/1 China’s Terracotta WARRIORS THE FIRST EMPEROR’S LEGACY 2/ /3 China’s Terracotta Warriors: The First Emperor’s Legacy China’s Terracotta WARRIORS THE FIRST EMPEROR’S LEGACY Liu Yang With contributions by Edmund Capon Albert E. Dien Jeffrey Riegel Eugene Wang Yuan Zhongyi 4/ /5 China’s Terracotta Warriors: The First Emperor’s Legacy This book was published in conjunction with the exhibition “China’s Terracotta Warriors: The First Emperor’s Legacy.” Minneapolis Institute of Arts October 28, 2012–January 20, 2013 Asian Art Museum, San Francisco February 22–May 27, 2013 Editors: Elisabeth Sövik and Laura Silver Designer: Jill MacTaggart Blumer Digital image production: Joshua Lynn Publishing and production management: Jim Bindas, Books and Projects LLC, Minnetonka, Minnesota © 2012 Minneapolis Institute of Arts 2400 Third Avenue South Minneapolis, Minnesota 55404 www.artsmia.org All rights reserved Printed in Canada by Friesens Library of Congress Control Number: 2012945028 ISBN: 978-0-9800484-9-0 Distributed by the University of Washington Press P.O. Box 50096 Seattle, Washington 98145-5096 www.washington.edu/uwpress “The Discovery and Excavation of the Terracotta Army,” by Yuan Zhongyi, is reprinted by permission of the Art Gallery of New South Wales from The First Emperor: China’s Entombed Warriors (Sydney: Art Gallery of New South Wales, 2010). “Five Decisive Events in the Rise of the State of Qin,” by Jeffrey Riegel; “The First Emperor: His Life, Achievements, and Vision,” by Liu Yang; “The First Emperor’s Tomb Complex,” by Liu Yang; and “The Making of the Terracotta Army,” by Liu Yang, are revised and expanded from essays that appeared in The First Emperor: China’s Entombed Warriors (Sydney: Art Gallery of New South Wales, 2010). “Inheritance and Innovation: Qin Bronze, Gold, and Jade,” by Liu Yang, is revised and expanded from “Inheritance and Innovation: An Archaeological Perspective of Qin Culture,” published in Arts of Asia 41, no. 1 (January/February 2011), pp. 80–93. Rows of light infantry in Pit 1 at the First Emperor’s tomb complex 6/ China’s Terracotta Warriors: The First Emperor’s Legacy Contents 9 Foreword Zhao Rong 11 Director’s Foreword Kaywin Feldman 13 Acknowledgments 14 Map and Chronology Before Empire: Qin in the Spring and Autumn and Warring States Periods 19 Five Decisive Events in the Rise of the State of Qin Jeffrey Riegel 27 From the “Barbarian” Land: Recent Discoveries in the Archaeology of the Qin in Gansu Liu Yang 41 City, Palace, and Burial: An Archaeological Perspective on Qin Culture in Shaanxi Liu Yang 63 Objects from the Spring and Autumn and Warring States Periods Liu Yang Unified under Heaven: The First Emperor and the Qin Dynasty 135 The First Emperor: His Life, Achievements, and Vision Liu Yang 147 The Qin Army and Its Antecedents Albert E. Dien 155 Inheritance and Innovation: Qin Bronze, Gold, and Jade Liu Yang Quest for Immortality: The First Emperor’s Tomb Complex and Terracotta Army 175 The Discovery and Excavation of the Terracotta Army Yuan Zhongyi 181 The First Emperor’s Tomb Complex Liu Yang 195 The Making of the Terracotta Army Liu Yang 203 The First Emperor’s Army: Realism, Naturalism, Symbolism Edmund Capon 211 What Happened to the First Emperor’s Afterlife Spirit? Eugene Wang 229 Objects from the Qin Dynasty Liu Yang 296 Glossary of Chinese Characters 297 Further Reading 298 Image Credits 299 Index 8/ China’s Terracotta Warriors: The First Emperor’s Legacy Foreword In 1985, to commemorate the third anniversary of the sister-state relationship established between Shaanxi Province and Minnesota, the Shaanxi Provincial Cultural Relics Bureau and the Minneapolis Institute of Arts collaborated on a Zhao Rong Director, Shaanxi Provincial Cultural Relics Bureau small exhibition of the terracotta warriors. Its success promoted friendly dealings and exchanges in trade relations, tourism, and cultural education between Shaanxi Province and Minnesota. Even before this, in 1975, the Asian Art Museum of San Francisco had worked with China’s State Administration of Cultural Heritage to hold “The Exhibition of Archaeological Finds of the People’s Republic of China.” These two successes helped bring about many exhibitions of Chinese art organized by the Minneapolis Institute of Arts and the Asian Art Museum, which played a positive role in furthering relations and cultural exchanges between China and