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Miniature tomb figurines and models in pre-imperial and early imperial China: origins,development and significanceArmin Selbitschkaa
a Ludwig-Maximilians-University MunichPublished online: 27 Feb 2015.
To cite this article: Armin Selbitschka (2015) Miniature tomb figurines and models in pre-imperialand early imperial China: origins, development and significance, World Archaeology, 47:1, 20-44, DOI:10.1080/00438243.2014.991801
To link to this article: http://dx.doi.org/10.1080/00438243.2014.991801
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Miniature tomb figurines and models inpre-imperial and early imperial China:origins, development and significance
Armin Selbitschka
Abstract
Early Chinese tombs contain great quantities of anthropomorphic and zoomorphic figurines as well asarchitectural models. Both kinds of miniatures are generally regarded as part of a single trajectory thatultimately substituted for human sacrifices. The purpose of it all was to create ‘underground homes’ so thatthe deceased could enjoy the amenities of their former lives in the hereafter. This understanding is largelybased on received literature and scattered archaeological finds. Through a detailed analysis of the earliestinstances of funerary sculptures, this article seeks to demonstrate that figurines and models at firstrepresented two different rationales. Later on, these converged into a new view of the afterlife, one thatsymbolized not only ‘underground homes’, but entire estates of an ever increasing number of landowners.Early Chinese tomb miniatures were thus instrumental in the formation of personalized, subterraneanmicrocosms, or private ‘little empires’.
Keywords
Early China; tombs; figurines; models; mingqi.
Introduction
In China, anthropomorphic and zoomorphic miniatures became an integral part of funerary ritesfrom the early fifth century BCE onwards. Human and animal figurines, as well as models ofvarious kinds of vehicles and edifices, populate many museum collections in astonishingquantities. Unsurprisingly, a substantial body of scholarly literature on the subject already exists(e.g. Berger 1998; Huang 2003, 225–7; Kuwayama 1987; Liu 2005a, 2005b; Wu 2005, 2006a,2011, 99–126). Scholars routinely draw on received literature in order to explain the origins ofthe practice of placing these objects in tombs. Two passages transmitted in the prescriptive
World Archaeology Vol. 47(1): 20–44 Miniaturization© 2015 Taylor & Francis ISSN 0043-8243 print/1470-1375 online
http://dx.doi.org/10.1080/00438243.2014.991801
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Records of Rites, or Liji (compiled c. the second century BCE) are highly influential in thisregard. According to the first one, Confucius (trad. 551–479 BCE) supposedly said:
When one approaches the dead and treats them as if [they were absolutely] dead, this is notbenevolent and must not be done; when one approaches the dead and treats them as if [theywere still living], this is unwise and must not be done. Hence … ceramic [objects placed intombs] may not entirely hold water and wooden [items] may not be completely carved. …We call such artifacts ‘luminous objects’ (mingqi) because the spirits are able to clearlyperceive them.
(Kong 2008, 305)
Here, the master pronounced that burial objects ought to be without practical function, assupernatural beings were satisfied by the mere presence of such items. To his mind, the residentsof the netherworld had no intention of actually using the deposited goods. Appearances,apparently, were enough. In a second paragraph, the sage elaborated on the so-called mingqiconcept:
Those employing luminous objects already know the [proper] way of mourning as theyprepare goods that cannot be used. Alas! Accompanying the dead with objects used by theliving, is there not the danger of resorting to human sacrifices? [The things] that we callluminous objects are clearly [visible] to the spirits. Clay chariots and straw figures haveexisted since ancient times. They are the way of luminous objects! … Those who make strawfigures (chu ling) [are acting] well … those who rely on figurines (yong) are inhumane. Isthere not the danger of using human beings [instead]?
(Kong 2008, 377)
Again, the master stressed the functional inefficacy of burial goods. To his mind it was only asmall step from interring authentic objects to entombing human beings. Consequently, hedismissed lifelike figurines (yong) in favour of straw figures (chu ling).
These two quotes, along with some supplementary passages referring to ‘luminous objects’(or ‘spirit objects’, ‘brilliant artefacts’) scattered in a few third through first-century BCE texts,cemented the modern understanding of early Chinese tomb miniatures. The term mingqi becamesynonymous with grave deposits that served no obvious practical purpose, chief among whichare figurines and models (e.g. Guo 2010; Kesner 1995, 116; Liu 2005a, 2005b; Wu 2006b,2011, 87–99). Following Confucius’ authoritative voice, such items were devised sometimebetween the sixth and fifth centuries BCE to appease (or dupe?) the visual senses of the spirits.The master was not so much worried about the supernatural world as he was concerned aboutthe ethics of the living. He considered mortuary rites that cut too close to real life a gateway tothe cruel human sacrifices of ancient times. Indeed, almost all authors accept that tomb figurineshad by then replaced human sacrifice (e.g. Dien 1987, 3; Hu 1987, 25; Huang 1990, 155, 247;Lai 2002, 140–3; Wen and De 1998, 48; Wu 2005, 15–16, 2006a, 43, 2011, 100; morecautiously Rawson 1999, 10; Thote 1999, 196).
Although the emergence of mortuary miniatures has been related to early Confucian morals,recent descriptions of their functions go beyond this rather simplistic perspective. Largelyinformed by analyses of Qin Shihuang’s famous life-sized terracotta warriors, scholars have
Miniature tomb figurines and models in China 21
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viewed scaled-down tomb figurines and models as constituting elements of undergroundmicrocosms. These recreated the necessities and amenities of real life for the deceased occu-pants to enjoy in the netherworld (e.g. Kesner 1995, 131; Rawson 1996–7, 33–4, 2002; Wu2005, 46, 2006a, 74–6, 2011, 115, 118). The point is well taken. However, it is not entirelyclear how far such alternative universes extended. Burials below the imperial or royal level thatlacked additional pits housing armies, entertainers and so forth are usually said to be ‘under-ground homes’.
