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Shang dynasty
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Shang
商
Kingdom
c. 1600 BC–c. 1046 BC
Remnants of advanced, stratified societies dating back to the Shang period have been found in the Yellow River Valley.
Capital Yin (modern Anyang)
Languages Old Chinese
Religion Chinese folk religion
Government monarchy
Historical era Bronze Age
• Established c. 1600 BC
• Zhou conquest c. 1046 BC
Area
• 1122 BC est.[1] 1,250,000 km2 (480,000 sq mi)
Preceded by Succeeded by
Xia dynasty
Zhou dynasty
Today part of China
Shang
"Shang" in oracle bone script (top left), bronze script (top right), seal script (bottom left), and regular (bottom right) Chinese characters
Chinese
商
[show]Transcriptions
Standard Mandarin
Hanyu Pinyin
Shāng
Wade–Giles
Shang1
IPA
[ʂáŋ]
Wu
Suzhounese
Saon
Yue: Cantonese
Yale Romanization
Sēung
IPA
[sœ́ːŋ]
Jyutping
Soeng1
Southern Min
Hokkien POJ
Siong
Old Chinese
Baxter–Sagart (2014)
*s-tang
Alternative Chinese name
Chinese
殷代
Literal meaning
Yin era
[show]Transcriptions
Standard Mandarin
Hanyu Pinyin
Yīn dài
Wade–Giles
Yin tai
Wu
Romanization
In de
Yue: Cantonese
Yale Romanization
Yān doih
Jyutping
Jan1 doi6
Southern Min
Hokkien POJ
Ûn tāi
Old Chinese
Baxter–Sagart (2014)
*ʔər m-traw
History of China
ANCIENT
Neolithic c. 8500 – c. 2070 BC
Xia dynasty c. 2070 – c. 1600 BC
Shang dynasty c. 1600 – c. 1046 BC
Zhou dynasty c. 1046 – 256 BC
Western Zhou
Eastern Zhou
Spring and Autumn
Warring States
IMPERIAL
Qin dynasty 221–206 BC
Han dynasty 206 BC – 220 AD
Western Han
Xin dynasty
Eastern Han
Three Kingdoms 220–280
Wei, Shu and Wu
Jin dynasty 265–420
Western Jin
Eastern Jin Sixteen Kingdoms
Northern and Southern dynasties
420–589
Sui dynasty 581–618
Tang dynasty 618–907
(Second Zhou dynasty 690–705)
Five Dynasties and
Ten Kingdoms
907–960 Liao dynasty
907–1125
Song dynasty
960–1279
Northern Song Western Xia
Southern Song Jin dynasty
Yuan dynasty 1271–1368
Ming dynasty 1368–1644
Qing dynasty 1644–1912
MODERN
Republic of China 1912–1949
People's Republic of China 1949–present
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Chinese historiography
Timeline of Chinese history
Dynasties in Chinese history
Linguistic history
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The Shang dynasty (/ʃɑːŋ/;[2] Chinese: 商朝; pinyin: Shāng cháo) or Yin dynasty (/jɪn/; 殷代; Yīn dài), according to traditional historiography, ruled in the Yellow River valley in the second millennium BC, succeeding the Xia dynasty and followed by the Zhou dynasty. The classic account of the Shang comes from texts such as the Book of Documents, Bamboo Annals and Records of the Grand Historian. According to the traditional chronology based on calculations made approximately 2,000 years ago by Liu Xin, the Shang ruled from 1766 to 1122 BC, but according to the chronology based upon the "current text" of Bamboo Annals, they ruled from 1556 to 1046 BC. The Xia–Shang–Zhou Chronology Project dated them from c. 1600 to 1046 BC.
The Shang dynasty is the earliest dynasty of traditional Chinese history supported by archaeological evidence. Excavation at the Ruins of Yin (near modern-day Anyang), which has been identified as the last Shang capital, uncovered eleven major royal tombs and the foundations of palaces and ritual sites, containing weapons of war and remains from both animal and human sacrifices. Tens of thousands of bronze, jade, stone, bone, and ceramic artifacts have been found.
The Anyang site has yielded the earliest known body of Chinese writing, mostly divinations inscribed on oracle bones – turtle shells, ox scapulae, or other bones. More than 20,000 were discovered in the initial scientific excavations during the 1920s and 1930s, and over four times as many have been found since. The inscriptions provide critical insight into many topics from the politics, economy, and religious practices to the art and medicine of this early stage of Chinese civilization.[3]
Contents
[hide]
1 Traditional accounts
1.1 Course of the dynasty
2 Early Bronze Age archaeology
2.1 Yellow River valley
2.2 Other sites
2.3 Genetic studies
3 Late Shang at Anyang
3.1 Court life
3.2 Religion
3.3 Bronze working
3.4 Military
4 Kings
5 Descendants of the Shang royal family
6 See also
7 References
8 Further reading
9 External links
Traditional accounts[edit]
Many events concerning the Shang dynasty are mentioned in various Chinese classics, including the Book of Documents, the Mencius and the Zuo Zhuan. Working from all the available documents, the Han dynasty historian Sima Qian assembled a sequential account of the Shang dynasty as part of his Records of the Grand Historian. His history describes some events in detail, while in other cases only the name of a king is given.[4] A closely related, but slightly different, account is given by the Bamboo Annals. The Annals were interred in 296 BC, but the text has a complex history and the authenticity of the surviving versions is controversial.[5]
The name Yīn (殷) is used by Sima Qian for the dynasty, and in the "current text" version of the Bamboo Annals for both the dynasty and its final capital. It has been a popular name for the Shang throughout history. Since the Records of Emperors and Kings by Huangfu Mi (3rd century AD), it has often been used specifically to describe the later half of the Shang dynasty. In Japan and Korea, the Shang are still referred to almost exclusively as the Yin (In) dynasty. However it seems to have been a Zhou name for the earlier dynasty. The word does not appear in the oracle bones, which refer to the state as Shāng (商), and the capital as Dàyì Shāng (大邑商 "Great Settlement Shang").[6] It also does not appear in securely-dated Western Zhou bronze inscriptions.[7]
Course of the dynasty[edit]
Sima Qian's Annals of the Yin begins by describing the predynastic founder of the Shang lineage, Xie (偰) — also appearing as Qi (契) — as having been miraculously conceived when Jiandi, a wife of Emperor Ku, swallowed an egg dropped by a black bird. Xie is said to have helped Yu the Great to control the Great Flood and for his service to have been granted a place called Shang as a fief.[8]
Sima Qian relates that the dynasty itself was founded 13 generations later, when Xie's descendant Tang overthrew the impious and cruel final Xia ruler in the Battle of Mingtiao. The Records recount events from the reigns of Tang, Tai Jia, Tai Wu, Pan Geng, Wu Ding, Wu Yi and the depraved final king Di Xin, but the rest of the Shang rulers are merely mentioned by name. According to the Records, the Shang moved their capital five times, with the final move to Yin in the reign of Pan Geng inaugurating the golden age of the dynasty.[9]
Di Xin, the last Shang king, is said to have committed suicide after his army was defeated by Wu of Zhou. Legends say that his army and his equipped slaves betrayed him by joining the Zhou rebels in the decisive Battle of Muye. According to the Yi Zhou Shu and Mencius the battle was very bloody. The classic, Ming-era novel Fengshen Yanyi retells the story of the war between Shang and Zhou as a conflict where rival factions of gods supported different sides in the war.
After the Shang were defeated, King Wu allowed Di Xin's son Wu Geng to rule the Shang as a vassal kingdom. However, Zhou Wu sent three of his brothers and an army to ensure that Wu Geng would not rebel.[10][11][12] After Zhou Wu's death, the Shang joined the Rebellion of the Three Guards against the Duke of Zhou, but the rebellion collapsed after three years, leaving Zhou in control of Shang territory.