the United States. To celebrate the thirty-year anniversary of Shaanxi Province and Minnesota’s sister-state relationship, and to promote Shaanxi’s relationship and exchange with Minnesota and California, at the invitation of the Minneapolis Institute and Arts and the Asian Art Museum we collaborated to organize the current exhibition, “China’s Terracotta Warriors: The First Emperor’s Legacy.” The province of Shaanxi, in northwest China, is the cradle of Chinese civilization. More than a million years ago, human activity was evident in Shaanxi. For two thousand years, from the eleventh century BCE to the tenth century CE, more than fourteen dynasties, including the Zhou, Qin, Han, and Tang, had their capitals in the region. The Qin and Han period was a crucial phase in Chinese history. China’s core territory was established, a centralized system of government was instituted, and the nation was unified. The essential Chinese nationality and culture began to take shape then, and cultural exchange between China and the outside started to gain momentum. The systems established by the Qin and Han have remained for over two thousand years in the areas of politics, economics, sociology, and culture. From the time of the Qin and Han onward, Chinese civilization has been a force on the stage of world history. China’s is the only culture to have continuously developed from an ancient civilization. The core of this exhibition is drawn from recent important archaeological excavations in Shaanxi. The 120 sets of objects selected from thirteen museums and archaeological institutions in Shaanxi are precious cultural relics that comprehensively reflect the splendor of Chinese history and culture from the Spring and Autumn period through the Qin dynasty. These two-thousand-yearold markers of Chinese civilization are also significant constituents of the world’s cultural heritage. Left: Rows of light infantry in Pit 1 at the First Emperor’s tomb complex Previous: View of the Great Wall of China today I believe this exhibition is sure to become a favorite with the American public, while also strengthening Shaanxi’s exchange and cooperation with Minnesota and California. I wish “China’s Terracotta Warriors: The First Emperor’s Legacy” great success! /9 10 / China’s Terracotta Warriors: The First Emperor’s Legacy Director's Foreword In the third century BCE, when Rome was battling Carthage for supremacy in the Mediterranean, another pivotal war was intensifying on the other side of the earth. In China, the rising state of Qin was vanquishing neighboring states, Kaywin Feldman Director and President, Minneapolis Institute of Arts bringing to end the Warring States period and unifying the country. Zheng, the future First Emperor, was born in this time of turmoil. At the age of twenty-one, in 238 BCE, he took control of all state affairs and conquered the remaining independent kingdoms, declaring himself emperor in 221 BCE. Like Rome’s victory over Carthage, Qin’s triumph over the other states had long-lasting results. The First Emperor abolished the old system of feudal investiture and instituted a centralized, bureaucratic form of government that would continue through successive dynasties over the next two millennia. Both these ancient civilizations, Roman and Qin, left remarkable physical evidence of their achievements. The long-held Chinese belief in and desire for an afterlife in which earthly pleasures and activities continued, inspired the practice of burying artworks and other objects with the deceased. Underground treasures hidden for nearly two thousand years and accidentally revealed by local farmers in 1974 have elicited worldwide fascination with one man’s quest for immortality. Minnesotans were among the earliest Westerners to see some of these important archaeological finds in 1985, when the Minneapolis Institute of Arts organized a small display of three figures: a general, a small stableboy, and a horse. Twenty-seven years have passed since that exhibition, and every day Chinese archaeologists discover new artifacts from the wealth of China’s ancient past. It is therefore fitting that the MIA should revisit the remarkable legacy of the First Emperor. The new exhibition presents over 120 objects, including 10 of the world-renowned warriors and horses, together with recent finds from the First Emperor’s tomb complex and from his capital Xianyang, both