Yungang: Art, History, Archaeology, Liturgy 1351402404, 9781351402408

Table of contents :
Cover
Title
Copyright
Dedication
Contents
Acknowledgments
Chronology of Chinese Dynasties
1 Introduction
Chinese antiquarian documentation
Pioneering Japanese expeditions
Chinese scholarship
Western research
Purpose and organization of the book
2 The sacred site of Yungang
Making the sacred cave temples of Yungang
Auspicious geographical environment of Yungang
Archaeological excavations and related issues
Art and architecture
3 Phase one – emperor as Tathāgata
The imperial five Tanyao caves
Dates of excavation of the five Tanyao caves
Emperor as the living Tathāgata in the cave temple
Tanyao and the significance of the translation of sacred books in Yungang
Concluding remarks
4 Phase two – political struggles and chronicles reconsidered
Dates of caves 11–13 reconsidered
Reconstructing a chronological sequence of the second-phase cave temples
Summary of the chronology of the second-phase cave temples
5 Considering karmic narratives and liturgical functions
Reading the iconography
Modes of narratives and viewers’ response
Ritual and function in a rock-cut cave sanctuary
Folk faith, karmic practice, and the Tiwei Boli jing
Concluding remarks
6 Phase three – the remaining splendor
Architectural structure
Iconographic composition
Telling tales: narrative stories and visual representations
Iconographic style
Classification, dating, and chronological sequence
Concluding remarks
One final remark: Buddhist sinicization reconsidered
7 Postscript
Classification of the caves in the third phase
Groups and periodization of the third-phase caves
Character glossary
Selected bibliography
Index

Citation preview

Yungang

The first-ever comprehensive examination of its kind in any western language, this unique volume provides a social art history of Yungang: a 5th-century rock-cut court cave complex, UNESCO World Heritage site, and one of the greatest Buddhist monuments of all time. Yungang asks why, when, and under what circumstances this impressive cave sanctuary was made, who played significant roles at various stages, and what was the construction dating sequence. Recent economic changes in China including the expansion and reconstruction of roadways have led to unprecedented numbers of objects being unearthed on site and near the cave-chapels. Archaeological excavations above the caves in 2009 and 2010 have shed significant new light on the architectural configurations of monasteries in the capital and in Yungang itself, and the functions of different sections of the cave complex, as well as monastic life within it. For the first time, it is possible to reconstruct where the monks lived and translated sacred literary texts, and to fully understand that freestanding monasteries are an important component of the rock-cut cave complex. Illustrated with remarkable, rare full-colour photographs, this re-examination of the cave-chapels, which brings together previous scholarship, primary documentation, and more than a decade of first-hand field research, will not only fill in the gaps in our knowledge about Yungang, but also raise, and answer, new questions in art history and archaeology. Professor Joy Lidu Yi is a historian of Chinese art and archaeologist. Her current research is focused on Buddhist rock-cut cave art and archaeology in medieval China. She is particularly interested in the issues of art, power, politics, patronage, and liturgy of Buddhist sanctuaries, as well as the relationship between cave-temples and tombs.

Yungang Art, History, Archaeology, Liturgy

Joy Lidu Yi

First published 2018 by Routledge 2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN and by Routledge 711 Third Avenue, New York, NY 10017 Routledge is an imprint of the Taylor & Francis Group, an informa business © 2018 Joy Lidu Yi The right of Joy Lidu Yi to be identified as author of this work has been asserted by her in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988. All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data Names: Yi, Lidu, author. Title: Yungang : art, history, archaeology, liturgy / Lidu Yi. Description: New York : Routledge, 2017. | Includes bibliographical references and index. Identifiers: LCCN 2017020521 (print) | LCCN 2017028722 (ebook) | ISBN 9780203732830 (Master) | ISBN 9781351402408 (ePub) | ISBN 9781351402415 (Web PDF) | ISBN 9781351402392 (Mobi / Kindle) | ISBN 9781138049901 (hardback : alk. paper) Subjects: LCSH: Yungang Caves (China)—History. | Art and society— China—Yungang Caves—History. | Buddhism and culture—China— Yungang Caves. | Buddhism—China—Yungang Caves—Ritual. Classification: LCC DS797.75.Y865 (ebook) | LCC DS797.75.Y865 Y5 2017 (print) | DDC 294.3/435095117—dc23 LC record available at https://lccn.loc.gov/2017020521 ISBN: 978-1-138-04990-1 (hbk) ISBN: 978-0-203-73283-0 (ebk) Typeset in Sabon by Apex CoVantage, LLC

VN 1 December 2017

To My Parents

Contents

1

Acknowledgments Chronology of Chinese Dynasties

ix xi

Introduction

1

Chinese antiquarian documentation 2 Pioneering Japanese expeditions 4 Chinese scholarship 6 Western research 8 Purpose and organization of the book 10 2

The sacred site of Yungang

20

Making the sacred cave temples of Yungang 20 Auspicious geographical environment of Yungang 25 Archaeological excavations and related issues 27 Art and architecture 38 3

Phase one – emperor as Tathāgata

53

The imperial five Tanyao caves 54 Dates of excavation of the five Tanyao caves 59 Emperor as the living Tathāgata in the cave temple 64 Tanyao and the significance of the translation of sacred books in Yungang 67 Concluding remarks 72 4

Phase two – political struggles and chronicles reconsidered Dates of caves 11–13 reconsidered 79 Reconstructing a chronological sequence of the second-phase cave temples 90

78

viii

Contents Summary of the chronology of the second-phase cave temples 103

5

Considering karmic narratives and liturgical functions

110

Reading the iconography 111 Modes of narratives and viewers’ response 114 Ritual and function in a rock-cut cave sanctuary 116 Folk faith, karmic practice, and the Tiwei Boli jing 121 Concluding remarks 125 6

Phase three – the remaining splendor

132

Architectural structure 133 Iconographic composition 140 Telling tales: narrative stories and visual representations 143 Iconographic style 154 Classification, dating, and chronological sequence 156 Concluding remarks 170 One final remark: Buddhist sinicization reconsidered 173 7

Postscript

189

Classification of the caves in the third phase Groups and periodization of the third-phase caves Character glossary Selected bibliography Index

192 193 195 202 223

Acknowledgments

An old Chinese saying goes that it takes ten years to sharpen a sword. My sword is the current book. In the process of “sharpening the sword” to figure out Yungang, many people offered generous and kind help. Without them, this book would not have been possible. My heartfelt thanks first go to the Yungang Research Academy for their full support in this endeavor over the last decade. I would particularly like to thank my friends Liu Jianjun, Wang Yanqing, Zhang Zhuo, and Zhao Kunyu at the academy for the many conversations we had and kind assistance whenever I was in Yungang, whether it was for three days or three weeks. Their indispensible help and generosity will be forever cherished. My deepest gratitude goes equally to the late Professor Ma Shichang, Dr. Li Chongfeng from Beijing University, Dr. Li Yuqun from the Institute of Archaeology of the China Academy of Social Sciences, and Dr. Wei Wenbin from Lanzhou University for their field research with me and inspiring academic conversations whenever I am in China. I am grateful for Dr. Li Chongfeng and Dr. Li Yuqun for suggesting that I take on this rather ambitious task to work on Yungang. I must also admit that my conversations with Professor Su Bai and his challenging questions were very helpful. I would like to express my sincere gratitude to Dr. Okamura Hidenori for his kind assistance when I was conducting research at the Institute for Research in Humanities at the University of Kyoto. The suggestions from the anonymous readers, Dr. Nancy Steinhardt, and Dr. Dorothy Wong for the earlier version of the book have been very useful. I also would like to thank Angela Howard, Zheng Yan, Amy McNair, James Benn, Katherine Tsiang, Onishi Makiko, Yagi Haruo, Jennifer Purtle, Keith Knapp, Susan Erickson, Martin Powers, Steven Heine, Rongdao Lai, Lin Fan, Victor Hori, Grace Fong, John Stowe, and Ihor Pidhainy for their moral support over the years and many wonderful conversations, and for coming to my presentations and providing feedback. I am very thankful to Eric Henry who read and edited the second draft of the manuscript chapter by chapter. I want to thank my editors Matthew Gibbons and Molly Marler and project manager Kerry Boettcher for their professional job.

x

Acknowledgments

My time at the University of Toronto and McGill University was a great, inspiring journey. My colleagues at Florida International University have been a great support since I came here five years ago. My thanks also go to many people from various grotto research institutes for their support whenever I was there for field research over the last decade. There are too many to name, but you know who you are. I am deeply grateful for the unswerving support from Richard Lynn, Klass Ruitenbeek, William Straw, Richard Guisso, and Graham Sanders. Without their support, what I have achieved today would not have been possible. Finally, a special thanks to my family, and, in particular, my husband for being always there for me over the years. My husband literally read each version of the manuscript patiently with me. Since English is not my first language, I sometimes wrote and rewrote drafts in both languages to make sure that I was expressing my ideas and arguments exactly the way I wanted to in my mother tongue. We read each version aloud. I am deeply grateful for this shared journey.

Chronology of Chinese Dynasties

Xia Dynasty ca. 2070–1600 BCE Shang Dynasty ca. 1600 – ca. 1046 BCE Zhou Dynasty ca. 1046–221 BCE Qin Dynasty 221–206 BCE Han Dynasty 206 BCE–220 CE Three Kingdoms 220–280 Jin Dynasties 265–420 Northern Dynasties 386–581 Northern Wei 386–534 Emperor Daowu (386–409) Emperor Mingyuan (409–423) Emperor Taiwu (424–452) Emperor Wencheng (452–465) Emperor Xianwen (466–471) Emperor Xiaowen (471–499) Emperor Xuanwu (500–515) Emperor Xiaoming (516–528) Emperor Xiaozhuang (528–530) Emperor Jiemin (531–) Emperor Xiaowu (532–534) Eastern Wei 534–550 Western Wei 535–557 Northern Qi 550–577 Northern Zhou 557–581 Southern Dynasties 420–589 Liu Song 420–479 Southern Qi 479–502 Liang 502–557 Chen 557–589 Sui Dynasty 581–618 Tang Dynasty 618–907 Five Dynasties 907–979 Ten Kingdoms 902–979

xii

Chronology of Chinese Dynasties

Liao Dynasty 907–1125 Song Dynasty 960–1279 Xi Xia Dynasty 1038–1227 Jin Dynasty 1115–1234 Yuan 1271–1368 Ming Dynasty 1368–1644 Qing Dynasty 1644–1911

1

Introduction

Yungang, a fifth-century rock-cut cave-temple complex, a UNESCO World Heritage site, and one of the greatest Buddhist monuments of all time, is situated south of Mount Wuzhou 武周山 and north of the Wuzhou River (current Shili River 十里河), and is 10 miles west of Datong city in Shanxi Province in north China. The complex consists of 45 major caves that contain more than 1,000 niches and 51,000 images.1 Traditionally, the caves are divided into three sections – east (caves 1 to 4), middle (caves 5 to 20), and west (caves 21 to 45) (fig. 1.1). They were hewn from the mountain cliff surface and stretch out from east to west for more than half a mile. The caves arose from the imperative to carry on the Buddha Dharma infinitely and the wish to pray for blessings for the Northern Wei (386–534) imperial family under whose patronage the excavations were initiated. The Northern Wei geographer and essayist Li Daoyuan 酈道元 (d. 527) once described the spectacle of Yungang as such: Stones were chiseled and the mountain was hewn according to the structure of the cliff surface. The images are realistic and grandiose. They are rare by the standards of this time. The [Buddha] Halls on the mountain and over water, and the smoke [of the incense]-filled temples, look toward each other. The grove and pond are like a bright mirror. Looking into the distance, a new vista dazzles your eyes.2 This is the earliest extant literary record of Yungang. At that time, Yungang was called the Lingyan Cave-monastery 靈巖寺.3 Later, in the Weishu (History of the Wei), Yungang was also called the Mount Wuzhou Buddhist Cavemonastery.4 By the Tang dynasty (618–907), a large cave in Yungang could be higher than 200 feet and hold some 3,000 people.5 The eminent monk Daoxuan (596–667) observed that the carving of the images was fantastic, the beauty of the ornamentation was unparalleled, and each cave was unique.6 Yungang was referred to as Beitai Cave-monastery 北台石窟 or Heng’an Cavemonastery 恆安石窟 at that time.7 The name Yungang was not used until the Ming dynasty (1368–1644), when it occurs for the first time in an inscription recording the repairs to the Yungang Fortress 雲岡堡, which derived its name

2

Introduction

Fig 1.1 Plan of Yungang caves

from the peak of Mount Wuzhou, as did the Yungang cave complex. The complex got its name from the peak of the sacred mountain in which all the caves were excavated. “Yungang” means “cloud ridges.” In 1902, Japanese architect Itō Chūta (1867–1954) “rediscovered” Yungang accidently and published two articles thereafter, introducing Yungang to the world.8 In 1907, French sinologist Émmanuel-Édouard Chavannes (1865–1918) investigated Yungang and other caves, recording them with his lens. His Mission archéologique dans la Chine septentrionale (Archaeological Expeditions in Northern China, 1909–15, 13 vols.) contains 78 valuable photographs of Yungang. After this, the study of Yungang entered a new era, that of visual images.9 These early expeditions to China at the beginning of the 20th century opened a new chapter in the scholarship of Yungang, which can be classified into four categories: Chinese antiquarian documentation, pioneering Japanese expeditions, Chinese scholarship, and Western research.

Chinese antiquarian documentation The written record on Yungang is scanty, and the inscriptions in the caves have become increasingly illegible over the centuries. For many years this hindered the study of Yungang, particularly its history after the Northern Wei capital Pingcheng 平城 (present-day Datong) was relocated southward to Luoyang in 494. The earliest extant piece of literature that mentions Yungang is the Shuijing zhu (Annotated Classic of the Waterways). To date, the Shuijing zhu, Weishu, and Xu gaoseng zhuan (Further Biographies of Eminent Monks) are the three primary relevant antiquarian documents, of which the Weishu is of particular importance.10 The fragmentary inscriptions in the caves are also valuable in connecting the dots for a coherent picture of Yungang. The inscription on a Jin-dynasty (1114–1234) stele discovered in 1947 remains, due to lack of more significant evidence to this day, one of the most important literary records on Yungang.11 The Weishu, compiled between 551 and 554, is an important source, especially the chapter “A Treatise on Buddhism and Daoism,” providing important clues for our understanding of the historical and social context of Yungang.12 It records, for instance, the revival of Buddhism after seven years of persecution (446–52), the significant meeting of Emperor Wencheng (r. 452–65) with the eminent monk Tanyao, who pleaded with the emperor to construct the rock-cut cave temples along the cliff surface of Mount

Introduction

3

Wuzhou, and the royal visits to Yungang and the sacred mountain during the process of the construction in Yungang. The Weishu also mentions factors that might have, through trade, tribute, war, and foreign relations, played a significant role in the formation and evolution of the iconography, style, and architecture of the caves. These literary records (discussed further in the relevant chapters), without a doubt, have significant academic value for contextualizing Yungang in our interpretation and for piecing its puzzles together. The Shuijing zhu by Li Daoyuan not only describes the magnificence of Yungang and the geographical environment surrounding it, the observation is also sharp and sufficiently accurate, especially in noting that “stones were chiseled and the mountain was hewn according to the structure of the cliff surface” (zaoshi kaishan, yinyan jiegou 鑿石開山, 因岩結構).13 The famous architect Liang Sicheng believes that this applied not only to the caves but also to the wooden temples connected to their façades.14 Furthermore, Li Daoyuan also observed that there were, by the river, stone monasteries and cave chambers where nuns lived.15 Later, Daoxuan, too, mentioned that there were temples for nuns at the west end of the Yungang complex.16 The investigation of these nearby monasteries and their geographical surroundings may well shed new light on Yungang and on Buddhist activities in Pingcheng, the Northern Wei capital (see Chapter Two). The Xu gaoseng zhuan by Daoxuan is another important primary source among the scanty records on Yungang. It not only contains additional useful information on Yungang itself but, more importantly, gives an account of Tanyao 曇曜 (d.u.), the founder of Yungang. We know very little about the eminent monk considering his significant role in bringing Buddhism to a greater height of development after the catastrophic persecution (452) and his supervision of the excavation of Yungang, where he was also in charge of the translation of the sacred texts. The Weishu does not provide us enough information, not even his date of birth or death. He is only briefly mentioned in association with the biography of Xuangao 玄高 in the Gaoseng zhuan 高僧傳 (Biographies of Eminent Monks).17 Moreover, it records and comments on a then-influential Buddhist text, the Tiwei Boli jing 提謂波利經 (the Sūtra of Trapusa and Bhallika), which was supposed to have been fabricated in Yungang by a certain Tanjing for the mass laity.18 The scholar Chen Yuan has suggested that Tanjing 曇靖 translated sūtras with Tanyao at the same time and same place.19 If this is true, the reason why a fabricated sutra was produced in a court cave-temple complex where sacred texts were translated deserves a deeper inquiry. This might shed some new light on the role of Yungang in instructing the mass laity as a court religious sanctuary (see Chapter Five). In addition to the aforementioned important written records, the fragmentary inscriptions in the caves are valuable sources helping to join the scattered pieces of information together. Some, especially those with an explicit date, can bring significant light to the development of iconographic styles and are indispensible material. They provide an important basis for dating

4

Introduction

and periodization, employing the methodology of archaeological typology, of the cave temples.20 Some inscriptions clearly indicate the purposes of the patrons in commissioning caves, niches, or images, and even suggest their religious beliefs. The scholar Hou Xudong notes that the inscriptions can sometimes even reflect the family life of the patrons.21 During the Northern Dynasties (386–581) when Buddhism was very popular, Buddhist devotional groups called yiyi often commissioned Buddhist images, either as individuals, families, or a Buddhist community.22 These can be found in many of the caves in Yungang. Thus far, some 60 inscriptions from the Northern Wei to the Qing dynasty (1644–1911) have been identified and recorded.23 These inscriptions are scattered in 15 caves: cave 11 has the most; caves 17–20 each have one; and the rest are spread among the third-phase caves in the western section. Two points need to be made here. First cave 11 has the most inscriptions, and second, there are no inscriptions in any of the so-called paired caves (caves 1 and 2; 5 and 6; 7 and 8; and 9 and 10). These provoke further inquiry and will be treated in Chapter Four.24

Pioneering Japanese expeditions The study of Yungang in the 20th century can be divided into two stages: before 1950, and after. The essential difference lies in whether archaeological methodology was employed to investigate and record Buddhist cave remains. In the first half of the 20th century, Chinese caves were mainly studied, both in the West and the East, from the perspective of art history. The introduction of archaeological method by Su Bai in the 1950s was a turning point in the study of Buddhist cave temples.25 The archaeological typology methodology provides scientific basis in dating and periodization of the caves. Chinese scholars, however, did not contribute much to the study of Yungang, or Buddhist art for that matter, in the early 20th century. Buddhist art and architecture were not yet appreciated as an object of study, and poverty and political turmoil impeded investigation. In contrast, Japanese scholars, architects, photographers, and artists conducted pioneering explorations on Yungang and other Buddhist caves. The earliest expedition to Yungang was made in 1902 by Itō Chūta, as noted earlier. He pointed out that the Yungang style had been directly influenced by the Gandhara style and that it had no direct connection with the Western Regions.26 These observations, however, as Itō himself acknowledged, are only from the perspective of architecture because he had knowledge neither of Buddhism nor Buddhist art. Of the early Japanese scholarship on Chinese Buddhist art, Shina bijutsushi chōsō hen (A History of Chinese Art: Sculpture Volume, 1915) by Ōmura Seigai (1868–1927) is among the most significant. Using largely primary sources, including some 2,600 inscriptions, Ōmura examined the history of Chinese sculpture, both religious and secular, from antiquity to the

Introduction

5

Five Dynasties period (907–60), arranging them chronologically. Some of Ōmura’s observations are insightful, including his discussions of the origins of the yiyi Buddhist associations frequently recorded on Buddhist steles.27 Alexander C. Soper, calling the book “an anthology of source material on Chinese sculpture, and an inexhaustible mine of quotations from texts or inscriptions,” translated, with annotation, a large portion of the records into English.28 The translation, focusing mainly on the Buddhist portion, is in turn a great contribution to Chinese studies, especially to Buddhist art. Sekinō Tadashi (1868–1935) and Tokiwa Daijō (1870–1945) made seven archaeological expeditions to China (1906 to 1925) and complied a sixvolume survey of Buddhist monuments in China (1925 to 1931).29 In this survey, Buddhist monuments (caves, temples, and steles), with an emphasis on Buddhist cave temples, are carefully examined and arranged geographically. The section on Shanxi Province is dedicated mainly to the Yungang caves (1–20). It gives a general description of their iconographic styles and argues that, stylistically, Yungang was inspired indirectly by Central India and Dunhuang.30 Tokiwa also pointed out that the iconography of Yungang is primarily based on the translations of Kumārajīva (d. 413), which proved to be oversimplified.31 Apparently, early study of Yungang was very limited. Early studies of Chinese Buddhist art are generally preliminary surveys. At the time, there were not as many archaeological materials available for reference as there are today. Many studies, lacking in-depth contextual and comprehensive analysis, were limited to the framework of a visual understanding of the imagery and focused only on part of the Yungang caves for their investigation. Two scholars, Mizuno Seiichi (1905–71) and Nagahiro Toshio (1905–90), however, deserve special recognition. They undertook painstaking investigations of Buddhist cave temples at Xiangtangshan (1937), Yungang (1938–45), and Longmen (1941). During seven years of investigation, they examined and documented caves 1–20 of Yungang thoroughly, taking measurements, photographs, drawings, and rubbings. They also conducted several archaeological excavations (1938–40) and published the monumental Yungang: The Buddhist Cave-Temples of the Fifth Century A.D. in North China (16 volumes, 32 books), which has been a valuable source for the study of Yungang, even though it contains misinterpretations and has its limitations.32 As Harrie Vanderstappen aptly noted, “any study on Yungang is forever indebted to the monumental work.”33 Mizuno and Nagahiro’s systematic analysis and close reading of the imagery of each cave make the work irreplaceable, and the exhaustive description of each plate is admirable. The photographs and records of the inscriptions have become even more valuable due to the deterioration of the images and the erosion of the inscriptions over time. Each of the 16 volumes contains four parts: texts (introduction, description, and conclusion), plates, plans, and rubbings. The introduction to each volume discusses a particular topic, which is followed by a detailed description

6

Introduction

of the cave, and a conclusion that deals only with the cave described.34 The themed introductory essays focus mainly on two aspects: the historical and social context, and iconographical styles and visual analysis. The former is the necessary basis for Buddhist art scholarship, whereas the latter reflect Mizuno and Nagahiro’s methodology and research focus, which emphasize the significance of iconographic styles. Further, Mizuno and Nagahiro divided the caves into three phases (15 years for each phase, from 460 to 505) and put the caves in sequence of construction.35 The first phase (460–75) includes caves 16 to 20 (the five Tanyao caves), and caves 8 and 7; the second phase (475–90) starts with caves 9 and 10, followed by caves 1 and 2, caves 11–13, then caves 5 and 6 (cave 3 was unfinished); and the third phase (490–505) includes caves 21–45 (the western-end caves) and the small caves scattered all over. Dating and periodization are central to the study of Buddhist art and archaeology. They have also been an issue of debate among scholars in the study of Yungang. Su Bai, disagreeing with Mizuno and Nagahiro, suggested a considerably different scheme of dating. This, along with the heated debate it aroused, pushed the study of Yungang forward remarkably. These are the main topics of the Chinese Scholarship section below. Before we dive into the discussion, however, it should be noted that additional Japanese scholars continued to work on the Yungang caves, focusing on certain themes. Yoshimura Rei, Yagi Haruo, Hinako Ishimatsu, and others have written about stylistic changes, sinicization, ornamentation, and dating issues. These will be discussed in relevant chapters.36

Chinese scholarship Chen Yuan (1880–1971) started Chinese scholarship on Yungang in 1919. He sorted through the antiquarian literature and pointed out that both the Weishu and the Shuijing zhu, which, Chen believed was written during the Taihe era (477–99), are reliable sources. He argued that Tanyao was not only the founder of Yungang, but also the first to translate sutras there.37 Liang Sicheng’s (1901–72) investigation of Yungang mainly focused on architecture and provided a survey discussing a range of topics, from columns and rafters to pagodas.38 He noted that the architecture in Yungang is primarily Chinese indigenous and not much affected by foreign influence. Not only that, but foreign architecture was often assimilated by Chinese culture. The pagoda is such an example.39 Liang also observed the ten wooden temples built at various times before the Qing and referenced them to those recorded in the Shuopingfu zhi (Gazetteer of Shuoping Prefecture, juan 3, 1733).40 Yan Wenru (1912–94) investigated Yungang early in the 1940s and was the first scholar in the 20th century to suggest that Yungang was actually started earlier than the first year of Heping (460), as is traditionally accepted. He suggested that the five Tanyao caves were started not in 460, but in the

Introduction

7

second year of Xing’an 興安 (453), right after the revival of Buddhism.41 In the light of literary record, which indicates that Tanyao had already begun to translate sutras in Yungang in 462, it is not impossible that the Yungang complex might have started earlier than 460.42 This is something worth consideration. With the new archaeological discoveries above the rock-cut caves, it is now clear that there were freestanding Buddhist temples in Yungang. This will be further discussed in Chapter Two. Dating and periodization of the caves, due to lack of clear evidence, had long puzzled scholars. In 1947, exactly 800 years after Cao Yan 曹衍 initially composed the Jin stele inscription in 1147, Su Bai came across it in the Beijing Library.43 Some 2,100 words long, the inscription records the repairs and reconstructions of Yungang through the Tang, Liao, and Jin dynasties within the context of the initial excavation, providing fresh evidence and a new opportunity to reevaluate the caves. The inscription has two features of academic value. First, it adds substantial information about Yungang after the Northern Wei, thus filling in the blank space of our knowledge. Second, and more importantly, it quotes now-lost inscriptions and records from the Northern Wei concerning the dates and patronage of the cave temples. The inscription is of particular importance because it touches upon the ten wooden temples attached to the rock-cut cave façades.44 They are the key to solving the knotty problems of dating, since one of them (the Chongjiao temple 崇教寺) bears an explicit date. According to the Jin stele inscription (quoting the now-lost Northern Wei records), the Chongjiao temple was constructed in the eighth year of Taihe (484) and completed in 489 under the commission of the eunuch-official Qian’er Qingshi 鉗耳慶時 (Wang Yu 王遇).45 The linchpin, then, is to associate this temple with a certain rock-cut cave to which it is connected. Once the Chongjiao temple can be identified and associated with a rock-cut cave, the date of the relevant cave is therefore clear. Based on the Jin stele inscription and his observation of the cliff surface with square rafter holes and gable traces outside the caves, Su Bai inferred that the ten temples are essentially the same as the one attached to caves 5 and 6 today. He further speculated that the ten temples were initially associated with caves 1 and 2, cave 3, caves 5 and 6, caves 7 and 8, caves 9 and 10, caves 11–13, caves 15 and 16, caves 17 and 18, cave 19, and cave 20.46 Most importantly, Su associated the Chongjiao temple (484–89) with caves 9 and 10, and the Huguo temple 護國 with caves 7 and 8.47 This indicates that caves 9 and 10 were constructed between 484 and 489. For the first time, a Yungang cave can be dated with explicit dates of construction regardless of the precise identity of the cave or date (this will be treated fully in Chapter Four). This has advanced the study of Yungang. On the basis of this new evidence and employing archaeological typology method, Su further reexamined the caves and shed significant fresh light on periodization and chronological sequence of the caves.48 He provided a new scheme of dating while dividing the caves into three periods. The first phase (460–65) includes