Early Bronze Age archaeology[edit]
Main article: Shang archaeology
Further information: History of Chinese archaeology
Erlitou
Zhengzhou
Panlongcheng
Anyang
Sanxingdui
Wucheng
Major archaeological sites of the second millennium BC in north and central China
Before the 20th century, the Zhou dynasty (1046–256 BC) was the earliest Chinese dynasty that could be verified from its own records. However, during the Song dynasty (960–1279 AD), antiquarians collected bronze ritual vessels attributed to the Shang era, some of which bore inscriptions.[13]
Yellow River valley[edit]
In 1899, several scholars noticed that Chinese pharmacists were selling "dragon bones" marked with curious and archaic characters.[13] These were finally traced back in 1928 to a site (now called Yinxu) near Anyang, north of the Yellow River in modern Henan province, where the Academia Sinica undertook archeological excavation until the Japanese invasion in 1937.[13]
Archaeologists focused on the Yellow River valley in Henan as the most likely site of the states described in the traditional histories. After 1950, the remnants of the earlier walled settlement of Shang City were discovered near Zhengzhou.[13] It has been determined that the earth walls at Zhengzhou, erected in the 15th century BC, would have been 20 m (66 ft) wide at the base, rising to a height of 8 m (26 ft), and formed a roughly rectangular wall 7 km (4 mi) around the ancient city.[14][15] The rammed earth construction of these walls was an inherited tradition, since much older fortifications of this type have been found at Chinese Neolithic sites of the Longshan culture (c. 3000–2000 BC).[14]
In 1959, the site of the Erlitou culture was found in Yanshi, south of the Yellow River near Luoyang.[14] Radiocarbon dating suggests that the Erlitou culture flourished ca. 2100 BC to 1800 BC. They built large palaces, suggesting the existence of an organized state.[16] In 1983, Yanshi Shang City was discovered 6 kilometres (3.7 mi) north-east of the Erlitou site in Yanshi's Shixianggou Township. This was a large walled city dating from 1600 BC. It had an area of nearly 200 hectares (490 acres) and featured pottery characteristic of the Erligang culture.
The remains of a walled city of about 470 hectares (1,200 acres) were discovered in 1999 across the Huan River from the well explored Yinxu site. The city, now known as Huanbei, was apparently occupied for less than a century and destroyed shortly before the construction of the Yinxu complex.[17][18]
Chinese historians were accustomed to the notion of one dynasty succeeding another, and readily identified the Erligang and Erlitou sites with the early Shang and Xia dynasty of traditional histories. The actual political situation in early China may have been more complicated, with the Xia and Shang being political entities that existed concurrently, just as the early Zhou, who established the successor state of the Shang, are known to have existed at the same time as the Shang.[19] It has also been suggested the Xia legend originated as a Shang myth of an earlier people who were their opposites.[20]
Other sites[edit]
The Erligang culture centred on the Zhengzhou site is found across a wide area of China, even as far northeast as the area of modern Beijing, where at least one burial in this region during this period contained both Erligang-style bronzes and local-style gold jewelry.[19] The discovery of a Chenggu-style ge dagger-axe at Xiaohenan demonstrates that even at this early stage of Chinese history, there were some ties between the distant areas of north China.[19] The Panlongcheng site in the middle Yangtze valley was an important regional center of the Erligang culture.[21]
Accidental finds elsewhere in China have revealed advanced civilizations contemporaneous with but culturally unlike the settlement at Anyang, such as the walled city of Sanxingdui in Sichuan. Western scholars are hesitant to designate such settlements as belonging to the Shang dynasty.[22] Also unlike the Shang, there is no known evidence that the Sanxingdui culture had a system of writing. The late Shang state at Anyang is thus generally considered the first verifiable civilization in Chinese history.[6]
In contrast, the earliest layers of the Wucheng site, pre-dating Anyang, have yielded pottery fragments containing short sequences of symbols, suggesting that they may be a form of writing quite different in form from oracle bone characters, but the sample is too small for decipherment.[23][24][25]
Genetic studies[edit]
A study of mitochondrial DNA (inherited in the maternal line) from Yinxu graves showed similarity with modern northern Han Chinese, but significant differences from southern Han Chinese.[26]
Late Shang at Anyang[edit]
Oracle bones pit at Yin
The oldest extant direct records date from around 1200 BC at Anyang, covering the reigns of the last nine Shang kings. The Shang had a fully developed system of writing, preserved on bronze inscriptions and a small number of other writings on pottery, jade and other stones, horn, etc., but most prolifically on oracle bones.[27] The complexity and sophistication of this writing system indicates an earlier period of development, but direct evidence of that development is still lacking. Other advances included the invention of many musical instruments and observations of Mars and various comets by Shang astronomers.[28]
Their civilization was based on agriculture and augmented by hunting and animal husbandry.[29] In addition to war, the Shang also practiced human sacrifice.[30] Crania of sacrificial victims have been found to be similar to modern Chinese ones (based on comparisons with remains from Hainan and Taiwan).[31][32] Cowry shells were also excavated at Anyang, suggesting trade with coast-dwellers, but there was very limited sea trade in ancient China since China was isolated from other large civilizations during the Shang period.[33] Trade relations and diplomatic ties with other formidable powers via the Silk Road and Chinese voyages to the Indian Ocean did not exist until the reign of Emperor Wu during the Han dynasty (206 BC–221 AD).[34][35]
Court life[edit]
Oracle shell with inscriptions.
Bronzewares from the excavated tomb of Fu Hao
At the excavated royal palace of Yinxu, large stone pillar bases were found along with rammed earth foundations and platforms, which according to Fairbank, were "as hard as cement".[13] These foundations in turn originally supported 53 buildings of wooden post-and-beam construction.[13] In close proximity to the main palatial complex, there were underground pits used for storage, servants' quarters, and housing quarters.[13]
Many Shang royal tombs had been tunneled into and ravaged by grave robbers in ancient times,[36] but in the spring of 1976, the discovery of Tomb 5 at Yinxu revealed a tomb that was not only undisturbed, but one of the most richly furnished Shang tombs that archaeologists had yet come across.[37] With over 200 bronze ritual vessels and 109 inscriptions of Lady Fu Hao's name, Zheng Zhenxiang and other archaeologists realized they had stumbled across the tomb of King Wu Ding's most famous consort, Fu Hao, who is mentioned in 170 to 180 Shang oracle bone inscriptions, and who was also renowned as a military general.[38] Along with bronze vessels, stoneware and pottery vessels, bronze weapons, jade figures and hair combs, and bone hairpins were found.[39][40][41] Historian Robert L. Thorp states that the large assortment of weapons and ritual vessels in her tomb correlate with the oracle bone accounts of her military career and involvement in Wu Ding's ritual ancestral sacrifices.[42]
The capital was the center of court life. Over time, court rituals to appease spirits developed, and in addition to his secular duties, the king would serve as the head of the ancestor worship cult. Often, the king would even perform oracle bone divinations himself, especially near the end of the dynasty. Evidence from excavations of the royal tombs indicates that royalty were buried with articles of value, presumably for use in the afterlife. Perhaps for the same reason, hundreds of commoners, who may have been slaves, were buried alive with the royal corpse.
