陶寺遗址:“中国”与“中原”的肇端

Taosi: the Beginning of "China" and "Central Plain"

何驽 He Nu 高江涛 Gao Jiangtao
(中国社会科学院考古研究所 Institute of Archaeology at the Chinese Academy of Social Sciences)
王晓毅 Wang Xiaoyi
(山西省考古研究所 Shanxi Institute of Archaeology)
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为了探索中华文明的起源与中国早期国家的形成,自1978年起,经过中国社会科学院考古研究所与山西省考古研究所、临汾市文物局近四十年的考古发掘与研究,山西襄汾陶寺遗址的都城性质、兴衰年代、社会组织、宏观聚落形态、精神文化等诸方面,均有很大收获。尤其是2002至2016年,中华文明探源工程,对陶寺遗址的考古发掘与研究,具有极大的推动作用。2013至2017年,陶寺遗址发掘与研究又纳入了国家文物局大遗址保护考古项目以及中国社会科学院“哲学社会科学创新项目”。

陶寺遗址的发掘与研究,以中国都城考古理念为指导,主要通过考古钻探、发掘,利用全站仪、航拍、磁力仪、探地雷达等现代化考古技术手段,结合考古年代学、动物考古、植物考古、古DAN、锶同位素、食谱分析、孢粉分析、陶器中子活化分析、植硅石分析、树种分析、冶金考古、人地关系与古地质地理环境复原分析、古文字分析、天文考古、精神文化考古、相关历史文献分析等等,不仅使得陶寺遗址考古发掘收获颇丰,同时也使陶寺遗址考古研究及时而深入,引起国内外学术界的高度关注。

陶寺早期遗址总面积约160万平方米,距今4,300至4,100年。以13万平方米宫城及南外侧下层贵族居住区小城(近10万平方米)构成核心区。宫城有结构复杂的曲尺形角门,宫城内已发现疑似“冰窖”附属建筑。下层贵族居住区小城内已发现双开间半地穴式住宅。宫城东西两侧为普通居民区,宫城东侧有大型仓储区。宫城东南为早期王族墓地,已发掘王墓6座,随葬品在百件以上,出土有彩绘陶龙盘、彩绘陶礼器、彩绘木器、玉石钺、大厨刀、日用陶器等。大贵族墓数十座,随葬品数十件,包括石磬、陶鼓、鼍鼓等礼乐器组合,彩绘陶器和日用陶器。其余近千座小墓几乎没有任何随葬品。阶级对立状况凸显,金字塔式社会结构清晰。都城的结构与性质初步具备。

陶寺中期距今4,100至4000年,宫城继续使用,宫城内增建了若干宫殿建筑。其中最大的核心建筑面积约8,000平方米,其上至少有前后两座殿堂建筑。前面一座殿堂建筑,据残留的柱网结构计算,面积大约286平方米。下层贵族居住区小城废弃,但增建了面积至少280万平方米的外郭城。中期王族墓地与观象祭祀台被设置在约10万平方米的东南小城内。

陶寺中期王墓IIM22长5、宽3.7、自深7米,是迄今发掘考古发掘陶寺文化最大的墓葬,尽管遭到陶寺晚期政治报复捣毁,仍残留随葬品近100件,包括玉器、彩绘陶器、漆器、骨器、20片半扇整猪等。其中6柄玉石列钺不仅象征王权和军权,并与公猪下颌骨共同组成表达修兵不战的“上政”治国理念。漆圭尺及其圭表测量工具套,则表明圭表测量制定历法对于王权的贡献,以及1.6尺地中标准的政治发明对于陶寺王权正统地位与合法性的重要作用。

总面积约1700平方米的观象祭祀台,从中期外郭城东南小城内道南城墙Q6向东南方向接出一个半圆形夯土建筑基址,经过天文考古学研究发现,该建筑不仅是陶寺中期都城郊天祭日的宗教礼制建筑(公元前2100至2000年),而且其核心建筑构件由夯土观测点与夯土基础上很可能系石构的观测柱所构成的太阳地平历观测仪器,以遗址东北至东南方向7千米远的塔儿山(也称崇山)山脊线作为日出参照系,得到20个节令太阳回归年历法,成为陶寺王权重要的科学与宗教支撑,控制社会政治、经济、社会生活的重要手段,同使陶寺观象台成为迄今考古发现世界最早的观象台,陶寺20个节令的太阳历是四千年前世界最缜密的历法。