located near modern Xi’an in Shaanxi province, central China. Equally significant, the exhibition explores the period of Chinese history preceding the Qin dynasty. Through carefully selected objects such as bronze ritual vessels and jade artifacts, gold and silver ornaments, architectural fixtures, and ceramic works, “China’s Terracotta Warriors: The First Emperor’s Legacy” tells a story of turmoil and change, the emergence of the Qin state, and the material cultural of the First Emperor and his court. Thanks to generous and visionary donors such as Alfred F. Pillsbury and Ruth and Bruce Dayton, the MIA has a long and distinguished history of collecting and exhibiting Chinese art. As evidenced by this exhibition, the museum’s commitment to enhancing the understanding and appreciation of Chinese art, history, and culture is stronger than ever. I am grateful to Liu Yang, Head of the Asian Art Department and Curator of Chinese Art at the MIA, for enthusiastically organizing “China’s Terracotta Warriors: The First Emperor’s Legacy.” When Dr. Liu Head of an infantryman from Pit 2 at the First Emperor’s tomb complex joined the museum staff one year ago, he arrived with numerous exciting exhibition ideas and a passion to publish the museum’s great collection. With /11 Acknowledgments generous funding from Ruth and Bruce Dayton, he quickly organized a sympo- A project such as this relies on the support and commitment of many people. sium to coincide with the opening of the exhibition, inviting an impressive roster Above all, I would like to thank MIA Director and President Kaywin Feldman and of international scholars to explore new perspectives on Qin culture. Deputy Director and Chief Curator Matthew Welch for making it possible for me This exhibition was organized by the MIA in partnership with the Asian Art Museum, San Francisco, and the Shaanzi Provincial Cultural Relics Bureau and Shaanxi Cultural Heritage Promotion Centre, People’s Republic of China. It opens at a time when Minnesota and Shaanxi celebrate the thirtieth anniversary of their sister-state relationship and is one of many events commemorating our important ties. We are indebted to our colleagues in Shaanxi, China, for their Liu Yang Head of the Asian Art Department and Curator of Chinese Art, Minneapolis Institute of Arts to engage in this challenging and meaningful endeavor. Without their support, this exhibition could not have happened. I wish also to express my gratitude to the following individuals for their contributions. In China: Zhao Zhengyong, Governor of Shaanxi; Zhao Rong and Liu Yunhui of the Shaanxi Provincial Cultural Relics Bureau; Cao Wei, Wu Yongqi, Yuan Zhongyi, and Xia Juxian at the Qin Shihuang Terracotta Warriors and Horses Museum; support and cooperation in realizing this exhibition. I would particularly like to Pang Yani, Zhang Zheng, and Wang Chunyan of the Shaanxi Cultural Heritage thank Zhao Zhengyong, Governor of Shaanxi; Zhao Rong and Liu Yunhui, Director Promotion Centre; Zhang Tianen, Jiao Nanfeng, and Xiao Jianyi at the Shaanxi and Deputy Director of the Shaanxi Provincial Cultural Relics Bureau; Cao Wei, Provincial Institute of Archaeology; Wang Hui at the Gansu Provincial Institute Director of the Qin Shihuang Terracotta Warriors and Horses Museum; Pang Yani, of Archaeology; and Duan Qingbo at Northwest University. Director of the Shaanxi Cultural Heritage Promotion Centre; and the Project Manager, Zhang Zheng, and his colleague, Wang Chunyan. In the United States, I express my thanks to Mark Dayton, Governor of Minnesota; Jay Xu, Director of the Asian Art Museum, San Francisco; our presenting sponsor JPMorgan Chase; In Australia: Edmund Capon, Anne Flanagan, Analiese Cairis, and Michelle Andringa at the Art Gallery of New South Wales, and Jeffrey Riegel at the University of Sydney. lead sponsors Fredrikson & Byron P.A., the Carlson Family Foundation and In the United States: Ruth and Bruce Dayton for their financial support of the Carlson Companies; our additional supporters Christie’s and the E. Rhodes and symposium and the publication of the symposium proceedings; Mark Dayton, Leona B. Carpenter Foundation; our media partner Star Tribune; major sponsor Governor of Minnesota; Jay Xu and Li He of the Asian Art Museum, San Francisco; Thomson Reuters; and our official airline Delta Air Lines. Albert E. Dien of Stanford University; and