A line of hereditary Shang kings ruled over much of northern China, and Shang troops fought frequent wars with neighboring settlements and nomadic herdsmen from the inner Asian steppes. The Shang king, in his oracular divinations, repeatedly shows concern about the fang groups, the barbarians living outside of the civilized tu regions, which made up the center of Shang territory.[clarification needed] In particular, the tufang group of the Yanshan region were regularly mentioned as hostile to the Shang.[19]
Apart from their role as the head military commanders, Shang kings also asserted their social supremacy by acting as the high priests of society and leading the divination ceremonies.[43] As the oracle bone texts reveal, the Shang kings were viewed as the best qualified members of society to offer sacrifices to their royal ancestors and to the high god Di, who in their beliefs was responsible for the rain, wind, and thunder.[43]
Religion[edit]
Chinese Shang dynasty bronze face masks, 16th–14th century BC
Shang religious rituals featured divination and sacrifice. The degree to which shamanism was a central aspect of Shang religion is a subject of debate.[44][45]
There were six main recipients of sacrifice: (1) Di, the High God, (2) nature powers like the sun and mountain powers, (3) former lords, deceased humans who had been added to the dynastic pantheon, (4) predynastic ancestors, (5) dynastic ancestors, and (6) dynastic ancestresses such as the concubines of a past emperor.[46]
The Shang believed that their ancestors held power over them and performed divination rituals to secure their approval for planned actions.[46] Divination involved cracking a turtle carapace or ox scapula to answer a question, and to then record the response to that question on the bone itself.[44] It is unknown what criteria the diviners used to determine the response, but it is believed to be the sound or pattern of the cracks on the bone.[citation needed]
The Shang also seem to have believed in an afterlife, as evidenced by the elaborate burial tombs built for deceased rulers. Often "carriages, utensils, sacrificial vessels, [and] weapons" would be included in the tomb.[47] A king's burial involved the burial of up to several hundred humans and horses as well to accompany the king into the afterlife, in some cases even numbering four hundred.[47] Finally, tombs included ornaments such as jade, which the Shang may have believed to protect against decay or confer immortality.
The Shang religion was highly bureaucratic and meticulously ordered. Oracle bones contained descriptions of the date, ritual, person, ancestor, and questions associated with the divination.[44] Tombs displayed highly ordered arrangements of bones, with groups of skeletons laid out facing the same direction.
Bronze working[edit]
Main article: Chinese ritual bronzes
Chinese bronze casting and pottery advanced during the Shang dynasty, with bronze typically being used for ritually significant, rather than primarily utilitarian, items. As far back as c. 1500 BC, the early Shang dynasty engaged in large-scale production of bronze-ware vessels and weapons.[48] This production required a large labor force that could handle the mining, refining, and transportation of the necessary copper, tin, and lead ores. This in turn created a need for official managers that could oversee both hard-laborers and skilled artisans and craftsmen.[48] The Shang royal court and aristocrats required a vast number of different bronze vessels for various ceremonial purposes and events of religious divination.[48] Ceremonial rules even decreed how many bronze containers of each type a nobleman or noblewoman of a certain rank could own. With the increased amount of bronze available, the army could also better equip itself with an assortment of bronze weaponry. Bronze was also used for the fittings of spoke-wheeled chariots, which appeared in China around 1200 BC.[43]
A Shang dynasty bronze ding vessel
The Shang dynasty Houmuwu Ding is the heaviest piece of bronze work found in China so far.
A late Shang dynasty bronze ding vessel with taotie motif
Bronze gū ritual wine vessel
Military[edit]
A bronze axe of the Shang dynasty
Bronze weapons were an integral part of Shang society.[49] Shang infantry were armed with a variety of stone and bronze weaponry, including máo (矛) spears, yuè (鉞) pole-axes, gē (戈) pole-based dagger-axes, composite bows, and bronze or leather helmets.[50][51]
The chariot first appeared in China around 1200 BC, during the reign of Wu Ding. There is little doubt that the chariot entered China through the Central Asia and the Northern Steppe, possibly indicating some form of contact with the Indo-Europeans.[52] Recent archaeological finds have shown that the late Shang used horses, chariots, bows and practiced horse burials that are similar to the steppe peoples to the west.[53] These influences led Christopher I. Beckwith to speculate that Indo-Europeans "may even have been responsible for the foundation of the Shang Dynasty", though he admits there is no direct evidence.[54] Oracle bone inscriptions suggest that the Shang used chariots in royal hunts and in battle only as mobile command vehicles.[55] In contrast, the western enemies of the Shang, such as the Zhou, began to use limited numbers of chariots in battle towards the end of the Shang period.[56]
Although the Shang depended upon the military skills of their nobility, Shang rulers could mobilize the masses of town-dwelling and rural commoners as conscript laborers and soldiers for both campaigns of defense and conquest.[57] Aristocrats and other state rulers were obligated to furnish their local garrisons with all necessary equipment, armor, and armaments. The Shang king maintained a force of about a thousand troops at his capital and would personally lead this force into battle.[58] A rudimentary military bureaucracy was also needed in order to muster forces ranging from three to five thousand troops for border campaigns to thirteen thousand troops for suppressing rebellions against the Shang dynasty.
Kings[edit]
See also: List of monarchs and The family tree of the Shang kings
The earliest records are the oracle bones inscribed during the reigns of the Shang kings from Wu Ding.[59] The oracle bones do not contain king lists, but they do record the sacrifices to previous kings and the ancestors of the current king, which follow a standard schedule that scholars have reconstructed. From this evidence, scholars have assembled the implied king list and genealogy, finding that it is in substantial agreement with the later accounts, especially for later kings.[60]
The Shang kings were referred to in the oracle bones by posthumous names. The last character of each name is one of the 10 celestial stems, which also denoted the day of the 10-day Shang week on which sacrifices would be offered to that ancestor within the ritual schedule. There were more kings than stems, so the names have distinguishing prefixes such as 大 Dà (greater), 中 Zhōng (middle), 小 Xiǎo (lesser), 卜 Bǔ (outer), 祖 Zǔ (ancestor) and a few more obscure names.[61]
The kings, in the order of succession derived from the oracle bones, are here grouped by generation. Later reigns were assigned to oracle bone diviner groups by Dong Zuobin:[62]
Generation
Older brothers
Main line of descent
Younger brothers
Diviner group
1 大乙 Dà Yǐ[i] [ii]
2 大丁 Dà Dīng[iii]
3 大甲 Dà Jiǎ 卜丙 Bǔ Bǐng[iv]
4 [v] 大庚 Dà Gēng 小甲 Xiǎo Jiǎ[vi]
5 大戊 Dà Wù 呂己 Lǚ Jǐ[vii]
6 中丁 Zhōng Dīng[viii] 卜壬 Bǔ Rén
7 戔甲 Jiān Jiǎ 祖乙 Zǔ Yǐ
8 祖辛 Zǔ Xīn 羌甲 Qiāng Jiǎ[ix]
9 祖丁 Zǔ Dīng 南庚 Nán Gēng[x]
10 象甲 Xiàng Jiǎ 盤庚 Pán Gēng 小辛 Xiǎo Xīn 小乙 Xiǎo Yǐ
11 武丁 Wǔ Dīng I
12 [xi] 祖庚 Zǔ Gēng 祖甲 Zǔ Jiǎ II
13 廩辛 Lǐn Xīn[xii] 康丁 Gēng Dīng III
14 武乙 Wǔ Yǐ IV
15 文武丁 Wén Wǔ Dīng
16 帝乙 Dì Yǐ[xiii] V
17 帝辛 Dì Xīn[xiv]
Notes
Jump up ^ The first king is known as Tang in the Historical Records. The oracle bones also identify six pre-dynastic ancestors: 上甲 Shàng Jiǎ, 報乙 Bào Yǐ, 報丙 Bào Bǐng, 報丁 Bào Dīng, 示壬 Shì Rén and 示癸 Shì Guǐ.
Jump up ^ There is no firm evidence of oracle bone inscriptions before the reign of Wu Ding.
Jump up ^ According to the Historical Records and the Mencius, Da Ding (there called Tai Ding) died before he could ascend to the throne. However in the oracle bones he receives rituals like any other king.