By tracing the development of early Chinese tomb miniatures for the first time in some detail,I will argue that the introduction of architectural models brought a new element into play. Theirappearance coincided with a period of a dramatic increase in private landownership. Thus, tomboccupants (and/or their descendants) were no longer content with symbolic residences. Insteadthey represented the scope of their entire operations by including miniature houses, courtyards,workshops or fields. It will be shown that – contrary to the general perception – figurines andarchitectural models were essentially manifestations of two different developments. Finally,contextualizing miniatures with information provided by excavated manuscripts will facilitate amore nuanced understanding of the underground home. Such burials were not referring toabodes in the abstract but were instead depictions of specific households.
My arguments are based on a comprehensive analysis of data that are available throughpublished excavation reports. Table 1 lists only the very first examples of anthropomorphicfigurines yielded by tombs dating from the early eighth to early third centuries BCE. From thethird century onwards, the sites providing such finds are too numerous to recount. At firstrestricted to burials of the Chu cultural sphere (Thote 1999; on Chu, Cook and Major 1999;Falkenhausen 2003), i.e. roughly Hubei, Hunan, Anhui, and Jiangsu (Figure 1), effigies becamecommon throughout the early Han Empire (206 BCE–220 CE) by the first century BCE (e.g.Gansu 1972, 13–14; Guangzhou 1958, 38; Sichuan 1982, 11). Similarly, Table 2 gathers merelythe earliest instances of architectural models starting from the early seventh century BCE untilthe time they began to spread by the mid-second century BCE. However, the evidence underconsideration extends to the third century CE. The column ‘Number of tombs’ in Table 2requires some explanation. From left to right, the figures denote the total numbers of burialsthat were, a) documented at a cemetery, b) actually excavated and c) published. The fact that thelatter sometimes are comparably few relates to the way data are presented in Chinese excavationreports. Usually, high-quality finds and features are selected for publication. Inevitably, obtain-able evidence and, in turn, secondary scholarship such as this article focus largely on the higherechelons of society (Selbitschka, forthcoming).
Origins and development
As Table 1 illustrates, the relative lack of evidence for pre-imperial miniatures hampers any kindof definitive conclusions on the origins and early development of figurines as grave goods. Itappears as if people first started to bury fairly large wooden anthropomorphic figurines on thewestern outskirts of the so-called Central Plain (zhongyuan), the heartland of Chinese civiliza-tion along the lower reaches of the Yellow River. Since a void of 300 years separates these earlyeighth and the early fifth century BCE finds on the eastern margins of the plain, an evolutionarytrajectory is hard to maintain. Besides, the younger items could not differ more in size, material
22 Armin Selbitschka
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Table1Listof
theearliestanthropo
morph
icfigu
rinesyieldedby
Chinese
tombs
know
nto
date
Tomb
Publication
Date
Anthropom
orphic
(w=wood;
allelse:ceramic)
Height
anthropomorphic
figure
Zoomorphic
Hum
ansacrifice
Shanxi,Yicheng,Dahekou
M1
KG
2011.7:10.
LateWZhou-earlyCQ
(early
eighth
c.BCE)
2w
(eachon
theback
ofaturtle)
Not
disclosed
No
Shaanxi,Hancheng,
Liangdaicun
M502
WW
2010.6:15–16.
LateWZhou(early
eighth
c.BCE)
4w
(movable
arms)
100cm
No
Shaanxi,Longxian,
Bianjiazhuang
M5
WW
1988.11:
23.
Early
CQ
(early-m
ideighth
c.BCE)
2w
(drew
thechariot)
80cm
1real
(?)chariot
No
Shaanxi,Fengxiang,Gaozhuang
M10
KGYWW
1981.1:21.
LateCQ
(early
fifthc.
BCE)
2cer.Chariot
wheels
Yes
(?)
Shandong,
Linzi
LDM4
LinziQimu:
58.
Early
ZG
(early
fifthc.
BCE)
18dancersandmusicians
c.8–10cm
6horses
Yes
Shandong,
Linzi
LDM5
LinziQimu:
86.
Early
ZG
(early
fifthc.
BCE)
1kneelin
gmale
6.1cm
Yes
Shandong,
Linzi
LDM6
LinziQimu:
101,
116.
Early
ZG
(early
fifthc.
BCE)
2(4?)
female(?)
8cm
Yes
Shandong,
Linzi
LZM2
LinziQimu:
320–
1.KG
2000.10:
57–8.
Early
ZG
(early
fifthc.
BCE)
1male
57cm
10horses/fow
lYes
Shandong,
Linzi,Xindian
M2
KG
2013.1:52–3.
Early
ZG
(early
fifthc.
BCE)
4kneelin
gmusicians
10robed
individuals
7.5–8.2cm
5dogs
4horses
Yes
Shandong,
Tai’an,
Kangjiahe
M1
KG
1988.1:45–6.
Early
ZG
(early
fifthc.
BCE)
5musicians
5.0–6.5cm
1pig3deer
4geese1duck
No
Shanxi,Changzi
M7
KGXB
1984.4:514.
Early
ZG
(early
fifthc.
BCE)
4w/clayfaces
68cm
Yes
Henan,Xinyang,ChangtaiguanM1
Xinyang
Chu
mu:
59–6
0Mid-latefifthc.
BCE
11w
65–8
5cm
No
Henan,Xinyang,ChangtaiguanM7
WW
2004.3:38.
Mid-latefifthc.
BCE
1w
65cm
No
Hubei,Suizhou,LeigudunM1
(MarquisYiof
Zeng)
ZenghouYi
mu:
383.
433
BCE
1w.head
5.5cm
Yes
Anhui,Bailuzhou
M585
WW
2012.11:
29.
Mid-ZG
(early
fourth
c.BCE)
14wwith
clay
head
(dim
ens.headsonly)
10.7–1
2.5cm
No
Hunan,Changsha,
Mayishungang
M1
KG
2003.4:66.
Mid-ZG
(early
fourth
c.BCE)
2w
84.6cm
No
Shandong,
Linzi,ZhaojiaxuyaoM2
KG
2005.1:38–43.
Mid-ZG
(early
fourth
c.BCE)
23standing
5femaledancers5kneelin
g(3
female,
2male)
6.7–9.8cm
7horses
9geese
No
Shandong,
ChangdaoM10
KGXB
1993.1:66
–7.
