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Published online by Cambridge University Press: 01 July 2024
I believe that in world history today the question of the interdependence and mutual relation of various cultural regions arises with renewed urgency. Against those tendencies which place racial, national and cultural complexes in sharp opposition and underline only antagonistic tendencies and conflicts between them, it is necessary to emphasize the basic continuity and uniformity of the development of the human race, and to realize that the world, despite all its complexity and variety, has unity. No human group exists in isolation, and the higher its culture, the more fertile and numerous are its relations with other cultures.
1 O. Lattimore, From China Looking Outward, New Orient 1965, 1, p. 20 and seq.
2 J. Prušek, Eine neue Gesamtdarstellung der Geschichte Chinas (W. Eberhard, Chinas Geschichte, Bern 1948), Orientalistische Literaturzeitung 48, 1953, pp. 389- 406. Also: Les récentes théories d'Eberhard sur les origines de la civilisation chinoise, Archiv Orientalní (below, abbreviated to ArOr), 21, 1953, pp. 35-92.
3 Certain researchers date this stormy period further back into the past. Thus K. Jettmar, Die Frühen Steppenvölker, Baden-Baden 1964, p. 218 and seq., links the immigration of sea peoples, who reached the eastern Mediterranean between 1250 and 1100 B.C., with the appearance of steppe cavalry, which in my opinion is not correct. I share the view of S. I. Rudenko, Kultura neseleniya Centralnovo Altaya v skyfskoe vremia, M.L. 1960, p. 96, and a number of other studies, that this transition was gradual and that a radical change "stimulating the rearing of large herds of horses and, in places, of herds of cattle and flocks of sheep, in South Siberia, and in the east and west of the steppe zone, did not take place later than the 9th and 8th centuries B.C.".
4 For instance, Ellis H. Minns in his well-known book, Scythians and Greeks, Cambridge 1913.
5 Herodotus IV, 13, cf.: Herodotus, transl. by H. Cary, London 1908, p. 242.
6 K. Jettmar 1964, p. 223.
7 G. Haloun, Zu J. J. M. de Groot, Die Hunnen der vorchristlichen Zeit, OLZ 1922, pp. 433-438.
8 G. Haloun, Zur Üe-tsï Frage, Zeitschrift d. Deutsch. Morg. Gesell. Bd. 91 NF Bd 16, Leipzig 1937, pp. 243-318.
9 J. Harmatta, Le Problème Cimmérien, Archaeologiai Ertesitö, Series III. Vols. VII-IX, Budapest 1948, pp. 79-132, writes p. 97: "D'autre part ni la théorie de A. Herrmann, ni celle de G. Haloun ne résistent à la critique."
10 In the study entitled, " Investigation of the Incursions of the Red and White Ti into the East ", Ch'ih Ti Pai Ti tung ch'in k'ao, Yü-kung, Vol. VIII, 1937, Nos 1-3, pp. 67-68 (in Chinese).
11 The view that the steppe belt was relatively peaceful before the rise of no madism is accepted also by K. Jettmar 1964, p. 215, and by various Soviet in vestigators.
12 J. Gernet, in this most recent book, La Chine Ancienne, Paris 1964, pp. 29- 30, points to the prehistoric relations between the regions bordering the steppe belt. It must be noted, however, that so far it has not been possible to establish any genetic connection between the individual regions of painted pottery in res pect of the type of ornament.
13 A short report by a cultural brigade of the Autonomous Region of Inner Mongolia on the finds of cultural deposits and burial grounds, discovered in the Autonomous Region of Inner Mongolia since 1957, published in the periodical Wen-wu 1961, 9, pp. 5-7 (in Chinese).
14 B. Karlgren, Some Weapons and Tools of the Yin Dynasty, BMFEA, Stock holm 1945, pp. 101-144. Chêng Tê-k'un, Archaeology in China, Vol. III Chou China, Cambridge 1963, p. 138 and seq.
15 The sharp rise in population in the Minusinsk basin in stressed by S. V. Kiselev, Drevniaya istoria Yushnoi Siberi, 2nd ed., Moscow 1951.
