THE CAMBRIDGE HISTORY OF
ANCIENT CHINA
In The Cambridge History of Ancient China fourteen leading scholars provide
a survey of the cultural, intellectual, political, and institutional developments
of pre-imperial China (from the beginnings of civilization to 221 B.C.).
Drawing on both traditional and newly discovered sources, specialists in
history, archaeology, palaeography and art history write the eight core chap-
ters treating the Shang, Western Zhou, Spring and Autumn, and Warring
States periods. Chapters on the pre-historic background and the growth of
language provide the major context of China's achievements during the 1500
years under review. The teachings of China's early masters are set alongside
what is known of the methods of astronomers, physicians, and diviners
(including discussion of technical skills revealed in recently discovered
manuscripts of the fourth and third centuries B.C.). Two final chapters show
how China's developments relate to the growth of independent cultures in
Central Asia and how many of the characteristic elements of the early em-
pires (the Qin and Han) are indebted to pre-imperial precedents. The last
chapter leads the reader forward to imperial times as described in the volumes
of The Cambridge History of China.
Michael Loewe, retired Lecturer in Chinese at the University of Cambridge,
is one of the world's leading authorities on China's Han dynasty (202
B.C.—A.D. 220). He is the author of numerous books, including Ways to Par-
adise: The Chinese Quest for Immortality (1994); Divination, Mythology and
Monarchy in Han China (1994); and Early Chinese Texts: A Bibliographic Guide
(1993). He is co-editor of The Cambridge History of China, Vol. 1: The Ch'in
and Han Empires 221 B.C.-A.D. 220 (1986).
Edward Shaughnessy is Lorraine J. and Herrlee G. Creel Professor of Early
China at the University of Chicago. He specializes on Bronze Age China, with
special interests in the Chinese classics and in palaeography. Long-time editor
of Early China, he is also the author of Before Confucius: Studies in the Creation
of the Chinese Classics (1997), I Ching: The Classic of Changes, The First English
Translation of the Newly Discovered Second-Century BC Mawangdui Texts
(1996), and Sources of Western Zhou History: Inscribed Bronze Vessels (1991).
Cambridge Histories Online © Cambridge University Press, 2008
Cambridge Histories Online © Cambridge University Press, 2008
THE CAMBRIDGE
HISTORY OF
ANCIENT CHINA
From the Origins of
Civilization to 221 B.C.
Edited by
MICHAEL LOEWE
and
EDWARD L. SHAUGHNESSY
CAMBRIDGE
UNIVERSITY PRESS
Cambridge Histories Online © Cambridge University Press, 2008
CAMBRIDGE UNIVERSITY PRESS
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Cambridge University Press
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Information on this title:www.cambridge.org/9780521470308
© Cambridge University Press 1999
This publication is in copyright. Subject to statutory exception
and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without
the written permission of Cambridge University Press.
First published 1999
Reprinted 2004, 2006
Printed in the United States of America
A catalogue record for this book is available from the British Library.
Library of Congress Cataloguing in Publication Data
The Cambridge history of ancient China / edited by Michael Loewe,
Edward L. Shaughnessy.
p. cm.
Includes bibliographical references and index.
ISBN 0-521-47030-7
1. China — History — To 221 B.C. 2. China — Civilization —
To 221 B.C. 3. China — Antiquities. 1. Shaughnessy, Edward L., 1952— .
II. Loewe, Michael.
DS741.5.C35 1998
931—dc21 97-33203
CIP
ISBN-13 978-0-521 -47030-8 hardback
ISBN-10 0-521 -47030-7 hardback
Cambridge University Press has no responsibility for
the persistence or accuracy of URLs for external or
third-party Internet Web sites referred to in this publication
and does not guarantee that any content on such
Web sites is, or will remain, accurate or appropriate.