手工业作坊区集中在陶寺中期外郭城的南部,约20万平方米,由工官管理,严密控制,主要从事特殊的石器和陶器工业生产。

陶寺城北有一处夯土基址,呈近正方形,面积约1400平方米,被多水的环境围绕。夯土基址台面上有三个呈“品”字形的柱洞,可称之为“泽中方丘”,具历史文献记载,很可能用于祭地。这个祭祀地祇的礼制建筑始建于陶寺早期,中期扩建,中晚期之际被局部破坏,陶寺晚期曾经重建与扩建。

有迹象表明,中期城址的普通居民区面积至少在20万平方米,主要设置在外郭城的西北。至中期,陶寺都城功能要件全部完备。

地质地貌调查分析表明,今南沟-大南沟在四千多年前是陶寺早期遗址的大道,横亘在宫城南边,西北-东南向延伸。今赵王沟-中梁沟在当时则是陶寺中期城址的中央大道,横亘在陶寺中期外郭城的中央,东南起自观象台附近,西北通往祭地之方丘,并有岔路联通外郭城带瓮城的北门。

陶寺遗址在晚期(距今4,000至3,900年)很可能被外族征服,遭到了残酷的、国家社会形态下特有的政治报复,本地政权颠覆,整体沦为殖民地,失去都城功能。在晚期偏晚某个时段,陶寺政权有过昙花一现式的复辟,宫城和城北祭地礼制建筑均曾经复建,并在宫城南墙东段,增建了一座城门。该城门带东西两翼墩台的兼具礼仪与军事防御特征的,开创了中国古代都城阙门制度之先河。然而不久,陶寺晚期本地政权最终被再次彻底翦灭,陶寺遗址被彻底废弃。

到目前为止,陶寺宫城内出土了3件朱书陶文,时代陶寺晚期,均写在陶寺晚期扁壶残片上。其中一个字符“文”字,学界多较认可,同商周甲骨文和金文的“文”字一脉相承。另一个字符我们释读为“尧”字,有3件重复字符,其中一件字符完整,两件残断,对其释读还有邑、昜、唐等不同见解。陶寺中期贵族墓葬IIM26随葬农具骨耜上契刻单字“辰”字,很可能是“农”字的初始字。显然这些字符都与商周甲骨文和金文有着明显的传承源流关系。我们有理由相信,汉字最初的发轫很可能在于陶寺文化。

陶寺遗址出土了5件红铜铸造器物,包括陶寺中期核心宫殿建筑夯土地基内的铜盆口沿、晚期地层单位出土的铜铃、齿轮形铜器、铜环、铜蟾蜍,均属于礼仪用器,成为中国青铜铸造礼器文明的奠基。

此外,区域考古调查结果表明,陶寺都城至少被南北两个遗址群拱卫,各由一个200百万平方米超大型地方中心聚落统领,从整体上构成5级聚落等级、4级社会组织层级的国家社会组织结构,并且存在中央与地方的行政关系。陶寺文化的国家社会形态完全具备。

陶寺遗址以其最齐备的都城功能要件、中国最早的宫城-外郭城双城制都城制度、礼乐制度、宫室制度、最早的汉字、最早的红铜铸造礼器群、世界最早的观象台、圭表仪器等等,成为中华文明核心形成的集成点和起始点,黄河中游地区最早的国家, 成为“中国”——地中之都、中土之国概念的肇端,中原观念诞生伊始。包括文字在内的一系列考古证据链都明确集中指向陶寺城址是中国历史文献中所说的尧舜之都,使尧舜传说正变为信史。

In order to examine the origins of Chinese civilization and the formation of early states, the Institute of Archaeology, the Chinese Academy of Social Sciences, the Archaeological Institute of Shanxi Province and the Linfen Municipal Center of Cultural Relics have been conducting archaeological excavations and research at the site of Taosi, Xiangfen County, Shanxi Province since 1978. Almost forty years of archaeological pursuits have yielded substantial results on topics such as the characteristics of this city state, including the chronological timeline of its rise and fall, its social structure, holistic understanding of the settlement pattern that centers around Taosi, and the ideology and culture of Taosi’s population. Between 2002 and 2016, the Origin of Chinese Civilization Project played a particularly large role in the promotion of excavation and research at Taosi. From 2013 to 2017, the Taosi Archaeological Project was included in the State Administration of Cultural Heritage’s Large Site Protection Project and was named an “Innovative Project of Philosophy and Social Science” bye the Chinese Academy of Social Sciences.

