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Home , Dai (Sixteen Kingdoms), Eastern Wei, Gao Huan, Jicheng (Beijing), Northern Qi, Northern Wei

A Study of the Funeral Figurines from Tombs of the Period

Ni Run’

Key words: funeral figurines from tombs of the Northern Zhou period concepts of the Northern Towns – model combination manner evolution of ritual

Since the 1950s, tombs of the Northern Zhou period have the “new style,”roughly in the earlier Northern Zhou been discovered in the 陕西 and 宁夏 Jiande reign (572–575). regions. With the accumulation of archaeological data, On this basis I sum up the problems calling for dis- scholars’ studies have been increasingly deepened and cussion in three points: 1) The Northern Zhou funeral widened. Based on these accomplishments, I try to re- figurines flew their own colors with strong distinctive veal in depth the evolutionary course of funeral figu- features and formed a unique style in the late Northern rines in the Northern Zhou by investigating the division Dynasties period. What does their formation course look of their types, subtypes and phases. like? 2) In a short period for some 20 years (557–581), The pottery funeral figurines of the Northern Zhou they went through three phases of evolution. How were period are not so rich in variety but rather distinct and the changes brought about? 3) At the final stage of the uniform in character. According to their differences in new style prevailing phase, new changes appeared symbolizing meaning, I divide them into three classes. among the Northern Zhou funeral figurines. Did they The first class comprises figurines of tomb guardians represent the developmental direction of Northern Zhou and evil spirit exorcists, i.e. statuettes of tomb-protect- funeral figurines? ing animals and warriors. The second class represents To research into the formation of the features of North- processional attendants, embracing walkers, horsemen ern Zhou funeral figurines, the first step is investigating and pack animals. The third class is formed of figurines the factions of political forces in the Northern Zhou rul- of household servants, including livestock and poultry ing clique and their strength, and tracing the matter up breeders and models of their implements. to the time of the founding of the Dynasty. Through a typological study of the funeral figurines I At that time, the political and military foundations of trace their evolutionary course, divide them into the the Western Wei consisted mainly of three groups. The “old style”and “new style”that prevailed in differ- first group was the officers and soldiers following the ent periods, and reveal the phenomenon that the replace- Xiaowudi 孝武帝 and fleeing ment of the former by the latter was brought about in from Luoyang 洛阳 into the Guanzhong 关中 region. the way of “sudden change.”Therefore, I divide the The second consisted of personages from the“ Northern Northern Zhou funeral figurines into three phases: the Towns.”They were the backbone for ’s politi- “old style prevailing phase”before the full development cal power holding its ground in the Guanzhong–Gansu of new style figurines, corresponding to the earlier North- 甘肃 region, and occupied most of the higher-rank po- ern Zhou period (AD 557–571); the “new style pre- sitions of the Western Wei ruling clique. The third em- vailing phase”after the vanish of the main body of old braced those from the Guanzhong–Gansu region, includ- style figurines, corresponding to the later Northern Zhou ing Han nationality local bullies largely from Yongzhou Jiande 建德 reign through the replacement of the Zhou 雍州 and influential figures from the Qiang 羌 and by the (576–581); and the “transitional 氐 ethnic groups in this region. Although they acted phase”for the rapid replacement of the “old style”by principally as middle- and lower-rank officials, the