Eugene Wang of Harvard University. At the Minneapolis Institute of Arts: Kristin Prestegaard, marketing and communications, design and editorial; Garnette Kuznia, brand communications; Mike Dust, Web site production; Anne-Marie Wagener and Tammy Pleshek, public relations; Julianne Amendola and Mary Mortenson, sponsorship; Charisse Gendron, foundation relations; Susan Jacobsen and Alex Bortolot, public programs; Sheila McGuire and Amanda Thompson Rundahl, audiotour coordination; Jennifer Starbright and Brian M. Kraft, registration; Roxy Ballard, exhibition design; Elisabeth Sövik, catalogue and exhibition editing; Jill Blumer, catalogue and exhibition graphic design; Dan Dennehy, visual resources; Joshua Lynn, digital image production; Laura DeBiaso and Rayna Olson, exhibition administration; Erin Threlkeld, Rachel Turner, and Mona Wang, curatorial and administrative assistance. And Laura Silver of Minneapolis. And finally, I thank our sponsors and supporters: our presenting sponsor JPMorgan Chase; lead sponsors Fredrikson & Byron P.A., the Carlson Family Foundation and Carlson Companies; additional supporters Christie’s and the E. Rhodes and Leona B. Carpenter Foundation; our media partner Star Tribune; major sponsor Thomson Reuters; and our official airline Delta Air Lines. /13 14 / China’s Terracotta Warriors: The First Emperor’s Legacy Chronology XIONGNU Yell o w River YAN RONG Beijing ZHONGSHAN Neolithic period c. 10,000–c. 2000 BCE Shang dynasty c. 1600–c. 1046 BCE Zhou dynasty c. 1046–256 BCE Western Zhou c. 1046–771 BCE Eastern Zhou 770–256 BCE Spring and Autumn period 770–476 BCE ZHAO 770 BCE Zhou ruler moves capital to Luoyi, in present-day Luoyang, establishing Eastern Zhou dynasty; history of Qin as a vassal state of Zhou begins c. 762 BCE Duke Wen moves Qin capital eastward from present-day eastern Gansu to the area of present-day Baoji, Shaanxi c. 677 BCE Duke De relocates Qin capital to Yong, at present-day Fengxiang, Shaanxi 659 BCE WEI QIANG Wei R i QI c. 570 BCE Birth of Laozi, founder of Daoism LU YELLOW SONG SEA QIN ve r Xianyang Xi’an ZHOU 551 BCE Warring States period 475–221 BCE HAN Shanghai SHU BA Duke Mu (one of the Five Hegemons of the Spring and Autumn period) begins 39-year reign CHU YUE r Yang zi Rive 383 BCE Duke Xian moves Qin capital to Yueyang, at present-day Lintong, Shaanxi 372 BCE Birth of the Confucian philosopher Mencius (Mengzi) 356 BCE Shang Yang takes charge of Qin’s military and political afairs and begins Legalist reforms 350 BCE Duke Xiao relocates Qin capital to Xianyang, Shaanxi 325 BCE Duke Huiwen adopts the title “king” 260 BCE General Bai Qi of Qin defeats army of Zhao state, killing 400,000 surrendered soldiers at the battle of Changping 259 BCE Birth of Ying Zheng (later Qin Shihuang, the First Emperor) 256 BCE King Zhaoxiang attacks Eastern Zhou, ending Zhou rule 249 BCE King Zhuangxiang begins reign; Lü Buwei appointed prime minister 246 BCE Ying Zheng begins his reign as king of Qin at age 13, following King Zhuangxiang’s death in 247 BCE 238 BCE Ying Zheng takes personal control of state afairs of Qin at age 21, suppressing a coup 237 BCE Lü Buwei is removed as prime minister (commits suicide two years later); Li Si replaces him 227 BCE Jing Ke attempts to assassinate Ying Zheng 223 BCE Qin army conquers Chu state 221 BCE Ying Zheng conquers Qi state, beginning the Qin dynasty; proclaims himself Qin Shihuang, the First Emperor DIAN DONGYUE N Hong Kong Qin dynasty 221–206 BCE KEY 220 BCE Qin Shihuang’s irst inspection tour; construction of Chidao roadway begins 215 BCE Building and consolidation of Great Wall by Meng Tian begins 213 BCE First Emperor orders the burning of books across the empire 212 BCE First Emperor orders the execution of 460 necromancers and scholars 210 BCE First Emperor dies of illness and is buried in present-day Lintong; succeeded by his son Huhai Qin capital (Xianyang) (350–206 BCE) Modern-day cities Modern-day province borders Han dynasty 206 BCE–220 CE Birth of Confucius 206 BCE Liu Bang seizes Xianyang, establishing (Western) Han dynasty 89 BCE Sima Qian completes Shiji (Records of the Grand Historian) Approximate area of the Qin state at the beginning of the Warring States period (475 BCE) Qin empire c. 221 BCE 0 300 km /15 16 / /17 China’s Terracotta Warriors: The First Emperor’s Legacy Before Empire: Qin in the Spring and Autumn and Warring States Periods