Jump up ^ According to the Historical Records, Bu Bing (there called Wai Bing) and 仲壬 Zhong Ren (not mentioned in the oracle bones) were younger brothers of Dai Ting and preceded Da Jia (also known as Dai Jia). However the Mencius, the Commentary of Zuo and the Book of History state that he reigned after Da Jia, as also implied by the oracle bones.
Jump up ^ The Historical Records include a king Wo Ding not mentioned in the oracle bones.
Jump up ^ The Historical Records have Xiao Jia as the son of Da Geng (known as Tai Geng) in the "Annals of Yin", but as a younger brother (as implied by the oracle bones) in the "Genealogical Table of the Three Ages".
Jump up ^ According to the Historical Records, Lü Ji (there called Yong Ji) reigned before Da Wu (there called Tai Wu).
Jump up ^ The kings from Zhong Ding to Nan Geng are placed in the same order by the Historical Records and the oracle bones, but there are some differences in genealogy, as described in the articles on individual kings.
Jump up ^ The status of Qiang Jia varies over the history of the oracle bones. During the reigns of Wu Ding, Di Yi and Di Xin, he was not included in the main line of descent, a position also held by the Historical Records, but in the intervening reigns he was included as a direct ancestor.
Jump up ^ According to the Historical Records, Nan Geng was the son of Qiang Jia (there called Wo Jia).
Jump up ^ The oracle bones and the Historical Records include an older brother 祖己 Zǔ Jǐ who did not reign.
Jump up ^ Lin Xin is named as a king in the Historical Records and oracle bones of succeeding reigns, but not those of the last two kings.[63]
Jump up ^ There are no ancestral sacrifices to the last two kings on the oracles bones, due to the fall of Shang. Their names, including the character 帝 Dì "emperor", come from the much later Bamboo Annals and Historical Records.[64]
Jump up ^ also referred to as Zhòu (紂), Zhòu Xīn (紂辛) or Zhòu Wáng (紂王) or by adding "Shāng" (商) in front of any of these names.
Descendants of the Shang royal family[edit]
After Shang's collapse, Zhou's rulers forcibly relocated "Yin diehards" (殷頑) and scattered them throughout Zhou territory.[65] Some surviving members of the Shang royal family collectively changed their surname from the ancestral name Zi (子) to the name of their fallen dynasty, Yin. The family retained an aristocratic standing and often provided needed administrative services to the succeeding Zhou dynasty. The Records of the Grand Historian states that King Cheng of Zhou, with the support of his regent and uncle, the Duke of Zhou, enfeoffed Weiziqi (微子啟), a brother of Di Xin, as the Duke of Song, with its capital at Shangqiu. This practice was referred to[by whom?] as 二王三恪. The Dukes of Song would maintain rites honoring the Shang kings until Qi conquered Song in 286 BC. Confucius was a descendant of the Shang Kings through the Dukes of Song.[66][67][68][need quotation to verify]
The Eastern Han dynasty bestowed the title of Duke of Song and "Duke Who Continues and Honours the Yin" (殷紹嘉公) upon Kong An (孔安 (東漢)) because he was part of the Shang dynasty's legacy.[69][70] This branch of the Confucius family is a separate branch from the line that held the title of Marquis of Fengsheng village and later Duke Yansheng.
Another remnant of the Shang established the vassal state of Guzhu (located in present-day Tangshan), which Duke Huan of Qi destroyed.[71][72][73] Many Shang clans that migrated northeast after the dynasty's collapse were integrated into Yan culture during the Western Zhou period. These clans maintained an élite status and continued practicing the sacrificial and burial traditions of the Shang.[19]
Both Korean and Chinese legends, including reports in the Book of Documents and the Bamboo Annals, state that a disgruntled Shang prince named Jizi, who had refused to cede power to the Zhou, left China with a small army. According to these legends, he founded a state known as Gija Joseon in northwest Korea during the Gojoseon period of ancient Korean history. However, scholars debate the historical accuracy of these legends.
See also[edit]
Chinese sovereign
Chinese mythology
Historical capitals of China
Women in ancient and imperial China
References[edit]
Citations
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Jump up ^ "Shang". Random House Webster's Unabridged Dictionary.
Jump up ^ Keightley (2000).
Jump up ^ Keightley (1999), pp. 233–235.
Jump up ^ Keightley (1978b).
^ Jump up to: a b Keightley (1999), p. 232.
Jump up ^ Keightley (1978a), p. xiv.
Jump up ^ Keightley (1999), p. 233, with additional details from the Historical Records.
Jump up ^ Keightley (1999), p. 233.
Jump up ^ 邶、鄘二國考 (Bei, Yong two national test)
Jump up ^ 周初"三监"与邶、鄘、卫地望研究 (Bei, Yong, Wei – looking at the research)
Jump up ^ "三监"人物疆地及其地望辨析 ——兼论康叔的始封地问题 Archived 9 May 2011 at the Wayback Machine. (breaking ground on Kangshu problem)
^ Jump up to: a b c d e f g Fairbank & Goldman (2006), p. 33.
^ Jump up to: a b c Fairbank & Goldman (2006), p. 34.
Jump up ^ Needham, Volume 4, Part 2, 43.
Jump up ^ Fairbank & Goldman (2006), pp. 34–35.
Jump up ^ Harrington, Spencer P.M. (May–June 2000). "Shang City Uncovered". Archaeology. Archaeological Institute of America. 53 (3).
Jump up ^ Tang, Jigen; Jing, Zhichun; Liu, Zhongfu; Yue, Zhanwei (2004). "Survey and Test Excavation of the Huanbei Shang City in Anyang" (PDF). Chinese Archaeology. 4: 1–20.
^ Jump up to: a b c d e Sun (2006).
Jump up ^ Allan (1991), p. 63.
Jump up ^ Bagley (1999), pp. 168–171.
Jump up ^ Bagley (1999), pp. 124–125.
Jump up ^ Wilkinson (2013), p. 669.
Jump up ^ Wagner (1993), p. 20.
Jump up ^ Cheung (1983).
Jump up ^ Zeng, Wen; Li, Jiawei; Yue, Hongbin; Zhou, Hui; Zhu, Hong (2013). "Poster: Preliminary Research on Hereditary Features of Yinxu Population".
Jump up ^ Qiu (2000), p. 60.
Jump up ^ A Short History of China.
Jump up ^ Beck, Roger B.; Linda Black; Larry S. Krieger; Phillip C. Naylor; Dahia Ibo Shabaka (1999). World History: Patterns of Interaction. Evanston, IL: McDougal Littell. ISBN 0-395-87274-X.
Jump up ^ Flad, Dr. Rowan (28 Feb 2010). "Shang Dynasty Human Sacrifice". NGC Presents. National Geographic. Retrieved 3 Mar 2010.
Jump up ^ Pietrusewsky, Michael (2005). "The physical anthropology of the Pacific, East Asia and Southeast Asia: a multivariate craniometric analysis". In Sagart, Laurent; Blench, Roger; Sanchez-Mazas, Alicia. The Peopling of East Asia: Putting Together Archaeology, Linguistics and Genetics. RoutledgeCurzon. pp. 201–229. ISBN 978-0-415-32242-3, page 203.
Jump up ^ Howells, William (1983). "Origins of the Chinese People: Interpretations of recent evidence". In Keightley, David N. The Origins of Chinese Civilization. University of California Press. pp. 297–319. ISBN 978-0-520-04229-2, pages 312–313.
Jump up ^ Fairbank & Goldman (2006), p. 35.
Jump up ^ Sun (1989), pp. 161–167.
Jump up ^ Chen (2002), pp. 67–71.
Jump up ^ Thorp (1981), p. 239.
Jump up ^ Thorp (1981), p. 240.
Jump up ^ Thorp (1981), pp. 240, 245.
Jump up ^ Thorp (1981), pp. 242, 245.
Jump up ^ Li (1980), pp. 393–394.
