical Sketch of Guo Shoujing)

In addition, the book first recorded the leveling adjustment, a measurement calculation method used to overcome the accumulation of errors in each observation when the continuous long-distance leveling observation is recorded (Li Shilu: Scattered Annals of Dike Construction, A Collection of Rare Books on Water Conservancy, 55–58).

5.2.4

Elevation Survey on the Principle of a Perpendicular Plumb – Ancient Chinese Hanping (No Water Measuring)

Ancient China also had a level without having to draw upon water, which followed the principle that a plumb always points to the direction perpendicular to the horizontal direction. Vitruvius’s De architectura recorded the shape and structure of this type of level: A vertical bar was tenoned on a 20-foot long crossbar, and from it a plumb was hanging. “If the plumb coincides with the plumb line marked when the vertical bar is set, it shows that it (the horizontal wood) has already been made level (Translated by Gao Lvtai, written by Vitruvius: De architectura, China Architecture and Building Press, 1986, P. 189.).” This type of level is referred to as Chorobates. In Engineering in History, R. Kirby quoted from Legnazzi’s Roman Geography. One quoted photograph was an apparatus used for measuring water level (see Fig. 5.11) (R. Kirby, S. Withington. Engineering in History, Dover Publications, inc, New York, 1990: 81) in ancient Rome, and its surveying principle is consistent

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Fig. 5.11 No-water leveling instrument used in ancient Rome

with that stated in Vitruvius’ book. In addition, as is shown in the picture, on each of the four corners of the cross was a hanging ball, probably used for verification. No detailed record could be detected about when the no-water leveling instrument was in practice in ancient China. When did ancient China begin to use the no-water leveling instrument is not known. Construction Specifics, completed in 1100, was the first to have directly narrated how two conjoined rulers made a leveling instrument. Apart from the “leveling ruler” (Shuiping Zhenchi) made on the leveling principle, the 29th volume of the book also introduced an “authentic ruler” (zhen chi, 真尺) drawing upon the principle that the leveling plane is always perpendicular to the plumb line (see Fig. 5.12). The author Li Jie (?–1110) elucidated its structure and usage, “The authentic ruler is 18 chi (1 chi¼13 meter) in length, 0.4 chi in width, 1 2.5 cun (1 cun¼30 meter) in thickness. In the middle stands a gauge of 4 chi in height. The measurer makes an ink line along the gauge and hangs the rope down. If the rope is it in alignment with the center of the ink line, then the ground below is level (Li Jie: Building Formulas “(Preface), The Commercial Press, 1933, P. 29.).” It follows that the authentic ruler was tantamount to ancient Romans’ surveyor’s level except for slight differences in size.

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Fig. 5.12 Authentic ruler in the Northern Song period

As for the origin of the authentic ruler, we can detect some clues from an astronomical arithmetic book Mathematical Classic on the Gnomon (Zhoubi Suanjing). In the book, the author, pretending to be the Duke of Zhou, asked Shang Gao, a prominent mathematician of the Zhou Dynasty, about how to apply right-angled triangle to surveying and charting. Shang Gao replied that it had a multitude of uses. The plane right-angled triangle (laid on the ground) serves to layout (works) straight and square (by the aid of) cords. The recumbent right-angled triangle serves to observe heights. The reversed right-angled triangle serves to fathom depths. The flat right-angled triangle is used for ascertaining distances. By the revolution of a right-angled triangle (compasses) a circle may be formed. By uniting right-angled triangles, squares are formed (Qian Baocong: Ten Mathematical Classics, Mathematical Classic on the Gnomon, Mei, 1963, P.22.). As for the first and foremost use, in 222 AD, his posterity Zhao Junqing, a scholar of the State of Wu in the Three Kingdoms Period, gave such an annotation, “Water level and hanging rope serve as a standard in measurement. Take caution that an iota of error in the standard would result in a deviation of thousands of li (Qian Baocong: Ten Mathematical Classics, Mathematical Classic on the Gnomon, Zhonghua Book Company, 1963, P5).” In Illustrations for Kaogongji (kaogongji tu), Dai Zhen gave a further elucidation to the ruler’s principle, “If water is not employed for surveying,

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then a prostrate carpenter’s square will also do. Make the plumb line in alignment with the square and extend it to a distant site. This is a simple way of surveying (Dai Zhen: Illustrations for Kaogongji, The Commercial Press, 1955, P. 97).” This also referred to using carpenter’s square and plumb for level determination. It is obvious that the authentic ruler was in use no later than the Western Dynasty. Many oriental and occidental scientific inventions coincide with each other in terms of shape and structure and invention time. In preparation for his astronomical observations, Astronomer Liu Zhuo of the Sui Dynasty intended to “employ a hydraulician and an arithmetician, and find a level ground stretching hundreds of li along the north and south banks of the river. Position it with a compass, measure time with a clepsydra and level the ground with a rope. . . (History of the Sui Dynasty: Annals of Astronomy, Gaitu (Vol. 19). Zhonghua Book Company. P522)”. The last should refer to leveling and observing a ground against the level indicated by the plumb (rope) and the base of the carpenter square. Survey remained a job of hydraulic technicians. No-water leveling instrument in the Qing Dynasty, also known as Hanping (旱平), was categorized into three types in hydraulic engineering works in terms of shape and structure. The first type resembled the water level in shape and structure, as was illustrated in Construction Specifics. The second type, named jia ping, was so named because its shape resembled a wooden framework, working on the same principle as recorded. The third type, recorded in Illustrations of Tools Used in Hydraulic Construction (see Fig. 5.13), was generally made of bronze. The movable bronze needle between the tripod coincided with the apex of the triangle, the base indicated the horizontal level. This simple and easy leveling instrument remains in use now (Chen Yunxing: Self-made Simple water-level. Shuili Tiandi, 1990, No. 2). Relatively speaking, despite slightly lower accuracy, the no-water level was in many ways superior to the water level. It worked free from water and was portable, so it was a good choice in many cases. Besides, hydraulic engineering works were always conducted in the slack season-freezing winter, which restricted the use of water level. Simultaneously, some construction activities such as dike survey and Fig. 5.13 Hanping in Illustrations of Tools Used in Hydraulic Construction

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engineering quantity calculation had a relatively lower accuracy requirements, so the no-water level was more widely used.

5.2.5

Survey and Calculation of Height, Depth, Distance, and Bearings

Apart from the abovementioned leveling, hydraulic survey also involves survey in height, depth, plane distance, bearings, and other aspects. It is generally acknowledged that plane survey originated from ancient Egypt, in the fourtieth century BC, when the Nile River flooded every year, inundating the land, and therefore after floods, abuttals must be redefined, thus promoting the development of survey technology.

5.2.5.1 Survey of Distance, Height, and Depth Distance was measured originally in chi (1 chi¼13 meter), and then its derivatives bu (1 bu ¼ 5 chi) and zhang(1 zhang ¼ 10 chi)were added in. No later than the Jin Dynasty, a mechanized “mileage-counting drum-cart” was invented. According to History of the Jin Dynasty-Annals of Rides and Apparels, “The drum-cart, pulled by four horses, resembled the ancient Chinese compass (si nan, 司南) in shape and structure. A wooden puppet in the cart, who held a drumstick in his hand, would beat the drum once when the cart covered one li (1 li ¼ 0.5 km)” (History of the Jin Dynasty-Annals of Rides and Apparels, the collated edition of the twenty-four historic classics, Zhonghua Book Company, P 756). Up to the Ming Dynasty, another distance-measuring tool, the bamboo measuring rule (zhu juan chi) was invented. As long as 200 chi, the tool was featured with a bamboo split body painted 1 with clear lacquer and one graduation every half cun (1 cun¼30 meter). In idleness, the measuring reel was coiled in the cross and when used, it was pulled out, similar to the present-day steeling measuring tape, so it was quite convenient to carry around (Collated and Annotated by Mei Rongzhao & Li Zhaohua, written by Cheng Dawei: Collated and Annotated Suan Fa Tong Zong. Anhui Education Press, 1990, pp. 228– 230. Suan Fa Tong Zong, published in 1592, was the representative work of Cheng Dawei (1533–1606), a mathematician in the Ming Dynasty). As is illustrated in Illustrations of Tools Used in Hydraulic Construction, another length-measuring tool, yun tan (云繵), had similar shape and structure except that hemp rope was harnessed to replace bamboo splits. Bu gong (步弓) was also employed for length measurement. In the survey for the planning of the Fuhe River in the third year of Wanli reign period (1575), “a group of craftsmen were dispatched to the challenging sections on the construction course to carry out survey and research, including zhui shou (锥手), bu gong, water-levels and drawers (Fu Zehong: Xing Shui Jin Jian (Vol.121), basic series of Sinology, P. 1762).” The first three were in charge of geological prospecting, distance, and elevation survey, respectively (Fig. 5.14). Height and depth survey mostly depended on ropes. Book of Lord Shang (shang jun shu) says, “Those who explore an abyss, aware of its thousands of ren (1ren ¼ 323

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Fig. 5.14 Bamboo measuring reel of the Ming Dynasty (Selected from Cheng Dawei’s Suan Fa Tong Zong)

meters) deep, measured it with a hanging rope (The Book of Shangyang-Jin Shi, collection of the great philosophers, P39).”

5.2.5.2 Survey of Direction As for the survey of Direction, the Warring States Period saw a device which harnessed the magnet’s feature of polarity-ancient Chinese compass (si nan, 司南). Han Fei Zi: On Political Systems says, “In a trip on foot, people will follow a certain direction initially, but after a distance, they tend to switch directions unconsciously. Hence, the compass was devised by the deceased king as direction indicator (Han Fei Zi-Youdu, collection of the great philosophers, P 25).” What was the Chinese compass like? Wang Chong of the Eastern Han Dynasty remarked, “the compass is such structured that if it is placed on the ground, its handle will point to the south,” (Lun Heng -Shiyingpian, collection of the great philosophers, P173.) that is, it was a

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spoon-shaped magnet placed on a smooth plate. When it spun, its handle naturally pointed to the South Pole. When the magnet was ground into a needle and placed on a float in a water vessel, it still indicated the South Pole. Plus, an inventor in the Three Kingdoms Period, Ma Jun devised a compass carriage with a mechanical drive system (History of the Three Kingdoms-Emperors of Ming (Vol.3), Pei Songzhi quoted in his annotations some lines from Strategies of the State of Wei as follows, “Dr. Ma Jun was requested to devise a compass carriage.” In the 29th volume of the same book, Du Xie also mentioned this. Ma Jun, however, said that the compass carriage “existed in ancient times,” so probably it was invented at an earlier time). Directions were, more often than not, measured with the gnomon. According to Zhou Rites: Kaogongji, tu gui (土圭), the oldest Chinese timekeeper, 1.5 chi in length, is used for measuring sun shadows and land,” to which, Zheng Xuan’s annotation was as follows: “The device can be used for measuring sun shadows and determining solstices, on summer solstice 1.5 chi and on winter solstice, 13 chi. It can be utilized for surveying land as well. After a state was founded, its territory would be defined by tu gui and the sovereign ruled it” (Zhou Rites-Kaogongji, the collated and annotated version of the thirteen classics, P922). Building Formulas recorded an instrument for bearing survey named “pond Landscape gnomon” (水池 景表 Shuichi Jingbiao), who worked on the same principle as tu gui, namely, to determine bearings according to the shadow of the sun, that is, “The direction that the shadow of the gnomon on the pond plate points to is the south, and in this way, the direction can be determined.” (Li Jie: Building Method (Preface), The Commercial Press, 1933, P27) (See Fig. 5.15.)

5.3

Achievements in Ancient and Modern Hydraulic Surveying

The achievements made by ancient Chinese in hydraulic survey technology are directly reflected in the planning and construction of hydraulic engineering works. The shaft method was adopted in the construction of Longshou Canal, or Dinosaur Head Canal, in the Han Dynasty, embodying the preciseness level reached in hydraulic survey; whereas prominent scientist Yuan Shoujing of the Yuan Dynasty confirmed the feasibility of the interconnection between the Yuhe, Wenshui, and Sishui rivers and the Yellow River through field investigation, embodying the achievements made in hydraulic survey.

5.3.1

Construction Method of “Well Channel” in the Longshou Canal

The best-known underground tunnel in ancient China was the Longshou Canal constructed in the reign period of Emperor Wudi of Han for diversion irrigation from the Luohe River. Around the period between Yuanshao and Yuanding (120 BC–110 BC), a man named Zhuang Xiongpi submitted a memorial to the emperor proposing to divert the local river for irrigation by opening a canal, which

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Fig. 5.15 The landscape gnomon (Jingbiao) in Building Formulas

would irrigate an area of more than 10,000 qing (1 qing ¼ 6.666 hectares) east of Linjin-Chongquan (present-day Dali County of Shaanxi Province and southeastern Pucheng respectively). His proposal was adopted by the emperor, who levied over 10,000 laborers for construction. However, the diversion project must embark from Zhengxian County (present-day Chengxian County), the upstream county of Linjin, but a long and narrow hill named Shangyan (namely present-day Sickle Hill) stretched from east to west. Since the hill was merely as high as over 120 meters and covered with loess, the open channel approach was adopted in the beginning. Nevertheless, the serious collapses occurred frequently on the high slope. Consequently, the open channel approach was switched to tunneling approach. As was recorded, “wells were then dug, some as deep as over 120 meters, which were linked to each other. The well water, crossing the Shangyan Hill, ran down and reached about ten miles eastward. Well channels were thus originated (Shiji-Hequshu (Records of the Historian-Book of Rivers and Channels), the annotated version of annals of rivers and channels of the 25 historic classics, P8).”The tunnel had to cut through the entire hill, which stretched as far as over ten li (1 li ¼ 0.5 kilometers), so digging solely from the both ends of the hill would create problems, such as small area of working face and poor ventilation and illumination. To solve these problems, people designed the shaft tunneling approach, that is, to dig spaced vertical shaft along the tunnel course. This approach not just increased the working face and

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Fig. 5.16 The engineeringlayout diagram of the well channel of the Longshou Canal

quickened the pace of construction but also solved the problems with ventilation and illumination (see Fig. 5.16). With this method, the constructors managed to cut through the tunnel after over 10 years’ effort. In the process dinosaur fossils were excavated, and accordingly, the tunnel was named Dragon Head Channel. According to the records, though the tunnel could divert water, it failed to achieve the goal of large-scale irrigation (“the channel was quite smooth but the surrounding area failed to become richly endowed”), probably because collapses were induced by the poor construction of the interior side. The relics of the channel have been preserved till today. Some discoveries were even made by archaeologists in 1981. The well tunnel was divided into two segments. The first, totaling 2600 meters, stretching from Hechengyuan, Pucheng County, to the slope area of Wentang Village. And the second, totaling 4300 meters and stretching from Wangwu Village to Yijing Village, Dali Country, the ridges of the Shangyan Hill. Research focused mainly on the first segment, located on the upper stream or operators of the kennel seven shops. Seven shafts were exposed, most of which was based at approximately 200 meters. These shafts measured around 1.2 meters across. The one located the farthest upstream, 124 cm in diameter and 27.80 meters in depth, had its complete vertical section exposed to the outside. Relics of rolling-cloud-design eaves tiles from the Han Dynasty were unearthed from the well (Zhang duanling, Gao Qiang: Relics of the Longshou Canal was discovered in Yongfeng County, Pucheng, Shaanxi”. Cultural Heritage, 1981, No. 1, pp. 94–95.). A shaft was discovered in 1944, which was part of the outlet works of the lower Longshou Canal. In the construction of the Luohui Canal, when workers dug No. 13 upper working well of No. 5 tunnel, they discovered “cedar boards and cedar frameworks two meters overhead, and these had become swarthy due to

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centuries of being buried in earth.” Subsequently, new discoveries were also made in No. 16 and 18 working wells. The framework was arranged in the shape of a Chinese character “人”. Repeated deliberate studies showed that it was the ruins of the Longshou Canal shafts (Lu Shiji: The Luohui Canal,. Printed materials in 1947, P. 42, Collected in Office of Water Resources of China Institute of Water Resources and Hydropower Research). These findings displayed the general appearance of the interior linings and struts. The same tunneling construction method was found applied in karezes of Turpan, Xinjiang, and other places.

5.3.2

The Huitong River Running Through the Shandong Horst

As the Yuan Dynasty designated Beijing as its capital, the political center moved northward and far away from the country’s economic center, regions south of the Yangtze River. The south-north canal transportation to Beijing originally took two routes: take sea route to Tianjin and then transfer to land route; take water route up the Yellow River to Zhongluan of Fengqiu, Henan, transfer to land route to Qimen, take the water route up the Yuhe River and then the Baihe River (later called the North Canal) to Tongzhou and then further transfer to land route to Beijing. The two routes were not just circuitous but also arduous due to frequent transfers between river, land, and sea transportation, and meanwhile, risks were involved in sea transportation, so it was urgent to construct a convenient and short-distance southnorth transportation artery leading to regions south of the Yangtze River. As far as Beijing-Jiangnan water transportation was concerned, no existing waterway linked Beijing to Tongzhou and the Yuhe River to the Sishui River. Accordingly, the Yuan government had the Tonghui and Huitong rivers dug, creating waterways between the abovementioned places and successfully connecting the Chaobai, Yuhe, and Sishui rivers. Thus, the Beijing-Hangzhou waterway transportation artery came into existence, namely the widely known Beijing-Hangzhou Canal.

5.3.2.1 Preliminary Foundation of Canal Planning The Yuan government made careful planning before the digging of the Huitong and Tonghui rivers, whose preliminary work involved large-scale water resources investigation and land surveying. It was then documented that Guo Shoujing, a famous astronomer and water conservancy expert at that time, “once went upstream by boat to locate the river source; and another time, he embarked on his journey from east of Mengmen (namely, Longmen) and followed the abandoned course of the Yellow River to measure the coverage as large as hundreds of miles in length and breadth. What he did was measure the ground levels and map them, either for the purpose of river diversion or of field irrigation. Still another time, he compared the terrain between the capital and Bianliang against the sea level.” Among these things, the large-scale measurement of the “coverage as large as hundreds of miles in length and breadth” (Qi Lvqian, A Brief Biographical Sketch of Guo Shoujing, The Poems and Articles of the Yuan Dynasty (Vol. 50), P544) along the abandoned course of the

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Yellow River included such important concepts and data as absolute elevation used in modern times, thus creating conditions for the subsequent determination of the route of the Beijing-Hangzhou Canal north of the Yellow River.

5.3.2.2 Guo Shoujing’s Surveying and the Opening of the Southern Section of the Huitong River – The Jizhou River As the northward waterway was no longer as smooth as it was in the Song and Yuan period, the transportation between the Yellow River and the Yuhe River involved land transportation as well. After the Mongolians annihilated the Jin Dynasty, they drew upon the Sishui River for navigation. In the 12th year of the Yuan Dynasty (1275), when General Boyan went on a southward expedition to attack the Song, he put forward a proposal to establish “waterway post houses” on the Sishui River, so Guo Shoujing was commanded to do field investigation. After investigation, “he drew a conclusion that Jizhou, Daming, Dongping, and the Yuhe river were interconnected, so he mapped them and presented the map to the emperor (Qi Lvqian, A Brief Biographical Sketch of Guo Shoujing, The Poems and Articles of the Yuan Dynasty (Vol. 50), P544).”Thus, the Huitong River project took preliminary form. A scholar of Yuan, Qi Lvqian, recorded Guo’s investigation route like this: “From Lingzhou (present-day Dezhou, Shandong) to Daming, from Jizhou (present-day Jining, Shandong) to Peixian County and Lvliang (southeast of Xuzhou, Jiangsu), from Dongping to Gangcheng, from Dongping and Qinghe across the abandoned course of the Yellow River to the Yuhe River, from the Weizhousection Yuhe River to Dongping, and from the lake in southwest Dongping to the Yuhe River (Qi Lvqian, A Brief Biographical Sketch of Guo Shoujing, The Poems and Articles of the Yuan Dynasty (Vol. 50), P544).” Prior to the Yellow River seizing the Huaihe waterway into the Sea in the Jin Dynasty, the Sishui River used to be the main tributary of the latter, and its catchment area incorporated several small rivers, such as the Guanghe, Xuehe, and Jiahe rivers. The watershed between the Guanghe River and the Wenhe River, which flowed into the sea directly, was the hilly area around Anshan and Nanwang in Dongping of Southwest Shandong Province. When the Jin (金) people and the Southern Song government confronted each other across the Huaihe River, they diverted the Wenshui water into the Guanghe River and then, for military reasons, dredged the former’s water channel. In the seventh year of Xianzong of Mongolia (1257), a low-rank civil servant of Jizhou government, Bi Fuguo had a Gangcheng Dyke constructed in the northeast of present-day Mingyang so as to divert the Wenhe River into the Guanghe River to supply water for the canal. Guo’s investigation took place 18 years after this. Apparently, he paid special attention to his predecessor’s experience in designing his investigation route, which, with Dongping as the center, reached Linqing to the north and Jixian County, the source of the Yuhe River, to the southwest and the north bank of the Yellow River to the southeast, namely Lvliang, Xuzhou. Guo’s survey confirmed the feasibility of the interconnectivity of the Yuhe, Wenshui, Sishui, and Yellow rivers and covered the key sections for the would-be Beijing-Hangzhou Canal.

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In the following year (1276), the digging of the Jizhou River was initiated. The newly dug sections extended for over 130 li, reaching the waterway of Jinsi to the south and Dong’e to the north to connect with the Daqing River. The water source of the Jizhou River was the Wenshui and Sishui rivers. The Wenshui River diverted water from the Gangcheng Dyke to Huiyuan sluice gate, from which the water was further diverted to the Beijing-Hangzhou Canal. In the 20th year (1283), the Jizhou River was completed, so that canal transportation could go directly northward from the north bank of the Yellow River, Lvliang, Xuzhou via present-day Shandong Province. The opening of the Jizhou River confirmed the rationality of the interbasin water transfer projects and moved a key step forward toward the final connectivity of the Yuhe, Wenshui, and Sishui rivers and the canal’s successful crossing watershortage areas.

5.3.2.3 Ma Zhizhen’s Project for the Northern Section of the Huitong River and the River’s Completion Despite the completion of the Jizhou River, a section between the Sishui and Yuhe rivers was still lacking in waterway. A scholar of Yuan, Yang Wenyu, depicted what land transportation was like at that time, “For the two-hundred-li journey from Dong’e to Linqing, the transportation teams had to abandon boats and went on a hard land journey until they reached the Yuhe River, where the supplies could be shipped to Beijing. In the course of land transportation, altogether 13,200 households had to do forced labor. The part of journey in Chiping (in Shandong Province), which was quite low-lying, was extremely arduous. In the rainy season, the journey was so hard that the cattle that drew the carts were so exhausted that some of them even flopped to the ground, dead. The arduousness of the land journey was beyond description (Yang Wenyu: A Monument to the Opening of the Huitong River. Quoted from Wang Qiong:Illustrated Annals of the Beijing-Hangzhou Canal (Caohe Tuzhi) (Vol.5). Collated by Yao Hanyuan, Tan Xuming: Water &Power Press, 1990, P220.).” So it was quite urgent to open the north Jizhou River section of the Beijing-Hangzhou Canal. In the 25th year of the Yuan Dynasty (1288), County Magistrate of Shouzhang, Hang Zhonghui, and Court Historian, Bian Yuan, proposed to open the channel and their proposal was adopted. Ma Zhizhen, in charge of regional water transport, and Bian Yuan took the order to “survey the topography, discuss engineering costs, and submit a project plan (History of the Yuan Dynasty-Annals of Rivers and Canals, annotated version of the annals of rivers and canals of the 25 historic classics, China Bookstore, 1990, P261).” Their plan won support from Prime Minister Sangge. After a comparison of the investment, effect, and profits in the perspective of economic compensation, Sangge held that the costs of the project could offset the expenditure of the transfer from water to land transportation, but that economic benefits of the project would be quite considerable (History of the Yuan Dynasty -Emperor Shizu Yuanshi Shizuji (Vol.15), Zhonghua Book Company, P316. Sangge suggested opening a channel for transportation: “I suggest opening a 256 li-long channel running from Anshan to Lingqing. The project will require three million labor, 300 thousand ingot of silver, 400 thousand dan of rice, 500 thousand jin of

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salt. 13,000 households will serve as laborers. The income and costs were somewhat equal, but the channel, if completed, will benefit thousands of generations”). “The emperor agreed to the plan and granted 1,500,000 min (string of copper coins), 40,000 dan (1 dan ¼ 100 sheng) of rice, and 50,000 jin (1 jin ¼ 0.5 kg) salt and provided other necessary supplies and 30,000 men from the neighborhood were levied as laborers (Yang Wenyu: A Monument to the Opening of the Huitong River, Quoted from Wang Qiong:Illustrated Annals of the Beijing-Hangzhou Canal (Vol.5). Collated by Yao Hanyuan, Tan Xuming: Water &Power Press, 1990, P220.).” In the first lunar month of the following year, the project was embarked upon. The completed canal, which extended over 250 li (125,000 meters) from Anshan, Xucheng County to Linqing via Dong’e and Liaocheng, was granted a name “Huitong River” by Emperor Shizu of Yuan. Afterward, the Huitong River and the Jizhou River were merged into one, collectively called “Huitong River,” and the Jizhou River was rarely mentioned as time progressed.

5.3.3

Calculations in Hydraulic Survey

In hydraulic engineering, the survey of irrigation area, mountain height, valley depth, and river width and distance are quite common. In measuring area of irregular figures and such objects unapproachable or directly unmeasurable as mountains, valleys, rivers, and wells, people need to turn to mathematical calculation for proof. By the Western Han period (206 BC–8 AD), mathematical development had reached a level where the abovementioned problems could be successfully tackled. In a classic mathematical work of the Han Dynasty, The Nine Chapters on the Mathematical Art, there was a systematic induction of land area calculations (As the earliest mathematical work in ancient China, The Nine Chapters on the Mathematical Art was compiled in the initial period of the Eastern Han Dynasty. “Undoubtedly, however, the solutions recorded in the book, such as Fangtian (a method to solve the area of farmlands on given sides), Sumi (a calculation method for grain transactions), Cuifen (an arithmetic progression problem), Shaoguang (a method to solve one side of a rectangle or a cuboid with the area of a rectangle or the volume of a cuboid given), Shanggong (a method to solve volumes or labors for a project), mostly originated in the pre-Qin period.” See the collated version by Qian Baozon, The Ten Classics of Ancient Chinese Mathematics, Suanjing Shishu) and Summary of the Nine Chapters on the Mathematical Art, Zhonghua Book Company, 1963, P83). In the two sentinels, “Fangtian(field measurement)” and “Shaoguang (area and sides measurement),” there were examples of area calculation for lands of various shapes: square, circle, trapezoid, triangle, torus, bow, and spherical crown. As for the measurement of height, depth, and distance, the “Gougu” (legs of a triangle) sentinel of the book contained such examples, the 23rd, 24th, and 22nd, respectively. They were all done by solving similar triangles. Nevertheless, as for the measurement goal well beyond reach, Sea Island Mathematical Manual, written by Liu Hui of the State of Wei in 263, provided a solution called the Technique of Zhong Cha, a method to measure the height and distance of the sun, which was an advance

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Fig. 5.17 Diagram of measurement of the height and distance of a sea island (Selected from “Achievements of Survey Technology in Ancient China” by Shen Kangshen

on the method of measuring the sun height in Mathematical Classic on the Gnomon. In Sea Island Mathematical Manual, the first mathematical problem was like this: Now there is a sea island (HG). If one sets up two 30-chi (a unit of measurement in ancient China, a chi ¼ 0.333 m) gnomons (AC, BD), one being a thousand bu (a unit of measurement in ancient China, a bu ¼ 5 chi) ahead of the other and in a straight line. From the gnomon ahead, if one goes backward for 123 bu (AE), then the peak of the island, the upper end of the gnomon, and one’s eyes are aligned. From the other gnomon, if one goes backward for 127 bu (BF), the peak of the island, the upper end of the gnomon, and one’s eyes are also aligned. The problem is: What is the height of the island and what is its distance from the gnomon ahead (AH)? (See Fig. 5.17.) GH ¼ KG þ HK ¼

AB  AC  ¼ 4  li  55buð1  li ¼ 0:5 kmÞ BF  AE

HA ¼ 

AE  AB ¼ 102li150  bu BF  AE

This result was derived from the proportional properties of the corresponding sides of two pairs of similar triangles: DKG & FBD, CKG, and EAC. This measurement method and mathematical calculation appeared about 1000 years earlier than those in Europe (Shen Kangshen: Achievements of Survey Technology in Ancient China, Collection of History of Science, 1965, No.8, P38.). In hydraulic engineering survey in ancient China, direct measurement methods were mostly adopted in surveying mountain height, river, width, etc. In the eighth year of Emperor Qianlong of the Qing Dynasty (1743), Great Scholar Chen Shiguan “led Ming Antu to measure the width of the Yellow River on the outskirts of Xuzhou city to be 1250 chi.” (Li Shixu: The Continuation of Xingshui Jinjian” (Vol.13), the basic series of sinology, P. 310) What he utilized as measurement instrument was not mentioned in the book, but probably an indirect measurement method was used. Modern stadia survey was an invention of the Europeans. In 1609, almost simultaneously the Dutch and the great Italian inventor Galileo invented the telescope, an invention significant to the making of measurement instruments. As was documented, “The first record of a telescope equipped with range finding wire was found in Italy in 1608, and the telescope was put into use on the Bridgewater Canal

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in Britain in 1771 ( , translated by Fang Jun: Science of Measuring Instruments, Science Press, 1956, P6).”

5.3.4

The Application of Modern Hydraulic Survey Technology

After the Second Opium War, cities were opened one after another as trade ports under the series of unequal treaties signed. Out of necessity of regulating the navigable waterways, the measurement of estuaries and channels drew people’s attraction in the first place. In the 11th year of the Xianfeng reign period (1861), the British navy surveyed the channel of the Yangtze River and accordingly compiled a map of the river. In the second year of the Tongzhi reign period (1863), Zeng Guofan, Viceroy of Liangjiang, under the order of Ministry of Foreign Affairs mapped the Yangtze River channel from Baling, Hunan Province, down to Chongming seaport, Shanghai. “Maps of objects like rock patches, seaports, underwater sandy beaches and customs passes established by foreign countries were all made through on-the-spot survey, . . . . . . Their sizes and depths were accurately marked on the map (The Complete Works of Zeng Wenzheng, quoted from a secondary source: The Recontinuation of Xing Shui Jin Jian-The Yangtze River (Vol. 10)).” In the 15th year of the Guangxu reign period (1889), Wu Dacheng, River Governor-general of Henan and Shandong, established the River Mapping Bureau (河图局) and recruited more than 20 professional talents from Tianjin, Shanghai, Fujian, and Guangdong for surveying and mapping the river channel from Wenxiang Town, Henan, to Lijin Seaport, Shandong. Afterward, in the 19th year (1893), Zhang Zhidong issued transfer orders to a mapping commissioner in Guangdong, Lao Ying’an and Zhang’s disciple Pan Yuanpu for surveying and mapping the Ouchi, Hubei section of the Yangtze River, thus making preparations for planning embankment of the south bank of the Jingjiang River. In the 25th year (1889), students in Tianjin Military Academy surveyed the channel of the lower Yellow River from Caozhou, Shandong, to Lijin. In the initial period of the twentieth century, the surveying of the river basins of the Yangtze River, Huaihe River, Yellow River, and the Pearl River focused on the middle reaches of their trunk streams and tributary areas. To coordinate with waterway dredging projects, the surveying of estuaries of the lower reaches was carried out with more precision. The survey of the Huaihe River was embarked upon by a department called Huaihe Dredging Bureau (导淮局) in the sixth year of the Tongzhi reign period (1867). The bureau took charge of the preliminary survey of the waterways from Yunti Pass down and those in Hongze Lake. In the third year of the Xuantong reign period (1911), Zhang Qian established Yangtze-Huaihe Water Conservancy Survey Bureau in Qingjiangpu to make preparations for the dredging of the Huaihe River. The survey of the Huaihe River entered a new phase, and the surveyed area between 1912 and 1928 totaled 140,000 square kilometers, including North Jiangsu and the regions to the north of the Hongze Lake, the counties along the Huaihe River in North Anhui and the abandoned course of the Yellow River in the Huaihe river basin, and the topography of the Huaihe River and the Yihe, Shuhe,

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Sishui, and Huaiyang canal. In 1907, Zhang Jian hired Nigepi, a Dutch engineer from Shanghai Junpu Bureau, and Haderson, a Swedish engineer, to survey the section from Tongzhou (now Nantong, Jiangsu Province) to Chongming estuary of the Yangtze River. The survey underwent four rounds, giving detailed verification as to the measurement data previously done and putting forward embankment construction plans concerning the section in question (North China River Commission: Topographic Survey and Hydrological Observation of the Yellow River Basin, Water Resources, 1931, Vol. 1. No. 6). From 1902 to 1921, the French navy surveyed the channel of Chongqing-Yichang section of the Yangtze River for many times and eventually made the “Map of the Upper Yangtze River.” As a relatively accurate map of the channel of the upper Yangtze River, the map was utilized as the primary surveying and mapping data in the survey of the region of the three gorges dam in 1932. After the Republican Period, water conservancy organizations were successively set up in each river basin and survey focus switched from river topographic survey in coordination with river dredging to serving the preliminary work of flood control, farmland water conservancy, hydropower, and shipping planning. Since 1923, 1:5000 and 1:10,000 local topographic map of the Henan-Shandong section of the basin and topographic map of the main tributaries have been successively completed. In addition, in coordination with farmland and hydraulic engineering planning, such as the diversion of Jinghe, Luohe, and Weihe rivers in Shaanxi, local topographic survey of the areas in question have been carried out. Since the 1930s, special surveys have been carried out as to dam regions, reservoir areas, river sections, etc. on the three gorges section of the Yangtze River, the trunk stream and tributaries of the Jinsha, Minjiang, and Jialing rivers so as to carry out the hydraulic development planning of the Yangtze River Basin. Originating from Guangdong River Training Department in 1914, the survey of the Pearl River Basin extended from the estuary into the East and West rivers in Guangdong and Guangxi. In the same period, multi-aim hydraulic survey has been successively launched in the Qiantang River Basin in Zhejiang and the Minjiang River Basin in Fujian. In modern times, the zero-point height datum in China’s geodetic survey was set by the Customs Office at the trade ports, and “Dagu zero point” in the Haihe River estuary of Tianjin was mostly adopted in the Haihe and Yellow river basins. In the lower reaches of the Yangtze River Basin, “Wusong zero point,” the lowest tide level from 1871 to 1900 (Shu Wuzhang &Yang Chengming: A Survey of Datum Measurement by the Elevation System at Wusong Zero Point in the Yangtze River Basin, Dispatches on Annals of the Yangtze River, 1986, No.3.) was adopted, in the middle reaches Ouchi relative zero point, and in the upper reaches the assumed elevation of Guanxian County of the river’s tributary the Minjiang River (e Zhide: On the Old Coordinate system of the Yangtze River Basin. Dispatches on Annals of the Yangtze River, 1986, No. 3.). As for the Huaihe River Basin, there were coordinate systems such as the datum point of the Huiji sluice of the canal set by the Yangtze-Huaihe Water Conservancy Bureau, the assumed zero point of the abandoned course of the Yellow River (also known as the zero point of the abandoned Yellow River estuary)

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(Water Conservancy in China in the Past Three Decades, 1941). Datum points for various rivers were divergent from one another; datum points were sparsely distributed, so that the water conservancy survey was of low accuracy; in addition, the number of surveyed objects was also limited. This situation was not improved little by little until the 1950s. Emerging at the beginning of the twentieth century, aerial survey is a new technology employed in geodesy. It adopts topography pictures taken by flying planes, makes plane correction through a small number of ground control points, and makes a plane topographic map through central projection. In 1912 Germany took the lead to use aerial survey technology to measure the terrain of the whole country, and afterward this technology was adopted successively by European and American countries. China introduced this technology in 1928 and applied it to hydraulic survey. After preparations, the pilot aerial survey was successfully carried out on the Puyang River in Zhejiang Province, flight height at 400–2000 meters, flight distance being 36 kilometers and the scale of the topographic map being 1: 15,000 and 1:30,000 (Gu Shiji: The Process of Zhejiang Water Conservancy Bureau Carrying Out Aerial Surveys, Water Resources, 1932, Vol.2 No.3&4.). In 1933, an aerial survey was carried out to a 27-kilometer-long section of the Yellow River dike from Dacheji, Changyuan County, Henan Province to Shitouzhuang Village, and according to the surveying result, a map of the Yellow River dike 1:7500 and a 1: 25,000 plane topographic map were made. Later, aerial surveys were also carried out to the section from Kaifeng, Henan Province to Dongming, Shandong Province of the abandoned course of the Yellow River, Shan County-Baotou section of the trunk stream of the Yellow River and its tributaries such as the Fenhe, Luohe, and Yanhe rivers. In 1940, in coordination with hydropower development projects, aerial surveys were made to the targeted reservoir areas and dam areas of such places as the Sanmenxia Gorge of the Yellow River, Hukou, Longmen, and the Three Gorges of the Yangtze River, the last of which underwent the most aerial surveys (News Bureau of Executive Yuan: Water Conservancy Survey, 1948.). (Translator: Yongling Wang) (Proofreader: Caiyun Lian)

6

Pan Jixun and the Ancient Governance Plan of the Yellow River Kuiyi Zhou and Jun Deng

Contents 6.1 The Development of Ancient River Training Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1.1 The Development from Dodging Floods, Building Flood Barriers to Dredging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1.2 The New Phase of River Training Through Dike Building . . . . . . . . . . . . . . . . . . . . . . 6.1.3 The Outlook on Nature Reflected in Jia Rang’s Three Strategies of River Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1.4 The Diversion Strategy: A Scheme with a View to Flood Discharge . . . . . . . . . . . 6.2 Historical Conditions for Pan Jixun’s River Training Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.1 Natural and Historical Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.2 Scientific and Technical Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3 Pan Jixun’s Plan of Yellow River Training and Its Remarkable Results . . . . . . . . . . . . . . . . 6.3.1 Grasping the Peculiarity of the Yellow River . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3.2 Restricting Currents to Attack Silt-Pan Jixun’s Basic Principle of Combating Silt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3.3 Scouring Silt with Clear Water: Another Thought for Solving Deposition of the Yellow River . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3.4 Using Silt to Fill Floodplain and Reinforce Dikes: Pan Jixun’s Third Measure to Combat Silt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3.5 Comprehensively Planning for Training the Lower Reaches of the Yellow and Huaihe Rivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3.6 Pan Jixun’s Thought of Dike Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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K. Zhou · J. Deng (*) Water History Department, China Institute of Water Resources and Hydropower Research, Beijing, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_6

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Abstract

This chapter introduces the ancient Chinese governance plan of the Yellow River, a silt-laden one, especially the achievements made by Pan Jixun in this respect. It consists of three parts: the development of ancient river training strategies, the historical conditions for Pan Jixun’s river training plan, as well as his river training plan and results. His ideas about the regulation of the Yellow River mainly included “attacking silt with water,” “scouring silt with clear water,” and “using silt to fill floodplain and reinforce dikes.” The chapter also elaborates on Pan’s overall training plan of the Yellow River and his thought of dike building. Keywords

Pan Jixun · The Yellow River · River training · Dike

The Yellow River, or Huanghe River, is the second longest river in China. Originating in the Yueguzonglie Basin on the northern foot of the Bayan Har Shan Mountains in the Qinghai-Tibet Plateau, the river crosses the Loess Plateau and the North China Plain in its course to the Bohai Sea. With a flow path of 5464 kilometers, the river has a drainage area of 752,443 square kilometers, and its total area amounts to one million square kilometers or so, including the internal flow area and the floodafflicted area in the lower reaches. The Yellow River Basin occupies an important position in China. In the approximately 3000 years from the time of Dayu onward, who, according to a legendary story, led people in curbing floods, the Yellow River Basin has always been the political, economic, and cultural center of China, with cities of Xi’an, Luoyang, Kaifeng, etc. in its basin as capitals of many dynasties of the country. Rich in natural resources, especially land and water resources, the basin is the country’s earliest birthplace of irrigated farming, making tremendous contributions to the reproduction and development of the Chinese people. Nevertheless, the river also brought great calamities to the people living along the river due to its distinctive features of being sediment-laden, silt-laden, prone to breaches and course change, especially the lower reaches, where the most frequent breaches and avulsions occurred. From the time immemorial, the Chinese people have struggled persistently to control the Yellow River, creating and developing theoretical strategies and scientific technologies in river training and gaining rich experience, and meanwhile a multitude of scientists and river training giants emerged. Pan Jixun, a river control expert in the late Ming Dynasty, was one of those who exerted the greatest influence on later generations by his achievements in the Yellow River training. From the 44th year of the Jiajing reign period (1565) to the 20th year of the Wanli reign period (1592), Pan took charge in managing the Yellow River four times and achieved notable results. His theoretical system of Yellow River regulation has had profound impact on later generations in river control, even at the present time.

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6.1

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The Development of Ancient River Training Strategies

The training and harnessing of the Yellow River was intimately related to the economic, political, scientific, technological, and cultural development in the various dynasties. The evolution of river training strategies went hand in hand with the progress of society, the development of productive forces, and the rise of technical levels.

6.1.1

The Development from Dodging Floods, Building Flood Barriers to Dredging

In the early stage of human society, people in the Yellow River Basin lived by collecting and hunting. When the river flooded, they would dodge them by “choosing hilly areas to dwell in” (Writings of Prince Huainan -Instructions on Customs of Qi State); therefore, there was no need for large-scale flood control projects. For instance, the Shang Dynasty, which founded its capital along the abandoned river course in the north of Henan Province, in the lower Yellow River, moved its capital many times to dodge floods. In the early period, people depended chiefly on animal husbandry, and flood water nourished lush pasture and whenever their dwelling places were inundated, they would move away. Some 5000 years ago, ancient China was in late primitive society, when agriculture started to become the basic economic sector of society and people mostly lived close to rivers and lakes. Legend has it that the earliest person who led people in fighting the flood was Gong-gong, whose clan lived somewhere in or around present-day Huixian County, Henan Province. It was documented that “When Gong- gong was king, seventy percent of the earth’s surface was covered with water, and thirty percent was land (Guan Zi-kuidu, the four-series edition).” He led his people to “prevent river breaches by building dikes ,” (Sayings of the States-the State of Zhou, Section 2.) that is, to fetch earth and stones from high places to build flood-preventing barriers. Gonggong enjoyed such a high reputation for his proficiency in flood control that at one time his name became the title for river-taming officials. With the growth of the population and society, the scope where ancient people lived and worked continued to expand, from highlands to plains. Legend has it that in the reign periods of Yao, Shun, and Yu (around the twenty-first century BC), the Yellow River underwent devastating floods for many successive years. “Catastrophic floods divided the land into many patches, and the flood water mounted so high that it even overflowed hills, at which sight ordinary people could only let out a sigh.” (Book of History-Story of Emperor Yao.) Under the order of Yao, Gun embarked on the work of fighting the flood. He adopted the same method as Gong-gong did, that is, building barriers to stop the flow of the rivers (Sayings of the States-the State of Lu, Section 1.) and he “had people construct city walls as high as three ren” (Sayings of the States-the State of Lu, Section 1.) (an ancient Chinese unit of measure, equal to seven or eight chi) to stop inundations, but his efforts ended in failure. After he succeeded to the throne, Shun sent Yu, Gun’s son, to carry on the work of fighting the flood. In the beginning, Yu also adopted the strategy of building barriers

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to “stop the flow of rivers,” “Yet the rivers inundated, devastating the central plains in particular.”(Records of the Historian- Book of Rivers and Channels) Hence, Yu gathered his men and conferred upon flood control strategies. They held that, flowing out of gullies, “flood water was so turbulent that it could not be stopped when it reached the plains,” and that failure to be aware of this caused past failures in flood control. Afterward, Yu adopted a new strategy of “following the flow of water” (Writings of Prince Huainan- Instructions by the Tai people) and also “dredging the river channels to remove blockage.”(Sayings of the States- The state of Zhou, Volume II.) He led his men in dredging the channels of the trunk course, providing outlets for the flood into the sea, and dredging the tributaries and streams to drain waterlogging instantly into rivers. His concrete measure was as follows: “The river was diverted to flow from Jishi, past Longmen, Huayin to the south, Dizhu (Sanmen Gorges) to the east, to Mengjin, Luona and Dapi.” What was more, starting from the Si’er Channel in the lower reaches, the river was diverted “to flow past Jiangshui (later the Zhangshui River) to the north, to the Dalu Lake (the lake which lay between Longyao, Julu and Renxian counties in Hebei Province, and now it is filled up with sediments), from where the river was divided into nine tributaries which flowed into the sea respectively” (Book of History- Yu Gong.). In conformity with the natural way of flowing water, the thousands of gullies and ditches made by flood water were integrated into a drainage system, thus accelerating the drainage of floods and waterlogging and mitigating the menace of inundations. Lu Jia of the early Western Han Dynasty elucidated the social background and the outcomes of Yu curbing the floods in his work Xinyu-Daoji: Houji (the ancestor of the Zhou Dynasty) defined the boundaries and divided land patches in an appropriate way. He initiated farming grains so as to feed the people. He taught people to plant mulberry and hemp and to weave worm silk into cloth for covering their naked bodies. At that time, the four great rivers (the Changjiang, Huanghe, Huaihe, and Jishui rivers) were in embryo and frequent floods caused devastating damage. Hence, Yu determined to dredge the rivers and lead the waters into the sea. The big and small rivers were connected into a network. As a result, the people had to move to highlands for a living. After more than a decade’s persistent efforts, Yu and his men succeeded in dredging all the rivers, big and small, and in doing away with the evil of flood (Book of History -Yu Gong.). Consequently, people began to move from hilly areas to fertile plains. After the death of Shun, Yu became the head of the tribal confederation. The dredging method that Yu adopted in flood control was a step forward than the barrier method utilized by Gong-gong and Gun, shifting from passive defense to positive control. His strategy of dredging had partly changed the natural conditions of the river, enhancing its capability of draining waterlogged fields.

6.1.2

The New Phase of River Training Through Dike Building

In the Spring and Autumn and the Warring States periods, the rising landlord class took power successively in the various states and iron tools were widely used. The economy in the lower reaches of the Yellow River boomed, the population growing

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and new cities constructed, constraining the course of the Yellow River. Higher demands were therefore set for river control. As for the origin of dike construction, there was no explicit document, but at least it had been in wide use in the Western Zhou Dynasty. Sayings of the States – The State of Zhou, Part One incorporated an epigram, “Stopping the people from commenting on politics yields a worse result than a dike breach. A dike breach will induce inundations, causing lots of deaths and injuries.” Here, the dike was used as a metaphorical object, which, in a metaphor, must be something quite familiar to ordinary people, so obviously dikes had become common by that time. In the Spring and Autumn Period, the State of Qi was situated in the lower Yellow River and the plains along the river were low-lying, so inundations were the biggest menace to the people. In 685 BC, Guan Zhong, Prime Minister of the state of Qi, proposed to Duke of Huan to build dikes to guard against inundations and do benefit to the folks. According to the Yellow River’s features of having unpredictable hydraulic changes and broad river course, he explicitly put forward the theory of a double-pair levee system. He remarked as follows. The waters can be differentiated as big or small, far or near...... water conservancy workers can be sent to construct dikes, which should be wide at base and narrow at top. A dike should run along the river. What is more, reservoirs must be built on the nearby barren land. For big reservoirs, install dikes, and for small ones, man-made dike. The dikes must surround the reservoirs to avoid ruining crops. Here the dike built to prevent severe floods was called dike (hedi) and the one for streams was called fang (or man-made dike). The hazardous places along the river were under monitor by farmers. On the banks and riffle areas, “bushes were planted, dotted with cypresses and poplars favorable to soil conservation. With these measures, the fields along the river were made so fertile that rainwater was referred to as nurturing rain.” (Guan Zi-Du Di(Surveying the Territory)) This means that the beach wetlands of the Yellow River became fertile owing to these measures and greatly benefited the folks. The duke adopted Guan Zhong’s proposal and put it into practice, leading to the state becoming affluent and powerful and its ultimate accomplishing hegemony. From that time onward, the states along the river constructed dikes regardless of the benefit of others, resulting in a long bent dike with many dangerous sections, which became a big menace to the countrymen. Guan Zhong analyzed the causes of the bent dike hazards as follows. Bent dike would cause a chain of bad effects: dike base undermined, sediment concentration, dike divergence, and finally river breaches (Guan Zi-Du Di, Surveying the Territory). If the dike was bent, the river water would become so turbulent as to undermine the dike and cause sediment concentration and dike divergence and ultimately lead to the river being out of control. Guan Zhong proposed the right dike strategy to the duke, who called up the states in 651 BC to meet and sign an agreement, proposing the regulation of “non-bent dikes” (Mencius-Gao Taixia, Instructions to My Son) and demanding the states to abide by the rule strictly to guarantee the benefits of all states. The application of dike marked a new level of river training theory. When Da Yu curbed the floods, the strategy he adopted was chiefly dredging, a step further than the barrier strategy utilized by Gong-gong and Gun. Yu’s strategy started to impose

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an influence on the course of the river, thus protecting a wider range of fields. The conversion from building barriers to dredging was the first development phase of river control. The emerging of systematic dike greatly enhanced the capability of river beds to hold floodwater and changed the transmission feature of river courses, thus fulfilling its mission of flood control. The transition from dredging to dike was the second development phase of river training theory. In the meantime, they manifested themselves as unity of opposites, inter-convertible under certain conditions and supplementary to each other. Up to the Ming Dynasty, the two parties achieved dialectical unity to some extent, giving rise to a new theory of “attacking silt with water.” Historic progress as dike was in river training engineering, it had inherent faults in itself. After dikes were in place on both banks of the lower reaches, the Yellow River was silting up and the river bed was elevated, forming a perched river. For instance, in the initial period of the Warring States Period, after the systematic dike was in place, large amounts of sediment and water was constrained by the dikes, thereby causing suiting up and a demand for higher dikes. By the end of the late Western Han Dynasty, The dike reached as high as one zhang (1 zhang is equal to ten chi) at Qishuikou of Junxian County, Henan Province, while in the lower reaches, the dike was as high as four or five zhang, to the degree that once the river water level was higher than the ground, it seemed as if residents were living in a city of water, aggravating and worsening the situation of flood control (History of the Han Dynasty-The Annals of Channels and Canals (Vol. 29)). Due to sediment deposition on the river bed, the water level of the river was higher than the ground on both banks not only in flood season but in non-flood season as well. Due to everlasting high-water level, the river oversupplied the underground water through lateral seepage, raising the underground water level and resulting in large areas of saline-alkaline marshes. As Jia Rang said, “The river was unconstrained on the ground, so that the people suffered from eczema, trees and plants stood withered and the soil failed to nurture crops.” People’s living environment severely deteriorated (History of the Han Dynasty-The Annals of Channels and Canals (Vol. 29)). On the other hand, unplanned river management and exploitation also gradually worsened the conditions for flood control. In the early Warring States Period after the aligned dike was completed in the lower reaches, the spacing of dikes was approximately 50 li or 25 kilometers. Then some farmers loved the fertile floodplain and took advantage of them as fields. In order to ensure the safety of plowed fields, new dikes were constructed one round after another within the boundary of the original dikes, resulting in narrower and narrower river beds and poorer and poorer flood discharge capability. In addition, blind poldering reclamation and unplanned new dike construction led to the river having many twists and turns and disunity of breadth. In the north of today’s Henan Province, some dikes were hundreds of steps away from the river itself and some might be several miles away; the river incorporated many twists and turns in a coverage of merely 100 miles. This severely affected people’s life and impaired the conveyance capability of the river channel, leading to

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the deterioration of the conditions for flood control (History of the Han Dynasty-The Annals of Channels and Canals (Vol. 29)). In the history of flood control as long as 4000 years and the 2500 years from the Warring States Period onward, dikes became the dominant means of fighting floods. This was historic progress indeed, but dike breaches caused more losses than otherwise. Especially for a river suffering from severe sedimentation like the Yellow River, dikes caused continuous silting up on the river bed of the lower reaches, making it more difficult to stop inundations. It is obvious that dike was just an optimization result and could not conceal its inherent faults. The predicament in flood control after the Han Dynasty revealed the problems caused by dike and spurred people to seek new strategies for river governance.

6.1.3

The Outlook on Nature Reflected in Jia Rang’s Three Strategies of River Training

From the reign of Emperor Wudi of the Western Han Dynasty onward, the Yellow River breached frequently, becoming one of the biggest concerns of the whole state. Later, various river training plans were put forward successively. Around 6 BC, Jia Rang, one of the officials, proposed three strategies for the training of the Yellow River. As the earliest plan of Yellow River training extant, his strategies created a separate school for it conformed to the law of floods so as to mitigate losses induced by inundations, imposing a significant influence on later generations. First of all, he analyzed the evolution of channels of the lower reaches. Prior to the construction of dikes, a multitude of streams flowed into the lower reaches of the Yellow River, and there were many lakes and marshes along the river so the flood water was well regulated, the river channel was wide, and the river water “went slowly and easily within its boundary.” In the Warring States Period, dikes were in place on both banks and the spacing of levees was broad enough for the river to flow at ease. Farmers took advantage of the fertile floodplain, transforming them into fields or construction sites. Villagers took shape. In order to protect their homes from inundations, they constructed more dikes within the boundary of the original ones, leading to narrower river course and curved dike lines and eventually levee breaches. Based on this analysis, Jia Rang proposed three hierarchical strategies. The bestrecommended one was to divert the river course artificially. The civilians of Jinzhou, who dwelt near the course of the river would be made to migrate. And a deliberate levee breach would be made at Zhehaiting, Li Yang (in today’s Henan Province) so as to divert the river northward into the sea. With the measures taken, the river would extend to the mountain to the west and to the Jindi River to the east. The accumulated funds for flood control in several years would suffice for migration. This plan was in fact a compromise with the river, aiming to guide the flow of water, as Yu did, and “create an environment where humans and floods live in harmony with each other for several millenniums.”

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The moderately recommended one was to divert water in narrow sections for irrigation. In other words, “more channels should be dug in and around Jizhou, conveying river water for irrigation and meanwhile making the water less turbulent.” He proposed to build stone levees from Qikou eastward, leaving outlets at various sites, and adopt the water diversion method applied to the Xingyang section of the Grand Canal. There was no need to dig water diversion channels, he argued, “only a levee should be constructed, which would extend northward for more than three hundred li, and poured into the Zhangshui River, west of which was a highland at the foot of a hill and from which water was conducted through various channels into fields for irrigation. In dry season, the low eastern water gate would be opened to provide irrigation water for Jizhou, whereas in flood season, the high western water gate would be opened for discharge.” He argued that if this strategy was adopted, three hazards would be eliminated and three benefits would be reaped. The three hazards were: the people’s tiredness of constant flood fighting, the moisture of houses and the salinization of plowed fields, and the people’s suffering from levee breaches. The three benefits were: improvement of saline land through colmatage, an increase of five to ten times in grain production by transforming wheat fields into rice fields, and the channels’ potentiality of water transportation. He believed that the funds for flood control in a single year would cover the construction of channels and water grates and that as long as farmers benefited from irrigation, they would “manage the channels one after another regardless of hard labor.” In this way, both the channels and the fields were regulated. Though not “a method adopted by ancient sages,” this strategy would do to “make the country affluent and the people live a peaceful life, and make the hazards eliminated and the benefits realized for the duration of a hundred years”. The least-recommended one was to simply reinforce the original inappropriate dikes. This, he warned, not just required “endless expenditure” but also had the probability of suffering from repeated inundations (History of the Han Dynasty-The Annals of Channels and Canals).” There were divergent comments on Jia Rang’s three strategies for river regulation among later generations, particularly in the Ming-Qing period. Qiu Jun (1420– 1495), a renowned thinker, historian, politician, economist, and writer in the mid-Ming period, appraised his strategies as being unprecedented (Jun Qiu: The University’s Derivative Supplement (Vol.17). A Brief Version of Complete Library in the Four Branches of Literature, photocopy of Taipei World Book office, 1988, P272), while Liu Tianhe, a distinguished state official and scholar in the Ming Dynasty, argued that Jia Rang’s best-recommended and moderately recommended strategies were not feasible at all, and as for Qiu Jun, he said that he was not experienced in river control and that his opinion was not reliable (Liu Tianhe: Collections of Questioning the Water (Vol.1). Rare books on water conservancy, P11). Xia Si of the Qing praised Jia Rang for his talent for river regulation, saying that “If Yu were alive again, he would not have come up with the idea of migrating the people and diverting the river to flow northward. Isn’t Jia’s strategy the best of all?” (Xia Si: On Jia Rang’s River Management. Jingshi Wenbian in Qing Dynasty (Vol.96).)Yet, Jin Fu, general governor in charge of river channels, satirized Jia, “The

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theory that sounds extravagant but is not feasible in practice must be that of Jia Rang.” He, nevertheless, after making negative comments on Jia’s concrete Yellow River control strategies, emphasized that Jia Rang’s words did make sense when he said that humans should leave sufficient space for rivers and lakes in making territorial planning, so that autumn waters might have a rest and flow unhurriedly (Jin Fu: On Jia Rang’s River Control Strategy (Vol. 2)(Rare books on water conservancy, P103). Thus, he approved Jia’s outlooks on nature that the development of society should be constrained and humans should seek to conform to the law of rivers and floods in an active manner. Later generations also had similar ideas of river governance, for instance, Emperor Shenzong remarked in the 14th year of Yuanfeng (1081). It has been a long time since the Yellow River became a headache for the people. Later generations controlled the river with shi, so they suffered from failure again and again. It is the nature of water to flow to lower places. Therefore, it will not go against its nature to control water with dao. If people follow the natural flow direction of water and move towns and cities away from the river course, then how will it become a hazard? Suppose Da Yu were alive now, he could not think of better ideas. Here, the so-called “controlling water with things” means flood control should above all fully satisfy the needs of social development, making river control in conformity with land exploitation. Whereas, the so-called “controlling water with dao” means that social development should adapt to the objective law of floods, and if land exploitation and urban construction go against this law of nature, then what was in the river course should be moved so as not to “go against the nature of floods.” His contemporary great litterateur, Su Shi (1037–1101) pointed out in an essay Yu’s way of river training: The key to river control is to grasp human feelings based on reason. Turbulent as currents are, it is a result of dike force. In ancient times, there used to be no residents along the river, so in time of flooding, they would give up their dwelling places to flood water. Nowadays, however, dikes are constructed along rivers and house people. This is so-called “losing thousands of miles due to love for an inch.” Therefore, it makes sense to discard dike to reduce flood frequency. Although it was not advisable to abandon dikes and leave the river going its way, the key to controlling water was the combination of reason and human feelings. This reviews the fact that the occurrence of floods is not solely connected with the law of nature, but also has something to do with social development and its impact on rivers and floods. This point of his was quite knowledgeable. In the first year of Yuanyou (1314) of the Yuan Dynasty, the executive secretariats in Henan and others wrote in their memorials to the throne: The silted areas revealed after the Yellow River has dried up are mostly occupied by the privileged. If flooding occurred by accident, flood water would have no course to follow, thus becoming a hazard. In this sense, it is not the river that seeks to attack humans, but it is humans who launch the attack. The floodplain, originally used to store the overflowed water from the Yellow River, was seized by the privileged people as farmland. Thus, when a flood struck, it

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would inevitably become a catastrophe. It can be seen that it was not the river that attacked humans, but it was humans who launched the attack. In other words, the river did not intend to become a menace to humans, but humans intruded into the territory of the river to find their own disaster. This statement was more straightforward. These understandings were strikingly similar to Jia Rang’s, both of which were put forward when people were driven into a corner in the battle against floods, using engineering means alone. These seemingly passive ideas contain a reasonable core, that is, if human society is to develop, humans must adapt to the objective law of floods in an active way. In other words, an effective mitigation of losses induced by flood disasters requires control of disaster factors caused by blind social development and adjustment in the way of land development and utilization. Of course, as humans’ engineering capacity of flood regulation is continuously enhanced, the socialization of disaster-mitigation will be different in scale and form.

6.1.4

The Diversion Strategy: A Scheme with a View to Flood Discharge

The earliest diversion theory was put forward in the late Western Han Dynasty. In the second year of the reign of Emperor Chengdi (32 BC), Feng Qun, the commander of Qinghe Prefecture, said that in his prefecture, the past several decades had seen nearly no severe flood disasters because there was a tributary Tunshi River on the main stream of the upper Yellow River. Now that the Tunshi River was silting up and the discharge capability of the trunk stream was not satisfactory enough, flood events became frequent and violent. Thus he proposed to reopen the Tunshi River in order to distribute part of the water power . . . help with river discharge and prepare for unexpected inundations (History of the Han Dynasty-The Annals of Channels and Canals (Vol. 29).).In the reign period of Wang Mang, Imperial Censor Han Mu held an opinion analogous to this. Pitifully, these ideas were not put into practice. In the Northern Song Dynasty, the Yellow River was equally disastrous. Besides such regular flood control measures as closing breaches, the river training schemes chiefly included restoring abandoned levees and digging branch rivers, the latter being the primary measure. There was a typical example of this. In the first year of the Qingli reign period (1041), the court hesitated about the scheme of dealing with dike breach at Henglong. Some argued for restoration of the abandoned course while others for opening a branch river. It happened that before the project was in place there appeared a new natural tributary on the main stream of the Yellow River (History of the Song Dynasty-Annals of Rivers and Channels (Vol.91)).At the news, the department in charge specially offered sacrifices at the temple. The exhilaration of the entire court reflected their preference to the strategy. In the Jin and Yuan dynasties, the North was the political center of the country, so Yellow River regulation also had the security of the North as the focus. Not only was the north bank of the Yellow River attached to great significance, with dikes and levees well constructed, but also the openings of

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tributaries were made in the south bank in conformity with the natural tendency that breaches often occurred on this side. In the eighth year of Dading of the Jin Dynasty (1168), the Yellow River burst its southern bank at Ligu Ferry, Huaxian County, Henan Province, resulting in Caozhou (in present Heze, Shandong Province) being destroyed by rush of water. After field investigation, the official who was sent by the government to look into the matter reached such a conclusion that flooding mainly occurred roughly in Caozhou and Shanzhou (in present-day Shanxian County). This region was characterized by underdeveloped agriculture and the inhabitants mostly living on aquaculture. “The river bank burst due to heavy sedimentation,” he said (History of the Jin DynastyAnnals of Rivers and Channels (Vol.27).). Closing the breaches in the dike could not guarantee its safety, so they decided to leave the newly emerging tributary as it was. That was an inevitable result under the guidance of the policy of “sacrificing the South to protect the North.” In the early Ming Dynasty, the diversion strategy remained to be the leading guideline of the Yellow River regulation. A typical example was a diversion demonstration made by Xu Youzhen (1407–1472). From the 13th year of the Zhengtong reign period (1448) onward, the Yellow River flooded for many consecutive years and broke the Grand Canal, resulting in the paralysis of water transportation. After several failed attempts, in the fourth year of Jingtai (1453), the government appointed Xu Youzhen to take charge of the management of the Yellow River and the Grand Canal. However, the court hesitated about the plan put forward by Xu and sent a messenger to question him about it. When the messenger arrived, Xu showed him two kettles, one with one aperture and the other five. Then he filled them with water and the latter dried up first. The messenger returned, the disagreement settled (Li Dongyang: Record of Yuehe River and Fuli Bridge in Su Zhou, Ming Jingshi Wenbian (Vol. 54)). His demonstration showed the importance of diversion to the improvement of discharge capacity. Undoubtedly, the diversion method would have an immediate effect on the discharge capacity of the lower reaches Yellow River. On the other hand, though, diversion reduced the amount of water in the river channel and flow velocity would decrease accordingly for equal cross sections. Since the sediment-carrying capacity of water flow is directly proportional to the high power of flow velocity, the decrease of flow velocity caused by division of flow would aggravate the sedimentation of river course. Consequently, the diversion scheme often faced opposition from the court officials. Su Zhe (1039–1112), one of the representative opponents, argued as follows. The Yellow River has such a feature: With a high flow velocity, it will flow smoothly, while with a low flow velocity, it will silt up. Since the river is not turbulent everywhere, isn’t it unsound to have two rivers running alongside? (History of the Song Dynasty-Annals of Rivers and Channels (Vol.92)) In the eighth year of Yuanyou (1093), Su Shi expounded on the advantages and disadvantages of diversion in terms of the sedimentation of the Yellow River. The diversion strategy is not just unprofitable but detrimental as well. Why? Because in every autumn the water level of the river will rise. Divided into two, the

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river may be free from inundations for the time being. This is the advantage of diversion. However, the Yellow River is so silt-laden that it is apt to sedimentation. Divided into two, the river will have to run at a lower flow rate. As can be seen, the northern branch of the river is silting up. This is the disadvantage of diversion (Li Tao: A Sequel to History as a Mirror (Vol. 481), Shanghai Classics Press, photocopy edition of 1985, P4493). These remarks penetratingly illustrated the inappropriateness of the diversion scheme. This was proved by fact. In the early Ming Dynasty, the diversion strategy was adopted for an enduring time, and by the reign period of Emperor Jiajing, the Yellow River had had as many as 13 tributaries. Failure of the scheme forced people to explore new possibilities of training the Yellow River. This was when Pan Jixun’s theory of “attacking silt with water” emerged.

6.2

Historical Conditions for Pan Jixun’s River Training Plan

In a few centuries from the Song Dynasty onward, diversion was the main guideline of Yellow River training. Particularly the Yuan Dynasty, for the stability of the North, where its capital was situated, and the Ming Dynasty, for the smoothness of the Beijing-Hangzhou Grand Canal, diversion on the south bank of the river was the primary river control paradigm. The main stream of the lower reaches fluctuated on a large scale between the Yinghe and Sishui rivers. As a matter of fact, the diversion scheme succeeded at the expense of flooding large areas south of the river. By the end of the reign period of Jiajing of the Ming, the river had incorporated as many as 13 tributaries, all in an extremely uncontrolled way. Yellow river regulation had actually entered a desperate situation, so fundamental changes had to be made in the strategies. Between (1566) and (1572) in the Ming, levees of hundreds of li were constructed successively and facilitated the confluence of the multi-branches of the lower reaches into the mainstream, thus embarking on a new phase of Yellow River regulation featured with “attacking silt with water.”

6.2.1

Natural and Historical Background

In the second year of Jianyan (1128) in the Southern Song Dynasty, the Yellow River shifted its course, initiating a 700-year-long history of its seizing the course of the Huaihe River into the sea. The Yellow River flows from west to east and the Grand Canal runs from south to north, so the two will intersect with each other on a horizontal plane. There was an interplay between the two and the Huaihe River, forming a complex hydraulic layout. From the reign period of Jiajing on, silting and uplift of the lower Yellow River bed not only made the flood control situation of the Yellow River increasingly serious but also caused the uplift and reverse flow of the Huaihe River and the canal.

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Complicated situation increased the complexity of water conservancy planning of the river.

6.2.1.1 Silting of the Yellow River Bed Increased the Difficulty of Flood Prevention Breaches of the Yellow River were unavoidable, but what the Yuan and Ming rulers dreaded was it would breach on the northern bank, in which case, the flood water would run across the Grand Canal at Zhangqiu, cutting off the artery of the southnorth transportation. Therefore, the primary mission of the feudal dynasties was to guarantee the transportation of a yearly 4000 thousand dan (an ancient unit of measurement, 1 dan ¼ 50 kilograms) grains and other important supplies to the north. The Taihang Levee constructed in the reign period of Hongzhi in the Ming under the supervision of Liu Daxia highlighted this concept. The safety of the North had to be guaranteed at the cost of the vast area between the Yellow River and the Huaihe River. Hence, the mainstream of the lower Yellow River shifted its course every few years or every few decades between the Yingshui River to the west and the Sishui River to the east. In addition, the trunk stream tended to adopt several river courses, flooding everywhere. Toward the end of the Jiajing reign period, the river channels along Xuzhou, Peizhou, Tangshan, and Fengxian and others ran paralyzed and unconstrained. In the 44th year of the Jiajing reign period (1565), on the Xuzhou section, the Yellow River, vast in area and apt to changes, “incorporated as many as 13 tributaries, some breaching, some reversely flowing to Xuzhou (History of the Ming Dynasty-Annals of Rivers and Channels, the annotated version of annals of rivers and channels of the 25 historic classics, P349.).” The people’s livelihood and water transportation were both severely threatened by the flooding of the Yellow River. 6.2.1.2 The Problem Revealed Itself Gradually: The Yellow River’s Flowing Reversely and Silting up the Huainan Section of the Grand Canal In the early Ming Dynasty, the Xuzhou-Huaiyin section of the Beijing-Hangzhou Canal drew upon the Yellow River channel for transportation. When the Yellow River breached its bank, the channel was blocked. For example, in the 44th year of the Jiajing reign period (1565), “The River burst its bank at Peixian County, more than 200 li of the river channel was silted up.” In addition, the rising of water level caused by sediment deposit after the Yellow River fixed its flow path would in turn cause flow backward and deposition of the Grand Canal. For example, in the third year of the Longqing reign period (1569), the Yellow and the Huai rivers rose simultaneously, resulting in sediment deposit of the Grand Canal as long as 30 li ranging from Tongji Sluice Gate, Qinghe County to Huai’an City. Afterward, Zhu Heng and Wan Gong were appointed to take charge of water conservancy. The repair they made as to the dike of the Xuzhou-Qinghe section of the river incurred more

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conspicuous reverse flow and sediment deposit and also imposed greater impact on the Grand Canal.

6.2.1.3 Uplift and Reverse Flow Incurred by the Yellow River to the Huaihe River For the first 400 years of the Yellow River seizing the Huai River course into the sea, it mostly scattered across the south bank. Silt scattering over a large area, sediment deposit was not conspicuous. Between 1566 and 1572 in the Ming, nevertheless, levees of hundreds of li were successively constructed on both banks of the Yellow River, merging the various branches of the lower reaches into one. Sediment deposit sped up, and the uplift and back flow incurred by the Yellow River to the Huaihe River became striking little by little. Whenever the Yellow River saw an abrupt rise in water level, the Huaihe River, since its channel was seized by the former, was forced to find another course. The Gaojia Dike, located southeast of the Hongze Lake, suffered from frequent breaches, leading to inundations in the lower reaches, devastating such places as Huai’an, Baoying, and Gaoyou. In the third year of the Longqing reign period (1569), both the Huaihe and Yellow rivers increased water level simultaneously, bursting the Shangli and Xinba dikes of the Gaojia levee, with rushing floodwaters devastating most of the lake banks in Baoying. In the initial period of the Wanli reign period, the Gaojia levee suffered from more frequent breaches. 6.2.1.4 The Ming Tomb Increased the Complexity of Water Conservancy Planning The Ming Tomb was located in Sizhou (to the north of present Xuyu), the estuary where the Huaihe River drained into the Hongze lake. The uplift of the Huaihe River caused by the Yellow river directly resulted in water level rise of the Hongze Lake, forcing the lake to expand to the upper reaches and posing a threat to the Ming Tomb. This was, of course, a taboo to the royal family. Therefore, the protection of the tomb from being flooded was a must in regulating the Yellow and Huaihe rivers, which added to the difficulty of river management.

6.2.2

Scientific and Technical Conditions

6.2.2.1 Understanding of the Yellow River Silt The ancients were aware of the Yellow River’s being silt-laden as early as the Han Dynasty. Zhang Rong of the Han period pointed out, “The Yellow River was so high in silt that almost six out of every ten buckets of water was silt.” (Records of Emperor Taizong of the Ming Dynasty (Vol. 132)) In the Song Dynasty, further analysis and research were made concerning its deposition and the law of its levee breaches. Ouyang Xiu said, “There are such large quantities of silt in the river that it is impossible for the river not to get silted. Silt flows downstream and gradually causes the silting up of the lower reaches, resulting in levee breaches in the lower places upstream. Such is often the case (An Outline of River Control-On Dikes Construction

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(Vol.3), P85.).” The silt of the Yellow River was also utilized for irrigation on a large scale. The Song period also witnessed an invention of an excavator called “iron dragon-claw mud raiser,” reflecting people’s attempt to dredge the silt in the river channel. The predecessors’ understanding of the seriousness of the Yellow River silt provided a fundamental basis for a strategic shift from mere flood prevention to silt management.

6.2.2.2 Understanding Water-Silt Relationship It was also in the Han Dynasty that people had a knowledge of the relationship between flow rate and sediment-carrying capacity. The Minister of War, Zhang Rong in the reign period of Wang Mang, pointed out, “With water flowing downstream, torrents will scour deeper and slow water will scour shallower.” (An Outline of River Control-On Dikes Construction (Vol.3), P85) This remark means that the larger the flow velocity is, the stronger the sediment-carrying capacity of the current is, and the river channel will be scoured and gradually deepened. If the flow velocity is small, the river channel will be silted up and gradually become shallow. Up to the Song Dynasty, Zhang Rong’s judgment about the Yellow River, which was deemed as typical of the river, was more widely accepted and developed. In the third year of Yuanyou in the Northern Song Dynasty (1088), Su Zhe said in his memorial to the emperor, “The Yellow River has such a feature: With a high flow velocity, it will flow smoothly while with a low rate velocity, it will silt up (An Outline of River Control-On Dikes Construction (Vol.3), P85).” In the following year, Fan Bailu, Zhao Junxi et al. pointed out, “On a flat river bed, the river will flow slowly, leaving behind silt whereas on a slope, the river water will gush violently, scouring out silt (An Outline of River Control-Explanations of the Entire River Atlas (Vol.3), P85).” The relationships between river bed slope and flow velocity, velocity, and deposition were further elaborated. 6.2.2.3 Understanding of the Dynamic Function of Levees In addition to flood prevention, levees can also change the flow pattern (flow velocity and direction, etc.) of water according to people’s will. The ancients had a knowledge of this no later than the Western Han Dynasty. In his three strategies of river training, Jia Rang pointed out, “A stone levee was built on the northern HeneiLiyang section of the river, forcing the river to flow eastward to Pinggang; a second stone levee was constructed to compel the river to flow northwest to Liyang and Guanxia; a third stone levee was made to spur the river to run northeastward to Jinbei, Dongjun; a fourth stone levee was in place to lead the river northwestward to Zhaoyang; a fifth stone levee was erected to guide it to flow northeastward. In a section of over a hundred li, the river ran zigzag under the force of the levees (Jin Fu: River Control Strategies-On River Control-Dikes Construction (Vol.9)).”This cited paragraph embodied the dynamic function of levees to river pattern. By the reign period of Emperor Mingdi in the Eastern Han Dynasty, people had a deeper knowledge of this dynamic function of levees. In April, the 13th year of Yongping (70), on the completion of the Bianqu Channel, Emperor Mingdi pointed out in his imperial edict, “If the left levee is strong, then the right levee will be

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impaired; if both the left and right levees are strong, then the downstream places will be impaired (Imperial Decrees by the Qing Emperors, Supplement to Xingshui Jinjian (Vol.7).).” The Song Dynasty went further by applying this knowledge to dike construction, putting spur dikes and tip-stake facilities into use. In shallow places, “to make it saw-toothed to restrict water force” or “to build wooden banks to restrict water force to facilitate its scouring (Manuscript of Annals of Rivers and Channels, Supplement to Xingshui Jinjian (Vol.12)).” This was actually preliminary practice of “attacking silt with water.” The above-stated knowledge in the foregoing dynasties laid a direct theoretical foundation for the birth of the theory of “attacking silt with water” in the Ming Dynasty.

6.2.2.4 Understanding of the Hydrographic Features of the Yellow River Some hydrographic features attracted people’s attention in the Western Han period. Up to the Song Dynasty, floods were recorded in terms of season and causes of floods were also analyzed. Song people named floods according to phenological phase laying a foundation for further observation of the Yellow River by later generations. In particular, the terms “ice flood” “midsummer flood” and “autumn flood,” which evolved from the names given by the Song people, played a significant role in flood prevention and river management according to flooding features. One of the reasons why Pan Jixun’s school, who argued for attacking silt with water, opposed the diversion scheme was that the Yellow River was not only silt-laden but also had an unsteady pattern of rising and falling and short period of flood peak, all of which were simply based on the predecessors’ knowledge of the hydrographic features of the river. 6.2.2.5 Increasing Maturity of Dikes Technology In China, dikes, which appeared no later than the Zhou Dynasty, reached a relatively large scale in the Warring States Period. By the time of the Ming, dikes technology, after 2000 years’ improvement and development, had become increasingly mature in terms of dike system, planning, dike construction technology, acceptance methods, dike protection workers, building affiliated sluices and dikes, repair and guard system, and breach closure technology. Records of River Control in Zhizheng Period wrote as follows. The construction of river dike has several types: dike construction, dike renovation, and dike mending; river dikes are also of various types, water-piercing dike, cross-river dike, bank-protecting dike, front dike, and stone ship dike; there are various facilities for defense and breach plugging, made of earth, stone, iron, bamboo, grass, wood, etc. There were different types of fascine works made of different materials for different purposes, directly providing theoretical and practical basis for dike construction of the Ming Dynasty. It is worth mentioning that the concept of “levee widening for the constraint of floodwater” held by Ren Boyu of the Song Dynasty was inherited by those in favor

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of constructing distant dams (yaodi) in the Ming Dynasty. Liu Tianhe and Pan Jixun mentioned this clearly (Liu Chengzhong: A Preliminary Discussion on River Control, a Jia-Shu version in the Tongzhi reign-period.). The various types of dike, such as the distant and front dikes, lattice dike, and semilunar dike, which emerged and got completed in the Ming Dynasty, began to take shape in the Song-Yuan period. Owing to the river control projects year in and year out, the various aspects of dikes construction technology had been mastered by the masses along the river, thus preparing a mature construction team for dikes construction. Therefore, up to the Ming Dynasty, dikes construction became the chief technologically mature means of regulating the Yellow River.

6.3

Pan Jixun’s Plan of Yellow River Training and Its Remarkable Results

Pan Jixun (1521–1595), a native of Zhejiang Province, was appointed DirectorGeneral of the Grand Canal (Zongli Hedao) for the first time in the 44th year of the Jiajing reign period (1565), and he held this post for three terms till the 22nd year of the Wanli reign period (1592). After he had accumulated rich experience, in his third term (1578–1583), he vigorously promoted his river control plan with the support of Prime Minister and proactive reformist Zhang Juzheng. His strategy of fighting the Yellow River had a lasting impact on later generations. His contributions to science and technology in river control were chiefly manifested in three aspects: attacking silt with water, storing clear water to scour out sediments, and using silt for dike consolidation. In the practice of river control, he implemented a complete dike system consisting of four types of dikes, namely, the distant dike, front dike, lattice dike, and semilunar dike, and a “prevention-and-defense” method of managing dike construction teams. The theory of attracting silt with water occupied an important position in the Chinese history of river control. Furthermore, in the late-Ming and Qing period, it was the leading thought of Yellow River regulation. It is valuable and reasonable primarily in the following aspects.

6.3.1

Grasping the Peculiarity of the Yellow River

From ancient to modern times, failure cases were too numerous to enumerate through neglect of the characteristics of the Yellow River of being silt-laden, liable to deposition and having dramatic rises and falls. Pan Jixun, however, was able to grasp the peculiarity of the river and tackled the problem from the standpoint of combating silt.

6.3.1.1 Analysis of His River Control Guidelines Prior to Pan Jixun, river control guidelines had water control as a single objective. Da Yu’s dredging nine rivers, according to a legend, was intended to divide waters and control floods.

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Embankment, which emerged later, was also aimed to prevent floods. In the Song Dynasty, people had a deeper knowledge of how serious the Yellow River was siltladen and what the law of sedimentation was like and also sought to dredge the channels drawing upon mechanical tools. Yet, in terms of river control thought, they were still in favor of dike and diversion strategies. People in the Yuan Dynasty made a systematic sorting out and analysis of the three strategies adopted by predecessors. Nevertheless, their standing point remained to be abating floodwater. As time progressed into the Ming Dynasty, those important hydraulic figures such as Bai Ang, Liu Daxia, and Liu Tianhe were aware of storage capacity of river beds. Their opinion of diversion, nevertheless, was also based on the concept of abating floodwater, neglecting the fact that the Yellow River was quite silt-laden. It was Pan Jixun who gradually upgraded combating silt to a guideline for the Yellow River training, shifting from the millenniums-long concept of mere water control to a strategy of combination of silt control and water control. Well aware of the seriousness of Yellow River sedimentation, he emphasized repeatedly, “The yellow currents are most turbid. If we measure the water with buckets, six out of ten buckets are silt.” Based on the knowledge of his predecessors and his own practice, he eventually put forward the guideline of restricting water with dikes and attacking silt with water, the thought of fighting the Yellow River by drawing upon the Huaihe river and scouring silt with clear water, as well as concrete measures of using silt to level the inland and using silt to fill floodplain and strengthen dikes. For the first time, the strategy of Yellow River control fell on the starting point of attacking silt, scouring silt and using silt, which was a pivotal turning point in the thoughts of Yellow River training.

6.3.1.2 Diversion of Silt-Laden Rivers In view of the river’s peculiarity of being silt-laden, Pan Jixun was opposed to the diversion strategy. He argued, “Useful as the diversion method is, it is applicable to clear-water rivers, not to a turbid river like the Yellow River (Pan Jixun: An Analysis of the River Situation, Memorials to the Emperor by Director-General of the Grand Canal (Fourth term, Vol.6), P13).” “From Lanzhou downstream, the yellow river is quite silt laden.” “diversion will reduce flow velocity; thus, as the river flows, silt will be left behind. Little by little, the river will silt up.” “Once a new tributary is added to, the mainstream will surely silt up (Pan Jixun: Heyi bianhuo, An Outline of River Control (Vol.2), P60.).” Here, Pan Jixun distinguished the Yellow river from clear-water rivers. In his view, the governance method of a silt-laden river should not be exactly the same as that of a clear-water river. In his second term, he explicitly opposed to the diversion method. In 1570 and 1571 respectively, the Yellow River burst its bank many times at the Pizui River section. At that time, someone proposed making an opening in the south bank for the sake of water transportation, but Pan Jixun strongly opposed this proposal. He explained, “In no other season than autumn it is appropriate to divide the flow of a river, in autumn, the river has more problems than usual. Every ten buckets of river water contain about six buckets of silt. Small amounts of water will have weaker

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force, thus leaving silt behind. Therefore, levee breaches must be closed up, otherwise, it will be difficult for the trunk stream to go deeper and wider (Pan Jixun: On the River Dredging, Memorials to the Emperor by Director-General of the Grand Canal (Second term, Vol.3), P5).” Consequently, he had all the breaches closed up, forcing the waters back into the original channel. In his fourth term, someone asserted opening a tributary river at Zijiaying in order to divide the flow. After field investigation, Pan concluded that although the route was well chosen, he was strongly opposed to this suggestion. He said, “It is not feasible not just for financial reasons but also because of a concern that a tributary will seize the main stream (Pan Jixun: On the Restoration of the Old Yellow River Channel, Memorials to the Emperor by Director-General of the Grand Canal (Fourth term, Vol.1), P65).”He cited historic evidence to illustrate his point. “It is common knowledge that a river should not be divided. Many years ago, officials such as Liu Daxia, Liu Tianhe, Wang Yiqi made attempts to dig a tributary river to divide the flow or to dredge Zhaopizhai to discharge floods or to make an opening in Lijing section. All these attempts ended in failure, with the channels silting up. These should be lessons for us to learn from (Pan Jixun: On the Hydraulic Works at Zijiaying, An Outline of River Control (Vol.11), P317).”For that reason, Pan Jixun rejected the proposal. It happened that there occurred a levee breach at Zijiaying in the lower reaches. Considering that the breach was not on the transportation route nor a menace to the fields, (Qian Ning, Zhou Wenhao: The Evolution of the River bed of the Lower Yellow River, P98) he agreed to leave the breach open for the sake of flood discharge. That was probably the mere breach that was left open by Pan Jixun in his entire flood control career. His excuse for this exception was that he utilized the breach as a dam for releasing flood water. To sum up, Pan Jixun was not in favor of using a new branch to abate floodwater, and he made explanations from the perspectives of both theory and practice. In terms of practice, he enumerated cases of failure due to using the diversion method and warned people of the serious effects induced by dike breaches after opening a tributary. He intended to explain the law of the Yellow River: being silt-laden and liable to deposition. In terms of theory, he also approached the problem, believing that diversion led to reduced amounts of river water, which would “abate the floodwater and leave silt behind.” At that time, it was impossible to do scientific experiments about sediments, but diversion cases in history were simply prototype tests. The historical facts cited by Pan Jixun were impeccable. According to the research carried out by modern sediment experts, the sediment-carrying capacity of the lower Yellow River is roughly proportional to the square of river discharge. Then, diversion will result in a sharp drop in parabola of the original sediment-carrying capacity of the river bed, accelerating deposition. Therefore, Pan Jixun’s theory that “reduced amounts of water will have weaker force, thus leaving silt behind” conformed to modern theory of river dynamics. This is certainly qualitative (Qian Ning, Zhou Wenhao: The Evolution of the River bed of the Lower Yellow River, P98).According to the law of natural erosion and deposition of the Yellow River itself, it is generally thought that “big currents silt floodplain and small currents silt channels”; diversion,

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nevertheless, diverts the amount of water that suffices to scour the channel and silt the floodplain, thus going against the natural law of erosion and deposition. Hence, Pan Jixun’s opinion that a silt-laden river should not be divided is worth researching into and attaching significance to.

6.3.1.3 Flood Discharge of a Flood Diversion Dam Pan Jixun opposed the diversion of the Yellow River, but not flood discharge. Generally speaking, the Yellow River has a poor storage of water, with high water occurring in the short period of flood season. In Pan Jixun’s opinion, if diverted, the river would suffer from increased silting, leading to the channel of the main stream being seized; besides, for most of the time in a year, there was no need for a diversion, and it would not be worth the enormous expenditure and labor invested into it. Grasping the hydrological features of the Yellow River – extremely imbalanced distribution of discharge over the seasons, dramatic flood peaks in a short period – Pan proposed to construct dams for releasing floodwater for the following reasons: Firstly, flood peaks which posed a threat to dikes could be abated; secondly, the river bed could be scoured without causing levee breaches; thirdly, it would cost small amounts of time and labor. This was another example of Pan’s good intentions and unique insights. This is how Pan described the role of a reduction dam: “The Yellow River is not suitable for diversion due to its turbidity, but in flood season, namely, dog days and early autumn, the river is bound to rise dramatically. With both the banks constrained by dikes, flood water cannot be discharged, so inundations cannot be avoided.” A flood diversion dam, nevertheless, is lower than the dike by two or three chi but wider than the latter by over 30 zhang (a unit of measurement, 1 zhang ¼ 10 chi ¼ 3.333 meters). In the event that the river floods, overflowed water will enter the flood diversion dam so that within the dam it is always full, without causing silting up of the river; outside the dam, flood water can be discharged, without causing dike breaches. In this way, the dike can be protected without having to divide the river (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol. 7), P175.). “Within the dam it is always full,” “it can be used to scour silt,” “Outside the dam, flood water can be discharged,” these statements showed how the flood diversion dam worked. This is just what the dam was designed for. Pan Jixun emphasized again and again that the flood diversion dam was intended to fight flood water in flood season. He said, “In hot summer days and early autumn, flood water tends to fill the channel. In case that the flood water overflows the river bank, a flood diversion dam is designed to abate flood water (Pan Jixun: General Rules for River Conservancy, An Outline of River Control (Vol.4), P175.).” “It is aimed to prevent extraordinary flooding, not to divert water at ordinary times (Chang Jujing: On the Checking of River Works, An Outline of River Control, (Vol.2 Heyi Bianhuo, P64.).”This is a notable difference between a flood diversion dam and a diversion tributary. Furthermore, discharge from a flood diversion dam also differs from that of an artificial breach. “In an artificial breach, the silt is so soft that it is apt to scour, thus

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affecting the whole river.” Whereas, a flood diversion dam “has a stone surface, which is not apt to scour, so only surplus water will be discharged. When water level drops, the river returns to normal (Pan Jixun: Heyi Bianhuo, An Outline of River Control, (Vol.2) P63.)”. As far as its function is concerned, a flood diversion dam is equivalent to today’s spillway. As far as its body is concerned, Pan Jixun called it “water rolling stone dam” (Gunshui Shiba). In effect it was a broad crested downflow weir. The dam, 65– 90 centimeters high, had a crest 4 meters in breadth, equivalent to a weir. Overflow facilities were applied to water conservancy projects as early as the ancient projects such as the Dujiang Weir and the Lingqu Channel. These spillway projects were designed only to control the lower limit elevation of the overflow, rather than the upper limit elevation, namely, the maximum flood discharge section (or water depth). The flood diversion dam on the Yellow River required not only a control of the appropriate lower-limit flood elevation but also that of the water depth in the dam, or maximum flood discharge. Otherwise, the security of the dam could not be guaranteed. This is in line with the requirements for spillways in modern water conservancy projects. Pan Jixun made a remarkable step toward this goal as early as 400 years ago, marking a relatively high level attained in Chinese hydraulic technology at that time.

6.3.2

Restricting Currents to Attack Silt-Pan Jixun’s Basic Principle of Combating Silt

Pan Jixun was not only aware of silt being the main contradiction of the Yellow River, but also advocated using the natural law of water-silt relationship to tackle deposition of the river. Following his principle “attacking silt with water,” he came up with a systematic theory and devised a complete set of concrete measures. He objected to regard human labor and mechanical dredging as the fundamental way to fight sedimentation. He argued, A river, if deep, may be six or seven zhang and, if shallow, may be three or four zhang; if broad, may be one or two li, and, if narrow, may be 170 to 180 zhang. Silt is laden with it, measured in millions of buckets. If human labor is employed to dredge it, thousands of laborers have to work for months, not to mention where the silt should be carried to. Even if the silt can be cleared, with no dikes, flood water will overflow again and silt will be left behind again. How can silt be removed by human labor? (Pan Jixun:Heyi Bianhuo, An Outline of River Control (Vol.2), P61.) In a nutshell, he held the view that dredging the river by human labor was a waste of labor and money, and as far as the dredger is concerned, he thought that it could be used for dredging the Grand Canal, but it would not work for the Yellow River. He argued that if the natural force of water was utilized for scouring silt, then it was like “pouring hot water onto snow.” “If we construct dams to constrain flood water and use water to attack silt, then the water will scour the river bed without overflowing the banks. A certain amount of water is bound to produce such an effect (Pan Jixun:Heyi Bianhuo, An Outline of River Control (Vol.2), P62.).” This is the

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famous theory of “attacking silt with water,” widely known in the field of Yellow River control. A careful study of all his discussions on the topic, including the meaning, effect, practical significance, etc., gives us a feeling that the topic is well worth exploring.

6.3.2.1 The Initial Phase of “Attacking Silt with Water”: A Focus Solely on Front Dike Restricting Currents Learning lessons from the predecessors, Pan Jixun created the theory, developed it in practice, and made it systematic and perfect. In his second term, he had had a deep understanding of the water-silt relationship, arguing that breach prevention was the first step toward preventing the channel from silting up. He proposed to “construct nearby dikes to constrain currents and distant dike to prevent breaches.” “Nearby dikes” referred to “front dikes.” The construction of distant dams failed to be put on the government’s agenda for the following reasons: water transportation was the top priority; financial conditions and others restricted its construction; and people failed to predict the problems that would occur by using the single strategy of building front dike for river control. Therefore, the construction of front dike alone was taken into consideration. Zhu Heng and Wan Gong also advocated to build front dike to control the river. Wan Gong, in particular, vigorously advocated to use dikes to accelerate water flow for scouring river bed silt. Under his supervision, a 185-kilometer-long front dike was added to the original works at Xuzhou-Suqian section and also linked the dike between Cao, Feng, and Dang. “Attacking silt with water” meant that front dike was utilized for restricting currents, narrowing river bed section and improving the sediment-carrying capacity of currents, thus resolving the problem of river bed deposition. These were universally accepted by those who argued for the theory. Using front dike alone to constrain flood water was the preliminary phase of applying the theory to practice. 6.3.2.2 Resolving the Contradiction Between Attacking Silt and Flood Prevention: The Establishment of a Double-Pair Levee System New problems arose after front dike were used to constrain flood water: In order to constrain flood water, the front dike were constructed along the very banks of the river. River cross section was thus made too narrow to store enough flood water and led to dike breaches. Once there was a breach, the river channel will soon be silting up. Pan Jixun explicitly pointed out: The security of the Yellow River depended solely on front dike, which were too near the river beaches and narrowed the river course. Whenever it was flood season, the dike would be destroyed, and devastating flood water overflowed a massive area (Pan Jixun: On the Completion of the River Work, An Outline of River Control (Vol.8), P209.). The reason why a front dike was apt to breaches was that it produced a narrow cross section of the river (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol.7), P173.).

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Pan Jixu summarized the past lessons, “Over the years, not a single day was spent without repairing dikes and not a day was passed without worrying about dike breaches” (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol.7), P166.). If the dike was thin or mixed with sand, it was a matter of cross section size and construction quality. Yet, too narrow dike spacing was just a matter of levee spacing in planning. Later, Pan stressed for many times that “front dikes cannot guarantee safety”. For the sake of fighting silt, the dike spacing must be as small as possible in order to create high flow velocity. For the sake of flood prevention, though, the cross section must be bigger so as to hold more flood water. How could we guarantee that silt could be scoured without causing levee breaches? That was the contradiction between silt-attacking and flood prevention. Consequently, in his third term, Pan Jixun gave another solution – a double-pair levee system and advocated to build distant dams. He attempted to resolve the contradiction between the two by combining the use of front dike and that of distant dams, the former restricting currents and attacking silt and the latter stopping floods and preventing embankment breaches. He suggested “consolidating Fengpei front dike, Taihang distant dam and the front dike in and around Xupi according to their actual situation.” “Narrow sections of the old banks in and around Xupi should be transformed into semilunar dike” in order to constrain water; simultaneously, special stress should be put on building distant dams at “the low-lying sections liable to breaches” (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol.7), P167, 174.) in case of breaches. Pan Jixun compared his thought of the double-pair levee system to “build doors within gates to await bandits”: “Now that the distant dam has been completed, and for the six hundred li from Xuzhou to the Huaihe River, two levees were in place, ... They wind their way as if a mountain embraces a river. Even if there are extraordinary flooding and the front dike fail, we still have the distant dam to stop the overflowed water. Floods will abate bit by bit under the effect of dike and levees until flood water recedes into its original channel. It seems as if we have built doors within gates to await bandits, who will certainly find it difficult to break into the house; or it seems as if we put on more cotton clothes, then cold will surely be kept out.”... Although we cannot make sure the river does not overflow, we can ensure that the main stream will not be seized; although we cannot make sure the front dike is safe and sound, we can ensure that flood water stops at the foot of the distant dam (Pan Jixun: On the Completion of the River Work, An Outline of River Control (Vol.8), P209–210). He summed up the functions of the front dike and the distant dam as follows, “The distant dam is designed to stop overflowed water, with the focus on defense; the front dike is aimed to constrain currents, with the focus on scouring (Pan Jixun: A Report to Three Provinces on the Dike Completion, An Outline of River Control (Vol.12), P376).” According to Pan Jixun’s planning, the double-pair levee system, the front dike could constrain river water to attack silt at ordinary times; the distant dam could stop overflowed water from breaching banks at extraordinary times, and meanwhile,

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scouring process still went on in the main channel. Compared with a single type of dike, the river channel was more stable and could produce a better silt-attacking effect. Hence, the establishment of the double-pair levee system marked an important step forward toward solving the contradiction between silt-attacking and flood prevention in their attempt to implement the policy of “attacking silt with water” under the social conditions.