8

Introduction

caves 16–20.49 The second phase (465–94) contains 12 caves (caves 7 and 8 were the earliest, followed by caves 9 and 10; caves 11–13;50 caves 1 and 2; and, finally, caves 5 and 6; cave 3 is unfinished). If this is true, it only left five years to finish seven caves (11–13, 1 and 2, and 5 and 6; the issue will be addressed in Chapter Four). The third-phase caves (494–524) refer mainly to the western-end caves (caves 21–45). Su’s scheme of dating was, in turn, challenged by Mizuno and Nagahiro who divided the caves into three 15-year phases spanning from 460 to 505, putting the last year of Yungang almost 20 years earlier. Refuting Su, Nagahiro argued that the authentication of the Jin inscription was highly questionable and that the periodization of Yungang should not be based on untested written material.51 Su rebutted with a detailed history of the inscription and the ten temples, arguing that Nagahiro’s dating of the caves in line with the dates of the imperial visits to the caves is not reliable.52 Ding Mingyi, supporting Su’s theory, argued that, without even reading the inscription, Nagahiro’s argument challenging the dating and authenticity cannot be convincing.53 Nagahiro later changed his position and accepted Su Bai’s theories of dating and periodization.54 The scheme of periodization of the first- and third-phase caves proposed by Su Bai is commonly accepted in large part, but the second-phase caves remain problematic.55 I attempt to treat these issues fully in Chapter Four. The dispute between Japanese and Chinese scholars essentially reflects the fact that the methodology they employ differs considerably. Chinese scholars prefer to use literary sources and archaeological evidence to interpret and analyze visual images and architectural structure, whereas the Japanese scholars emphasize visual impression and interpretation, focusing more on stylistic evolution and using it as an anchor for reading the imagery. In a broader sense, the kernel of the dispute touches upon two basics in the archaeological method: (a) how to use antiquarian primary sources, and (b) how to use the typology approach to analyze iconographic styles.56

Western research The earliest leading Western scholars of Chinese Buddhist art were Édouard Chavannes, Osvald Sirén (1879–1966), and Alexander Coburn Soper (1904–93). Chavannes started his expeditions to Buddhist cave temples (Yungang, Longmen, and the caves in Shandong) in 1907. His survey of Buddhist caves and temples, with invaluable photographic records, introduced Yungang and other caves visually.57 Some of the Yungang images documented by him were the first visual sources scholars depended on during the early study of Yungang. Sirén conducted important surveys of Chinese Buddhist art in the early 1920s. His Chinese Sculptures from the Fifth to the Fourteenth Centuries (1925, 4 vols.) analyzed the Chinese Buddhist monuments, arranging them according to geographical location and chronological order.58 He briefly discussed Yungang in the Shanxi section and argued, as did Chavannes, that

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Yungang was started in the first year of Shenrui (414) and ended in Zhengguang (524).59 Soper’s great contribution to the field was his translation of Ōmura’s book, as mentioned earlier. He also wrote several important articles concerning patronage, dates, and iconographic style changes.60 Soper suggested that caves 7 and 8 in Yungang were dedicated to Wenchengdi and his consort Lady Li, caves 9 and 10 to Emperor Xianwen (Xianzu, r. 465–70) and Lady Li, and cave 12 to Emperor Xiaowen (Gaozu, r. 471–99). He further pointed out that caves 5 and 6 represent the intense ambition and aggressiveness, and probably also the resentful malice, of the Empress Dowager Wenming, Lady Feng. He believed cave 6 was dedicated to Lady Feng to “demonstrate her unique position by the same sort of overwhelming display of power and wealth that began to take form.”61 Cave 5 was dedicated in memory of her father, Lang.62 Soper argued that the sinicizing style had nothing to do with the reform carried out by Emperor Xiaowen: “The new fashion used at Yungang was borrowed ready-made from southern practice, and in the south, prior to the transfer, had been familiar for a century.”63 He attributed the stylistic change in Yungang to the Buddhist imagery reform promoted by Dai Kui (?–396).64 The Written and Unwritten (1988) by James Caswell revolves primarily around two aspects: dating and patronage. Based on the Jin inscription as an important source, Caswell provides a “new history of Yungang” with a new scheme of dating, periodization, and patronage.65 The book has been extensively reviewed.66 These are delicate issues for any scholar to take on because the caves, especially the five Tanyao caves, do not bear any inscriptions referring to their own excavation, nor do we have any cave-making records concerning them. Nancy Steinhardt’s several books are useful for the study of Chinese architecture. Her Chinese Architecture in an Age of Turmoil, 200–600 (2014) examines the architectural history of China in the age of disunity.67 The second part of the book focuses on “distinctive monuments or moments” from stūpas to monasteries, ritual architecture, and Buddhist cave-chapels. It is of particular importance for the study of Buddhist art and architecture.68 Chinese Imperial City Planning (1990) provides an explanation of the multifaceted evolutionary process of Chinese imperial city planning. It explores the major imperial capitals of China including Pingcheng, outside of which Yungang is situated. Steinhardt argues that an imperial city is more than the ruler’s capital; it is an institution and an articulated concept for which a design is drawn.69 Archaeological and Visual Sources of Meditation in the Ancient Monasteries of Kuca (2015) by Angela F. Howard and Giuseppe Vignato investigates the cave temples in the Kucha region focusing on the monastic practices. Vignato concentrates on “meditation cells” of the cave temples, whereas Howard examines the paintings, especially the “visual language of meditation.” The practice of meditation is recognized as “a source, if not the main source of the decoration of central pillar caves, monumental Buddha caves

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Introduction

and square caves.” The book on the art, architecture, and meditation practice is extremely invaluable for the study of Buddhist caves. Dorothy Wong’s informative Chinese Steles (2004) is a significant work in the study of Buddhist art. Although the focus of the book is primarily on Buddhist steles of different regions, Wong’s meticulous examination of the objects within their social, historical, and religious contexts gives this study a greater scope. It provides useful information on regional beliefs, practices, and even Buddhist activities. Furthermore, the diversified motifs and inscriptions on the steles shed light on other Buddhist objects of similar dates and styles.70 The Donors of Longmen by Amy McNair investigates the Longmen cave temples, with an emphasis on donors in social, political, and religious context. This is an important book for the study of Yungang because the author frequently compares the architecture, iconographic style, and original program of the Longmen caves to those of Yungang. The investigation of the cost of a grotto is useful since we have little to no record on the subject. The Weishu only indicates the expenditure for the three Bingyang caves as 802,366, without giving any monetary unit.71 Based on the cost of the Bingyang caves and that of the other caves indicated in the inscriptions and other sources, we might arrive at an estimate of the cost of a cave in Yungang.72 Due to limited space, many other scholars’ important work on Buddhist cave art, architecture, and archaeology cannot be mentioned here, but will be discussed in related chapters.

Purpose and organization of the book My purpose in this study is to revisit Yungang in the light of new archaeological findings unearthed on site and in Pingcheng in recent years, and to offer a social art history of Yungang based on previous scholarship, primary documentation, and more than a decade of firsthand field research. Many of these findings were not available to earlier scholars. With the recent earth-shaking economic changes in China, unprecedented numbers of objects have been unearthed and archaeological remains discovered in the course of roadways being expanded and cultural sites being rebuilt. The archaeological discoveries in 2010 and 2011 above the caves have shed significant new light on monastic life and liturgical functions in each different area in Yungang, of which we had no clear picture before. For the first time we began to have an understanding of where Buddhist monks lived and translated sacred texts in Yungang, and why there were no vihara (dwelling) caves in Yungang. In addition, discoveries of the architectural ruins and tombs in and around Pingcheng have provided important clues about the reciprocal impact between the religious and secular material culture of the time, and indicate that the local influence on the construction of Yungang was greater than we had previously believed. Moreover, a new approach of looking into the caves from their outside wall surface enabled us to reconsider the relationships between caves,

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and between caves and niches in time and space. Therefore, an updated investigation of the Yungang complex is much needed. The essential questions of this study are why, when, and under what circumstances this impressive Buddhist rock-cut cave monument was made, and who played a significant role at various stages. How did the caves and temples function in each different area? Yungang, a court Buddhist cave complex, was constructed soon after the revival of Buddhism in order to protect the religion, pray for blessings, and avert disaster for the royalty. For the Northern Wei rulers, Buddhism was a vehicle to proclaim power and beneficence. Yungang was therefore a political as well as a religious sanctuary. Meditation practice was not the primary consideration for function of the caves, as it was the case for many of Buddhist cave temples. Yungang cave temples, especially the five colossal-image caves (16–20), were essentially memorials for the royal family. It is believed, based on the literary sources and new archaeological ruins discovered recently, that the whole Yungang complex started with Buddhist temples above where the rock-cut caves are now, but the caves themselves only began to be hewn at around 460 CE (discussed in Chapter Three). Buddhist culture had penetrated to every corner of the Northern Wei capital before the first-court cave temple was excavated. It is also suggested that cave 13 is the earliest of the second-phase caves, and that both cave 13 and cave 11 were excavated under Emperor Xianwen (r. 465–71 CE). Cave 12 was added later, spatially between cave 13 and cave 11. Thereby a new chronological sequence of the excavation of the secondphase caves and a dating scheme will be constructed. In addition, the thirdphase caves will be examined in detail. No previous attempt has been made to explore these relatively small caves situated to the west in the Yungang complex (caves 21–45). It is argued that the subject matter of Yungang is associated with literary texts – specifically, with those translated by the eminent monk Tanyao. It is also my belief that the subject of the Three Buddhas (of the Past, Present, and Future), which is ubiquitous throughout Yungang, was primarily based on the Fufazang yinyuan zhuan (A History of the Indian Patriarchs) and the Dajiyi shenzhou jing (Sūtra of the Great Auspicious Significance of Magic Spell), which were translated by Tanyao and others in Yungang. Yungang: Art, History, Archaeology and Liturgy is the first comprehensive western-language work on Yungang, a long overdue book. It is hoped that this re-examination of the cave temples in Yungang will not only fill in the gaps in our knowledge about Yungang or reconstruct the site, but also raise and perhaps answer new questions in art history and archaeology. Throughout my research, I often pondered the question of the liturgical functions of the cave temples, which cannot be emphasized enough but which have, to date, been largely neglected. In this contextual study, I constantly ask how the rock-cut Buddhist cave sanctuary of Yungang was used as a religious space.

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Introduction

Chapter One introduces the state of the field, and the purpose and arrangement of this volume. Chapter Two provides an overview of Yungang in historical, political, social, religious, and artistic context. It discusses the art, architecture, archaeology, cross-cultural, and local influence and factors exerted in the excavation and formation of the caves. It is a panoramic perspective of Yungang. An important part of the focus of the chapter is on the discoveries of archaeological ruins in Yungang, which have not been discussed despite the fact that Japanese scholars made several attempts to do so in the beginning of the 20th century. New discoveries in recent years have shed great new light on the functions of Yungang in each area, of which we had no knowledge before. Chapter Three focuses on the five Tanyao caves (caves 16–20), exploring the architecture, subject matter, and function. Important questions to be asked are how these five imperial caves with colossal images were used, and which one of the five memorials was constructed first and why. Chapters Four and Five examine the second-phase caves (11–13 and the four paired caves) from different perspectives. They not only reconstruct a chronological order of the excavation of the caves, but also investigate their liturgical functions. Caves 13 and 11 best exemplify the close associations between art and politics, art and power, and also between art and patrons, not just in Yungang but in Buddhist cave art generally. The dating, chronological sequence, and patronage of the four paired caves have been much debated. These will be the treated fully in Chapter Four. Chapter Five is devoted to the liturgical functions of the second-phase caves using cave 12 as a case study. Chapter Six is devoted entirely to the third-phase caves, which have skipped scholars’ attention. Even basic issues such as what the visual representations tell us, who they represent, what the chronological order of the caves is, and how much the “Yungang style” influenced Buddhist art in central plain China have gone unexplored. It is these questions that this chapter attempts to answer. I will attempt to date the third-phase caves using the extant images bearing explicit dates as an anchor, thereby putting the caves in chronological sequence as well. This part of the study is crucial to our understanding of the continuity of the “Yungang style” and to tracing the iconographic origin of the Shanxi minor caves (plate 1) and their interrelations with Yungang. It will provide a clear picture of the development of Buddhist cave temples in the central plain region of China. This is a major contribution to the field since these caves have been largely neglected to date. Chapter Seven concludes the study. It is impossible to give, either in words or photographs, any adequate idea of the enormous impressiveness of Yungang. It is my hope that this new investigation will advance the study of Yungang and inspire further research on this, one of the most spectacular Buddhist cave complexes.

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Notes 1 There are more than 200 caves but only 45 major caves (21 large and 24 medium) are numbered (from east to west). From the beginning of the 20th century to date, the caves have been numbered five times. The numbers used here are from the last time (1987) by the Yungang Research Academy itself. These are current convention. For detailed information about the numbers of the caves given at different times, see Li Xueqin, “Yungang shiku xinbian kuhao shuoming,” in Zhongguo shiku Yungang shiku. Ed. Yungang shiku wenwu baoguansuo (Beijing: Wenwu chubanshe, 1991), vol. 1, 209–11. Also see Li Xueqin, “Guanyu Yungang shiku xinbian kuhao de buchong shuoming,” Wenwu, no. 5 (2001), 87–9. 2 Li Daoyuan, Shuijing zhu jiaozheng, annotated by Chen Qiaoyi (Beijing: Zhonghua shuju, 2007), 316. 3 Ibid. 4 Wei Shou (506–72), comp., Weishu (Beijing: Zhonghua shuju, 1974), 6:130, 7:151. 5 Daoxuan, Xu gaoseng zhuan, T50:2060:425c26 and T50:2060:427c23 (T refers to Taishō Shinshū Daizōkyō 大正新修大藏經. Eds. Takakusu Junjirō and Watanabe Kaigyoku. 85 vols. Tokyo: Taishō issaikyō kankōkai, 1924–32. Hereafter T for all Chinese Buddhist canons). 6 Ibid., T50:2060:427c27. 7 Ibid., T50:2060:425c26 and T50:2060:427c23. 8 Chūta Itō, “Shina sansei Unkō no sekkutsu-ji,” Kokka, 17, nos. 197/198 (1906). Also see Dongfang zazhi, 16, nos. 2/3. This article was translated into Chinese and collected together with Chen Yuan’s article “Ji Datong Wuzhoushan shikusi,” in Chen Yuan. Chen Yuan xueshu lunwenji , vol. 1 (Beijing: Zhonghua shuju, 1980), 398–409. Chūta Itō was the first to give numbers to the caves (current caves 5 to 13). 9 Édouard Chavannes, Mission archéologique dans la Chine septentrionale (Paris: Ernest Leroux, 1909). 10 Other sources such as Guang hongming ji (Expanded Collection of the Propagation and Clarification [of Buddhism]) and his Da Tang neidian lu (Inner Record of the Great Tang) Daoxuan also mentioned Yungang; see Daoxuan, Guang hongming ji, T52:2103:103c26, and Daoxuan, Da Tang neidian lu, T55:2149:267b28. They will be discussed later in the relevant chapters. 11 The stele, the Dajin xijing Wuzhoushan chongxiu dashikusi bei (A Record of the Repairs to the Grand Cave Temple of Mount Wuzhou in the Western Capital of the Great Jin; hereafter “the Jin stele inscription”), is no longer extant. The inscription survives in the Yongle dadian. In the 23rd year of Zhizheng (1363), during the Yuan dynasty, Xiong Mengxiang 熊夢祥 (Xiong Zide), a Confucian scholar and poet, visited Yungang personally and transcribed the entire inscription. He later included it in his Xijing zhi 析津志 (Xijing Gazetteer), the earliest Beijing gazetteer, which, in turn, was included in the Shuntianfu zhi 順天府志 (Shuntianfu Gazetteer), a Beijing gazetteer compiled in 1885 by Miu Quansun 繆荃蓀 (1844–1919), a Qing bibliophile, in the fragmentary Yongle dadian. This is the only source that we have today about the inscription. 12 Weishu, “Shilaozhi,” 114:3025. 13 Li Daoyuan, Shuijing zhu jiaozheng, 316. 14 Liang Sicheng, “Yungangshiku zhong suo biaoxian de Beiwei jianzhu,” in Yungang bainian lunwen xuanji. Ed. Yungang shiku wenwu yanjiusuo (Beijing: Wenwu chubanshe, 2005), 11–40. 15 Li Daoyuan, Shuijing zhu jiaozheng, 316. 16 Daoxuan, Guang hongming ji, T52:2103:0103c27(00). 17 Hui Jiao, Gaoseng zhuan, T50:2059:398b10. 18 Daoxuan, Xu gaoseng zhuan, T50:2060:428a.

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19 Chen Yuan, “Ji Datong Wuzhoushan shikusi,” in Chen Yuan xueshu lunwenji, vol. 1, 398–409. Also see Chen Yuan, “Yungang shikusi de yijing yu Liu Xiaobiao,” in Chen Yuan xueshu lunwenji, vol. 1, 443–48. 20 For instance, the inscriptions in cave 11–14 and on the east side of the window in cave 17 are both dated to the thirteenth year of Taihe (489). The images in the two caves, however, demonstrate completely different iconographic styles. The images in cave 17 exhibit earlier characteristics, whereas those in cave 11–14 are in a more sinicized style. This shows that there had been a stylistic change by 489, but that both styles existed simultaneously before the older one disappeared. 21 Hou Xudong, Beichao cunmin de shenghuo shijie: chaoting, zhouxian yu cunli (Beijing: Shang wu yin shu guan, 2005), 267. 22 “Yishe 邑社” and “lishe 裏社” were the local religious and social organizations associated with the worship of She (the earth god). These yish and yili became models for the later Buddhist devotional societies, called yiyi, yi, or she. See Dorothy Wong, Chinese Steles: Pre-Buddhist and Buddhist Use of a Symbolic Form (Honolulu: University of Hawai‘i Press, 2004), 9 and 15. 23 Mizuno Seiichi and Nagahiro Toshio recorded about 66 inscriptions and arranged them in chronological order. See Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu: seireki goseiki ni okeru Chūgoku hokubu Bukkyō kutsuin no kōkogakuteki chōsa hōkoku: Tōhō Bunka Kenkyūjo chōsa (Yungang: The Buddhist Cave-Temples of the Fifth Century A.D. in North China: detailed report of the archaeological survey carried out by the Mission of the Tōhōbunka kenkyūsho 1938–45, hereafter Unkō sekkutsu), vol. 2 (Kyoto: Kyōto Daigaku Jinbun Kagaku Kenkyūjo, 1951). The 27 inscriptions of the Northern Wei are primarily dedicative niche inscriptions; the single Liao (907–1125) commemorative inscription is about the repairs of the images; the 11 Yuan-dynasty (1271–1368) inscriptions are travel accounts; and the Ming and Qing inscriptions are mostly commemorative inscriptions on steles recording repairs of roads or cave temples. Also, the inscription dedicated by a certain Tanmei 曇媚 in the fourth year of Jingming 景明 (503) was not included in the record since it was only discovered in 1956 in front of cave 20, in a pile of earth. 24 The aforementioned Jin stele inscription is discussed in detail below, in the Chinese scholarship section. 25 Xu Pingfang, “Zhongguo shikusi kaoguxue de chuangjian licheng – Reading Su Bai’s Zhongguo shikusi yanjiu,” Wenwu, no. 2 (1998): 54–63. 26 See Itō Chūta, “Shina sansei Unkō no sekkutsu-ji (The Cave-Temples of Yungang in Shanxi, China),” Kokka, nos. 197/198 (1906). Also see Tōyō kenchiku no kenkyū (Tōkyō: Ryūginsha, 1943), and Kengaku kikō (Tōkyō: Ryūginsha, 1936). 27 Wong, Chinese Steles, 6. 28 Ōmura Seigai, Ed. Literary Evidence for Early Buddhist Art in China. Alexander C. Soper, trans. (Ascona, Switzerland: Artibus Asiae, 1959), 7. 29 Sekino Tadashi and Daijō Tokiwa, Shina Bukkyō shiseki (Tokyo: Bukkyō Shiseki Kenkyūkai, 1925). The English version Buddhist Monuments in China came out in 1930. 30 Tokiwa Daijō and Sekinō Tadashi, Buddhist Monuments in China (Tokyo: Bukkyō Shiseki Kenkyūkai, 1930), text volume, 14–21. In 1918, Sekinō paid a visit to Yungang and later wrote two articles, “Saiyū zasshin” and “Unkō sekkutsu no nendai to sono yōshiki no iigen nitsuite,” which were collected in his book Shina no kenchiku to geijutsu (Tokyo: Iwanami Shoten, 1938). Tokiwa also made a number of archaeological expeditions to China on his own, and from 1920 to 1928, he made five visits to Buddhist sites, Yungang included. These exploration accounts appeared later, in his book Shina bukkyō shiseki tōsaki (Expeditions to Chinese Buddhist Sites) in 1937 (Tokyo Kokusho Kankōkai, 1972). Arranging these sites geographically, Tokiwa introduced each of them briefly. Many other

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31 32

33 34

35 36

15

Japanese scholars and photographers also visited and explored Yungang in the early 20th century. Matsumoto Bunzaburō (1869–1944) visited Yungang on his way home from a journey to India in 1917. In his book Shina Bukkyō ibutsu (Buddhist Remains in China), (Tokyo: Daitōkaku, 1919), Matsumoto argued that the Yungang caves are more influenced by the Gupta style, not the Gandhara style. In September 1920, Kinoshita Mokutarō 本下杢太郎 (1885–1945), who was a medical doctor, went to Yungang with the artist Kimura Sōhachi 木村莊八 (1893–1958). Kinoshita wrote about this journey, and included Kimura’s sketches, under the titles “Unkō nichiroku 云岡日錄 (Account of Yungang Journey)” and “Daidō sekibutsu zatsuwa 大同石佛雑話 (Miscellaneous Accounts of the Datong Stone Buddhas).” Later on, these two short works were collected in his book Daitō sekibutsuji 大同石佛寺 (The Datong Cave Temples), (Tōkyō : Nihon Bijutsu Gakuin, 1922). This book, though not as scholarly as that of Ōmura or those by Sekinō and Tokiwa, was remarkably influential and widely known in Japan. Tokiwa Daijō, Shina Bukkyō no kenkyū (Tokyo: Shunjūsha, 1938), 512–14. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu. The original 16 volumes were republished and expanded to 20 volumes, with previously unpublished old photographs and additional scholarship, by the Institute for Research in Humanities (Kyoto University) and the Institute of Archaeology (China Academy of Social Sciences), (Beijing: Kexue chubanshe, 2014–). A detailed account of this indefatigable expedition is given in Mizuno’s article “Unko sekkutsu chōsaki (Notes on the Investigation of Yungang Caves),” which later was collected in Mizuno’s Chūgoku no Bukkyō bijutsu (Chinese Buddhist Art), (Tokyo: Heibonsha, 1968), which even provides the schedule of the measuring, photographing, making rubbings, and so on. Nagahiro also published a book on both Yungang and Longmen caves, Unkō to Ryūmon (Yungang and Longmen), in which he briefly compares these two sites and traces the origin of the style of Yungang. He analyzed the styles of Gandhara and Gupta as well as other Central Asian sites and their relations. Nagahiro notes that cave 5 displays a combination of different styles from Gandhara, central India, and Central Asia. However, he cautions that this does not mean that cave 5 was directly influenced by the West; rather, it was the Liangzhou artists who played a more important stylistic role. See Nagahiro Toshio, Unkō to Ryūmon (Tokyo: Chūō Kōron Bijutsu Shuppan, 1964). Harrie A. Vanderstappen, “Book Review: Written and Unwritten: A New History of the Buddhist Caves at Yungang,” Ars Orientalis, 19 (1989): 125–7. The topics of each introduction – for a total of 14 essays in all – are: “general observations on the Yungang cave-temple,” “Shi-fo-si of Yungang,” “the Yungang caves and their historical background,” “significance of ornamentation in the cave-temples of Yungang,” “the investigation of the cave-temples of Yungang,” “genealogy of the Yungang caves,” “representations of scenes from Buddha’s life in the Yungang caves,” “iconography of the Yungang caves,” “Yungang and Longmen Styles,” “Buddhist images prior to the Yungang caves,” “Western styles in the Yungang caves,” “Tanyao and the Yungang caves,” “the cave-temples in China,” and “chronology of Yungang cave.” Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 16, 30. See Yagi Haruo, Chūgoku Bukkyō bijutsu to kan minzokuka: Hokugi jidai kōki o chūshin to shite (Sinicization of Chinese Buddhist Art), (Kyōto-shi: Hōzōkan, 2004); Yagi Haruo, Unkō sekkutsu mon’yō ron (Study of Yungang Ornamentation), (Kyoto: Hōzōkan, 2000); Yoshimura Rei, Chūgoku Bukkyō zuzō no kenkyū (Study of Chinese Buddhist Art), (Tokyo: Tōhō Shoten, 1983); Yoshimura Rei, Tennin tanjōzu no kenkyū: Higashi Ajia Bukkyō bijutsushi ronshū (Study of the Celestial-Born Iconography: Selected Essays on East Asian Buddhist Art), (Tokyo: Tōhōshoten, 1999); Hinako Ishimatsu, Hokugi Bukkyo zozoshi no kenkyu (Buddhist images in the Northern Wei), (Kunitachi-shi: Buryukke, 2005).

16 37 38 39 40

41 42 43 44

45 46 47 48

49 50

Introduction Chen Yuan, “Ji Datong Wuzhoushan shikusi,” 398–409. Liang Sicheng, “Yungangshiku zhong suo biaoxian de Beiwei jianzhu,” 11–28. Ibid., 27–8. See Liu Shiming and Yang Wang, Shuopingfu zhi, 12 juan (China: s.n., 1733). Noteworthy is that the ten temples (Tongsheng, Lingguang, Zhenguo, Huguo, Chongfu, Tongzi, Nengren, Huayan, Tiangong, and Doushuai) mentioned in Shuopingfu zhi are different from those recorded in the Jin stele inscription. Yan Wenru, “Yungang shiku zaoxiang zhong de yixie ticai de kaoshi,” Xiandai foxue, no. 2 (1963), 11–21 and Yan Wenru, “Yungang shiku de kaichuang he ticai de fenxi,” Shehui kexue jikan, no. 5 (1980), 112–18, and no. 6 (1980), 110–14. Fei Changfang 費長房 (597), comp., Lidai sanbao ji 歷代三寶記 (Records of the Three Jewels through All Dynasties), T49:2034:85b05. We know nothing about Cao Yan except that he wrote the Jin stele inscription. The names of the temples are Tongle, Lingyan, Jingchong, Zhenguo, Huguo, Tiangong, Chongjiao, Tongzi, Huayan, and Doushuai. Some of them are mentioned in other sources. For instance, the Tongle temple is recorded in Xu gaoseng zhuan, juan 1; Kaiyuan shijiao lu, juan 6; Gujin yijing tuji, juan 3; Zhenyuan xinding shijiao mulu, juan 9; the Lingyan temple is mentioned in Weishu, juan 114; Xugaoseng zhuan, juan 1; Kaiyuan shijiao lu, juan 6; Zhenyuan xinding shijiao mulu, juan 9; and the Tiangong temple in Weishu, juan 114. The rest of the temples are not mentioned in any extant sources before the Song dynasty. Su Bai thus inferred that the names of all ten temples started in the Liao dynasty and that they were still in use when Cao Yan inscribed the stele in 1147. The temple names were changed later. In the Chenghua Shanxi Tongzhi (1474), they are named: Tongsheng, Lingguang, Zhenguo, Huguo, Chongfu, Tongzi, Nengren, Huayan, Tiangong, and Doushuai. See Su Bai, “Dajin xijing Wuzhoushan chongxiu dashikusi bei jiaozhu (hereafter “Jinbei Jiaozhu”),” in Su Bai, Zhongguo shikusi yanjiu (Beijing: Wenwu chubanshe, 1996), 60. The article was first published in Beijing daxue xuebao, no. 1 (1956). Judging from the square rafter holes on the façade of the caves and the archaeological findings, the wooden temples are believed to have been constructed during the Liao dynasty, as evidence proves that there were large-scale reconstructions and repairs in front of the caves during the Liao. See Su Bai, “Jinbei Jiaozhu,” 69–70; and Yungang shiku baoguansuo and wenwu baoguan kexue jishu yanjiusuo, “Yungang shiku jianzhu yiji de xin faxian,” Wenwu, no. 4 (1976), 89–93. Su Bai, “Jinbei Jiaozhu,” 53. Ibid., 56–7. Ibid., 60–1. Zhang Zhuo argued that the Huguo Temple should be caves 1 and 2, not caves 7 and 8. See Zhang Zhuo, Yungang shiku biannianshi (The Chronicle of the Yungang Caves), (Beijing: Wenwu chubanshe, 2006), 437. Su Bai wrote five articles on Yungang after the discovery of the Jin stele inscription and they are all collected in Su Bai, Zhongguo shikusi yanjiu: (1) “Jinbei Jiaozhu”; (2) “Dajin xijing wuzhoushan chongxiu dashikusi bei de faxian yu yanjiu” (Discovery and Study of the Stele on Repairs of the Mount Wuzhou Stone Cave-temples in the Great Jin Western Capital, hereafter “Jinbei yanjiu”); (3) “Yungang shiku fenqi shilun” (Preliminary Investigation on the Periodization of the Yungang Caves; hereafter “fenqi”), (4) “Pingcheng shili de jiju he ‘Yungang moshi’ de xingcheng yu fazhan” (The Steady Empowerment of Pingcheng and the Formation of “Yungang Style,” hereafter “Yungang moshi”); and (5) “Heng’anzhen yu Heng’an shiku (Heng’an Town and Heng’an Caves).” Su Bai’s article “fenqi” appeared first in Kaogu xuebao, no. 1 (1978), and later was included in his Zhongguo shikusi yanjiu, 80. The earliest (483) and latest (496) inscriptions in cave 11 suggest that cave 11 is close in time to caves 9 and 10. See Su Bai, “fenqi,” in Zhongguo shikusi yanjiu, 80.

