On the Periphery of a Great “Empire”: Secondary Formation of States and Their Material Basis in the Shandong Peninsula during the Late Bronze Age, ca. 1000-500 B.C.E Minna Wu Submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the Graduate School of Arts and Sciences COLUMIBIA UNIVERSITY 2013 @2013 Minna Wu All rights reserved ABSTRACT On the Periphery of a Great “Empire”: Secondary Formation of States and Their Material Basis in the Shandong Peninsula during the Late Bronze-Age, ca. 1000-500 B.C.E. Minna Wu The Shandong region has been of considerable interest to the study of ancient China due to its location in the eastern periphery of the central culture. For the Western Zhou state, Shandong was the “Far East” and it was a vast region of diverse landscape and complex cultural traditions during the Late Bronze-Age (1000-500 BCE). In this research, the developmental trajectories of three different types of secondary states are examined. The first type is the regional states established by the Zhou court; the second type is the indigenous Non-Zhou states with Dong Yi origins; the third type is the states that may have been formerly Shang polities and accepted Zhou rule after the Zhou conquest of Shang. On the one hand, this dissertation examines the dynamic social and cultural process in the eastern periphery in relation to the expansion and colonization of the Western Zhou state; on the other hand, it emphasizes the agency of the periphery during the formation of secondary states by examining how the polities in the periphery responded to the advances of the Western Zhou state and how local traditions impacted the composition of the local material assemblage which lay the foundation for the future prosperity of the regional culture. By utilizing the rich archaeological data, epigraphic evidence and textual sources, the dissertation focuses on two research questions: First, how did cultural interactions play out in the region through possible processes of cultural adaption, assimilation, persistence, and resistance, and what are their material manifestations in the archaeological record? Second, how did the political relationship between the peripheral states and the dynastic center change in variable degrees of dependency or autonomy? This study provides important insight into the issue of cultural interaction and secondary state formation and, by extension, into the social evolution of the Shandong area. TABLE OF CONTENTS TABLE OF CONTENTS---------------------------------------------------------------------------i LIST OF TABLES ---------------------------------------------------------------------------------vii LIST OF MAPS -----------------------------------------------------------------------------------viii LIST OF FIGURES-------------------------------------------------------------------------------ix ACKNOWLEDGMENT--------------------------------------------------------------------------xiii CHRONOLOGY OF WESTERN ZHOU KINGS--------------------------------------------xv DEDICATION-------------------------------------------------------------------------------------xvi INTRODUCTION-----------------------------------------------------------------------------------1 CHAPTER I. CULTURAL CONTACT AND SECONDARY STATE FORMATION: A THEORETICAL BASIS------------------------------------------------------------------------8 Introduction-----------------------------------------------------------------------------------8 I.1 Culture Contact Theory-----------------------------------------------------------------9 I.2 Secondary State Formation: Problem of Definition and Theoretical Framework-----------------------------------------------------------------------------------18 I.3 Types of Secondary States in Shandong---------------------------------------24 II. LOCAL COMPLEX IN THE EASTERN PERIPHERY DURING THE SHANG: A BACKGROUND------------------------------------------------------------------------------28 Introduction----------------------------------------------------------------------------------28 II.1 Environment and Landscape of the Region----------------------------------------29 II.2 Shang and Its Eastern Frontier: Archaeological Evidence------------------------32 II.2.1 The Early and Middle Shang Period----------------------------------------33 II.2.2 The Late Shang Period--------------------------------------------------------38 i II.2.3 Salt Production Sites in the Bohai Bay--------------------------------------45 II.3 Shang Interaction with Its Eastern Neighbor: Evidence from Oracle-Bone Inscriptions-----------------------------------------------------------------------------49 II.3.1 Ren Fang and Its Relations with the Shang--------------------------------49 II.3.2 The Location of Ren