6.3.2.3 Subtle Changes in the Meaning of “Attacking Silt with Water” The establishment of the double-pair levee system also brought a series of problems. Firstly, front dike required frequent repairs due to frequent bursts, becoming a heavy burden to policy makers. Secondly, the migration of the residents along the dike was quite troublesome, threatening the security of dike. Thirdly, the safety of distant dams themselves was threatened by undermining floodwater after front dike burst. These problems impelled Pan Jixun to appeal to distant dams more often than not. In his third term, as a matter of fact, Pan had a negative attitude toward front dike concerning the Taoqing section, which had a narrow cross section. He remarked, “On the north bank from Gucheng to Qinghe, a distant dam should be in place. It is not necessary to discuss about a front dike since it is a waste of labor and money (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol.7), P164.).” Later, he showed his favor for the Lingbi double-pair levee system by saying “It is appropriate to abandon the front dike and defend the distant dam (Pan Jixun: Critical Points in the Waterways, An Outline of River Control (Vol.3), P87–88).” Of course, it was painful for Pan Jixun to abandon front dike at a point, since this involved something more important – whether his policy of “attacking silt with water” could be thoroughly implemented. Hence, though he pointed out the demerits of front dike very early and advocated vigorously to construct distant dams, he strengthened 50210.5 zhang (equivalent to 167,370 meters) distant dams at the Xuzhou-Qingkou section. This indicated that in his fourth term, he was initially persistent in his thought of the double-pair levee system so as to implement his policy of “attacking silt with water.” It must be pointed out, nevertheless, Pan Jixun relied more on distant dams in his river control practice due to the increasing demerits revealed of front dike, so his interpretation of “attacking silt with water” changed subtly. In summarizing his own river control thoughts, he declared, “There is no secret to river control other than restricting river water within the channel. There is no secret to constrain river water other than building strong dikes. . . .If the levees and dike are strong, the river will not flood and naturally come back to its channel. If so, river water will not overflow and go downward to scour out the silt. It follows that the channel will become deeper and the river will be diverted into the sea (Pan Jixun: Statements about General Rules For River Conservancy, Memorials to the Emperor by Director-General of the Grand Canal (Vol. 4. First term), P24).” At this time, Pan Jixun gave top priority to “restricting currents to return to the channel.” In his opinion, if river water did not return to the river channel, attacking

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silt with water would become empty words. Front dike are not quite equal to this task, so we must appeal to strong distant dams. Yet, a distant dam could not “force” water but “stop” water, then how could the concept of “attacking silt” be explained? As he remarked, “River water will not overflow and go downward to scour out the silt,” “river water that does not overflow both banks will surely scour the river bed.” He deemed this as “inevitable”; if water flows, silt will flow; if dike bursts, the river will silt up. “Drawing upon water to attack silt and regulate water with water. It is bank bursting not silting up should be a concern to us (Pan Jixun: An Introduction to the Mint-mark Version of an Outline of River Control, An Outline of River Control, P2).” Obviously different from “forcing water to scour,” Pan’s explanation to “attacking silt with water” focused on “stopping floodwater.” The term “to constrain” was given a wider range of concepts. He was not retreating from his original policy but had a feeling that the double-pair levee system was not sufficient to solve the contradiction between silt attacking and flood prevention. Therefore, he had to seek for a theoretical basis for his turning to the distant dams. When a distant dam stopped flood water, the main stream would swing between the levees, causing deposition. Pan Jixun thought it did not matter much. In the 22nd year of the Wanli reign period (1592), when he was to leave his post, he explained the problem this way, “Rapid water scours deep while slow water scours shallow. A river may be deep here and shallow there, so it will not affect transportation (Pan Jixun: An Analysis of the River Situation, Memorials to the Emperor by DirectorGeneral of the Grand Canal (Vol. 4. Sixth term), P17.).”His series of insights afterward seemed to show that, on the one hand, he was reluctant to give up the policy of “attacking silt with water” but that on the other hand, he was well aware of the big challenges he had met in implementing his policy. Thus, he sought to find a reasonable explanation as to the imbalance between theory and practice. Meanwhile, this spurred him to explore other means of combating deposition. When the contradiction between attacking silt and flood prevention became sharp, it was impossible to solve the two problems all at once due to limitations in scientific and technological levels. As a result, though Pan Jixun advocated to “attack silt with water” in theory, he gave top priority to building distant dams and fixing river courses in practice. That was not only the prerequisite of attacking silt, but, most importantly, social requirements for stable flow route guaranteed water transportation and reduced hazards.

6.3.2.4 The Results of Attacking Silt with Water The application of the theory of “attacking silt with water” to a short section produced conspicuous results, but when it was applied to a long section, how well did it work at all? The Xuzhou-Qingkou section was Pan’s testing ground for his theory. Wan Gong tested his own thought on this section of river as well. Prior to his second term, the Xupi section burst its banks, resulting in silting up to 180 li and more than a thousand ships and boat were delayed. After Pan came to office, he had all the breaches on the banks closed up, guiding the river back to its

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channel, dug small channels for discharge, and drew upon the force of water to scour silt. These measured produced remarkable effects. In his memorial to the court, he wrote, “The section from Xuzhou eastward was very deep and broad. At some point, it may be more than 200 zhang in breadth and 3zhang in depth. Last summer, the river was filled with silt. We dredged less than one tenth of the silt, and the rest we put under the force of currents. ...Based on the situation in April, we may envisage that in May, only one third of the silt will remain and shallow places will undoubtedly be scoured out. What is more, with all the breaches closed, the river will wash away the silt with all its might, so within several days, the river will return to its original state (Pan Jixun: On Grain Transportation, Memorials to the Emperor by Director-General of the Grand Canal (Vol. 3. Second term), P1–2.).” In the year when the front dike was completed, there was an extraordinary flood in flood season. Local people witnessed it and said it was higher than it was last year by three chi, but it reached only the foot of the levee and abated quickly. Pan Jixun explained, “This is because water scours from the bottom and if silt is removed, the river becomes deeper,” “The river can stand the test (Pan Jixun: Kai fu gong wan shu, Memorials to the Emperor by Director-General of the Grand Canal (Vol. 3. Second term), P15).” However, the dike breached in the following year due to narrow spacing and poor quality construction. That was a good example of using front dike alone to fight silt. It showed that front dike were indeed able to restrict currents to scour silt, but it had poor storage capacity. Once a flood exceeded the storage capacity of the dike, breaches would happen and soon silted the river course. Here, the contradiction between silt attacking and flood prevention was primarily a matter of dike spacing. Here is a good example of the theory “attacking silt with water” being put into practice. In his third term of Director-General of the Grand Canal, after he implemented the policy of “building doors within gates to await bandits,” he had the Xuzhou-Qinghe section of the distant dams extensively repaired to work together with the front dike and the flood diversion dam for flood discharge. The year when the levee was completed, “The river level rose dramatically in the flood season, but due to the constraint from the distant dams, the Taoqing section was safe and sound, with the flood water retreating to the main river course soon. The river became deeper because of the silt being scoured out and washed away, making the river bank seem to be higher. In the previous years, the Taoqing River was too muddy to use an oar in the river, but now it was unfathomable, making the banks appear to be remarkably high. On the upper reaches, at the Luliang section, rocks were revealed and the currents were rapid, the river returning to its original fine state. In and around Xupi, the river, which used to be a barge pole deep, now measures seven or eight zhang in depth anywhere. The residents along the banks are now free from sufferings from floods (Means of River Control An Analysis of the River Situation, Xingshui Jinjian (Vol. 27), P403–404.).” At that time, an hydraulic engineering inspector Yin Jin, after investigating the river work, wrote in his memorial to the emperor, “The present tamed river should always remind us of its past fierceness (Pan Jixun: On the

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Completion of the River Work, An Outline of River Control (Vol. 13), P210.).” This remark suffices to show a sharp contrast between the past and the present. Afterward, another memorial also stated that since Pan Jixun took charge of hydraulic works, “For five or six years, the region witnessed no inundations (Xingshui Jinjian (Vol. 30), the eighth year of the Wanli reign period).” This period was also appraised by others as being characterized by “safe river course and smooth grain transportation (Xingshui Jinjian (Vol. 31), the 15th year of the Wanli reign period.).” Historical records also showed that during the decade from the seventh year of the Wanli reign period, the Xuzhou-Qinghe section saw no breaches or flooding. In comparison with the yearly breaches and deposition in the previous years, this was a notably great achievement and, undoubtedly, played an important part in the national economy and people’s livelihood. That was a real example of utilizing a double-pair levee system to fight deposition. It shows that the double-pair levee system did make a big step forward in solving the contradiction between attacking silt with water and flood prevention. An apparent success had been achieved in stabilizing river course and guaranteeing the effects of restricting currents and scouring silt. Front dike, though, were not satisfactory enough to fight floods. That was why Pan Jixun turned to distant dams for solution in practice. Until today, the lower Yellow River has been guarded by both front dike and distant dams.

6.3.3

Scouring Silt with Clear Water: Another Thought for Solving Deposition of the Yellow River

Basic principle as it was, attacking silt with water was not the mere measure available. Scouring silt with clear water was another important thought he held of fighting deposition. The former was chiefly used to solve the deposition from Qingkou upstream, while the latter the deposition from Qingkou downstream to Haikou. Situated in the west of Huai’an City, Jiangsu Province, Qingkou used to be the confluence of the Yellow and Huaihe rivers and the Grand Canal in the Ming-Qing dynasties. It was a pivotal point at the south-north water transportation route and a necessary passage for the Yellow and Huaihe rivers flowing into the sea. The section from Qingkou downstream to Haikou, Yunti Pass used to be the abandoned course taken by the Huaihe River flowing into the sea. From the mid Jin Dynasty onward, when the Yellow River seized the course of the Huaihe River into the sea, Qingkou became the necessary passage for the two rivers entering the sea. By the beginning of the Wanli reign period, the Yellow River had followed the course for approximately 400 years. Due to sediment concentration and the super-elevation of the Yellow River, the then Huaihe River had poured into the Hongze Lake before it met the Yellow River. By the Longqing-Wanli period of the Ming, deposition at Qingkou and the entire estuary had become very severe, posing a fatal threat not only to water

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transportation but also to the region along the Huaihe River and the lower Yangtze River due to levee breaches. In view of the above-stated situation, Pan Jixun put forward a plan of comprehensively addressing the problems with the Yellow River, the Huaihe River, and Qingkou.

6.3.3.1 Utilizing the Huaihe River and Merging both Waters In the sixth year of the Wanli Period, when Pan Jixun was in his third term of Director-General of the Grand Canal, it happened that the Yellow River burst its bank at Cuizhen Town and rushed northward, and the Huaihe River breached at Gaoyan and rushed eastward, and Qingkou was clogged with silt, and the section downstream Qingkou was silted up, leaving only a ditch of water, and Haikou also suffered from silting. Despite many people’s opinion that these problems should be addressed by means of dredging, Pan Jixun adopted a quite different policy. Besides closing the Cuizhen breach, constructing distant dams along the Yellow River and guiding the river into its original channel, he also plugged levee breaches on the Hongze Lake and constructed the Gaojia Dike, guided the Huaihe River to flow via Qingkou so as to guarantee the confluence of the Yellow and Huaihe rivers and washed silt down into the sea. He said, “If the Yellow River does not have breaches, then it will be dedicated to scouring the silt in the channel; if the Huaihe River does not have breaches, it will be dedicated to merging into the Yellow River. If the forces of the two rivers are combined and every drop of water flows eventually into the sea, then the rivers will become forceful and dedicated, silting downstream will naturally be removed. When the downstream become free from silting, then the upstream silting will naturally be cleared. The sea will become clear and the rivers will become deep without artificial dredging (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol.7), P167.).” He held that “The Huaihe and Yellow rivers combined will have the might to control the sea (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol.7), P167.).” His measures produced remarkable results. It was documented that “After the Gaojia Dike was completed, Qingkou was free from sedimentation (Rivers and Channels, History of the Ming Dynasty (Vol.84), P2054.),” and the estuary became wider than before. Later, he had the Gaojia Dike renovated and strengthened successively. When he was in his fourth term, he also transformed one section into stone works, and furthermore, he planned, within eight years from 1593, to make such repairs to the whole levee to ensure it was safe and sound and that all the Huaihe River flowed past Qingkou. This policy Pan Jixun elaborated many times later. In his memorial to the emperor, he illustrated it this way, “Qingkou is the meeting place of the Yellow and Huaihe rivers and also the only way that must be passed by water transportation. If it is slightly blocked, smooth transportation will be affected. If it is to be smooth, the whole Huaihe River must flow past here so that it will be forceful enough to compete with the Yellow River and make the latter free from sediment deposition.”

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In his Heyi Bianhuo, he expounded on this point further by saying, “It is the whole Huaihe River that is able to combat the Yellow River and scour out the silt at Qingkou. If the Huaihe River breached midway, then Qingkou will be silted up.” Again, in his On the Completion of the River Work, he restated, “Qinghe is the confluence of the Yellow River and the Huaihe River, and the latter is not a rival of the former. Qingkou is not silted up because the whole Huaihe River, as forceful as the Yellow River, flows past here. The diversion of the Huaihe will surely lead to its silting up. There was a lesson to learn from what happened many years ago, when the Gaojia Dike burst and silted up Qingkou.” Pan Jixun also explained why a scouring effect could be produced by the confluence of two rivers, “Diversion makes a slow river, and a slow river will leave behind silt. Silt left behind will fill the river and make the river bed perched. Confluence makes a violent river, and a violent river will scour out silt. Silt scoured out will deepen the river and lower the river bed (Pan Jixun:Heyi Bianhuo, An Outline of River Control (Vol.2), P61–62.).” This is Pan Jixun’s consistent thought of “utilizing water force to move sand.”

6.3.3.2 Utilizing the Clear Huaihe River to Dilute the Turbid Yellow River The fundamental standpoint of Pan Jixun’s thought of “Combating the Yellow River with the Huaihe River” was not wholly on using the forces of the Huaihe River, but on drawing upon its clearness. If the Huaihe River were not a clear-water river, but a silt-laden one, like the Yellow River itself, then Pan Jixun would not use the strategy of using its water force. Here, his thought of diluting the turbid Yellow River with clear Huaihe River was manifested. How can we see that? Firstly, though Pan emphasized the thought “Merging makes a violent river,” he objected to merging two silt-laden rivers together. In his time, someone asserted to divert the Qinshui River into the Weihe River so as to abate the Yellow River. Pan was opposed to this opinion by saying “The Weihe River is turbid in itself, and the Qinshui River is more turbid. Two turbid river combined will certainly silt up the region in and around Linde (Pan Jixun:Heyi Bianhuo, An Outline of River Control (Vol.2), P77.). This plan is not feasible at all.” This cited paragraph means that to integrate two silt-laden rivers will make things worse. He reaffirmed this opinion on another occasion. He said, “The Qinhe River is no less turbid than the Yellow River. The shallows were already silting, and if another river is added in, then they will surely silt up. The plan is not feasible (Pan Jixun:Gongsong lunyin shu, An Outline of River Control (Vol.10), P296.).” It can be seen that Pan Jixun was well aware of the possibility of silting up if two muddy rivers were combined, especially when the other one is more silt-laden. Therefore, his proposal that “Merging makes a violent river and a violent river scours silt” was conditional. He was against both the division of a silt-laden river, which will slow down the river, and the merging of two silt-laden rivers, which will cause silting up. Nevertheless, he advocated the merging of a clear-water river with a silt-laden river. The Suihe River, the Dijia Lake, and the White Deer Lake were all clear. He

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once talked about the roles of the Guiren Levee, “If directed into the Yellow River, the Suihe River and the lake will help scour the Yellow River and this matters much (Pan Jixun: Critical Points in the Waterways, An Outline of River Control(Vol.3), P88.).”This indicates that Pan was clearly conscious of the fact that a clear-water river can dilute a turbid river and increase the scouring of the river bed and reduce sediment deposition. The Huaihe River is a clear-water river, as is clearly known to Pan Jixun. In his Critical Points in the Waterways, he said, “Now that the rivers merge into each other to the west of Huaicheng Town and east of the Qinghe River, they are quite distinct from each other like the Jingshui and Weihe rivers”. It was because of this that he advocated the merging of the Yellow and Huaihe rivers. He asserted, “The confluence of the two rivers will carry the silt downstream into the sea and eliminate silting up.” Hence, Pan Jixun held the opinion that the silting up at Qingkou and the estuary was because the scouring and dilution effect were lost after the Yellow River burst its bank at Gaojia Dike and the waters gushed out eastward. He analyzed, “The estuary at Yunti Pass was quite broad owing to the continuous scouring of the two rivers. If the river bursts the Gaojia Dike, then Qingkou will surely silt up. The turbid currents will silt up the estuary; if that happens, the upstream will unavoidably be liable to breaches and the Yellow River will surely have levee breaches and block the route of water transportation. This is a lesson we have learned from previous experiences (Pan Jixun:On the Completion of the River Work, An Outline of River Control (Vol.8). P211.).” To sum up, Pan Jixun’s practice of constructing the Gaojia Dike and his policy of “combining the Yellow River with the Huaihe River” were in effect to dilute the turbid river with clear water and scour the silt with clear water. The term “to scour” is appropriate to the meeting place of the turbid water and the clear water, while the term “to dilute” conforms more to the practical situation at longer sections. Of course, the result of dilution will be an enhanced ability of scouring silt. In this sense, it is acceptable to say “scouring turbid Yellow River with clear Huaihe River.” Consequently, in the Qing Dynasty, people called the thought “Forcing the Huaihe River into the Yellow River and scouring turbidity with clearness (Pan Jixun:An Outline of River Control (Preface by Gao Bin).),” or “Building dikes for river control and scouring the Yellow River with the clear Huaihe River (Pan Jixun:An Outline of River Control (Preface by Zhang Shuaizai)), which are collectively called “storing clear with to scour the Yellow River.” Pan Jixun’s thought of scouring turbid Yellow River with clear Huaihe River was not just applicable to Qingkou and the estuary, but also any point under similar conditions. The abovementioned Suihe River flowing into the Yellow River is such an example. Another example is Chacheng City, situated at the junction of the Grand Canal and the Yellow River. According to Pan Jixun, “Chacheng is located where clear water meets turbid water. The latter being predominant, the flooding Yellow River will surely flow backward into Chacheng City and meet the waters in the channel. It is inevitable that slow currents will leave silt behind. However, when flood water recedes, the channel water will follow it, with silt scoured out and the

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waters back into its original channel. This is also an inevitable trend. The only concern is to avoid levee breaches in the channel.” The key to using clear water to scour silt was to avoid water losses through levee breaches. He summarized, “This is true of any section where clear water meets muddy water, such as Qingkou, Zhihe River, and Xiaohekou Town (Pan Jixun:Heyi Bianhuo, An Outline of River Control (Vol.2), P77–78).” Pan Jixun’s thought was developed in the Qing Dynasty by Jin Fu and Cheng Huang. When they were in charge of the training of the Yellow River, they put forward supplementary measures of “helping the Huaihe River with the Yellow River” and “storing clear water to scour the silt in the Yellow River.” The water discharged from reduction dikes on the south bank of the Yellow River from Qingkou upstream was allowed to run through low-lying places into the Hongze Lake before it flowed to Qingkou so as to reduce the sediments. This is in actual fact a measure of “clarifying water and desilting sand.” Chen Huang expounded this thought thoroughly and vividly, “If there were no clear water from the Huaihe river for dilution, the estuary would be especially vulnerable to silting up. It seems as though one who is eating thick rice porridge is prone to get choked. If he washed it down with clear tea water, wouldn’t his throat be free from this problem?” (Jin Fu: River Control Strategies-On River Control-Dike Construction (Vol.9).) Therefore, in his time people adhered to “storing clear water to scour silt.” From the perspective of river dynamics, the idea of “diluting turbidity with clear water” is in line with the law of sediment motion. Silt is carried away by water energy, so except hyper-concentrated flow, the more sediment there is in a natural river channel, the more energy it consumes. Generally speaking, for the same discharge, when the section and bottom slope are the same, the higher the sediment concentration is, the slower the flow velocity is and the less the sediment concentration is, the higher the flow velocity is. Thus, “diluting turbidity with clear water” reduces energy loss and increases flow velocity, thus improving the scouring ability of water to the riverbed and reducing deposition on the riverbed.

6.3.3.3 Advantages and Disadvantages of Storing Clear Water to Scour the Yellow River Silt The implementation of the two policies-storing clear water to scour the Yellow River silt and diluting turbidity with clear water-produced a good result: sedimentation at the estuary decelerated to some extent, and retarded the elevation of the riverbed at the Qingkou-Hailou section (2000 km), thereby guaranteeing the smoothness of the Grand Canal in a duration of approximately 300 years. That was an undeniably good result, but the implementation of the policy “storing clear water to scour the Yellow River silt” would undoubtedly affect the regions around the Hongze Lake and along the Huaihe River. As a consequence, this policy has always been one of the bones of contention from the time of Pan Jixun till today. The primary engineering measure to implement the policy of storing clear water to scour the Yellow River silt was to construct the Gaojia Dike so as to prevent the Huaihe River from bursting its bank and running eastward. Once the weir was in place, the uplift of the Yellow River would raise the water level of the Hongze Lake

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and inundate a larger area than before, with Sizhou, Xuyi, and even some areas upstream from the Huaihe River also affected by floods. In particular, when the Huaihe River flooded, the discharge from Qingkou would be quite limited, leading to untimely discharge in and around Zhouqiao and greater losses from inundations. Consequently, the policy was firmly opposed by the officials of Sizhou. For example, one of them, Chang Sanxing vigorously advocated “to breach the weir out of rage,” or “to construct more sluice gates to smooth the way for the Huaihe River to run eastward (Zheng Zhaojing, Memorials to the Emperor by Chang Sanxing, The History of Water Conservancy in China, P141).” Nevertheless, Pan Jixun held the view that there were two major problems with allowing the Huaihe River to flow eastward. Firstly, the region in and around Lixia River would suffer from more severe flooding. For instance, in the fourth year of the Longqing reign period, there was a disastrous breach in the Gaojia Dike, “The Huai lake burst eastward, and poured into lakes of Baima, Siguang and others, inundating the shallow places of Huangpu, and counties of Shanyang, Xing, Yan, Gao, Bao, and others. At a point between April and May, the counties would use earth to block the city gates, leaving only small holes for pedestrians, while the streets within the cities became navigable.” Secondly, the section from Sizhou upstream was more vulnerable to inundations. Since the Huaihe River burst eastward, the Yellow River followed its course, so Qingkou would be flooded. However, the flood water, which cannot be discharged on the ground, would inundate Shangyuan, posing a threat to ShouSi (Pan Jixun: Shenggong Baohu Shu, Memorials to the Emperor by Director-General of the Grand Canal (Vol.3, Third term), P56–57.). Obviously, this is a matter of weighing advantages and disadvantages and gains and losses. In modern times, reservoir construction also involves a matter of losses from having to flood some areas. The key to the problem is whether advantages outweigh disadvantages or vice versa. This quantitative analysis is what Pan Jixun failed to make. Moreover, he should have analyzed whether the problem lay with the guiding principle itself or with concrete project planning. In terms of the policy of “storing clear water to scour the Yellow River silt,” it is hard to make a final judgment as to whether advantages outweigh the disadvantages or vice versa.

6.3.4

Using Silt to Fill Floodplain and Reinforce Dikes: Pan Jixun’s Third Measure to Combat Silt

The two policies “restricting currents to attack silt” and “storing clear water to scour the Yellow River silt” were established on how to send away silt on the riverbed. Another measure Pan Jixun took to utilize silt was using silt to fill floodplain and strengthen dikes. This thought of his was officially put forward in the 19th year of the Wanli reign period (1591), toward the end of his river control career, which was no accident at all. His switch from a focus solely on attacking silt to a focus on utilizing silt was the result of summing up the experience of the masses in harnessing the Yellow River. It was also a manifestation of his deepening understanding of the

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theory and practice of restricting currents and attacking silt, marking the further maturity of his thought of the training of the Yellow River. This measure, pitifully, was not implemented because of his serious illness, but his discussion on this issue was still of great value to us.

6.3.4.1 The Origin of the Idea Pan Jixun’s idea of using silt to fill the floodplain and strengthen dikes originated from the experience gained from constructing front dike and grid-shaped dikes. In his third term, well aware of the unreliability of front dike, he advocated vigorously to build distant dams. However, new problems arose: In flood season, once the front dike had breaches, the discharged water would run along the distant dams, causing great damage and posing a threat to the levee bases. In order to prevent overflowed water from scouring levee bases, lattice dams (also known as cross dikes) were constructed along the cross-section of the river channel. In this way, “Even if there is flood water dashing toward the distant dam, it will have to return when meeting the grid-shaped levee and flow back to the river channel without causing any damage.” After the lattice dams were built, people found other uses. As Pan Jixun summarized, “The lattice dam is quite ingenious for defense. The grid, running across the river channel, will stop the flood waters which break through the front dike so as to prevent flooding. The waters which are stopped by the dam will retreat to the river channel itself, filling its runway with silt.” It gave Pan Jixun inspirations that the lattice dams could also be employed to fill floodplain, turning the harm into a benefit. Previously, all he thought of was to have silt washed away, but now, he had known that the silt could be retained for good. When it was in the river channel, it caused damage; whereas, when it was left on the floodplain, it did good. Thus, his idea of filling floodplain with silt and consolidating dikes took preliminary shape. This broadened the thought of fighting silt, and it was the development and further practice of Wan Gong’s method of consolidating dikes. With such experience, Pan Jixun had seven lattice dikes constructed at the Fangcun-Fengshan section on the southern bank of the Yellow River. He argued, “If the lattice dams are made higher and thicker year by year, there would be no concern for river diversion or the channel of the main stream being seized.” Hence, he not only planned to build such levees on the south bank but to apply this method to the north bank as well. “The more, the better (Pan Jixun: Critical Points in the Waterways, An Outline of River Control (Vol.3), P88.).” The distance between Fangcun and Fengshan Mountain was approximately 140 li (70 kilometers) while that between the distant and front dikes was around one li (500 meters). If one flooding left behind silt as thick as 0.1 meter, then for this section of south-bank floodplain alone, it would be 3500 thousand cubic meters. This shows that by adopting lattice dams, the floodplain was remarkably improved. Some people had a concern: what if rain water or the waters discharged from the front dike lingered on in the section between the distant and front dikes? Pan Jixun’s answer to this question was: “In case of a breach, water can flow in or out. Immediately a flooding is over, it is not tough to send the overflowed water back into the main river channel. Even though waterlogging occurs, a deliberate breach

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can be made for discharge in late autumn and early winter. It is very easy to close it soon afterward. If the water goes down the levee and into the river without going back into the lattice dam, there is no need to worry as well (Pan Jixun: Heyi Bianhuo, An Outline of River Control (Vol.2). P63).” Of course, if so, it would pose a threat to the levee base again.

6.3.4.2 Pan Jixun’s Further Planning Originally, lattice dams being used to silt floodplain and reinforce dikes was just passively awaiting floods to breach the front dike and silt up the floodplain. Pan Jixun came up with this method under the pressure of circumstances: the front dike was not reliable enough, and the distant dam was faced with a threat. Nevertheless, it turned out that something bad was transformed into something good. Pan Jixun developed his understanding as he came across more new situations in his practice of flood control. He found that in and around Suqian, the purpose of “silting floodplain and strengthening dikes” was achieved as well despite the absence of front dikes and lattice dams. He remarked, “To the south of Suqian there are merely distant dams. The floodplain, as flat as good fields, is covered with rich silt. The peasants have fields to plough and the government is free from annual cost of dike repairs. These are apparent effects.” Furthermore, he felt that front dikes were not only unreliable but also had some side effects: Firstly, they were close to the river itself and vulnerable to breaches; secondly, with the outer river overlooking the inland, they were easy to burst in case of flooding induced by continuous rain; thirdly, it was a waste of money and labor to repair them annually. Therefore, in the 19th year of the Wanli reign-period, he proposed in the first place “to improve the floodplain by desilting.” Based on the characteristics of the Yellow River of being silt-laden and the law of siltation, he officially put forward “strengthening dikes by silting” as an important measure to employ silt for the training of the Yellow River. The specific method was “to check the remote dikes to ensure their safety, and make openings in the front dikes to let water in for irrigation. Silt, which accounts for a large proportion of the Yellow River waters, will come in with the water and be left behind when water flows at a low velocity.” In other words, they were now passively awaiting levee breaches but actively introducing water into the floodplain. He envisaged, “Within two or three years, the floodplain will be at a higher elevation than the river. Even if the river rises, can it climb high to overflow? The presence or absence of front dikes will be no longer what worries us.” He cited Shankou as an example, “The year before last, the land was silted up; this year, the north bank of Suishui all became an earthen hill.” Thus, he drew a conclusion, “Isn’t it easier to rely on the river itself to strengthen dikes than to rely on human labor?” Being economic in terms of both money and labor, this is indeed the best plan. Here, Pan Jixun put forward a very important concept: trying to use the motion law of the Yellow River to thicken the soil of the floodplain and strengthen the dikes. That was a very valuable and bold idea. His thought of river regulation focused on conforming to the law of nature and utilizing it to serve the people: such was the case with “restricting currents to attack silt,” “scouring turbid Yellow River with clear

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Huaihe River as well as “strengthening dikes by desilting.” This is an extremely important feature of Pan’s river training plans. Up to the Qing Dynasty, Pan Jixun’s thought of “strengthening dikes by desilting” was further developed. The Qianlong-Jiaqing reign periods witnessed a climax of people applying this theory to practice. On the Yellow River, this method saw application everywhere, from Wuling, Henan Province in the west, to the north of Jiangsu Province in the east. It also found application to the Yongding River and the southern section of the Grand Canal, with good results achieved. Today, nearly four hundred years after Pan Jixun proposed the idea of reinforcing dikes by silting, some experts have proposed that “it should be a strategic direction, in the lower Yellow River, to have a competition between using silt for levee construction and the natural process of silting in the river channel (Wen Shanzhang et al., A Competition Between Using Silt for Levee Construction and the Silting Increase in the River Channel is a Strategic Direction, A paper at Zhengzhou Yellow River Planning Conference, 1979.11).” Others put forward a plan of “protecting the floodplain and strengthening the river channel.” Basically, all these are analogous to Pan Jixun’s thought. Drawing upon successful experience in history, these proposals also provide measures to combat siltation in the Yellow River.

6.3.5

Comprehensively Planning for Training the Lower Reaches of the Yellow and Huaihe Rivers

Another important characteristics of, or what was scientific and rational about, Pan Jixun’s Yellow River Control Plan was that he comprehensively planned and considered the training of the lower reaches of both the Yellow River and the Huaihe River. What he faced was a complicated situation which involved the Yellow River, the Huaihe River and the Grand Canal simultaneously, so his thought and measures of river control always involved the three and treated them as a whole: He saw not just their distinct features but also their interrelation and inter-restriction. His comprehensive planning was first reflected in the volume On River Control Strategies of the Two Rivers, and then developed and elaborated. This marked that in the mid-sixteenth century, China had reached a relatively high level in the planning of large-scale cross-basin water conservancy projects.

6.3.5.1 River Management Should be Comprehensive Prior to his time or even in his time, government officials tended to deal with problems on an ad hoc basis. If a breach occurred, they would suggest diversion; if the river channel was silted up, they would suggest dredging; if the breach occurred in a high levee, they would converse about destroying the levee; if the estuary was not smooth, they would think of digging more channels. Furthermore, they often isolated the problems with the lower reaches of the Yellow and Huaihe rivers, or even put them on opposite sides. They might concern themselves with water transportation of the Grand Canal without regard to the management of the Yellow River, seeing only the effects and neglecting the causes; or they might merely

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have the Huaihe River in their mind’s eyes and leave the Yellow River in the dark, knowing only superficial things; or they might act for the benefit of the upper reaches alone, harming the lower reaches; or they might see only short-term benefits, without considering long-term good with a perfunctory attitude. Starting from the viewpoint that “river management should be comprehensive,” Pan Jixun planned in a unified and comprehensive way by combining the training of the river and the Grand Canal, management of the Yellow River and that of the Huaihe River, management of the Yellow and Huaihe rivers and that of the estuary, promoting the beneficial and eliminating the harmful, thus achieving some good results. He explained, “The Grand Canal is connected with the river, so river control should go hand in hand with canal management; the Yellow River meets the Huaihe River, so the training of the Huaihe River should go hand in hand with that of the Yellow River; the two rivers run into the sea through the estuary, so the regulation of the two rivers should go hand in hand with that of the estuary (Wang Xijue: Pan Jixun’s Epitaph, Xingshui Jinjian (Vol.32).).”That was Pan Jixun’s thought of overall planning in the management of the lower reaches of the Yellow and Huaihe rivers.

6.3.5.2 Comprehensive Consideration of Promoting the Beneficial and Eliminating the Detrimental Pan Jixun’s overall planning was above all manifested in a comprehensive consideration of the goal of promoting the beneficial and eliminating the harmful, with the various relationships appropriately handled. Since Song Li, under the order of Emperor Zhudi in Ming Dynasty, opened the Huitong River, especially after the reign period of Hongzhi, the whole court gave priority to water transportation on the Grand Canal, so the Yellow River control must be subordinated to the management of the Canal. Guided by the wrong principle of water transportation outweighing the Yellow River management, the river suffered from increasingly severe problems. In particular in the late Jiajing reign period, the Xuzhou section was in a mess, seriously damaging water transportation on the Grand Canal. Thus, how should they handle the relationships between the management of the Yellow River and that of the Grand Canal, between promoting the beneficial and eliminating the detrimental? That was the first major problem facing hydraulic officials. In Pan Jixun’s opinion, they should take into account both the management of the Yellow River and that of the Grand Canal, both promoting the beneficial and eliminating the detrimental, rather than isolate them. His fundamental opinions were as follows (Pan Jixun: Heyi Bianhuo, An Outline of River Control (Vol.2), P75.). Firstly, there was no alternative but borrow water from the Yellow River to supply the Grand Canal. He exclaimed, “From the Yongle reign-period onwards, we had to borrow water from the Yellow River to supply the Canal. Is there any other choice available?” That was determined by the natural conditions of water shortage in the Canal. Secondly, borrowing water from the Yellow River would inevitably cause harm to the Canal. Xupi was the confluence of the Yellow River and the Canal, so if the

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former had a disaster, the latter would be devastated. He sighed, “It is impossible for the Canal not to be affected by the Yellow River since it depends partially on the latter for water supply.” Nothing could be done about it even if Da Yu were alive again. Thirdly, harnessing the Yellow River meant harnessing the Canal. In Pan Jixun’s opinion, since it was imperative to borrow water from the Yellow River to supply the Canal and meanwhile, it was inevitable for the Canal to be affected by the Yellow River, the two must be regulated simultaneously. He declared, “Pains taken to control the Yellow River will simultaneously bring good to the Canal. The Canal must be smooth every day, so the smoothness of the Yellow River must be guaranteed every day. It was a double advantage indeed.” Fourthly, the attempt to separate the Canal from the Yellow River proved to be in vain. At that time, Weng Dali, Fu Xizhi et al. considered separating the Canal from the Yellow River seeing the hazards they brought so as to guarantee water transportation on the Canal. Pan Jixun, nevertheless, held that even if the two were separated, the Canal would not free itself from the effects of the Yellow River due to their specific geographical features. He said, “The Jiahe River find its way to the Yellow River via the Zhihe and Yihe rivers. They were so adjacent to each other that at one point, they were just three or four li apart. The annual flooding of the Yellow River is bound to overflow the Canal. Would it help if they were separated?” Fifthly, in case that the Canal was separated from the Yellow River, the training of the latter would not be left out. Pan Jixun asked, “Even if water transportation is unimpeded, could the people be well fed?” He continued to explain, “Even the two were separated, the Yellow River continued to bring disasters to the people.” Here, Pan Jixun stressed that both national economy and the livelihood of the people should be paid attention to and that both promoting the beneficial and eliminating the detrimental should be kept in mind. Sixthly, the government could not afford to fight two battles simultaneously – digging a new canal and fighting the Yellow River. In terms of the national strength and financial resources of the people, it was a tough job to fight one battle, not to mention two at a time. Pan Jixun exclaimed, “How is it possible to fight two battles now that the government is financially incapable of supporting one?” He added, “It would cost a numerous amount of money to dig a new canal and regulate the river.” For these reasons, Pan Jixun believed that in hydraulic planning, both the Yellow River and the Canal should be taken into consideration and that pains taken to control the Yellow River should simultaneously bring good to the Canal. In dealing with the relationship between the river and the canal, Pan Jixun’s thought of promoting the beneficial and eliminating the detrimental and of setting multi-goals was well embodied. Though the separation of the river and the canal would undoubtedly free water transportation from the menace from the Yellow River, it was not practical due to the historical conditions at that time. Pan Jixun’s opposition was to emphasize the control of the Yellow River, which was explicitly stated. In handling the Yellow River-Huaihe River relations, the above-stated thought was also manifested.

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The confluence of the Yellow River, the Huaihe River, and the Canal was near Qingkou. Back to those days, the situation in Qingkou region was like the following: The Yellow River was vulnerable to levee breaches, Qingkou to silting up, the counties to inundations, and the transportation route to clogging and destruction. Some people proposed to take advantage of levee breaches to “scour out a river channel, used as a route for the original Yellow River to flow into the sea (Rivers and Channels, History of the Ming Dynasty(Vol.84), P2049.).” This is, in actual fact, to govern the two rivers respectively: north of Qingkou, to divide the Yellow River to abate its forces and west of Qingkou, to divert the Huaihe River. These opinions, which isolated the training of the lower reaches of the two rivers, were strongly opposed to by Pan Jixun. In his opinion, from the perspective of the Yellow River management, the Huaihe River should entirely flow through Qingkou. He analyzed that levee breaches at Xupi section were induced by clogging from Qingkou downstream. “Once the downstream section is clogged, the upstream section will burst its bank. That is why levee breaches occurred at Cuizhen Town and other places (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol.7), P171).” The reason why Qingkou was not clogged was that the Huaihe River ran through it with a force enough to confront the Yellow River (Pan Jixun: On the Completion of the River Work, An Outline of River Control (Vol.11), P336.).”Therefore, “The Gaojia Dike burst and clear rivers get clogged (Pan Jixun: Leeve Breaches in River Control Strategies of the Two Rivers, An Outline of River Control, Rare books on water conservancy, P566.)”. Consequently, if Xupi were to avoid breaches, the lower reaches must be free from being clogged. If the lower reaches were to avoid being clogged, the Huaihe River must be harnessed to scour the silt from the Yellow River. This required the Gaojia Dike to be constructed to prevent flood water from dashing eastward. Diversion on the upper reaches would certainly be avoided. This is Pan Jixun’s thought of “scouring turbid Yellow River with clear Huaihe River,” which we analyzed previously. This is from the angle of the Yellow River regulation. On the other hand, from the perspective of harnessing the Huaihe River to get rid of inundations on the south bank of the river, Pan Jixun also believed it was imperative to have the entire Huaihe River to flow through Qingkou, since “floods on the south bank of the Huaihe originated from the two rivers.” He analyzed the issue as follows: “The Gaojia Dike used not to be clogged, and the sluice gates were not tight enough. The Huaihe River dashed southward and the Yellow River stole in via the Tianfei sluice gate, so that the region in and around Huaiyang were flooded, with the cities bathed in water and cottages and fields inundated.” Therefore, the way to prevent flooding from devastating the region south of the Huaihe River was to stop the Huaihe River from bursting eastward, which was the very mission of the Gaojia Dike. Flooding in this area mattered much, “to the livelihood of the people.” Moreover, Pan Jixun also held that the entire Huaihe River flowed through Qingkou was not only beneficial to the Yellow River control and flood prevention in this region but also to the elimination of flooding from Sizhou upstream. The reason he gave was as follow.

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If the Huaihe River took an eastern path, then the currents from the Yellow River would follow and the turbid currents would go against the stream. In this way, Qingkou would be silted up. As a consequence, impeded discharge and the retention at Shangyuan would occur, causing inundations of the Fengyang-Shousi region (Pan Jixun: Discussion on Unfinished General Rules of River Works, An Outline of River Control (Vol.9), P256.). In Pan’s opinion, forcing the Huaihe River into the Yellow River was not solely intended for the control of the latter, but also that of the former. The only way to force the entire Huaihe River to flow via Qingkou was to consolidate the Gaojia Dike. For this reason, Pan Jixun stressed again and again that the Gaojia Dike was the pivotal point of the two rivers, not only for the governance of the Huaihe River (Pan Jixun: Heyi Bianhuo, An Outline of River Control (Vol.2), P65.). Also, Pan Jixun associated the governance of the Yellow and Huai rivers and that of the estuary. He said, “If the Yellow River does not have breaches, then it will be dedicated to scouring the silt in the channel; if the Huaihe River does not have breaches, it will be dedicated to merging into the Yellow River. If the forces of the two rivers are combined and every drop of water flows eventually into the sea, then the rivers will become forceful and dedicated, silting downstream will naturally be removed. When the downstream becomes free from silting, then the upstream silting will naturally be cleared. The sea will become clear and the rivers will become deep without artificial dredging.” That is why we think that dike consolidation means dredging the rivers and dredging the rivers means dredging the sea (Pan Jixun: On River Control Strategies of the Two Rivers, An Outline of River Control (Vol.7), P167.). Of course, Pan Jixun’s estimation was overoptimistic. Practice showed that despite the confluence of the rivers Yellow and Huaihe, Qingkou still suffered from clogging and the estuary from super-elevation as usual, though at a slower speed. The consolidation of the Gaojia Dike protected the massive area around the Lixia river, but it did elevate the water level of the Hongze lake. The caving in of Sizhou City should have something to do with this. However, all these could not wipe out Pan Jixun’s contributions in hydraulic planning.

6.3.5.3 Comprehensive Planning of Engineering Measures Pan Jixun’s thought of comprehensive planning in governing the lower reaches of the Yellow and Huaihe rivers was also manifested in his comprehensive planning of concrete engineering measures. His engineering measures were based on his deep understanding of the specific situation in each river section. On River Control Strategies of the Two Rivers is a report on his comprehensive planning of regulating the lower reaches of the two rivers. This report manifests his overall thought of hydraulic engineering planning. One of his subordinates, She Yizhong, summed up Pan’s thought in a book entitled On River Management by Chamberlain for Ceremonials She Yizhong. The silting up was removed, and the forces of the rivers amalgamated. Dikes were widened, and levee breaches were evaded. Reduction dikes were in place, and distant dams were consolidated. Dikes were amalgamated at Guiren, and siltation

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no longer affected Sizhou. The Gaojia Dike and sluice gates were constructed, and the Huaihe River no longer burst for the east. A dike was built at Liupu and the Western Bridge was renovated, and the Yellow River no longer flooded the southern area. The Baoying Dike was repaired and the Yangyi shallows were dredged, and the lake became safe and the channel became smooth. Practice led to his deeper and more concrete understanding of the situation in each section of the river as well as improved governance measures. He analyzed the problems with each section in this way. Freighters sailed thousands of Li from Guayi to the Canal, via Shaobo, Gaobao, Huaiyu, and Chacheng in turn. During the long journey, the vast lake might produce stormy waves; the silt accumulated for long might trap the freighters; the turbulent currents might wash them away; where the two rivers met, the route might not be smooth. Therefore, the eastern dike at Shaobo section used to collapse; the western mouth of Baoying used to become shallows: at Qingkou and Chacheng, turbid currents used to run against the stream; Tianfei dike at Fanjiakou used to burst and collapse, leaving Huaiyang almost in a sea of water. In discussing the major problems with each section, he put forward engineering measures to tackle these problems in a systematic and comprehensive manner. He stated, “The Guayi-Huai’an section supplies water for the lake, the Huai’an-Xuzhou section for the Yellow River and the Zhenkou Sluice-Linqing Sluice section for the Wenshui River. The lake and the rivers face the potential danger of waterlogging while such streams as the Wenshui and Sishui rivers face the potential dangers of drying up. Therefore, the way to fight waterlogging is to consolidate dikes and deepen the channels. The way to fight drying up, however, is to use lakes for water supply and sluices for water control. . . .Probably, if the Shaobo dike is reinforced, the lake will not flood. If the Baoying dike is completed, the sluice gate will be free from siltation. If the Gaojia Dike is in no danger of collapse, the Huaiyang region will be saved from being inundated; if the Huaihe River avoids diversion, Qingkou will be forceful enough to attack silt. If double levees are constructed at Chacheng, floods will be kept out for long. If sluices are added to Yongtong and Tongji, the long journey of the water supply to the Canal will be shortened; once the boundaries of the lakes are clearly defined, the Wenshui and Qiushui water can be stored for future use. Once sluice gates are installed at Doumen, the control of water storage or discharge will become possible. The lake and the rivers share the same interests, so if the Wenshui river flows westward, the lake is likely to dry up. That is why the dike on the Kanhe River matters much. If the Wenshui flows northward, the eastern branch of Nanwang will be reduced. That is why the Hejia Dike is important. As for dike renovations, they are a must in yearly river management work (Pan Jixun: On the Completion of the River Work, (Vol.11), P331–338).” The above is Pan Jixun’s comprehensive planning for the engineering measures to be taken in the governance of the Yellow River, the Huaihe River, and the Grand Canal. He was clear about all the problems with the rivers and lakes in a range of two thousand li, from Linqing in the north to Guayi in the south and he took everything into his consideration. For every significant issue, he provided a corresponding solution. This is a remarkable report of cross-basin hydraulic engineering planning. In view of his predecessors, who, in face of flooding, acted with great confusion, or

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fell in a state of anxiety, or tried to be equivocate, or did things perfunctorily, there is no denying that Pan Jixun was an outstanding expert in river engineering. In accordance with Pan Jixun’s description, his overall planning of the governance of the lower reaches of the Yellow and Huaihe rivers can be chiefly summarized as follows. In the Qingkou region, stop the Huaihe River from bursting eastward into the Hongze Lake and have the entire Huaihe to flow past Qingkou. This was aimed not just to scour the turbid Yellow River with clear water from the Huaihe River, but to eliminate flooding in the area south of the river. To fulfill this aim, the corresponding engineering measures were to accomplish the Hongze Lake water conservancy project, with the focus on consolidating the Gaojia Dike. This is a “pivotal point of the two big rivers.” In the Xuzhou-Huai’an section, the so-called river channel section, stop the Yellow River from diversion through levee breaches and allow discharging only a small amount of flood water. This was aimed to achieve the goal of restricting currents to attack silt and to avoid bank bursts. To fulfill this aim, the corresponding engineering measures were to construct distant dams from Xuzhou downstream and to construct reduction dikes at Cuizhen Town and other appropriate places to fight extraordinary floods and to renovate the Guiren Dike for the purpose of forcing the Suishui river and the lake to enter the Yellow River and preventing the Yellow River from affecting Sizhou. In arranging river control projects, Pan Jixun always made distinctions according to their actual terrains. For instance, Luoma Lake at the ZhiheYinhe section could be taken advantage of to store flood water; Gaogang, on the north bank, was a natural distant dam for the lake, so for this section, no distant dam was planned; on the south bank, the Sunjia Bay-Yandun section, was also a natural distant dam, so for this section, no distant dam was planned as well. In the lake area such as Baoying, Gaoyou, and Shaobo, the so-called lake channel section prevents the lakes from flooding. This was aimed not just to ensure smooth water transportation but also to protect the Gao, Bao, and Xingyan counties (the present-day Lixia River Basin) from being inundated. To fulfill this aim, the corresponding engineering measures were used mainly to repair the Baoying Dike, Xitu Dike, and to consolidate the Shaobo Dike. In and around Nanwang, namely the high-lying places along the Canal or so-called sluice channel section, stop discharge from the lakes and springs. This was aimed to regulate the water amount around the sluices around Nanwang to facilitate water transportation. To fulfill this aim, the corresponding engineering measures were to repair the Kanhe and Baojia dikes and to guide the Wenshui River to enter the lakes in Nanwang, and to repair boundary dikes between the East, the West, Mata, Shushan, Machang, and An’shan lakes for the purpose of storing the Wenshui and Sishui rivers. The measures also included building sluice gates at certain distances or at pivotal locations and strictly controlling the flow of sluice gates. At such ports as Chacheng and Qingkou, prevent the reverse flow of the Yellow River and siltation. To achieve this aim, the measures were to add or reform navigation locks and manage them strictly.

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On top of all those, maintenance and renovation should be done at all times. In Pan Jixun’s mind, through the implementation of the above-stated plans and through the coordination between dikes, dams, sluice gates and reservoirs, a wonderful picture would be unfolded before people’s eyes: the lakes were free from flooding, the sluice gates from silting, the high dikes from collapse, Huaiyang from inundations, the sluice rivers from drying up, and the river channels from siltation and bank bursts. Furthermore, Qingkou would become smooth, the estuary open, water transportation smooth, and people’s livelihood improved. Too ideal though it was, his overall planning did grasp the major problems with the lower reaches of the two rivers and his measures were feasible as well. Therefore, after his time, river control plans devised by hydraulic officials were mostly in this scope, except for a minority of people such as Yang Yikui. Even up to the time of Jin Fu and Cheng Huang, their engineering plans were also based on Pan Jixun’s, despite some local adjustments and improvements.

6.3.5.4 The Hongze Lake Water Conservancy Project In Pan Jixun’s engineering planning, what is best worth mentioning is his idea of Hongze Lake water conservancy project. Modern artificial reservoir in embryo, the Hongze Lake was not introduced from the West, but evolved from such projects as ponds and water tanks based on millenniums of experience summary. The Hongze Lake water conservancy project incorporated the primary components of modern reservoirs: reservoir area, retaining walls or levees, water intake, spillway. Reservoir area-the Hongze Lake. The lake used to have a smaller area. After Pan Jixun had the Gaojia Dike constructed and made the most of such low-lying places as Wanjia, Nidun, and Fuling lakes, the storage volume of the reservoir was expanded. Retaining levee-the Gaojia Dike. On the basis of the original works monitored by Chenxuan, the dike monitored by Pan Jixun extended for 60 li (30,000 kilometers) from Xinzhuang port to Yuecheng City. There were 3000 zhang (10,000 meters) of stone works at key places, where levee breaches might happen. The stone works were adjacent to works made of bamboo or tree slips, which would, as planned, be transformed into stone works. Plus, the dike was extended from Yuecheng to Zhaiba dike. The Gaojia Dike, which raised the water level of the Hongze Lake, linked the Hongze Lake to the various lakes, such as the Wanjia, Nidun, and Fuling lakes, which formed a big reservoir. Water intake-Qingkou. The water intake was a special one in that it was designed neither for irrigation nor for power generation, but for scouring and diluting the sediment of the Yellow River. In order to guarantee the force of the water intake and force the entire Huaihe River to flow through Qingkou, Pan Jixun blocked other intakes, including Wangjian and Zhangfu outlets in the west and Zhujia outlet in the east. Spillway-Zhouqiao Flood Diversion Dam and a natural one south of Zhouqiao. According to Pan’s planning, the flood diversion dam “discharged water from the eastern side in case of flooding and at ordinary times from the north. In this way, Qingkou would not be silted up. It was indeed killing two birds with one stone (Pan

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Jixun: Discussion of Moving Sizhou and Opening Zhoujia Bridge, Memorials to the Emperor by Director-General of the Grand Canal (Vol. 5, Fourth term)).”The area in and around Zhouqiao was evidently the spillway for the entire reservoir. From the perspective of practical effect, a major mistake in the water conservancy project was that there were few flood discharge structures, resulting in discharge difficulty in time of dramatic rise of water level in the Huaihe River and posing tremendous threats to Sizhou area and the Gaojia dike itself. Later, Yang Yikui, Jin Fu, Zhang Penghe, Gao Bin, and others built out or rebuilt the reduction dikes. Nevertheless, flood discharge continued to be a headache through lack of correct quantitative analysis on flood size and of conscientious study of discharge ways.

6.3.5.5 Careful Arrangement of the Critical Sections for Flood Prevention Pan Jixun’s overall planning of the governance of the lower reaches of the Yellow and Huaihe rivers was also reflected in his careful arrangement of the critical sections for flood prevention in Shandong, Henan, Jiangsu, and other provinces. In his masterpiece, An Outline of River Control, the third volume Critical Points in the Waterways《河防险要》 was dedicated to his overall consideration of the critical points of the lower reaches of the two big rivers and of the Canal. That was his significant summary of his practical experience in river control. He pointed out, in a detailed and concrete way, the key problems that might occur to the Yellow River, the Huaihe River, and the Grand Canal in Huainan, Huaibei, Shandong, Henan, and Hebei, and the measures to be taken, playing a positive part in guiding flood defense and emergency safeguards. For dike defense of the Henan section of the Yellow River, Pan Jixun earnestly enjoined, “The four defenses and two types of maintenance must be kept in mind and mentioned again and again. Be cautious!” (Note: The four control methods of the flanks of dikes, namely daylight prevention, night prevention, wind prevention, and rain prevention) and the “two types of maintenance” (by the authorities and by the people). Three hundred years later, the Yellow River had a breach at Tongwaxiang and had to shift its course. The prophecy unfortunately came true. The critical sections and corresponding measures raised by Pan Jixun became a guide for river regulation officials of later generations (see An Outline of River Control for details). Such a comprehensive plan of protecting critical sections enables us to avoid many bank breaches and flooding to some extent and puts us in an active position in river control as long as we implement the measures in a conscientious way.

6.3.6

Pan Jixun’s Thought of Dike Building

The most important tool Pan Jixun had in river control was dike building as well as hydraulic structures attached to dike building such as sluice gates and dikes. Dike building was indispensable to “restricting currents to attack silt,” to “storing clear water to scour the Yellow River silt,” to “using silt to fill floodplain and strengthen

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dikes,” to wave and flood prevention in the lake channel section of the Grand Canal, to “storing water to supply the Canal” in the sluice channel section, as well as to the defense of the cities along the river. Therefore, Pan Jixun attached great importance to dike building. As he said, “A volume of my book should be dedicated to dike construction (Pan Jixun:A Request for Retaining Officials of Virtue and Ideals, Memorials to the Emperor by Director-General of the Grand Canal (Vol. 3, Second term), P8)”Starting from his river control thought, he developed the concept of dike building. He put in practice much of the hydraulic technology put forward by his predecessors and developed them. He gave a systematic summary and made improvements to the dike building practice as well as levee maintenance systems. From his time onward, dike building, in which Pan Jixun played an notably important part, was greatly promoted in scale and technological level.

6.3.6.1 The Fundamental Change of the Concept of Dike Building Ever since the appearance of the dike, ancients had always regarded it as a means of flood prevention. On the basis of the understanding of his predecessors and his contemporary, Pan Jixun put forward his theory of constructing dikes to restrict currents and attacking silt with water. Hence, he developed the concept of dike building. He transformed it from a passive means of flood prevention into a proactive tool of restricting currents to attack silt. That was a shift from prevention to management, from dealing with water to dealing with silt. The fundamental change in the concept of dike building was manifested in the following aspects. Firstly, the distant and front dike were used as tools for restricting current to attack silt. Secondly, the distant dike and lattice dike were used as tools for silting the floodplain and consolidating dike. Thirdly, downstream dikes were used as tools for silt retard and dike consolidation and protection. In his General Rules for River Conservancy, he listed the building of dikes as one of the most important items. He summed up his experience as follows. “The downstream dike, whose nickname is rooster beak or horse head, is specially designed for the protection of pivotal parts. If the proper leave is faced with violent scouring, a downstream dike can be built to force the currents back for as far as several zhang. The dike measures ten zhang or five or six zhang in length, every zhang of the dike boasting the capability of forcing back currents for several zhang. The foot of the dike became a natural place for sediment concentration, thus protecting the levees downstream.” A downstream dike was ever installed near the Kuishan Mountain, which was merely a dike away from the Yellow River and a dangerous section indeed. Today, a relic of the dike still survived. Fourthly, spur dikes were used as supplementary measures of breach closures. Pan Jixun summarized this experience. If the breach outflow is too forceful to plug, he suggested, “a current-forcing dam should be constructed upstream to force the currents back to scour the proper stream and then plugging could be performed (Pan Jixun: General Rules for River Conservancy, An Outline of River Control (Vol.4), P100.).” Here, the current-forcing dike was in fact the spur dike. It had a larger angle

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to spur water than the downstream dike, the former used to consolidate dikes and the latter to force back water for plugging. Of course, as a dynamic river control tool, dikes can be used for other purposes. The abovementioned ones were just some chief ones. Jia Rang of the Western Han Dynasty, as we have mentioned, in his renowned three strategies of river control, regarded dike building as a least-recommended one. He admonished, “If you renovated and consolidated old dikes, they would cost a great deal and become potential hazards.” So this strategy is the least-recommended one of the three. What he referred to was probably not dike construction (History of the Han Dynasty-The Annals of Channels and Canals (Vol.29), P1696), but some people in the later generations cited this as an argument against dike construction. In contrast, Pan Jixun, starting from his own practice, declared, “Dikes could be enhanced through maintenance and renovation. What ancients deemed as the leastrecommended strategy is now the most-recommended one (Pan Jixun: On the Construction of Long Levees, Memorials to the Emperor by Director-General of the Grand Canal (Vol. 3. Second term), P55.).” It follows that he placed dike building at a predominant position, providing the theoretical basis for massive dike construction.

6.3.6.2 The Application and Development of Dike Building Technology As has been pointed out, the Song-Yuan period witnessed a relatively high level of dike construction technology in China. Pan Jixun vigorously advocated dike construction, bringing the dike construction technology to a higher level after the mid-Ming Dynasty. This was reflected in the completion of the dike system and the combined use of dikes and various waterworks. Pan Jixun not only ingeniously used front dike, distant dike, lattice dams, and semilunar dikes, but also combined them with various forms of waterworks, such as overflow dams, reduction dikes, and culverts. This complete system of dikes formed a comprehensively effective hydraulic structure cluster with distant dams as backbones. In this cluster, distant dams were employed to “reduce the water force,” front dike for scouring (later almost abandoned), lattice dams for “silting and enforcing banks,” semilunar dikes for emergency safeguards, overflow dams for “flow division,” reduction sluices for reducing flood discharge, and culverts for draining waterlogging. All these were combined to work for one aim: water did not breach its levees, the rivers returned to their proper channels, and silt was scoured by flowing water. At the Xuzhou-Qing kou section, the hydraulic structure cluster was perfect, bringing notable benefits to the stability of the river course. The development of dike building technology was also manifested in construction technology, especially the location of dike and the foundation processing. Pan Jixun summarized his experience in this aspect in the volume General Rules for River Conservancy of An Outline of River Control, he wrote, “To build an overflow dam, first choose a low-lying place, make a solid foundation, plant piles and level them. Then, place keels, close the crevices with stone residue, and then pave the foundation with stone and build a dam on its basis. When planting piles, an eagle-

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shaped framework is necessary. Nail the framework with a hanging iron rammer. Stone crevices must be closed with a mixture of lime and glutinous rice powder so as to keep water out.” In summarizing his experience in building reduction sluices, Pan Jixun also stressed, “To build an overflow dam, the first and foremost step is to locate the dam in a solid place and dig a pond for construction use. Then, put piles and level the pile head with saws. Close the crevices. Lay the foundation by paving a wooden keel. Close stone crevices with mortier mélange de filasse de chanvre, Finally, lay the stone base.” In terms of covert construction, Pan Jixun emphasized, “Choose a solid place for foundation. After the foundation is properly located, piles can be used afterwards. And the lay stones.” In the construction of a transport dam, firm foundation was also required. It follows that the hydraulic works at that time were characterized by the following: Firstly, the location of the work was deliberately chosen. Secondly, the foundation work must be done by human hands. Thirdly, piles must meet high demands. Fourthly, the processing method approximated modern foundation works. The advancement in dike building technology was also reflected in the method of acceptance and check. Methods similar to modern cone drilling and trenching were also seen used in dike construction at that time. As was documented, “The checking method is to use an iron cone to probe it or to try digging.” The former was analogous to cone drilling while the latter, trenching. In terms of construction surveying, the uniformity of dike height was attached importance to. Pan Jixun restated and put into practice the proposal made by Liu Tianhe. He emphasized, “The height of a dike is determined by the terrain. First, survey the terrain with a water-level. Don’t use a universal standard.” He pointed out that the height of a dike, which varied from one to another, should be determined by concrete terrain. That greatly improved the reliability of the dike restricting currents. The advancement of dike construction technology was also manifested in the design of construction structure. Singing highly of overflow dams, Pan Jixun was proficient in this field as well. He suggested that an overflow dam should be equipped with “a long and slope yanchi, a long dieshui and a short yingshui, all made of stone.” Long and slope Yanchi (or wing wall) means that the two side piers of the dam should extend outward as much as possible and should have a certain slope to facilitate inflow, reduce scouring and energy dissipation of outflow water. A long yingshui was unnecessary and a too long dieshui would increase the damage from scouring to the downstream, so “a long dieshui and a short yingshui” were essential. “All made of stone” was intended to resist scouring and reinforce the effect of energy dissipation. Yingshui is equivalent to today’s apron used in dam projects in the upper reaches; dieshui is equal to today’s apron and seawall in the lower reaches. That is to say, the main hydraulic structures of a modern dam, such as apron, blanket, and seawall, were all been installed in the waterworks of 400 years ago. As far as levee maintenance is concerned, Pan Jixun, in addition to practicing “six methods of planting willows” proposed by Liu Tianhe, made improvements. He

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proposed to plant willows wherever there were dikes for levee protection. He acclaimed, “Willow trees are the best protector of dikes.” After summarizing people’s experience, he admonished, “Choose the prone willows with big roots. Leave more than two chi in the earth and about two or three cun above the ground. Willows should be densely spaced and be kept about two or three chi away from the levee. Grown up, they can provide a natural defense against winds and waves with their leaves and branches. Long willows, which should be kept five or six chi away from the levee, can be used to protect water. Furthermore, annually they yield long branches, which can be used as fascine.” This is really killing two birds with one stone. Apart from planting willows for levee protection, Pan Jixun also summarized the experience of using reeds and Zizania aquatica for dike protection. “Where the dike is close to the waters, reeds and Zizania aquatica should be densely planted at the foot of the levee. First, use pegs to make holes of several chi in depth and plant seedlings in an area over one zhang in width. In the future, these vigorous and productive plants will be a screen against strong winds, freeing the water body from huge waves.” He called this “a key method to defend front dike.” As for the surface of the levee, sow grass seeds on it. “In early spring, after hoeing, densely sow grass seeds. Once they grow luxuriant, they will keep the levee soil in place, free from soil erosion.” These proposals played a significant role in levee maintenance. Today, on the old levees of the Yellow River in Subei, many places are blanketed with luxuriant trees, like a huge green Great Wall. This is inseparable from proposals and practice of our predecessors.

6.3.6.3 Improvement of Dike Maintenance System Drawing upon levees for river control, Pan Jixun attached special importance to levee maintenance. In his opinion, among the reasons for levee breaches two were crucial: poor construction quality and incomplete maintenance system. Consequently, on the one hand, he emphasized construction quality and set strict requirements for the entire works from the foundation to the levee body, as has been stated above. On the other hand, he persisted in summarizing and improving the dike maintenance system. “People tend to put the blame for river breaches on the rampancy of rivers.” He, nevertheless, held a different opinion, “No river is not rampant. It seems as though the rampant enemy has besieged the city, ready to launch an attack. All that matters is the mindfulness of the city defenders (Pan Jixun: Heyi Bianhuo, An Outline of River Control (Vol. 2), P71).” In analyzing the reasons for the frequency increase of levee breaches after a short-term state of serenity, he said that in his three terms, he had a hundred thousand zhang of distant dams installed. His efforts yielded a good result: the rivers were free from breaches and the people lived a peaceful life. However, this state lasted only for a decade, and people seemed to have forgotten that all this was owing to dams and levees and left them all unattended and unprotected from wind and rain, so devastating breaches reappeared. He went on to illustrate like this.” In the Fanjiakou levee, for example, eight out of ten weirs get damaged, but the hydraulic officials pay no attention to them. People who report the damage all get severely whipped. Therefore, is it possible for the river to avoid levee breaches?”

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Here he noted pointedly the considerable human factor involved in embankment breaches. After his river control practice in three terms, he harvested both experience and lessons, so in his fourth term, he put special stress on the establishment and implementation of the dyke maintenance system. From the Song and Yuan dynasties onward, some experience in dyke maintenance was accumulated, though in scattered documentation. Up to the Ming Dynasty, Liu Tianhe also made summaries in some aspects. In the time of Pan Jixun, Wan Gong also proposed that “Dyke building is like frontier construction while dyke protection is like frontier protection.” Wan Gong, Zhu Heng et al. expounded on hydraulic issues such as dyke maintenance and laborer system though they were not systematic nor perfect. Combining the above-stated experience with his own practice and understanding, Pan Jixun put forward a complete system of dyke maintenance. It not only explicitly stipulated various river work technologies such as dyke building, breach closures, construction of dams and sluices, culvert construction, dredging, and bank protection but also summarized a feasible set of approaches to annual embankment maintenance, particularly flood prevention in flood season. These chiefly included laborer systems, levee enforcement system, the four defenses and two types of maintenance, system of labor and material preparation for annual maintenance, system of flood prevention and warning, etc., forming a complete set of systems in dyke building and maintenance. Though initiated by others, the main content of the systems was systematized and perfected by Pan Jixun himself. It is an extremely important part of Pan’s flood control theory as well as a precious treasure left behind by Pan to the later generations, offering valuable guidance on river governance. In his later years, Pan Jixun was deeply aware that river control was not done once for all, so he put high expectations on embankment protection and maintenance, believing that annual maintenance would sustain the river for long (Pan Jixun, An Outline of River Control (Author’s Preface)). For the Yellow River, sure enough, this was next to impossible. However, this set of systems did play an important part in stabilizing the river course and reducing calamities. Beyond that, it provides inspirations for us today in our flood prevention. (Translator:Yongling Wang) (Proofreader: Caiyun Lian)

7

The Concept of Earth-Center in Ancient China Zengjian Guan

Contents 7.1 The Origin of the Concept of Earth-Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.2 The Theory of Earth-Center in Luoyi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3 The Role of the Conception of Earth-Center in the Debate Among Ancient Theories About the Universe Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.4 The Theory of Earth-Center in Yang Cheng . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.5 The Evolution of the Determination for the Position of Earth-Center . . . . . . . . . . . . . . . . . . . 7.6 The Concept of Earth-Center and the Ancient Astronomical and Geological Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.7 The Substantial Evidence of the Concept of Earth-Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.8 The Varieties of the Concept of Earth-Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter mainly tells of the development of the concept of Earth-center in ancient China. The author elaborates this development from four aspects. First, the author introduces the origin of the concept of Earth-center and an influential theory of Earth-center in Luoyi. Second, the author discusses the role the concept of Earth-center plays in the debate between the two theories of canopy-heavens and sphere-heavens, and another important theory concerning Earth-center supported by scholars of the sphere-heaven theory – the theory of Earth-center in Yangcheng. In the third part, the author presents ways to determine the position of Earth-center and some substantial evidence proving its location in Yangcheng. In the last part, the author briefly describes several other theories about the concept of Earth-center.

Z. Guan (*) Division for Development of Liberal Arts, Shanghai Jiao Tong University, Shanghai, China © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_7

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Keywords

The concept of Earth-center · The theory of Earth-center · Ancient theories about the universe structure · Ancient astronomical and geological measurement

In the technology history, or even the entire history of China, a very important but easily neglected concept is the concept of “Earth-center.” What makes it seemingly negligible is its falseness in science, but it plays a pivotal role in Chinese history. The concept is not only an important part of ancient cosmography but also an influential factor in ancient astronomical metrology. The attention to Earth-center influences the development of Chinese ancient astronomy and contribute to some important events in the history of Chinese astronomy. Moreover, it is an important factor in the site selection of ancient capital city, the formation of certain Chinese psychology or even the naming of the state. In 2010, the application from Henan Province for the recognition of “Earth-center building groups” as a UN World Cultural Heritage was approved, which sufficiently demonstrates the importance of the Earth-center concept.

7.1

The Origin of the Concept of Earth-Center

The concept of Earth-center partly comes from the ancient understanding of the shape of the Earth. In the pre-Qin period, the idea of Round Sky and Square Earth (Tian Yuan Di Fang) had existed people’s mind. They thought that the sky and the earth were separated above and below and the earth was flat. The concept of Earth-center is the creation from this idea. People at that time, who had not integrated geographical ideas with infinite thought, never regarded the sky and earth as boundless. Even the theory of Earth Beyond Jiuzhou (ancient China) by Zou Yan, which shocked the world then, was a kind finite thought. Therefore, since the earth was a flat area with finite size, there should be a center of it and this center was called Earth-center. Thereby, the concept of Earth-center is in accordance with the thought of flat earth. If this is the case, then where exactly is such Earth-center? To this question, the ancient people had various responses. One hypothesis is based on the primitive religion, assuming that the place where the sacred tree (Jianmu) was growing was Earth-center. There was once a time in the development of the Chinese nation when the heaven and the earth were reckoned to be connected. In many ancient books, we can find the story of Zhuan Xu who ordered Zhong and Li cut the connection between the heaven and the earth, which proves that in ancient people’s mind the heaven and the earth were interconnected before the cut off. For ancient people, the passage were big trees or high mountains and the sacred tree, Jianmu, was one of those. The chapter of Study on Topography in Huainan Zi reveals the location and function of Jianmu. “Jianmu grows in Duguang where the Gods descend from and ascend to the Heaven.” The Gods refer to all the deities. It is worth pointing out that the passages between the Heaven and the Earth in ancient books include other trees such as Ruomu, Fusang (a large mulberry), Qiongsang, and Xunmu, as well as Jianmu. Among these trees, Jianmu is the only one that has been associated with

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Earth-center because apart from being the passage between the Heaven and the Earth, it also has some astronomical features. It is written in Views on History from Master Lv’s Spring and Autumn Annuals, At the south of Baiming (an ancient country in Chinese mythology), under the Jianmu Tree, where there is no shadow at the midday and no sound from the blowing wind, lies probably the Earth-center.

The almost same description also appears in Huainan Zi. We can know from the quotation that Jianmu Tree was taken the Earth-center not only because of its mythological meaning but also for its important astronomical and physical characteristics which they have attached to the Earth-center, “no shadow at the midday and no sound from the blowing wind.” It is against Chinese Tradition to take “no shadow at the midday” as the astronomical characteristic of Earth-center. In pre-Qin period, the major area for the activity of ancient Chinese was around the Yellow River Basin, but the phenomenon of “no shadow at the midday” can only appear at least at the Tropic of Cancer on the summer solstice, which is far beyond the activity area intellectuals could know at that time. So, the source of this statement is still not so clear, but we have found some responses to it in the later generation in the book of Chronicles of Sakya written by a Buddhist in Tang Dynasty, Once in Donghai (now Shandong Province) of the Kingdom of Song, there was a person called He Chengtian, who was well-known for his exceeding erudition, asking the Buddhist Hui Yan, “Which method do you use to conclude the country of Buddhism as the Earthcenter”. Hui Yan answered, “In Tianzhu (ancient India), on the day of summer solstice, there is no shadow at midday. Thereby, it can be called the center of the Earth. In Zhongyuan (ancient China), measured by Yinggui (an ancient Chinese sundial), there is shadow left. This method has been used by three dynasties with the variation ranging within two points and the final calculation result being always one hou (5 days) deviated. Obviously, it is not the center of the Earth.” Chengtian had nothing to refute.

Buddhism originates from India. Hui Yan’s claim corresponds to the reality of India. The Tropic of Cancer, a latitude where the phenomenon of “no shadow at midday on the summer solstice” does exist, traverses India. With the purpose to raise the status of the calendar system of “the country of Buddhism,” Hui Yan used this theory to prove that India was located in “the center of the Earth.” In Buddhists’ words, his argument made astronomical expert He Chengtian “have nothing to refute,” indicating that at least in the Northern and Southern Dynasties, reckoning “no shadow at midday” as a characteristic of Earth-center was influential to some degree. This argument between He Chengtian and Huiyan is also mentioned in Biographies of Eminent Monks (Chen Yaowen, Tianzhongji 《天中记》 (Categories of Works Compiled in Tianzhong) (Vol. 1), Si Ku Quan Shu (The Complete Library in the Four Branches)). According to these records, the continuation of this theory is relevant to the introduction of Buddhism. Another more closely related to Buddhism theory is the theory of Earth-center in the Sumeru Mountain. The Sumeru Mountain is not native to China but only an

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image in Buddhist scriptures. According to the famous Loutan Sutra in Liang Dynasty, the Sumeru Mountain is located in the center of the world, with a height of 3,600,000 li (1 li ¼ 500 meters) and seven rolling hills surrounding it in a shape of concentric circles. The sun, the moon, and all the stars rotate around it with the blowing of the wind like the floating clouds. The idea of the Sumeru Mountain is an important astronomical and geological concept in Buddhism, but the theory of Earthcenter in the Sumeru Mountain based on it has little influence on the mainstream development of Chinese astronomy, not to mention its influence on Chinese history. Therefore, there will be no more discussion here. Among all the indigenous mountains in China, one similar theory is the theory of Earth-center in the Kunlun Mountains. It is said in one citation from Book of Waterways recorded in Categories of Artistic Works, “The Kunlun Mountains, which are in the northeast and 50,000 li away from the Song Mountain, are in the center of the Earth.” The reason why the Kunlun Mountains could be seen as the Earth-center is certain mythological and astronomical features that the ancients had put in them. Taishigong (an official title in the Western Han Dynasty for historical data recording) Sima Qian cited the words from Annals of Yu in his Records of the Grand Historian-Records of Dawan Country, “The Yellow River originates from the Kunlun Mountains. They are 25000 li high and are considered the source of light for the Sun and the Moon hide themselves there. There are Li Spring and Hua Lake on the top.” Albeit Sima Qian’s suspicion of it, the mythological characteristic implied in this saying has been clearly embodied in his citation. It is also cited from Hetu– Kuodixiang in the volume I of Natural History, “The earth is 300,035,500 li wide from the north to the south and where the land deities live, there are lofty mountains called Kunlun, which are 10,000 li wide and 11,000 li high. This is the place where divine creatures are born and all sages and immortals assemble. There are clouds and mist of five colors around and streams of five colors flowing. The water flows south to the Central Plains and is named as Yellow River. The Kunlun mountains correspond to the celestial world and are right in the center.” It is also described in the Classic of the Mountains and Seas – Classic of the West Mountain, “400 li in the southeast, there are mountains called Kunlun, which are actually the earthly capital of the Emperor of Heaven and in the charge of the deity Luwu.” Since the Kunlun Mountains are “the source of light for the Sun and the Moon hide themselves there,” the place where sages and immortals live, the earthly capital of the Emperor of Heaven and correspond to the center of the celestial world, isn’t it so appropriate to call them the Earth-center? But this Earth-center, like in the theory of Earth-center in the Sumeru Mountain, barely exerts any practical influence on the development of ancient Chinese astronomy and society.

7.2

The Theory of Earth-Center in Luoyi

The more influential theory in Chinese history is the theory of Earth-center in Luoyi. There are many records about it in ancient books, such as the one in Lun Heng – Denounce on Taisui (an ancient demon), “The Confucians discuss the division of the world into nine states, asserting from east to west, from south to north, the width and

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length of the whole land are 5,000 li respectively, within which ‘Three Rivers’ are considered the central area. The Duke of Zhou tells the fortune on the home position and it is said in the classic, ‘Emperor Cheng came to inquire the command of the god through divination and govern the country in person in the central area.’ Thereby, Luo (雒) is the central area.” Luo (雒), also written as Luo (洛), has been named as Luoyi after the Zhou Dynasty. It is located in now Luoyang City. The central area above is the Earth-center, which means, at least from the time of the Duke of Zhou, Luoyi has been regarded as the Earth-center. Part of the reason for Luoyi being called as the Earth-cent is related to its cultural background. In terms of the geographic location, Luoyi is situated at 34.5 degrees north, a place suitable for living and inhabiting for our ancestors in ancient times and also one of the birth place of ancient civilizations. It is said in the Records of the Great Historian – Treatise on Religious Sacrificial Ceremonies, “The residence of the past three dynasties (Xia, Shang, Zhou) were all between the Yellow River and the Luo River (the so called ‘He-Luo area’ which is the surrounding area of Luoyi).” This statement is credible and also verified by archaeological excavation. In ancient times, the small range of social activity area often led to a feeling that the place they resided was the center of the world. Since the civilization of He-Luo area developed earlier than other civilizations, the thought of considering Luo as the center of the world has inevitably influenced people of other relatively backward civilizations. This is the historical root of the theory of Earth-center in Luoyi. The popularity of the theory of Earth-center in Luoyi is attributed to its connection with the construction of Luoyi by the Duke of Zhou. After the Battle of Muye, the Zhou people defeated the Yin people (people of the Shang Dynasty) and the Emperor Wu of Zhou Dynasty wanted to build the east capital in Luoyi for it was the center of the world. The description this event appeared in the Records of the Grand Historian – the Basic Annuals of Yin, the Emperor Wu of Zhou “built the Zhou city in Luoyi and then left.” But the Emperor Wu of Zhou did not finish the building process (Yizhoushu-Duyi 《逸周书·度邑》 (The Book of the History of the Zhou Dynasty-Duyi)). After his death, his unfulfilled wish was carried on and under the host of the Duke of Zhou, the Zhou people eventually completed the construction of Luoyi (References: Sima Qian, Historical Records – Zhou Benji; Yizhoushu –Zuoluo 《逸周书·作雒》; Shang shu-Zhou shu-Kanggao 《尚书·周书·康诰》). On the building of Luoyi, the Duke of Zhou had his thought in politics. Zhou was a small state and it was not easy to annihilate the Yin (the Shang Dynasty) in such a short time. In this situation, one of the problems that the politicians in the early period of the Zhou Dynasty had to confront was how to appease the unbowed people of Yin and how to govern the whole country with the center of Zhou being in the far west Haojing City. And building the city Luoyi became one of their resorts. People in the Han Dynasty summarized this and said, “Why would all the emperors like to choose the center of the world as their capitals? This is the way to preach equally, trade fairly, make all the good or bad deeds heard easily, have people behave both rightly and carefully to reduce the crime (Baihu Tong Jing Shi; Baihu Tong Shu Zheng, (The Collation and Annotation of the Minutes of the Confucian Classics) Vol. 1, (1994). Zhonghua Book Company. P 157).” Indeed, considering the condition of ancient society, it is managerially more convenient to put the capital in the geological center.

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As the Duke of Zhou has always been admired as a model politician by Confucians, the historical event of building Luoyi directed by the Duke of Zhou has doubtlessly hallowed the theory of Earth-center in Luoyi and made it more acceptable. This is the political reason for the ancient people considering Luoyi as the Earth-center. The climate condition of Luoyi is another element that associates it with the Earthcenter. The Earth-center, in people’s mind, should be a place where there are harmonious Yin and Yang, balanced day and night, comfortable temperature and favorable weather condition, all of which makes it a perfect for human habitation. The Yiluo plain at that time satisfied all these conditions. Zhang Heng of the Eastern Han Dynasty, who is famous in the literature history for his Ode to the Two Capitals, wrote about the astronomical and climate features of Luoyang in his Ode to the Eastern Capital, “Once when the former Emperor governed Luoyi, supervising the nine states and measuring the whole land; when using the Tugui (an ancient Chinese sundial) to measure the shadow, it was neither short or long; it was the place where there were both wind and rain and then he built the capital there (Zhang Heng, DongJing Fu (Ode to the Eastern Capita). A Collection of Literature Works by Zhaoming, Vol. 3).” Zhang Heng is an important representative of Huntian School (an Taoist school) and his description of Luoyi mainly focuses its astronomical and climate features. The uniformity between his words and the description of the Earth-center in Book of Rites demonstrates the great impact of the theory of Earth-center in Luoyi.

7.3

The Role of the Conception of Earth-Center in the Debate Among Ancient Theories About the Universe Structure

The concept of Earth-center plays an important role in Chinese history, primarily in the history of astronomy with the highlighted debate between the theories of canopyheavens and sphere-heavens. These are two important theories of practical value in Chinese ancient cosmographic research. Once the debate between them lasted for hundreds of years and the concept of Earth-center had a role in it but did not receive enough attention from us. Compared with the theory of sphere-heavens, the theory of canopy-heavens was proposed earlier. According to this theory, the sky and the earth are similar in shape but separated above and below. “The sky is like a hat and the earth resembles an upside-down plate, both of which are in the shape of dome. The North Pole, with the highest altitude, is the center of the sky and earth and the four sides around it slopes down. The lights of the sun, the moon and the stars conceal and show themselves alternatively to form day and night. On the winter solstice, the center of the sky is 60,000 li higher than the orbit of the Sun and the earth in the North Pole is also 60,000 li higher than that under the orbit of the Sun. The orbit of the Sun is 20,000 li higher than the earth in the North Pole. The convex surfaces of the sky and the earth parallel to each other with a distance of 80,000 li (Li Chunfeng, JinShu-Tianwenzhi Vol.1 (History of Jin-Treatise on Astronomy)).” Obviously, the theory of canopyheavens rebuts the theory of Earth-center in Luoyi which claims the center of the

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human world as the Earth-center and sublates the theory of Earth-center in Kunlun Mountains in the pre-Qin period. The theory of Earth-center in Kunlun Mountains has its own characteristics. In terms of topography, this theory emphasizes the “great height of the ground” in the Earth-center and astronomically it regards the Earth-center as “the source of light for the Sun and the Moon hide themselves there.” The signs of both the two features can be found in the Earth-center concept in the theory of canopy-heavens. In fact, “the North Pole being the center of the sky and earth” is a reasonable deduction from the theory of canopy-heavens. According to this theory, the sky above rotates horizontally with the North Pole being the rotation center and since the sky and the earth are in the similar shape, undoubtedly the ground under the North Pole, which is far away from human residence, should be the center of the earth. However, the conclusion of “the North Pole having the highest latitude and the four sides around it sloping down” cannot be drawn from the theory. Therefore, this saying may have been influenced by the theory of Earth-center in Kunlun Mountains. These two theories also approximate each other in the notion of the Earth-center’s orientation. Based on the above reasons, after the theory of canopy-heavens was substituted for by the theory of sphere-heavens, its Earth-center concept did not disappear with it but was combined with the theory of Earth-center in the Kunlun Mountains, which was later used by Taoism. As the Japanese scholar Fukunaga Mitsuji once said, “the idea of regarding the Kunlun Mountains as ‘the Earth-center’ to make it correspond to Dubhe, the Polaris, and the grant world geographical theories about the ‘residence of the Arctic Emperor’, Ziwei Star in the North Pole have completely become the prototype of the Taoist cosmology after the Six Dynasties period.” One of the foundations of the theory of canopy-heavens is measurement. One of its strengths is to calculate the height of the sun and the sky and the seven orbits of the sun in the sky by using the sundial to measure the shadow. When measuring the spatial position of stars, it adopts the method of “tying a rope to the ground to point the star” called Zhoutian Lidu “周天历度” (the great circle of the celestial sphere is 360 du, also equal one Zhoutian ), which is described at length in the book Zhoubi Suanjing (Zhoubi Computing Classics). First draw a circle with a diameter of “121 chi (1/3 meter) 7.5 cun (1/3 decimeter)” on the ground; with “the 1: 3 ratio of the diameter and the perimeter,” the circumference of the circle should be 36514 chi. Take 1 chi as 1 du and then the circumference can be divided into 36514 degrees, which is in accordance with the circumference division of the sky. Based on this, set up a mark post in the center. Then “tie a rope to the top” to aim at stars in the sky and meanwhile set up a “Moving Gauge” on the circumference to indicate the relative location of stars on the circumference so that the degrees of stars from each other can be measured. This measuring method in Zhoubi Suanjing reflects a proportion corresponding measurement idea, which is consistent with its cosmographic theory. According to Zhoubi Suanjing, the aim of drawing a circle on the ground and dividing the circumference into 36514 du is to “match the 36514 du of the sky circumference,” that is, to correspond to the degrees of the large circle around the sky. Based on the cosmic theory in the theory of canopy-heavens, since the sun, the moon, and the stars rotate horizontally on the canopy of the sky, in order to measure the degrees of stars

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from each other, we must project them in a smaller form on the earth and thus we need to draw a circle on the flat ground for measurement. Obviously, as long as we have the distance between star projections on the small circle measured, the distance between stars in the sky can be known correspondingly. It is not easy to get accurate results from this measuring method in Zhoubi Suanjing, but as the scientist Qian Baozong once said, “Although ancient Chinese people didn’t know how to use angles, with the projection measuring method in Zhoubi Suanjing, the positions of the sun, the moon and the stars in the sky also can be known roughly.” But according to the theory of canopy-heavens, the measuring method in Zhoubi Suanjing also has some defects. The problem lies in the location of what the theory of canopy-heavens calls the “Earth-center,” because if the measurement is carried out fully through the proportion corresponding method, it can only be taken in the center of the earth, so as to ensure the complete corresponding of the small circle on the ground with the large circle of the star moving sky and the accurate projection of the star distribution on the smaller circle. However, the Earth-center in the theory of canopy-heavens is as far as the North Pole, which makes it impossible for people to make the measurement there. It is difficult for the theory to solve this conflict. The theory of sphere-heavens originates in the middle period of the Western Han Dynasty. During his reign, in order to make Taichu Calendar, Emperor Wudi organized a panel of people, including folk astronomers, which was led by Sima Qian. Among these people, Sima Qian believed in the theory of canopy-heavens while some members like the folk astronomer Luo Xiahong believed in the theory of sphere-heavens. There was a so substantial divergence of their opinion during the calendar making process that the work was forced to be suspended. Therefore, Sima Qian had to report to Emperor Wudi about this situation and the emperor had no choice but dissolve this panel and let them work out their own calendar. In the end, by comparison, Emperor Wudi chose the Eight-one Sub-calendars made by Luo Xiahong, Deng Ping and their team as the ultimate version of the Taichu Calendar to promulgate in the country. The controversy over the theories of sphere-heavens and canopy-heavens caused by the making of the Taichu Calendar was primarily on the questions concerning measurement. The observation method used by Sima Qian et al. was “confirming the east and the west, setting up the sundial instrument and placing the water-dripping time keeper to measure the distance between the 28 constellations in the four directions (Ban Gu, Han Shu – LvLizhi. (Book of Han- Treatise on Bells and Almanac)).” This has something in common with the method of setting up a sundial instrument to measure degrees described in Zhoubi Suanjing. However, this method was opposed by scholars of the sphere-heavens theory. They reported to the emperor to dispute “the positions of the planets in the first lunar month on Taichu Calendar” measured by Sima Qian, and Shexing, who took the position of Dadianxing said: “it can’t count,” etc., while Luo Xiahong et al., on the basis of sphere-heavens theory, used the its early armillary sphere “to rotate the armillary sphere in the Earth-center, to determine seasons and to write the Taichu Calendar for Emperor Wudi (Li Chufeng, Shui Shu-Tianwen

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Vol.1 《隋书·天文上》 (History of Sui-Treatise on Astronomy)).” “Rotating the armillary sphere” means using the armillary sphere to observe astronomical phenomena. This is how the concept of Earth-center stepped on the historical stage for the conflict between the sphere-heavens theory and canopy-heavens theory, as revealed by the words of Luo Xiahong, “to rotate the armillary sphere in the Earth-center.” Since the capital of the Western Han Dynasty, Changan, has never been regarded as the Earth-center in the history, Luo Xiahong must have taken the measurements in the Earth-center admitted by the scholars of the sphere-heavens theory, which is far away from Changan. Considering the transportation at that time, this is no easy task. However, the description of Luo Xiahong “rotating the armillary sphere in the Earth-center” is a retelling version by Yu Xi of the Jin Dynasty. The records in the Records of the Grand Historian and the Book of Former Han only says that Luo Xiahong “calculated and Zhuan calendar” without mentioning his observation of the sky. Although the term “Zhuan Calendar” may be interpreted in different ways, such as “rotating the armillary sphere and making the calendar” which can affirm Luo Xiahong’s observation of the sky, whether the place of “rotating the armillary” was in the Earth-center still cannot find any trace in the Records of the Grand Historian and the Book of Former Han. But, scholars of the sphere-heavens theory of later generations said yes to this question. This is because, in their minds, “the sun, the moon and the stars, regardless of spring or autumn, winter or summer, day or night, dawn or dusk, were at the same distance vertically from the Earth-center (Li Chufeng, Shui Shu-Tianwen Vol. 1 (History of Sui-Treatise on Astronomy)).” That is to say, the Earthcenter was the ideal place for astronomical measurements, where the measuring can complied with the requirement of the proportion corresponding measurement idea, and the result was of the most authority and reference value. The result might be hard to be accepted if the measurement had not been taken in the Earth-center. This is why Wang Fan in the Three Kingdoms period, after demonstrating the various characteristics of the Earth-center, once clearly pointed out, “the six official positions were set by the Duke of Zhou; the Pythagorean theorem was now a definite thing; the degrees measured by the sundial had been verified; by analogy, the closer to the Earth-center, the more detailed was the result (Gautama Siddha, The Treatise on Astrology of the Kaiyuan Era (Vol. 1)).” Li Chunfeng of the Tang Dynasty, when annotating the Zhoubi Suanjing (Volume I), cited the data of “the shadow in the summer solstice being 1 chi 5.8 cun long” from The Biography of Hong Fan by Liu Xiang of the Western Han Dynasty and specifically pointed out, “at that time, the capital of the Western Han was Changan but Liu Xiang never mentioned the place of measuring the shadow. If it were in Changan, the sundial shadow measured were not the right one.” Thereby, from the perspective of scholars of the sphere-heavens theory of later generations, the identification of the position and function of the Earth-center was a noticeable question in the rivalry between the sphere-heavens theory and canopy-heavens theory and Luo Xiahong laid the foundation for the triumph of the sphere-heavens theory by taking the measurements in “Earth-center.” For us, at least in the history after the period of Three Kingdoms, the concept of Earth-center played its part in the development of the arguments among ancient cosmographical theories.

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The Theory of Earth-Center in Yang Cheng

The scholars of sphere-heavens theory reject the concept of Earth-center in the theory of canopy-heavens, but where is the Earth-center in their mind? There are two answers: one is in Luoyi and the other one in Yangcheng. The theory of Earthcenter in Yang Cheng, in particular, occupies an extremely important position in the history of Chinese astronomy. Yangcheng is now the Gaocheng Town in Dengfeng City of Henan Province, only tens of kilometers away from Zhengzhou City in the southwest. The origin of Yangcheng can find its earliest record in the book Mencius. Once, Emperor Shun recommended Yu to the God. Seventeen years later, Emperor Shun died and after three years of mourning period, Yu steered clear of Shun’s son to go to Yangcheng and people from all around the country followed him just like their following of Shun, after the death of Emperor Yao, instead of Yao’s son. (Mencius – the Passage of Wan Zhang Vol. 1)

People held different views on the location of Yangcheng where Yu lived, but later after Yangcheng was regarded as the “Earth-center,” there have been no objections to the location, which is the now Gaocheng Town in Dengfeng city of Henan Province where the Dengfeng Astronomical Observatory is placed. The description of Mencius gives the geographical concept of Yangcheng a certain political meaning, relating it to the capital of the country and the support of the people. The so-called the capital of the Xia Dynasty is another manifestation of this saying. And in the limited knowledge of ancient people, where the capital is situated should be the Earth-center. The book The Minutes of the Confucian Classics Seminar in Baihu Temple written by people of the Han Dynasty has always been regarded as the product of the seminar in Baihu Temple in the Eastern Han Dynasty, which reflects the academic consensus reached by both the majestic emperor and the modest Confucian scholars. The relationship between the capital and the Earthcenter is mentioned in this book, “Why would all the emperors like to choose the center of the world as their capitals? This is the way to preach equally, trade fairly, make all the good or bad deeds heard easily, have people behave both rightly and carefully to reduce the crime.” The record in The Minutes of the Confucian Classics Seminar in Baihu Temple is a specific description of the political meaning for the concept of Earth-center by ancient people. Although the earliest Chinese dynasty, the Xia Dynasty, initially chose Yangcheng as its capital, it was determined by the Duke of Zhou that Yangcheng was the Earth-center. After assisting Emperor Wu in destroying the Shang Dynasty, in light of the Zhou’s remote location in the west and the inconvenience in governing the new country after the unification, the Duke of Zhou chose to establish the capital near the Earth-center to govern the country. This is the origin of Luoyi. According to later documents, the Duke of Zhou first researched into and found out the Earthcenter before his construction of Luoyi, but the Earth-center determined by him was not in Luoyi, but in Yangcheng.

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How the Duke of Zhou decided the Earth-center is unknown to us, but the Rites of Zhou -Grand Minister of Education recalls the definition of the Earth-center made by people at that time, which might be the basis of the Duke of Zhou’s survey. The place where the shadow measured by the sundial at the midday of the summer solstice is 1 chi 5 cun is called the Earth-center. It’s the convergence place of the heaven and the earth, the four seasons, the wind and the rain, the yin and the yang. Therefore, all the creatures there grow luxuriantly and thereby a country is built.

In the Rites of Zhou, the Earth-center was defined based on the sundial shadow length of 1 chi 5 cun at the midday of the summer solstice. The reason was once explained by Xiao Liangqiong. In his opinion, in the Shang Dynasty, Biao, an ancient astronomical instrument, was called “Zhong,” so “standing Zhong” means standing Biao. People at that time marked the basic central coordinate point for the measurement through “standing Zhong” and they thought any place could be made as the measurement center and be place to “stand Zhong.” However, people found in practice that the length of the shadow measured by Biao was different in different places, which inspired them to look for the Earth-center through a certain shadow length. The definition in the Rites of Zhou- Grand Minister of Education thereby arose from this. Judged from the last sentence in this citation from the Rites of Zhou, it seems that the Earth-center determined by the Duke of Zhou should be in Luoyi, the now Luoyang, but most of the scholars in later ages believes that it is in Yangcheng. The scholar Chen Yaowen in the Ming Dynasty compiled the reference book Tianzhongji, the Volume I of which cited the words from the Records of Taikang, “the Yangcheng County of Henan Province should be the Earth-center; the 5 cun long shadow at the midday of the summer solstice could be the indication (The Annals of Dengfeng County. the eighth year in the Jiajing period of the Ming Dynasty).” And the scholar of Dengfeng County, Chen Xuan, recounted the story of how Yangcheng becoming the Earth-center. Which is the Earth-center determined by the Duke of Zhou? It was normally said Luoyi should be the center of the earth. The Duke of Zhou tested this using the Tugui (an ancient Chinese sundial) and it turned not to be the right center. The he did the measurements in the place a hundred li southwest to Luoyi, where Yangcheng was situated. This was right in the center of the Earth. (The Annals of Dengfeng County. The eighth year in the Jiajing period of the Ming Dynasty)

This means the Duke of Zhou took the measurements through the method mentioned in the Rites of Zhou and the result proved that the Earth-center was in Yangcheng. Chen Xuan was from the Ming Dynasty, but there had been many scholars holding the view of Earth-center in Yangcheng before him. For instance, Fan Zhongyan, a statesman of the Northern Song Dynasty, once mentioned in his Twelve Poems Written During the Trip to Mount Song, “On the highest point of Mount Song, the leisurely traveller mounted by accident. Looking back to the shadows of the sun and the moon, he found it right in the center of the earth. To

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memorize this special trip, He felt very comfortable never like this (The Annals of Dengfeng County. The eighth year in the Jiajing period of the Ming Dynasty).” The History of Sui-Treatise on Astronomy, which has always been regarded as a classic in the history of the Chinese history, further recounted from the astronomical perspective, “In the past, the Duke of Zhou measured the shadow length in Yangcheng referring to the deeds of past dynasties. . .all the previous scholars said that he stood an eight chi long Biao (the measuring instrument) on the summer solstice day in Yangcheng and the length of the shadow matched to the one measured by Tugui.” Jia Gongyan of the Tang Dynasty and Zheng Xuan and Zheng Zhong of the Eastern Han Dynasty, when annotating the Rites of Zhou, all thought Yangcheng was the Earth-center determined by the Duke of Zhou. The idea of Yangcheng being the Earth-center has been fully reflected in the official history records especially the treatises on bells and almanac and astronomy of past dynasties. However, all the documents demonstrating the Duke of Zhou determined Yangcheng as the Earth-center were published in later ages and the truth of the history is still unknown to us. What need to be noted is that the many quotations above can only indicate the importance of the theory of Earth-center in Yangcheng in the history of Chinese Astronomy.

The saying of Earth-center in Yangcheng has certain cultural background. In terms of the relationship between the concept of Earth-center and the center of early human activities, “Yangcheng, the capital during the reign of Emperor Yu” is a common term in ancient documents and the archaeological excavation also confirms the existence of the early Yangcheng in the Spring and Autumn Period and the Warring States Period, which is indeed located in today’s Gaocheng Town, Dengfeng City of Henan Province (The Museum of Henan Province etc. The Survey on the Ruins of Yangcheng in Dengfeng City of Henan Province and the Excavation Attempt of the Iron Casting Ruins. Cultural Relic, 1997). This proves that the saying of Earth-center in Yangcheng has its historical origin. In addition, Yangcheng is close to Mount Song, which also had the irreplaceable mystique in ancient society. Remarks of Monarchs-Remarks of Zhou (Book 1) contains the sentence, “Once, when the Xia Dynasty was rising, Rong came down to Mount Chong.” Rong refers to the god of fire, Zhu Rong and Mount Chong is Mount Song. Therefore, Mount Song also functioned as a communication channel between the heaven and the earth. Empress Wu Zetian offered sacrifices to heaven on Mount Song for many times, which is the very effect of this mystique in later ages. The capital of the Xia Dynasty being Yangcheng naturally made it the center of the country. The combination of this idea with the mystique of Mount Song and meanwhile the conforming with the requirements of Earth-center in astronomy made it the Earth-center recognized by quite many astronomers. It is because both the theory of Earth-center in Yangcheng and the theory of Earth-center in Luoyi have their own grounds respectively that these two theories have their own believers in later ages. Li Chunfeng said in his annotation of Zhoubi Suanjing (Vol. 1),

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It is written in Rite of Zhou-Position of the Grand Minister of Education, ‘the length of the shadow on the summer solstice is 5 cun.’ Ma Rong thought it was in Luoyang while Zheng Xuan thought it was in Yangcheng.