Introduction

17

51 Nagahiro Toshio, “Shuku Haku Shi no Unkō Sekkutsu bunkirono bakusu” (Rebuttal of the Periodization of the Yungang Caves by Su Bai), Tōhō gaku, no. 60 (1980): 30–44. 52 Su Bai, “Jinbei yanjiu,” in Zhongguo shikusi yanjiu, 89. The imperial visits to Mount Wuzhou started with Emperor Mingyuan (r. 409–23) in 411. Emperor Xiaowen (Gaozu) visited the “spiritual mountain” twice, in 475 and 477. The imperial visits to the actual caves only started from Emperor Xianwen (Xianzu) in 467, and then Gaozu visited in 480, 482, 483, and 484. See the Weishu, “Lizhi” 181:2733, and “Diji” 6:125 and 7:135. From the eighth year of Taihe (484) to the eighteenth year of Taihe (494), Gaozu did not visit either the caves or the “spiritual mountain.” 53 Ding Mingyi, “Guanyu Yungang shiku fenqi de jige wenti,” in Yungang Bainian Lunwen xuanji. Ed. Yungang shiku wenwu yanjiusuo (Beijing: Wenwu, 2005), 197–211. Also see Ding Mingyi, “Yungang shiku yanjiu wushinian,” in Zhongguo shiku Yungang shiku, vol. 1, 176. 54 Nagahiro Toshio and Seiichi Mizuno, Unkō sekkutsu: Chūgoku bunka shiseki (The Yungang Caves: Historical Landmarks of Chinese Culture), (Tokyo: Sekai Bunkasha, 1976), 41–4; also see Nagahiro Toshio, “Yungang shiku de jiushi shuangku de tezheng” (The Features of the Twin Caves of 9 and 10), in Zhongguo shiku Yungang shiku, vol. 2. Ed. Yungang shiku wenwu baoguansuo (Beijing: Wenwu chubanshe, 1994), vol. 2, 193–207. 55 Some scholars questioned the date of commencement in Yungang as the 60s of the 5th century. Harrie A. Vanderstappen implied that it was too short of time to complete so many caves, and caves 7 and 8 are different in style from other caves and they should be earlier. See Vanderstappen, “Book Review,” 125–7. Following the same line, Katherine R. Tsiang argued that caves 7 and 8 originated in the earliest formative phase of cave-making at Yungang when foreign models were considered authoritative and that they predate the conventionally accepted periodization of the site. See Tsiang, “Reconsidering Early Buddhist Cave-Making of the Northern Wei in Terms of Artistic Interactions with Gansu and the Western Regions,” Journal of Inner Asian Art and Archaeology, 4 (2009): 101–18. 56 Xu Pingfang, “Zhongguo shikusi kaoguxue de chuangjian lichen–Du Su Bai xiansheng de ‘Zhongguo shikusi’,” Wenwu, no. 2 (1998): 61. There is much more Chinese scholarship on Yungang, but due to limited space, it is only cited in the following chapters in reference to related topics. For example, Zhang Zhuo collected and annotated historical records concerning Yungang and Pingcheng; see Zhang Zhuo, Yungang shiku biannianshi (The Chronicle of the Yungang Caves), (Beijing: Wenwu chubanshe, 2006). Also, to give just a single additional example, Liu Huida wrote an influential article on meditation and Buddhist caves; see Liu Huida, “Beiwei shiku yu chan” (Northern Wei Caves and Chan), collected in Zhongguo shikusi yanjiu, 338. 57 Édouard Chavannes, Mission archéologique dans la Chine septentrionale (Paris: Ernest Leroux, 1909). 58 Osvald Sirén, Chinese Sculptures from the Fifth to the Fourteenth Century (New York: Hacker Art Books, 1970), reprint of the 1925 edition by Ernest Benn, Ltd, London. 59 Ibid., vol. 1, 8. 60 Alexander C. Soper, South Chinese Influence on the Buddhist Art of the Six Dynasties Period, vol. 32 (Stockholm: B. Museums Far East. Antiq, 1960), 47–112. Also see Alexandra Soper, “Imperial Cave-Chapels of the Northern Dynasties: Donors, Beneficiaries, Dates,” Artibus Asiae, vol. 28, no. 4 (1966): 241–270; and Alexandra Soper, “Northern Liang and Northern Wei in Gansu,” Artibus Asiae, vol. 21, no. 2 (1958): 131–64. 61 Soper, South Chinese Influence, 65–6.

18

Introduction

62 Ibid., 64–72. Also see Soper, “Imperial Cave-Chapels of the Northern Dynasties,” 243–44. 63 Soper, South Chinese Influence, 58. 64 Ibid. The issues of stylistic changes and sinicization have been a much-discussed topic. Soper is not alone in believing the southern influence on the development of style in the late Northern Wei; Stanley K. Abe, Laurence Sickman, Emma Bunker, Su Bai, Wen Fong, Katherine R. Tsiang, Yoshimura Rei, Yagi Haruo, Hinako Ishimatsu, and others have also addressed this. Su Bai argues that the stylistic changes in the Northern Dynasties are closely associated with those of the painters (Dai Kui 戴逵, Gu Kaizhi 顧愷之 [345–406], and Lu Tanwei 陸探微 [?–485] and Zhang Sengyou 张僧繇 [d.u.]) in the south; see Su Bai, “Beichao zaoxing yishu zhong renwu xingxiang de bianhua,” in Su Bai, Zhongguo shikusi yanjiu, 349–54. Also see Fong Wen, “Chuan Gu Kaizhi ‘Nüshizhen tu’ yu zhongguo gudai yishushi (Admonitions of the Instructress to the Court Ladies attributed to Gu Kaizhi and Chinese art history),” Wenwu, no. 2 (2003): 82–96. Stanley Abe dedicated an entire chapter to discussing sinicization, with a focus on Yungang and early Longmen caves; see Stanley Abe, Ordinary Images (Chicago: University of Chicago Press, 2002), 173–257. Also see Laurence Sickman and Alexander C. Soper, The Art and Architecture of China (New York: Penguin Books, 1971), 90; Emma C. Bunker, “Early Chinese Representations of Vimalakīrti,” Artibus Asia, 30, no. 1 (1968): 28–52; Katherine R. Tsiang, “Changing Patterns of Divinity and Reform in the Late Northern Wei,” The Art Bulletin, 84, no. 2 (1 June 2002): 222–45; Yoshimura Rei, “Donyō Gokutsu zōei shidai,” Bukkyō geijutsu, 212 (1994): 11–36; Yagi Haruo, Chūgoku Bukkyō bijutsu to kan minzokuka: Hokugi jidai kōki o Chūshin to shite (Sinicization of Chinese Buddhist Art), (Kyōto-shi: Hōzōkan, 2004); Yoshimura Rei, Chūgoku Bukkyō zuzō no kenkyū (Study on Chinese Buddhist Art), (Tokyo: Tōhō Shoten, 1983); Hinako Ishimatsu, Hokugi Bukkyo zozoshi no kenkyu (Buddhist Images in the Northern Wei), (Kunitachishi: Buryukke, 2005). In contrast, Albert Dien objected the theory of southern influence and argued that the stylistic change was northern rather than southern; see Albert E. Dien, Six Dynasties Civilization (New Haven, CT: Yale University Press, 2007), 315. 65 James O. Caswell, The Written and Unwritten: A New History of the Buddhist Caves at Yungang (Vancouver: University of British Columbia Press, 1988). 66 See Vanderstappen, “Book Review,” 125–7, Stanley Abe, “Book Review,” Journal of the American Academy of Religion, 58 (Spring 1990): 116–18; Robert F. Campany, “Book Review,” Journal of Asian History, 24, no. 1 (1990): 96–7; Victor Mair, “Book Review,” Harvard Journal of Asiatic Studies, vol. 52, no. 1 (June 1992): 345–61; Victor Mair, “Reply to James O. Caswell’s ‘Sinology or Art History,’ Pt II: A Response to Victor H. Mair,” Early Medieval China, 1 (1995): 147–49; and T. H. Barrett, “Book Review,” Bulletin of the School of Oriental and African Studies-University of London, 55 (1992): 359–60. 67 Nancy S. Steinhardt, Chinese Architecture in an Age of Turmoil, 200–600 (Honolulu: University of Hawai‘i Press, 2014). 68 Nancy Steinhardt’s Liao Architecture (Honolulu: University of Hawai‘i Press, 1997) also provides important analysis of the Liao and Jin monasteries and Buddha halls. 69 Nancy S. Steinhardt, Chinese Imperial City Planning (Honolulu: University of Hawai‘i Press, 1990), 5. 70 Dorothy C. Wong, Chinese Steles: Pre-Buddhist and Buddhist Use of a Symbolic Form (Honolulu: University of Hawai‘i Press, 2004). 71 Weishu, 113:3043. Soper believed that the figure 802,366 refers to the “work days” on the caves, but other scholars suggest that it indicates the cost of the caves. See Soper, Literary Evidence, 102; Jacques Gernet, Buddhism in Chinese

Introduction

19

Society: An Economic History from the Fifth to the Tenth Centuries (New York: Columbia University Press, 1995), 15; Caswell, The Written and Unwritten, 190; and Amy McNair, Donors of Longmen: Faith, Politics, and Patronage in Medieval Chinese Buddhist Sculpture (Honolulu: University of Hawai‘i Press, 2007), 59 and n. 46. 72 The Longmen caves are filled with dedicatory inscriptions. Thus far, more than 3,600 inscriptions have been identified. See Gong Dazhong, Longmen shiku yishu (Shanghai: Shanghai renmin chubanshe, 1981), 34.

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The sacred site of Yungang

Making the sacred cave temples of Yungang The tradition of rock-cut Buddhist cave temples originated in ancient India, where they were used for liturgical purposes and daily use. The use of rockcut caves, however, traces its origins to the cave tombs of the powerful nobles of the Middle Kingdom (mid 11th to 13th Dynasties, ca. 2030–1640 BCE) in ancient Egypt. In ancient Iran, Darius the Great (c. 550–486 BCE) and his successors in the Persian Achaemenid Empire also carved monumental tombs into cliffs. Inspired by the cave tombs, people of the New Kingdom period (18th to 20th Dynasties, ca. 1570–1069 BCE) built the great rockcut cave temples of Ramses the Great (19th Dynasty, ca. 1304–1237 BCE), the Abu Simbel Temple, in southern Egypt. The four colossal statues of the deified Ramses seated at the entrance to the temple are the world’s earliest works of monumental sculpture. Because the interior of the rock-cut cave temples followed the standard layout of ancient Egyptian temples with gradually diminishing vestibules and hypostyle halls, it can be said that the cave temples of ancient Egypt not only evolved out of cave tombs, but also were constructed in imitation of freestanding temples. The same is true of the Buddhist rock-cut cave temples in Asia. Although the Buddhist rock-cut cave temples in India are not directly linked to the royal cave tombs in the Valley of the Kings of the New Kingdom period in Egypt or the cliff tombs of the Achaemenid kings at Naqsh-i Rustam in ancient Iran, there is little doubt as to the influence of these cave tombs on the cave temples in India. In both cases we are dealing with works of sculpture rather than architecture, and in both cases there was an appeal in the very permanence that was promised in the carving out of tombs or temples from the very bones of the earth.1 The façades of the royal tombs are carved in much the same way as those of the Indian chaitya (A Buddhist shrine with a stūpa) halls. Buddhist rock-cut caves were influenced not only by ancient cave tombs but also by freestanding temples. As Li Yuqun observes, Buddhist rock-cut cave temples were actually modeled after freestanding monasteries, and a Buddhist cave temple is in fact a monastic structure carved into the cliffs that run along a river.2 Although the structural layout of a cave temple differs from that of a

The sacred site of Yungang

21

freestanding monastery, large cave temples usually have the same liturgical function.3 They are essentially the same, except that a cave temple is remotely located along a river. In his Da Song sengshi lüe (Brief History of The Clergy of The Great Song), monk Zanning of the Song dynasty (960–1279) distinguishes between six types of monastic appellations: ku 窟 (cave temple), yuan 院 (cloister), lin 林 (forest), miao 廟 (temple), lanruo 蘭若 (hermitage), and putong 普通 (ordinary).4 He further notes that ku are cave temples, such as those carved into the mountain cliffs in the Northern Wei to shelter monks and sacred images.5 It is thus evident that rock-cut cave temples are a type of monastery with a different appellation. From this, it can be seen that Yungang is actually a rock-cut monastery hewn from the mountain cliffs. That is, it is essentially a grand stone monastery with sculptures. The primary causes for the construction of the rock-cut cave temples of Yungang were two: the decline of belief in the Dharma (mofa 末法), and a desire to secure blessings for the imperial family of the Northern Wei. First, the wide influence of the mofa belief, which had spread to Pingcheng, and the first persecution of Buddhism by Emperor Taiwu (r. 424–52) gave immediate impetus to the creation of the cave temples in Yungang. In 446, Emperor Taiwu, who was enraged at the lawlessness of the śramanas, promulgated a decree calling for Buddhist persecution, ordering the killing of the śramaṇas, and burning and breaking of Buddha images. “If from now on there be any who dare serve the barbarian gods or make images, statues or figures in clay or bronze, they shall be executed with their whole household.”6 “Buildings and stupas, and all places where the promulgation of Buddhism was carried out were completely destroyed.”7 This further deepened belief in the decline of the Dharma, which would entail catastrophes that would destroy the world at the end of a great aeon and confirmed the impression that the Way of Salvation was fading. The mofa belief in China started as early as the Sixteen Kingdoms (304–439) and the Northern Liang (397– 439) era. It was closely related to the translation of the Mahayana text, the Nirvana Sutra, in Liangzhou (present-day Wuwei 武威 in Gansu), and also to a historical background of social unrest.8 It was believed that 1,500 years after the nirvana of the Buddha, demons would leap and cheer, destroying stūpas and monasteries, killing bhiksus, ruining the Buddha Dharma, thus driving Buddhism into a final period of darkness.9 Buddhist devotees were therefore eager to protect the Buddha Dharma by preserving Buddhist scriptures and reliquaries. However, stūpas, monasteries, and images can easily be destroyed, and would not escape from being ruined if another catastrophe ever happened. Buddhist cave temples, carved out of the very bones of earth, on the other hand, are solid and durable, and thus the creation of Buddhist cave temples became an important means of protecting the Buddha Dharma. Secondly, the cave temples in Yungang were constructed in order for the imperial family of the Northern Wei to accumulate merit and virtue, and pray for blessings. The endeavor had an intensely political character. The “Treatise on Buddhism and Daoism” in the Weishu records that from the

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The sacred site of Yungang

time that the capital was transferred to Pingcheng until the persecution of Buddhism, all of the emperors, including Emperor Taiwu, were Buddhist believers, but the virtuous action was the first priority of their belief.10 This was especially true after the persecution of Buddhism, which functioned as a powerful stimulus to the rapid development of Buddhism and Buddhist monasteries in Pingcheng. The rulers of the Northern Wei supported the foreign religion to monumentalize themselves, and Buddhist cave temples were constructed essentially as memorials. The cave temples themselves provide us with the political and social history of the epoch. In addition, after experiencing catastrophic suppression, Buddhists were further convinced that it would be difficult to establish Buddhism without the support of the rulers.11 They firmly believed that the rulers of the Northern Wei would directly influence the rise and fall of Buddhism. Therefore, image-making and construction of the cave temples were intimately tied to the Northern Wei imperial family. In 452, Emperor Wencheng succeeded to the throne. He wasted no time in restoring Buddhism and rebuilding monasteries and statues in repentance for what his grandfather had done. When the entire empire received the mandate, desecrated Buddhist images and monasteries were promptly restored and repaired. Soon, Buddha images, scriptures, and treatises all reappeared openly.12 That same year, officials were commanded by imperial edict to make a stone Buddha image resembling the emperor himself. When it was finished, on the face and the soles of the feet were black pebbles, resembling the moles on the upper and lower parts of the emperor’s body.13 This astonishing resemblance appeared to confirm the doctrine that the monk Faguo had promoted: that the emperor was the Tathāgata incarnate.14 It can be said that image-making was not only related to the emperor, but also was literally modeled upon him. The following year (453), Tanyao, having assumed the official position of monastic comptroller (shamentong 沙門統), petitioned the emperor to have colossal Buddha images and cave temples carved along the cliff of Wuzhou Mountain outside the Northern Wei capital, Pingcheng. The tallest image would be 64 feet, and the next 55 feet, in height. Carvings and embellishments would be wondrous and magnificent, and the best of the time.15 These are the so-called five Tanyao caves (presently numbered as caves 16–20) of the first-phase in Yungang. It can be seen that the cave temples were constructed during this fervent revival of Buddhism as the Northern Wei court strove to expiate its misdeeds. The first persecution of Buddhism and the mofa belief were the direct causes of this. And since the main purpose of the Northern Wei rulers’ belief in Buddhism was to accumulate personal merit, making images and buildings came to be characteristic of Northern Wei Buddhism.16 Finally, the relationship between the cave temples and meditation practice must be addressed. Scholars usually emphasize the close association between the two, as described by Gao Yun 高允 of the Northern Wei: “One excavates a transcendent cave in order to reside there for meditation practice 鑿仙窟 以居禪.”17 However, I would propose, based on the recent archaeological

The sacred site of Yungang

23

findings and other factors, that the cave temples of Yungang are not directly related to meditation practice, which, in fact, was conducted in the monks’ quarters above the caves. This will be discussed in the Archaeological Discoveries section later in the chapter. One may argue that the construction of the rock-cut cave temples in Yungang was intimately related with Buddhist dhyāna practice (meditation concentration) considering the fact that the founder of Yungang (Tanyao) was a well-known dhyāna master, and came, like many other eminent monks (Huishi 惠始, Xuangao 玄高, and Shixian 師賢), from Liangzhou where meditation practice was popular,18 and that Buddhism in the Northern Wei especially emphasized meditation. Ding Mingyi even suggested that the colossal images in the five Tanyao caves were the primary objects for visualization, and the large caves were used to gather monks for meditation purposes.19 Su Bai also proposed that the large caves in Yungang were used to gather Buddhist monks for meditation.20 The fact is that there is no space for meditation at all in these colossal image caves. One may also argue that the increased construction of Buddhist cave temples is related to the emphasis on meditation during the Northern Wei, which developed simultaneously, and that because of the close relationship between cave temples and meditation, when the latter flourished during the period of the Sixteen Kingdoms and the Northern Dynasties, cave temples also flourished in the northern central plains.21 On the other hand, we must not forget the important fact that meditation practice usually requires quiet or silent surroundings, and was thus associated with deep valleys between mountain cliffs. Much extant literature indicates that meditation practice should be conducted in rock-cut caves, where the atmosphere is tranquil and quiet. The Chan miyao fa jing (The Scripture on the Esoteric Essential Methods of Meditation) observes that, “when one is emerging from meditative concentration, one should be in a quiet place such as a graveyard, beneath a tree, or in an aranya (forest).”22 Similarly, the Zuochan sanmei jing (The Scripture on Concentration in Sitting Meditation) notes that meditative concentration should be practiced in a tranquil place such as a forest.23 The fu fazang yinyuan zhuan (A History of the Indian Patriarchs), translated by Tanyao in Yungang, also pointed out that monks should practice meditation in caves and between mountain cliffs in deep valleys so that the wind, cold, and other hardships could be tolerated.24 As such, I would argue that the rock-cut cave temples of Yungang, in fact, are not directly associated with meditative concentration, since the cave temples are not situated in the valleys between mountain cliffs. Rather they are on the vital communication line between the old (Shengle 盛 樂, present-day Helinge’er 和林格尔 in Mongolia) and new (Pingcheng) capitals by the road. The remains of ancient road ruts in front of the cave temples in the east section can still be seen today (fig. 2.1). Moreover, most of the caves in Yungang are cave temples devoted to images or stūpas for worship (libaiku 禮拜窟); that is, they are intended for liturgical practices such as worshipping, visualization, and making offerings, etc. Therefore they are not ideal for concentration. The monks’ quarters (僧房) on top of the cave temples, away from the communication road, on the other hand, offered us new clues. Recent archaeological

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The sacred site of Yungang

Fig 2.1 Ancient road ruts

findings reveal that there were freestanding temples above the rock-cut cave temples with monks’ cells.25 There is some distance between the road and the cells and thus they would be better for meditation. “The Guanfo sanmei fa (Methods of Visualizing the Buddha Image and Dhyāna Samādhi)” in The

The sacred site of Yungang

25

Siwei Lüeyao Fa (Outlining the Methods of Contemplation) mentions that after one visualizes the Buddha image, one should return to a quiet place and close one’s eyes to contemplate (還於靜處, 閉目思維), keeping the Buddha image in mind without distracting thoughts.26 This shows that visualization and meditation took place in two different places. After visualizing the Buddha image (in a cave temple), one would return to a quiet place to meditate. In Yungang, one would return to monks’ cells above the caves in the mountain to concentrate. Buddhist monks and devotees would conduct ritual practices down below in the cave temples and then “return to a quiet place, and close their eyes to contemplate” in the cells above. The cave temples for worship in Yungang essentially function in tandem with monks’ quarters rather than with cave temples for meditation, as in many other cave temples. In Kizil, for example, as Angela Howard observed, the ubiquity of monastic cells and their unique typology clearly show that meditation was given special consideration in the construction of these monasteries.27 In addition, the Luyeyuan 鹿野苑 cave temples in Pingcheng and the Tuyuk 吐峪溝 cave temples in Turfan 吐魯番 (Xinjiang) both also have meditation caves near the worship cave temples.28 The structure conforms to the need for visualization, worship, and meditation. This, however, does not fit that of the Yungang cave complex. Meditation practice was carried out in monks’ quarters above the cave temples.

Auspicious geographical environment of Yungang Wuzhou Mountain was an important northern frontier as far back as the Han dynasty. The Weishu noted that about 1,100 Xiongnu horsemen attacked Wuzhou Fortress in the first year of Yuanguang 元光 (134 BCE).29 The flat top of the mountain extends north and south for more than a half mile. The north end of the mountain connects with high mountains, but the south and west sides face the river. The east side of the mountain is separated from the low mountains by a wide north-south dale. The western section of the mountain is high, and is now divided into western and middle sections by a dale. All the cave temples were perpendicularly carved into the south cliff of Wuzhou Mountain on the upper terrace landform (plate 2), which had been naturally formed through erosion by the river, while the lower terrace was transformed into a road that ran along the bank connecting the new and old capitals of the Northern Wei. The top of the mountain was flat and vast, which allowed it to be an active site even before the Yungang caves were excavated. Literary documents reveal that Buddhism in Pingcheng flourished considerably even before Emperor Taiwu’s persecution of Buddhism. In the first year of Tianxing 天興 (398), an edict commanded that the five-story (tall) Buddha, the Mount Grdhrakuta (Vulture Peak), and Mount Sumeru Halls be built, painted, and decorated.30 In addition, a lecture hall, a Dhyāna hall, and residential cells for śramanas were constructed.31 These were the earliest Buddhist temple halls. When Emperor Mingyuan ascended the throne, he held the doctrine of the Buddha in high regard.

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The sacred site of Yungang

Thereupon, images and statues were set up in all corners of the capital, and the śramanas were commanded to guide the laity (fudao minsu 輔導 民俗).32 Mention was also made that as early as the third year of Yongxing 永興 (411), Emperor Mingyuan prayed to the gods of heaven and earth on Wuzhou Mountain.33 After ascending the throne, the emperor visited the mountain annually to pray and offer sacrifices.34 The Jin stele inscription states that Emperor Mingyuan built the Tongle Temple (of the ten temples in Yungang) first, that Emperor Wencheng continued with Lingyan Temple, and that the Huguo and Tiangong Temples were built under Emperor Xiaowen. It can be seen that Wuzhou Mountain was an active sacred mountain. Its unique topography with a keystone of smooth terrain on top was not only ideal for praying and making offerings but also suitable for opening the mountain, chiseling stone, and making rock-cut cave temples. This spiritual and numinous mountain was believed to have brought blessings and protection, so it was chosen to be the site of the Yungang cave complex. Written records and recent archaeological excavations both indicate that Yungang was not the only cave temple on Mount Wuzhou; mention was also made of other cave temples along the Wuzhou River. Li Daoyuan noted that beside the Wuzhou River, there were stone monasteries where Bhikkhunis (nuns) lived. From there, the water turned southeast, passing south of Lingyan (i.e., Yungang).35 On this basis, it can be deduced that the Yungang complex was situated to the southeast of the nunnery. Daoxuan of the Tang also mentioned that the monastery in the east was the Lingyan cave temple, and the one at the west was a nunnery (東為僧寺, 名曰靈巖, 西頭尼寺).36 For a long time, this had puzzled scholars, and there was no clear evidence suggesting the nunnery’s location. In 1956, a dedicative stone slab dated to the fourth year of Jingming 景明 (503) by a certain nun Tanmei was discovered in the pile of collapsed rocks in front of cave 20 (plate 3). Based on this finding, researchers in the Yungang guji baoyangsuo inferred that “the nunnery was perhaps located near cave 20.”37 Su Bai later adopted the same view.38 However, all the cave temples in Yungang were for worshipping and liturgical practices. The primary focus of a rock-cut cave was either images or stūpas. No residence cells associated with the caves have been found. In addition, all the archaeological excavations in front of the caves from the early 20th century (1938) until now prove that there was no space in front of the caves for residence cells (archaeological excavations will be discussed later in the chapter). Furthermore, the geographic environment described by Li Daoyuan in the Shuijing zhu has not actually changed much since his time except that the river was pushed southward, and some images eroded and some cave roofs collapsed over time. The rest has remained largely the same.39 The two archaeological excavations (1940 and 1992) suggest that the original river was only 60–90 feet south of the caves.40 The river was very close to the caves initially. According to the Jin stele inscription, the river was diverted about a half mile south of the caves only in 1131 during the Jin dynasty. In addition, there are other dedicative inscriptions by nuns

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(cave 11, dated to the 19th year of Taihe, and cave 17, dated to the 13th year of Taihe), but we cannot thereby establish that these two caves were the nunneries. Similarly, we cannot conclude that the nunnery is near cave 20 simply because a stone slab dedicated by a nun was found in front of it. Most importantly, both Li Daoyuan and Daoxuan mentioned that the nunnery was situated to the west of the Yungang complex. We must look elsewhere for the nunnery, not in front of the caves. The nunnery should be outside the current Yungang complex. In recent archaeological excavations, three surviving cave temple remains (the Lubanyao cave temple complex 魯班窯, Jiaoshansi cave temple complex 焦山寺, and Wuguantun cave temple complex 吳官屯) were found along the river (plate 4). Judging from its location and distance from the river and Yungang, we now believe that the Lubanyao cave complex, situated to the west of Yungang, is likely to be the site of the vihara caves where the nuns lived.41 From here the water runs southeast, passing Yungang, exactly as described by Li Daoyuan.42 More recent archaeological excavations of the Lubanyao cave complex indicate that the residence cells were likely above the caves, as in Yungang.43 Some scholars inferred that the Lubanyao cave complex should have been part of the Yungang cave complex during the Northern Wei, and thus should not be considered an individual monastery.44 This is not entirely impossible since these two cave complexes demonstrate great resemblance in iconographic style, whether in iconography or architectural layout; only the Lubanyao cave complex was constructed as a nunnery beyond the west end. The Xu gaoseng zhuan mentions also that the cave temples of Yungang were aligned closely with one another like the teeth of a comb, and spanned 10 miles. At the east end of Yungang, says this text, is the monastery for monks, which can hold at least 1,000 people.45 But the Yungang cave temples in the current complex span only 1 mile, not 10. Scholars questioned the credibility of this record until the 1950s, when the Jiaoshansi cave temple remains were discovered 10 miles to the west of Yungang.46 Judging from both the location and distance from the Yungang complex, scholars have been led to believe that the Jiaoshansi monastery remains are the cave temples which spanned 10 miles, as described by Daoxuan, eastward to Yungang. Thus, the mystery that had long puzzled scholars was solved.