Mid-ZG
(early
fourth
c.BCE)
28musicians
anddancers
5–11cm
5pigs
No
Shanxi,Changzhi,Fenshuilin
gM14
KGXB
1957.1:116.
ZG
18musicians
anddancers
5cm
1felin
eNo
Shaanxi,Fengxiang,Baqitu
nBM103
WWZLCK
3(1980):74
–5.
Mid-ZG
(early
fourth
c.BCE)
2ceramic/woodoxcarts
12cm
(2model
granaries)
No
Shaanxi,Fengxiang,Baqitu
nBM27
WWZLCK
3(1980):75.
Mid-ZG
(early
fourth
c.BCE)
(4ceramic
lithophones)
No
Shaanxi,Gaolin
gyierGongsiM10
KGYWW
2006.3:12.
Mid-ZG
(early
fourth
c.BCE)
114.3cm
1horse
No
Shaanxi,Gaolin
gyierGongsiM65
KGYWW
2006.3:12.
Mid-ZG
(early
fourth
c.BCE)
11.2cm
1bovine
No
Shaanxi,Gaolin
gyierGongsiM54
KGYWW
2006.3:12.
Mid-ZG
(early
fourth
c.BCE)
1snake
No
(con
tinued)
Miniature tomb figurines and models in China 23
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Table1(Con
tinued)
Tomb
Publication
Date
Anthropom
orphic
(w=wood;
allelse:ceramic)
Height
anthropomorphic
figure
Zoomorphic
Hum
ansacrifice
Shaanxi,Gaolin
gyierGongsiM40
KGYWW
2006.3:13.
Mid-ZG
(early
fourth
c.BCE)
5.5cm
2birds
No
Shaanxi,Gaolin
gyierGongsiM44
KGYWW
2006.3:13.
Mid-ZG
(early
fourth
c.BCE)
2oxcartswith
4individuals
12cm
No
Hubei,Jiangling,
MashanM2
JHKG
1987.3:33–4.
Mid-ZG
(early
fourth
c.BCE)
26w
(mostdressed)
56–6
8cm
No
Shaanxi,Xianyang,
ShiyouM28057
Taerpo
Qin
mu:
50,figs41
and125.
KGYWW
1996.5:8.
Mid-lateZG
(early
fourth–
earlythirdc.
BCE)
2riders
onhorseback
22and22.5cm
No
Hubei,Jiangling,
MashanM1
JianglingMashanyi
haoQin
mu:
80–2.
WW
1982.10:
4–5.
Mid-lateZG
(early
fourth–
earlythirdc.
BCE)
4w
female(dressed)4w
male
(lacquered)
57.5–6
0.5cm
No
Notes
JHKG
=JiangHan
kaog
u;KG
=Kao
gu;KGXB=Kaogu
xuebao;KGYWW
=Kao
guyu
wenwu;
WW
=Wenwu;
WWZLCK
=Wenwuzilia
ocongkan.
24 Armin Selbitschka
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and subject matter. The early tall wooden figurines are strongly reminiscent of symbolic guardsor servants. The slightly clumsily modelled and painted tiny pottery miniatures depict scenes ofeveryday life: entertainment and livestock (Fig. 2). In the subsequent two and a half centuries,lacquered wooden human figures were largely restricted to high-ranking Chu tombs, whilezoomorphic figurines, apart from the occasional riding horses, were usually absent (e.g. Hunan2000, 395–400; Hubei 1984, 108–9). This southern Chinese tradition seems to be without direct
Figure 1 Map of the Chinese cultural realm, around the late fifth century BCE. From, Thote (2006, 58).
Miniature tomb figurines and models in China 25
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Table2Listof
theearliestarchitectural
modelsyieldedby
Chinese
tombs
know
nto
date
Typesof
models
Tomb
Publication
Datemodels
Num
berof
tombs
Tombs
with
models
Granary
Stove
Well
Other
miniature
Shaanxi,Longxian,
Dianzi
LongxianDianziQin
mu,
102–6.
Startlate
seventhc.
BCE
308/287/71
2831
Shaanxi,Baoji,
Rujiazhuang
KG
1979.5:410.
Early
fifthc.
BCE
90/90/4
33
Shaanxi,Wugong,
ZhaojialaiM5
KG
1996.12:
47.
Early
fifthc.
BCE
?/20/4
11
Shaanxi,Fengxiang,Gaozhuang
KGYWW
1981.1:20
and36.
Early
fifthc.
BCE
?/47/10
43
Zhejiang,ShaoxingM306
WW
1984.1:16–1
7.Post473
BCE
?/?/?
11bronze
house
w/music
fig.
Shaanxi,Fengxiang,Baqitu
nBM103
WWZLCK
3(1980):
74–5.
Early
fourth
c.BCE
?/40/4
12
2oxcarts
Shaanxi,Fengxiang,Gaozhuang
M7
KGYWW
1981.1:21
and38.
Mid-third
c.BCE
?/47/10
41
Shaanxi,Lintong,Shangjiaocun
KGYWW
1980.2:49.
Latethirdc.
BCE
17/8/8
22
Shaanxi,Xi’an,Longshoucun
M2
KG
2002.5:35
–6.
Latethirdc.
BCE
18/2/2
17
1Shaanxi,Xi’an,Jingsiercun
KGYWW
2009.4:7–8.
Latethirdc.
BCE
?/9/4
42
3Shaanxi,Baoji,
Goujialin
gKGYWW
2012.1:4–10.
Latethirdc.
BCE
10/6/3
44
Jiangsu,
Xuzhou,
HouloushanM1
WW
1993.4:37.
Late3thirdc.
BCE
8/8/2
22
11
14figures
Jiangsu,
Xuzhou,
HouloushanM8
KG
2006.4:25
–6.
Latethirdc.
BCE
8/8/2
22
11
Guangdong,Guangzhou
Guangzhou
Han
mu,
127–
8.Latethirdc.
BCE
182(collect.)
22
1
Gansu,Wushan,
Donghanping
KG
2003.6:39
and40.
Latethirdc.
BCE
?/37/5
22
Hubei,Suizhou,Kongjiapo
M10,
M16
SuizhouKongjiapo
Han
mu
jiandu,
3–38.