Cambridge Histories Online © Cambridge University Press, 2008
CONTENTS
List of Maps, Tables, and Figures page xiii
Conventions xxiv
Abbreviations xxvii
Acknowledgments xxviii
Introduction i
by Michael Loewe, University of Cambridge,
and Edward L. Shaughnessy, University of Chicago
The Development of Historical Approaches and
the Impact of Archaeology in the Study of Ancient China 2
The Sources 7
Literary Sources, 7 • Material Sources, 10
Chinas Idealized Past 11
The Scope of the Present Volume 13
Calendar and Chronology 19
by Edward L. Shaughnessy, University of Chicago
T h e Environment of Ancient China 30
by David N. Keightley, University of California, Berkeley
Geography 30
The Coastline, 30 • The Major Rivers, 31
Climate and Environment 33
1 China on the Eve of the Historical Period 37
by Kwang-chih Chang, Harvard University and
Academia Sinica
The Palaeographic Stage of East Asia and Its Settlement
by Humans 37
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VI CONTENTS
Beginnings of the Agricultural Way of Life 42
Regional Cultures of the Early Farmers 47
Xinglongwa, Xinle, and Hongshan Cultures, 48 •
Yangshao Culture (5000-3000 B.C.), 49 • Dawenkou Culture
(5000-3000 B.C.), 52 • Majiabang and Hemudu Cultures
(5000—3500 B.C.) 52 • Daxi Culture (5000—3000 B.C.) 53 •
Dapenkeng Culture (5000—2500 B.C.) 54
Formation of a Chinese Interaction Sphere and the
Development of Regional Cultures 54
T h e "Ten Thousand States" on the Eve of the Historical Period 59
Mythology, China's Origins, and the Xia Dynasty 65
The Cosmogony of the Ancient Periods, 66 • The Heroes, 68 •
The Legendary Kings, 70
T h e Question of the Xia Dynasty 71
2 Language a n d Wr i t ing 74
by William G. Boltz, University of Washington
T h e Chinese Language 75
Austroasiatic, 81 • Indo-European, 83 • Periodization, 88 •
Typology, 91 • Linguistic Philosophy, 95 • The Sound
System of Old Chinese, 100
T h e Chinese Script 106
The Zodiographic Stage, 109 • The Multivalent Stage, 114 •
The Determinative Stage, 118
3 Shang Archaeology 124
by Robert Bagley, Princeton University
T h e Archaeology of the Shang Dynasty 126
T h e Archaeology of Bronze Metallurgy 136
A Definition of the Bronze Age, 136 • The Development of the
Bronze Industry, 139 • The Archaeological Record, 155
T h e Early Bronze Age 158
Erlitou and the Erlitou Culture, 158 • Zhengzhou: Type Site of
the Erligang Culture, 165 • Panlongcheng and the Erligang
Horizon, 168 • The Emergence of Regional Powers: Xin'gan and
the Wucheng Culture, r7i • Sites of the Transition Period in
Anhui, Hebei, and Shaanxi, 175 • Anyang ca. 1200 B.C., 180 •
The Middle Yangzi Region: Southern Hubei, Northern Hunan,
208 • The Chengdu Plain: Sanxingdui, 212 • Sufutun, 219 •
The Northern Zone, 221 • The Wei River Valley, 226 •
Archaeology and Traditional History, 229
Cambridge Histories Online © Cambridge University Press, 2008
CONTENTS Vll
T h e Shang: Chinas First Historical Dynasty 232
by David N. Keightley, University of California, Berkeley
Sources 233
Traditional Accounts, 233 • Bronze Inscriptions, 235 •
Oracle-Bone Inscriptions, 236
Chronology 247
Absolute Dating, 247 • Relative Dating, Z49
Time and the Calendar 249
Royal Shang Religion 251
The Upper Pantheon, 252 • The Ancestors, 255 • Treatment
of the Dead, 263
The Dynastic State 269
The Political and Cultural Landscape, 269 • The Royal Lineage,
270 • Non-Royal Lineages, 272 • Local Officers, Chiefs, and
Rulers, 272 • King List and Polity, 273 • Royal Succession and
Temple Names, 273 • The Royal Women, 274 • Political
Geography, 275 • Agriculture, 277 • Tribute Offerings and
Service, 281 • Dependent Labor, 282 • Mobilization and
Warfare, 284 • Slave Society, 285 • Personnel Decisions and
Incipient Bureaucracy, 286
Political and Military Developments 288
The Legacy of Shang 289
Western Z h o u History 292
by Edward L. Shaughnessy, University of Chicago
Sources 293
Shang shu, 294 • Shi jing, 295 • Zhou Yi, 295 • Later
Histories, 296 • Bronze Inscriptions, 296 • The Extent of