Archaeological excavations and related issues From the viewpoint of archaeology, the investigation of rock-cut cave temples requires close attention not just to all sorts of phenomena regarding the remains of the cave temples themselves such as the cave structure, composition of the images, subject matter, and iconographic styles, but also to the grounds associated with the cave temples themselves and the remains surrounding them. These remains are usually associated with the initial design, excavation, repairs, and reconstruction of the cave temples, and are of great

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academic significance. Therefore, archaeological excavations all around the Buddhist cave temples, and inventory of the caves themselves, are significant components of the systematic investigation of any cave temple. The archaeological excavations in the Yungang cave complex are good examples.47 Since the 1940s, many archaeological excavations have been conducted in the Yungang complex. Among them, the excavations conducted in the 1990s in front of caves 9 and 10, and the two in 2010 and 2011 above cave 39, and caves 5 and 6 are especially important. These were not only the largest excavations in scale but also shed fresh light on the functions of different sections of the Yungang complex. The excavations reveal why there are no residential cells either within or in front of the cave temples. All of the excavations were primarily in front of and above the caves: four areas above the caves (east of caves 1, 3, 5 and 6, as well as in the area above cave 39), and four in front of the caves (caves 3, 8, 9–13, the five Tanyao caves), among which the excavation in front of caves 9 and 10 is of particular significance. 1. Early excavations of the remains by the Japanese Japanese scholars first started the excavations between 1938 and 1940.48 In the process of investigating Yungang, they noted the surviving remains in front of and above the cave temples and paid attention to the relationship between these remains and the cave temples. Between 1938 and 1940, they purposefully conducted archaeological excavations in five sites: (a) the remains in front of cave 8 and Wuhuadong 五華洞 (caves 9–13); (b) the remains in front of the five Tanyao cave temples (caves 16–20); (c) the remains of the monasteries in the western section of the complex above the cave temples; (d) the remains of the monasteries in the eastern section of the complex above the cave temples; and (e) the remains of the monastery beside the Longwang Shrine 龍王廟. The excavation in front of cave 8 was conducted in June 1938. The trench was 3 feet wide and 52 feet long, running north-south. Nothing significant was found, only a row of piled stones, and their time period has yet to be determined. The archaeologists suggested that they might be associated with the stones found in front of caves 9 and 10. The excavation proved that the bedrock in front of cave 8 extended 50 feet southward. The excavation in front of caves 9 and 10 took place in May 1938. First, they dug a north-south trench in front of cave 9 and discovered the base of a column. Then they excavated along the base of the column to cave 10, in front of which they discovered traces of lotus and tortoise patterns (plate 5). In the process, a carving of the base of the western pagoda of cave 10 was found, proving the earlier existence of a pagoda on the east side of cave 9 and the west side of cave 10 (fig. 2.2). In September 1940, a north-south trench (157 feet long and 6 feet wide) was dug between caves 9 and 10, and a stratum of piled tiles and bricks from the Liao dynasty was found at the north end of the trench. At the south end of the trench, 6 feet below, a stratum of crushed rocks was found. Nothing significant was found in front of caves 9 and 10, however, until the 1990s.

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Fig 2.2 East column base, cave 10 Provided by the Yungang Research Academy

The excavation in front of cave 12 was conducted in 1940, when a north-south trench (154 feet long and 6 feet wide) was dug. Square bricks from the Liao dynasty were discovered, paving the ground up to 34 feet south of the cave entrance. The large-scale excavation in front of the five Tanyao caves took place after the local residences were torn down in September 1940. The excavation was mainly in front of caves 19 and 20. An inventory was made of cave 17. Floor bricks from the Liao dynasty were discovered in front of cave 19. Tiles of the Northern Wei were discovered in front of cave 20. The excavation proved only that the architectural remains date from the Northern Wei, but could not confirm the entire cultural stratum. The trench was not dug to the bottom of the cave either. The ground level of cave 20 is the same as in the side caves of cave 19, but the height of the stratum containing the Northern Wei tiles only reaches to the ground level of cave 19. So, in the past, stairs must have been built in order to climb to cave 20. Japanese scholars’ excavations in front of the caves revealed architectural remains from the Liao dynasty in front of the Wuhua caves and cave 19. In these remains, no Northern Wei structures were found. This indicates that the structures in front of the caves were started by the Liao. A large quantity of Northern Wei tiles in front of cave 20 was found, which led archaeologists to believe that they were from Northern Wei structures.

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Fig 2.3 Tile engraved with characters

Beside the aforementioned excavations in front of the caves, the Japanese also conducted two excavations above the caves: one in the west above cave 37, and the other above cave 3 on the eastern terrace. These two surviving groups of remains proved to belong to freestanding monasteries that had existed in the Northern Wei. The monastery remains above the cave temples on the western terrace are situated to the west of Yungang Fortress. Excavations in October 1940 unearthed scattered tiles and other objects on the ground. The strata are in an H shape and are primarily divided into four areas: A, B, C, and D. In areas A and B, at 1 and 1.5 feet below the earth’s surface were piles of fragmented tiles, unearthed tiles from eaves with a lotus design, and tiles engraved with the characters “Support the imperial rulers, and extend the prosperity infinitely (chuanzuo wuqiong 傳祚無窮),” as well as the rarely seen green-glazed tiles (fig. 2.3). To the east of areas A and B were board-shaped rocks paving the southeast portion of the extended area. Area C had piles of tiles as well. In areas D and E were remains of brick walls. In addition, to the east of the H-shaped stratum, excavations were made in areas F and G. More piled tiles with lotus design and chuanzuo wuqiong characters were found in Area F. No remains were found in area G. In short, the excavations were unable to provide a clear understanding of the buildings’ structure, but showed that monasteries were built there

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during the Northern Wei, and that the eaves with lotus designs as well as tiles with the characters chuanzuo wuqiong were used. Also, the flat tiles near the eaves have undulating forms which indicate they were shaped by hand. It should be particularly noted that green-glazed tiles were found, although where they were used remains unknown. These flat tiles are painted on each side with dark green glaze, and are thus far the oldest known green-glazed tiles. The remains of the Northern Wei monasteries on the eastern terrace are situated on the flat ground above cave 3, and were excavated in August of 1940. An east-west stone-covered platform base was found with the head of a lion at one end. To the west of the lion, stone-layered ground was found that seems to have been the base of a structure. To the northwest is a northsouth lime wall painted vermillion. Outside the stone-layered ground is a large quantity of flat and cylindrical tiles, some with the characters chuanzuo wuqiong, others with handmade undulating patterns. Also, there are many Y-shaped tiles. In short, the scale of the structure is moderate, and the excavation found only a red wall structure above cave 3, which can be traced as far back as the Northern Wei period. The aforementioned excavations above the cave temples are moderate in scale, and do not provide a complete picture of the remains of the freestanding monasteries but they do prove that there were monasteries above the caves during the Northern Wei. 2. Excavations by the Chinese after the 1970s and 1990s The excavations conducted in the 1970s and 1990s were important and fruitful, especially those in front of caves 9 and 10. In order to fully understand the scale of these structures, the Institute of Cultural Relics Protection in Yungang conducted large-scale excavations and made inventories in front of the caves in 1972. They discovered architectural remains of two phases.49 Eight square holes for columns were found in the first-phase remains, which line up with the square holes for rafters on the outside wall of the caves. One of the column bases overlaps with the lotus floor of the Northern Wei in front of cave 10, crushing it and ruining the integrity of the carved traces of the floor. This suggests that this structure was seven bays wide (a bay is the span between two columns) and was built after the Northern Wei and before the Liao. Archaeologists surmise that this belonged to a “structure rebuilt by an official in the 15th year of Zhenguan 貞觀 (641) of the Tang” as recorded in the Jin stele inscription. Six square column bases remain from the second phase, structures of the Liao dynasty. At the same time, the remains of a roof and supports in the shape of an inverted V were discovered on the outside wall on top of the badly eroded columns of caves 9 and 10 (plate 6). The excavations of the above-mentioned architectural remains and the discoveries of the remains of the eaves testify that in the Northern Wei period,

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the exterior of caves 9 and 10 featured a spectacular building in imitation of a wooden structure five bays wide. This solved a long-standing puzzle about the eaves of the caves. But it still lacks sufficient evidence to prove whether or not the structure was rebuilt in the Tang. In 1973, on the upper part of cave 12, again, a hip roof (庑殿顶) was found. The structure of roof eaves in imitation of wooden buildings is not only important material evidence in the study of the Northern Wei architecture in the Pingcheng era, but also had a direct influence on the excavations of the later cave temples. From 1992 to 1993, Shanxi Archaeological Institute and the Research Academy of Yungang conducted thorough excavations and inventories of the remains in front of the caves and unearthed gilded fragments of Buddha images as well as four remains of structures. The excavation of the remains in front of cave 3 was the most important and had great academic value. Though cave 3 is unfinished, it is the largest court cave in Yungang. In front, the excavation discovered remains of a grand-scale Liao dynasty structure nine bays wide. Inside, remains were found of a floor surface chiseled from the bedrock of the Northern Wei but unfinished. For instance, inside the east part of the cave, on the uneven floor were traces of chiseled rocks using notches to divide the rocks into square or round pieces (fig. 2.4). The rock may have been chiseled into different shapes for the use of column bases or other structural components used in the construction of the palaces and other buildings in Pingcheng. These remains fully reveal the process and method of cave temple construction, all of which were previously unknown. This is of great significance in the study of the carving process and the method employed in the construction of large cave temples such as Yungang.50

Fig 2.4 Ruins of excavated stone bricks in cave 3

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Through the excavations of the ’90s, the remains in front of the five Tanyao caves and the Wuhuadong caves were fully revealed and column holes were discovered in the ground corresponding to the holes for the rafters on the outside wall. Also, stairs and construction tiles of the Northern Wei were found in front of cave 20. The remains of large lotus floor patterns carved in the Northern Wei in front of caves 9 and 10 were discovered, but the detailed archaeological report has yet to come out.51 In addition, two important excavations above the caves brought to light the functions of the Yungang complex in each area. For the first time, we can explain why there were no residential cells in the Yungang caves, and learn where the monks lived and translated the sacred texts. For several years, an archaeological team composed of The Shanxi Archaeological Institute, The Yungang Research Academy, and Datong Municipal Archaeological Institute conducted investigations and excavations. From 2009 to 2010, they excavated and fully unearthed the monastery remains of the Northern Wei above cave 39 in the western cave section; in 2011, they excavated the monastery remains above caves 5 and 6 in the central section caves.52 The surviving remains above cave 39 are those of the monastery that the Japanese had excavated previously on the western terrace. They face south, and the south part has been destroyed, but the north part is well preserved. The remains are 200–205 feet wide from west to east, and 144 feet from south to north. The basic layout of the monastery consists of a stūpa and residential cells (fig. 2.5). More than 20 residential cells were found, among which the cells in the north are better preserved – a row of

Fig 2.5 Ruins of a monastery above cave 39 Provided by Zhang Qingjie

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13 cells. Connected to these north cells are three to the east and two to the west. Only the northern part of these cells has been preserved. The cells were built above ground and are divided into single cells and suite cells. They are square or rectangular in shape, all with an entrance. All cells have corridors too. The column-base stones of the corridors still remain. There are surviving brick-beds, kitchen stoves, and flues in the cells. Moreover, at the western end of the northern cells towards the south, there are rows of east-west cells juxtaposed. The western residential cells connect with the western section of the northern cells, dividing the monastery into big and small courtyards. The front porch of the northern cells connects the two courtyards. The east courtyard is bigger, in the center of which, slightly towards the south, is the base of a stūpa. This should be a stūpa courtyard; however, there are no remains in the western courtyard. The base of the stūpa faces south. It is square in shape (48 feet wide, and 1–2 feet in height) and was tamped. Because the south part of the monastery was damaged and formed a slope, the situation of the entrance to the monastery and of the southern cells connected with the entrance is unclear. The primary surviving objects unearthed from the excavations include the construction materials, tiles with lotus patterns, the engraved characters chuanzuo wuqiong, and flat green-glazed tiles. Remnants of Buddha images and worshippers, as well as a piece of pottery with the characters 西窟 (west cave) were found. In addition, the excavation of monastery remains above caves 5 and 6 is extremely important. It shows that the surviving remains contain a large octagonal stūpa base of the Liao and Jin dynasties as well as iron casting remains (fig. 2.6); however, enveloped by the stūpa base is the Northern Wei square stūpa base 46 feet wide. The dimensions are roughly the same as the stūpa in the western section. It can thus be deduced that this area also belonged to the Northern Wei monastery, and when it was rebuilt during the Liao and Jin dynasties, a new stūpa was constructed on the base of the Northern Wei stūpa. Aside from the stūpa, the ground surface of the monastery and the attached structures (residential cells and corridor) were all destroyed in the reconstruction. Further investigation is expected, since the scale of the monastery and the extent of its walls are still unclear. Many objects from the Northern Wei were unearthed at the two sites, among which are tiles with the characters chuanzuo wuqiong, fugui wansui 富貴萬歲 (wealth and longevity), and green-glazed tiles, all of which are characteristics of Northern Wei imperial buildings. Also found were remnants of Buddha images and worshippers, as well as a piece of pottery with the characters “west cave.” The Yungang cave complex was built in the beginning of the Heping era (460) under the imperial patronage of the Northern Wei and was the center for worship and making offerings. In the 18th year of Heping (494), Emperor Xiaowen moved the capital southward to Luoyang. As a result, the large-scale construction of

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Fig 2.6 Ruins of a monastery above caves 5 and 6 Provided by Zhang Qingjie

Yungang, such as cave 3 (the largest cave in Yungang), had to be stopped. Thus it appears that the two sets of remains were most probably constructed before the transfer of the capital. 3. Significance of the excavations in Yungang The archaeological excavations in Yungang are of great academic significance. They provide scientific evidence for the study of the area around Yungang before and after the excavation and construction of the caves. First, the excavations reveal the locations of the ancient road and the course of the river. Yungang is situated to the west of Pingcheng on the arterial road of communications to the old capital Shengle. It was where the Northern Wei imperial court prayed for blessings before the Yungang cave temples were built. The archaeological excavations show that the road passed by the front of the Yungang cave complex; the remains of ruts can be seen in front of the eastern section of the caves. Furthermore, the Wuzhou River was not as far away as it is today; it ran right in front of the caves. Using the excavation in front of Wuhuadong as an example, the original form of the sloping mountain in front of caves 9 and 10 before they were created can be seen in the sectional drawing.53 It was connected to the slope in the south of the stratum before the mountain was chiseled. Below the area 6 feet south of the stratum is the

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layer of crushed rocks, which were deposited there in the process of chiseling the mountain. South of the crushed rocks is the sand stratum. We can deduce, then, that the river was initially very close to the caves. Secondly, the excavations shed light on the process of construction. The project of constructing the cave temples required the design to be wellorganized and preplanned. The unfinished court cave, cave 3, provides a good example of the process of excavating such large-scale caves. The cave is composed of an anteroom and main chamber. It should be noted that the excavation process started by chiseling the internal space first, not, as some scholars have imagined, with caves in the central section being chiseled in different layers, i.e., chiseling first the window from which the upper-level space was created and the images carved, and then moving downward. At the same time, traces of the rock debris left inside and outside the caves indicate that in the process of excavation, efforts were made to make comprehensive use of the rocks removed by chiseling as material in palace and temple construction. This is similar to the large-scale constructions in Pingcheng during the Xiaowen era in the Northern Wei. Thirdly, the excavations help us assess whether there were structures in front of the caves. Scholars have long wondered whether monasteries stood in front of the central section of cave temples in the Northern Wei period in Yungang. The excavations found no remains of Northern Wei structures in front of the Wuhuadong and caves 16–19; cave 20, however, is an exception. Many Northern Wei tiles were discovered in front of cave 20, which suggests that a Northern Wei monastery existed there. It is certain that the collapse of cave 20 took place soon after the cave was completed (this will be further discussed in Chapter Four). Therefore, in order to avoid exposing the big Buddha to the elements, a structure had to be built. Thus, the outer appearance of the five Tanyao caves is asymmetrical.54 4. Functions allocated to areas as reflected in monastery remains The Yungang cave temples themselves are all shrine chapels with images and stūpas. There are no caves allocated to other functions (e.g., provision of residential space) as in the Kizil caves in Xinjiang. The caves were used primarily for worshipping, repentance, making offerings, chanting, and possibly jiangjing 講經 (sutra lecture), changdao 唱導 (vernacular sutra singing and preaching), or merely for merit and virtue accumulation in some caves, as I shall argue. For example, the five Tanyao caves, as mentioned previously, functioned as a family shrine, which differentiates them from other caves. Also, caves 7 and 8, and cave 12, which have spacious anterooms and narratives on either side, may have functioned as lecture halls, and caves 9 and 10, with their vaulted passageway for circumambulation, could have been used for repentance. The functions of these spaces are worth further consideration. So where are the buildings in Yungang in the Northern Wei that could have accommodated more than 3,000 monks with living quarters, as recorded in

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the documents?55 Also, where were the temples in the Yungang complex that Tanyao translated the sutras during the third year of Heping (462)? As mentioned before, the Wuzhou River flowed right in front of the Yungang cave temples, so there was no space for freestanding monasteries. The excavations above the cave temples provide answers to these questions. Of the three monastery remains, the western section included a stūpa courtyard and a side courtyard. Beside the stūpa in the courtyard, which had a liturgical function, some of the residential cells with anterooms and main chambers in the stūpa and side courtyards were equipped with brick-beds, flue-stoves, and kitchen stoves. This indicates that the residential cells were in fact living quarters. This differentiates them from the cave temples themselves, which were merely for worship, offerings, and visualization, etc. Cao Yan in fact mentioned, in the 1147 Jin stele inscription, the ten temples and the “stone chambers 石室” in which monks translated the sutras in the Yungang complex, but for a long time, we had no hard evidence to verify the authenticity of the inscription before these new excavations revealed the full picture of the site. According to the Jin stele, there were ten temples in the great rock-cut cave-temple complex in the western capital, and they were constructed during the Northern Wei. Mention was also made of several stone chambers above (the cave temples) where the Indian monks translated sutras.56 Also mention was that Emperor Mingyuan had the Tongle Temple built first, after which Emperor Wencheng followed and had the Lingyan built; whereas the Huguo and Tiangong temples were built by Emperor Xiaowen, and the Chongfu temple completed by Qian’er (Wang Yu).57 The Xu gaoseng zhuan also mentions that Tanyao lived at the Tongle Temple in 460 within the Yungang cave complex as the chief administrator, and in the third year of Heping (463) had already gathered many eminent monks in the Beitai 北台 (North Terrace) cave-temple where he translated sutras.58 The Gujin yijing tuji (Seal of Ancient and Modern Sūtra Translation) also mentions that Tanyao was the monk of the Heng’an cave-temple (Yungang), and that when Buddhism was revived in the third year of Xing’an (453), he gathered the Indian monks to translate the Jingtu sanmei jing (Samādhi Sūtra on the Pure Land), and the Fufazang yinyuan zhuan.59 Now, with the new archaeological discoveries in the area above the caves, it has become clear that the northern terrace (Beitai) should be the vast terrain above the caves and that the “stone chambers” were the monasteries. The differentiation between these functions suggests that freestanding monasteries were allocated to Yungang, as the grand Northern Wei royal rock-cut cave monastery. These monasteries were where Tanyao translated sutras and where the monks lived. Therefore, the remains of the monastery above the cave temples are important and inseparable components of the Yungang complex. At the same time, they also confirm what the Shuijing zhu described as the spectacular scene of Yungang: “the Buddha Halls on the mountain and over water, and the smoke of the incense-filled temples overlook each other 山堂水殿, 烟寺相望.”

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5. Configuration of the monasteries in Pingcheng as reflected through remains The monastery above the caves in Yungang features a double-courtyard configuration. The stūpa courtyard is centered around a stūpa, with residential cells radiating outward. Because residential cells divided the space, no courtyard walls were discovered in the excavations. During the Pingcheng era, Buddhism flourished, and in the beginning of the Heping era under the reign of Xiaowen, there were more than 100 monasteries in the capital, old and new, and more than 2,000 monks and nuns.60 However, the records are usually unclear and vague; thus, the configuration of the monastery is difficult to verify. In the past, only the Siyuan monastery 思遠靈圖 (plate 7), constructed under the patronage of Empress Dowager Feng in the third year of Taihe (479) in the south of Fangshan 方山 in Datong, was investigated and excavated.61 The layout of the monastery features the stūpa at the front and halls at the rear, with walls surrounding them. This layout is different from the monastery above the caves in Yungang. Thus we can see that in the Pingcheng period, aside from the layout with a stūpa in front and halls at the rear (e.g., Siyuan monastery), the early monastery configuration with a single stūpa was also popular.

Art and architecture Yungang involved the infusion of various cultural, material, and religious exchanges between the west and east, north and south, as well as religious and secular influences, all incorporated within a Buddhist rock-cut cave temple complex, therefore, the art, architecture, and liturgical rituals in Yungang are the result of rather complicated cross-cultural phenomena. Such intricacy does not appear in any other Buddhist cave temples in China, or even the whole of Asia. The architecture, imagery, and liturgy in Yungang all bear marks of multicultural origins. One can observe Greek and Roman influences, and Indian and Gandhara influences, as well as the implantation of elements from Xinjiang and Liangzhou, an influence that is especially significant. Early in the Tai’an 太安 (455) period, five barbarian śramanas, Yasagupta, Buddhanandi, and others, from the Land of the Lion (Sri Lanka) arrived at the capital (Pingcheng) bearing three Buddha images.62 They all claimed that they had traveled the countries of the Western Regions and seen the Buddhist images.63 A barbarian monk from Shale 沙勒 (Kashiga 喀 什) also came to the capital and presented the Buddha’s begging bowl and paintings of the Buddha image.64 The Weishu noted that when Emperor Taiwu conquered Liangzhou in the fifth year of Taiyan 太延 (439), some 30,000 people were forced to move to Pingcheng.65 The śramanas and Buddhist practices moved eastward, and thus the images and doctrines both flourished more and more, and Buddhist image-making rapidly increased.66 The people of Liangzhou had believed in Buddhism for generations, starting

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from the time of Zhang Gui 張軌 (255–314).67 It had been the center of Buddhism in the northwest. The infusion into Pingcheng of Liangzhou Buddhism, which had undergone great development since the Sixteen Kingdoms period, marked a turning point in the development of Northern Wei Buddhism in the capital. There can be little doubt that migrants from Liangzhou brought not only images with them but Buddhist liturgical practices as well. When Buddhism was introduced to China, it not only brought the faith to the country, it brought religious practices too. Thus, Buddhism introduced not only images and temples to China, but ways of worshiping as well. The influence from Xinjiang and Liangzhou co-existed, but each had a different impact on Yungang. Xinjiang had more impact on art and architecture, whereas Liangzhou exerted more influence on religious beliefs and practices. The similarity between the architectural structure of the Kizil caves in Xinjiang and those in Yungang strongly suggests the close association between them. The passage behind the seated Buddha in the main chamber of caves 5, 9, and 10 shares similarities with that in Xinjiang; also, the chaitya caves are undeniably influenced by the central pillar caves in Xinjiang. Furthermore, most of the caves in the second phase have an anteroom and main chamber, which indicates a strong connection with the cave structures in Xinjiang. All demonstrate that Xinjiang had a strong impact on Yungang. One important question is where the tradition of colossal images comes from. It should be pointed out that the population in Liangzhou was diverse and had multiple ties with other regions. Many people had come from other kingdoms before being forced to migrate there. Between Liangzhou and many places in central Asia, there were close political and economic ties. Chinese Buddhist rock-cut cave art started from ancient Kucha in Xinjiang. When it was disseminated to Liangzhou, it became Liangzhou Buddhist art with strong characteristics of the Western Regions. As mentioned earlier, Liangzhou Buddhism exerted more influence on religious beliefs and liturgical practices, and more on the second-phase caves than the Tanyao caves (firstphase caves). This is clearly reflected in the architecture, subject matter and liturgy. The devotional focus in the second phase was either on Maitreya Buddha or on the stūpa, which basically were the emphases of Liangzhou Buddhism. In addition, the cave structure during this period differed. It broke from the precedent of focusing on the colossal Buddha image in the cave and focused more on devotional rituals and practices, both of which were emphasized by Liangzhou Buddhism. It can be said that all cave temples in the second phase are associated with them. Caves 5, 9, and 10, for example, are all fodianku 佛殿窟 (image shrine caves) for worship, and behind the main image in each cave is a vaulted passage; also, Buddhist devotees depicted along the passage all face rightwards, indicating that one of the key functions of the caves was circumambulation. In addition, five chaitya caves (1, 2, 3, 6, and 11) were built during this period for worship and circumambulation, etc. Evidently, different architectural layouts served different functional

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purposes. As Walter Spink observes, different architectural layouts reflect differences among the rituals performed in the caves.68 By the second phase of Yungang, religion, ritual, practice, architecture, economy, and art had all become one integrated and interrelated entity. Each supported, and was interrelated with, the others. Moreover, the subject matter in caves 7, 8, 9, and 10 was influenced by the Maitreya Sutra, as indicated by the main image (Maitreya) of the caves, symbolizing the well-known ascent to and descent from the Tushita Heaven of Maitreya. After the Northern Wei unified north China, envoys began to be sent to the capital from the Western Regions and interaction between the countries began.69 Mention was made in the Beishi that many merchants from Sogdia traveled to the Northern Liang to trade, and after Guzang 姑臧 (modern Wuwei 武威, Gansu) was attacked, they were all captured.70 It can be seen that Sogdians were among the migrants to Pingcheng. In the archaeological findings from the tomb of Sima Jinlong 司馬金龍 (484 AD) and the tombs excavated at Yanbei shiyuan, some huren 胡人 (ethnic groups) images, clay camels, and small clay tents in imitation of huren houses with windows on top, were unearthed. Not only did Sogdian merchants go to Pingcheng, as indicated in the iconography of Yungang, but musicians were among the migrants as well. By the time the Northern Wei captured the Northern Yan 北燕 (407–36) in 436, in the Taiyan era (435–40) of Emperor Taiwu, Sogdian musicians had already arrived at Pingcheng. In Yungang, many caves have the depictions of musicians playing konghou 箜篌, pipa 琵琶, paixiao 排簫, yaogu 腰鼓, hengdi 橫笛 and other instruments, which are associated with India, central Asia, and many other regions. Sogdian dance was introduced to Pingcheng as well. The ink stone discovered in Datong in the 1970s shows a hutengwu 胡騰舞 dancer accompanied by a man playing a pipa.71 The ethnic dancers are also seen in the Shaling 沙嶺 tomb mural paintings (plate 8). It must be emphasized, however, that the most direct influences on Yungang were of a local nature. This can be seen in the objects excavated in recent years outside Pingcheng. As Su Bai aptly points out, the most direct influence on Yungang came from local Buddhist monasteries, which in turn were influenced more and more by the elements deriving from the central plain (Chang’an and Hebei) and from southern China.72 From the Xingguang 興光 era (454–55) to the first year of Taihe (477), 25 years after the revival of Buddhism, more than 100 monasteries were built in Pingcheng.73 In addition, influences between secular and religious material culture should not be overlooked. The images and mural paintings from the Sima Jinlong, Shaling, Song Shaozu 宋紹祖 and many other tombs unearthed in and around Pingcheng show that the relationship between secular and religious culture, whether in images or architecture, was strong and reciprocal.74 The clay figures unearthed from the Yanbei shiyuan tombs show striking similarities with those in the five Tanyao caves (fig. 2.7). The Manes jewels 摩 尼寶珠 (plate 9) discovered in the Shaling tombs are also observed in the