Ma and Zheng were both master scholars who were good at annotating classics. They even could not agree on this, not to mention the later generations under their influence. The metrical data used by some later astronomers also mostly came from these two places. In this regard, Li Chunfeng recounted in his annotation of Zhoubi Suanjing (Vol. 1), It is written in Treatise on Almanac of the Eastern Han Dynasty, “the shadow on the summer solstice is 1 chi 5 cun.” The length of the shadow on the winter solstice in the Eastern Han Dynasty was 1 zhang (3 1/3 meters) 3 chi and this figure was kept until the Tianjian period of the Liang Dynasty. . .the shadow measured by Jiang Ji was 1 chi 5 cun. The capital of the Kingdom of Song, Jiankang, was in Jiangbiao (the area on the south of the Yangtse River) but the astronomer then measured the shadow in the far-off Yangcheng and got the result of 1 zhang 3 chi on the winter solstice. In the calendar made by Zu Chongzhi in the Daming period of the Kingdom of Song, the shadow was 1 chi 5 cun on the Summer solstice. The shadow was as the former and 1 zhang 3 chi on the winter solstice in Moling, the capital of Song (now Nanjing). Xin Dufang of the Northern Wei Dynasty said in his annotation of Zhoubi Sishu (the first year of the Yongping period, Wuzi year, was the seventh year of the Tianjian period of the Liang Dynasty), “I saw the shadow measuring in Luoyang.” . . . In the fourth year during the Kaihuang period of the Sui Dynasty, the shadow, measured in Luoyang, was 1 chi 4.8 cun on the summer solstice and 1 zhang 2 chi 2.8 cun on the winter solstice.

Thus, it can be seen that though “all the previous scholars said that he stood an eight chi long Biao (the measuring instrument) on the summer solstice day in Yangcheng and the length of the shadow matched to the one measured by Tugui (Li Chunfeng, The History of Sui (Vol. 19)- Treatise on Astronomy),” the scholars of the sphere-heavens theory did not reach a consensus on whether the Earth-center was in Yangcheng or Luoyang. Generally speaking, there were more people supporting the theory of Earth-center in Yangcheng theoretically, which was obviously shown in treatises on astronomy or bells and almanac, etc. of previous ages. However, in the actual measurement, due to the many restrictions, people would prefer to carry out the measurement in the central city. This is the reason why there are many records of measuring the shadow in Luoyang in history. Anyway, it is no doubt that the concept of Earth-center has played an important role in the debate between the theories of sphere-heavens and canopy-heavens and the development of sphere-heavens.

7.5

The Evolution of the Determination for the Position of Earth-Center

Considering the importance of the concept of Earth-center in the sphere-heavens theory and the arguments about its exact location, scholars of the sphere-heavens theory wandered if they could determine the location with the method of standing a

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pole to measure the shadow based on the definition of Earth-center in the Rites of Zhou. The Rites of Zhou-Grand Minister of Education provides the definition for the Earth-center and the measuring method. Use the method of measuring shadow by Tugui to determine the diameter of the earth and collaborate the shadow. When the measuring place is in the southward, the shadow is shorter and the weather is hotter; when it is in the northward, the shadow is longer and the weather is colder; when it is in the eastward, the sun has been slightly in west at midday and the weather is more windy; when it is in the eastward, the sun is still slightly in the east at midday and the weather is more cloudy and rainy. When the shadow measured at the midday of the summer solstice is 1 chi 5 cun, this place can be called Earth-center.

The view of the scholars of the sphere-heavens theory on this is that “this is the correct idea of sphere-heavens theory and the basis of astronomical observation through instruments (Li Chunfeng, The History of Sui (Vol. 19)- Treatise on Astronomy).” But this definition is a little rough after all, because only the content described in the sentence, “when the shadow measured at the midday of the summer solstice is 1 chi 5 cun, this place can be called Earth-center,” operable. If we really look for the Earth-center according to this definition, we will find numerous locations that fit this condition, because the earth is actually a sphere which means the shadows measured at the same latitude have the same length. For this reason, the ancients felt keenly the difficulty of measuring through this method and the History of Sui – Treatise on Astronomy wrote about this method as, “using the method of measuring shadow by Tugui to collaborate the shadow in the Earth-center lacks detailed and intact description in documents and the explanations by previous scholars are not clear and thorough.” Thus, it is obviously quite difficult to determine the location of the Earth-center based on it. In the northern and southern dynasties, the situation improved. The great mathematician, Zu Geng (also called Zu Gengzhi in some books), “synthesized the annotations and explanations to infer the Earth-center” and invented a method to determine the Earth-center through standing a pole and measuring the shadow, which is cited in detail as following: First test at the early morning and late afternoon and set the scale and time. And then put the instrument on a flat ground, naming it South Biao (a pole used for measuring). Determine the exact time of midday through the clepsydra and further set up another Biao at the end of the shadow, naming it Mid-Biao. At night, set up a third Biao called North Biao in the direction of the North Pole and make sure the three Biaos are in a line. All the three Biaos must be positioned by plummets and then carry out the measurement. If the three Biaos are in a line, the place where they stand is exactly at the meridian; If they are not in a line, the place is deflective. The deviating direction can be determined by observation the Mid-Biao. If it is in the west, the setting place is on the west of the Earth-center and the instruments should be moved eastward to search for the Earth-center; If it is in the east, the setting place is on the east of the Earth-center and the instruments should be moved westward. Only the place where the three Biaos are in a line can be the Earth-center. Then on the morning of the spring and autumnal equinoxes, when the sun rises halfway in the east, put up a Biao to the east of the Mid-Biao called East Biao and make sure it is in a line with the sun and the Mid-Biao. At the dusk of the same day, when the sun sets halfway in the west, put up another Biao to the

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west of the Mid-Biao called West Biao and also make sure it is in a line with the sun and the Mid-Biao. The place where the three Biaos are in a straight line is the center of the earth in the north-south direction. If the Mid-Biao deviates southwards from the East and West Biaos, the measuring place is on the south of the prime vertical; if the Mid-Biao deviates northward from the East and West Biaos, the place is on the north of the prime vertical. The place where the three Biaos are right in the straight line of east-west direction is right in the center of the earth and the exact place on the prime vertical. (Li Chunfeng, The History of Sui (Vol. 19)Treatise on Astronomy)

Zu Geng’s method of determining the Earth-center through five Biaos shows a clear geometrical meaning, the view of flat Earth. He thought there was only one line the east-west direction and the north-south direction, respectively, and the intersection point was the Earth-center. In order to determine the due north-south direction, he introduced the time keeper to decide the exact time of midday through the clepsydra and compared the shadow direction at the midday with the north pole direction at night to determine the due direction. Meanwhile, he determined the due east-west direction by the directions of the sunrise and sunset on the spring and autumnal equinoxes. After the determination of the two perpendicular directions, the intersection point could be the specific location of the Earth-center. Zu Geng built connection between time and space and used time to make the prediction spatially to determine the location of the Earth-center. This practice was the first in the history of Earth-center determination and the clear geometric characteristic, rigorous argument and being mathematically impeccable won the recognition from later generations for it. The History of Sui – Treatise on Astronomy cited and recorded it in detail, and Jia Gongyan of the Tang Dynasty also applied the ideas of five Biaos in his explanation of the Rites of Zhou-Grand Minister of Education, as expressed in the sentence, “when the measuring place is in the southward, the shadow is shorter and the weather is hotter; when it is in the northward, the shadow is longer and the weather is colder.” In his notes, he believed the Duke of Zhou must have used the five Biaos to determine the Earth-center. He said, “When the Duke of Zhou measured the shadow, he set up 5 Biaos. A Mid-Biao was put in Yangcheng of Yingchuan County with one a thousand li to the south, one a thousand li to the north, one a thousand li to the east and one a thousand li to the west.” And then through the observation of these Biaos, the location of the Earth-center could be determined. Obviously, the saying of the Duke of Zhou using five Biaos to determine the Earth-center only came from the imagination of Jia Gongyan, which was his expansion of Zu Geng’s idea of five Biaos. This can further prove the influence of this idea. However, the development by Jia Gongyan makes it lose operability. The Zu Geng’s method of using five Biaos is quite rigorous in mathematical model construction, but its premise – the flat Earth with a center – is wrong. Therefore, if this method were adopted to carry out the measurement, the Earthcenter would be found at any place on Earth. This is why the book The History of Sui – Treatise on Astronomy exclaimed, “the ancient method is brief and difficult of understand it purport; the studies and measurements by astronomers are different from each other.” This shows its doubts on the determination of the Earth-center.

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In the Yuan Dynasty, the concept of Earth-center still existed. The astronomer in the early period of the Yuan Dynasty, Zhao Youqin, also carefully explored the measuring method for the Earth-center. He simplified the traditional method of five Biaos and used only one Biao to determine the Earth-center. The method is as following: “At the midday, draw the short shadow on the ground as the reference line to the north and then install an observational tube on the top of Biao to observe the North Pole along the reference line. If the North Pole is right in the center of the tube, the place must be in the middle of the east-west direction (Zhao Youqin, Ge Xiang Xin Shu- Tian Di Zheng Zhong 《革象新书·天地正中》 (New Book on Changing Phenomena-the Center of the Earth and Sky)).” The direction measured by this method is due north and south. Because according to the concept of flat Earth, the due north-south direction is the one and only which is right in the mid-point of the east-west direction, Zhao Youqin called it “the middle of the eastwest direction.” After this step, measure time before the spring and autumnal equinoxes through clepsydra as the basis “to observe the shadow of the Biao at 6 a.m. and 6 p.m. on the second day before the spring equinox or after the autumnal equinox when the sun is right above the equator, and draw the shadow on the ground as the reference line in the east-west direction. If the two shadows measured at the two times are straight in a line without deviation, the measuring place is at the middle point in the north-south direction. If the two shadows bend southwards, the place is slightly on the south; if the two shadows bend northwards, the place is slightly on the north.” Zhao Youqin evaluated his invention and said, “since this method uses the shadow at midday and the North Pole to determine the mid-point in the east-west direction and uses the shadow in this direction to determine the mid-point in the north-south direction, it is the most accurate measuring method (Zhao Youqin, Ge Xiang Xin Shu- Tian Di Zheng Zhong (New Book on Changing Phenomena-the Center of the Earth and Sky)).” Indeed, this method would be undoubtedly tenable with the condition that his cosmographical model were right. Essentially, the method of using one Biao by Zhao Youqin and the method of using five Biaos by Zu Geng are the same, which both abandon the traditional definition of taking the place where the shadow measured on the summer solstice is 1 chi 5 cun as the Earth-center and take the measurement purely in terms of geometry. But due to the wrong premise, the result obtained in actual measurement could be uncertain. In Chinese history, any practice trying to determine the Earth-center through actual measurement is unpractical. However, for ancient Chinese, the exactness of the location of Earth-center would directly influence the setting of the calendar system. Whether the method of “tying a rope to the ground to point the star” in the theory of canopy-heavens or the measurement by the armillary sphere in the theory of sphere-heavens was used, the location of “Earth-center” was critically important. Thus, they had to study the concept of Earth-center constantly. But mathematically the method of five Biaos by Zu Geng was insurmountable for further study. In this case, ancient Chinese people began to explore this topic from a more fundamental perspective.

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The Concept of Earth-Center and the Ancient Astronomical and Geological Measurement

The definition of the Earth-center in the Rites of Zhou – the Grand Minister of Education is “the place where the shadow measured by the sundial at the midday of the summer solstice is 1 chi 5 cun is called the Earth-center.” How did this definition appear? Zheng Xuan annotates it and wrote, “1 chi and 5 cun of the shadow means that at the midday of the summer solstice. The diameter of the earth is thousands li long and this method uses the shadow of the sun and 1 cun equals to 1 thousand li.” From this point of view, the definition of the Earth-center came from the traditional idea of a thousand li on Earth reflecting 1 cun in shadow just as the words by Zhu Xi, “in the Annotation of the Rites of Zhou, 1 cun measured by Tugui is 1 thousand li. The diameter of the earth is just 30,000 li long and the shadow measured by Tugui is 1 chi 5 cun which means 15,000 li. Thus, the measuring place is in the Earth-center and the distances between south and north, east and west are 30,000 li respectively (Zhang Jiushao, The Classification of Science Works (Vol. 1)).” The definition of Earth-center is based on the saying of the distance of one thousand li reflecting on the shadow as 1 cun, but the failures to determine the exact location of the Earth-center even with the method of five Biaos by Zu Geng aroused people’s suspicion of the traditional idea of one thousand li being one cun. Liu Zhuo of the Sui Dynasty once pointed out clearly, In Zhouguan, the shadow at the midday of the summer solstice is 1 chi 5 cun. The former scholars, like Zhang Heng, Zheng Xuan, Wang Fan and Lu Ji, all thought the distance of one thousand li was represented by one cun on the shadow and said the Earth-center was 15,000 li south under the sun and the shadow of the Biao was straight accordingly, but the height of the sky was different. This calculation proved to be infeasible in examination and there was also no record of one cun representing a distance of one thousand li in classics, which means this is just an assumption and can not be drawn on. (Li Chunfeng, The History of Sui (Vol. 19)(Treatise on Astronomy))

Liu Zhuo believed this problem could only be solved through field measurement and he suggested this measurement should be organized and taken immediately. He said, I think the sphere-heavens theory must be based on some rules and if the li in the rules is uncertain, the results should be reviewed. Since in Your Majesty’s reign, the whole country is in peace and prosperity, this is the right time to correct the wrong theories. We should hire a hydraulic engineer and scholars of mathematics and let them choose a flat ground on the north of Henan Province and measure a place of several hundred li in the direction of due north and south. Use the clepsydra to keep time and ropes as the horizontal reference line. Measure the shadows on solstices and equinoxes and calculate their difference rate and then the shadow corresponding to li can be known. (Li Chunfeng, The History of Sui (Vol. 19) (Treatise on Astronomy))

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Liu Zhuo’s advice was not adopted but attracted attention in the academia and Li Chunfeng put forward skepticism of his saying of “1 cun of the shadow representing a thousand li on Earth.” During the Kaiyuan period of the Tang Dynasty, the political stability and economic development made it possible to take the measurement and under the organization of the monk Yixing, the first astronomical and geodetic survey in Chinese history was eventually carried out. For a long time, the academia attached great importance to this survey, but just did not say a word about its purpose. Actually, Yixing organized this survey to “use the sundial to take the measurement all around the country to search for the Earth-center to make it a definite place (Ouyang Xiu, Song Qi, New History of Tang (Vol. 31) (Treatise on Astronomy)),” which means he wanted to determine the exact location of the Earth through the large-scale survey. Unexpectedly, the survey results revealed some phenomena which could be explained neither by the sphere-heavens theory nor by the canopy-heavens theory, which denied the traditional saying of “1 cun of the shadow representing a thousand li on Earth” and shattered people’s hope for determining the location of Earth-center through field survey. After the Tang Dynasty, there were still several astronomical survey in Chinese history, but none of them was aimed at searching for the Earth-center. This survey organized by Yixing was carried out in the 12th year (724 AD) of the Kaiyuan period of the Tang Dynasty and one of the measuring places was the Yue observatory in Junyi county. The shadow of the 8 chi Biao measured at the midday of the summer solstice was 1 chi 5.3 cun, which was very close to 1 chi 5 cun. Thus, some people began to take the Yuetai observatory as the Earth-center. Wang Pu of the Later Zhou Dynasty was a representative personage among them and he thought, The reason why the ancients stood the sundial in Yangcheng is its closeness to Luoyi. The defect in this is that it is on the south of Luoyi. In the twelfth year of the Kaiyuan period, the emperor gave orders to measure the shadows all around the country from Linyi in the south to Hengye in the north with the Yue observatory in Junyi right in the middle in the southnorth direction and being the Earth-center. After the foundation of the Dazhou Dynasty, the capital was set in Bian (now Kaifeng City in Henan Province) and the Gui (an ancient Chinese sundial) was erected and the pointer was installed. They took the measurement through sundial and timekeeper at the Yuetai observatory to gain the data of Earth-center. If only check the shadow of Gui and the clepsydra mark, the time and the Twenty-four Solar Terms become clear. (Ouyang Xiu, New History of the Five Dynasty (Vol. 58)- Investigation into Astronomical Affairs (the First Article))

Wang Pu believed that the astronomical and geodetic survey by Yixing determined the Yue observatory as the Earth-center, which is not accurate at all. It can be seen from the measuring results that Yixing did not determine the exact location of the Earth-center. In his heart, he still tended to believe the traditional idea of regarding Yangcheng as the Earth-center, which is demonstrated by the fact that taking the sundial shadow of Yangcheng as reference can be found everywhere in his Da Yan Calendar Study. But the choice of Yue observatory as the Earth-center by Wang Pu was inherited by the Northern Song Dynasty. Obviously, the main reason for this is that the Yue observatory was located in its capital, Kaifeng City. This is

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continuous with the traditional practice of taking the human social activity center as the Earth-center. The practice of taking the Yue observatory as the Earth-center was intermittent in Chinese history, but constantly existed during the period of the Northern Song and Southern Song Dynasties. Mr. Li Di’s paper The Development of Taking the Yue Observatory as the “Earth-center” has discussed this in detail and I will not have further discussion here.

7.7

The Substantial Evidence of the Concept of Earth-Center

No matter how many theories about the exact location of the Earth-center showed up in ancient China, the theory of Earth-center in Yangcheng has been taking the predominant place. Given its unique status in the history of Chinese astronomy, the ancients regarded it as the best place for astronomical survey. Starting from the Western Zhou Dynasty, there have been astronomers of different dynasties carrying out astronomical observation or making calendars based on the observational results here, among them are Luo Xiahong, Zhang Heng, and Zheng Xuan of the Han Dynasty, Zu Chongzhi of the Southern Dynasties, Liu Zhuo of the Tang Dynasty, Yixing and Guo Shoujing of the Yuan Dynasty, etc. The data obtained through shadow measuring in Yangcheng was the important basis for calendar making in ancient China. Even when China was in the divided state and the astronomers from the southern government could not go to Yangcheng to take the measurement by themselves, they would still obtain the data in distance from Yangcheng as the basis of their research. Li Chunfeng of the Tang Dynasty once recounted, Jiang Ji of the Kingdom Jin during the Sixteen Kingdoms measured the length of the shadow as 1 chi 5 cun. The capital of the Kingdom Song, Jiankang, was located in the area south to the Yangtze River and the measuring data of the shadow was obtained from Yangcheng, which was 1 zhang 3 chi on the winter solstice. In the calendar of Zu Chongzhi from the Daming period of the Kingdom song, the shadow was 1 chi 5 cun long on the summer solstice. The shadow was as the former and 1 zhang 3 chi on the winter solstice in Moling, the capital of Song (now Nanjing). (As is shown in Li Chunfeng’s annotation of Zhou Bi Suan Jing (Vol. 1))

The lengths of the shadow mentioned above, 1 chi 5 cun on the summer solstice and 1 zhang 3 chi on the winter solstice, were undoubtedly measured in Yangcheng. As their fixed point for shadow measurement, the ancients were bound to build the related measurement facilities there, which with time passing by would become historical sites in later ages and become the substantial evidence for ancient theories about the Earth-center. When Li Daoyuan of the Northern Wei Dynasty commented on the description, “the Yingshui River comes from the southeast of the Shaoshi Mountain which is on the northwest of Yangcheng County in Yingchuan and flows through the south of it” in his Commentary on the Waterways Classic, he said, “this is also the place where the Duke of Zhou used Tugui to measure the shadow (Li Daoyuan, Shui Jing Zhu (Commentary on the Waterways Classic (Vol. 22)-the Yingshui River). The version of The Complete Library in Four Branches in the

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Wenyuan Imperial Library).” The reason why Li Daoyuan made this comment should come from the relics of ancient people’s shadow measurement through Biao. In fact, such relics existed not only in the Northern Wei Dynasty but also remained until the Tang Dynasty. During the Yonghui period of the Tang Dynasty (650–654), in the chapter, the Grand Minister of Education, of Zhou Li Yi Shu written by Jia Gongyan, the sentence “Yangcheng County of Yingchuan Shire is the place where the Duke of Zhou measured the shadow and there are still relics here” could be the evidence. Twenty years after Jia Gongyan mentioned “there are still relics here,” in the fourth year of the Yifeng period (679 AD), the astronomer, Yaoxuan, took the measurement of shadow recorded in historical documents on the observatory there. According to the records in the Encyclopedia by Du You, In May of the fourth year of the Yifeng period, the Taichang Boshi (an ancient Chinese official position in charge of rites) and Jianjiao Court Historian, Yao Xuan propose the emperor to follow the ancient method to stand a 8 chi Biao on the Yangcheng observatory to measure the length of the shadow at the midday of the summer solstice. The length measured was 1 chi 5 cun, which was in consistency with the result of the ancient measurement. In January of the first year of the Diaolu period, he stood the Biao in Yangcheng and the shadow length measured was 1 zhang 2 chi 7 cun. (You, Encyclopedia (Vol. 26) The Official Positions 8)

The first year of the Diaolu period and the fourth year of the Fengyi period was the same year, which means Yao Xuan measured the shadow lengths of the summer and winter solstice on the Yangcheng observatory in this same year. This proves that the Yangcheng observatory was still in use at that time. Forty-four years later, in the eleventh year of the Kaiyuan period (723), Nangong Yue stood a stone Biao there under the order of the emperor (Ouyang Xiu, New History of the Tang Dynasty -Geography Vol. 2, “In Yangcheng. . . there is an observatory and in the eleventh year of the Kaiyuan period, give the imperial decree to the Court Historian Nangong Yue to make a stone Biao there”). All these events indicate that the concept of Earthcenter in Yangcheng in the astronomical field lasted from its appearance to the Tang Dynasty. As an important base for ancient astronomical surveys, the shadow measuring facilities were still in use until the Tang Dynasty. The particular appreciation of the theory of Earth-center in Yangcheng in the Tang Dynasty led to the building of Biao there as the memorial under the imperial decree specially issued by the emperor. The specification of the stone Biao erected by Nangong Yue was in complete accordance with the description of the Earth-center in Rites of Zhou and the large writing of “Duke of Zhou Shadow Measuring Observatory” obviously showed the approval of the ancient concept of Earth-center and the commemoration of the shadow measuring practice by the Duke of Zhou at the Earth-center. In the past, most people considered this “Duke of Zhou Shadow Measuring Observatory” as the facility for the actual shadow measurement by the ancients. In fact, that is not the case. It is a landmark built in the Tang Dynasty to memorize the practice of measuring the shadow in the Earth-center by the ancients and it is a symbol rather than a practical facility. This stone Biao still exists now (see Fig. 7.1).

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Fig. 7.1 The memorial Biao named as “Duke of Zhou Shadow Measuring Observatory” and built by Nangong Yue the Tang Dynasty

Later on, Guo Shoujing of the Yuan Dynasty also built a platform here to measure the shadow showing his inheritance of the concept of the Earth-center. The imposing Dengfeng Observatory standing in Yangcheng becomes an important nowadays physical witness to the ancient concept of Earth-center and the physical witness to the concept of China to some degrees, for the ancient people called the country in the central area as Zhongguo (China). The concept of China today originates from the concept of Zhongguo in ancient times. In terms of the scientific value, the Dengfeng Observatory built by Guo Shoujing is especially worth mentioning. Through the designing of it, he made many improvements to the traditional method of standing Biao to measure the shadow which reflects the progress in astronomy in the Yuan Dynasty. In the reform of the calendar in the early years of the Yuan Dynasty, in order to provide accurate astronomical data for the calendar making, Guo Shoujing led a large-scale astronomical and geodetic survey called “Countrywide Measurement,” which started from the South China Sea at 15° latitude north and ended at 65° latitude north with a measuring point being set every 10° in between. Twenty-seven

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observatories and measuring platforms were built, and the scope and scale involved are exceptionally rare in the history. The Dengfeng Observatory, which was built for this survey, was the central observation and measurement platform in this activity. There is an innovation in this “Countrywide Measurement” – replacing the traditional 8 chi long Biao with 4 zhang (3 1/3 meters) high Biao. According to the records of that time, among the 27 observatories and measuring platforms, only the two in DaDu (now Beijing) and Yangcheng (now Gaocheng Town of Dengfeng City, the place where the Dengfeng Observatory was located) used the higher Biaos to measure shadows and only in Yangcheng a high platform was built specially for the shadow measuring. The Dengfeng Observatory was the only one having remained to this day. In the time when Guo Shoujing organized this survey, Dengfeng of Henan Province was neither the political center nor the economical center, or not even the cultural center. Under this condition, the reason why he chose to build an observatory in Dengfeng must have been the traditional idea of regarding Dengfeng as the Earth-center, which means the results obtained here would be more authoritative. The Dengfeng Observatory remains until today and has rightly become the physical evidence for the astronomical and geodetic survey organized by Guo Shoujing in the early years of the Yuan Dynasty and also the physical evidence for the highly developed astronomy in the Yuan Dynasty (see Fig. 7.2).

Fig. 7.2 The Dengfeng Observatory built by Guo Shoujing

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Measuring the shadow by the high Biao is one major characteristic of Dengfeng Observatory and an important improvement made by Guo Shoujing to the traditional method of standing the Biao to measure the shadow. The distance between the top of the Shigui on the observatory and the upper crossbeam of the platform is 40 chi, which is five times as long as that of the traditional 8 chi long Biao. This is a concrete embodiment of Guo Shoujing’s idea of measuring shadows by high Biao. He used high Biao to improve the reading accuracy of the measurement which was described in his own words, “now we use copper to make Biao with the height of 36 chi and install two dragon shaped holder to support a crossbeam and the height reaching down to the top of the Shigui is altogether 40 chi, 5 times as high as the 8 chi Biao. Write scales on the Guibiao and the old 1 cun is now extended to 5 times, making it easy to differentiate (Song Lian et al., The History of Yuan- Treatise on Almanac Vol.1- Study on Calendar for Time Service Vol. 1- Yanqi (measurement of qi)).” His saying is not accurate because using high Biao cannot improve the eye’s recognition ability but from the scientific perspective, the use of high Biao leads to the increment in shadow length which will increase the measured value of the shadow. With the same reading error, the increased measured value will inevitably result in the decrease of the relative error, which will lead to an improvement in the accuracy of measurement. Therefore, it is reasonable to use high Biao to increase the accuracy of shadow measurement. This is the first improvement to the method of standing Biao to measure the shadow made by Guo Shoujing. The second improvement is to use the copper crossbeam supported by two dragon-shaped holders and leveled by water tank to replace the traditional single top of Biao, which make it possible to measure the shadow of the sun center, a breakthrough compared with the measurement of the sun lateral shadow by common Guibiao in the past. The third improvement is the invention of Jingfu. It is an astronomical instrument based on the principle of pinhole imaging. There is a square frame at the bottom with a rotatable crankshaft on one end and a copper piece of 2 cun wide and 4 cun long with a hole in the middle is inlaid in the crankshaft. It forms a slope of being lower in south and higher in north and can be adjusted with the height of the sun. When measuring the shadow length at midday, first adjust the angle of the copper piece to make it perpendicular to sunlight and a shining inverted image of the sun will appear on the north of Jingfu, as large as a rice granule. Then move Jingfu in the north-south direction along the surface of Shigui to search for the shadow of the crossbeam from the end of the Biao. Before long, a clear black line as thin a hairline will appear in the sun shadow under Jingfu. This black line is the shadow of the crossbeam. Then move Jingfu again to make the black line bisect the sun shadow and use the position of the black line on the surface of Shigui to calculate the length of the sun shadow at the midday (see Fig. 7.3). The use of Jingfu can effectively avoid the influence of penumbra in the measuring process and greatly reduce the blurriness of the shadow, thereby increasing the accuracy of the measurement results. With these improvements, Guo Shoujing obtained numerous accurate astronomical data after his hardworking measurement. The contemporary Chinese experts in the history of astronomy once copied the crossbeam and Jingfu based on the records

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The sun Crossbeam Supporting Stick Biao

Scaled Rule of Biao

Left: the pinhole image made by Jingfu

Pinhole

Surface of Gui Jingfu

Jingfu

Image of the sun shadow through the pinhole

The shadow of the crossbeam in the middle

Right: adjusting the slope of Jingfu to make it perpendicular to sunlight

Fig. 7.3 The schematic diagram of Guo Shoujing’s Jingfu (Pan Nai, Xiang Ying, Guo Shoujing. Shang People’s Publishing House, 1980, P58)

in History of Yuan and took the measurement at the observatory. The practice has proven that this method of using high Biao to measure innovated by Guo Shoujing is not only simple but also can get a result “as accurate as +2 mm, equivalent to an error of 1/3 minute of arc for zenith distance of the sun, which is more accurate than the most sophisticated astronomical observation in the Western World 300 years later.” Based on the survey results of Guo Shoujing, in the 18th year of the Zhiyuan period (1281), Wang Xun, Guo Shoujing, Xu Heng et al. made the world’s most advanced calendar, Timing Calendar, at that time. A tropical year in this calendar is 365.242.5 days, which means 365 days 5 hours 49 minutes and 12 seconds, having the exactly same length of a year in the solar calendar (the Gregorian calendar) used by many countries today. But the reformed calendar by the Roman pope, Gregory, appeared 300 years later than the Timing Calendar. It is only 26 seconds longer than the tropical year period of 365 days 5 hours 48 minutes and 46 seconds calculated by modern science. The Great Unified Calendar issued in the Ming Dynasty basically inherited the content of the Timing Calendar. If these two calendars are regarded as the same one, the Timing Calendar should be the longest used calendar in China by far, which lasted for 364 years. Later, it spread to Korea, Japan, and other countries, greatly promoting the cultural communication between ancient China and foreign countries. Therefore, the Timing Calendar epitomizes achievements of astronomical observation in the early years of the Yuan Dynasty and is a product of the highly developed astronomy and calendar, and is also a historical witness of cultural exchanges among East Asian Countries at that time. The many achievements in astronomy in the early years of the Yuan Dynasty are closely related to the method of using high Biao to measure the shadow created by Guo Shoujing. According to the observing records left from the Yuan Dynasty, Guo Shoujing only made the measurements in Dadu and Yangcheng. The measuring facilities in Dadu have all been lost while the observatory in Yangcheng has

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remained until today with the facilities basically preserved intact. Thus, the Dengfeng Observatory is an important physical evidence for the making of the Timing Calendar by Guo Shoujing and for the highly advanced astronomy in the early Yuan Dynasty. The scholar of the Ming Dynasty, Li Shide wrote a poem, Shadow Measuring Observatory, saying, Ascending the platform of ten thousand zhang for the first time on this spring day, I can see the beautiful mountains around extending; There is no extra calculation in the Heavencenter measurement and no one in the history of thousands of years can exceed the talented scholar in the Yuan Dynasty. (The Annals of Dengfeng County, the Eighth Year of the Jiajing Period of the Ming Dynasty. The Annal Office of Dengfeng County, 1984, P71)

This poem vividly shows the symbolic meaning of the Dengfeng Observatory for the contribution of Guo Shoujing to Chinese astronomy. Apart from measuring the shadow, the observatory could also be used to observe stars. The records of the Pole Star observation during the “Countrywide Measurement” in the early period of the Yuan Dynasty had been documented in History of the Yuan Dynasty-Treatise on Astronomy, “Yangcheng of Henan Province is 34 degrees tairuo (“tairuo” is 8/12 of a degree in ancient times) from the North Pole.” The Annals of Dengfeng County written in the eighth year of the Jiajing period of the Ming Dynasty includes Poem About the Duke of Zhou Observatory, which says, It is located in the center of the earth from all directions, and the trace of ancient scholars can be found here. The stone Biao is held on the top of the shadow measurement platform, and the copper dragon dripping is put on the star observing platform. Gods and ghosts have protected it for thousands of years, and the Kuiwen at dawn follows the shadow. How can we take the measurement again on solstices, predicting through the sun respectfully to memorize the worship of Emperor Yao. (The Annals of Dengfeng County, the Eighth Year of the Jiajing Period of the Ming Dynasty. The Annal Office of Dengfeng County, 1984, P58)

The “copper dragon dripping” refers to the water clock made by copper pot. Another poem, Shadow Measurement Platform, contains the sentence, “the degrees measured by Jiheng show some astronomical phenomena (The Annals of Dengfeng County, the Eighth Year of the Jiajing Period of the Ming Dynasty. The Annal Office of Dengfeng County, 1984, P65).” The “Jiheng” refers to the astronomical instrument, armillary sphere. As a result, the observatory should have been used to measure the shadow, observe stars and timing. The multifunctional and timehonored observatory has made an indelible contribution to the development of ancient Chinese astronomy. In fact, the observatory is the physical evidence for ancient concept of Earthcenter, which is the consensus of the ancients. In as early as the Tang Dynasty,

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people often wrote poems about the observatory. Fan Rong of the Tang Dynasty once wrote in his poem of describing the observatory at that time, Ode to Observatory, “it not only reconcile the frost and dew in the air, but also set up the center by dividing heaven and earth (The Collections of Ancient and Modern Books -The Compilation of Astronomical Observation- Code of Calendars (Vol. 108). Zhonghua Book Company. Bashu Publishing House, 1986, P4007).” Another author, written by an anonymous writer in the Tang Dynasty, described it directly as, “set in the center of the earth, the hanging shadow represents harmony (The Collections of Ancient and Modern Books -The Compilation of Astronomical Observation- Code of Calendars (Vol. 108). Zhonghua Book Company. Bashu Publishing House, 1986, P4007).” The scholar in the Yuan Dynasty, Yang Huan (Mr. Ziyang), was deeply touch when visiting the observatory, and wrote in his poem Observatory, “From a piece of stone from the Kaiyuan Period, we know more about the center of the Earth. In the dream tonight, I may see the Duke of Zhou (The Annals of Dengfeng County, the Eighth Year of the Jiajing Period of the Ming Dynasty. The Annal Office of Dengfeng County, 1984, P50).” In this poem, he directly points out the historical and cultural significance of the Dengfeng Observatory. Until the Ming Dynasty, Lun Wenxu still emphasized in his poem, Observatory, “The center of the earth can be measured by Tugui; Yangcheng is the place worked out by the shadow of Biao in this way.” Thereby, from the Tang Dynasty to the Ming Dynasty, the ancients kept regarding the observatory as the symbol of the Earth-center. It was just until the modern times that the concept of Earth-center was abandoned by people with the introduction of the globe concept and with it the historical and cultural value of observatory was gradually forgotten, which is also the reason for the special mentioning of this point in this essay.

7.8

The Varieties of the Concept of Earth-Center

There are also some other concepts of Earth-center in the history of Chinese astronomy, which should be mentioned here. One is the Dome Theory established by the astronomer of the Jin Dynasty, Yu Song, which emphasizes that “the shape of the sky arches like the egg, falling down on its boarders to reach the surface of seas and floating above the breath of nature. . .. The sky inclines to the north of the earth at 30 degrees with the North Pole leans on the earth 30 degrees north in the prime vertical circle and people are located more than 100,000 li south in the prime vertical circle. Thus, the Earth Center is not under the Big Dipper, but in the center of the prime vertical circle (Li Chunfeng. The History of Sui (Vol. 19)- Treatise on Astronomy).” This means that the North Pole of the sky is 30 degrees north of the east-west circle of the Earth while the inhabited area of humans is more than 100,000 li south of the east-west circle, and the location of Earth Center is neither under the North Pole nor in human habitat but right in center in the east-west direction. Just like the Dome Theory, the concept of Earthcenter by Yu Song is a compromise between the theories of canopy-heavens and sphere-heavens. However, his reconciliation did not gain approval from others. Li

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Chunfeng once said, “Yu Xi, Yu Song and Yao Xin et al were all just fond of novelty and like to pursue eccentric theories and would not have devoted themselves in digging up the theories of Astronomy (Li Chunfeng, The History of Sui (Vol. 19)Treatise on Astronomy).” Therefore, it goes without saying that the Concept of Earth-center by Yu Song didn’t splash in the history of astronomy. According to The History of Sui-Treatise on Astronomy, He Chengtian of the Kingdom Song in the Northern and Southern Dynasties once put forward another definition for Earth-center. He said, the sidereal revolution is 365 du and 75/340 du(ancient people divided the ecliptic plane into 365 1/4 section; called each section one du).The sky keeps revolving toward west and finishes one sidereal revolution in one day and one night. There are 116 du and 65/340 du between the South and North Pole, which is also the diameter of the sky. . .. Ascend south from the North Pole to the sky and the place of over 55 du south should be the center of the four directions in the sky and the highest place, the zenith. The place right below this point should be the Earth-center.

In this description, He Chengtian proposed the concept of the “zenith” for the first time and thereby changed the definition of Earth-center. The zenith in his words is actually derived from the people’s feeling in the area of the Song Mountain and the Luo River, which makes his definition accordant with the theory of Earth-center in Yangcheng or the one of Earth-center in Luoyi. But his approach of defining Earthcenter based on the structure of the sky and earth itself appears much more natural and thus has been frequently adopted by people of later generations when discussing this issue. For example, when introducing the theory of sphere-heavens, Zhu Xi once mentioned, According to his method, half of the sky is covering the earth and the other half under the earth, . . . the North Pole is 36 du above the earth while the South Pole is also 36 du beneath the earth. Songgao is right in the center of the sky and 55 du south of the North Pole should be over the Song Mountain. (Zhang Jiushao, The Classification of Science Works (Vol.1))

Songgao refers to the Song Mountain where Yangcheng was located. Obviously, the descriptions of Zhu Xi and He Chengtian are coincident in essence and are not in contradiction with the traditional definition in the theory of Earth-center in Yangcheng. In the New Book on Changing Phenomena-Distance Between Areas, Zhao Youqin from the early Yuan Dynasty not only explored the Earth-center measuring methods elaborately but also attempted to probe into the relationship between the theory of Earth-center in Yangcheng and the theory of Earth-center in Kunlun Mountains. He pointed out, People in the past regarded Yangcheng as the center, which does not refer to the center of the whole world, but to the place right under the zenith, and thus called it the Earth-center. Regarding the center of the world, the Kunlun Mountains are the highest point on the flat earth with all rivers on the east flowing east and all rivers on the west flowing west. So as the situations on the north and south. The mountains are 30,000 li far to sea in the west and less

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than 20,000 li to the sea in the east, so the land is mostly lying on the west of the Earth Center while the east is dominated by seas. Therefore, the center was the world is not in Yangcheng, but in the area north to the India and west to the Kunlun Mountains. If seen from the covering area of the sky, including the land and the seas, the center is in Yangcheng.

Zhao Youqin separated the concept of Earth-center in astronomy from the one in geology. According to him, Yangcheng as the Earth-center is seen in the astronomical sense, while the Earth-center, in purely terrestrial sense, is located to the west of the Kunlun Mountains. The Kunlun Mountains are not in the Earth-center but only on the highest point of the earth. The concepts in Zhao Youqin’s discussion are clear. From the geographical sense, there are also other theories about Earth-center, like the theory of Sky-center in Ruyang. It was described in Tongya 《通雅》 General Categories (Vol.13), Diyu-Fangyu 《地域·方域》 (Regions – Local) by Fang YiZhi in late Ming Dynasty: The Tianzhong Mountain in Ruyang is the center of the sky. The earth is centered in Henan and Runing is in the center of Henan. Thus, the mountain 3 li to the north of Ruyang County is named Tianzhong (center of the sky). It is said that the shadow measurements by sundial were all based on this place. . .. Some people said: the statement that there was no shadow at midday of the Summer Solstice was wrong. This place is 10 degrees north to the ecliptic of the north land and the gnomonic projection is consistently in the north. There is no shadow in Guangzhou.

Ruyang mentioned above is the place where seat of the old Prefecture of Runing was located, which is in now Runan County of Henan Province. The “Tianzhong (center of the sky)” in the citing still refers to the Earth-center because it is based on the statement that “The earth is centered in Henan and Runing is in the center of Henan.” This theory did not play an important part in Astronomy and the discussion about the astronomical features of this place arising from it was also not recognized by the astronomy world, which had been clearly shown in the description of Fang Yizhi. But as an outlander, it is impossible to imagine the ever-lasting sense of pride for the locals derived from having the Tianzhong Mountain in their hometown. In ancient China, there were also many people denying the existence of Earthcenter. It is cited from the words of the debater Huishi in Zhuang Zi-Tianxiapian, “I know the center of the world can be to the north of the State of Yan and can also be to the south of the State of Yue.” This is some kind of denying the concept of Earthcenter. Yet, we have not had a clear idea about the basis of this negation. It may be the influence of the theory of the earth as a globe or the concept of infinite space. There are incompatibilities between the Earth-center theory and both theories, especially the latter one, which was very clearly depicted in the cosmographical theories in ancient China. For example, the theory of expounding appearance in the night sky advocated the infinity of the sky and the earth, which left no space for the concept of Earth-center. Liu Zongyuan of the Tang Dynasty also held the view of infinite space. He described the shape of the sky and earth as, “There is the vast boundless in the sky and earth, and also there is no Pole from North and South, East and West (Liu Zongyuan, Response to the Sky. The Collection of Works by Liu

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Zongyuan, Vol. 14).” In this case, the sky and earth surely “don’t have center and boarders” and thereby the center does not exist. It is an outstanding work of ancient Chinese thinkers to deny the existence of “Earth-center” with the concept to infinity. In comparison, Cheng Hao, an ideologist in the Song Dynasty negated the Earth-center in a totally different way. He argued that “there are ups and downs with varied terrains and a place without a proper terrain cannot be defined as the center. Thus, there is no definite center on the earth (A Collection of Works on the History of Chinese Astronomy, Vol. 5. The Science Press,1989, P237).” Cheng Hao’s words have been close to the Globe Theory to a great degree, and undoubtedly this theory is incompatible with the concept of Earthcenter. Although there were many people opposing the concept of Earth-center, their claims were not scientific arguments after all. Even the words of Cheng Hao could not be recognized clearly as the Globe Theory. Because of this, even in the Ming dynasty, the concept of Earth-center still played its role in the specific discussion of astronomy. For example, during the Jingtai Period when the capital had been moved to Beijing for years, the Emperor Daizong refused to set the standard of daytime and nighttime according to the actual situation of Beijing, which had been proved effective. He argued that “the time of sunrise and sunset should be measured in the center of the world while now the capital is in the place where Youdu of the Yao Period was located. How can this place be regarded as the standard base? (Zhang Tingyu et al. The History of Ming-Treatise on Almanac Vol. 1)” The influence of the concept of Earth-center on Chinese astronomy is evidently shown. At the end of the Ming Dynasty, missionaries came into China and brought in the Globe Theory, which created much of a stir among Chinese literati. After careful consideration, Chinese scholars gradually accepted this theory and began to “set the meridian line in Beijing as the standard to decide the deviating degrees of different places and do the comparison in mornings and evenings of solar terms as well as before and after the lunar eclipse (Zhang Tingyu et al. The History of Ming-Treatise on Almanac Vol.1).” Until then, the traditional theories of Earth-center had practically come to an end with purely cultural and history meaning. Based on the above discussion, we can see that the concept of Earth-center is the product of the Flat Earth view of ancient Chinese people. Its emergence and development were related to religion originally and the Earth-center was considered to be located in places where there was Jianmu or in Kunlun or Xumi Mountains, etc. Later, it was associated with administration and stability of the country and thought to be located in Luoyang. With the development of astronomy, different definitions of Earth-center arose from this perspective, including the saying of “Earth-center is under the North Pole” from the theory of canopy-heavens and the definition of taking the spot where the shadow length in the Summer Solstice is 1 chi 5 cun as the Earthcenter in Rites of Zhou. According to the definition in Rites of Zhou, the Earth-center was thought to be located in Yangcheng, a place near Dengfeng City, Henan Province. The main influence of the Earth-center theory on ancient Chinese astronomy was reflected in the measurement ideas. Based on the idea of proportional measurement, ancient people believed that only the measurement conducted in the

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Earth-center was the most authoritative and the data was most reliable. The concept of Earth-center played its role in the debate between canopy-heavens theory and sphere-heavens theory and scholars of the sphere-heavens theory believed that Luo Xiahong used the measurement in the Earth-center to defeat the canopy-heavens theory. They usually took the Earth-center as the reference point when carrying out astronomical calculation and measurement. Luoyang and Yangcheng were two places accepted by scholars of sphere-heavens theory as the Earth-center and to decide the accurate location of Earth-center, Zu Geng came up with the measuring method of using five Biao. Although his method is mathematically sound, the geodetic view of Flat Earth which it is based on is not. The definition of Earthcenter in Rites of Zhou depended on the saying that a thousand li reflects in the shadow as 1 cun. In order to fundamentally solve this problem, Liu Zhuo proposed to make field measurement to determine whether this saying was established. His proposal was put into practice by the party of Yixing in the Tang Dynasty. Yixing conducted the astronomical and geodesic measurement with the aim of “finding out the definite place of Earth-center.” His measurement did not solve the problem, but Wang Pu of the Five Dynasties drew on his measurement and believed the Earthcenter was at the Yue Observatory of Junyi. Besides, Yu Xi of the Jin Dynasty reconciled the concepts Earth-center in canopy-heavens theory and sphere-heavens theory while He Chengtian of the Southern and Northern Dynasties put forward the new theory of Earth-center being under the zenith of sky and there were also some other theories about Earth-center as well as those denying the existence of Earthcenter. The impacts of the concept of Earth-center went on until the Ming Dynasty when missionaries introduced the Globe Theory and the Earth-center theory disappeared. (Translator: Tingyu Wang) (Proofreader: Caiyun Lian)

References 1. Yamada Keiji. (1996). Philosophy, technology and culture of ancient East Asia (p. 173). Liaoning Education Press. 2. Kenichi ono. (1990). The ideology of Qi (Li Qing, Trans., pp. 136–137). Shanghai People’s Publishing House. 3. Guan Zengjian. (1991). Exploration of ancient Chinese physical thought (pp. 224–232). Hunan Education Press. 4. Qian Baocong. (1989). Study on Zhoubi Suanjing. A collection of Qian Baocong’s study on the history of science (p. 126). Science Press. 5. Li Zhichao, & Hua Tongxu. (1989). Sima Qian and Taichu Calendar. A collection of the history of Chinese astronomy (Vol. 5, pp. 126–137). Science Press. 6. Cheng li. (1994). Baihu Tong Shu Zheng Vol. 1 (The collation and annotation of the minutes of the Confucian classics) (p. 157). Zhonghua Book Company. 7. Xiao Liangqiong. (1983). The establishment of a central pole “立中” in the Divination and the shadow measurement with Sundial in the Shang Dynasty. A collection of works on science and technology history (Vol. 10, pp. 27–44). Shanghai Science and Technology Press.

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8. Li Di. (1992). The development of Taking the Yue Observatory as the “Earth-center”. In Yamada Keiji and Tanaka (田中淡) (Ed.), The international conference on Chinese science history: シソ ポジウム Report in Kyoto in 1987 (pp. 89–96). The Humanities Institute of the Kyoto University. 9. Zhang Jiatai. (1978). The Dengfeng Observatory and accomplishments of astronomical observation in the early Yuan Dynasty. A collection of works on the history of Chinese astronomy (pp. 229–242). Science Press.

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Zhang Heng’s Seismograph: Earthquake Measuring and Forecasting in Ancient China Zhichao Li

Contents 8.1 Zhang Heng and His Seismograph . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.2 Textual Research and Analysis of Original Documents of the Seismograph . . . . . . . . . . . . 8.3 Restoration Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.4 Quantitative Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.5 The Study on Earthquake in Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Earthquake Monitoring Records in Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter mainly studies Zhang Heng’s Seismograph and some methods of earthquake forecasting in ancient China. First, the author gives a brief introduction of the inventor, Zhang Heng. Then, the author introduces Zhang Heng’s seismograph in detail, including records of the seismograph in ancient documents and related research, the restoration of its design based on historical data, and the quantitative estimation during the restoration process. In the final part, the author presents some methods and researches in ancient China concerning the prediction of earthquakes; a list of earthquake monitoring records from 617 BC to 1644 AD is provided in the appendices. Keywords

Zhang Heng’s Seismograph · Earthquake forecasting · Quantitative estimation · Earthquake in ancient China

Z. Li (*) Department for the History of Science and Scientific Archaeology, University of Science and Technology of China, Hefei, China © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_8

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Earthquake is a commonly seen natural phenomenon that can often cause casualties, disasters, and damages. Meanwhile, earthquake is also a complicated phenomenon that even today’s science can hardly make accurate forecast. The ancient Chinese history book The Spring and Autumn Annals (All Ancient books quoted in this article are from Si Ku Quan Shu (The Complete Library in the Four Branches); the same hereinafter.) recorded five earthquakes. The small number on record was mainly because of the small geographical size of the State of Lu. After Qin and Han Dynasties when the great China was united, the geographical area and population increased dramatically, and the central government paid greater attentions to the earthquakes. During the mid-Eastern Han Dynasty, earthquake became a more frequent phenomenon and became a great concern to the Emperor and scholars, and thus the Seismograph was invented by Zhang Heng. It had impressed the history as an uncopiable and unprecedented achievement. The similar seismograph was only legendarily made by Xin Dufang in the Northern Dynasty. However, without even a little detailed information, it is likely to be either misinformation or not worth accounting due to small size. One major factor to be considered is financial resources. Five tons of copper were used in Zhang Heng’s seismograph. As copper at that time equaled to currency, it was a deed that only resourceful government was capable of and private individuals were neither able nor daring to do; and even on the government side, such work could only be trusted to a reliable person. Therefore, Zhang Heng’s deed has been unsurpassed. However, it was exactly the same reason that the Seismograph was destroyed. The seismograph was destroyed because of its copper makeup, which was minted into coins by the warlords due to the lack of military expenditure. With the less frequent earthquakes happening, the Seismograph was considered less necessary and no longer protected as before by the weak government. We will first introduce Zhang Heng, and then make a textual analysis of his seismograph.

8.1

Zhang Heng and His Seismograph

Zhang Heng (78–139), styled as Ping Zi, born in Nan Yang City. Zhang Heng lived in an era of great science and technology development. In pre-Qin period, the Contention of Hundred Schools of Thoughts saw the different thoughts of the time; in Han Dynasty, the Emperor Liu Bang laid the political foundation of a united centralized bureaucratic regime, and scholars like Liu An and Dong Zhongshu integrated thoughts of different schools. Utilized as the core and foundation, Confucianism assimilated the view of nature and methodology from Taoism, critically inherited governing strategy from Legalism, and laid theoretical foundation for the future long stability of the country. During the time of Emperor Wu of Han, the theory of canopy heaven replaced the old theory of sphere-heavens at the reform of Taichu Calendar, which marked a significant scientific revolution and development. Zhang Heng was born two centuries after when ancient China’s science development peaked, and he was recognized as the milestone of technology of the Han Dynasty as well as the whole ancient China.

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In the written history, there was no solid evidence that the sphere-heavens theory could be traced back to the pre-Qin period, and scholars commonly credited it to Luoxia Hong. Nevertheless, no systematic written explanation was made until Zhang Heng, whose work Ling Xian 《灵宪》 became the existing earliest systematic theory of sphere-heavens. This great deed was written by the later generations as “In Ling Xian we find sphere-heavens, and in Zhou Bi we see canopy heavens.” People’s long-lasting confused cognition of sphere-heavens was probably caused by Zheng Xuan or Ma Rong. Fifty years after Zhang Heng’s invention of multi-circle armillary sphere, Zheng Xuan interpreted the ancient jade observational instrument Xuan Ji Yu Heng written in Shangshu-Shundian 《尚书·舜典》 (The Book of History-History of Shun) as armillary sphere. The mistake should be obvious and easily seen, and yet the later generations kept repeating the misinformation and traced the invention of armillary sphere back to the pre-Qin Dynasty. As a matter of fact, multi-circle armillary sphere was invented by Zhang Heng, and his innovation Ecliptic Copper Instrument was greatly praised by the British scholar Joseph Needham. Zhang Heng then connected the armillary sphere with the water leakage power, and made it a hydraulic armillary sphere, the earliest mechanical Astronomical Clock. But the innovation had even more profound and significant inspiration to the argument between sphere-heavens and canopy heavens. It served as an experimental demonstration for the later sphere model. Zhang Heng’s hydraulic armillary sphere showed an incredible accuracy in water leak timing, with less than 2 min error in 24 h. As a result, in more than ten centuries to come, China overlooked the whole world in the field of chronometry and mechanical astronomical clock. In the meantime, Zhang Heng also impressed China’s history as a litterateur, with splendid proses and poetries left to the world such as Ode to the East Capital and Ode to the West Capital which were all collected in the Literary Selections compiled by Prince Zhaoming in the Liang Dynasty. His confidant Cui Yuan spoke highly of him in his Epitaph: Here lies a gifted man, with a keen attitude to learn. Time flows nonstop like river and he cherished it so. And thus, he disciplined himself with a high standard of personal morality, had high achievements in articles and proses, possessed a great knowledge in mathematics, and left amazing legacies in invention. This is a man of great literature accomplishments, impressing skills, upright character and seems to be a talent chosen by God.

In the first year of Yangjia Period (AD 132), Zhang Heng invented Hou Feng Seismograph, And this is what we are elaborating here in this chapter. Generally, the remarkable inventions of armillary sphere, hydraulic armillary sphere, and Hou Feng Seismograph showed how skillful Zhang Heng had command on all the technology principles as system, control, and intelligence. From the field of his work, Ling Xian studied Cosmology, the armillary sphere studied spatial measurement, the water leakage timing and hydraulic armillary sphere studied time measurement, and the seismograph studied the motor sensitive reaction. He had a thorough understanding of concepts such as universe, space, motor, and moreover made contributions. It was indeed an achievement surpassing the ordinaries.

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The above is a superficial study on Zhang Heng and more profound research needs to be carried out on Zhang Heng himself and the whole Han Dynasty. As the cradle of traditional Chinese monarchy, the culture of Han Dynasty had detailed written history and yet insufficient study.

8.2

Textual Research and Analysis of Original Documents of the Seismograph

The most authoritative history record is Zhang Heng’s Biography in Book of the Later Han written by Fan Ye in the Southern Dynasty. (Zhang Heng) made Hou Feng Seismograph again in the first year of Yang Jia (Reign Title). The instrument was made of refined copper, with the diameter of 8 Chinese foot, shaped in a wine urn covered with a round shape lid, decorated with various of characters, mountains, birds, turtles and beasts. Inside the instrument a vertical pin is in the center, and eight poles are stretching to eight directions with triggers on each. At the external part of the instrument, eight dragons are surrounding with one copper ball in each mouth, and eight toads are under each dragon awaiting to catch the balls with their mouths. All triggers and switches are strictly designed inside the urn. When an earthquake happens, the urn shakes. Controlled by the trigger, the dragon drops the ball to toad’s mouth, and the sound of ball dropping would ring as a notification. During an earthquake, only one ball drops and the other dragons stay still, and the direction of the dropping ball indicates the location of earthquakes. Facts have proved the Seismograph can detect earthquakes more accurate than any instruments in record. Once a ball dropped without anybody’s sense of earthquakes, and all scholars in Beijing had doubts in its credibility. Few days later an earthquake was reported in west Gan Su, and people were all persuaded by the fact. Ever since, all local governments were required to keep records of earthquakes and the locations.

Another record was written half a century earlier by Yuan Hong, with less sufficient details comparing to the above text, but still containing valuable information. Zhang Heng made Hou Feng Seismograph again in the first year of Yang Jia (Reign Title). The instrument was made of refined copper, with the diameter of 8 Chinese foot, shaped in a wine urn covered with a dome shaped lid, decorated with various of characters, mountains, birds, turtles and beasts. Inside the urn a main pillar is in the center, and eight poles are stretching to eight directions with switches on each. At the external part of the instrument, eight dragons are surrounding with one copper ball in each mouth, and eight toads are under each dragon awaiting to catch the balls with their mouths. All triggers and switches are hidden inside the urn, and looking from outside the instrument looks perfectly one. When an earthquake happens, the tank shakes. Controlled by the mechanism, the dragon drops the ball to toad’s mouth, and the sound of ball dropping would ring as a notification. During an earthquake, only one ball drops and the other dragons stay still, and the direction of the dropping ball indicates the location of earthquakes. The credibility was proved by the facts with local governments’ earthquake records. The witnesses were all impressed by its accuracy.

The first year of Yang Jia was in AD 132, and Book of the Later Han was written three centuries after the Seismograph was destroyed. However, it still served as a history record with the most details about the Seismograph. First of all we can trust

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on the credibility of the record as the written appears to be logical and real with no sense of literature recreation. Furthermore, fact proof was written before the Gan Su earthquake, which could be interpreted as a simulation. By dropping a heavy object to the ground, an artificial earthquake could test the accuracy of Zhang Heng’s instrument. From such point of view, Zhang Heng’s invention also qualifies the standards of modern scientific experiment procedures. There are few words in Yuan Hong’s record to be noted. In his words, the uplift lid seemed to be solid; in one earthquake, the balls could also fall at the same time from multiple dragons; the original words used in Chinese language were commonly used in archery known as “the mechanism theory”; however, in the later context, for vertical cone or vertical pin seismograph, balls are pushed to fall, not launched; when eight triggers are prepared, the lid covers at the top, and “looking from outside the urn looks perfectly one.” In Wang Zhenduo’s design, the dragons are all placed outside the urn, and it obviously does not match the description. If Fan Ye adopted Yuan Hong’s narration, the recapitulation ought to be after his own comprehension. His understanding could be mistaken or not in detail, and therefore we use these two documents in comparison. From the view of modern earthquake knowledge, it is an exaggerated fact that “the direction of the dropping ball indicates the location of earthquakes.” Earthquake is a complicated geological activity, with different scales, intensities, and locations. To locate the earthquake source, records from multiple stations and radio communication shall be used, and it is no possible in a dynasty 2000 years ago from now. For an earthquake that happens in the reality, if the longitudinal wave was not strong enough and only the following transverse wave shook the ball to drop, the direction of ball falling could be totally different. So it is reasonable that modern seismic experts now consider the Gan Su earthquake a coincidence. However, the scientific principles in Zhang Heng’s Seismograph cannot be completely denied. The Japanese seismic scholar Hagiwara Takahiru thought the vertical pin was inverted pendulum and the below reasons say otherwise: (1) The inverted pendulum is not in line with the name “vertical pin.” “A pin is to reside” as explained by Han Dynasty dictionary book Shi Ming, which means that the original meaning of “pin” is an immobile strutting piece of a building. The inverted pendulum of Di Yuan cannot be called as pin but only cone. So we call it “standing cone” which is line with image that described as idiom “ too poor to have a place to stand a cone.” “Du” is a lump, which means it is not a single pin but also with eight sets of machine while a standing cone is a single stick. It is more ridiculous that someone say that vertical pin is hanging pendulum for that hanging pendulum can be only called “cone.” (2) This kind of design would make all the other parts described the original text unnecessary and useless, especially the massive copper urn. “Going forwards alongside eight directions” is the verb of the vertical pin. “Going” here cannot be explained as “pour out.” If the process “pour out” is available, we might reckon design of outer structure as well. Reasonable assumption is that a bell is hanging

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above the vertical pin and it would ring loudly once the vertical pin fall down on it. Any other elaborate contraption is unnecessary as the direction of falling down can be seen immediately. Why an additional big copper bell with two meter’s diameter should be made, let along with two tons weight? (3) Low efficiency, performance, sensitivity, and anti-interference; inconvenient to reset. The detailed explanations are given below. The Chinese name of Hou Feng Seismograph ends with a word “Yi,” which means precision instrument. Before Zheng Heng there had been few precedents of naming an object “Yi.” For example, the aiming ruler as called “Wang Shan” by Shen Kuo was named Yi before Han Dynasty, as commonly seen in Huai Nan Zi; the ruler recorded in Zhou Bi for astrology was called movable instrument, Yi; and the Hun Yi used for astrology was also a vertical pin with scales. In ancient China, Yi was commonly related to Biao, the dial plate in literal meaning. In Zhang Heng’s invention, a telescope replaced the aiming machine and the name Yi was kept. And as time goes by, nowadays Yi is used in instruments. As Zhang Heng invented the armillary sphere with cardan shaft and telescope, and named it Hun Yi, it must be of the same reason that the Seismograph was named Di Dong Yi. Different from ancient times, now many modern objects are named with Yi as instruments, like glass tubes, and electronic massager, and the word has been too broadly used. On the contrary, vertical cones and hanging pins do not match the name because no precise measurement purpose is served in the device. As for the name Hou Feng, it is not relevant to the seasonal winds as it literally shows. Actually, a Seismograph is supposed to avoid winds. “Hou Feng” was named after the official who was in charge. According to the history records, Hou Feng was an easygoing and leisurely government official position, and it was perfectly suitable to manage the Seismograph. Moreover, the recovery designs should be viewed from the angle of physics. Let us start with the vertical cone theory. The performance of any instrument can be evaluated by two contradictory index – sensitivity, the minimum perceived amount; or its anti-interference, the stability. Other indexes such as range and response time will not be elaborated here. The more sensitive an instrument is, the less stable it is. An excellent instrument should apply the principles of optimality within the budget, and get rid of interferences in the meantime. One example is measuring scales, in vegetable market a rod scale would do the job, while in gold trade an accurate balance is necessary. As for Hou Feng Seismograph, both sensitivity and stability were required. As the instrument did not show any figures and only indicated earthquakes higher than a certain level, the range was not a concern. There is a scientific explanation to detect an earthquake with a vertical pin. When a pin is in a slopping position, the offset of its center gravity exceeds the radius. This threshold value is the bottom radius divided by the center of gravity. Taking a cube as an example. When the cube is overturned with an axis at it bottom, The cube will move in an arc shape, and after reaching the maximum height (precisely above the axis), the cube is overturned. This is when the threshold value reaches 1. In order to overturn the cube, its potential energy needs to be raised a certain level and it is

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Fig. 8.1 A record of the moves of an adult’s center of gravity. The left picture shows the tracks of center of gravity’s movements in a two-dimensional view, with each gap being 2.5 mm; the two lines on the right chart represents respectively the horizontal and vertical moves

called the potential barrier. For a cube it is 0.2 amg, a being the length, g being the acceleration of gravity, and m being the mass. When it comes to a vertical cone, the threshold value is smaller than 1 and the potential energy is also small. But as long as the tip and bottom are in a platform shape, the potential energy is a positive figure bigger than zero, and there is always a stability. However, even in the slightest quakes, the tip is under great gravity pressure and both the tip and platform will be irreversibly out of shape, with the potential energy disappearing gradually. It is not only irreversible but accelerating. Therefore, the cone falls anyhow, with or without an earthquake. If the tip platform is board enough to stay in the shape, the sensibility would be even lower than human’s feeling. A naturally standing person’s center of gravity is shown in below. The data is recorded with modern medical devices (see Fig. 8.1): A normal person moves within the range of 1 cm in every second, which is almost the same intensity of an earthquake of three magnitude. If an earthquake’s acceleration and duration is smaller than a person’s spontaneous move, the earthquake would be almost insensible. To have a sensitivity that exceeds human’s bodily sensation, the threshold value of a cone needs to be less than 1%. For a cone of two-meter’s height, radius of the bottom needs to be more than 1 cm to stand; but the total displacement of center of gravity needs to be bigger than 1 cm to make the cone fall. With the acceleration of 1 cm/s2, it takes 1.4 s (Figs. 8.2, 8.3 and 8.4).

8.3

Restoration Design

For the clarification, such restoration is for historical purpose, not new technology development or art creation so historical data must be strictly followed. If there was any image record left, the restoration appearance must look alike; if no image were to follow, the restoration needs to be not contradictory to the written records. For the restoration of ancient implements especially scientific ones, there are three principles:

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Fig. 8.2 Vertical cone seismograph designed by Wang Zhenduo Vertical Pin

Median Point

Supporting Point

Direction of Earth Motion

Fig. 8.3 Hanging pin seismograph designed by Wang Zhenduo

(1) Textual research: be able to read ancient Chinese texts; able to give proper explanations to each words of the written history no matter it is correct or not. (2) Time background: be consistent with the timely knowledge and background. Scientific instrument’s recovery needs to be in accordance with ancient principles, and modern recognitions cannot be applied to the ancient inventors who did not have such knowledge. As for the manufacture process and specific material, due to modern improvements, it is not necessary to be identical. For example, modern lathe can be applied for the manufacture of parts, and expensive parts like ivory, gold, jade can be replaced.

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Fig. 8.4 Hou Feng seismograph recovery by Wang Zhenduo (Encyclopedia of China Publishing House)

(3) Performance standard: able to achieve performances recorded in the history. Modern instruments are expected to perform better than ancient ones. Our restoration design (Fig. 8.5) uses urn as the rigid body, pin as translatable inertial body. As Zhang Heng knows, it is the earthquakes not the pin. As recorded in the historical book, if the earth quakes, the urn vibrates. This is the correct interpretation of the ancient Chinese words. Up to the ancient book Kao Gong Ji, the inertial energy of vehicles were already observed and mentioned. And experiences all proved the inertia of moving objects on surface of the earth. Therefore, it is the Pin that can precisely sense the earthquakes, and thus Zhang Heng’s invention was named Yi, the instrument. The size of the urn was recorded as a diameter of eight Chinese feet. One Chinese feet equals to 23 cm, so the diameter is 1.84 meters. On such bases, the urn’s inner space needs to be fully utilized, and meet the requirement of containing switch controls inside. The pin’s height is 10 Chinese feet and radius 1 Chinese feet. At the bottom of the main vertical pin, eight poles stretch out to a radium of 3 Chinese feet, and at the end of each pole lies eight bronze balls. The balls are surrounded by bronze pads that are smooth enough. In an earthquake, the poles are in parallel move with the pillar, and one of the eight switches is pressed. To be heavy enough to exert pressures on any of the switches, the pin needs a weight close to the urn’s 2 tons and draw energy from the earthquake itself. However, standing on the rolling balls, the pin’s stability can be uncertain as well; therefore, the platform has to be precise and

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Fig. 8.5 Recovery design. (1. Vertical Pin, 2. Trigger, 3. Switch, 4. Dragon Switch, 5. Dragon Lock, 6. Front Lever, 7. Small gong)

the eight balls needs to be identical. If necessary the balls can even be placed on shallow pits. Combined with the Fig. 8.5, we elaborate the parts as below: (1) The main body of pin is of 0.4 meters diameter, 2.3 meters high, and the bottom is of 0.65 meters radius. At the point of 1.8 meters in the pillar, eight poles stretch, with double branches on each, with one axis in between of each to make a lever of two ends. And thus, the inner space of dome shape lid is also fully utilized. When the lever amplifies, the magnification of each end needs to be controlled. If the gearing ratio is 15 and the lever input arm is not too short, the experiment is practicable. (2) Triggers and switches. The trigger is a front lever followed by a secondary lever, which is a standard traditional instrument in ancient China, similar to a crossbar but amplified. Suppose the long and short lever is at 2:1. Hanging on the beam, the arm is at 1.4 meters length, and in its end the jagged edge presses the lower arm, which is also called dragon tail. The upper part of the switch is the lower arm, its input end, pushed by the front lever, while the front lever is pushed by the switch. The switch is made up of eight horizontal poles, which keep the stability of the whole urn. One end of the poles is placed at the 1/7 point of front levers, and the other end attaches to upper part of the urn. The two ends of each pole need to

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Fig. 8.6 Schematic of the lock. (1. Dragon Claw; 2. Dragon Body; 3. Hanging Ring; 4. Pulling String)

be properly polished to keep them stable but sensitive at the same time. As shown in Fig. 8.5, the displacement of front lever is zoomed to seven times. As a result, when the switch is in a 0.2 mm displacement, the lower part of switch is moved outwards to nearly 3 mm. (3) Dragon triggers. The levers pushing copper balls to fall are controlled by the trigger, each in dragon shape. In Hou Han Ji written by Yuan Hong, the dragon trigger was named Zhao Long, as the Chinese character Zhao written in a shape similar to the word Dragon (Ancient writings taken from The Grand Chinese Dictionary published in Taiwan, China). At the corner of every dragon switch, a right angle functions as a lever, with one axis at each corner and axis end sticks to the vertical pin end. The shorter arm is lower in a horizontal position and the longer arm is on top of the shorter arm, functioning as the dragon’s body, in a vertical but slight tilting position. Dragon’s slim neck is placed close to the copper ball. Once the trigger is pulled and the dragon body tilts outwards, the ball is pushed to fall. (4) Dragon lock. It is an assumption designed to keep other seven dragons still when one ball falls, without any records as solid proof. As shown in Fig. 8.6, the lock is a hanging ring, placed outside the dragon, with 0.7-meter radius and 1.5-meter height. This ring is hung with eight vertical hooks attached to the base, and another eight horizontal hooks attached to the vertical pin, and thus locks are only free to move in a small space range. There are eight small standing pins on the ring, each facing a pair of dragon claws. On each palm of a claw, there is a slot which can precisely match to the small pins on the lock, and turn the lock to a small angle and thus keep it locked. During the restoration, the claw of the falling ball position is pushed back and thus the lock is opened to release the hook. If there is no lock designed, once after the trigger is pulled, the switch becomes loose; and all the other six dragons might respond or not, utterly depending on the earthquake intensity. In the written record of Yuan Hong, the tone does not sound definite when stating the other seven dragons stay still. As a result, such part can be omitted in the design recovery. (5) Restoration of the instrument. If the instrument is designed with the assumption of a vertical cone, the restoration would be laborious with human’s physical efforts. However, it can be quite simple with our design. The longer arm stretches close to the trigger’s lower part, and a small stick will easily push the vertical pin back in its position. Because the power amplifies multiple times in the process, and the vertical pin needs only few kilograms to be restored back.

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The trigger in still is in free hanging position and closely leaning to the vertical pin, and it makes restoration easy as ringing a bell. Almost all the triggers can be installed on the vertical pin or the bottom, and from the history document we can see the urn is a cover outside. The copper urn we design is a huge tank with a lid. On the side walls of the urn there are eight holes that are slightly smaller than copper balls to prevent balls from falling in. Outside the holes, there are dragon heads for decorations, with the whole as dragon throat and dragon tongue outside the mouth. One shallow pit is designed on each tongue to place a copper ball, and the ball leans toward the hole. In such way balls cover holes tight without falling in. On the outer surface of the urn, the dragon head is only a decorative relief and the dragon body is no more than it on the urn. The eight-dragon relief by Wang Zhenduo with decoration function only is too delicate, which is not in accordance with a stable seismograph. It is hard to make any sense that design outer surface with much ado before seismograph is not approved to be effective yet because it is so costly. “There are eight dragons on outer surface” should refer to eight ball-pushing levers around the pin in the urn whose shape is like dragon, which corresponds with the original text “dragon machine.” According to the research of Wang Zhenduo, there are two appearances of wine urns in Han Dynasty – straight ones for heating and round ones for containing. From the angle of stability, bigger bottoms are certainly preferred, but the round ones are better for rigidity. The practicality is essential in the overall of style, and the history record of “in an urn shape” does not mean the Seismograph needs to look identical to a wine urn. The first and most important purpose is always in a view of physics. Following Wang Zhenduo’s style, there was once a recovery of ancient Chinese “wooden ox and mobile horse,” installing actual ox and horse heads to the vehicles. In fact, the vehicle was simply named after ox and horse and it was not necessary to build it up in their shapes, as the vehicle was designed for logistics during war time and the appearance was not important. It is no precise of interpret the names of ancient objects in such a literal way. For the urn to exert forces upon switch and cause replacement, the urn has to be stably standing on the ground and have sufficient rigidity. If it is 10 Chinese feet thick, the copper would be 2 tons of weight, and 5 tons in total calculating in the vertical pin, top cover, bottom, and all parts. Such weight can stably stand on the ground without jumping or displacing during a strong earthquake. From the perspective of anti-interference, inertial mass of the urn can shield the vertical pin from the earthquake force. The top cover is under a design to enhance the rigidity, with its extra thick edge to fully cover the urn. In normal operation and restoration process the cover lid stays closed. Moreover, no hangers or rings needs to be installed on the lid as there is no part stretching out. The eight toads are designed as whole. When the copper ball falls, it falls straight down. So the toads’ mouths are close to the urn wall, in a squad that the heads face outwards and the butts and feet connected to the urn surface. Such design provides better stability by adding 8 more feet.

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The acoustic effect of toads cannot be underestimated. If the sound comes out of a hollow object with a husk, it would be a strong but short sound. We suggest installing one extra sounder inside each toad. When a copper ball falls, it bounces inside the toad for several times and then comes to a complete stop at the bottom. It is convenient to simply take balls out from the bottom of toads. As for modeling, the urn should be casted separately. Firstly, the bottom shall be casted, secondly the vertical pin and levers on its top, then eight pieces of walls are wielded together with the toads, and finally adjustments are made. In the automatic detection machine, there are three components: the sensor, the amplifier, and the displayer. For a seismograph, the sensor is the vertical pin; amplifier is the lever at two ends, and the displayer is the dragon trigger, copper balls and toads. Zhang Heng’s Seismograph contains the three elements, and thus it qualifies a complete automatic detection instrument. The design with a vertical cone is less completed as it lacks the part of amplifier. Our recovery design is simple enough to make the ancient people able to understand and manufacture. Moreover, it perfectly matches the original historical records, and makes the appearance of urn and toads reasonable.

8.4

Quantitative Estimation

Provided that the relative displacement of the copper urn and vertical pin is 0.2 millimeter, the 15 times magnification through levers at two ends will make a 3 millimeters displacement at the bottom of the second lever, which is large enough to trigger the lever. There is rolling friction during the movement of the vertical pin, with a coefficient of 0.001 and the acceleration of the relative motion caused by friction rejection is larger than one-thousandth of the gravitational acceleration, approximately 10 mm/s2. It takes 0.2 s to obtain a displacement of 0.2 millimeter by this acceleration (Formula: s ¼ at2/2). These are just rough numbers which can only be used for semi quantitative estimation, but the 0.2 millimeter is the major data for mechanism design and the seismological sensitivity marker is 10 mm/s2, which is the data for the weak earthquake of three magnitude. The 0.2-s delay in speed acceleration in the assumption may be too short and conservative. The increase of this figure will cause the increase of displacement by multiple squares, which will be enough to make up for the deficiency of other data, like the enlargement of the width of the pressure surface of the second lever. To compare with the corresponding vertical cone sensitivity quantity, the minimum displacement is the tip radius. A 2-meter high vertical cone needs a tip of at least 5 mm radius to stand steadily. To get a 5 mm displacement, it takes 1 s to accelerate at 10 mm/s2. This is a great demand for duration time but this does not mean the data is useless and this is actually what happens in real earthquake. Certainly, in this discussion, other indexes such as durability and maneuverability are excluded. In addition to translational motion, it is also necessary to talk about bounce and flip. They are like water waves, comprising ups and downs and inclining. Obviously, the vertical cone is not responsive or sensitive to pure bounce or flip movement. The

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ball is sensitive to flip because its small landing area leads to a small threshold angle, which means as long as the foot of the perpendicular line of the spherical center deviate, the ball will roll. We are not going to make a quantitative estimation here. In any case, Zhangheng’s Seismograph only provides the determination of the threshold value but cannot be estimated quantitatively. And this threshold value must be a reasonable number for if it is too sensitive, most of alarms will be of the earthquakes insensible to people and these alarms in vain will lead to the losing of the seismograph’s credibility. Therefore, it is appropriate to take magnitude three as the threshold sensitivity value, unless there are more than two seismographs working at the same time. When the rough one shakes, the precise one will not; when the precise one shakes, the rough one will for sure shakes. Since there is no other seismograph recorded in the historical data, the eight-ball design is still the more reasonable one. If there are more balls, the radius can be shortened and the friction can be enlarged, but the eight-ball design is also sufficient. In the reconstruction design above, the eight horizontal bar strongly confined the position of the vertical pin, leaving a necessary displacement of only 0.2 mm between the copper urn and the vertical pin. Maintaining this condition, to replace the eight balls with one single ball on the central axis, or even with the convex sphere in the center of the lower surface of the vertical pin’s pedestal would make it an actual inverted pendulum. This design can achieve even higher sensitivity, but considering being unable to explain the “Eight Bars in All Directions” and the difficulty of installing and adjusting, it is inadvisable. Through the above discussion, as well as our mini model experiment, it is evident that Zhang Heng’s scientific achievements far exceeded the imagination of the predecessors and were unsurpassable until the nineteenth century. If the seismograph had been able to detect micro quakes, it would have been sensitive to the initial wave (P wave) from the distant epicenter, which for sure was unknown to Zhang Heng. The initial wave is a longitudinal wave, with its moving direction on the ground consistent with the earthquake focus, so the direction of ball linking to the dragon lever can indeed indicate the earthquake focus direction to some degree. This is another example concerning the history of science which shows that without careful investigation, the achievements of the ancients are easily underestimated by modern people. However, if we impose the concepts of “Transverse-Longitudinal Wave” or “High-Low Frequency” on Zhang Heng, the scientific nature of historiography would be lost. According to the three standards for restoring ancient artifacts mentioned above, it is not difficult to assess the different attempts to restore Zhang Heng’s Seismograph. In the analysis of Feng Rui, this restoration design belongs to the type of detecting seismic acceleration while the pendulum design by Wang Zhenduo in 1936 was the type of seismic displacement detection. As a seismology expert, Feng Rui insisted on using the pendulum design to restore the seismograph, the same as the scheme shown in diagram 2. The reason is that due to the dynamic process of seismic wave transmitting, only the pendulum can correctly reflect the azimuth of the source. In distant earthquakes, such as the Longxi Earthquake seen from Luoyang, seismic

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waves are transmitted in three phases: the first wave is called “P-Wave,” vibrating vertically in very small amplitude; the second wave is called “S-Wave,” vibrating horizontally in an uncertain direction that is generally perpendicular to the source and presenting the largest amplitude in the shorter but highly frequent vibration periods, with a frequency of about 10 Hz or more; the last one is “R-Wave,” which mainly vibrates on the horizontal plane in the same direction as the source and lasts for 10–20 s with a frequency of about 1 Hz. Only the pendulum with a periodic vibration, whose natural frequency is close to R-Wave, can only make resonant response to R-Wave without causing any response to P-Wave or S-Wave, thereby amplifying the amplitude to a larger degree within a few cycles so as to strike a copper ball to roll towards the shimmy direction – that is the direction of the source. Feng Rui stressed the “vibration (振)” in the original text, saying that it referred to periodic vibration. He also emphasized that Zhang Heng’s Seismograph was able to reflect the epicentral azimuth. With these two presuppositions, the pendulum is the only suitable design and they also exemplified it. The lamp suspended from the ceiling by a long wire swings during the earthquake with an amplitude larger than the shake of the ground. The author of this chapter otherwise argues that the “vibration ” in the original text does not necessarily mean periodic vibration, just as “vibrate one arm and shouting” is not shaking one’s hand frequently and that “new bather must vibrate the clothes” just means flicking them. The term “vibration” is only defined in modern mechanics as periodic reciprocating motion. In the historical records of the seismograph, the word “shake (震)” exactly means sudden and short non-periodic turbulence while the word “vibration” conveys the meaning of “initiating” or “starting.” Besides, it is impossible for Zhang Heng or authors of the historical records to know the existence of three waves as well as sophisticated physical concepts of azimuth, amplitude, frequency, etc. Moreover, even the elaborate modern design of the pendulum is still not capable of distinguishing forth and back directions, meaning that the seismic waves coming from the west may also cause the falling of the ball in the east. And, if the pendulum dangles so much that it can be noticed, it would be unreasonable to say that “the earth shakes without being aware by people.” Even though one cannot sense it oneself, seeing the shake of objects also cannot be appreciated as “not being aware by people.” It is untenable to use the so-called basis to allege that the vertical pin of Zhang Heng’s seismograph is pendulum. According exegesis, there is no ancient record referring pendant objects as “pins (柱),” not to mention the adjective “vertical (都).” In ancient text, “县” was the interchangeable character of “hang (悬),” just as the description in Kaogongji, “when artisans build the capital, they use the hanging plummet to ensure the level of the ground and use the shadow the plummet to ensure the verticalness of the pillar” and that in Mohist Canon, “use hair of the same quality to hang a light object but the hair breaks up.” There is no “hanging pin or vertical pin (县柱)” in these descriptions. The purpose of Zhang Heng setting up eight mechanisms cannot be to determine the azimuth of the seismic origin. It was just a “containment tactic.” Without the exact direction of the ground movement, the mechanism was designed to be surrounded by eight gears, hoping that at least one could be triggered. Modern

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scientific analysis also shows no possibility of detecting the earthquake’s location at that time. The original text only states that “once one dragon level was triggered,” but does not indicate which level it exactly was. If the direction was in accordance with the actual earthquake, that is, the west, then “west dragon level” should be stated instead of the vague description of “one dragon level.” As for the statements by the historiographer that “thus the earthquake location is known” or that “since then, historiographers have been asked to record the direction of the earthquake origin,” they are all misrepresentation. So, the assumption of Zhang Heng’s Seismograph being able to detect the position of the earthquake origin is against the knowledge and technology background at that time, neither possible nor reasonable. The statement that “the earthquake location is known” should be denied. It was impossible for Zhang Heng to take account of acceleration or displacement detection in his design for he might just want to detect the weak quake of the earth. Actually, it was the S-Wave which had the largest amplitude that had triggered the instrument. Here, we must mention, by this opportunity, the application of “Mechanism Theory” in the philosophy of technology. Mechanism Theory is a unique treasure of Chinese classical philosophy, the general meaning being to dominate with detail and recognize the whole through observation of the part, just as a spark can start a prairie fire and a small leak can sink a large ship. This is extremely brilliant methodology, the application of which is seen in pulse-taking and acupuncture of traditional Chinese medical science. The character “机 (mechanism)” comes from a mechanical shaft lever while the application of its philosophy originates from crossbow, which is also a lever, but a smaller one controlled through a second lever. It is probably not long after the invention of crossbow that the philosophy of Mechanism Theory appeared in China. The time would be no later than the Period of Warring States. Zhang Heng’s Seismograph is an early model of the application of Mechanism Theory in complex machinery. The vibration in the station of seismograph transmitted from distant earthquake is feeble, too weak to be felt by people. According to our analysis above, Zhang Heng’s Seismograph can detect a slight shock of below 3-magnitude. The key technique is the “dexterity second lever system” in the “installation of the mechanism.” Therefore, without restoration of the controlling second lever, the kernel of Zhang Heng’s invention cannot be represented.

8.5

The Study on Earthquake in Ancient China

It is so difficult to study the earthquake that by far there has not been universally accepted prediction method yet. For this, ancient Chinese people could only make philosophical prediction, just like traditional Chinese medical science, nothing more than the vitality of yin and yang, etc. The explanation of earthquakes is more vague than that of traditional Chinese medical science which at least includes rather detailed knowledge of anatomy and diagnostic methods of “looking, listening, asking and feeling the pulse.” There is even no such kind of explanation in earthquake records. Even if the abnormal animal behaviors or so could be regarded

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as signs of earthquakes, no regular patterns were formed based on them. This is mainly because there was not concept of earth in ancient Chinese cosmology and volcanic eruptions closely related to earthquakes have also rarely occurred in the mainland of China in recent several thousand years. But, it also should be noted that only a few or hardly any gods or spirits were recognized as the ultimate cause of earthquakes in the past. This represents the atheism-based world ideology of China ever since ancient times. The record of official historian BoYangfu talking about earthquakes in National Discourse-Discourse of Zhou (Guoyu –Zhouyu) is the earliest existing discussion on the cause of earthquakes. His sayings have always been cited by later generations. In the 2nd year (780 BC) of Emperor Youwang of the Zhou Dynasty, earthquakes took place in the areas around three rivers of Jing, Wei and Luo in Western Zhou. Bo Yangfu said, “Zhou Dynasty is going to fall! The vitality of heaven and earth has its own positions and orders, which should not go off track. If it has gone wrong, it must be the people who have disturbed it. When the vitality of yang is oppressed by that of yin and cannot ascend, an earthquake happens. Now the earthquake in the areas around three rivers of Jing, Wei and Luo happened because the vitality of yang left its original position and was suppressed by the vitality of yin. With the vitality of yang being suppressed below the vitality of yin, the water source is bound to be blocked. If the water is blocked, the country is doomed to die out. Fertile soil and flowing water are essential for production. The lack of moist land will lead to the lack of wealth and possessions for people. If this happens, it is not possible for a country to exist any longer, isn’t it? In the past, Emperor Jie of the Xia Dynasty ended his reign when the Yi River and Luo River dried up and the Shang Dynasty was overthrown when the Yellow River stopped flowing. Now, the situation in our Zhou Dynasty is just like the end period of the two dynasties I mentioned, with the water of the three rivers blocked meaning that they will be drying up soon. Mountains and rivers are the corner stones of the foundation of a country, so the landslide of mountains and drying-up of rivers are signs of the fall of the country. If rivers dry up, mountains will certainly fall apart and the country will fall in less than ten years. The country abandoned by the god can last no more than a decade.” In that year, the three rivers of Jing, Wei and Luo dried up and the Qi Mountain collapsed. In the eleventh year of Emperor You, the Western Zhou Dynasty fell and the capital was moved to the east.

The Western Zhou Dynasty mentioned above refers to the metropolitan territory of the Zhou Dynasty in the area around the Qi Mountain, excluding the lands of feudal princes. Since the abolishment of feudalism by the Qin Dynasty, the influence of local earthquakes on the entire empire had not been so large as that on the Western Zhou Dynasty, but they also caused a lot of troubles. Bo Yangfu said, “Earthquakes are caused by the disorder of the vitality of heaven and earth with the vitality of yang being prevented from ascending while the vitality of yin being not able to disperse. Apart from casualties and house destruction, earthquakes cause the block of rivers, which will lead to droughts and ultimately result in the fall of the country.” Although the causes of earthquakes in his statement are far off the topic, they are totally based on naturalism without any mysticism. The discussion on earthquake in later generations never went beyond this saying. Based on the “Earthquake Trigram” in the Eight Trigrams and the use of concepts of yin and yang to explain natural phenomena concerning heaven and earth, water and fire, etc. in Book of Changes, many ancient

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scholars discussed earthquakes from the perspective of Yi-ology (the study of the Book of Changes), which is much more impractical than the study of traditional Chinese medical science. Taking Zhu Xi as an example, he made his statements on the basis of the scholars in the Northern Song Dynasty such as Shao Yong and Er Cheng. He was meticulous about his statement and never made overgeneralized remarks. Compared with other scholars, his ideas were relatively good, with some physical factors involved. Words of Zhu Xi: What does the heaven depend on? Answer that it depends on the earth. What does the earth rely on? Answer that it relies on the heaven. What do the heaven and the earth depend? Answer that they depend on each other. The heaven depends on the form while the earth relies on vitality. So, in a word, I’m afraid it’s because people find other places different from the heaven and earth. There is no space out of the heaven and earth, because even if there is finitude for the form, the vitality is infinite. The vitality is so pressed that it can support the earth which otherwise would falls. There must be thick crust around the vitality to strengthen it. The earthquake now is just a shake of one place and won’t transmit far.

Despite the puzzling causes, earthquakes are large events after all, so there have been related records in the history starting from the book Spring and Autumn Annals. The records of earthquakes appeared in all the Twenty-Four Histories. The early records appeared in the chronology-based annals of emperors, which stated that the emperor needed to make self-criticism for the earthquake, issuing “Imperial Edict for Self-Blaming” and asking for “honest criticism.” And astronomical treatises recorded earthquakes as confirmation of horoscope. Seismic records in later dynasties were all included in the Treatise on Wu Xing (the five elements of metal, wood, water, fire, and earth), especially elaborately accounted in that of Yuan, Ming, and Qing Dynasties. In addition, there were also seismic records in local chronicles and other miscellaneous books. Seismic records in ancient China are one of the most complete and rich cultural treasures in the world, which will certainly contribute greatly to earthquake science. As for Zhang Heng’s work, that project is indeed very transcendent, but also impractical. It could not provide pre-earthquake prediction, and at that time, even if there were early warnings, there were no means of timely communication to send them to a distant place, unless they could be issued nearby. As post-earthquake monitoring tool, it was also not so useful for without sufficient information about the earthquake situation and effective rescue measures, there was no harm to know the earthquake a few days later. It would be better to use the copper to coin money for disaster relief. It is just like the lamp of seven treasures in the Daming Palace made by Guo Shoujing, which were extravagantly made from plenty of gold, silver, and gems but only functioned as an ornament in the court. This is not a good deed. Zhang Heng was born in a rich family “well-known for generations” and his grandfather was the prefecture chief of Shu County. The seismograph was a demonstration of his rich-boyish style or at best a basic scientific research. Its scientific value was not was not paid attention to until the modern time while his armillary sphere has been remade in every dynasty ever since for its necessity in astronomy and legislation.

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The comparison of the two instruments’ applications means a lot to us. The evaluation of ancient achievements in the study of science and technology history cannot be divorced from the practice and social benefit should be an important factor to consider.

Appendices Earthquake Monitoring Records in Ancient China In the early years of the founding of the People’s Republic of China, the ancient documents concerning earthquakes had been comprehensively searched and sorted out to be compiled into specific books. Based on these data, a group of earthquake experts and amateurs have figured out some rules or expressions, which have helped in the prediction of major earthquakes around the world in recent years. This causes some controversies in the field of geoscience, but the fact that there are cases of surprisingly accurate forecasting based on this cannot be denied. Evidently, the science of earthquake prediction also needs to be sinicized. In order to have a general understanding of earthquake monitoring in ancient China, data from Spring and Autumn Annals and History of Ming – Treatise on Five Elements are quoted here. The records in History of Ming started from AD 1371 and ended in AD 1644, a total of 273 years, including two massive earthquakes, one occurring simultaneously in three provinces of Shanxi, Shaanxi, and Henan in the December of the 34th year of Jiajing Period (1555), with a death toll of 830,000 and the other happening in the Pingliang Area in first year of Tianqi Period (1621), causing the death of 12,000 people. At the beginning (such as the first 3 years of Hongwu Period) and end of a dynasty, the records were certainly not complete and jurisdictional territory was also changing, but it is satisfying enough to have these records.

Spring and Autumn Annals In the ninth year of Wen Period (617 BC), an earthquake happened on the date of gui-you in September of lunar calendar. In the sixteenth year of Xiang Period (556 BC), an earthquake happened on the date of jia-zi in May. In the 19th year of Zhao Period (522 BC), an earthquake happened on the date of ji-mao in May and in the 23rd year of the same period (518 BC), an earthquake happened on the date of yi-wei in August. In the third year of Ai Period (492 BC), an earthquake happened on the date of jia-wu in April. History of Ming – Treatise on Five Elements, Volume 3 In the fourth year of Hongwu Period (AD 1371), an earthquake occurred in Gongchang, Lintao and Qingyang on the date of ji-chou in January. In the next year, an earthquake happened in Cangwu, He Zhou, Gongcheng, and Lishan of Wu Zhou City on the date of wu-xu in April. On the kui-mao of June and xin-hai of July of the same year, another two earthquakes occurred in Yangqu County, Taiyuan City.