Writing During the Western Zhou, 297
Legendary Evidence for Zhou Before the Conquest of Shang 299
Inscriptional and Archaeological Evidence for Zhou Before
the Conquest of Shang 302
Traditional Accounts, 303 • Shang Oracle-Bone Evidence, 305 •
Archaeological Evidence, 305
The Zhou Conquest of Shang 307
Campaigns Under King Wen, 307 • The Conquest Campaign,
309 • The Death of King Wu and the Succession Crisis, 310 •
Colonization of the East, 311
The Philosophical Foundation of Zhou Rule 313
The Role of Heaven in Royal Authority, 314 • The Debate
Between Zhou Gong and Shao Gong, 315 • The Retirement of
Zhou Gong, 317
Consolidation of Zhou Rule 317
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Vll l CONTENTS
Appointments to Rule Lands as Seen in Bronze Inscriptions, 318
• Military Expansion, 320 • King Zhao's Southern Campaign, 322
T h e Middle Western Zhou Reforms 323
War with the Xu Rong, 323 • Reform of the Zhou Military, 325 •
Reform of Court Offices, 326 • Land Reforms, 326
T h e Decline of the Zhou Royal House 328
T h e Development of the Late Western Zhou Worldview 331
Changes in Ritual and the Development of Poetry, 332 • Poetic
Evocations and the Origin of the Zhou yi, 338
T h e Decline and Fall of Western Zhou 342
T h e Legacy of Western Zhou 351
6 Wes te rn Z h o u Archaeology 352
by Jessica Rawson, Merton College, Oxford
T h e Material Record 353
Criteria for Dating, 358 • Inscriptions, 364 • Tombs, Hoards,
and Archaeological Finds as Sources of Information, 368
Pre-Conquest Shaanxi Province and the Zhou Conquest 375
Pre-Conquest Shaanxi, 375 • Adjacent Areas, 382 • The
Conquest, 385
Early Western Zhou 390
The Zhouyuan, 390 • The Capitals Feng and Hao, 393 •
Small States and Outposts in Other Parts of Shaanxi, 397 •
The States of Northern Central China, 403
Middle Western Zhou 414
Sites and Their Bronzes, 414 • Southern Connections, 423 •
Eastern China, 425 • The Han and Huai Rivers, 427 • Bells, 427
• The Use of Jade, 430
Late Western Zhou 433
The Ritual Revolution, 433 • The State of Jin and Other Late
Western Zhou Finds Outside Shaanxi, 440
Conclusion 446
7 The Waning of the Bronze Age: Material Culture and Social
Developments, 770—481 B.C. 450
by Lothar von Falkenhausen, University of California, Los Angeles
Settlement Sites and Activity Areas 453
Bronzes: General Stylistic and Technological Trends 463
Cemeteries and Tombs in Northern and Central Henan 470
Finds from Jin Cemeteries 481
Finds from Qin Cemeteries 486
The Cemeteries at Qufu 497
Tombs of the High Elite in the Eastern Part of the Zhou Realm 501
Cambridge Histories Online © Cambridge University Press, 2008
CONTENTS IX
The Middle Han River Basin 510
Early Chu Finds 514
The Southeastern Regional Cultures 525
Other Southern Regional Cultures 539
The Northern and Northeastern Regions 542
Conclusion 542
8 The Spring and Autumn Period 545
by Cho-yun Hsu, University of Pittsburgh and Academia
Sinica
The Fall of the Western Zhou 545
The Beginning of the Spring and Autumn Period 547
The Zhou States, 547 • The Non-Zhou Peoples, 548
The Formation of the Ba System 551
The Leadership of Zheng, 551 • The Leadership of Qi, 553 •
Interstate Meetings, 556 • The Leadership of Jin, 558 • The
Emergence of Chu, 560
A Multistate System 562
A Balance of Power, 562 • The Rise of Wu and Yue, 563 • The
Transformation of the Ba System, 565
Social Developments 566
Kinship Structure, 566 • Inclusion of Non-Zhou Elements, 569
Changes in State Structure 570
Secondary Feudalization, 570 • State Administration, 572 •
Local Administration, 574
Economic Developments 575
Land Tenure and Production, 576 • Metallurgy, 578 •
Commerce, 580 • The Appearance of Currency, 581
Intellectual Developments 583
The Shi, 583 • A Weakening Tradition, 584 • Confucius, 585
Conclusion 586
9 Warring States: Political History 587
by Mark Edward Lewis, University of Cambridge
Sources 588
Chronicles, 588 • Works on Political Methods, 589 •
Government Documents, 589 • Military Treatises, 590 •
Persuasions, 590 • Texts of the Schools, 591 • Ritual Texts, 591