16 The paleoanthropologist, G. F. Debec, Paleoantropologia SSSR, Trudy inst. etnografii, new series, Vol. IV, Moscow-Leningrad 1948, pp. 81-83, found among the Karasuk population pure Sinoid types. On the basis of this, S. V. Kiselev, op. cit., 114 and seq., formulated the theory of the migration of certain tribes to this region from the Chinese borderlands. Recently V. P. Alekseev contested the view put forward by Debec, showing on the contrary that the Karasuk po pulation is extremely mixed, and found the dominant type to be Pamiro-ferghanic and probably close to the present-day inhabitants of Tajikistan and Uzbekistan.
17 Debec, op. cit., p. 81; S. V. Kiselev, op. cit., p. 145 and seq.; S. V. Kiselev, Mongolia v drevnosti, Izvestia Ahademii Nauk, SIF, Vol. IV, pp. 255-372 and especially p. 360; M. P. Gryaznov, Istoria drevnich plemen verchnei Obi po raskopkam bliz. Bolshaya Rechka, Izd. Ak. Nauk. M. L. 1965, p. 36 and seq. Chêng-Tê-k'un, op. cit., p. 140, actually speaks of the re-settling of Shang's war riors in the north, which is surely going a little too far.
18 This is the conclusion reached by B. Karlgren, Some Weapons p. 143, note 1, on the basis of a typological comparison of various implements.
19 M. P. Gryaznov, Istoria drevnich plemen, p. 84.
20 Kiselev, Drevnaya istoria, p. 288 and seq. and esp. p. 291. A specific feature of the Maiemiric culture are kurgans and burials with horses, bits of a certain shape, mirrors, etc. Certain elements link it with the Tagar culture, but charac teristic of it so far is the non-existence of iron.
21 Kiselev, Drevnaya istoria, p. 257: "…the horse became at this time the most important factor in the economy. The Tagar epoch is the period in which for the first time in northern Asia a horse harness is worked out for riding. "
22 This is Rudenko's idea, see Note 3 and also his book, Gornoaltaiskie na chodki i Skifi, M. L. 1952, p. 21, and, esp. p. 24.
23 Rudenko, Gornoaltaiskie nachodki, p. 22. On p. 24 of the same work, he shows that in the Scythian period it was always only one part of the ethnic group that led a truly nomadic form of life, whereas the other part was occupied in the main with agriculture and that there was a constant alternation of the two forms of economy.
24 This thought is expressed by K. Jettmar in Die Frühen Steppenvölker, p. 216.
25 The robber and fighting character of the early nomads is realistically descri bed by Gryaznov, Istoria drevnich plemen, p. 72 and seq., on the basis of finds in Bolshaya Rechka near Blizhni Elbany.
26 Kiselev, Drevnaya istoria, p. 227.
27 Kiselev, Drevnaya istoria, pp. 251-252.
28 I think that we can identify the Arimaspians, with a considerable degree of certainty, with the Altai Scythians, because on a gold ornament from great Bliznica, an Arimaspian armed with an axe in combat with griffin wears prac tically the same dress as we find on the wall tapestry from the kurgan Pazyryk V, namely, closefitting trousers and a typical cloak. The Arimaspian is depicted in E. H. Minns, Scythians and Greeks, p. 425; the carpet in Jettmar's Die Frühen Steppenvölker, p. 115.
29 S. I. Rudenko, Gornoaltaiskie nachodki i Skifi, p. 248, is of the opinion that the Scythian tribes appeared in the Altai in the second half of the 8th and in the 7th cent. B.C. On p. 250, he speaks of the advent of Scythian tribes perhaps from the upper courses of the Irtysh and the Zaisan basin, or from the foothills of the Tarbagatai Mts., with a fully-developed culture.
30 Kiselev, Drevnaya istoria, p. 291 and seq.
31 Jettmar, op. cit., p. 144.
32 This fact is pointed out by B. Karlgren in Ordos and Huai, BMFEA IX, 1937, p. 97. Mention of thousands of Ordos bronzes is made by T. J. Arne, Die Funde von Luan P'ing und Hsuan Hua, BMFEA, V, 1933, p. 155-175, where there is a detailed description of these finds. See also J. G. Andersson, Selected Ordos Bronzes, BMFEA, V, 1933, pp. 143-154.