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On the ren-xu of July, there were storms and earthquakes in the capital, and on the gui-wei of August, thunders struck in sky northwest of Xugou County and Taiyuan City, and then the earthquake lasted for three days. On the wu-xu of the same month, another earthquake happened in Yangqu County, which was followed by the earthquake on the ren-xu of September and xu-yin and xin-mao of October. In this year, there were seven earthquakes in total in Yangqu County and there were another eight earthquakes during the 8 years from the sixth year to the fourteenth year of the Hongwu Period. In the eighth year, an earthquake happened in the capital on the date of xu-chen in July and another earthquake happened on xu-zi of December. On the ji-si of April, in the 11th year, an earthquake happened in Ningxia and city walls collapsed. On the jia-xu of December in the 13th year, an earthquake occurred in the Prefecture of Fu Zhou and He Zhou of the Guang Zhou Prefecture. In the 19th year, an earthquake happened in Yunan on the date of xin-chou in June and on ji-mao of November the sound of earthquake was heard again. In the 23rd year, an earthquake happened on geng-chen of January in Shandong. In the first year of Jianwen Period (1399), an earthquake occurred in the capital on the date of jia-wu in March and the emperor asked for honest remarks and criticism. In the first year of Yongle Period (1408), an earthquake happened in Beijing on jia-wu of November as well as in Shanxi and Ningxia. On gui-chou of November in the second year, an earthquake happened in the capital, Jinan and Kaifeng with the sound being heard. There were earthquakes in the capital again on ren-xu of May in the sixth year and jia-zi of August in the eleventh year. There were three earthquakes in Beijing on ren-xu of September in the 13th year, gui-mao of September in the 14th year, and bing-wu of June in the 18h year respectively. In the 22nd year, an earthquake happened on ren-shen of June in Nanjing. In the first year of Hongxi Period (1425), an earthquake happened in Liuanwei (the now Liuan City in Anhui Province) on the date of wu-wu in February and lasted for 7 days; in the same year, there were 42 earthquakes happening in Nanjing. In the first year of Xuande Period (1428), there was an earthquake in the capital with the sound starting from the southeast and transmitting to the northwest. In that year, there were nine earthquakes in Nanjing. It happened again in the spring of the next year and several times in the thirteenth year. In the fourth year, the earthquakes happened in both Beijing and Nanjing and in the fifth year, Nanjing suffered from it again on ren-zi and xin-you of January. In the third year of Zhengtong Period (1438), an earthquake occurred on the date of ji-hai in March in the capital, followed by another one on geng-zi and a third one on jia-chen. On the date of ji-wei in June and ji-hai in August in the next year, the earthquake happened again. In the fifth year, on geng-wu of May, an earthquake in Zhuanglang of Shuolan Zhou lasted for 10 days. In October and November, several earthquakes destroyed houses and fortresses and crushed people and domestic animals to death. On ding-si of February in the tenth year, an earthquake happened in the capital. In the second year of Jingtai Period (1451), an earthquake happened in the capital on the gui-chou of July. In July of the third year, there were 17 spots in Zhukeng Village of Yongxin suffering from ground collapsing. In that year, an earthquake

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happened in Nanjing and on geng-zi of October in the fifth year, there was an earthquake in the capital with sounds rising from the northwest and ceasing in the southeast. In the sixth year, on jia-wu of February, there was large thunderstorm in Anfu and the grounds of two places in Yangtang of Baiquanpi subsided with one sinking in the depth of 3 zhang (3 1/3 m) and width of over 10 zhang and another in the depth of 6 chi (1/3 m) and width of 1 zhang or more. In the first year of Tianshun Period (1457), an earthquake happened in Nanjing on yi-si of October. In the first year of Chenghua Period (1465), an earthquake happened on jia-shen of April in Jun Zhou and lasted until 23rd. In the third year, Sichuan suffered from 375 earthquakes in total. On the date of ren-shen in May, an earthquake happened in Xuanfu and Datong as well as in Weiyuan and Shuo Zhou, where walls and abutments were broken and people got injured. On gui-si of August in the fourth year, sounds of earthquake were heard in the capital and in December, an earthquake happened in Huguang on the date of wu-xu. In the fifth year, earthquakes happened in four places of Runing, Wuchang, Hanyang, and Yue Zhou on the same day of bing-chen in December. On ding-hai of January in the sixth year, an earthquake occurred in Henan and there was also an earthquake in Huguang in the same year. In the tenth year, an earthquake happened in Heqing on ren-wu of October and in September on the date of ji-si, there were 15 earthquakes from 3 o’clock to 17 o’clock, causing the falling of official buildings and residential houses and the injuries of people and domestic animals. On ding-you of October, there were earthquakes in Lin Zhou, Dasha, and Jingyi with sounds as loud as thunders and several earthquakes followed day and night until jia-yin of November when 11 earthquakes happened in one day causing the collapse of most city walls and houses. In the 12th year, an earthquake happened in Nanjing on xin-hai of January and another one in the capital on xin-si of October. In the 13th year, on ji-si of January in Fengyang and Linhuai there were earthquakes with sounds being heard and on gui-mao of leap month February an earthquake happened in Linyao and Gongchang, causing the falling of part of the city walls. On wu-xu of April, the ground in Gansu fractured with quakes and sounds and the earthquake also happened in Yulin and Liang Zhou. A massive earthquake happened in Ningxia with sounds like thunders and 83 parts of the city walls broken. On the same day, earthquakes happened in Gan Zhou, Gongchang, Yulin, Liang Zhou as well as Tancheng, Tengfei, Yi of Yi Zhou. In September, on jia-xu there were three earthquakes in the capital. In the 14th year, an earthquake happened in the Taiping Prefecture of Guangxi in June and another six followed until the ji-si of August. In July, there were several earthquakes in Yanjing Wei of Sichuan causing the collapse of official buildings and houses and the death of most people and domestic animals. On ding-si of August in the sixteenth year, there were seven earthquakes in one day in Yuexi Wei of Sichuan and the earthquakes lasted for several days. In February of the 17th year, there were earthquakes in Nanjing, Fengyang, Lu Zhou, Huaian, Yang Zhou, He Zhou, Yan Zhou as well as counties and zhous of Henan on the same day of jia-yin. An earthquake happened in Zunhua County of Ji Zhou on wu-xu of May and another three on jis-chen of June; on the same day, there were also three earthquakes in Yongping Prefecture and

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Ningyuan Wei of Liaodong. On geng-yin of January in the 20th year, there were earthquakes in the capital as well as Yongping, Xuanfu, and Liaodong. The ground in Xuanfu fractured, the water rose up, and most of the walls and fortresses of Juyong Pass in Gubeikou of Miyun of the Tianshou Mountain were destroyed with some people crushed to death. There were seven earthquakes in Dai Zhou on jia-yin of May. On xin-si of September, the ground of Fei County subsided to the depth of 2 chi and width of about 3 zhang. An earthquake happened on ren-shen in February of the 21st year, an earthquake happened in Taian and on ren-wu of March another one happened in Shuo, with sounds like thunders and the Tai Mountain shaking, which was followed by slight quakes in the next four days. There were serial quakes on gui-si, yi-wei and geng-zi. On gui-wei of leap April, earthquakes happened, and sounds were heard in four zhous of Gongchang, Guyuan Wei, Lanhe, and Taomin. On gui-si, earthquakes happened, and sounds were heard in Zunhua County of Ji Zhou followed by serial quakes in the following days with walls falling and residents injured. There was another on happening in the capital on ren-xu of May. In September, earthquakes occurred in Lian Zhou and Wu Zhou on bing-chen and lasted for 16 days. In November, there was an earthquake in the capital on bing-yin. In the 22nd year, on ren-chen of June, the ground in Hanzhong Prefecture and Ningqiang Wei broke in a width of over ten zhang or six to seven zhang, and the ground in Baoji County broke in a length of 3 li and width of one zhang or more. On xin-hai of September, there were seven to eight earthquakes in Chengdu, both having loud sounds, and on the next day the earth quaked again. In the first year of Hongzhi Period (1488), on ren-yin of August, earthquakes happened in Han Zhou and Mao Zhou causing the collapse of 37 blockhouses in Huangtou Village, etc. and death of people. On xu-shen, the ground in Geyu Village of Xuan Prefecture subsided three chi deep, one hundred and fifty steps long, and one zhang wide. A ridge of 1 chi in width and 70 steps in length rose up in the sand river. In December, an earthquake happened on xin-mao in Sichuan and lasted for three days. In May of the second year, an earthquake occurred on geng-shen in Chendu and lasted for three days with sounds being heard. In December of the third year, the earth quaked again in the capital on the date of ji-wei. Three earthquakes occurred again in June of the fourth year on the date of xin-hai. On yi-mao of August, an earthquake happened in Nanjing with the buildings all shaking and the two prefectures of Huai and Yang trembled on the same day. In March of the sixth year, an earthquake happened in Ningxia, followed by a total of 20 earthquakes in three years in a row. In April, in Kaifeng, Weihui, Dongchang, and Yan Zhou the earthquake hit the same day of jia-chen with sounds being heard. On ding-chou of February in the seventh year, an earthquake broke out, causing the collapse of houses and death of soldiers and residents. In the same year, there were six earthquakes in Beijing and Nanjing. In March of the eighth year, 12 earthquakes struck Ningxia on ji-hai with sounds like thunders, causing the fall of walls, abutments, and houses and the injury of people. In September, from jia-wu to xin-chou 12 earthquakes struck Annan Wei, while nine earthquakes occurred from ren-xu to jia-zi in October in Hai State. The earthquake happened again in Nanjing in the same year. In the ninth year, earthquakes happened in Nanjng and Beijing, twice each. In the first lunar month of

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the tenth year, earthquakes happened in Beijing and Shanxi on the date of wu-wu. On yi-hai of June, an earthquake hit Haifeng with sounds being like thunders and lasted for several days. In the same year, earthquakes happened in Zhending, the town of Yulin, Ningxia, Fanling, and Taiyuan, especially serious in Tunliu, with all the houses and tiles falling just like the impending overturn of the boat. On bing-zi of June in the 11th year, there were thunder-like sounds in Guilin and nine places subsided with large ones of 17 zhang in width and small ones 7 or 3 zhang in width. In July of the 13th year, an earthquake occurred in the capital on ji-si. In October, earthquakes occurred at the same time on wu-shen in Beijing, Nanjing and Fengyang. On geng-xu of the first lunar month in the 14th year, there were several days of quakes in Yanan and Qingyang of Shuo Zhou as well as several zhous like Tonghua, several towns like Xianyang and Changan and several weis like Tongguan, accompanying sounding like thunders, especially in Chaoyi where earthquakes lasted for 17 days with most of the walls and houses demolished and many people and domestic animals crushed to death. In the east of the county, the ground fell down and the water overflowed. From summer to winter, another seven earthquakes occurred, and on the same day, earthquakes with sounds happened in the two counties of Yongning and Lushi in Shaan Zhou as well as the two counties of Anyi, Ronghe in Pingyang Prefecture and there were serial quakes in Pu Zhou from that day to the day of wu-wu. On ding-chou, four prefectures of Fu, Xing, Quan, and Zhang all had earthquakes. In February, the earthquake occurred again in Pu Zhou on yi-wei, and 29 earthquakes occurred until gui-hai of March. On gui-chou of August, the ground of the Inspection Office of Kedu River in Sichuan cracked and subsided. Water rose up from tens of spots, bursting bridges and destroying house which led to the death of many people and domestic animals. On gui-you, three earthquakes happened in Gui Zhou. On xin-you of October, an earthquake occurred in Nanjing. In the 15th year, on bing-xu of September earthquakes occurred on the same day in Nanjing, Xu Zhou, Daming, Shunde, Jinan, Dongchang, and Yan Zhou, which broke city walls and residential houses, especially in Pu Zhou where the earth cracked and water surged from underground, causing the death of one hundred or more people. In the same day Kaifeng, Zhangde and Pingyang also had earthquakes. On jia-zi of October, there were earthquakes in the three zhous of Ying, Shuo, Dai and counties of Shanyin, Mayi, Yangqu, etc. with sounds like thunders. On dingmao an earthquake happened in Nanjing. On geng-shen of February in the 16th year, another earthquake hit Nanjing. On gui-hai of June in the 18th year, an earthquake broke out in Ningxia, with sounds like thunders and the collapse of buildings. On gui-si of September, there were quakes in the four prefectures of Hang, Jia, Shao, Ning, and Ningxia with sounds being heard. On the date of jia-wu earthquakes occurred in Nanjing, the seven prefectures of Su, Song, Chang, Zhen, Huai, Yang, and Ning, and the two zhous of Tong and He. On xin-chou, the two zhous of Pu and Hai as well as the seven counties of Jiangxia, Pinglu, Rong, He, Wenxi, Ruicheng, and Yishi had earthquakes with sounds being heard, especially Anyi County and Wanquan County where some people were crushed to death. In the first year of Zhengde Period (1506), there were more than 10 earthquakes in Heyang from the date of gui-you to ji-hai in February. The sounds were like

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thunders. Starting from gui-chou of April, earthquakes lasted for several days in Yunnan Prefecture and a total of five earthquakes occurred in Mumiguan, breaking walls and residential houses and crushing people. On ding-si of August, an earthquake with thunder-like sounds occurred in AoShan Wei of Laizhou Prefecture, breaking battlements and several quakes happened after that, 45 in total from September to December, all with sounds like thunders. On geng-wu of September in the second year, there were three days of serial earthquakes in Yunnan Prefecture, An State and Xinxing Zhou, shaking residential houses and causing the death of people. In March of the fourth year, the ground of Daxing Village in Guangning sank, forming a hole of four chi long, three chi wide and more than 4 zhang deep on the date of jia-yin. On the night of ji-hai in May, lightening-like light flashed six times in Wuchang, accompanied by sounds like thunders, and the earthquake happened. On yi-wei of April in the sixth year, there were five earthquakes in Chuxiong in three days, and in the next May, there were consecutive 13 days of earthquakes. In October, on jia-chen, Dali Prefecture, Dengchuan Zhou, Jianchuan Zhou, and Erhai Wei had earthquakes, with the ones in Heqing and Jianchuan especially serious, breaking walls and houses and crushing people to death. On wu-wu of November, the earthquake struck the capital city as well as two prefectures of Hejian and Baoding, eight counties, three weis and two zhous of Shandong and Wuding. Ba Zhou was struck by 19 earthquakes in 3 days. In May of the seventh year, there were consecutive quakes in Chuxiong Prefecture from ren-zi to jia-zi and the sounds were like thunders. On ji-si of August, an earthquake occurred in Tengchong Wei and lasted for two days, destroying gate tower, officer and residential building, causing the underground water gushing out, submerging farmlands and leading to injuries and death of many people. On wu-xu of December in the eighth year, there were earthquakes in the two prefectures of Chengdu and Chongqing and the two zhous of Tongchuan and Qiong. On jiacheng of June in the ninth year, there was an earthquake in Fengyang Prefecture with sounds being heard. On yi-si of August, an massive earthquake struck the capital and on ren-chen of October, there were earthquakes in Xuzhou Prefecture, Taiyuan Prefecture, ten counties of Daiping, Yuci, etc., Datong Prefecture, Ying Zhou, and two counties of Shanyin and mayi. On ren-chen of May in the tenth year, an earthquake occurred in Yongning Wei in Zhao Zhou, Yunnan, and lasted for more than a month. One day, 20 or 30 earthquakes shook the city, with black fog hanging over, the earth cracking, and water gushing out, which caused the destruction of countless walls and official and residential houses and the death of thousands of people with several times more injured. On ding-chou of August, an earthquake occurred in Dali Prefecture followed by another four days of massive quakes starting from yi-wei of September. On wu-chen of August in the 11th year, an earthquake struck Nanjing and Wuchang Prefecture was also shaken by it. On ji-wei of December, there were earthquakes in Chuxiong and Dali Prefectures and two weis of Menghua and Jingdong. On jia-zi of April in the 12th year, earthquakes took place in Fuzhou Prefecture as well as the two counties of Yugan and Fengcheng and starting from this day until ji-chou of July, there were 15 earthquakes happening in Jinxiang Wei of Zhejiang. On wu-chen of June earthquakes

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struck Xinxing State as well as counties of Tonghai, Hexi, Xie, etc. in Yunnan, destroying city gate towers and houses and causing the death of people. In September, there were earthquakes in the four prefectures of Ji, Qing, Deng and Lai on the date of ji-mao and in the same year, there were several quakes in Quan Zhou from February to June and in Jinhua from February to July. In June of 13th years, earthquakes occurred in Dali Prefecture and two zhous of Zhao and Dengchuan and Langqiong County on the date of ji-si. In the same day, there was also an earthquake in Menghua Prefecture, followed by one on jia-wu of October and gui-mao of November. On ding-chou of February in the fourteenth year, the capital had an earthquake. On bing-wu of September there were also earthquakes in Changping Zhou, Xuan Prefecture, and weis like Kaiping. On bingchen, earthquakes struck the three prefectures of Fu, Xing, and Quan. On bingshen of Marth in the 15th year, earthquakes struck Anning, Yaoan, Bin Zhou, Menghua, and Heqing and the quake lasted for two days in Menghua, destroying city walls and houses and crushing people. On xin-you of August, there was an earthquake in Jingdong Wei with sounds like thunders, which destructing city walls and buildings and the grounds of many places broke apart. On the date of yi-chou, there were earthquakes in Jinan, Dongchang, and Kaifeng. In the second year of Jiajing Period (1523), earthquakes occurred in Nanjing, Fengyang, Shandong, Henan, and Shaanxi in January. On ren-shen of July, earthquakes struck Dinghai Wei etc. in Zhejiang, destroying most of the battlements. On bing-yin of the first lunar month in the third year, earthquakes happened simultaneously in two areas beside Shuo as well as Henan, Shandong, and Shaanxi. On xinsi, three prefectures in Changzhen had earthquakes and Nanjing had earthquakes again in the same year. On gui-mao of August in the fourth year, earthquakes with thunder-like sounds struck one wei and three counties in Xu Zhou and Feng Yang as well as two prefectures of Huaiqing and Kaifeng. On ren-shen of September, earthquakes happened again in two counties of Kaifeng as well as Fengyang and Xuzhou. In April of the fifth year, Yongchang, Tengchong, and Tengyue had earthquakes on the same day of gui-hai and Annan Wei in Gui Zhou also had earthquakes with sounds like thunders and damage of city walls. On ren-shen, earthquakes struck again. On xu-chen of October in the sixth year, ding-you of August in the 12th year and geng-yin of October in the 15th year, earthquakes happened in the capital and on the third date, the weis in Shuntian, Yongping, Wanquan, and Dusi also had earthquakes with sounds like thunders. On gui-you of September in the 16th year, an earthquake happened in Yunnan. On geng-yin of July in the 18th year, Chuxiong, Linan, and Guangxi had earthquakes. On geng-wu of April in the 19th year, there were earthquakes in both Tao Zhou and Gansu. In September of 21st year, Pingyang, Guyuan, Ningxia, and Tao Zhou had earthquakes on the same day of jia-xu with sounds being heard. In November, Gongchang, Guyuan, Xi’an, and Fengxiang were struck by earthquakes on the day of ding-si. On yi-si of March in the 22nd year, an earthquake with sounds happened in Taiyuan and lasted for ten days. On xu-yin of July in the 27th year, an earthquake struck the capital with the two prefectures of Shuntian and Baoding also experiencing the shake. On gui-chou of August, the capital shook again with Dengzhou Prefecture

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and Guangning Wei also experiencing the quake. On yi-wei of September in the 30th year, an earthquake with sounds happened in the capital. On gui-hai of February in the 31st year, an earthquake with sounds took place in Fengyang Prefecture and on bing-xu of March, an earthquake occurred in Shanxi. On ren-yin of December in the 34th year, there were earthquakes happening simultaneously in Shanxi, Shaanxi, and Henan with sounds like thunders, especially in places such as Weinan, Hua Zhou, Chaoyi, Sanyuan, and Pu Zhou, where the earth broke apart, the spring gushed out with fish in it, some city walls and houses sank into the fissures and the ground bulged out in some places with the earth quaking several times a day or for consecutive days. It caused the flood of the Yellow River and Wei River with the river water being cleared for several days, the screaming of birds and animals in the Hua Mountain and Zhongnan Mountain and the death of over 830,000 officials, soldiers, and residents. On geng-shen of the first lunar month in the 37th year, an earthquake happened in Shaanxi. On ding-chou of March, an earthquake occurred in Changping. Starting from ding-mao of May, an earthquake in Pu Zhou lasted for three consecutive days with sounds like thunders, which was followed by another quake on jia-shen of June. On bing-wu of October, an earthquake struck Hua Zhou with sounds like thunders and was followed by another one on ren-zi and a massive one on wu-wu, which caused the collapse of many houses. On xin-si of July in the 38th year, an earthquake with sounds occurred in Nanjing. In April of the 39th year, an earthquake struck Jiaxing of Hu Zhou, which caused the houses shaking like sails, river water raging, and fishes jumping out. On wu-xu of February in the 40th year, an earthquake with sounds happened in Shandan Wei of Gansu, destroying city fortresses and residential houses. On ren-wu of June, Earthquakes happened in Taiyuan, Datong, and Yulin and the one in Guyuan of Ningxia was especially serious, which damaged all the city walls, fortresses, official buildings, and houses, caused the upwelling of yellow and black water with sands, crushed countless of soldiers and residents, and destroyed cities such as Guangwu and Hongshi. In the 41t year, an earthquake occurred in the capital on bing-shen of the first lunar month and in the same year, an earthquake hit Ningxia, causing the collapse of city walls. In the first lunar month of the 45th year, the three prefectures of Fujian, Fuxing, Quan quaked on the same day of gui-si. In March of the second year of Longqing Period (1568), 15 zhous and counties of Shaanxi, Qingyang, Xi’an, Hanzhong, Ningxia, Shanxi, Pu Zhou, Anyi, Huguang, Yunyang, and Henan shook on the same day of jia-yin. On xu-yin, an earthquake happened in the capital and on the same day, Deng Zhou of Shandong and counties in Sichuan such as Shunyi quaked simultaneously with the ground of Leting breaking apart in 3 zhang and 2 chi wide, accompanied by upwelling of black sand water and the destruction of the city of Ningyuan. In April, Huaiqing, Nanyang, Runing, and Ningxia had earthquakes on the same day of gui-wei. On yi-you, earthquakes struck Fengxiang, Pingliang, Xi’an, and Qingyang, damaging cities and injuring people. On xi-you of July, the ground of Lingchuan cleaved in a width of more than 30 steps. On geng-chen of November, an earthquake happened in the capital and it quaked again on wu-xu of April in the fourth year. On bing-wu of February in the fifth year, the grounds under the residence of Jingjiang Prince and his

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relatives as well as the official building of the chief secretary all sank. On xin-mao of June, three earthquakes hit the capital. In August of the first year of Wanli Period (1573), an earthquake happened in Jing Zhou on wu-shen and did not stop until bing-yin. On gui-hai of February in the second year, Changting was struck by an earthquake, causing the forming of a large hole in the ground and the falling of many residential houses. On jia-xu of the first lunar year in the third year, earthquakes took place in Huguang and Jiangxi. In May, earthquakes in Shuo, Xiangyang, Yunyang, and dependencies of Nanyang Prefecture lasted for three days starting from wu-xu. On ji-hai, there was also an earthquake in Xinyang. On wu-zi of June, there were earthquakes in the prefectures of Fu, Ting, and Zhang and Haiyang County of Guangdong. On wu-wu of September, an earthquake happened in the capital which was followed by another one on dingmao of October. On ji-mao, an earthquake happened in Minzhou Wei and there were more than a hundred earthquakes here from ji-chou to ren-wu. On geng-chen of February in the fourth year, an earthquake occurred in Jiliao and another one happened on xin-si. On xin-si of February in the fifth year, there were over 20 earthquakes in Tengyue and quakes occurred again in the next day, causing collapse of mountains and surge of water. They destroyed thousands of temples, barns, and 70% of residential houses and crushed many soldiers and dwellers to death. On xin-mao of June in the sixth year, smoke rose in the field and then the ground ripped through to a width of more than one zhang, accompanied by booming sounds, and residents as well as trees and rocks all sank. On wu-wu of July in the seventh year, an earthquake occurred in the capital. In May of the eighth year, there were several earthquakes in Zunhua, starting from ren-wu and lasting for seven days. On jia-wu of July, there was a massive earthquake in Jingpinglu, destroying city walls of hundreds of zhang long. On ji-you of April in the ninth year, an earthquake happened in Yu Zhou, accompanied by sounds like thunders and the damage of houses and the counties of Datong also quaked simultaneously with loud sounds. On wu-zi of February in the 11th year, an earthquake happened in Chengtian Prefecture. On ding-mao of February in the 12th year, the capital had an earthquake and it happened again on jia-wu of May. On ding-wei of February in the 13th year, there were earthquakes in the six places of Huaian, Yangzhou, Luzhou, Shangyuan, Jiangning, and Jiangpu, with river water raging. On xu-yin of March, an earthquake happened in Shanyin County of Shanxi and lasted for 15 days. On ji-you of August, an earthquake took place in the capital which was followed by a second one on gui-you of April in the 14th year. On ren-chen of March in the 15th year, there were three earthquakes in the dependencies of Kaifeng Prefecture and the earthquakes struck Zhangde, Weihui and Huaiqing on the same day. In May, an earthquake took place in Shanxi. On geng-shen of June in the 16th year, another earthquake occurred in the capital. On ji-wei of July in the 17th year, there were earthquakes in Hangzhou, Wenzhou, and Shaoxing. On bing-zi of June in the eighteenth year, earthquakes happened in Lintao of Gansu, damaging city walls and houses and crushing countless people to death. There were several earthquakes in Fujian in August. In the leap month of March in the 19th year, an earthquake occurred in Changping Zhou on the date of ji-si. On wu-xu of October, an earthquake happened in Shandan Wei,

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destroying city walls. On ding-you of May in the 23rd year, an earthquake struck the capital and on gui-hai of December, an earthquake occurred in Shaanxi with sounds like thunders. In November of the 24th year, there was an earthquake in Fujian. On ren-chen of the first lunar month in the 25th year, an earthquake happened in Sichuan in the morning and lasted for three days. On ji-mao of August, there were earthquakes in several weis, such as Liaoyang and Guangning with water gushing from underground for three days. On jia-shen, an earthquake happened in the capital as well as places like Xuan Prefecture and Ji County. On yi-you of December, the capital shook again. On the morning of ding-hai in the first lunar month of the 26th year, an earthquake occurred in Ningxia and in the next day, the ground of Changle sank in a depth of 5 zhangs. On ding-chou of August, an earthquake with sounds happened in the capital. On xin-wei of July in the 27th year, there were earthquakes in Chengtian, Mianyang, and Yue Zhou. On wu-yin of February in the 28th year, the capital quaked again, with the quake transmitting from northeast to southwest, and the shake happened several times. On bing-wu of April in the 31st year, an earthquake happened in Zhongxiang County of Chengtian Prefecture and destroyed many houses. On wu-yin of May, an earthquake happened in the capital. On geng-chen of the leap month of September in the 32nd year, over ten quakes in one day occurred in Gongchang and Liquan, destroying city walls and residential houses while the ground of Baiyang and Wuquan ripped wide of 3 zhangs, with black water gushing out and surging for one zhang or more. On xin-chou of May in the 33rd year, there was an earthquake in Luchuan with sounds being heard, city walls and houses being damaged, and countless males and females being crushed to death. On geng-wu of June, booming sounds were heard in Lingchuan and Shetan and the ground with a width of over 10 zhangs sank in a depth of more than one zhang. On bing-shen of September, there was earthquake again in the capital, which transmitted from northeast to southwest. On bing-chen of June in the 34th year, there was an earthquake in Shaanxi. Starting from yi-mao of July in the 35th year, there were several days of quakes in Songpan, Mao Zhou, and Wenchuan. On wu-chen of February in the 36th year, an earthquake happened in the capital and another one happened on ding-you of July. On xin-you of June in the 37th year, an earthquake occurred in Gansu. More than 840 soldiers and residents in villages in Hongya and Qingshui were crushed to death, abutment piers of 870 li were broke and the ground of Dongguan was ripped open. On yi-hai of February in the 40th year, massive earthquakes happened in Dali, Wuding, and Qujing in Yunnan, which was followed by another on in the next day and Burma also quaked. On wu-xu of May, earthquakes happened again in Dali and Qujing of Yunnan and damaged houses. On geng-wu of September in the 42nd year, there were earthquakes in Shanxi and Henan. On ji-mao of February in the 43rd year, an earthquake happened in Yang Zhou, which caused the breakdown of hall and tilt of tower in Langshan Temple. On yi-hai of August, earthquake with sounds like thunders stuck Chuxiong which shocked people and caused death. On xin-you of October, an earthquake happened in the capital. On jiaxu of May in the 45th year, an earthquake happened in Fengyang Prefecture and

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another one happened on yi-hai. In August, the grounds of two places ripped. On ren-wu of June in the 46th year, an earthquake happened in the capital and another one happened on yi-mao of September. On that day, 17 zhous and counties in Shanxi, which were around the capital, Zijing Pass, areas along Mashui River and Shenchi also experienced quakes. On geng-xu of February in the 48th year, there were earthquakes in Yunnan, Shiuhing, Hui Zhou, Jing Zhou, Xiangyang, Chengtian, Mianyang, and Jingshan. On gui-chou of April in the first year of Tianqi Period (1621), the ground of Gushan Town in Yansui sank in a width of 35 zhangs and a depth of 2 zhangs 7 chis. On gui-you of February in the second year, earthquakes happened in Jinan, Dongchang, Henan, and Haining. Starting from gui-mao of March, eight counties in Dongchang of Jinan experienced three days of earthquakes with many residential houses destroyed. On jia-yin of September, massive earthquakes struck counties such as Pingliang and Longde, places like Zhenrong and Pinglu and villages like Magang and Shuangfeng, damaging city walls of more than 7900 zhangs, destroying more than 11800 houses, and causing the death of more than 12000 people. On guimao of November, an earthquake happened in Shaanxi. On the morning of gengshen in April of the third year, an earthquake occurred in the capital and it quaked again on ji-hai of October. On yi-mao of the leap month of October, there was an earthquake in Yunnan. On ding-wei of December, six prefectures and two zhous in the south all had earthquakes, with the one in Yangzhou being especially serious. On wu-xu of the same month, the capital quaked again. On ding-you of February in the fourth year, there were several earthquakes in mountains and seas of Suzhou and Yongping, damaged city walls and houses. On jia-yin, the ground in Yueting cracked and water gushed out for several chis. An earthquake struck the capital, causing the palace shake with booming sounds and water in the vat tremored. And earthquakes happened again on bing-chen and wu-wu in March, which were followed by three quakes on geng-shen. On ding-hai of June, an earthquake occurred in Baoding, damaging city walls and injuring people and animals. On ji-you of August, an earthquake happened in Shaanxi and another one happened in Nanjing on gui-mao of December. On bing-zi of June in the sixth year, the capital quaked and Jinan, Dongchang as well as six counties in Henan also quaked on the same day. There were also tens of quakes in Tianjing, Sanwei, Xu Prefecture and Datong, causing a lot of casualties. Several earthquakes took place in Lingqiu of Shanxi day and night and lasted for more than a month, destroying city walls and houses and causing the death of numbers of people. On xin-wei of July, an earthquake happened in Henan. On jia-xu of September, an earthquake happened in Fujian. On wu-chen of December, there were massive earthquakes in Shikong Temple in Ningxia, causing the collapse of temple halls and death of monks. Nanjing also quaked in the same year. In the seventh year, the weis and villages in Ningxia were struck by several hundred of earthquakes from ji-si of the first lunar year to ji-hai of February, with the large ones sounding like thunders and small ones like drum or wind blowing. City walls, houses, and abutments were all destroyed. On gui-chou of October, Nanjing

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had an earthquake with booming sounds, starting from the northwest and transmitting to the southeast. In the first year of Chongzhen Period (1628), there was an earthquake in the capital on ding-mao of September and on wu-xu of September in the third year, there was an earthquake in Nanjing. On yi-chou of June in the fourth year, earthquakes happened in Lintao and Gongchang, damaging houses and injuring people and domestic animals. On ding-you of April in the fifth year, there was an earthquake in Nanjing and Sichuan. On ding-mao of October, an earthquake happened in Shanxi and on jia-yin of November another one happened in Yunnan. On ding-si of the first lunar year in the sixth year, the ground in Zhenjiang ripped to a width of several zhangs. On wu-xu of July, an earthquake occurred in Shaanxi. In the winter of the eighth year, an earthquake happened in Shanxi. On wu-chen of March in the ninth year, an earthquake took place in Fujian. On ding-wei of July, the city of Qingjing sank. On bing-wu of the first lunar month in the tenth year, there was an earthquake in Nanjing and on ren-wu of July in the same year, Yunnan had an earthquake. On yi-mao of October, Sichuan quaked. In December, earthquakes happened in Xi’an of Shaanxi and Haila and lasted for several months. On ren-xu of September in the 11th year, an earthquake happened in Liaodong. On gui-si of February in the 12th year, an earthquake happened in the capital. In the 13th year, an earthquake struck Nanjing on wu-zi of November. On wu-yin of March in the 14th year, an earthquake happened in Fujian. On bing-yin of April, there was an earthquake in Huguang. On wu-zi of May, an earthquake happened in Gansu. On bing-wu of June, an earthquake happened in Fujian. On jia-wu of September, Sichuan had an earthquake. On bing-wu of May in the 15th year, there were quakes in Guangxi and Guangdong and in July an earthquake happened in Shanxi on jia-shen. There were several quakes in Fengyang in September of the 16th year. On bing-shen of November, an earthquake took place in Shandong. In the first lunar month of 1644, an earthquake happened in Fengyang on geng-yin and another one struck Nanjing on yi-mao. On xin-mao of March, there was an earthquake in Guangdong. (Translator: Tingyu Wang) (Proofreader: Caiyun Lian)

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Overview of Ancient Geoscience and Views of Geological Disasters and Abnormalities Qianjin Wang

Contents 9.1 Overview of History of Geoscience in Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.2 One Hundred Hamlets for One Hundred Readers – The Classic of the Mountains and Seas: Is It Merely a Mythological Work? . . . . . . . . . . . . . . . . . . . . . . 9.1.3 Tribute to Yu – Was It Made for Paying Tribute to Yu? . . . . . . . . . . . . . . . . . . . . . . . . 9.1.4 What Was the Norm of Land Rent in the Warring States Period? – The Soil Classification in Guanzi-Diyuan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.5 The Origin of the Taoist Geography – The Great Nine Prefectures Theory . . . 9.1.6 Was the Economic Center of China in the Western Han Dynasty the Same as Today?: Records of the Grand Historian – Biographies of Usurers by Sima Qian . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.7 The First Geographical Work Entitled “Geography” for Evolution: Book of Han – Treatise on Geography by Bangu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.8 Li-ology: A Book Is a Branch of Learning – Li Daoyuan and His Shui Jing Zhu (Commentary on the Waterways Classic) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.9 “Blue Seas Change into Mulberry Fields” Is a Thought of Transition Between Sea and Land . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.10 Great Tang Records on the Western Regions – The Chief Source of the Tang Monk Going on a Pilgrimage for Buddhist Scriptures . . . . . . . . . . . . . . . . . . . 9.1.11 A Significant Work on Oceanography of an Ancient Continental Country – Records of Sea Waves by Dou Shumeng . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.12 The General Records of Geography Was Finalized as in Early as the Tang Dynasty –Yuanhe Illustrated Annals of of Prefectures and Counties . . . . . . . . . . 9.1.13 Another Book Bearing the Name of Yellow Emperor – The Yellow Emperor Classic of Residency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.14 Why Does Joseph Needham Praise Shen Kuo as “the Most Outstanding Person in the Whole History of the Chinese Science”? . . . . . . . . . . . . . . . . . . . . . . . . 9.1.15 Why Do We Say that Xu Xiake Was a True Geographical Explorer in Ancient China? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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9.1.16

What Geographical Issue Concerned the Han Nationality After Regaining the State Power – Research on the Nine Border Cities . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.17 A Climax of Research on Oceanic Geography in China – Study on the Coastal Defense in the Middle Ming Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.18 A Concentrated Embodiment of the Applicable Learnings – Research on the Northwest Frontiers in the Late Qing Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.19 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.2 The Concept of Geological Disasters and Abnormalities in Ancient China . . . . . . . . . . . . . 9.2.1 The Connotation of Geological Disasters and Abnormalities . . . . . . . . . . . . . . . . . . . . 9.2.2 Interpretation of the Proverb “If the Yellow River Gets Clear, a Sage Will Be Born” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.2.3 The Astrological Meaning of the River Getting Clear . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.2.4 Attitudes Towards the River Getting Clear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.2.5 Usages of the Phrase “River Getting Clear” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.2.6 Record and Interpretation Earthquakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter focuses on the development of geoscience in ancient China and the understanding and researches of geological disasters and abnormal phenomena by ancient Chinese. In the first part, the author divides the development of geoscience in ancient China into several phases and illustrates important features of geoscience development in different historical periods by presenting classics on geology, geological works, records of geological features in ancient works, thoughts and theories on geology, personages making prominent contributions in this field, and important researches. In the second part, the author first explains the connotation of geological disaster and abnormities and then elaborates ancient people’s views of two geological phenomena: the Yellow River getting clear and earthquakes. Keywords

Geoscience · Ancient China · Geological disasters and abnormities · Geographical work · Earthquakes

9.1

Overview of History of Geoscience in Ancient China

9.1.1

Introduction

The modern earth science (geoscience) is a fundamental subject which takes the process, alteration, and interaction in the earth system (including the atmosphere, water, rock, biosphere, sun-earth space) as its research objects. Generally, geoscience covers geography (including physical geography, human geography, regional geography), geology, geophysics, geochemistry, atmospheric science, oceanic science, and other branches.

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Geoscience in ancient China is totally different from the modern geoscience which was born in Europe in terms of knowledge system. It can be divided into several historical phases: (a) The beginning phase: from the remote antiquity to the Spring and Autumn period; (b) The foundation-laying phase: from the Warring States period to the Qin and Han Dynasties; (c) The sustaining phase: the Wei, Jin, and Northern and Southern Dynasties; (d) The climax phase: from the Sui and Tang Dynasties to Song, Yuan Dynasties; (e) The transforming phase: from the Ming Dynasty to the mid-Qing Dynasty; (f) The Western science phase: the late Qing Dynasty.

9.1.2

One Hundred Hamlets for One Hundred Readers – The Classic of the Mountains and Seas: Is It Merely a Mythological Work?

The Classic of the Mountains and Seas, a work in the Warring States period, sets the example of describing geographical regions in ancient times. The regions described in it cover the vast areas of China, and some regions in Central Asia and East Asia as well. The transcribed version of Classic of the Mountains and Seas handed down consists of 18 volumes, totaling about 31,000 characters. There are 5 volumes of Classic of Mountains, 8 volumes of Classic of Seas, and 5 volumes of Classic of Large Wilderness. Since ancient times, the Classic of the Mountains and Seas has been called a “strange book,” “eccentric book,” and in library classification, it belonged to different categories in different times: The Book of Former Han – Treatise on Arts and Letters lists it in the category of numerology, the sort of forms. The Book of Sui – Treatise on Classic Books and the Old Book of Tang – Treatise on Classic Books collect it in the category of geography, the volume of history. The History of Song – Treatise on Arts and Letters lists it in the category of Wu Xing, the volume of philosophy. The Annotated Catalog of Complete Library in the Four Branches of Literature lists it in the category of novels, the volume of philosophy. Contemporary people study it mostly from the viewpoint of mythology. In fact it is a comprehensive work of geography. The Classic of the Mountains and Seas bears the geography of mountains and rivers as its outline, and records the geography, history, nations, religions, animals and plants, water conservancy, mythology and witchcraft, etc. from the remote ancient times to the Zhou Dynasty. The Classic of the Mountains and Seas divides the whole country into five regions and takes the mountains as coordinates in dealing with each region. It takes southwest Shanxi Province and west Henan Province as the region of “classic of mountains: central,” divides the adjacent areas into four regions, namely, east, south, west, and north, and gives a comprehensive regional description to each of

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them. It records the mountains, plants, animals, water systems, minerals, and other contents of geoscience. Recorded in the book, there are more than 5370 mountains, over 300 rivers, over 130 species of plants, over 260 species of animals, and 7080 kinds of minerals.

9.1.3

Tribute to Yu – Was It Made for Paying Tribute to Yu?

Yu Gong 《禹贡》 Tribute to Yu, a work in the Warring States period, surpasses the listing style of description in the Classic of the Mountains and Seas, and concisely describes the collected material in a more systematic way. The whole text is made up of no more than 1200 characters, and yet describes comprehensively the situation of the whole country. Based on comprehensive analysis of geological content, this book divides the scope of description into nine prefectures, namely: Ji Zhou, Yan Zhou, Qing Zhou, Xu Zhou, Yang Zhou, Jing Zhou, Yu Zhou, Liang Zhou, and Yong Zhou. The book narrates systematically the mountains, rivers, lakes, soils, minerals, and other surroundings and resources. Soils and taxes, etc. are narrated under unified standards. Tribute to Yu proposes an ideal administrative division – the Wu Fu (Five Fu-Service) System. The system takes the capital as the center to divide the surrounding area into regions based on the distance from the capital with 500 li (half a kilometer) as the unit. They are named Dian Fu, Hou Fu, Sui Fu, Yao Fu, and Huang Fu. The taxation rate for each Fu is stipulated. The system reflects a political idea. Directory of Mountains implies the thought of “mountain ranges,” though it does not put forward the concept explicitly. It groups all the mountains into four echelons, grasping the general physiognomy of the whole country. Directory of Rivers comprises nine sections, dealing with nine major rivers: The Weak River, Black River, Yellow River, Yangtze River, Hanshui River, Jishui River, Huaihe River, Weihe River, and Luohe River. The book records the origin and the estuary of each of them, and its main stream and tributaries as well. It says that the Yellow River has its source at Jishi, and the Yangtze River has its source at Minshan Mountain. These wrong sayings influenced China for thousands of years.

9.1.4

What Was the Norm of Land Rent in the Warring States Period? – The Soil Classification in Guanzi-Diyuan

Guanzi-Diyuan 《管子·地员》 expounds the terrain, earth and plants, and the relation between soil and underground water, and classifies soils. The first half expounds the relation between the soil in various terrains and the plants; the second half classifies the soils in the nine prefectures. Diyuan classifies all soils into four categories, namely: irrigated paddy field, grave extension, hills, mountainous land; the 4 categories are classified further into 24 subcategories.

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Finally, the book takes 12 plants as marks to describe the evolution from water to land of plant ecology in small terrains. That became the earliest standard of soil classification in China.

9.1.5

The Origin of the Taoist Geography – The Great Nine Prefectures Theory

According to the popular proposition of dividing the Central Plains region into nine prefectures, Zou Yan (305–240 BC) in the Qi State expanded the idea and proposed the Great Nine Prefectures theory. During the Warring States period, the Qi State on the Shandong Peninsula had developed navigation and broad geographical vision. Based on his exploration on the Sanshen Mountain across the sea, Zou Yan proposed: The central country (China) is called the Divine Land, in which there are nine prefectures . . . Beyond the central country, there are nine more regions that I also call nine prefectures. Each region is surrounded by minor seas, so people, birds and beasts cannot communicate easily with a nearby region. Such a region is a prefecture. There are nine of them. They are surrounded by large oceans that form the boundary between sky and earth.

In ancient China, The Great Nine Prefectures theory was an unorthodox viewpoint on the open globe with oceans. It views the land as 81 “continents” surrounded by seas and oceans. The far end of an ocean is connected to the vault of heaven. Actually, the central country is not situated in the center of the Great Nine Prefectures.

9.1.6

Was the Economic Center of China in the Western Han Dynasty the Same as Today?: Records of the Grand Historian – Biographies of Usurers by Sima Qian

The Records of the Grand Historian – Biographies of Usurers was written by Sima Qian. It records: The geological features and economic development in major regions of the country. According to the situation in the early years of the Western Han Dynasty, the country is divided into eight economic zones: Guanzhong, Sanhe, Zhanghe, Bojie, Qilu, Zoulu, East of Honggou, and Sanchu; the distribution of resources in all the regions of the country; the rising of over 30 cities and their distribution around the country.

9.1.7

The First Geographical Work Entitled “Geography” for Evolution: Book of Han – Treatise on Geography by Bangu

The word “geography” appeared in pre-Qin times. The Book of Changes – Xici says: “When we look up into the sky, we observe astronomy; when we look down onto the

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ground, we investigate geography. By means of these two studies, we get to know the causes of day and night.” Records of the Grand Historian – Annals of Qin Shi Huang also uses the word “geography.” The use of “geography” in titles of books started with Treatise on Geography – Book of Han by Bangu. Book of Han – Treatise on Geography is the first work named with “geography,” and it is the first treatise on geography. It set a system for evolution of geography as a discipline. The first part summarizes the evolution and alteration of the territory from the Yellow Emperor to the early Han Dynasty, and collects the whole content of the two books: Tribute to Yu and Territory. The second part is the main body. Taking the county as the unit, it records the geographical conditions of 103 regions and princedoms within the territory, covering 1587 subordinate districts, counties, sections, and marquisates. The third part compiles the Regional Division by Liu Xiang and the Customs by Zhu Gan, which deal with the dividing lines and the historical customs. The last part follows the writing style of the Records of the Grand Historian – Traditions of the Western Regions to record the neighboring countries and regions having exchanges with the Han Dynasty. Following the style of Book of Han – Treatise on Geography, most of the books of history complied officially by dynasties in China contain the treatise on geography. Of the 24 histories, 16 have the treatises on geography. Those treatises are the basic and most important part of works on geography in ancient China.

9.1.8

Li-ology: A Book Is a Branch of Learning – Li Daoyuan and His Shui Jing Zhu (Commentary on the Waterways Classic)

The academic circle calls research in The Plum in a Golden Vase “Goldenology” and that in A Dream in Red Mansions “Redology.” Therefore, research in Shui Jing Zhu 《水经注》 is called Li-ology. The Waterway Classic was written by someone in the Kingdom of Wei during the Three Kingdoms period. This is the first monograph narrating the water system in the country. Taking the rivers as the key link, it describes the water system according to drainage areas. It records 137 main rivers, including their sources, passage, and destination, as well as the water systems and other features, and reflecting the mutual, primary, and secondary relations of the rivers in spatial distribution. Therefore, the technique of “using river name to verify the name of a place” was set up. Li Daoyuan (?-527) in the Northern Wei period annotated Waterway Classic on the basis of rich historical materials and extensive investigations, and completed Shui Jing Zhu (in ca. 515–524), a masterpiece of 40 volumes and 300,000 characters. Shui Jing Zhu records 2596 rivers, lakes, pools, swamps, and other watery bodies, of which there are as many as 1252 rivers, 10 times of those in the Waterway Classic. The range of recording: starting from Anzhou (now Longhua, Hebei) in the north,

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reaching Rinan Prefecture (now the middle of Vietnam) in the south; starting from the sea in the east, reaching India in the west. The narration is very rich in hydrology of rivers, complete with every detail. All details about the rivers, including the trunk streams, tributes, valley width, flow rate, water level, and its seasonal variation, sand content, ice period, and the underground streams, waterfalls, torrents, rapids, and lakes that the river passes.

9.1.9

“Blue Seas Change into Mulberry Fields” Is a Thought of Transition Between Sea and Land

A sentence in Mao Zedong’s poetry says, “The right way in the world is seas and fields.” Here “seas and fields” is short for “alteration from blue seas into mulberry fields.” The word “blue seas” was first seen in the Records of the Grand Historian – Equalization. It is recorded in the book that “Pengwu built roads leading to Korea, established the prefecture of Seas and Fields, and disturbances in the Qi and Yan States rose like winds bending the grass.” The phrase “mulberry fields” appeared very early, too. The Commentary of Zuo on the Spring and Autumn Annals – 2nd year of Lord Xigong records that “Lord Guo defeated the enemy in mulberry fields.” Later generations continued to use the phrase. It was not until the Han Dynasty that these two phrases were combined into one to express the process of changing. In the Han Dynasty, Xu Yue mentioned the idea of alteration between blue seas and mulberry fields in his book Supplement to Numerology. In the Jin Dynasty, Ge Hong proposed the concept of alteration between blue seas and mulberry fields in his book Legend of Supernatural Beings, which says, “Since I took over the service, I have seen the East Sea changing into mulberry fields three times. Previously I have been to Penglai and found the sea water almost half as deep. Is it going to be hills again?” Yan Zhenqing of the Tang Dynasty proved for the first time the geological phenomenon of “blue seas and mulberry fields” with the fossil as the evidence. He wrote in his work Fairyland in Magu Mountain, Nancheng County, Fuzhou Prefecture: “There are snails and clamshells left in the rocks. Probably they are fossils of life in mulberry fields.” Fairyland in Magu Mountain, Nancheng County, Fuzhou Prefecture says: “According to Illustrated Classics, in Nancheng county there is a Magu mountain on the top of which there sits an ancient altar. Legend says that Magu transformed into an immortal here. To the southeast of the altar, there is a pool, in which there are red lotuses, which suddenly become green recently and white now. To the north of the pool and under the altar, there are firs and pines towering into the sky. Now and then, rhymical tone of bells can be heard. To the southeast, there is a waterfall, ringing downward for 300 ft. To the northeast, there is the stone Taoist Temple. And in the rocks, snail and clam shells can be seen. Some people say that those are transformed from snails and clams living in mulberry fields.” This theory is often seen in literature works of later generations, especially in the Tang Dynasty. For instance, Emperor Li Shimin wrote in Looking at the Sea on a

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Spring Day: “From time to time, the flooding sea becomes a wild field, and the green island becomes a mulberry field.” Wang Bo wrote in his poem Two Poems on Trips to Remote Mountains: “Now I can ride the floating cloud, and I see the blue sea become dust of soil.”

9.1.10 Great Tang Records on the Western Regions – The Chief Source of the Tang Monk Going on a Pilgrimage for Buddhist Scriptures The Tang monk Xuanzang (602–664) – surname Chen, first name Wei – was born at Houshi (now Houshi Township, Yanshi City, Henan Province). He was admitted to Buddhism at age 13 and initiated into monkhood at age 21. To seek authentic Buddhist scriptures, he determined to go to India. In the first year of Zhenguan (627) he left Chang’an, went through Qinzhou and Lanzhou prefectures, and arrived in Liangzhou prefecture. It was not long after the Tang Dynasty was established and civilians were forbidden to go abroad. Li Daliang, Governor of Liangzhou prefecture, was very strict in implementing the policy, and forced Xuanzang to go back to the capital. Master Huiwei, the Buddhist leader of Hexi, was sympathetic to Xuanzang; so he sent two disciples to accompany Xuanzang to the West. They mixed with merchants and crossed the border together, passing Guazhou, Yumen Pass, Yiwu (now Hami), Yanqi, Gaochang (now Turpan). They went westward along the south foot of Tianshan mountain, crossed Lingshan of the Congling hill corner (now Musuer Peak, Tengri Mount, Tianshan Mountain Range), and arrived in the north India. In India, he toured the Ganges River and the Indian River Basins, and southeast coast areas. Wherever he went, he visited famous masters, explored Buddhism and Brahman classics. He was partial to Mahayana, but not against studying Hinayana. In 19th Year of Zhenguan (645), he returned to Chang’an. He worked in the capital for a year on writing Great Tang Records on the Western Regions, comprising 12 volumes and presented it as a tribute to emperor Taizong of Tang. The detailed description of geography and history of Central Asia, India, and other countries surpassed greatly all writers before him.

9.1.11 A Significant Work on Oceanography of an Ancient Continental Country – Records of Sea Waves by Dou Shumeng Dou Shumeng was a civilian scientist in west Zhejiang. During the Baoying and Dali years (762–779) of Tang Dynasty, he wrote the first monograph in China on tides. Consisting of six chapters, the book discusses the causes of tides, illustrates the regularity of sea tides, calculates the repetition of tides in a long period, creates a scientific charting technique for predicting the high and low tides, describes vividly the alteration of tides in accordance with the change of the moon in a lunar month, and points out the heterogeneity in cycle of tides.

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9.1.12 The General Records of Geography Was Finalized as in Early as the Tang Dynasty –Yuanhe Illustrated Annals of of Prefectures and Counties In later dynasties of feudal society in China, Total Annals of the Great Yuan, Total Annals of the Great Ming, and Total Annals of Great Qing appeared, but little did people know that this kind of national annals was finalized already in the Tang Dynasty at the latest. Yuanhe Illustrated Annals of Prefectures and Counties was written by Li Jifu, Prime Minister in the Tang Dynasty (758–814). The book comprises 42 volumes, of which 34 exist now. It narrates the Geographical facts in the eighth year of Yuanhe, recording clearly the level, number of households, townships evolution, distance from neighboring districts, mountains and rivers, taxes, salt and iron, land reclamation, military facilities, soldier and horse allocation, historic sites, and so on of the prefectures, counties (districts), and states in the 10 Roads around the country. Each volume begins with an illustration. This book is considered as the best of all total records, and it becomes a templet for later generations to compile general geographical annals.

9.1.13 Another Book Bearing the Name of Yellow Emperor – The Yellow Emperor Classic of Residency Throughout history, there are quite a few books bearing the name of Yellow Emperor, of which the most famous is the The Yellow Emperor’s Classic of Internal Medicine. The earthly science also has a book bearing the name of Yellow Emperor, that is, Yellow Emperor Classic of Residency. This book was completed in the Tang Dynasty or later, being a vital literature of Geographical physiognomy. Taking “yin and yang” as the key link, it expounds “the 24 Roads, the Eight Diagrams, the Nine Palaces, coordination of men and women, residence in the yin and yang world, seeking for signs of fortune and misfortune.” The book expounds the importance of residency, emphasizing on comprehensive investigation into residence. In residence evaluation, one ought: consider the terrain as the body, the spring as the blood vessel, the land as the skin, the vegetation as the hair, the house as the clothing, and the door as the hat string.

9.1.14 Why Does Joseph Needham Praise Shen Kuo as “the Most Outstanding Person in the Whole History of the Chinese Science”? Shen Kuo (1031–1095) was a political activist and scientist in the Northern Song Dynasty. He was born to a family of officialdom and got candidacy in the highest imperial examination in Jiayou years of Emperor Renzong. He was appointed Director of Astronomy, Hanlin Academician, Probationary State Finance

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Commissioner, and so on. He was once sent to Liao on a diplomatic mission to negotiate about the borderline. In his late years, he lived in Runzhou Prefecture (now Zhenjiang City, Jiangsu Province) where he built the Dream Brook Garden and resided in leisure, devoting himself to writing the Brush Talks from Dream Brook. The Brush Talks from Dream Brook comprises 26 volumes, 17 categories, namely: stories, dialectics, temperament, image-numerology, personnel, official politics, power wisdom, arts and letters, books and drawings, craftsmanship, utensils, mythology, strange things, falsehood, sarcasm, miscellaneous annals, pharmaceutical comments. The aggregate 609 items involve astronomy, mathematics, geography, geology, physics, biology, medicine and pharmacology, military affairs, literature, history, archeology, music, and other disciplines. It is a significant literature in the Chinese history of science and technology, as well as an encyclopedic work. The Brush Talks from Dream Brook contains 37 items on geoscience – 7 items on geology, 20 items on geography and cartography, and 10 items of meteorology. Shen Kuo did not stop at the perceptual description of external observation. Instead, he meticulously analyzed the natural geographical phenomena he saw, explored the connection between the outer phenomena and the inner causes, and proposed conclusions. Even reviewed today, his explanation and conclusion of natural geographical phenomena are so ingenious and of high scientific value. For example, when narrating the eroding effect of the flowing water, he said in the Brush Talks from Dream Brook – Yandang Mountain: All the peaks of Yandang Mountain are steep and cliffy, towering one thousand meters. The cliffs and valleys here are not like those of other mountains. They are surrounded in valleys. When you look from outside, you cannot see any ridge. When you stand in the valley, you can see cliffs like forests. The cause should be that the flooding water washed away sands and soils, leaving only the boulders standing. Strange landforms, such as kettle giants, nappes, crescent valleys, are all caves chiseled by water. When you look bottom up, you see high rocks and cliffs; when you stand on the ground and look down, you see peaks lower than the ground level. Generally, in the water-chiseled valleys, there is soil for plants to grow and rocks resembling a niche.

This judgment is quite scientific and brilliant even today when science is highly developed. It was not until 1788 that the British James Hutton, the so called Father of Modern Geology, proposed the opinion of erosion in his book Theory of the Earth in the Western geological world. For another example, Shen Kuo made the earliest record in the world of compass in the Brush Talks from Dream Brook. He recorded in Volume 24 – Miscellaneous Annals (1): “Experts grind a magnetic stone into a needle that can point south, but it deviates a bit to east, pointing not exactly south.” That is the world’s earliest record of geomagnetic declination. It was not until 1492 that Columbus found geomagnetic declination when he navigated to America for the first time, 400 years later than Shen Kuo’s discovery. In addition, Shen Kuo recorded in Supplement to Brush Talks Volume 3 – Pharmaceutical Comments: “After honed with a magnetic stone, the sharp tip of the needle

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points south constantly. However, there are also cases of it pointing north. Perhaps the property of the magnetic stone is different.” He recorded not only the technique for making a compass, but also four ways of putting the compass in place: Put the magnet needle across a lamp wick, put it on the rim of a bowl or on a finger nail, and hang it on a silk string. Finally, he thought hanging on a silk string is the best way. As for maps, the book records an invention of Shen Kuo for making stereoscopic maps with melted wax and sawdust. This invention was 700 years earlier than Europe. In the book, the number of directions was increased from the traditional 8–24 for describing the locations of prefectures and districts. Moreover, the book pays special attention to measuring the straight-line distance between two places – “the bird flying number,” making the relative location of prefectures and districts more reliable.

9.1.15 Why Do We Say that Xu Xiake Was a True Geographical Explorer in Ancient China? A British historian of science praises Xu Xiake as a “true Geographical explorer.” Why does he say so? Xu Xiake (1587–1641), famous geographer in the Ming Dynasty, was born in Jiangyin, Southern Zhili Province. He was not interested in the imperial examination and went on a travel investigation independently. He started a trip to the Taihu Lake when he was 20 (in 1607). Before he returned home from Yunnan at 54 (in 1640) because of illness, he had in those 30-odd years toured famous mountains and rivers, and his tracks covered 14 provinces in the country. He wrote 17 travel records and collected them in a book entitled The Travels of Xu Xiake, documenting in detail the mountains, rivers, rocks, landforms, climates, living beings, produces, communications, industrial and agricultural production, commercial trades, cities and townships, customs and habits, etc. of the places he had been to. Particularly, his description of karst landforms can be considered unrivalled in the world. He recorded and named more than 20 sorts of assorted topographic features, including: peak forest, isolated peak, clint, channeling, aven, funnel, pothole, karst basin, karst low-lying land, karst scuttle, blind valley, dry valley, natural bridge, karst lake, karst spring, tunneled mountain, karst cap rock, karst cave, stalagmite, stalagnate, underground river, underground lake, cave waterfall, etc. Ding Wenjiang, a mainstay of the new cultural movement in modern China, reorganized The Travels of Xu Xiake, and displayed its contemporary value.

9.1.16 What Geographical Issue Concerned the Han Nationality After Regaining the State Power – Research on the Nine Border Cities After the Yuan Dynasty was overthrown, emperor Shundi, who escaped to the north, often sent troops to the south. So, the frontier defense of the Ming Dynasty was focused on the north, and nine cities were established in the border area: Liaodong,

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Jizhou, Xuanfu, Datong, Taiyuan, Yulin, Ningxia, Guyuan, and Gansu, forming a northern defense system, called “nine border cities,” In order to familiarize the officials in the north with strategic locations and force deployments, the Ming Dynasty launched compilation of geographical books and the drawing of military maps, such as Illustration of the Nine Border Cities, Instruction of the Nine Border Cities, Maps of the Nine Border Cities, Maps of Northern Passes in the Nine Border Cities, Annals of Four Cities and Three Passes, Annals of Yanan and Suide Cities, Annals of Western Passes, Annals of Shanhai Pass.

9.1.17 A Climax of Research on Oceanic Geography in China – Study on the Coastal Defense in the Middle Ming Dynasty Before the Ming Dynasty, the coastal defense was not a significant affair. In the Ming Dynasty, however, Japanese pirates invaded frequently, and the situation got more and more serious. Then publication of maps and books about coastal defense against Japanese pirates were flourishing. Examples are: Collection of Maps for Coast Preparations and Illustration of the Long Coastal defense by Zheng Ruozeng, Simplified Drawings of the Coastal defense in Liangzhe by Xie Tingjie, Simplified Drawings of the Coastal defense in Wenzhou Area by Cai Fengshi, Illustrative Records of Preparations against Japanese Pirates by Bu Datong, Coast Maps of Zhejiang drawn by Lu Tang, Maps of 7 Border Cities on the Cost Line drawn by Qian Bangyan, Maps of Coast Frontiers in Liangzhe drawn by Guo Ren, Maps of Coast Frontiers in Eastern Zhejiang drawn by Zhou Lun, Maps of Coast Frontiers in Eastern Zhejiang drawn by Qin Bian, Maps of Coast Line in Zhejiang drawn by Yu Daqiu, Maps of Coast Frontiers in Susong drawn by Chen Xi.

9.1.18 A Concentrated Embodiment of the Applicable Learnings – Research on the Northwest Frontiers in the Late Qing Dynasty The atmosphere of research on the history and geography of the northwest frontiers began silently in the middle Jiaqing period of the Qing Dynasty, suffusing continually, and reaching great prosperity in the Daoguang and Xianfeng periods (1821– 1861). A group of scholars in history and geography of the northwest emerged, headed by Song Jun, Qi Yunshi, Gong Zizhen, Wei Yuan, Xu Song, Zhang Mu, He Qiutao, and other masters. Important works include: A Collection of Maps of the Western Region, “Xinjiang as a Unified Part of the Western Regions” from the Total Annals of the Great Qing, Total Annals of Western Frontiers by Qi Yunshi, Getting to Know the New Territory and Record of Waterways in the Western Regions by Xu Song, Notes of Traveling by Cart by Yao Ying, Preparations for Traveling by Cart to the North by He Qiutao, and so on. These works has the following features: unprecedented sense of worry, strong sense of world, learning about the world to recognize the variation in conditions in foreign countries from a world scope; emphasis on field investigation and on the

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reality and objectivity in the conditions of mountains and rivers in the northwest, which rectify the corrupt practice of unduly strong interest in textual criticism without questioning current issues; combination of the defense of frontiers with development, combination of defense and development with solving the current problems of the country; proposition of feasible measures for strengthening the border defense, i.e., establishment of a new province Xinjiang. All these go beyond the scope of traditional strategic geography. The significance lies in strengthening the defense of the northwestern frontiers and laying a foundation for further research in later generations.

9.1.19 Conclusions Characteristics of the geoscience in ancient China include: strong governmental participation (exploration in water conservancy, local annals, sources of rivers), emphasis on applicability, influence of religions (primitive religions, Taoism, Buddhism, Christianity), well-developed human geography – but the present research on it is very weak (military geography, administrative geography, economic geography, ethnic geography). The ancient geoscience did not form a complete system (emphasis concentrated on Old Documents under the category of Classics, Geography under the category of History, Numerology under the category of Philosophy).

9.2

The Concept of Geological Disasters and Abnormalities in Ancient China

9.2.1

The Connotation of Geological Disasters and Abnormalities

Calamity and abnormality: Calamity refers to a natural phenomenon that causes a great deal of loss in human life and properties. Abnormality refers to a natural phenomenon that is unusual. Abnormality is not necessarily a disaster, and some abnormalities are auspicious omens. Calamities are classified into natural disasters (sky phenomena, meteorological phenomena), geological hazards, personal calamities (diseases), and other types. Geological hazards refer to calamities or abnormalities that happen to mountains, water, animals, and plants. Concept of Geological Disasters and Abnormalities means recognition of Geological disasters. The following text expounds two cases: the Yellow River getting clear and earthquakes.

9.2.2

Interpretation of the Proverb “If the Yellow River Gets Clear, a Sage Will Be Born”

The Yellow River is the mother river of the Chinese nation, as she played a vital role in the origin and continuation of the Chinese civilization. All her variations are the focal concern of the ruling class of all dynasties.

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(1) Understanding the Phenomenon of the Yellow River Getting Clear The Yellow River got the name because the river water is yellow, cutting through the incompact loess plateau. The normal color of the Yellow River water is yellow. Blue would be abnormal. ① Standing for remoteness of time. Ancient people thought that it takes a long time for the water of the Yellow River to get clear, so this occurrence would be a remote thing. A poem in The Commentary of Zuo on the Spring and Autumn Annals – 8th Year of Duke Xiang of Lu says: “In the Winter, Zinang of the State of Chu launched an expedition against the State of Zheng, as a punitive action against its infringement of Cai. Zi Si, Zi Guo and Zi Er suggested accepting Chu’s Conditions, while Zi Kong, Zi Jiao and Zi Zhan suggested waiting for the help of Jin. Zi Si said, it is said in the Book of Songs: Wait for the river to get clear? How long will your life last? . . .” And the History of Eastern Han – Biography of Zhaoyi also says: You cannot wait for the river to become clear, just as you cannot lengthen your life. ② Cognizing the law of changes in the river water color. Change in the river water color seems to have a regular pattern. Complement to the Book of Change – Qian Zuo Du records: “Confucius said: Just before the heaven bestows luckiness, the river water should become clear, blue for three days; then on the fourth day on, it changes from blue to red, from red to black, from black to yellow; each color stays for three days. As the river water settles down, the sky will become clear, showing a pattern that faces south. That pattern is what the heaven wishes to say. Confucius said: Gentlemen should keep silence accordingly. If a dragon appears without horns, then the river water should become blue, white, red, black and yellow successively, and each color will stay for two days.” This “regularity” should not have been a fact. The clearness of the river water is affected by the mud and sand content, and this decisive factor must be considered when seeking the law. Besides, it is impossible for the water color to change so quickly, or to assume five colors. Anyhow, exploring the change in the water in the Yellow River should be allowed. ③ Cognizing the property of water. The concept of “性” (property) was used very often in ancient China. Material things have properties. Persons have properties. Of course, water has its property. Collection of Literature Arranged by Categories – Water records: “Water tends to be clear by property, but sand and mud make it dirty. A man is peaceful by birth, but desires do harms to him. Yan Zi said, Duke Jing asked how should an incorrupt government last? Yan Zi replied: The governmental behavior should be like water. Good water is clear. Water that is turbid cannot result in any good, but clear water surges forward without hesitation. Thus, water can flow along. . . . Shi Zi says: Water is shaped by its container, either rectangular like a cubic jade, or circular like a round bid. Plain water has gold in it.” Later, this thought was applied to analyses of the Yellow River, as is recorded in History of Jin – Treatise on Wuxing:

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In the 1st year of Da’an (1209 AD) of King Weishao period, along the 500 li (250 km) of the boundary between Xuzhou and Pizhou, the Yellow River was clear for nearly 2 years. The king solicited for the cause. Yang Gui, a man from Lintao, Gansu province, presented a report and explained: “The river is muddy by its property. But today it is clear, for the water has lost its property. It is like sky and earth: The sky should be moving, and the earth should stay still. But now the sky stays still, and the earth is moving. Imagine that. Obviously, this indicates a disaster. In Commentary of Zuo on the Spring and Autumn Annals there is a saying: When the Yellow River becomes clear, a sage is born. If a sage is born, the date of birth is not today, I am afraid. There is another saying: When the Yellow River is clear, a lord becomes the emperor. We should be on alert so that the possible disaster could be prevented. Yet, you are making the incident public. I have never heard of such behavior.” The Prime Minister thought this remark to be heresy, and the speaker ought to be killed. But the emperor thought that killing a speaker would block the channel of speaking, so he ordered that the speaker be imprisoned.

9.2.3

The Astrological Meaning of the River Getting Clear

Concerning the river getting clear, the ancient people valued its symbolic meaning, or the astrological meaning, instead of its geographical meaning (1) A phenomenon indicating alteration of monarchs, and danger to monarchs. History of the Eastern Han – Biography of Xiangkai says: It is well known that since the Spring-Autumn period, even since the ancient emperors, there has been no river getting clear itself, and no scholar who breaks his own door. I consider a river as a duke. Being clear is yang and being muddy is yin. It is normal for a river to be muddy. When a muddy river gets clear, it will be abnormal: the yin wants to be yang, indicating that a duke wants to become an emperor. The Imperial College is the place for the vice-regent to educate learners. If the college gate gets broken on itself, then the education will fail and the moralization will be lost. Records of Changes by Jing Fang says: “When the river water gets clear, the world is peaceful.” Now suppose the sky shows an abnormal phenomenon, the land releases an evil spirit, the people get an epidemic disease – when these three things happen at the same time, the situation is abnormal; it is like the unicorn appearing in the Spring and Autumn period while it shouldn’t be, which Confucius considers as abnormal.

As another case in point, History of Yuan – Biography of Tian Zhongliang says: “The Bianliang River is clear for 300 li long. The emperor says: When emperor Xianzong was born, the river was clear; when I was born, the river was clear again. Now the river is clear once more, how come? Zhongliang replies: This concerns the crown prince. The emperor says to Dong Wenzhong, Seals Secretary: That is right. There are omens.” This implies that the prince is going to get the throne. (2) Reflection of good fortune. Ancient people thought that the river getting clear is similar to the longevity star appearing in the sky, or an individual grain stalk putting forth two ears, which are all auspicious signs. As History of Song – Treatise on Rites records: “There three auspicious signs: (1) Directorate of

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Astronomy sees a longevity star; (2) Kaifeng Prefecture sees an individual grain stalk putting forth two ears; (3) The Yellow River gets clear in the section of Chan Prefecture. Make sure it is true. Then report to higher level officials. Officials get ready. State Finance Commissioner, Scholars, Remonstrance Officials of the Two Departments, Edict Attendants, and Vice Commissioners of State Finance come to the hall and celebrate.” (3) Reflection of peace. Ancient people thought that the river getting clear is a reflection of peace in society. It is recorded in History of Zhou – Biography of Zhao Su: “Su says: The river getting clear is a reflection of peace, and that is my hope. Therefore, he was conferred Qinghe manor, with 300 households. . . .” (4) Birth of a sage. Ancient people thought that the river getting clear is a sign betokening the birth of a sage. Selections of Literature – On Fortunes (by Li Xiaoyuan) says, “When the Yellow River gets clear, a sage will be born; when the bell tolls in the community, a wise man will be born.” In the Southern Song Dynasty, Zheng Sixiao says in the preface of “Xin Shi” a collection of his poems, “Recently, a southerner has returned from the north. At his home, he records: One day when I crossed the river, the local people told me that the Yellow River got clear in April, year of Heavenly Stem 4, Earthly Branch 2; in November, the next year, the River was clear again for dozens of days. There is an old saying: When the Yellow River gets clear, a sage will be born. I am a citizen of the Great Song, so I know nothing but the Song Dynasty. We can expect the revival to come true one day.”

9.2.4

Attitudes Towards the River Getting Clear

Since the river getting clear is so important an affair, then how did the ruling class in successive dynasties treat it? (1) Report to the imperial court or to the superior government. History of Liao – Annals of Emperor Daozong records, “(the fourth year of Shoulong) On GengWu Day of March, the emperor arrives in Chunzhou Prefecture. On the Day of Bing-Zi, a high rank official reports that the Yellow River has got clear.” (2) Send memorials for congratulations. History of Song – Treatise on Wu Xing records: “In August, the first year of Daguan (1107), the Junhe River in Qianning got clear. In December, the second Year, a section of the River in Shaanzhou prefecture got clear; so did that in Hancheng county and Heyang county of Tong prefecture, the River got clear for a hundred li, and till next spring the situation did not change. From then on till the Zhenghe and Xuanhe period (1111–1125), several routes reported rivers getting clear. The court sent officials to the localities for ceremonies; Prime Minister, ministers, secretaries and high rank officials sent memorials congratulations. These were constant activities for years.” (3) Release of imperial maids. Ancient people thought that the river getting clear is related to the inner court as water belongs to Yin – the negative. So once the phenomenon of river getting clear happens, the imperial court releases old

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maidens from the court. This practice was most frequent in the Song Dynasty. As recorded in History of Song – Annals of Emperor Huizong: “In the second year of Daguan, the section of the Yellow River in Tong prefecture got clear. 77 old maidens were released from the palace.” Again it is recorded: “In the sixth year of Zhenghe, in Three Mountains, Jizhou Prefecture, the Yellow River got clear. 600 old maidens came out of the court.” Reward for writing “Qinghe Song” (Ode to River Getting Clear). It is recorded in History of Southern Dynasties – Biography of Liu Yiqing: “In Yuanjia years, Bao Zhao found the Yellow River and the Ji River getting clear, and considered it auspicious signs. So he wrote “Qinghe Song”, an excellent poem. . . . The writer was awarded with 20 bundles of silk, and to be promoted as a State Attendant, showing emperor Wendi appreciated his work. . . .” Entry of the topic into exams. History of Song – Biography of Crafty Sycophants records: “Zhao Pu was afraid that [Mi Dechao the repelled sycophant] might get promoted again. Dou Yin, the secretary general of palace affairs was once an official and he knew that (Cao) Liyong would sit facing south to greet imperial emissaries, dressed solemnly. The Yellow River got clear in Chanzhou prefecture. Zhengzhou made use of it to set a title of poem to test the candidates in the imperial exam at the provincial level. Liyong was asked to correct the papers and described the answer of Mi Dechao as impertinent.” Prison cases were caused by the river getting clear. History of Ming – Biography of Yang Jue records: Earlier, in March of the seventh Year, the Yellow River got clear in Lingbao County. The emperor sent a commissioner to hold ceremonies for the river deity. Grand scholars Yang Yiqing and Zhang Cong submitted reports to propose celebrations. Censor Zhou Xiang opposed, saying: “In fact, the river is not clear, and it does not affect your majesty’s morality. Now some sycophant officials write complimentary papers to exaggerate. If the crafty atmosphere is allowed to begin, flattering men will come one after another. Please disapprove the proposal for ceremonies and stop celebrations. Tell officials and civilians not to report auspicious signs. But report disasters immediately, such as floods, droughts, and locusts.” The emperor flew into a rage. He ordered to put the Censor in jail, beat him in the palace, and exile him to Shaozhou prefecture as Registrar. And the celebrations were also stopped.” Composition into court melody. Since the river getting clear is a significant auspicious omen sought and eulogized by the ruling class, it was put into the court melody tunes very early – as early as in the Sui Dynasty so far as we know. History of Sui – Treatise on Music records: “Auspicious letters and black jade are coming. The dew gets sweet, and the spring gets white. The cloud gets thick, and the river gets clear. Large crowds of people arrive by boat and cart for ceremony.” Later generations follow suit without changing. Old Book of Tang – Biography of Zhang Wenshou records: “In the 14th year of Zhenguan, the colored clouds were seen, and the river water got clear. Based on the meaning of Red Wild Goose and Wind horse, he composed the tune Colored Clouds and Clear River, called Yan Composition. It is played by

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orchestra. As a leading orchestral music, it was played in the celebration of the New Year eve.” (8) Orchestration in dances. In the Tang Dynasty there were dances that took the river getting clear as the subject matter. Encyclopedia – Cannon of Music records: “In middle Zhenguan (14th Year), the colored clouds were seen, and the river water got clear. Based on the meaning of Red Wild Goose and Wind horse, Zhang Wenshou, Chief Musician, composed the tune Colored Clouds and Clear River, called Yan Composition. It is played by orchestra. As a leading orchestral music, it was played in the celebration of the New Year eve. To the tune of Colored Clouds, eight dancers are dancing, wearing flowery silk gowns, colorful damask silk, pink cloud hat, black booth. To the tune of Celebrating Kindness, four dancers are dancing, wearing purple silk gowns with large sleeves, made of silk cloth, and chignon. To the tune of Victory, four dancers are dancing, wearing dark red silk gowns, brocade lapel, made of dark red silk. To the tune of Bearing the Heaven’s Will, four dancers are dancing, wearing purple gowns with virtuous hat, and gold copper belt.”

(9) Composition of odes and poems. A complete set of odes that are kept till now appeared in the Nortern and Southern Dynasties. Book of Song – Biography of Liu Yiqing records the backgrounds for Ode to River Getting Clear written by Bao Zhao in the Song Dynasty, saying: The four Emperors and six Sovereigns established their everlasting fame, which is a great treasure. They have benefited all living things, enriched the country and doled punishments appropriately. And that is an immense virtue. They have formulated rites, made music and purified the folk customs. And that is their achievements in civilized education. They have laid idle their whips after sending the northern militant tribe into exile, who later returned to surrender. And that is their military achievement. The chirping birds and jumping fish and the dredged rivers and canals are the most auspicious sign. Their virtues and civic and military achievements are so great as to move both the living and the dead. The people treat them with reverence.

Works of this kind were not rare in later generations, for example, History of Song – Annals of Emperor Zhenzong records: “In December, the third year of Xiangfu, the Yellow River got clear in Shaanxi Prefecture. In the Geng-Xu year, Yan Shu, Subeditor at Academy of Scholarly Worthies, submitted Ode to River Getting Clear.”

9.2.5

Usages of the Phrase “River Getting Clear”

Because it has a fortunate and auspicious meaning, the phrase “river getting clear” is used for reign titles, place names, and person names. (1) Reign titles. Book of Northern Qi – Annals of Emperor Wucheng records: “On the Xing-Chou day of April, empress dowager Lou died. On the Yi-Si day, Qingzhou prefectural governor reported that the Yellow River and the Ji River got clear this month. Thus, the reign title was changed from second Daning into

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Heqing (literally river getting clear). Offenders were released and given jobs.” The reign title Heqing was used for 4 years. (2) Place names. New Book of Tang – Treatise on Geography records: “Heqing County is adjacent to the capital. It used to be a Daji (an administrative division) set up in the second year of Wude (619). It belonged to Huaizhou prefecture for 8 years. In the fourth year of Xianheng, it was taken apart and divided into several counties, including Henan, Luoyang, Xin’an, Wangwu, Jiyuan, and Heyang. Later it was reestablished as a Daji and Baiya County was established.” That is the use of Heqing as the name of a county. Some townships were also named Heqing.

9.2.6

Record and Interpretation Earthquakes

Earthquakes are a natural phenomenon that has destructive forces, so ancient people followed them with high interest. Explanations about their causes are either natural or humanistic. The latter is more popular. (1) Exploring the Causes of Earthquakes ① Theory of yin qi and yang qi. History of States Volume 1 says: The record means: in the 2nd year (780 BC) of Emperor Youwang of the Zhou Dynasty, earthquakes took place in the the three basins of Jing river in Western Zhou. Bo Yangfu, the historian official, says “Zhou Dynasty is going to fall! The heaven qi and the earth qi have their own positions and orders, which should not go wrong. If they have gone wrong, they must have been disturbed by some people. When yang qi is oppressed by yin-qi and cannot ascend, an earthquake happens.”

In later generations, Liu Zongyuan and Qiu Guangting from the Tang Dynasty were supportive to the theory of yin-qi and yang-qi. ② Theory of star relevance. Tales of Yanzi – Exterior Parts records: One day Yanzi made a dialog with Grand Diviner. Yanzi said: “Yesterday I saw Mercury was between Room mansion and Heart mansion. Will there be earthquakes?” Grand Diviner said: “Yes.” Both of them agreed that when Mercury moves in between Heart and Room mansions, earthquakes will happen soon. Sima Qian in the Han Dynasty also wrote in Records of the Grand Historian-Astronomy: “Once Mercury appears between Room and Heart mansions, earthquakes take place.” This is the same as the explanation about earthquakes by Yanzi and Grand Diviner. ③ Theory of “Change in Tide and Wave.” Zhuangzi in the Warring States period thought: “Sea water flow and wave alter every three years, and the change in tide and wave causes earthquakes” (Collection of Literature Arranged by Categories, Volume 8). This theory attributes earthquakes to change in sea water tide and wave, which circulates once every 3 years, so earthquakes are considered as periodical. ④ Theory of “telepathy between heaven and human.” Dong Zhongshu in the Han Dynasty thought that heaven has its will, and there is telepathy between heaven

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and human beings; all natural phenomena – from solar and lunar eclipses in the sky, to floods, draughts and other disasters on the earth – are reflections of heavenly emotions. He said: “Before a country fails in morality, heaven warns it with calamities; if the nation does not examine itself, heaven displays strange omens to exhort it; if it does not adjust itself, then defeats and failures will come” (Book of Han – Biography of Dong Zhongshu). All the natural disasters are said to be warnings from heaven; People must criticize themselves and pray to the heaven for forgiveness, in order to get rid of calamities and bring down blessings. ⑤ Theory of natural phenomena. In Xining years of the Song Dynasty, several destructive earthquakes took place, and the imperial court and common people were thrown into panic. Wang Anshi, the Prime Minister, thought that “heavenly alterations are not frightful,” “heaven and human are not related; solar and lunar eclipses, and earthquakes are common phenomena not to be panicked about” (Collection of Letters of Lord Sima Wen’s Family, Volume 72). That is to say, the heaven and human beings are not related; solar and lunar eclipses and earthquakes follow natural laws, and they are not frightful. Furthermore, he said: “Astronomical alterations are infinite, human matters are unlimited; both of them rise and fall, intersecting sometimes as coincidences, near or far. Do not believe they are related” (Long Edition of Continuation to General Mirror for the Aid of Government, Volume 269). (2) Collation and Study of Earthquake Data ① Collection and collation of earthquake data. After its foundation, the People’s Republic of China, to meet the need of economic construction for knowledge of seismic intensity, ordered the Earthquake Work Committee, Chinese Academy of Sciences to collect and collate earthquake data. The Committee organized a lot of manpower, made collective efforts for over 2 years and longer, read over more than 8000 literatures, including over 2300 official histories, unofficial histories, notes, miscellanies, poem and essay collections, 5600 local chronicles, archives in the Palace Museum, newspapers, magazines, and contemporary reports of investigation into earthquakes, collected over 15,000 items of earthquake records from 1177 BC to 1955 AD, covering over 8000 earthquakes. All these data were examined and corrected item by item, reorganized in accordance with time, place, situation and source, ordered by the year for each province. Finally, in 1956, Annual Table of Seismic Data in China was edited and published in two volumes. Based on this, Assembly of Historical Data on Earthquakes in China was published later. ② Early records of earthquakes. The book Bamboo Annals unearthed in the Jin Dynasty records that in the Yao and Shun period “When the three Miao tribes were about to die, rains fell, ice occurred in summer, earth cracks were so deep as to reach spring holes.” It also records: “In the late years of Emperor Jie of Xia Dynasty, the shrine cracked.” Lv’s Spring and Autumn Annals – Section on Music Making: “In June, 8 years after he established the empire (1177 BC), Emperor Wen of Zhou was sick and in

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bed for 5 days. Then earthquakes took place, and range was within the boundaries in the four directions.” This clearly records the time and scope of the earthquake. The Book of Songs – Lesser Odes – Entering October: “Quake lightning and roaring, go on without alleviating. Rivers are boiling, peaks falling apart. High banks become valleys, deep valleys are turned hills.” This poem records the situation of the earthquake that happened in Qishan, Shaanxi in 780 BC (the second year of Eemperor You of Zhou Dynasty), including the earth light, earth sound, surging rivers, and terrain changing. (3) Probing into Earthquake Regularity Ancient people made detailed observation and record of earthquake occurrences ① Omens of earthquakes. Earth sounds. Just before an earthquake happens, sounds come from underground. This kind of sound is called earth sound. As recorded in Book of Wei – Records of Omens: (In 474) in Qicheng Town, Yanmen Pass, Shanxi province, there were thunderous sounds from the west, and a dozen sounds were heard. After the sounds stopped, earthquakes took place. The time interval between earth sound and earthquake are different – it can be as long as several months, or days or hours, or as short as to be counted by the minute or second. A forecast of earthquake with earth sound: On June 12, 1830, a strong quake (Level 7.5) happened in Cixian County, Hebei Province. Just before the quake, people heard thunderous earth sounds, as if defeated troops were in a flight with tens of thousands of fighting horses running; so people took flight to open places. Shortly after, a strong earthquake began, felling houses, and bricks and tiles dropped down like rain. Land light. When some strong earthquakes happen, dazzling light appears over the quaking area. This lighting is called land lighting. For instance, Real Recordings in Wanli Period of the Ming Dynasty in Volume 55 records: “In Wuchang, Hubei Province on the night of May 26, 1509, people in Wuchang Prefecture saw 6 or 7 times of blue light like lightning, and heard rumbling noise like thunder roaring. Soon after, an earthquake happened.” The Annals of Yuanling County in Tongzhi period of the Qing Dynasty records: (In Yuanling, Hunan Province on November 1, 1804) “in the early morning, red light appeared in the sky like white silk, spreaded from west to east, and disappeared into the land. The sound roars like big guns. Soon after, an earthquake happened.” Pre-quakes. Before some strong earthquakes happen, a cluster of weak and minor quakes occur, which are called pre-quakes. For instance, Ershen Yelu by Sun Zhilu in the Ming Dynasty records: “In May, 1512, minor earthquakes took place in Yunnan one after another for 13 days, and then in August, a major quake happened.” The Annals of Zhenjiang Prefecture in the Kangxi years of the Qing Dynasty records: (on July 25, 1668 in Danyang County) “Weak earthquakes began at Xu time (7:00–9:00 p.m.) and repeated once every few days. Then, a major earthquake happened, and the hills were shaking and river water became turbulent,

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overthrowing most of the boats. Countless houses were cracked in the city, suburbs and countryside.” Abnormalities in underground water. Before a big earthquake, the underground water contained in rock layers is squeezed in the structural movement. Water flows from the place of higher pressure to where the pressure is lower, damaging the original water flow pattern, which changes the water level and causes the abnormality. Some water levels rise, while others fall. The Annals of Xin’an County in the Chunxi years of the Song Dynasty records: “Water became red like flowing cinnabar. A moment later, the ground level inclined. Waves were boiling and surging. Noises sounded like thunders. Houses and huts were shaken and felled.” (That is a record of earthquakes in Shexian county, Anhui Province in February 1100.) The Annals of Qingjiang County in the Xianfeng years of the Qing Dynasty records: “Strong winds and heavy rains caused river flooding suddenly. Fields and seedlings were submerged. An earthquake took place in the evening.” (That is a record of earthquakes in Jingjiang County, Jiangsu Province on August 13, 1771.) Abnormalities in climate. Meteorological abnormalities before earthquakes cover a wide scope, including high temperatures and unbearable hotness, thunder storms, strong winds, hazes and dimness, draughts and floods, and so on. • High temperatures: Annals of Yujiang County records: “From August 6 on, rains went on for 40 days, raining cats and dogs. After Double Ninth Festival, it cleared up a little. On 13th, raining ceased entirely and the sky cleared. Experienced old men said that hot days after rainy days warn us of earthquakes.” (That is a record of earthquakes in Pinglu County, Shanxi Province in 1815.) • Draughts: On September 2, 1679 (July 28, the 18th year of Kangxi in the Qing Dynasty) the most tremendous (Level 8) earthquake in history of Beijing-Tianjin area happened in Sanhe County, Hebei Province and Pinggu County, Beijing. According to the record, a year before this quake, extraordinary draughts occurred in Beijing and Hebei Province. “Draughts occurred in summer of the 17th year of Kangxi in the Qing Dynasty; in July plum trees blossomed. Then in July next year, earthquakes happened.” Research results show that there had been 11 big earthquakes of Level 7.5 and above in history in north China and the Bohai Sea Region. Before each earthquake, there had been a major draught, which indicates that draughts and earthquakes are somehow connected. • Strong winds before earthquakes: On September 17, 1303 in Hongdong County, Shanxi Province a great earthquake of Level 8 happened. The affected Counties of Jincheng and Gaoping records: “At midnight, strong winds blew. Minutes later, earthquakes took place just like sculling. Official and civilian houses were damaged in large numbers. (That is recorded in Annals of Fengtai County in Qianlong years in the Qing Dynasty). Abnormalities in animals. Abnormal reactions occur in many animals, such as emotion disturbances, agitations and panics, rejection of food, disordered jumps and

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leaps, unusual flights and escapes. For example, The Treatise on Astrology of the Kaiyuan Era-Earth Mirrors says: “Mice gathered together in the palace streets and squeaked, and the land cracked.” Annals of Dengzhou Prefecture in Shunzhi years of the Qing Dynasty records: On the night of January 23, 1556, sounds of winds and rains were heard in Dengzhou and Neixiang respectively, coming from northwest. Birds and beasts were yelling and bellowing. Then earthquakes came, roaring like thunder. ② Quakeproof architecture. Ancient China achieved a great deal in seismic resistance and prevention, especially in terms of architecture. Examples: Guanyin Pavilion, Dule Temple. The Guanyin Pavilion, Dule Temple in Jixian County, Tianjin Municipality, built in the second year of Tonghe in the Liao Dynasty (984), has a history of over 1000 years. Statistics in relevant literature shows that since it was built, this pavilion has undergone 28 earthquakes, of which 4 were strong quakes. Now it still stands firm. Reason: this pavilion has a firm foundation, a regular plan layout; the wood framework is fixed firmly into a whole; the light enclosing wooden wall is well connected to the columns; the cornice extends far like a wing, and the slope where the pavilion was built is gentle. Wooden pagoda in Yingxian County. In Yingxian County, Shanxi Province, there is a wood pagoda over 760 m tall, built in the second year of Qingning (1056) in the Liao Dynasty. Over a thousand years has passed, the pagoda has been impacted by earthquakes, but it is still intact. Zhaozhou Bridge. Zhaozhou Bridge is located in the southern suburb of Zhaoxian County, Hebei Province. It was built by Li Chun, a craftsman in the Sui Dynasty (605). Since it was built, the bridge has undergone earthquakes many times in the course of over 1400 years, especially that strong one in 1966 in Xingtai, in which it was located less than 40 km away from the epicenter. It withstood the impact, and stands firm and intact. ③ Historical analyses of earthquakes. Based on analyzing the seismic data in history, Weng Wenhao, a modern geologist, drew the following conclusions: “First, each earthquake belt has major fractures. Second, the fractures that cause big earthquakes are comparatively new, born in the Tertiary age or the early Quaternary age. Third, both horizontal faults and vertical faults can cause earthquakes. The distribution of earthquakes is irrelevant to the folded mountain chains. I am not sure whether these laws can be applicable all over the world. But here in China, it can be proved true everywhere.” Weng Wenhao concluded the major active zones for earthquakes in Chinese history: Fen-Wei graben belt, folded down-warping fracture zone of Taihang mountain, folded down-warping fracture zone of Yanshan, fractured zone of Weihe river in Shandong, fracture zone of southwest Shandong, subsidence zone of Deng-Lai coast in Shandong, fracture zone of Helan Mountain in Gansu, fracture zone of Jingyuan

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in Gansu, snapped zone of Wudu in Gansu, snapped zone of Nanyang in Henan, snapped zone of Huoshan in Anhui, fracture zone of south Sichuan, fracture zone of lake land in east Yunnan, fracture zone of lake land in west Yunnan, subsidence zone along the coast. (Translator: Tingyu Wang) (Proofreader: Caiyun Lian)

The Ancient Chinese Thoughts on World Geography

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Qianjin Wang

Contents 10.1

10.2

Conception of the Land: Indigenous and Foreign . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.1.1 Round Sky and Square Earth, and “Land Mode Covered by Plate” . . . . . . . . . . 10.1.2 The World Structure as Concentric Squares in Tribute to Yu and Rites of Zhou . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.1.3 “Nine Large States” and “Nine Small Prefectures” . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.1.4 The Size and Scale of Land . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.1.5 Indian View of the World Geography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.1.6 The Round Earth Theory of the Ancient Greece and Arabs Spread to China Early in the Song Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.1.7 The Arab Globe Introduced to China in the Yuan Dynasty . . . . . . . . . . . . . . . . . . . 10.1.8 The World Map with Europe and Africa Drawn on It in the Ming Dynasty . . . 10.1.9 The World Geographical Knowledge that the Missionary Matteo Ricci Brought 400 Years Ago Has Been Circulated up to Now . . . . . . . . . . . . . . Conception of the World Geography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2.1 The Series of the Four Directions: Four Seas, Four Oceans, Four Dark Seas, Four Corners, Four Boundaries, Four Barrens, Four Descendants, and Four Minorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2.2 Series of the Character Six: Liuhe – Six Directions: East, West, North, South, Heaven (Up) and Earth (Down) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2.3 Series of Eight Directions: Farthest Places in Eight Directions, Eight Corners, Eight Boundaries, Eight Oceans, Eight Regions, Eight Barrens . . . 10.2.4 Series of the Character Nine: Nine Regions, Nine Existences, Nine Oceans, Nine Tribes, Nine Familial Ramifications, Nine Fu . . . . . . . . . . . . . . . . 10.2.5 Series of the Character Wan: Ten-Thousand States, Ten-Thousand Countries, Ten-Thousand Surnames . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2.6 Series of the Character Tian (Heaven): All over the World, Under Heaven . . . 10.2.7 Series of the Character Yu: Universe, Land Under Heaven . . . . . . . . . . . . . . . . . 10.2.8 Series of the Character Yi: Yixia, Huayi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Q. Wang (*) School of Humanities, University of Chinese Academy Science, Beijing, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_10

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10.2.9

Series of the Character Wai: China and Foreign Countries, Overseas, Territory Beyond China, External Regions, Beyond the Ridge . . . . . . . . . . . . . . 10.2.10 Series of the Character Huan (Extensive Region): Huanyu, Huanying, Huanyu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2.11 Series of the Character Hai (Sea): Haiguo, Haibang, Haiyu, Haiyu . . . . . . . . . 10.2.12 Series of the Character Kun: Qian-kun, Kun-yu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2.13 Series of the Character Qiu (Globe): Earth Globe, Whole Globe . . . . . . . . . . .

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Abstract

This chapter talks about ancient Chinese people’s cognition of Earth, the land we live on, and important concepts entailing their views of world geography. First, the author presents different conceptions of the land developed in different historical periods including the early indigenous views of “Round Sky and Square Earth” and “Nine Large States and Nine Small Prefectures” and those introduced from other parts of the world such as ancient India, Greece, and Italy through cultural exchanges. In the second part, the author illustrates 13 groups of concepts conveying ancient Chinese views of world geography embodied by Chinese characters: Four, Six, Eight, Nine, Wan (Ten thousand), Tian (Heaven), Yu (Universe), Yi (Eastern tribes), Wai (Foreign region), Huan (Extensive region), Hai (Sea), Kun (Earth), and Qiu (Globe).

Keywords

Conception of the land · The round Earth theory · Conception of the world geography · Universe

The world geographical thoughts in ancient China were directly connected with Chinese people’s views on land, nation, country, territory, civilization, etc.

10.1

Conception of the Land: Indigenous and Foreign

10.1.1 Round Sky and Square Earth, and “Land Mode Covered by Plate” The conception of land in ancient China was dominated by the thought of “round sky and square earth.” History of Jin says, “The sky is round like a canopy, and the earth is square like a chessboard.” This thought originated very early. A jade ware in the Liangzhu culture called “cong” is square on the outside and round on the inside. Archaeologists think that the yellow jade ware described in the Rites of Zhou “we hold ceremonies with blue jade articles to offer sacrifice to heaven, and we hold ceremonies with yellow jade wares to offer sacrifice to earth” refers to this sacrificial vessel. Later on, the design of cosmological temples, the shape of coins, the external

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forms of star charts and land maps, the outlines of the Altar of Heaven, and Altar of Earth are all reflections of this thought.

10.1.2 The World Structure as Concentric Squares in Tribute to Yu and Rites of Zhou Tribute to Yu proposes the “five fu” system, that is, the whole land is divided into five concentric squares, namely, Dian (suburb) fu, Hou (marquis) fu, Sui (pacifying) fu, Yao (important) fu, Huang (barren) fu, in the order of the distances from the capital, with 250 km as the unit. Rites of Zhou proposes the concept of “nine fu,” that is, the whole land is divided into nine concentric squares of nine levels: The central square is the king’s metropolitan region with each side 500 km long. Next, the square extending 250 km outside the capital, is called Hou (marquis) fu; extending 250 km further, the zone is called Dian (suburb) fu; still further, Nan (baron) fu; furthermore, Cai (feoffing) fu; Still further, Wei (guarding) fu; still further, Man (barbarian) fu; followed by Yi (tribe) fu; remotely, Zhen (garrison) fu; the farthest zone is Fan (vassal) fu.

10.1.3 “Nine Large States” and “Nine Small Prefectures” It was thought in ancient China that the world is made up of “nine large states.” Records of the Grand Historian – Biographies of Mencius and Xunzi writes, “The central country is called China (Chellona), or Divine State in Red Territory, in which there are nine prefectures. . . . Outside the central country, there are nine states similar to the Divine State. Each state is surrounded by beneficial seas, so people and animals in the state cannot communicate with those in another state. These nine states are surrounded by vast oceans that form the boundary between sky and land.” Thus it can be seen that China is merely one of 81(9
9)patches of land, and it is not necessarily in the center of the world.

10.1.4 The Size and Scale of Land Though the ancient Chinese people didn’t consider Earth, the land we live on, as a planetary body, they did know that the land below and the sky above are different. As an object, the land should have a size of its own. So, ancient people probed into the size and scale of the land. The Classic of the Mountains and Seas describes a vast land that includes most parts of China, and some parts of Central Asia and East Asia. The book says, “The great land measures 14,000 km. long in length from east to west, and 13,000 km. in width from north to south.” The Classic of the Mountains and Seas – Classic of Overseas East gives another datum, “Emperor ordered Jian Hai to measure the land

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by footsteps, and he got the result: From the east end to the west end, he walked 500,109,800 footsteps.” Master Lv’s Spring and Autumn Annals says, “Within the four extremes, the world is 250,048,500 km. long from east to west, and also 250,048,500 km wide from north to south.” “Within the boundary of the four seas, the land is 14,000 km long from east to west, and 13,000 km. wide from north to south.” Notes on History of Eastern Han – Treatise on Astronomy writes, “The dimension of the eight extremes is 100,016,150 km. in diameter on average, but the diameter from north to south is 500 km. shorter, and the diameter from east to west is 500 km. longer. The distance from land to sky is half the diameter of the eight extremes; and the land depth is like this. If you think all dimensions to be the same, you will be turbid.” Though these data are not consistent, they all refer deal with the size of a square land. However, the land is not square, so this sort of probing is not very meaningful.

10.1.5 Indian View of the World Geography The ancient Indian view of the world geography was promulgated into China with the spread of Buddhism. The main body is the concepts of “Jambu-dvipa” and “world.” (1) Jambu-dvipa Shi Daoxuan in the Tang Dynasty expounded the structure of the land in the Local Topography of Sakiamuni, “. . . The Meru Mountain, or Sumeru Mountain in the Buddhist Scriptures, is located in the sea. According to Kancana-mandala (“Gold Wheel” in Sanskrit), the upper half stands above the sea level as high as 80,000 yojana (1 yojana ¼ 11.2 km). The sun and the moon revolve around its waist. Outside the mountain, there are seven gold hills surrounding. Between every two hills, there is sea water, having eight merits and virtues.” And in the Buddhist Scripture The Worldly Analects of Abhidharma, the apparent solar motion is recorded like this, “The radius of sunshine is 700,021,200 yojana, and the circumference is 2,100,063,600 yojana. When the sun rises from India in the south, it sets in Uttarakuru in the north. It is high in the middle of the sky at Furvavideha in the east, and it is right at mid-night at Aparagodaniya in the west. So the world has four points of time because of the sun.” The classic Buddhist Scripture Mahāprajāpāramitā-sūtra (in Sanskrit) translated by Xuanzang of the Tang Dynasty says, “Some states in India, such as Jambu-dvipa, Purvavideha, Aparagodaniya, have many men and women devotees to the Buddha. This scene can be seen in the State of Jambu-dvipa in the south, Purvavideha in the east, Aparagodaniya in the west, and Uttarakuru in the north.” Zhao Yanwei in the Song Dynasty writes in Collected Writings at Cloudy Hill-foot, Volume 8, “The precious mirror shines on the four great states, and examines good and evil men. It mirrors the southern state Jambu-dvipa in January, May and September; it mirrors the east in February, June and October; it mirrors the west in March, July and November; it mirrors the north in April, August and December.” Mei Dingzuo in the Ming

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Dynasty says in the sixth episode of Jade Association Records, “In the State of Jambu-dvipa, Ms. Liu married to the family of Li from Chang’an, the capital of the Great Tang Empire, has long promised to contribute an embroidered long narrow flag to our temple to hang below the seat of Buddha. Today she sends maidens here to burn joss sticks piously, and to bestow the worshiping article.” Luo Maodeng writes in Zheng He’s Journey to the West, Chapter 22, “Worshippers Zheng and Wang here in the State of Jambu-dvipa, receive with respect the imperial envoy sent by Emperor Zhu of the Great Ming Empire to the West in order to comfort foreign tribes and take treasures. Unexpectedly, fierce winds and raging sea waves endangers the ship. We beg heaven beings to bless them. After we return to homeland, we will enshrine you with joss sticks and candles forever. Wei Yuan, the author of Illustrated Treatise on the Maritime Kingdoms writes in Volume 74, “It is said that Asia, Europe and Africa are the continents of Jambu-dvipa. North and South Americas are the continents of Aparagodaniya in the west. The Sanskrit classic says that there are four hosts in the Jambu continent: the eastern human host is China, the southern elephant host is India, the northern horse host is Mongolia-Kazakhstan, and the western precious host is Europe and America. This saying proves that Europe and Africa are in the continent of Jambu-dvipa. The continent of Uttarakuru in the northern most is separated from us by the northern ice sea, so no ships can pass through the northern sea and return. The continent of Purvavideha in the eastern most is separated from the rest of the world by the southern ice sea, so ships from the west can approach the South Pole, but they cannot . . ..” (2) World The commonly used “world” today came from the Buddhist scripture. Later, it got popularized gradually, and its meaning changed from a Buddhist concept into a geographical noun. Biography of the Eminent Monks Volume 1 says, “In the Han Dynasty, Emperor Wudi of the Han Dynasty ordered his men to dig the Kunming Lake, and got black powder. He asked DongfangShuo what it is. Shuo said, I don’t know. You can ask someone from the Western Regions. Later, the Indian man Fhran came. They asked him. Fhran said, The world was terminated by the dooming fire, and this is the remaining powder. Shuo said that there had been omens, and the saying was believed by many people.” Biography of the Eminent Monks Volume 11 records, “Monk You, surname Yu, ancestral home was Xiapi County, Pengcheng Prefecture. . . .Earlier, Monk You collected the sacred Sutra, and arranged for somebody to quote major events from the collection, and he compiled them into Record of Tang Sanzang, Record of the Buddhist Doctrine Garden, Record of the World, A Chronicle of Sakyamuni, A Collection for Propagating Buddhism, and etc. They are circulated all over the world.” History of Northern Qi – Biography of Fan Xun says, “The soil of the Kunming Lake is black. It is considered as the remaining powder after the dooming fire. In spring and fall, when the moon light is bright at night, it is said to be the day for heaven beings to descend. His Holiness is at ease, doing whatever he likes. He makes unlimited variations, puts the world in fine dust, and hides Mount Sumeru in large piles of broom corns.”