Fang----------------------------------------------------54 II.4 Beyond the Shang Culture: Indigenous Material Cultures in the Jiaodong Peninsula---------------------------------------------------------------------------------57 II.4.1 Late Phase of theYueshi Culture--the Zhaogezhuang Type (Early-Middle Shang Period)------------------------------------------------------------------------58 II.4.2 The Zhenzhumen Culture (Contermporary to Late Shang Period)-----59 Conclusion------------------------------------------------------------------------------------61 III. THE AGENT IN THE “FAR EAST”: NEW REGIONAL STATES ESTABLISHED BY THE HEAVEN-MANDATED ZHOU------------------------------------------------65 Introduction-----------------------------------------------------------------------------------65 III.1 Zhou Colonization in the East: Theory, Strategy, and Practice------------------67 III.1.1The Theory of “Heaven’s Mandate” and the Grand Strategy: the Fengjian System-----------------------------------------------------------------------67 III.1.2 Regional States in Shandong: General Mode of Establishment--------70 III.2 The Formation of a Regional Agent: the State of Qi during the Western Zhou-----------------------------------------------------------------------------------72 III.2.1 Chenzhuang and the Archaeological Discovery of Early Qi------------74 III.2.2 Regional Cultural Integration Northern-Western Shandong during the ii Western Zhou Period-----------------------------------------------------------------91 III.2.3 The Political Formation of Qi and its Relationship with the Zhou Court------------------------------------------------------------------------------------94 III.3 Road to Hegemony: the Transformation of Qi during the Spring and Autumn Period ----------------------------------------------------------------------------------98 III.3.1 Formation of a New Regional Culture: Reflections on Changes in the Material Culture of Qi --------------------------------------------------------------98 III.3.2 Reorganizing and Restructuring the State: Internal Transformation-109 III.3.3 External Policy: Ba-Hegemon and the Relationship with the Zhou Court ----------------------------------------------------------------------------------117 Conclusion-----------------------------------------------------------------------------------120 IV. STRUGGLEING AGAINST OR SUBMITTING TO “ALIEN” RULE: THE RISE OF STATE WITH DONG YI ORIGIN IN THE JIAODONG PENINSULA--------124 Introduction--------------------------------------------------------------------------------124 IV.1The Jiaodong Peninsula: Environment and Regional Socio-political Transformation------------------------------------------------------------------------126 IV.1.1 Environment and Natural Resources--------------------------------------127 IV.1.2 Development of Indigenous Cultural Tradition: from the Neolithic to the Western Zhou Period----------------------------------------------------129 IV.1.3 Advances of the Zhou Culture and Regional Social Integration-------132 IV.2 The Issue of Dong Yi and the Rise of the States with Dong Yi Origins-----140 IV.2.1 Dong Yi in the Western Zhou: Concept and Evidence from the Bronze iii Inscriptions---------------------------------------------------------------------------140 IV.2.2 The Rise of Non-Zhou States with Dong Yi Origins in Shandong: the Large Picture-----------------------------------------------------------------------144 IV.3 The Rise of Lai as a Central Power in the Jiaodong Peninsula----------------148 IV.3.1 The Origin of Lai------------------------------------------------------------148 IV.3.2 Lai as a Political Ally of the Western Zhou: the Shi Mi Gui and Shi Yuan Gui-------------------------------------------------------------------------151 IV.3.3 Possible Location of the Capital of Lai----------------------------------154 IV.4 The Guicheng Site and Regional Political Transformation--------------156 IV.4.1 The Process of City Construction------------------------------------------158 IV.4.2 The Elite Culture and Bronze Production in Lai-------------------------162 IV.4.3 Ceramic System: Comparison between the Zhou and the Indigenous Pottery Traditions---------------------------------------------------------------------171 IV.4.4The Nature of Guicheng Site and its Socio-political Transformation--176 IV.5 Competing for Political Supremacy: Lai during the Spring and Autumn Period----------------------------------------------------------------------------------177 IV.5.1 Lai and Regional Interactions----------------------------------------------178 IV.5.2 Lai’s Competition with Qi-------------------------------------------------180 IV.5.3 Shuyi zhong and the Fall of Lai-------------------------------------------186