33 See the Chinese report cited above in Note 13 and, especially, Wen-wu 1959, 6, p. 79, where the find of a grave is reported, with weapons and personal ornaments "of Scythian type", said to be from the era of the Warring States, 475-221 B.C.
34 O. Lattimore, Studies in Frontier History, Paris 1962, p. 145, dates the beginnings of the conflicts between the Chinese and the nomads to the time of the building of the Long Wall, that is, towards the end of the 4th cent. B.C. This view is most succinctly expressed by Chêng Tê-k'un, Archaeology in China, Vol. III, Chou China, where (p. 138) he writes that "the Ordos bronzes were ornaments used by sedentary poeples, not by hunting nomads as they were generally regarded in the past. " The character of the Ordos weapons and orna ments is the same as in other domains of Scythian culture and can be explained only by the existence of a similar economic and cultural complex. On the other hand, there is no doubt that these elements in the Jehol region occur mixed with artifacts testifying to agricultural settlement. An explanation is furnished by Soviet researchers who show that pure nomadism never existed and that only part of the tribe was specialized in the rearing of cattle, whereas the rest went in for cultivation of the soil. See Note 23 above.
35 M. von Dewall, Pferd und Wagen in China, Bonn 1964, p. 187.
36 This fact is stated quite unambiguously by B. Karlgren, Ordos and Huai, p. 110.
37 See Notes 13 and 33.
38 This event is recorded in the 87th ch. of Hou Han-shu, Wang Hsien-ch'ien chi chieh (ed. with commentary by Wang Hsien-ch'ien, from 1933), p. 2b, where it is related that the king attacked the Ch'üang-jung, took captive five of their kings and transferred them to T'ai-yüan. Like most of the information in this chapter, which deals with the fighting between the first kings of the Chou dynasty with the western barbarians, this is taken over most probably from Chu-shu chi-nien " Chronicles written upon Bamboo, " the ancient chronicles of the states of Chin and Wei, compiled about 299 B.c. and found in a grave in the year 281 A.D. There is no doubt that the resettlement of a numerous tribe in a region lying somewhere north of the Chou center, accompanied by the usual brutalities, was an ill-advised act which created a constant threat and contributed in no small measure to the break-up of the Chou power. The realization that it was an ill-considered act is reflected in the book, Kuo-yü " Conversations of State, " ch. 1, Chou-yü " Conversations of the Chou, " where speeches are put in the mouths of various counsellors of King Mu discouraging him from an expedition against the Ch'üan-jung. The king, however, ignored their advice and undertook the expedition. Is it probable that the taking captive and forcible transfer of whole large groups of people, such as is recorded, for instance in the inscription on a bronze tripod, Hsiao Yü ting, from the beginning of the Chou era, possibly helps to explain how, after the collapse of the power of the Chou kings in 771, the whole basin of the river Wei in Shen-hsi was overrun by various groups of barbarians. The inscription on Hsiao Yü ting has been recently analyzed by W.A.C.H. Dobson, Early Archaic Chinese, Toronto 1962, p. 226 and seq. Unlike some Chinese researchers, I would locate T'ai-yüan somewhere north of the Chou center, and not too far.
39 The Scythians, London 1957, p. 43.
40 J. Legge, The Chinese Classics, Vol. IV, Part II, pp. 258-261; 261-265; 281-284; 284-287. A. Waley, The Book of Songs, London 1954, pp. 122-129. B. Karlgren, BMFEA 14 (1942), pp. 71-247; 16 (1944), pp. 25-256; 17 (1945), pp. 65-99; 18 (1946), pp. 1-198.
41 Kuo Mo-jo, Liang Chou chin wen tz'û ta-hsi t'u-lu, k'ao shih, " Body of Inscriptions on Bronzes from the Time of the Chou Dynasty and their Interpre tation, " Peking 1957, Vol. 77, pp. 103b, 106a and 143b.
