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![Sako NOWOGY Wi hh DYNASTIC RULERS
Personal names and relationships are in parentheses after some
rulers’ names.
XIA DYNASTY
ca. 21ST CENTURY B.C.E.-I6TH CENTURY B.C.E.
Yu— Qi—Tai Kang—Zhong Kang
Zhu—Huai
younger brother)—]Jin—Kong Jia—Gao—Fa—Lii Gui (Jie)
Xiang—Shao Kang—
Mang—Xie—Bu Xiang—Jiong (Bu Xiang’s
SHANG DYNASTY
ca. 16TH CENTURY B.C.E.—I ITH CENTURY B.C.E.
Da Yi (Cheng Tang)—Da Ding—Wai Bing (Da Ding’s
younger brother)— Zhong Ren (Wai Bing’s younger
brother)—Da
Jia (Da Ding’s son)——Wo Ding—Da Geng
(Wo Ding’s younger brother)—Xiao Jia—Yong
Ji (Xiao Jia’s
younger brother)—Da Wu (Yong Ji’s younger brother)
—
Zhong Ding—Wai Ren (Zhong Ding’s younger brother)—
He Dan Jia (Wai Ren’s younger brother)—Zu Yi—Zu
Xin—Wo Jia (Zu Xin’s younger brother)—Zu Ding (Zu Xin’s
son)—Nan Geng (Wo Jia’s son)—Yang
Jia (Zu Ding’s son)—
Pan Geng (Yang Jia’s younger brother)—Xiao Xin (Pan
Geng’s younger brother)—Xiao Yi (Xiao Xin’s younger
brother)—Wu Ding—Zu Geng—Zu
Jia (Zu Geng’s younger
brother)—Lin Xin—Kang Ding (Lin Xin’s younger
brother)—Wu Yi—Wen Ding—Di Yi—Di Xin (Zhou)
ZHOU DYNASTY
Ca. [ITH CENTURY B.C.E.—256 B.C.E.
Western Zhou
ca. [ITH CENTURY B.C.E.—770 B.C.E.
King Wu—King Cheng—King Kang—King Zhao—King
Mu—King Gong—King Yi—King Xiao—King Yi—King
Li—King Xuan—King You
Eastern Zhou
Ca. 770 B.C.E.—256 B.C.E.
King Ping—King Huan—King Zhuang—King Xi—King
Hui—King Xiang—King Qing —King Kuang—King
Ding—King Jian—King Ling—King
Jing —King Dao—
King Jing—King Yuan—King Zhending—King Ai—King
Si—King Kao—King Weilie—King An—King Lie—King
Xian—King Shenjing—King Nan
Spring and Autumn Period
841 B.C.E.—476 B.C.E.
STATE OF Lu: Duke Zhen—Duke Wu—Duke Yi—Duke
Xiao—Duke Hui—Duke Yin—Duke Huan—Duke
Zhuang—Duke Min—Duke Xi—Duke Wen—Duke
Xuan—Duke Cheng—Duke Xiang—Duke Zhao—Duke
Ding—Duke Ai
STATE OF Qi: Duke Wu—Duke Li—Duke Wen—Duke
Cheng—Duke Zhuang—Duke Xi—Duke Xiang—Duke
Huan—Duke Xiao—Duke Zhao—Duke Yi—Duke Hui—
Duke Qing—Duke Ling—Duke Zhuang—Duke Jing
Viscount Yanru—Duke Dao—Duke Jian—Duke Ping
STATE OF JIN: Marquis Jing—Marquis Xi
Xian
Marquis Zhao— Marquis Xiao—Marquis E
—Viscount Xiao —Min—Duke Wu—Duke Xian—Duke
Hui—Duke Wen—Duke Xiang—Duke Ling—Duke
Cheng—Duke Jing—Duke Li—Duke Dao— Duke Ping—
Duke Zhao—Duke Qing—Duke Ding
STATE OF QIN: Qin Zhong—Duke Zhuang—Duke
Xiang—Duke Wen—Duke Ning—Duke Chu—Duke
Wu—Duke De—Duke Xuan—Duke Cheng—Duke Mu—
Duke Kang—Duke Gong—Duke Huan—Duke
Jing —
Duke Ai—Duke Hui— Duke Dao—Ligong Gong
Marquis
Marquis Mu—Marquis Shangshu—Marquis Wen—
Marquis At
STATE OF Cuu: Xiong Yong—Xiong Yan—Xiong
Xiao Ao—Fen
Mao—King Wu—King Wen—Du Ao—King Cheng—
Shuang—Xiong Xun—Xiong E—Ruo Ao
King Mu—King Zhuang—King Gong—King Kang—Jia
Ao—King Ling—King Ping —King Zhao—King Hui
STATE OF SONG: Duke Xi—Duke Hui—Duke Dai—
Duke Wu—Duke Xuan—Duke of Mu—Duke Shang
—
Feng—Duke Min—Duke Huan—Duke Xiang—Duke
Cheng—Duke Zhao—Duke Wen—Duke Gong—Duke
Ping—Duke Yuan—Duke Jing
STATE OF Wer: Marquis Xi—Duke Wu—Duke Zhuang—
Duke Huan—Duke Xuan—Duke Hui— Qian Mou—Duke
Hui—Duke Yi—Duke Dai—Duke Wen—Duke Cheng—
Duke Mu—Duke Ding—Duke Xian—Duke Shang—Duke
Xian—Duke Xiang—Duke Ling —Duke Chu—Duke of
Zhuang—
Qi— Duke Chu
STATE OF CHEN (ends in 479 B.C.E.): Duke You—Duke
Xi—Duke Wu—Duke Yi—Duke Ping—Duke Wen—
Duke Huan—Duke Li—Duke Zhuang—Duke Xuan—
Duke Mu—Duke Gong—Duke Ling—Duke
Cheng—Duke Ai—Duke Hui—Duke Huai—Duke Min
STATE OF Car: Marquis Wu—Marquis Yi—Marquis Xi—
Marquis Gong—Marquis Dai—Marquis Xuan— Marquis
Huan—Marquis Ai—Marquis Mu—Marquis Zhuang—
Marquis Wen—Marquis Jing—Marquis Ling —Marquis
Ping—Marquis Dao—Marquis Zhao—Marquis Cheng
STATE OF Cao (ends in 487 B.c.£.): Earl Yi— Earl You—
Earl Dai—Duke Hui—Duke Mu—Duke Huan—Duke
Zhuang—Duke Xi—Duke Zhao— Duke Gong—Duke
Wen—Duke Xuan—Duke Cheng—Duke Wu—Duke
xiii](https://image.slidesharecdn.com/21914191-250530134034-06cb088d/85/The-Formation-Of-Chinese-Civilization-An-Archaeological-Perspective-Kwangchih-Chang-17-320.jpg)
![XIV
Ping —Duke Dao—Duke Xiang—Duke Yin—Duke Jing—
Earl Yang
STATE OF ZHENG: Duke Huan—Duke Wu—Duke
Zhuang—Duke Li—Duke Zhao—Zi Wei—Zi Ying
—
Duke Li—Duke Wen—Duke Mu—Duke Ling—Duke
Xiang—Duke Dao—Duke Cheng—Duke Xi—Duke
Jian—Duke Ding—Duke Xian—Duke Sheng
STATE OF YAN: Marquis Hui—Marquis Xi—Marquis
Qing—Marquis Ai—Marquis Zheng—Marquis Mu—
Marquis Xuan—Duke Huan—Duke Zhuang—Duke
Xiang—Duke Huan—Duke Xuan—Duke Zhao—Duke
Wu—Duke Wen—Duke Yi—Duke Hui—_ Duke Dao—
Duke Gong—Duke Ping—Duke Jian—Duke Xian
STATE OF Wu: Shou Meng—Zhu Fan—Yu Ji—Yu Mei—
Liao—He Li—Fu Cha
Warring States Period
475 B.C.E.—221 B.C.E.)
STATE OF Qtn: Duke Ligong—Duke Zao—Duke Huai—
Duke Ling —Duke Jian—Duke Hui —Viscount Chu—Duke
Xian—Duke Xiao —King Huiwen—King Wu—King
Zhao—King Xiaowen—King Zhuangxiang—Prince Zheng
of Qin
STATE OF ZHAO (ends in 222 B.C.E.): Viscount Xiang—
Viscount Huan—Marquis Xian—Marquis Lie—Marquis
Jing—Marquis Cheng—Marquis Su— King Wuling—King
Huiwen—King Xiaocheng—King Daoxiang—Prince Qian
of Zhao—Prince Jia of Dai
STATE OF Cuu (ends in 223 B.c.E.): King Hui—King
Jian—King Sheng—King Dao—King Su—King Xuan—
King Wei—King Huai—King Qingxiang—King Kaolie—
King You—Prince Fuzou of Chu
STATE OF YAN (ends in 222 B.c.£.): Duke Xiao—Duke
Cheng—Duke Wen—Duke Jian—Duke Huan—Duke
Wen—King Yi—Prince Kuai of Yan—King Zhao—King
Hui—King Wucheng—King Xiao—Prince Xi of Yan
Chronology with Dynastic Rulers
STATE OF Qt (ends in 379 B.c.£.): Duke Ping—Duke
Xuan—Duke Kang
STATE OF JIN (ends in 369 B.c.E.): Duke Ding—Duke
Chu—Duke
Jing —Duke You—Duke Lie—Duke Huan
STATE OF WEr (ends in 225 B.C.£.): Marquis Wen—Marquis
Wu—King Hui—King Xiang—King Zhao—King Anxi—
King Jingmin—Prince Jia of Wei
STATE OF Han (ends in 230 B.C.E.): Viscount Wu—
Marquis Jing—Marquis Lie—Marquis Wen—Marquis Ai—
Marquis Yi—Marquis Zhao—King Xuanhui—King
Xiang—King Xi—King Huanhui—Prince An of Han
STATE OF TIAN QJ] (ends in 221 B.C.E.): Viscount Dao—
Viscount He—Marquis Yan of Qi—Duke Huan —King
Wei—King Xuan—King Min—King Xiang—Prince Jian
of Qi
QIN DYNASTY
221 BiG 2060 BCE:
Emperor Shihuang (Shihuanedi), the First Emperor (Ying
Zheng)—the Second Emperor (Ying Huhai)—Ying Ziying
HAN DYNASTY
206 B.C.E.—25 C.E.
Western Han Dynasty
206 B.C.E.—9 C.E.
Emperor Gao (Liu Bang)—Emperor Hui (Liu Ying)—
Empress Gao (Lu Zhi)—Emperor Wen (Liu Huan)—
Emperor Jing (Liu Qi)—Emperor Wu (Liu Che)—Emperor
Zhao (Liu Fuling)—Emperor Xuan (Liu Xun)—Emperor
Yuan (Liu Shi)—Emperor Cheng (Liu Ao)—Emperor Ai
(Liu Xin)—Emperor Ping (Liu Kan)—Ruzi Ying—Emperor
Gengshi (Liu Xuan)
Xin Dynasty (Wang Mang interregnum), 9-23
Eastern Han Dynasty
25 C.E.—220 C.E.](https://image.slidesharecdn.com/21914191-250530134034-06cb088d/85/The-Formation-Of-Chinese-Civilization-An-Archaeological-Perspective-Kwangchih-Chang-18-320.jpg)
![The factor that most influenced historical develop-
ments in China from remote to nearer antiquity was the
manner in which civilized society took form. People
dwelled in primitive tribes, then, in a higher stage of social
history, moved from a classless society to one with classes,
from clans to states. State formation is taken here as the
marker of “civilized society.” The appearance of civilized
society and the form that it took had a decisive influence
on the direction that history took. In 1929, Guo Moruo
wrote in the preface to his Zhongeuo gudai shehui yanjiu (Re-
search on ancient Chinese society): “China 1s still a blank
page in the history of world culture. Friedrich Engels’s The
Origin ofthe Family, Private Property, and the State makes no
mention of Chinese society. . .. Now we Chinese should
arouse ourselves and fill the blank page with the history of
this half of world culture.” Guo’s book, as he saw it, was a
“sequel” to Engels’s. Guo was acutely aware of the
significance of the question of the origin of Chinese civi-
lization, and he wished to ask the question so that it could
be discussed within the framework of world cultural his-
tory. Unfortunately, the conditions to do the necessary re-
search did not exist in that era. In the 1950s, Chinese
historians once again debated the periodization of ancient
Chinese history, touching again on the question of the ort-
gin of Chinese civilization, but their debate took the pert-
odization of slave and feudal societies in ancient China as
its major focus. A lack of material evidence prevented
progress on the question of origins.
Since the 1980s there have been great advances in both
prehistoric and Three Dynasties archaeology. The accu-
mulation of relatively rich archaeological materials has
made it possible to ask about the origin of civilization and
the birth of civilized society in China as a research subject.
In 1983, Xia Nai, director of the Institute of Archaeology,
Academy of Social Sciences, delivered an important public
lecture inJapan concerning archaeological research on the
origins of Chinese civilization. He pointed out that “the
Shang culture found at Shang-dynasty ruins in Anyang
County is a splendid example of a highly developed civi-
lization in China’s antiquity. It was not the beginning of
Chinese civilization. At present, however, scholars still
commonly believe that the [remains of the] civilization
found near Xiaotun Village, at the Shang ruins, represent
China’s earliest civilization. If this were the birth of Chi-
nese civilization, it would be like [the Daoist sage] Laozi
having a white beard as soon as he was born.” If this was
not the origin of Chinese civilization, what was? Xia said
that Chinese civilization can be traced back to the Erligang
culture at Zhengzhou and the Erlitou culture at Yanshi,
both in Henan Province; and that the beginning of Chi-
nese civilization should be sought in the late Longshan cul-
tures of Henan and Shandong Provinces. Xia stressed that
“Chinese civilization was formed primarily as an indige-
nous development, although this does not exclude the pos-
sibility that there were sometimes outside influences.”
Three years later, in 1986, Su Bingqi proposed a number
of new concepts as a means of exploring the origins of Chi-
nese civilization, including ancent culture, ancient city, and an-
cent state. He explained that “ancent culture refers primarily to
primitive cultures; ancent aty refers primarily to the cities and
towns that formed in the earliest period, which were not yet
the cities and capitals that developed in later periods; ancent
state refers primarily to a stable and independent political in-
stitution higher than a clan or chiefdom.” These changes
took place, he said, in “the late phase of primitive society, be-
tween five thousand and four thousand years ago.” Su’s inci-
sive analysis moved research on the origins and formation
of Chinese civilization forward, marking a new era in re-
search. After his speech, numerous scholarly symposia were
held, and a steady stream of academic articles were pub-
lished. Indeed, this book was inspired by his work.
Research on the origins of Chinese civilization and the
formation of civilized society in China has extremely 1m-
portant theoretical and actual significance. How the Chi-
nese form of civilization and its historical trajectory
compare to those of other world civilizations are ques-
tions worth contemplating. In the epilogue we elaborate
on these issues.
Marxism elucidated principles for the historical devel-
opment of human society, using Western history to
demonstrate their correctness. Owing to the limited his-
torical conditions of the time, Karl Marx and Friedrich
Engels were unclear about how China became a civilized
society. Today, Chinese archaeologists and historians are
faced with the responsibility for scientific research on the
question. History proves that there is not just one model
of development; the Western model, which has been
taken as a standard, does not apply to the entire world.
China’s clan-based society became a society with social
classes according to its own developmental rules. To ap-
ply the Western model mechanically does not correspond
with historical reality. By using the results of the new ar-
chaeological discoveries to elucidate the origins of Chi-
nese civilization and the history of the formation of
civilized society in China, archaeologists and historians
of China can make an important contribution to the
study of the history of world civilizations.
Introduction](https://image.slidesharecdn.com/21914191-250530134034-06cb088d/85/The-Formation-Of-Chinese-Civilization-An-Archaeological-Perspective-Kwangchih-Chang-31-320.jpg)
![~ sSouthérn
540k Islands J
law pissun
chenad |
a fata oS 7 q
as |
(Nanchang
Kunming
* SSouthérn
Islands |,
1.1. Paleogeography of coastal China in
Late Pleistocene: the high sea-level period
(about 1,270,000 years ago) and low sea-lev«
period (about 180,000—150,000 years ago).
1.2. Paleogeography ofcoastal China at the
peak of the last glacial stage.
bathyal and continental slope
shallow sea
near-shore shallow sea
northern limit of distribution of drab soil
De
northern limit of red weathering bed with iron
manganese coating or concretion
northern limit of laterite
lake
warm current
cold current and littoral current
southern limit of continual permafrost
southern limit of discontinual permafrost and
concentrated area of Mammuthus primigenius
southern limit of sporadic permafrost
desert
loess
|
LE
[J
southern limit of loess
paleo-river course and inferred paleo-river course
is delta
[a] glacier and high point of snow line
calcareous sandstones (on the shelves)](https://image.slidesharecdn.com/21914191-250530134034-06cb088d/85/The-Formation-Of-Chinese-Civilization-An-Archaeological-Perspective-Kwangchih-Chang-35-320.jpg)
![—
Major Early Agricultural Sites in China
iat
ies Say,
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oi aS f
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ens tell a
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500 0 500 1000 km
e Houli
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ete
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* Xianren ee
2 eles icin
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Pengtoushan e
*Yuchanyan
increased to overt 1,000 millimeters. Many lakes were
formed on both sides of the Yangtze River, the biggest of
which were Yunmengze and Penglize, and centripetal
water systems formed around the larger lakes. Rapid sed-
imentation produced vast fertile fields along the rivers
and around the lakes, and some areas turned into
marshes.