Latethirdc.
BCE
?/16/4
32
Hubei,Yunmeng,
ShuihudiM1
KG
1981.1:43.
Latethird–
_earlysecond
c.BCE
77?/28/6
21
3human
figures
Hubei,Jiangling,
GaotaiM5
Jingzhou
GaotaiQin
Han
mu,
12–2
1.Latethirdc.
−157
BCE
44/44/11
31
1
Hubei,Jiangling,
GaotaiM2
Jingzhou
GaotaiQin
Han
mu,
22–8.
Latethirdc.
−157
BCE
44/44/11
31
28human
figures
Hubei,Jiangling,
Jingzhou,
Yueshan
KGXB2000.4:561–
2.Latethird–
late
firstc.
BCE
46/46/5
2420
213
Hubei,Jiangling,
Guanju,
Xiejiaqiao
M1
WW
2009.4:32–3.
184
BCE
1/1/1
11(contained
rice)
1?human
figure
1oxcart
1se
zither
Hubei,Jiangling,
Zhangjiashan
M336
WW
1992.9:6–8.
173–
167
BCE
258/6/6
21
124
human
figures
6an
imal
figures
1chariot
1boat
Hubei,Jiangling,
Zhangjiashan
M127
WW
1992.9:6–8.
Early
second
c.BCE
258/6/6
21
4hum
anfigures
1oxcart
Jiangsu,
Xuzhou,
Fenghuangshan
M1
KG
2007.4:38
–40.
Early
second
c.BCE
5/5/5
12
11
Jiangsu,
Xuzhou,
ZifangshanM2
WWZLCK
4(1981):61.
Early-m
idsecond
c.BCE
3/3/3
11
11
150hu
man
figures
Shaanxi,Xi’an
(east.suburbs)
M3
WW
2004.6:7.
179–
157
BCE
10/1/1
11
1Shaanxi,Fufeng,
ZhibaiM2
WW
2010.10:
46–8.
179–
157
BCE
18/18/1
11
3human
figures
5an
imal
figures
(con
tinued)
26 Armin Selbitschka
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Table2(Con
tinued)
Typesof
models
Tomb
Publication
Datemodels
Num
berof
tombs
Tombs
with
models
Granary
Stove
Well
Other
miniature
Hubei,Jiangling,
Fenghuangshan
M167
WW
1976.10:
33–4.
167
BCE
29?/16/4
31(contained
millet)
154
human
figures
10anim
alfigures
2chariots
1oxcart
1boat
Hubei,Jiangling,
Fenghuangshan
M8
WW
1974.6:48–9.
179–
141
BCE
29?/16/4
31(contained
rice)
144
human
figures
7anim
alfigures
1chariot
1oxcart
1boat
Hubei,Jiangling,
Fenghuangshan
M10
WW
1974.6:48–9.
179–
141
BCE
29?/16/4
31
13human
figures
Hubei,Jiangling,
GaotaiM24
Jingzhou
GaotaiQin
Han
mu,
61–2.
156–
142
BCE
44/44/11
31
Hubei,Suizhou,Kongjiapo
M8
WW
2001.9:24.
142
BCE
?/16/4
31
6human
figures
3horses
1chariot
Hubei,Jianglin
g,Jinan,
SongboM1
WW
2008.4:26–7.
c.141
BCE
4/4/1
11
14human
figures
Shaanxi,Xianyang,
202suoM5
KGYWW
2006.1:7.
Latesecond
c.BCE
5?/5/3
11
Guangdong,Guangzhou
Guangzhou
Han
mu,
222–
7.Latesecond
c.BCE
64(collect.)
2416
1923
9houses
Shandong,
Weishan,Muqiancun
KG
1995.11:
999–1000.
Latesecond
c.BCE
8/1/1
32
22
3pigsties
Shandong,
Weishan,Weishandao
KG
2009.10:
31–3.
Startlate
second
c.BCE
44/44/9
?26
1819
23pigsties
Jiangxi,Nanchang,
Xianshihu
KGXB1976.2:176–
7.Latesecond
c.BCE
?/13/3
41
3houses
Jiangsu,
Xuzhou,
DagushanM2
KG
2009.4:44
–6.
Latesecond
c.BCE
2?/2?/1
12
22
2pigsties
Jiangsu,
Xuzhou,
JiuliM1
KG
1994.12:
1095.
141–
87BCE
2/2/2
23
21pigsty
Jiangsu,
Xuzhou,
JiuliM2
KG
2004.9:47
–8.
141–
87BCE
2/2/2
21
11
Shandong,
Linyi,Jinqueshan
(excavated
in1973)
KG
1975.6:367.
141–
87BCE
16/14/5
22
1
Neimenggu,
Guangyangucheng
WW
1977.5:28.
141–
87BCE
18/18/1
11
Sichuan,Mianyang,
Shuangbaoshan
M2
MianyangShuangbaoshanHan
mu,
49–143.WW
1996.10:
13–2
9.
141–
87BCE
2/2/2
12
2102human
figures
72equine
figures
30bovinefigures
13chariots
1house
1bell
Sichuan,Wushan,
Maituoshan
KGXB1999.2:177.
136–
118
BCE
69/19/2
22
Gansu,Qin’an,
Shangyuanjia
KGXB1997.1:69–7
0and78.
141–
49BCE
6/6/2
33
Notes
KG
=Kao
gu;KGXB=Kaogu
xuebao
;KGYWW
=Kaogu
yuwenwu;
WW
=Wenwu;
WWZLCK
=Wenwuzilia
ocongkan.