42 One of inscriptions cited (Kuo Mo-jo, p. 106a) tells how a certain Chinese commander pursued the Hsien-yün and defeated them, whereupon the barbarians are said to have reassembled their forces and pursued him. Perhaps we may assume that this is a description of the usual tactics of mounted nomads, who feigned retreat and when the enemy pursued them suddenly turned and attacked. The first of the poems cited above mentions that the Hsien-yün are very quick, which is a point worth noting, since their speed is appreciated by Chinese warriors fighting on chariots.
43 Striking art motifs, such as the t'ao-t'ieh mask (T. G. Frisch, Scythian Art and Some Chinese Parallels, Oriental Art, Vol. II, 1949, No. 1, pp. 16-24, No. 2, pp. 57-67) pole-tops, cast helmets and mirrors with a ring; Scythian akinakes, too, have their closest analogy in Ordos daggers. It would be necessary to take into consideration the whole equipment of a Scythian warrior: the composite bow, the axe and the short sword.
44 This possibility was first pointed out by K. Jettmar in the study, The Altai before the Turks, BMFEA, 23/1951, pp. 135-223. See especially p. 156.
45 Rudenko, Gornoaltaiskie nachodki i Skifi, points in the Introduction to the strong Mongolian admixture among the Scythians on the Volga and in the Altai.
46 This hypothesis was put forward by Ellsworth Huntington (see T. Rice, The Scythians, p. 43) and taken over by Meng Wen-chung, Chou Ch'in shao-shu min-tsu yen-chiu, Shanghai 1958, p. 1 and seq., who holds that the northern region suffered from drought for about 150 years between the 8th and 7th cents. B.C.
47 This is the view of the rise of nomadism held by O. Lattimore, Studies in Frontier History, p. 145.
48 These two events are recorded in the 87th ch. of Hou Han-shu, p. 3a. They too are evidently taken over from Chu-shu chi-nien.
49 Tso-chuan, Yin 5th year, Chin. Classics V, p. 27, and Tso-chuan, Huan 6th year, Chin. Classics V, p. 47.
50 Chin. Classics, IV, p. 551.
51 This picture was drawn by H. Maspero in his classic work, La Chine Antique, new ed., Paris 1955, p. 5 and seq.
52 See esp. Haloun's book, Seit wann kannten die Chinesen die Tocharer oder Indogermanen überhaupt, Leipzig 1926, pp. 52, 53 and passim.
53 Chin. Classics V, p. 257.
54 Commentaries on the Ch'un-ch'iu Chronicle, 11th year of Duke Wen. From these commentaries it is clear that the reference is to mythical giants.
55 The song Han-i, see Chin. Classics IV, p. 546 and seq.
56 Tso-chuan, Yin. 5th year, Ch. Cl. V, p. 17.
57 Ibid.
58 In Chu-shu chi-nien, the record is preserved of the expeditions of the first Chou rulers against several tribes settled perhaps in Shan-si. These locations are, however, too uncertain.
59 The conquest of the small state Li is, in the present-day text of Chu-shu chi-nien, entered at the 44th year of the last of the Shang rulers, Chou (not identical with the name of the dynasty), that is, eight years before the definitive fall of the Shang. It is natural that the conquest of the valleys of south-east Shan-hsi rendered the Shang domains in the Great Plain indefensible. The con quest of Li by the founder of the Chou power, Chou Fa, posthumously known as King Wu, is guaranteed by the title of one of the chapters in the no longer extant part of the Book of Documents, Shu-ching, which ran, "The Count of the West has conquered Li." Reference is made to it in the Introduction to Shu-ching attributed to Confucius, where it is stated that "the hatred of the Yin (Shang) for the Chou was due to Chou's conquest of Li," which correctly corresponds to the historical situation. See Chin. Classics III, p. 7.