Wild rice growing in the Yangtze River valley is histor-
ically documented. Today, common wild rice still grows
in the Jiangxi and Hunan region and the historical
records suggest an even broader distribution along the
Yanetze River valley. Recently, archaeologists found a
small amount of wild rice mixed in with a great amount
of cultivated rice remains at the Hemudu site (a Neolithic
culture of 7,000-6,500 years ago) in Yuyao, Zhejiang
Province. It is therefore thought that common wild rice
also grew in central China during the early Holocene,
though not as extensively as in south China.
In central China, the four seasons of the year were
sharply marked, with distinct differences between sum-
mer and winter temperatures and rainfall. Throughout
the prehistoric period, the cultures in the Yangtze River
valley were relatively well-developed. With the advent of
the Holocene, the improved environmental conditions
gave new impetus to cultural development and resulted
in a rapid increase in population. Under hunting and
gathering subsistence conditions, the number of people
that a square kilometer can support is limited. To reduce
the risk of a food crisis in winter, people needed to in-
crease the quantity of produce which was both edible and
storable for a long period. Common wild rice was natu-
rally the first choice because it fulfilled both these re-
The Beginning ofFarming](https://image.slidesharecdn.com/21914191-250530134034-06cb088d/85/The-Formation-Of-Chinese-Civilization-An-Archaeological-Perspective-Kwangchih-Chang-51-320.jpg)
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Title: On-Line Data-Acquisition Systems in Nuclear Physics, 1969
Author: National Research Council . Ad Hoc Panel on On-line Computers
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Release date: April 29, 2013 [eBook #42613]
Most recently updated: October 23, 2024
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ACQUISITION SYSTEMS IN NUCLEAR PHYSICS, 1969 ***](https://image.slidesharecdn.com/21914191-250530134034-06cb088d/85/The-Formation-Of-Chinese-Civilization-An-Archaeological-Perspective-Kwangchih-Chang-60-320.jpg)
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- 7. Yale University Press New Haven and London New World Press Beying Kwane-chih Chang Xu Pinefang Lu Liancheng Shao Wangping Wang Youping Yan Wenming
- 8. The Formation of Chinese Civilization An Archaeological Perspective Zhang Zhongpet with Xu Hon g and Wang Renxtang Edited and with an introduction by SaranAllan Foreword by etc {I Ucko
- 9. Calligraphy for series title by Qi Gong, president of the China National Calhgraphers’ Association. Frontispiece: Terra-cotta figures ofkneeling archers being excavated at the mausoleum of the First Emperor of Qin, pit 2. Lintong County, Shaanxi Province. Copyright © 2005 by Yale University and New World Press. All rights reserved. This book may not be reproduced, in whole or in part, including illustrations, in any form (beyond that copying permitted by Sections 107 and 108 of the U.S. Copyright Law and except by reviewers for the public press), without written permission from the publishers. Designed and typeset, in Monotype Garamond type, by Bessas & Ackerman, Guilford, Connecticut, based on the original series design by Richard Hendel. Chinese type by Birdtrack Press, New Haven, Connecticut. Printed and bound in China by C & C Offset Printing Co., Ltd. Library ofCongress Cataloging-in-Publication Data Chang, Kwang-chih The formation of Chinese civilization : an archaeological perspective / Kwane-chih Chang, Pingfang Xu; edited and with an introduction by Sarah Allan. p. cm. — (Culture & civilization of China) Includes bibliographical references and index. ISBN 0-300-09382-9 (cloth ; alk. paper) 1. China— Civilization—To 221 B.c. 2. China—Civilization— 221 B.C.—960 A.D. 3. China—Antiquities. I. Xu, Pingfang, 1930— II. Allan, Sarah. III. Title. IV. Series. DS741.65.C528 2002 931—deaz1 2002003468 A catalogue record for this book is available from the British Library. The paper in this book meets the guidelines for permanence and durability of the Committee on Production Guidelines for Book Longevity of the Council on Library Resources. 1 OO FO Gwe A a
- 10. Publication of this book was made possible by the generous support of MUR, Je So 1tmie Yale University Press gratefully acknowledges the financial support given to The Culture & Civilization of China by: Ruth and Bruce Dayton Robert E. Ellsworth The William and Flora Hewlett Foundation The Henry Luce Foundation, Inc. Patricia Mellon The National Endowment for the Humanities John and Cynthia Reed The Rosenkranz Foundation The Starr Foundation
- 11. DireGuUllUininCc: ClVIbIZArTiON OF CHINA Each book in this series is the fruit of cooperation between Chinese and Western scholars and publishers. Our goals are to illustrate the cultural riches of China, to explain China to both interested general readers and specialists, to present the best recent scholarship, and to make original and previously inaccessible resources available for the first time. The books will all be published in both English and Chinese. The partners in this unprecedented joint undertaking are the China International Publishing Group (CIPG) and Yale University Press. Honorary Chairs, The Culture & Civilization ofChina George H. W. Bush, former President of the United States of America Rong Yiren, former Vice President of the People’s Republic of China Chair, United States Advisory Council Dr. Henry A. Kissinger, former Secretary of State of the United States of America Chair, International Advisory Board Dr. Zbigniew Brzezinski, former Assistant to the President for National Security Affairs of the United States of America Chair, Friends Committee Mrs. Nelson A. Rockefeller Chair, China Advisory Council Huang Hua, former Vice Chair of the Standing Committee of the National People’s Congress of the People’s Republic of China Members, China Advisory Council Fan Jingyi, former Vice Chair of the Education, Science, Culture, and Health Committee of the National People’s Congress of the People’s Republic of China Chai Zemin, first Chinese Ambassador to the United States of America Yang Zhengquan, former Vice Minister of the Information Office of the State Council of the People’s Republic of China
- 12. Yale Editorial Advisory Board James Cahill, University of California, Berkeley Mayching Kao, Chinese University of Hong Kong Jonathan Spence, Yale University James C. Y Watt, Metropolitan Museum of Art, New York Anthony C. Yu, University of Chicago CIPG Editorial Board Li Xueqin, former Director of the History Research Institute, Chinese Academy of Social Sciences Ji Xianlin, Professor at Peking University Lin Wusun, Vice Chair of the Translators’ Association of China Yang Xin, former Deputy Director of the Palace Museum Zhang Dainian, former Professor at Peking University (deceased) Wang Qingzheng, Deputy Director of the Shanghai Museum A special debt of gratitude is owed to Ambassador Joseph Verner Reed, Coordinating Director of the United States Advisory Council, the International Advisory Board, and the Friends Committee of The Culture & Civilization of China.
- 13. GONTENTS Foreword by Peter J. Ucko x7 Chronology with Dynastic Rulers xz Map of Paleoanthropological Sites in China xv INTRODUCTION Part 1, Sarah Allan 1 Part 11, Xu Pingfang 7 / . EARLY HUMANS IN CHINA J7 Yan Wenming and Wang Youping 725 2. THE BEGINNING OF FARMING 27 Yan Wenming 3. THE YANGSHAO PERIOD: PROSPERITY AND THE TRANSFORMATION OF PREHISTORIC SOCIETY 43 Zhang Zhongpei 4. THE FORMATION OF CIVILIZATION: THE INTERACTION SPHERE OF THE LONGSHAN PERIOD Sy Shao Wangping 5. THE RISE OF KINGS AND THE FORMATION OF CITY-STATES Kwang-chih Chang 6. SOCIETY DURING THE THREE DYNASTIES I4I Lu Liancheng and Yan Wenming 7. THE EASTERN ZHOU AND THE GROWTH OF REGIONALISM 203 Lu Liancheng 8. THE FORMATION OF THE EMPIRE BY THE QIN AND HAN DYNASTIES AND THE UNIFICATION OF CHINA 249 Xu Pingfang EPILOGUE Part 1, Xu Pingfang 283 Part 11, Kwang-chih Chang 289 List of Selected Sites 295 Glossary of Artifacts: Hlustrated Examples 308 Notes 377 Further Readings 347 List of Contributors 353 Acknowledgments 355 Index 357
- 15. nO RoE RD) The Formation of Chinese Civilization: An Archaeological Per- spective, the latest addition to The Culture & Civilization of China series produced by Yale University Press and the China International Publishing Group, is an enor- mously important publication for at least two reasons. First, 1t contains much material that has not been accessi- ble before, except, in some cases, in specialist journal ar- ticles in Chinese. For the English-speaking world, it is therefore a mine of information about specific archaeo- logical sites and the findings derived from them. With its good index, list of sites, and copious illustrations and maps, the book should be a source for continual refer- ence by serious scholars and students, as well as curious, intelligent visitors to China. This remains true although Zhe Formation of Chinese Civilization had a somewhat difficult and delayed birth. Nevertheless, the chapters are authoritative, written es- pecially for this book by senior Chinese scholars, and have been updated since the initial writing. Subsequent finds have provided concordant dates, and the basic ar- gument stands. Sarah Allan skillfully edited the English text and discusses it usefully in her introduction. The second reason why this publication ts so significant derives from the authority and orthodoxy of its Chinese authors. Younger Chinese archaeologists are grappling with archaeological interpretative theories introduced from the West into the Chinese archaeological context. It is unfortunately true that Western archaeologists have te- cently often attempted to impose their scientific method- ologies and, perhaps more important, their interpretative paradigms without any real understanding of the underly- ing philosophy and practice of Chinese orthodoxy still ex- tant in Chinese archaeological endeavors. Without such understanding, attempts to explain processual—let alone post-processual or post-colonial theory (cognitive or oth- erwise)—are bound to be unprofitable, or at least much more difficult to accomplish. The Formation of Chinese Civilization affords a unique— and immensely coherent— picture of what has up to now been the accepted Chinese paradigm for understanding China’s past, both prehistoric and later. In essence the paradigm derives from Engels and Marx and is based on assumptions about social evolution from the simple to the complex, from the primitive to the civilized /“advanced.” Not only is the coherence of approach striking; so is the ingenious way that details of archaeological finds and typologies of ceramic and bronze styles are incorporated into the larger evolutionary vision. This book effortlessly demonstrates the outstanding scholarship and dedication of the senior generation of Chinese archaeologists. This is not to suggest that Western archaeologists will not be amazed by some of the interpretative assumptions made by their Chinese colleagues. Indeed, the title of the book should forewarn them of the apparent assumption that there is one overriding Chinese culture (however di- verse and numerous the archaeological cultures) and that all of us are agreed as to the meaning and conditions of “civilization.” The Western reader will not have come across the use of such terms and concepts as “matriarchy” and “family- clan-tribe” used as explanations in their own right since the writings ofV.Gordon Childe in the 1950s and earlier. Por example, about the Yangshao period, Zhang Zhong- pei writes: “In the Yuanjunmiao community, therefore, a family level of private ownership existed and wealth was transmitted from mother to daughter. The three levels of organization identified in the Yuanjunmiao cemetery re- semble those found in the Jiangzhai site. To use established terms, they represent family, clan, and tribe. Organization at the family level was matriarchal and so the clans and tribes at Yuanjunmiao were all matriarchal.” Within the orthodox Chinese interpretative parameter, and even with the Chinese acceptance that there were and are numerous Chinese “ethnic groups” dating back to prehistoric periods (for example, dating to around 500-100 B.C.E. in the Yunnan area, if the evidence of bronze figures can be so interpreted), it is perhaps not surprising to find that the chapter entitled “Early Hu- mans in China” is the least acceptable to non-Chinese scholars. Indeed, this chapter shows no awareness of the existence of DNA studies, simply taking the fossil evi- dence as demonstrating the existence of “indigenous” Chinese many hundreds of thousands of years ago. For this older generation of archaeologists migration into China is not an acceptable inference from the data. Where many archaeologists today would argue that Homo erectus arose in Africa, traveled to Asia, and went extinct there, the early chapters in this book reflect the notion that modern Chinese evolved from Homo erectus—basi- cally, that Flomo erectus led to, or belongs to, the species Homo sapiens. As a British newspaper put it, “Chinese balk at ‘out of Africa’ theory.” Thus, Xu Pingfang writes in an xi
- 16. epilogue to the book that “Chinese civilization had an indigenous origin.... Asian China is ... worth investigating as one of the places where humans may have developed. The fossils discovered at present .. . all indicate charac- teristics that suggest a physical continuity with modern Chinese.” Finally, it must be recognized that the influence of Marxism on archaeological interpretation is being reex- amined, ‘““deconstructed” if you will. Many attempts to appreciate the nature of the relationship exist for archae- ology within the former Soviet Union, and a lengthy de- scription and analysis has just been completed for Cuban archaeology. For the first time, with the publication of The Formation ofChinese Civilization, it now becomes possi- ble to attempt informed analysis of what has been hap- pening in Chinese archaeological interpretation. Today Chinese archaeology stands at a crucial point in the development of world archaeology. Its practices in the future will be determined in part by how far it recog- nizes that its actions can no longer be considered distinct xii Foreword from the opinions and aspirations of the public within China and abroad. To understand the relation between Chinese archaeological practice and theory and Anglo- American practice and theory will be no easy task to ac- complish. The publication of this book gives the English-speaking world for the first time the chance to understand where the younger generations of Chinese ar- chaeologists (with whom they wish to collaborate in joint research and understanding) are coming from. Professor Kwang-chih Chang concludes his epilogue to The Formation of Chinese Civilization with the hope and expectation that understanding China’s past will “make ereat contributions to the formulation of general princi- ples in the social sciences,” such principles no longer to be weighed only against Western history, so that “any theory must pass the test of Chinese historical reality be- fore it can be said to be universally applicable.” This is in- deed a momentous time for the book to be published, exactly when the world ts looking at China, while China reaches out to embrace the world. Peter J. Ucko Director, Institute of Archaeology, and Director, International Centre for Chinese Heritage and Archaeology, University College London