 

The excavations and research at Taosi guided by the archaeological concept of  the“city state.” In addition to coring and excavating, the Taosi Archaeological project also utilized technologies such as total station, aerial photography, magnetometer, and ground penetrating radar. The post-excavation research of the site remains include archaeometry, zooarchaeology, paleobotany, ancient DNA analysis, strontium isotopic analysis, paleo-dietary analysis, pollen analysis, neutron activation analysis of pottery, phytolith analysis, tree species analysis, metallurgy, human-landscape relationship study, paleogeology, paleography, astronomical archaeology, cognitive archaeology and the study of historical texts. The results of these studies not only enriched our understanding of Taosi, but also allowed for more in-depth study of the relationship between the site and its remains, contributing to the increasing international attention the site has received.

 

The early period of Taosi dates from 4300 BP to 4100 BP and consisted of a total area of 1,600 square kilometers. The core of early Taosi was composed of a 130,000 square meter palatial zone and a smaller lower elite residential city (measuring 100,000 square meters) located on the palatial zone’s southern edge. The palatial zone included a right-angled gate with a complex structure and an annex suspected to be an“ice house.” Double-roomed subterraneous houses were found in the lower elite residential zone. The eastern and western sides of the palatial zone were non-elite residential zones, and there was a large storage area in the eastern edge of the palatial zone. The royal cemetery was located in the southeastern region of the palatial zone. Six royal burials were excavated with more than 100 grave goods such as painted dragon pottery pan-plates, painted ritual pottery vessels, painted lacquer vessels, jade yue axe, large kitchen knives, and utilitarian pottery vessels. There were more than 10 elite burials with more than 10 mortuary goods including painted utilitarian pottery and musical instruments such as stone chimes, pottery drums, and hollow-trunk drums covered in animal hide. Very few mortuary items were found among the 1000 plus small burials. During the early period, there was a clear hierarchical structure with an apparent gap between different social statuses. The early period of Taosi possessed the structure and nature of an incipient city state.

 

The middle period of Taosi dated to 4100BP to 4000BP. At this time, the palatial zone was still in use and multiple palatial structures were constructed within it. The largest core building measured 8000 square meters and included minimally a front and a rear palatial hall. Based on the remains of post-holes and their distribution, it can be estimated that the front palatial hall measured approximately 286 square meters. During this period, the lesser elite residential city from the early period was abandoned and an outer city measuring 2,800 square kilometers was constructed. The kingly cemetery and the sacrificial ritual platform were located in the southeastern city and measured 100 square kilometers.

 

A middle Taosi period kingly tomb, IIM22, measured 5 meters in length, 3.7 meters in width, and 7 meters in depth. This is the largest tomb excavated to date from the Taosi cultural period. Despite the destruction resulting from political turmoil during the late period of Taosi, approximately 100 grave goods were recovered from tomb,  IIM22 including jade, painted pottery vessels, lacquer vessels, bone objects, and sacrificial pigs that had been halved. Among the grave goods were six jade yue axes that symbolized royal and military power. These axes were associated with boar mandibles, which when taken together, express “governing of the state, in which   military troops were raised even in the absence of a war. This is a philosophy of government that is considered a virtue throughout the history of Chinese civilization. A lacquer sundial and associated measuring tools found in the tomb indicate the important contributions of the royal calendar system, and the political status and legitimacy afforded by the standardized measurement of 1.6 chi.

 

The sacrifical ritual platform measured 1.7 square kilometers. Extending from Q6, the southern wall of the southeastern city of the outer city, the ritual platform was constructed with rammed-earth blocks in an arc shape oriented to the southeast. Based on the results of astronomical archaeology, this platform was not only a structure dedicated to the celestial cult during the middle Taosi period, but based on the rammed earth structure, it could also have been a celestial observatory aligned with stone columns. The sunrise observational point was on the ridge of Taershan (or Chongshan) located seven thousand meters to the northeast-southeast direction of Taosi. From the position of the observatory and the observatory points, it was postulated that one solar year was divided into 20 terms. Exclusive knowledge of science and religious power would have provided the basis for the authority of Taosi royalty, thereby allowing them to  control politics, the economy, and social life at Taosi. The celestial observatory at Taosi served as the earliest observatory in the archaeological world, and the 20 solar year terms was the most meticulous calendar system used in the world 4100 years ago.