• Geographic Works, 592 • Poetry, 592 • Han Anecdotal
Collections, 592
The States 593
Yan, 594 • Qi, 595 • Wei, 595 • Zhao, 596 • Hann, 596 •
Qin, 596 • Chu, 597
Cambridge Histories Online © Cambridge University Press, 2008
X CONTENTS
The Ruler-Centered State 597
Institutions of the Warring States 603
The Formation of a Multistate World 616
The Military Arts 620
Composition, 621 • Armaments, 622 • Size of Armies, 625 •
Scale, 628 • Defensive Walls, 629 • The Arts of War, 630
Alliances and Persuaders 632
The Decline of Wei, 353-322 B.C., 634 • Qin's Territorial
Consolidation, 635 • The Period of Qi, 301-284 B.C., 635 •
The Period of Zhao, 284-260 B.C., 638
Scholars and the State 641
Human Geography 645
10 The Art and Architecture of the Warring States Period 651
by Wu Hung, University of Chicago
Art and Architecture of the Living 653
Architecture: Cities and Palaces, 653 • Art: Vessels, Ornaments,
Painting, and Sculpture, 675
Art and Architecture for the Dead 707
Architecture: Graves and Graveyards, 708 • Art: Grave
Furnishings, 727
11 The Classical Philosophical Writings 745
by David Shepherd Nivison, Stanford University
Sources 745
The Political Context 747
Basic Concepts 748
Confucius 752
As a Writer and Transmitter, 753 • Li, 755 • Consideration
(shu), 756 • Rectification of Names, 757 • Attitude to History, 758
Mozi 759
Moral Values, 760 • Impartial Caring, 763
Fourth Century: Yang Zhu, Zi Huazi 765
Yi ("Honor") and Its Value, 765 • The Cultivation of Sheng, 767 •
The Mutual Recognition of Kings: The Jixia Academy, 769
Mencius 770
The Acquisition of De, 771 • The Goodness of Human Nature
and the Cultivation of Morality, 773 • Nourishment of Qi and
Ethical Values, 775
The Sophists 779
Hui Shi: The Fallacy of Absolute Terms, 779 • Six Mohist
Chapters: Limits and Their Possibility, 780 • Four Types of
Argument, 781 • Gongsun Long and the White Horse, 782
Cambridge Histories Online © Cambridge University Press, 2008
CONTENTS XI
Zhuangzi 783
The Basis of Knowledge: Non-Involvement, 783 •
Detachment, Emotions, and Their Origin, 784 • Dao and Its
Comprehension, 788 • Accommodation with Death, 789
Xunzi 790
The Mind and Its Capacity, 792 • The Origins of Morality and
the Need for Li, 794 • The Lessons and Values of the Past, 796
• "Zheng Ming," 797
Han Feizi, Laozi, Legalism, and Daoism 799
The Relations of Ruler and Minister, 800 • The Laozi, Zhuangzi,
the Dao and De, 802 • Fa, Shu, and Shi, 806
The Lit Shi chunqiu and Correlative Thinking 808
Yin-Yang and the Five Phases, or Powers, 809 • Correlative
Thinking and Science, 810
12 Warring States Natural Philosophy and Occult T h o u g h t 813
by Donald Harper, University of Arizona
Definitions and Sources 815
Warring States Natural Experts and Occultists and Their Texts 820
Astrology and the Calendar 831
The Structure of Heaven, 833 • Almanacs and Other
Astro-Calendrical Texts, 843
Turtle and Milfoil Divination 852
Yin-Yang and Five Phases 860
Religion and Magic 866
Medicine 874
Conclusion 883
13 The Northern Frontier in Pre-Imperial China 885
by Nicola Di Cosmo, Harvard University
Periodization of the Northern Zone Cultures 888
The Second Millennium B.C., 889 • Western Zhou to Early
Spring and Autumn (ca. 1000-650 B.C.), 890 • Mid-Spring and
Autumn to Early Warring States (ca. 650-350 B.C.), 890 • Late
Warring States to Qin (ca. 350-209 B.C.), 892
The Northern Frontier in the Second Millennium B.C. 893
The Northern Zone Complex: Denning Characteristics, 893 •
Geographic Distribution, 896 • Relationship with the Shang
Civilization, 902 • Relationship with Northern and Central
Asia, 905 • Northern and Western Peoples in the Historical
Records, 907
Western Zhou to Early Spring and Autumn (ca. 1000—650 B.C.) 909
Cambridge Histories Online © Cambridge University Press, 2008
Xll CONTENTS
Transition to Pastoral Nomadism, 909 • Evidence of Pastoralism
in the Northern Zone, 912 • Distribution of Northern Cultures,
914 • Historical Survey, 919
Mid-Spring and Autumn Period to the Mid-Warring States (ca.
