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Investigating early Shang civilization on the lower Yellow Riverfloodplain 37

km

Figure 1 Location of the Shangqiu area on the floodplain of the lower Yellow River. This area wasinundated frequently by the Yellow River from the early twelfth to mid-nineteenth century. Opencircles indicate modern cities. Archaeological sites investigated in this study include: Laonanguan;Shantaisi (1); Mengzhuang (2); Panmiao (3); Gaoxin (4); Mazhuang (5); and Dujie (6).

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38 Zhichun JING, George (Rip) Rapp, Jr, and Tianlin GAO

carried out by the Institute of Archaeology of the Chinese Academy of Social Sciencesduring the 1970s and 1980s (Kaogu 1978, 1981, 1983; Kaoguxuebao 1982), no systematiceffort was attempted until 1990 when Harvard University and the Institute of Archae-ology initiated an interdisciplinary project to investigate the predynastic and early Shangcultures in the Shangqiu area (Chang 1990). As an important component of the inter-disciplinary project, geoarchaeological studies by the University of Minnesota - Duluthwere conducted to examine prehistoric and early historic sites, including early Shang sites,in an evolving landscape, and to predict and detect the potential settlements situated onthe deeply buried earlier floodplain.

Archaeological background

Archaeological investigation of Shang and other early cultures in the Shangqiu area hasbeen limited to mound sites which were always thought to represent the primary patternof human settlements during the prehistoric and early historic periods. Although bothNeolithic Longshan and middle and late Shang remains have been clearly identified, thearchaeological record of the predynastic and early Shang periods remains elusive. Thearchaeological record in the area appears to be temporally discontinuous and topo-graphically segregated. Thus, the influence of the Shang culture in the Shangqiu areabefore the middle Shang period has been questioned. Furthermore, the lack of earlyShang finds in this archaeologically important region has challenged the traditional viewthat Shang civilization originated there.

The question is whether the current pattern of archaeological sites can be taken as therecord of early human occupation without considering the potential biases introduced bychanges in both cultural and natural landscapes. In terms of both the regional archaeo-logical picture and geomorphic changes, the current distribution pattern of archaeologi-cal sites apparently yields a skewed picture of the prehistoric and historic settlementpatterns. The lack of a dynamic approach to the classification of cultural assemblagesfound in the area may be responsible for the cultural gap in the archaeological record.The identification of cultural sequences of Shang culture is often made by comparing themwith the cultural

sequencesand characteristic traits defined in central Henan where the

Erlitou (Xia), and middle and late Shang sequences have been well characterized. Thepotential connection between coastal Neolithic cultures (Dawenkou, Shandong Longshanand Liangzhu) and the later mature Shang culture of the Zhengzhou and Anyang phasesis rarely taken into consideration in the analysis and identification of cultural remains(Chang 1976,1983). Our knowledge of Shang culture in the Shangqiu area is also limitedby the impact of dynamic geological processes on the archaeological record. The areareceived a great quantity of alluvial sediments in association with frequent inundationwhen the Yellow River flowed south and south-east from AD 1128 (the end of the North-ern Song Dynasty) to AD 1855 (late Qing Dynasty). After his enthusiastic search for Shang

sites in the Shangqiu area during the 1930s, Li (1947: 84) stated with frustration:The Shangqiu area has been repeatedly flooded. ... No wonder that in journeying overthe Shangqiu area one sees sandy fields without end In general the ground surface is


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Investigating early Shang civilization on the lower Yellow Riverfloodplain 39

covered with 2.5 meters of silt, below which are yellow sands.... It is no wonder thatnot even Han sherds are visible, let alone prehistoric sites

By focusing on the latter concern, we demonstrate the potential of geoarchaeologicaltechniques in the study of the settlement history of prehistoric and early historic culturesin the Shangqiu area by elucidating the impact of geomorphic processes on the spatial andtemporal pattern of the archaeological record.