60 So much can, perhaps, be deduced from the reference in ch. 110 of the Shih-chi ed. Ku Chieh-kang, p. 3, which states that "Duke Wen of Chin drove out the Ti, who then settled to the west of the (Yellow) River, between the rivers Yin and Lo." It seems that this river Yin, or, according to other sources, Huan, was identical with the river Ch'ü-yeh-ho, which in the north intersects the Great Wall and flows into the Yellow River.
61 Wang Kuo-wei: Kuei-fang, Kun-i, Hsien-yün k'ao, An Investigation of the Kuei-fang… etc. Tribes, Wang Ching-an hsien-sheng i-shu, with 1936, Introduction, T'ao 1, Vol. V, Kuan-t'ang chi-lin, ch. 13, shih-lin 5, pp. 1-20, esp. p. 3b and seq.
62 De quelques nouveaux travaux traitant de l'Extrème-Orient, ArO 23 (1955), pp. 205-224, esp. pp. 218-220.
63 Our source is the commentary to the 87th ch. of Hou Han-shu, where it says: "According to the Annals of the Bamboo Books (Chu-shu chi-nien), in the 35th year of Wu I, King Chou, Chi attacked Hsi Lo Kuei Jung and took captive 20 of the Ti kings."
64 This phrase is thus translated by Legge, Chin. Cl. III, Prolegomena, p. 138. In the above-mentioned review I give the reasons for my interpretation.
65 See Ch'en Meng-chia, Yin-hsü pu-tz'ù tsung-shu, Peking 1956, p. 275. The halberd dates from the time of Ch'un-ch'iu, so that it is later than 722 B.C.
66 J. Legge, The Yi King, Oxford 1899, p. 205 and. p. 208. The Kuei-fang are mentioned also in Shih-ching, Chin Cl. IV, p. 509.
67 See Note 38 above.
68 Chu-shu chi-nien, old text, 2nd year of Count Chuang of Chin.
69 This description of the migration of the Ti is based on the following reconstruction: The name of the tribe Wu-chung was preserved from the time of the Han to that of the Suei in the name of the present-day Chi-chou in Hopei. But on the other hand Ch'un ch'iu and also Tso-chuan (Chin. Cl. V, p. 568 and p. 572 respectively) tell of the great defeat of Wu-chung beside present-day T'ai-yüan by Chin, in 541 B.C. It is not possible for this tribe to have been settled from the first in two places so remote from each other and separated by a number of other tribes and by the Chinese state of Yen. An explanation is given by the Chinese commentator who identifies the Wu-chung with the Shan Jung or "Mountain Barbarians", who invaded the state of Yen in 664, that is three years before the attack of the Ti on the states of the Great Plain. We must therefore suppose that the Ti coming from the north-west invaded the basin of the T'ai-yüan, which was settled by the Wu-chung. Parts of this tribe fled before them in an easterly direction and invaded Yen (664), whereupon they settled in the region later occupied by the Wu-chung in present-day Chi-chou. Part of the tribe remained in T'ai-yüan—and these are the Wu-chung of 541 B.C.
70 Tso-chuan, Hsi 24th year. Legge, Chin. Cl. V, p. 188. The period in question is shortly after 655 B.C. A second mention of a prince of Ti is made in the year 627 (Legge, Chin. Cl. V, p. 223), when a prince of the Ti/Ti tzŭ was captured.
71 This we may conclude from a reference in Tso-chuan to Prince Ch'ung-erh hunting with the prince of the Ti on the banks of the Wei in southern Shen-hsi Tso-chuan (Legge, Chin Cl. V, p. 88), and then to his attacking the Chiang-kao-ju, a tribe of the Ti somewhere near present-day T'ai-yüan, Legge, Chin. Cl. V, p. 184.
72 See preceding Note on the Chiang-kao-ju.
73 Tso-chuan, Süan 11th year, Legge, Chin. Cl. V, p. 309, relates that "All the Ti (or rather the masses of the Ti people) hated the services (i) which they had to perform for the Red Ti and so they submitted themselves to the Chin. "
74 The Ti belonged most likely to the farming, eventually hunting and pastoral, population which we find everywhere north of the regions of settled tribes, which later came to form the core of Chinese nation, and probably were not linguistically very remote from the general Sino-Tibetan base.
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