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Liu Yuxi in the Tang Dynasty writes in his poem Thankful Farewell at Fuxian Temple in Snow, “Sing and dancing are performed under clouds, when the vast expanse of the world is covered by snowflakes.” History of Song – Biology of Yu Tian says, “In the 4th Year, the king of Yu Tian ordered Axin, a tribe leader, to present a memorial to the emperor of the Song empire that writes, I, Black Khan, Minion of the Yu Tian State, am writing this letter to my uncle the great emperor of the Han family. Although the dusty road from here to the capital is very long, we, your subjects in the state, are heartedly loyal to Your Majesty. Previously, I sent out three groups of emissaries to render tribute to you; they have not come back yet. Therefore, I am repeating a few words.” History of Ming – Biography of Huang Zunsu says, “Later, Yang Lian impeached Wei Zhongxian, and the impeachment was blamed by the emperor. Huang Zunsu got angry, and presented a memorial to the emperor, which says, Have you ever seen such a strange thing that the imperial power is shifted from the throne to a minion, and then the world becomes clear and bright? . . .” Wei Zhongxian got to know the memorial, and he hated Huang even more.” Draft History of Qing – Biography of Dai Hongci says, “We ministers have overviewed the world situation and investigated into the Chinese condition, and we conclude that without determining the state policy, we cannot stabilize the whole society.”

10.1.6 The Round Earth Theory of the Ancient Greece and Arabs Spread to China Early in the Song Dynasty In the past, people thought that the round earth theory spread from the West to China in the Yuan or Ming Dynasty. But in fact, it spread to China as early as in the Song Dynasty. Muhammad Kashghari was born in 1005 and died in the late 1070s or early 1080s. He compiled Turkic Dictionary (Kitabu Diwani Lug-hat- it-Turki) and completed it as a book in 1072–1077. The book collects a large map of the world, called “round map.” This map draws the well-known world as a circle, expressing clearly the conception that the earth is round. In addition, the map makes complete notes and marks on major cities and towns and the distribution of Turk and other nationalities in the western regions of the eleventh century. This is the earliest physical evidence for the western theory of round earth spreading to China. It also can be seen from literatures that Zhu Xi in the Southern Song Dynasty also knew that the earth is round. Words of Zhu Xi, Volume 86, Rites – Rites of Zhou – Earth Official says, “Buddhist scriptures have this theory in them. China is the State of Jambu-dvipa in the south, and India is also in the Continent of Jambu-dvipa. In the east, there is the Purvavideha; in the west Aparagodaniya, and in the north Uttarakuru. This is similar to what Zou Yan talks about the Red Territory. All the four continents are given a unified name “Saha Land”. There are several worlds of this kind, of which the Saha Land is in the middle. Its shape is perfectly round, so the people born there are round, just like their land, perhaps because they get the middle Qi of sky and earth. Other lands are shaped flat and sharp, surrounding the Saha

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Land. Because they cannot get the healthy breath of sky and land, the people born there look strange. This theory is also the “canopy sphere” theory. The transverse channel also holds the canopy sphere. I do not know how.”

10.1.7 The Arab Globe Introduced to China in the Yuan Dynasty The Arab globe was introduced to China in the Yuan Dynasty. History of Yuan – Treatise on Astronomy records, “Kura-i-ard in Arabic, translated into Chinese, it is “地理志” (treatise on geography). It is made of wood and shaped as a round globe. Seven tenths are water and painted green; three tenths are land and painted white. Rivers, lakes, seas are drawn on it as the skeleton. The surface is divided into square grids to facilitate calculation of areas and distances.”

10.1.8 The World Map with Europe and Africa Drawn on It in the Ming Dynasty Collected in the First China Historical Archives, there is a huge map – The Unified Map of the Great Ming. It is a colored drawing on silk cloth, 3.86 m long and 4.56 m wide. The geographical range is from Japan in the east to Western Europe and Africa in the west; from Java in the south to Mongolia in the north. Judging from the names of places, the map should have been drawn in the 22nd year of Hongwu in the Ming Dynasty (1389), that is, before Zhenghe sailed to the western oceans. This is the earliest map existing with Europe and Africa drawn in it, actually 200 years earlier than the world map which was brought by Matteo Ricci, the Italian missionary, to China.

10.1.9 The World Geographical Knowledge that the Missionary Matteo Ricci Brought 400 Years Ago Has Been Circulated up to Now Matteo Ricci, the Italian missionary, came to China in 1582, and died of disease in Beijing in 1610. He lived in China for a total of 28 years. He was the first person who spread the western knowledge of geosciences especially the knowledge of the world geography to China. He drew 12 versions of the world map. These maps propagated the concept of round earth, the technique of longitude and latitude projection, the division of five continents, and the idea of five climate zones.

10.2

Conception of the World Geography

The cognition of the world geography by the ancient Chinese people proceeded in two ways: One is by deducing from the conception of the earth as a whole, and even the conception of the universe; the other is by deriving from the conception of the

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Chinese territory expanding outwards. The two ways have induced numerous but regular clusters of concepts. Their connotations and extensions differ, and change with times.

10.2.1 The Series of the Four Directions: Four Seas, Four Oceans, Four Dark Seas, Four Corners, Four Boundaries, Four Barrens, Four Descendants, and Four Minorities Due to the concept that the earth is square in shaped, a series of concepts were derived concerning the four directions. (1) Four directions: The word “four directions” occurred early in The Book of Songs. The Sacrificial Songs of Shang – Black Bird sings, “The old emperor orders Emperor Wu of Shang to return lands to them in four directions.” The Sacrificial Songs of Shang – Wu of Yin sings, “The Shang Dynasty has manors everywhere, located in four directions.” (2) Four seas: The word “four seas” occurred early in Book of Documents and in The Book of Songs. The Historic Literatures – Gao Taomo writes, “The territory expands outwards, and approaches the four seas.” The Book of Songs – The Sacrificial Songs of Shang – Black Bird sings, “New regions are created in four seas.” Records of the Grand Historian – Biography of the Five Emperors points out, “ErYa says that the four seas refer to the eastern tribes, southern barbarians, western militants, northern nationalities.” Notes on Records of the Grand Historian – Annals of Xia goes on to explain, “Bo means to approach, and indicates reaching the seas.” Interpretation of Nouns says, “Sea means dark and gloomy. Note: Those tribes and barbarians are obscure and ignorant, so the four seas refer to them.” (3) Four oceans: The phrase “four oceans” is a synonym of “four seas.” History of Song – Annals of Emperor Mingdi says, “Emperor Gaozu possessed a high moral that penetrated four oceans and softened the nine fu.” (4) Four dark seas: The phrase “four dark seas” is a synonym of “four seas”. History of Song – Treatise on Music records: “All things prosper in all rich mounds, and the imperial benefit spreads on to cover the nine existences.” (5) Four extremes: The extreme is the farthest place mankind knows, also called “corner” or “barrier.” The Classic of the Mountains and Seas – Classic of Overseas East writes, “Emperor ordered Jian Hai to measure the land by footsteps, and he got the result: From the east end to the west end, he walked 500,109,800 footsteps.” Master Lv’s Spring and Autumn Annals records, “Within the four extremes, the world is 250,048,500 km. long from east to west, and also 250,048,500 km. wide from north to south.” (6) Four boundaries: Collection of Documents – Text of Yu – Cannon of Yao says, “The light he emits covers four boundaries. His consideration reaches heaven and earth.” Book of Han – Biography of Wang Mang says, “Wang Mang designed an imperial order that says, We can go anywhere in the whole land under heaven; we will stop only at the four boundaries.”

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(7) Four barrens: The word barren means “Huang (barren) fu”. Records of the Grand Historian – Biography of Xiaowen says, “People who live beyond the four barrens cannot live a peaceful life. People who live in the conferred metropolitan area work diligently without rest.” (8) Four descendants: The phrase “four descendants” refers to the descendents who are scattered in the four directions. The Commentary of Zuo on the Spring and Autumn Annals says, “When Shun served Yao as a subject, he received guests at the four gates and guided them around; he banished the four fierce tribes and deported them to the regions of four descendants to defend demons and monsters there.” A Collection of Explanations on Records of the Grand Historian – Biography of the Five Emperors – Emperor Shun points out, “Jia Kui says, This place is a land of four descendants, and it is 2,000 km. from the capital city.” (9) Four minorities: Four minorities refer to minority nationalities in the four directions. Rites of Zhou – Summer Official Commander – Overseer of Feudatories says, “The Overseer of Feudatories is in charge of all maps and all lands under heaven as well. He distinguishes the peoples between states, the capital and the surrounding areas, Siyi (the four tribes), Baman (eight barbarians), Qimin (seven min ethnic groups), Jiumo (nine Mo’s), Wurong (five militants), Liudi (six northern nationalities); he recognizes their treasures, utensils, crops, domestic animals; he tells us the favorable and unfavorable conditions there; he distinguishes among nine states, and their customs.”

10.2.2 Series of the Character Six: Liuhe – Six Directions: East, West, North, South, Heaven (Up) and Earth (Down) Records of the Grand Historian – Biography of Emperor Qin Shi Huang says, “We are glad to receive education from the emperor, and get to know the law and decrees. Within Liuhe, all the land belongs to the emperor, whose territory extends to deserts in the west, extremes in the south and households in the north. As for the east, there are also far places to reach. All people in all places are the emperor’s subjects.” History of Jin – Biography of Peixiu records, “The great Jin rises like a dragon, and it mingles six directions into one, making the universe clear. Starting from the commonplace Shu, it penetrates dangerous places there.” Notes on Book of Han – Biography of Yang Xiong says, “The teacher said earlier, Liuhe means heaven and earth, plus the four directions.” In the late Qing Dynasty, there was a magazine named Essays in Liuhe, which introduced worldwide events happening.

10.2.3 Series of Eight Directions: Farthest Places in Eight Directions, Eight Corners, Eight Boundaries, Eight Oceans, Eight Regions, Eight Barrens After germination of the concept that the earth is square, a series of concepts were derived concerning the eight directions.

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(1) Eight directions: Records of the Grand Historian – Biography of SimaXiangru says, “All the land under heaven is king’s land; all the people in the whole land are king’s subjects. In all places within Liuhe and beyond eight directions, all the living beings are immersed and soaked in the king’s pool of kindness. If someone is not willing to immerse himself, the sage king will look down upon him.” (2) Farthest places in eight directions – eight hongs: Records of the Grand Historian – Biography of SimaXiangru says, “I see the farthest places in eight directions and take a look at the four barrens. I leave Jiujiang by crossing the River, and I will cross the five more-colored rivers of the wonderland.” Notes on History of the Eastern Han – Annals of Emperor Mingdi says, “Outside the nine states, there are eight yins (respects); outside the eight yins, there are eight farthest places in eight directions; beyond the eight farthest places, there are eight corners.” Notes on Book of Han – Biography of Yang Xiong says, “Farthest places in eight directions are the framework there. The pronunciation of 纮 (corner) is “hong”.” (3) Eight boundaries: History of Song – Biography of Pei Songzhi says, “After Pei Songzhi returns from his mission, he reports to the emperor, I was honored by being selected to take the officialdom, and join the renowned team. But I am humble due to my shortcomings, and my thinking is pure and simple – only about the eight boundaries . . ..” History of Jin – Treatise on Food and Money says, “In the past, Emperor Gaozu of Han assigned Xiao He to govern the central plain of Shaanxi; Emperor Guangwu of Eastern Han ordered Kou Xun to guard He Nei; Wudi of Wei appointed Zhong Kui to administrate the affairs in the western region. So they could mop up the minority tribes on the eight boundaries, and placate the people in our region. . . .” (4) Eight oceans: History of Song – Treatise on Music says, “The nine states are full of emperor’s kindness, and the moralization is drifting on the eight oceans.” (5) Eight regions: Book of Han – Biography of Yang Xiong says, “Now the imperial court is really kind. It respects moral and highlight justice; it allows all kinds of books, so the sage style is spreading like clouds. Illustrious persons are springing up, and their spirit is floating in eight regions. Good models are propagated among all people, everybody is leaning from them. If a scholar does not talk about the kingly way, he will be laughed at by woodcutters.” Notes on Book of Han – Biography of Yang Xiong says, “The teacher said earlier, eight regions refer to eight directions.” (6) Eight barrens: Book of Han – Treatise on Calendar says, “People follow heaven and suit earth, arrange for the vigor to become substances. They dominate the Eight Diagrams, adjust eight atmospheres, they administrate eight governances, they adjust eight joints, they cooperate eight musical instruments, they dance in eight rows, they monitor eight directions, they reclaim eight barrens by planting trees, and they finalize the efforts of heaven and earth. So we say eight multiplied by eight equals sixty four.”

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10.2.4 Series of the Character Nine: Nine Regions, Nine Existences, Nine Oceans, Nine Tribes, Nine Familial Ramifications, Nine Fu The character nine has two meanings: one is “eight directions” plus “middle; the other is the largest number. (1) Nine regions: Notes on History of Eastern Han – Treatise on Astronomy says, “Celestial phenomena appear in the sky, terrestrial formations are formed on the earth. The sky has nine zones, and the earth has nine regions. The sky has three kinds of celestial bodies, while the earth has three kinds of geographical forms. The phenomena in the sky can be observed, the terrains on the earth can be measured.” The Song Dynasty had Diagram of Prefectures and Magistrates of Nine Regions and Treatise on Nine Regions in Yuanfeng Years published. (2) Nine existences (nine states): Annals of Three Kingdoms – History of Wei – Biography of Gao Tanglong says, “When we probe into some dynasties which existed for three and more generations, we discover a pattern: Sage men succeeded for hundreds of years when every inch of land belonged to the emperor, and every person was subject to the emperor; all the states were peaceful, and the nine existences (prefectures) were neat and uniformed. After King Wu of Zhou conquered Shang, he distributed the gold stored in the Shang state reserve at Lutai to soldiers, and allotted the grains stored in the granary at Large Bridge to civilians. He turned his face back to the south, and continued his kind ruling. What a wise king he was!” (3) Nine oceans: Old History of Tang – Treatise on Music says, “Trust the Supplication Scribe, as he always performs carols. Come to Zukao, listen to peace. Select high rank officials, contribute to nine oceans. God, do not desert us, we will soon conclude the sacrificial ceremony.” (4) Nine tribes: Book of Han – Treatise on Rites and Music – Suburban Sacrifice Song – Heavenly Horse sings, “Heavenly horse comes, from the west corner. It runs though deserts, to make nine tribes admire it.” (5) Nine generations: Records of the Grand Historian – Annals of the Five Emperors – Emperor Yao says, “Emperor Yao is named Fangxun. His kindness is as large as heaven, and his wisdom is as profound as heaven. We approach him as we enjoy the sunlight, and we look at him as we look up into the sky. He is rich but not conceited; he is noble but not undisciplined. He wears a yellow hat and black clothes. His cart is red, and his horse is white. He respects virtuous people, and he is very kind to the nine familial ramifications. No that the nine familial ramifications live in harmony, he goes on to educate the people, who become wise. Thus unification and peace is achieved in the country. (6) Nine fu: History of Song – Annals of Emperor Mingdi says, “Emperor Gaozu possessed a high moral that penetrated four oceans and softened the nine fu.”

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10.2.5 Series of the Character Wan: Ten-Thousand States, Ten-Thousand Countries, Ten-Thousand Surnames “Wan 万 (Ten-thousand)” is the largest number, and also a rough number. (1) Ten-thousand states: Book of Documents – Text of Yu – Cannon of Yao says, “Civilians become wise. Ten-thousand states coexist in harmony.” The Book of Songs – Lesser Odes – June says, “Jifu the Prime Minister is endowed with civil and martial virtues. He set up a good model for ten-thousand states.” (2) Ten-thousand countries: Book of Changes – Heaven says, “When all tings occurred for the first time, ten-thousand countries were peaceful.” The Commentary of Zuo on the Spring and Autumn Annals – the 7th year of Lord Aigong says, “Replies, When Emperor Yu convened dukes and princes in Mount Tushan, ten-thousand countries held jade objects and silk fabrics.” History of Ming – Treatise on Astronomy – Observing Phenomena says, “In the 2nd year of Chongzhen, Xu Guangqi, Assistant Minister of Rites was also in charge of calendar. He applied for making 6 quadrants, 3 sextants, 3 horizontal armillary spheres, 1 eclipse instrument, 1 stellar theodolite celestial globe, 1 theodolite globe with countries, 3 plane sundials, 3 rotating star dials, 3 clocks and 3 telescopes. The application in his report was approved.” In the late Qing years, there was Bulletin of Ten-thousand Countries, Expo of Ten-thousand Countries, and so on. (3) Ten-thousand surnames: Book of Documents – History of Zhou – Politics says, “Heaven ordered our King of Zhou to replace King of Shang and receive the heavenly task, that is, to placate and govern the ten-thousand surnames. You should lead the army, follow the footsteps of Great Emperor Yu, march around the land under heaven, and reach the oversea regions. Nobody will disobey you.”

10.2.6 Series of the Character Tian (Heaven): All over the World, Under Heaven The earth is under heaven, so heaven is used as a coordinates system to describe the earth. (1) Putian 普天 – all over the world: The Commentary of Zuo on the Spring and Autumn Annals – the 7th year of Lord Zhaogong says, “Therefore, Book of Songs says, All the land under heaven is king’s land; all the people in the whole land are king’s subjects.” The Book of Songs – Lesser Odes repeats, “All the land under heaven is king’s land; all the people in the whole land are king’s subjects.” Notes on History of Eastern Han – Biography of Ban Biao says, “The character 溥 (broad) is synonymous to 普 (general).” (2) Tianxia 天下 – under heaven: Book of Documents – Text of Yu – Cannon of Yao says, “In the past, Emperor Yao was very intelligent. The light he emitted dwelled in all places under heaven.” Rites of Zhou – Minister of Education – Grand Minister of Education says, “Grand Minister of Education is in charge of the land of an established state, and the people in the land, to assist the king in

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placating the state. Based on the map of the land under heaven . . . He is responsible for making the plan for local revenue, to decide the duties of the people, order them to submit land tributes, collect taxes, and to equalize the administrative situation under heaven.”

10.2.7 Series of the Character Yu: Universe, Land Under Heaven (1) Yuzhou 宇宙 – Universe: Universe has two meanings, one is broad, and the other is narrow. The broad meaning is equal to the current concept of “universe,” while the narrow meaning is equivalent to the present concept of “world.” The following quotations are of the narrow meaning. History of Eastern Han – Biography of He-Xi Empress Deng says, “In the 5th year of Yuanchu (118 AD), Liu Yi, Marquis of Pingwang, wanted to have the benevolent ruling deeds of Empress Dowager Deng recorded, so he presented a report to Emperor Andi, and said, If her policy were not kind and amiable, it would not be able to touch popular feelings; if the legal system were not a version of the old decrees and regulations, she would not consult with the court. She carries forward virtues that spread everywhere, brimming in the universe. Her benevolence is so plentiful that it permeates the eight directions. All the people in China feel happy, and the peoples of minority nationalities are mixed with us. Her great feats are outstanding and well-known to our Han people, and her large grace is augmented to strangers. . . . The Emperor accepted that proposal.” History of Jin – Annals of Emperor Jingdi says, “Emperor says, Now the universe has not been clarified, the two enemy tribes are scrambling for supremacy. Only a wise and able person can become the master of the whole country. . . . The heavenly throne is really vital. An ordinary person is not qualified for the power, or capable enough to save the country.” (2) Yunei 宇内 – Land under heaven: Records of the Grand Historian – House of Chen She writes, “The state of Qin was passed down to Yingzheng, who would soon be Qin Shi Huang – First Emperor of Qin. He carried forward the achievements handed down to him by the previous six generations of kings. He drove other states of dukes or princes with his long whip. He swallowed the Western Zhou and Eastern Zhou, destroyed six states of dukes, and ascended to the imperial throne. To control the whole land under heaven, he held the cane in hand and beat the people with it, threatening the whole country. Marching southward, he nabbed the lands of Baiyue nationalities, and changed them into Guilin and Xiang prefectures. The Baiyue tribal leaders lowered their heads, fastened the neck with a rope and surrendered. They submitted their life to the hand of low-rank officials of the Qin Dynasty.”

10.2.8 Series of the Character Yi: Yixia, Huayi (1) Yixia 夷夏 – All tribes, or tribal and Han peoples: History of Jin – Treatise on Music says, “Border areas are peaceful, and the tribes enjoy a well-being.” History of Jin – Biography of Du Zhen says, “Du Zhen was recommended for

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being Filial and Incorrupt, and appointed Jianning District Magistrate. He advocated benevolent rule. Under his ruling, good morals and manners were prevailing, and all tribes admired and respected him.” History of Jin – Record of Fu Pi says, “So Fu Pi asked his secretary Wang Yong to draft a declaration to Prefect of Xi that says, The Emperor has just died, leaving us without a master. Duke Changle the east marching general, and the first son of the past emperor, is highly skilled in military affairs by nature. He takes the task in the southern Chu State. His power is formidable. He defends the eastern capital on two sides. His moral is spread all over Yixia, his benevolence is shining in the universe, and his moral fame is equal to successors. . . .” (2) Huayi 华夷: Notes on Records of Three Kingdoms – History of Wei – Liu Shao says, “In Yonghe years of the Jin Dynasty, Wang Biao, Chamberlain for Law Enforcement, wrote a letter to Yin Hao, Yangzhou Regional Inspector, saying, “. . . Of the disasters indicated by the sun, moon and stars, the most serious one is the solar eclipse. After the historiographer foretells, the listeners are not afraid, do not make precautions, and abandon the technique of saving lives and properties. They even entertain people in Huayi with a sumptuous dinner. The monarch and his subjects celebrate together. Would they suffer the disaster and then blame themselves for ignorance? . . .” History of Jin – Annals of Emperor Yuandi Rui says, “The boundaries of sky and earth have overlapped, so the situation in Huayi is harmonized. Peoples of different nationalities do not have a common language, but they are moved, so they use a unicorn or a tree whose branches join together to show their determination to stop war. Such cases have happened hundreds of times.” Old History of Tang – Annals of Emperor Dezong – the 17 Year of Zhenyuan says, “In Xin-Wei year, Jia Dan contributed Map of China and Foreign Countries, and 40 volumes of Narration of States, Prefectures, Circuits, Counties and Foreign Countries in Ancient and Present Times.” The Map of China and Foreign Countries was inscribed on a stone tablet in the Song Dynasty. Now, the tablet is still kept in the Collection of Ancient Stone Tablets in Xi’an City.

10.2.9 Series of the Character Wai: China and Foreign Countries, Overseas, Territory Beyond China, External Regions, Beyond the Ridge Wai 外 (foreign) is opposite to domestic. Generally, domestic refers to China itself, and foreign refers to other countries or regions. (1) China and foreign countries: Records of the Grand Historian – Annals of Emperor Xiaowen says, “Disasters keep happening, and battles take place one after another. How could China and foreign countries get pacification? . . .” Records of the Grand Historian – Biography of Li Si says, “Zhao Gao says, I hear that wise men do not abide by regulations. Instead, they are adaptable to changes and follow the tide. Once they see the signs of a trend, they know the root cause; once they see

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a tendency, they predict the result. Look at your fingers, and then turn over your palm. You know that nothing is fixed and unchangeable! . . . If you listen to me and accept my plan, you will keep your status of marquis forever, and pass it down to your offspring; you will enjoy longevity as heaven beings Wang Ziqiao and Chi Songzi did; you will be highly intelligent like Confucius and Mo Zi. If you give up this good chance and disobey my suggestion, a scourge will devastate your family. What a pity! Those who are good at behaving themselves can turn misfortune into fortune. What do you want to do?” Overseas: Records of the Grand Historian – Biography of Mencius and Xun Zi says, “First he made out a list of the famous mountains and long rivers in China, common grains, birds and beasts, aqua and soil products, valuable species of plants and animals. He thought that these things cannot be seen overseas.” Records of the Grand Historian – Grand Astrologer’s Preface says, “Grand Astrologer says, . . . After the founding of the Han Dynasty, the present sacred great emperor acquired the auspicious sign. Then he held a solemn ceremony for worshipping heaven and earth. He revised the calendar; he changed the costume colors. He bears the heaven’s will. His kindness is boundless. Countless delegates from overseas countries with various customs come here through interpretation to pay tribute to the imperial court. . . .” Territory beyond China: Records of the Grand Historian – Annals of Emperor Xiaowen says, “Since I am not very sagacious, my moral cannot reach far places. So people who live beyond the four barrens cannot live a peaceful life. People who live in the conferred metropolitan area work diligently without rest.” External regions: History of Song – Treatise on Economy – Mining and Metallurgy says, “In the 3rd year of Kaibao . . . It is forbidden casting copper statues of Buddha, pagoda and figures that are useless. People are prohibited to smuggle copper and iron out of the border to external regions.” History of Yuan – Treatise on Geography – Branch Secretariat of Sichuan and Neighboring Provinces says, “Gao Prefecture, territory of ancient Yelang kingdom. A neighbor is the Black Barbarian. It is connected to the Changning army station. Its people are of the southwestern Qiang nationality. Before the Sui Dynasty, it was an external region. Since the Tang Dynasty, Gao Prefecture has been set up here in this region.” Beyond the ridge: History of Eastern Han – Annals of Emperor Shundi says, “Zhu Liang, Governor of Jiuzhen, and Zhang Qiaowei, Jiaozhi Regional Inspector, lured the rebellion barbarians in Nhật Nam Prefecture into surrender. So the region beyond ridge calmed down.” A book titled Questions and Answers about the Region beyond Ridge was published in the Song Dynasty.

10.2.10 Series of the Character Huan (Extensive Region): Huanyu, Huanying, Huanyu (1) Huanyu 寰宇 – extensive universe: History of Liang – Annals of Emperor Jingdi says, “The benevolent ruler has a good reputation in the extensive

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universe, and the imperial kindness is spread to remote nationalities. Weapons have been stored away for tens of years.” History of Chen – Annals of Emperor Gaozu Chen Baxian says, “Emperor Gaozu has a heroic strategy and prospective sight, climbing over high mountains, crossing vast oceans. His broad mind encloses a cart of books, and embraces the extensive universe.” History of Ming – Treatise on Arts and Literatures – Category of History – Geography has General Treatise on Extensive Universe and Divided Treatise on Extensive Universe collected in it. (2) Huanying 寰瀛 – extensive ocean: History of Jin – Treatise on Geography says, “In the past, Da Yu observed the muddy river, and gave the character “green”. Now all over the world, including the extensive oceans, people have received this word and they can talk about it.” (3) Huanyu 寰域 – extensive region: History of Wei – Biography of Fang Fashou says, “When Wancheng city was captured, Boyu surrendered with his face bounded in black cloth. Gaozu met Boyu and 200 men in his staff. The emperor instructed Boyu, saying, I follow the providence and want to clear up an extensive region. You, a little garrison, dare to defend my almighty army. Your fault and crime would have been unforgivable.”

10.2.11 Series of the Character Hai (Sea): Haiguo, Haibang, Haiyu, Haiyu (1) Haiguo 海国 – sea country, Some scholars thought that the concept of sea country emerged in the late Qing times when Wei Yuan wrote the book Illustrated Treatise on the Maritime Kingdoms. But in fact, the word “海国” occurred as early as in the Tang Dynasty. Li Chunfeng says in his Divination in Yi-Si Year – Volume 6, “Venus rises from the east, and the moon has hidden for three days. Venus is to the north of the moon, indicating that the sea country cannot win; if it is to the south of the moon, the central state will win; if to the north, the central state will be defeated.” A Complete Collection of Essays in Tang Dynasty – Volume 916 (by Dong Gao and others) says, “When approaching a clean temple, we give out famous treasures from overseas; when visiting a cold and lonely monastery, we desert mysterious values from riverbeds.” A Copy of Dongpo’s Poetry says, “Sea-surrounded countries feel warm and cozy by themselves. Tree covered mountains look green and tender extremely.” Draft History of Qing – Treatise on Arts and Literatures – Category of History – Geography records, “Recording What We See and Hear in Overseas Countries, in two volumes, drafted by Chen Lunjiong.”Draft History of Qing – Biography of Wei Yuan says, “Recently we have undergone foreign rebellions. To prepare for confronting foreign affairs, we must know foreign situations. Based on Gazetteer of the Four Continents translated by Lin Zexu, and other works, I have compiled Illustrated Treatise on the Maritime Kingdoms in 100 volumes.”

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(2) Haibang 海邦 – sea state: History of Ming – Collected Biographies of Foreign Countries – Cochin says, “The mountain in the state is conferred as Calming Mountain. This name is inscribed on a tablet to show this forever. The inscription says, This mountain is cut in the waist to calm down the state. It spits out fog and cloud, makes flood current for lower reaches, alleviates hot weathers, adjusts rain and sunshine, reduces unpleasant atmosphere, guarantees bountiful harvests; no disaster and no catastrophe can happen, so the territory is protected for good and all. People live a leisurely and carefree life, and every family celebrates its happiness. Aha! The high mountain and the deep sea accompany this inscribed poem forever.” (3) Haiyu 海宇 – sea universe: History of Liang – Annals of Emperor Wudi says, “He carried out his task with drive and sweep like a strong wind blowing through the sea universe; he used up many carts on his journey of promulgating the state policy so that all the subjects submit themselves to his rule.” History of Song – Treatise on Music – Movement – Imperial Earthly God says, “The bright light is great, because the earthly moral is powerful. The whole sea universe is peaceful, thanks to our ancestors’ moral.” (4) Haiyu 海隅 – sea corner: History of Ming – Collected Biographies of Foreign Countries – Korea say, “In leap April, 27th Year, Imperial instruction to all people about destroying the Japanese pirates says, . . . Fierce as the pirates were, their leader was killed. Our mighty troops drove them to the north. The enemy officers and soldiers were annihilated. The sea corner was cleared up. The letter of triumph came, the sadness and tiredness disappeared. . . .”

10.2.12 Series of the Character Kun: Qian-kun, Kun-yu (1) Qian-kun 乾坤- heaven and earth: History of Ming – Collected Biographies of Foreign Countries – Japan says, “I hear that the three ancient emperors set up the highest moral, and then the five sovereigns abdicated and handed over the crown. Only China has such wise masters. Does it mean that foreign nations do not have such monarchs? Actually, heaven and earth are so vast that they are not monopolized by merely one ruler. The universe is so enormous that it must be divided into many states and held by various nations. Therefore, the land under heaven belongs to all people; it is not the land of anybody alone.” (2) Kun-yu 坤舆 – great universe/territory: Old History of Tang – Treatise on Music says, “It is recommended that the nation hold solemn sacrificial ceremonies, so that the great territory is beautiful and productive.” History of Song – Treatise on Music – Movement – Imperial Earthly God says, “Brilliant and wonderful, the great territory is pure and innocent like a child. Our people are deeply rooted in it and greatly influenced by it.” In the Ming Dynasty, Missionary Matteo Ricci’s

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drew the A Map of the Myriad Countries of the World. Draft History of Qing – Treatise on Arts and Literatures – Category of History – Geography records, “Map and Record of the Chinese Territory, in two volumes, drafted by Westerner Ferdinand Verbiest.”

10.2.13 Series of the Character Qiu (Globe): Earth Globe, Whole Globe (1) Earth globe or globe (Diqiu 地球): It was in the late Ming years after the Italian Missionary Matteo Ricci came to China that the word “globe” began to be used directly. In the Ming Dynasty, Assembly of Major Events of Ming by Long Wenbin, Volume 28 Calendar says, “In Wanli years, the Westerner Matteo Ricci made an armillary sphere, a celestial sphere, an earth globe, and other instruments.” History of Ming – Treatise on Astronomy – Observing Phenomena says, “In the 2nd year of Chongzhen, Xu Guangqi, Assistant Minister of Rites was also in charge of calendar. He applied for making 6 quadrants, 3 sextants, 3 horizontal armillary spheres, 1 eclipse instrument, 1 stellar theodolite celestial globe, 1 theodolite globe with countries, 3 plane sundials, 3 rotating star dials, 3 clocks and 3 telescopes. The application in his report was approved.” Booklist, Questions and Answers, Volume 2 – History says, “Map and Illustration of the Globe, one volume (translated by the Westerner Benoist Michael. Polished by HeGuozong, Qian Daxin under the imperial order. Edition of Quotation Press).” Draft History of Qing – Biography of Li Fengbao says, “Li Fengbao . . . drew the General Map of Globe, and translated Western books.” Draft History of Qing – Biography of Zou Boqi says, “And he copied the Map of the Imperial Territory, and wrote a preface that says, if we draw a map in square grids with natural degrees, it will not be easy. When longitude and latitude intersect, they always form right angles. But the past maps of territory seemed to be slanting tetragons in marginal places, contrary to the principle of mapping. The deficiency lies in considering longitudes as straight lines. I once tried to make a general map, but failed: Some prefectures and counties were missing, and it was dense inward and sparse outward, contrary to the real condition. Now I have drawn this map again, according to the armillary sphere, using the tangent line in half degrees. Each square is enclosed by two latitudinal lines parallel to each other, and two longitudinal lines that get nearer and narrower gradually, seeming to have the relation of radius and bowstring. There are 9 pictures laterally, 11 pictures longitudinally. They synthesize the form of the earth globe in a torrential and declining tendency. My purpose is to make the map a portrait resembling the real look of the earth globe.” (2) Globe or whole globe (Quanqiu 全球): In the late Qing times, the word “globe” began to be used to refer to the whole world. A Collection of Tan Sitong’s Works – Benevolence says, “Then I charge towards the network of schools of learning around the whole globe. . . . Then I charge towards the network of systems of teaching on the whole globe.. . .” A Collection of Yan Fu’s Works – Extended

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Meaning of Saving the Species says, “In the past 100 years, people have been enlightened, and education has greatly progressed. Now we must stimulate their wisdom and courage into managing the whole globe.” A Collection of Liang Qichao’s Works – Volume 20 says, “Looking around the globe, we see no room for us to unfold our wings except in China. Therefore, I feel it urgent to open the gate that we closed long ago, which I consider as a public policy of self defense.” (Translator: Tingyu Wang) (Proofreader: Caiyun Lian )

The Ancient Chinese Thoughts on Military Geography

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Contents 11.1 11.2 11.3 11.4

11.5

11.6

11.7

The Pithy Assertions by Outstanding Chinese and Foreign Ideologists in Past and Present Times on the Importance of Military Geography . . . . . . . . . . . . . . . . . . . . . . . . . How Does Sun Zi: The Art of War Expound Military Geography . . . . . . . . . . . . . . . . . . . . Developing of Military Geographical Thoughts by Sun Bin: the Art of War . . . . . . . . . Military Geographical Thoughts in Wu Zi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.4.1 Chapter Predicting the Enemy Cares About the Natural Geography and Humanistic Geography of Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.4.2 The Book Expounds Circumstances for the Decision Whether War Is Feasible or Not, of Which Some Are Relevant to Geography . . . . . . . 11.4.3 The Effect of Geographical Surroundings on Battles Is Analyzed Especially in Chapter 5 – Meeting Emergencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Military Geographical Thoughts in Six Military Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.5.1 Specialists Must Be Appointed to Be in Charge of Astronomy and Geography in the Army . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.5.2 Different Tactics of Using the Army in Different Geographical Conditions . . . 11.5.3 Signs of Great Victories and Total Defeats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.5.4 Differences Between the Heaven, Earthly, and Human Battle Arrays . . . . . . . 11.5.5 Penetrating the Enemy’s Domain, You Must Probe into the Terrain . . . . . . . . Zhuge Liang’s Military Geographical Thoughts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.6.1 Being “Good at Knowing the Mountains, Rivers, and Dangerous Points” is listed as one of the five aspects of goodness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.6.2 “Geographical Situation” Is Listed as the Second Among the Three Situations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.6.3 The “Four Nations” Have Different Geographical Situations . . . . . . . . . . . . . . . . 11.6.4 Thoughts of Military Strategic Geography in Dialogue at Longzhong . . . . . . Summary of Military Geography in 3,000 years – Essentials of Geography for Reading History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Q. Wang (*) School of Humanities, University of Chinese Academy Science, Beijing, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_11

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11.10 11.11

11.12

Q. Wang Talking About Strategies in Books . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Military Geographical Thoughts in Administrative Division . . . . . . . . . . . . . . . . . . . . . . . . . . 11.9.1 Suiting the Forms of Mountains and Rivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.9.2 Interlocking Like Dog’s Teeth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Coastal Defense Strategy of the Ming Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Coastal Defense Idea in the Early Years of the Qing Dynast . . . . . . . . . . . . . . . . . . . . . 11.11.1 Conception of the Coastal Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.11.2 Ban on Maritime Trade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.11.3 Measures for Preventative Blocking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.11.4 Military and Geographical Thoughts of the Coastal Defense . . . . . . . . . . . . . . The Coastal Defense Idea in the Late Years of the Qing Dynasty . . . . . . . . . . . . . . . . . . . . 11.12.1 Idea of Setting up Hedges to Guard the Gate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.12.2 Li Hongzhang Renounced Ryukyu Islands – A Lesson in History . . . . . . . . . 11.12.3 Idea of Protecting the Southwestern “Hedge” of China . . . . . . . . . . . . . . . . . . . . 11.12.4 Idea of Guarding as Fighting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.12.5 Idea of Developing the Navy and Army Simultaneously, and Setting up Defenses at Focal Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.12.6 The Sprouting of the Idea of the Thalassocracy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.12.7 Idea of Geographical Conditions in Coastal Defense . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter mainly presents important military geographical thoughts developed in ancient China. First, the author introduces military geographical thoughts expressed in ancient military classics including Sun Zi: The Art of War, Sun Bin: the Art of War, Wu Zi, Six Military Strategies, as well as those developed by the famous military strategist in the Three Kingdoms period, Zhuge Liang, explaining the importance of geographical conditions in military actions. The author also briefly introduces two important military geographical works: Essentials for Geography for reading history and Talking about strategies in Books. Then the author illustrates the military geographical thoughts embodied in ancient China’s administrative division. At last, the author introduces coastal defense strategies and thoughts in the Ming and Qing Dynasties. Keywords

Military geography · Sun Zi: The Art of War · Coastal defense

In the Chinese history, there were many military geographical questions to be thought provoking: What position did the military geographical thoughts have in books on the art of war in ancient China? Did military officers in ancient times follow the military geological principles in books on the art of war? Why did the central plain dynasties build the great wall to resist invasions from the northern nomadic nationalities? When neighboring countries invaded the central plains, why did the two sides take Qinling Mountain and Huaihe River as the boundary?

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What is a “four-forted country”? Why did warlord separation often occur in places such as Guanzhong Basin, Shanxi Plateau, Sichuan Basin, Jiangnan Region, Fujian Area, Lingnan Area? “If one man guards the pass, ten thousand are unable to get through.” What does it mean? Gain or loss of places such as Shanhai Pass, Jiayu Pass, Pujin Ferry, Caishi Rock, Jiange Path is always crucial to the overall situation of wars. How come? What is the so-called “place that military strategists must struggle for”? Why did so many wars take place in Nanjing, Xuzhou, Luoyang, Xi’an, Shouxian, Taiyuan, Hefei, Xiangfan, Nanyang, Chengdu and other similar places?

11.1

The Pithy Assertions by Outstanding Chinese and Foreign Ideologists in Past and Present Times on the Importance of Military Geography

Most Chinese and foreign militarists and even politicians in ancient and modern times attach importance to military geography. For instance, Mencius said, “The time isn’t as important as the terrain; but the terrain isn’t as important as unity with the people.” Clausewitz the German militarist points out in his work On Wars: Terrain “has a close and ever existing relation to military action and decisive effect on it, concerning not only the action process itself, but also the preparation and operation of battles.” Frederick the Great of Prussia said in his Instruction to Generals, “Knowledge of geography for a general is as important as the riffle for a soldier, and the formula for a mathematician. If he knows nothing about geography, he will certainly make big mistakes!” Mackinder says in The Geographical Hubs of History, “Who rules East Europe commands the Heartland; who rules the Heartland commands the World-Island; who rules the World-Island controls the world.”

11.2

How Does Sun Zi: The Art of War Expound Military Geography

Sun Zi says, “The terrain is a helper for a troop.” (1) Sun Zi: the Art of War was completed as a book in the late Spring and Autumn period. It proposed five factors that determine the outcome of a war: morality, heaven (yin and yang, cold and hot, time system), earth (far or near, dangerous or easy, wide or narrow, life or death), commander, and method, of which the “earth” is the third factor. (2) The position and role of geographical conditions in war. Sun Zi: the Art of War narrates and comments quite concretely on the position and role of geographical conditions in war. The book points out, “Predicting the activities of the enemy to ensure victory, and calculating the distance of dangerous strategic points are a necessity of super generals.” “Knowing the heaven and earth secures a complete victory.”

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(3) How to make plans for battles in accordance with terrain? Chapter of Terrain analyses the terrain and proposes, “If the terrain is accessible, it can be traversed by both sides. If the terrain is entangled, it can be abandoned but hardly re-occupied. If the terrain is temporizing, neither side will gain by making the first move. There are also such terrains: narrow passes; precipitous heights; positions at a great distance from the enemy.” (4) Concept of nine fields. In the Chapter of Nine Fields, Sun Zi goes further and points out that as a rule of commanding armed forces, different fields have different effects on a war because they have different positions and conditions, and so the commander of the war must learn and understand the principle for handling the field. According to the condition, fields can be classified into nine sorts, namely, dispersive ground; facile ground; contentious ground; open ground; ground of intersecting highways; serious ground; difficult ground; hemmed-in ground; desperate ground. (5) Treating the unfavorable geographical conditions in a war. In the Chapter of Marching, Sun Zi instructs, when the troops are in a mountain, they should be stationed at a high place so as to have a clear view; if the enemy takes up a high place, it will be hard for us to attack upward. When the troops are on a river, they should cross the water and go away from it; if the enemy comes by wading, do not meet them in the woods; attack them when they are halfway across the river. When the troops are stationed along a river, they should occupy a highland. When the troops are on a swamp, they should leave quickly; if they meet the enemy there and cannot leave, then they approach the grass with their back facing the woods to gain the upper hand. When the troops are on a plain, they should occupy an open land, and the flank and the rear should rely on highlands, so they can act in cooperation. Furthermore, Sun Zi talks about how to handle unfavorable terrains in marching or action, such as impassable ravines, deep natural hollows, confined places, tangled thickets, quagmires, and crevasses, “should be left with all possible speed and not approached. While we keep away from such places, we should get the enemy to approach them; while we face them, we should let the enemy have them on his rear.” That is to say, we try to avoid them, and let the enemy go near them. Sun Zi attaches great importance to the relation between war and terrains. In all the thirteen chapters of Sun Zi: the Art of War, he expounds the terrains at great length. When he talks about terrain, he refers not to topography in the sense of pure natural geography, but to military geomorphology concerning strategy and tactics. Gu Zuyu at the turning of the Ming and the Qing Dynasties praised, “in expounding military affairs, nothing can be as good as Sun Zi; in expounding geographical conditions, nothing can be as good as Sun Zi.

11.3

Developing of Military Geographical Thoughts by Sun Bin: the Art of War

Sun Bin: the Art of War – Blossoms of the Earth was completed as a book before 233 BC. It deals with various terrains – their advantages and disadvantages, and techniques of treating them in wars. When coming across an unfavorable field, you

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ought to leave right away. “Five sorts of fields can drive you into losing: dangerous water, facing hills, going upstream, king field, facing dense trees. You have to leave, because you can expert to win when you are in such terrains.” The five terrains that lead to defeat are the brook, valley, river, swamp, and pond. The five complicated terrains extremely disadvantageous in wars are deep natural hollows, natural disks, tangled thickets, crevices, and natural vaults. The book makes a comparison between five sorts of terrains favorable for action: Mountains are better than hills, hills are better than mounds, mounds are better than hillocks, hillocks are better than plain land. It also makes a comparison between five sorts of grasslands favorable for action: Fan (terrain with flourishing grass and trees), Ji (terrain with thistles and thorns), Ju (terrain with small trees or bushes like fences), Mao (terrain with cogon-grass or high weeds), Sha (terrain with sedges or low weeds).

11.4

Military Geographical Thoughts in Wu Zi

Wu Zi was completed as a book in the late Warring States period. The military geographical thoughts are concentrated in chapters Predicting the Enemy and Meeting an Emergency.

11.4.1 Chapter Predicting the Enemy Cares About the Natural Geography and Humanistic Geography of Countries Examples Duke of Wu the marshal lord asks Wu Qi, “Now State Qin threatens our west, State Chu sieges our south, State Zhao faces our north, State Qi is approaching our east, State Yan blocks our rear, and State Han is entrenched in front of us. Troops of these six states surround us. The situation is serious. I am worried. What can I do?” Wu Qi replies, “The prime principle of guarding a state is staying alert. Now you are on the alert, so disasters are far away. Let me analyze the military conditions of the six states: Qi has a heavy army, but it is not strong; Qin’s troops are scattered wide, though each of them can fight independently; the battle array of Chu looks neat, but not durable; the team formation of Yan is good for defending, but not flexible for attacking; the troops of the three states in Jin (Han, Zhao, Wei) seem well-trained, but not good in action.” The Qi people have an unyielding character. The state is rich, the officials and nobles live a luxurious life, but they ignore the civilians’ interests; the state policy is relaxed, but extreme disparity exists between the rich and the poor; so troops are made up of men from two classes; the front is heavy, and the rear is light; thus they are heavy but not strong. The tactic for attacking them is dividing our troops into three groups: one group attacks one side of the enemy, another group attacks the other side, the third group attacks the frontage, and the enemy will be defeated. The Qin people have a tough character. The terrain is dangerous, the policy is strict, the awards and punishments are rigorously carried out. The soldiers rush to the forefront struggling for awards in action. The militant spirit makes every soldier fight bravely. The

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way of attacking them is to lure them with promise of gain first. Some greedy soldiers will desert their officer. When the enemy is disordered, we attack the scattered troops, and ambush the escaping troops. Finally, the general will be caught alive. The character of the Chu people is weak. The state possesses a vast area. However, the policy is unstable, and the civilians are exhausted. The troop formation looks neat, but is not endurable. The way of attacking is to launch a sudden attack to the camp, to crash down their courage. We march forward swiftly and recede quickly, making them fatigued. We do not have to fight them directly in action, but we can defeat them this way. The Yan people are honest. They are characteristic of righteous indignation and courage. They lack swindling schemes, so they tend to stand firm and never escape. The way of attacking is to strike them once to given them pressure, and then recede far backward. We go around and run into their back. We attack them there fiercely. Their commander gets confused and soldiers frightened. We ambush with our chariots and horses in the path that the enemy must pass, and catch their generals alive. States Han and Zhao in Jin are central states. The people are peaceful, the policy is even, and the civilians are tired of war. Soldiers are trained and skillful, and they look down upon generals and the poor payment. Soldiers don’t have to resolution to fight to death, so their skill is useless. The method of attacking is to block them in action to give them high pressure. When the enemy comes in large troops, baffle them. When they recede, chase them, so as to tire them out. The situation of the six states and our strategy are analyzed above. The essay analyzes the geographical condition of each lord state, combining their politics, militancy, economics, folk customs, and so on, and points out the way of fighting.

11.4.2 The Book Expounds Circumstances for the Decision Whether War Is Feasible or Not, of Which Some Are Relevant to Geography Wu Zi says, As for predicting the enemy, under any of the following circumstances, you can decide on fighting without divination: 1- The enemy marches against strong colds winds, cut trees and make boats to cross the river, ignoring the hardship of soldiers. 2- The enemy marches against hot summer, soldiers are thirst and hungry, but the officer still drives them on to the far destination. 3- The troops are submerged in water for a long time, they have no grains; civilians complain and convey rumors, which cannot be stopped by the supervisor. 4- Money for troops is used up, soldiers get no more wages; the weather is drizzling, and the soldiers have no way and nowhere for looting. 5- Soldiers are few, and the climate does not suit them, so they and their horses get sick, and no village is found nearby. 6- Troops come through a long way till sunset; all the soldiers are exhausted and tired; without eating, they put off their armor for a rest. 7- Generals have no prestige, the soldier’s morale is dangling, troops get panic time and again, and they are lonely and helpless. 8- The position is not fixed, the camp is not set; troops are only halfway through a dangerous place. When any of these cases occurs, fight the enemy at once without hesitation.

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Wu Zi also says, Under any of the following six circumstances, you can decide to avoid fighting without divination: 1- The land is vast, the people are rich. 2- The ruler loves his subjects, and bestows kindness on them. 3- The awards and punishments are carried out rigorously and timely. 4- Promotion of officials is on the basis of merits, achievements and capability. 5The state has many great masters, and the troops are well trained and equipped. 6- The state has good neighbors to help it, and aids from a powerful country. If we are not as good as the enemy in view of the above cases, we should avoid fighting without hesitation. This is a rule of thumb: March forward when victory can be seen, and step backward when it is hard to win.

11.4.3 The Effect of Geographical Surroundings on Battles Is Analyzed Especially in Chapter 5 – Meeting Emergencies (1) “If we are outnumbered by the enemy, then what should we do?” Wu Qi says, “Avoid fighting them in a plain field, but invite them to fight in a dangerous place. It can said that one can beat ten at a narrow pass; ten can beat a hundred at a dangerous place; a thousand can beat ten thousand in a blocking zone. Suppose a small team of our soldiers start a sudden attack on the enemy on a narrow road. Though the enemy has tens of thousands of soldiers, they will be frightened. So we say, when our troops are numerous, we choose a plain field; when our troops are smaller than the enemy, we choose a narrow pass.” (2) “Suppose the enemy has many troops that are well trained and brave. The enemy and has at its back a blocking terrain with a mountain on the right and a river on the left. Relying on a deep groove and a high rampart, they hold their position with strong bows. When they recede, they do like a mountain moving; when they march, they do like a wind and rain storming. They have plenty of grains. We can hardly face out.” What can we do? Wu Qi says, “How big this question is! This problem cannot be solved with chariots and cavalries alone. It involves the strategy of a wise man. It will be better off if you can prepare a thousand chariots and ten thousand cavalries, with cooperation of soldiers on foot. Divide this army into five troops, each attacking in a different direction. The enemy will be confused, as he does not know what part of his army you want to attack. If the enemy holds his position firmly to strengthen his force, then you send out a spy messenger to probe into his intension. If the enemy accepts your persuasion and retreat, you also recede. If he does not listen to you, kill the messenger and tear the letter, then you will fight him in five directions. If you win, do not chase the losing enemy; if you lose, recede swiftly. If you want to pretend to lose the battle, a troop of yours must act receding quickly and safely. Another troop pins down the enemy, still another blocks his rear. The rest two troops act secretly, attacking his sides. The five troops cooperate in action to make a favorable result. That is the method of attacking a strong enemy.”

(3) “If we meet the enemy in a valley, and the side road is dangerous and difficult. We are outnumbered by the enemy. Then what?”

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(4) Suppose we arrive in a valley. We are caught between mountains, one on the left, the other on the right. We meet the enemy unexpectedly. We don’t dare to attack, and yet we cannot escape. Then what?” Wu Qi says, “This is called a valley battle. You have numerous troops, but they are useless. You ought to choose talented soldiers to confront the enemy. The selected soldiers should carry light supplies and sharp weapons, forming vanguard units. Scatter your chariots and cavalries, and hide them nearby in a distance of several li behind the frontline. Sure the enemy will hold his position. He is afraid of marching forward or retreating. You take the chance and send a troop to hold flags high, walk out of the valley, and camp outside the mountain. The enemy will be frightened. At that time, you order your chariots and cavalries to challenge the enemy. Do not allow him to rest. That is the way of battling in the valley.”

(5) Suppose we meet the enemy in a water converging swamp. The water submerges the chariot wheels, and the chariots and cavalries are threatened by the flooding water. We have no boats. We cannot move forward or backward. Then what?” Wu Qi says, “This is called a water battle. The chariots and cavalries are useless, so put them aside. Ascend to a high place and look around to see the water situation – whether it is wide or narrow, deep or shallow. Then you can make a successful surprise raid. If the opponents come by wading, beat them when they are halfway across.”

(6) “It has been raining for many days. The horse is stuck in the mud, and the chariot has stopped. We are surrounded by the enemy on all sides, and our troops are frightened. Then what?” Wu Qi says, “Anyone who uses a chariot has to stop when it is rainy and the road is muddy; they can go on when it is sunny and the road is dry. Choose higher places and avoid lower places. Drive your chariots as fast as you can. Always use the road, whether you are marching or stopping. If you see the enemy moving along the road, just follow his ruts.”

11.5

Military Geographical Thoughts in Six Military Strategies

The Six Military Strategies was completed as a book in the late Warring States period. It is one of the Seven Books of Military Classics.

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11.5.1 Specialists Must Be Appointed to Be in Charge of Astronomy and Geography in the Army Strategies of the Dragon – King’s Win (18) says, Three persons in astronomy: In charge of stellar calendar, climate, and weather, predicting lucky days, examining symbols and effects, checking disasters and abnormalities, learning about heaven’s will, and chances of complying with it. Three persons in geography: In charge of the army conducts and situations, beneficial and harmful messages, dangerous and easy places, water drying up, and mountain obstructing, using geographical conditions.

11.5.2 Different Tactics of Using the Army in Different Geographical Conditions Five sorts of terrains. Strategies of the Dragon – Ingenious Military Moves (27) says, Thick grasses or bushes can be used for escaping. Deep trenches or valleys can stop the chariots and cavalries. Narrow passes or forests help fighting the enemy outnumbering our troops. Sunk ponds or graveyards can be used for hiding. A plain field is good for fierce battles since there is nowhere to hide.

Four sorts of terrains. Strategies of the Dragon – Ingenious Military Moves (27) says, Occupying an open highland is for guarding. Keeping a dangerous place is for holding the position. Staying in a mountain or forest is for concealing our whereabouts. Digging a deep ditch, building a high wall, and storing plenty of grains are all for persisting in a war.

11.5.3 Signs of Great Victories and Total Defeats Signs of great victories. Strategies of the Dragon – Signs of Troops (29) says, The armed forces are neat, the position is firm. The ditch is deep, the wall ishigh. Strong winds and pouring rains help fighting. The troops are tranquil and silent. The flags and banners point forward, the big bell sounds clear, and the small drum sounds winding like birds crying. All these indicate that the army is aided by the heaven – they are signs of a great victory.

Signs of total defeats. Strategies of the Dragon – Signs of Troops (29) says, The position is not firm. The flags and banners are disordered and intertwined. Strong winds and pouring rains hinder attacking. Soldiers are afraid of being defeated. Their spirit is exhausted, their morale suffers from relaxation. Horses are frightened into wild running.

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Chariots have broken axles. The big bell sounds low and faint, and the small drum sounds wet and mute. All these signs indicate a total defeat.

11.5.4 Differences Between the Heaven, Earthly, and Human Battle Arrays Strategies of the Tiger – Three Positions (32) says, King Wu of Zhou asks Great-Grandfather, It is said that in using military forces three battle arrays can be chosen – the heaven, earthly and human battle arrays. What is that? GreatGrandfather says, The sun, moon, stars, dipper-arm; one on the left, one on the right; one faces you, one backs you. That is the heaven battle array. Rolling hills, waving rivers, surging springs also have four sides – front, rear, left, right – in surrounding environments, and those are geographical convenience for you to use. That is the earthly battle array. Utilizing chariots and cavalries, and offending by the pen and defending by the sword. That is the human battle array.

11.5.5 Penetrating the Enemy’s Domain, You Must Probe into the Terrain Strategies of the Tiger – Road to Ruin (39) says, King Wu of Zhou asks Great-Grandfather, suppose I lead the army to penetrate into the domain of a lord. We stand facing the enemy. The enemy cuts off our road for grains, and outflanks us. If we fight, we cannot win; if we hold, we cannot hold for long. Then what? Great-Grandfather says, Penetrating the enemy’s domain, you must probe into the terrain. Try to make use of the geographical convenience. Rely on physical difficulties such as the mountains, forest, rivers, to strengthen your position. Hold firmly the passes or ridges, and get to know the city, towns, hills, tombs and other terrains. Thus, our army is firm, the enemy cannot cut off our road for grains, and he cannot outflank us either.

Strategies of the Panther – Sharing a Strategic Point (50) says, King Wu of Zhou asks Great-Grandfather, suppose I lead the army to penetrate into the domain of a lord. We meet the enemy at a dangerous strategic point. We are situated in a valley with a mountain on the left and a river on the right. The enemy is in the same valley with the mountain the right and the river on the left. We share the strategic points with the enemy and stand facing each other. I want to hold the position firm, and fight to win. What should I do? Great-Grandfather says, when you are on the left of a mountain, you are urged to guard your right; when you are on the right of a mountain, you are urged to guard your left. At a strategic point, if the river has no boat in it, you should manage to cross it with whatever supplies to carry your troops to the other bank. Those who have crossed the river should occupy a favorable terrain to make a fighting position. Deploy the armed charging chariots in the front and the rear, followed by bowmen, so as to make the troops strong and firm in attacking or defending. The thoroughfare and valley entrance must be blocked with chariots.

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Put flags and banners at a high place. The enclosing chariots and flags make a chariot town. The method for all dangerous battles is like this: Deploy the armed charging chariots in the front, arrange shields on the two sides to protect soldiers in the middle. Three thousand soldiers make up a division. Arrange the formation for charging, and put troops in a good position for fighting. When attacking, the left troop attacks on the left, the right troop attacks on the right, and the central troop attacks in the center. All the troops march side by side, pushing forward. Those who have fought already should return to the camp for a rest, and get ready for a new battle. Fight and rest in turn, till the final victory.

11.6

Zhuge Liang’s Military Geographical Thoughts

Zhuge Liang was a famous military strategist in the Three Kingdoms period. He has many thoughts in military geography.

11.6.1 Being “Good at Knowing the Mountains, Rivers, and Dangerous Points” is listed as one of the five aspects of goodness Gardens for Generals – Good at Commanding says, The so-called five aspects of good includes: Being good at knowing the enemy’s military deployment, good at the way of judging the timings for attack and retreat, good at learning the actual situations of his own country and that of his enemy, good at making use of the heavenly timing and the human affairs to his own advantage, good at utilizing the mountains, rivers and dangerous points.

11.6.2 “Geographical Situation” Is Listed as the Second Among the Three Situations Gardens for Generals – Military Situation says, In commanding troops to war, attention should be paid to three factors: The first is heaven, the second is earth, and the third aspect is human. The heavenly situation refers to that both the sun and the moon are clear and bright, the five planets are in proper places, no comet assumes ominous signs, the weather is fine. The earthly situation refers to that the terrain is advantageous, for example, the city wall is high and the cliff is forbidding, the water in the river is turbulent, the stone gate is serene and the dark cave is deep, and only a winding narrow path leads to it. The human situation refers to that the king is wise and the marshal is capable, the army abide by rites and laws, officers and soldiers are brave and willing to sacrifice themselves for the motherland; grains, weapons and armors are well prepared. A good general must be good at conforming to the heavenly timing, using the earthly convenience, and relying on the human advantages. Such a general is irresistible and couldn’t be beaten.

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Gardens for Generals – Conveniences says, A general may get benefit from geographical conveniences: A field with thick grass and dense woods is good for guerilla warfare. A mountain with forests is good for sudden attack. A forest beside an open land is good for concealing. A less numbered team can launch attack before nightfall; if massive troops want to beat a small team, they had better start attacking in the morning. Strong bows and long spears are good for attacking repeatedly. When the enemy troops are passing the river against strong winds in darkness, it is good timing for us to attack their front and rear.

Gardens for Generals – Earthly Situations says, The earthly situation or terrain is an assistant to military actions. There is no commander who knows nothing about the battlefield and wins. Mountains, forests, hills, mounds and rivers are good for infantries. High lands, narrow defiles, and vine covered smooth lands are good for chariots and cavalries. A place surrounded with a mountain, a stream, tall trees and a deep valley, are good for bowmen. A plain with shallow grass is good for soldiers to use their long halberds. Places where reeds overlap, bamboos and trees intersect are good places for using spears.

11.6.3 The “Four Nations” Have Different Geographical Situations Gardens for Generals – Eastern Tribes says, The Eastern tribes are characteristic of lacking courtesy and righteousness. They are bad tempered and capable of fighting. They remove mountains and fill up seas, and fortify dangerous points for defense. They live in harmony. Citizens live a comfortable life. You can do nothing about them. But if the ruler misconducts and the civilians desert him, then you can drive a wedge between them. A wedge makes a crack. Once a crack occurs, your virtue makes a fortune coming to you. Then you can send armed forces to beat them. Surely, you will conquer.

Gardens for Generals – Southern Barbarians says, There are quite a few southern barbarian tribes. They can hardly be educated. They are connected in cliques. Once they are dissatisfied, they attack one another. They live in caves backed by mountain, together or scattered. The vast area ranges from Kunlun Mountain in the west to the sea and ocean in the east. The sea produces extraordinary commodities, which make the people greedy and brave. In spring and summer, there are various diseases. You had better fight swiftly. Do not be stationed there for long.

Gardens for Generals – Western Militants says, The character of Western militants is bold and powerful. They like to seek profits. Some of them live in cities and towns, others dwell in wild places. They have little grains, but a lot of gold and treasured objects. They are brave in fighting, and hard to beat. Places to the west of Qishi are inhabitant of various nationalities. The land is vast, the terrain is dangerous. Their customs are strong and fierce, so the people are not very obedient. You have to wait for a foreign challenge to come, or a domestic chaos to happen, and then you can break in.

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Gardens for Generals – Northern Nationalities says, The northern nationalities have no cities or towns to live in. They dwell in places beside water and grass. When the situation is favorable, they invade southward; when they lose, they escape back north. Mountains and deserts help guard them. When they are hungry, they catch and hunt beasts; when they are thirsty, they drink milk. When it is cold, they sleep on hide mattress, and wear fur coats. They are skillful at chasing and hunting, and killing animals is their daily routine. We cannot educate them by morality, and we cannot subjugate them with arms. We the Han people do not fight them directly, because of three considerations: First, the Han soldiers fight and farm at the same time, so they get tired and cowardly; the northerners raise animals and hunt beasts, so they get relaxed and bold. Tiredness versus relaxation, cowardliness faces boldness, so the two sides are not equal. Second, the Han soldiers are good at walking on foot, and can cover 50 Km. a day; the northerners are good at riding horses, and the distance they cover per day is doubled. When the Han soldiers drive the northerners, they carry grains and armors; when the northerners drive the Han soldiers, they ride fast horses for transport. Carrying weight versus riding without burden, walking versus riding – they move in different forms. Third, the Han soldiers walk on foot, while the northerners ride horses. In struggle for a position, riding is much faster than walking. We can do nothing about these three factors, and yet we might as well keep the boundary. The way of keeping boundary is to select excellent generals and appoint them commanders, train elite soldiers for defense, widen the farmland for troops to feed themselves. Build watch towers and wait. Once a weak point of the enemy is spotted, take the chance to attack. In this way, we will be able to displace the northern bandits without spending much money, and destroy the northern invaders without fatiguing ourselves.

11.6.4 Thoughts of Military Strategic Geography in Dialogue at Longzhong The Dialogue at Longzhong is a famous essay for thousands of years. It has a vital place in the history of military strategy. The essay points out the strategy for Liu Bei to restore the Han Dynasty that is to spread toward Jingzhou and Yizhou. The essay says that Jingzhou is a state for war, and Yizhou is rich in dangerous places. “Thus aided, Liu Bang achieved his imperial cause of establishing the Han Dynasty” also tells the effects that the geographical condition has on the military pattern. “Commanding the army in Jingzhou toward Yuanzhou and Luoyang”, “leading the massive troops of Yizhou to invade Qinchuan plain” means that if military actions were taken alone those fronts to cooperate with Sun Quan who attacks from the eastern front, then Cao Cao will have a hard time coping with it.

11.7

Summary of Military Geography in 3,000 years – Essentials of Geography for Reading History

Essentials of Geography for Reading History was written by Gu Zuyu (1631-1692) in the Qing Dynasty. It is a famous work that sums up the Chinese and foreign history and geography from ancient times to the Ming Dynasty, and a first choice of reference literature for research on the Chinese history and military geography.

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This book mainly narrates on the relation between the big events of dynasties and the war outcomes and the geographical situations. The arrangement of contents and orders is meaningful: First, it lists the situations of prefectures in dynasties for reflection. Second, it deals with Beijing and Zhili Province, to be respectful to the areas surrounding the capital. Third, it deals with Shandong and Shanxi, in view of their assisting role to the capital. Fourth, it describes Henan and Shaanxi as their geographical position is favorable. Fifth, Sichuan, Hunan and Hubei are important Provinces in the upstream of the Yangtze River. Sixth, Jiangxi and Zhejiang are southeastern provinces that contribute a lot in treasure and tax. Seventh, Fujian, Guangdong, Guangxi, Yunnan, and Guizhou – in the order from north to south – are remote provinces, which the Emperor’s word and education can hardly reach. Eighth, rivers and watersheds form the venation of the nine states. Finally, the dividing line helps clarify all the localities. The book thinks that Yin and Yang do not stay in constant positions, the cold and hot weathers do not occur at fixed times, and a place cannot always be dangerous or easy.

11.8

Talking About Strategies in Books

Talking about Strategies in Books was compiled by Wang Fu in the Qing Dynasty. The author expounds from a military point of view in detail ancient and modern mappings, territorial situation, the key points in the metropolitan area, the strategic positions of the north and the south, territorial administration at various levels – provinces, routes, prefectures, counties, districts – remote and adjacent, the land taxation system, water and land transportation, and so on. The author thinks that Yong is the head of the central Chinese plain, Ji is the ridge of the central plain, You is the pivot of the country, and Zhe and Min form the tail. Yong, Ji, Yan, and Liao form the heavenly palace; Jingzhou is a battlefield; Luoyang and Yanzhou are strategic points; Gansu and Mongolia are advantageous regions, Shu, Dian, Guangdong, Guangxi and Min are fortification places; Qing, Qi, Dong and Wu are safe places; Yu, Zhang, and Zhedong Route and Zhexi Route are relaxing places. When positioned in Yong, attach importance to Luoyang; when positioned in Ji, attach importance to Yong; when positioned in You, attach importance to Liao and Qi; when positioned in Luoyang, attach importance to Yong; when positioned in Bian, attach importance to Luoyang and Yanzhou; when positioned in Wu, attach importance to Jing and Xiang; when positioned in Shu, attach importance to Yong and Jing; when positioned in Jing, attach importance to Shu and Luoyang.

11.9

Military Geographical Thoughts in Administrative Division

Two important principles were used for administrative division in ancient China. They are “suiting the forms of mountains and rivers,” and “interlocking like dog’s teeth.”

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11.9.1 Suiting the Forms of Mountains and Rivers The so-called “suiting the forms of mountains and rivers” means using the natural mountains and rivers as the dividing lines between administrative areas, in order to make the area conform to the natural geography. That is a dominating principle for administrative division before the Song Dynasty. The principle of suiting the forms of mountains and rivers has a disadvantage to the system of power centralization: An administrative area bordered entirely by mountains and rivers will become a region of favorable geographical position, i.e., an independent state blocked on all sides. If this region is large enough, and the administrator has enough power, he will probably set up a separatist regime. In the late years of the Eastern Han Dynasty, regional governors became more influential, leading to the contentions between the Three Kingdoms; in the late Tang Dynasty, some military commissioners became warlords who set up their own regimes, resulting in the Five Dynasties and Ten Kingdoms. All these rebellion actions were deeply rooted in forming large administrative regions according to the forms of mountains and rivers.

11.9.2 Interlocking Like Dog’s Teeth To get rid of the power localization caused by the principle of suiting the forms of mountains and rivers, the ruler adopts the principle of interlocking like dog’s teeth to divide administrative areas. Records of the Grand Historian – Annals of Emperor Wendi writes, “When Gaoqi confers titles of nobility on the kings’ sons, he bestows lands that are interlocked like dog’s teeth. This ensures that the empire will last forever like grindstones.” In the Yuan, Ming, and Qing Dynasties, the principle of interlocking like dog’s teeth was developed to such extent that the natural geography of some administrative areas, especially large regions, goes against the military geography seriously. The administrative division in the Yuan Dynasty embodies the principle of interlocking like dog’s teeth to the extreme: Merge of Henan and Hebei into one resulted in loss of the advantageous position of the Yellow River; Merge of Jiangnan and Jiangbei resulted in loss of the advantageous position of Yangtze River; Merge of Hunan and Hubei resulted in loss of the advantageous position of Dongting Lake; Merge of Zhedong and Zhexi resulted in loss of the advantageous position of Qiantang River; the wrong affiliation of prefectures and counties in Huaidong and Huaixi, in Hannan and Hanbei resulted in loss of the advantageous positions of Huai River and Han River; Hanzhong being subordinate to Qin, Guizhou being subordinate to Chu, and combining the inner river and the outer river into one resulted in loss of the advantageous position of Shu; merge of Lingnan and Lingbei resulted in loss of the advantageous position of the Nanling Mountain; merge of the east side and the west side of Taihang Mountain resulted in loss of the advantageous position of the Taihang Mountain. After the Ming Dynasty was established, the administration system was reformed. All the interlocking areas were changed except for Shaanxi province. However, new

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interlocking areas were set up: first, a big Nanjing metropolitan area (the south Zhili) was made, crossing the Yangtze river and Huai river; second, the Taihu Lake basin was divided into two halves, belonging to the south Zhili and Zhejiang Province respectively; Henan annexed a patch of rich and populous land of Hebei province; the northeast corner of Sichuan Province like a sharp knife stabbing into the heart of Guizhou Province. The provincial borderlines in the Qing Dynasty followed those of the Ming Dynasty without radical changes. Hunan and Hubei were divided, and Shaanxi was also divided in two; the borderlines were not so reasonable. It is worth noticing that Nanjing (renamed as Jiangnan in the early Qing Dynasty) was divided into east and west. Strangely, Jiangnan Province was divided into Jiangsu and Anhui Provinces. In history, the division conformed to natural geographical zoning along the Yangtze River. But now it was divided into an eastern and a western part; both provinces cover Huaibei, Huainan, and Jiangnan regions – three parts contradicting to the topographical features. The reason for the ruler to do so was to bundle together the rich Jiangnan, the mediocre Huainan, and the backward Huaibei, like assorting the fat and lean meat in one bowl, so as to make it easy for the central government to control local administrations.

11.10 The Coastal Defense Strategy of the Ming Dynasty Right after the Ming Dynasty was founded, to fight against the invading Japanese pirates, the strategy of simultaneous water and land defense was implemented. First, the navy was sent out to patrol along the coast to destroy any pirates they met. If pirates landed, garrison troops would be sent to chase and eliminate them. In Jiajing years, a more complete strategy of coastal defense was proposed, that is: Combine sea and land, combine attacking and defending; support and help one another, coordinate military and civilian forces; guard the sea, guard the island, guard the coast, guard the inner rivers, guard the wild fields, guard the suburbs, and guard the wall foot. The strategy at that time was depth defense, that is, defending the sea, holding the coast, guarding the harbor, guarding the river, fighting in the field, defending the city and protecting the vital places.

11.11 The Coastal Defense Idea in the Early Years of the Qing Dynast 11.11.1 Conception of the Coastal Defense Conception of the coastal defense began with Emperor Kangxi of the Qing Dynasty. The idea that “the cost defense is an urgent task” was proposed. Later, Emperor Qianlong put forward the idea that “the military system must attach importance equally to the navy and army,” and “defend territorial seas, patrol oceans.” Emperor

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Jiaqing went on and defined the coastal defense as including the concept of territorial seas, coastal defense, sea warfare, and so forth. Furthermore, the idea of depth deployment was formed, to guard the coast and to extend the defense onto the sea.

11.11.2 Ban on Maritime Trade (1) The idea of ban on maritime trade. In early years of the Qing Dynasty, the Ming policy of ban on maritime trade was succeeded. The ban on maritime trade was to prohibit the people, not the seas, in order to prevent forces on the sea from rebelling. (2) Policy of ban on maritime trade. The policy of ban on maritime trade is a political and military precaution against rebellions. This precaution did not have any substantial military effect, yet it affected seriously the agriculture, fishery, and foreign trade in the coastal area, and the societal development as well. (3) Policy of boundary removal. In the 18 years from the 18th year of Shunzhi to the 18th year of Kangxi (1661-1679), three times of mandatory boundary removal were carried out, involving the coastal areas of Shandong, Jiangsu, Zhejiang, Fujian, and Guangdong Provinces. People within the range of 30 to 50 li from the sea coast or the river bank were ordered to migrate to the inland. Their houses were burned. Those who did not obey were killed. In September, the 23rd year of Kangxi (1684), Emperor Kangxi issued a breve that proclaimed “lifting the ban.”

11.11.3 Measures for Preventative Blocking (1) Conception of heavenly Dynasty. In early years of the Qing Dynasty, the conception of a heavenly dynasty and a great power was the premise of the coastal defense. It was closely related to the policy of the coastal defense. In the early stage of the Qing Dynasty, China had no idea what foreign affairs is about. Chinese people held a unique concept of “land under heaven” that means, China is in the center of the land under heaven, and other countries are surrounding tribes; China rules the land under heaven, and other countries are China’s vassal states subordinate to China; the dealings between China and foreign countries are colonial affairs. (2) Idea of preventative blocking. Block up the seaports, prevent important goods and materials from being imported and exported; restrict Westerners’ activities.

11.11.4 Military and Geographical Thoughts of the Coastal Defense (1) Military thoughts of the coastal defense. Construct a navy for seizing pirates: Navy is a special arm service that belongs to the “Eight Banners” or to the Green Camp. Build light fighter boats and deploy them on the sea. Defense on the sea:

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manage the seas and move defense to the sea. The idea is to extend the defense to the island frontiers, and pin down the enemy on the ocean. (2) Geographical thoughts of the coastal defense. At that time, the knowledge of the coastal defense came from the experience accumulated in fighting the Japanese pirates. Defending the coast and islands was an essential strategic measure. Geography for the coastal defense includes the coast topography and terrain, the economic deployment in the coastal areas, and the distribution of islands in the sea.

11.12 The Coastal Defense Idea in the Late Years of the Qing Dynasty 11.12.1 Idea of Setting up Hedges to Guard the Gate Before the Opium War, Ryukyu Islands, Korea, and Vietnam were China’s vassal states. After the tendency of Western powers invading China appeared, the court and some ministers came up with the geopolitical strategic idea, thinking that these states are important hedges for China’s safety. Liu Changyou, Governor of Yunnan, and Guizhou provinces proposed the idea of establishment of hedges to guard the gate.

11.12.2 Li Hongzhang Renounced Ryukyu Islands – A Lesson in History Ryukyu was a vassal state of China, and the title of its king was conferred by the Chinese emperor. In the 37th year of Wanli (1609), the Japanese Samoa state secretly put the northern part of Ryukyu under its control, while the south was still run by the king of Ryukyu. Ryukyu contributed revenues to Samoa. In the 11th year of Tongzhi (1872), Japan conferred the title of seignior on Shangtai, the king of Ryuku, and enforced Ryukyu to establish a suzerain-vassal relation, in order to annex Ryukyu. In the 13th year of Tongzhi (1872), after invading Taiwan, Japan intended to swallow up Ryukyu. Japan put forward the division proposal that the northern and middle islands of Ryukyu be incorporated into Japan, and the southern island be put under China’s administration. When tackling the issue of Ryukyu, Li Hongzhang lacked a geopolitical strategic idea. He thought that Ryukyu is a “tiny area,” a “barren land,” so he ignored it. But he was unwilling to give up Ryukyu easily, so he adopted the method of delaying, and did not sign the treaty with Japan. His wrong policy resulted in losing Ryukyu, and losing the crucial passage from the East China Sea to the Pacific Ocean. If China had accepted the Japanese proposal and given the northern part of Ryukyu to Japan, and taken the southern part, it would have been better strategically and more meaningful.

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11.12.3 Idea of Protecting the Southwestern “Hedge” of China When France was invading Vietnam, the idea of protecting the southwestern “hedge” of China was put on the agenda. In the 13th year of Tongzhi (1874), France and Vietnam signed the Treaty of the France-Vietnam Alliance for Peace, which declares that Vietnam is completely independent, breaking away from the suzerain relation with China. Some ministers of the Chinese government proposed to aid Vietnam, because Vietnam is a vassal state as well as a neighboring state of China to the southwest, forming a strategic depth for the Chinese defense. But the Chinese government then was unable to take actions.

11.12.4 Idea of Guarding as Fighting (1) Three tactics – guarding, fighting, and Appeasement: Guarding: “guarding as fighting” is the fundamental idea, a sprout of active defense. Guarding is embodied by two policies: One, guarding the outer ocean is not as good as guarding the seaport, and guarding the seaport is not as good as guarding the inner rivers. Two, transferring soldiers from a far place is not as good as training local soldiers; transferring navy fleets is not as good as training civilian seamen. Fighting is necessary sometimes. The fighting tactic includes stimulating foreign tribes into fighting one another, and learning superior techniques from foreign nations to restrain them. Appeasement, such as provisions in treaties, through negotiation and compromise, is to get the final result – peaceful coexistence. (2) Idea of guarding inner rivers and seaports. Under the circumstance that the enemy was strong and we were weak, then, we could only adopt the guarding strategy, to carry out the active defense – taking defense as offence. The crucial area to guard is the inner rivers and seaports. At that time, our technique of fighting the British ships was cannonading and fire attacking.

11.12.5 Idea of Developing the Navy and Army Simultaneously, and Setting up Defenses at Focal Points (1) The idea of developing the navy and army simultaneously was put forward in the first Opium War. (2) The strategy of setting up defenses at crucial seaports is embodiment of the idea of setting up the borderlines along the coastline.

11.12.6 The Sprouting of the Idea of the Thalassocracy In 1907 Yao Xiguang, Supervisor of Soldier Training Department, took charge of making the strategy of developing the navy. He said at a meeting of the preparatory

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navy, “In the world today, the struggle for the sea rights is really violent. In ancient times, there was coast guards, but no sea battles. Now ships can reach every corner of the globe. If we cannot navigate to remote seas, we will be unable to control the adjacent seas. . . . The thalassocracy, or sea rights, is something inherent in us. The opponent countries bully us, but can they stop us from constructing a navy? No!” That was the first time of using the concept of thalassocracy.

11.12.7 Idea of Geographical Conditions in Coastal Defense After summarizing the experience of the first Opium War, Wei Yuan analyzed the geographical conditions of defense in coastal areas. He pointed out the different features of various areas, and put forward the issue of making use of the geographical conditions in coastal defense. This idea was based on the military strength, weapon performance, and fighting techniques at that time. (Translator: Tingyu Wang) (Proofreader: Caiyun Lian)

Surveying and Drawing of Maps in Ancient China

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Contents 12.1

12.2

12.3

The Germination of Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.1.1 The Earliest Maps – Cliff Painting Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.1.2 The Earliest Exact Record of Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.1.3 The Earliest Essay Expounding Maps – Guanzi-Chapter of Maps . . . . . . . . . . . 12.1.4 The Earliest Unearthed Map of Afterlife Residence – Zhaoyu Map (Map of a Millionaire Domain) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.1.5 The Earliest Unearthed Map on Wooden Boards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.1.6 The Earliest Unearthed Map Drawn on Paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Progress of Maps and the Formation of Map Theories . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.2.1 The Earliest Unearthed Map of Terrain, Military Map, and Map of City . . . . . 12.2.2 Classification of Maps in the Rites of Zhou . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.2.3 The Most Complete Chinese Theory for Making Maps – Six Elements of Making Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Climax of Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3.1 Jia Dan and His Map of China and Foreign Countries . . . . . . . . . . . . . . . . . . . . . . 12.3.2 The Longest Wall Painting Map Now Existing – Map of Wutai Mountain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3.3 The Earliest Collection of Maps Now Existing – Directory Maps of Geography in Past Dynasties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3.4 The Earliest Map of Administrative Areas Now Existing – Map of Nine Governing Districts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3.5 The Earliest Meter-Counting Checkered Map Now Existing – Yu Marking Map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3.6 The Earliest Map of the World Now Existing – Map of the World . . . . . . . . . . 12.3.7 The Earliest Printed Map Now Existing – Maps of Mountains and Rivers for Contribution to Yu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3.8 The Earliest Map of Local Chronicles Now Existing – Illustrative Maps of Yanzhou Prefecture, 8 Volumes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Q. Wang (*) School of Humanities, University of Chinese Academy Science, Beijing, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_12

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Q. Wang The Most Precise Map of a City Inscribed on Tablet – Map of Pingjiang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3.10 The Largest City Map of Stone Inscription Now Existing – Map of Jingjiang Prefecture City . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exchanges of Maps Between Civilizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.4.1 The Earliest Map of India Now Existing – Map of Western Regions and Countries in Han Dynasty, and Map of Western Heartlands of India . . . 12.4.2 The Earliest Circular Map of the World – Circular Map . . . . . . . . . . . . . . . . . . . . . 12.4.3 The Only Map of Mongolian Map-Making Technique – Map in the Applicable Codes and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.4.4 The Largest Map of the World Now Existing – The Unified Map of the Great Ming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.4.5 The Most Complete Map of Navigation Now Existing – Zhenghe’s Map of Navigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.4.6 The Collection of Maps that Was Influenced by the Maps in the Yuan Dynasty and that Influenced the West Deeply – The Enlarged Terrestrial Atlas . . . . . . The Dissemination and Application of the Western Theory and Technique of Map Drawing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.5.1 The Map that Adopted the Western Map Projection for the First Time – A Map of the Myriad Countries of the World and Map of Profound View of Heaven and Earth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.5.2 The Earliest Chinese Globe Now Existing – The Globe Made by Manuel Dias and Nicolo Longobardi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.5.3 The Maps of the Whole Country Drawn in China with the Modern Mapping Technique – Overview Map of the Imperial Territory, Yongzheng’s Map in Ten Rows, and Qianlong’s Map in Thirteen Rows . . . . . . . . . . . . . . . . . . . . 12.5.4 The First Complete Collection of the World Maps – Illustrated Treatise on the Maritime Kingdoms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.5.5 The First Map of the Whole Country that Was Made by the Chinese – A Comprehensive Map of the Great Qing Territory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3.9

12.4

12.5

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Abstract

The surveying and drawing of maps have a long history in China, and this chapter is aimed to explain the evolution of map surveying and drawing in ancient China by introducing different types of maps from five distinct developing stages. In the germinating period, the author talks about the earliest maps, record of maps, essay expounding maps, unearthed map of afterlife residence, unearth map on wooden boards, and unearth map on paper. In the next stage, map theories were gradually formed, and the author illustrates this progress by introducing three map systems. At the climax of the development in the Tang and Song Dynasties, many more sophisticated maps are made including different world maps, map collections, maps for different purposes, and maps drawn on different materials. Then, the communication between different civilizations finds their reflections in the development of Chinese ancient maps. In the last part, the author discusses the influence of western map drawing theory and technique on Chinese map drawing starting from the late Ming period. Keywords

Earliest maps · Theory for making maps · Map of the world · Illustrated Treatise on the Maritime Kingdoms

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The surveying and drawing of maps in Ancient China started very early. At the latest in the Western Zhou Dynasty, there were clear records about map drawing. The whole history can be divided into 5 phases, and each phase has its characteristics.

12.1

The Germination of Maps

12.1.1 The Earliest Maps – Cliff Painting Maps The earliest maps must have appeared in remote ancient cliff paintings, such as cliff paintings in Yunnan, Xinjiang, and Inner Mongolia. In these paintings, you can see mountains, roads, villages, and other geographical landscapes.

12.1.2 The Earliest Exact Record of Maps The earliest written record of maps appeared in the inscriptions in bronze vessels of the Western Zhou Dynasty, such as the map of communications in Shigui (a food container) for the Duke of Yi, the map of land boundaries in the San’s disk.

12.1.3 The Earliest Essay Expounding Maps – Guanzi-Chapter of Maps A monographic literature that appeared in the Warring States period. It says, Every commander of troops must study the map to know the dangerous places, the locations of famous mountains, unobstructed valleys, dangerous rivers, hillier lands, uplands; the places where grasses, bushes or trees are thick; the distance between roads and villages, the size of cities or towns; famous estates, deserted estates, barren lands and fertile lands – all these he must know. Intersections in the terrain should be remembered. Then he and his troop can march and attack a city or town. Knowing the map, he will be able to make use of the terrain to his advantage. That is the meaning of a map.

The above is an introduction to the content maps of earlier times, especially those of military maps.

12.1.4 The Earliest Unearthed Map of Afterlife Residence – Zhaoyu Map (Map of a Millionaire Domain) This map was unearthed in Pingshan County, Hebei Province in 1973. It was made between the 5th and 13th years of King of Zhongshan (323 BC–315 BC) during the Warring States period. It is a plan layout for construction of tombs for

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Fig. 12.1 Zhaoyu Map unearthed in Pingshan County, Hebei Province

King of Zhongshan and his Queen and concubines. The diagram was made on a bronze plate with inlaid gold and silver pieces. Each part has cast characters marking the name, size, interval, and the king’s decrees. The north/south indication was opposite to that of today’s map. The scale is noted. It is not only the earliest drawing of architecture, but also a map of small area. The map does not have a name itself, but because it conforms to record in the Rites of Zhou, it is called “Zhaoyu Map.” The scale is about 1:500. It is the earliest plane map we can see now (as shown in Fig. 12.1).

12.1.5 The Earliest Unearthed Map on Wooden Boards The map unearthed from No.1 Qin Tomb in Fangmatan, Dangchuan Township, Beidao District, Tianshui City, Gansu Province. Seven maps were unearthed here, drawn on wood boards. The latest time of the tomb is the 8th year of King Zheng of Qin Shihuang (239 BC), and the time for making the map is maybe earlier. From the names of places, we can see that this map is of Gui County, Qing Kingdom. According to their content, these maps can be named as map of terrain, map of administrative division, map of produce areas, map of forest distribution, etc. There are 4 maps of terrain, with drawings of mountains, rivers, brooks, passes, roads, boundaries and so on, and names of places are marked. In the 2 maps of administrative division there are mountains, rivers, brooks, passes, roads drawn on them, plus names of mountains, places, temples, townships, villages, and residences; the names of villages are put in square frames or circles in accordance with their level to show difference. Both the map of produce areas and the map of forest distribution include drawings of mountains, rivers, terrains, passes, roads, and communications

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Fig. 12.2 A map on wooden boards unearthed from No.1Qin Tomb in Tianshui, Gansu

on them, with names of places and distances between places; in addition, the distribution of produces, forests, and timbers are marked. The content is rich really (as shown in Fig. 12.2).

12.1.6 The Earliest Unearthed Map Drawn on Paper Broken pieces of the map unearthed from No. 5 Qin Tomb in Fangmatan, Dangchuan Township, Beidao District, Tianshui City, Gansu Province. The map was made in about the Wenjing years in the Western Han Dynasty. The discovery of the paper map has double values: the value of the map itself, and the value of the paper that is a piece of the earliest paper, which can be named “Tianshui paper.” It has been proved that the paper was used for writing letters or drawing maps. Uncovered from the tomb, there were two brushes made of weasel’s hair and a bamboo stick (as shown in Fig. 12.3).

12.2

The Progress of Maps and the Formation of Map Theories

Pei Xiu in the Jin Dynasty thought that the maps in the Han Dynasty were not precise, since there were no scale or directions, and mountains and rivers were indicated as rough outlines, and were thus unreliable. Actually, this is not the case.

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Fig. 12.3 A map drawn on paper unearthed from No. 5 Qin Tomb in Tianshui, Gansu

12.2.1 The Earliest Unearthed Map of Terrain, Military Map, and Map of City In 1973, from the Han tomb in Mawangdui, Changsha City, Hunan Province, 3 pieces of silver cloth were unearthed, and all of them are maps. According to their content, they are named as map of terrain, map of garrisons, and map of cities. 1. The map of terrain: The boundary area between the Changsha Kingdom and the Southern Yue Kingdom is drawn on this map. The time of drawing was the 12th year of Wendi (168 BC) of the Han Dynasty. It is a map drawn on a piece of square silver cloth whose side is 96 cm. The north/south indication was opposite to that of today’s map. The map area covers Hunan, Guangdong, and part of Guangxi, reaching the South China Sea and the Zhujiang Delta in the south, Lingqu, Guilin, Guangxi in the west, Lianxian County, Guangdong, and Jiahe County and Hunan in the east, and the Lingling Region, Hunan in the north. The scale of the main area is 1:150,000 ~ 1:190,000. Drawn on the map, there are rivers, mountains, residing spots, roads, seas, places of historic interest, and scenic beauty. Indication of rivers is detailed and precise; compared with modern maps of terrain, the distribution, flow direction, and bend of rivers are largely the same (as shown in Fig. 12.4). 2. The map of garrisons: The area is the upper stream of Xiaoshui River in Jianghua County, Hunan Province (then Kingdom of Changsha). All the military elements, such as troop camps, military castles, borders of defense areas, arsenals, logistic supply bases, and roads, are sketched with red lines. This map clearly reflects the military thought of holding garrisons for battle at that time (as shown in Fig. 12.5). 3. The map of cities: It is seriously damaged, but the city wall, city gate, streets, and courtyards can still be seen. On the lower half of the map, the cities are drawn. This is the earliest map of cities we have ever seen.

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Fig. 12.4 The map of terrain unearthed from the Han tomb at Mawangdui

12.2.2 Classification of Maps in the Rites of Zhou The Rites of Zhou records the earliest systematic classification of maps, mainly, map of the world, map of the nine states, map of territory, map of gold, jade, tin and stone materials, map of roads, map of a millionaire domain, map of state tombs. These regulations of drawing map were not necessarily carried out completely in the Qin Dynasty and Han Dynasty, but various kinds of maps did appear.

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Fig. 12.5 The map of troops unearthed from the Han tomb at Mawangdui

12.2.3 The Most Complete Chinese Theory for Making Maps – Six Elements of Making Maps The earliest Chinese theory for map-making was proposed by Pei Xiu, Sikong (an official post) of the Western Jin Dynasty. He was born in Wenxi County, Shanxi Province, and died of poison from “powder taken cold” at the age of 48. He organized the compiling and drawing of Maps of Territory Attributed to Yu (18 pieces) and proposed the earliest and most complete Chinese theory of making

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maps – Six Elements of Making Maps. In the preface to Maps of Territory Attributed to Yu (History of Jin – Biography of Peixiu), he says, There are six objectives for map making: 1. resolution, the standard for telling length and width; 2. exactness, which places each object in the exact place; 3. distance, the road mileage; 4. altitude; 5. terrain; 6. distance conversion. The last three elements should be adaptable to the local conditions, that is, to suit the unusual local conditions.

The so-called six elements are: resolution (scale), orientation (directions), road mileage (distance), altitude (vertical distance), span (horizontal distance), and displacement (into straight distance). These are the six principal elements necessary for drawing maps, comprising the most systematic theory of map drawing, which was also the only theoretical system of the traditional Chinese topography before the modern Western topography was introduced to China. Therefore, later generations regard Pei Xiu as “Father of the Chinese Geography.”

12.3

Climax of Maps

The Tang and Song Dynasties were a climactic period of development in the traditional Chinese maps.

12.3.1 Jia Dan and His Map of China and Foreign Countries We have no idea about when ancient Chinese people began to draw a world map. The Map of the World was made in the Qin and Han Dynasties. Though the name sounds like map of the world, it is merely a map of the hinterland and border areas of China. In the Northern and Southern Dynasties, a map named as Map of Foreign Countries was recorded, but it is not handed down, and the record about it contained a few characters only, so the content of the map is not known to us. At present, the known detailed map of the world is the Map of China and Foreign Countries drawn by Jia Dan in the Tang Dynasty. Old History of Tang – Biography of Jia Dan records, “He had completed the Map of China and Foreign Countries, and 40 volumes of Narration of States, Prefectures, Circuits, Counties and Foreign Countries in Ancient and Present Times by the 17th year of Zhenyuan. . . . The scroll of Map of China and Foreign Countries is 10 meters wide, 11 meters long, the scale is 3.33 cm for every 50 Km.” One of the advantages is that the map is attaching importance to foreign countries, as can be seen from the name; another strong point is attention to the old geography, which is similar to Pei Xiu’s map. The only difference is using red and black inks to mark old and new names, a great improvement on Pei Xiu’s map. Jia Dan’s Map of China and Foreign Countries had been missing long ago, but a miniature edition was inscribed in a stone tablet in the 7th year of Shaoxing in the

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Fig. 12.6 Jia Dan’s Map of China and Foreign Countries

Southern Song Dynasty (1137). Now, the tablet is still kept in the Collection of Ancient Stone Tablets in Xi’an City (as shown in Fig. 12.6).

12.3.2 The Longest Wall Painting Map Now Existing – Map of Wutai Mountain The Map of Wutai Mountain on the west wall of No. 61 Mogao Caves, Dunhuang, Gansu Province is 460 cm high, 1300 cm wide. It was painted by painters in the five generations (907 ~ 960) with the blueprint handed down from the Tang Dynasty. The lower part of the map gives a bird’s eye view of the path from Taiyuan through Wutai to Zhenzhou (now Zhengding County, Hebei Province). Painted in the map, there are 8 towns, over 170 buildings, including over 60 temples. Many places have their name marked, such as “河北道山门” (Mountain

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Gate of Hebei Route), “河东道山门” (Mountain Gate of Hedong Route), “河北道 镇州” (Zhenzhou of Hebei Route), “五台县城” (Wutai County Seat), “中台之顶” (Peak of Zhongtai), “南台之顶” (Peak of Nantai), “东台之顶” (Peak of Dongtai); temples have their name marked, such as “大法华之寺”(Great Fahua Temple), “大 华严之寺” (Great Fayan Temple), “大佛光之寺” (Great Buddha Halo Temple), “大 清凉之寺” (Great Qingliang Temple), “万菩萨楼” (Ten Thousand Buddha Tower), etc. The positions and directions of mountains, rivers, roads, pagodas, and bridges conform largely to the real settings now existing.

12.3.3 The Earliest Collection of Maps Now Existing – Directory Maps of Geography in Past Dynasties This collection of maps was believed to have been compiled by Su Shi in the Northern Song Dynasty according to the original signature, but Chen Zhensun in the Southern Song Dynasty says in his Explanation of Book Titles that it was compiled by Shui Anli, a native of Sichuan. If this saying is true, the map would have been completed in Yuanfu Years of the Northern Song Dynasty (1098–1100). It was revised by Zhao Liangfu in the 12th year of Chunxi (1185) in the Southern Song Dynasty. The whole book collects 44 pictures that can be classified into 4 categories: (1) General maps: the first is A General Map of Regions in China and Foreign Countries in the Past and Present Times (as shown in Fig. 12.7), and the second is A Map of Mountains and Rivers with Names in China and Foreign Countries in Past

Fig. 12.7 A General Map of Regions in China and Foreign Countries in the Past and Present Times

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Fig. 12.8 Tang Yixing’s Map of Two Demarcation Lines for Mountains and Rivers

Dynasties. (2) Evolutional maps: 39 evolutional maps of regional revolution in past Dynasties from Emperor Ku to the Song Dynasty. These maps comprise the main part of the book, and reflect the characteristic of evolutional geographical research and map drawing in the Song Dynasty. (3) Dividing line pictures: A Dividing Line Diagram of Sky Phenomena, and A Dividing Line Diagram of the 28 Mansions in Time Order. (4) Demarcation line maps: Tang Yixing’s Map of Demarcation Lines for Mountains and Rivers (as shown in Fig. 12.8), on which two mountain ranges are drawn clearly. It shows that he knew the features of the Chinese terrain quite well.