Geoarchaeological coring program

The present physiography of the Shangqiu area is characterized by a broad and flat flood-

plainwith

very gentlerelief. The flat

floodplainhas

veryfew

stratigraphic exposuresand

no exposure shows more than the late historic overbank sediments. Therefore, intensivegeoarchaeological coring was carried out to reveal subsurface stratigraphy and to studyHolocene geomorphic changes. Three different types of coring technique have beenemployed over the past six years (1991-6), comprising Dutch auger, Luoyang spade (a tra-ditional tool used to detect buried cultural sediments in China) and truck-mounted per-cussion rig. Both the Dutch auger and Luoyang spade are manually operated, relativelyinexpensive and fast. Depending on the lithology of sediments, the Luoyang spade couldgenerally reach a depth of about 6-8m, whereas the Dutch auger could drill as deep as13m. Despite yielding only a narrow column of subsurface strata, these cores provide a

quick scan of both the geology and the archaeology at depth. Over 700 cores were drilledby both Dutch auger and Luoyang spade in seven seasons from 1991 through 1996. Inaddition to manual corers, a truck-mounted percussion rig was utilized to drill thirteen10cm-diameter cores in order to recover more cultural debris. Although our drillingprogram covered seven sites in the Shangqiu area, we concentrated on a site called Lao-nanguan, a 6 x 6km2 area south and south-west of the present town of Shangqiu Xian(Fig. 1), where drilling in 1991 revealed a deeply buried cultural deposit.

History of alluviation and pedogenesis

The physical appearance of the Shangqiu area has been shaped largely by the alluviationof the lower Yellow River. The lower Yellow River flows north-east - far from Shangqiu -and empties into the Gulf of Bohai. The fluvial processes of the river currently have littleinfluence on the changes in the modern landscape of the Shangqiu area. However, histori-cally the Yellow River was the most critical element in the landscape evolution of the area.Because of the highly aggrading nature of the river channel and the high erodibility of theriver banks, the lower Yellow River easily floods, breaches and shifts course (Chien 1961;Qian and Zhou 1965). It has relocated its main river course many times in the historic periodthrough the process of avulsion following catastrophic floods (Milliman et al. 1987; Shen1979;Ye 1989). After an artificial levee breach in AD 1128, the lower Yellow River began toflow south-east through the Shangqiu area and to discharge into the Yellow Sea in north-ern Jiangsu; this lasted until AD 1855 (Xu 1982; Zhang and Xie 1990; Zou 1982). From AD


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1128 to 1546 the river flowed through multiple channels characterized by frequent shift-ing, flooding and breaching. Multiple channels developed because the sediment loadexceeded normal capacity and erodible banks permitted rapid channel migration and fre-quent avulsion. From AD 1546 through 1855, the lower Yellow River flowed along a singlecourse situated slightly to the north of the Shangqiu area. During this period, artificiallevees were continuously built to keep river flow in the single channel (Fig. 1). Thesedrastic changes in regional hydrological conditions greatly impacted on the landscape andits associated cultural remains in the Shangqiu area.

Figure 2 is a generalized subsurface stratigraphy in the Shangqiu area, showing twounits: pre-Neolithic paleosol and historic alluvium. The pre-Neolithic paleosol is a well-developed soil representing the land surface from very late Pleistocene to the Han period(c. 2000 BP). It is deeply buried and covered by historic alluvium deposited primarily

duringthe

periodwhen the Yellow River flowed southward

throughthe

Shangqiuarea

from the early twelfth to the nineteenth centuries. The historic alluvium can be furthersubdivided into three or more identifiable lithostratigraphic and pedostratigraphic units(Jing 1994; Jing et al. 1995). No subdivision is made here because this paper has as itsprimary concern potential Shang and other early sites closely associated with the pre-Neolithic paleosol. Associated with the pre-Neolithic paleosol and historic alluvium arethree anthropogenic units - A-1, A2 and A3, from oldest to youngest. A-1 includes thoseanthropogenic sediments dating from the Neolithic to Han periods (c. 2000 BP). Strati-graphically it is directly associated with the pre-Neolithic paleosol. A-2 dates from theHan to Tang-Song Dynasties (about the seventh to twelfth centuries). It formed concur-

rently with the lowest part of the historic alluvium. A-3 consists of all the anthropogenicdeposits later than the twelfth century when the Yellow River began to flow south throughthe Shangqiu area. It is often restricted stratigraphically to those weakly developed pale-osols in the historic alluvium.