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second-phase caves (plate 10). The southern influence primarily came from well-known painters in the south such as Dai Kui, Gu Kaizhi, Lu Tanwei, and Zhang Sengyou.75 In the 5th and 6th centuries, Buddhist imagery underwent stylistic transformations, which took place simultaneously with changes of style in painting.76 The styles of the painters in the south had an impact on Buddhist imagery in China during this time. Finally, the extant individual images (some of which bear an explicit date) made before Yungang display striking iconographic similarities with the early images in Yungang. The image dedicated by a certain Wan Shen 菀申 and dated to the fourth year of Taipingzhenjun 太平真君 (443)77 closely resembles the standing Buddha on the south wall of cave 19. The Buddha’s robe clings tightly, revealing the bodily contours of the figure. The end of the robe

Fig 2.7 Female figure, Yanbei tombs

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is layered with inner and outer robes. These two images are so similar that they appear to come from the same prototype. Also, the Zhang Yong 張 永 (455) and Song Dexing 宋德興 (457) images78 show great similarities to the seated Buddha in cave 20 at Yungang. Integrating different cultures and artistic motifs, the Yungang artists made their own innovations when they created the five Tanyao images of the first phase. One more point to be made here is that Yungang artisans never wholeheartedly embraced or copied Western workmanship. They not only preserved the Han tradition, but also rejected some “inappropriate” elements, using instead images that were better suited to Chinese taste and culture, so when they came to Yungang, their original style gradually disappeared. For instance, Yungang artists put a light covering – the hem of a robe – over the right shoulder of the Buddha image, while in Mathura, Gandhara, and the Western Regions the right shoulder of the Buddha was often bare. Strictly speaking, there is no tanyou (bare right shoulder) garment in Yungang. The term is used but the hem of garment in fact provides a light covering for the right shoulder. The right shoulder of the Buddha image in China is never bare, as is the case in Gandhara or Indian art. Many literary sources suggest that the Indian orthodox Three Garments 三衣, upon arriving in China, were considered inappropriate for Chinese culture even though the Chinese monastic sangha (Buddhist community) adopted the tradition.79 Indian orthodox clothing was altered so as to make it suitable for assimilation into Chinese culture. The Indian Three Garments are often in the “open mode” with the right shoulder of the Buddha uncovered. This does not fit Chinese ethical norms. Therefore, a pianshan 偏衫 (patch) was added to the monastic dress so that the physical body would not be revealed, because “that would be inappropriate (不以為善).” One of the Yuan sources, the Zengxiu jiaoyuan qinggui (expanded rule for teachings monasteries) has the following notation: People from the West in general have their arms uncovered. [Monks] were afraid that criticism of this practice would arise, and so the arm needed to be covered. . . . In the Northern Wei period, people from the Palace saw the bared arm of the monks. They thought this was inappropriate. Then a right sleeve was added, both sides of which were sewn. It was called pianshan. It was open from the collar in the front, so the original appearance was maintained. Therefore, it is known that the left part of the pianshan was actually just the inner robe, while the right part is to cover the shoulder.80 Clearly, the Indian Three Garments did not look appealing to Chinese monks and were considered “inappropriate.” Thus, the pianshan was added. The Sifenlü shanbu suiji jiemo shuzhengyuanji (commentary on the revised monastic procedures of the four-part Vinaya) also mentioned that there was initially no such thing as pianshan in the West. People in the Northern Wei likely felt that monks with a bare shoulder looked unseemly. They accordingly added this kind of clothing (with pianshan) over the inner robe. It is also called pianxiuyi.81 The Fozhi biqiu liuwutu 佛制比丘六物圖 (Diagram

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of Six Buddhist Essentials) notes that the pianshan was added only to cover the “ugly physical body.”82 The earliest extant evidence of pianshan is in the Northern Liang pagoda images.83 By the 5th century, most images had pianshan, as may be seen in several extant individual images such as the Zhang Yong, the Song Dexing images, and the seated Buddha in caves 19 and 20 in Yungang. It should be noted that the earliest images with baoyi bodai (loose robe and wide girdle) in Yungang, the seated Buddhas in cave 11-14 (dated to 489), had no pianshan (plate 11); nor did the images clad in Chinese-style garments, seated or standing, in cave 6 in the second phase. This further proves that pianshan initially was added only to the open mode robes with the right shoulder revealed to cover the “ugly physical body,” as suggested in the sources above; however, we find that in Longmen the baoyi bodai images have a pianshan on the right shoulder as may be observed in most of the Northern Wei caves (Binyang central 宾阳中洞, Weizi 魏字洞, Putai 普泰洞 and Huangfugong 皇甫公 caves) and on the images discovered in Wanfo Temple 万佛寺 in Chengdu. It seems that the Chinese did not know what pianshan was, and were confused by it so more layers were added. As is mentioned in the Sifenlü xingshi chao zichi ji (a commentary on the Dharmaguputaka Vinaya), “people at that time did not know that the inner robe and fujian (pianshan) are two separate things. Therefore, they added another one on top of it.”84 The pianshan, in essence, is a phenomenon brought about by the process of sinicization in the 5th century Buddhist art, which fundamentally was influenced more by Chinese tradition than by foreign elements in architecture and iconography. As a political, religious, and cultural center, Pingcheng amassed quantities of material resources and manpower in the form of hundreds of skilled migrant craftsmen. This laid a foundation for the creation of Yungang, a process of large-scale innovation in the tradition of Buddhist rock-cut cave temple art and architecture in the Northern Wei capital. In imagery and architectural structure, early Yungang exemplifies a relatively archaic state of creative sensibility; western influences still make themselves felt. During the second phase, Chinese elements gradually begin to seep through. Thorough sinicization eventually takes place in the last stage of the second phase, and reaches its peak during the third phase.85 The art and architecture of Yungang reflect an intermixture and fusion of multiple cultures and peoples, both local and foreign. Buddhist architectural structures are only fossils of the culture, and their meaning resides in how people experienced them. In a Buddhist sanctuary, architectural space is a very important entity. The layout of a cave generally determines the arrangement and composition of the images and the subject matter; and this layout is often suggestive of function. Buddhist architectural space is the basis for the study of typology in Buddhist archaeology. In architecture, the first-phase cave temples are all elliptical in plan with a half-domed roof and window. The cave’s focus is on the main colossal image, which occupies almost the entire space. The subject matter at this time was primarily centered on the three Buddhas and the thousand Buddhas, both of

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which are the main objects for visualizations. The main Buddha images in this period appear majestic and solemn with a round face and broad chest and shoulders. The robes of the seated Buddhas in large niches are usually carved in raised folds with incised lines. Garments with step-like folds and incised lines are similar to those represented in the early images of Dunhuang, Maijishan, and Binglingsi caves. Among standing Buddhas, the two Buddhas on the south wall of cave 19 are masterpieces, clad in robes that closely cling to the supple bodies with low step-like folds (plate 12). The Bodhisattvas seated in the large niches of the five Tanyao caves are, for the most part, later additions to the cave. Many were executed in the second phase. They are elegantly carved with excellent proportions. The facial expression is mild and dignified with a gentle smile. For instance, the seated Bodhisattva with ankles crossed, along with the seated Buddhas, on the east reveal of the window in cave 17 (dated to the 13th year of Taihe, 489), are fine examples of the graceful images added to the first-phase caves (plate 13). The upper body of the Bodhisattva is naked with one part of the celestial robe hanging from the left shoulder and across to the right and another part fluttering to the back and hanging from the arms. The skirt draped over the lower body is carved in sharp incised lines. The attendant figures, usually carved in low relief, appear elegant and dignified with plump face, and with long eyes and brows. The image on the south wall of cave 17 represents one of the finest attendant figures. The celestial robe hangs from the left shoulder to the right waist covering the upper body, and another celestial robe flutters behind the shoulders and swoops in graceful curves over the crooks of the arms. The skirt clings to the supple body with an undulating line at the bottom. Overall, the five Tanyao caves demonstrate a simple and vigorous style, and reflect a strong western influence. The most distinguishing feature of the second-phase caves is the rapid progress of sinicization. The cave structure in this phase differs considerably from that of the first phase, with the exception of cave 13, which is occupied by a large seated Bodhisattva with ankles crossed, a round face, and broad shoulders. The caves are either rectangular or square in plan with flat, coffered, or corbelled ceiling. The half-domed ceiling of the first-phase caves gradually disappeared. Paired caves (1 and 2; 5 and 6; 7 and 8; and 9 and 10) emerged, most of which are composed of an anteroom and main chamber (caves 5 and 6; 7 and 8; and 9 and 10; as well as cave 12). At the same time, roofed niches in imitation of Chinese wooden structures began to appear in the caves, as exemplified in the upper niches in the anteroom of caves 9 and 10. The roofed niche usually consists of chiwei 鴟尾 (roof ridge ornaments), a bird in the middle of the roof, rafters, brackets, triangular ornaments, and side pillars dividing the niche into three parts: a central niche, which houses a seated Bodhisattva with ankles crossed, and two side compartments. Beneath the eaves with round rafters are brackets made of arms with three bearing blocks and supports in the shape of an inverted V (plate 14). The east wall of the antechamber in cave 9 (plate 17) corresponds with the west wall of cave 10

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Fig 2.8 West and north walls, anteroom, cave 9

(plate 16), forming a paired cave with a passageway connecting the two caves near the north wall of the anterooms. Influenced by the format of visual representations of the Han stone reliefs, caves (e.g., 7 and 8) began to have storied niches on each wall: the north wall contains two stories, whereas the sidewalls contain four. Also, the narratives (Jataka Syama) are illustrated in continuous panels like a Chinese traditional scroll painting, as may be seen in the lower level of the anteroom in cave 9 (fig. 2.8). The second-phase caves focused more on liturgical practices; thus, the cave structure was modified accordingly. For instance, caitya caves (1, 2, 6, and 11) began to appear for the purpose of pradaksina (circumambulation) practice. The emphasis on the stūpa in temples and the construction of chaitya caves shares the same origin, with the layout of the monasteries centered on the stūpa in Pingcheng. The stūpa itself had come to be regarded as an outward and visual manifestation of the Buddha. For a similar liturgical purpose, caves 5, 9, and 10 contain an arched passage behind the main image for circumambulation. The subject matter in the second phase is more diversified, and not limited to the three Buddhas and the thousand Buddhas as is the case in the first phase. The twin Buddhas (Śākyamuni and Prabhutaratni), the Dharma protectors, the narrative of the Buddha’s life and his previous incarnations, as well as the discourse of Vimalakirti and Manjusri all begin to appear in the second phase. The Maitreya Buddha had by this time become an increasingly popular subject, and was the primary image in many caves. The narratives are rich in content and form during this period. The Great Departure, Banishing of the Demons, Conversion of the Three Kasyapas, and the Offering of Food by the Merchants are favored subjects. The stories are depicted in various forms: in mono-scene, continuous scenes, or in successive scenes as in a scroll painting. In mono-scene, the figures appear only once and the composition depicts certain characters’ actions frozen in

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a single moment of the narrative. A continuous composition depicts a narrative cycle in consecutive scenes, which are woven into one organic entity with a clear sense of continuity over space and time.86 Temporal progression is indicated by the recurrence of certain figures, sometimes in different settings, sometimes against the same background. Through this compositional device, the continuous pictorial flow of a narrative can be represented more articulately. The successive scenes illustrate a narrative in progression, and the story unfolds in temporal sequence, as when one reads a scroll painting. The Syama story depicted on the lower level of the anteroom walls in cave 9 is the only story depicted in successive scenes to emphasize the significance of Confucian ideology. In cave 6 alone, 36 scenes from the life story of the Buddha (plate 15) are depicted. It is worth noting that the life story ends with the first sermon of the Buddha; the Nirvana scene is not depicted. This may be associated with the sutras that served as a basis for the series. The Puyao jing (Lalitavistara),87 the Fo suoxing zan (Acts of the Buddha),88 and the Guoqu xianzai yinguo jing (Sutras on Causes and Effects of the Past and Present)89 are closest to the time of the construction of Yungang and were most influential at the time. It therefore seems likely that these sutras may have influenced the narrative; however, this does not necessarily exclude the possibility of influences from other sutras. Judging from the depictions and selection of subjects, it is almost certain that most of the depictions of Buddha’s life story were based on the Guoqu xianzai yinguo jing. The visual narratives, at any rate, can all be found in the sutra. But the artists who were responsible for the depiction of the narratives in cave 6 most likely used Lalitavistara, which ended the life story with the first sermon. The fact that the Buddha’s life story in cave 6 ended immediately after his first sermon testifies to the prominent influence of this text. It is impossible to pinpoint which sutras directly inspired the Yungang artists when they used images to narrate the tales. The same story sometimes appears in different texts, and the same story can be depicted differently in literature. As Joanna Williams aptly notes, the point of our textual comparisons is never to pinpoint the literary basis of a particular theme but rather to build up from a statistical vantage point an impression of general connections with various traditions of Buddhist literature.90 The Buddha’s life is both history and legend, truth and fiction. Some biographies are more historically based, whereas others are full of miracles. It should also be noted that the jataka and nidana stories (the celestial maidens dedicating the canopies, the two brothers who became monks, the Nirgrantha-putras redeemed by Buddha in the fire Samadhi, the offering of a meal by Sudatta’s wife, the defeat of Brahmana in a debate by Nagarjuna, and Hariti losing her son) are represented only in caves 9 and 10, not in any others. The concentration of these narratives in caves 9 and 10 is believed to be associated with the Za baozang jing (Sutra of the Miscellaneous Treasures), translated by Tanyao in Yungang.91 The discourse between Vimalakirti and Manjusri also became increasingly popular. The debate wonderfully set the stage for the Chinese elite to engage in qingtan

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(pure conversation). The Śākyamuni Buddha and Many-Jeweled Buddha gradually but steadily became one of the most important motifs. During the third phase, the twin Buddhas are represented in almost every cave and often are represented as the primary images of the cave on the north wall. They became the visual symbols of the most popular sutra of the time, the Lotus Sutra. Also, it is worth noting that the Dharma protectors became popular from the second-phase caves onward. They are represented in every cave, either on the ceiling or flanking the entrance. The ceilings of caves 13 and 11 are covered with intertwined dragons and many-armed protector deities. Evidently, protecting the Dharma was a primary concern at that time. During the second phase, stern and dull-looking images were replaced by more human images with gently smiling faces. By the end of the second phase, the images in cave 6 underwent fundamental stylistic changes. They were no longer in the open mode with one shoulder covered as seen in the first phase. Instead, all images were clad in traditional Chinese robes with both shoulders covered. The standing Buddha on the west wall is clad in a long, thick Chinese robe with the entire body covered (plate 18). The hem flares out like a fishtail, accentuating the weightiness of the body. The V-shaped neckline is low. The cordlike folds were replaced by flattened step-like folds. This is a more naturalistic rendition. The tensions shown in the first-phase images are not apparent in cave 6. Instead, the images appear relaxed and more human, with a gentle smile and smoothly flowing robes. Beginning with cave 6, the iconographic style underwent fundamental changes, and subsequently the images in the small caves between caves 11 and 13 continued to develop stylistically. Also, the images became more slender and human and the rendition became more naturalistic, as is apparent in the seated Buddha in cave 11-10. This is the transitional period between the second and third phase. In the third phase, the images became even more slender and graceful, with long necks and sloping shoulders. The innovations in iconographic style were continued, and new, sinicized images were created. The process of sinicization was brought to full fruition during the third phase. The third-phase caves were relatively moderate in size and either square or rectangular with a flat ceiling. They are mostly fodian caves with only one chaitya cave (39) and one colossal image cave (21). The iconographic composition and arrangement of the niches differ from the previous phases. A new layout, sanbi sankan (three niches on three walls), emerged and came to be predominant during this phase. The iconographic composition became much more complicated. In the later caves of the third phase, five images may appear on one wall, and disciples are represented near the Buddha, with two Bodhisattvas further away. The subject matter became rich and diversified. Some subjects appear only in third-phase caves. The Śākyamuni and ManyJeweled Buddhas were represented more and more, and became the main subjects of the caves. All images are clad in baoyi bodai and appear slim and elegant. They are typical xiugu qingxiang (graceful and refined) images. The seated Buddha image on the left wall of cave 30 (plate 19) is a fine

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example of a third-phase image. The elegant seated Bodhisattva with ankles crossed in cave 5-11 (plate 20) is one of the finest in the third phase. Here, the sinicization process was fully realized. The art and architecture of Yungang reflect the influence of multiple entities with innovations from local artisans and migrants. The creation of Yungang was a highly complicated process. The first-phase cave temples functioned in practical terms as memorials to the Northern Wei court. Worshiping a Buddha in the five Tanyao caves was much the same as demonstrating respect and loyalty to the emperor. The second-phase cave temples were designed principally for liturgical practices. The third-phase caves were relatively small in scale and were mainly commissioned by local officials and Buddhist devotees to pray for the imperial family and for their ancestors. The archaeological findings in Yungang and Pingcheng, especially the recent discoveries, not only contribute to our knowledge, but also allow us to have a better understanding of Yungang, one of the most splendid stone sculptural monasteries of all time. Previously, we had no concrete evidence to prove where the monks lived and translated scriptures in Yungang and where each particular architectural and artistic element is derived from. We had no clear picture how secular tomb art and architecture, and Buddhist rock-cut cave sanctuaries are related to each other. These new findings should not only enrich our knowledge but also provoke new questions. It is hoped that more monastery ruins in Pingcheng will be discovered to shed new light on the components of the Yungang complex.

Notes 1 Benjamin Rowland, The Art and Architecture of India: Buddhist, Hindu, Jain (London: Penguin Books, 1953), 69. 2 Li Yuqun, “Classification, Layout, and Iconography (Translated by John Kieschnick),” in Early Chinese Religion. Ed. Lagerwey John and Lü Pengzhi. Part One (Leiden: Brill, 2010), 575. 3 Ibid., 575–8. 4 Da Song sengshi lüe, compiled by Zanning, T 2126:54: 237. 5 Ibid. 6 Wei Shou (506–572), comp., Weishu (Beijing: Zhonghua shuju, 1974), 114:3035. 7 Ibid. 8 Li Yuqun, “Classification, Layout, and Iconography” 582–3. 9 Mohe moye jing, Tanjing, trans. (Southern Qi dynasty, 479–502). T 12:383: 1013–14. 10 Weishu, 114:3030–2. 11 Hui Jiao, Gaoseng zhuan, T50:2059:352a. 12 Weishu, 114:3036. 13 Ibid. 14 Ibid., 114:3031. 15 Ibid., 114:3037. 16 Tang Yongtong. Hanwei liangjin nanbei chao fojiao shi (Beijing: Beijing daxue chubanshe, 1997), 362. 17 Gao Yun, “Luyuan fu,” in Guang hongming ji. Comp. Daoxuan, T 52, no. 339. 18 Weishu, 114:3037.

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19 Ding Mingyi, “Yungang shiku de kaizao lichen (The Excavation of Yungang),” in Yungang shiku bainian lunwen xuanji, vol. 2. Ed. Yungang shiku wenwu yanjiusuo (Beijing: Wenwu chubanshe, 2005), 128. 20 Su Bai, “fenqi,” 78. 21 Liu Huida, “Beiwei shiku yu chan,” Kaoku xuebao, no. 3 (1978): 337–50. 22 Chan miyao fa jing. Kumarajiva, trans. T613:15:252. English translation by John Kieschnick with minor revision in Early Chinese religion. Ed. Lagerwey John and Lü Pengzhi, 580. 23 Zuochan sanmei jing, Kumarajiva, trans. T15:614:270. 24 Fu Fazang yingyuan zhuan, T2058:50:304. 25 Archaeological findings will be discussed later in the archaeological discovery section of the chapter. 26 The sutra was translated by Kumārajīva. T15:617:299. 27 Angela Falco Howard and Giuseppe Vignato, Archaeological and Visual Sources of Meditation in the Ancient Monasteries of Kuca, (Leiden: E. J. Brill, 2014), 97. 28 The Weishu records that the Luyeyuan cave temples were situated on the western mountain within the Northern Park (北苑), and there were rock cells and meditation chambers (嚴房禪堂), in which meditation monks lived, see 114:3038. Emperor Xianwen visited the cave complex on the fourth year of Huangxing (470); see 114:128. The caves were discovered in 1980. Archeologists examined the caves in 1987. There are 11 caves. Cave 6 contains images; the rest of them are meditation cells, five on each side of cave 6. See Li Zhiguo and Liu Jianjun, “Beiwei Pingcheng Luyeyuan shiku diaochaji,” in Yungang Bainian lunwen xuanji. Ed. Yungang Shiku Wenwu Yanjiusuo (Beijing: Wenwu chubanshe, 2005), 150–6. For the Tuyuk cave temples, see Li Yuqun, “Tulufan tuyugou shiku kaogu xinfaxian: Shilun wushiji Gaochang fojiao tuxiang,” in Yishushi zhong de Han Jin yu Tang, Song zhi bian. Ed. Shi Shouqian and Yan Juanying (Taibei: Shitou Chuban gufen youxian gongsi, 2014), 95–124. 29 Si Maqian (c.145–186 BCE), Shiji, 180:2861. 30 Weishu, 114:3030. 31 Ibid. 32 Ibid. 33 Ibid., 181:2736. 34 Ibid. 35 Li Daoyuan, Shuijing zhu, T50:2060:427c27. 36 Daoxuan, Guang hongming ji, T52:2103:0103c27. 37 Yungang guji baoyangsuo, “Yungang xinfaxian de yikuai beiwei shike,” Wenwu caikao ziliao, no. 9 (1957), 48. 38 Su Bai, “Jinbei Jiaozhu,” 63. 39 Su Bai, “Yungang moshi,” 120. 40 The first archaeological excavation was conducted by Japanese scholars, see Mizuno and Nagahiro, Unkō sekkutsu, vols. 7 and 15 for archaeological reports. The second was conducted by the Yungang Research Academy. 41 Lu Yifeng and Yuan Hairui, “Yungang shiku nisi kao,” in Yungang bainian lunwen xuanji. Ed. Yungang shiku wenwu yanjiusuo (Beijing: Wenwu chubanshe, 2005), 257. 42 Li Daoyuan, Shuijing zhu, T50:2060:427c27. 43 The Lubanyao cave complex contains three caves, all facing east, to the south of the Wuzhou river, west of the Yungang caves across the river. Outside the caves on the wall, there are, as in Yungang, holes for structure-supporting rafters. This suggests that structures once stood in front of the caves. Above the caves lies flat and vast terrain at different levels. Recent archaeological excavations show that above the caves (first tier), there used to be residence quarters (second tier) and a stūpa further above it to the east (third tier). This, to some extent, reconstitutes

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The sacred site of Yungang the original layout of the caves, the residence quarters above and the stūpa further up as a cave complex entity. Recently, a huge Bodhisattva image was unearthed in cave 2 in the Lubanyao complex. The image demonstrates a typical early Yungang style closely resembling the images of the five Tanyao caves. This indicates the stylistic connection between the two cave complexes. The thousand Buddhas in the Lubanyao caves were also created in an early Northern Wei style. The donors and flying angels at the arched front of the entrance are in the early Yungang style as well. The stone monastery (石祗洹舍) observed by Li Daoyuan should be on the second tier above the caves since there are traces of columns believed to be for the residential cells. Also, a large quantity of tiles from the Liao dynasty was discovered. This suggests that in the Liao dynasty, wooden eaves must have been added in front of the caves. It should be noted, however, that the official archaeological report has yet to come out. Hence, this is merely a simple analysis of the environmental situation near Yungang. The author visited the site in 2013 and 2015, and was able to conduct field research on the caves near Yungang. See Lu Yifeng and Yuan Hairui, “Yungang shiku nisi kao,” 257. Daoxuan, Xu gaoseng zhuan, T50:2060:425c26 and T50:2060:427c23. In 1950, Yanbei wenwu kanchatuan conducted archaeological excavations and discovered the remains of the Jiaoshansi cave complex, see Wang Xun, “Yungang yidai kancha ji,” in Yanbei wenwu kanchatuan baogao. Ed. Yanbei wenwu kanchatuan. vol. 2 (Beijing: Zhongyang renmin zhengfu wenhuabu wenwuju, 1951), 28. The caves are divided into four areas. Since the official report on the archeological excavations has not come out yet, the following is a brief analysis of the excavations since the 1940s based on previous investigations and my field research. See Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 7, 57–68, 123–9; and vol. 15, 91–9, 185–90. Jiang Huaiying, Yuan Hairui and Xie Tingfan, “Yungang shiku xinfaxian de jichu jianzhu yizhi,” in Zhongguo shiku Yungang shiku. Ed. Yungang shiku wenwu baoguansuo (Beijing: Wenwu chubanshe, 1991), 198–201. In 1938, Japanese scholars Hibino Takeo and Ono Katsutoshi dug a deep trench but were not able to tell from this what the structure and configuration of the buildings in front of caves 9 and 10 was. Nor did they pay attention to the remains of a large wudianding (hip roof). Cf. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 7. See “Yungang kuqian yizhi fajue huo zhongda chengguo (The Great Result of the Excavation of the Ruins in Front of the Caves),” Zhongguo wenwubao (1994): 1, 16. Also see Yungang shiku wenwu yanjiusuo, Shanxisheng kaogu yanjiusuo and Datongshi bowuguan, “Yungang shiku disanku yizhi fajue jianbao,” Wenwu, no. 6 (2004): 65–88. Cao Chenming, “Yungang shikude kaogu diaocha, kaogu fajue jiqi yiyi,” in 2005 nian Yungang guoji xueshu yantaohui lunwenji yanjiujuan. Ed. Yungang shiku yanjiuyuan (Beijing: Wenwu chubanshe, 2006), 153–6. Zhang Qingjie, Li Baijun and Jiang Weiwei, “Shanxi Yungang shiku kuding beiwei fosi yizhi,” in 2010 nian Zhongguo zhongyao kaogu faxian. Ed. Guojia wenwuju (Beijing: Wenwu chubanshe, 2011), 127–30. Also see Zhang Qingjie, “Yungang shiku kuding xiqu beiwei fojiao siyuan yizhi,” in Kaogu xuebao, no. 4 (2016), 533–62. See fig. 29 General Map of the Excavation in front Wuhuadong caves in Mizuno and Nagahiro, Unkō sekkutsu, vol. 7, 58. The initial plan of the five Tanyao caves will be discussed in the next chapter. Daoxuan, Xu Gaoseng zhuan records that Tanyao lived in the Tongle Temple in the Heng’an caves. The temple was constructed in the Northern Wei. “Thirty kilometers

The sacred site of Yungang

56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71

72 73

74

75 76

51

northwest of Heng’an, in the Wuzhou valley on the north cliff, mountains were chiseled and monasteries constructed. This place is called Lingyan. The big cave is more than 20 zhang deep and can hold three thousand people. The monastery in the east can hold a thousand people. Tanyao gathered eminent monks in the Beitai caves (Yungang) translated Fufazang yinyuan and the Jingtu jing. His work will be carried down to later virtuous people, and the meaning will be kept without end.” See Su Bai, “Jinbei Jiaozhu” for the record of the ten temples and the stone chambers above the caves in the Jin stele inscription, 52–75. The ten temples include Tongle 通樂, Lingyan 靈岩, Jingchong 鯨崇, Zhenguo 鎮國, Huguo 護國, Tiangong 天宮, Chongfu 崇福 (Chongjiao 崇教), Tongzi 童子, Huayan 華嚴, and Doushuai 兜率. Xu gaoseng zhuan, T50:2060:427c24. See Chen Yuan, “Yungang shikusi zhi yijing yu Liu Xiaobiao,” Chen Yuan, Chen Yuan xueshu lunwen ji, vol. 1 (Beijing: Zhonghua shuju, 1980), 443–448. Weishu, 114:3039. See Datongshi bowuguan, “Datong beiwei fangshan siyuansi yizhi fajue baogao,” Wenwu, 4 (2007): 4–26. Weishu, 114:3036. Ibid. Ibid., 114:3037. Ibid., 114:3032. Ibid. Ibid. Walter M. Spink, Ajanta: History and Development, vol. 4 (Leiden: Brill, 2009), 34. Weishu, “Xiyu zhuan,” 102:2259–60. Li Yanshou, comp., Beishi, “Xiyu zhuan,” 53. The ink stone is now housed at the Shanxi Provincial Museum. It was discovered in the late 1960s in the Northern Wei remains in Zhouchengchang in Datong. See Wenhuadageming chutu wenwu (The Cultural Relics Unearthed during the Cultural Revolution). Ed. Chutuwenwu zhanlan gongzuozu (Beijing: Wenwu chubanshe, 1972), 81. In the archaeological findings, there were other dancers from other central Asian countries. Among the migrants were merchants, musicians, and monks. Su Bai, “fenqi,” 79. The number of monks and nuns reached more than 2,000. There were 6,478 Buddhist monasteries in China. The number of monks and nuns reached 77,258. Among them, Jianming Temple 建明寺 was constructed in the first year of Chengming 承明 (476), and the Siyuan Temple 思遠寺 on Fangshan 方山 in the third year of Taihe (479), Weishu, 114:3039. In the Simajinlong tombs, lacquer screen paintings and images were found. Some gilded bronze images were also unearthed. See Shanxisheng Datongshi bowuguan (Datong Municipal Museum Shanxi), “Shanxi Datong Shijiazhai beiwei Simajinlong mu (The Sima Jinlong tomb of the Northern Wei in Shijiazhai village, Datong, Shanxi),” Wenwu, no. 3 (1972): 20–33; and Ma Yuji, “Datongshi Xiaozhancun Huagetatai beiweimu qingli jianbao (Inventory Report on the Northern Wei Tomb Unearthed in Huagetatai Xiaozhan Village, Datong),” Wenwu, no. 11 (1983): 1–4. Su Bai, “Beichao zaoxing yishu zhong renwu xingxiang de bianhua,” in Su Bai, Zhongguo shikusi yanjiu (Beijing: Wenwu chubanshe, 1996), 349–54. The transformation in style, the issues of sinicization, and the relationships between painters and sculpture from the 4th to 6th centuries will be discussed in detail in Chapter Six in the investigation of the caves in the third phase.