12.3.4 The Earliest Map of Administrative Areas Now Existing – Map of Nine Governing Districts The Map of Nine Governing Districts was made on a stone tablet by Song Changzong, Rongzhou Prefectural Commander in November, the 3rd year of Xuanhe in the Northern Song Dynasty (1121). It was based on previous drawings. The map takes the upper direction as north, and the 4 directions are marked: north, south, east and west. The scaled is calculated as 1:1,900,000. The coastline on the map is rather exact; the Shandong and Leizhou peninsulas, and Hainan island are outlined nearly close to contemporary maps. Mountains are indicated with landscape sketching technique. Waters are indicated with wave lines. This map has names of over 1400 administrative places, the lowest class being the county. This is the earliest map of China to take the county as the basic unit (as shown in Fig. 12.9).

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Fig. 12.9 Map of Nine Governing Districts

12.3.5 The Earliest Meter-Counting Checkered Map Now Existing – Yu Marking Map The Yu Marking Map was inscribed on a stone plate in April, in the 6th year of Shaoxing in the Southern Song Dynasty (1136). The map is nearly square. The scale is noted as, that is, the side of each squared grid is equivalent to 50 Km. in the Song Dynasty (about 1:4,500,000). The map was drawn before the 1st year of Shaosheng Period (1094). The outstanding point of this map is that it is checkered, having 73 longitudinal grids, timed by 70 latitudinal grids, that is, 5110 grids in all. The coast line and water system are outlined more precisely than the Map of China and Foreign Countries, and it was the most outstanding map in the world then (as shown in Fig. 12.10).

12.3.6 The Earliest Map of the World Now Existing – Map of the World The Map of the World was inscribed in a stone plate in October in the 7th year of Shaoxing in the Southern Song Dynasty (1136), thus the blueprint map should have

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Fig. 12.10 Yu Marking Map

been drawn between 1117 and 1125. Judged from the distance between Dongjing (present-day Kaifeng, Henan Province) and Nanjing (present-day Shangqiu, Henan Province) and that between Dongjing and Xijing (present-day Luoyang, Henan Province), the scale can be calculated as 1:4,300,000. Regions outside China have their names listed around the map. Probably, this map was based on Jia Dan’s Map of China and Foreign Countries.

12.3.7 The Earliest Printed Map Now Existing – Maps of Mountains and Rivers for Contribution to Yu This collection of maps was completed by Cheng Dachang in the 4th year of Chunxi (1177) in the Southern Song Dynasty. It has 30 maps. The original maps had been

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drawn in colors, but when it was printed, the color printing had not been invented. So a single color was used in printing. The original drawings used colors to indicate different geographical elements: green for water, yellow for rivers, red for borderline. The engraved version uses different lines instead. The engraved version existing now is the Quanzhou prefectural edition, printed in the 8th year of Chunxi (1181) in the Southern Song Dynasty. Though it is not color-printed, it is the earliest printed map now existing in the world that bears a concrete year of printing.

12.3.8 The Earliest Map of Local Chronicles Now Existing – Illustrative Maps of Yanzhou Prefecture, 8 Volumes It was compiled by Dong Fen in the 9th year of Shaoxing Year in the Southern Song Dynasty (1139), but it was missing. It was re-drawn by Chen Gongliang and Liu Wenfu in the 13th year of Chunxi (1186). Later, it was revised by someone in the Southern Song Dynasty. Volumes 1 to 3 exist now. Fortunately, originally all the maps were at the beginning of the volumes, so they are complete. This is the earliest illustrative maps passed down to us with maps kept in the book. Volume 1 has 9 maps at the beginning, including: Map of Townships, Map of Inner and Outer Cities of Jiande Prefecture (as shown in Fig. 12.11), General Map of the Whole Prefecture, and 6 maps of counties.

Fig. 12.11 Map of Inner and Outer Cities of Jiande Prefecture

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12.3.9 The Most Precise Map of a City Inscribed on Tablet – Map of Pingjiang The Map of Pingjiang is 279 cm long and 138 cm wide. Presumably, this map was drawn in the 2nd year of Shaoding in the Southern Song Dynasty (1229), because the offices and temples in the map were built in that year. The time of inscription is the same. Hundreds of years passed, and the inscription on the tablet became indiscernible. In the 6th year of the Republic (1917), it was re-inscribed. The Map of Pingjiang is the Map of Suzhou City in the Song Dynasty. The content of the map is detailed. Drawn in it, there are 640 humanistic and natural landscapes, of which 613 places have their name marked. The marked places include 572 humanistic landscapes (including 93 military and governmental institutions, 111 temples and monasteries, 65 workshops, 303 bridges), and 41 natural landscapes (including 23 mountains, deltas, mounds, 18 rivers, lakes, marshes and other watery bodies). The map has directions marked on it: up north, down south, left west, right east. The map is narrower in the west-east direction, and longer in the north-south direction. In 1978, Suzhou Municipal Bureau of Urban Construction launched a field survey and found that the directions of south and north in the map were not due south and due north. The south (north) has a deviation of 7°540 to the east (west) (as shown in Fig. 12.12). Fig. 12.12 Map of Pingjiang

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12.3.10 The Largest City Map of Stone Inscription Now Existing – Map of Jingjiang Prefecture City It is inscribed on a rock cliff of the south foot of Bojiu Mountain (now Yingwu Mountain in the northern suburbs of Guilin City, Guangxi Zhuang Nationality Autonomous Region). The map was drawn in the 8th year of Xianchun in the Southern Song Dynasty (1272), and inscribed in the same year. Through calculation of distance between Duxiu Peak to Fubo Mountains and that between Duxiu Peak and Bojiu Mountain, the scale is 1∶1000 (on average). The map has 112 names of natural and humanistic landscapes, including 69 military institutions and facilities, taking up 62%, which reflects the military significance of the prefecture city. In the map, the upper direction is north (as shown in Fig. 12.13).

12.4

Exchanges of Maps Between Civilizations

According to definite historical data, the exchanges of maps between China and foreign countries began in the Song Dynasty at the latest.

Fig. 12.13 Map of Jingjiang Prefecture City

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12.4.1 The Earliest Map of India Now Existing – Map of Western Regions and Countries in Han Dynasty, and Map of Western Heartlands of India These two maps are contained in the book Chronicles of the Buddha by Zhipan in the Song Dynasty, printed between the 1st and 6th year of Xianchun (1265~1270) of the Southern Song Dynasty. Map of Western Regions and Countries in Han Dynasty is a map of transportation, drawing the two communication lines from Dunhuang along the south and north banks of Puchanghai (Lop Nor) through Central Asia and West Asia, to the Mediterranean in the west. Adjacent places are linked with curved lines to show the way for travel (as shown in Fig. 12.14). Map of Western Heartlands of India draws countries and places from Dunhuang westward through Xinjiang, Central Asia and South Asia, the South China Sea, along the Indian Ocean coasts, and indicates their name (as shown in Fig. 12.15). The places in India are drawn in detail, but rivers are nearly absent, and mountains are very few.

12.4.2 The Earliest Circular Map of the World – Circular Map The Circular Map appears in Diwan lughat al-Turk compiled by Mahmud Kashghari. The author was born in Kashghar (now Kashgar, Xinjiang) in the 1020s, and died between the 1070s and 1080s. The map is of round form, the same as the maps drawn by al-lstakhri and ibn-Hawqal, the classic Islamic

Fig. 12.14 Map of Western Regions and Countries in Han Dynasty

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Fig. 12.15 Map of Western Heartlands of India

geographers after the tenth century. The map uses highly geometric figures to represent mountains and rivers, a habitual technique of drawing maps adopted by the classic Islamic geographers (as shown in Fig. 12.16).

12.4.3 The Only Map of Mongolian Map-Making Technique – Map in the Applicable Codes and Records Originally, it was attached to Applicable Codes and Records compiled by Yu Ji and others in the 2nd year of Zhishun in the Yuan Dynasty (1331). Later the book was lost. This map was taken from The Yongle Encyclopedia by Wei Yuan in the Qing Dynasty, and attached to his Illustrated Treatise on the Maritime Kingdoms. The map has these features: (1) Drawing grids without marking distances; (2) Place names are put in grids; (3) The four directions are marked in the four corners: north in the lower right corner, south in the upper left corner, east in the lower left corner, west in the upper right corner. These features are different from the traditional Chinese technique of drawing, possibly due to influences from Arab (as shown in Fig. 12.17).

12.4.4 The Largest Map of the World Now Existing – The Unified Map of the Great Ming This map is a colored drawing on silk cloth. It was drawn in the 22nd year of Hongwu Year in the Ming Dynasty (1389). The author is unknown. At the beginning

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Fig. 12.16 Circular Map

of the Qing Dynasty, all the Chinese characters on the map were translated into Manchurian, and labeled in accordance with their levels. This is a complete map of the Ming Dynasty and neighboring regions. The geological range extends to Japan in the east, Western Europe in the west, Java in the south and Mongolia in the north. The direction is up north and down south. This is the earliest map existing with Europe and Africa drawn in it (as shown in Fig. 12.18).

12.4.5 The Most Complete Map of Navigation Now Existing – Zhenghe’s Map of Navigation The original name of Zhenghe’s Map of Navigation was Map of Navigating from Shipyard through Longjiang Customs to Foreign Countries. It is 20 cm wide and 520 cm long. The original map was a long folded scroll; when it was collected in the Treatise on Armament, it changed into book form. The whole map is divided into 24 pages, of which 1 page is preface, 20 pages are maps of seas, 2 pages Map of

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Fig. 12.17 Map in the Applicable Codes and Records

Fig. 12.18 The Unified Map of the Great Ming

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Fig. 12.19 Zhenghe’s Map of Navigation

Crossing the Ocean and Dragging the Stars, and 1 blank. The map shows the shipping route of Zhenghe when he sailed to the Western seas for the 7th time in the 5th year of Xuande (1430) and the geographical conditions along the way. It is a comparatively early map of navigation that is kept in China. The map belongs to the system of Compass Navigation Maps, so it has needle positions, number of hours, course depths, and notes and attentions. Drawn on the map, there are coastlines and the peaks, harbors, river mouths, residing points, islands and reefs along the coast. The map alters directions quite a few times, forming a special characteristic (as shown in Fig. 12.19): up south and down north from the shipyard to the Yangtze River estuary, up north and down south beyond the Yangtze River estuary, and up east and down west beyond the Bay of Bengal.

12.4.6 The Collection of Maps that Was Influenced by the Maps in the Yuan Dynasty and that Influenced the West Deeply – The Enlarged Terrestrial Atlas The Enlarged Terrestrial Atlas was compiled by Luo Hongxian in the Ming Dynasty. It was carved and printed between the 32nd and 36th year of Jiajing (1553–1557) for the first time. Based on the Map of the Territory by Zhu Siben in the Yuan Dynasty, the compiler divided the large map into pages and formed a book and added some

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Fig. 12.20 Enlarged Terrestrial Atlas

important maps since Yuan and Ming Dynasties. The whole collection includes The General Map of the Territory, Map of the Two Zhili’s and Thirteen Chief Secretaries, Map of the Nine Border Areas, Map of Borderlands, Map of the Yellow River, Map of Canals, Map of Ocean Shipping, and the last section includes: Map of Korea, Map of Deserts, Map of Annam, Map of the Western Regions, Map of Countries on Southeast Seas, Map of Countries on Southwest Seas (as shown in Fig. 12.20) and maps of neighboring regions. It inherits the traditional Chinese technique of drawing maps with grids for counting the distance, and designs 24 legends, so as to improve the precision and clearness of each map, making it the finest atlas with rich content and strict structure. Its scientific nature and applicability have a profound influence in China and abroad. Zhu Siben’s Map of the Territory was lost, and its general picture can be seen from the Enlarged Terrestrial Atlas.

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The Dissemination and Application of the Western Theory and Technique of Map Drawing

In the late Ming period, the Western theory and technique of map drawing were introduced to China, forming the second phase of map interchange between China and foreign countries.

12.5.1 The Map that Adopted the Western Map Projection for the First Time – A Map of the Myriad Countries of the World and Map of Profound View of Heaven and Earth The A Map of the Myriad Countries of the World is a colored isographic version. The original map was a set of 6 hanging scrolls, and now they are combined into a whole picture. It was copied by eunuchs in the court according to Matteo Ricci’s drawing edition in the 30th year of Wanli in the Ming Dynasty (1602). It adopts the oval equal area projection. Drawn in the map, there are the five continents known then: Asia, Africa, Europe, Americas, and Antarctica (Australia was not found then, so it was absent). Except for the Antarctica, the continents have outlines roughly consistent with the realistic conditions. To make China outstanding, the map places her in the center. In the four corners outside the map, small pictures are drawn, such as the north and south hemispheres, solar and lunar eclipses, nine layers of heaven, overlooks of heaven and earth, the middle atmosphere, and so on, as supplements to the big map (as shown in Fig. 12.21). The Map of Profound View of Heaven and Earth is an engraved version printed on paper with ink, made up of 8 hanging scrolls. Each scroll is 200 cm long, about 55 cm wide, and the total width is 442 cm. It was carved and printed in August, the 31st year of Wanli in the Ming Dynasty (1603). This map adopts the A Map of the Myriad Countries of the World as the original version, with a few revisions.

12.5.2 The Earliest Chinese Globe Now Existing – The Globe Made by Manuel Dias and Nicolo Longobardi This globe was made by Manuel Dias (1574~1659), the Portuguese Jesuit missionary, and Nicolo Longobardi (1559~1654) the Italian, in Beijing in the 3rd year Tianqi in the Ming Dynasty (1623). It is a wooden globe painted with color paint. The diameter is 58.4 cm, the scale is 1∶21,000,000. It shows quite well the main continents, peninsulas and islands. It is the earliest globe which is made in China and noted in Chinese (as shown in Fig. 12.22).

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Fig. 12.21 A Map of the Myriad Countries of the World

12.5.3 The Maps of the Whole Country Drawn in China with the Modern Mapping Technique – Overview Map of the Imperial Territory, Yongzheng’s Map in Ten Rows, and Qianlong’s Map in Thirteen Rows The Overview Map of the Imperial Territory. Emperor Kangxi of the Qing Dynasty had a strong interest in natural sciences. As early as in the 25th year of Kangxi (1686), he made a plan to draw a map of the whole country using the modern Western mapping technique. He charged the Bureau of Astronomy and a group of missioners headed by the French with the preparation of mapping and surveying. He stipulated the scale: 100 Km is equivalent to 1° of longitudinal line, each li is equal to 180 zhang, each zhang is 3.33 m, each 3.33 cm is equivalent to 1% minute in longitude. In the 41st year of Kangxi (1702) the distance between Bazhou City through the central longitudinal line and Jiaohe river was measured. In the 46th year of Kangxi (1707), trial surveying was launched near Beijing and a map was drawn. Kangxi made emendations, and he found that the quality of the new map surpassed

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Fig. 12.22 The globe made by Manuel Dias and Nicolo Longobardi

that of the old map. This strengthened his resolution to adopt the new technique to measure longitudinal and latitudinal degrees and draw a map of the whole country. A massive measurement began on May 17, the 47th year of Kangxi (July 4, 1708), and ended on The New Year’s Day of the 56th year of Kangxi (January 1, 1717). The task of piecing together provincial maps into a general map of the whole country – Overview Map of the Imperial Territory (as shown in Fig. 12.23) was done by Du Demei in 1718 (the 57th year of Kangxi). Then the copperplate was made by M. Ripa, 47 pieces in all, of which 41 pieces have pictures. Each plate is 39.8 cm long, 92.2 cm wide. Another version of the map is made up of rows; a row covers 5° of latitude, with 8 rows from south to north; each row is divided into several pages. The whole map takes the meridian line through Beijing as the prime meridian; the eastern most is 30° of the east longitude (east of the Korean peninsula), and the western most is 40° of the west longitude (east of Hami, Xinjiang). Between the 48th and 50th year Kangxi (1709~1711), someone was sent to Tibet for mapping. But the drawn map did not adopt the longitude and latitude, so it was hard to piece it together with the map of hinterland that adopted the longitude and latitude. In the 53rd year of Kangxi (1714), two Lamas (phonetic transliteration names are Chuerqin Zangbo and Lam Zhanba) who learned mathematics at the Bureau of Astronomy and the Secretary of the Court of Colonial Affairs (Sheng Zhu)

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403

Fig. 12.23 Overview Map of the Imperial Territory

were sent to Tibet for mapping. They returned to Beijing in the 56th year of Kangxi (1717). Their mapping results and data collected were approved by missionaries and included in the general map of the whole country. The longitudes and latitudes of 641 places (excluding Tibet) were measured. Other places were mended with local maps. The projection adopted is “sine-curve equal-area pseudo-cylindrical projection”, and the scale is 1∶1,400,000. This map was the prototype for making maps of the whole country in the middle and late Qing Dynasty, as well as the original map for Europe to draw maps of Asia and China. Thus, it occupies a vital position in the history of mapping. European scholar Duhud collects all these maps in his work Introduction to the Chinese Empire and Mongolia: The Geography, History, Annals, Politics and Natural Condition, which became the most precise data for the West to learn the Chinese geography. This mapping of the whole country got some achievements: First, it found that the earth is an ellipsoid, not a regular sphere. Second, it found Mount Everest, the highest peak of the world, and marked it on the map. Third, the inclination of the magnetic needle does not change with variation of places being measured. Yongzheng’s Map in Ten Rows. In Yongzheng Years, the Chinese and Western mapping personnel supplemented and revised the Overview Map of the Imperial Territory, and made the Yongzheng’s Map in Ten Rows. The former map was divided into ten rows from north to south, each row covering eight latitude lines. The map is

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centered on Beijing, and both the longitudinal line and the latitudinal line through Beijing are called “central.” The network made up of longitudinal and latitudinal lines form square grids. The map ranges from the Arctic Ocean in the north to the South China Sea in the south, from the Pacific Ocean in the east to the Mediterranean in the west. The range is larger than the Overview Map of the Imperial Territory, and it expands further toward north and west. Qianlong’s Map in Thirteen Rows. In Kangxi Years, the mapping could reach only Hami area to the northwest most, because then Dzungaria basin was not yet included in the domain of the Qing Dynasty. In 1756, Qianlong ordered He Guozong, Censor-in-chief to lead Westerners to Xinjiang for mapping. The mapping work began in February on two directions – one northward and the other southward. The group on the northward path was headed by Nu San, and the southward path by He Guozong and Ha Qing’a. The work ended in October that year. In May 1759, Qianlong ordered Ming Antu to lead a team to the southern side of Tianshan Mountain for mapping, and they reached Tashkent, Samarkand, Kashmir and other places, taking nearly 1 year, and the work was completed between March and April the following year. The range of these two times of mapping is west of Hami, southeast of Balkhash Ozero, and over 90 points were measured. Then based on maps of Chinese and foreign territories, as well as the latest results in surveying, Michel Benoist drew the Qianlong’s Map in Thirteen Rows (also called Qianlong’s Map for the Palace Treasury) in the 26th year of the Qianlong Period (1761), carved on 104 copperplates. The whole map is divided into 13 rows from north to south, each row covering 5° of latitude. The range of this map is nearly twice that of the Overview Map of the Imperial Territory: extending to the Baltic and the Mediterranean in the west, and the Russian North Sea in the north. The Qianlong’s Map in Thirteen Rows is more widely disseminated than the Overview Map of the Imperial Territory, and it influences the mapping in our country more strongly, furnishing the main basis for drawing national maps in subsequent generations. In the late seventeenth century and the early eighteenth century, the nation-wide mapping conducted by the Qing Dynastic government pushed China to a new peak in the history of the world mapping, and the Chinese mapping reached an unprecedentedly high level in history.

12.5.4 The First Complete Collection of the World Maps – Illustrated Treatise on the Maritime Kingdoms The author is Wei Yuan, styled Moshen, a native of Shaoyang, Hunan. Illustrated Treatise on the Maritime Kingdoms has three editions, having 50 volumes, 60 volumes and 100 volumes respectively. This book compiled relevant works from home and abroad, and mainly introduces the world geography. The 100-volume edition has 75 maps: 8 maps of historical evolution, 2 maps of the eastern and western hemispheres, maps of Asia (1 map of the whole, 25 divided maps), maps of Africa (1 map of the whole, 3 divided maps), maps of Europe (1 map of the whole, 22 divided

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Fig. 12.24 Illustrated Treatise on the Maritime Kingdoms by Wei Yuan

maps), maps of Americas (1 map of the whole, 11 divided maps). Maps have longitude and latitude lines, and they are rather precise. This collection of maps is the first in China large-scale collection of world maps (as shown in Fig. 12.24).

12.5.5 The First Map of the Whole Country that Was Made by the Chinese – A Comprehensive Map of the Great Qing Territory It was completed in the 25th year of Guangxu (1899). It consists of 270 volumes and divided into 7 categories, namely, rites, music, clothing, chart and guard, arm preparation, astronomy, and territory. Each category has some pictures. The general map is a single page, and other maps are included in the category of territory, 362 pictures in all. They were drawn on the basis of the new map of each province made according to the mapping regulations issued in the 15th year of Guangxu (1889) and the 18th Year (1892), with reference to Qianlong Map in Thirteen Rows, Daoguang Imperial Records of Unification and other pictorial literatures. Frontier provinces such as Mogolia, Tibet, etc. did not have new maps drawn as they did not have enough manpower and funds. This collection of maps is the product of

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Fig. 12.25 A Comprehensive Map of the Great Qing Territory

measuring and mapping in the range of the whole country for the second time, and also the product of mapping by the Chinese professional technical personnel who adopted the new technique of mapping the whole country for the first time (as shown in Fig. 12.25). (Translator: Tingyu Wang) (Proofreader: Caiyun Lian)

Dujiangyan Irrigation System: A Hydraulic Engineering Project Bearing Cultural Charm and Creativity

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Xuming Tan

Contents 13.1 13.2

13.3

13.4

The Forming of Dujiangyan Irrigation System based on the Minjiang River and Chengdu Plain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Vicissitude History of Dujiangyan Irrigation System During the Period of 2500 Years . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2.1 Li Dui (A Small Mound Near the Baopingkou Diversion Passage) and the Two Rivers: The Dujiangyan Irrigation System in the Qin and Han Dynasties (361 BC–206 BC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2.2 The Creation of the Land of Abundance Attributed to Hydraulic Engineering (From the Three Kingdoms Period to the Tang Dynasty, 220–961 AD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2.3 Expansion of the Irrigation Area and Benefits for Farming and Sericulture (960–1368 AD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2.4 The Management of the Dujiangyan Irrigation System in the Ming and Qing Dynasties (1368–1950 AD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Act According to and Make the Best Use of the Circumstances: Scientific Connotation and Technical Features . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.3.1 The Mechanism of “4:6 Water Diversion” and the Mechanism of Water Diversion and Sediment Drainage by the Yuzui Bypass Dike . . . . . . . . . . . . . . . . 13.3.2 “Deep Cleaned Channel and Low-Built Weir” and the Control Function of the Feisha Weir . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.3.3 The Permanent Water Intake at the Canal Head: The Baopingkou Diversion Passage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Epilogue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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X. Tan (*) Water History Department, China Institute of Water Resources and Hydropower Research, Beijing, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_13

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Abstract

Dujiangyan Irrigation System, which was constructed at the end of the Warring States Period, is a very important hydraulic engineering project in Chinese history. This chapter introduces this magnificent project in terms of the geographical conditions for its construction, its development throughout the history, and its technical features. In the first part, the author explains how topography of the Minjiang River and Chengdu Plain contribute to the establishment of Dujiangyan Irrigation System. Then the author talks about the maintaining and improving of this irrigation system under the influence of social factors in different historical periods. In the third part, the author illustrates three important technical features of this system including the mechanism of water diversion and sediment drainage, the control function of the Feisha weir, and the permanent water intake. Keywords

Dujiangyan Irrigation System · Hydraulic engineering project · Act according to the circumstances · Technical features

The Dujiangyan Irrigation System was constructed during the war between Qin and the other six states in the Zhou Dynasty at the end of the Warring States Period. This irrigation system, born at one important turning point in the history, still fully functions today after over 2000 years. It is a typical case of sustainable irrigation works for its creative planning, hydraulic constructions in harmony with the flow of lakes and rivers and wisdom of appropriate management. In the 51st year during the regime of King Zhao of the Qin State (256 BC), it had been 52 years since the annihilation of Shu State by Qin and Qin’s conquering war had entered the last 20 years’ period. At that time, the governor of Shu County, Li Bing, drafted workers to construct the Dujiangyan and diving Minjiang River flowing through Chengdu Plain into two. This irrigation system was constructed to support the Qin State in the war by providing convenient water transport, sufficient food supply, and soldiers. Its role in the conquering war might be limited, but it has been serving as the best irrigation system and brought the best natural environment for this region. After 400 years’ development through the Qin and Han Dynasty, the Chengdu Plain had become a place where “waterways flew separately and smoothly and residential places clustered and intersected; millet crops grew prosperously and japonica rice thrived everywhere” (Shu Du Fu, Ode to the Capital of Shu by Zuo Si) and became the richest region in China with the title, “Land of Abundance.” During the 2000 years after the construction of Dujiangyan Irrigation System, Chengdu Plain has always been the economic and political center of southeast China with its advantageous natural environment and hydraulic condition. Even in the chaos and state alternation between the Eastern and Western Han Dynasties, the tangled warfare during the Three Kingdoms Period and the regime changes among the ten states in the late Tang Dynasty, Sichuan could stand independently from the central

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government because of its ample food supply based on the Chengdu Plain, which instead became much richer due to the absence of tax from the government. After the slaughter from Mongolian cavalry troops during the alternating period from the Yuan Dynasty to the Ming Dynasty and fierce fight between the peasant army led by Zhang Xianzhong, a military leader from Sichuan Province, and soldiers of the Qing Dynasty on the threshold from the Ming Dynasty to the Qing Dynasty, 90% of the population on the Chengdu Plain were killed, but the irrigational advantage of the Dujiangyan system could be regarded as a start of rejuvenation in this destroyed land. Over 2000 years, canals and ditches of this system have been extending themselves and now the murmuring water of Minjiang River is still flowing through every line between patches of rice field, around farmhouses surrounded by bamboos and in corners of upper roaring streets and quiet alleys. Technically, the Dujiangyan Irrigation System is a project characterized by water diversion without dam, which was once the most common form of irrigation works in ancient China. The key to this kind of irrigation system is to arrange water division and spillways according to watercourses and landforms, so as to gain project benefits at the cost of fewer engineering facilities. The scientific foundation of its planning and design cannot be underestimated for the lack of modern specification or standardized control. During a time when no construction materials like steel or concrete existed, it had achieved to provide a steady source of water for a region with least investment and lower management cost by just drawing on local resources, and in the long term, well-developed irrigation system has created a natural environment in favor of social development and the sustainable development of water resources. Since the twentieth century, modern hydraulic technology has replaced this type of water conservation. Concrete dams and steel sluice gate have improved water utilization and distribution, but these modern facilities of higher building and maintaining costs impose powerful control over rivers and so is their negative impact on the ecosystem of rivers and lakes. In particular, fair pricing water on both banks along the upstream and downstream is often abused by interest groups in the government. Dujiangyan Irrigation System is a typical project with the wisdom of hydraulic engineering left by Chinese ancestors in the pursuit of effective combination of project benefit and environmental protection.

13.1

The Forming of Dujiangyan Irrigation System based on the Minjiang River and Chengdu Plain

Minjiang River is the first tributary of the Yangtze River, which originates from the southern foot of the Minshan Mountain in Songpan, a county in the west of Sichuan Province, and flows along the western border of the Chengdu Plain, going through Maoxian County, Wenchuan County, Dujiangyan Municipality, Chengdu City, Meishan City, Qingshen City from north to south, converging Dadu River and Qingyi River in Leshan City, and joining the Yangtze River in Yibin City, covering a length of 711 kilometers. Most of the water comes from snowcapped mountains at the eastern edge of the Qinghai-Tibetan Plateau with an average annual flow of

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465 m3/s and an average total water amount of 90 billion m3 per year, far exceeding the 56 billion m3 in the main stream of the Yellow River. The flow upper from the Dujiangyan Irrigation System is the upstream of the Minjiang River, where torrential water races through mountains and valleys. The stream between today’s Dujiangyan City and Leshan City is the middle reaches. After entering the plain area, the Minjiang River is divided into several channels, forming branched river network, along which water runs through the Chengdu Plain from northwest to southeast and converges at Xinjin County to join the Minjiang River (see Fig. 13.1). The upper reaches of the Minjiang River passes through high mountains and valleys, which covers a length of 341 kilometers, accounting for 48% of the entire flow, with an average drop of 10.5‰. The drainage area is 23,000 km2, taking up 17% of the entire area. The junction of upper and middle reaches is located at the estuary of Baisha River in Hongkou Town of Dujiangyan City. The watercourse, which is constrained by high mountains before, abruptly widens here from 100 meters in upper reaches to 350–500 meters. The middle reaches of this river flows through Chengdu Plain with a length of 216 kilometers, accounting for 30% of the entire flow and having a gradient of 8–1.7‰. The drainage area is 102,000 km2, 75% of the total drainage area.

Fig. 13.1 Rivers on the Chengdu Plain

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The Minjiang River enters the Chengdu Plain in Dujiangyan City. Along its upper reaches, there is Heishui River, Zagunao River, Yuzi River, and the tributary of Baisha River. And Tuojiang River, Xihe River, Nanhe River, etc. influx in the middle reaches in mountainous areas, which are connected to internal and external canals of the Dujiangyan Irrigation System, forming an important supplement to its water source. The Chengdu Plain, which is located in the west of the Sichuan Basin, and the transitional zone between it and the Qinghai-Tibet Plateau is an alluvial plain of the Minjiang River and Tuojiang River, with the two rivers flowing to the south along its western and northeastern boarder. The whole plain slopes from northwest to southeast with the gradient declining from 8 to 3‰, which is conducive to gravity irrigation and shipping. It is the superior natural environment and geographical advantages that have formed the unique hydraulic engineering pattern which in turn has created the artificial water system crisscrossing the Chengdu Plain. Minjiang River is another birthplace of Chinese civilization apart from the Yellow River, and its splendid civilization is comparable to the ancient civilization in the Yellow River Valley. The Minjiang River has long been abbreviated as “Jiang (江)” in historical documents, a Chinese character denoting the Yangtze River specifically in Chinese language, and even in the Ming and Qing Dynasties, most people still regarded it as the main source of the Yangtze River. In the ancient Shu civilization (the ancient Sichuan civilization, which represent the civilization existed in the area around Sichuan Province during the period from the remote antiquity to the Spring and Autumn period), hydraulic engineering was an important part and greatly influenced the early formation and evolution of administrative region along the Minjiang River. The Qin and Han dynasties set the prefecture of Shu, covering the administrative region from upper reaches of the Minjiang River, today’s Songpan and Pingwu County in the north to the vast area on the Chengdu Plain surrounding the axis of the Minjiang River. Shu Prefecture set Jiandi Dao (Dao was an administrative region set in the Qin Dynasty) to administer the Qiangdi nationality, which has been divided into Qiang and Zang ethnic groups, in the upper reaches of the Minjiang River. During the Sui and Tang Dynasty, there were 13 dao governing zhou (prefecture) and county. Since then, the administrative area of Chengdu Prefecture has been bounded by today’s Dujiangyan City in the north and Xinjin County, the starting point of middle reaches of the Minjiang River, in the south, including all the counties in the Dujiangyan irrigated area (Fig. 13.2). The construction of the Dujiangyan Irrigation System changed the natural features of rivers on the Chengdu Plain, which directly affected the formation of counties, towns and villages in this area. The administrative area of the Chengdu Plain has a history or more than 2000 years but the boundaries of different levels’ administrative districts have not changed much. The main reason for this is that Dujiangyan, as an irrigating area, needed to be relatively independent and stable to achieve good management and water source operation.

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Fig. 13.2 Dujiangyan and the Irrigation System on the Chengdu Plain

13.2

The Vicissitude History of Dujiangyan Irrigation System During the Period of 2500 Years

Hydraulic engineering is a large-scale human activity that not only plays a vital role in the formation and evolution of civilization but meanwhile transforms and shapes natural environment. At the end of the Warring States Period, the Dujiangyan Irrigation System was constructed by the Qin Dynasty with the aim to make Ba and Shu (two ancient geographical names in the Pre-Qin period that were in today’s Sichuan Province and Chongqing city) the headquarter for its unifying of the country, which thus objectively transformed the topographical features of rivers on the Chengdu Plain. The irrigation canals and ditches connected the rivers on the plain with the Minjiang River and Yangtze River, forming a new hydrologic river system where water from the Dujiangyan Irrigation System converges to create rivers, and thereafter changing the natural and social environment on the plain. These created rivers not only provided the plain with passages for water transportation and floodwater drainage but also made Chengdu City the political, economic, and cultural center of southwest China since the Han Dynasty. Water demand from the whole country has been motivating the improving and continuing of the Dujiangyan irrigation project in return.

13.2.1 Li Dui (A Small Mound Near the Baopingkou Diversion Passage) and the Two Rivers: The Dujiangyan Irrigation System in the Qin and Han Dynasties (361 BC–206 BC) In the middle of the Warring States period, after a long period of annexation war, the Central Plains (comprising the middle and lower reaches of the Huanghe River) was

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occupied by seven coexisting states of Qi, Chu, Yan, Han, Zhao, Wei, and Qin in the Zhou Dynasty. During the reign of Duke Xiao of Qin (361–338 BC), the State of Qin became increasingly powerful through Shang Yang’s Reform and embarked on the road of annexing the six states and dominating the whole country. Compared with the fierce political fights in the Central Plain area, the isolated Shu State had always been a “Land of Idyllic Beauty” where people lived in peace, but behind the peaceful diplomatic relationship between the two states, the King Huiwen of Qin (338– 311 BC) had taken Ba and Shu as his first step to territory expanding (Zhan Guo Ce-Qin Ce (The Strategies of Warring States-the Strategies of Qin) (Volume 3), the first edition of Si Bu Cong Kan (四部丛刊), P35–36). King Huiwen of Qin (316 BC), Zhangyi, a da fu (senior state official in ancient China) of the Qin State and General Sima Cuo led the army to cross the Qinling Mountains successively to conquer the Shu and Ba States, which were independent from the seven states in the Central Plain at that time. After the downfall of Shu, the Qin State implemented the policy of conciliation in that area and set vassal states there. In the first year of Emperor Nan of the Zhou Dynasty (314 BC), King Huiwen of Qin subjugated the Prince Tong of the Shu State and entitled him Marquis of Shu. After that, adherents of Shu rose up to fight against the Qin State several times, but all be suppressed by the four times of troop dispatch led by Sima Cuo. In the 22nd year of King Zhao’s reign of the Qin State, after the repression of rebellion by Marquis Wan of Shu, the Qin State no longer conferred marquis in this area, but instead set Shu Prefecture and Zhang Ruo was designated as the first official in Charge. It had been 30 years since the Qin State annexed Shu, and in order to strengthen and consolidate the rule, a large wave of immigrants from the Qin State began to move to the Shu Prefecture in the 27th year of King Huiwen’s reign (311 BC). Zhang Yi built cities in Chengdu, Pi, Linqiong, and migrated large population to the center of the Chengdu Plain. With the burst-in of immigrants, gradually the culture of Shu was weakened and aboriginals gave up their original language and customs. During the tenure of Zhang Ruo, Chengdu had become a city enjoying the same system with Xianyang City, the capital of the Qin State. There was inner city, neatly arranged alleys, bustling market, and grand government buildings in the city. (Hua Yang Guo Zhi ·Shuzhi (Annals of Huayang Area-Annals of Shu) by Chang Qu (常璩) recorded, “Zhang Ruo set inner city, built grand government buildings, appointed officials in charge of iron and salt and also Changcheng, an ancient official in charge of products from forests, regulate neighborhood and open markets and stores. The soil he used to construct the city was excavated from a place 10 li from the city, which thereby forming a fishpond, the now Wansui Pond.. . ...There was Longba Pond to the north of the city, Qianqiu Pond to the east and Liu Pond to the west, all of which would not dry up in both summer and winter and thus formed parks around them.”). With superior natural conditions, agriculture in Shu Prefecture gained rapid development after it became the rear area of the Qin State. During the war of unifying the six states on the Central Plains by the Qin State, Shu Prefecture needed to continuously provide food and troop supply for the war and under the demand of war, Li Bing, the governor of Shu Prefecture presided over the construction of the

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Dujiangyan hydraulic engineering project in the 51st year during the King Zhao of Qin’s reign (256 BC) (Zhao Shixian, “about the year when Li Bing was appointed as the governor of Shu Prefecture – rectify the confusion caused by erring Chinese character in Hua Yang Guo Zhi”. Collections of Academic Papers Commemorating the 50th Anniversary of the Foundation of Water Conservancy History Research Center. Water Resources and Electric Power Press, 1986). Over 100 years after the completion of the Dujiangyan Irrigation System, in the sixth year of Yuanding Period during the reign of Emperor Wu in the Han Dynasty (111 BC), Langzhongling (superior officer in charge of imperial palace security system) Sima Qian patrolled the country under the emperor’s order. He climbed the Lushan Mountain and enjoyed the view of the Jiujiang River; he went to Gusu (the ancient Suzhou City) and visited the Taihu Lake; he went to the Dapi Mountain and watched the Yellow River; he set off northward from Longmen and overlooked at the Minshan Mountain and Li Dui in West Shu. After touring around almost the whole territory of the Han Dynasty, Sima Qian exclaimed in Shi Ji ·He Qu Shu (Treatise on Canals and Rivers of the Records of the Grand History), “water indeed has a significant stake in people,” and left the earliest records about the Dujiangyan Irrigation System. Citation: The Earliest Records About the Dujiangyan Irrigation System in Treatise on Canals and Rivers of the Records of the Grand History. “People in later generation diverted water below Xingyang to southeast, connecting the States of Song, Zheng, Chen, Cai, Cao and Wei and meeting with waterways of Ji, Ru, Huai and Si respectively. In the territory of Chu State, canals were built between the Han River and the Yunmeng Lakes in the west and between the Yangtze River and the Huai River in the east. In the Wu State, channels were dug to connect three rivers and five lakes while in the Qi State, they were built to connect the Zi River and Ji River. In the Shu Prefecture, the governor, Li Bing, beat away Li Dui to avoid the flood caused by the Mo River (now the Dadu River) and dug two river tributaries in the area around Chengdu City. These canals were deep enough for boats and the spare water could be used to irrigate farmland. People there benefited a lot from this project. In the area where the canal passed, people often dug some branch canals to divert water for their field. The number of these canals could be accounted to thousands of millions, but they were too small to be recorded.” –Treatise on Canals and Rivers of the Records of the Grand History by Sima Qian (the Han Dynasty).

The records written by Sima Qian reveal the historical information of the early Dujiangyan Irrigation System: Li Bing’s contribution to this project, its earlier engineering composition and main benefits of this hydraulic engineering project. Li Bing mainly contributed by “breaking up Li Dui” and “dredging the two rivers: the Pijiang River and the Jianjiang River.” Li Dui is at the inlet of the trunk canal of the Dujiangyan Irrigation System, which is also known as “Baopingkou Diversion Passage.” Taking advantage of the geographical condition of the left bank the Minjiang River, Li Bing cut an opening on the rocks deep into the river bank and created a diversion gate using offshore and mountains (see Fig. 13.3). In fact, there are many places along the Minjiang River where water diversion works can be built. The superiority of Baopingkou is that the inlet could take advantage of good natural

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Fig. 13.3 Li Dui and Baopingkou Diversion Passage

conditions. The location of being on the cutbank provides good water power (less bed load and stable quantity of water); the cliff formation greatly reduces the regular management and maintenance costs of the project. These inlet engineering works remain until now. Dredging the two rivers (the Pijiang River and the Jianjiang River) to facilitate boat shipping is another contribution to the Dujiangyan Irrigation System by Li Bing. Because of the excavation of Li Dui, the Dujiangyan Irrigation System gained its first water inlet “Baopingkou.” This permanent water intake can be regarded as the world’s oldest project; “flowing through” the two rivers of Chengdu, water in the Minjiang River can enter Chengdu City. In fact, the two rivers were two trunk channels for water in the Dujiangyan Irrigation System to enter the capital of Shu Prefecture of the Qin Dynasty, Chengdu, and now have been developed into an upper part of the Zouma River and two branch channels and a lower part of the Fuhe River and Nanhe River in now Chengdu City. Before the construction of the Dujiangyan Irrigation System, there were natural rivers, ponds, and depressions in the Chengdu Plain, most of which, however, were disconnected and were seasonal water. In the early stage of building this system, the core projects were cutting off Li Dui to divert water and dredging the “two rivers” in Chengdu, namely regulating waterways. The establishment of the Dujiangyan

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Irrigation System transformed the natural water system of this plain and the two rivers created a new river on this plain, connecting waterways on the plain and the Minjiang River and thus providing stable water source support as well as unobstructed flood channel for irrigation and water transportation on the plain. The excellent hydraulic engineering condition has brought broad prospects for the development of the Chengdu Plain area. During the reign of Emperor Wen of the Western Han Dynasty (180 BC–157 BC), the governor of Shu Prefecture, Wen Weng, “dug inlet in the Jianjiang River and irrigated 1700 hectares of farmland in Fan.” Fan refers to Fan County in Shu Prefecture (now Xindu District in Chengdu City). This is the earliest record for the development of the Dujiangyan irrigation area. The project of “digging inlet in the Jianjiang River” set up by Wen Weng not only expanded the irrigating area for farmland or opened up plentiful new rice fields, but also linked the inner river system in Dujiangyan with the Tuojiang River, which played a coordination role in the complementary regional abundant and dried up water sources. The expanded irrigation area, “Fantian, farmland in Fan County,” was located at the watershed of the Minjiang and Tuojiang River, which guaranteed irrigation water source for the northwest of the Chengdu Plain. In the Eastern Han Dynasty, Wangchuanyuan was dug to divert water from the Pijiang River to irrigate the area around Guangdu, the now Shuangliu County of Chengdu City. Wangchuanyuan is now the Muma Mountain in Shuangliu County. “Digging up stones for twenty li (a Chinese unit of 500 meters)” was a huge project. These two canals were located on the tableland in the middle of the Chengdu Plain, which suggests that a perfect canal system had been established on the Chengdu Plain during the Eastern Han Dynasty and was extending to the edges and tableland in the middle. The early benefits of the Dujiangyan Irrigation System were attributed as “the benefit for boat transportation” by Sima Qian while irrigation was a derivative benefit. After the dredging of the two rivers, supplies for the Qin State from Chengdu City and Sichuan Basin could be transported northward to the now Dujiangyan City area by waterway and then to the Qin State through land transportation or southeastward passing the Minjiang River to enter the Yangtze River watercourse. The passage of the two rivers played an important role in the development of the Chengdu Plain. Because of convenient water transportation, the population along the two rivers increased gradually and docks, villages, towns, and cities appeared. In the Han Dynasty, Pi County was set along the upstream of the Pijiang River while Fan County (now Xinfan Town in Xindu) was set on north bank. Xindu County was set between the Jianjiang River (now Puyang River), and the Pijiang River and Guangdu County (now Shuangliu District in Chengdu) was set in the southwest of Chengdu between the Pijiang River and left bank of the Minjiang River. During the Yuanshi Period of the Han Dynasty (1 AD–5 AD), there were 76,256 households in Chengdu, which accounted for 10% of the total households in five prefectures in Sichuan at that time, and Chengdu had become a large city with population density second only to the capital city, Changan. When it comes to the middle of the Eastern Han Dynasty, the population on the Chengdu Plain had reached 1.8 million, the largest in the history before the Jiaqing Period of the Qing Dynasty.

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The pervasiveness of hydraulic engineering in Shu promoted the development of rice cultivation on the Chengdu Plain in the Han Dynasty. At that time, “rice crops were growing in Mian and Luo (now Mianzhu City, Deyang City and Guanghan City) and 30 hu could be harvested in 1 mu (¼ 0.0667 hectares), sometimes 15 hu,” which in today’s measurement was about 400 to 780 jin (a Chinese unit of weight, 0.5 kg) for every mu. In the Land of Abundance (the epithet of Sichuan Province), Pi County and Fan County were the richest area, which were so described as “Pi and Fan being fertile and Mian and Luo being plenteous.” (Hua Yang Guo Zhi (Annals of Huayang Area), Volume 3 and 18.) The area of these two counties were much larger than today, which equals to the territory scope of now Dujiangyan City, Pi County, Peng County, Xindu District, Qingbaijiang District of Chengdu City, and Jintang County. Obviously, these places, which are located in the northeast and northwest of Chengdu Plain, the area now between two trunk canals of the Puyang River and Baitiao River, cover the most guaranteed area for irrigation by the Dujiangyan Irrigation System.

13.2.2 The Creation of the Land of Abundance Attributed to Hydraulic Engineering (From the Three Kingdoms Period to the Tang Dynasty, 220–961 AD) After the Han Dynasty, the irrigation benefits of the Dujiangyan Irrigation System gradually became its main function. During the Three Kingdoms Period, Sichuan became the weakest kingdom among the three kingdoms – the Kingdom of Shu Han, and confronted with the other two powerful kingdoms of Wei and Wu by virtue of the superior natural environment and hydraulic engineering condition. During the period from post Three Kingdoms until the Former Shu and Later Shu States in the Five Dynasties Period after the Tang Dynasty, this Land of Abundance created by hydraulic engineering maintained a 700-year prosperity on the Chengdu Plain, when the Dujiangyan Irrigation System and its canals and ditches were the most benefitting hydraulic engineering project. During the Sui and the Tang Dynasties, the area of artificial lakes in the inner city of Chengdu was the largest by far and water environment in the Dujiangyan beneficial area was also the best. (1) Improvement of Hydraulic Engineering in Irrigation Areas from the Kingdom of Shu Han Period to the Tang Dynasty (Fig. 13.4) In the first year of the Zhangwu Period, Liu Bei proclaimed himself as king in Chengdu and thereafter the Kingdom of Shu Han, insular in Sichuan, began the tripartite confrontation with the powerful Wei Kingdom and Wu Kingdom. Chengdu became the capital of this locality separatist regime (220 AD–265 AD). During that time, the Wei Kingdom had a population of about 4.43 million in 12 states, 93 prefectures, and 720 counties, and the Wu Kingdom had a population of 2.3 million in 4 states, 43 prefectures, and 331 counties, while in the Kingdom of Shu Han there were only 940,000 people in 1 state, 22 prefectures, and 100 counties, which made it

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Fig. 13.4 A token for embankment protection owned by Chengxiang Zhuge Liang

the smallest and weakest one. But this regime lasted for 44 years for which the material base was undoubtedly an important condition. In 211, after taking Chengdu as the capital, King Liu Bei accepted the advice of the Chengxiang (prime minister in ancient China), Zhuge Liang, and carried out the policy of “developing agriculture and recuperating strength.” The first step to strive for economic development is the operation of the Dujiangyan Irrigation System. In April of the 14th year of the Jianxing Period (236 AD), “King Liu Shan arrived at the Jianjiang River, ascended a height to watch the Wenshui River flowing and returned to Chengdu after a few days.” (San Guo Zhi -Shu Zhi (Annals of Three Kingdoms History of Shu) (Volume 33). Zhonghua Book Company, P897). The time when King Liu Shan stayed in Du’anyan (the old name for Dujiangyan) was the time for rice transplanting and intense irrigating, so “watching the Wenshui River flowing” was probably a visit to irrigation sacrificial rites activity. The Kingdom of Shu Han set Du’an County and appointed houxiang (county governor) which was rare among state and county officials, and this was also the first time in the history of Dujiangyan City that an administrative unit at county level was set. (Song Shu-Zhou Jun Zhi (History of Song Treatise on States and Prefectures) (Volume 38). Zhonghua Book Company, P1175). In the Jin Dynasty, Dujiangyan was called “Du’an Weir (Du’anyan)” or

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Jianyan Weir or Golden Embankment (Jindi). Whether the weir was named after the county or vice versa is not important. What’s important is setting an administrative unit of county in the starting place of the canals in the Dujiangyan Irrigation System, which is bound to be conducive to its annual repair and water resource management. Hydraulic engineering played a decisive role in regional economy of the Kingdom of Shu Han during the Three Kingdoms Period. Under the regime of the Kingdom of Shu Han, the token for embankment protection was evidence for hydraulic engineering management. In the third year of Zhangwu Period (223 AD), the Kingdom of Shu Han issued a token for embankment drafted by Chengxiang Zhuge Liang. This earliest existing decree for flood control was inscribed on a monument and erected on the riverbank. The inscription reads, “Chengixang Zhuge gave the order to build a nine-li (1 li ≈ 500 meters) embankment to protect the capital from flood. Now the project has been completed and thus hereto inform all the citizens not to occupy or damage the embankment. Violation will be seriously punished by the law.” The nine-li embankment was along the Pijiang River and now Jiulidi (nine-li embankment) is still the name for the area on the right bank of the Fuhe River around the Xibei Bridge in Chengdu City.

In the Eastern Jin and Western Jin Dynasties, Chengdu became the capital of the local regime, Chenghan, which lasted for 47 years. During the reign of Emperor Hui of Western Han Dynasty (290–306 AD), taking the chance of the decline of Jin, in 300 AD, Cishi (prefectural governor) of Yizhou, Zhao Xin resorted to the power of Li Te, the displaced man, to cut off the passage between the Central Shaanxi Plain and Shu to fight against the imperial government, and since then Yizhou had been thrown into great turmoil. In 302 AD, Li Te led 20,000 refugees from 6 counties in Yizhou to occupy Chengdu and established the reign of “Jianchu.” When Li Te died in the battle, Li Xiong succeeded him. In the third year of Taian Period of the Western Jin Dynasty (303 AD), Li Xiong proclaimed as the King of Chengdu, established the Chenghan Regime and set capital in Chengdu. With Chengdu being the political center, this regime ruled what is now Sichuan Province and part of Shaanxi, Gansu, and Yunnan Province. In the third year of Yonghe Period of the Western Jin Dynasty (347 AD), the battle between General Huan Wen and King Li Shi at Zeqiao Bridge (now Wanli Bridge) in Chengdu put the Chenghan Regime to an end. In the same year, Chang Qu from Jiangyuan (now Chongzhou City east on the Dujiangyan City) finished his book Hua Yang Guo Zhi (Annals of Huayang Area), recording the history of Shu up the ancient Shu State and down to the last king of the Chenghan Regime. Over 300 years from the Three Kingdoms Period to the 16 kingdoms to the Eastern and Western Jin Dynasties, the Chengdu Plain remained prosperous most of the time despite some chaos and wars. The records of the Chengdu Plain and its hydraulic engineering in Hua Yang Guo Zhi (Annals of Huayang Area) by Chang Qu and Shui Jing Zhu (Commentary on the Waterways Classic) by Li Daoyuan in the Northern Wei Dynasty are detailed and vivid. In the description in Zuo Si’s famous Shu Du Fu (Ode to the Capital of Shu), “waterways flew separately and smoothly and residential places clustered and intersected; millet crops grew prosperously and japonica rice thrived everywhere. Water flowing from channels is like flowing down from the cloud and water flowing from canals moisten

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the farmland,” the channels and canals in Shu is vividly depicted. (Zuo Si, Shu Du Fu (Ode to the Capital of Shu) from Collections of Articles in the Period Including Xia, Shang, Zhou, Qin, Han, Three Kingdoms and the Six Dynasties ·Articles of Jin (Volume 74) proofread and edited by Yan Kejun. Zhonghua Book Company, 1958, P1882). After the Sui Dynasty put an end to the separatist regime period after the Three Kingdoms, China entered a period of unification during the Sui and Tang Dynasties, which brought stability to China for several hundred years. During this time, the two economic zones, Yangzhou and Yizhou, became vital places for national economy in the Tang Dynasty and the Five Dynasties and Ten Kingdoms Period afterwards. Yangzhou, by right of being the hub of grain water transit in the south of the Yangtze River and southeast China, and Yizhou, by virtue of being grain production area, stood side by side as important areas for the central government of the Tang Dynasty. In the middle of Shengli Period of the Tang Dynasty (698–700 AD), Chen Ziang asked for the exemption of levying on land production for the army due to the overloading grain levy and used general taxation instead, suggesting the policy of benefiting the country by enriching the people: “there is a rich place in the country, Ba and Shu, which is the land of treasure and abundance. The military supply, courier station supply and merchandise supply in the several zhou (an ancient administrative division) all came from Shu. All which are treasures of Shu State, in addition to the national storehouses.” (Chen Ziang, “Study on Militant Affairs in Shu and Study on Affairs beneficial to the Country”. The Essays of Chen Boyu (Volume 8). The first edition of Si Bu Cong Kan, P68–69). The prosperous Shu area really greatly supported the central government during the Rebellion of An Lushan and Shi Siming. In the 15th year of Tianbao Period of the Tang Dynasty (756 AD), Emperor Xuanzong was exiled to Chengdu and for a time took it as the temporary capital, “Nanjing.” Later, when Huang Chao’s rebels were marched at Chang’an, Xizong fled to Chengdu in the second year of Guangming Period (881 AD) and Chengdu once again became the temporary home for the imperial household of Tang. In the Tang Dynasty, there were 14 counties in the irrigation area of the Dujiangyan Irrigation System, among which 12 counties were in Yizhou and 2 in Pengzhou. In 280 AD, Dujiangyan’s canal project continued to extend to the south of the Chengdu Plain, that is, the middle reaches of the Minjiang River (Table 13.1). Some of the irrigation projects built in the Tang Dynasty are still in use today, such as Xinyuan Water and Tongjiyan (the Tongji Weir). The maturity of Dujiangyan Irrigation System in the Tang Dynasty was also reflected in the improvement of the organization and management system in the irrigation area. From the head of canal to the irrigation area, there had been strict annual repair system, which was presided over by county officials as their main government affairs. Local government officials of each county in the Chengdu Plain especially in the upper reaches of the Dujiangyan irrigation area were responsible for the annual repair project in their levee areas and common people should bear the double burdens of levy and service. For example, in Daojaing County, “the dams of the county were in the upper reaches and it was normally called the county of onerous government affairs with heavy

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Table 13.1 Hydraulic engineering project built in the Dujiangyan irrigation area in the Tang Dynasty Locality Shu prefecture of Chengdu Fu (an administrative area in the tang dynasty which was at the same level as Zhou)

Pengzhou

Project name Wansui Pond

Description of project condition Banking, “ponding for irrigation”

Guanyuan Canal

“The canal bank was over 100 li”

Wenjiang

Xinyuan water (now the Jiang’an river)

Water transport channel (open water transport for woods and bamboos of mountains to the west)

Jiulong (now northwest of Pengxian county)

No name, drawing water from mountain streams

“Irrigating the farmland in Jiulong and Tangchang”

Daojiang (now Dujiangyan city)

Shilang Weir, Baizhang embankment

“Irrigating the farmland in Yizhou and Pengzhou” (Yizhou was Shu prefecture which included 10 counties and

18 li (1 li ≈ 500 meters) north to Chengdu City

Presider and construction time Zhangshi (a post under prefecture governor) ZhangChou Jianqiong presided over the construction in the middle of Tianbao period (742–756 AD) Dugu Rongying was ordered to do the construction in the second year of Tianbao period (743 AD) King Yang Xiukai of Shu kingdom presided over the construction in the first year of the Kaihuang period of the sui dynasty (581 AD). In the 23rd year of the Kaiyuan period (735 AD), Zhangchou Jianqiong reopened the channel for some reasons Zhangshi Liu Yicong presided over the construction during Wu Zetian’s reign (684–704) They were constructed in the middle of Longshuo period (661–663 AD) (they should be two projects in (continued)

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Table 13.1 (continued) Project name

Locality

Description of project condition

Presider and construction time

Pengzhou included 4 counties)

the Dujiangyan irrigation system and were rebuilt after demolishment) Cishi (prefectural governor) Lu Cheng presided over the construction at the end of Zhenyuan period (805 AD) Caifangshi (a supervisor for prefectural governor) Zhangchou Jianqiong presided the construction in the 28th year of Kaiyuan period (740 AD)

Hanzhou

Luo (now Guanghan City of Sichuan Province)

No name, drawing water from mountain streams

“Building embankment and weir to irrigate over 400 qing (¼ 6.6667 hectares)”

Shuzhou

Xinjin

Yuanji (Tongji) Weir

“Irrigating the farmland in Tongyi and Pengshan of Meizhou” (now Tongji Weir)

Note: citation from Xin Tang Shu-Dili Zhi 新唐书·地理志 (New History of Tang – Treatise on Geography)

levies and thus arduous farm work. Diking concerns the safety of the county.” The time of annual repair was in the 3 months of winter (Du Guanting, “Cheng De Rou Jiao Shui Fu Dam Repair Ci (Collections of literature works of the Tang Dynasty), (Volume 939). Photocopy published by Zhonghua Book Company, 1983, P9772). (2) River and Lake System of Chengdu in the Tang Dynasty and the Five Dynasties. The formation of the river and lake system in Chengdu’s inner city represented continuous improvement of the hydraulic engineering system in Dujiangyan irrigation area. In the Ganfu Period of the Tang Dynasty (874–879 AD), Jiedushi (military commissioner) of Xichuan, Gao Pian presided over the construction of Meizao Weir and city moat, two hydraulic engineering projects that had the greatest impact on Chengdu’s water environment and thus changed the city river arrangement of “two rivers” embellishing the city in the front since the Han Dynasty. Meizao Weir was the head of the branch canal of Dujiangyan diverting water to Chengdu. It was located in now Pixian County northwest to Chengdu City and traversed the Pijiang River (the now Shidi Weir on Zouma River had the same location and function as Meizao Weir in the Tang Dynasty), drawing water in the Pijiang River eastward to newly dredged city river. The channel of the new city river

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Fig. 13.5 Water and lake system in Chengdu from the eighth to tenth century

went from the northwest to the southeast and then right to the south. The western and southern part of city river still followed the original channel of the Pijiang River and joined the new city river in the southeast of the city. The newly built channel is now the part of the Fuhe River in Chengdu urban area (See Fig. 13.5). City construction presided over by Gao Pian is unprecedented no matter in project scale or in labor employed. He transferred officials from Chengdu and eight of its neighboring counties to take charge of the construction. He called up labors from 10 counties, with the number of daily workers in service reaching 110,000 and the total number amounting to 9.6 million, to build a town of 43 li (1 li ≈ 500 meters). In the fourth year of Ganfu Period (877 AD), Luocheng town in Chengdu and its moat were completed. Thereafter, the city river pattern of two rivers encircling the city on three sides formed. The moat created by Gao Pian, “surrounded the periphery of Chengdu with causeways on it which accounted for 26 li. Part of moat was formed by diverting river water here and part was formed by digging the ground.” (Wang Hui, “Records of Creating Luocheng Town”. Quan Tang Wen(Collections of literature works of the Tang Dynasty)(Volume 793), P 8307–8310). New city river system actually included the hydraulic engineering projects of water diversion, channels, levees etc. and Meizao Weir and city moat were important parts of this system. The most influential project of Dujiangyan hydraulic engineering in the Tang Dynasty was the construction of the Mohe Lake and urban water channel system. The Mohe Lake was located in the middle and west of Chengdu city with upstream water down from the Pijiang River and then flowing toward southeast after entering

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the lake. Its downstream part was connected to outer rivers – the Liujiang River. Because of the emergence of artificial lakes like Mohe Lake, a municipal water system for water supply, flood storage, and detention and sewage discharges formed in Chengdu, which thus notably improved its landscape and living environment. The Mohe Lake was originally built in the Sui Dynasty. During the Kaihuang Period under the reign of Emperor Wen (581–600 AD), Cishi (prefectural governor) of Yizhou, Yangxiu governed Chengdu and presided over the construction of the palace there. A lake was created after the excavation for soil. The Mohe Lake was perfected in the middle of the Tang Dynasty. In the Sui Dynasty, it was only used to take in interval flood while in the Tang Dynasty, the newly built water channel diverted water from the Pijiang River into it and water flowed southeast through the channel to the Hejiang Pavilion to join the Jinjiang River. Due the abundant and stable water source, water level of the Mohe Lake rose greatly. The Mohe River wound for over 10 li (1 li ≈ 500 meters) and became a scenic spot for outing in the Tang Dynasty. There are poems of Du Fu that describe his boating and composing poems experience with his friends on the lake during his residence in Chengdu. Wang Yan, the son of the former King of Shu extended the Shu Palace in the third year of the Qiande Period (919 AD) by the lake, naming Xuanhua Garden. Pavilions, terraces, and towers stretched for a dozen li with extreme extravagance and ingenuity. The king of Houshu Kingdom, Meng Zhixiang also expanded Chengdu and the Shu Palace and planted Hibiscus mutabilis all over the city. In every September, they were in full bloom, making the city appear to be covered with brocade in distance and Chengdu thereby got its alias of Rongcheng (City of Hibiscus). The wife of King Meng Chang of Houshu Kingdom, Lady Pistil had brilliant talents, and she described the unparalleled scenery of the Mohe Lake and Xuanhua Garden in her famous Gong Ci 宫词 (Poem of Palace), leaving imaginary space of palace water system, Mohe Lake, for later generations: “Walls surround the three sides of the palace, and in it the lake is covered with endless whiteness. When you go in through the gate of lion statues, pavilions and terraces along the lake bank will emerge in front of you.” (Lady Pistil, “Gong Ci (Poem of Palace)”. Quan Tang Shi (Collections of Poems in the Tang Dynasty) (Volume 798). Zhonghua Book Company, P8971– 8981). In this poem, Lady Pistil described the water wheel by the lake that was made to create ticking sound near King Meng Chang’s bedroom. Through the vivid verse, the poetess had already implied her mourning for the fading: “Water wheel treads water in the palace, and ticking sounds are heard at eaves of bedroom hall. The King lying on bed is delighted by the sound, and falls into the dream of hearing tides on the beach far away.” (Idem). In the 28th year of Guangzheng Period (963 AD), the Later Shu Kingdom surrendered to the Song Dynasty. King Meng Chang and Lady Pistil were sent to Luoyang under escort. Over 200 years later, Lu You revisited Mohe Lake and wrote down the view on the lake: “The old lake Mohe and its garden draw me into ecstasy every time passing by. Water rises again in the spring and bushes in the frog cloaked past traces. Time passes like rolling wheels and affairs in the world vary like floating duckweeds. There are still swallows inhabiting on the palace beam, which carry mud through the sluice.” (Qian Zhonglian, Collation and Annotation of Collections of Lu

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You’s Poems (Volume 3). Shanghai Chinese Classics Publishing House, 1985, P29. This poem was written by Lu You in the ninth year of Qiandao period (1173)). In the Southern Song Dynasty, there was still a large body of water in the Mohe Lake and ruins of sluice, pavilions, and terraces remained. From west to east, the Liujiang River and the Mohe Lake in the city together formed a sophisticated municipal watercourse and garden system, forming a layout of connecting pavilions and terraces on inner city river bank with streets and marketplaces in neighborhood and interlacing gardens and workshops. The transformation of rivers and lakes in the Tang Dynasty created more water areas for the city, which also brought the threat of regional flood and flood control pressure. In addition, lack of management in the end of the Later Shu Kingdom period rendered rapid silting of city rivers and lakes. Eventually, in the summer of the 15th year of the Guangzheng Period of the Later Shu Kingdom (952 AD), a devastating flood submerged the whole city of Chengdu, causing over a thousand households to lose their homes, more than 5000 people to be drowned and the palace to be almost destroyed. Du Fu, a poet in the Tang Dynasty, composed his masterpiece on this, “people in Shu have been always boosting the stone rhinoceros’ role in flood controlling, that even inundating flood won’t reach Zhangyi Tower.” In the fourth year of the Tianyou Period of the Tang Dynasty (907 AD), Emperor Ai abdicated in favor of Zhu Wen, who set up the dynasty of Great Liang, which was also called the Later Liang Dynasty in the history and China enter the period of Five Dynasties and Ten Kingdoms. In the same year, Wang Jian, the jiedushi (military commissioner) of Xichuan in the Tang Dynasty, preclaimed himself as King in September in Chengdu and set up the regime of Great Shu, which was called the Former Shu Kingdom in the history. In the third year of the Tongguang Period (925 AD), the Later Tang Dynasty sent troops to destroy the Former Shu Kingdom. In the fifth year of the Changxing Period (934 AD), Meng Zhixiang, the jiedushi (military commissioner) of Xichuan of the Later Tang Dynasty, proclaimed himself as King in Chengdu and also named the kingdom as Great Shu, which was called the Later Shu Kingdom in the history. Both the two separatist regimes of Former Shu and Later Shu cut off their contacts with the Central Plains and defended themselves by virtue of natural chasm of mountains and rivers. Compared with the violent cultural unrest in the north, the Former Shu and Later Shu Kingdoms were in a paradise of peace and prosperity. Peace in areas along the upper reaches of the Yangtze River lasted for nearly 70 years under the reign of these two kingdoms. Chengdu’s favorable hydraulic engineering condition and developed agricultural economy not only attracted immigrants running from social upheavals from the Central Plains, but also gathered folk wealth. The luxurious practice permeated everywhere in both palace and residential blocks. In the middle of the Qiande Period of the Northern Song Dynasty (963–968 AD), General Wang Quanbin launched troops to the Later Shu Kingdom. The kingdom surrendered. After subjugation, King Meng Chang of the Later Shu was sent to the capital, Kaifeng, and was entitled as Lord of Qin State. It had been 13 years since the destroying of the Later Shu Kingdom and the Mohe Lake, which was once “covered with boundless expanse of whiteness,” had been shriveling and the city moat had been gradually silted.

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13.2.3 Expansion of the Irrigation Area and Benefits for Farming and Sericulture (960–1368 AD) Since the tenth century, the management of the Dujiangyan Irrigation System has been greatly enhanced on the institutional level, from canal head projects to irrigation area. An interdependent as well as relatively independent engineering and utility water use management system formed between the government and nongovernmental organizations. Governmental management, ranging from canal head to irrigation area, was organized clearly and coordinating at all levels and in various types and was composed of three mutually restricted administrative systems of inspection, administration, and engineering. The boundary between governmental and nongovernmental management was defined by the project beneficial range: trunk and branch canals across administrative region at county level were in the scope of governmental management with the funding source and organizing of labor apportioned by the central government; the use of water in channels and ditches below branch canals would be managed by users themselves, and the county-level government played a coordinating role in water allocation on both banks of the upper and lower reaches. In addition, the link between different levels of governmental and nongovernmental management was the government-led Water God worship activities related to irrigation and annual maintenance. The irrigation management system and water utilization culture gave long-lasting vitality to the Dujiangyan Irrigation System. The Rise and Fall of the Dujiangyan Irrigation System Compared with the chaotic north during the Five Dynasties period, Sichuan did not experience fierce wars during the transition from the Later Shu Kingdom to the Northern Song Dynasty. Based on the development of the Later Shu Kingdom, the economy and trade on the Chengdu Plain in the Song Dynasty were full of vitality. Then, Sichuan was divided and belonged to 4 lu (the first level administrative division in the Song Dynasty) respectively: Chengdufu Lu (governing Chengdu), Zizhou Lu (governing Zizhou, today’s Santai County in Sichuan Province), Lizhou Lu (governing Xingyuan, today’s Hanzhong City in Shaanxi Province), Kuizhou Lu (governing Kuizhou, today’s Fengjie County of Chongqing City). Population density and land development and utilization in different lu were very unbalanced. Land development and utilization rate on the Chengdu Plain had reached full exploitation, and the hilly land in the middle of Sichuan Basin had also been exploited at large, but the vast land in Lizhou and Kuizhou was still sparsely populated. During the Song Dynasty, both the number of households and population in Chengdufu Lu took up more than half of the total among the four lu, and its population density was also the top across the country, reaching 45–57 people per square kilometer. In the early period of the Northern Song Dynasty, the number of households in Sichuan accounted for about 17% of the total number at that time. Later, with the economic rehabilitation in other parts of the country, their population gradually increased, but in the middle and later period of the Northern Song Dynasty,

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the number of households in Sichuan still accounted for about 10% of the total. In the Southern Song Dynasty, the proportion of households in Chengdufu Lu declined from 50% to about 40%. A large population from the middle and lower reaches of the Yangtze River, the now Hubei and Jiangxi Provinces, migrated to Sichuan, and the population rates of Lizhou Lu and Kuizhou Lu rose from about 10% in the Northern Song Dynasty to 15% respectively among the four lu of Sichuan. By contrast, the Chengdu Plain had been fully developed, so the immigrant population mostly settled in the hilly area in the middle and east of Sichuan that was sparsely populated and had poor economy and natural conditions. In the Yuanfeng Period of the Northern Song Dynasty (1078–1085 AD), the average cultivated area per square kilometer nationwide was 184 mu (1 mu ¼ 0.0667 hectares), and the figure for Liangzhe Lu was 296 mu, while in Chengdufu Lu it was as high as 394 mu, greatly exceeding the general average and over 100 mu more than that in Liangzhe Lu. During the Tang and Song Dynasties, the continuously developed agricultural economy on the Chengdu Plain made the area highly populated and rank the first in the reclamation and cultivation rate across the country with a scene of thousands of people cultivating food for tens of thousands. In the Southern Song Dynasty, Sichuan bear 1.5 million shi (an ancient Chinese unit of dry measure for grain, 1 dan≈ 97 kg in the Song Dynasty) of grain for the army in Sichuan and Shaanxi, making up 30% of the total army provisions. The Chengdu Plain provided the vast majority of it and was the main supplying place for the nation’s army provisions. Wei Liaoweng from the Southern Song Dynasty wrote, “provisions for the army in Shu area are 1.5 million shi grain, most of which come from Xizhou Lu. Every year in the irrigation area of Dujiang Weir (Dujiangyan) and Tongji Weir, there will be a good harvest.” (Wei Liaoweng, “Record of the Newly built Mayi Weir in Meizhou”. A Complete Collections of Heshan’s Works (Volume 40). Si Bu Cong Kan edition, P340–341). During this period, the irrigation area of Tongji Weir, which was located in the downstream of Dujiangyan, reached 340,000 mu (1 mu ¼ 0.0667 hectares) and became another important irrigation area along the Minjiang River. The region north of the Yellow River in the Northern Song Dynasty and the region north of the Yangtze River in the Southern Song Dynasty were occupied by the Liao and Jin Dynasties successively. As the strategic rear and economic center of the Song Dynasty, the Chengdu Plain’s position as an important transportation hub surpasses that in the Tang Dynasty. In the Song Dynasty, wealthy businessmen from all over the country gathered in Chengdu and large bulk of goods produced in Shu such as specialties like Sichuan brocade, piece goods, grain, tea, and medical herbs and all kinds of handcrafts were transported to the southeast along the ship route of Minjiang-Yangtze River or to the northwest on land through the Jianmen Pass. The trunk and branch canals of the Dujiangyan Irrigation System on the Chengdu Plain were almost all navigable waterways, which kept functioning until the 1950s. To meet the needs of block trade, world’s first paper money, jiaozi, appeared on the Chengdu Plain as currency and spread to other parts of the Song Dynasty. In the Song Dynasty, there were up to over 40 kinds of Sichuan brocade on the Chengdu Plain, which exceeded those in the Tang Dynasty. The Sichuan brocade and silk fabrics woven every year, such as twill-weave silk, silk gauze, satin,

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damask, gauze, and juan (thin and tough silk), were traded to the region around Lin’an along the Yangtze River, apart from those requisitioned by the central government, with an annual volume of about several hundred thousand piece goods, some of which were resold overseas. In linen production areas including Chengdufu, Qiongzhou, Shuzhou, Pengzhou, Hanzhou, and Yongkang, linen production only for government purchase could reach 700,000 piece goods every year, accounting for 70% of the country’s total cloth income, top of all lu. The average annual commodity tax on commerce and handcraft industry collected from the Chengdu Plain reached more than 330,000 guan (1 guan is a string of 1000 coins), taking up 74% of the total commodity tax in Sichuan. Jiangzhe Lu was the only region comparable to it. The commodity tax of villages and towns along rivers of the Dujiangyan Irrigation System, such as Daojiang Town, Mengyang Town, Pucun Town, and Jiankouchang in Pengzhou (governing today’s Pengxian County area) and Weijiang Town in Shuzhou (governing today’s Chongzhou City area), exceeded that of zhou or even the nation’s tax collection pass. For example, the annual commodity tax collected by the Jianmen Pass was 7948 guan while in Mengyang Town along the trunk canal of Neijiang achieved 10,724 guan. In the late Song and early Yuan Dynasties, the Chengdu Plain was ravaged by wars. The Yuan’s conquering war on the Southern Song Dynasty started in Sichuan, putting the Chengdu Plain in unprecedented war disasters from the end of the Southern Song Dynasty until the early period of the Yuan Dynasty. In 1234, the third son of Genghis Khan, Ogedei, destroyed Jin and took the area north of the Yellow River into his territory. The Mongolia army attacked Chengdu three times in the second year (1235) and third year (1236) of the Duanping Period and fifth year (1257) of the Baoyou Period of the Southern Song Dynasty, respectively. In 1236, the army of Yuan occupied 54 of the 58 administrative districts in Sichuan. The war between the Song and the Yuan Dynasties incessantly lasted for 50 years in the Sichuan Basin, caused the death of 70–80% of Sichuan’s population. Chengdu, the center of this war, suffered from dramatic decrease in population and devastating damage of the whole city. In the second year of the Chunxi Period of the Southern Song Dynasty (1175), there were 182,000 households with a population of 590,000 in 9 counties of Chengdu Prefecture, but this bustling city almost became empty after over one million people were killed in the three massacres by the army of Yuan. According to the statistics of the 27th year of the Yuan Dynasty (1290), there were only 32,900 households with a population of 216,000 in Chengdu Lu, which is only one third of that in the Southern Song Dynasty. After Sichuan was stabilized in the middle of the Yuan Dynasty, Chengdu was set as a lu and nine counties on the Chengdu Plain were allocated into seven zhou with three governed by Shifang, Deyang, and Mianyang of Hanzhou, two governed by Pengzhou and Chongqingzhou, and one each in Anzhou and Weizhou. In the Southern Song Dynasty, there were two counties of Daojiang and Qingcheng in Guanzhou, but in the early Yuan Dynasty, the population was too small to set county, so they were merged into a tun (village). The actual rule over Sichuan by the Yuan Dynasty started from the rehabilitation of hydraulic engineering in Chengdu. In the first year of the Yuan Dynasty

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(1264), Sayyid Shams Din‘Umar was the administrative governor of Qin and Shu area, ruling the two xingsheng (provinces, the first level administrative unit in the Yuan Dynasty) of Shaanxi and Sichuan. He implemented a series of appeasing policies in Sichuan including repairing and maintaining roads, setting courier stations, calling up refugees to open up wasteland and grow food grain, and developing agriculture. Three years later, the agricultural economy of Sichuan recovered. During his 10 years’ tenure in Shu, he restored the hydraulic engineering projects that were destroyed by war and brought the Dujiangyan Irrigation System into government management. Later, he was transferred to Yunnan and introduced the technology of the Dujiangyan Irrigation System there, building Songhua Dam over the Panlong River of the Dian Lake water system, a water diverting project without the use of dams identical to the pattern of Dujiangyan projects. In the middle and late period of the Yuan Dynasty, Dujiangyan irrigation area recovered to full vigor and vitality, annual repair and maintenance normalized, and grain levy rose to the first place in the whole Sichuan Province. There were water mills, water-powered rollers, and water-powered spinning wheels everywhere on the Chengdu Plain along the canals of Dujiangyan Irrigation System, “running ceaselessly from season to season.” (Jie Xisi, “Da Yuan Chi Ci Xiu Yan Bei (Stele in Memory of Weir Construction Inscribing Edict by the Emperor of the Yuan Dynasty)”. The Complete Works of Jie Wenan (Volume 7). first edition of Si Bu Cong Kan, P113). In the Song Dynasty, tijuguan (a government position in charge of water management) was taken by the censor assigned by the central government to inspect and supervise local hydraulic engineering. Shouchen (local governor) and tongpan (a government position in charge of grain shipment, farming, hydraulic engineering, and lawsuit) were local administrative officers for lu and fu who were in charge of water management in the irrigation area; county magistrate would hold annual repair and maintenance as well as daily project management. The project and personnel conditions of the Dujiangyan Irrigation System including the project forms and labor, materials, as well as presider for annual repair and maintenance were all documented in files for check. (Song Shi-Hequ Zhi (The History of Song—Treatise on Rivers and Canals), the annotated edition of Treatise on Rivers and Canals in the Twenty-five Histories. “Assign xianchen tiju (offical of cencorate), shouchen tidu (administrative governor at the level of lu) and tongpan tixia (officer in the government of fu and zhou). Compose documents in each county to record the height, width, depth of weirs, area of irrigation land, labor, materials and supervising officers and examine the performance to decide the reward at the end of year”). In the Daguan Period of the Northern Song Dynasty (1107–1110), to counter the problem of serious embezzlement of project fund in the annual repair and maintenance of the Dujiangyan Irrigation System, the imperial government issued Prohibitions about the Repairing of Weirs on Rivers in the Shu Area: those who made a project budget greatly over actual expenditure would be punished for corruption; those who appropriated surplus project fund would be punished for embezzlement. The Yuan Dynasty continued to use the old mutual restriction system for the Dujiangyan project management. The nation’s administrative power over water

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administration of the Dujiangyan irrigation area was exerted through annual repair and maintenance projects and inspection, while the review and verification of project fund and achievement assessment of different officials were realized through the imperial censorate that had the real power of management and supervision. In the second year of the Yuantong Period (1334), Ji Dangpu, an official in the Su Zheng Lian Fang Si (a local judicial organ in the Yuan Dynasty) of Sichuan sharply cut 101 annual repair and maintenance projects from the previous rated 133 with only “32 essential projects left and all others abandoned” (Jie Xisi,“Da Yuan Chi Ci Xiu Yan Bei (Stele in Memory of Weir Construction Inscribing Edict by the Emperor of the Yuan Dynasty)”. The Complete Works of Jie Wenan (Volume 7). first edition of Si Bu Cong Kan, P113). Citation: The imperial edict about the management of the Dujiangyan Irrigation System issued during the reign of Emperor Huizong at the end of the Song Dynasty Prohibitions about the Repairing of Weirs on Rivers in the Shu Area (21th July, the 2nd year of the Daguan Period)

Taking the advantage of rivers in the Shu area, we built weirs to irrigate farmland, which also can be used to provide water during drought and divert water during flood, so aridity and water logging won’t afflict this area. However, the fund of annual repair and maintenance is collected from the public, but some of the project holders perform jobbery and people living along rivers are suffering from unrest. From now on, if there is presumptuous budget report, the surplus project fund will be taken as embezzled money; those who appropriated surplus project fund will be punished for embezzlement. Reporting is allowed. Cited from Collections of Main Edicts in the Song Dynasty-Farming (Volume 182). Li Bing of the Song Dynasty was recorded in ceremony record book for officials of national merits and enjoyed the memorial ceremony held by officials. Song Shi· Li (The History of Song – Treatise on Rites) says, “In all ancestral temple and shrines, all of those who were recorded in local chronicles and made contributions to people and society in their life time and those who were worshipped in mausoleums, Taoist temples and shrines and had the ability of bringing rain to people should be added in the ceremony record book with embellishing description.” In the seventh year of the Kaibao Period of the Northern Song Dynasty (974 AD), Li Bing was granted the title of “King of Guangji,” and during the reign of Emperor Huizong, he was again granted the title of “Duke Lingying.” According to the norm of etiquette in the Song Dynasty, the title of duke should be first granted, then marquis, and then king, but later this norm was substituted by a system of taking the highest one. Before long, this new disorderly system was abandoned by the government. In the first year of the Chunxi Period of Southern Song (1174), guided by Taoism, the religious sacrificing ritual of worshipping Li Bing and his son was held on the day of opening weirs after annual repair and maintenance, and this activity evolved into an annual Taoist activity held by the

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authority to worship Libing and his son. After developing for generations, it has become a folk festival with religious features in Dujiangyan. Li Bing was bestowed upon with the title of king and then received honoring sacrifices and the sacrificing rituals organized by the authority became indispensable ceremonies on the days of closing and opening weirs for Dujiangyan’s annual repair. The rituals were held in Chongde Temple and in the Northern Song Dynasty; their standard was the same as that of the “Five Sacred Mountains.” A supervising position was set in the temple to intervene in temple affairs on behalf the imperial government. Since then, the government had always exerted administrative power on Chongde Temple. When it came to the Southern Song Dynasty, over 50,000 sheep were sacrificed every year making the scene of over a hundred butchers killing sheep in front of the temple. Because people needed to pay sheep tax if they sold or killed sheep, the Yongkang Army received bulk tax revenue from this. In the first year of the Zhishun Period of the Yuan Dynasty (1330 AD), Li Bing was bestowed upon the title of King Shengde Guangyu Yinghui (圣德广域英惠王) (Volume 35 of Yuanshi (History of Yuan), Wenzong Benji (Annals of Emperor Wenzong)). The cost of the sacrificing rituals in the Yuan Dynasty was included in the annual repair and maintenance funds, which were drew from water rate (Minyong 民庸) collected from people. The sacrificial scale could not be compared with that in the Southern Song Dynasty, but the ritual had been stylized.

13.2.4 The Management of the Dujiangyan Irrigation System in the Ming and Qing Dynasties (1368–1950 AD) In the Qing Dynasty, the Dujiangyan Irrigation System continued to function beneficially with well-developed management system and the Chengdu Plain maintained its advantage in regional agricultural economy. According to the statistics in the 1940s, the population density of the Dujiangyan irrigation area was about 600 people per square kilometer, only second to the Taihu Lake basin and the Pearl River Delta. Within the irrigation area, the area of cultivated land only took up 0.88% of the total in Sichuan while rice planting area accounted for 10% and the yield constituted 11.3% of the total. The modern names of the works and facilities at the head of the Dujiangyan weirs as well as trunk and branch canals basically came from the Ming and the Qing Dynasties. The evolution of today’s most canal head works and trunk canals in the irrigation area can be easily recognized in the record of past 500 years. For example, the water dividing and diversion project, Yuzui (Fish Mouth), was named as Xiangbi (Elephant Trunk) in the Song Dynasty, Dujiangyan in Ming and Yuzui starting from the Daoguang Period of the Qing Dynasty; the flood discharge and sand drainage works, Feisha Weir (Flying Sand Weir), was named as “Shilangyan (Assistant Minister Weir)” in the Song, Yuan, and Ming Dynasties and was renamed as Feisha Weir until today from the Daoguang Period of the Qing Dynasty; the water inlet, Baopingkou (Bottle Neck), was once been called “Lidui” starting from the Song Dynasty, and this name came from the late Qing Dynasty. In addition, the auxiliary

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facilities like water dividing and water drawing works were basically identical to spur dikes, diversion dikes, and breakwaters constructed from bamboo cages and wood tripods in terms of structure and materials. Water deployment mechanism, annual repair, and construction supervision as well as management system and religious sacrificing ceremony in the irrigation area were passed on until the 1950s. (1) Dujiangyan Trunk and Branch Canal System and Its Management in the Ming Dynasty In the fourth year of the Hongwu Period of the Ming Dynasty, the Chengdu Plain was peacefully incorporated into the territory of Ming. However, in the transitional period between the Yuan and Ming Dynasties, the calamity of war on the Central Plain caused a large number of immigrants, mainly from Hubei to flood into Sichuan. In the early Ming Dynasty, the population in Sichuan surged with Chengdu’s population soaring from 84,000 households to 233,000, an increase of nearly three times between the fifth year (1372) and 24th year (1391) of the Hongwu Period. Minshi·Hequzhi (History of Ming – Treatise on Rivers and Canals) writes, “(in the 9th year of the Hongwu Period), constructions of the Dujiangyan Irrigation System in Pengzhou were restored.” This was the first major repairing project for rehabilitation in the early Ming. During the 300 years of the Ming Dynasty, a special official, called hydraulic engineering Qianshi, was set in Chengdu Prefecture for irrigation management of the Dujiangyan Irrigation System. At that time, Dujiangyan was often particularly referred to canal head works, whose annual repair and maintenance were funded by national treasury and also directly involved in by county and provincial governments as well as the censor appointed by the central government in the province, which formed a mutually restricted management system of administration and inspection. Sichuanzhi-Shuili (The Annals of Sichuan – Records of Hydraulic Engineering Projects) of the Zhengde Period of Ming recorded the branch level weirs managed by different counties of the Dujiangyan irrigation area in the fifteenth century, and many weir names are still in use today. In the records of Sichuanzhi-Shuili (The Annals of Sichuan – Records of Hydraulic Engineering Projects) of the Tianqi Period of Ming, the number of weirs whose annual repair was undertaken by different counties was far more than before while in Du Shi Fang Yu Ji Yao (Essentials of Geography for Reading History) written by Gu Zuxi in the late Ming and early Qing dynasties, the number of weirs and canals taken charge by different counties showed some discrepancy; this is because the numbers of weirs and canals that were included in governmental annual repair differed in each period. Citation: The basic situation of the Dujiangyan irrigation in the fifteenth century Outline of the Dujiangyan canal system recorded in Chengdufu Zhi-Shuili (In the Tianqi Period of Ming) Chengdu County: there are only 121 weirs in this county for farmland irrigation on rivers connected to rivers in Xinfan County and Pixian County. Every year they will be maintained and repaired according to government orders, so there are no decrepit ones.

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Huayang County: this county has jurisdiction over inlets starting from Sanli Weir. One water division flows through Jinhua Weir to Huyan Weir and irritates Jinjin Li (an ancient administrative area) and another flows in Cuqiao River and is subdivided into Hebao Weir, flowing down through Liuhuang Weir, Mugua Gate, Zijia Weir, Dagu Weir, Qiushui Weir, Quchi Weir and Maxiao Weir for the irrigation of Yongan Li. The water in Langan Weir flows down to Longzhua Weir, Banqiao Weir, Laoya Weir, Dachun Weir and Wazi Weir for the irrigation of Jinjin Li and Yongan Li. There are altogether 15 weirs. Shuangliu County: there are 69 weirs and ponds the water of which is all originated from Dujiangyan (Dujiang Weir) and flows by Yangwu Pier and Yushi Weir. There are 19 weirs and 3 ponds in Yongfu Town, 11 weirs and 2 ponds in Yongfeng Town and 10 weirs and 5 ponds in Erjiang Town. There are 4 weirs and 7 ponds in Shilong Town and 4 weirs and 3 ponds in Chunhua Fang. There are (altogether 48 weirs and) 103 water mills. Wenjiang County: the water in hydraulic engineering facilities comes from the Minjiang River, which is blocked and diverted to irrigate tens of thousands hectares of farmland. Starting from Lujiao Weir, total 45 weirs are scattered in 7 towns. Xinfan County: water in weirs and springs originates from the Minjiang River and flows to 36 weirs in different towns. Jintang County: Mapeng Weir is located 20 li (1 li ¼ 500 meters) west to the county. Sankou Weir is situated 5 li west to the county and Tiansheng Weir 10 li northwest to the county. There are altogether 62 weirs. Xindu County: water flows down from the Dujiangyan branch canal to irrigate farmland in this county and there are altogether 56 weirs and ponds. Chongning County: water from the Minjiang River converges at the irrigation inlet, which is divided into outer channel and inner channel, both flowing through this county to irrigate farmland around. There are altogether 24 weirs in this county. Pixian County: water from the Minjiang River irrigates farmland around. There are altogether 24 weirs in this county. Guanxian County: Dujiangyan is located over the Minjiang River 3 li west to the county. Since the Han Dynasty, there have been repairing and construction every year. Shilang Weir, Yangliu Weir, Lujiao Weir and Baoping Weir are located in this area. There are altogether 20 weirs starting from Jianshui are used for irrigation. Pengxian County: There are 8 weirs from Shidong Weir to Jimin Weir, the water of which comes from rivers including the Wangcun River and Bailu River and interflows to the foot of the Niuxin Hill where it is divided into 8 branches to altogether 6 weirs including Dingzi Weir and Mawu Weir. The water coming from the Guanxian County is not divided until it reaches Wangong Weir and is also connected to the lower reaches of Jimin Weir to irrigate a vast area. Chongqingzhou: the Baima River is 11 li northeast to this zhou, the Northwest River is 4 li southwest and the Heishi River is 12 li northeast. 71 weirs are constructed over watercourses

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from Guanxian County to Xinjin County, irrigating 13 townships including Yugui. There is no ponds in this area. Xinjin County: the watercourse starting from the confluence of two rivers of Qiongshui and Zaoshui. Construct barriers across the watercourse as well as cut through the mountain and dredge canals for irrigation. There are altogether 40 weirs and 75 ponds in this area. Hanzhou: the county is irrigated by the Dujiangyan Irrigation System with 54 weirs over its branch canals.

(2) The Dujiangyan Irrigation System in the Qing Dynasty and Its Evolution in Modern Times. In the late Ming and early Qing Dynasties, war time lasted for 37 years in Sichuan. In the 17th year of the Chongzhen Period (1644), Zhang Xianzhong established a regime called Daxi in Chengdu which was supported by his insurrectionary army and changed the reign title into “Dashun.” Soon after, the whole Sichuan area sank to a state of chaos caused by a tangled warfare among peasant army led by Zhang Xianzhong, the army of the Qing Dynasty, local armed forces, and the Nanming Army led by Yongming King of the Ming Dynasty, Zhu Youlang. After destroying Zhang Xianzhong’s army in August of the second year of the Shunzhi Period (1645), the army of Qing was defeated by the Nanming Army and had to withdraw from Chengdu to the north of Sichuan. They set the official residence of Governor-General of Sichuan in Baoning (now Langzhong County in Sichuan), which was in the north of Sichuan, and it was not moved to Chengdu until the third year of the Kangxi Period (1664) after the government of Qing had a basic control over Sichuan. This chaos causing a decline of Sichuan’s population from 3.1 million in the Wanli Period of the Ming Dynasty to 600,000, even lower than the figure of 700,000 in the early Yuan Dynasty, reaching the lowest in history. The Chengdu Plain was the most severely afflicted area in this 37 years’ war with its population being reduced to 70% of that in the Wanli Period of Ming. Between the third year and 16th year (1659) of the Shunzhi Period, the troops of Qing attacked and withdrew from Chengdu for six times and brought several bloody massacres of civilians. The scourge of war was closely followed by plague, flood, and drought. In the fourth year of the Shunzhi Period (1647), the army of Qing attacked and captured Chengdu, but the whole city was in ruins with no more than one hundred households left. In the third year of the Kangxi Period (1664), the new provincial governor of Sichuan, Zhang Dedi went to Chengdu to take office and planned to set yamen (government office in feudal China) of Sichuan government in Chengdu. However, when he arrived, he did not see a place that could be used. The same sad scene was also seen in counties on the western plain of Sichuan. For example, in Chongqingzhou City, there were only 133 male adults left in the sixth year of the Kangxi Period (1667) and the total number of people was no more than several hundred; in Xinjin County, “there were only several indigenous families left and

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others all escaped to other counties”; in the Pixian County, “there was no indigenous family left. Villages like Sun Village, Fan Village and Liu Village were all named after family names but only a few people of these family still lived in these villages.” ((Qing) Pixian Xiangtu Zhi ((Qing Dynasty) Local Annals of the Pixian County) (Volume 1)). As an important source of the nation’s grain tax, Sichuan began to take large-scale immigration and reclamation measures implemented by the Qing government while still in war. In the early Qing Dynasty, when a large number of immigrants swamped into the sparsely populated Sichuan, those mainly coming from Hubei, Hunan, Guangdong, and Fujian first stepped on the East Sichuan area and then many immigrants migrated again or for several times according to living conditions and environment with the vast majority rapidly moving from the east to the Chengdu Plain, making the immigrants in the early Qing Dynasty mainly gather in East Sichuan and the Chengdu Plain. In the last year of the Kangxi Period, the population of Chengdu Prefecture and Chongqing Prefecture accounted for 50% of the total in Sichuan, while the population density of the Chengdu Plain ranked first in the province. In the middle of the Jiaqing Period, the population of the Chengdu Plain was nearing saturation so that immigrants began to spread to areas with sub-par natural conditions, and at the end of the Qing Dynasty, the proportion of the population on the Chengdu Plain decreased to 9.4% of the total in Sichuan. However, the total population of the Chengdu Plain was still rising rapidly. There were no more than 600,000 people on the plain at the end of the Kangxi Period, but the figure increased sharply during the Qianlong Period, reaching 3.83 million in the Daoguang Period. After that, the rising trend slowed down and at the end of the Qing Dynasty, the population was 4.12 million. After the 20th year of the Kangxi Period, the agricultural economy of the plain also began a rapid growth. Since the mid-Qing Dynasty, the Chengdu Plain had been carrying more than 10.4% of the total Sichuan population with only 0.88% of the total land and also ranking first in the province in grain production and tax. In the sixth year of the Qianlong Period (1667), the government reclaimed its power over the management of head works and canals of the Dujiangyan Irrigation System and included the annual repair fund into the provincial financial allocation. During the successive years of war in the late Ming and early Qing Dynasties, the management of the Dujiangyan Irrigation System was completely suspended for more than 20 years. Dikes and weirs were all destroyed and silted with sands and stones, and even the inner river channels were clogged up with grasses and stones. The small-scale irrigation in the Dujiangyan irrigation area started from the 16th year of the Shunzhi Period (1659), when Gao Minzhan, the provincial governor of Sichuan, collected money from merchants to dredge river channels. In the 18th year (1661), Provincial Government Tong Fengcai recovered the annual repair and maintenance of Dujiangyan, saying, “for a long term development, we must order prefectures and counties that have used water to send labors according to their grain production to dredge the canals every year.” (Tong Fengcai, “A Memorial on the Repair of Dujiangyan Submitted to the Emperor”. (Jiaqing reign) Sichuan Tongzhi ((Jiaqing reign) General Annals of Sichuan) (Vol. 23)). In the first year of the Kangxi

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Period, prefectures and counties along the rivers and canals firstly began to organize water users to dredge these rivers and canals to recover irrigation. Xiao Yongwan, the magistrate of the Wenjiang County, led workers personally to preside the restoration project in the sixth year of the Kangxi Period (1667) and Dai Honglie, the magistrate of the Chengdu County did the same in the ninth year of the Kangxi Period. Due to the destruction during the war, manpower and financial resources were all in short at that time, so the restoration scale was small and only the channels at the canal head and important channels could be dredged a little to provide irrigation for farmland nearby. In the 20th year of the Kangxi Period (1681), when Hang Ai, the provincial governor of Sichuan, held the restoration of canal head works, he yet couldn’t find inner river channels and could only “search for the historical site of Li Dui (the Baopingkou Diversion Passage) to dredge. Finally, we found the old channel of Li Dui in underbrush. As it turns out, in these years, water stored in the weir only flows out through the channel beside Baopingkou Passage rather than the original channel of Li Dui.” (Hangai “Inscriptional Records about Restoration and Dredging of Li Dui”. (Jiaqing) Sichuan Tongzhi ((Jiaqing) General Annals of Sichuan) (Vol. 13)). It can be seen from the description that it was impossible for water from the Minjiang River to go through the Baopingkou Passage, and even if the flood entered the inner river during the flood season, it could only return to the Minjiang River through the V-Shaped Dike beside Li Dui. The large-scale repair in the 20th year of the Kangxi Period meant that the Dujiangyan Irrigation System began to gradually recover, and the full recovery took at least 20 years. In the 45th year (1706), the provincial governor of Sichuan, Neng Tai, advocated again the repair of the system, and then the V-Shaped Dike at the canal head and the water diversion dike over the trunk channel of the inner river were gradually repaired. The newly built V-Shaped Dike was about 122 meters long, and the weirs at the Sanbo Cave and the Zouma River Mouth (the Taiping Weir) were about 266 meters. During the 3 months of construction, weirs at canal head and watershed of the inner river trunk channel were systematically renovated. In the Qianlong Period, the canal head works had been comprehensively restored. During the Kangxi Period, irrigation gradually resumed in the Dujianygan irrigation area, that is, the annual repair and maintenance also resumed. In the 21st year of this period, Tong Fengcai, the provincial governor of Sichuan, reestablished the annual repair system. He classified the annual repair projects of canal head works into large scale and small scale. Labor collection was apportioned among 9 counties along the inner river water system to meet a demand of 1143 workers for large-scale repair and 381 workers for small-scale repair. Soon, a system of dispatching labor based on farmland area in each county was formed and then a system of submitting silver money instead of money was adopted. In the late Kangxi Period, the irrigation area had already been basically recovered. In the sixth year of the Yongzheng Period (1728), the government measured the area of farmland in each county that needed to use water, and the annual repair fee was apportioned by mu (a unit of area) based on the field’s distance from water source. In the second year of the Qianlong Period (1736), nine counties were exempted from apportioned expense by mu, and the provincial treasury earmark funds to repair important works at the canal head, at

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watersheds of trunk canals and in the urban area of Chengdu. The works whose annual repairs were funded by provincial treasury were called “Official Works” or “Official Weirs.” In the Qing Dynasty, the official works referred in particular to works from the canal head to inner rivers, including the Puyang River, the Baitiao River and weirs at the watershed of the Zouma River and Jiang’an Weir, etc. The rated appropriation was 1920 liang (a unit of weight, ¼ 50 grams) silver that was appropriated from revenue and expenditure account of salt and tea tax. In the sixth year of the Qianlong Period (1740), Shiniu Weir and Heishi Weir with the water source from the outer river (the Minjiang River) were added to official weirs and included in the Dujiang annual repair project of Sichuan Province with their repairing expenditure along with all others appropriated from the salt and tea taxes that were supposed to go to the national treasury. By then, the annual repair of water division works at the pivot of canal head as well as those at the mouths of different trunk channels of inner and outer rivers (those weirs below the county-level in the irrigation area were not included) was uniformly funded by provincial treasury. At the end of the Qianlong Period, the rated annual repair fund became insufficient. At first, it was subsidized by taxes on salt, tea, and roads, and in the 23rd year of the Jiaqing Period (1818), the weir repairing fee had to be collected from counties in the river basins of inner and outer rivers of the irrigation area to supplement the deficiency of government appropriation. In the late Qing Dynasty, under the internal and external crises, the national economy began to decline, and the annual repair of the Dujiangyan Irrigation System was thereby nagged by fund shortage. In order to cope with the heavy military expenditure on fighting against the rebellion of Heavenly Kingdom of Great Peace, in the first year of the Xianfeng Period (1851), Sichuan was designated as an assistant province, which means it would offer part of its tax revenue to another province to provide some financial support for those experiencing fiscal difficulties. During the Xianfeng Period, to suppress the rebellion, the government designated provinces with stable political situation as assistant provinces and increased their tax to allot to provinces in need of military expenditure. The government in Sichuan first borrowed 4 years’ land tax from people, and then launched the “donation” in the ninth year of the Xianfeng Period and subsidized the donated food, which later became a regular tax. In the early Tongzhi Period, this tax was still imposed after the war subsided. As the important source of Sichuan’s land tax, the Dujiangyan irrigation area had been plagued by exorbitant and multifarious taxes and levies for more than 20 years. Due to the rapid growth in commodity prices, the annual repair funds appropriated from the national treasury were far from enough to need of maintenance, and water users in the irrigation area were even less able to pay attention to weir maintenance. So, the annual repair and maintenance system for hydraulic engineering works started to shake. From the Jiaqing Period, the management of the Dujiangyan Irrigation System went steadily downhill while the annual repair and maintenance expenditure was soaring year by year though annual repair projects and scale were reduced again and again. In the early years of the Daoguang Period, the lack of dredging and repair over the years had made the Dujiangyan Irrigation System lose the ability to divert water

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normally. According to the records of Qiang Wangtai, an assistant magistrate in charge of hydraulic engineering in the Daoguang Period, what he saw at that time was that the inner river channels of Dujiangyan from the inner river mouth to Baopingkou Diversion Passage were silted up with sands and stones and the flood lands were jigsaw-like with the narrowest part of river being 4–5 zang (a unit of length (¼ 3 1/3 meters)) and the widest part being 11–12 zang; the water channels around the Suolong Bridge and Taiping Bridge at the Baopingkou Diversion Passage were stuffed with sand and stones while the flood land had been developed as farmland with houses scattered on it. (Tong Fengcai, “A Memorial on the Repair of Dujiangyan Submitted to the Emperor”. (Jiaqing) Sichuan Tongzhi ((Jiaqing) General Annals of Sichuan) (Volume 23)) From the tenth year of the Xianfeng Period (1860) to the second year of the Guangxu Period (1876), 10,000 liang (1liang ¼ 50 grams) silver money more would be added to the annual repair fund on average every year. However, during this period, “the river channels became increasingly silted up and the condition of weirs got worse with river water flowing in all directions.” Especially in the Tongzhi Period, disasters were reported every year and large-scale weir repair was held every year, and during this 12-year period, there were up to 9 major floods above county-level in the Dujiangyan irrigation area, among which 6 were obviously caused by the endangerment of canal head works. Due to the disrepair of weir works, channels of the inner rivers were seriously clogged, and water flow was blocked. With the burst of dike, water of the inner rivers would flow southward along the channel, causing water shortage in the inner river irrigation area and aggravating the disaster condition on outer river side. According to Ding Baozhen’s memorial reported to the emperor in the fifth year of the Guangxu Period (1879), at that time “there were about over 200,000 mu (1 mu ¼ 0.0667 hectares) of farmland became uncultivable because of long time submergence in water” in only six counties of Guanxian, Chongqing, Wenjiang, Pixian, and Jintang. Meanwhile, water often couldn’t reach the fields during rice planting time and at the turn of spring and summer, water users downstream the irrigation area were forced to go to the provincial capital together to beat the drum of the yamen (government office in in feudal China) of Chengmian Dao (one of the five administrative units of Sichuan in the Qing Dynasty, referring to West Sichuan) and the Governor-General office building of Sichuan to ask for water. “This had lasted for several years.” (Ding Baozhen, Ding Wencheng Gong Zougao (Memorial to the Throne Submitted by Mr. Ding Wencheng) (Volume 14)). In the third (1877) and fourth (1878) years of the Guangxu Period, the governorgeneral of Sichuan, Ding Baozhen presided over the largest annual repair project in modern times. He thought that malpractice had been accumulated in the management of the Dujiangyan Irrigation System for years and the behavior of collecting money from the irrigation area to fill up the deficiency of annual repair fund encouraged the managing corruption. After this repair, he set out to rectify the management of the Dujiangyan Irrigation System, resetting the annual repair fee for official projects at 4900 liang (1 liang ¼ 50 g) silver money and exempting all counties from handing in silver money, which eliminated the malpractice of misusing project funds since the Xianfeng Period.