The floodplain in the Shangqiu area witnessed a prolonged stable landscape from verylate Pleistocene or early Holocene to 2000 BP during which little or no deposition occurredand pedogenic processes prevailed. Because of the long span of landscape stability, a strongsoil profile developed. This well-developed soil constitutes the stratigraphic base for allNeolithic and other early habitation sites in the area; thus it is called the pre-Neolithic pale-osol in this study. The pre-Neolithic paleosol is composed of olive yellow and yellow silt

loam, sand loam, and clay loam. It is characterized by a thin darkened A horizon and a thick(>lm) well-developed Bkbhorizon, displaying stages I to II calcium carbonate accumulation(terminology of Gile et al. 1966: 348). The accumulation of calcium carbonate in the soilprofile occurred in a relatively dry and cold climate during the late Pleistocene and earlyHolocene (An et al. 1991,1993; Xiao et al. 1995). After the early Holocene, the soil profilecontinued to develop until the Han period (c. 2000 BP), under warmer and wetter climaticconditions (Feng et al. 1993; Shi et al. 1993; Sun and Chen 1991).

Landscape stability was gradually interrupted after 2000 BP when alluviation resumedin the Shangqiu area. Possibly these changes were introduced regionally by both extrin-sic (climate) and intrinsic (vegetation and land use) factors affecting the supply of water

and sediments to the watershed. During the following millennium the average rate of sedi-mentation on the floodplain was about 2mm per year. The accumulation of sediment wasgenerally slow enough to allow simultaneous pedogenic alteration of the sediment.


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Investigating early Shang civilization on the lower Yellow River floodplain 41