Jump up ^ Lerner et al. (1985), p. 77.
Jump up ^ Thorp (1981), p. 245.
^ Jump up to: a b c Ebrey, Walthall & Palais (2006), p. 14.
^ Jump up to: a b c Chang (1994).
Jump up ^ Keightley (1998).
^ Jump up to: a b Keightley (2004).
^ Jump up to: a b Smith (1961).
^ Jump up to: a b c Ebrey, Walthall & Palais (2006), p. 17.
Jump up ^ Sawyer & Sawyer (1994).
Jump up ^ Wang (1993).
Jump up ^ Sawyer & Sawyer (1994), p. 35.
Jump up ^ Shaughnessy (1988), p. 190.
Jump up ^ Mair (2011), p. 100.
Jump up ^ Beckwith (2009), pp. 43–48.
Jump up ^ Shaughnessy (1988), pp. 213–221.
Jump up ^ Shaughnessy (1988), pp. 218–221.
Jump up ^ Sawyer & Sawyer (1994), p. 33.
Jump up ^ Sawyer & Sawyer (1994), p. 34.
Jump up ^ Wilkinson (2013), p. 684.
Jump up ^ Keightley (1999), p. 235.
Jump up ^ Smith (2011), pp. 3–5.
Jump up ^ Keightley (1999), pp. 234–235, 240–241.
Jump up ^ Keightley (1978a), p. 187.
Jump up ^ Keightley (1978a), pp. 187, 207, 209.
Jump up ^ 一 被剥削者的存在类型 (Expoited by the presence of...)
Jump up ^ Xinzhong Yao (2000). An Introduction to Confucianism. Cambridge University Press. p. 23. ISBN 0521644305.
Jump up ^ Xinzhong Yao (1997). Confucianism and Christianity: A Comparative Study of Jen and Agape. Sussex Academic Press. p. 29. ISBN 1898723761.
Jump up ^ Lee Dian Rainey (2010). Confucius & Confucianism: The Essentials. John Wiley & Sons. p. 66. ISBN 1405188413.
Jump up ^ Rafe de Crespigny (28 December 2006). A Biographical Dictionary of Later Han to the Three Kingdoms (23–220 AD). BRILL. pp. 389–. ISBN 978-90-474-1184-0.
Jump up ^ 《汉书·杨胡朱梅云传》：初，武帝时，始封周后姬嘉为周子南君，至元帝时，尊周子南君为周承休侯，位次诸侯王。使诸大夫博士求殷后，分散为十余姓，郡国往往得其大家，推求子孙，绝不能纪。时，匡衡议，以为“王者存二王后，所以尊其先王而通三统也。其犯诛绝之罪者绝，而更封他亲为始封君，上承其王者之始祖。《春秋》之义，诸侯不能守其社稷者绝。今宋国已不守其统而失国矣，则宜更立殷后为始封君，而上承汤统，非当继宋之绝侯也，宜明得殷后而已。今之故宋，推求其嫡，久远不可得；虽得其嫡，嫡之先已绝，不当得立。《礼记》孔子曰：‘丘，殷人也。’先师所共传，宜以孔子世为汤后。”上以其语不经，遂见寝。
Jump up ^ 中国孤竹文化网 Archived 1 April 2010 at the Wayback Machine. (Chinese Guzhu Cultural Network)
Jump up ^ 解开神秘古国 ——孤竹之谜 (unlocking the ancient mystery of Guzhu)
Jump up ^ 孤竹析辨 (Guzhu analysis identified)
Works cited
Allan, Sarah (1991), The Shape of the Turtle: Myth, Art, and Cosmos in Early China, SUNY Press, ISBN 978-0-7914-9449-3.
Bagley, Robert (1999), "Shang archaeology", in Loewe, Michael; Shaughnessy, Edward L., The Cambridge History of Ancient China, Cambridge: Cambridge University Press, pp. 124–231, ISBN 978-0-521-47030-8.
Beckwith, Christopher I. (16 March 2009). Empires of the Silk Road: A History of Central Eurasia from the Bronze Age to the Present. Princeton University Press. ISBN 14008-29941. Retrieved 30 December 2014.
Chang, Kwang-Chih (1994), "Shang Shamans", in Peterson, Willard J., The Power of Culture: Studies in Chinese Cultural History, Hong Kong: Chinese University Press, pp. 10–36, ISBN 978-962-201-596-8.
Chen, Yan (2002), Maritime Silk Route and Chinese-Foreign Cultural Exchanges, Beijing: Peking University Press, ISBN 978-7-301-03029-5.
Cheung, Kwong-yue (1983), "Recent archaeological evidence relating to the origin of Chinese characters", in Keightley, David N.; Barnard, Noel, The Origins of Chinese Civilization, trans. Noel Barnard, University of California Press, pp. 323–391, ISBN 978-0-520-04229-2.
Ebrey, Patricia Buckley; Walthall, Anne; Palais, James B. (2006), East Asia: A Cultural, Social, and Political History, Boston: Houghton Mifflin, ISBN 978-0-618-13384-0.
Fairbank, John King; Goldman, Merle (2006), China: A New History (2nd ed.), Harvard University Press, ISBN 978-0-674-03665-9.
Keightley, David N. (1978a), Sources of Shang History: The Oracle-Bone Inscriptions of Bronze Age China, Berkeley: University of California Press, ISBN 0-520-02969-0; A 1985 paperback 2nd edition is still in print, ISBN 0-520-05455-5.
——— (1978b), "The Bamboo Annals and Shang-Chou Chronology", Harvard Journal of Asiatic Studies, 38 (2): 423–438, JSTOR 2718906.
——— (1998), "Shamanism, Death, and the Ancestors: Religious Mediation in Neolithic and Shang China (ca. 5000–1000 B.C.)", Asiatische Studien, 52 (3): 763–831, doi:10.5169/seals-147432.
——— (1999), "The Shang: China's first historical dynasty", in Loewe, Michael; Shaughnessy, Edward L., The Cambridge History of Ancient China, Cambridge: Cambridge University Press, pp. 232–291, ISBN 978-0-521-47030-8.
——— (2000), The Ancestral Landscape: Time, Space, and Community in Late Shang China (ca. 1200–1045 B.C.), China Research Monograph, 53, Institute of East Asian Studies, University of California, Berkeley, ISBN 978-1-55729-070-0.
——— (2004), "The Making of the Ancestors: Late Shang Religion and Its Legacy", in Lagerwey, John, Chinese Religion and Society: The Transformation of a Field, Hong Kong: Chinese University Press, pp. 3–63, ISBN 978-962-99612-3-7.
Mair, Victor H. (2011), "Religious formations and intercultural contacts in early China", in Krech, Volkhard; Steinicke, Marian, Dynamics in the History of Religions between Asia and Europe: Encounters, Notions, and Comparative Perspectives, Brill, pp. 85–110, ISBN 978-90-04-22535-0.
Lerner, Martin; Murck, Alfreda; Ford, Barbara B.; Hearn, Maxwell; Valenstein, Suzanne G. (1985), "Asian Art", Recent Acquisitions (Metropolitan Museum of Art): 72–88, JSTOR 1513695.
Li, Chu-tsing (1980), "The Great Bronze Age of China", Art Journal, 40 (1/2): 390–395, JSTOR 776607.
Qiu, Xigui (2000), Chinese writing, trans. by Gilbert L. Mattos and Jerry Norman, Berkeley: Society for the Study of Early China and The Institute of East Asian Studies, University of California, ISBN 978-1-55729-071-7. (English translation of Wénzìxué Gàiyào 文字學概要, Shangwu, 1988.)
Sawyer, Ralph D.; Sawyer, Mei-chün Lee (1994), Sun Tzu's The Art of War, New York: Barnes and Noble, ISBN 978-1-56619-297-2.