Miniature tomb figurines and models in China 27
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precedents when judged from material, stylistic and thematic perspectives. As far as the latter isconcerned, servant statuettes figure most prominently in the respective tomb assemblages, yet alimited number of armed figurines, such as the ten wooden men carrying wooden swords foundin Baoshan Tomb No. 2 (dated 316 BCE), might have conceptually anticipated the FirstEmperor’s warriors (e.g. Hubei 1991, 254–6). Nonetheless, the life-sized figurines and thescope of his army were unparalleled. Despite some rather small pottery figurines in the materialremains of the Qin state, the First Emperor’s funerary sculpture seems to have come out ofnowhere (Ledderose 2000, 57; Nickel (2013) has suspected origins in classical antiquity).Succeeding generations of Western Han (206 BCE–9 CE) emperors, kings and high-rankingnobility in principle followed in his footsteps, albeit on a smaller scale. A multitude of ancillarypits surround many of their burial mounds containing vast armies of circa 50cm-tall soldiers,grooms (sometimes accompanied by actual horse skeletons), entertainers or herds of livestock(e.g. Shaanxi 1966; Shaanxi 2008, 9–14; Wang and Wu 1976, 131).
Material preferences depended upon three factors: location, time and quantity. Wood and clayremained in use throughout the Western Han. In the early decades of the empire, wood waspredominantly employed south of the Yangzi River for tombs below the royal level (Hunan 1973,97–100). Members of the imperial family resorted to pottery even in the south simply because massproduction was easily facilitated. For instance, the king of Chu’s looted rock-cut tomb at Beidongshanin Jiangsu province still housed 430 painted ceramic figurines (dated 129 BCE: Xuzhou 2003, 61–100). The necessary techniques had been perfected at the imperial capital Chang’an, where kilns (e.g.Zhou and Wang 1985; Zhongguo 1994) churned out massive quantities of zoomorphic and anthro-pomorphic pottery figurines for imperial funerals (e.g. Shaanxi 2008). The advantages of ceramicproduction – a high volume of finely crafted objects in a short amount of time – certainly contributedto the fact that sooner or later all figurines consisted of fired clay.
The other kinds of miniature of interest to us are architectural models. There are occasional finds ofceramic and wooden vehicles such as chariots, oxcarts and boats, but these were almost exclusivelyrelated to human and animal figurines and thus parts of respective tableaux (Tables 1 and 2). Roundceramic model granaries with pointed roofs (Fig. 3) emerged sometime between the late seventh andlate sixth century BCE from tomb assemblages of the pre-imperial Qin polity in modern-day Shaanxi
Figure 2 Ceramic dancer figurine (height 7.6cm) from Zhaojiaxuyao Tomb No. 2, Linzi, Shandongprovince (c. early fourth century BCE). From Linbo (2005, 42, fig. 11.3).
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(Table 2; Falkenhausen 2004, 132). It took about four centuries until the typological repertoire waswidened. A few ceramic miniature stoves (Fig. 4) from at least three late third-century BCE cemeteriesin Shaanxi hint at a linear development in that specific cultural milieu. Yet the small number of findsand their vague dates are nothing more than circumstantial indicators. Table 2 tells us, though, that thecustom quickly spread after the empire had been established. Either alone or in combination, miniaturegranaries, stoves and wells (Fig. 5) became familiar sights in the mortuary rites of the social elite.Comparable to figurines, ceramic models – a small number of wooden or bronze items are known aswell (e.g. Guangzhou 1957, 26–8; Guangxi 1972, 26; Table 2) – are restricted to well-equippedburials. Table 2 further indicates the next phase of the development. Once granaries, stoves and wellshad been fairly well established, miniature houses and pigsties began to complement tomb inventoriesaround the mid-second century BCE. By the mid- through late Eastern Han (23–220 CE) a wide varietyof buildings was popular across the country. They ranged fromworkshops through fortified courtyardsto multi-storied towers and paddy fields (e.g. Erickson 2010, 76; Guo 2010, 15–137; Luo 2003).
Artisanal detail
To reiterate, human beings and architecture were miniaturized. Yet artisanal details have beentouched upon only in passing. Servants, dancers or acrobats are recognizable as such because oftheir body posture. Servants, for example, are either kneeling or standing. Some fold their handson the abdomen or breast, while others extend their forearms in serving gestures. The bodies are
Figure 3 Ceramic model of a round granary with pointed roof (height 23.6cm) from Tomb No. 252 atDianzi, Longxian, Shaanxi province (late seventh century BCE). From Shaanxi (1998, 105, fig. 78.1).
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covered by long robes that were either physically sculpted or tailored from intricately embroi-dered silk fabric (Fig. 6). The same effect was accomplished through lacquer paint on three-dimensional clothes carved from a single piece of timber or pigment colour on garmentsmodelled in clay (Fig. 7). Both kinds of technique were utilized to convey more specificattributes or accessories. In a few pre-imperial tombs of the Chu culture, elaborate paintedpendants are dangling from the belts of lacquered wooden attendants (e.g. Jiangling 1989, 46–7;Hubei 1999, 12–13). In the same area, we find quite a few pierced earlobes or real hair onwooden effigies (Hubei 1984, 108–9; Figs 6 and 8). Weapons that identify their carriers assoldiers or guards were applied in colour directly onto the bodies of the figurines or producedseparately. Wooden shields, swords, lances and halberds count among the most common arms,whereas bows, arrows and crossbows appear less frequently (e.g. Nanjing 1987). Likewise, theinstruments of musicians, e.g. ceramic drums and lithophones in early Shandong burials(Table 1) or zithers, flutes and mouth-organs in Western Han tombs, were minutely executed,but non-functional, miniatures (e.g. Hunan 1954, 29, 1973, 97–100, 2000, 399–400).
Some wood and ceramic figurines are missing arms. The fact that most of them were naked atthe time of excavation suggests that they originally wore clothing and that the upper limbs weremade from perishable materials. The exposed bodies could take two forms: from barelysuggesting hominid shape (Fig. 8) to realistically rendering human anatomy. Interestingly,
Figure 4 Ceramic stove model depicting a figurine tending fire, a figurine scooping water, a dog crouchingin front of the fire hole, a gecko on the wall and a pot containing a turtle. The item was recovered fromKongwuling Tomb No. 1, Guigang, Guangxi province (late second century CE). From Guangxi (2005, 47,fig. 6.6).