- 17. Sako NOWOGY Wi hh DYNASTIC RULERS Personal names and relationships are in parentheses after some rulers’ names. XIA DYNASTY ca. 21ST CENTURY B.C.E.-I6TH CENTURY B.C.E. Yu— Qi—Tai Kang—Zhong Kang Zhu—Huai younger brother)—]Jin—Kong Jia—Gao—Fa—Lii Gui (Jie) Xiang—Shao Kang— Mang—Xie—Bu Xiang—Jiong (Bu Xiang’s SHANG DYNASTY ca. 16TH CENTURY B.C.E.—I ITH CENTURY B.C.E. Da Yi (Cheng Tang)—Da Ding—Wai Bing (Da Ding’s younger brother)— Zhong Ren (Wai Bing’s younger brother)—Da Jia (Da Ding’s son)——Wo Ding—Da Geng (Wo Ding’s younger brother)—Xiao Jia—Yong Ji (Xiao Jia’s younger brother)—Da Wu (Yong Ji’s younger brother) — Zhong Ding—Wai Ren (Zhong Ding’s younger brother)— He Dan Jia (Wai Ren’s younger brother)—Zu Yi—Zu Xin—Wo Jia (Zu Xin’s younger brother)—Zu Ding (Zu Xin’s son)—Nan Geng (Wo Jia’s son)—Yang Jia (Zu Ding’s son)— Pan Geng (Yang Jia’s younger brother)—Xiao Xin (Pan Geng’s younger brother)—Xiao Yi (Xiao Xin’s younger brother)—Wu Ding—Zu Geng—Zu Jia (Zu Geng’s younger brother)—Lin Xin—Kang Ding (Lin Xin’s younger brother)—Wu Yi—Wen Ding—Di Yi—Di Xin (Zhou) ZHOU DYNASTY Ca. [ITH CENTURY B.C.E.—256 B.C.E. Western Zhou ca. [ITH CENTURY B.C.E.—770 B.C.E. King Wu—King Cheng—King Kang—King Zhao—King Mu—King Gong—King Yi—King Xiao—King Yi—King Li—King Xuan—King You Eastern Zhou Ca. 770 B.C.E.—256 B.C.E. King Ping—King Huan—King Zhuang—King Xi—King Hui—King Xiang—King Qing —King Kuang—King Ding—King Jian—King Ling—King Jing —King Dao— King Jing—King Yuan—King Zhending—King Ai—King Si—King Kao—King Weilie—King An—King Lie—King Xian—King Shenjing—King Nan Spring and Autumn Period 841 B.C.E.—476 B.C.E. STATE OF Lu: Duke Zhen—Duke Wu—Duke Yi—Duke Xiao—Duke Hui—Duke Yin—Duke Huan—Duke Zhuang—Duke Min—Duke Xi—Duke Wen—Duke Xuan—Duke Cheng—Duke Xiang—Duke Zhao—Duke Ding—Duke Ai STATE OF Qi: Duke Wu—Duke Li—Duke Wen—Duke Cheng—Duke Zhuang—Duke Xi—Duke Xiang—Duke Huan—Duke Xiao—Duke Zhao—Duke Yi—Duke Hui— Duke Qing—Duke Ling—Duke Zhuang—Duke Jing Viscount Yanru—Duke Dao—Duke Jian—Duke Ping STATE OF JIN: Marquis Jing—Marquis Xi Xian Marquis Zhao— Marquis Xiao—Marquis E —Viscount Xiao —Min—Duke Wu—Duke Xian—Duke Hui—Duke Wen—Duke Xiang—Duke Ling—Duke Cheng—Duke Jing—Duke Li—Duke Dao— Duke Ping— Duke Zhao—Duke Qing—Duke Ding STATE OF QIN: Qin Zhong—Duke Zhuang—Duke Xiang—Duke Wen—Duke Ning—Duke Chu—Duke Wu—Duke De—Duke Xuan—Duke Cheng—Duke Mu— Duke Kang—Duke Gong—Duke Huan—Duke Jing — Duke Ai—Duke Hui— Duke Dao—Ligong Gong Marquis Marquis Mu—Marquis Shangshu—Marquis Wen— Marquis At STATE OF Cuu: Xiong Yong—Xiong Yan—Xiong Xiao Ao—Fen Mao—King Wu—King Wen—Du Ao—King Cheng— Shuang—Xiong Xun—Xiong E—Ruo Ao King Mu—King Zhuang—King Gong—King Kang—Jia Ao—King Ling—King Ping —King Zhao—King Hui STATE OF SONG: Duke Xi—Duke Hui—Duke Dai— Duke Wu—Duke Xuan—Duke of Mu—Duke Shang — Feng—Duke Min—Duke Huan—Duke Xiang—Duke Cheng—Duke Zhao—Duke Wen—Duke Gong—Duke Ping—Duke Yuan—Duke Jing STATE OF Wer: Marquis Xi—Duke Wu—Duke Zhuang— Duke Huan—Duke Xuan—Duke Hui— Qian Mou—Duke Hui—Duke Yi—Duke Dai—Duke Wen—Duke Cheng— Duke Mu—Duke Ding—Duke Xian—Duke Shang—Duke Xian—Duke Xiang—Duke Ling —Duke Chu—Duke of Zhuang— Qi— Duke Chu STATE OF CHEN (ends in 479 B.C.E.): Duke You—Duke Xi—Duke Wu—Duke Yi—Duke Ping—Duke Wen— Duke Huan—Duke Li—Duke Zhuang—Duke Xuan— Duke Mu—Duke Gong—Duke Ling—Duke Cheng—Duke Ai—Duke Hui—Duke Huai—Duke Min STATE OF Car: Marquis Wu—Marquis Yi—Marquis Xi— Marquis Gong—Marquis Dai—Marquis Xuan— Marquis Huan—Marquis Ai—Marquis Mu—Marquis Zhuang— Marquis Wen—Marquis Jing—Marquis Ling —Marquis Ping—Marquis Dao—Marquis Zhao—Marquis Cheng STATE OF Cao (ends in 487 B.c.£.): Earl Yi— Earl You— Earl Dai—Duke Hui—Duke Mu—Duke Huan—Duke Zhuang—Duke Xi—Duke Zhao— Duke Gong—Duke Wen—Duke Xuan—Duke Cheng—Duke Wu—Duke xiii
- 18. XIV Ping —Duke Dao—Duke Xiang—Duke Yin—Duke Jing— Earl Yang STATE OF ZHENG: Duke Huan—Duke Wu—Duke Zhuang—Duke Li—Duke Zhao—Zi Wei—Zi Ying — Duke Li—Duke Wen—Duke Mu—Duke Ling—Duke Xiang—Duke Dao—Duke Cheng—Duke Xi—Duke Jian—Duke Ding—Duke Xian—Duke Sheng STATE OF YAN: Marquis Hui—Marquis Xi—Marquis Qing—Marquis Ai—Marquis Zheng—Marquis Mu— Marquis Xuan—Duke Huan—Duke Zhuang—Duke Xiang—Duke Huan—Duke Xuan—Duke Zhao—Duke Wu—Duke Wen—Duke Yi—Duke Hui—_ Duke Dao— Duke Gong—Duke Ping—Duke Jian—Duke Xian STATE OF Wu: Shou Meng—Zhu Fan—Yu Ji—Yu Mei— Liao—He Li—Fu Cha Warring States Period 475 B.C.E.—221 B.C.E.) STATE OF Qtn: Duke Ligong—Duke Zao—Duke Huai— Duke Ling —Duke Jian—Duke Hui —Viscount Chu—Duke Xian—Duke Xiao —King Huiwen—King Wu—King Zhao—King Xiaowen—King Zhuangxiang—Prince Zheng of Qin STATE OF ZHAO (ends in 222 B.C.E.): Viscount Xiang— Viscount Huan—Marquis Xian—Marquis Lie—Marquis Jing—Marquis Cheng—Marquis Su— King Wuling—King Huiwen—King Xiaocheng—King Daoxiang—Prince Qian of Zhao—Prince Jia of Dai STATE OF Cuu (ends in 223 B.c.E.): King Hui—King Jian—King Sheng—King Dao—King Su—King Xuan— King Wei—King Huai—King Qingxiang—King Kaolie— King You—Prince Fuzou of Chu STATE OF YAN (ends in 222 B.c.£.): Duke Xiao—Duke Cheng—Duke Wen—Duke Jian—Duke Huan—Duke Wen—King Yi—Prince Kuai of Yan—King Zhao—King Hui—King Wucheng—King Xiao—Prince Xi of Yan Chronology with Dynastic Rulers STATE OF Qt (ends in 379 B.c.£.): Duke Ping—Duke Xuan—Duke Kang STATE OF JIN (ends in 369 B.c.E.): Duke Ding—Duke Chu—Duke Jing —Duke You—Duke Lie—Duke Huan STATE OF WEr (ends in 225 B.C.£.): Marquis Wen—Marquis Wu—King Hui—King Xiang—King Zhao—King Anxi— King Jingmin—Prince Jia of Wei STATE OF Han (ends in 230 B.C.E.): Viscount Wu— Marquis Jing—Marquis Lie—Marquis Wen—Marquis Ai— Marquis Yi—Marquis Zhao—King Xuanhui—King Xiang—King Xi—King Huanhui—Prince An of Han STATE OF TIAN QJ] (ends in 221 B.C.E.): Viscount Dao— Viscount He—Marquis Yan of Qi—Duke Huan —King Wei—King Xuan—King Min—King Xiang—Prince Jian of Qi QIN DYNASTY 221 BiG 2060 BCE: Emperor Shihuang (Shihuanedi), the First Emperor (Ying Zheng)—the Second Emperor (Ying Huhai)—Ying Ziying HAN DYNASTY 206 B.C.E.—25 C.E. Western Han Dynasty 206 B.C.E.—9 C.E. Emperor Gao (Liu Bang)—Emperor Hui (Liu Ying)— Empress Gao (Lu Zhi)—Emperor Wen (Liu Huan)— Emperor Jing (Liu Qi)—Emperor Wu (Liu Che)—Emperor Zhao (Liu Fuling)—Emperor Xuan (Liu Xun)—Emperor Yuan (Liu Shi)—Emperor Cheng (Liu Ao)—Emperor Ai (Liu Xin)—Emperor Ping (Liu Kan)—Ruzi Ying—Emperor Gengshi (Liu Xuan) Xin Dynasty (Wang Mang interregnum), 9-23 Eastern Han Dynasty 25 C.E.—220 C.E.
- 19. The Formation of Chinese Civilization
- 20. Paleoanthropological Sites in China 1, Antu 2.Bailiandong, Liuzhou 3. Baojiyan, Guilin 4. Bose 5.Changwu 6. Changyang 7.Chaoxian 8, Chenjiawozi, Lantian 9. Chuandong, Puding 10. Dadong, Panxian 11. Dali 12.De’e, Longlin 13. Dingcun, Xiangfen 14. Donggutuo, Yangyuan 15. Dongzhongyan, Fengkai 16. Du‘an 17.Fulin, Hanyuan 18.Gezidong, Kazuo 19. Guanyin Cave, Qianxi 20. Guojiabao, Yuanmou 21.Hexian 22.Huanglong 23.Jiande 24.Jianping 25. Jianshi 26. Jingchuan 27. Jinniushan, Yingkou 28. Laibin 29. Liangshan, Nanzheng 30. Lianhuadong, Dantu 31. Lijiang 32.Lipu 33.Liujiang 34. Longgupo, Wushan 35.Longtanshan, Kunming—Locality 1 36.Longtanshan, Kunming—Locality 2 37.Longtanshan, Kunming—Locality 3 38.Luonan 39. Maba, Qujiang 40. Maomao Cave, Xingyi 41.Meipu, Yunxian @ Uriimai Xinjiang Gansu Qinghai TS Sich 31 42.Mengzi 43.Miaohoushan East Cave, Benxi 44, Miaohoushan, Benxi 45.Nalai, Longlin 46.Nanzhao 64. Xiachangliang, Yangyuan 47.Qingliu 65. Xiaogushan, Haicheng 48.Quwo 66. Xichou 49. Quyuan Hekou, Yunxian 67.Xichuan 74 ; 50. Salawusu (Sjara-osso-gol) 68. Xihoudu, Ruicheng Kunin 51.Shiyu, Shuoxian 69. Xintai 52. Shuicheng 70. Xuetian, Wuchang Yunnan 53. Shuidonggou, Yinchuan 54, Tangshan, Nanjing 71.Xujiayao, Yanggao 72.Yanjiagang, Harbin 55. Taohua Cave, Liuzhi 73.Yiyuan 56. Tiandong 74.Yuanmou 57.Tongliang 75.Yunxi 58. Tongzi 76. Zhaotong 59. Tubo, Liujiang 60. Upper Cave, Zhoukoudian 61.Wanggongling, Lantian 62.Wushan 63. Xiachuan, Qinshui 77.Zhoukoudian—Locality 1 78. Zhoukoudian—Locality 2 79. Zhoukoudian—Locality 3 80. Ziyang 81.Zouzhen, Tainan
- 21. ~_ hf Heilongjiang @ Harbin 72 70 @ Changchun Jilin Shenyang ® 24 ~Liaoning 18 65 i Zh ner Mongolia Baking 14 e . 7 64 7718 51 79 60 y e “Tianjin chuan @ Shanxi Hebei . ae 50 Taiyuan @ _ Ningxia Shijiazhuang Shaanxi Shandong 13 Ji seh 73 y U 26 22 48 63 Nn 68 : 11 e h 62 Xi'an @ 8 Zhengzhou OS 46 pent Jiangsu 67 2 . 75 41 Anhui 49 54 30 21 Nanjing Shanghal 7 O° a 34 Hubei 4y 25 6 Wuhan @ °é . . i angzhou .* 57 Chongqing ie ys Zhejiang = Changsha @ Nanchang a os; i 58 e Hunan 19 Guizhou Jiangxi > ' 5 2 cian 47 Fuzhou @ / Fujian 3 @ Taibei aS 32 39 ~ 4 16 *s9 ; Guangxi Taiwan 56 oe al a Guangdong, A, @ Guangzhou @ Nanning + acao > s ee Pw cite Hong Kong ae ? / “a : . ¢ ' aye . Southern Islands
- 23. [ntroduction PART I SarahAllan This book is the story of the formation of Chinese civi- lization as seen by Chinese archaeologists from the per- spective of the material evidence unearthed in China over the past century. The story told is twofold. On the one hand, it is that of the development of “civilization” in China; on the other, of the formation of “Chinese” civi- lization with its particular characteristics. It begins with the earliest hominid fossils found in China and traces the evolution of early Chinese society from the emergence of Homo sapiens, to the beginnings of agriculture, then on through various stages. These stages are broadly peri- odized as: the Yangshao (ca. 5000-3000 B.C.E.), during which advances in agriculture and husbandry led to set- tled communities with central villages, specialized tech- nologies, and different levels of wealth; the Longshan (ca. 3000-2000 B.C.E.), with its walled cities, urban life, and an early form of state; and the Bronze Age, or “Three Dy- nasties” period (ca. 21st century—256 B.C.E.), in which the lineage clan system was integrated with political power and a central dynasty appeared, only to disintegrate dur- ing the Eastern Zhou (ca. 770-256 B.c.E.). It concludes with the reign of the Han-dynasty emperor Wu (140-86 B.C.E.), Who consolidated the advances made in the Qin dynasty (221-206 B.c.£.) by unifying the state with a polit- ical system based on territorial division rather than on kinship and personal relationships and by standardizing the currency, weights and measures, and system of writ- ing and creating other modes of central organization. Chinese civilization is thus understood as the civiliza- tion of China at the beginning of the first century B.c.E., when most of the distinctive political, social, economic, and cultural patterns that characterized later Chinese civ- ilization were already established. Civilization itself isun- derstood as entailing a level of social complexity, marked by significant class divisions, a ruling class, and a state or- ganization. Culturally, it has such markers as agriculture, writing, metallurgy, cities, and sophistication in architec- ture. Therefore, the narrative here is one of the progres- sive development of these various aspects of Chinese society and culture, as seen from archaeological re- mains—for example, from simple changes in the tools of primitive hominids and modern humans in the Pale- olithic and early Neolithic to extensive agricultural re- mains in the Yangshao period; from the simple burials and settlements of the Yangshao to large-scale building, walled cities, and hierarchical cemeteries organized by kinship and reflecting patterns of class differentiation in the Longshan; and from pottery vessels found in tombs to sets of bronze ritual vessels from the Three Dynasties. Because the different regions of China developed at dif- ferent speeds and in different manners, the story is a com- plex one, but it is essentially a narrative about small groups of people coming together in increasingly large aggregates, with increasing levels of communication and social com- plexity. The numerous local cultures of the rice-growing societies that grew up in central and south China and the Second excavation at Chengziya, Zhangqiu County, Shandong Province, 1990
- 24. tS millet-growing ones of the north had broad differences, and many local patterns of development emerged as well. The interactions among these various cultures served as the stimulus to further technological and social develop- ment. There was occasional influence from outside; for ex- ample, although the technology used for casting bronze in China took a unique form, bronze itself seems to have been introduced from Central Asia (see Chapter 4). Never- theless, the story is essentially one of cultural interaction within the vast landmass of China. Of particular interest in the narrative found herein is the role ascribed to the partic- ular forms of ritual and religion found in ancient China and to the congruence of ritual and political power as motivat- ing forces in the development of Chinese civilization. With the exception of the late Kwang-chih (K. C.) Chang, who taught at Yale and Harvard Universities, the authors of these chapters are all archaeologists in the People’s Republic of China. They have personally led many of the excavations described herein. Xu Pingfang, a specialist in historical archaeology, was formerly director of the Institute of Archaeology, Chinese Academy of Social Sciences. Yan Wenming is a specialist in the Chi- nese Neolithic, and as chair of the Department of Ar- chaeology at Peking University has not only conducted numerous excavations but also trained generations of Chinese archaeologists. Zhang Zhongpei, former direc- tor of the Palace Museum and professor at Jilin Univer- sity, has excavated in north China, Inner Mongolia, and many other regions. Shao Wangping, a member of the In- stitute of Archaeology, is an experienced archaeologist and has participated in the excavation of the last Shang- dynasty (ca. 16th century—11th century B.c.E.) capital at Yinxu in Henan Province and of both Neolithic and Shang-dynasty sites in Shandong Province, as well as other sites. Lu Liancheng 1s a specialist in the archaeology of the Western Zhou dynasty (ca. 11th century—770 B.C.E.) and he has led numerous excavations in the Xan region of Shaanxi Province. Wang Youping, of Peking Univer- sity, is a specialist in Paleolithic archaeology. Archaeology, as opposed to antiquarianism, is a modern science throughout the world. The Chinese have often been called the most history-conscious people in the world, but until the twentieth century, the early history of Chinese civilization was known only from literature passed down through the centuries and a limited number of ancient artifacts, primarily bronze vessels with inscrip- tions. The first quarter of the twentieth century—which saw the end of the last imperial dynasty, the Qing, and the establishment of the Republic of China in 1912—was a Introduction period of intellectual ferment. In this period, many of the most erudite Chinese scholars systematically began to challenge the historicity of the recetved traditions con- cerning antiquity as a means of breaking free from the weight of an orthodoxy established over the previous two millennia and establishing a rational foundation for a modern society. This was known as the “doubt antiquity movement,” and it began by questioning the veracity of all history and historical texts before the beginning of the Han dynasty (206 B.c.£.). The first modern scientific archaeological excavations were undertaken just as this challenge to the historical tradition was being launched. Four early excavations are of particular significance because they raised issues that remain important to Chinese archaeology and influenced its later course. Two of these excavations were associated with the Swedish geologistJ.Gunnar Andersson.’ In 1921, Ander- sson, in collaboration with the Austrian Otto Zdansky and Chinese scholars, including the young Pei Wenzhong (1904-1982), began the excavation of a cave site at Zhoukoudian, southwest of Beijing, occupied approxi- mately 400,000—200,000 years ago. The fossils of some forty individuals were found there, together with animals, extensive stone artifacts, and traces of fire. These fossils, popularly called Peking Man, were first given the scientific name Sinanthropus pekinensus and later, Homo erectus pekinen- sus. They remain the largest population of /7. erectus yet discovered anywhere in the world. HHomo sapiens fossils dating to around 27,000 B.c.£. were also found in an upper cave at Zhoukoudian. The discovery of these early ho- minids not only was scientifically important but also ex- cited the popular imagination, which was further fueled by the mysterious disappearance of the fossils after they were boarded onto an American army train in 1941. As Yan Wenming and Wang Youping describe in the first chapter of this book, many other localities and sites with hominid remains and fossils have now been discov- ered in China, both of /7. erectus and of 17. sapiens. The tre- lationship between these two populations remains an important question. Yan and Wang argue that archaeo- logical evidence suggests a continuous development with intermediary stages of the fossils and tool tradition within China. Geneticists who believe that the Chinese 7. sapiens population, as well as /7. sapiens populations in the rest of the world, originated in Africa have challenged this view on theoretical grounds. This is currently a mat- ter of debate in China, as elsewhere.’ Andersson also excavated a Neolithic settlement at Yangshao Village in Mianchi County, Henan Province, in