Shaughnessy, Edward L. (1988), "Historical Perspectives on The Introduction of The Chariot Into China", Harvard Journal of Asiatic Studies, 48 (1): 189–237, JSTOR 2719276.
Smith, Adam Daniel (2011), "The Chinese Sexagenary Cycle and the Ritual Origins of the Calendar", in Steele, John M., Calendars and Years II: Astronomy and time in the ancient and medieval world, Oxbow Books, pp. 1–37, ISBN 978-1-84217-987-1.
Smith, Howard (1961), "Chinese Religion in the Shang Dynasty", International Review for the History of Religions, 8 (2): 142–150, doi:10.1163/156852761x00090, JSTOR 3269424.
Sun, Guangqi (1989), 中国古代航海史 [History of Navigation in Ancient China], Beijing: Ocean Press, ISBN 978-7-5027-0532-9.
Sun, Yan (2006), "Colonizing China's Northern Frontier: Yan and Her Neighbors During the Early Western Zhou Period", International Journal of Historical Archaeology, 10 (2): 159–177, doi:10.1007/s10761-006-0005-3.
Thorp, Robert L. (1981), "The Date of Tomb 5 at Yinxu, Anyang: A Review Article", Artibus Asiae, 43 (3): 239–246, JSTOR 3249839.
Wagner, Donald B. (1993), Iron and Steel in Ancient China, BRILL, ISBN 978-90-04-09632-5.
Wang, Hongyuan 王宏源 (1993), 漢字字源入門 [The Origins of Chinese Characters], Beijing: Sinolingua, ISBN 978-7-80052-243-7.
Wilkinson, Endymion (2013), Chinese History: A New Manual, Cambridge, MA: Harvard Univ Asia Center, ISBN 978-0-674-06715-8.
Further reading[edit]
Allen, Herbert J. (translator) (1895), "Ssŭma Ch'ien's Historical Records, Chapter III – The Yin Dynasty", Journal of the Royal Asiatic Society, 27 (3): 601–615, doi:10.1017/S0035869X00145083.
Chang, Kwang-Chih (1980), Shang Civilization, Yale University Press, ISBN 0-300-02885-7.
Duan, Chang-Qun; Gan, Xue-Chun; Wang, Jeanny; Chien, Paul K. (1998), "Relocation of Civilization Centers in Ancient China: Environmental Factors", Ambio, 27 (7): 572–575, JSTOR 4314793.
Legge, James (translator) (1865), "The Annals of the Bamboo Books: The Dynasty of Shang", The Chinese Classics, volume 3, part 1, pp. 128–141.
Lee, Yuan-Yuan; Shen, Sin-yan (1999), Chinese Musical Instruments, Chinese Music Monograph Series, Chinese Music Society of North America Press, ISBN 1-880464-03-9.
Needham, Joseph (1971), Science and Civilization in China: Volume 4, Part 3, Cambridge University Press, ISBN 978-0-521-07060-7.
Shen, Sinyan (1987), "Acoustics of Ancient Chinese Bells", Scientific American, 256: 94, doi:10.1038/scientificamerican0487-104.
Timperley, Harold J. (1936), The Awakening of China in Archaeology; Further Discoveries in Ho-Nan Province, Royal Tombs of the Shang Dynasty, Dated Traditionally from 1766 to 1122 B.C..
External links[edit]
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List of lunar deities
From Wikipedia, the free encyclopedia
Jump to: navigation, search
"Moon cult" redirects here. For the new religious movement founded by Sun Myung Moon, see Unification Church.
This article needs additional citations for verification. Please help improve this article by adding citations to reliable sources. Unsourced material may be challenged and removed. (July 2009) (Learn how and when to remove this template message)
The Hindu Chandra, riding his celestial chariot
In mythology, a lunar deity is a god or goddess associated with, or symbolic of the moon. These deities can have a variety of functions and traditions depending upon the culture, but they are often related. Some form of moon worship can be found in most ancient religions.
Contents
[hide]
1 Moon in religion and mythology
2 The list
2.1 Near East
2.2 Africa
2.3 Europe
2.4 Asia
2.5 Oceania
2.6 Mesoamerica
2.7 South America
2.8 North America
3 See also
4 References
Moon in religion and mythology[edit]
The monthly cycle of the moon, in contrast to the annual cycle of the sun's path, has been implicitly linked to women's menstrual cycles by many cultures, as evident in the links between the words for menstruation and for moon in many resultant languages.[1] Many of the most well-known mythologies feature female lunar deities, such as the Greek goddesses Phoebe, Artemis, Selene, and Hecate as well as the Chinese goddess Chang'e.
Male lunar gods are also frequent, such as Sin of the Mesopotamians, Mani of the Germanic tribes, and the Japanese god Tsukuyomi. These cultures usually featured female Sun goddesses. There are also many lunar deities that were prevalent in Greek and Egyptian civilizations. For example, Ibis and Chonsu of Thebes were both lunar deities. Thoth was also a lunar deity, but his character is considerably more complex than Ibis and Chonsu.[2] Set represented the Moon in the Egyptian Calendar of Lucky and Unlucky Days of papyrus Cairo 86637.[3]
The original Proto-Indo-European lunar deity appears to have been a male god.[4] Several goddesses, like Artemis or Hecate, did not originally have lunar aspects, and only acquired them late in antiquity, due to syncretism with Selene/Luna, the de facto Greco-Latin lunar deity. In traditions with male gods, there is little evidence of such syncretism, though the Greco-Roman Hermes has been equated with male Egyptian lunar gods like Thoth. In Greece proper, remnants of male moon gods are also seen with Menelaus.
Also of significance is that many religions and societies are oriented chronologically by the moon, as opposed to the sun. One common example is Hinduism in which the word Chandra means "moon" and has religious significance during many Hindu festivals (e.g. Karwa Chauth, Sankasht Chaturthi, and during the eclipses).
The moon is also worshipped in witchcraft, both in its modern form, and in Medieval times (I.E. in the cult of Madonna Oriente). The moon features prominently in art and literature, and also has a purported influence in human affairs, a belief that consistently remains a feature of astrology and theology.