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coarse outlines are reserved for wooden statuettes. Ceramic figurines, in turn, might even showgenitalia. Or not, as the explicitly removed penises of eunuchs in an ancillary pit of EmperorJing’s (r. 157–141 BCE) tumulus demonstrate (Jiao 2006, 54; Ma and Li 2005). Regardless ofwhether artisans barely finished or intricately fashioned the body, they always took great painscarefully to depict facial features and hair. Be it through apparel, body parts or countenance, astrong concern for realism is quite obvious. This observation has prompted Ladislav Kesner tospeculate on whether figurines were fashioned after specific living individuals, a reading that heultimately rejected for lack of conclusive inscriptions (2007, 44).
Figure 5 Ceramic well model (height 13.2cm) including pyramid roof (originally supported by fourwooden posts) from Tomb No. 8 at Huanghuagang, Guangzhou, Guangdong province (late second centuryCE). From Guangzhou (2004, 468, fig. 14.5).
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The large quantities and wide typological variety of architectural models precludes acomprehensive account of structural minutiae. Nevertheless, the following examples suf-fice to illustrate that craftsmen again strove for verisimilitude. Some granaries reproducedthe tall stilts of actual buildings. Many such structures exhibit conical extensions at thetop, a feature that was supposed to prevent rodents from pilfering crops from real store-houses. Cooking stoves consist of a fire chamber, a chimney and the stove top, on whichsteamers and pots were placed. Selected items show an anthropomorphic sculpture tendingkindling inside the fire chamber. Other artefacts provide glimpses into local cuisine as wefind fish (and cooking tools) impressed on the stove top surfaces or the occasional turtleinside a vessel (Fig. 4). A number of square enclosures housed sows, with sucklingpiglets, and a small building. At times a hole in the elevated floors of such sheds opensinto the pit below. On rare occasions, a human sculpture squatting over the cavity explainsthat we are indeed looking at latrines-cum-pigsties. Larger residential courtyards mayshow scenes of everyday life as well. Their gates are defended by armed personnel,while figures surrounded by kneeling servants safely sit in the interior (e.g. Selbitschka(Xie) 2010: 178–84).
Figure 6 Lacquered wooden female figurine with human hair clothed in an embroidered silk robe (height 57.5–60.5cm) from Tomb No. 1 at Mashan, Hubei province (c. 340–278 BCE). From Hubei (1985, 81, fig. 66).
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Archaeological context
Figurines and model vehicles appear within tomb assemblages as parts of clusters of specificobjects or deposited together with other statuettes. The latter was, for instance, the case in TombNo. 168 at Fenghuangshan near Jiangling, Hubei province (dated 167 BCE). Its wooden chamberwas divided into three compartments, one of which accommodated the 60-year-old maleoccupant’s two nested coffins, another segment housed beverage and food containers and thethird section contained 50 lacquered wooden figurines. These comprised farmworkers holdingspades and other tools, soldiers carrying bamboo swords and attendants. In addition, the gravecontained two model chariots, an oxcart and a rowing-boat (Hubei 1993, 484–9). In the easternand southern compartments of Mawangdui Tomb No. 1 (dated 168 BCE) a large retinue ofattendants accompanied foodstuff stored in vessels. In the northern section, a banquet scene wasrecreated. The setting involved an actual seating area (consisting of a bamboo mat, a lacquerscreen and an armrest), a real lacquer tray (laden with lacquer plates, cups, bamboo skewers)and a group of miniature wooden musicians and dancers encircled by servants (Fig. 9).
Figure 7 Lacquered wooden female servant figurine wearing a painted silk robe (height 42cm) from TombNo. 168 at Fenghuangshan, Hubei province (d. 167 BCE). From Hubei (1993, 489, fig. 31.4).
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Tracing the position of architectural models in tombs reveals that granaries, stoves and wellswere at first exclusively related to sustenance. All early objects listed in Table 2 were combinedwith food and/or beverage vessels. This did not change throughout most of the Western Han
Figure 8 Female wooden figurine with roughly prepared body, painted (lacquer) facial features and humanhair (height 54.6cm) from Tomb No. 354 at Yutaishan, Hubei province (early-mid fourth century BCE).From Hubei (1984, 115, fig. 91.4).
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period (e.g. Hubei 1993, 495; Shandong 1975, 367). When further miniatures, such as housesand towers, started to emerge towards the end of the Western Han, the arrangements began tospread out. Granaries, stoves and wells still remained affiliated with food and drink containers,
Figure 9 Arrangement of lacquered wooden figurines from Mawangdui Tomb No. 1 (168 BCE). Northerncompartment: seating area consisting of a bamboo mat (no. 449), a lacquer screen (no. 447) and an armrest(no. 445); lacquer tray and contents (no. 382); musician, dancer and servant figurines (eastern part of thecompartment). Additional figurines in association with food and beverage containers were found in theeastern and southern compartments. From Hunan (1973, 36, fig. 36).
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but various kinds of farm buildings, livestock and workshops were now added. Burials thatyielded residential structures were usually larger in scope and presented several chambers(Fig. 10; Beijing 1977, 377; Hunan 1980).
In general, figurines and architectural models surface from burials of the social elite. Thestatus of tomb occupants determined the absolute number of figurines and the variety of rolesthey represented. Highly complex tomb structures such as those of the imperial family encom-passed several hundred or even thousands of zoomorphic and anthropomorphic statuettes whilethe rather modest wooden chamber of a local official interred in Tomb No. 11 at Shuihudi,Hubei province (d. 217 BCE), for example, accommodated two figurines, one carriage and threehorses (Yunmeng 1981, 8, 52–3). The same is true for architectural models; the larger and more
Figure 10 Location of ceramic models from the brick chamber Tomb No. 8 at Huanghuagang, Guangzhou,Guangdong province (late second century CE): house (no. 59), granary (no. 3), stove (no. 14) and well (no.16). From Guangzhou (2004, 457, fig. 6).
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exquisitely furnished the tombs, the more (different) kinds of miniature appliances, buildings,etc., come to light.