- 25. 1921. Although Yangshao is a relatively minor site and has since been superseded in importance by other, richer ones, it gave its name to the first archaeological culture of the Neolithic period to be identified in China, the Yang- shao, centered on the north China plain along the Yellow River. For archaeologists, the term cw/ture has a special- ized meaning; it refers to an assemblage of artifacts found over a restricted area and within a certain time period, and to the people who produced the assemblage. Besides artifacts per se, the material traces of human activities reflecting a complex of traits, such as a common style of burial, a common settlement pattern, and a common mode of agricultural production, may be taken as mark- ers in defining an archaeological culture. The underlying assumption is that people who made the same things in the same style and organized their lives and buried their dead in the same manner represented a particular human society that can be distinguished from the societies of people in neighboring regions and those who lived be- fore and after them in the same region. Such archaeolog- ical cultures are usually named after the first site discovered at which there was a typical assemblage of ar- tifacts; so, for example, the site at Yangshao Village gave its name to the Yangshao culture. Andersson’s excavations at Yangshao and along the course of the Yellow River were important mainly be- cause of their early date and because they set the stage for further archaeological excavation after the establishment of the People’s Republic in 1949. The Yellow River valley is the traditional heartland of China and the region where Chinese have always thought that their own civilization began. At first, the origin of the Yangshao culture was un- clear. However, as Yan Wenming describes in Chapter 2 of this book, the dry-land millet agriculture and the local pottery types of the Yangshao found in the Central Plains can now be traced back to the earlier Cishan and Peili- gang cultures (ca. 6500-5000 B.C.E.) in the same region. Moreover, wet-land rice agriculture has an even longer history among the cultures of central and south China. Thus, Chinese agriculture has more than one origin and more than nine thousand years of history. In Chinese archaeology, pottery typology is the pri- mary criterion used to define the temporal and spatial range of Neolithic cultures. Because of the ubiquity of pottery, its forms are an extremely rich resource for trac- ing continuity and change and the movement of peoples. This is especially so in China, where, from Neolithic times onward, people buried vessels of food and drink with their dead. Nevertheless, both the geographic and the temporal boundaries of an archaeological culture are always a matter of interpretation, and there are some times different viewpoints. For example, in Chapter 3 of this book, Zhang Zhongpei uses the term Yangshao to refer to a period of the Chinese Neolithic—that is, the Yangshao period, ca. 5000-3000 B.c.E—and divides what is usually designated the Yangshao culture into an earlier Banpo culture and a later Xiyin culture. Zhang ar- gues that the major social changes in gender and status relations evident in burial and settlement patterns reflect stages of evolution, and he interprets this archaeological evidence in terms of Engels’s hypothesis that prehistoric societies were first matriarchal and did not have institu- tionalized marriage and only later became patriarchal and monogamous, with the Banpo reflecting the earlier, ma- triarchal stage and the Xiyin the latter.’ When Chinese archaology began in earnest after the establishment of the People’s Republic, the major excava- tions were made in the traditional heartland. Increasingly, excavations were conducted throughout the country, making the picture of the Neolithic much more complex, with multiregional models replacing the earlier linear model that assumed the dominance of the cultures of the Yellow River valley. Particularly important here was Su Bingqi’s proposal of six major independent, coevolving regional traditions, first made in 1981.* In the fourth edi- tion of his Archaeology of Ancient China (1986), K. C. Chang also proposed a new developmental model, one in which isolated regional clusters of early Neolithic cultures ex- panded and became closely linked in ever-growing spheres of interaction. Another important early excavation was Chengziya, near the town of Longshan, in the eastern province of Shandong. This site was surveyed in 1928 by Wu Jinding and excavated, beginning in 1930, by the Chinese Acade- mia Sinica under the direction of Li Ji. It uncovered a walled Neolithic city whose inhabitants made polished black wheel-turned pottery so fine that it is sometimes called “eggshell thin.” Their culture came to be called the Longshan culture, or, as the picture has become more complex, the classic or Shandong Longshan culture. Just as Yangshao is used to refer to a stage of development and period of time, the term Longshan is used to refer to the subsequent stage and period, from approximately 3000 to 2000 B.C.E. As Shao Wangping and K. C. Chang describe in Chap- ters 4 and 5, Chengzitya is now known to be one settle- ment 1n a complex of settlements related to one another by a hierarchical structure, and this pattern is repeated in many other places along both the Yellow River in the north and the Yangtze in the south. They argue that these Introduction
- 26. settlement complexes are an early form of state and that there were many such states in the Longshan period. They also argue, from scattered evidence found on pot- tery sherds, that writing was already developing in this period, and they point to evidence of the beginnings of metallurgy. The interaction of these early proto-states led to the emergence of the central state of the later Three Dynasties period. Thus, they suggest, the Longshan pe- riod can be taken as the critical period in which that his- torical stage called civilization began. Of particular interest in these two chapters is the im- portance attributed to religious forms in shaping the de- velopment of the early Chinese state. Both Shao and Zhang point to the particular confluence of ritual and po- litical authority implicit in the development of a lineage system based on ancestral worship, which they regard as key to understanding the particular form of civilization that took root in China. Thus, Shao notes evidence for the appearance of wu, “shamans,” and traces the development and distribution of specialized ceremonial objects (4g), especially ritual jades and mortuary pottery, in the Long- shan period as significant of the development ofanew so- cial order in which political and religious authority coalesced in the newly developing political order. K. C. Chang further stresses the conjunction of the roles of the shaman and the king in the Shang period as key to under- standing the nature of early Chinese political authority. Here I note that although the conventional definition of shaman implies communication with the spirit world through trance, the Chinese term mz, translated here as “shaman,” is somewhat broader; the Chinese shaman may use other forms of communication with the spirit world. The most spectacular early excavation was that of the last capital of the Shang dynasty (ca. 16th century—11th century B.C.E.), near Anyang in Henan Province, under- taken by Chinese archaeologists from the Academia Sinica.’ These excavations, which began in 1928 and were interrupted by the Sino-Japanese war in 1937, uncovered such features as the vast earthen tombs of the Shang rulers, evidence of large-scale human sacrifice, a highly developed bronze industry, and a mature writing system that was the antecedent of modern Chinese writing. This writing was found almost exclusively on ox scapulae and turtle plastrons used by the Shang kings for divination, popularly called oracle bones, and on dedications found on bronze vessels used to make offerings to the ances- tors. Because the divination inscriptions refer to the an- cestors of the Shang kings, it was possible to establish a king list for the entire dynasty. This list corresponded to that found in the traditional histories. Moreover, the site [ntroduction itself was still known as Yinxu, which means the “re- mains of Yin’—Yin is another name for the Shang. Thus, the historicity of the Shang dynasty was confirmed. The importance of the excavations at Yinxu is difficult to overstate, but the finds there raised as many questions as they answered. As with the initial discovery of Yang- shao, the Yinxu site appeared to have no antecedents, and it raised a great many questions. If the Shang was his- torical, what about the previous dynasty found in the his- torical records—the Xia? How did the highly developed bronze technology arise? Where did the writing origi- nate? Since both metallurgy and writing were known to be earlier in the Near East, diffusionist theories among Western scholars abounded. On the one hand, the finds authenticated the historical tradition of a Shang dynasty and tended to support the credibility of the ancient texts. On the other, the large-scale human sacrifices revealed both by the material remains and the oracle bone inscrip- tions were entirely unexpected. Moreover, these sacrifices were especially numerous during the reign of the early Yinxu-period king Wu Ding, who was traditionally re- garded as a sage ruler, but they were substantially fewer during the reign of the last two kings, who have gone down in history as archetypically evil. One of the most important consequences of these early discoveries, especially the spectacular discovery at Yinxu, was the priority given to archaeology after the People’s Re- public of China was established in 1949. Excavations re- sumed in 1950, only a year after the establishment of the People’s Republic in 1949, and a network of archaeological institutions was soon established, including the Institute of Archaeology (at first under the Academy of Sciences, and later the Academy of Social Sciences), National Bureau of Cultural Relics, to protect and preserve archaeological materials, and a course of study at Peking University.° Un- til 1991, when the law changed to allow foreign participa- tion, archaeological excavations in the People’s Republic of China were conducted entirely by Chinese archaeolo- gists. Here, China—and the rest of the world that ts inter- ested in the Chinese past—has been fortunate that rigorous standards for archaeological excavation and re- porting were established from the very beginning. Most important, Chinese archaeologists, under the leadership of Guo Moruo and Xia Nai, established the principle of a strict division between the reporting of excavated materi- als and historical interpretation. Thus, despite the turmoil of the Cultural Revolution years and the many debates during the past fifty years concerning Marxist theory of historical evolution as it applies to ancient China, or the
- 27. applicability of the received historical tradition to the inter- pretation of archaeological materials, excavation has always been conducted scientifically in a careful and systematic manner and the results of excavations have been reported separately from their interpretation. As paradigms of inter- pretation have shifted, the numerous excavation reports published over the years have provided a reliable basis for research and reinterpretation. The early excavations concentrated on known sites and places where tradition suggested that excavation might be fruitful, primarily in the Yellow River valley. Even in these early days, however, there were also scat- tered excavations across the country, primarily salvage operations in association with new building and infra- structure development or else chance discoveries. Ac- cording to the historical records, a hereditary dynasty called the Xia had preceded the Shang. The search for its remains in localities traditionally associated with the Xia rulers led to the discoveries of an early Bronze Age site at Yanshi Erlitou and a Neolithic site at Dengfeng, both in Henan Province, and both traditionally associated with the Xia rulers. At Yinxu, the oracle bone divinations had confirmed the identity of the site and the historicity of the Shang kings; thus far, no such texts have been found to confirm the historicity of the Xia. However, most Chinese archaeologists nowadays believe that Erlitou cul- ture can be identified with the Xia dynasty found in the historical records. In this book, not only is the Erlitou culture identified with the Xia, but the Xia state is under- stood within an evolutionary context as a development arising from earlier city-states that had arisen in the Longshan period. As the Chinese economy and infrastructure expanded in the 1980s and 1990s, archaeology followed in the wake of new building. This has yielded many surprising results in regions where no one would have thought to conduct planned excavations. For example, road-building in asso- ciation with the airport built for Hong Kong led to the discovery of Shang-dynasty artifacts in a region where it was once impossible to imagine Shang influence,’ and Neolithic sites have been found in almost every region in China. For the Shang period, spectacular discoveries of bronzes in unusual styles were made at Xin’gan, Dayangzhou, in the southeastern province of Jiangxi, and at Sanxingdui in the western province of Sichuan (see Chapter 6). These finds have been displayed in recent ex- hibitions in Europe, the United States, and Japan, where they have attracted great interest—especially the large bronze statuary from Sanxingdui. One reason is that these bronzes are so different from the Shang-dynasty bronzes found elsewhere in China. Conversely, however, the radical difference in the style of these bronzes and the mentality they reflect serves to illuminate the uniformity of the Shang tradition of bronze ritual vessels, despite re- gional styles. The texts tell us that the Zhou rulers had their home- land in the more western province of Shaanxi, in the Wei River valley (a tributary of the Yellow River), and that, after conquering the Shang, they established their capital near the present-day city of Xian. As Lu Liancheng dis- cusses in Chapter 6, extensive excavation of the Zhou homeland, especially in the past thirty years, has uncov- ered numerous sites associated with the Zhou people both before and after they conquered the Shang. The Zhou royal tombs, which were surely on a grand scale, like the tombs of the late Shang kings at Yinxu, have not yet been discovered; they are one example of what archaeolo- gists may yet uncover in the future. However, archaeology is not only— or even primarily—about magnificent finds with beautiful artifacts. The accumulation of unspectacular data from smaller excavations is the foundation of archaeological research. China has been continuously occupied for millennia, and the ancient practice of burying vessels and other artifacts with the dead is a rich resource, even when the finds do not yield unusual objects. For example, the unusual Shang-dynasty bronze vessels from Xin’gan in southeast- ern Jiangxi Province can be understood only in light of the pottery with which they are found—a local type well known from its appearance in numerous small tombs throughout the region. The changing patterns of burial in myriads of small and medium-sized tombs with different sets of burial goods reveal the hierarchy and evolution of Zhou society. Of all Chinese archaeological discoveries, the best known in the West are the spectacular pits of life-size terra-cotta soldiers that guard the tomb of the First Em- peror of Qin, discussed by Xu Pingfang in Chapter 8. The excavations are ongoing, and further pits with figurines of civil officials have recently been discovered. The terra-cotta figures are impressive examples of early Chinese sculpture and reveal details of dress, hairstyle, military and administrative organization, and so on. It is, however, the Qin coins, standard weights and measures with the Qin edicts cast on them, and the pervasive use of the reformed script found in excavations throughout the land that reveal the extent of Qin political power and the reality of the Qin unification. Archaeology depends upon the chance of preservation and discovery, and after many years of excavation, there Introduction
- 28. 6 ate still important gaps in the archaeological record and many problems that remain in understanding the forma- tion ofChinese civilization. For example, the early history of writing is still not entirely clear. The use of writing for divination purposes is so extensive at the beginning of the Yinxu period that we can only suppose that it has a longer history. But we do not yet know how much longer or when the transformation from signs to writing took place. Our Introduction understanding of the early development of bronze casting in China is also still incomplete. Nevertheless, the extent of Chinese archaeology is now such that broad patterns have become clear and new interpretative paradigms can be of- fered, as they are in this book. The remarkable continuity of Chinese civilization is well known. What are its peculiar characteristics and how did it form? These are the ques- tions that will be addressed in the following pages.