186 Chinese Archaeology Yuwen 宇文 power should closely draw them over to 鲜卑 dress of the human figurines, but in type its side and rely on them. Of these groups the first was and features, they followed the style prevailing, to trace the weakest in force and was being weakened constantly, to remote periods, during the Han and Jin dynasties in so Yuwen Tai 宇文泰 considered mainly the latter two the Central Plains, and, to speak of later times, across groups’ interests and ideas when he formulated his the territories under the control of the strongly Sinicized policies. This is just the clue for my studying the for- 匈奴, Di and Qiang nationalities in the mation course of Western Wei and, further, Northern Guanzhong–Gansu region. The new traits brought about Zhou funeral figurines, and prompts us to start with the in the Yun- region were the appearance of camel and funeral culture and concept of the regions where the pack donkey figurines and some human statuettes with above-described political groups came from. footboards, but these were not so district. On the whole, At present the Western Wei tombs excavated are still the 拓跋 Xianbei tribes created few new things small in number. An exemplifying discovery is Hou except for covering a Han-style or Sinicized undercur- Yi’s 侯义 tomb of the 10th year, 大统 reign, rent with a dazzling Xianbei coat. However, the forces Western Wei (AD 544), at Hujiagou 胡家沟 in Xianyang of Xianbei in the Yun-Dai region were so deep-rooted 咸阳. The funeral figurines from this grave show the that it called for a long time to fulfill an all-round following three features: 1) In type they represent tomb- although there was such a tendency, so the protecting animals and warriors, northern tribesmen, Emperor Xiaowendi did not will to wait for this and de- saddled horses, foot soldiers, officers, officials, male and cided to move his capital to Luoyang and open a new female servants, walkers and horsemen in cowl-like hats, world for Sinicization. After his moving capital, he aban- armed horsemen on barded horses, musicians on horse- doned the implementation of Sinicization in the Yun- back, camels, donkeys, dogs, chickens and maids at Dai region and allowed the continuous practice of old work. 2) In appearance and style, the human figurines Xianbei costumes. Meanwhile, in the Luoyang area, are largely fat-bodied, big-bellied, and often in northern the Xianbei-colored coat was rapidly thrown away, and tribesmen’s dress, showing a strong bearing of northern the Han-style one was formally covered on the Sinicized tribesmen. 3) In making technique, they are shaped not frame. The appearance and bearing of funeral figurines in sectional molds but half ones with the body made were sharply changed, their workmanship became much solid and the back straight. The works are made in the more elegant than that of Yun-Dai works, and the divi- same mold for the same type and finished without sion of their varieties was more elaborately on the basis retouch, producing a stereotyped feeling. of the latter. Nevertheless, the emperor“ordered im- A comparison of the funeral figurines from the Hou migrates in Luoyang to bury the dead in and not Yi’s tomb with the Sinicized ones from late Northern to convey them back to the north,”which made the new Wei tombs in the Luoyang area shows that the two groups accomplishments of Sinicization fail to exert effective are fairly close in type, but distinctly different in style influence on the Yun-Dai region. In this circumstance, and technique. By contrast with the luxury and degen- the Yun-Dai burial custom that previously had influenced eration embodied in the Luoyang pottery funeral southward on and even Luoyang went quickly to figurines, the Hou Yi’s grave can be taken as a simpli- vanish. Moreover, pottery figurines were withdrawn fied burial. Nevertheless, simple burial must have led from late Northern Wei tombs in the Yun-Dai region. to the simply- and coarsely-making of funeral figurines Therefore we believe that there was already no practice rather than to the northern tribesmen bearing of human of burying pottery figurines in late Northern Wei tombs figurines as seen in the Hou Yi’s tomb. This feature of the Yun-Dai region. After their entry into the must have brought about due to other factors. Guanzhong–Gansu region, the Northern Towns person- Thus I turn my research to the traits of Northern Wei ages in the Yuwen Tai government exerted their influ- funeral figurines in the Yun-Dai 云代 region. Among ence in the Xianbeiization of concepts. They requested the dated tombs of the middle Northern Wei so far dis- to embody northern tribes’ customs rather than to intro- covered in the Pingcheng 平城 area are the tomb of duce models directly. Shaozu 宋绍祖 of the first year, Taihe 太和 reign (477) Then what a developmental tendency did the and that of Jinlong 司马金龙 and his wife of the Guanzhong–Gansu funeral figurines present? In the Six- eighth year, Taihe (484). The funeral figurines of the teen Kingdoms and Northern Dynasties periods, the cul- two graves are characterized, in appearance, by the tural aspect of tombs in the Guanzhong–Gansu region