meter

~~~~I I II I I I/////A I' I I I7~ 777I I, I o

, ~~~~~~~~~~~~Iii r~~~~~~~~~~~~2Iy a I I I I I |M d

1, ,/ I 1A-3 7 Historic Alluvium Site

~I I I I I i I' I I I I I I I I i i I I T.T.1, 1 1 1 1 1

IAI- I I I 16t'. .'.A 1 1 1 1

---_--t- -+--f--1--+--;-X--+--t --4--+-- X--4--X--I--$-l| . X I 8

_f++++A-2 + +++++< l LA1-+4 i-l1.-1 --t

~A-i~~1Pre-Neolithic Paleosol (PS-1)12

Figure 2 Generalized Holocene stratigraphy showing pre-Neolithic paleosol and historic alluvium.The pre-Neolithic paleosol provided a stable land surface from very late Pleistocene to the Hanperiod (c. 2000 BP). The historic alluvium formed primarily from the early twelfth to the mid-nine-teenth century, but its lowest part (indicated by a dashed ine) accumulated rom the Han period(c.2000BP) to the Tang-Song Dynasties (seventh to twelfth centuries). Three anthropogenic nits -A-1, A-2 and A-3 - are also illustrated o show their stratigraphic ontexts.This diagram s not hor-izontally caled.

Alluvial deposition increased dramatically after the early twelfth century when the Yellow

River began to flow southward through the Shangqiu area. Because of frequent breachingand shifting of the lower Yellow River channel courses, the area suffered frequent largefloods and occasional catastrophic floods and the sedimentation rate increased tremen-dously. It was 11-15mm per year at Laonanguan, the major site investigated in this study.As a consequence, the old floodplain surface has been covered by as much as 10m ofalluvium, leaving almost nothing of the former landscape visible on the modern surface.The historic alluvium usually consists of three or more identifiable sedimentary-pedologicsequences. Each sequence is bipartite and comprised of a basal sandy silt and silty sandfacies showing no or little pedogenic modification, overlain by fine-grained clay and siltyclay facies in which one or more weakly-developed soil profiles can be observed (Fig. 3).Each sequence is capped by another silty sand or sandy silt unit which also comprises thebase of successive cycles (Jing et al. 1995).

The landscape instability with a high rate of sedimentation continued in the Shangqiuarea until AD 1855 when the Yellow River shifted its trunk course back to the north. Sincethen the area has experienced much less alluviation and the floodplain again becamestabilized. Unlike the early period of landscape stability, the modern agricultural land-scape consists of relatively infertile silty and sandy alluvium.

Geomorphic evolution and early archaeological sites

The study of landscape changes has significant implications for the interpretation ofarchaeological site distribution, preservation, visibility, and the prediction of site location


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-1 0 1 2 3 4 5 6 7 8

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Grain Size (q5)

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Grain Size (qn)Figure Grain-size distribution f different ediments and soils. The left column ncludes our sam-ples from the historic alluvium which exhibits cyclic changes n grain size from the basal coarse-grained acies (U-3, U-5) to the top fine-grained acies (P-3, P-5). The right column contains hreesamples rom anthropogenic nits and one from the pre-Neolithic paleosol, showing bimodal distri-bution n grain size.

Environmental magnetic techniques have proven to be a powerful tool in the study ofsite formation processes (e.g. Dalan and Banerjee 1996). Two environmental magneticproperties - anhysteretic remanent magnetization (ARM) and low-field magnetic sus-ceptibility (X) - are employed to characterize different anthropogenic units and to infertheir sediment sources. Both ARM and X are directly proportional to the concentrationof magnetic minerals. ARM is particularly sensitive to the presence of fine-grained mag-netic minerals whereas Xis relatively more sensitive to the presence of the coarser grainedmagnetic minerals. ARM vs. X plots are a useful means of characterizing the concentra-tions and grain size of the magnetic minerals in sediments and soils (Banerjee et al. 1981;Dalan and Banerjee 1996). Figure 4 plots three anthropogenic units over the fields definedby the pre-Neolithic paleosol and historic alluvium. The ARM vs. X plot shows a strong

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2.0Historic Alluvium - HA2

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(x10o-4)Figure 4 ARM vs. X plot of anthropogenic sediments. Ellipses represent the populations at 75 percent probability evel defined by pre-Neolithic paleosol and historic alluvium, espectively.he his-toric alluvium consists of two subgroups:HA - without recognizable pedogenic properties; andHA2 - with recognizable edogenic properties. Both ARM and Xare expressed n the square rootsof original measurements which are in A-m2/kg and m3/kg or ARM and X,respectively.

linkage to sediment sources for both A-i and A-3. A-1 fits within the field defined by thepre-Neolithic paleosol, characterized by a relatively low concentration of magnetic min-erals. Stratigraphically, A-1 has a close affiliation with the pre-Neolithic paleosol. The pre-Neolithic paleosol and its parent sediments must be the primary building material forarchaeological features, such as house foundations and city walls, represented by A-i. A-3 falls mostly within the field defined by historic paleosols developed in the historicalluvium. Unlike A-1 and A-3, anthropogenic unit A-2 shows a more scattered distri-bution in the ARM vs. X plot. It plots in a wide area overlapping with all three fieldsdefined by the pre-Neolithic paleosol and historic alluvium, suggesting the potentialmixing of two types of materials - pre-Neolithic paleosol and historic alluvium in the for-mation of A-2. Thus, prehistoric and historic sites can be discriminated from those of laterperiods in terms of the magnetic properties ARM and X of their sedimentary matrices(Jing and Rapp 1997).


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Prediction and detection of early archaeological sites