- 29. [ntroduction PART 11 Xu Pingfang Stunning archaeological discoveries, numbering in the thousands, have been made in China over the past half- century and continue to be made yearly. In this book we use the results of recent Chinese archaeological research to describe the motive forces in the formation of Chinese civilization and to explore the characteristics of ancient Chinese society, economy, and culture. The origins of the Chinese people, the particular characteristics of the Chi- nese Paleolithic, the origins of agriculture in China, the formation and disintegration of primitive social units, the origins of Chinese civilization and the birth of civilized society, the characteristics and transformation of the civ- ilization of the Shang and Zhou dynasties, the unification of China under the Qin dynasty and its influence on Chi- all these issues have concerned Chinese nese history archaeologists and historians in recent decades, and many of them are discussed here. This book is based on the lat- est achievements of recent research; that is, it makes use of other scholars’ contributions in forming its own per- spective. It is, moreover, a collective effort in that differ- ent authors wrote each chapter or section. The authors based their essays on their own research, and they voice their own opinions; at the same time, we have striven to ensure the continuity and unity of the book as a whole. Historically speaking, Chinese civilization originated, and went through the early stages of its development, before the establishment of the Qin dynasty at the end of the third century B.c.£. This “pre-Qin” period, lasting a mil- lion or more years, includes the Chinese Paleolithic and Neolithic periods and the Three Dynasties: the Xia, Shang, and Zhou. Unification under the Qin initiated a new era in Chinese history. The First Emperor of Qin’s great undertaking of unifying China was not fully com- pleted, however, until the reign of Emperor Wu of the Western Han in the late second century B.c.£. The history of the formation of Chinese civilization expounded in this book ends with his reign. Historians categorize this period as remote antiquity. The period before the Shang dynasty (before ca. 1600 B.c.E.), the period from which there are no historical records, 1s also simply termed pre- history. Sima Quan’s Siz (Records of the Grand Histo- rian) is the major literary source for research on the China of remote antiquity. Other important texts in- clude the Changi (Spring and Autumn annals) with its three commentaries, Zhushu jinian (Bamboo annals), Shiben (Annals of ruling houses), Gwoyw (Discourses of the states), and Zhanguoce (Intrigues of the Warring States). There are, of course, no written records for the pre- historic period; the accounts of what happened then are all based on legends recounted later. Legend is not his- tory. Modern Chinese historians have considered suspect the legend-based “history” of the prehistoric period. But scholars, from Cui Shu (1740-1816) in the Qing dynasty to members of the Doubt Antiquity school, represented by Gu Jiegang (1893-1980), have done a great deal of
- 30. ork in separating authentic and false historical material, ind their research forms a firm foundation for the histo- riography of the pre-Qin period. All things have a counterpart. Although history is not legend, we cannot deny that legends passed down in a continuous line of transmission exhibit traces of the so- cial history of their era. Meng Wentong’s Gushi xhenwei (Discriminating details in ancient history; 1968) and Xu Xusheng’s Zhongeno gushi de chuanshuo shidai (The era of legends in China’s ancient history; 1962) are examples of useful research for those of us who wish to use facts pre- served in ancient historical legend. Even though at pres- ent we do not have sufficient information to say that this legendary tribe or that storied emperor goes with a par- ticular archaeological culture, we believe that legends are not made out of whole cloth; part is fabrication but most is based on what actually happened. In the rich literary history of China we cannot ignore the historical value of material about the era of legends. The problem is how to bring the historical legends together with the archae- ological cultures. This is one of the obstacles we must still overcome in researching remote antiquity. Of the pre-Qin textual materials excavated so far, the oracle bone inscriptions are the most important. Their discovery completely changed the face of historical re- search on the Shang dynasty; Chen Mengjia’s Yinxu buci xongshu (Summary of divination inscriptions from the re- mains of Yin; 1956) summarizes and synthesizes this evi- dence. The discovery of and subsequent research on bronze inscriptions and bamboo slips and tablets are also extremely important; bronze inscriptions are important for research on Western Zhou history, for example, and the bamboo-slip texts from Shuihudi, Yunmeng, in Hubei Province, for the study of Qin social history. In the past few decades the periodization of Chinese slave and feudal societies, the elucidation of theory, and the explanation of historical materials have occupied pre- Qin historical researchers. There are so many different strands that they cannot be tied together, so historians have paid increasing attention to archaeological discoveries, giving equal importance to textual materials and material remains and thereby bringing history and archaeology together. Looking at something from different vantage points in order to expand the field of vision has become the mainstream approach for pre-Qin research. Between the earliest traces of the first humans in China and the writings of the Shang dynasty lie more than a mil- lion years of prehistory. To learn about this period we mostly rely on archaeological materials. The archaeology [ntroduction of the Shang and Zhou dynasties is not intermeshed with Shang and Zhou history the same way that prehistoric ar- chaeology is with prehistory, but archaeology is of no less importance once written records started being made. The role of archaeological research is of decisive importance in the study of China’s ancient past. Nearly a century has passed since the beginning of contemporary Chinese archaeology in the 1920s. Today we have a preliminary structural framework for the pre- historic period, which provides a foundation for further research. Archaeologists working in the scholarly tradi- tion use the results of archaeological research to recon- struct China’s ancient history. A good example of this type of research is the role of the excavation of Yinxu in Anyang County, Henan Province, in the reconstruction of the history of the Shang dynasty. Li Ji (Li Chi, 1896-1979) proposed the reconstruction of ancient history in 1954, and some sixty essays written between 1972 and 1985 fol- lowed through on his proposal. The essays, by Li Ji, Kwang-chih Chang (Zhang Guangzhi), Dong Zuobin (Tung Tso-pin), Shi Zhangru, Li Xiaoding, Xu Zhuoyun (Cho-yun Hsu), Chen Pan, Lao Gan, Du Zhengsheng, Rao Zongyi (Jao Tsung-t), and others, are collected in Zhongguo shanggushi (Ancient Chinese history; four vol- umes, 1972-1985). The authors discuss the major issues of research into remote antiquity from the prehistoric period to the Zhou dynasty. Kwang-chih Chang’s Archae- ology ofAncient China, revised three times since it was pub- lished in 1963, provides a general account of ancient history and pre-Qin archaeology and has had great inter- national influence. In 1991, Su Bingqi raised the issue of re- constructing the development of the prehistoric period; and in 1994 he edited Zhongguo tongshi: Yuangu shidai (A comprehensive history of China: The period of remote antiquity), with contributions by Yan Wenming and Zhang Zhongpet. This was the first book in China to use archae- ological materials to present a comprehensive history of the prehistoric period. The Formation ofChinese Civilization follows in this scholarly tradition, making abundant use of archaeological materials to produce a scientific work on China’s pre-unification history. China not only has an ancient civilization; it also has, de- spite many ethnic groups, a continuous line of transmis- sion from its ancient civilization to the present. This makes it unique in the development of world civilization. To apply the principles used in doing research on ancient Chinese civilization in other countries of the world would be of real significance in increasing understanding of other ancient civilizations.
- 31. The factor that most influenced historical develop- ments in China from remote to nearer antiquity was the manner in which civilized society took form. People dwelled in primitive tribes, then, in a higher stage of social history, moved from a classless society to one with classes, from clans to states. State formation is taken here as the marker of “civilized society.” The appearance of civilized society and the form that it took had a decisive influence on the direction that history took. In 1929, Guo Moruo wrote in the preface to his Zhongeuo gudai shehui yanjiu (Re- search on ancient Chinese society): “China 1s still a blank page in the history of world culture. Friedrich Engels’s The Origin ofthe Family, Private Property, and the State makes no mention of Chinese society. . .. Now we Chinese should arouse ourselves and fill the blank page with the history of this half of world culture.” Guo’s book, as he saw it, was a “sequel” to Engels’s. Guo was acutely aware of the significance of the question of the origin of Chinese civi- lization, and he wished to ask the question so that it could be discussed within the framework of world cultural his- tory. Unfortunately, the conditions to do the necessary re- search did not exist in that era. In the 1950s, Chinese historians once again debated the periodization of ancient Chinese history, touching again on the question of the ort- gin of Chinese civilization, but their debate took the pert- odization of slave and feudal societies in ancient China as its major focus. A lack of material evidence prevented progress on the question of origins. Since the 1980s there have been great advances in both prehistoric and Three Dynasties archaeology. The accu- mulation of relatively rich archaeological materials has made it possible to ask about the origin of civilization and the birth of civilized society in China as a research subject. In 1983, Xia Nai, director of the Institute of Archaeology, Academy of Social Sciences, delivered an important public lecture inJapan concerning archaeological research on the origins of Chinese civilization. He pointed out that “the Shang culture found at Shang-dynasty ruins in Anyang County is a splendid example of a highly developed civi- lization in China’s antiquity. It was not the beginning of Chinese civilization. At present, however, scholars still commonly believe that the [remains of the] civilization found near Xiaotun Village, at the Shang ruins, represent China’s earliest civilization. If this were the birth of Chi- nese civilization, it would be like [the Daoist sage] Laozi having a white beard as soon as he was born.” If this was not the origin of Chinese civilization, what was? Xia said that Chinese civilization can be traced back to the Erligang culture at Zhengzhou and the Erlitou culture at Yanshi, both in Henan Province; and that the beginning of Chi- nese civilization should be sought in the late Longshan cul- tures of Henan and Shandong Provinces. Xia stressed that “Chinese civilization was formed primarily as an indige- nous development, although this does not exclude the pos- sibility that there were sometimes outside influences.” Three years later, in 1986, Su Bingqi proposed a number of new concepts as a means of exploring the origins of Chi- nese civilization, including ancent culture, ancient city, and an- cent state. He explained that “ancent culture refers primarily to primitive cultures; ancent aty refers primarily to the cities and towns that formed in the earliest period, which were not yet the cities and capitals that developed in later periods; ancent state refers primarily to a stable and independent political in- stitution higher than a clan or chiefdom.” These changes took place, he said, in “the late phase of primitive society, be- tween five thousand and four thousand years ago.” Su’s inci- sive analysis moved research on the origins and formation of Chinese civilization forward, marking a new era in re- search. After his speech, numerous scholarly symposia were held, and a steady stream of academic articles were pub- lished. Indeed, this book was inspired by his work. Research on the origins of Chinese civilization and the formation of civilized society in China has extremely 1m- portant theoretical and actual significance. How the Chi- nese form of civilization and its historical trajectory compare to those of other world civilizations are ques- tions worth contemplating. In the epilogue we elaborate on these issues. Marxism elucidated principles for the historical devel- opment of human society, using Western history to demonstrate their correctness. Owing to the limited his- torical conditions of the time, Karl Marx and Friedrich Engels were unclear about how China became a civilized society. Today, Chinese archaeologists and historians are faced with the responsibility for scientific research on the question. History proves that there is not just one model of development; the Western model, which has been taken as a standard, does not apply to the entire world. China’s clan-based society became a society with social classes according to its own developmental rules. To ap- ply the Western model mechanically does not correspond with historical reality. By using the results of the new ar- chaeological discoveries to elucidate the origins of Chi- nese civilization and the history of the formation of civilized society in China, archaeologists and historians of China can make an important contribution to the study of the history of world civilizations. Introduction
- 33. Goa AP BERe Early Humans in China YAN WENMING AND WANG YOUPING uting the Pleistocene epoch the emergence of a vast area of stony desett, the Gobi, and the other arid landforms of Asia produced by the rise of the Himalayas and by glacials made the eastern parts of the Asian continent a relatively independent geographical unit. At the same time, several different climatic zones formed in China—the Qinghai-Tibet plateau zone, the northwest arid zone, and the eastern monsoon zone—and these became the main areas of early human habitation.' Environmental changes on the Chinese mainland during the Pleistocene, especially in the eastern monsoon zone, were influenced by global climatic changes. With the advent of the Pleistocene glacials, China experienced cy- cles of cold and warm periods. Owing to differences 1n latitude and distance from the ocean, these environmental changes gave rise to particular regional characteristics evident in sediment deposits and animal and plant fossils, as well as in the fluctuations in sea levels and the expansion and contraction of mountain glaciers of the early, middle, and late Pleistocene. During the early Pleistocene, the climate became colder, but the degree of change was not great. This has been determined by scientific comparison of oxygen isotope curves from loess strata and deep-sea cores, and from analysis of the fauna and flora. Lacustrine deposits were plentiful, loess Details, figure 1.13 (opposite) and figure 1.4 (above)
- 34. 12 | Major Paleolithic Sites in China | | wer [ 5 LJ Say | / ( f Fates | j vv &. [ ; aa al ; d ae se ea meal . ioe ee ail = {7 ! Ne Xianren Cave, + eee ~ ge Haicheng oJ oe ae 7 ’ Xujiayao , *Jinniushan * ° z Ny Shuidonggou e Upper Caves, V Zhoukoudian ? iq ° Dingcun ae pl J e Xiachuan SN. 4 e *, IE j Way antian SS Ag Ne : ty Tonglian 3 e j on Newey a oe gilang Mount Jigong® MRERTIGaTe eae ~ Te 7 ¢ Guanyin Cave ie y 2 e Yuanmu 5 ee. . e Baise Me port = au! , 500 0 500 1000 km el deposition was not great, and species characteristics of the fauna of south China were found at Nihewan and Gonewane- ling in the north. All this indicates that north China’s envi- ronments were still rather warm and moist and that dif ferences between the north and the south were not extreme. In the middle Pleistocene, significant climatic changes began to appear again, as is evident from a comparison of the oxygen isotope curves of loess and deep-sea cores. Dur- ing this period, the climate became gradually milder, but the environmental differences between north and south China were by then established. Fauna and flora typical of the south no longer appeared in areas north of the Qinling Mountains. The areas of loess sediment also expanded. E:arly Humans in China The late Pleistocene, which began during the last inter- glacial stage, was a globally warm period. Figure 1.1 shows the environment of east China in that period when high sea levels resulted in large-scale encroachment of the sea on coastal areas.* The red clay soil, characteristic of subtropical environments, advanced north of the Huai River. However, with the onset of the last glacial stage, sea levels subsided and the continental shelf was exposed over large areas: the Korean peninsula, Japan, and Tatwan were all connected to the East Asian landmass, and the northern boundary of the subtropical zone receded south of the Changsha-Nanchang area in south China (Gigy fz):
- 35. ~ sSouthérn 540k Islands J law pissun chenad | a fata oS 7 q as | (Nanchang Kunming * SSouthérn Islands |, 1.1. Paleogeography of coastal China in Late Pleistocene: the high sea-level period (about 1,270,000 years ago) and low sea-lev« period (about 180,000—150,000 years ago). 1.2. Paleogeography ofcoastal China at the peak of the last glacial stage. bathyal and continental slope shallow sea near-shore shallow sea northern limit of distribution of drab soil De northern limit of red weathering bed with iron manganese coating or concretion northern limit of laterite lake warm current cold current and littoral current southern limit of continual permafrost southern limit of discontinual permafrost and concentrated area of Mammuthus primigenius southern limit of sporadic permafrost desert loess | LE [J southern limit of loess paleo-river course and inferred paleo-river course is delta [a] glacier and high point of snow line calcareous sandstones (on the shelves)
- 36. 1.3. Incisors of Homo erectus from Yuanmou, Yunnan Province. 1.14 cm and 1.13 cm. About 1,700,000 years ago. The Earliest Humans in China The earliest human fossils and Paleolithic tools in China were all found in early Pleistocene deposits. About thirty stone tools and some animal fossils were discovered in the riverine deposits of the early Pleistocene at Xihoudu in Ruicheng County, Shanxi Province, and at Yuanmou in Yunnan Province two teeth of lomo erectus and several stone tools were discovered (fig. 1.3). The findings at these two localities are not rich, and opinions differ as to their age. A discovery that has excited even more controversy is the recent excavation at Renzi Cave in Fanchang County, Anhui Province. Since the excavation began in 1998, about one hundred stone artifacts and dozens of bone ar- tifacts have been reported. The stone artifacts include cores, flakes, and scrapers. The excavation ts still ongo- ing, but so far no hominid fossils have been found. Based on the associated faunal assemblage, the excavators be- lieve that these artifacts can be dated to 2—2.4 million years ago.’ If this is proved to be true, the find will repre- sent the earliest human remains so far unearthed in China. However, at present the discovery remains con- troversial, because the precise nature of the association between the artifacts and fauna is unclear, and more studies of the sediments still need to be done. In the 1970s, several fossilized early hominid teeth were found in early Pleistocene sediments in Jianshi County, Hubei Province. Researchers initially classified these teeth in the genus Alustralopithecus,* but recent research indicates they belong to early 7. erectus.’ More recently, hominid fos- sils were discovered in a cave in Wushan County, Sichuan Province, which borders on Jianshi County, Hubei Province. They included a broken left lower mandible, an Early Humans in China 1.4. Above, Archaeologists at the Gongwangling excavation site, 1963. Below, The area where the fossilized skull of Lantian Homo erectus was discovered. Gongwangling, Lantian County, Shaanxi Province. upper incisor, and two artifacts bearing clear, artificial marks. Numerous animal fossils of the early Pleistocene were also found. Dating by paleomagnetism and amino- acid racemization indicates this locality is about 2 million year's old.° Some paleontologists consider the mandible as possibly that of an ape, and the incisor as more possibly belonging to a later-period hominid. Discoveries of early Pleistocene human activity were also made in the Nihewan basin of north China. A joint team of Chinese and American scholars working at the Donggutuo site in the Nihewan area unearthed many stone tools and worked animal-bone fossils. Their findings have not yet been published, but Hebei Province archaeol- ogists have made similar discoveries at Cenjiawan—an- other early Pleistocene site near Donggutuo. Interestingly, the fragments of chipped stone artifacts unearthed in this roughly 5-square-meter area, once they had been fitted to- gether, made up twenty-one stone implements. These stone tool and animal bone finds have provided scholars with evidence of early Pleistocene hominid behavior.’ According to the results of recent chronometric stud- ies, coupled with our understanding of the chronology of