77 See fig. 10 in Jin Shen, Zhongguo lidai jinian foxiang tudian (Beijing:

Wenwu chubanshe, 1994).

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78 See figs. 13 and 14 in Zhongguo lidai jinian foxiang tudian. 79 Three Garments, Pali, ticivara Sanskrit, tricivara and Chinese sanyi. They consisted of Antarvasaka 安陀會, Uttarasanga 鬰多羅僧 and Samghati 僧伽梨, namely an undercloth, inner robe, and outer robe. The outer robe is actually a thicker or heavier version of the inner one. They are essentially the same. These three pieces of raglike material are not supposed to be tailored or sewn but are only wrapped around the physical body. Usually people used Kasaya (jiasha) 袈裟 to refer to the totality of the habit. Chinese monastic garments adopted and followed Indian orthodox “Three Garments” practice and were mainly inspired by both Gandhara and Mathura prototypes. They can generally be divided into two types: fafu 法服 and changfu 常服. Fafu is the formal monastic dress. It is also called sengyi 僧衣 (monastic dress), which are composed of three pieces of oblong clothing: an undercloth, an inner robe and an outer robe, similar to the orthodox Indian version of the “Three Clothes.” They are called sanyi (Three Garments) in Chinese, which are essentially the same as the Indian. They are merely worn in a different manner to suit Chinese taste and climate, and the material is quite different from either Gandhara or Mathura. 80 Zengxiu jiaoyuan qinggui, Comp. Ziqing in the seventh year of Zhizheng 至正 (1347), X57, 968:32:17. The codes are divided into ten disciplines. It is an important source for the study of the Tiantai monastic life of the Song and Yuan dynasties. 81 Sifenlü suiji jiemoshu zhengyuanji, annotated by Yunkan of the Song dynasty. X40:0726:847:c24. 82 Fozhi biqiu liuwutu , Comp. Yuanzhao (?-1116) of the Song dynasty. T45:1900:901:b17. 83 Yang Hong suggested that the earliest images with pianshan were the Zhang Yong image dated to the first year of Taian (455) and Feng Aiai image dated to the first year of Tian’an (466). See Yang Hong, “Shilun Nanbeichao qianqi foxiang fushi de zhuyao bianhua (A Preliminary Study on the Evolution of Draperies of Buddhist Images from the Southern and Northern Dynasties), Kaogu, no. 6 (1963): 330–7. 84 Sifenlü xingshi chao zichi ji, T40:1085:157a01. 85 This will be discussed fully in Chapter Six. 86 Junjie Huang and E. Zürcher, Time and Space in Chinese Culture (Leiden: E. J. Brill, 1995), 244. 87 It is also called Fangdeng Benqi jing, eight juan. Translated by Dharmaraksa in 308 during the Western Jin period (265–317). 88 Also called Fobenxing jing, five juan. It was written by Asvaghosa, a Buddhist scholar and gifted poet who lived in the 1st century CE and was translated by Dharmaraksa (385–433) during the Northern Liang dynasty. 89 Translated by Gunabhadra (394–468) of the Liu Song period (420–479). Other important Chinese translations of sutras, such as Zhongbenqi jing (Madhyamaityukta Sutra) translated by Tanguo and Kang Mengxiang of the Later Han dynasty (25–220), Xiuxing benqi jing (Sutra on the Origin of the Practice of the Bodhisattva) translated by Zhu Dali and Kang Mengxiang of the Later Han, the Taizi ruiying benqi jing (Sutra on the Origin of the Lucky Fulfillment of the Crown Prince) translated by Zhi Qian of the Wu (222–280), Yichu pusa benqi jing (Abhinikramaa Sutra) translated by Nie Daozhen of the Western Jin (265–317), Fobenxing jing (Buddhapurvakarya Sutra) translated by Bao Yun of the early Liu Song dynasty, might possibly have influenced visual narratives of Yungang as well. Sutras on Causes and Effects of the Past and Present, Sutra on the Origin of the Practice of the Bodhisattva and Sutra on the Origin of the Lucky Fulfillment of the Crown Prince are in fact different versions of Chinese translations based on the same original text. 90 Williams Joanna, “Sarnath Gupta Steles of the Buddha’s Life,” Ars Orientalis, no. 10 (1975): 171–92. 91 This will be discussed in detail in Chapter Four.

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Phase one – emperor as Tatha¯gata

The first-phase cave temples are symbols of the imperial rulers of the Northern Wei. They are the earliest colossal statue cave temples in Yungang. Inside each of them is a giant Buddha image occupying most of the space. The Weishu records that shamentong (the chief of śramana) Tanyao suggested to the emperor that five cave temples be excavated to the west of the capital soon after the restoration of Buddhism in 452.1 The edict of Buddhist revival explicitly stated that Buddhism supports the prohibitions and regulations of kingly government, and enriches the good nature and wisdom of humanity. It banishes all evil and brings about perfect Enlightenment.2 Evidently, Buddhism was embraced to support the Northern Wei imperial court, and the restoration of Buddhism was to maintain Northern Wei power. The purpose was very clear. Soon after the revival of Buddhism, a stone Buddha image was made to physically resemble the emperor. When it was finished, it was seen to have black pebbles on both the face and soles of the feet, which mysteriously resembled the moles on Emperor Wencheng’s body.3 The motive underlying the image-making was also made clear in a new edict issued in the first year of Xingguang (454), which ordered the officials to cast five standing Śākyamuni images within the Grand Five-Storeyed Temple, representing the five emperors from the Emperor Taizu onwards. Each image would be 6.8 feet in height and all together 25,000 pounds of copper would be used.4 It can be seen that the emperor was portrayed as the present incarnation of Tathāgata.5 In light of the traditional practice of making cave temples for the late emperors in the Northern Wei, it has been suggested that the five cave temples in Yungang were excavated for the same reasons and for the same five founding emperors.6 “The five great caves carved out on the rock of cliff at Yungang must have also been undertaken from the same filial motive.”7 This theory was later widely accepted in academia, and the five imperial great caves are now believed to be caves 16 to 20, traditionally called the five Tanyao cave temples. It is clear that the excavation of the five cave temples is intimately associated with the imperial family and their welfare. The primary focus of the imperial five was upon kingship, the praise of kingship, and worship of kingship. It was to “commemorate those who were able to bestow compassion on the people and benefit the beings”8 of

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Fig 3.1 East wall, cave 16

the founding emperors of the Northern Wei and promote the Buddhist ideal of the emperor being the living Tathāgata of the time that caves 16 to 20 were excavated and the five colossal Buddha statues were carved out of living rock. The court also desired to expiate previous wrongdoings. “Emperor Wencheng wished to turn the inauspicious event of the Buddhist persecution carried out by his predecessor into spiritual welfare.”9 It can be said that the five Tanyao caves are essentially the imperial family shrine temples for worshipping and praying. What, then, is the relationship between the five emperors and the five cave temples? Which of the five emperors is enshrined in the caves? When exactly were they started, and when finished? What is the chronological sequence of the caves? The positioning of the five caves now seems to be in disorder. What was the initial grand plan and design of the caves? A yet more interesting question is the meaning of a row of lower legs of worshippers depicted in cave 16 (fig. 3.1). The upper body of the worshippers seems to be cut and was left like that purposefully. These are basic questions, but there is no consensus on them. They are still worth careful investigation, especially in light of the ever-increasing archaeological findings today within and around the Yungang complex. Before we fully treat these issues, let us first examine the five cave temples and their related problems briefly in order to have a fresh point of view.

The imperial five Tanyao caves All the cave temples are elliptical in plan like a horseshoe with a colossal Buddha image in the center of the main wall (fig. 3.2). The giant Buddha image forms the focus of each cave. The east, west, and north walls lean forward and become narrower as they ascend upward towards the ceiling. The horseshoe shape of the caves with a window is usually believed to have its origin in Indian thatch-covered freestanding wooden buildings.10 The recent archaeological findings near Pingcheng, however, point to the half-dome shaped tents used by the nomads including the Xianbei people. The clay

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Fig 3.2 Diagram of the five Tanyao caves

Fig 3.3 Clay tent with windows, Yanbei shiyuan tombs

models of the tents unearthed in the Yanbei shiyuan 雁北師院 tombs (fig. 3.3) show striking similarities with the structure of the five cave temples.11 The use of tents by the nomads has a long history and is mentioned in many historical sources in the Northern dynasties; even the Hou Hanshun (Standard History of the Later Han) noted that Wuhuan and Xianbei people did not live in permanent dwellings, but instead used tents as their residence; all face east.12 In addition, not only do we find clay models of tents in the tombs, but we see tents depicted in the scenes of everyday life in the mural paintings (plate 21). Evidently, the clay models of the tents, together with other unearthed objects of everyday use, are the models of the residences that local people were still using at the time. The artisans who created and designed

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the five cave temples absorbed ideas from the tombs into a religious space. In architecture, the five Tanyao cave temples were more influenced by local mortuary and Xianbei culture than that of India and Central Asia. The famed architect Liang Sicheng surmised, long before the tent models were unearthed, that the imperial five might be the unique creation of Tanyao, the monks, and local artisans of Pingcheng.13 Su Bai also pointed out that not a single precedent for this has been found anywhere, including the South, Central Asia, Xinjiang, and the Gansu area.14 It can be seen that the excavation of the imperial five in Yungang was a process of making innovations and carrying on traditions, and drawing inspirations from the regional culture of the time. The five cave temples can be, based on subject and structure, further divided into two groups: caves 20, 19, and 18 to the left belong to one group; and caves 17 and 16 on the right are another group.15 Outside cave 16, the cliff surface turns inward at the east end (fig. 3.4), and then starts a new cliff surface receding deeper into the mountain. It is clear that the outside wall of caves 16–20 ends at the east side of cave 16, and when the outside wall was chiseled, caves 16 to 20 were made as one grant group in phase one. The caves then were further divided into two groups for excavation. These two groups were not even on the same ground level. The ground level of caves 16 and 17 is lower than that of caves 18−20, and the main Buddha image in caves 16 and 17 is different from that in the first group caves. In cave 17, the main statue is a Maitreya Bodhisattva with ankles crossed, not a Buddha, and cave 16 contains only one standing Buddha, with no attendant Buddhas. These are clearly two different groups, but all are part of the pre-conceived plan of the first phase.

Fig 3.4 External wall of caves 16–20

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Cave 19, the largest of the five, is unique. This is the only cave that has two side chambers (plate 22), facing slightly inward toward each other; inside each an attendant Buddha seated with legs pendant is represented. The main chamber contains a colossal seated Buddha (56 feet high, the tallest of the five Buddhas) occupying most of the space in the cave (plate 23). The rest of the walls of the cave are mostly covered with small thousand Buddhas, which are rendered in different modes, some with both shoulders covered, others with right shoulder slightly bare; only a few images are not clad in any robes. The thousand Buddhas are carved with crude workmanship. On the upper level of the south wall, beside the window, two standing Buddhas are represented. The west Buddha is intended to represent the Buddha touching his son Rahula’s head who is kneeling down on the side of the Buddha.16 The two standing Buddhas in the south wall are the “most splendid sculptures in the whole of Yungang caves.”17 The thin robe clings to the body of the Buddha closely, creating an exquisite sensation (see plate 12). It should be noted that the window of the cave is larger than the entrance gateway below and is placed at the same height as the main Buddha’s face. This allows sufficient light to illuminate the image and the cave. The architects were well aware of the significance of making use of lighting. The reveals of window are covered with small niches made in later times. The ceiling of the cave is not carved or decorated. The concentration was on the main Buddha, representing one of the emperors. The main chamber in the center recedes further back into the cliff than other caves. This should be the original cliff structure since several other caves (caves 30 and 31, etc.) are also set back deeper into the mountain. The cave should have been excavated based on the original cliff structure. As Li Daoyuan once mentioned, the cave temples of Yungang were excavated according to the natural structure of the cliff (yinyan jiegou 因岩結構).18 Through investigation and observation of the outside wall of the caves, it appears that some caves were excavated based on the natural structure of the cliff surface, but others were man-made and carved to the current surface according to need. The overall space of the cave provides a sense of majestic solemnity and dignity. The key question concerning this cave is the identity of the founding emperor enshrined in this largest cave as the living Tathāgata. This is pivotal in figuring out the relationship between the five founding emperors and the five cave temples since cave 19 is a unique cave. Cave 20 has become the symbol of the Yungang complex. The seated Buddha (46 feet high) in dhyāna position is full of power and grandeur with round face and broad chest (plate 24). Behind it, the rest of the main wall is covered with a large flaming nimbus over the head of the Buddha. The flame is beautifully designed like a traditional Chinese cloud pattern. The robe of the Buddha is in the so-called tanyou mode with the hem of the robe like a pianshan (patch) covering the right shoulder. The inner robe top border is decorated with a band of floral-scroll pattern, which has a half-palmette of three leaves joined symmetrically with a small band. In front of the cave, many Northern Wei tiles were unearthed in the archaeological excavations

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in the 20th century. This suggests that there was Northern Wei architectural remains in front of cave 20. Nothing hitherto has been found in front of caves 16 to 19. That means that there were no buildings in front of caves 16 to 19 in the Northern Wei. Cave 20 is an exception. It is also the only cave in which the south wall and part of the ceiling collapsed. As mentioned previously, the Northern Wei building in front of the cave was in all probability related to this. In order to protect the main Buddha by shielding it from exposure to the outside, a building had to be constructed in front of cave 20. Cave 18 is the most majestic and dignified of all the caves. The three standing Buddhas and Ten Great disciples are depicted with refined craftsmanship. The massive main Buddha (52 feet high) in the center occupies nearly all of the interior space (plate 25). The great Buddha has a round face, broad chest, and wide shoulders. The robe, which clings to the body closely, is in the so-called tanyou mode like that of cave 20 with the right shoulder slightly covered by a pianshan. The upper body is covered with small dhyāna Buddhas and aupapadukas (lotus-born Buddhas) in relief. The right hand hangs downward and the left hand is held up high to the breast. The window of the cave is extremely big, even much bigger than the entrance gateway. Through the window most of the main Buddha can be seen. Above the attendant Bodhisattvas, ten great disciples, five each side, are represented. These ten figures have vivid facial expressions with realistic and gentle smiles. These are among the finest examples of Yungang workmanship. As with other caves, there used to be small niches for thousand Buddhas outside, most of which are eroded now, so that only traces can be seen. Cave 17 uniquely contains a seated Bodhisattva with ankles crossed and two attendant Buddhas. The space seems rather restricted with the colossal Bodhisattva, whose extended knees and elbows occupy almost the entire space of the cave (plate 26). The rest of the wall space is covered with niches in various sizes that were added later at different times. The north wall has a curved area indicating the cave was excavated in different horizontal levels. This is the only cave that contains a seated Bodhisattva with ankles crossed, rather than a Buddha. The important question then is which of the five emperors is represented here as the future Buddha, rather than the living Tathāgata. The reveals of the window are covered by the later niches, one of which on the east reveal bears an inscription dated to the 13th year of Taihe (489). Cave 16 is different from the other four. The space in the cave is not strictly controlled. There is more room, with only a Buddha standing in the center, without attendant Buddhas next to it. The rest of the space is primarily covered with thousand Buddhas and a few large niches amidst them and on the reveals of the window. The images inside the niches are carved in the incised lines employed in the Han stone slabs and in full volume, resembling those in caves 7 and 8 closely in style. They are fine examples of Yungang sculpture of seated Buddha images. The gentle smile, the calm facial expression, and elongated face with wavy hair make the standing Buddha look more realistic and

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personal like a young nobleman of the Northern Wei (plate 27). The sculpture is endowed with a distinct sense of realism and naturalism. The Buddha image appears more like the living Tathāgata than any other main Buddhas in the imperial five. The robe of the standing main Buddha covering both shoulders is rendered in highly formalized step-like pleats, and is represented in the baoyi bodai Chinese garment style of cave 6.

Dates of excavation of the five Tanyao caves Due to lack of explicit literary records and hard evidence, the dates of the five caves have been a topic of debate among Yungang scholars. There have been three suggestions about the inception of Yungang: (1) the first year of Heping 和平 (460), which is the most widely accepted, (2) the second year of Xing’an 興安 (453), and (3) the first year of Shenrui 神瑞 (414). Each theory, based on different sources, looks at the beginning of the five cave temples from a different perspective. Let us first look at the last point of view (414) regarding the inception of Yungang, which was primarily based on the Da Tang neidian lu. It reads: Emperor Daowu (r. 386–409), Taizu of the Northern Wei changed the name of his reign era to the first year of Shenrui (414–16). This was the first year of Taiyuan of the Jin (376) in the reign of Emperor Xiaowu (r. 372–396). . . . In the western outskirts of Heng’an (Pingcheng in the Tang), in the deep valley on the stone cliff, caves were hewn throughout. They are more than ten zhang (more than 100 Chinese feet) high and spread over an area of 30 li (9 miles). They are numerous, and aligned closely, like the teeth of a comb. To the east end of the valley, a stele can still be seen. It states that the accomplishment [of constructing the cave temples] was too great for calculation.19 Based on this record, many literary sources in later periods including the Jin stele inscription suggest that the construction of Yungang started in 414. The theory was later widely accepted in Ming and Qing times, and was quoted in scholarship in the early 20th century.20 In recent years, some scholars revisited the issue and also suggested that the beginning of Yungang should predate the conventionally accepted date (460) and should be in 414.21 However, if we carefully examine the source, a problem appears immediately. First, during the reign of Emperor Daowu (r. 386–409), there was no such reign title as “shenrui”; this was actually the reign title of Emperor Mingyuan. Emperor Daowu only had two reign names (Tianxing 天興 and Tianci 天賜) after he transferred the capital to Pingcheng in 398. Shenrui was not used as his reign title. Secondly, Northern Wei Buddhism directly followed that of the Northern Liang, and did not flourish until the large migration of the Northern Liang people to Pingcheng in 439. The Weishu records that in the fifth year of Taiyan 太延 (439), Liangzhou was pacified

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by the Northern Wei, and some 30,000 people were forced to migrate to the capital.22 The śramanas and Buddhist practices both went along with them to the east, and from then on Buddhist images and doctrines grew rapidly.23 Buddhism in Pingcheng entered a new era from that time on. If Buddhism did not flourish before 439, it is hard to imagine the flourishing of Buddhist rock-cut cave art on such a grand scale. Thirdly, during the reign of Emperor Daowu, “the empire had just settled down. War chariots were still moving constantly. All kinds of state affairs had just started; therefore buildings of Buddhist reliquaries were yet to be built and Buddhist clergy were not yet invited.”24 It was too soon to consider huge constructions like the Yungang complex. Fourthly, most crucially, we have thus far found no trace of the impact of Buddhist persecution on Yungang. As is widely known, when the suppression of Buddhism occurred in 446, “buildings and stupas, and all places where the edict reached were completely destroyed.”25 The Weishu recorded many accounts of the destruction and construction of Buddhist temples and images in Pingcheng during the persecution and revival of Buddhism, but not one single source mentioned any damage, destruction, or even rebuilding of the Yungang caves. This suggests that the Yungang caves had not been constructed when the suppression of Buddhism happened. Therefore, it is hardly possible that Yungang was started as early as the Shenrui era. At the beginning of the 20th century, the scholar Chen Yuan had already questioned the possibility that the beginning of Yungang could be as early as 414 and argued that it was impossible that the construction could have begun then.26 After all, it was too short a time from the transfer of the capital to Pingcheng (398) to the first year of Shenrui (414), 16 years only, to build a new capital, political seat, and a monumental cave temple complex. Moreover, Buddhism in Pingcheng was the Buddhism of migration, and Buddhist art was the art of migrants. Through migration, Buddhism was made to permeate the region, and Buddhist art was introduced. Let us now turn our attention to the Weishu passage based upon which both Su Bai and Yan Wenru drew their conclusions about the inception of Yungang (460 and 453 respectively). The Weishu has the following account: 1). In the early Heping Era (460–65), Shixian passed away. Tanyao replaced him and his title was changed to the chief administrator of śramanas. 2). Earlier, in the second year of the restoration of the Dharma of the Buddha (453), Tanyao was ordered to leave Zhongshan for the capital (Pingcheng). The emperor happened to be out [when Taoyao arrived] and met with him on the road. The Imperial Horse moved forward to nibble Tan’s robe. At the time, it was believed that even the horse recognized a benevolent man. 3). The emperor later honored him by observing the rites that a student would extend to a teacher. Tanyao petitioned the emperor to hew the mountain cliff of the Wuzhou Fortress in the west of the capital and excavate five cave temples, inside each of which would be carved one Buddha image. The tallest one would be

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seventy chi and next one sixty chi. Carvings and embellishments would be wondrous and magnificent. It would be the best of the time . . . 4). Tanyao and the Indian śramana Changnayeshe 常那邪捨 and others translated and published fourteen new scriptures.27 The passage tells us four things: (1) Tanyao replaced Shixian in 460; (2) before this, in the second year of the restoration of Buddhism in 453, Tanyao was ordered to go to the capital to meet with the emperor; (3) the emperor later honored him with respect as a teacher, and Tanyao requested the excavation of five cave temples along the mountain cliff surface; and (4) he translated sacred sutras with others. Based on the passage above, Su Bai suggested that the five Tanyao cave temples were begun in 460 after Tanyao replaced Shixian as the chief administrator of śramanas.28 Mizuno Seiichi accepted the theory and also suggested that point two in the passage above was a flashback inserted into the original narrative.29 Yan Wenru, however, disagreed with Su, and argued that Su Bai was mistaken in supposing that 460, the year of Tanyao’s replacement of Shixian, was also the year that Tanyao’s five caves began to be constructed, and that these were two different events that happened at different times. Yan suggested that the five caves were begun in the second year of the restoration of Buddhism (453) soon after Tanyao earnestly requested the emperor to excavate the caves with colossal images. Thus, the five caves were started in 453; not 460 as proposed by Su Bai.30 Yoshimura Rei, in turn, disagreed with Yan and argued that the beginning of the Tanyao’s five cave temples should be 460. The crux of the argument lies in point three, Tanyao’s petition to the emperor to excavate the five caves. Did this occur right after Tanyao was summoned to the capital in 453? Or after Tanyao became the shamentong in 460? Turning back to the Weishu passage, it seems, from the structure of the passage, that point two was indeed a flashback, and had nothing to do with points one, three, or four. It was a recollection of what had happened in 453 when Tanyao was summoned to the capital, but the account of the passage is mainly focused on what happened after Tanyao became the shamentong in 460. Point two had nothing to do with the petition or with the excavation of the five cave temples. Tanyao petitioned the emperor to excavate the rock-cut caves outside the capital only after he became the shamentong in 460. As Rei pointed out “it should have been one of the key events of elevating Buddha Dharma after Tanyao became the shamentong in 460. He then requested the excavation of the five caves and was granted permission.”31 It is more likely that the petition was made when Tanyao was in charge after Shixian, who was the Daorentong 道人統 (religious superintendent) and had been in charge before 460, passed away.32 It would be hard to explain why Tanyao made his petition in 453, when Shixian was still in charge as the Daorentong. Moreover, if it had happened in 453, a notation concerning the construction of the five caves would have been included in the earlier record

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of the Weishu, which lists the important events after the revival of Buddhism, such as the restoration itself (452), the imperial edict commanding officials to have a stone image of the emperor made (also 452), and the edict ordering the casting of five images from Taizu onwards (454). The records are arranged chronologically. The excavation of the five Tanyao cave temples, instead, is recorded in the section after Tanyao became the shamentong in 460. Hence, it appears that the five cave temples were begun in 460. Having this date in mind, let us take a look at literary records on Tanyao and new archaeological evidence that may shed fresh light on the beginning of Yungang complex as a whole, not just on the inception of the imperial five. The Xu gaoseng zhuan notes that in the first year of Heping (460), Tanyao was appointed as the chief administrator and that he lived at the Tongle Temple within the Heng’an caves (the name of Yungang in the Tang).33 “In the third year of Heping (463), Tanyao had already assembled many virtuous monks in the Beitai cave temple (Yungang) and translated sutras.” This is also mentioned in the Weishu passage, which says that Tanyao translated 14 sutras with others.34 We must admit that if he lived in the temple in Yungang in 460, the Tongle Temple must have had been completed before that. Also, if we hold that the five Tanyao cave temples were started in 460, then we accept at the same time that the Tongle Temple within the Yungang complex must have been built before 460, so Tanyao was able to live there at that time. The translation of the sutras could not have taken place inside the caves. It is not possible that the excavation of the caves and the translation of the sutras took place at the same time in the caves. None of the caves were as yet completed in 463. This forces us to look elsewhere for the place where the translations were carried out and for Tanyao’s residence. All the findings in the 20th century prove that there were no archaeological remains in front of the wuhuadong (caves 9 to 13) and caves 16 to 19 (cave 20 is an exception) during the Northern Wei period. Besides, the initial Wuzhou river waterway was too close to the cave at that time for additional buildings. The only suitable location within the Yungang complex would have been above the rockcut caves. This assumption is supported by recent discoveries in 2010 and 2011. Archaeological remains of Buddhist monasteries of the Northern Wei in Yungang consisting of residential halls and pagodas were found on top of the caves on Mount Wuzhou, as we discussed previously. In 2010, another Buddhist monastery of the Northern Wei was discovered in the area above caves 39–45. These discoveries prove that the Yungang complex consists of rock-cut cave temples and freestanding monasteries, and further explain why there are no vahara caves. The residential quarters were above the rock-cut cave temples. Su Bai once speculated that “several stone rooms above the caves 上方一位石室數間,” mentioned in the Jin stele, might have been the monasteries discovered by Mizuno and Nagahiro in the ’40s in the east and west sections above the caves.35 Now the archaeological evidence corroborates literary sources. Evidently, all point to our inference that the place for

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translation and Tanyao’s residence were located above the rock-cut cave temples. This also explains why Tanyao was able to live in a temple in the Yungang complex already in 460, and in 463 was able to assemble monks to translate sutras. It also proves that it is not impossible that the inception of the five Tanyao caves was in 460, as Tanyao lived in the monastery that we now know was above the caves. This does not contradict our inference, but rather supports it. The completion dates of the imperial five are another topic of debate among scholars. Su Bai suggested that they might have been completed with the death of Emperor Wencheng in 465, but the main Buddha images in caves 16 and 19-2 were postponed to the second phase, and could have been as late as 494, right before the capital was transferred southward to Luoyang.36 This means that most of the five caves were constructed under Emperor Wencheng. Nagahiro and Mizuno initially dated the completion of the imperial five to 475.37 Then they changed their position and proposed that the five caves were finished in the first year of Huangxing 皇興 (467), and Emperor Xianwen’s visit to Yungang was to celebrate the completion of the caves.38 Rei, however, suggested that it took about ten years to complete the imperial five.39 He further argued that the main Buddha image in cave 16 was also completed within this time frame, which is substantially different from what Su Bai and Nagahiro had suggested.40 If the five caves were completed in 470, as suggested by Yoshimura Rei, this means that they were only half completed when Emperor Wencheng passed away in 465. Also, if the main Buddha image in cave 16 was completed together with the five caves, it implies that the images in cave 6 were completed much earlier than they are conventionally believed to have been since, stylistically, they resemble one another closely. But this is difficult to establish. The consensus is that cave 6 was completed near the time of the transfer of the capital in 494.41 In addition, the baoyi bodai Chinese garment style with flattened step-like pattern began to emerge only in the second phase in the 480s. The earliest evidence we have for the step-like rendition of Chinese robes in Yungang is dated to 489 in cave 11-14 on the outside wall of cave 11 (see plate 11). This new style is rather different from the earlier cordlike folds represented in caves 18–20. The early ones resemble more closely the Tai’an 太安 images (dated to 455 and 45742). The step-like pattern is not rendered in any of the early images from either Taipingzhenjun era 太平真君 (440–51) or Tai’an era (455–59). We have no surviving objects to support the hypothesis that the Chinese garment style seen in cave 16 could be as early as the period of the five Tanyao caves. We therefore cannot accept the inference that the main images in cave 16 and 19-2 were finished with the primary construction of the five caves. “The main image of cave 16 is carved in a less deep relief which is far away from the early style of Yungang. To judge by the fact alone, it would be dangerous to identify cave 16 as one of the five Tanyao caves.”43 I believe that the architectural structure and the colossal images in caves 17–20 were well underway and near completion when Emperor Wencheng died in 465.