The sexes of most human remains are impossible to determine so that any relation betweenthe departed and the amount or kinds of figurines is hard to gauge. The few sites that allowtentative conclusions suggest that a few armed men might be discovered in male and femaleburials, but larger numbers of troops were restricted to male occupants. As exemplified byFenghuangshan Tombs No. 167 and 168, servants, musicians, acrobats and others are spreadroughly equally between the two sexes (Fenghuangshan 1976, 33, 35; Hubei 1993, 484–9). Asfar as models are concerned, some late third-century BCE through first-century CE gravesrevealed stoves, granaries and/or wells. Interestingly, these mostly coincided with male indivi-duals or joint burials (e.g. Hubei 1993: 495, Gansu 1972: 12–13). As stated previously,elaborate miniature courtyards, towers and the like gained prominence around the early secondcentury CE. At that time, wooden chambers at the bottom of verticals shafts had been supersededby horizontal brick chambers (Figs 9 and 10). Simpler structures comprised one single room andlittle to no architectural miniatures. They were generally designed to host the remains of oneperson. In more extravagant constructions, several rooms were arranged around a central hall(e.g. Beijing 1977, 377). The fact that such tombs often did not provide human bones at allprevents any meaningful analysis of this issue.
Significance
My introductory remarks have already shown that most modern commentators concur with thereceived texts in seeing figurines as substitutes for human sacrifices and miniature models (aswell as figurines) as mingqi especially produced for funerals. The latter argument is anything butcompelling if one takes evidence from contemporary settlement sites into account. Scholarshiphitherto has failed to recognize that comparable kinds of figurines and models are also knownfrom various residential sites. For instance, miniatures discarded together with administrativedocuments and legal codes in ancient wells or left inside a house clearly belonged to the realmof the living (e.g. Changsha 2013, 9; Guangdong 1998, 25; Huang 1956, 45; Jiangling 1988,17–18; Shaanxi 2007, 19). Granted, this is a far less common phenomenon, but given therandomness of settlement finds this is hardly surprising. The point is to realize that miniaturesplayed a – thus far unexplored – role in the lives of the living as well as the dead.
The substitute theory cannot entirely withstand closer scrutiny either. In following Confucius’arguments scholarship ordinarily accepts that figurines rather suddenly replaced human sacri-fices for moral reasons. Yet, both customs overlapped for almost one millennium – the oldestfigurines date from the early eighth century BCE while sacrificed humans are documented untilthe second century CE (Table 1; Huang 1990, 247; Xu and He 1973, 59–60); all in all anobservation that barely speaks for a swift change in practices. The more pertinent question, then,is: did human sacrifices and miniature figurines fulfil similar functions in tombs? Some thirdthrough first-century BCE texts describe three different types of human sacrifices: a) servants/domestic slaves, b) favourite concubines and c) cherished aides. Authors evaluate actualsacrificed humans in tombs according to sex, cause of death (e.g. decapitation), spatial proxi-mity to the main tomb occupant and associated burial goods. Although not completely
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unaffected by the written records, archaeologists usually arrive at a similar conclusion: the(involuntarily) deceased were slaves, servants or concubines (Shandong 2007, 437–8).
In past discussions of the significance of early Chinese tomb miniatures, semiotics played norole. Yet their physical realism unmistakably identifies them as iconic signs in the Peirceiansense that they stand in an intentional relationship with their referents (e.g. Preucel and Bauer2001, 88–9; Pilz 2011, 19). The statuettes clearly represent servants, musicians, soldiers and soforth. Craig Owens distinguished two kinds of representation. To his mind ‘substitution’ is asymbolic activity in which the image, i.e. our figurine, compensates for an absence. On the otherhand, ‘imitation’ is a theatrical activity that repeats the visual experience and gives the illusionof a tangible, physical presence (1992, 97). Figural substitutes, therefore, would refer to real-lifecounterparts, an understanding rejected by Kesner due to missing inscriptions. However,relevant data are indeed available as more than ten third- through first-century BCE tombsyielded figurines and so-called bamboo inventory slips (qiance) referring to such effigies. Threetexts simply call the miniatures ‘luminous boys’, ‘perished boys’ or ‘effigy humans’ (Henan1989, 59–60, 130; Hubei 1996, 162–3; Chen 1973, 37); the remaining records call them‘humans’, ‘servants’, ‘male servant/slave’ or ‘female slave/servant’ in addition to specificdescriptions of their functions. The inventory from Fenghuangshan No. 168, for instance, counts‘one charioteer [at the rank of] grand servant’ and ‘four male horse grooms [at the rank of]grand servants’ (Hubei 1993, 504). A highly instructive manuscript comes from FenghuangshanNo. 8. The tomb unveiled a list that exceeded the neutral narrative familiar from the otherrecords by assigning personal names to the figurines. Considering appellations such as ‘grandmale servant Equestrian Yi’, ‘grand female servant Fu serving a comb’, ‘grand female servantYi Huan holding a hoe’ or ‘grand male servant Xiong doing construction work’, there can belittle doubt that these wooden artefacts substituted for actual members of the male tomboccupant’s estate (Changjiang 1974, 70–1). Inscribed bronze statuettes and horses unearthedfrom the late second-century CE burial of a high official named Zhang at Leitai, Gansu province,establish an even closer link. They mark the miniatures, for instance, as ‘male/female servants ofthe Zhang family’ or ‘riding horses of Lord Zhang’ (Gan 1972, 17–18; Gansu 1974, 90–7). Thepersonal relationship between the deceased and the miniature surrogates becomes still moreintimate in the so-called ‘announcement to the underworld’ (gaodi ce) retrieved from Tomb No.1 at Xiejiaqiao; the manuscript lists ‘sons, daughters, subordinate concubines, male and femaleservants, horses, and oxen’ among the items that followed the female occupant into the graveand apparently required declaration to the underworld bureaucracy. In this case, not just servantsand livestock were substituted for, but family members as well (Jingzhou 2009, 41; Liu 2009,120–1). Although the grave has been looted, Table 2 demonstrates that an unspecified numberof figurines and an oxcart were still present. In short, early Chinese tomb figurines weresymbolic stand-ins for absent personnel (and perhaps even relatives). The fact that they wereembedded in clusters of artefacts, or tableaux (Wu 2005, 22–5, 2011, 106–11), lends furthercredence to the point. Surrounded by things linked to their trades, the statuettes still fulfilledtheir erstwhile duties. This explains that they were not only substitutes by Owens’ definition, butimitations as well. The arrangements certainly succeeded in recreating lively scenes of everydaylife.