650-350 B.C.) 924
Development of Early Nomadic Cultures in Northern China, 924
• Major Archaeological Cultures, 927 • Metal Artifacts
Associated with Early Nomadic Sites, 944 • Historical Survey, 947
Late Warring States to Qin (ca. 350-209 B.C.) 951
Archaeological Cultures of the Northern Zone During the Late
Warring States, 952 • Relations Between the Northern Nomads
and Central States, 960 • Chinese Knowledge of the Northern
Peoples, 962 • The Rise of the Xiongnu, 964
14 T h e Heritage Left to the Empires 967
by Michael Loewe, University of Cambridge
The Creation of Empire and Its Hazards 969
The Lessons of the Past 971
Religious Rites 978
The Teachings of the Masters 982
Huang Lao Thought and Xing Ming, 986
The Tradition of Kingship 988
A Sense of Unity 991
Mythology, 992 • Terminology, 992 • Zones and Hierarchies,
995 • A Cosmic System, 997 • Imperial Claims and Harsh
Realities, 998
Institutional Norms and Administrative Practice 1002
The Concept and Practice of Law, 1003 • Documentation, 1010 •
The Calendar and Registers of the Population and the Land, 1012
• The Offices of State, 1016 • Military Organization, 1020 •
Attempts at Economic Control, 1022
Cities, Palaces, and Royal Shrines and Tombs 1024
Conclusion 1031
Bibliography 1033
Index 1113
Cambridge Histories Online © Cambridge University Press, 2008
MAPS, TABLES, AND FIGURES
MAPS
i Topography of China xxx
I.I Major regional cultures in China around 5000 B.C.
recognized by archaeology 49
2.1 Sites associated with Sino-Tibetan language family 85
3.1 Archaeological sites of the Early Bronze Age 128
4.1 Shang sites in the Xiaotun core area 276
5.1 Sites related to Zhou prior to the conquest of Shang 304
5.2 Zhou military campaigns under Kings Wen and Wu 308
5.3 Major Zhou colonies 313
6.1 Archaeological sites of the Western Zhou period 354
6.2 Archaeological sites in the Zhouyuan 357
7.1 Archaeological sites of the Spring and Autumn
period 452
8.1 Major states of the Spring and Autumn period 548
9.1 Major states of the Warring States period 594
9.2 The expansion of Qin ca. 350—249 B.C. 636
13.1 Northern Zone: Archaeological sites of the second
millennium B.C. 897
13.2 Northern Zone: Archaeological sites of the Western
and early Eastern Zhou periods (1000—650 B.C.) 915
13.3 Northern Zone: Archaeological sites of the "early
nomadic period" (ca. 650—350 B.C.) 928
13.4 Northern Zone: Archaeological sites in Xinjiang 942
13.5 Northern Zone: Archaeological sites of the fourth phase
(350-209 B.C.) 954
Cambridge Histories Online © Cambridge University Press, 2008
XIV MAPS, TABLES, AND FIGURES
TABLES
i Reign dates 25
(a) Shang 25
(b) Western Zhou 25
(c) Spring and Autumn 26-27
(d) Warring States 28-29
2.1 Comparison of words in the Sino-Tibetan language family 79
2.2 Old Chinese Shi jing finals 104
2.3 Old Chinese ganzhi initials 105
2.4 Chinese characters commonly viewed as pictographic in
2.5 Paronomastic (rebus) usages of Chinese zodiographs 115
2.6 Examples of semantic determinative usages 119
4.1 Diviner groups: Periodization and chronology 240
7.1 Bronze assemblages excavated at the Guo cemetery at
Shangcunling, Sanmenxia, Henan 473
7.2 Bronze assemblages excavated from Spring and Autumn
period Qin aristocratic tombs 492
7.3 Bronze assemblages excavated at the Xue cemetery at
Xuecheng, Tengzhou, Shandong 504
7.4 Bronze assemblages excavated at the Yuan lineage cemetery
at Xiasi, Xichuan, Henan 522
FIGURES
1 Principal types of Shang and Zhou bronze vessels xxii
1.1 The site of Zhoukoudian, Beijing 40
1.2 Ripened ears of foxtail millet, common millet, and rice 44
1.3 Artifacts of Peiligang and Cishan cultures o