- 37. the early and middle Pleistocene period, hominid fossils from Lantian, discovered at Gongwanegling, Lantian County, Shaanxi Province, may belong to the early Pleis- tocene, approximately 1 million years ago.* Hominid fos- sils from Lantian have a low skull with thick bone walls and a cranial capacity of about 780 milliliters, characteris- tic of early 7. erectus (figs. 1.4 and 1.5). In nearby clay sed- iments in the same layer a number of stone artifacts were found. They included large pebble tools, such as chop- pers, large points, and hand axes, as well as small flake scrapers. The assemblage, as well as the raw materials and shaping techniques used, shares similarities with those of the Paleolithic cultures unearthed on the river terraces of south China during the past few years. The Small Tool Industry in North China As Donggutuo, Cenjiawan, and some other archaeological sites indicate, small flake tools were very common in the temperate zones of north China. Homo erectus pekinensis— so-called Peking Man—was important in this small stone tool industry. Fossils of this hominid and the related culture were discovered in Locality 1, a cave site at Zhoukoudian, in Fangshan County, southwest of Being (figs. 1.6 and 1.7). The excavations of Locality 1 started in the 1920s and have continued ever since. Six skulls and many other fossils of 1.5. A fossilized skull of Lantian Homo erectus and a reconstruction of the head. 1.6. A fossilized skull of Zhoukoudian Homo erectus pekinensis (“Peking Man’) and a recon- struction of the head. Early Flumans in China
- 38. 16 1.7. The site where Zhoukoudian Homo erectus pekinensis was discovered, at Zhoukoudian, Beijing. 1.8. Tools made by Zhoukoudian Homo erectus pekinensis. Paleolithic. Early Humans in China H. erectus, representing more than forty individuals, have been found so far. Thousands of stone tools, as well as a ereat number of animal fossils and traces of fire, were also excavated from sediments more than 30 meters deep. These hominids used vein quartz collected on nearby mountain slopes as the raw material for stone tools and were proficient at making such small tools as scrapers, points, and flakes (fig. 1.8). Large chopping tools were found mainly in the lower levels of the sediments. Homo erectus apparently lived in the Zhoukoudian area for at least 200,000 years. The lower cultural stratum be- gan to be deposited about 400,000 years ago, and the up- per stratum ends at about 200,000 years ago. The two main cultural strata represent the principal periods dur- ing which these caves were inhabited by hominids. Al- though human use of the cave lasted for a very long period, judging from the exceptionally thick ash deposit and the numerous artifacts recovered, the presence of early human life at this locality needs further study.? New research recently done by Chinese, Israeli, and
- 39. American scholars raises the question of whether there 1s direct evidence for in situ burning at Locality 1 in Zhou- koudian, as originally supposed. Analysis of the sediment from layer ro and layer 4 detected neither ash nor ash rem- nants. No charcoal was found at layer 10. Moreover, their evidence suggests that the sediments of layer 10 were not accumulated by human agency but laid by water. However, this study also found that burnt bones occurred in the same layer with stone tools. Therefore, they conclude with the cautious statement that although no direct evidence of campfires can be determined in Locality 1 at Zhou- koudian, the association of burnt bones and stone artifacts is suggestive of the use of fire by humans."° A cave site similar to Zhoukoudian Locality 1 1s lo- cated on an isolated hill on the plain at the lower reaches of the Liao River in Yingkou County, Liaoning Province. Figure 1.9 shows the excavation of a fairly complete fos- silized human skull there at Jinniushan (Mount Jinniu), and more than fifty postcranial fossil fragments belong- ing to the same individual were found in the autumn of 1.9. Excavation site of the fossilized skull of the Jinniushan hominid and other fossilized remains of the same individual. Bones of thick-jawed deer, rhinoceroses, and other animals were discovered in the same geological stratum. Jinniushan, Yingkou County, Liaoning Province. Early Humans in China
- 40. ro8y. Meticulous exeavation carried out over several vears revealed that the door ot these hominids’ habitation area consisted of ash, stone implements, and animal bone fragments, Jinniushan hominids also used small stone tools made trom vein quartz, The central teature ot the eave they lived in was piles of ash, The hominid tossils found at Jinniushan are about 280,000 years old, that is, contemporaneous with the later Zhoukoudian hominids, but the Jinniushan fossil shown in figure 1.10 reveals more advanced physical teatures."' Important discoveries ot early 77. sapere remains in clude the tossils trom Dal and the associated stone tool industry in Shaanxi Province. Uranium series dating shows that the Dali hominid lived about 200,000 years ago, whereas paleontological and pollen analyses indicate that the site dates to the end of the middle Pleistocene, associated with a dry, cool climate, The cranial capacity of the Dali hominid was slightly greater than that of the average Zhoukoudian #7. ervetwy thus, the Dali hominid may be properly classitied as early #2. sapiens. The Dali stone industry is similar to that of Zhoukoudian /7. eve ‘us, With small scrapers as the principal tool form, as well as a number ot pointed implements."* number of localities with lithic remains found at Dingeun Village in Miangten County, Shanxi Province, were once regarded as representative of the middle Pale olithic in north China. However, recent research indi cates that these localities diftered in date and their cultural teatures varied significantly, For instance, at Lo cality 54:10o, small tlake scrapers were the primary tools, the tauna indicates a grassland habitat, and its age is pos sibly in the late Pleistocene. Some localities where large stone tools prevail, on the other hand, were probably sit uated in a warm and moist forest habitat and were possi bly earlier, Judging trom the typology of the stone implements, the environment and distribution of the lo calities in Dingeun Village were similar to those of the early Paleolithic stone tool industry of the Lantian area, which indicates that Dingcun Village had close relations with the pebble tool industries of south China,'* For the early stage of the late Pleistocene, the repre sentative site of the middle Paleolithic culture in north China is Nujiayao, located in the western part of the Yangyuan basin. A number of early AZ. sapiens fossils, a > large number of stone implements, and animal fossils were found at this site (fig. 1.11). The transitional nature ot the Xujiayao stone tool industry, apparently linking the ithic cultures of north China, is espe- cially noteworthy. Small scrapers still prevail, but end -rCranerc the ey > scrapers, the principa tool type in late Paleolithic cul-
- 41. IfTES, AlSO ne ws , ¢ y appear. Primitive prismatic { cores are ajso j found at Xujiayao. Viewed as a whole, the technology and tool forms at Xujiayao resemble those that had been in this area in earlier periods. At the same time, hy corer the ‘Krit ywever, the Xufiayao industry exhibits unique features, it such as numerous stone spheroids (sometimes called bo Shi Pape he RUE ae So la which were probably u ), | sed in hunting. 5d) O) The Pebble Tool Industry in South China | of groups of localities with Paleolithic arti facts in south China in recent /EALs 18 OF Major importance I nese Paleolithic archaeology. The absolute dates of ll difficult to ascertain, in part CAUSE f ssils preserve poorly in south China’s acidic soil. Most of these Sites were unearthed in deposits of the mid leistocene, and are distributed over an area stretching from the Baise basin of Guangxi, near the Tropic of Can- River valley south of the Oinling Moun fains in Sndaanxi. SO far, ive relativels concentrated areas L- Leer entific | In acl lestan #0 the te arene mer ave DEES ad IT1EC NM 2ddaition to tn WO areas men of the Li River in Hunan River area of southern Anhut ince, and the middle valley of the Han River in north- tended north as far as the Lantian area at the southern end of North China. (North China includes Hebei and Shanxi Provinces and the Beijing and Tianjian municipal- ities.) Paleoenvironmental studies indicate that the Lan- tian hominids lived in a subtropical climate (see fig. 1.1). The banks of the ancient rivers and neighboring areas in the subtropical zone must have been rich in fauna and flora, the hominids’ source of food, while the pebbles were the main, or perhaps the only, source of raw mate- tial for making tools. Pleistocene people hunted and gathered food, made stone tools, and built camps on river banks, thus leaving behind many sites or localities. Stone tool assemblages found in these places mainly con- sist of heavy-duty tools such as choppers and points made directly from pebbles. Hand axes and stone sphe- roids have been found in some localities. Small flake im- are rare. The nature of these > plements, such as scrapers stone tool industries and the distribution of their sites reflect early human adaptation to a warm and moist envi- ronment in south China. Mount Jigong in Jiangling County, Hubei Province, is a typical representative of this kind of site. Located on the second terrace on the northern bank of the Yangtze River, Mount Jigong has an upper and a lower deposit with cultural remains. The upper stratum is composed of the remains of a flake stone tool industry of a later pe- riod, and the lower cultural stratum contains typical peb- ble tool industry remains. The assemblage of stone implements includes choppers, hand axes, spheroids, and a few scrapers. The floor area of the lower cultural stra- tum reveals the living conditions of early inhabitants. In tne center of an excavated area Of about 500 square me- ters are four or five circles consisting of pebbles and flakes (fig. 1.12). At the center of each circle is a space Early Humans in China
- 43. I.5—2.5 meters in diameter on which a few stone imple- ments may be seen in some instances. Outside these cir- cles there are at least two areas used for making stone tools. It is not yet clear what role these stone circles played or what they mean." A series of fossils of 7. erectus and early 1. sapiens has been found in south China. Two crania of 7. erectus were unearthed in the third terrace of the Han River in Yunxian County, Hubei Province. Various middle Pleistocene ani- mal fossils commonly found in south China, and the re- mains of the pebble-tool industry mentioned above, were 16 Fossils of H7. erectus were also found also unearthed here. in the early 1980s in Hexian County, Anhui Province. Ura- nium series dating has shown that the fossils are approxi- mately 200,000 years old. They were discovered in a small cave deposit, together with animal fossils, but no artifacts were found. The Hexian hominid fossils exhibit features typical of 7. erectus, but they also display regional differ- ences when compared with Zhoukoudian /7. erectus. Hominid fossils, together with a number of animal fossils, were also found in Chaoxian County, some 50 kilometers from Hexian County, and uranium series dat- ing again indicates an age of approximately 200,000 years, but these hominids bear obvious features of early 1. sapi- ens.'’ Archaeological surveys conducted in recent years have also found a typical pebble too! industry in similar deposits near the locality where the Chaoxian County ho- minid was discovered.'® Two crania of H. erectus were un- earthed recently on the outskirts of Nanjing, Jiangsu Province. The associated fauna indicate a middle Pleis- tocene age.'? Some of these hominids were associated with the pebble tool industry, and they were clearly the makers of these tools. Only a small number of archaeological cave sites have been found in the Yunnan-Guizhou plateau in southwest China. Province, is the first such site found in south China, and it Guanyin Cave in Qianxi County, Guizhou has yielded the most abundant materials. The 5-meter- thick sediments are composed of two distinct layers— early and late. According to recent dating, the early period dates from the beginning of the late Pleistocene or perhaps slightly before, that is, about 120,000 Of 200,000 years ago, and the late period is about 50,000 years ago.*° Although these two phases span a considerable period, there are no between their cultural Silicified limestone near the site served as the raw material obvious differences features. from which flakes were made by hammering. Most of the stone tools are small flake scrapers and points. The num- ber of pebble or core choppers is small. The artifacts, which consist mostly of various tools and animal bones 1.14. Bone implements. Xianren Cave, Haicheng County, Liaoning Province. Late Paleolithic. 21 wotked by humans,*" are mainly distributed in the cave mouth. Only a few sites like this have been found, and they are apparently of another cultural type, possibly adapted to the mountainous areas of southwest China. The Emergence of Modern Humans With the appearance of HZ. sapiens sapiens, the Paleolithic culture on China’s mainland reached the peak of its de- velopment. The Upper Cave (Shandingdong) hominids found at Zhoukoudian are representative of FZ. sapiens sapiens in north China (fig. 1.13). A great many ornaments were found in a late Paleolithic grave here, and the use of red ochre is evident, which indicates that the Upper Cave population was at the same level of cultural development as hominids in other parts of the ancient world. The lat- est C14 dating indicates that Upper Cave hominids lived 27,000 years ago.*” Some research by physical anthropol- ogists suggests that they belonged to the Mongoloid race. Interestingly, some characteristic Mongoloid features seem to exist not only in Upper Cave hominids but also in eatly H1. sapiens and even earlier in the fossils of 17. erec- tus found at Zhoukoudian. As 1s typical of late Paleolithic graves, the Upper Cave (Shandingdong) did not yield many stone artifacts. The discovery of the Xianren Cave site in Haicheng County, Liaoning Province, has compensated for this gap. Xian- ren Cave is a site in the mountains of southern Liaoning with a deposit of several meters. It has yielded thousands of stone artifacts, a great number of fossilized animal bones, and well-crafted bone implements (fig. 1.14). Early Humans in China
- 44. N i Most of the stone implements are made of quartz, and their forms and the production technique used are much the same as those of the early Paleolithic. Only bone spearheads, harpoons, and needles mark the advanced cultural and technological level of the time. Some late Paleolithic cave sites in eastern North China, represented by the Zhoukoudian Upper Cave and Xianren Cave, may teflect common economic and cul- tural patterns. Inhabitants of these sites inherited most of the elements of the early stone tool industry of the area and continued to use relatively simple stone tools, but their higher level of development is indicated by the man- ufacture of sophisticated bone tools.*? Cave deposits and other remains show that these cave dwellers lived in a rel- atively warm and moist environment before the last gla- cial maximum. Their settlement areas had resources rich enough to sustain a long period of cave dwelling by fishing, hunting, and gathering. In contrast to the relatively stable cave dwellers in eastern North China, the inhabitants of the grass plains of western North China developed an advanced hunting culture. They also inherited the early Paleolithic cultural tradition of North China and, using the more advanced hunting economy, took the manufacturing techniques of Paleolithic stone implements to their highest level in this region. At Salawusu, Shiyu, and a number of other earlier localities, the influence of early small stone tools can be clearly seen. At this time a variety of small stone tools were still shaped mainly by hammering. About 24,000 years ago, a microlithic technology sud- denly came to the forefront in some areas of southern Shanxi Province. Typical microlithic sites appeared one after another at Xiachuan, Xueguan, and other localities. Their stone tool industry included various types of mi- crocores, microblades and scrapers, side scrapers, and points, as shown in figure 1.15. With the onset of the last glacial maximum, the grasslands of North China under- went an unprecedented expansion, and these microlithic industries spread rapidly. The Hutouliang localities in the Nihewan basin are representative of this kind of site. Late Pleistocene tem- porary camps, stone tool workshops, areas for the butchering of game, and hunting observation points were found in the vicinity of Hutouliang. Among the thousands of stone artifacts uncovered were numerous microblades, wedge-shaped and conical microcores, and various types of end scrapers, side scrapers, points, and burins. The ash piles, stone artifacts, and worked animal bones in the camps all provide evidence of the living con- ditions of the people of this period.*4 Early Humans in China Shuidonggou, in Lingwu County, Ningxia Hui Au- tonomous Region, on the western border of North China, is a typical site of the blade industry. A large num- ber of blades and various blade scrapers and points have been found there. Because of the special nature of the the Shuidonggou stone tool industry has drawn much atten- stone tool assemblage uncovered, origin of tion from both Chinese and foreign scholars. Some con- sider that these tools were the product of cultural exchanges between East and Southeast Asia and areas to the west of China, including Central Asia, Europe, the Middle East, and Africa, while others look for clues in the earlier, indigenous Paleolithic culture. Technical analysis of the absolute chronology and paleoenviron- mental studies all indicate that the Shuidonggou culture falls within the last glacial maximum. The characteristics of the cultural remains found there also suggest a subsis- tence based mainly on hunting.*? In South China (the Guangdong-Guangxi area), unlike in North China, the emergence of H7. sapiens sapiens did not bring about a marked change in the Paleolithic cul- ture. The specimen discovered in a cave in Liujiang County, Guangxi, is the earliest /7. sapiens sapiens found in South China (fig, 1.16). Although the Liujiang hominid exhibits many Mongoloid anatomical features, he pos- sesses physical features that distinguish him from the Up- per Cave hominid, indicating that they represent two different regional types—the former southern, the latter northern.*® Local geographical variations, already appar- ent during the period of FZ. erectus, became very obvious by the late Pleistocene. The animal remains found in as- sociation with the Liujiang hominid are of the Az/uropoda- Stegodon faunal assemblage that was typical for South China in this period. Unfortunately, no cultural remains have been discovered in association with the Liujiang ho- minid, who must have lived in a temperate period before the last glacial maximum. At this time in south China’s Paleolithic culture, pebble tools predominated, as is evi- dent at Baojiyan in the Guilin region of Guangxi and at Ziyang site B in Sichuan. The fact that climatic and environmental changes in Scouth China were far less dramatic than in the north, making related changes in fauna and flora relatively in- conspicuous, may be a major reason for the prolonged use of pebble tools. This situation changed with the onset of the last glacial maximum. When changes in the envi- ronment required new patterns of adaptation, /7. sapiens sapiens proved capable of adapting to a wide variety of physical conditions. This ability to adapt led to a number of different paths of development in late Paleolithic
- 45. 1.15. Microlith cores and blades. Xiachuan, Qinshui, Shanxi Province. Late Paleolithic. Institute of Archaeology, Shanxi Province. South China. For instance, in the Sichuan basin alone, there are two distinct cultural patterns: a large flake tool industry found at Tongliang, in a valley in the center of the basin; and the Fulin culture, represented by the dis- coveries at Fulin in the mountainous areas that border on the basin, with an industry similar to the small stone tool industry of North China. The former obviously retains traces of a local cultural tradition. Large choppers still constituted a high percentage of the industry, and the technique of making stone tools from pebbles was still in use, although the majority of stone tools are scrapers made of flakes. The Fulin culture was probably influenced by the small stone tool industries of north China. A wide variety of small stone tools are made of flint, and their assemblage is dominated by scrapers. Other tools also include end scrapers, points, and burins. A more representative late Paleolithic culture in South China is the Maomao Cave site in Xingyi County, Guizhou Province, where flakes were removed by a unique acute-angle percussion technique and subse- quently shaped into various forms of stone tools, includ- ing well-formed points, scrapers, and so on. Moreover, 1.16. Fossilized skull of the Liujiang hominid, 17. sapiens sapiens, found in a cave in Liujiang County, Guangxi Zhuang Autonomous Region. Early Humans in China 2