One of the major objectives of our geoarchaeological study was to predict and detectburied sites, particularly large settlements, on the basis of the study of the floodplain strati-graphic sequence and of geomorphic changes. The buried sites are indispensable forreconstructing fully the cultural history of the prehistoric and early historic periods in theShangqiu area.

The identification of the pre-Neolithic paleosol in drill cores is a key to understandingthe landscape setting of the prehistoric and early historic sites, including those of the earlyShang Dynasty. The pre-Neolithic paleosol represented a long period of landscape stab-ility from the Neolithic to the Han periods when human occupation of discrete periodstook place on the same surface. As stated above, prehistoric and early historic sites are

closelyassociated with the

pre-Neolithic paleosol. Stratigraphicallythese sites are situ-

ated on the pre-Neolithic paleosol. The primary building material for those early archaeo-logical features came from the pre-Neolithic paleosol and its parent sediments. A thickhistoric alluvium has buried the pre-Neolithic paleosol and most of its associated humanremains as deep as 10-12m, removing them from view. Therefore, the establishment of thepresence of the pre-Neolithic paleosol and its burial depth is essential to the predictionand detection of prehistoric and early historic sites. The deep burial of the pre-Neolithicpaleosol has limited our ability to predict and detect buried sites; thus it impedes therecognition of the settlement pattern of prehistoric and early historic periods in theShangqiu area.

Laonanguan is a large buried site detected during our geoarchaeological survey. Liter-ally, Laonanguan means 'old southern town gate'. It is located south and south-west ofShangqiu Xian (Fig. 1). At this site, an average 2.5m thick anthropogenic deposit buriedat 8-10.5m was first found on the pre-Neolithic paleosol in 1991, when we inferred thatthere was a relatively stable pre-Neolithic surface at a depth of 8-12m at Laonanguan,based on stratigraphic data from core drilling. Since then the Laonanguan site has beenthe focus of our geoarchaeological work because of its high potential for yielding largeearly settlements. Several lines of evidence underscore the significance of Laonanguan interms of the search for large prehistoric and early historic settlements in the Shangqiuarea: (1) the deeply buried anthropogenic unit on the pre-Neolithic paleosol found ubi-

quitously over a relatively large area, approximately 5 x 3km2; 2) multiple periods of cul-tural remains as early as the Neolithic; and (3) the favorable geomorphologic conditionsfor early human occupation, including the well-developed floodplain soil suited for habi-tation and cultivation, and the concurrent river channels buried to the south of this site.

Intensive coring in the spring of 1996 finally led to the discovery of a major city of theSpring and Autumn Period (770-476 BC) of the Eastern Zhou Dynasty in the west part ofthe Laonanguan site. Three of four city walls made of rammed earth have been detectedby coring, the whole west wall and the west portion of both the north and south walls beingwell preserved. The west wall has a length of 3000m. The base of the city wall is about11-12m deep, but in places its top lies only 2-3m beneath the present ground surface; it

has an average width of 13-15m. Figure 5 shows the coring profile of a possible gate inthe west wall, identified from the examination of the stratigraphic relations of differentanthropogenic and natural deposits. The V-shaped cut in the buried rammed earth wall is


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M 0 100 200 300 400 500 600 700 800 900 1000 1100 1200

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historicalluvium

collapsedramimedearth

; road arthpre-Neolithicpaleosol

Figure 5 Geoarchaeological oring profile showing a possible gate in the west wall of an EasternZhou city at Laonanguan. The detection of the possible gate is based on the stratigraphic relation-ship of different ypes of sediments and soils. The paleosurface marked by a dashed line is not alayer or boundary n the city wall,but the level of the street surface n the city.

filled by historic alluvium, at the center of which is the possible gate location. As seen incore 205A, the historic alluvium is underlain by collapsed rammed earth which is rela-tively loose compared to intact rammed earth. Moreover, the collapsed rammed earthoverlies a layer composed of road earth, which cannot be found inside the city wall itself.A city gate was often only a small gap in the wall, but it could easily have been enlargedby various natural and cultural agents, such as flooding, after abandonment.

Several ancient texts mention that the city Song was built by the descendants of theShang royal house on their homeland. The city Song has long been believed to be located

somewhere in the Shangqiu area. The city site is tentatively identified as Song, but itsdefinitive identification must await further excavation and survey during the comingseasons. The discovery of the city site sheds new light on the settlement history of the pre-historic and early historic periods in the Shangqiu area.

Acknowledgements

Our geoarchaeological survey in the Shangqiu area was conducted as part of the col-laborative project 'Archaeological Investigation of Early Shang Civilization in China'

between Harvard University and the Institute of Archaeology in Beijing. Special thanksgo to K. C. Chang, American director of the project, for his generous support and encour-agement. Many thanks are due to Malcom H. Wiener for his continuous enthusiasm for


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archaeological science and his support of this project. We would like to thank two anony-mous reviewers for their suggestions and comments.

Zhichun JING

George (Rip) Rapp, JrArchaeometry Laboratory

University of Minnesota - Duluth, USA

Tianlin GAOInstitute of Archaeology

Chinese Academy of Social Sciences

Beijing, China

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