In light of these arguments, the relation of human sacrifices to figurines becomes muchclearer. Essentially, both shared a fragment of one function in tomb assemblages. The aspect ofcompanionship visible in human sacrifices is largely missing from miniatures. Close personal
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ties between effigies and the dead are only hinted at by the manuscript just mentioned. Thecommon denominator was serving the deceased in the afterlife. Yet the scope of such services ismuch narrower in tombs associated with human sacrifices that immediately precede the growingpopularity of figurines from the fifth century BCE onwards (Table 1), i.e. roughly the timeeffigies supposedly substituted for actual human beings, in one crucial respect: human sacrificesmay symbolize, for example, attendants, musicians and charioteers (e.g. Huai’an 2009, 19), butnot warriors or even ‘farmhands’. The palette of social representations through figurines wasnoticeably wider as their roles departed from a highly personal to a more broadly defined,impersonal sphere. Thus, effigies were conceptually rooted in human sacrifices. However,instead of merely substituting for the latter, human miniatures quickly took the idea to thenext level.
Including models in the analysis adds another dimension to the range of representations.Scaled-down vehicles such as chariots are closely connected to figurines and, by extension, tothe most private domain. Some excavated manuscripts suggest that they were not imagined tocarry the soul of the dead into the afterlife as has been claimed (e.g. Wu 2011, 201–4). Byalluding to modes of transportation through model chariots, individuals were rather expressingthe need to continue their jobs beyond the point of biological death. Several texts in scribe Xi’sburial at Shuihuidi (No. 11: Yunmeng 1981, 52–3) and in the tombs of other clerks like him(e.g. Table 2, Zhangjiashan M336; Hubei 1999, 26–32) disclose that their work as lowerofficials required extensive travelling. Their model carriages were for them to get around inthe hereafter.
The relation of the earliest miniatures of immobile objects (granaries, stoves, wells) tosustenance is undeniable. Unlike vehicles such as chariots, oxcarts and boats (Table 2), whichintroduced the notion of space, they emphasized the factor of time. While the deceased mayhave consumed the pre-prepared meals with which they were buried shortly after entering analtered existence, granaries – some still containing rice or millet (Table 2) – ensured that therewould be an indefinite supply to cook on the ovens. Given the importance of subsistence, it iseasy to see why granaries, stoves and wells became the most popular models. They werediscovered even in fairly modest (although by no means ‘poor’) burials that produced few othermodels and/or figurines, or none at all. While pigsties and comparable objects elaborated on theissue of sustained nourishment, residential houses, complex courtyards and so on addressedanother matter. Since the private estates of the tomb occupants and thus their main sources ofincome through tax collection had grown increasingly vast (e.g. Bielenstein 1979, 146–52;Ebrey 1986, 622–6; Hulsewé 1978, 13–14), the sheer sizes of graves no longer sufficed tosubstitute for one’s environment. Linking the deceased to actual landownership is no easy featsince explicit inscriptions are missing. Nevertheless, some evidence might help to remove anylingering doubts. For instance, inscriptions preserved on four ceramic pots retrieved from a latesecond-century CE tomb at Zhanwan, Henan province, projected that the land of the tomboccupant would generate revenues of 20 million coins for his heirs. Unsurprisingly, the largevaulted brick chamber brought a miniature tower, a house, a granary, a well, a workshop, apigsty, a sheepfold, a stove, dogs and fowl to light (Henan 1975, 78–9, 82). Another telling findcomes from a mid-third-century CE tomb at Echeng, Hubei province. Despite being looted, itstill yielded various figurines and models. Among the latter, a large courtyard comprising afortified wall, living quarters and workshops is the most significant find. An inscription on thefind reads as follows: ‘This is the estate of General Sun’ (Echeng 1978, 165). The military
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leader clearly owned property that was supposed to be substituted in the grave. Lastly, somesecond- and third-century CE burials contained models and so-called ‘land contracts’ thatidentified the occupants as rightful owners of the plot. In such instances, at least possessionof the very land the tomb was built on seems certain (Hulsewé 1978; Kleeman 1984, 9–18). Insum, miniature buildings, workshops and agricultural fields helped to recreate the ‘new worldorder’. Naturally, the latter models would fit the sustenance argument equally well, but theywere much more than that. The harvests reaped from rice paddies were not feeding the deaddirectly, but represented sources of income. Analogous to human sacrifices and figurines, thesocial personas of landowners, officials and aristocrats came into focus rather than theirimmediate bodily welfare. Various kinds of architectural models not only replaced real-lifehomes; they were instrumental in creating a microcosm of the entire realms of the deceased,their own ‘little empires’ so to speak.
Conclusion
Although reduced in size, most members of the early Chinese social elite – setting aside anumber of tomb owners that still relied on human sacrifices – regarded tomb miniatures as noless effective than their actual counterparts. Transformed into the world of tombs, servantstended their masters, musicians and acrobats provided entertainment, farm workers ploughedfields and soldiers defended the realm visualized in the afterlife. As such, tomb miniatures wereamong the first, if not the most eminent material manifestations of new religious practices. Oncebronze ritual vessels, and by extension ancestor worship, were paramount in tomb assemblages;now the personal fate of the dead individuals took precedence. Men and women strove to enjoythe rewards of a life well lived also in the hereafter.
Acknowledgements
This work was supported by an Alexander von Humboldt Foundation Feodor LynenPostdoctoral Fellowship and the Department of East Asian Languages and Cultures, StanfordUniversity. I am grateful to John Kieschnick and two anonymous reviewers for valuablecomments on earlier drafts. All remaining mistakes are, of course, my own.
Disclosure statement
No potential conflict of interest was reported by the author.
Armin SelbitschkaLudwig-Maximilians-University Munich
armin.selbitschka@ostasien.fak12.uni-muenchen.de
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Armin Selbitschka is an assistant professor at Ludwig-Maximilians-University, Munich, and isthe author of Prestigegüter entlang der Seidenstraße? (Wiesbaden: Harrassowitz, 2010). He haspublished on archaeological practice in the People’s Republic of China, and is currentlypreparing a monograph on early Chinese burial customs reflected in the archaeological recordand received literature.
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