- 46. 24 1.17. Stone scraper (/e//) and point (righ/). Maomao Cave, Xingyi County, Guizhou Province. Late Paleolithic. 1.18. Deer-horn implements. Maomao Cave. Late Paleolithic. Early Humans in China drilling and polishing methods were used on bone arti- facts, including knives and spades, as shown in figures jesierhr taXe lis mele The ancient populations of China and their cultures reached a climax at the end of the late Pleistocene after a long period of development. In this relatively indepen- dent region of East Asia, the evolution from the /7. erectus to 7. sapiens sapiens shows obvious continuity. A number of transitional hominid fossils have been found over the past few years, including the Jinniushan, the Dali, and the newly discovered Nanjing hominids —all indicating that the emergence of modern humans in East Asia was the result of local evolution. The Paleolithic cultures of China created technologies and traditions parallel in time but different in nature from those of other areas of the ancient world. Although in re- cent years hand axes have been found in areas tradition- ally associated with the pebble tool industries, and even the Levallois technique has been recorded among them, such features never became major elements in the Pale- olithic industries of China. As a result of the different cli- matic conditions in north and south China, early humans in these regions began to exhibit physical differences dur- ing the period of HZ. erectus, which became more pro- nounced by the time of 7. sapiens sapiens. North-south differences in cultural development also became more pronounced, producing unique features in the two re- gions. From the early period of this epoch, North China was dominated by small flake stone tool industries,** and on this foundation, several types of technology developed. In South China, the pebble tool industry had always been
- 47. dominant. Although the mountainous areas of the west developed a cultural pattern characterized by small scrap- ers, pebble tool industries in most areas of south China persisted after the emergence of H7. sapiens sapiens. Only with the onset of the last glacial maximum did flake in- dustries of various patterns begin to appear in this re- gion. All these developments illustrate the unity and multiplicity of these early humans and their cultures, which were to have a profound impact on the Neolithic peoples and cultures that followed.*? Although the early cultures of China developed along their own distinctive paths, they experienced phases that can be compared with those undergone by hominids in other regions of the ancient world. With the emergence of FH. sapiens sapiens, and in the last glacial period of the Pleis- tocene in particular, culture and technology reached their peak. A variety of new techniques, such as polishing, per- forating, and dyeing, appeared in quick succession. Human society became more complex, as can be seen, for exam- ple, in the use of ornaments and the ritual burial of the dead. More important, hominids developed a greater ca- pacity to adapt to new environments. In response to the increasingly complex and diverse physical environment of the last glacial stage, they evolved a variety of cultural pat- terns which together provided the necessary conditions for the emergence of a new phase of development. Early Humans in China 2 5
- 49. PA wAg eo, ak a2 Lhe Beginning ofFarming YAN WENMING hina entered the Holocene epoch some 12,000-10,000 years ago. The climate began to turn warm, rainfall increased, glaciers gradually melted, and sea levels rose. Southern species of animals and plants that needed a warm habitat spread north, while those better suited to a cold climate moved still farther north. Some species became extinct because they could not adapt to the changing environment. There were some small-scale oscillations: for ex- ample, east China experienced five cold periods and five high-temperature periods during the Holocene, interspersed by several warm periods and dry- cool periods." However, even in the new cold periods, the climate was far milder than it had been during the glacial stage of the late Pleistocene, bring- ing new opportunities and better conditions for human development. These environmental changes varied from region to region. Generally speaking, areas in the low-latitude south began to change earlier, and the difference was slight, while areas in the north began to change later and more sharply. Northeast China was essentially tundra 10,300 years ago. The climate was dry and cold (with temperatures about 5 degrees Celsius lower than to- day’s) and there were only tundra and frigid-zone plants, ice-age animals, and frozen earth. When this region entered the Holocene epoch about Details, figure 2.1 (opposite) and figure 2.14 (above)
- 50. 800 yeats ago, the weather began to turn nnual precipitation increased from 300-400 Warmer. millimeters to 500—700 millimeters and plains and marsh- lands developed black clay or peat. However, the temper- ature remained quite low. The lower reaches of the three rivers in the northern plains were still frozen tundra, and so unfavorable to the development of agriculture. Northwest China and the Qinghai-Tibetan plateau, lo- cated in the inner part of the Asian continent and with high latitudes and the highest altitudes in China, have a dry and cold climate. Large areas of desert had already appeared in the northwest during the late Pleistocene and with the warmer climate of the Holocene, a number of lakes appeared. Owing to the continuing rise of the Hi- malayas (at least 500 meters during the Holocene) and the barrier they formed to warm and wet airflows from the Indian Ocean, most of this region remained desert-grass- land and so was also obviously not a hospitable area for the origin of agriculture. Though south and southwest China have long been regarded as the areas where rice cultivation originated, evidence for this is still insufficient. Because the environ- mental changes that came with the Holocene were rela- tively slight, it is difficult to identify the precise beginnings of the epoch in this region, where the South Asian torrid zone meets the subtropics. During the Holocene, annual variations in temperature were small — many areas did not have a distinct winter season, and the annual rainfall was 1,500-2,000 millimeters. The region was very rich in animal and plant resources, especially in the wide distribution of wild rice (Oryza spp.; fig. 2.1). However, rich resources are not generally a stimulus for development in hunting and gathering societies. On the contrary, they provide the best of reasons for keeping to old ways of life. In south China, the differences between the early Ne- olithic and the late Paleolithic cultures were relatively small. During the early Neolithic period, caves were still widely used as dwelling places. The majority of stone im- plements were chipped tools, only a few of them rudely polished, and pottery was rarely seen. Hunting and gath- ering was the norm, and no traces of agriculture have been discovered. One evident change was that mollusks and shellfish were now gathered as food; thus near the seashore, on river banks, and around lakes, a great num- ber of shell mounds were formed. Shell remains have even been found in cave dwellings. If, as the American geographer C. O. Sauer has proposed, the earliest agricul- ture was a discovery of the fishing peoples of Southeast Asia and south China, then south China cannot be ruled The Beginning ofFarming out as one of the centers of origin of agriculture.* But whether Sauet’s theory can be established by archaeolog- ical evidence is still very problematic. Climate Change and Agriculture Microlithic sites dating from the transition between the Pleistocene and Holocene epochs have been found in many places in north China, indicating that people’s abil- ity to adapt to new environments had developed and their subsistence techniques had greatly improved. As al- ready noted, after the beginning of the early Holocene, temperatures became notably warmer, rainfall increased, plains turned into marshland, and rich peat beds devel- oped. For example, the earliest Neolithic site so far found in north China, Nanzhuangtou, located in Xushui County, Hebei Province, was found under a peat bed. Technical and cultural changes that had already begun, coupled with the amelioration of the environment during the early Holocene, gave a major impetus to cultural de- velopment. The increase in population that followed on these changes obviously increased the need for food, and its relative scarcity in winter motivated humans to cultt- vate species of wild plants that were edible, easy to plant, and convenient to store. Because of the characteristic fea- tures of the natural environment in north China, such as loess, the semi-moist and semi-dry monsoon climate of the temperate zone, and the widespread distribution of the progenitors of foxtail millet (Se/aria ttalica) and broom- corn millet (Panicum muiliaceum), it has long been regarded as the original center of these dry-land crops. Many leg- ends about the origins of agriculture are located in this area: for example, that Shen Nong (Divine Farmer) in- vented agriculture and taught people how to farm, and that Hou Ji (Lord Millet) “sowed one hundred grains.” Archaeological finds prove that from at least 8,500—-8,000 years ago, dry-land agriculture, with millet as its main crop, was considerably advanced in north China. On the basis of the great amount of millet-chaff ash and the relatively developed farming tools so far discovered, the origin of agriculture in this area points to an even ear- lier date. Foxtail millet and broomcorn millet continued to be the main crops in north China for several millennia after that. It is for these reasons that it is possible to argue that north China was the center of development of dry- land millet agriculture. After it entered the Holocene epoch, central China ex- perienced fewer climatic fluctuations than north China, but here, too, temperatures rose and the annual rainfall
- 51. — Major Early Agricultural Sites in China iat ies Say, f oi aS f J (pe coalf SN ens tell a ti <7 a Fate ll &, tSs u ? gw ] s. s wy S X * eee cml i eo sora as St yn ] ie dm a js LOOMS ha) 500 0 500 1000 km e Houli e Laoguantai Mi e Beixin ¢ Peiligang eJiahu Chengbeixi g o NS: ete Sains * Xianren ee 2 eles icin a y Pengtoushan e *Yuchanyan increased to overt 1,000 millimeters. Many lakes were formed on both sides of the Yangtze River, the biggest of which were Yunmengze and Penglize, and centripetal water systems formed around the larger lakes. Rapid sed- imentation produced vast fertile fields along the rivers and around the lakes, and some areas turned into marshes. Wild rice growing in the Yangtze River valley is histor- ically documented. Today, common wild rice still grows in the Jiangxi and Hunan region and the historical records suggest an even broader distribution along the Yanetze River valley. Recently, archaeologists found a small amount of wild rice mixed in with a great amount of cultivated rice remains at the Hemudu site (a Neolithic culture of 7,000-6,500 years ago) in Yuyao, Zhejiang Province. It is therefore thought that common wild rice also grew in central China during the early Holocene, though not as extensively as in south China. In central China, the four seasons of the year were sharply marked, with distinct differences between sum- mer and winter temperatures and rainfall. Throughout the prehistoric period, the cultures in the Yangtze River valley were relatively well-developed. With the advent of the Holocene, the improved environmental conditions gave new impetus to cultural development and resulted in a rapid increase in population. Under hunting and gathering subsistence conditions, the number of people that a square kilometer can support is limited. To reduce the risk of a food crisis in winter, people needed to in- crease the quantity of produce which was both edible and storable for a long period. Common wild rice was natu- rally the first choice because it fulfilled both these re- The Beginning ofFarming
- 52. locally available, and was already well ter of the paddy system of agriculture that has dominated il people. Current archaeological evidence _ rice cultivation in this part of the world. dicates that about 12,000 years ago, rice began to be These two original centers of agriculture in China ited, and approximately 9,000—8,000 years ago, rice gradually evolved into two distinct agricultural systems in sively cultivated in central China, which has re- later times. North China mainly planted foxtail millet and mained an important center of rice growing ever since. broomcorn millet, gradually adding soybeans, sorghum, Rice cultivation gradually spread from there to south wheat, barley, vegetables, melons, fruit, and hemp, China, southwest China, north China, and even to north- thereby creating a dry-land agricultural system. In central east Asia. Central China was, therefore, the original cen- China, on the other hand, besides planting rice as their 2.1. Wild rice with a strong root system and long perennial o 2 (es) viability growing in Boluo, Guangdong Province. 30 © Lhe Beginning of Farming
- 53. main crop, people may also have cultivated yams, beans, melons, fruits, and vegetables, and possibly also planted mulberry trees and raised silkworms, thus establishing the paddyfield system of agriculture with rice as the main crop. Because these two areas are closely connected geo- graphically, their two systems naturally interacted exten- sively. Rice was gradually planted in some well-irrigated areas with an abundant supply of water in north China, while foxtail millet and broomcorn millet were planted in some areas of central China where water supplies were inadequate. Dry-Land Agriculture in North China So far the earliest known farming cultures in north China include the Cishan-Peiligang in Hebei and Henan, the Laoguantai in Shaanxi and Gansu, the Houli-Betxin in Shandong, and the Xinglongwa on the borders of Liao- ning and Inner Mongolia. These cultures, which all date back to 8,500-7,000 years ago, share many characteristics. Most of their inhabitants lived 1n foothills or on highland plains, and generally in what are thought to be kinship groups. Defense ditches surrounded some of the settle- ments of the Xinglonegwa culture, and there were 30—40, ot even up to 100 houses inside a settlement (fig. 2.2).+ The ground plan of the houses was roughly square, and they were semi-underground; most were 30—40 square meters in area, though some of the large houses cover more than 100 square meters. On the basis of the num- ber and internal layout of the houses, it is estimated that the population of each village was between 100 and 300 people. The houses of the Houli culture were square, 2.2. Settlement site with surrounding ditch. Xinglonewa, Chifeng, Inner Mongolia. NCS Ls semi-underground, and small, while those of the Cishan- Peiligang and Laoguantai cultures were round and small. These people engaged in a variety of subsistence activi- ties, but traditional hunting and gathering remained impor- tant. Deer was the most common prey. Agriculture had clearly developed beyond its initial stage, since the agricul- tural tools recovered are well made and the range of stored crops was eteat. The farm implements used to turn up the soil were mainly tongue-shaped stone spades, which were found at many locations in large numbers. Stone hoes were found only at Xinglongwa and a few other sites (fig. 2.3). The Cishan-Peiligang culture had the most developed har- vesting tools. Not only were their stone sickles well pol- ished, but most of them were toothed. In shape they were similar to the bronze and iron sickles of later ages, and they must have been quite efficient (fig. 2.4). Grinding stones 2.3. Stone agricultural implements of the Cishan- Peiligang culture: /ff, tongue- shaped spade from Peiligang, Xinzheng, Henan Province; middle, shouldered spade from Shuiquan, Jiaxian County, Henan Province; right, hoe-shaped implement from Xinglongwa, Chifeng, Inner Mongolia. The Beginning ofFarming
- 54. 2.4. Stone sickle of the Cishan-Peiligang culture. 20.6 cm long. Shuiquan, Jiaxian County, Henan Province. and rollers were already prevalent. The stones were usually in the shape of a clog—a rounded rectangle with three or four horizontal bars for legs. They were 5o—70 centimeters long, and the workmanship was excellent (fig. 2.5). By now the cultivated crops were mainly foxtail millet and broom- corn millet, remains of which were found in Hebei, Henan, Shaanxi, Gansu, and Liaoning Provinces. We know that tape was planted in some areas because carbonized rape- seed has been found in storage pits. More than soo rectan- gular storage pits were found at the Cishan site, Wu’an County, Hebei Province.’ Of these, over 80 contained the remnants of decayed millet (fig. 2.6). Judging from their di- mensions, each pit had the capacity to hold 1,000 kilo- erams of grain, evidence that grain production had reached a relatively large scale. Domesticated animals of this period included pigs, chickens, and dogs. Pigs were raised in great numbers and had already become a main source of meat. Their impor- tance is attested to by both skeletons and clay figurines, and pig mandibles are often found as part of grave fur- nishings. Chickens are the only domesticated fowls so far discovered. Besides the subsistence activities discussed above, the manufacturing of stone implements and pottery, spin- ning, and weaving had all become important elements of the economy. Pottery was made with molds or by coiling. Cooking utensils included jars and pots. Ding (three- legged cooking vessels) were found at some sites. Drink- ing and eating utensils consisted mainly of bowls; for storage there were /u (jars) and guan (pots). Although the variety was not great, all the vessels needed for daily do- mestic use wete present (fig. 2.7). All the pottery was hand turned, mostly by using a coarse and sandy paste. Kiln temperatures were probably 2.5. Stone quern, 68 cm long, and roller of the Cishan-Peiligang culture. Peilizang, Xinzheng, Henan Province. Henan Museum. The Beginning of Farming
- 55. Another Random Document on Scribd Without Any Related Topics
- 59. The Project Gutenberg eBook of On-Line Data- Acquisition Systems in Nuclear Physics, 1969
- 60. This ebook is for the use of anyone anywhere in the United States and most other parts of the world at no cost and with almost no restrictions whatsoever. You may copy it, give it away or re-use it under the terms of the Project Gutenberg License included with this ebook or online at www.gutenberg.org. If you are not located in the United States, you will have to check the laws of the country where you are located before using this eBook. Title: On-Line Data-Acquisition Systems in Nuclear Physics, 1969 Author: National Research Council . Ad Hoc Panel on On-line Computers in Nuclear Research Release date: April 29, 2013 [eBook #42613] Most recently updated: October 23, 2024 Language: English Credits: Produced by Mark C. Orton, Paul Marshall and the Online Distributed Proofreading Team at http://www.pgdp.net *** START OF THE PROJECT GUTENBERG EBOOK ON-LINE DATA- ACQUISITION SYSTEMS IN NUCLEAR PHYSICS, 1969 ***
- 61. On-Line Data-Acquisition Systems in Nuclear Physics, 1969 Ad Hoc Panel on On-Line Computers in Nuclear Research Committee on Nuclear Science National Research Council NATIONAL ACADEMY OF SCIENCES Washington, D.C. 1970 This is a report of work under Contract NSF-C310, T.O. 47 between the National Science Foundation and the National Academy of Sciences and under Contract AT(49-1)3236 between the U.S. Atomic Energy Commission and the National Academy of Sciences. Available from Committee on Nuclear Science
- 62. 2101 Constitution Avenue Washington, D.C. 20418