The list[edit]
Near East[edit]
God Ta'lab (Arabian mythology)
God Wadd (Minaean mythology)
Goddess Nikkal (Canaanite mythology)
God Yarikh (Canaanite mythology)
God Baal-hamon (Carthaginian religion)
God Napir (Elamite mythology)
God Kaskuh (Hittite mythology)
God Kusuh (Hurrian mythology)
God Sin (Mesopotamian mythology)
God Aglibol (Palmarene mythology)
God Men (Phrygian mythology)
Goddess Selardi (Urartian mythology)
Africa[edit]
Goddess Ala (Igbo mythology)
Goddess Gleti (Dahomean mythology)
Goddess Mawu (Dahomean mythology)
God Iah (Egyptian mythology)
God Khonsu (Egyptian mythology)
God Osiris (Egyptian mythology)[5]
God Thoth (Egyptian mythology)
Goddess Neith (Egyptian Mythology)
Goddess Isis (Egyptian Mythology)
Goddess Nephthys (Egyptian Mythology)
God Arebati (Mbuti mythology)[citation needed]
Goddess Tpollisia (Mbuti mythology)[citation needed]
Goddess Arawa (Pokot mythology)[citation needed]
God Kalfu (Vodun mythology)
Goddess Yemaya (Yoruba mythology)
Goddess Jezanna (Zimbabwean mythology)[citation needed]
Europe[edit]
Goddess Kazza (Arturian mythology)
Goddess Ilargi (Basque mythology)
Goddess Artume (Etruscan mythology)
Goddess Losna (Etruscan mythology)
Goddess Kuu (Finnish mythology)
Goddess Achelois (Greek mythology)
Goddess Phoebe (Greek mythology)
Goddess Artemis (Greek mythology)
Goddess Selene (Greek mythology)
Goddess Hecate (Greek mythology)
God Máni (Norse mythology)
God Elatha (Irish mythology)
God Meness (Latvian mythology)
Goddess Ataegina (Lusitanian mythology)
Goddess Diana (Roman mythology)
Goddess Luna (Roman mythology)
Goddess Trivia (Roman mythology)
Goddess Mano (Sami mythology)
God Jarilo (Slavic mythology)
Goddess Bendis (Thracian mythology)
Goddess Arianrhod (Welsh mythology)
Asia[edit]
Goddess Chup Kamui (Ainu mythology)
Goddess Chang'e (Chinese mythology)
God Wu Gang (Chinese mythology)
Goddess Su'e (Chinese mythology)
Goddess Han Ying (Chinese mythology)
Goddess Queen Jiang (Chinese mythology)
Goddess Chang Xi (Chinese mythology)
God Jie Lin (Chinese mythology)
Goddess Anumati (Hindu mythology)
Goddess Raka (Hindu mythology)
Goddess Kuhu (Hindu mythology)
Goddess Sinhivala (Hindu mythology)
God Chandra or 'Indu' (Hindu mythology)
Goddess Ratih (Indonesian mythology)
Goddess Silewe Nazarate (Indonesian mythology)
God Tsukuyomi (Japanese mythology)
Goddess Dae-Soon (Korean mythology)[citation needed]
Goddess Mayari (Philippine mythology)
God Libulan (Philippine mythology)[citation needed]
God Bulan (Philippine mythology)[citation needed]
Goddess Haliya (Philippine mythology)
God Ay Ata (Turkic mythology)
Oceania[edit]
God Bahloo (Australian Aboriginal mythology)
Goddess Lona (Hawaiian mythology)
God Kidili (Mandjindja mythology)
God Avatea (Polynesian mythology)
God Fati (Polynesian mythology)
Goddess Hina (Polynesian mythology)
Goddess Mahina (Polynesian mythology)
God Marama (Polynesian mythology)
God Ngalindi (Yolngu mythology)
Mesoamerica[edit]
Goddess Coyolxauhqui (Aztec mythology)
Goddess Metztli (Aztec mythology)
God Tecciztecatl see Metztli (Aztec mythology)
Goddess and god Awilix (K'iche' Maya mythology)
God Ixbalanque (Maya mythology)
Maya moon goddess (Maya mythology)
South America[edit]
Goddess Huitaca (Muisca mythology)
Goddess Chía (Muisca mythology)
God Abaangui (Guarani mythology)
Goddess Arasy (Guarani mythology)
God Coniraya (Incan mythology)
Goddess Mama Killa (Incan mythology)
Goddess Ka-Ata-Killa (Incan mythology)
Goddess Jaci (Tupi mythology)
North America[edit]
Goddess Menily (Cahuilla mythology)[citation needed]
God Muuya (Hopi mythology)[citation needed]
God Alignak (Inuit mythology)
God Igaluk (Inuit mythology)
God Tarqiup Inua (Inuit mythology)
God Pah (Pawnee mythology)[citation needed]
Goddess Hanwi (Lakota mythology)[citation needed]
See also[edit]
Man in the Moon
Moon idol
Moon rabbit
Nature worship
Solar deity
Triple Goddess
The White Goddess
References[edit]
Wikimedia Commons has media related to Lunar deities.
Jump up ^ Harding, Esther M., 'Woman's Mysteries: Ancient and Modern', London: Rider, 1971, p. 24.
Jump up ^ Thoth, the Hermes of Egypt: a study of some aspects of theological thought in ancient Egypt, page 75
Jump up ^ Jetsu, L.; Porceddu, S. (2015). "Shifting Milestones of Natural Sciences: The Ancient Egyptian Discovery of Algol's Period Confirmed". PLOS ONE. 10 (12): e.0144140 (23pp). doi:10.1371/journal.pone.0144140.
Jump up ^ Dexter, Miriam Robbins. Proto-Indo-European Sun Maidens and Gods of the Moon. Mankind Quarterly 25:1 & 2 (Fall/Winter, 1984), pp. 137–144.
Jump up ^ S. Quirke and A.J. Spencer, The British Museum Book of Ancient Egypt. London, The British Museum Press, 1992
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Endogenous growth theory
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Endogenous growth theory holds that economic growth is primarily the result of endogenous and not external forces.[1] Endogenous growth theory holds that investment in human capital, innovation, and knowledge are significant contributors to economic growth. The theory also focuses on positive externalities and spillover effects of a knowledge-based economy which will lead to economic development. The endogenous growth theory primarily holds that the long run growth rate of an economy depends on policy measures. For example, subsidies for research and development or education increase the growth rate in some endogenous growth models by increasing the incentive for innovation.
Contents
[hide]
1 Models
1.1 AK model
2 Versus exogenous growth theory
3 Implications
4 Criticisms
5 See also
6 Notes
7 References
8 Further reading
Models[edit]
In the mid-1980s, a group of growth theorists became increasingly dissatisfied with common accounts of exogenous factors determining long-run growth. They favored a model that replaced the exogenous growth variable (unexplained technical progress) with a model in which the key determinants of growth were explicit in the model. The work of Kenneth Arrow (1962), Hirofumi Uzawa (1965), and Miguel Sidrauski (1967) formed the basis for this research.[2] Paul Romer (1986), Robert Lucas (1988), Sergio Rebelo (1991)[3] and Ortigueira and Santos (1997) omitted technological change; instead, growth in these models is due to indefinite investment in human capital which had a spillover effect on the economy and reduces the diminishing return to capital accumulation.[4]
The AK model, which is the simplest endogenous model, gives a constant-savings rate of endogenous growth and assumes a constant, exogenous, saving rate. It models technological progress with a single parameter (usually A). It uses the assumption that the production function does not exhibit diminishing returns to scale to lead to endogenous growth. Various rationales for this assumption have been given, such as positive spillovers from capital investment to the economy as a whole or improvements in technology leading to further improvements (learning by doing). However, the endogenous growth theory is further supported with models in which agents optimally determined the consumption and saving, optimizing the resources allocation to research and development leading to technological progress. Romer (1987, 1990) and significant contributions by Aghion and Howitt (1992) and Grossman and Helpman (1991), incorporated imperfect markets and R&D to the growth model.[4]
AK model[edit]
Main article: AK model
The AK model works on the property of absence of diminishing returns to capital. The simplest form of production function with non-diminishing return is:
Y = A K {\displaystyle Y=AK\,}
where
A {\displaystyle A\,} , is a positive constant that reflects the level of the technology.
K {\displaystyle K\,} capital (broad sense to include human capital)
Now, assume output per capita be determined by the constant A > 0 {\displaystyle A>0\,}
y = A k {\displaystyle y=Ak\,} ,
k {\displaystyle k} = capital per worker
y {\displaystyle y} = output/income per worker
If f ( k ) k = A {\displaystyle {\frac {f(k)}{k}}=A\,} is substituted in the equation of transitional Dynamics of Solow-Swan model (exogenous growth model), and f(k) is the output function per worker, how an economy’s per capita incomes converges toward its own steady-state value, to the per capita incomes of other nations, can be seen.