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But the rest of the walls and windows of the caves were continued through the eras of Emperor Xianwen and even to Emperor Xiaowen. Most of the five cave temples, strictly speaking, were never really finished; the ceiling, for example, is crude and undecorated, the floor is uneven, and small niches were continuously added during different phases. The completion of the caves here refers only to the completion of the main images in each cave and the main architectural structure. In cave 17, one niche on the east reveal of the window is dated to 489 (see plate 13). That means cave 17 was still under the construction as late as at least 489.

Emperor as the living Tatha¯gata in the cave temple It is still debatable who each of the five colossal images specifically represents. What is the relationship between the five emperors and the five cave temples? An attempt to explore these questions will help us to understand the initial grand plan of the five cave temples. The current asymmetrical arrangement of the imperial five appears to lack the grand master plan of a royal project. Sekinō Tadashi and Tokiwa Daijō suggested that the five founding emperors represented in the five Tanyao caves should be Emperors Daowu (Tuoba Gui, r. 386–409), Mingyuan (Tuoba Si), Taiwu (Tuoba Tao, r. 424–52), Jingmu (the Crown Prince, Tuoba Huang), and Emperor Pingwen (平文).44 They did not, according to them, include the reigning Emperor Wencheng. Tsukamoto Zenryu, however, argued that the five emperors should be the four late emperors (Daowu, Mingyuan, Taiwu, and Jingmu) plus the current emperor, Wencheng (Tuoba Jun).45 He further noted that only in this way (with the ruling emperor included), could the characteristics of Buddhism in the Northern Wei be reflected.46 Ōmura Seigai made the same inference: that the five emperors represented in the imperial five caves included the four previous emperors and Emperor Wencheng.47 This theory was later widely accepted. The imperial court strictly controlled the development of Buddhism in the Northern Wei, and image-making and cave temple excavations were closely associated with politics and power. As a passage in Gaoseng zhuan observes, “without depending on the ruler of the state, it is difficult to establish the Buddha Dharma.”48 Alexander Soper suggested cave 20 was built for Emperor Jingmu, cave 19 for Taiwu, cave 18 for Mingyuan, cave 17 for Daowu, and cave 16 for Pingwen.49 Rei, however, associates the five caves with five different rulers. He linked cave 16 to Emperor Wencheng, cave 17 to Jingmu, cave 18 to Taiwu, cave 19 to Daowu, and cave 20 to Mingyuan; Su Bai did not assign these images to any specific ruler. Instead, he simply suggested that these five images represent the five emperors from Emperor Daowu onwards (Daowu, Mingyuan, Taiwu, Jingmu, and Wencheng), and that each main image in caves 16, 18, 19, and 20 is the historical Buddha Śākyamuni, while the seated figure with ankles crossed in cave 17 is the Maitreya Bodhisattva,

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the future Buddha.50 It is appropriate to associate cave 17 with Emperor Jingmu, the Crown Prince, who never became the emperor, implying he would be the future incarnation of the Buddha and emperor. It is also appropriate to connect cave 16 with the ruling emperor of the five, emperor Wencheng. The standing Buddha in this cave does not have the solemnity and heaviness of the other Buddhas in other caves. Rather, it looks more like a “noble prince of the Northern Wei.”51 This is the only Buddha sculpted with a great sense of realism and naturalism. The gentle smile and gaze of the eyes personalize the Buddha. If we believe that it is reasonable to connect caves 16 and 17 to emperors Wencheng and Jingmu, which cave then is more appropriate for emperor Daowu, the first emperor of the five? We have caves 18, 19, and 20 left. Cave 19, a unique cave, is the largest of the five, and it is the only cave that has two side caves. Earlier, it was mentioned that the five Tanyao caves can be divided into two groups: caves 18−20 belong to one group and caves 16 and 17 to the other, and caves 18−20 were constructed first. It is safe to say that caves 16 and 17 were no earlier than caves 18−20, and one factor that causes cave 17 to have a later appearance is that the main image is a Bodhisattva and not a Buddha.52 The fact that the interior floor is deeper than the exterior may indicate a later beginning, and a delay in the work.53 If caves 18−20 were constructed as a group, it would have been logical to start with cave 19 in the center, and to begin with Emperor Daowu, the founding emperor of the Northern Wei. Emperor Daowu, who ascended the throne as the King of Dai in 386, held the Law of Buddha in great reverence and had the Five-storied Reliquary, Halls of Vulture Peak, and Sumeru built.54 In addition, he also had the lecture hall, meditation hall, and cells for śramanas built.55 It can be seen that Buddhism had well developed and Emperor Daowu supported the religion before the excavation of the cave temples in Yungang. Following the actions of Emperor Daowu, Emperor Mingyuan also supported Buddhism. Under his reign Buddhist images and statues were erected in all corners of the capital.56 He commanded the śramanas to guide the laity.57 It is widely accepted that the five Tanyao cave temples were excavated for the five emperors from Emperor Daowu onwards, and the purpose was to eulogize the forefathers of Emperor Wencheng. They fulfilled the same role as the family shrine temples of a state founder. Therefore, it would be more reasonable that the five cave temples, in each of which an emperor revered as the living Tathāgata is enshrined, would be positioned in an ingenious arrangement following the Zhao Mu system 昭穆制, an ancient procedure for ordering ancestral tablets named after two kings of the Western Zhou (1046–771 BCE). The founding Emperor Taizu (Daowu) would be in the center and the succeeding emperors would be situated alternately to the left and right sides of the founder, who would retain its prime place in the center. Michael Loewe noted that the system served to affirm genealogical origins and continuity.58 It implicitly asserted the legitimacy of royal and imperial rule, and it provided for the perpetual continuation of sacrificial

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rites offered to the founder of the house.59 As Hang Kan aptly pointed out, the Northern Wei court attached great importance to the Zhao Mu system.60 This is mentioned in many literary sources. For Emperor Wencheng, and perhaps to Tanyao for that matter, implementing the Zhao Mu system not only provided for sacrifices to his forefathers, but also legitimized the worship of the emperor as the Buddha. Cave 19 is a unique cave temple, and the seated Buddha is the “largest and most powerful of all Yungang sculptures.”61 It would be most suitable for Emperor Daowu, the founding emperor.62 It was argued earlier that cave 17 was intended for Emperor Jingmu as the future Buddha and cave 16 was for Emperor Wencheng taking the last place of the family. As such, this would leave cave 18 to the left and cave 20 to the right of the central cave (19) not connected with the two remaining emperors (Mingyuan and Taiwu). According to the Zhao Mu system, the left is superior to the right, and the prime position is the center for the founding emperor. In this way, cave 18 would have been made for emperor Mingyuan, and cave 20 for Emperor Taiwu. It is more plausible that the positioning of the imperial five followed the Zhao Mu system rather than the reverse configuration proposed by Rei.63 Up to now, we have not had any concrete statistics on how many gong would have been used in building a rock-cut cave in Yungang.64 But in the Longmen complex it is recorded that 823,066 gong were used from the first year of Jingming (500) to the fourth year of Zhengguang 正光 (523) to construct the three Binyang caves 賓陽三窟 dedicated to Emperor Gaozu (Xiaowen), Empress Dowager Feng, and Emperor Shizong (Xuanwu).65 In the Dazhusheng cave temples 大住聖窟 in Anyang, which were patronized by the eminent monk Lingyu 靈裕 of the Sui Dynasty (581–618), the Record of Excavating a Cave Temple 造窟記 carved in the cave indicates that 1,640 gong were used to excavate a cave, and it took up to 900 gong to make a Buddha image.66 These records are extremely important because they not only demonstrate the tremendous workload required to excavate a cave, but also suggest the total amount of work and time involved. As such, the workload of a gong can be calculated. According to the meticulous analysis and calculation of Rei, cave 19 occupies the largest excavation space, more than 8,870 m2, and took 190,000 people 2,332 days to excavate. Caves 20 and 18 took 110,000 and 100,000 people to excavate, respectively, so they are medium sized (M) compared to the large size of cave 19 (L).67 It took 80,000 and 70,000 people to excavate caves 17 and 16, respectively; thus, they are small-sized (S).68 With these statistics, the initial plan (shown in table 3.1, below) proves to be more symmetrical and balanced with the largest cave in the center, two medium-sized caves flanking it, and the two small caves at each end. Therefore, cave 19 took the prime position with bilateral symmetry. This is a more reasonable plan than the current arrangement. The difference between this configuration and the current positioning of the caves is that cave 16 has been placed to the left of cave 17. Something dramatic might have happened to change the initial grand plan. The only clue we have

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Table 3.1 Initial plan for caves 16–20 Emperor

Wencheng

Taiwu

Daowu

Mingyuan

Jingmu

Cave

Cave 16

Cave 20

Cave 19

Cave 18

Cave 17

Sequence of Construction Height of the colossal Buddha Size

5

3

1

2

4

13.5m

13.7m

16.8m

15.5m

15.5m

S

M

L

M

S

had up to now is the collapse of the west and south walls of cave 20. As was discussed earlier, the walls collapsed soon after the cave was completed. Mizuno and Nagahiro also mentioned: The damage may have been caused by the bad and brittle stratum of rock. The outside wall, after the collapse, seems to have been repaired with brick-work but of this, at present, only the bottom part on the east side remains. The front court was excavated in 1940. Many rock fragments carved with figures that had undoubtedly formed parts of the walls were discovered during the excavation.69 The front (south) wall collapsed soon after the cave was completed, thus the initial grand plan of having a small cave to the west of cave 20, i.e., on the site of what is now cave 21, was out of necessity revised.70 Rei argued that the change of the grand plan could only have been caused by the collapse of the south wall of cave 20, and because of this, cave 17 had to be moved to the current location.71 But it would be more reasonable to move cave 16, not cave 17. This would also be a convincing explanation for the fact that cave 16, supposedly for the ruling emperor, was delayed to a time as late as the 480s, when the boyi bodai Chinese garment style had emerged. This is precisely why cave 16 was postponed to a much later period.72 A more likely initial plan for the ritual positioning of caves 16−20 as the family shrine temple, would have been to follow the Zhao Mu system, but cave 16 had to be changed when the walls of cave 20 collapsed.

Tanyao and the significance of the translation of sacred books in Yungang We do not know much about Tanyao, considering his significance in bringing Buddhism to a greater height of development after the persecution, persuading the emperor to excavate the Yungang cave temples, and carrying out the translations of Buddhist sutras. We do not even know his birth or death

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dates, and have only a very small number of fragmentary literary accounts concerning him. “Śramana Tanyao was virtually unknown. He left household life when he was young, and was virtuous, pure, and strictly followed the vinaya vow.”73 He was only mentioned in passing in the biography of Xuangao in the Gaoseng zhuan. “Tanyao was known for dhyāna practice and was revered as a teacher (shili 師禮) by the Honorary Grand Mentor Zhang Tan 張潭 when Juqu Mujian 沮渠牧犍 (r. 433–39) ruled western Gansu.”74 According to the meticulous research of Tsukamoto Zenryu, Tanyao was already well known during the Northern Liang period.75 “He had virtuous qualities and was respected by Emperor Gongzong 恭宗 with proper rites.”76 After the Buddhist persecution, most of the monks made their living by their trades, and preferred to be seen as secularized persons. But Tanyao made a vow to be faithful to the religion unto death. He still wore Buddhist robes secretly and carried Buddhist objects from which he was never separated. Emperor Gongzong personally made an effort to dissuade him many times, but eventually gave up.77 After Shixian passed away in the early Heping era (460–65), Tanyao replaced him and became the chief administrator of śramanas.78 He remained in this position during the reigns of emperors Wencheng, Xianwen, and Xiaowen, under whom the Yungang cave temples were excavated. The Guang hongming ji records that Sengxian 僧顯, head of the Siyuan Monastery 思遠寺, was appointed to be the chief administrator of monks to succeed Tanyao, and Sengyi 僧義 from the Huangjiu Monastery 皇舅寺 was to become the vice administrator to assist him.79 From this, it can be assumed that up until that time, Tanyao was still active and was solely in charge without the assistance of a vice administrator. It was believed Tanyao was then about 70 years of age.80 As it is known that the construction of the Siyuan Monastery on Mount Fangshan (方山) was started in 477, and Sengxian was the head of the temple when he succeeded Tanyao, this means that his appointment as the administrator of monks in succession to Tanyao was no earlier than this date. Tanyao would still have been alive then, or at least have just passed away. No mention was made of Tanyao after this. The death of Tanyao might not have been earlier than the year of the completion of the construction of the Siyuan Monastery in 479, and not later than Liu Xiaobiao’s 劉孝標 (462–521) flight in 486.81 It was probably very close to this time. Without further evidence, it is hard to know the exact date of his birth or death with full confidence, but it can be ascertained that his death could not have been earlier than 477 when the construction of the Siyuan Monastery was started. Tanyao’s greatest contribution and what he is best known for was persuading the emperor to hew the cliff of Mount Wuzhou and build the Yungang cave-temple complex soon after the Buddhist persecution. Not only did he want to build one of the greatest Buddhist monuments with colossal Buddha images so they could not be destroyed in another Buddhist persecution, but he also made great contributions to the translation of sacred texts of

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Buddhism so that Buddha Dharma would be carried down forever to subsequent generations. These translated scriptures were instrumental in influencing the visual representations of the second-phase cave temples in Yungang. Tanyao, together with the śramana Changnayeshe and others, translated 14 new sutras.82 He was the chief administrator in Yungang, and while living in the Tongle Temple within the Yungang complex, Tanyao assembled a great number of monks and skillfully earned their trust.83 The purpose of his assembling monks in Yungang to translate Buddhist sacred texts is clear: By the third year of Heping (462), the chief administrator śramana Tanyao was still bitter about the persecution and was overjoyed that Buddhism was restored. Therefore he assembled many Buddhist monks to translate sutras in the Beitai cave temples, so that the sutras could be carried down to future generations and that the Buddha Dharma would be carried down forever.84 Apparently Tanyao still lamented the destruction that had occurred and had a great sense of urgency to spread Buddhism among the sages of later times, and to allow the Dharma treasury to endure and not be cut off. He collaborated with Kekaya 吉迦夜 in 472 and translated the Zabaozang jing and the Fufazang yinyuan zhuan.85 He translated scriptures to preserve the Buddha Dharma and prevent it from falling into decline. It is worth mentioning that Tanyao, together with Kekaya, translated and re-translated the Fufazang yinyuan zhuan a second time because he was not satisfied with the previous translation. The significance of the scripture is obvious.86 Among the 14 new scriptures he translated, three (the Fufazang yinyuan zhuan, the Zabaozang jing, and the Dajiyi shenzhou jing are still extant. These translations were transformed into pictorial narratives in the process of image-making in Yungang, and reflect association between words and images, and between sacred texts and pictorial interpretation. In the first phase, protecting the Dharma-pitaka and transmitting it everlastingly to the following generations, was an urgent mission to conduct after the Buddhist persecution, thus the three Buddhas of the three kalpas became the primary focus, and the Buddhist ideal of the emperor as the living Tathāgata was promoted with the patronage of the Northern Wei imperial court. In the second phase, narrative stories derived from the translated texts became important subjects. For instance, jataka and nidana narrative stories from the texts began to appear in large quantity in the second-phase caves. The stories depicted in caves 9 and 10 are mostly based on the Zabaozang jing. Though they are extremely popular motifs, they are not found in any other cave temples in Yungang. The well-known stories of Hariti losing her son, the Brahmana (the seller of human skulls), and the story of the woman who hated desire and became a nun, etc., are not observed anywhere in Yungang other than in caves 9 and 10. This unique phenomenon not only indicates the close connection between the Zabaozang jing and image-making in Yungang, but also, more

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importantly, displays the significance of the sacred texts translated by Tanyao in Yungang. One may argue that it was the Lotus Sutra, a then-influential text, that influenced the subject matter in caves 9 and 10, and it was because of the popularity of the Lotus Sutra that some motifs (especially the three Buddhas of the three kalpas, and the Śākyamuni Buddha and Prabhutaratna) were represented throughout the three phases.87 It is true that the Lotus Sutra describes how the three Buddhas succeeded one after the other, without intervention, and, in due time, expounded the great Dharma.88 Before the Buddha entered nirvana he assured the countless multitudes concerning the succeeding Buddha: When I enter the extinction, you must not be concerned or fearful. This Bodhisattva Virtue Storehouse has already fully understood in his mind the true entity that is without outflows. He will be next to become a Buddha, bearing the name Pure Body, and he too will save immeasurable multitudes.89 However, the fact is that the key concept of having a succession of Buddhas promoted in the Lotus Sutra was, in essence, Tanyao’s primary concern. He had just gone through a bitter experience of Buddhist persecution by Emperor Taiwu, who believed that Buddhism and its teachings were untrue.90 As stated earlier, the purpose of translating and compiling sutras was to assure that the great law would be carried down forever without interruption. In addition, both the Fufazang yinyuan zhuan and the Dajiyi shenzhou jing vigorously advocate the significance of the succession of Buddhas and the transmission of the Dharma. It was with the same purpose that he urged Emperor Wencheng to carve the colossal images out of living rock since it better withstands destruction. Protecting and transmitting the Buddha Dharma became a key concept after the first Buddhist persecution. The Fufazang yinyuan zhuan is a compilation, excerpted from a number of other sources, of biographical details of the 24 Indian patriarchs who succeeded the Buddha after he entered nirvana. These biographies were carefully chosen by Tanyao in order to establish a legitimate and uncorrupted line of the succession of the Buddha and of the transmission of the Dharma-pitaka. When the Buddha entered nirvana, he was succeeded by Mahakasyapa who, in turn, was succeeded by Ananda. The succession continued until the 24th patriarch.91 It is as such the Buddha’s disciples succeeded him and transmitted the Dharma one after the other without interruption. To the Northern Wei imperial rulers and Tanyao, it was critical that there be only one patriarch at any given time, just as there could only one legitimate Chinese emperor at any given time. Tanyao chose the biographies of the 24 eminent monks to testify the authenticity of the Dharma-pitaka and the legitimate succession of the Buddha. The first four chapters of the Fufazang yinyuan zhuan were derived from the Ayuwang

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zhuan (The Biography of King Asoka) in which the transmission of the Dharma-pitaka by the five disciples of the Buddha was recounted.92 Tanyao was still haunted by the fear of persecution or any unpredictable events that might interrupt the succession and transmission of the great law. He excerpted biographical materials from many other sutras in order to bring the Dharma closer to Chinese culture and make it accepted as authentic, arguing against the edict issued by Emperor Taiwu in the seventh year of Taipingzhenjun (446) when Buddhism was persecuted. It was against the claim of “using the concept of the Emptiness of Lao and Zhuang and grafting it (to Buddhism) to benefit from it” that Tanyao compiled the Fufazang yinyuan zhuan to ascertain the authenticity of the Dharma and to protect it. Clearly Tanyao was striving vigorously to promote the teachings of Buddhism after the first persecution, and for that very reason he translated the Fufazang yinyuan zhuan twice. The Fufazang yinyuan zhuan was not the only sutra translated by Tanyao that promotes a succession of Buddhas and the transmission of the Dharmapitaka. The Dajiyi shenzhou jing advocates the three Buddhas in three kalpas as well. In the beginning of the sutra, it emphasizes the significance of the seven Buddhas of the Past, the Śākyamuni Buddha, and the Maitreya Buddha. It also mentions the Buddhas in the Past, Present, and Future.93 In addition, the scripture promotes that the Dharma protectors will protect the rulers and avert disasters.94 This was a highly esteemed ideological concept at the time after the persecution of Buddhism. Thereupon, it is not surprising that in the second phase, as is observed, the Dvarapalas began to appear and became an increasingly important subject in Yungang. It can be seen that the Lotus Sutra is by no means the only Buddhist text that played a part in visual images. The scriptures translated by Tanyao and others were important sources of inspiration for pictorial narratives as well. Tanyao’s contributions to Buddhism consisted not only of initiating the excavation of Yungang and translating the sutras, but also his lesser known establishment of the Sangha-household (sengzhihu 僧祇戶) and Buddhahousehold (fotuhu 佛圖戶) economic systems. The former ensures a charitable fund to be used in times of disaster, and the latter provides human resources for monastic farming, thereby ensuring a stable source of income for monastic communities. Tanyao petitioned that the households of Pingqi 平齊 and those of the people who could yearly convey 60 hu 斛 of grain and present them to the clerical officials constitute Sangha-households, and their grain be designated Sangha-grain, to be used in lean years to relieve faminestricken people.95 He also requested that those of the people who committed great crimes, as well as the public slaves, be formed into Buddha-households, to serve the temples as sweepers and sprinklers, and also manage the fields and transport the grain. Emperor Gaozu granted all these requests.96 Therefore Sangha-households and Sangha-grain and temple-households were to be found everywhere in the prefectures and garrisons.97 The system was an ambitious enterprising way of managing a Buddhist community.98

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Concluding remarks The five Tanyao caves promote Buddhist ideal that the emperor is the living Tathāgata and that the merits of the Sakya Tathāgata saved the Grand Chiliocosm and His compassion flows out to the grimy regions.99 They best exemplify the close association between imperial power, image-making, politics, and Buddhist rock-cut cave art under the patronage of the imperial family. The most striking feature of these cave temples is the gigantic size of the image inside each cave temple. The largest and most powerful is the seated Buddha in cave 19. “Its grandeur and dignity combine to create an impression of sanctity and heroic might.”100 It would be impossible to provide, either in words or visual images, any adequate idea of the enormous impressiveness of these Buddhist cave temples. This impressiveness comes not from the builders’ providing a sense of space, for here space is completely controlled and restricted, but from the beauty and austerity of the architectural members and the mystery provided by the twilight which in these interiors seems to make everything melt and almost disappear, so that the visitor feels he is in a magic world of unreality.101 The rays of light through windows of the cave temples shine on the face of the Buddha, illuminating the entire space and increasing the sense of surreal mystery. In cave 18, the window is larger than the gateway, revealing most of the Buddha image. The subject matter of the caves is primarily focused on the three Buddhas of the three kalpas and the thousand Buddhas, indicating that the Buddha Dharma would be carried down without interruption in the light of that Buddhism which was just revived after seven years of catastrophic suppression. The belief in Dharma protection was stronger than ever after seven years of Buddhist persecution. The colossal images of the imperial five best represent Buddhist sculpture and Buddhist art, as it gradually made its way eastward in China. This set of five caves can be regarded as the masterpiece of Buddhist image-making. The scale of the caves and the images is unprecedented and has never subsequently been matched. The majestic and stately impressiveness are brought out not only by the grandeur of the images but also by refined craftsmanship. The Buddha images are carved either in “closed mode” with both shoulders covered or in “open mode” with right should slightly covered with a piahshan. The faces are round, and heads are big with broad chests, full of vigor. Some are dressed in thick robes characteristic of Gandhara images; others are in “wet clothes” of Indian style. Some Buddha images appear personal with gentle smiles, and others look more dignified. The Ten Great Disciples of Śākyamuni Buddha in cave 18 are so vividly carved that one standing in front of them is immediately attracted to them and lost in gazing at them. After all, the imperial five were constructed under imperial patronage in Pingcheng, the capital of the Northern Wei, where different cultures and peoples from different regions and civilizations met and contributed to building one of the greatest Buddhist monuments in all history.

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The new archaeological findings not only fill in the blanks in our knowledge about Yungang itself. They broaden our vision in examining the rock-cut caves, and the religious and secular art. Essentially, the surviving archaeological findings lead to new directions connecting the rock-cut Buddhist sanctuaries with the secular material culture in the capital, and linking religious art with mortuary art. This is significant in terms of study of Buddhist art and architecture. It not only broadened the approaches of Buddhist art and architecture, it also indicated that the influence between secular and religious is reciprocal. Religious culture had an impact on the secular culture. The most significant reference from the tent structure for the cave temples is the use of huge windows, which allow sufficient rays of light to illuminate a sacred space cut out of living rocks. It gives the spiritual gaze of humankind at a Buddhist image a great value.

Notes 1 Wei Shou (506–572), comp., Weishu (Beijing: Zhonghua shuju, 1974), 114:3037. 2 Ibid., 114:3035. 3 Ibid., 114:3036. 4 Ibid. The Grand Five-Storeyed Temple is no longer in existence and the original location is unknown. 5 Ibid., 114:3031. The claim that the emperor is the present incarnation of Tathāgata was initially made by Faguo, a śramana of Prefecture of Zhao. He stated that Taizu is enlightened and loves the Dao (Way). He is the very person of the ThusHaving-Come-One. Śramana should pay him homage to the utmost. He should often do obeisance and tell others that he who promotes the teachings of Buddha is the Lord of men. He was in effect saying, “I am not doing obeisance to the emperor, I am merely worshipping the Buddha.” 6 Tokiwa Daijo and Tadashi Sekino, Chugoku bunka shiseki. Kaisetsu 001(01) (Kyoto: Hozokan, 1975), 2–4. 7 Sekino Tadashi and Daijo Tokiwa, Shina Bukkyo shiseki (Tokyo: Bukkyo Shiseki Kenkyukai, 1926). English version, 16. 8 Weishu, 114:3035. 9 Tokiwa Daijo and Tadashi Sekino, Buddhist Monuments in China: Text Part (Tokyo: Bukkyo-shiseki Kenkyu-kwai, 1926). English version of Shina Bukkyō shiseki hyōkai, 16. 10 Su Bai, “fenqi,” 76; and Ding Mingyi, “Yungang shiku de kaizao licheng,” in Yungang shiku bainian lunwen xuanji, vol. 2. Ed. Yungang shiku wenwu yanjiusuo (Beijing: Wenwu chubanshe, 2005), 128. 11 In the Shaling tomb mural paintings, the banquet scene on the south wall shows the wooden structure buildings and the tents used by the people. The tents are both square and round in shape. 12 Fan Ye (398–445), comp., Hou Hanshu, “Wuhuan, Xianbei liezhuan (Treatise on the Wuhuan and Xianbei),” (Beijing: Zhonghua shuju, 1976), 90:2979. The tent was called zhanzhang 毡帳 (felt dwelling) or baizizhang 百子帳 (hundred son tent) during the Northern Wei. It was mainly used by the nomads, but Chinese people used them in weddings, hence the name baizizhang, tent of one hundred sons. 13 Liang Sicheng, “Yungangshiku zhong suo biaoxian de Beiwei jianzhu,” in Yungang bainian lunwen xuanji. Ed. Yungang shiku wenwu yanjiusuo (Beijing: Wenwu chubanshe, 2005), 17.