- 63. PREFACE The first digital electronic device employed to collect nuclear data was the binary electronic counter (scaler) of the 1930's. In the next decade single and multichannel pulse-height analyzers appeared, still using vacuum tubes. In the 1950's the development of multichannel analyzers continued vigorously, with vast improvement of the analog-to-digital converter sections and with the introduction of computer-type memories, based first on acoustic delay lines and a short time later on ferrite cores. The replacement of vacuum tubes by transistors beginning in the latter half of the 1950's accelerated the pace of development and application of all types of electronic laboratory instruments. The 1960's was the decade of the computer. Before the 1960's almost no on- line computers were used in nuclear research, but since about 1962 the computer has moved into the nuclear laboratory. It provides the research worker with an immensely flexible, powerful, and accurate tool capable of raising the research output of a laboratory while eliminating the most tedious part of the experimental work. The phenomenal speed of development of computer hardware, software, and methodology contributes to the difficulty experienced by everybody involved in decision-making processes regarding data-acquisition systems. Since the cost of a computer system is often a sizable fraction of the total cost of a new laboratory, there is urgent need for a set of guiding rules or principles for use by a laboratory director planning a system, a reviewer going over a proposal for support, or a potential funding agency considering proposals and reviews. The purpose of this report is to assist in filling this need. The material presented is current through 1969. Although we deal with a field that is developing rapidly, we hope that a substantial portion of the material covered will have long-lasting value. The report was prepared by the Ad Hoc Panel on On-Line Computers in Nuclear Research of the Committee on Nuclear Science, National Research Council. Appointed in March 1968, the Panel first met in Washington, D.C., on April 22, 1968. The original members of the Panel were H. W. Fulbright, H. L. Gelernter, L. J. Lidofsky, D. Ophir (through late 1968), L. B. Robinson, and M. W. Sachs. In
- 64. June 1968, this group prepared an interim report. L. J. Lidofsky was on sabbatical leave in Europe and therefore could not participate during the academic year 1968-1969. Early in 1969 J. F. Mollenauer and J. Hahn joined the Panel. The Panel has reviewed the present state of the field and has attempted to anticipate future needs. We have agreed on many important matters, including especially useful design features for computers employed in data acquisition, as well as types of organization of data-acquisition systems suitable for various purposes, types of software that manufacturers should supply, and approximate costs of systems, and we present a number of recommendations in these areas. However, the Panel makes no recommendation on standards for computer hardware, such as logic levels and polarities, because of a conviction that these are now rapidly being established as a result of sound engineering progress and the pressure of economic competition in the fast-moving computer business. Throughout this report we have expressed opinions based on our own experience and on the best information at our disposal. The nature of the report seemed to demand some discussion of properties of specific computers by name. We have tried to be neither misleading nor unjust in our evaluations. We wish to thank everyone who has aided us, especially P. W. McDaniel, C. V. Smith, and G. Rogosa of the U.S. Atomic Energy Commission and the many scientists in AEC-and NSF-sponsored laboratories who supplied the basic data on which the economic survey chapter is based. We are indebted to several members of the staff of the Department of Physics and Astronomy of the University of Rochester for assistance in the preparation of the manuscript, especially Mrs. Brignall and Mrs. Hughes. We also received initial directions and many helpful suggestions from D. A. Bromley, Chairman of the Committee on Nuclear Science, F. S. Goulding, Chairman of the Subcommittee on Instrumentation and Methods, W. S. Rodney and P. Donovan of the National Science Foundation, and Charles K. Reed, Executive Secretary of the Committee on Nuclear Science. H. W. Fulbright, Chairman H. L. Gelernter J. F. Mollenauer J. Hahn L. B. Robinson L. J. Lidofsky M. W. Sachs
- 66. CONTENTS 1. THE TASKS AND THE COMPUTER 1 A. Introduction 1 B. The Tasks 2 C. The Computers 3 D. Matching Computers to Tasks 5 E. On Characteristic Features of Computers and Related Equipment 6 2. DATA-ACQUISITION SYSTEMS 16 A. Introduction 16 B. A Small Time-Shared Data-Acquisition System Based on a PDP- 7 Computer 19 C. A Small System Based on a PDP-8 Computer 23 D. A Medium-Sized On-Line Computer System 28 E. A Large System Based on a Single Computer (The Yale-IBM Nuclear-Data-Acquisition System) 32 F. Multiple-Computer Systems 39 G. A Process-Control System: The Brookhaven Multiple Spectrometer Control System 48 H. Relationship to a Remote Computing Center 54 3. A REVIEW AND ANALYSIS OF EXPENDITURES 58 A. The Nature of the Data 58 B. Breakdown of Data for Analysis 59 C. Types of Computers 61 D. Some Total Costs 61 E. Breakdown of Costs by Systems 64 F. Rotating Memory Devices 65 G. Systems On-Line with Computing Centers 65 H. Anticipated Future Expenditures 65 I. Investment in Accelerators, Computer Systems, and Laboratory Budgets 66
- 67. J. Process-Control Application 67 4. SUMMARY AND RECOMMENDATIONS ON SYSTEM PLANNING 68 A. The Need for On-Line Computer Systems 68 B. Where Should Large-Scale Calculations Be Done? 69 C. Exercising Economic Judgment in Planning 70 D. On the Utility of Small and Medium-Sized Computers 71 E. Growth Considerations 71 F. Short Summary of Conclusions Regarding System Planning 73 Appendix A: TABLES OF PROPERTIES OF SMALL AND MEDIUM-SIZED COMPUTERS 79 Appendix B: BACKGROUND INFORMATION FOR CHAPTER 3, A REVIEW AND ANALYSIS OF EXPENDITURES 86
- 68. Chapter 1 THE TASKS AND THE COMPUTERS A. INTRODUCTION On-line data-acquisition computer systems are made in a wide range of types and sizes. In all cases at least one electronic computer is involved—a stored- program machine—because wired-program devices such as pulse-height analyzers are not considered to be computers. The rest of the system typically consists of input/output (I/O) devices such as analog-to-digital converters (ADC's), printers, cathode-ray oscilloscopes, plotters, and control devices, which may include, in addition to the console typewriter, switch boxes to simplify the control of special types of operations and perhaps a set of logic circuits associated with the input system, used to provide preliminary selection of incoming data. In a small but increasing number of cases a computer is seen dedicated entirely to a "process-control" application such as the automatic adjustment of the shim coils of a variable-energy cyclotron or the control of data acquisition in a nuclear-scattering experiment, adjustments such as changing the angle of observation being made essentially under direct automatic control of the computer. The smallest on-line systems use the smallest commercially available computers; the largest use computers bigger than those which until recently served most computing centers. Large systems sometimes include one or more satellite computers. The cost of individual systems ranges from $25,000 to $1,000,000, approximately. The total cost of computer systems in low-energy nuclear laboratories is estimated by now to have reached about $20,000,000. (There has been a larger expenditure in the high-energy nuclear field, where computer systems have been employed extensively for some years longer and where experiments are so expensive that the economic advantages of computer use were quickly recognized.) B. THE TASKS We first list the main uses to which on-line computer systems have been put. We start with the simple operations, which we call Class 1.
- 69. Class 1 operations: a. Accepting digital data from external devices and storing it in computer memory. b. Preliminary processing of incoming data, on-line, before storage. This usually involves only operations of logic and simple arithmetic. c. Controlling the presentation of data via cathode-ray oscilloscope or typewriter, often for the purpose of monitoring the progress of an experiment. d. Controlling the recording of digital data on magnetic tape, paper tape, or other storage medium. e. Controlling an incremental plotter. f. Controlling the output of large quantities of data via a line printer. g. Transmission of quantities of data between two computers or between a computer and a pulse-height analyzer or other device having a magnetic core memory. Several operations of intermediate complexity we will label Class 2. Class 2 operations: a. Processing of data already accumulated and stored either in memory or on tape or other medium (off-line processing). This data reduction is often more complicated and lengthy than the preliminary on-line processing referred to in (Class 1b). b. Calculation of information required by the experimenter during the experiment, for example, kinematics tables and particle energies corresponding to field strengths in analyzer magnets. c. Process-control operations, in which the computer directs or regulates a sequence of events in an experiment. Under program control the computer monitors the course of the experiment and supplies signals that cause automatic changes in experimental conditions, such as starting and stopping times of event counting, angles of observation of scattered particles, and accelerator energies. Such applications are designed to relieve the
- 70. experimenter of unnecessary labor and to reduce the probability of error in routine operations. Our final class involves even more complex calculations. Class 3 operations: a. Complicated treatment of reduced data, including least squares and curve fitting. b. Large-scale calculations such as those required for the evaluation of theoretical nuclear scattering and reaction cross sections, e.g., DWBA calculations, which may each require running times of the order of minutes, even at a modern computing center. Apparently Class 3 operations do not always have to be done during the course of the experiment; in fact, they can in most cases be carried out later, leisurely, at the local computing center. Nonetheless, calculations of the first type, and to a lesser extent the second, are currently being done at laboratories having large, powerful computers in their on-line data-acquisition systems. C. THE COMPUTERS 1. Introduction Because computers have proved useful in so many fields, many varieties are now on the market, quite a few of them having properties highly suitable for nuclear-data acquisition. The properties particularly useful are, first, the ease with which a great variety of external input and output devices can be attached (interfaced to the computer); second, provisions for rapid, efficient response to interrupt signals from external devices; and third, usually a means of transferring data from external devices directly into blocks of memory without use of the central processor, the transfer possibly requiring only a single memory cycle per word. (This is referred to as direct memory access through a direct data channel.) Several types of small computers have appeared on the market during the past year, some having 8-bit words, but they are too small for general data-
- 71. acquisition use, although valuables for special applications. For present purposes, the smallest useful machines have a minimum memory size of 4096 (4k) 12-bit words, which can usually be enlarged to 32k words by the addition of memory modules, while the larger machines have minimum memories of at least 8k, with provision for expansion to several hundred k. Regardless of their size, the machines of the present generation all have memory cycle times around 1 or 2 µsec. 2. Rough Classification of Computers Before proceeding with the discussion it is convenient to find a simple scheme for classifying computers. The scheme adopted here is to divide them into three loosely defined classes—small, medium, and large—essentially on the basis of the properties of the basic central processors: Small Word length 12 to 18 bits Useful memory size 4k Number of bits in instruction 3 or 4 Floating-point hardware orally offered Approximate cost range $8500 to $40,000 Medium Word length 16 to 24 bits Useful memory size 8 to 16k Number of bits in instruction 4 to 6 Floating-point hardware option sometimes offered Approximate cost range $30,000 to $120,000 Large Word length 32 to 48 bits Useful memory size at least 16k Number of bits in instruction 7 or more Floating-point hardware Approximate cost range $150,000 or more Computers do not fall neatly into these three classifications, especially since manufacturers offer many optional features; therefore, some argument about the assignment of a particular machine to one or the other class is possible. This is especially true with respect to the small and medium types. The properties of a large number of small and medium-sized computers are given
- 72. in Appendix A. Information on larger machines can be found in the Adams Associates Computer Characteristics Quarterly. D. MATCHING COMPUTERS TO TASKS Having classified both the computers and the jobs that they may be called on to do, we now ask this question: How suitable is each of the three types of computers for each of the three classes of jobs, given that in every case the acquisition system consists of a single computer coupled to all necessary input and output equipment? 1. Large Computers We start with the large computer system. All classes of jobs can be handled by this powerful system. However, we should question the wisdom of assembling a system based on a large machine unless a substantial amount of numerical calculating is anticipated, because the essential advantage of the large computer—the advantage that costs so much—is its capacity for rapidly executing highly accurate floating-point arithmetical operations. 2. Small Computers The small computer system can handle the jobs of data acceptance, data manipulation, and output characteristic of the simple Class 1 operations, but they are suitable for very few jobs involving floating-point arithmetic. In fact, we must usually be skeptical about the use of small machines for any of the Class 2 operations except those of the process-control type, which in many cases would involve little if any arithmetic. (Process-control applications have been rather few to date, but a rapid increase can be expected in this field, especially because of the convenience and low cost of small modern computers.) It is apparent that these machines have been designed as economical instruments specifically intended to handle Class 1 jobs. The smallest word length of a machine in this group, 12 bits, is sufficient for storing in one word the output of a 4096-channel ADC unit, but it is not quite so convenient for handling the output of a typical scaler, which would likely require the use of two words. The capability of even a small computer system to convert experimental information into digital form, to transfer it into memory, to manipulate it, and to present it for inspection in a digested, convenient form, all at a high rate and essentially without error, is of immense
- 73. value to an experimenter who has to cope with the abundant outflow of data from a modern nuclear experiment. 3. Medium-Sized Computers The capabilities of medium-sized computers are less clear. These machines are superior to the small ones mainly in two respects: they have a more flexible command structure (i.e., they have a larger set of wired-in operations), and, usually, they have a longer word length. These features make them easier to program and give them a limited, but important, capability to execute floating-point operations sufficiently quickly and accurately for many purposes, even though these operations must in most cases be programmed, in the absence of floating-point hardware. We can reasonably conclude that the medium-sized machines will serve for any use listed in Classes 1 and 2. Certain simpler calculations of Class 3a are also expected to prove feasible, but few, if any, of those of Class 3b. E. ON CHARACTERISTIC FEATURES OF COMPUTERS AND RELATED EQUIPMENT The value of any feature depends on its need in the application involved; therefore detailed, absolute statements regarding each characteristic usually cannot be made. However, the Panel has discussed various features at some length, and we present here some general comments on the pros and cons of these features. Among the items discussed are some, such as word length and cycle time, that represent basic, inherent properties of the computer; while a great many others, such as priority interrupts, are customarily offered as options. 1. Word Length The shorter the word length the cheaper the hardware, generally speaking, but the less the accuracy in calculations unless multiple precision is used. For example, although the 12-bit words of the PDP-8 match the accuracy of data from most ADC's, they are too small not to match the output data from most counters; furthermore, indirect addressing is often required because a single word is too short to include both the operation code and the absolute address of a memory location. Apart from addressing considerations, a 12-bit word is too small for many uses, e.g., in general-purpose pulse-height analyzer
- 74. applications where 16 bits or, better, 18 bits should be considered a minimum. Fortran programs for numerical calculations are in general best run on machines having at least 32-bit words, although 24-bit words are usually acceptable here when double precision can be used. 2. Number of Memory Words In general the more words that a system can retain the better; but the greater the memory, the greater the expense. The cost must be weighed against the need. For simple handling of data, a 4k memory may be adequate, but in a large shared-time general-purpose machine a 16k or greater memory is essential. In the latter case, the resident shared-time monitor will probably occupy at least 6k of the memory, so with a 16k memory only 10k would be left accessible to users, and experience has shown that this much can be taken up completely by one user compiling a Fortran IV program. A 4k memory is adequate for many process-control applications, but it is too small for many other applications such as general-purpose pulse- height analyzer use, where an 8k memory is highly desirable. Adding a supplemental rotating memory device (disk or drum), at a cost per word about 1 percent that of core storage, is often preferable to adding core memory. See 6 below. 3. Cycle Time For most purposes the typical memory cycle time of 1 to 2 µsec is quite adequate. Some of the modern computers have cycle times under 1 µsec. 4. Direct Data Channels These allow sequential depositing of digital data from external devices directly into blocks of computer memory without intervention of the central processor (direct memory access, DMA). Such input may require only one computer cycle per word, that being the next cycle after the one during which the interrupt signal arrives. This is the fastest means of getting data into memory, but it requires more external hardware and more complex interfacing than input through an accumulator of the central processor. Most data-acquisition machines provide both possibilities. Direct data channels can be valuable for interfacing to magnetic disks, drums, and tapes. 5. Priority Interrupts (Nested)
- 75. These can be very useful. They may cost as little as $125 each, depending on the machine, and can be used to reduce greatly the overhead running time losses of the computer. In complicated data-taking applications many interrupt lines are desirable; 8 to 16 priority levels are generally adequate. The usual Fortran compiler cannot compile programs that respond properly to interrupts, although a relocatable object code generated by the compiler can always be assembled with a machine-language subroutine designed to handle interrupts. Enlargement of Fortran compilers for data-acquisition use to include statements designed to handle interrupts is desirable. (See, for example, the discussion of the Yale-IBM system, Chapter 2, Section E.) 6. Mass Storage Magnetic media—drums, disks, and standard magnetic tapes—are employed here. DEC tapes are useful and reliable, but they have only a small capacity. The use of such microtapes is also limited by their incompatibility with typical computer-center equipment. Reliable, inexpensive incremental magnetic tape units are now available which can be operated asynchronously at about 300 Hz, too slow for many purposes. Some of them can also be run much faster in a synchronous mode. Drums and disks are highly desirable because they provide program-controlled rapid access to great volumes of data. Typically, access times are of the order of 17 µsec. In the past few years, good and inexpensive disks have been developed which are now on the market. Some suppliers are IBM, CDC, Datadisk, Burroughs, DEC, and SDS. Disk storage is cheaper per word than core storage by two orders of magnitude; therefore, it is preferable for applications where data can be organized serially and where access and transfer time requirements can be relaxed somewhat. For example, a small DEC disk system for the PDP-8 holds up to 128k 12-bit words and has an average access time of 17 µsec and a transfer rate of 16,000 12-bit words per sec. It costs $6000 for the first 32k of capacity, plus $3000 for each additional 32k, including interfacing through the direct data channel. Larger and faster versions are available. Disks (or drums) should be important in future systems. Magnetic tapes of the IBM-compatible type are valuable, especially for communication with machines at computing centers, but tape drives and interfacing are usually expensive. It often costs $25,000 or more to get a single tape drive in service, although the next few are usually less expensive. The cheapest tape drives available cost about $5000. The cost of interfacing depends greatly on the particular computer. It may be as little as $5000, but it is often in the neighborhood of $15,000 or $20,000.
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