The transitional dynamics equation, in which the growth rate on k {\displaystyle k\,} is given by
γ K = k ˙ / k = s f ( k ) k − ( n + δ ) , {\displaystyle \gamma _{K}={\dot {k}}/k=s{\frac {f(k)}{k}}-(n+\delta )\ ,}
on substituting A {\displaystyle A\,} , this is gotten:
γ K = s A − ( n + δ ) , {\displaystyle \gamma _{K}=sA-(n+\delta )\ ,}
The case of zero technological progress, x = 0 {\displaystyle x=0\,} , is returned to because per capita growth can now occur in the long-run even without exogenous technological change. The figure 1.1 explains the perpetual growth, with exogenous technical progress. The vertical distance between the two line, s A {\displaystyle sA\,} and n+δ gives the γ K {\displaystyle \gamma _{K}\,}
As, s A > {\displaystyle sA>\,} n+δ, so that γ K > 0 {\displaystyle \gamma _{K}>0\,} . Since the two line are parallel, γ K {\displaystyle \gamma _{K}\,} is constant; in particular, it is independent of K {\displaystyle K\,} . In other words, K {\displaystyle K\,} always grows at steady states rate, γ K ∗ = s A − ( n + δ ) , {\displaystyle \gamma _{K}^{*}=sA-(n+\delta )\ ,} .
Since
y = A K {\displaystyle y=AK\,} , γ K {\displaystyle \gamma _{K}\,} equals γ K ∗ {\displaystyle \gamma _{K}^{*}\,}
at every point of time. In addition, since
c = ( 1 − s ) y {\displaystyle c=(1-s)y\,} ,
the growth rate of
c {\displaystyle c\,} equals γ K ∗ {\displaystyle \gamma _{K}^{*}\,} .
Hence, the entire per capita variable in the model grows at same rate, given by
γ ∗ = s A − ( n + δ ) , {\displaystyle \gamma ^{*}=sA-(n+\delta )\ ,}
However, y = A K {\displaystyle y=AK\,} technology displays a positive long-run per capita growth without any exogenous technological development. The per capita growth depends on behavioural factors of the model as the saving rate and population. It is unlike neoclassical model, which is higher saving, s, promotes higher long-run per capita growth γ ∗ {\displaystyle \gamma ^{*}\,} .[4]
Versus exogenous growth theory[edit]
In neo-classical growth models, the long-run rate of growth is exogenously determined by either the savings rate (the Harrod–Domar model) or the rate of technical progress (Solow model). However, the savings rate and rate of technological progress remain unexplained. Endogenous growth theory tries to overcome this shortcoming by building macroeconomic models out of microeconomic foundations. Households are assumed to maximize utility subject to budget constraints while firms maximize profits. Crucial importance is usually given to the production of new technologies and human capital. The engine for growth can be as simple as a constant return to scale production function (the AK model) or more complicated set ups with spillover effects (spillovers are positive externalities, benefits that are attributed to costs from other firms), increasing numbers of goods, increasing qualities, etc.
Often endogenous growth theory assumes constant marginal product of capital at the aggregate level, or at least that the limit of the marginal product of capital does not tend towards zero. This does not imply that larger firms will be more productive than small ones, because at the firm level the marginal product of capital is still diminishing. Therefore, it is possible to construct endogenous growth models with perfect competition. However, in many endogenous growth models the assumption of perfect competition is relaxed, and some degree of monopoly power is thought to exist. Generally monopoly power in these models comes from the holding of patents. These are models with two sectors, producers of final output and an R&D sector. The R&D sector develops ideas that they are granted a monopoly power. R&D firms are assumed to be able to make monopoly profits selling ideas to production firms, but the free entry condition means that these profits are dissipated on R&D spending.
Implications[edit]
An endogenous growth theory implication is that policies that embrace openness, competition, change and innovation will promote growth.[5] Conversely, policies that have the effect of restricting or slowing change by protecting or favouring particular existing industries or firms are likely, over time, to slow growth to the disadvantage of the community. Peter Howitt has written:
Sustained economic growth is everywhere and always a process of continual transformation. The sort of economic progress that has been enjoyed by the richest nations since the Industrial Revolution would not have been possible if people had not undergone wrenching changes. Economies that cease to transform themselves are destined to fall off the path of economic growth. The countries that most deserve the title of “developing” are not the poorest countries of the world, but the richest. [They] need to engage in the never-ending process of economic development if they are to enjoy continued prosperity. (Conclusion, "Growth and development: a Schumpeterian perspective", 2006 [1]).
Criticisms[edit]
One of the main failings of endogenous growth theories is the collective failure to explain conditional convergence reported in empirical literature.[6]
Another frequent critique concerns the cornerstone assumption of diminishing returns to capital. Stephen Parente contends that new growth theory has proved to be no more successful than exogenous growth theory in explaining the income divergence between the developing and developed worlds (despite usually being more complex).[7]
Paul Krugman criticized endogenous growth theory as nearly impossible to check by empirical evidence; “too much of it involved making assumptions about how unmeasurable things affected other unmeasurable things.”[8]
See also[edit]
Economic growth
Human capital
Feldman–Mahalanobis model
Solow–Swan model, “the” exogenous growth model
Ramsey–Cass–Koopmans model, a microfounded growth model with infinite horizon
Notes[edit]
Jump up ^ Romer, P. M. (1994). "The Origins of Endogenous Growth". The Journal of Economic Perspectives. 8 (1): 3–22. doi:10.1257/jep.8.1.3. JSTOR 2138148.
Jump up ^ "Monetary Growth Theory". newschool.edu. 2011. Archived from the original on 21 October 2015. Retrieved 11 October 2011.
Jump up ^ Carroll, C. (2011). "The Rebelo AK Growth Model" (PDF). econ2.jhu.edu. Retrieved 11 October 2011. the steady-state growth rate in a Rebelo economy is directly proportional to the saving rate.
^ Jump up to: a b c Barro, R. J.; Sala-i-Martin, Xavier (2004). Economic Growth (2nd ed.). New York: McGraw-Hill. ISBN 0-262-02553-1.
Jump up ^ Fadare, Samuel O. "Recent Banking Sector Reforms and Economic Growth in Nigeria" (PDF). Middle Eastern Finance and Economics (8 (2010)). Archived from the original (PDF) on 2012-03-24.
Jump up ^ See Sachs, Jeffrey D.; Warner, Andrew M. (1997). "Fundamental Sources of Long-Run Growth". American Economic Review. 87 (2): 184–188. JSTOR 2950910.
Jump up ^ Parente, Stephen (2001). "The Failure of Endogenous Growth". Knowledge, Technology & Policy. 13 (4): 49–58. doi:10.1007/BF02693989.
Jump up ^ Krugman, Paul (August 18, 2013). "The New Growth Fizzle". New York Times.
References[edit]
Lucas, R. E. (1988). "On the mechanics of Economic Development" (PDF). Journal of Monetary Economics. 22.
Ortigueira, Salvador; Santos, Manuel S. (1997). "On the Speed of Convergence in Endogenous Growth Models". American Economic Review. 87 (3): 383–399.
Rebelo, Sergio (1991). "Long-Run Policy Analysis and Long-Run Growth". Journal of Political Economy. 99 (3): 500. doi:10.1086/261764.
Uzawa, Hirofumi (1965). "Optimum Technical Change in an Aggregative Model of Economic Growth" (PDF). International Economic Review. 6 (1): 18–31. doi:10.2307/2525621. JSTOR 2525621.
Further reading[edit]
Acemoglu, Daron (2009). "Endogenous Technological Change". Introduction to Modern Economic Growth. Princeton University Press. pp. 411–533. ISBN 978-0-691-13292-1.
Barro, Robert J.; Sala-i-Martin, Xavier (2004). "One-Sector Models of Endogenous Growth". Economic Growth (Second ed.). New York: McGraw-Hill. pp. 205–237. ISBN 0-262-02553-1.
Farmer, Roger E. A. (1999). "Endogenous Growth Theory". Macroeconomics (Second ed.). Cincinnati: South-Western. pp. 357–380. ISBN 0-324-12058-3.
Romer, David (2011). "Endogenous Growth". Advanced Macroeconomics (Fourth ed.). New York: McGraw-Hill. pp. 101–149. ISBN 978-0-07-351137-5.
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