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In modern times, the management of the Dujiangyan Irrigation System experienced a gradual change. The establishment of the system for water users to organize and participate in the management was the most important progress for the Dujiangyan irrigation area in the early twentieth century and was also earliest and most extensive attempt in China. Retaining the old Dujiangyan management mechanism that is similar to modern river basin management, water users would organize the county hydraulic engineering association and Dujiangyan weir project symposium association to enter into the management of branch and sub-branch channels. These two associations built a bridge between the competent government department and professional management agencies for the communication and coordination between different managements of official weirs and nongovernmental weirs. The engineering technological change of the Dujiangyan Irrigation System came slowly in the 1930s. The use of cement marks the introduction of modern hydraulic engineering technology, building materials, and engineering structures into this ancient irrigation project. The old engineering structures such as bamboo cages and wood piles which had been used over 2000 years began to be replaced. In 1934, the Yuzui Bypass Dike was first constructed with cement, but its success should be attributed to the combination of traditional engineering structure and modern hydraulic structure. The masonry structure of the dike was built on the foundation of wood piles, which improved the bearing capacity of sand-gravel river band and uneven subsidence. Today, traditional engineering types have been rarely used in the main works of the Dujiangyan Irrigation System, but they are still applied in the temporary emergency rescue projects and construction. After 1950s, with the expansion of irrigation area toward the hilly region in the center of Sichuan, the traditional engineering system and management mechanism of the Dujiangyan Irrigation System underwent fundamental transformation (Table 13.2).

13.3

Act According to and Make the Best Use of the Circumstances: Scientific Connotation and Technical Features

The Dujiangyan Irrigation System is a good example of Chinese traditional no-dam irrigation system. It has been functioning for over a thousand years with the scientific utilization of hydraulic features of rivers, scientifically planned and ingenious project layout and the least facilities. Despite falling into disuse because of disrepair for many times, the system can restore the original mode after every reconstruction with the facilities and layout and building structures basically remaining unchanged. The design philosophy and construction technology of the canal head works of the Dujiangyan Irrigation System are totally different from those of modern watercontrol projects. The design of Dujiangyan’s canal head works involves the utilization of terrain of rivers (river channels and river banks), river current (hydrologic and hydraulic features), and the coordination with other facilities to form a complete and harmonious operation system, which achieved multifarious project benefits of water

1102

6.1

Total area (square kilometer) 400,000

3500

0.88

6.3

1511

Yield (thousand dan (1 dan ¼ 50 kilograms)) 23,883

14.2

1067

Rapeseed Cultivated area (thousand mu) 7526

15.9

946

Yield (thousand dan) 5957

0.03

759

Fallow Cultivated area (thousand mu) 24,602

10.0

3136

11.3

11,229

Summer crops Rice Cultivated area Yield (thousand (thousand mu) dan) 31,323 98,989

0.04

221

Fallow Cultivated area (thousand mu) 6020

The cultivated area and yield are cited from Statistical Yearbook of Sichuan Province, 1946. Total area is cited from Water Conservancy of Dujiangyan and the Chengdu Plain by Yang Renzhang, 1943

Area and yield Sub items Whole province 14 counties in the irrigation area Percentage

Winter crops Wheat Cultivated area (thousand mu (1mu ¼ 0.0667 hectares)) 18,074

Table 13.2 The agricultural economic indicators of the irrigation area in 1940s (1946)

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diversion, flood control, and sediment drainage with minimal facilities. The terrains around canal head (river channels and banks), the hydrologic and hydraulic features of rivers, and the function of each facility mutually coordinate and operate as a whole, codetermining the water diversion, flood control, and sediment drainage abilities of the Dujiangyan Irrigation System. Meanwhile, the function of each facility has its own emphasis.

13.3.1 The Mechanism of “4:6 Water Diversion” and the Mechanism of Water Diversion and Sediment Drainage by the Yuzui Bypass Dike “4:6 water diversion” is a epitome made by people in the Qing Dynasty of the proportion of water diverted into inner and outer rivers of the Dujiangyan Irrigation System, which is actually a rough standard of water diversion control at the Yuzui Bypass Dike (also called Fish Mouth Levee which is named for its conical head that is said to resemble the mouth of fish). Its mechanism is that a rational allocation of the water from the Minjiang River can be achieved by the selection of the Fish Mouth position: during the dry season, the ratio of the proportion of outer river water to that of inner river water is 40:60% while during the wet season, the water distribution ratio is reversed with the proportion of outer river to that of inner river being 60% to 40%. This function of regulating water diversion ratio has been confirmed through field observation and model test. This water diversion ratio is very favorable to solve water shortage of the Chengdu Plain in the dry season and reduce flood in the flood season. The location of the Yuzui, Fish Mouth, is the control point of the canal head hub, and it determines the layout of all facilities at the canal head and can also control the effect of water diversion and silt diversion to some degree. After the war in the early Qing Dynasty, when the Dujiangyan Irrigation System was rebuilt, the Yuzui Bypass Dike was in front of the Baopingkou Diversion Passage and functioned as a section of diversion dike which could only divert water when the Minjiang River had large volume of water because of the serious silting-up of inner river channels due to years of disrepair. With the recovery of the annual repair system in the Qing Dynasty, the location of the Yuzui was continually moved upstream and other facilities were also rebuilt. At the end of the Qianlong Period at the latest, works at the canal head hub was generally stabilized. The evolution of the canal head project also in the early Qing Dynasty also reflects the improving process of the engineering technology of the Dujiangyan Irrigation System over 2000 years. The location of the Yuzui Bypass Dike was deliberately chosen by ancient hydraulic engineers. Take the period of recent 300 years as an example. In the late Ming and early Qing period, the Dujiangyan Irrigation System was abandoned for several decades due to disrepair. It was rebuilt in the Kangxi Period and the Yuzui Bypass Dike was 300–400 meters in front of Li Dui, where today’s Feisha Weir is located (Tan Xuming, “Works at the Canal Head Hub of the Dujiangyan Irrigation System in Modern Times”. A Collection of Scientific Research Papers from China

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Institute of Water Resources and Hydropower Research. Water Conservancy and Electric Power Press, 1986, P183–185). Because it was too close to the Baopingkou Diversion Passage, the volume of water diverted into the inner river during the low water level period of the Minjiang River was too small to meet the demand for irrigation, while in the high-water season, a large number of pebbles carried by the flood would pile up in front of the Baopingkou Diversion Passage, causing very little water to be diverted into the trunk channel of the inner river even in the wet season. Later, with the recovery of the annual repair project and the increase of water use in the irrigation area, the location of the Yuzui Bypass Dike was moved up year by year and the facilities were also improved accordingly. In the seventh year of the Daoguang Period (1827), Qiang Wangtai, the assistant magistrate in charge of hydraulic engineering, recorded that the Yuzui Bypass Dike he saw had already been near the Anlan Cable Bridge (Qiang Wangtai, “Records of the Two Repair Projects of the Dujiangyan Irrigation System”(written in 1830). (the Republic of China) A Collection of Records about Irrigation (Volume 5)). Twenty years later, some people asked to move the Yuzui Bypass Dike backward from the cable bridge toward the Baopingkou Diversion Passage on the grounds that the Feisha Weir was repeatedly washed out in the early summer, which would affect the water diversion of the inner river. Ding Baozhen, the general-governor of Sichuan, pointed out that the constant up-moving of the position of the Yuzui Bypass Dike was caused by the accommodation to the change of the river channel by erosion and deposition, but the determination of the watershed of inner and outer rivers should be based on the whether the river regime was conducive to divert water into the inner river during the low-water season, so he insisted putting the Yuzui Bypass Dike at its original location. “The water diversion position must be determined in accordance with the upstream water flow and the amount diverted to different channels is thereby a matter of discretion.” (“On 13th of July in the fifth Year of the Guangxu Period by Ding Baozhen”. Ding Wencheng Gong Zougao (Memorial to the Throne Submitted by Mr. Ding Wencheng) (Volume 15)) In 1933, dams of the Dujiangyan Irrigation System broke in the earthquake in Diexi County and the flood washed away almost all the facilities of this system. When it was rebuilt in 1934, the Yuzui Bypass Dike was still built at its original location until today. During the dry season, in order to increase the volume of water diverted into the inner river from the Yuzui watershed, a temporary engineering measure called Yuzui Mobile Cages were applied, that is, a diversion dike made of wood tripods would extend along the outer edge of the Yuzui Bypass Dike to the outer river or be used to dam or partly dam river water. In 1974, after the construction of the outer river sluice, the control of the inner and outer rivers’ water volume was undertaken by this sluice.

13.3.2 “Deep Cleaned Channel and Low-Built Weir” and the Control Function of the Feisha Weir In the reaches of the Minjiang River from the watershed of inner and outer rivers at the Yuzui Bypass Dike to the Baopingkou Diversion Passage, the inner river is right

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at the concave bank of the main stream of the Minjiang River where the topography section of the river channel shows the feature of being high on the left and low on the right, forming a natural deep trench on the flood land under the impact of current. At the canal head of the Dujiangyan Irrigation System, three different weir roof paique (a general designation of Dujiangyan’s flood discharge and sediment drainage facilities) were installed along the right bank of the inner river based on topography: the Pingshui Trench, the Feisha Weir, and the V-Shaped Dike. These paique can dam and divert water during the low-water season and discharge flood, drain sediment, and control the water flow in the high-water season. Among them, the Feisha Weir is right located at the frontier of the deepest and widest trench and had the largest current volume and the V-Shaped Dike and the Pingshui Trench follows it. The three paique (equivalent to today’s spill-way dam) on the right bank of the inner river are the key works that condition the water diversion, flood discharge, and sediment drainage of the Baopingkou Diversion Passage and also determine the erosion and deposition status of the inner river channels. By controlling the heights of weir base and weir crest and the section structure of the Pingshui Trench, the Feisha Weir, and the V-Shaped Dike, and river channel dredging works, the flow section of inner river channels can be well maintained, forming a circulation flow of bend channel pattern at the Baopingkou Diversion Passage that is beneficial to water diversion, flood discharge, and sediment drainage. The six-word saying of the Dujiangyan Irrigation System, “Deep Cleaned Channel and Low-Built Weir,” summarizes the principle of the dredging activity and the construction of facilities as well as the quality criteria of project management. It can be regarded as a river engineering project standard condensed by ancient directors of the management of the Dujiang Irrigation System from their vast experience and numerous lessons. The Pingshui Trench is the first paique of the inner river and is located on the right bank of the inner Jingang Dike (see Fig. 13.6). The height of the bottom at the trench mouth is above the medium water level, and the trench mouth is usually slightly strengthened with stone masonry or bamboo cages. When the Minjiang River has a large volume of water in the flood season, the Yuzui Bypass Dike will naturally divide water into the inner and outer rivers after it is overflown by the flood. Then, the Pingshui Trench comes into play to divert part of the flood into the outer River. In the 1970s, after the construction of the outer river floodgate, the Pingshui Trench lost its function and was blocked off. The Feisha Weir is the second paique and also a key facility to control the amount of diverted water in the Dujiangyan Irrigation System. It was called “the Shilang Weir” in the Tang and Song Dynasties. The bottom of the weir has the lowest height and when the inflow volume of the Baopingkou Diversion Passage exceeds a certain amount (which is usually measured by the strokes on shuize, a kind of water ruler in ancient China with the standard in the Qing Dynasty normally being at the 13th stroke), the surplus water will flow through the Feisha Weir. The large the flood is, the greater the flood discharge capacity of this weir will be, and when the body of the weir breaks at a certain degree, an even greater flood discharge ability can be released. When the flood is discharged, the Feisha Weir will also discharge most of the bedload that is flushed into the inner river. The main function of the V-Shaped

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Fig. 13.6 The engineering drawing of the Dujiangyan canal head works

Dike is damming when the water level is low and it will only discharge flood when the water level exceeds a certain limit. The V-Shaped Dike is the last paique, which is connected to the Feisha Weir and the Baopingkou Diversion Passage by an arc-shaped structure. The name of “Feisha Weir” first appeared in the documents of the Daoguang Period of the Qing Dynasty, so this weir was probably a spill-way weir that was built over the deep trench flushed by flood in the spillway of the V-Shaped Dike and had a different section with the dike. In the documents since the Daoguang Period, the Feisha Weir and the V-Shaped Dike were mostly jointly named as the V-Shaped Dike or the V-Shaped Dike Paique. Over time, the differences in function and building structure between the two paique became increasingly obvious, and the Feisha Weir’s control over water diversion at the Baopingkou Diversion Passage is also enhanced day by day.

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The flood discharge capacity of the Feisha Weir with the water volume increase of the inner river and is proportional to the volume of its flow section. The measured data of the flow of the Baopingkou Diversion Passage made by the Weir Project Management Office for the Dujiangyan area on the seventh of July in 1943 shows that the maximum diversion capacity of the Feisha Weir could reach over 75% of the total flood volume of the inner river. In 1943, the flood peak flow of the Minjiang River reached 5500 m3/s, and before the Feisha Weir was washed out, the water level at the Baopingkou Diversion Passage was at the 18th stroke and the water diversion capacity was 700 m3/s. When the weir began to break up, the water level at the breach reached 176 meters and the Feisha Weir’s flood discharge capacity reached 4100 m3/s with the water level at the Baopingkou Diversion Passage lowering rapidly to the 16th stroke and flow volume being reduced to 520 m3/s. The sediment drainage ability of the Feisha Weir will be improved with increase of the volume of flood discharged. According to modern hydrologic survey, when the Minjiang River passes the Yuzui Bypass Dike, most of the sands and stones will go down with the main stream in the outer river, but there are also 47.5% of suspended load and 26% bed load carried into the inner river. The water begins to flow through when the water level at the Baopingkou Diversion Passage reaches the 13th stroke and the volume of flow reaches 330 m3/s. But the sand flow at the Feisha Weir (draining bed load from the Feisha Weir) only begins when the flow of the inner river exceeds 500 m3/s and water diversion ratio of this weir is higher than 20%. According to the analysis of the analysis of hydrologic data, when the flow of the Minjiang River exceeds 2000 m3/s, the flow of the inner river exceeds 1000 m3/s and the water diversion ratio of the Feisha Weir is more than 40%, the sediment diversion ratio can reach about 70%. The larger the flood is, the water diversion ratio of the Feisha Weir will be higher and the effect of sediment drainage will be more significant. It is very important to choose a right height for the crest of the Feisha Weir to not only ensure enough irrigation water to be diverted through the Baopingkou Diversion Passage but also to discharge flood in time during the flood season. The correlation between the height of the Feisha Weir crest and the suize strokes (water level) at the Baopingkou Diversion Passage determines the height control of the crest in annual repair and the water level requirement during the irrigation period. In the early Qing Dynasty, the requirement was that the water submerged the tenth stroke and enough water could be provided for rice transplanting in the lower reach area, and the flow exceeding a certain level above this would overflow. In 1936, the Water Conservancy Bureau of Sichuan Province stated, based on the survey of water use in each county, that if the water level of the Baopingkou Diversion Passage reached the 12th stroke, the volume of water in the lower reaches could meet the water demand in spring irrigation, and if the water level of the Feisha Weir reached the 13th stroke, the water could overflow. Actually, the choosing of the Feisha Weir crest height should not be completely on the water level but also depends on the erosion and deposition condition as well as the dredging of the channel near the Baopingkou Diversion Passage.

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13.3.3 The Permanent Water Intake at the Canal Head: The Baopingkou Diversion Passage The Baopingkou Diversion Passage is a natural water inlet of the Dujiangyan Irrigation System formed by the cliff on the left bank of the inner river and Li Dui (a mound) on the right bank. This is a channel dug on the bedrock. During the period from the Tang to the Yuan Dynasties, this passage was also called “Stone Gate” and the channel was called “Stone Channel.” Its written records can be found in documents of the Ming Dynasty, and it was so named as the section of this passage resembles the shape of bottle (for “Baopingkou” in Chinese means bottle neck). The cliff-formed Baopingkou Diversion Passage has become a permanent water intake of the Dujiangyan Irrigation System. The Baopingkou Diversion Passage is 17–23 meters wide and is 1020 meters from the watershed of the inner and outer rivers at the upper reaches, which is the Yuzui Bypass Dike. In addition to the function of water diversion, the passage gate can also prevent excessive flood from flowing into the inner river. When the peak discharge of the inner river exceeds 2500 m3/s, the increase of water intake volume will slow down. When there is a large volume of water in the inner river, there will be backwater at the passage gate of Baopingkou, the influence of the circulation flow of bend channel will be intensified and the flood discharge ability of the Feisha Weir and the V-Shaped Dike will improve with the increase in river flow. During the large flow period, Fengqiwo, a segment of riverbed between the Yuzui Bypass Dike and Li Dui, can function as sedimentation pond. According to modern hydrologic survey, when the flow of the inner river exceeds 1000 m3/s, the damming of water in front of Li Dui can greatly slow down the flow rate at the base of the Feisha Weir, stopping the proceeding of large amounts of bed load, with a part of it being carried in the circulation flow of bend channel to the Feisha Weir to be drained and a part depositing in the inner river channel near Fengqiwo to be dredged all together in the next year’s annual repair. The geographical formation near the Baoping Diversion Passage is conglomerate, with thousands of years’ torrent scouring, cliffs on both river banks have been changing unobtrusively. Before the 1940s, there was a stone pillar in the Fulong Temple at the foot of Li Dui which made Li Dui look like an elephant trunk. During the flood season, when the flood flew over the crest of the Feisha Weir, a whirly torrent would form at the elephant trunk of Li Dui under the impact of circulation flow of bend channel. This elephant trunk structure once played a significant role in energy dissipation, but it was eventually destroyed in the flood in July of 1947. After its break, Li Dui was bound to bear the brunt. From the 1950s, a large number of bamboo cages and wood piles had to be used to maintain a stable condition of the Baopingkou Diversion Passage, but the effect was not significant because the current is too fast. In the 1970s, reinforced concrete structure was used to reinforce the foundation of Li Dui and this achieved a good effect and stabilized the water flow section of the Baopingkou Diversion Passage.

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The excellent combination of the Yuzui Bypass Dike, the Feisha Weir (together with the V-Shaped Dike and the Pingshui Trench), and the Baopingkou Diversion Passage taking advantage of their location, height, and structure at the Dujiangyan canal head and the river courses makes a great system of good water diversion, flood discharge, and sediment drainage. When the water level of the inner river is below the height of the Feisha Weir, its damming function will increase water intake through the Baopingkou Diversion Passage; when the water level of this passage reaches the 13th stroke on the water ruler, its water level will be higher than the crest of the Feisha Weir and the flood discharge begins; when the water level of the Baopingkou Diversion Passage is above the 14th stroke, the V-Shaped Dike also begins the overflow process; in the flood season, part of the Feisha Weir begins to break under the impact of flood and the flood discharge capacity can increase in short time to make the water level in front of the Baopingkou Diversion Passage drop rapidly, preventing large amount of flow from passing through the Baopingkou Diversion Passage threatening the irrigation area at the lower reaches. The larger the flow of the Minjiang River is, the smaller the proportion of the flow diverted into the inner river through the Baopingkou Diversion Passage will be.

13.4

Epilogue

The Dujiangyan Irrigation System, an ancient project with a history of 2200 years, blends so well with the Chengdu Plain that has been blessed by it. It has been tenaciously delivering water from the Minjiang River to the Chengdu Plain and the hilly area in the middle of Sichuan. This is the trans-era scientific value of the Dujiangyan Irrigation System. The use of bamboo cages, wood tripods, and pebbles in ancient Dujiangyan Irrigation System has become history, but the scientific connotation of traditional hydraulic engineering involved in these traditional technologies and the aesthetic conception of hydraulic engineering works created by them will probably become the source of technological innovation in the future hydraulic engineering projects. The history and culture of the Dujiangyan Irrigation System are also embodied in local customs and religions. Water worship and water festivals have been developed from the irrigation culture and further bring the gorgeous religious architectural complex like the Erwang Temple and the Fulong Temple. Other ancillary constructions, including the Yulei Pass, the Cable Bridge, the Guanlan Pavilion, and the South Bridge that are scattered on both sides of the Minjiang River and Dujiangyan canals are all important parts of the long history of the Dujiangyan Irrigation System. The wonderful integration of hydraulic engineering and culture as well as rivers and human in this system creates the richness of the Dujiangyan cultural heritage on the theme of hydraulic engineering. Hydraulic engineering is the most influential human activity on nature, which transforms nature in a vast scope and degree while the transformed nature will react

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on human society. The Dujiangyan Irrigation is the most vivid example of how a successful hydraulic engineering project obtains benefits by respecting and taking advantage of nature and makes great contributions to society and local environment. (Translator: Tingyu Wang) (Proofreader: Caiyun Lian)

China Grand Canal Projects and Their Scientific and Technological Achievements

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Yunpeng Li and Xuming Tan

Contents 14.1 14.2

14.3

14.4

The Natural Conditions for Constructing the Grand Canal in China . . . . . . . . . . . . . . . . . . . Canal Projects before the Sui Dynasty (the Fifth Century BC to Sixth Centuries) . . . . 14.2.1 Primary Interconnection of Regional Water Systems . . . . . . . . . . . . . . . . . . . . . . . . . 14.2.2 The Use of Weirs as Control Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Grand Canal in the Sui, Tang, and Song Dynasties (the Seventh– To Twelfth Centuries AD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.3.1 The Formation of the Grand Canal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.3.2 The Double-Sluice Facility and Its Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.3.3 The Bianhe River (the Bianqu Canal) Clearing Project . . . . . . . . . . . . . . . . . . . . . . . 14.3.4 The Canal Flood Control Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.3.5 The Wujiangtang Road and Wujiang Gauge Stele . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Grand Canal in Dynasties of Yuan, Ming, and Qing (the Thirteenth to Nineteenth Centuries) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.1 Systematic Planning the Grand Canal’s Water Resource Project . . . . . . . . . . . . 14.4.2 The Usage of Continuous Controlling Sluices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.3 River Tonghui . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.4 The Development of River Reduction Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.5 Subtracting River of Kuang Er Gang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.6 Subtracting River of Qing Long Wan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.7 Subtracting River of Si Nv Shi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.8 Subtracting River of Shao Ma Ying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.9 Subtracting River of Jie Di . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.10 Subtracting River of Xing Ji . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.11 Subtracting River of ma Chang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.12 The Construction and Operation of Large Dam Project . . . . . . . . . . . . . . . . . . . . . 14.4.13 To Operate the Grand Canal and Avoid the Yellow River: The Construction of the Mid-Canal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.14 The Divert of Qing Kou Hub and River Huai after Mid-Qing Dynasty . . . . .

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Y. Li · X. Tan (*) Water History Department, China Institute of Water Resources and Hydropower Research, Beijing, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0_14

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Abstract

China has abundant inland water resources, and the excavation of canals plays an important role in the development of transportation, water conservation, and flood control. In this chapter, the author will focus on the development of the canal system in China. First, the author analyzes China’s topographical and climatic features that influence the excavation and development of the canal system. Then, the author introduces China’s important canals constructed and restored in three main historical periods. In discussing canals in each period, the author not only introduces canals developed in this period including the formation of the Grand Canal but also studies engineering technologies used such as the use of weirs as control facilities, the double-sluice facility, and the use of continuous controlling sluices. Keywords

Grand Canal · Canal project · Water system · Flood control

The Grand Canal of China, initiated from the digging of the Hangou Canal by Fuchai, the Duke of the Wu State in the Warring States Period, has a history of 2500 years. In its early time, the canal system mainly existed as different regional sections that interconnected natural river systems until in the Sui Dynasty, the Luoyang-centered or Kaifeng-center Grand Canal was formed that consisted of the Tongji, Yongji, Huaiyang, Jiangnan, and Zhedong Canals. This canal continued to be used in the Tang and Song Dynasties, so it was also called “The Grand Canal in the Sui, Tang and Song Dynasties.” The Yuan Dynasty, with its capital set in Beijing, dug the Tonghui and Huitong Waterways and created the Beijing-Hangzhou Grand Canal which included two sections of Beijing to Hangzhou and Hangzhou to Ningbo with a total length of over 2000 km and in the Ming and Qing Dynasties, it continued to be used, so it was also called “The Grand Canal in the Yuan, Ming and Qing Dynasties.” Evolving from regional canals that functioned as connections between natural rivers to a great canal engineering system that connects multiple river basins and that is composed of various kinds of hydraulic engineering, the Grand Canal has become an important transportation arteries for national economy and reflects the imperial monopoly for the ownership of rivers and lakes as well as the allocation right of water resource in different historical periods and also the determination and scientific and technological capabilities of ancient people in reforming and utilizing nature. The Grand Canal links the major river basins of the Haihe River, Yellow River, Huaihe River, Yangtze River, Taihu Lake, Qiantang River, and Yongjiang River from the north to the south, flowing through majority regions of east China the topographic and water resource conditions of which vastly differ from each other with highest altitude discrepancy being up to 50 meters and average annual rainfall over years ranging from 500 to 1500 mm; and in the long history of 2500 years, the

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rivers and lakes embodied by the Yellow River experienced frequent transitions and natural conditions in many regions underwent profound changes. The complexity of engineering problems solved and the immensity of labor and material input in the Grand Canal are unparalleled in the world. Specific natural environment provides space for the creation and invention of the Grand Canal engineering technology. In order to solve of the problems of altitude difference of different terrains, crossing natural rivers, water source and flood control etc., excellent water system and engineering projects and various hydraulic engineering types have been created in the Grand Canal system, which can be seen as a museum for traditional hydraulic engineering technology. Due to the discrepancies in regional natural environment and the hydrologic features of different water systems, different sections of the Grand Canal show distinct regional characteristics in terms of watercourse features, water source engineering works, hydraulic constructions, water transport facilities, project management, etc. All these sections are combined to form a canal project system unique to China, including the world’s oldest reservoir, large floodgate dams complex as well as well-developed engineering system which ensures the passage of canal across watersheds and great rivers and hydraulic engineering – water transport facilities, which effectively support the world’s longest consecutive water transport through systematic canal watercourses, water source engineering works, flood control works, water control works as well as storehouses along the bank for goods transported by water, etc. and embody the immense achievements of the remarkable Chinese traditional hydrological science and technology. The engineering technology used in Chinese canals is not isolated and it reflects the general level of the hydraulic engineering technologies of different historical periods. However, because canal construction is an inter-basin project involving different river and lake systems which means complex planning and also needs to solve problems like water supply, flood control, slope, sediment, and water transport, its engineering problems are more complex and concentrated. To reduce the construction and management costs of engineering works, the building of the Grand Canal usually uses fewest hydraulic projects to achieve the maximum benefit. The hydraulic engineering technology of China’s Grand Canal shows distinguished characteristics and typical significance.

14.1

The Natural Conditions for Constructing the Grand Canal in China

The terrain of China is generally high in the northwest and low in the southeast, with mountainous areas accounting for about 33% of the country’s total area, plateaus for about 26%, basins for about 19%, and hilly areas for about 19% and plains for about 12%. The mountain ranges of China are mainly in trends of east to west or northeast to south west. As most of the major rivers in China flow into the sea from west to east, the separated geographical environment provides natural conditions for the creation of the Grand Canal in the south-north direction. To link different river systems, the Grand Canal must overcome the elevation differences between different

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river systems or between different areas divided by watersheds within the same river system. The Beijing-Hangzhou Grand Canal runs through the Huang-Huai-Hai Plain and the Yangtze River Delta Plain, connecting different water systems in the Haihe River Basin, respectively, and realizing the connections between the Yellow River and the Huaihe River, the Yangtze River, and the Huaihe River as well as the link of the Yangtze River, the Taihu Lake, and the Qiantang River. The Grand Canal of China is a canal that runs across the largest number of natural rivers, has the longest route, and experiences the largest elevation difference along the route around the world. In the period before the Industrial Revolution when nonfossil fuels were the power source, the Beijing-Hangzhou Grand Canal realized the crossing over the watershed of highest elevation difference before the seventeenth century by using engineering measures (see Fig. 14.1). China is in the East Asian monsoon area and water resource distribution shows great regional and spatial-temporal differences. From north to south, the average annual rainfall over the Huang-Huai-Hai Plain is 500–700 mm while in the area from the south of the Huaihe River to the Qiantang River basin it ranges from 1000 mm to 1500 mm. About 60%–80% of the yearly rainfall in the east of China is concentrated in the 4 months from June to September, when the precipitation in a month in the major flood season takes up 50%–70% of the total over the year. The unique hydrological and water resource conditions make water source a serious problem in China’s canal construction. The Grand Canal is formed as a relatively independent engineering system through gradual integration and renovation of sections of waterways for regional water system connection with part of it on watersheds which means the flow of natural rivers cannot support transport without engineering measures. In order to obtain water source, early canals take advantage of rivers and lakes as much as possible, making their watercourses curved and circuitous. The rise and fall of the water level of rivers and lakes as well as silting and major rush had significant influence on canals. With the increasing importance of the Caoyun (漕运) system (transporting grain by water to supply the capital or meet military demands), the watercourses were gradually straightened and water diversion and water control works on the canals were gradually built and improved, making the linking points between canals and natural rivers fall on canal ports while the main bodies be separated from natural rivers. Canal ports are joints between canals and natural rivers where water source obtaining and sediment desilting were performed. And the sections of high topography and far reach from natural rivers faced the most salient water source problem. The change of the Yellow River was the most disturbing factor in shipping on canals. In the 700-year period from the second year of the Jianyan Period of the Southern Song Dynasty (1128) to the fifth year of the Xianfeng Period in the Qing Dynasty (1855) when the water from the Yellow River forced its way through the Huaihe River to the south, the watercourses had to be rechanneled frequently at bursts on the north and south banks because of silting. The flood of the Yellow River enormously disturbed the operation of the Beijing-Hangzhou Grand Canal, and canals north to the Huaihe River were also frequently diverted due to the flood of the Yellow River and the change of other natural rivers with numerous lakes

Fig. 14.1 The vertical profile chart of the Beijing-Hangzhou Grand Canal. Note: this chart is adapted from the exploration map in The Sorting of Canal Projects compiled by Wang Huzhen in 1935

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disappearing (the Dalu Ze (Ze is a literary word for lake in ancient Chinese) and the Juye Ze) or forming (the Four South Lakes in Shandong Province and the Hongze Lake) because of scouring and silting of the Yellow River. Due to the rapid silting of the Yellow River watercourse, in the sixteenth century, the Xuzhou Hong and Lvliang Hong (Hong means narrow river reaches with rapid flow) east of Xuzhou, that is, the former lower reaches of the Sishui River, were silted up after being occupied by the Yellow River for over 300 years, ending the water transport section of the Yellow River, and thereafter the position of the north intersection of the Grand Canal and the Yellow River constantly moved downstream from Xuzhou in the Yuan Dynasty until it reached the Yangzhuang Town which was opposite to Suqian City and Huaian City of Jiangshu Province. The torrent of the Yellow River flowing south first silted up the canal between the Yellow River and the Huaihe River – the Bianhe River in the thirteenth century, and then at Qingkou the watercourse downstream the Huaihe River was clogged up, initiating the large-scale hydraulic engineering construction in the section from the Huaihe River to Qingkou from the late sixteenth century to the mid-seventeenth century, which created an artificial lake at lower reaches of the Huaihe River – the Hongze Lake – under the combined influence of silting of the Yellow River and the hydraulic engineering projects. Although the river management activities primarily aimed at conserving the Caoyun system in the Ming and Qing Dynasties consumed a mass of financial, material and labor resources, the watercourses at the estuaries of the Yellow River and Huaihe River finally lost their function in the mid-nineteenth century due to continuous depositing and silting. In 1851, the watercourse of the Huaihe River had a large change from independently running to sea to running the Yangtze River and the Huaiyang Canal thereby became the channel for the Huaihe River water to flow into the Yangtze River. In 1855, the Yellow River forced its way into the Daqing River at the breach of Tongwaxiang to flow into the sea and broke through the Huitong River between Zhangqiu and Dongping, making it difficult to have water transport here. The new course was rapidly silted up and became a new watershed to the north of Nanwang Town. Under the influence of social turmoil and great diversion of the Yellow River in the late Qing Dynasty, the national Caoyun system was eventually abolished in 1901 and the Grand Canal descended to regional rivers after that.

14.2

Canal Projects before the Sui Dynasty (the Fifth Century BC to Sixth Centuries)

Before the Sui Dynasty, the canal system of China mainly existed as different regional sections that interconnected natural water systems. This is the preliminary development stage of China’s canal system, when the problems of dovetailing with the water level and volume of natural rivers, diverting water into canals and crossing watersheds in different sections were basically solved by regional river system planning and the construction of sluice gates and dams. By the Sixth century, through the connection of regional canals, water transport on the Haihe, Yellow, Huaihe, Yangtze, Qiantang Rivers, and the Taihu Lake had been primarily linked up,

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and the topographic survey used in canal excavation, the knowledge of river regimes and characters, and the engineering technology for water diversion and conveyance as well as ship navigation had been developed.

14.2.1 Primary Interconnection of Regional Water Systems From the end of the Spring and Autumn Period to the Warring States Period, annexation wars among the states promoted the excavation of canals by different states to link natural rivers. The regional canals that connected two rivers or water bodies first appeared on the Jianghan Plain between the Wu and Chu States, which were rich and powerful and had open and flat land as well as abundant water source, and in the Taihu Lake water net area between the Wu and Yue States. Since most canals were constructed for military purposes, the main consideration in planning the route was to connect the rivers, with as little excavation as possible, in the shortest time. Under the principle of making full use of natural rivers and lakes, the water conveyance route of artificial waterways was devious and inconvenient, so once the management being discontinued, these waterways would soon be silted up and desolated. For those canals that occupied a crucial transport position and connected large rivers, the continuous transformation in later generations gradually extended their navigation routes, improved their engineering facilities and made them evolve into a fully channelized cross-basin backbone waterway (Fig. 14.2). About 2000 years ago, Sima Qian (about 145–90 BC) recorded the canals distributed in the inland of China in the Spring and Autumn and Warring States Periods in Shiji-Hequshu (Treatise on Canals and Rivers of the Records of the Grand History). “Canals were built at Xingyang to divert the Yellow River southeastward, connecting the Songshui, Zhengshui, Chenshui, Caishui, Caoshui and Weishui Rivers and converging water in the Jishui, Ruhe, Huaihe and Sishui Rivers; in the Chu State, canals were built in the west to connect the Hanshui River and the Yunmeng Ze and in the east to connect the Yangtz and Huaihe Rivers; in the Wu State, canals were built to connect three rivers and five lakes; in the Qi State, canals were built between the Zishui River and the Jishui River; in the Shu State, the governor Li Bing excavated a canal beside Li Dui, flowing through the two rivers and Chengdu City, to prevent the flood of the Moshui River. These canals were all navigable and the surplus water could be used for irrigation. People could benefit from them (Sima Qian, Shiji-Hequshu (Treatise on Canals and Rivers of the Records of the Grand History). Zhou Kuiyi et al. Annotation of Treatises on Canals and Rivers of the Twenty-Five History Records. Cathay Bookshop, 1991, P2.).” There were far more canals in this period, but these recorded by Sima Qian had strategic values and gradually evolved into important sections of the Grand Canal; for example, the Tongji Canal developed out of the Honggou Canal and the Huaiyang Canal developed out of the Hangou Canal. Some of them evolved into hydraulic engineering project with multi-benefits, such as the Dujiangyan Irrigation System, which continued to benefit water transport until the 1950s and is still supporting

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Fig. 14.2 Distribution of canals in China before the sixth century. Note: I. No.1–10 refer to artificial waterways constructed from the Three Kingdoms Period to the Southern and Northern Dynasties: 1. the Pogang Canal 2. the Shangrong Canal 3. the Taolu Canal 4. the Jiahou Canal 5. the Baigou Canal 6. the Licao Canal 7. the Baima Canal 8. the Lukou Canal 9. the Pinglu Canal 10. the Xinqu Canal; the rest are artificial waterways built in the Spring and Autumn and the Warring States Periods. II. No. ①–⑥ refer to water transport supporting reservoirs or lakes: ① the Taihu Lake ② the Juye Ze (Daye Ze (Ze is a literary word for lake in Chinese)) ③ the Mengzhu Ze ④ the Putian Ze ⑤ the Ying Ze ⑥ the Dalu Ze

irrigation today. During the Three Kingdoms Period and the Western and Eastern Jin and Southern and Northern Dynasties, the canal projects in areas in the south of the Yangtze River, between the Yellow and Huaihe Rivers and in the Haihe River Basin, developed rapidly and the canal net connecting the four large water systems of the Yangtz, Huaihe, Yellow, and Haihe Rivers were preliminarily formed.

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14.2.1.1 The Oldest Artificial Waterway in the Middle and Lower Reaches of the Yangtze River and the Taihu Lake Area Among all the canals recorded by Sima Qian, the canals in the description that “in the Wu State, canals were built to connect the three rivers and five lakes” are recognized as the oldest canal sections, which are the numerous artificial waterways excavated in the water network on the Taihu Plain by the Wu State in the Spring and Autumn Period. The powerful Shu State in the Spring and Autumn Period excavated a large number of artificial waterways in the water network on the Jianghan Plain, which was also called the Yunmeng Ze. A famous one was the canal built between the Yangshui River and the Xiashui River under the reign of Lord Ling (540– 529 BC), realizing the earliest regional communication in plain area and in Shui Jing Zhu (Commentary on the Waterways Classic), a geographical work of the fourth century, recorded its main area, “it is said that the construction of this canal started on the day of establishing the palace (the Zhanghuatai Palace to the northwest of today’s Jianli County in Hubei Province) for the purpose of water transport. Its water flows north into the Yangshui River (Li Daoyuan, Shui Jing Zhu (Commentary on the Waterways Classic) (Vol 28). The co-collation edition by Wang Xianqian. Bashu Publishing House, 1985, P469.).” The initial communication between the Yangtze River and the Taihu River had been realized in the Spring and Autumn Period through the mountain-crossing canal, the Xuxi Stream. This canal was linked to the Jingxi Stream, a tributary of the Taihu Lake, in the east and the Qingyi River and the Shuiyang River, tributaries of the Yangtze River, in the west. It is said that this canal was built during the reign of Lord Helv of Wu (514–496 BC) to transport grains in the conquering war against the Chu State on the advice of Wu Zixu, so it was named as the “Xuxi” and it was probably one of the canals mentioned in the description, “in the Wu State, canals were built to connect the three rivers and five lakes,” in Shiji-Hequshu (Treatise on Canals and Rivers of the Records of the Grand History). The Xuxi Stream was in the hilly area of the Maoshan Mountain, the watershed of the Taihu Lake and the Yangtze River and the canal flow control and water level maintenance could be realized by building dams (There are still disputes in the academia about the excavation year of the Xuxi Stream and whether it is a canal.). The canals such as the Wugu Waterway and Baichidu excavated in the Spring and Autumn and Warring States Period were another route that connected the Yangtze River and the Taihu Lake. The exact route was unknown, but it roughly went northward from the east of the Taihu Lake to reach the Yangtze River and with continuous improvement in the Qin and Han Dynasties, by the Three Kingdoms Period, it had become a sophisticated canal line generally consistent with today’s Jiangnan Canal. In addition, canals that passed the southeast of the Taihu River, such as the Mausoleum Waterway, were linked to the Qiantang River, forming the embryonic form of the Jiangnan Canal. In the eighth year of the Chiwu Period of Wu of the Three Kingdoms (245), in order to eschew the risk of the Yangtze River in the section from Nanjing (the capital at that time) to Zhenjiang, Sun Quan ordered Chen Xun to mobilize 30,000 people to excavate the Pogang Canal from Jurong to Yunyang (now Danyang City): “in Jurong County, the emperor (Sun Quan) ordered

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Chen Xun to dig a waterway and build 12 dams to connect to prefectures Wuxian County and Kuaiji Prefecture and thus boats could avoid passing Nanjing.” This canal was replaced by the newly opened Shangrong Canal to its north in the Southern Liang Dynasty and later both the canals were desolated.

14.2.1.2 The Excavation of Canals in the Lower Reaches of the Yangtze River The East Zhe area in the lower reaches of the Qiantang River was where the Yue State was located in the Spring and Autumn Period. It had developed water transport system and was described as “Zhou Che Ji Ma” meaning that warships were used as chariots and oars were used as horses. The “Shanyin Waterway” opened in the Spring and Autumn Period was the earliest canal in the East Zhe area. According to Yue Jue Shu (Records of the History of the Wu and Yue States), “the old waterway of Shanyin, went from the Yangchun Pavilion of in the east outside the county to the place 50 li (1 li ¼ 500 meters) to the county.” It was roughly from today’s Shaoxing City eastward to the Cao’e River. From the Eastern Han Dynasty to the Southern and Northern Dynasties, wars on the Central Plains forced many people to migrate to the south and the Jiangzhe Area gradually developed. In the fifth year of the Yonghe Period of the Eastern Han Dynasty (140), Ma Zhen, the prefect of Kuaiji, presided over the hydraulic engineering project construction centered in today’s Shaoxing City to gather water of 36 rivers of different sizes originating from the Kuaiji Mountain by building a dike of 127 li (63.5 km) in the east-west direction between the Puyang River and the Cao’e River, forming the Jianhu Lake with its east edge to the Cao’e River, west to Qianqing Town (the Xixiao River) and north to the Kuaiji Mountain occupying an area of 206 km2 (Chen Qiaoyi, The Ancient Lake Jianhu With Special Regard to Its Role in the Agriculture of the Shanhui Plain. Acta Geographical Sinica, 1962 (3), P28.). The construction of the Jianhu Lake greatly changed the hydraulic structure of the Shaoxing area and also laid the foundation for the formation of the Zhedong Canal. Around 300 AD, presided over by He Xun, the neishi (governor) of Kuaiji of the Western Jin Dynasty, the activities of renovating, dredging, and connecting were conducted on the previous canal watercourses, forming a new canal of over 200 li (1 li ¼ 500 meters) in length, starting in the west from Xiling (now Xixing Town in Xiaoshan District of Hangzhou City), going southwest through Shaoxing City and then turning east to the Cao’e River. It was later called “the Xixing Canal.” This canal connected many rivers of north-south direction on the Xiaoshao Plain and played an important role in the unified allocation of regional water resources. There are also canals linking the north bank of the Qiantang River and the Taihu Lake. The most important one is the Mausoleum Waterway built by the first Emperor of the Qin Dynasty. “Emperor Shihuang built a waterway starting from Youquan (Jiaxing now) to the south Qiantang in the Yuedi Area, connecting to Zhejiang area. The emperor mobilized soldiers in Kuaiji to excavate the Waterway (Yue Jue Shu (Records of the History of the Wu and Yue States) (Vol. 2). Four Essential Classics. P6.).” This waterway connected the Taihu Lake and the Qiantang River, roughly starting from today’s Suzhou City going south Jiaxing City and then to Hangzhou.

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14.2.1.3 The Connection Between the Yangtze River and the Huaihe River: The Hangou Canal The Hangou Canal is the earliest canal with a definite recorded excavation time. It is said in ZuoZhuan (The Commentary of Zuo on the Spring and Autumn Annals), in the ninth year of the reign of Lord Aigong (486 BC), “in autumn, State Wu built a city in State Han and excavated a channel to connect the Yangtze River and the Huaihe River (Annotation of the Commentary of Zuo Qiuming on the Spring and Autumn Annals. Zhonghua Book Company, 1981, P1652.).” The Han City was in the northwest of today’s Yangzhou City. The city constructing and canal excavating were key projects for State Wu’s north marching and the canal was named after Han City as “Hangou.” This canal was dug to assist the conquering of the Central Plains by the Lord of State Wu. At that time, the Hangou Canal was just sections of waterways linking different lakes and rivers. It was not until the Eastern Han Dynasty that major changes were made. According to Shui Jing Zhu (Commentary on the Waterways Classic), in the sixth century, the route of the Haogou Canal “in zhongdu section (the Gaoyou section) went north from Guangling, passing the east of the Wuguang Lake and the west of the Luyang Lake, the east-west distance of which was 5 li (1li ¼ 500 m) with water flow in-between, and then down to the Fanliang Lake. The old watercourse went northeast to the Bozhi and Sheyang Lakes and then went northwest to reach Shanyang in the end (Li Daoyuan, Shui Jing Huaishui Zhushu 水经淮水注疏 (Commentary on the Waterways Classic—Commentary on the Huaihe River) (Vol 30). Jiangsu Classics Publishing House, 1989, P2557–2556.).” Guangling is today’s Jiangdu District of Yangzhou City; the Wuguang, Luyang, and Fanliang Lakes are in today’s Gaoyou City; the Bozhi Lake is in today’s Baoying County and the Sheyang Lake is to east of today’s Baoying and Huaian Counties. There are many rivers and lakes between Huaian City and Yangzou City; the Hangou Canal built by Wu State in a short time only connects these water bodies in a subtle way. At that time, the Hangou Canal route was in a Ω shape. With abundant water source and crucial geographical position of connecting the Yangtze and Huaihe Rivers, it became a backbone waterway once completed. In order to avoid winds and waves on lakes and reduce circuitous voyages, a section between the Jinhu Lake and Baimahu Lake was built in the Three Kingdoms Period and the route began to be straightened gradually. By the Song Dynasty, the then Huaiyang Canal had been very straight. 14.2.1.4 The Connection Between the Yellow River and the Huaihe River: The Honggou Canal The Honggou Canal, water transport route connecting the Yellow and Huaihe Rivers is one of the most influential canals in the Central Plains recorded in Sima Qian’s Shiji- Hequshu (Treatise on Canals and Rivers of the Records of the Grand History). It was built in the middle of the Warring States Period as an important act of Lord Huiin the Wei State to conquer the Central Plains. In the ninth year in the reign of Lord (362 BC), the Wei State moved its capital to Daliang (now Kaifeng City of Henan Province) and in the next year excavated the Honggou Canal. In the Han Dynasty, it was also called the Langdang Canal or Honggong Water System which

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was interconnected with the Yingshui, Woshui, Yingou, Shashui (now Suihe River) Rivers. Its water came from the Ying Ze (Ze is a literary word for lake in Chinese) and Putian Ze (now west of Zhenzhou City in Henan), two lakes connected to the Yellow River. It went southeast through the Chen State (now Huaiyang District of Zhoukou City in Henan), connecting to the Huaihe River at the southwest of today’s Shouxian County in Anhui Province. The Honggou Canal in its early time was roughly the same as the Hangou Canal in technologies of water resource utilization and connecting artificial and natural waterways. With the Yellow River being its water source and the sand depositing effect of the Ying Ze, the Putian Ze, and other plain lakes around it in the Spring and Autumn and Warring States Period, this canal did not have a severe problem of silted-up watercourse. On this basis, the Sui and Tang Dynasties opened the Tongji Canal (the Bianhe River) by using the watercourse of the Honggou Water System. As lakes connected to the Yellow River like the Ying Ze and the Putian Ze were filled and leveled up by sediment, silt became the most intractable engineering problem for the Tongji Canal or the Bianhe River. Near the Daye Ze of the Central Plains, there was also a short canal – the Heshui Canal which was excavated for war. In the fourteenth year of its reign (482 BC), Lord Fuchai of the Wu State excavated the Heshui Canal during his meeting at Huangchi (near the southwest of today’s Fengqiu County of Henan) with the lord of the Jin State to form an alliance. By drawing water from the Daye Ze, this canal connected the Yishui River, a tributary of the Sishui River, and the Jishui River, a tributary of the Yellow River and was recorded in Guoyu- Wuyu (Histories of States in the Western and Eastern Zhou Dynasties – History of Wu) saying, “Lord Fuchai of Wu launched an military expedition to the north and excavated deep channel between Shang and Lu connecting the Yishui River in the North (an tributary of the Sishui River) and the Jishui River in the west (Zuozhuan (The Commentary of Zuo Qiuming on the Spring and Autumn Annals) recorded the meeting of the Wu and Jin States in the 13th year in the reign of Lord Aigong (482 BC). The excavation of the Heshui Canal was in this year at latest. Zuozhuan Jijie (Collections and Annotations of Works by Zuo Qiuming in the Commentary of Zuo Qiuming on The Spring and Autumn Annals) (29). Shanghai People’s Publishing House, 1977, P1787.).” However, Lord Goujian of the Yue State who occupied the land on the east of the Wu State took advantage of weak defense of the Wu State during the expedition of Lord Fuchai to capture its capital (Now Suzhou City). Lord Fuchai had to lead troops to return to the state, and four years later, the Wu State fell. Heshui Canal was connected to the Jishui River in today’s Dingtao District of Heze City in Shandong Province and to the Yishui River in Rutai County of Shandong. This canal gradually became desolate in history. Taking the Yellow River as its water source, the Honggou Canal faced a serious silting problem and its role in water transport between the Yellow River and the Huaihe River were gradually substituted by the Bianhe River after the Han Dynasty. Boats from south could voyage from the Huaihe River to the Sishui River, then entered the Bianshui River after arriving in Pengcheng and then went westward to the Yellow River. In the seventh year of the Jian’an Period (202), Cao Cao built the Suiyang Canal from Junyi County (now Kaifeng City) to Suiyang (now south of

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Fig. 14.3 The sketch map of the construction of the Lingqu Canal

Shangqiu City), another important canal between the Yellow and Haihe Rivers. Attempts to using artificial canals to bypass risky sections of natural rivers had been made. The Sishui River, a tributary in the lower reaches of the Huaihe River located 50 li (1li ¼ 500 meters) to the southeast of Pengcheng (now Xuzhou City), was an important way for water transport in the area north of the Huaihe River and had the famous rapids and shoals, the Xuzhou Hong and Lvliang Hong. The harnessing of the Xuzhou Hong initiated in the Eastern Jin Dynasty. In the ninth year of the Taiyuan Period of Jin (384), in Lvliang, Xiexuan (343–388) “sent Wen Renshi, a military officer, to lead 90,000 workers to build 7 dams for water holding so as to benefit Caoyun (Yang Shoujing, Shuijing Zhushu (Annotations of Commentary on the Waterways Classic) (Vol. 25). The version in The Whole Collection of Yang Shoujing’s Works. Hubei People’s Publishing House, 1995, P 2149.).” This waterway also became part of the Sui Dynasty’s Tongji Canal. In the 12th year of the Yonghe Period (356), Xun Xian went upstream the Sishui River to excavate a canal northward from Pengcheng to connect the Wenshui and Jishui Rivers, reaching Dong’e in the north. This was the predecessor of the Huitong River in the Yuan Dynasty (Fig. 14.3).

14.2.1.5 The Connection Between the Zhujiang Water System and Yangtze Water System: The Lingqu Canal After unifying the Central Plains, Emperor Shihuang, the first emperor in the Qin Dynasty, commanded an army to march to the region south of the Five Ridges right away. In order to ensure the army supplies and the governing after the conquest, he built a waterway for water transport – the Lingqu Canal. This canal passed through the watershed of the Xiangjiang River and the Guijiang River, overcoming a terrain elevation difference of 6 meters. As a result of good planning, the Lingqu Canal, in its early stage after being completed, could obtain stable water source and basic

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navigation conditions in mountains just by using simple engineering facilities, and laid the foundation for its later development. After completion, this canal became a vital communication line between ancient inland and the Guangdong and Guangxi areas until the completion and opening of the Xiang-Gui Railway (Hunan-Guangxi Railway) in 1941. After that, this canal gradually became a water conveyance channel mainly for irrigation. There is a north-south geographical corridor, the Xiang-Gui Corridor, between the Yuecheng Mountain Ridge to the northwest of the Xing’an County of Guangxi and the Dupang Mountain Ridge to the southwest of the county. It is the land passage from the area south of the Five Ridges to the Central Plains. The Yuecheng Mountain Ridge is the watershed of the Changjiang and Zhujiang Rivers, which is more than 20 m high and over 300 m long in the north-south direction. The Xiangjiang River flows from south to north and then turns to the northeast; the Shi’an River (a tributary of the Lijiang River) goes from north to southwest. The nearest part between the two rivers is only 1.6 km but the elevation of Xiangjiang River is 6 m lower than that of the Shi’an River here. The watercourse of the Lingqu Canal is not a simple straight connection here. The engineers in the Qin Dynasty searched upstream the Xiangjiang River for the water dividing points where the canal could be connected to the two rivers and constructed south and north channels to connect the Lingqu Canal with the Haiyang River, a tributary of the Xiangjiang River in the north and with Shi’an River in the south (The early record of the Lingqu Canal comes from Huainanzi- Renjianxun (a philosophical book written by Lord Huainan and his followers) of the Han Dynasty. According to the record, in the 28th year in the reign of Emperor Shihuang (219 BC), when the Qin Dynasty attacked the area south of the Five Ridges, “Jian Lu had no way to transport army provisions, so command soldiers to excavate waterways to transport grains.” In Shiji-Qinshihuang Benji (Records of the Grand Historian – Biography of Emperor Qin Shi Huang), Emperor attacked the area south of the Five Ridges in the 33rd year of his reign (214 BC). The initial construction time of the Lingqu Canal consults The Brief History of the Lingqu Canal Engineering Project by Zheng Liandi.). The south and north channels extended the gradient by means of curve courses, realizing a gradual connection between artificial and natural watercourses and suitable current velocity and depth for navigation. According to the measured data in the 1940s, the gradient of the north channel would be about 3.75‰ if it had been set in a straight line. Being curved artificially, the channel was 3.25 km long with an average gradient of 1.7‰ and the south channel was 33.15 km with a gradient of 0.9‰ (Changjiang Water Resources Commission, The Plan for Organizing the Xing-Gui Waterway Engineering Projects (Mimeographed Version). 1941.). With lowered gradient by circuitous channels and traction of men as assistance, the Lingqu Canal possessed the basic navigation condition despite the lack of navigation facilities.

14.2.1.6 The Connection of Rivers in the Haihe River Basin Through the Baigou Canal and So Forth Rivers in the southern part of the Haihe River system were originally tributaries of the Yellow River, but gradually became main streams of the southern Haihe River

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system following the construction of canals. In the end of the Eastern Han Dynasty (155–220), in order to unify the northern area, Cao Cao built the Fangyan Weir to dam and diverted water in the Qishui River into the Baigou Canal to open up a grain transport route in the ninth year of the Jian’an Period (204). The Qishui River, originating from the Taihang Mountain, flowed from north to south into the Yellow River. The Qingshui River (the upper reaches of the Weihe River) joined the Qishui River from the southwest. The section of the Baigou Canal watercourse after the Qishui River was built on the old course of the Yellow River. In the 18th year of the Jian’an Period (213), Cao Cao excavated Licao Canal to divert water in the Zhangshui River into the Baigou Canal, so boats from Yecheng could travel to the Yellow River through the Licao and Baigou Canals and then to the Yangtze and Huaihe Rivers, and they also could travel north through the Baigou Canal. In the 11th year (206), when Cao Cao launched the military expedition against the Wuhuan People in the north, he constructed the Pinglu, Lukou, Quanzhou, and Xinqu Canals for transport, connecting the Baihe River with the Zhangshui, Hutuo, and Chaohe Rivers in the Haihe River Basin. These three waterways gradually evolved into today’s South Canal and North Canal. In the fourth year of the Sui Dynasty (608), the Yongji Canal was excavated along the old watercourse of the Baigou Canal, eventually promoting the formation of mainstreams of the southern and northern water systems in the Haihe River Basin (Fig. 14.4).

14.2.1.7 The Excavation of Canals in the Central Shaanxi Area Chang’an (now Xi’an City) was the capital of the Western Han Dynasty. The Central Plains and the Yangtze and Huaihe River Plains were the main grain producing areas then and the grain was transported to Central Shaaxi mainly through the Yellow and Weishui Rivers. The flood and dry seasons of the Weishui River were unevenly distributed, and in the flood season, there was the risk of sinking boats while in the dry season, there was a great demand for irrigating farmlands on both banks. Moreover, there were wide flood plains and numerous bends along the watercourse. Therefore, water transport on this river was poor. According to Shiji- Hequshu (Treatise on Canals and Rivers of the Records of the Grand History), in the sixth year of the Yuanguang Period (129 BC), Dasinong (Finance Minister) Zheng Dangshi said, “in the past, grain from Central Shaanxi was transported upstream on the Weishui River. It took about 6 months to arrive in Chang’an after a voyage of over 900 li with many places difficult to pass during the travel. If a canal can be built to divert water from the Weishui River to flow along the Nanshan Mountain, it will be only over 300 li to reach the Yellow River. This is a straight route which is easy for shipping and it is estimated to take grain transport boats 3 months to arrive in Chang’an (Shiji- Hequshu (Treatise on Canals and Rivers of the Records of the Grand History). Zhou Kuiyi et al., Annotation of Treatises on Canals and Rivers of the Twenty-Five History Records. Cathay Bookshop, 1990, P6.).” This record shows that transport on the Weishui River was inconvenient and the finance minister suggested that an artificial canal be excavated north of it which could cut the travel distance and also save half of the time. Emperor Wu of the Han Dynasty immediately approved this proposal and after 3 years’ construction, the caoyun canal was opened,

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Fig. 14.4 The sketch map of canals in the lower reaches of the Yellow, Huaihe, and Haihe Rivers in the Three Kingdoms Period

which brought much convenience for water transport in Central Shaanxi. This canal is the “Central Shaaxi Caoqu Canal” (Fig. 14.5). The Central Shaaxi Caoqu Canal started from 30 li northwest of Chang’an. With water diverted from the Weihe River, it extended eastward on the Central Shaaxi Plain, which was on the south of the Weihe River and north of the Qinling Mountains, was joined by the Chanshui and Bashui River on the way, producing bountiful water flow, and finally flowed into the Weirshui River in the northwest of today’s Huayin City. It had a length of over 300 li on the flat terrain, forming a gradient of about 0.3‰. Then the Kunming Pond was dug, further improving the circumstance of the water resource. The excavation Central Shaaxi Caoqu Canal benefited water transport a lot, improving the annual quantity of grain transported through the Caoyun System from over one million dan (dan, Chinese unit of dry measure) to six million dan in the Yuanfeng Period during the reign of Emperor Wu. After that, with the political center moving east, the canal lost the status as well as maintenance. In the Eastern Han Dynasty, it was still navigable, but in the Northern Wei Dynasty, it dried up. In the Sui and Tang Dynasties, it was dredged

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Fig. 14.5 The sketch map of canals in the Central Shaaxi area

and became navigable again, bringing huge benefit, but after that it gradually became desolated.

14.2.2 The Use of Weirs as Control Facilities The engineering work of weir is an important technical means of humans to change water resource conditions in the natural water system. Before the formation of the Grand Canal system in the Sui Dynasty, engineering works for water control, mainly weirs, had been used on regional canals based on local conditions. The Fangyan Weir built by the Wei Kingdom in the Three Kingdoms Period to dam and divert water in the Qishui River into the Baigou Canal was the earliest engineering project for canal water source; meanwhile, the Wu Kingdom opened the Pogang Canal in the area south of the Yangtze River and built 12 weirs for it to cross the watershed and become navigable. This was the earliest canal control project. The use of weirs on canals signifies a great improvement in the control of canal transport conditions by people. In this stage, weirs were mainly applied in three ways: being built near natural rivers to divert water into canals, being built at level intersections of natural rivers and canals to reduce the disruption of natural rivers to canals and being built on sections with steeper slopes to retain water for navigation. These weirs were mainly made of bamboos, wood, earth, and stones.

14.2.2.1 Diverting Water for the Canal Canals are artificial waterways and usually flow in the direction perpendicular to natural waterways. Their water sources are usually the natural rivers intersected with them, so if the flow is not in the right direction, engineering works will be needed to divert water from natural rivers into canals. The representative project in this period was the Fangyan Weir on the Baigou Canal. In the ninth year of the Jian’an Period of the Eastern Han Dynasty (204), Cao Cao excavated the Baigou Canal and in order to provide water for it, built a weir at Fangtou (now southwest of the Nanxun County of Henan Province) to divert water

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in the Qishui River to flow northeast into the canal, so as to create suitable condition for Caoyun. Shui Jing-Qishui Zhu (Commentary on the Waterways Classic – Commentary on the Qishui River) says, “The Emperor Wu of Wei excavated the Baigou Canal and constructed additional facilities to strengthen it because of the original watercourse of the Yellow River at Suxu beside it (Li Daoyuan, Shui Jing ZhuQishui (Commentary on the Waterways Classic – Commentary on the Qishui River). Edition collated by Wang Guowei. Shanghai People’s Publishing House, 1984, P323–324.).” The Yellow River originally turned north at the Suxu opening (now west of Huaxian County in Henan Province), but later it breached the bank to flow eastward while the original northward watercourse remained, which was the base of the Baigou Canal excavation. The pivotal water source project was comprised of the Fangyan Weir and the water diverting channel. Water in the lower reaches of the Qishui River flew southward into the Yellow River and the Fangyan Weir was built at the north of the river mouth to dam and divert water of the Qishui River into the Baigou Canal. Shui Jing-Qishui Zhu (Commentary on the Waterways Classic – Commentary on the Qishui River) writes, “Emperor Wu of Wei put large Fang (a kind of wood material for weir construction) stakes at the river mouth to form a weir so that water in the Qishui River could be dammed and diverted into the Baigou Canal for Caoyun. Therefore, people at that time named this place as Fangtou. . . Iron stakes, wood and stones were all used in the construction of the weir (Li Daoyuan, Shui Jing Zhu- Qishui (Commentary on the Waterways Classic – Commentary on the Qishui River). Edition collated by Wang Guowei. Shanghai People’s Publishing House, 1984, P323.).” The location of the Fangyan Weir was in the west of today’s Xuxian County in Henan Province, and East Fangcheng and West Fangcheng Villages in this region were so named after the Fangyan Weir. The Baigou Canal was to the north of the weir and the water diverting channel went northeast to link the canal. In order to prevent sediment of the Yellow River flowing into the canal, a stone weir was built at the Suxu opening to prevent the water from flowing north and meanwhile, in the flood season, part of the flood water in the canal could overflow the weir into the Yellow River (Fig. 14.6).

14.2.2.2 The Separation at Level Intersection of Canals and Natural Rivers Artificial canals need relatively stable water level, volume, and flow while natural rivers have obvious flood and dry seasons, especially near the estuary in the lower reaches or for rivers in mountainous areas, which will cause dramatic and frequent changes in water level and flow discharge. If a canal has a level intersection with this kind of natural rivers, a weir is usually needed to be built to separate the canal to avoid or reduce the impact and disruption of natural rivers on the canal, so as to maintain canal water volume and also ensure that water can overflow into the canal from natural rivers during the high water level stage. The Dingmao Weir at the level intersection of the Jiangnan Canal and the Yangtze River and the weirs at the level intersections of the Xixing Canal and the Qiantang River and the Puyang River all belong to this type.

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Fig. 14.6 The sketch map of the pivotal project of the Fangyan Weir

The Dingmao Weir is at the north end of the Jiangnan Canal, transverse on the canal, with the Yangtze River being on its north. The construction of this weir is recorded in Yu Di Zhi 舆地志 (Collections of Geographical Works), which says, “the son of Emperor Yuan of the Jin Dynasty, Pou, governed Guangling Prefecture and wanted to transport grain out of Jingkou. Since the canal dried up, he petitioned to the emperor for building a weir at the Dingmao Port (Zhenjiang Zhi-Shanshui (Annals of Zhenjiang City – Mountains and Rivers) (Vol. 7), P277.).” It is thus clear from the record that the main purpose of this weir is to prevent the canal from “drying up.” With the terrain of this section being higher in the south than the north, the water level of the Yangtze River varies greatly under the influence of flood and dry season as well as tides, so a weir is built to stop the outflow of canal water and meanwhile introduce water into the canal when the water level of the river is high. In the Southern Qi Dynasty (479–502), there were three weirs from west to east on the Xixing Canal: the Xiling Weir, the Beijin, and Nanjin Weirsat Puyang. The Xiling Weir was located at the junction of the Xixing Canal and the Qiantang River, which was later known as Xixing Weir; the Nanjin and Beijin Weirs of Puyang were control facilities at the level intersection of the canal and the Cao’e River. “A man with a family name of Hu said, ‘on the Puyang River, there was a weir called the Nanjin Weir, which is now the Lianghu Weir in the Shangyu District of Shaoxing City; there was also a Beijin Weir, which is now the Cao’e Weir (Gu Zuyu, Essentials of Geography for Reading History (Vol. 92). Shanghai Bookstore Publishing House, 1998.).’” All the three weirs intersected with canal course, controlling the water head at intersections with natural rivers to ensure stable transport conditions of the canal like flow discharge, depth, and velocity.

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14.2.2.3 Graduating the Canal to Equilibrate Altitude Difference Generally, canals are planned to choose a route with gentle slopes, while the mountain-crossing canals, with terrain restriction, usually have steeper slopes. Therefore, it is necessary to set up control facilities by elevation and through building dams on different elevations, surface water can be dammed and stored to flow into canals and form watercourses. The height of these dams will equilibrate the altitude difference between terrains and water levels, forming several cascade channels to be navigable in different sections. The Xuxi, Pogang, and Shangrong Canals are all this kind. The highest point of Maoshan Mountains, which are crossed by the Xuxi Canal, is a hill with a height of 20 m and width of about 15 m. The altitude at its west descends to about 8 m and at its east to about 6 m. It is said that there were once five weirs on the Xuxi Canal, but the construction time and exact location have been unknown. In the eighth year of the Chiwu Period of Kingdom Wu (245), the Pogang Canal was opened and “12 dai were built”(Zhang Bo, Records of Wu, Tai Ping Yu Lan (Categorized Book Collections Compiled in the Taipingxingguo Period of the Song Dynasty) (Vol. 73). Zhonghua Book Company, 1960, P344. There is another saying that there were “14 Dai” with 7 on each side of the watershed. See The Records of Jiankang.) on the canal for navigation. Dai means weir in Chinese. In the period of Liang of the Southern Dynasties, the Shangrong Canal was opened due to the desolation of the Pogang Canal. “The flow was divided with one running 30 li southeast over 16 Dai into Yanling and another one running 26 li southwest over 5 Dai into Jurong.” There were all together 21 weirs. 14.2.2.4 Navigation Technology for Boats to Go over Weirs As weirs intersected canals, to pass them, boats needed to be pulled over by humans or animals with the assistance of machinery, which then became a specific navigation method or technology. Weirs had been existing over a long time as main navigation engineering works in some areas such as East Zhejiang. In the fourth century at the latest, the navigation method of using water buffalos to haul boats over the weir had become a mature technology and weirs of this kind were called “Niu Dai (Buffalo Weir).” The Xiling Weir and the Nanjin and Beijin Weirs of Puyang on the Xixing Canal were all Niu Dai. There were specialized management agencies for Niu Dai, which collected fees from passing boats. In the record of History of Jin, in the first year of the Longhe Period in the Eastern Jin Dynasty (362), “Sima Yi, Lord of Donghai, asked for the permission to collect money by taxing boats that needed buffalos to pull them over weirs in Qiantang and Haiyan. The Emperor first agreed but revoked this permission later under the remonstration of Kong Yan (History of Jin- Biography of Kong Yan (Vol. 78). Punctuated Version published by Zhonghua Book Company, P2061.).” The tax revenue of pulling boats over weirs was high enough to be coveted by the nobilities, implying the large volume of canal transport and the maturity of canal engineering system as well as its management. Essentials of Geography for Reading History says, “in the 6th year of the Yongming Period in the Qi Dynasty (488), Du Yuanyi, the governor of Xiling (Xixing) put forward a proposal and said, ‘Wuxing has poor harvest this year while Kuaiji has a big crop, so

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the traders traveling between these two places doubled compared to other years. The prescribed tax for Niu Dai at the Xiling Weir was 3500 qian (copper coin) per day, but I think this tax can be doubled. I asked for taking over the management of this weir as well as the Nanjin and Beijin Weirs of Puyang and the four weirs of Liupu (which were on the north bank of the Qiantang River, opposite to the Xiling Weir). I promise to hand an extra of over 4 million qian for one year’. Gu Xianzhi, the prefect of Kuaiji, strongly opposed this proposal, so the emperor rejected it”(Fig. 14.7). Building weirs to control canal water and the navigation method mentioned above had long been existing in East Zhejiang and areas south of the Yangtze River. In the fifth year of the Xining Period in the Northern Song Dynasty (1072), the Japanese monk, Joujin, who came to China to make a pilgrimage in search of Buddhist doctrines, went north from Hangzhou by boat along the canal, recording the process of the boat “crossing” the Wangting Weir, the Benniu Weir, and the Jingkou Weir and describing this way of “crossing” weirs as exotic. When the boat arrived at the Benniu Weir, “it crossed the weir during the time from 5 am to 7 am, with 5 pulleys equipped on each side and 16 buffalos pulling it, 8 on each side (Joujin 成寻, Travel Notes of Visit to the Tiantai and Wutai Mountains. A version collated and punctuated by Bai Huawen et al., P88.).” When it arrived at the Jingkou Weir, “it crossed the weir in the period from 3 pm to 7 pm, being pulled by 14 buffalos, 7 on each side. I went off the boat on the command of weir manager and saw the boat-crossing process. It was really exotic (Joujin, Travel Notes of Visit

Fig. 14.7 The picture of boats crossing weirs drawn by the British diplomatic mission during the reign of Emperor Qianlong in the Qin Dynasty

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to the Tiantai and Wutai Mountains. A version collated and punctuated by Bai Huawen et al., P88.).” During the reign of Emperor Qianlong, the British diplomatic mission also recorded this way of boats crossing weirs they’d seen in their paintings. This method was still used on canals in areas south of the Yangtze River in modern times. Canals in East Zhejiang in the history had long been taking weirs as major water control facilities by “using the sluice gate to retain water and weirs to assist navigation,” showing great local characteristics.

14.3

The Grand Canal in the Sui, Tang, and Song Dynasties (the Seventh– To Twelfth Centuries AD)

The Sui Dynasty excavated the Tongji and Yongji Canals and systematically renovated the Huaiyang and Jiangnan Canals, forming the Grand Canal system with the center in Luoyang. Canals of this time, through the systematic realigning of watercourses and the systematizing of the controlling engineering works including embankments, water source facilities and sluices and weirs, primarily formed independent watercourses and had further improvement in their engineering system. In the Sui, Tang, and Song Dynasties, navigation engineering technology reached the top of the world, which was symbolized by the applying of “Double-Sluice.” The Yongji Canal connected and unified different water systems on the North China Plain and became the main stream of the south and north systems of the Haihe River, forming the waterway structure in the Haihe River Basin. The water source of the Tongji Canal (Bianqu Canal) was the Yellow River. The Northern Song Dynasty implemented the “Qingbian Project” to cut the flow from the Yellow River and divert water from the Luoshui River instead into the Bianqu Canal, which represented a new level of canal water source project planning.

14.3.1 The Formation of the Grand Canal During the period from the Sui Dynasty to the Song Dynasty, China experienced another age of unified empires, when a waterway connecting the political and economic centers became the very foundation for building and developing the country. In the Sui Dynasty, after renovation, a grand canal, consecutively traversing from east to west and passing through from north to south, was completed; the Tang and Song Dynasties were not only the second climax of canal development in the history but also a glorious time for the application of canals. In the history of engineering technology, the Grand Canal in this time, through systematic renovation of watercourses and construction of water source projects like water pool as well as control facilities like sluices and weirs, basically formed an independent engineering system. In the history of water transport, the Caoyun system during this period reached its historical peak and formed Caoyun organizations that had important achievements through combining storage with the waterway. This system continued to be used by later generations but was never surpassed.

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In the Daye Period under the reign of Emperor Yang of the Sui Dynasty (605– 618), the Yongji and Tongji Canals were excavated and the Shanyang Canal (the Hangou Canal) and the Jiangnan River were systematically renovated. By then, the Grand Canal system with watercourses in both east-west and north-south directions, which were led to Luoyang, was formed. The Sui Dynasty lasted for less than 40 years (581–618) and the improvement of the Grand Canal engineering system and the operation of the Caoyun system were in the 600-year period of the Tang and Song Dynasties after it. In the Grand Canal system that took the eastern capital of the Tang Dynasty, Luoyang, and Bianjing (now Kaifeng of Henan Province) of the Northern Song Dynasty as termini, the Yongji Canal ran south directly to Zhuojun Prefecture (Zhiji, now southwest of Beijing); the Tongji Canal went southeast to meet the Huaihe River, linking the Huaiyang and Jiangnan Canals built in former dynasties, reached the estuary of the Qiantang River in the south and turned east at Hangzhou to Ningbo, where it was connected to the sea. This canal system became the economic lifeblood of the two famous dynasties and left a deep impression on the society, politics, and culture of the corresponding time.

14.3.1.1 The Yongji Canal In the fourth year of the Daye Period of the Sui Dynasty (608), “the emperor issued an edict to send millions of men and women from prefectures of Hebei to build the Yongji Canal. Introducing water from the Qinshui River, the canal reached the Yellow River in the south and Zhuojun County (Zhiji, now southwest of Beijing) in the north (History of Sui-Annals of Emperor Yang (Vol. 3). Zhonghua Book Company, P70.).” The Yongji Canal was built on the basis of the Baigou Canal and old waterways of the Yellow River, with its route generally starting from Weixian County (now southwest of the Xunxian County), where water from the Qishui River was diverted into the canal, running northeast through today’s Xunxian County of Henan Province, then running along the old waterway of the Yellow River, the Tunshi River, to Linqing in Shandong, and finally going north straightly to Zhuojun County. The watercourse at the upper reaches of the canal had a width of about 56 meters and a depth of 8 meters (Xu Jian, Chu Xue Ji 初学记 (Collections of Classics and Literary Works Prior to and in the early Tang Dynasty) (Vol. 6). Zhonghua Book Company, 1962, P120. The book says, “to connect the Qishui River with the Yellow River, emperor Yang of Sui once went to Weixian County (now southwest of Xunxian County) and stood at Qimen to supervise the excavating work. The channel west northeast and met with the old waterways of the Nine Rivers which were said to be dredged by Yu. This channel was named as the Yu (御) River.” LiJifu, Yuanhe Junxian Zhi 元和郡县志 (Geographical Records of Counties of the Tang Dynasty) (Vol.16). Ancient Chinese Geographical Records Series. Zhonghua Book Company, 1983, P466. The record of Yongji County in Beizhou of Hebei Dao (an administrative unit in the Tang Dynasty) says, “the Yongji Canal was in the west outer city of the county, which had a width of 170 chi (¼1/3 metre) and a depth of 2 zang (¼ 3 1/3 metres) 4 chi. Starting in the south from Jijun Prefecture (the government office of which was in the southwest of today’s Xunxian County), it drew water from the Qingshui and Qishui Rivers, ran northeast to join the Baigou

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Canal and went through this county to Linqing.”). Its water mainly came from the Qinshui, Qingshui, and Qishui Rivers. The Qingshui and Qishui Rivers were once the water source of the Baigou Canal, but the Yongji Canal added the Qinshui River as its water source and moved the water intake southward, with its north end reaching Zhuojun Prefecture. The Yongji Canal connected the Qinshui, Qingshui, Qishui, Zhangshui, Tunshi, Qinghe, and Sanggan Rivers, leading rivers originating from the Taihang Mountains, which originally joined the Yellow Rivers, to flow into it; its northern section linked the Chaohe, Baihe, and Shuiding Rivers to flow into the Haihe River together, forming the main streams of the northern and southern water systems in the Haihe River Basin (Fig. 14.8). In the Tang Dynasty, the Yongji Canal was still the main way connecting waterways in the Central Shaanxi area and Hebei and Hedong areas. In the Northern Song Dynasty, the Yongji Canal was also called Yuhe River and mainly included the South Canal and the southern water system of the Haihe River. It was mainly used to transport provisions and funds for troops and the imperial court set Hebei Zhuanyunshi (a government official in charge of transportation) to take charge of Caoyun. During that period, the Yellow River was divided into two branches and the north branch was not connected to the Yuhe River. So was the Qinshui River. So, the Fig. 14.8 The sketch map of the Grand Canal in the Sui, Tang, and Song Dynasties (the seventh to twelfth centuries)

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main water source of the Yuhe River at that time was the Qishui River. The Baimen Pond at Gongcheng of Weizhou (now Huixian County of Henan Province), which was formed by collection water through water diversion engineering works, was the upper source of the Qishui River and then the water flowed down to the Yuhe River, the upper source of today’s Weihe River, joining downstream the lakes and ponds on the then North China Plain (History of Song- Treatise on Rivers and Canals. Annotation version of the Treatises on Rivers and Canals in Twenty-Five Histories, P147–148.). Since the canal converged water from different rivers, flood control became a prominent problem. In the Xining Period of the Northern Song Dynasty (1068–1077), a water outlet called Fanji was dug on the Yuhe River at Daming Prefecture to control water rise, which was also the origin of the flood reduce project of the South and North Canals in later generations. In the Northern Song Dynasty, the north branch of the Yellow River passed through Puyang and Dongguang and then turned east to flow into the Bohai Sea, passing through Cangzhou (In the Northern Song Dynasty, the Yellow River flew through two ways into the sea, one being the north branch, which was roughly to the north of and slightly parallel to today’s Yellow River and was divide into the old Jingdong Waterway, Henglong Waterway, and Ergu River (Second Branch River) in different periods.), which caused great disruption to the Caoyun channel of the Yuhe River. Despite not being able to become a stable water source for the Yuhe River, it repeatedly burst into the river, with sediments being rushed into the watercourse to block navigation. During the Xining and Yuanfeng Periods, the government took dredging measures for many times, trying to change the course of the Yellow River after Hebei to the east to separate it from the Yuhe River, but the effects were shortlived. In the fourth year of the Yuanfeng Period (1081), the Yellow River burst at Xiaowusao of Chanzhou (the government office being in today’s Puyang), causing the main stream to change its watercourse to flow into the Yuhe River from the northwest inner course (History of Song- Treatise on Rivers and Canals. Annotation version of the Treatises on Rivers and Canals in Twenty-Five Histories, P72.). After the Yellow River occupied the Yuhe River to flow north, more sediments were deposited in the river, causing the desolation of the 100–200 li’s section south of Beijing (Daming Prefecture) and suspension of Caoyun for many years (History of Song- Treatise on Rivers and Canals. Annotation version of the Treatises on Rivers and Canals in Twenty-Five Histories, P80.The original text says, “SuZhe proposed, ‘in the past, the Yellow river was in the east and the Yuhe River ran from Huaizhou (government office being in today’s Qinyang City) and Weizhou (government office being in today’s Weihui City), passing through Beijing (now northeast of Daming County), to the boarder area. . . . Since the Yellow River changed its watercourse to the west, the Yuhe River has been deserted. . . . Now, the Yellow River goes north from Xiaowu, occupying old channels of the Yuhe River. Though it turned east on the south of Beijing, the 100–200 li’s watercourse of the Yuhe River has been desolate. How can this be recovered?”). In the second year of the Yuanfu Period (1099), the Yellow River once again burst in the north and thrust into the Yuhe River, whose section south of Daming dried up 3 years later. In the first year of the Chongning Period (1102), the Bazikou Outlet was opened at Linqing County,

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several sluice gates were set on the west dike of the Yuhe River and meanwhile the west dike was raised by 3 chi (¼1/3 meter) to divert ponding water in Daming, Enzhou, Jizhou, Cangzhou, and Yongjingjun into the river to support water transport. In the autumn of the next year, the Yellow River burst into the Yuhe River again and flooded Guantao County. About 210,000 workers were employed to repair the west dike of the river, but it was breached again soon. Under the influence of the Yellow River and with the need for frontier defense, the Yuhe River was basically in a state of lacking management, and some sections were silted up by sediments brought by the Yellow River.

14.3.1.2 The Tongji Canal In the first year of the Daye Period of Sui (605), Emperor Yang issued an order to send over one million people from prefectures of Henan and Huaibei to excavate the Tongji Canal. The section from the canal outfall at the Xiyuan Palace in Luoyang to Yanshi, where it joined the Yellow River, was newly built and other sections were renovated old watercourses. The Tongji Canal, in the Sui and early Tang Dynasties, was divided into two branches after Bianzhou (now Kaifeng City of Henan Province), with one using the old course of the Bianqu Canal, passing through Bianzhou, Dangshan, Xiaoxian to Xuzhou to join the Sishui River and then turning southeast to pass through Suzhou (the government office in Suyu, now Suqian County) to join the Huaihe River at Huaiyin, which was called Joining-Sishui Waterway, while the other using the course of the Suishui River, turning southeast from the southwest of the Bianzhou city and passing through the north of Yongqiu (now Qixian County), the south of Songcheng County in Songzhou (now south of Shangqiu County), the south of Yongqiao in Suzhou (now Suxian County, which originally belonged to Xuzhou), Hongxian County of Sizhou (now Sixian County), and Linhaui County (now in the north of Xuyi County, which sank into the Hongze Lake in the seventeenth century) to join the Huaihe River, which was so named as Joining-Huaishui Waterway. After the mid-Tang period, this canal was gradually named as the Bianhe River or Bianqu Canal (only referring to the south branch, which was different from the Bianhe River in the Han Dynasty), abandoning the name of the Tongji. In the Tang Dynasty, the Joining-Huaishui Waterway (the south branch) replaced the north branch, the Joining-Sishui Waterway. In the section from Hongxian County (now Sixian County) to the north of the outfall to the Huaihe River at Linhuai County, a watercourse of 150 li, buffalos were often used to pull boats to go upstream or downstream due to steep gradient of the course and rapid flow. In the 27th year of the Kaiyuan Period (739), Qi Huan, the caifangshi (central government supervisor) of Henan, excavated a new canal of over 30 li, flowing south from the Hongxian County into the Qinghe River (the Sishui River), and then after the water flowing over 100 li, built a canal to divert water from the Qinghe River to the place 18 li north to Huaiyin County (now near Matou Town in the southwest of Huaiyin District), where the water flowed into the Huaihe River. This canal was named as Guangji New Canal. Later, it had to be abandoned and the old waterway was dredged and used again for its flow was still fast and its riverbed

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Fig. 14.9 The main watercourses taken up the southward invading Yellow River in the twelfth and thirteenth centuries

was full of lime concretion, causing great difficulty to Caoyun. Most of the grain supply of Bianjing (now Kaifeng City), the capital of the Northern Song Dynasty, came from Jianghuai area, so the dependence on Caoyun on the Bianhe River during this period far exceeded that in the Tang Dynasty, leading to the excavation of the Guangji River and Huiming River. In the second year of the Jianyan Period of the Southern Song Dynasty (1128), the Yellow River changed its course southward to burst into the Huaihe River, flooding nearly the whole Huaibei Plain. The Tongji Canal and all tributaries of the Huaihe River were affected by this to be silted up and change courses. The closer the watercourse was to the main course of the Yellow River, the larger the change was. The watercourse of the Bianhe River, which had taken the Yellow River as its water source, was easy to silt up. During the reign of Emperor Huizong, the river had not been dredged for about 20 years and after the southward moving of the Yellow River, it soon became a perched river. By the fifth year of the Qiandao Period (1169), its riverbed in Yongqiu (now Qixian County in Henan Province) and Xiangyi (now Suixian County of Henan), which were on the east of Kaifeng, had been 3.8 meters higher than the riverbank. The Southern Song Dynasty took the Bianhe River as a boundary to confront the Jin and no longer dredged it. Then the river soon silted up and lost its function (Fig. 14.9).

14.3.1.3 The Shanyang Canal, Jiangnan Canal, and Zhedong Canal In the first year of the Daye Period of Sui (605), when the Tongji Canal was opened, another group of over 100,000 people from Huainan area were sent to excavate the Hangou Canal, which started from Shanyang (now Huai’an City) and ran to Yangzi (now south of Yangzhou City) to join the Yangtze River. This canal was called Shanyang Du (Canal). It was actually a systematic renovating and widening of the former Hangou Canal, with watercourses being widened to 40 bu (about 60 meters), roads for imperial carriage being built and willows being planted on both banks, the same setting as the Tongji Canal. In the Tang Dynasty, the Shanyang Canal was also

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called Yangchu Canal, which had two ports of Guazhou and Yizheng. In the Song Dynasty, it was named as Huaiyang Canal and was commonly known as “Hu Cao (Water Transport on Lakes)” for it was connected to the Gaoyou Lake and Shaobo Lake, etc. along the route. With extensive water and large stormy waves, this section was highly risky for boats. Therefore, from the Jingtai to Shaoxi Periods, dikes were built in batches along the Huaiyang Canal, forming an embankment system to separate the canal from other water bodies and make it a relative independent water system. To avoid the risk of sailing on the Huaihe River, from the Yongxi to Yuanfeng Periods, the Shahe River, Hongze River, and Guishan Canal (which were collectively called the Guishan Canal) were built one after another, through which the boats for Caoyun could reach Xuyi without entering the main stream of the Huaihe River and then sail north to Sizhouon the opposite bank to enter the Bianqu Canal (see Fig. 14.10). In the sixth year of the Daye Period (610), Emperor Yang “gave the order to open up the Jiangnan Canal, which was from Jingkou to Yuhang with a length of over 800 li and a width of over 10 zang and made it navigable for dragon boats (Sima Guang, Zi Zhi Tong Jiang-Sui Ji Wu 资治通鉴 (Historical Events Retold as a Mirror for the Government- the fifth Volume of the Sui Records) (Vol 181). Zhonghua Book Company, 1956, P5652.).” This was systematic renovation of the old Jiangnan Canal. Starting from the Jingkou Port of the Yangtze River, it flew southward through Qu’e (now Danyang City of Jiangsu Province), Piling (now Changzhou City of Jiangsu), Wuxi, Wujun (now Suzhou City of Jiangsu), and Jiaxing and reached Yuhang (now Hangzhou City of Zhejiang Province) through the Shangtang River to join the Qiantang River. The canal route was thereby determined. In the

Fig. 14.10 The sketch map of the Guishan Canal in the Song Dynasty

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Tang and Song Dynasties, the engineering system of the Jiangnan Canal was gradually improved with weirs and sluices being built in key positions of junctions with natural rivers or great altitude difference to control the flow due to the topography of being high in both ends and low in between along the route and a separating dike between the canal and the Taihu Lake, also known as the Wujiangtang Road being constructed. So far, the canal had primarily formed its independent water system. In the Song Dynasty, the Zhedong Canal, on the basis the former Xixing Canal, connected the Yaojiang and Yongjiang Rivers in the east, forming a consecutive waterway from the Qiantang River at Xiaoshan to Ningbo to join the sea. The junctions of artificial waterways and natural rivers were all equipped with weirs and sluices and the engineering system of the canal was primarily completed. Then inland river transport network, with the Grand Canal being the backbone, extended in all directions and was communicated with the sea transport through the Zhedong Canal. Mingzhou, as an important port in the southeast coastal area of China, became a pivotal hub for economic and cultural communication between China and overseas countries.

14.3.2 The Double-Sluice Facility and Its Management The invention and application of “Double-Lock” in the Song Dynasty was the crowning achievement in the history of canal engineering technology during the period from the tenth to twelfth centuries, which placed China’s navigation engineering level on the top of the world. Double-sluice was two or more sluices sequentially placed on the canal, which formed lock chambers of different levels to concentrate altitude differences in one place. The joint use of two or more sluices could help boats smoothly sail over sections with water level differences and at the same time control the discharging of canal water when boats passed through the locks. It worked just like modern navigation lock. It was not until the seventeenth century that this engineering facility appeared in Europe. The double-sluices were mainly applied on the Huaiyang and Jiangnan Canals. Evidence has shown that the Xihe Sluice and the Zhenzhou Sluice of the Huaiyang Canal and the Jingkou, Lvcheng, Benniu, Shanqing, and Chang’an Sluices of the Jiangnan Canal were all this kind of facilities. The first double-sluice set on Chinese canal was the Xihe Sluice built at the north end of the Huaiyang Canal by Zhuanyunshi (a government officer in charge of transport as well as supervising local governments) Qiao Weiyue in the first year of the Yongxi Period in the Northern Song Dynasty. After the excavation of the first channel of the project for avoiding the Huaihe River, a navigation lock with two sluices was constructed to replace the weir. The record says, “there was a distance of over 50 bu (equivalent to 5 chi) between the two sluices and the lock was covered with cottages. Lifting sluice gate was set to impound water which could be discharged when the water level was low. He also built a bridge on the bank and used earth and stones to strengthen the foundation. Since then, all the defects had

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been remedied and boats could pass unimpededly (History of the Song DynastyBiography of Qiao Weiyue (Vol. 307). Zhonghua Book Company, P10118.).” According to this record, the navigation lock built by Qiao Weiyue had two sluices, a higher one and a lower one, which formed a lock chamber of 73.5 meters long, and the sluices were flat slabs with raising pulleys. There was an operating bridge over it. Its structure was in general similar to today’s navigation lock. The Zhenzhou Sluice was another typical double-sluice structure on the Huaiyang Canal. Zhenzhou is today’s Yizheng City and was once a canal port. This sluice was built in the mid-Qianxing Period of the Northern Song Dynasty (1022). “Control the outlet of the canal to build the outer lock.” “In the northern part of the lock chamber, an inner lock was built and a channel called Ao(澳) was excavated between these two locks as supplementary water source to prevent its drying up ((Revised edition in the Daoguang Period) Annals of Yizheng County- Treatise on Rivers and Canals (Vol.10).).” The outer lock was stone masonry with great depth and was mainly used to impound tidal water and balance the water level difference between the canal and the Yangtze River. The inner lock was used to further adjust water level difference at the outlet. The sluice of outer lock could divert the tidal water into the chamber and the large water level diffidence would cause torrential current; the current flowing through the inner lock was relatively stable due to the reduced water level difference and smoothly flew into the canal with the rising water. The Zhenzhou Sluice engineering works also included a facility called Shuiao (水澳) to impound tidal water and automatically supply water to the canal. The engineering works for controlling on the Jiangnan Canal in the Song Dynasty were all basically reconstructed into double-sluice structure, among which the Jingkou Sluice and Chang’an Sluice were the most typical ones (see Fig. 14.11). In the fifth year of the Xining Period in the Northern Song Dynasty (1072), the Japanese monk, Joujin, came to China for Buddhist pilgrimage and seeking Buddhist doctrines, who record his experience of passing through the Chang’an Sluice during his travel to the north from Hangzhou on the Jiangnan Canal. The record says, “from 3-5 o’clock p.m., two sluices were opened for the boat to pass. After passing, the flat slab would be pulled

Fig. 14.11 The plans of the Jingkou and Chang’an double-sluice structures in the Northern Song Dynasty

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down to close the sluices and the third sluice gate would be opened for the boat to pass. The second section originally had a fall of over 5 chi, but after opening the sluices, the water lever of the upper section lowered, forming a level surface for the boat to pass.” It operated on much the same principle as modern ship locks. The double-sluice system consisted of sluice group, Ao for water supply and channels and gates to Ao with the canal. Ao was the water source project in doublesluice system and usually there were two Aos named as Jishui Ao (Water-storing Ao) and Guishui Ao (Water-returning Ao). The normal water level of the JishuiAo was higher than or the same as the higher water level (water level on the upstream side of the sluice group) of the connected lock chamber (usually the upstream chamber), so that it could replenish the water consumed during the boat’s passing through the chamber and raise the chamber’s water level to that of the upstream side to prepare for the next passing; the normal water level of the Guishui Ao was lower than or the same as the lower level of the chamber on the downstream side, so that it could collect the discharged water during the falling of the water level in the chamber to hold it from flowing downstream; water in the Guishui Ao could be raised and drawn into the JishuiAo for recycling use as needed. The water of Ao came from storing up stream water in higher places or rainwater, raising water from lower ponding or stream (such as drawing water from the Lvcheng Sluice into Ao by using waterwheel), or impounding tidal water during tide rising (such as the Ao in the Jingkou Sluice system). One boat passing through an ordinary double-sluice facility would consume (discharge) the amount of water of a whole chamber, but by using Ao, the water that could have been discharged and wasted would be recycled. The two Aos of the Jingkou Sluice made full use of the characteristics of the local terrain, which was slightly higher than the canal while had an elevation that the tidal water could reach at its limit, so they could impound water during tide rise as well as supply water for the canal during water shortage. But compared with simple double-sluice structure, this kind of structure was also more demanding in operational management. The double-sluice facility with Aos was also named as “Ao Sluice.” The operating principle of double-sluice is similar to modern ship lock. The general process is as follows. When the boat passes through the outer sluice, the outer sluice and middle sluice will be closed and the lock chamber began the water filling process; when the water of the outer and inner lock chambers reaches the same level, the middle sluice will be opened to let the boat enter the inner lock chamber. Then, the middle sluice and inner sluice work together to raise the boat again. At last, the sluice will be opened for the boat to enter canal course smoothly. The ingenious arrangement of sluices, Aos and channels as well as the coordination between opening and closing sluices forms a pivotal project with complex functions of diverting tidal water, storing, saving, and conveying water (Fig. 14.12). In history, control facilities of the canal mainly included weirs, sluices, and double-sluice systems, among which double-sluice systems represented the highest technological level. Different from single sluice, the double-sluice system could concentrate the water level differences of one canal section into on place to implement multilevel control. Each sluice could be opened in a level-surface condition, rendering flow of the whole section stable, which greatly improved the navigation

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Fig. 14.12 A diagram of double-sluice’s operating principle

condition. The single sluice just concentrated the water level difference on both sides of the sluice gate and since the gate could not be opened in a level-surface condition, boats could only pass through the sluice in a rapid and rolling flow and it was also difficult to open and close the gate. What’s more, there would be a great water loss during the opening for the upper reaches that experienced water shortage. The creation and application of the double-sluice was a fundamental advancement in solving these problems. The double-sluice system utilized lock chambers which could adjust water levels to link the different upstream and downstream water levels to realize smooth passing for boats. In addition, the combined use of sluices largely reduced the water loss during the passing, which was very important for sections with frequent water shortage. The double-sluice system required rigid transport organization and management, but its management had been faced with impediments from the state system since its first appearance. Senior officials and dignitaries used the privilege of permitting boats transporting fresh fruit tributes the priority of passing to demand sluice opening at any time they want, which also influence the full function of the Shuiao. Due to its complex management, the application of double-sluice did not last for a long time. Later, most of the facilities were changed back to single-sluice structure or even weirs.