Volume 6 187 was more complex than that of Luoyang and Yun-Dai tribes’ air of the funeral figurines of the Hou Yi’s tomb, graves. For the period, the features of which suggests that the big-bellied body must have been Guanzhong–Gansu funeral figurines can be investigated the common appearance and aesthetic sense of the then by referring to two burials: the first is the tomb at officers from the Northern Towns. During the period of Caochangpo 草场坡 Village, Xi’an, with pottery figu- occupation by the Northern Wei, the local bullies of Han rines in a distinct Han style; and the second, Tomb No.1 nationality and the Di and Qiang tribes after Sinicization at Xinji 新集 in Pengyang 彭阳, which bears no strong suffered mainly military control, but their cultural as- color of Sinization, and the figurines of walkers with pect was rather heterogeneous, and their tombs provide cowl-like hats show heavy northern tribesmen’s manner. no complete, uniform model of funeral figurines. In the After the Northern Wei capturing Chang’an City, Tuoba Western Wei period, they became the forces Yuwen Tai Xianbei dress began to be introduced into the should rely on and win over, which their tombs reflected Guanzhong–Gansu region. Among the funeral figurines as the absorption of any types with local features. But from the early Northern Wei tombs discovered in Xi’an, this is not enough to explain the matter, as the funeral in addition to works following the products of Sinization figurines of the Hou Yi’s tomb were quite complete in brought about under previous northern tribes’ power, type, the maker of which must have consulted the prac- there appeared again figurines of tomb-protecting ani- tice for late Northern Wei tombs in Luoyang. That is to mals and warriors. As for the middle Northern Wei say, the group of funeral figurines in the Hou Yi’s tomb period, no dated tombs have been discovered so far in was formed by combining the Xianbeiization concept this region. Judging by the multifarious aspect of late of the Northern Towns with the Guanzhong–Gansu Northern Wei funeral figurines, the early Northern Wei model featuring local colors, and by following the com- tendency was not successfully developed; on the contrary, bination manner of Luoyang figurines. its northward spread produced important influence on For Northern Zhou tombs, the funeral figurines of the middle Northern Wei tombs in the Yun-Dai region. old style prevailing phase were developed just by fol- Turning back to the funeral figurines from the Hou lowing closely the appearance, variety and making tech- Yi’s tomb of the Western Wei, the factors of their fea- niques of the works represented by the funeral figurines tures can be described as follows. The coarse workman- of the Hou Yi’s tomb. So the old style figurines of the ship corresponded to the weak economic base in the Northern Zhou resulted from the political and cultural Guanzhong–Gansu region, which demanded restraining backgrounds corresponding to those of the Hou Yi’s luxury and advocating thrift so that Yuwen Tai would be tomb. To consolidate his power, Yuwen Tai strove to able to concentrate his forces to struggle against Huan unite and gather the forces of the northern tribes and 高欢. The fatness and northern tribesmen manner of the Guanzhong–Gansu personages around himself by imple- human figurines came from the psychological desire of menting the so-called“ policy based on the Guanzhong– Northern Towns personages. Emperor Xiaowendi’s Gansu culture”by “acting on the classical institutions Sinicizing reform with the Han nationality fostered and of the Zhou 周礼 (Zhou Rituals) and conforming with the northern tribes restrained led to the loss of the origi- the current conditions of the northern tribes and Han nal advantageous position of the Six Towns 六镇 per- nationality in the Guanzhong–Gansu region.” Although sonages and to the rise of their strong anti-Sinicization it did not reach the height of “using vehicles, dress, mind. The sharpened contradiction between the Han na- utensils and other objects in accordance with ancient tionality and the northern tribes bred finally large-scale institutions,”the Hou Yi’s tomb was just a product of revolt. As military expeditions went on, the Six Towns the combination of the Northern Towns Xianbeiization personages entered the Central Plains, and held influen- concept with local features in the Guanzhong–Gansu tial positions in both the and Yuwen Tai groups. region, corresponding completely to the essence of the After the fall of the Northern Wei Dynasty, the reaction “policy based on the Guanzhong–Gansu culture.”When of resuming Xianbeiization appeared in the Eastern and the Northern Zhou inherited the power of the Western Western Wei, the officers from the Northern Towns set Wei, smooth transition was brought about in various up Yuwen Tai as the ruler, and the forces for Sinicization aspects except for the alteration of the emperor, and the in the group were much weaker than those in the Eastern cultural policy was continued down to the Northern Zhou Wei. All these made him bound and able to pursue ex- naturally. In the earlier Northern Zhou period, Emperor tensive Xianbeiization. Just from this came the northern Wudi advocated Confucianism with the purpose of elimi-

