University of Pennsylvania ScholarlyCommons Publicly Accessible Penn Dissertations 2013 The Horse in Pre-Imperial China Xiang Wan University of Pennsylvania, [email protected] Follow this and additional works at: https://repository.upenn.edu/edissertations Part of the Asian History Commons, and the Asian Studies Commons Recommended Citation Wan, Xiang, "The Horse in Pre-Imperial China" (2013). Publicly Accessible Penn Dissertations. 720. https://repository.upenn.edu/edissertations/720 This paper is posted at ScholarlyCommons. https://repository.upenn.edu/edissertations/720 For more information, please contact [email protected]. The Horse in Pre-Imperial China Abstract This dissertation investigates the role of the domestic horse in pre-imperial China motivated by the rise of studies on the horse as an interdisciplinary field. Among archaeological finds of the pre-imperial era, horse corpses and horse harnesses have been an essential part of cultural relics. Documentary sources on the horse can be traced back to the earliest Chinese writings. In this dissertation it is suggested that the domestication was a long, staged process, and the transmission route of the horse from the Urals to China via Central Asia will be proposed. A comprehensive survey of the archaeological remains related to the horse in the pre-imperial era constitutes the second main aspect of this dissertation, while documentary sources focusing on the use of the horse in civil and military affairs and the interaction of the horse and human beings . After comparing the role of the horse in China with that in other ancient civilizations, such as Greece, India and Persia, the discussion will end up with a summary of the contributions of the domesticated horse to pre- imperial China. Thousands of miles of roads were constructed for equestrian transport, and politically the horse accelerated the pace of militaristic expansion and consolidation of territory. The use of the horse also facilitated agriculture and trade, and thus propelled the society forward into the imperial era. Degree Type Dissertation Degree Name Doctor of Philosophy (PhD) Graduate Group East Asian Languages & Civilizations First Advisor Victor H. Mair Keywords domestic horse, exploitation of the horse, horse and chariot burials, horse breeding, human interaction with the horse, pre-imperial China Subject Categories Asian History | Asian Studies This dissertation is available at ScholarlyCommons: https://repository.upenn.edu/edissertations/720 To Qiqi, our companion ii Acknowledgements I would like to express the deepest appreciation to my academic advisor, Professor Victor H. Mair. He continually encourages my exploration in the field of early Chinese history, society and culture, especially the mediation between the humans and the horse. Professor Mair possesses both the attitude and the substance of a genius, which always conveys a spirit of adventure in many fields of scholarship within Sinology and beyond. On the other hand, he ignited my excitement in teaching through his innovative, inspirational courses at Penn. Without his guidance and persistent help this dissertation would not have been possible. I would like to show appreciation to the chairperson of the East Asian Languages and Civilizations Graduate Group, Professor Nancy S. Steinhardt. Her warm academic nourishment throughout my five-year study at Penn is a prerequisite for my completion of the PhD degree here. Her thought-provoking comments and persistent considerations for the development of my scholarship do not only constitute a fortune for now but also an asset for my future career. Also, I would express my gratitude to my committee member Dr. Adam D. Smith for his critical comments and long-term support of my research, as well as a series of beneficial discussions in and after class. Professor Paul R. Goldin, the Department Chair and my general examiner, also provided insightful questions and plenty of substantial advice for the formation of my caliber. In addition, I am grateful to many scholars, fellow students who helped me during the past five years for their supervising my academic work and/or assisting me in writting the dissertation or providing me with useful materials: Asif Agha, Matthew Anderson, Fangyi Cheng, Nathan Hopson, Yousheng Li, Sai Ma, David W. Pankenier, Deven M. Patel, Donald Ringe, Greg Urban, and Taishan Yu. I must also thank Ms. Karen Vellucci who helped me with editing and revising the draft of all chapters. I am greatly benefited from the Benjamin Franklin fellowship offered by the Graduate Division of the University of Pennsylvania as well as the Dean’s Summer Research Fellowship. Working as a Teaching Fellow, I immersed myself as a team member of the Chinese Language Program at Penn, and learned a lot from Dr. Mien-hwa Chiang, Dr. Maiheng S. Dietrich and Ms. Yunong Zhou. During the last year of my PhD study, I also have a chance to work with Dr. Chang-whei Theresa Jen and her team at the Lauder Institute Chinese Language and Culture Program, which is an excellent opportunity for teaching practice. Lastly, I must thank my dearest wife, Jing Wen, who has been accompanying me for ten years. Her knowledge on ancient Egypt and ancient economies greatly inspired me. The productiveness of my academic work is inseparable from her immense contribution from material and spiritual perspectives. Our parents also provided incalculable care and assistance in the past five years when we are far away from home. My mother-in-law came to Philadelphia during my busiest time and whole -heartedly supported my work. I really appreciate her dedication to my wife and me. iii ABSTRACT THE HORSE IN PRE-IMPERIAL CHINA Xiang Wan Victor H. Mair This dissertation investigates the role of the domestic horse in pre-imperial China motivated by the rise of studies on the horse as an interdisciplinary field. Among archaeological finds of the pre-imperial era, horse corpses and horse harnesses have been an essential part of cultural relics. Documentary sources on the horse can be traced back to the earliest Chinese writings. In this dissertation it is suggested that the domestication was a long, staged process, and the transmission route of the horse from the Urals to China via Central Asia will be proposed. A comprehensive survey of the archaeological remains related to the horse in the pre-imperial era constitutes the second main aspect of this dissertation, while documentary sources focusing on the use of the horse in civil and military affairs and the interaction of the horse and human beings . After comparing the role of the horse in China with that in other ancient civilizations, such as Greece, India and Persia, the discussion will end up with a summary of the contributions of the domesticated horse to pre-imperial China. Thousands of miles of roads were constructed for equestrian transport, and politically the horse accelerated the pace of militaristic expansion and consolidation of territory. The use of the horse also facilitated agriculture and trade, and thus propelled the society forward into the imperial era. iv Table of Contents Chapter 1: Introduction ......................................................................................................................... 1 1, Outline of dissertation ...................................................................................................................... 2 2, Original contribution ........................................................................................................................ 5 3, Previous scholarship......................................................................................................................... 7 Chapter 2: Domestication of the horse and possible transmission routes to China........................ 12 1, The horse as domesticated animal .................................................................................................. 12 2, The process of horse domestication on the Steppe ......................................................................... 16 3, The genetic mechanisms of horse domestication ........................................................................... 21 4, The spread of domestic horse to China .......................................................................................... 22 Chapter 3: Archaeological finds related to the domestic horse in pre-imperial China .................. 26 1, The discoveries of horse and chariot burials .................................................................................. 27 A). Horse and chariot burials of the late Shang period .................................................................. 29 B). Horse and chariot burials during the Western Zhou period...................................................... 41 C). Horse and chariot burials during the Spring and Autumn period ............................................. 53 D). Horse and chariot burials during the Warring States period .................................................... 61 2, Related issues ................................................................................................................................. 63 A). Social status and horse and chariot burials .............................................................................. 63 B). Horse remains in the Northern Zone and related issues ........................................................... 67 Chapter 4: The significance of the domesticated horse in pre-imperial