14.3.3 The Bianhe River (the Bianqu Canal) Clearing Project The water source of the Bianhe River was the turbid water of the Yellow River. The flow of high sediment concentration and the dramatic rising and falling of water level created terrible navigation condition and dike breaching and navigation disruption became common scenes whereas the watercourse dredging project was so unbearable for people. The Bianhe River Clearing Project was a project of changing the water source of the river from the turbid Yellow River to clear water rivers like the Luohe River. In the first year of the Yuanfeng Period of the

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Fig. 14.13 A sketch map of the Bianhe River Clearing Project

Northern Song Dynasty (1079), under the proposal of Zhang Conghui, an West Gongfengguan (an military officer in the Song Dynasty), Song Ziyuan, an officer of Dushuijian (an government organization for water administration in the Song Dynasty), further specified the plan. In the next year, Song Yongchen presided over the construction. “In April, a water diverting channel connecting the Luohe River and the Bianhe River was constructed and in June, water was introduced into the Bianhe River. Since then, the water had been flowing all year round and if it was frozen in winter, he would urge the government officers of the regions along the river to break the ice to flow the water (History of the Song Dynasty- Treatise on Rivers and Canals. Annotated version of Treatises on Canals and Rivers of the Twenty-Five History Records, P122.).” The Bianhe River Clearing Project mainly consisted of three parts, the water diversion channel (about 25.5 km), the control weir or sluice gate (to increase or decrease the volume of water introduced into the canal) and water pool (for water supplement). At the same time, renovation projects like “building wooden revetment to narrow the watercourse” were implemented along the Bianhe River to protect the river bank as well as improve the navigation condition (Fig. 14.13).

14.3.3.1 The Key Engineering Works for Water Diversion The Bianhe River Clearing Project took the three tributaries of the Yellow River, the Luoshui, Sishui, and Suoshui Rivers, as the water source. In the tenth year of the Xining Period (1077), after flooding, the watercourse of the Yellow River west of Heyin moved northward, leaving a flood plain of about 7 li wide between the old watercourse and the Guangwu Mountain, where the key engineering work of inlet for introducing water from the Luoshui River was placed. In the sand valley connecting the Luoshui River and the Yellow River, a water diverting channel of 51 li long was excavated along the flood plain, running from the Guangwu Mountain to Shilidian of the Heyin County to connect the Bianhe River. An overflow dam was built at the former outlet of the Luoshui River into the Yellow River to discharge flood from the Luoshui River during the flood season, and two sluice gates of Weilou and Yingze were set in the water inlet section to control the volume of water entering

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the Bianhe River from the Luoshui River. All these facilities guaranteed a stable water flow for the navigation on the Bianhe River.

14.3.3.2 Regulating and Storage Water Pool The Sishui River was another water source for the Bianhe River Clearing Project. The Sishui River was mountain stream whose flow varied significantly during the flood and dry seasons. Song Yongchen made a careful arrangement in the planning. In the canal head section, “water was diverted from the old Suohe River into the three pools of Fangjia, Huangjia and Mengjia as well as the 36 pools. On the high land, water was impounded in pools in case of water shortage of the Luoshui River, when the water could burst into the Bianhe River.” The low-lying land requisitioned from local people and swamps along the canal between Guancheng (now Zhengzhou City) and Zhongmu in the upstream section were used to make water pools. There were sluice gates on the water pool for discharging surplus water in the canal during the flood season and supplying water for the canal during the dry season. The water pools in this project were mainly located to the west of Bianliang, including the largest one called “Dabailong Pool (Big White Dragon Pool)” and other 36 pools, which were probably pools left by the waste lake, Putian Ze, the supporting lake for the Honggou Canal during the Qin and Han Dynasties. At that time, they covered an area of up to over 850 hectares in Zhongmu County (SuZhe, “A Petition for Returning the Farmland Occupied by Water Pools on the West of the Capital.” Luancheng Ji 栾城集 (The Collections of Su Zhe’s Works)(Vol.38). Shanghai Chinese Classics Publishing House, 1987, P829.). Later, these pools were reclaimed for farming for they took up too much land, but this led to water shortage of the Bianhe River, so it had to draw water again from the Yellow River, resulting in a rapid siltation of its watercourse. In the fourth year of the Shaosheng Period (1097), the government had to resume the Bianhe River Clearing Project and returned the reclaimed land into the impounding pools. 14.3.3.3 The Control Sluice of the Bianhe River – The Sluice Gate for Flood Discharging The north embankment of the watercourse down the inlet of the Bianhe River Clearing Project was built on the flood plain of the Yellow River, so once it was breached, flood would rush eastward into Bianliang, putting the capital city in danger or the clear water would flow into the Yellow River, causing the cutoff of the canal. In the original plan, along the canal “one wood sluice would be set every 100 li to control the flow (History of the Song Dynasty- Treatise on Rivers and Canals. Annotated version of Treatises on Canals and Rivers of the Twenty-Five History Records, P115.),” but in real construction, only part of the plan was carried out, setting two sluice gates of Konggu and Sunjia. The Konggu sluice gate was on the north embankment of the Bianqu Canal which could be used to discharge water into the Yellow River and the Guangji Canal after the Sunjia sluice gate was actually a drainage way of the Bianqu Canal. To the east of Bianliang, there were several dangerous sections of the Bianqu Canal including Guangwu and Shenwu, where the canal was separated from the Yellow River only by a dike. The Bianhe River Clearing Project also included the two dikes of Guangwu and Shenwu to prevent the disruption of the canal from the Yellow River.

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14.3.3.4 The Bank Protection Project – Building Wooden Revetment to Narrow the Watercourse The main focuses of the Bianhe River’s bank protection project and watercourse management were to try best to increase the water depth of the canal for navigation and prevent the watercourse from silting up under the condition of limited water source. In the sixth year of the Jiayou Period (1061), the Dushuijian (an government organization for water administration in the Song Dynasty) made a proposal to the emperor that in the section between Yingtianfu (now Shangqiu City of Henan Province) and the outlet to the Yellow River, “the watercourse should be confined in a width of 60 bu (about 100 m) and a wooden revetment should be added along the bank to narrow the watercourse and restrain the flow to create a deep water condition for navigation. A little wood from the trees on the bank will be enough.” This project consisted of two parts of engineering work, straightening the watercourse and building wooden revetment to narrow the watercourse. The wooden revetment was actually made of wooden stakes nailed in the riverbed in a tight array along the bank. When the project was completed, “the old flood plains and places with the high risk of capsizing were all straightened for the convenience of navigation.” 14.3.3.5 The Sluices to Connect the Yellow River The passage connection of the Bianqu Canal and the Yellow River was built on the waste channel of the cut-off Sishui River. Two sluices were built at the old outlet of the Bianhe River where the Sishui River once flew into the Yellow River. “At the spot 550 bu north of the Sishui Pass on the Yellow River, an upstream sluice and a downstream sluice were set to navigate boats from the Bianhe and Yellow Rivers (History of the Song Dynasty- Treatise on Rivers and Canals. Annotated version of Treatises on Canals and Rivers of the Twenty-Five History Records, P116.).” The distance between the two sluices was about 900 m, forming a two-way channel. This design reduced the water difference between the canal and the Yellow River as well as mostly minimized the amount of turbid water flowing into the canal. Soon after the completion of the Bianhe River Clearing Project, the canal suffered from frequent bursting and was taken as a misconduct by some political parties in the imperial court to attack their opponents. In the fifth year of the Yuanyou Period (1090), the passage to divert water from the Yellow River into the canal was recovered, but soon the canal became shallow and silted up, nearly losing the navigation ability. The renovation and clearing projects lasted to the end of the Song Dynasty, when the army of Jin launched its southward invasion. After the fall of the Song Dynasty, water transport on the Bianhe River was abandoned.

14.3.4 The Canal Flood Control Projects Some canal sections, because of the influx of regional runoff or themselves being the main courses for flood, needed engineering works, mainly overflow weirs with sluices, to help discharge the flood in flood seasons. According to New Book of the Tang History-Records of Prime Ministers, when Li Jifu was in his tenure as the jiedushi (military governor) of Henan (808–811), “because the canal for Caoyun was

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too shallow to hold water, he built a weir to prevent water shortage and discharge surplus water, which was called ‘Pingjin Weir’ (Xintangshu-Li Jifu Zhuan (New Book of the Tang History-Biography of Li Jifu) (Vol. 146). The version in The Twenty-Five History Records. Shanghai Chinese Classics Publishing House, P496.).” In the Song Dynasty, it was called “shida.” In the third year of the Tiansheng Period (1025), Zhang Lun, the fayunshi (a government officer in charge of Caoyun) of Huainan, “built weir of 200 li along the Caoyun canal to the north of Gaoyou and put huge stones, called ‘da’ beside for flood discharge.” In the second year of the Jingyou Period (1035), Wu Zunlu, the deputy zhuanyunshi (a government official in charge of transportation) of Huainan, again “built 19 sluice gates” (History of the Song Dynasty- Biography of Wu Zunlu (Vol. 426). Zhonghua Book Company, P12700.) in Zhenzhou, Chuzhou, Yangzhou, and Gaoyou, which had a similar function as shida. By the first year of the Zhonghe Period (1118), there had been up to 79 shida on the Huaiyang Canal. The terrain of west being higher than east in the Huaiyang area and the construction of the canal and, in particular, the construction of canal embankment, impeded the east flowing of flood, so overflow weirs were built discharge flood. There were also shida on the Bianhe River. When the flood season came, the flood converging from different rivers needed to be relieved with the assistance of flood discharge facilities. In the first year of the Northern Song Dynasty, there was a water diversion sluice gate in Wansheng Town (now tens of li northwest to Zhongmu County). In the second year of the Jingde Period (1005), the Kaifeng government proposed to disuse the sluice gate in Wansheng Town for the Bianqu Canal had been diverted into the Guangji River and the sluice gate was blocked to some degree. But the Emperor Zhenzong did not approve and issued an order to “raise the gate using large stones, so the wave could be subsided despite the rushing flow (History of the Song Dynasty- Treatise on Rivers and Canals. Annotated version of Treatises on Canals and Rivers of the Twenty-Five History Records, P129.).” The sluice gate thereby remained and was renovated to discharge surplus water in the flood season.

14.3.5 The Wujiangtang Road and Wujiang Gauge Stele The area around Wujiang, which was on the east of the Taihu Lake and in the south of Suzhou, was once an extensive body of water before the Tang Dynasty. There were no boundaries between the canal, Wusong River, and Taihu Lake, and boats for transporting grain traveled along the edge of the Taihu River. In the fifth year of the Yuanhe Period of the Tang Dynasty (810), “the prefectural governor of Suzhou, Wang Zhongshu, built a causeway in Songjiang to form a road. . .. At that time, Songling Town was surrounded by water in the south, north and west, leaving no road on land to the prefecture. Since then, this road had been opened (Jin Youli, Taihu Bei Kao (Treatise on the Taihu Lake) (Vol.3). Jiangsu Classics Publishing House, 1998, P110.).” He built a long causeway using stones on the east bank of the Taiyhu River between Wujiang and Pingwang. This was a primary separation of the canal from the Taiyhu Lake. In the second year of the Qingli Period in the Northern

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Song Dynasty (1042), “LiYuqing, the tongpan (an official under county magistrate who administers farmland, hydraulic engineering and lawsuit, etc.) of Suzhou, built a causeway to 80 li in the Taihe Lake to form a canal on the benefit of Caoyun (Jin Youli, Taihu Bei Kao (Treatise on the Taihu Lake) (Vol.3). The collated and punctuated version published by Jiangsu Classics Publishing House, P111.).” By elongating the causeway between Wujiang and Pingwang, the canal was thereby separated from the Taihu Lake. This causeway between Suzhou and Pingwang was called “Wujiangtang Road” by later generations, which was also named as “Wujiang Bank.” The building of Wujiangtang Road blocked the discharge passage of flood from the Taihu River into the Wusong River, so consecutive culverts and bridges were built to discharge water. According to the statistics, there were 37 bridges and 134 culverts on this causeway while the top of the causeway was the of the towpath. This causeway had comprehensive benefits for shipping, flood control, and transport (Fig. 14.14).

Fig. 14.14 A sketch map of the Wujiangtang Road and the Jiangnan Canal

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The construction of the Wujiangtang Road finalized the route of canal between Suzhou and Wujiang, symbolizing the completion of the Jiangnan Canal as an independent canal system. The bridges and culverts on this causeway were main passages for flood discharge of the Taihu Lake, forming a complete hydraulic engineering system along with the causeway. The Wujiangtang Road not only improved the water and land transport but also laid the foundation for extensive exploitation of wetland; it also significantly reduced the threat of flood to the lower farmland on the east bank of the Taihu lake as well as improved the lake’s water storing capacity (Luo Teng, “Wujiangtang Road and the Water Management by Xia Yuanji”. Collections of Papers on Hydraulic Engineering History of the Taihu Lake, 1986, P141.). However, the causeway impacted the flood discharge of the Taihu Lake to a certain extent, causing the part east of the canal to gradually become land and the silting-up of the Wusong River, which once led to inundation of and great threat to areas around the Taihu Lake. After the Ming and Qing Dynasties, the Huangpu River replaced the Wusong River to become the flood discharge passage of the Taihu Lake. To observe and record water levels of the Taihu Lake and the Wusong River, a “gauge stele” was erected beside the road, which was named as “Wujiang Gauge Stele” (see Fig. 14.15). This stele was on the long bridge outside of the east gate of Wujiang County along the lower reaches of the Taihu Lake. This bridge crossed over the Wusong Fig. 14.15 Wujiang Gauge Stele – Vertical Gauge Stele

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River, which was the main flood discharge passage of the Taihu Lake, and was a part of the Wujiangtang Road. The position of the stele was the throat of the lake and the water level here had important reference value for the flood control of the canal and inundation situation of farmland on both banks of the Wusong River in the lower reaches of the Lake. The Wujiang Gauge Stele was built in the second year of the Xuanhe Period of the Song Dynasty (1120), including a left stele and a right stele. The left one was destroyed during the period of the Ming and Qing Dynasties and rebuilt in the Qianlong Period, with its name being changed to Horizontal Gauge Stele. It was used to record the water levels of the super-large typical floods in the history for reference and also monitor the real-time water level here, so as to provide basis for accurate assessment of flood and disaster situations. The Wujiang Gauge Stele was a water gauge erected in the Song Dynasty to mark water levels. Compared with general hydraulic inscription scale, it had a more rigorous recording method and required water level records of every ten-day period and every month in a year, which basically conformed to the principle of modern water gauze. It was one of the important inventions in the hydraulic engineering technology of ancient China (Hu Changxin, “Study on Floods of the Taihu Rivers in the History Referring to the Wujiang Gauze Stele.” Hydrology, 1982 (5), P51–56.).

14.4

The Grand Canal in Dynasties of Yuan, Ming, and Qing (the Thirteenth to Nineteenth Centuries)

In 1128, the second year of Jianyan Period of the Southern Song Dynasty, the Yellow River moved down south and took the place of River Huai, resulting in floods in Northern China Plain and the Canal Bian was thus damaged and no longer in use. In Yuan Dynasty, Dadu (now Beijing) was selected as the capital and an overall survey and plan was conducted by Guo Shoujing. In the 19th to 26th year of the Reign of Emperor Zhi Yuan (1282–1289), two canal projects were continuously conducted, with River Huitong flowing across Shandong, and River Tonghui going from Dadu to Tongzhoucao Road, forming a linked up waterway from Beijing to Hangzhou, plus Zhedong Canal to Ningbo, more than 500 km shorter than the Grand Canal’s distance in Dynasty Sui, Tang, Song. And this is well-known as the BeijingHangzhou Grand Canal (including Zhedong canal in this context). As a strategical road connecting the Northern and Southern China, the Beijing-Hangzhou Grand Canal played a critical role in national unity and economical and cultural communication, during the Yuan, Ming, and Qing Dynasties. The Beijing-Hangzhou Grand Canal was composed of eight reaches with different geography environment, water system, and hydraulic engineering features. From North to South, the eight reaches were: River Tonghui, North Canal, South Canal, River Huitong, Mid-Canal, Huaiyang Canal, Jiangnan Canal, and Zhedong Canal. The Beijing-Hangzhou Grand Canal connected River Haihe, the Yellow River, River Huai, the Yangtze River, Lake Tai, River Qiantangjiang, with an overall length of

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around 2000 kilometers. The drainage basin went through areas with significant differences in geographical landscapes and hydrological conditions, with a maximum height difference of 50 meters, flowing through areas with annual precipitations of less than 500 mm to 1500 mm. With proper planning and management to its water conservancy and hydraulic engineer, the Grand Canal managed to work for almost 600 years and an annual traffic volume of four million Dan (around 25 million kilograms). The canal’s engineering technology experienced a rapid development during the Dynasties of Yuan, Ming, and Qing. With the construction of large engineering hubs and engineering clusters, many issues were solved including the canal’s water source, height differences between basin areas, flooding issue, and relationship with the Yellow River and River Huai, and moreover, the standard of similar projects’ construction and management, which all became a prominent feature of canal’s technology of the time period. During the time, a large barrage project Gaojiayan was built up with a length of 60 km and a maximum height of 19 m, from which China’s fourth largest fresh water lake, Lake Hongze. The dam projects like Daicunba, the water source project of River Huitong, and Sanjiangzha, the controlling engineering project of Zhedong Canal, were all projects over 100-meter’s length made up with stones. All those large stoning dam projects marked a significant progress in world’s civil engineering technology history during the thirteenth to nineteenth century. The application of over 30 controlling dams on River Huitong and Tonghui gave us a glance of the typical technological method to deal with the basin areas’ height difference and flooding issues, and demonstrated the ability to manage engineering project clusters. Systematic water reduction projects (subtracting dams and rivers) became a broadly applied flood prevention technology in the South, North, and Huaiyang Canals. The Grand Canal operated mainly during the time period when the Yellow river went southwards, when Qingkou was the interjunction of the Yellow River, River Huai, and the Grand Canal. To ensure the water transport, river governance projects were conducted during the Ming and Qing Dynasties, with varieties of water conservancy projects going on, and as a result Qingkou became the interchange point in the Grand Canal that owned the maximum, the most complicated and fastest developed engineering projects. Sanjiang sluice, the water controlling project on Xiaoshao reach of Zhedong Canal, managed to quantitatively control river network, water volume, and water level, by utilizing in-water rulers, which was of high technology value. Due to the severe estuary siltation, River Huai could not stop diverting to the Huaiyang Canal and eventually diverted to the Yangtze River via the Canal. To ensure transport safety, in Qing Dynasty, projected were in place to repair five damns into the ocean and 10 damns into the River. In 1855, the Yellow River breached into the Bohai Ocean at Tongwaxiang in Henan via River Daqing, and cut off River Huitong at Dongping in Shandong Province. Afterwards, with the failure of (Dao Tang Guan Yun, see below context), water traffic of the Grand Canal was officially stopped by the Qing government. And ever since then the Beijing-Hangzhou Grand Canal was managed locally instead of central governance (Fig. 14.16).

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Fig. 14.16 Map of the Beijing-Hangzhou Grand Canal during Yuan, Ming, and Qing Dynasties (the thirteenth to nineteenth centuries)

14.4.1 Systematic Planning the Grand Canal’s Water Resource Project The biggest problem of two new reaches of the Beijing-Hangzhou Grand Canal, the River Huitong and River Tonghui, was the water source supply. As River Huiong went through Shandong Horst which was the watershed of the Canal, there were no natural river joining, and as a result water resources can only be artificially transported from afar. Moreover, before the Yuan Dynasty there had been no natural rivers from Beijing to Tongzhou to for transportation usage, and therefore the main concern for River Tonghui was also water resource. With systematic water network planning, not only did Hui Tong River and Tong Hui River manage their water transport but also a new waterway system was established. The water resource

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project of River Huitong and Tonghui became one of the peaks of scientific and technological peaks during Yuan, Ming, and Qing time period.

14.4.1.1 River Huitong – Daicun Dam – Nanwang Hub The River Huiong flowed through Shandong Horst, with the highest point at Nanwang, which is north of Jining city. In Yuan Dynasty, the watershed was at Huiyuan water-gate (also called Tianjing water-gate in Ming Dynasty). With water diversion projects from River Guang, from River Fu to River Wen, from River Si to the Canal, River Huitong’s water source problem was preliminarily solved. The watershed point of Huiyuan water-gate was still 40 km away from Nanwang, which was the highest point along River Huitong, and the height difference was around 8 meters. This caused water supply shortage in Nanwang reach and resulted in River Huitong’s transport difficulty in Yuan Dynasty with an annual traffic volume of less than 200,000 Dan (1 Dan was approximately 31 kg). During ninth year of Yong Le reign (1411), under the organization of Song Li, the Chief of Ministry of Works, and as advices from a resident Bai Ying from Wenshang County, the watershed point was moved Southwards to Nanwang, so that the River Wen flowed totally into the Canal via the E’he estuary at the Wenshang county. After its diversion at Nanwang, “40% of River Wen went down south to Xupi and the rest went up north to River Linqing. Nanwang was the peak point to distribute the river and made it a watershed. And therefore, sluices were implemented accordingly to control water inventory and prevent flood (Zhang Tingyu, History of the Ming Dynasty (Vol. 153). Zhonghua Book Company, 1974, P4204.).” And so far, the water resource issue was solved when the Canal flowed through mountain areas. The Daicun Dam–Nanwang Hub was an integrated project composed of Daicun Dam, River Yinshui (River Xiaowen), ancient reservoirs, water sluices, and so on (see Fig. 14.17). Coming from streams in Tai’An, Laiwu, River Wen flowed via Ningyang and Dongping and poured into River Daqing, cut off by Daidun Dam, fed by River Yong, joined Nanwang Reservoir by River Xiaowen, flowed into Huitong River at Shuidoumen, and eventually went northwards and southwards diverted by the two gates at each side. The Daicun Dam–Nanwang Hub had been improved during the years. According to Wang Qiong’s Cao He Tu Zhi – Cao He, up until mid-Ming Dynasty (around fifteenth century), water flowing direction can be manually controlled to go northwards or south. “The north gate of Nanwang is located at its north and the south gate at the south, as advised by Yang Gong, an official in the Ministry of Works, during the Cheng Hua Reign (Wang Qiong, Cao He Tu Zhi 漕河 图志 (The Map and Records of Caoyun Rivers) (Vol. 1), P38.).” As recorded in Cao He Tu Zhi – Cao He Zh iZhi, “Yang Gong was an official from the Ministry of Works and in the 13th Year of Reign Cheng Hua he was in charge of river courses from Tongzhou to Jining, and Guo Sheng in charge of Jining to Yizhen and Guazhou (Wang Qiong, Cao He Tu Zhi (The Map and Records of Caoyun Rivers) (Vol. 1), P38.).” According to the history records, the water distribution gate of Nan Wang should be built up a little later than 13th year of Cheng Hua Reign (1477). And the northern and southern water gate at Nanwang was later on known as Shili Gate and Liulin Gate. Nanwang Reservoirs were made up of Nanwang Lake, Sheshan Lake,

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Fig. 14.17 Map of Daicun Dam – Nanwang Hub

Mta Lake, originally called Nanwang Lake as a whole, and later on, with the development of engineering projects three lakes were identified. Each and every reservoirs were connected with Canals and River Xiaowen through gates so that water volume can be managed. Due to large sand content and siltation situation, reservoirs were used to store both water and sand inside the lakes. “And therefore, the two lakes can not only function as reservoirs but also sand storages (Zhang Boxing, Ju Ji Yi De 居济一得 (Vol. 2). 1935 Edition of The Commercial Press, P 28.).” With reservoirs, river sediment and siltation could be cleaned every several years inside the reservoir itself, instead of dredging directly inside the river. The dredging work in Nanwang used to be laborious, but comparing to River Wen joining the Canal via Lake Guang, not only Nanwang’s workload was reduced but also the land area was shortened.

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14.4.1.2 River Tonghui – Water Drainage Project from Xishan Mountain Before the Yuan Dynasty, there had been no natural rivers for transport from Beijing to Tongzhou. When Guo Shoujing in Yuan Dynasty started his canalization, the priority was to solve water resource supply. The Xi Shan Mountain northwest of Beijing and Changping at the north of the city, respectively, located at the end of Taihang Mountain and Yanshan Mountain, functioning as a transition area between the plain in front of mountains and the North China Plain, with numerous springs visible. Draining streams from the west and north eastwards via River Chang and River Gaoliang, and utilizing Wengshan Lake (Kunming Lake in today) and Jishui Lake as reservoirs, River Tonghui’s water resource was thus supplied. During the Zhongtong years of Yuan Dynasty (1260–1264), Guo Shoujing advised to the Reign Kublai Khan that a canalization project should be done from Dadu to Tongzhou, draining water from Yuquan River. Up until 28th year of reign Zhi Yuan (1291), Guo Shoujing made a comprehensive planning regarding water drainage, water volume control, water conservancy of River Tonghui: “Drain water from Shen Shan Spring in Baifu Village, Changping county, go westwards and then down south through springs of Shuangta, Yuhe, Yimu, Yuquan, and enter the city from West Gate, join Jishui Tan and flow out from Wen Ming Gate at the southeast (the East Gate of Da Du City, which is 0.5km away from today’s Chong Wen Gate), pour into River Bai at Gaoli Village, Tongzhou, with the total length being 164 li (1 li being 500 meters) and 104 bu (1 bu is a step’s length). The river goes through 12 springs with a total length of 310 Bu. And there are 11 dams with altogether 20 gates to control water volume and ensure water transport, which can bring great convenience (Yuan Shi – He Qu Zhi (History of the Yuan Dynasty – Treatises on Rivers and Canals), Annotated version of Treatises on Canals and Rivers of the Twenty-Five History Records, P.237).” From year 20 of Zhi Yuan Reign (1292), the project commenced under the supervision of Guo Shoujing, the official in charge of hydraulic projects, and his whole blueprint was realized. With hydraulic methods, spring water from Beijing Xishan Mountain was led to Wengshan Lake (today’s Kunming Lake at the Summer Palace), and then flowed into Jishuitan Lake and other lakes inside the city, and eventually formed lakes including today’s Beihai Lake, inner Zhongnanhai Lake, and other lakes in Beijing. After later water volume control, lakes inside Beijing city could function as water suppliers to the Canal. The height difference between Beijing and Tongzhou was about 20 meters, and 20 water lockages were built up in River Tonghui so that water depth was safe for shipping. River Tonghui and its water source project functioned significantly both municipally and environmentally, and the river-lake system in Beijing initiated from water source project has still been playing an important role till today (Fig. 14.18).

14.4.1.3 Water Source Management The priority of water source management of rivers along the canal during the Ming and Qing Dynasty was to ensure water supply to the canal. Apart from water

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Fig. 14.18 Map of water source project of River Tonghui

drainage from River Wen to the Canal, River Huitong also drew springs to the Canal from southwest Shandong province. Moreover, local irrigation was strictly restricted, which was an embodiment of government’s control to water source. During Song Li’s construction of Daicun Dam – Nanwang water source project, a most strict regulation on water source usage was issued. It was announced in the ninth year of Yong Le Reign: “Anyone who stops or blocks Nanwang Lake in Nanwang, Zhaoyang Lake in Pei County, and other springs in Shandong Taishan Mountain, shall be dispatched to the Army at country boarder.” During Cheng Hua Reign, merely around Nan Wang Dam, 40 guards were deployed for water source. In 16th year of Yong Le Reign (1418), a new official rank Ning Yang Fen Si was designed for spring source management, specifically in charge of springs and streams in Tai’An, Jinan area, symbolizing the national power on water source rivers. In the next year, Chen Xuan gave an order to Gu Daqi, an official from the Ministry of Works, to conduct survey and dredging to river source springs like River Wen, Si, Qi, and furthermore to divert water source to the Canal from springs and newly dig rivers. In the sixth year of Zheng Tong Reign (1441), a new official rank was set in Jining, Tai’An, Qufu, Zouxian, Tengxian, and other cities, with two officials in charge of spring dredging. Considering that the official position in charge of springs was absent from time to time, springs were sometimes stolen for irrigation use. In year 13 of Hong Zhi Reign (1500), Zhang Wenyuan, an official from the Ministry of Works’ Ningyang division, completed a survey and record of all 108 springs from Wenshang County, including Dongping, Pingyin, Feicheng, Tai’An, Laiwu, Xintai, Mengyin, Sishui, Qufu, Zouxian, Yutai, Jining, Ziyang, and Ningyang. The records included the source location, flow path, and joining river of each and every spring, and were entered into the book Dong Quan Zhi. Based on the relationship among springs, reservoirs and rivers, Zhang Wenyuan categorized all into springs into River Wen (which included streams into River Wen and eventually Nanwang Lake), springs into River Qi (which included streams into

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River Qi and eventually into the Canal via Tianjing Dam in Jining), springs into River Guang and Si (which included streams into River Guang and Si and eventually Zhaoyang lakes in Jining). Ever since then all streams and rivers were managed under such a system, and specially assigned persons were there in charge of routinely dredging. From Jia Jing reign on, mudflats were gradually occupied by local tycoons. In 20th year of Jia Jing (1541), Wang Yidan from the Ministry of Defense built up boarder stones close to lakes with forbidden to farming and occupying lands. At the end of Ming Dynasty and the beginning of Qing Dynasty, dredging was ignored at Nanwang lakes. But in the first year of Yong Zheng Reign (1723), survey and measurement was conducted again in Nanwang, Anshan, and Zhaoyang Lakes, and boarders were redefined with regulations against occupancy (Li Shixu: Xu Xing Shui Jin Jian (Vol. 64) 续行水金鉴. The Commercial Press, 1936, P1689.). And with later dredging work the river flow was recovered. During the Ming and Qing Dynasties, because of strict management on River Huitong’s water source, local tycoons’ occupancy was forbidden, reservoir control was maintained, and thus the River Huitong kept flowing for hundreds of years.

14.4.2 The Usage of Continuous Controlling Sluices Both River Huitong and Tonghui were sloppy and lack of water source. River Tonghui’s topography declined from west to east, with a slop of 1‰ – 1.2‰. While River Huitong reached its climax at Nanwang, and descended from north and south both sides, with a slop of around 2‰ on both sides. Under such special landscape and water source conditions, it is undoubted that both rivers had to rely on engineering measures to guarantee their water depth for transport. Because the engineering measures were taken to use continuous controlling sluices, the two canals were also called Sluice Rives. Controlling sluices on canals during Dynasty Yuan, Ming, and Qing were planned as a whole, with a rough set up of one controlling gate in every 10 Li (which is 5 km), and a little more sluices in reaches with sheep drops. All controlling sluices were single hole gates in same model and materials. As recorded in Yuan Shi – He Qu Zhi (The History of Yuan – Rivers), “One sluice if of 100 Chi (33.33cm) long and 80 Chi wide. The two bodies are 40 Chi long each, and wings are 30 Chi long each, 2 Zhang (3.33m) tall, and the sluice gate is 2 Zhang wide (Yuan Shi – He Qu Zhi(History of the Yuan Dynasty – Treatises on Rivers and Canals), Annotated version of Treatises on Canals and Rivers of the Twenty-Five History Records. Cathay Press, 1990, P 262.).” Below is the model of controlling sluices commonly used in the Ming Dynasty. A sluice was composed of the stand, wing-wall, gate and switch, with the stand and wing-walls made up of stones. Slots were set up on the sluice and a gate was made up of piled woods (see Fig. 14.19). There was another model of sluice called Ai Chuan, which was “with a gate of 9 Chi wide and same length and width as other sluices (Yuan Shi – He Qu Zhi(History of the Yuan Dynasty – Treatises on Rivers and Canals), Annotated

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Can

(a) Plan Switc

Switc

Wood (b) Elevation

Wing Wall

slot Canal’s Leeve

(c) Section Fig. 14.19 Maps of engineering structure of the controlling sluice on the Grand Canal

version of Treatises on Canals and Rivers of the Twenty-Five History Records, P262–263).”The Ai Chuan Sluices were installed at the estuaries as a size limitation for ships, as the maximum width was 9 Chi comparing to 80 Chi of normal sluices.

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14.4.2.1 The Design and Construction of Controlling Sluices River Huitong In Yuan Dynasty, sluices were set up as planned at the point of digging the river. As recorded by Jie Xisi there were altogether 26 controlling sluices on the River Huitong, 16 of which were from Northern Jining to Linqing, and 14 from South Jining to Gutou (Peixian County in today). When the river was re-opened at the ninth year of Yong Le Reign (1368), all controlling sluices were repaired or reformed and few more were built up in succession. Till Cheng Hua reign, altogether 40 controlling sluices were on the river from Xuzhou to Linqing, almost doubling the number in Yuan Dynast. At the beginning of Jia Jing’s reign, an official in charge of rivers Liu Tianhe said, “Within the 700 Li canal distance from North Xuzhou to Linqing, altogether 43 controlling sluices were constructed. Apart from the 20 left from Yuan Dynasty, more than 20 were built up since Yong Le Reign, with furthermore uncounted ones like Jianshui, Yuehe, Tonghu and so on (Liu Tian He, Wen Shui Ji (The Book of Water) (Volume 1), P26. The book was completed in the 15th year of Jia Jing Reign.).” When it came to Qing Dynasty, the total count of sluices became 48. Sluice’s number changed along with the river changing, mainly in the New Nanyang River and River Jia the south end of River Huitong (from Yutai to Xuzhou) (Chart 14.1).

14.4.3 River Tonghui In Yuan Dynasty, 24 sluices were built up in the 40 km navigable waterway on River Tonghui and River Chang (see Chart 14.2) (Yuan Shi – He Qu Zhi (History of the Yuan Dynasty – Treatises on Rivers and Canals), Annotated version of Treatises on Canals and Rivers of the Twenty-Five History Records, P238). The original plan by Guo Shoujing was 20 and another 2 more were added in more sloppy areas, which was Cheng Qing Zhong Sluice and Pingjinzhong Sluice (while Upper Guangyuan and Lower Guangyuan Sluices were built 3 years before). Sluices on Tonghui River were allocated in less average distance comparing to Huitong River, but rather built up 2–3 controlling sluices in steep and sloppy reaches, similar to the multiple sluices in Song Dynasty. “sluices were set up in every 10 Li (around 5km), and there were altogether 7 sluices up to Tongzhou. Several kilometers away from the sluice, piled up gates were set. The gates were controlled to open when gate boards were lifted up, and thus ships could pass.” And thus the sluices were normally named after “Upper xx Sluices,” “Middle xx Sluices,” “Down xx Sluices.” With the setup of upper, middle, and downstream, the controlling sluices could better perform the function to “control gates by lifting up the gate boards so that ships could pass.”

14.4.3.1 Operation Management of Controlling Sluices The operation management of all controlling sluices was not independent but more systematic. Taking Huitong River as an example, five features were there:

No. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

Shan Dong Wen Shang

Shan Dong Dong Ping

Shan Dong Yang Gu

Shan Dong Liao Cheng

Shan Dong Qing Ping Shan Dong Tang Yi

Location Shan Dong Lin Qing

Name Hui Tong Lin Qing Ban Xin Kai Shang Dai Jia Wan Tu Qiao Liang Jia Xiang Tong Ji Qiao Li Hai Wu Zhou Jia Dian Qi Ji Xia Qi Ji Shang A Cheng Xia A Cheng Shang Jin Men Xia Jin Men Shang Dai Jia Miao An Shan Jin Jia Kou Yuan Jia Kou Kai He North Nan Wang South Nan Wang Si Qian

(continued)

Starting Year Yuan Ming 30th Zhi Yuan (1293) 2nd Zhi Zhen (1296) 15th Yong Le (1417) 15th Yong Le (1417) 1st Cheng Hua (1465) 7th Cheng Hua (1471) 4th Xuan De (1429) 16th Yong Le (1418) 2nd Yuan Zhen (1296) 4th Da De (1300) 1st Da De (1297) 1st Yuan Zhen (1295) 3rd Da De (1299) 2nd Da De (1298) 3rd Da De (1299) 6th Da De (1302) 16th Jia Jing (1537) 26th Zhi Yuan (1289) 4th Jia Jing (1525) During Zheng De Reign (1506–1521) 1st Zhi Yuan (1335–1340) During Cheng Hua Emperor (1465–1487) During Cheng Hua Emperor (1465–1487) 1st Zheng De (1506)

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0.5 1.5 0.75 15 24 25 17.5 10 6 12 1.5 6 1.5 5 1.5 31.5 15 15 9 70 7.5 to North & South each

Distance to Last Sluice (km)

Chart 14.1 Controlling sluices on River Hui Tong in Ming Dynasty (till end of sixteenth century)

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Shan Dong Pei Xian

Shan Dong Yu Tai

Location Shan Dong Ji Ning

Name Fen Shui Tian Jing Zai Cheng Zhao Cun Shi Fo Xin Dian Xin Zhong Jia Qian Shi Jia Zhuang Lu Qiao Zao Lin Nan Yang Ba Li Wan Meng Yang Po Hu Ling Cheng Gu Tou Shang Gu Tou Zhong Gu Tou Xia Xie Gou Xin Xing Huang Jia

Distance to Last Sluice (km) 55.5 1.5 1 3 3.5 9 4 2.5 3 2.5 3 6 4 9 4 35 3.5 4 5 9 8

Source: Wang Qiong: Cao He Tu Zhi (The Map and Records of Cao He); Ming Hui Dian

No. 26 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45

Chart 14.1 (continued) Starting Year Yuan Ming 5th Da De (1301) 21st Zhi Yuan (1284) 21st Zhi Yuan (1284) 4th Tai Ding (1327) 6th Yan You (1319) 1st Da De (1297) 1st Zhi Zheng (1341) 5th Xuan De (1430) 2nd Da De (1248) 13th Yong Le (1415) 5th Yan You (1318) 2nd Zhi Shun (1331) 8th Xuan De (1433) 8th Da De (1303) 4th Xuan De (1429) 2nd Yan You (1315) 20th Cheng Hua (1484) 20th Cheng Hua (1484) 8th Xuan De (1433) 8th Xuan De (1433) 2nd Tian Shun (1458)

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Chart 14.2 The locations of the 24 sluices on River Tonghui in Yuan Dynasty Name Guangyuan

Up

Down Xicheng

Up

Down

Chaozong Haizi

Wenming

Up Down Up Middle

Down

East end of today’s Beihe Hutong

Up

Southwest to Today’s Zhengyi road north entrance In the middle of today’s Taijichang Ertiao Hutong East to today’s Chuanban Hutong Southwest to today’s Beijing Railway Station The Qingfeng sluice heritage side in today Near to Shengou village Gaobeidian sluice in today Huayuanzha village int today West Tongzhou, today’s Pujizha village with preserved heritage site East to Laolongbei village

Down

Weicun

Up Down

Jidong

Up Down

Jiaoting

Up Down

Yangyin

Location West to Today’s Zizhu Park; 70 m east of Wanshou Temple Next to today’s capital gymnasium West to Gaoliangqiao at today’s Xizhimen gate On the east bank of the moat, on the Gaolianghe South Wanyiku West of Haiti West of Houmenqiao Today’s dongbuya Qiao Hutong

Up

Down

Distance 1000 meters

Comment

Renamed to Huichuan Sluice in the first year of Yuan When (1295)

Around 200 meters About 540 meters with 1 meter height difference About 500 meters with 1 meter height difference

Renamed to Changing Sluice in the first year of Yuan When (1295)

Renamed to Huihe Sluice in the first year of Yuan When (1295)

About 1800 meters

Renamed to Qingfeng Sluice in the first year of Yuan When (1295)

Around 2520 meters

Renamed to Pingjin Sluice in the first year of Yuan When (1295)

About 1800 meters

Renamed to Puji Sluice in the first year of Yuan When (1295)

(continued)

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Chart 14.2 (continued) Name Tongzhou

Up

Down Hemen

Up Down

Location Near to the junction of Xinhua street and Renmin road in Tongzhou Today’s Nanpuzha sluice 1 km north of Zhangjiawan East of Hegezhuang at southeast of Zhangjiawan

Distance

Comment Renamed to Tongliu Sluice in the first year of Yuan When (1295)

1st year of Yuan When (1295)

1. Collaborative usage of upper and lower sluices, with a principle of one open one close. As recorded in Qing Shi Gao – Shi HuoZhi, “when a ship comes to the gate, orders needs to come from both upper and lower sluices, and only then the gate can be opened. If river depth is sufficient, gate will be opened and closed according to the timing so as to accelerate the transports. Forbidden to open both gates at the same time as it would cause water overflow (Zhao Erxun, etc., Shi Huo – Cao Yun (Food and Goods – Water Transport). Qing Shi Gao (The Draft History of Qing Dynasty) (Volume 122). 1977 Edition of Zhonghua Book Company, P3578.).” The way to pass orders by sending tablets to open and close gates helped normal transport under a water saving condition. Most sluice gates on the Canal were stacked beam gate, and all were all connected to water depth level, whether it was the opening numbers of gate wood, the open and close ways, or the timing. 2. All ships passing sluices in groups order. Such a rule was to save gate opening time and thus save water. At the first sluice Liu Lin from Nanwang down south, ships were only allowed to pass the gate when it came to more than 200 of them, and gate would be closed as soon as ships all passed. Grasses were used as caulking in between of all wood boards so that water leak was reduced. 3. Control of wood board open and close numbers and times. In fourth year of Xuan De Reign in Ming Dynasty (1429), it was announced that “with an exception of urgent or ship transports to Reign use, all ships must wait for gate open when water level reaches 6,7 wooden boards, including ships for food, official, military, civil, commercial usage (Wang Qiong, Cao He Jin Li (The Regulations of Water Traffic); Cao He Tu Zhi (The Map and Records of Cao He) (Volume 3) P160.).” 4. Joint operation among sluices. During the times of dry season, repairing period or river block in downstream, sluices would either close the river by grass gates, when ships had to detour from other rivers; or repair upper and downstream to maintain water level and ensure normal transport. 5. Control water cross sections in key reaches especially sluice parts. In Ming Dynasty a standard was raised saying “the depth for loaded ships soaking into water should be minimum 3 Chi 5 Cun (around 1.16m), and the minimum width

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for ships should be 1 Zhang 5 Can (around 3.52m).” So under such standard, Wan Gong in Ming Dynasty raised up a dredging standard in areas before and after sluice gates, which was “a maximum depth of 4 Chi (around 124.4cm) and maximum width of 4 Zhang (around 13.32m)” (for the convenience of parallel sailing ships), and “it is required to have only sufficient water depth without any wider useless water around the ships.” When the cross section was properly controlled at the gate, the water depth was increased and as a result river water was saved. As a conclusion by Wan Gong, “having limited shallow river area for the benefit of more sufficient water depth, and control upper sluices by using downstream (Wan Gong, Zhi Shui Quan Ti 治水筌蹄 (Edited by Zhu Gengling) 1985 Edition. China Water & Power Press.P80.).”

14.4.4 The Development of River Reduction Projects Not only did the Canal function as transport river but also flood prevention in some reaches, among which the most typical were the North and South Canal. The North and South Canal lied respectively at the north and south of the Hai He River basin, being a critical flood prevention river in the history. To ensure transport safety in raining seasons, water reduction sluices were built at the east bank, and water reduction rivers were dug in their downstream (Fig. 14.20). During Dynasties Yuan, Ming, Qing, based on Shi Da concept in Song Dynasty, a series of subtracting

Fig. 14.20 Recovery maps of Shaomaying subtracting sluice in the Qing Dynasty

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Fig. 14.21 Map of subtracting rivers on the North and South Canals

rivers were developed and systematically utilized on downstream of the Yellow River and along the Canal. Up until Qing Dynasty, there were altogether seven subtracting rivers on North and South Canals (see Fig. 14.21). The water control project was water reduction dams and sluices at the dangerous sections at east bank of the Canal for a length of around hundred meters, depending on flood discharge volume (see Fig. 14.20); water reduction rivers were constructed downstream of subtracting dams and sluices, pouring into the river directly or joining other natural rivers, with a length of tens or hundreds kilometers.

14.4.4.1 Flood Prevention of North Canal The North Canal was actually a waterway transformed based on River Chaobai (also Called River Lu down south of Tongzhou), and became the branch of North Hai He River main stream, not only with a large gradient but also had sharp changes in water volume between seasons, and as a result, subtracting sluices were set up in key locations to help reduce flood pressure. Subtracting rivers were normally built based on natural rivers or ancient rivers, and sluices at junctions of east bank and natural rivers. Diverted rivers either went downstream of River Yong Ding and its lakes, or

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joined Bohai Ocean eastwards. By implementing subtracting rivers, flood in mainstreams of North Canal was greatly reduced, and it served as flood prevention not only to the Canal but to Tianjin city as well. In 14th year of Chan Long (1749), a government supervisor to the rivers Fang Guan pointed out that subtracting river’s construction and dredging, “can ensure works of the two Canals, and benefit the crossroads flood situation (Pan Xi’en, Ji Fu Shui Li Si An – Si An 畿辅水利四案 (Four Cases of Hydro Projects Near Beijing), P67.).”

14.4.5 Subtracting River of Kuang Er Gang The subtracting river of Kuang Er Gang flew eastwards from North Kuang Er Canal left bank in Wu Qing District, went down south via Zhu Jia Jetty, Mei Chang, Guo Jia Tai, Cai Jia Zhuang, River Yang Jia He and to Mai Zi Dian via Han Sheng Zhuang Village, joined Ta He Dian Lake via River Yao, detoured eastwards, passing Xiditou, poured into Canal Ji via River Qi Li Hai at Ning He County, and joined the ocean from Beitang. When it came to raining seasons, flood would join Ta He Dian Lake with silt so that pressure of siltation in North Canal was relieved; and in Springs when water level was low, the subtracting river would be closed to ensure transport in North Canal.

14.4.6 Subtracting River of Qing Long Wan With the success of Kuang Er Gang water control project, the flood pressure was greatly relieved around Yang Cun area. However, the upstream He Xi Wu area still suffered. He Xi Wu had always been a dangerous part of the river and Shua Er Du in particular threatened by flood. To eliminate the flood threat in this segment, engineering measures needed to be taken. In eighth year of Yong Zheng Reign (1730), a flash flood happened upstream of North Canal, and the river bursted its bank. The Yong Zheng Reign appointed a River Supervisor at its upstream north Tu Men Lou Village (at the joint point of Wu Qing and River Xiang) to build up subtracting stone dam of 40 Zhang (around 133 meters), and another subtracting river was constructed at Wang Jia Wu (today’s Qing Long Wan) of 90 Li (45 km), with long bank constructed also so the flood went into River Qi Li Hai. The project was implemented in ninth year of Yong Zheng Reign (1731) (Ji Fu An Lan Zhi – Bai He 畿辅安澜志 白河(River Management in Beijing – River Baihe) (Volume 3) P19.). In 1721 a dredging was completed in River Qing Long Wan, and the river diverted at Ba Dao Gu, joining River Bai Xin via Li Zi Gu Wa, following its normal waterway thought huge change. The river started from Tu Men Lou Village in Xiang He Country, He Bet Province, and joined River Bai Xin via River Xiang, Wu Qing, and Bao Di County. The subtracting stone dam of Qing Long Wan was originally built in between 300 Hu Village of Xiang He County and Wang Jia Wu village, with the 300 Hu village on the left and Wang Jia Wu at right side, around 500 meters away from the

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stone dam. However, the stone dam did not function well in flood discharge. As the river supervision official Liu Xiang wrote to the Reign, “There are multiple reasons for the blood in this river. One if because of the over 4 Li (2km) distance from the river; and then because dam’s foundation was built on a low-laying land; and after measurement we found the bank surface could be 6,7 Chi (around 1.86m – 2.17m) higher than the dam. When it comes to years with less water, the river doesn’t properly subtract to ranches; and when it comes to flooding years the sluice gate can barely accommodate water and there is a risk of breaching. And as a result the dam is poorly functioning.” Under such circumstances the Qing Long Wan dam was in use for only 8 years and was abandoned in second year of Qian Long Reign (1737). The dam was moved to upstream for about 2 km, closer to upper subtracting river, and it helped diverting floods. The moved dam was later on called Wang Jia Wu subtracting dam, at a length of about 40 Zhang (about 133.2 meters).

14.4.6.1 Flood Prevention in the South Canal The South Canal was at downstream of River Wei, having a responsibility of flood subtracting for River Wei, Zhang, and Qi. Ever since River Zhang was diverted to River Wei via Guan Tao, the flooding situation increased and “the flood happened more frequently because the river way was narrow and landscape was low-lying. During every breaching workers were sent for engineering repairing (The Flood Records of River Haihe and Luanhe in Qing Dynasty 1981 Edition of Chung Hwa Book Co.,P 72, Line 173,701,740.).” In order to meet demands of flood discharge in raining seasons, the water volume of the river needed to be controlled and water traffic needed to be guaranteed. For such purposes, several subtracting river projects were conducted at the east bank of the Canal in north Dezhou city from Yong Le reign in Ming Dynasty. The floods were diverted eastwards to the Ocean.

14.4.7 Subtracting River of Si Nv Shi Subtracting river of Si Nv Shi was one of the earliest water reduction project in the South Canal. In the ninth year of Yong Le Reign (1411), a bank breaching in River Wei. The official from the Ministry of Works, Song Li, who diverted River Wen via Hui Tong River up north to River Wei and was concerned back flushing of River Wei to Hui Tong River, advised to open two subtracting branches at River South Wei Jia Wan at Lin Qing, so as to divert Canal water to River Tu (River Ma Jia in today); as well as to open one branch river in Northwest De Zhou city to subtract canal water into the old waterway of the Yellow River and join the ocean at Da Gu Estuary, which was 228.5 km long and later became the subtracting river of Si Nv Shi (Fu Zehong, Xing Shui Jin Jian (Vol. 106). Collections of Chinese Classics. 1938 Edition of The Commercial Press, P1560.). At that time the subtracting river’s upper estuary was only 6 km from old waterway of the Yellow River, among which 2.5 km was existing channel, 2.5 km old waterway, and 1 km flat land. After two new river opening, due to River Zhang’s breaching and joining River Fu Yang, and siltation at River Tong Wei, the expected function was not well performed.

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In the second year of Hong Zhi Reign (1489), Bai Ang from the Ministry of Revenue moved the upper estuary of subtracting river, from northwest De Zhou city in Yong Le’s time to 39 Li (around 19.5 km) southwest, which has been the same location till today. In tenth year of Jia Jing Reign (1531), the Circuit Supervisor Zhan Kuan proposed to set up stone sluices in such area to divert river eastwards into the ocean (Xing Shui Jin Jian; Guo Xue Ji Ben Cong Shu. P1663.). Four years later, the four sluices were renovated at Si Nv Shi in De Zhou city and Bo Tou Zhen in Jing Zhou, and thus the water was subtracted to ocean. Thirty-seven years later, which was the first year of Wan Li Reign (1573), all sluices were gradually abandoned when River Zhang breached northwards into River Fu Yang and no longer flow into River Wei. At the beginning of Qing Dynasty, the subtracting river of Si Nv Shi was in severe siltation and sluices were out of maintenance, resulting in canal’s frequent floods in Shan Dong and Zhi Li areas. In the 44th year of Kang Xi reigns (1705), the subtracting sluices were renovated and repaired (History of Shandong – The Canals (Vol.126).). In the fourth year of Yong Zheng Reign (1726), a grand secretary of the cabin He Guo Zong proposed to change Si Nv Shi into an overflow dam (Records during the Reign of Emperor Shizong of Qing (Vol. 46) Zhonghua Book Company. P692.). The new dam had a width of 8 Zhang (around 26.64 m), ridge height of 1 Zhang 7 Chi (around 5.5 m). Stones were used at two ends of the ridge and wooden bridge was built on top as a road. Soon afterwards, as advised by and official Zhao Dianzui, due to downstream siltation the waterway was changed from dam estuary to Jiu Long Miao in De Zhou city and joined the old Yellow River waterway, at a length of more than 2300 zhang (Records of Rivers (Vol.18). Wenhai Publishing House, P651.) (around 7.65 km). In 27th year of Chan Long Reign (1726), the Si Nv Shi sluice gate was broadened to a width of 12 zhang (almost 40 m). In the middle 2 Ji Xin (baffle pier) were set at a height of 1 zhang 4 chi 4 cun (around 4.7 m). The dam ridge was 1 Chi 1 Zhang (around 3.6 m) higher than river surface while the water depth was 7 chi 5 cun (Xu Xing Shui Jin Jian (Vol. 92). Collections of Chinese Classics, P2085.) (around 2.35 m). In the next year, in order to further subtract and reduce water of De Zhou and Jing Zhou, the river supervisor Zhang Shizai and Shan Dong province governor Cut Yingjie proposed to further broaden the river by 12 zhang (almost 40 m), to a final width of 24 zhang (almost 80 m). Altogether 10 bridge holes were designed and baffle piers were set up in each hole respectively (Records during the Reign of Emperor Gaozong of Qing (Vol. 695). Zhonghua Book Company, P798.).

14.4.8 Subtracting River of Shao Ma Ying The subtracting river of Shao Ma Ying was located at right bank of the South Canal near to Zha Zi village, 6 km away from De Zhou city. It was built in 11th of Yong Zheng Reign (1733), in which a flood occurred in River Wei and bank breaching happened in Lao Hu Cang, Shao Ma Ying, and Di San Dian in De Zhou city at the east bank of the canal (Lu Yao, Survey on River Transport of Shandong (Vol. 7). Collections of Treatises on Mountain and Water in China-Treatises on Water. 2007

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Edition, P316.). In the next year the east bank breached again in Shao Ma Ying canal. The governor of Shan Dong province Due Jun suggested to properly utilize the geographical condition and open a new river, that went eastwards for 10 li (5 km) to Chen Gong Di, entered the previous waterway of River Gou Pan via the bursted bank of Cao Jia, then flowed up northeast to Yu Quan village in Wu Qiao county and poured into previous Yellow River, and eventually joined the subtracting river of Si Nv Shi and entered the ocean. In the meantime an anicut was built up at a length of 12 zhang (almost 40 m), a width of 30 zhang (nearly 100 m), a height of 1 zhang 6 cun (around 3.52 m), with 12 baffle piers inside, and a distance between two banks being more than a hundred zhang (over 300 m). Such project was eventually completed after 2 years (Survey on River Transport of Shandong (Vol.7). P317.), and the subtracting river was 1798 zhang long (about 5.98 km), joining the subtracting river of Si Nv Shi and finally enter the ocean, with a total length of 160 km. In 13th year of Qian Long Reign, the anicut’s elevation of Shao Ma Ying was reduced by 2 chi (Xu Xing Shui Jin Jian (Vol. 85). Collections of Chinese Classics, P1942.) (about 66.6 cm). During Jia Qing Emperor’s reign siltation started in the river, and in 13th year of Jia Qing Reign (1808), “the river ditch has become flat for a long time (Xu Xing Shui Jin Jian (Vol. 111). Collections of Chinese Classics, P2530.).” In fourth year of Dao Guang Reign (1824), the governor of Shan Dong province Qi Shan requested to re-open the subtracting river of Shao Ma Ying but failed.

14.4.9 Subtracting River of Jie Di The subtracting river of Jie Di was located in Jie Di town which was 15 km south from Cang Zhou city, and the construction project started from the third year of Hong Zhi Reign (1490) in Ming Dynasty. In 1490, the digging of subtracting river of Jie Di commenced, or south Jian Shui River or river Zhuan by names. The waterway started from the Jie Di town, flowed northeast to today’s Huang Hua Qi Kou and joined the ocean, maintaining same flowing direction till today. In the first year of Wan Li Reign (1573), due to river Zhang’s breaching and joining river Fu Yang, sluices in Jie Di gradually stopped functioning. In the fourth year of Yong Zheng Reign (1726), under the organization of Yun Xiang, the Yi Xian Prince, the irrigation river of Jie Di started its construction at a length of 120 li (60 km), and a five-hole stone sluice with a width of 8 Zhang (around 26.6 m). During Chan Long’s time, multiple engineering projects were conducted like subtracting river dredging, bank wall reinforcing, raising and thickening. In 36th year of Qian Long Reign (1771), the sluice was reformed to anicut, with a decreased height by 1 chi 2 cun (near 40 cm). At then there were altogether four culverts on the north bank: Zi Lai Tun, Xiao Wu Jia Zhuang, Yan Jia Zhuang, and Lv Jia Zhuang; and one culvert on south bank which was Lv Jia Zhuang. In the 12th year of Jia Qing Reign (1807), due to river siltation and dam gate low, the anicut was elevated by 2 chi 2 cun (73.32 cm). During Tong Zhi Reign in Qing Dynasty (1862–1874), the Zhi Li Governor Li Hongzhang’s uncle Zhai Xiangguo led the construction from

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Zhou Qing Zhuang village to Xi Gao Tou, and one more tide barrier gate about 10 li (5 km) away downstream of Xia San Bao to prevent sea water intrusion. In 1934 (22nd year of Republic of China), the flood discharging gate of Jie Di subtracting river was reformed from 5 holes to 8, with an efficient discharge volume of 180 cubic meter in 1 second. Besides, on the right bank a two-hole diversion gate was set up in the meantime. Till today the Jie Di subtracting river is still functioning in flood prevention in the area.

14.4.10 Subtracting River of Xing Ji The subtracting river of Xing Ji sat between Can Zhou and Qing Xian in today, started in third year of Cheng Hua Reign (1467). The same year, while the construction was going on in Jie Di subtracting river, the one in Xing Ji commenced 5 li (2.5 km) north of Xing Ji County. One stone sluice was set up at the estuary which was 25 km away from Jie Di. The two subtracting rivers went in parallel and joined each other in downstream (Ming Hui Dian (Vol. 195). 1988 Edition of Zhong hua Book Company, P986.). As geographically Xing Ji was at the northern side of Jie Di, the river of Xing Ji was also called north subtracting river and the one of Jie Di called south subtracting river, mainly taking the responsibility to accommodate floods from river Zhang and Wei. However, the two rivers did not function as expected due to improper construction. In the tenth year of Jia Jing Reign (1531), a supervisor Zhan Kuan asked permissions to renovate the sluice “to reinforce it with stones (Xing Shui Jin Jian (Vol. 114). Collections of Chinese Classics, P1663.).” Four years later another official Zeng Chong requested again. In 16th year (1537), the river was re-opened, flowed into East China Sea at Feng Tai Bao. Eventually at the end of Ming Dynasty the siltation came again. In the fourth year of Yong Zheng Reign (1726) the Yi Xian Prince Yun Xiang renovated 1 stone dam in Xing Ji, and dig up an irrigation river for 90 li (45 km), joining the ocean at Qi Kou (Records during the Reign of Emperor Gaozong of Qing (Vol. 41). Zhonghua Book Company, P 737.). In 20th year of Qian Long Reign (1719), more gates were added to stone sluices in Jie Di and Xing Ji for open and close. To better manage the two rivers, experienced people were chosen from villages alone rivers as supervisors, 2 persons for every 10 li (5 km). Each section was numbered and willows were planted to mark it (Records during the Reign of Emperor Gaozong of Qing (Vol. 489). Zhonghua Book Company, P 138.). In 36th year of Qian Long Reign (1771), to reduce flooding in Tian Jin, the Reign gave an order to change the Xing Ji sluice into an anicut and decrease the elevation by 1 chi (Records during the Reign of Emperor Gaozong of Qing (Vol. 878). Zhonghua Book Company, P759,798.) (about 33.3 cm). At around the 12th year of Jia Qing Reign (1807), due to siltation in the waterway and low sluice gate, the dam was raised by 2 chi (about 66.6 cm). At the end of Qing Dynasty the subtracting river of Xing Ji was gradually abandoned. After the huge flood on 1963, new river Zi Ya was constructed on top of previous Xing Ji waterway during the hydraulic project in river Hai He, and it has been still playing an important role in the flood prevention today.

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14.4.11 Subtracting River of ma Chang The subtracting river of Ma Chang was the latest flood discharge facility in the south canal, started in the sixth year of Guang Xu Reign (1880) in Qing Dynasty. At the beginning of Guang Xu reign, other subtracting rivers on the south canal like Si Nv Shi, Shao Ma Ying, and Xing Ji were all abandoned and only Jie Di was still navigable for only 40 li (20 km) and the rest 70 li (35 km) in siltation. In order to solve the frequent flood problem in river Wen, in the sixth year of Guang Xu Reign (1880), Li Hongzhang, the then governor of Zhi Li summoned army from Ma Chang of more than 30 ying (1 ying was made up of 850–900 soldiers) for the construction of Ma Chang subtracting river. Initially it was a 90 li (45 km) river at Xin Nong town in Tianjin started in February of fifth year of the Reign. The river started from Xin Nong town and joined the ocean at west Da Gu. Moreover, six more rivers were also opened with the length of kilometers and diverted into river Hai He. Up till then as ordered by Li Hongzhang, the army supervisor Zhou Shengchuan started subtracting river project from Xin Nong town to Jin Guan Tun in Jing Hai County for over 60 li (30 km), connecting to the existing river and pouring into the south canal. The subtracting river was 60 li (30 km) long, and there was another 30 li (15 km) from Fu Min sluice in Tianjin to Xin Nong. After connecting to the newly opened 90 li (45 km) river to join the ocean, the total length became 180 li (90 km). The river was in duplex style so that there was waterway space to expand and also bank burst could be prevented. At the estuary there was a five-hole stone sluice; in each hole there were eight boards respectively at a height of 1 chi 5 cun (nearly 50 cm). As regulated then, not more than five boards could be closed or opened regardless of the water volume. And as a result there were three boards that were normally not utilized with a total height of 4 chi 5 cun (nearly 1.5 m). And adding on the height difference of 4 chi (around 1.33 m) between subtracting river and the canal water level, the total water depth of south canal could reach more than 8 chi (around 2.66 m). At the end of Qing Dynasty after transport stopped, the river suffered from siltation and flood threat were more frequent. In 1917 4 bank breaches occurred at Zhao Lian Zhuang at the south bank of subtracting river. The next year the hydraulic committee changed the old amicus to new floodgates at the estuary upstream of Ma Chang subtracting river. Another 2 years later, a new subtracting river of Ma Chang was opened at the northern bank of upstream station at a length of 13 km. A controlling sluice was built with six holes. The trafficking volume of the new river was 100 cubic meters per second, so as to control the flood discharge volume in south canal (Tianjin Hydraulic Bureau: Records of the Hydraulic Projects of Tianjin City. 2003 Edition, P636.).

14.4.12 The Construction and Operation of Large Dam Project During the Dynasties of Yuan, Ming, and Qing, the hydraulic engineering technology was greatly enhanced comparing to previous dynasties, symbolized in the application of large stone dam projects, as well as the management of hub engineering systems in large scale. Most of the large dams or stone barrages that modern

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archeology can discover trace back after Yuan dynasty. Projects like subtracting dams mentioned above were mostly more than tens of meters long. The grand dam of Gao Jia Yan even exceeded a length of 60 km, which was world’s largest stone dam project at that time. The total length of Dai Cun dam was more than 300 meters, and the San Jiang sluice was a 28-hole stone sluice with a length of 100 meters, which both marked China’s hydraulic engineering technology at that time. Moreover, a standard of structure, size, material, configuration, and basic processing of dam projects gradually formed during dynasties of Yuan, Ming, and Qing, with official documents written and popularize like Qing Hui Ji, which was a remarkable progress in the history of hydraulic engineering.

14.4.12.1 Dai Cun Dam Dai Cun Dam had been a significant part of river Hui Tong water resource project. At its commencement in ninth year of Yong Le (1411), it was made up of mud, functioning only in seasons of low water level and flushing away in raining seasons and re-building again next year. It was quite laborious to construct annually as river Wen was short and hush. In the sixth year of Long Qing Reign (1527), a river supervisor Wan Gong reformed it to stone dam with a width of 1 li (500 m), a length of over 1 li (500 m), and a height of several zhang (1 zhang was about 3.33 m). One side facing flushing water was made up of huge stones and another side was designed as back-slope. The dam body was built up with giant stones for meters long and caulked with smaller stones. Two ends of the dam were in shape of bird wings and connected with mud barrier. The dam had a length of 110 zhang (about 366 m), with the mud part blocking water and the stone part discharge floods in raining seasons. In 17th year of Wan Li Reign (1589), the stone part of dam was extended to 60 zhang (nearly 200 m). Renovations continued in Qing Dynasty and eventually it became a combined dam composed of Ling Long dam (permeable dam) in the middle and stone dams at two ends, at a length of 105 zhang (almost 350 m) and a height of 5 chi (about 166.5 cm). After Dai Cun dam was completed, river water could be drained all year round. The permeable dam in middle could self collapse so that the dam could be repaired timely after flood instead of collapsing as a whole. The special structure efficiently enhanced the engineering results (Fig. 14.22). 14.4.12.2 Gao Jia Yan Dam (Hong Ze Hu Lake Levee) After the Yellow River took the waterway of river Huai, the Huaiyang canal joined the Yellow River and river Huai at around Qing You in Huai’An, making it more complicated and more difficult to manage the water system in the area. Then when the canal went pass Qing Kou, it was concerning to either have turbulent water in the Yellow River, or the siltation situation at north and south estuaries. As river bed elevated with both Yellow River and Huai joined the ocean, a lake was gradually formed at up Qing Kou with the water from river Huai. For the safety of downstream areas, during Yong Le reign a river supervisor Chen Xuan started the project of Gao Jia Yan dam. The levee started from Wu Jia Dun, and arrived at Fu Ning Lake via Da Xiao Jian. Up until sixth year of the Wanli Period (1578), Pan Ji Xun made proposals

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Fig. 14.22 The basic structure of Daicun Dam

of “conserve water and send away sands” “save clear water to get rid of sandy water,” in order to mitigate siltation and ensure smooth transport. The guideline was to scour downstream waterway with clear water from River Huai and to reinforce levee. At that time water intrusion happened frequently from the Yellow River to Lake Hong Ze, with Qing Kou bring the estuary of Lake Hong Ze (or River Huai). To prevent water intrusion and ensure the smooth waterway of River Huai, the key was to raise the water level in Lake Hong Ze higher than the Yellow River. Therefore, the core method of “Xu Qing Shua Huang” (save clear water to wash out the Yellow River) was to heighten Gao Jia Yan levee and raise water level in Lake Hong Ze. Since then it took Pan Jixun 4 years to renovate Gao Jia Yan Dam, which started from Wu Jia Dun, going pass Da Xiao Jian, Lake Fu Ling, Zhou Qiao, Zhai Ba, with a total length of more than 60 li (around 30 km), and a height of 1 zhang and 2–3 chi (Li Chunfang, “Records of Rebuilding Gao Yan.” Ming Jing Shi Wen Bian (Vol.281) 明经世文编 (Collections of Works in the Ming Dynasty). Zhonghua Book Company, 1962, P2977.) (around 3.9 m–4.3 m). A stone wall was built in the middle of the dam for wave resistance, and thus the Hong Ze Hu Lake Levee was basically completed. It also marked a preliminary result in the “Xu Qing Shua Huang” Project. In the 16th year of Kang Xi reigns (1677), Jin Fu was appointed as the Supervisor of Rivers. In accordance with “Xu Qing Shua Huang” by Pan Jixun, he renovated the old 90 li (45 km) long levee with heightening and consolidation from Qing Kou to Zhou Qiao. He also led the project to construct a new levee from Zhou Qiao to Zhai Ba and made the total length reach more than 100 li (Jin Fu, “Essentials of River Management.” Qing Jing Shi Wen Bian (Vol. 98) 清经世文编 (Collections of Works in the Qing Dynasty).Zhonghua Book Company, P2402.) (50 km). Since then, the Gao Jia Yan Dam experienced several heightening and consolidation renovations, especially one major overhaul in 39th year of Kang Xi reigns, starting from Wu Jia Dun and down south to Tang Li Jing. In the tenth year of Yong Zheng Reign (1732), dangerous sectors along the levee were renovated with stones (Records during the Reign of Emperor Shizong of Qing (Vol. 88). 1985 Edition of Zhonghua Book

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Company, P177.). In 16th year of Qian Long Emperor (1751), divided by Xin Ba, the northern part was all renovated with stones while the southern part down to Jiang Jia Sluice was all converted to brick material. In the 16th year of Jia Qing Reign (1811), another consolidation project was conducted in Gao Jia Yan levee, with more than 16,000 Zhang with mud and 1–2 layers consolidation in the stone sectors. Up until the fifth year of Xian Feng Reign (1855) in Qing Dynasty when the Yellow River’s waterway moved up north, the Hong Ze Hu Lake Dam started north from Wu Jia Dun, and went down south to Jiang Ba, at a full length of 67 km. It was indeed “long like a rainbow and strong like a mountain (Records of River Management (Vol.3). Series of Essential Books on Water Conservancy Projects in China, P 599.).” The Gao Jia Yan levee was originally built up in soil and muds, and later on converted to brick and stone. The stone levee project commenced at the eighth year of Wan Li Reign (1580) in Ming Dynasty, and completed in the 46th year of Qian Long Reign (1781) in Qing Dynasty, with a time span of more than 200 years. As written in the history records, during the reign of Long Qing Reign in Ming Dynasty, the total elevation of levee was 11.32 meters, and it rose to 15.49 meters in 46th year of Qian Long Reign in Qing Dynasty, and then increased to 17.2 meters in Dao Guang time in Qing Dynasty. The Gao Jia Yan Dam not only increased the water level of Lake Hong Ze, but also increased flood risks in the downstream areas. Like a giant bowl hanging in upstream, the Lake Hong Ze was a threat to downstream areas if there was a bank breach, which would cause damage to not only villages, but moreover, the Huai Yang Canal. To discharge lake water, a subtracting sluice was constructed on the Lake Hong Ze levee, with an elevation height slightly lower than the levee. When the water level reached the height, lake water would be discharged by subtracting rivers to ensure levee’s safety. Besides, marking sticks (river ruler) were installed from Gao Jia Yan to Qing Kou, so that water levels could be monitored any time. During Jia Jing reign in Ming Dynasty, to prevent floods to the emperor’s ancestors’ tombs, stone sluices for subtract were constructed from Nan Zhou Qiao to places like Gao Liang Jian and Gu Gou ((Reedited in the Jiaqing Period) Annals of Yangzhou Prefecture-Treatise on Rivers and Canals (Vol. 14).). Later on, with the renovation of Gao Jia Yan project, such subtracting stone sluices were also renovated accordingly. Till Qian Long Reign, there were altogether five subtracting stone sluices on Gao Jia Yan, named after five Chinese traditional virtues, benevolence, righteousness, etiquette, wisdom, and believe. Those subtracting sluices normally had stones on their edges, giant stone bars on the two ends connected with iron chains, caulked with calcic water. The top was normally made up of stone boards on the surface. And because of the soft foundation on which subtracting sluices were built on, timber piles of meters long were usually used as a base. The subtracting sluices were not used during normal times, and only opened one among gate Benevolence, Righteousness, or Etiquette during flood seasons in Lake Hong Ze. And if the water level kept raising, gates were to be opened one by one; and in cases when water level exceeded 3 chi 5 cun (around 1.1 m) in all three dams of Benevolence, Righteousness, and Etiquette, the gate of Wisdom would also be opened; and eventually all five dams would be utilized in even bigger floods. It was a flexible way to use the dams,

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Fig. 14.23 Recovery map of Lake Hongze’s subtracting dam. Note: 1. masonry wall 2. sub cofferdam 3. wing wall 4. spillway face with ashlar 5. cross-wall as water inlet 6. lime-soil pile foundation 7. apron with ashlar 8. Riprap 9. dam protector 10. slope of wing wall 11. Hongze Lake 12. crown of overflow weir Fig. 14.24 The sketch map showing the relation between the Zhedong Canal and Sanjiang Sluice

as it could also function as water conservancy for Lake Hong Ze when needed, by adding grasses and muds to the dams (Fig. 14.23).

14.4.12.3 San Jiang Sluice The San Jiang Sluice was a large controlling complex on the Zhe Dong canal. Completed in the 16th year of Jiajing Reign (1537) in Ming Dynasty, it located at the junction of river Xi Xiao, river Cao’E, and river Qian Tang in north Shao Xing city, Zhejiang Province. The project commenced under a background when sudden changes of water system occurred in east Zhejiang and transport condition became worse. By using river rulers in different locations, the water level in Zhe Dong canal was unitedly managed as a whole, which not only helped with regulation of water level and volume, improvement of area water environment, but moreover helped with the stability of water level and volume of the canal, and thus helped to improve water transport condition. As the largest multihole stone sluice in ancient China, the San Jiang sluice had a great technology value in the planning, design, construction, and project management (Fig. 14.24).

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The San Jiang sluice had a total length of over 100 meters, with altogether 28 holes, lying from northwest to southeast. All holes were named after the 28 constellations. The 2 holes at two-edges were called “Chang Ping holes,” whose gates were closed all the time and their tops at normal water level for water conservancy. It has been more than 400 years since it was completed, and after several overhauls the sluice has remained its overall structure and its body has been well-preserved till today. The Complete Book of San Jiang Sluice’s Engineering fully recorded its material sources, structure design, foundation process, and its construction as: “Workers are instructed to obtain rocks from mountains and oceans, mixed up with stones and glued together. A slabstone is put as its foundation and inserted to a moving stone so that they are connected. Then pour iron water and lay another layer of slabstone, so that all holes are smooth and firm and only one stone can be moved at the outside. Besides, there are several holes without foundation slabstones, stones are piled up as foundations, maximum 8-9 layers; and there are also several holes with tens of layers with a function of backup. One pier is set up after every 5 holes, and after every 3 holes in critical parts. Because two holes are closed, river does not follow a straight waterway but the sluice edge so that the turbulence is reduced (Cheng Jiuming, The Complete Book of San Jiang Sluice’s Engineering. The thread-bound edition stored in China Institute of Water Resources and Hydropower Research, published from the edition stored in the Jiemei Tang of the Xianfeng Period of Qing.).” In 1933 it was measure that the San Jiang sluice had a total length of 103.15 meters, and the 28 holes had a length of 62.74 meters. The depth of holes, however, depended on the natural stones. The maximum elevation was 5.14 meters and the shallowest was 3.4 meters. The net width of each hole also differed, with the maximum being 2.41 meters and the minimum being 2.16 meters. The crest elevation was Wu Song at a height of 8.5 meters and the maximum water discharge volume was 384 cubic meters per second (Dong Kaizhang, “Report on the Renovation of the Sanjiang Sluice in Shaoxing.” Hydrology (Monthly Publication) (5) 1933, P50.). The below picture shows San Jiang sluice’s engineer structure according to history records and measurements (see Fig. 14.25). The San Jiang sluice functioned as a comprehensive regulation and controlling to the Zhe Dong canal and the whole Xiao Shao Plain’s water system. Under the realtime monitor of water level by using river rulers, the sluice could perform functions as flood prevention, water conservancy, flood discharge, and transport control, and thus not only helped to prevent salty tides, water conservancy, and flood prevention and discharge but also helped with the relative stability of water level and water volume in the Zhe Dong canal. The engineering operational system featured as: realtime quantitative control and management of water level with the help of river rulers in different locations; meeting the demands of irrigation and water transport by water level and water volume controlling. The river ruler was a device to monitor water level so as to set a quantitative standard to open and close sluice gates. One ruler was composed with two stone tablets, one in calm water on a stone near to the shore, so the datum mark could be stable and the water level inside the river could be accurately read; another stone tablet was beside the canal at Dong You Sheng Guan in Shao Xing city, offering a

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Fig. 14.25 Maps of Sanjiang Sluice’s engineer construction. Note: Part of the data came from Dong Kaizhang’s Report on the Renovation of the Sanjiang Sluice in Shaoxing published in Hydrology (Monthly Publication), 1933, Vol. 5 (1)

reference to San Jiang sluice’s water level management of both inside the canal and the city river. The actual operation of San Jiang sluice followed Xiao Lianggan’s rules to open and close the gates: “when the water reaches level Jin (gold), all gates shall be opened; when water comes to level Mu (wood), 16 gates shall be opened; when it reaches level Shui (water), 8 gates shall be opened. The Level Huo (fire) in summer times and level Tu (earth) in autumn shall be times to reserve river water. Workers shall open and close gates according to the river ruler without a delay (Cheng Jiuming, The Complete Book of San Jiang Sluice’s Engineering. The threadbound edition stored in China Institute of Water Resources and Hydropower Research, published from the edition stored in the Jiemei Tang of the Xianfeng Period of Qing.).” And there was another rule went as: “when opening gates, the supervisors shall urge all workers to open all boards fully without remaining any space, otherwise flood could be caused due to delayed discharge. In times when water is reserved, all holes shall be firmly caulked with mud and sand from outside without a leakage. As a result, fresh water from inner river does not leak, and salt water from the ocean does not enter and intrude. Because in Spring, Summer and Autumn three seasons, water conservancy is needed for irrigation and industrial usage; and after autumn harvest the caulk still needs to be firm, otherwise it could greatly endanger water transport if inner river leaks. Therefore, when opening gates, all boards need to be opened completely, and in constructions, the caulk needs to be firmly built, so that the project can benefit in all aspects without causing any damages. For anyone who doesn’t follow the rules, meals shall not be given and further responsibilities shall be affixed (Cheng Jiuming, The Complete Book of San Jiang Sluice’s Engineering. The thread-bound edition stored in China Institute of Water Resources and Hydropower Research, published from the edition stored in the Jiemei Tang of the Xianfeng Period of Qing.).” In flood discharge seasons, sluice

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gates will be operated according to the real-time tides: “when discharging flood, if expecting a huge water volume, all gate boards shall be tied together by ropes and hang together in advance. If it’s observed that outside water level exceeds inside, then gates needs to be closed in time to prevent tide intrusion. Later when it becomes calm and smooth, the gates shall be opened again for discharge. This needs to be followed (Ping Heng, Sequel to the Complete Book of San Jiang Sluice’s Engineering. The thread-bound edition stored in China Institute of Water Resources and Hydropower Research, published from the edition stored in the Jiemei Tang of the Xianfeng Period of Qing.).”

14.4.13 To Operate the Grand Canal and Avoid the Yellow River: The Construction of the Mid-Canal After the Grand Canal was fully opened and in operation, the section from Xu Zhou to Huai Yin was running on the Yellow River’s waterway, and it was called “Cao Xing He Yun” (using the Yellow River’s riverbed for water transport). In early Ming Dynasty, most of the Yellow River’s breaches happened in Gui De and Kai Feng in Henan Province, mainly effecting the Canal by breach or waterway siltation. With laborious managements, the traffic was at least guaranteed. Till mid-Ming Dynasty, the Yellow River breached near Xu Zhou city, and severe siltation effected its riverway for over 100 Li (more than 50 km) which made the dredging project barely possible. Moreover, multiple bank breaches damaged the Shan Dong sector waterway with siltation, and thus the water traffic condition became more and more complicated. In the fifth year of Jia Jing Reign (1526), the Yellow River breached its bank at places including Xu Zhou, Cao, Da, Feng, and Pei counties. The Yellow River flowed pass the Canal and poured into Lake Zhao Yang, leaving tens kilometers siltation along its way in Miao Dao Kou (northwest Pei Xian county in today). In over 30 years afterwards, the Yellow River had more than 10 bank breaches and leaving worse siltation issue in the Canal. In the 44th year of Jia Jing Reign (1565), the Yellow River burst its bank at north in Pei Xian county, went pass east bank of the Canal and entered Lake Zhao Yang, causing siltation in the Canal for over 200 li (History of the Ming Dynasty –Treatise on Rivers and Canals, P399.) (more than 100 km). Under such circumstances, the government started the plan to change waterway in the Jia Jing reign, and thus the new river of Nan Yang was constructed. Till fourth year of Long Qing Reign (1570), a bank breach happened in Pi Zhou, causing 80 li (around 45 km) siltation from Ju Ning to Su Qian (History of Ming Dynasty –Treatise on Rivers and Canals, P352.), and as a result the river Jia was planned to avoid the Yellow River. But even after opening new river of Nan Yang and River Jia in the Ming Dynasty, the water transport still relied on the Yellow River after Su Qian. Until Kang Xi reign in Qing Dynasty, the Supervisor of Rivers Jin Fu opened river Zao and the Mid-canal successively, and hence the Canal was basically able to break away from the Yellow River, and its waterway was eventually formed with very slight changes even until today. This has been a major change in the Canal’s set up during the Ming and Qing Dynasties.

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In the seventh year of Jia Jing Reign (1528) in Ming Dynasty, Sheng Yingqi, a government official in charge of the Rivers, changed the Canal’s way from the west of Lake Zhao Yang to its east. The plan was to convert the Lake Zhao Yang for flood detention so that the Canal could be less affected by the Yellow River. And the newly constructed river was called the New Nan Yang River. However, Sheng Yingqi was transferred away when the project was suspended when it did not even complete its half. In the fourth year of Jia Jing Reign (1565), the Yellow River breached its north bank at Fee Yun Qiao in the Pei Xian county, pouring into Lake Zhao Yang by cutting off the Canal, and flowing down south between Pei Xian county and Xu Zhou city, causing disconnection in the Yellow River’s waterways above river Xu Zhou and river Lv Liang. The next year, Zhu Heng from the Ministry of Works picked up the project to re-open the New Nan Yang River, which completed in the second year of Long Qing Reign (1658). The new river’s levee was 140 li long (70 km), connected with junction of the Yellow River and the Canal and went eastwards to northwest Xu Zhou city, flowing up north from Liu Cheng city. Along the New Nan Yang River, 13 controlling sluices were built up and more than 30 subtracting sluices and dams were constructed. The new river flowed its way diverting river Si’s tributaries river Xue and river Peng into the Canal (Fig. 14.26) (History of the Ming Dynasty –Treatise on Rivers and Canals, P400. The original text says, “In May (of the first year of Long Qing reign), the new river is completed which is 30 Li west to the old river . . .. . .The new river is located in the north of the city, passing seven gates as Majiaqiao, Xiliuzhuang, Manjiaqiao, Xiazhen, Yangzhuang, Zhumei and Lijian. It joins the old river at Nanyang gate and more than one hundred and forty Li long.”).

Fig. 14.26 Map of the locations of New Nanyang River, River Jia, and the Yellow River

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After the 44th year of Jia Jing Reign (1565), the Yellow River was changed greatly. The river Xu Zhou and river Lv Liang changed from the previous turbulent rivers to flat rivers, and as a result the Yellow River’s water traffic was frequently stopped due to the dried up water flow. In the July of the third year of Long Qing Reign (1568) the Yellow River burst its bank at Pei Xian County, and the River Hui Tong’s waterway was silted up from Xu Zhou to Cha Cheng. It caused the blockage of more than 2000 ships at Pi Zhou city (History of the Ming Dynasty –Treatise on Rivers and Canals, P401.). As advised by Weng Dali, a supervisor of Rivers, the river Jia should be opened immediately. The new river would start after river Rue’s estuary of river Hui Tong, and connect river Jia via southeast Han Zhuang, and then join the Yellow River down south. The planned waterway managed to avoid river Xu Zhou and Lv Liang who had flood risks. But due to the engineer workload, in the following 30 years the proposal to open river Jia was still in discussion and not approved. In the 20th year of Wan Li Reign (1592), the Yellow River breached at Huang Gu Kou, went down south from Da Liu and stopped its way after Xu Zhou. Since then, river breaches happened several times either north or south of Xu Zhou, and water was diverted every year into the Canal. Eventually the project of river Jia was commenced in the 28th year of Wan Li Reign (1600) and completed in the 32th year (1604). Originally river Jia joined the Yellow River directly from Pi Zhou. Then in the fifth year of Tian Qi (1625) a new estuary was opened connecting southeast to Su Qian, going pass by lake Huang Dun, lake Luo Ma and pouring into the Yellow River. As a result multiple entrances were formed connecting the Canal with the Yellow River, not only helping discharge floods from Yi Meng Mountain in Shan Dong province but also offer great convenience to water transports. In the 25th year of Kang Xi reigns (1686), the Supervisor of Rivers Jin Fu opened a new river connecting river Jia from the east, and it was later named as the Mid-canal. The Mid-canal was dug up on the lowland between Lv Di and Yao Di at the north bank of the Yellow River, and it flowed eastwards to the east bank of Qing Kou in Huai Yin. After the Mid-canal project was completed, the Canal broke away from the Yellow River after their junction at Qing Kou. Since then, as soon as ships sailed off from Qing Kou, they were officially out of the Yellow River and entered the Mid-canal via Zhong Jia Zhuang sluice, which was a smooth waterway avoiding the Yellow River’s turbulences for over 200 li (more than 100 km). A remarkable result was that the time cost to reach Tong Zhou city after leaving river Huai was shortened by 1 month.

14.4.14 The Divert of Qing Kou Hub and River Huai after Mid-Qing Dynasty The breach of the Yellow River caused severe siltation in its downstream, and the river Huai gradually formed Lake Hong Ze due to siltation. To solve this problem the project of “Xu Qing Shua Huang” was conducted in the Ming and Qing Dynasties as mentioned above, with the Gap Jia Yan dam as a remarkable result. However, the back flow of Qing Kou became a serious concern in the Qing Dynasty due to the

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continued siltation caused by the Yellow River’s stronger water and sand volume than river Huai. At the end of Qian Long Reign, the government blocked the Qing Kou subtracting river and thus diverted river Huai joining the Canal instead of the Yellow River. During Reigns Jia Qing and Dao Guang’s reign, seasonal dams were established on the subtracting river which diverted the river Huai into the Canal. The dam closer to Lake Hong Ze was named Shu Qing dam and the one near the Yellow River was called You Huang dam. The two dams were utilized to control river Huai’s water flow and prevent back flow from the Yellow River, and meanwhile to manage the water level in Lake Hong Ze in accordance with Gao Jia Yan dam’s gates opening and closing. “During the 7th, 8th and 9th years of Jia Qing Reign, the siltation reached 8, 9 chi to 1 zhang (around 2.6m – 3.3m) in the riverbed of the Yellow River. As a result, fresh water could not flow out (Tie Bao, “Report on Managing Qing Kou”. Collections of Works in the Qing Dynasty (Vol. 100).Zhonghua Book Company, 1992, P 2459.).” Siltation at the estuary also reached 3–4 meters. The riverbed narrowed its width from 100–200 meters originally to 3–20 meters then, with a water depth of around only 1 meter, making its water transport more difficult. This marked an end of “Xu Qing Shua Huang” plan at Gap Jia Yan–Qing Kou hub started back to the Wan Li Reign in Ming Dynasty. Due to severe siltation situation in Qing Kou, the plan of “Guan Tang Ji Yun” was implemented in the time of Dao Guang Reign. The plan meant to block both Yu Huang dam and Shu Qing dam at two ends with grass gates, and form a closed channel in between, which was called Tang He River. When ships went up north, the grass gate at Shu Qing dam end would be opened to draw fresh water into the Tang He, and it closed after ships entering Tang He, while the grass gate at Yu Huang dam end would be opened to release ships, which worked like a ship lock. With an annual traffic volume of four million dan (around 25 million kilograms), the human and substantial resources invested in the “Guan Tang Ji Yun” project was tremendous. In fact the government had no choice but to implement such a plan so as to prevent siltation from the Yellow River. Till the end of Dao Guang reign, the Qing Kou estuary of river Huai was almost abandoned. In the first year of Xian Feng Reign (1851), lake Hong Ze breached at the Li Ba dam (today’s San He Kou junction), and the waterway of river Huai diverted completely. Since then the Li Ba dam was never fixed or renovated. River Huai either flowed via Lake Hong Ze and Li Ba and joined lake Bai Ma, or went eastwards and entered Li Xia He area via the Canal, or flowed down south via several lakes in Gao You area, and poured into the Yangtze River via San Jiang Kou junction after joining the Canal at Shao Bo. But the pressure of flood prevention increased greatly after river Huai changed its waterway, with the main flood discharging channels being the five dams joining the ocean or the 10 dams joining the Yangtze River. The projects of subtracting dam that eventually joined the ocean started in the 18th year of Kang Xi reigns (1679). Up until the 22nd year of Qian Long Reign (1757) a system of five main subtracting dams was formed, which included the Nan Guan dam, New Nan Guan dam, Wu Li Zhong dam, Che Luo dam, and Zhao Guan dam. The standard of dam gates’ opening and closing depended on the discharge

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situation at lake Hong Ze: if the Wu Gun dam at lake Hong Ze expected a big water volume, and water level reached 3 chi 5 cun (around 1.1 m) at Che Luo and Nan Guan dam, then Wu Li Zhong dam should be opened; when water level reached 5 chi (around 1.6 m) at the two dams, the New Nan Guan dam would be opened. Among the five dams, Che Luo and Nana Guan was opened with regularity for water discharge at any time, and other three dams remained closed in normal days to maintain a water depth of 5 chi (around 1.6 m) to ensure the transport in the Canal. Since then the above standards were amended many times. Till the eighth year of Dao Guang Reign (1828), it was announced that the Che Luo dam could be opened when water level reached 1 zhang 2 chi 8 cun (about 4.2 m); and the Nan Guan dam to be opened when water level reached 1 zhang 3 chi 2 cun (nearly 4.4 m); and Wu Li Zhong dam to be opened when water level came to 1 zhang 3 chi 6 cun (about 4.5 m); and eventually the New Nan Guan dam to be opened when water level reached 1 zhang 4 chi (about 4.6 m). In the fifth year of Xian Feng Reign (1855), the Governor of the Two Rivers Li Hongzhang and his colleagues proposed a standard divided by the Beginning of Autumn Day. Before the date, Che Luo dam should be opened when the river ruler in Gao You reached 1 zhang 4 chi (about 4.6 m), and Nan Guan, Wu Li Zhong, and Xin Nan Guan to be opened successively with every increase of 4 cun (about 13 cm); after the Beginning of Autumn date, the dams would be opened and closed at a benchmark of 1 Zhang 2 Chi 8 cun (about 4.2 m). For the purpose of water level control and flood discharge, the dams were covered with grass and muds as lids, which were designed to be flushed away after opening the dams, so as to protect stone dams in the lower part. The five dams played a positive role in discharging flood from the Canal and river huai, especially after Mid-qing Dynasty when river Huai diverted its way down south. However, it also brought disasters to Li Xia He area. After river Huai diverted its way in 1851, the Gui Jiang subtracting dam on Huai Yang Canal became a major discharging channel of river Huai. The project of diverting rivers into the Yangtze River started also gradually, and finally in place during the reign of Dao Guang Reign. The 10 dams was a collective name for dams of North Jin Wan, Jin Wan, Dong Xi Wan, Feng Huang Qiao, Wan Tou, Liao Jia Gou, Shi Yang Gou, Dong Jia Gou, Mang Dao, and Chu Jia. The names changed from time to time. At the downstream of each dam, subtracting rivers were built to diver river Huai into the Yangtze River, and gate opening and closing regulations were set up, respectively, according to each river rulers. Six irrigation rivers were at downstream of the 10 dams, lying from north to south, with one ancient canal located from Wan Tou to Xian Nv Miao to connect the six rivers at the north bank; on the south bank four irrigation rivers were composed of Liao Jia Gou, Shi Yang Gou, Dong Jia You, and Mang Dao; further down south to Shi Li Dian and Han Jia Du, the four irrigation rivers joined Mang Dao river, which became a parallel irrigation river together with Shi Yang Gou; and eventually joined Jia Jiang became one river at San Jiang Ying junction. The rivers joined each other from six channels to four, to two and then became one river entering the Yangtze River, with the riverbed changed from wide and shallow to narrow and deep, its water potential from

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loose to tight, its river body from high to low. Only the scouring force has maintained for hundreds of years till today (The Huaihe River Management Committee in Ministry of Water Resources of the People’s Republic of China: The Brief History of River Huai’s Hydraulic Power. 1990 Edition, China Water Power Press. P275.). (Translator: Tingyu Wang) (Proofreader: Caiyun Lian)

Translator’s Postscript

After one and a half years of hard work, we, the Science & Technology Translators’ Association of the Chinese Academy of Sciences (hereinafter referred to as STTACAS), have finally completed the English translation of Vol. 2: Masters of Heaven and Earth, General History of Science and Technology in China. The text was reviewed by veteran translators and scientists from STTACAS, which was founded by Li Pei in the 1980s to cater to the development of science and technology in China as well as to enhance cooperation and exchange of ideas with other countries. We would like to thank Ms. Qian Fangzhen of Shanghai Jiao Tong University Press for her trust in our association. This book is a collection of the most profound research topics in the field written by the country’s top scholars and provides a historical overview of the Chinese history of science and technology in a large encyclopedic form. It has both high academic value and common appeal. It is divided into five volumes in approximate chronological order, from ancient times down to the present day. In June 2018, we took on the task of translating the second volume, but it soon became apparent that the task was more difficult than anticipated. The book had numerous categories, covering several specialties in both ancient and modern science and technology. In addition, many chapters were written in ancient Chinese. Considering that this was a key project for the state, Ms. Li Weige, secretary-general of the Association, actively organized a team of senior translators to take on the task. After completion of the first draft, a symposium was held on November 10 to address the difficulties encountered in translation. Working on this volume improved our translation skills and gave us a wider perspective on the contributions of the previous generations of scientists to science and technology, some of which were forward-looking. We would like to take this opportunity to express our thanks to the translation team assembled by STTACAS.

© Springer Nature Singapore Pte Ltd. 2021 X. Jiang (ed.), The Studies of Heaven and Earth in Ancient China, History of Science and Technology in China, https://doi.org/10.1007/978-981-15-7841-0

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