188 Chinese Archaeology nating the Xianbeiization color of his power and adding they vanished in a gradual course rather than as a sud- the Confucian mode to the then ritual. But under the den change. This was much concerned with the noble- restriction by Yuwen , in his earlier reign, he contin- men that had a deep-rooted relationship with the North- ued to implement the cultural policy of the Datong reign, ern Zhou power and strove to maintain in secret old and most of the new ritual institutions he intended to Northern Zhou institutions. But the Sui Emperor Wendi carry out did not reflect his will to the full. In the first restrained them step after step and combed them out year of Jiande reign (572), Wudi killed Yuwen Hu, his finally, and appointed new political personages royal to son and their partners and began to conduct every ad- the new dynasty to important positions. Thus the forces ministrative affair in person, and the new ritual institu- on that the Northern Zhou ritual institutions had been tions could be fully implemented. As a reflection in able to survive were weakened day by day until thor- burial, there appeared new-style funeral figurines, and, ough fall, and the funeral figurines with Northern Zhou with Wudi’s forceful advocating, the transitional stage features stepped down from the stage of history gloomily. from the old style to the new one was very short, only Reference Works four to five years long, and the making of old-style figu- rines terminated roughly in the earlier Jiande reign. 1. Ni Run’an 倪润安 (2002). “Xiwei Beizhou In the sixth year of Jiande reign (577), the Northern muzang de faxian yu yanjiu shuping 西魏北周墓葬的 fell down, and “most of the wealthy personages moved 发掘与研究述评” (A Review of the Discovery and to the south of Shanhaiguan 山海关.” Emperor Wudi paid Study of Western Wei and Northern Zhou Tombs). great attention to the introduction of social customs and Kaogu yu Wenwu 考古与文物 2002.5. cultural institutions from the region outside Shanhaiguan, 2. Ningxia Huizu Zizhiqu Guyuan Bowuguan 宁夏回 and invited Xiong Ansheng 熊安生, Changheng 卢 族自治区固原博物馆 and Zhong Ri Yuanzhou Lianhe 昌衡 and others to participate in the revision and enrich- Kaogudui (compilers) 中日原州联合考古队编 (1999). ment of the new ritual institutions he advocated, which Yuanzhou Gu Mu 原州古墓集成 (Collection of greatly accelerated the Sinicization of Northern Zhou Studies of Ancient Tombs in Yuanzhou). : Wenwu ritual. Correspondingly to this background, Northern Chubanshe 文物出版社. Zhou funeral figurines would undergo again new changes. 3. Shi Rui 史睿 (1997). “Beizhou houqi zhi Tangchu The new character would be, on the basis of original lizhi de bianqian yu xueshu wenhua de tongyi 北周后期 Northern Zhou style, to absorb selectively and alternately 至唐初礼制的变迁与学术文化的统一” (The Evolution features of funeral figurines and to show in- of Ritual and the Unification of Learning and Culture in creasingly strong mode of Sinicization. This course, the Late Northern Zhou to Early Tang Period). Tang Yanjiu however, was broken off and changed owing to the usur- 唐研究, vol. III. Beijing: Beijing Daxue Chubanshe 北京 pation of Jian 杨坚. 大学出版社. After the Sui Dynasty replaced the Zhou power, the 4. Wan Shengnan (editor) 万绳楠整理 (1999). Chen emperor Sui Wendi 隋文帝 ordered definitely to con- Yinque Wei Jin Nanbeichao Shi Jiangyan Lu 陈寅恪魏 sult and follow the ritual institutions of the Liang and 晋南北朝史讲演录 (Chen Yinque’s Lectures on the Northern Qi dynasties and discard those of the Northern History of the Wei, Jin and Southern and Northern Dy- Zhou, although the latter had won political and military nasties Periods). : Huangshan Shushe 黄山书社. victory. Under this cultural policy, the funeral figurines 5. Yun Anzhi (compiler) 员安志编著 (1993). of the and Northern Qi system completely Zhongguo Beizhou Zhengui Wenwu: Beizhou Muzang changed their state of only being absorbed selectively Fajue Baogao 中国北周珍贵文物—北周墓葬发掘报 and began to be intruded into the central zone of North- 告 (Valuable Chinese Cultural Relics from the North- ern Zhou funeral figurines on a large scale, making the ern Zhou Period: Excavation of Northern Zhou Tombs). latter discarded and replaced, although they already dem- Xi’an: Shaaxi Renmin Meishu Chubanshe 陕西人民美 onstrated still stronger tendency of Sinicization. But 术出版社.

Note: The original paper, published in Kaogu Xuebao 考古学报 2005.1: 27–54, with five figures and a table, is written by Ni Run’an 倪润安. The present summary is prepared by the original author and English-translated by Mo Runxian 莫润先.

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