 

The craft production area of the middle Taosi period was located south of the outer city wall and took up an area of 200 square kilometers. The area produced stone tools and ceramic vessels, and would have been strictly supervised and controlled by officials.

 

North of the city of Taosi, there was a rectangular rammed-earth foundation with an area of approximately 1.4 square kilometers that was surrounded by a large body of water. There were three postholes in the top of the foundation arranged in a “品” pattern. This structure mirrors the “Altar of the Earth in the middle of a pond” structure that is recorded in historical documents, meaning the foundation could  have been used for ritual performances dedicated to the Earth. This rammed-earth altar was constructed in the early period of Taosi, was expanded during the middle period, was partially destroyed during the late-middle period, and was rebuilt and further expanded during the later period.

 

Based on the current findings, the residential area for non-elite commoners during the middle Taosi period was mainly located in the northwestern part of the outer city and measured 20square kilometers. During the middle period, Taosi meets all the functional criteria of a city state.

 

Geological and geomorphological surveys of Taosi indicate that the present-day Nangou stream – Danangou was a main avenue during the early period. It ran horizontally south of the palatial zone, from northwest to southeast. The present-day Zhaowanggou stream – Zhonglianggou stream was the main avenue during the middle period at the site. It ran horizontally through the center of the outer city, originating in the southeast near the sacrificial observation platform and terminating in the northwest at the Alter of the Earth, while splitting off in between effectively linking the outer city to the northern gate.

 

During the late period (4000BP-3900BP), Taosi was likely conqured  by foreign polities. The site experienced brutal and violent political retaliation and major political turmoil; it became a colony and lost the functional properties of a city state. During a late phase of the late period, the local political power at Taosi was temporarily restored; the palatial zone and the sacrificial observation platform in the northern section of the site were restored, and a city gate was constructed in the eastern section of the palatial zone’s southern wall. The eastern and western pillars of the newly constructed city gates were equipped with military defense systems, providing one of the earliest examples of city watchtowers in history. Unfortunately, local political power at Taosi once again declined shortly after these construction projects and Taosi was eventually abandoned.

 

To date, three examples of cinnabar scripts on pottery have been discovered from the palatial zone of Taosi. All of the scripts were dated to the late Taosi period and were written on fragments of oblate hu jars. It is widely agreed upon in the academic world that one of the characters “文,” shares a common origin with the character “文” in Shang and Zhou oracle-bone script and bronze inscriptions. Another character “尧” appeared three times, though only one of them was complete and two were damaged. Some explanations of the character include “city,” “sun,” and “tang.” The bone plow in the elite tomb IIM26 from the middle Taosi period was carved with a single character “辰,” which could be the incipient form of “农,” meaning agriculture. Overall, these characters at Taosi seem to have the same origins as the Shang and Zhou Dynasties oracle-bone and bronze inscriptions. From the archaeological evidence at Taosi, we believe that the modern day Chinese characters could have originated from the Taosi culture.

 

Five copper items were yielded from Taosi, including a copper pen basin rim dating to the middle period that was excavated from the rammed-earth foundation of the core palatial zone, and a copper bell, a gear-wheel shaped copper artifact, a copper ring, and copper toad excavated from the stratigraphic layers dated to the late Taosi period. All these copper items were used for ritual purposes, setting the stage for the use of bronze ritual items in the later periods of Chinese civilization.

 

Moreover, based on the regional archaeological surveys in the region, the Taosi city state was surrounded by at least two other Taosi culture site clusters to the north and south. Each of these surrounding site clusters anchored on a respective center site measuring 200 square kilometers. Each cluster was made up of a center and localized subsidiary sites, contributing to a five-tier settlement structure and a four-tier hierarchical internal social system. The Taosi culture therefore clearly had a state-level political structure.

 

The site of Taosi was equipped with the properties of a city state, and has the earliest occurrence of a palatial zone paired with an outer city in China, a “rites and music” system, a palatial system, the earliest writing, the earliest copper ritual items, and the earliest celestial observatory and sundial. This unprecedented repertoire of archaeological remains found at a prehistoric site signifies the role of Taosi as the center of the formation of Chinese civilization. Taosi, the earliest state in the Middle Yellow River Valley, marked the beginning of the concept of the“Central State (Zhongguo),” meaning both the capital of the land and the kingdom in the center of the land. Taosi is where the concept of the Central Plains began.