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14 Su Bai, “Yungang moshi,”122. 15 Su Bai, “fenqi,” 77. 16 The story is derived from the Zabaozang jing (the Sutra of the Miscellaneous Treasures) translated by Tanyao and others in Yungang. 17 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 13–14, 135. The rendition of Buddha’s robe is a perfect example of the so-called caoyi chushui 曹衣出水 style created by the Northern Qi (550–577) painter Cao Zhongda 曹仲達 who was known for making the garment of his figures look drenched, as if the figures had just emerged from the water. The garments cling closely to the body of the figures. See Guo Ruoxu 郭若虛, Tuhua jianwen zhi in Huashi Congshu. Ed. Yu Anlan (Shanghai: Shanghai renmin meishu chubanshe, 1963), 1:10. 18 Li Daoyuan, Shuijing Zhu jiaozheng, annotated by Chen Qiaoyi (Beijing: Zhonghua shuju, 2007), 316. 19 Dao Xuan, Da Tang neidian lu, T55:2149:267b28. 20 Osvald Sirén, Chinese Sculptures from the Fifth to the Fourteenth Century, vol. 1 (New York: Reprinted by Hacker Art Books, 1970), 8; and Édouard Chavannes, Mission archéologique dans la Chine septentrionale (Paris: Ernest Leroux, 1909). 21 Katherine R. Tsiang, “Reconsidering Early Buddhist Cave-Making of the Northern Wei in Terms of Artistic Interactions with Gansu and the Western Regions,” Journal of Inner Asian Art and Archaeology, no. 4 (2009): 101–18. 22 Weishu, 4:90. 23 Ibid., 114:3032. 24 Ibid., 114:3030. 25 Ibid., 114:3030. 26 Chen Yuan, “Ji Datong Wuzhoushan shikusi,” in Chen Yuan, Chen Yuan xueshu lunwen ji, vol. 1 (Beijing: Zhonghua shuju, 1980), 398–409. 27 Weishu, 114:3037. 28 Su Bai, “fenqi,” 76. 29 Mizuno Seiichi, Unkō sekkutsu, vols. 13–14, 92. 30 Yan Wenru, “Yungang shiku de kaichuang he ticai de fenxi,” Shehui kexue jikan, no. 5 (1980): 112–18, and no. 6 (1980): 110–14; Also see Yan Wenru, Yungang shiku yanjiu (Guilin: Guangxi shifan daxue chubanshe, 2003), 7. 31 Yoshimura Rei and Liqiang Bian. Tianren danshengtu yanjiu: Dongya fojiao meishushi lunwenji (Shanghai: Shanghai guji chubanshe, 2009), 444. 32 The Weishu mentioned that Shixian returned immediately to the life of a śramana on the very day of the restoration of Buddhism. The emperor himself shaved off his hair and Shixian became the daorentong. Wei Shou, comp., Weishu, 114:3037. 33 Xu gaoseng zhuan, T50:2060:427c24. 34 Ibid., T50:2060:428a08; Kaiyuan shijiao lu, T55:2154:539c28; Lidai sanbao ji, T49:2034:85b5; Fayuan zhulin, T53:2122:875b18. Also see the Wei Shou, comp., Weishu, 114:3037. 35 Su Bai, “Jinbei Jiaozhu,” 65. 36 Su Bai, “fenqi,” 77. 37 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 16, 30. 38 Ibid. 39 Yoshimura Rei and Liqiang Bian, 388. 40 Ibid., 455. 41 Su Bai, “Jinbei,” 104. 42 Jin Shen, Zhongguo lidai jinian foxiang tudian (Beijing: Wenwu chubanshe, 1994), figs. 13 and 14. 43 However, they contradicted themselves later and concluded that the excavation of cave 16 is likely to have been started in the period of the Tanyao five caves,

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44

45 46 47 48 49

50 51 52 53 54 55 56 57 58

59 60 61 62 63 64 65 66

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i.e., the Heping era (460–465). The carving of the main Buddha of the north wall would naturally have proceeded to a certain degree during these periods. Although there is no trace of carving of early Yungang type in the image, the broad contours of the shoulders, even though not well-rounded, are one of the characteristics of the early Yungang type and may afford some support for the theory. Furthermore, the fact that cave 16 has a larger space in front of the main image than the other caves of Tanyao leads one to imagine an original earlier main Buddha occupying a much larger space. See Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 11, 109. Mizuno and Nagahiro often have different views, and they contradict each other. Tokiwa Daijo and Tadashi Sekino, Chugoku bunka shiseki. Kaisetsu (01) (Kyoto: Hozokan, 1975), 4–6. They suggested that all five emperors should be previous late emperors and believed that they were emperors Daowu (Tuoba Gui), Mingyuan (Tuoba Si), Taiwu (Tuoba Tao), Jingmu (the Crown Prince, Tuoba Huang), plus emperor Pingwen. He did not include Emperor Pingwen. See Tsukamoto Zenryu, Shina Bukkyō shi kenkyu Hokugi hen (Research on the History of Chinese Buddhism. Northern Wei Section), (Tokyo: Kobundo, 1942), 225. Tsukamoto Zenryu, Shina Bukkyō shi kenkyu Hokugi hen, 222. Ōmura Seigai first proposed the theory in 1915 and later the theory was widely accepted. See Ōmura Seigai, Shina bijutsushi choso hen (Tokyo: Bussho kankokai zuzobu, 1915), 179. Hui Jiao, Gaoseng zhuan, T50:2059:352a. Alexandra Soper, “Imperial Cave-Chapels of the Northern Dynasties: Donors, Beneficiaries, Dates,” Artibus Asiae, vol. 28, no.4 (1966), 242; Yoshimura Rei, Tennin tanjozu no kenkyu: Higashi Ajia Bukkyo bijutsushi ronshu (Tokyo: Tohoshoten, 1999), 256; and Su Bai, “fenqi,” 76. Su Bai, “Yungang moshi,” 121. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu vol. 11, English text, 108. Ibid., vols. 13–14, English text, 125. Ibid. Weishu, 114:3030. Ibid. Ibid. Ibid. Michael Loewe, “The Heritage Left to the Empires,” in The Cambridge History of Ancient China: From the Origins of Civilizations to 221 B.C. Ed. Loewe Michael and Edward L. Shaughnessy. (Cambridge: Cambridge University Press, 1999), 1030. Ibid. Hang Kan 杭侃, “Yungang di ershi ku tanta de shijian yu Tanyao wuku zuichu de Buju sheji,” in Yungang Bainian lunwen xuanji. Ed. Yungang shiku wenwu yanjiusuo (Beijing: Wenwu chubanshe, 2005), 345. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 13–14, 108. Yoshimura Rei and Liqiang Bian, 458. Ibid. Gong is a measurement of a working day of an artisan involved in the construction of the caves. In ancient China this was the way to calculate the volume of work. Weishu, 114:3043. According to the Da Tang Liudian 大唐六典 (The six statutes of the Tang dynasty) compiled by Li Linfu 李林甫 (d. 752) et al., in the Tang dynasty, based on the length of the working hours, a gong is divided into three types. From the fourth to seventh months, the amount of work is considered a long gong 長功;

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75 76 77 78 79 80 81 82 83 84 85 86

87 88

89 90

Phase one – emperor as Tathāgata in the second and third months, and eighth and ninth months, the workload is considered a medium gong 中功; and in the tenth to the 12th months, the amount of work is only a short gong 短功. See Li Linfu, et al. The Da Tang Liudian. Annotated by Chen Zhongfu 陳仲夫 (Beijing: Zhonghua shuju, 1992), 595. This does not include the excavation of the side caves since accurate measurements of the caves are not available. See Yoshimura Rei, Tennin tanjozu no kenkyu, 449. Yoshimura Rei and Liqiang Bian, 449. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 13–14, 115. Yoshimura Rei and Liqiang Bian,, 451. Ibid., 450–1. Hang Kan, “Yungang di ershi ku tanta de shijian yu Tanyao wuku zuichu de Buju sheji,” 345. Xu gaoseng zhuan, T50:2060:0427c22. Gaoseng zhuan, T50:2059:398b10. Here “revered as a teacher” means to be respected as a reader of the Buddhist sutras or as a leader in the observance of religious commandments and in religious devotions, see Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 13–14, 94. Tsukamoto Zenryu, Shina bukkyōshi kenkyū (Tōkyō: Shimizu Kōbundō, 1969), 79. Ibid, 114:3037. Ibid. Ibid, 114:3037. Dao Xuan, Guang hongming ji, T52:2103:27b18. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 13–14, 101. Ibid. Weishu, 114:3035 and 114:3037. Xu gaoseng zhuan, T50:2060:0427c22. Fei Changfang, comp. in 597, Lidai sanbao ji, T49:2034:85b05. Sengyou (445–518), Chu sanzang ji ji (A Catalogue of the Tripitaka), T55:2145:13b06. Evidently this is a rather important sutra to Tanyao and he was not satisfied with his first translation. Thus he invited Kekaya to collaborate with him in 472. The promotion of Buddhism and the protection of Buddha Dharma were so important to Tanyao who just survived the seven years of Buddhist persecution that he felt great need to translate the sutra twice to assure the transmission of the Dharma and continuation of the relay. Li Jingjie, “Guanyu Yungang dijiu, dishi ku tuxiang goucheng,” in Yishushi yuanjiu, Ed. Zhongshan daxue yishushi yanjiu zhongxin, vol. 10 (Guangzhou: Zhongshan daxue chubanshe, 2008), 327–59. “When the Buddha Sun Moon Bright had finished preaching this sutra over a period of sixty small kalpas, he spoke these words to the Brahmas, devils, shramanas and Brahmans, as well as to the heavenly and human beings and asuras in the assembly, saying ‘tonight at midnight the Thus Come One will enter the nirvana with no remainder.’” “At this time there was a Bodhisattva named Virtue Storehouse. The Buddha Sun Moon Bright bestowed a prophecy on him, announcing to the monks, ‘this Bodhisattva Virtue Storehouse will be the next to become a Buddha. He will be called the Pure Body, tathagata, arhat, samyak-sambuddha.’” “After the Buddha had finished bestowing this prophecy, at midnight, he entered the nirvana of no remainder.” T 9:262:5a17. Eng. translation by Watson Burton, see Watson Burton and Kumārajiva, The Lotus Sūtra (New York: Columbia University Press, 1993), 16. Burton and Kumārajiva, The Lotus Sūtra, Watson translation, 20. Weishu, 114:3034.

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91 As we are told in the sutra that the World-Honored One transmitted the Dharma to Mahakasyapa and entered nirvana; Mahakasyapa transmitted it to Ananda and entered nirvana; Ananda transmitted it to Madhantika and entered nirvana; Madhyantika transmitted it to Sanakavasin and entered nirvana; Sanakavasin transmitted it to Upagupta and entered nirvana; and Upagupta transmitted it to Dhitika . . . until the twenty-fourth disciple. T50:2058:297b06 and T50:2058:301a23, etc. 92 The Ayuwang zhuan was translated by An Faqin 安發欽, a certain monk from An Xi 安息 (Parthia), who came to Luoyang in 281 during the reign of Emperor Wu of the Western Jin Dynasty (265–316). There is another Chinese text narrating the legendary account of the life of King Asoka called the Ayuwang jing 阿育王經, which was translated into Chinese by Samghapala (459–524) 僧伽 婆羅, who was a monk from the kingdom of Funan (eastern part of present Thailand). He came to China during the Qi dynasty (479–501) and stayed in the Zhengguan Monastery 正觀寺 in the capital and studied Mahayana texts with the Indian monk Gunabhadra and “comprehended the languages of several countries,” see Gaoseng zhuan, T50:2059:345b09 and Xu gaoseng zhuan, T50:2060:426a09. Judging from the time of the translation of the two sutras, evidently Tanyao excerpted the accounts of the transmission of the Dharma-pitaka by the disciples of the Buddha from the Ayuwang zhuan not the Ayuwang jing which is a much later translation. 93 Tanyao, trans., Dajiyi shenzhou jing, T21:1335:568a06. 94 Ibid., T21:1335:571c16. 95 Weishu, 114:3037. 96 Mistakenly, the original text mentioned that it was Gaozong. 97 Weishu, 114:3037. 98 Serfs and former aristocrats from Shandong were indentured to Buddhist monasteries, and became a labor force for the economic advancement of the Sangha. Grains thus produced were ostensibly for distribution in years of famine. Buddha households were composed of criminals made into serfs of monasteries. Monastic households were required to submit 60 shi (approx. 30kg) of millet to monasteries and thus were no longer state registered, exempted from state taxes and corvée labor. Millet (which was also used as cash during this period) submitted to and stored by the monasteries could be used as disaster relief in years of low yield. The number of those households was not specified, but as recorded in the Weishu, this new category of households soon pervaded every prefecture and town. See Weishu, 114:3037. Regarding the monasteries’ taking on of the task of disaster relief, Gernet asked the question “for what reason was a public service (disaster relief), which should normally have come under the authority of secular officials, under these circumstances entrusted to the Church”. See Jacques Gernet in Buddhism in Chinese Society: An Economic History from the Fifth to the Tenth Century (New York: Columbia University Press, 1995), 102. In 316, the recorded number of Buddhist monasteries was 182. It rose to more than 8,000 at the beginning of the 6th century, and 30,000 to 40,000 in the middle of 6th century. 99 Weishu, 114:3035. The Grand Chiliocosm is the trisahasramahasasralokadhatu (sanqian daqian shijie 三千大千世界 in Chinese). There are also Middle Chiliocosm and a Small Chiliocosm. It is an Indian cosmological expression, found in Dazhidulu Agamas and other works. 100 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 13–14, 106. 101 Benjamin, The Art and Architecture of India, 71. The same impressiveness applies to Chinese Buddhist rock-cut sanctuaries.

4

Phase two – political struggles and chronicles reconsidered

Dating and periodization are an important part of the study of Buddhist archaeological remains. This is particularly true of the Yungang cave temples. If the issue can be settled, it would advance the study of Yungang to a higher level. Since the beginning of the 20th century, many scholars have devoted themselves to the investigation of the cave temples in Yungang. However, there is still a great divergence of views on the construction dates and chronological sequence of the second-phase cave temples (caves 1 and 2, 5 and 6, 7 and 8, 9 and 10, and caves 11−13, as well as cave 3) (fig. 4.1). Scholars, especially Chinese and Japanese, have debated these issues for decades, as I discussed briefly in Chapter One, and there is still no consensus. The Japanese scholars Mizuno Seiichi and Nagahiro Toshio suggested that the construction of the caves in the second phase started with caves 7 and 8, followed by caves 9 and 10, caves 11–13, caves 1 and 2, and caves 5 and 6.1 Cave 3 was left largely unfinished. The Chinese scholar Su Bai, however, argued a different chronological sequence, suggesting that caves 1 and 2 were constructed immediately before caves 11−13.2 The suggested dates of construction of the caves differ as well. One of the keys to the point in controversy lies in the dates of caves 11−13. Solving this problem would settle the fundamental issue of the chronological history of the second-phase cave temples. Su Bai, being cautious, avoided the issue skillfully in his discussion of the chronicle

Fig 4.1 Layout of the second-phase caves

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of the caves. I have pointed out elsewhere that caves 11−13 belong to the earlier caves in the second phase, and of these, caves 13 and 11 are the earliest, but the conclusion was preliminary.3 There is still much more concerning the second-phase caves that warrants careful, in-depth reconsideration. Therefore, this chapter attempts once again to determine the dates of caves 11−13 from the perspective of the probable and rational use of the outside cliff surface in the middle section of Yungang during excavation. On the basis of this, I will reconsider the dates and reconstruct a chronological history of the caves in the second phase. I have noted in my field research that the construction of a cave temple usually involved both chiseling man-made excavations into the mountain and incorporating the natural cliff surface into the design. Li Daoyuan mentioned that the caves were excavated according to the nature of the cliff surface (yinyan jiegou).4 Daoxuan in Xu Gaoseng zhuan also observed that the caves were chiseled based on the nature of the mountain cliff (jiu’er juezhi 就而镌之).5 The use made of the cliff surface outside the caves and the excavations made inside them can usually reveal the spatial relationships between adjacent caves, and between the caves and niches. They, in turn, can shed some light on the time sequence of the excavation.

Dates of caves 11–13 reconsidered Before we dive into the discussion of the dates of caves 11–13, let us review briefly the cave structures. Caves 11–13 are situated in the west section of the central group in Yungang (fig. 4.2). To the east are caves 9 and 10, and to the west is the shallow mountain valley, beyond which are caves 14 and 15, and the Tanyao five caves starting the western group of cave temples.

Fig 4.2 Caves 11−13

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Cave 13 is a colossal statue cave (大像窟) (plate 28). The plan of the cave, like the five Tanyao caves, is elliptical with a flat ceiling rounded at the southern corners. Two intertwined dragons, surrounded by clouds and flying celestials, form a symmetrical pattern on the ceiling and symbolize kingship, thus indicating royal patronage. There is a window (15 feet high and 13 feet wide) and an entrance gateway (12 feet high and 10 feet wide) in the cave. Above the window outside, there is a row of three rectangular holes, above which a line is cut into the rock horizontally, suggesting that there used to be a wooden structure that continued over to cave 12.6 The majority of the cave, including the colossal Bodhisattva image, the dragons and flying celestials on the ceiling, and the two Dvarapalas in the lower level of the reveals of the entrance gateway, was finished according to a pre-conceived plan. The focus of the cave is upon the colossal Maitreya Bodhisattva with crossed ankles. The south, east, and west walls are all filled with storied niches, and the images in and around them show that they are later works. It is interesting to note that each side of the bottom story of the south wall contains a row of seven worshippers with palms together facing towards the entrance gateway. Cave 12 is a Buddha shrine cave temple that imitates a wooden structure. It is one of the most colorfully decorated caves in the entire Yungang complex. The cave, rich in subject matter with a variety of illustrations of stories ranging from Buddha’s life to his previous existences, comprises an anteroom and a main chamber.7 The façade is divided into three spans by four octagonal pillars tapering toward the top. The cave is well planned as an entity, with symmetrical walls divided into upper and lower stories. On the reveals of the window, two large meditation bhiksus in dhyāna position are depicted. The anteroom is mainly covered by illustrations of episodes from the life of the Buddha and his previous existences (the jataka stories). At the top of the east and west walls in the coved area above are colorful musicians, each with a traditional musical instrument. These musical figures enliven the cave and endow it with the character of a concert chamber. The main chamber is rectangular in shape, and the walls are divided into two stories like the anteroom. Cave 11 is a caitya (stūpa) cave 塔廟窟. The stūpa in the center is divided into two stories, the lower with a canopy on each face (plate 29). The top of the pillar is covered with a five-layered pedestal adorned with floral ornaments, in the center of which, on each side, the upper body of a three-faced and four-armed Asura appears, a figure who lived on the slopes of Mount Sumeru, holding a sun and moon in its hands.8 The cave is not completed; only the rough shape of the central stūpa-pillar, the window, the entrance, and the intertwined dragons are finished. The rear part of the stūpa-pillar was never carved down to the floor. Most of the north wall was left undecorated and is even in the original rough chiseled state. The east, west, and south walls are covered with small niches that lack unity in style or arrangement. The entire cave, including the height, width, and sizes of the window and entrance gateway, is out of balance. The cave is small but the window and entrance are huge. At the bottom of the east reveal of the window, there is

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an inscription dated to 19th year of Taihe (495 AD). Above the inscription a seated Buddha is represented inside a pointed-arch niche (plate 30). Mizuno noted that in view of the known date of this niche it would appear safe to date the rest of the niches, which resemble it so strongly, to approximately the same time.9 The basic fact to be recognized is that these additional niches are all closely related to cave 6.10 On the east wall there is another inscription dated to the seventh year of Taihe (483 AD) surrounded by thousand Buddha niches (plate 31). Above the inscription, a row of three Bodhisattvas is represented; above them are two Buddhas seated side by side. The niches may have been carved between 483 and 495. In the middle area of the west wall seven large standing Buddhas are represented underneath a roof niche. They are more elegantly carved than those in cave 13. It should be pointed out that cave 11 contains the greatest number of inscriptions in Yungang. The inscription on the east wall (which bears the longest description) is dated to 483, the earliest found so far. This indicates that the cave started to be reused around 483. The inscription on the outside wall dated to the 13th year of Taihe (489) is a significant datum that divides the second-phase caves into early and late periods. The inscription on the east reveal (dated to 495) is important evidence that enables us to divide the caves into middle and late periods. Therefore, research on the history of the construction of cave 11 would be of value in the dating and periodization of the Yungang cave temples. 1. The problem of caves 11−13 as a group Scholars usually regard caves 11−13 as a group.11 If this could be established, the three caves would then be centered on cave 12, a rectangular fodianku (Buddha-hall cave temple), with a caitya cave (11) to its left, and a daxiangku (colossal statue cave, 13) to its right. The composition of the three caves would then be a caitya cave, a Buddha-hall cave, and a statue cave. Even though this conforms to the basic configuration of a stūpa and a Buddha hall as a monastery, the size of cave 12 is too small, compared with caves 11 and 13, to match the design of a royal cave temple. Therefore, it is probably not appropriate to consider these three caves as a group. As for the outside wall and the scale of the caves, the entrance gateways and the windows of caves 11 and 13 are roughly the same in height and size (fig. 4.3). The distance between these two caves is 66 feet, almost the same distance between each of the five Tanyao caves. Caves 11 and 13 display characteristics more typical of paired caves than caves that form parts of a group of three. It is more appropriate to consider these two as paired caves. Cave 12 is clearly low: the top of the cave is only at the same level as the bottom of the windows of caves 11 and 13. It seems that the cliff surface was chiseled deeper into the mountain in order to carve the top of the cave. As a result, the upper part of the outside wall is not in the same plane, and the entire external surface of caves 11 and 13 cannot be brought into line.

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Fig 4.3 External view of caves 9–13A (right to left)

In addition, the anteroom of cave 12 is wider than the main chamber. The central axis line deviates eastward slightly, and the middle part of the west wall swells out in the main chamber. This is different from caves 7 and 8, and caves 9 and 10, which have the same width in both anteroom and main chamber. If the anteroom and main chamber in cave 12 did have the same width, the adjoining sidewalls of caves 11 and 13 would have been pushed inward accordingly. Judging from the layout of cave 13 and the fact that its east wall is shared by the west wall of cave 12 (they are opposite sides of the same wall), it seems that the common wall was too thin to carve a large niche like those on the east wall of cave 12. Those who worked on the west wall had to avoid piercing through to the other side. Given the fact that the sidewalls of cave 12 deliberately avoided caves 11 and 13, we may infer that cave 12 was inserted in between caves 11 and 13 after they had been constructed, and was not part of the original plan of a group of caves composed together. It is hard to demonstrate any compositional relationship of cave 12 with caves 11 and 13. 2. Reconsidering the dates of caves 11−13 The dates of the three caves have long puzzled scholars; their excavation history is not mentioned in any literary documents. Cave 11 bears at least three inscriptions with clear dates (483, 489, and 495), from which we can see that the reconstruction of the cave began at the latest in 483, and continued on until the very end, even after the capital was transferred to Luoyang. Mizuno

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and Nagahiro suggest that they were dug out many years after the beginning of the Taihe era (477).12 Su Bai, on the other hand, does not provide a clear answer for the dates of caves, only suggesting that caves 11−13 were excavated after caves 9 and 10, which were constructed between 484 and 489 according to the Jin stele transcription.13 The cliff surface outside the caves is important evidence for our inquiry into the dates of the three caves. To excavate a cave temple, the mountain cliff surface must first be chiseled into a perpendicular plane according to the scale of the conceived plan of the cave, then the cave is carved into the mountain plane. Chiseling the mountain is a tremendous amount of work, therefore the area outside the cave on both sides that does not need to have caves dug into it will remain in the original sloping form of the mountain. This may be seen in the western side of cave 13A, and the sloping form of the mountain on both sides of cave 3. The cliff surface outside caves 11−13 measures 89 feet in width and 56 feet in height. The cliff protruding southward at the eastern end of cave 11 was originally the stūpa pillar at the western end of cave 10. It is a symmetrical configuration with the stūpa pillar on the eastern end of cave 9, but the body of the western stūpa pillar collapsed as early as in the Northern Wei period. Now only the contour traces of both sides of the stūpa tapering upward and small niches and figures in the style of the second phase can be seen. According to the examination of the front part of caves 9 and 10 made by Mizuno and Nagahiro in 1938 and 1940, beneath the ground surface of the western stūpa, there were remnants of the stūpa pillar base and animal-shaped carvings above the base.14 The eastern stūpa is a square nine-storied pagoda gradually tapering upward. Each story contains a small niche; the south of the stūpa is in the same perpendicular plane as cave 8 next to it. This indicates that caves 9 and 10, and caves 7 and 8 are in the same perpendicular surface plane. The two large stūpa pillars of caves 9 and 10 protrude out farther from the surface plane of caves 9 and 10 than from that of caves 11−13. This indicates that caves 11−13 and caves 9 and 10 are not in the same perpendicular surface plane. There is also a protrubance at the lower part of the cliff to the west of cave 13, at the western end of which is cave 13A. The cave is not finished; only the exterior appearance of the four pillars with three openings in imitation of wooden structure, the shape of the cave, and the ceiling were completed. The pillars and the roof that were originally planned to be carved clearly project further south than the cliff surface of cave 13, but the section above the roof of cave 13A is on the same surface plane as cave 13 and connected to it. This shows that in order to create cave 13A, the surface plane was extended to the west of cave 13 above cave 13A. Therefore, the initial cliff surface was limited to the space between the eastern end of cave 11 and the western end of cave 13, and was not formed at the same time as the surface of caves 9 and 10. In other words, there is a time difference between the creation of caves 11−13 and that of caves 9 and 10. Noticing this, Nagahiro points out that

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the cliff surface of cave 11 was formed earlier than that of cave 10.15 He further notes, The appearance of the entire outer wall leads to the conclusion that the outside wall containing caves 11 to 13 was cut earlier, and that the outside wall of caves 9 and 10 was made later, since they are set back from the general surface of the cut made into the hill-side.16 Nagahiro reaffirmed his position later: If we consider its relationship with the adjacent cave 10, it can be seen that the outside wall of cave 11 was finished earlier than that of cave 10. But if we compare the iconographic style of the two caves, it is then clear that cave 10 is earlier; cave 11 is merely following in step. This, then, naturally suggests that the images in cave 10 are earlier than the 7th year of Taihe (483).17 There cannot be any doubt that Nagahiro is right to point out that the exterior wall of cave 11 was cut earlier than that of cave 10, and that the images in cave 10 are earlier than those in cave 11. It is curious that he later contradicted himself and proposed that caves 11−13 were constructed after caves 9 and 10.18 As explained above, caves 11 and 13 share the same cliff surface of excavation, which indicates that these two caves were excavated first, and cave 10 was excavated after them. Thus, Mizuno and Nagahiro’s assignment of caves 11−13 to a time subsequent to caves 9 and 10 contradicts the appearance of the archaeological remains. Su Bai also proposed that caves 11−13 were dug out later than caves 9 and 10, which he believed to be the Chongfu cave temple built between 484 and 489 according to the Jin stele inscription. If we accept his theory that caves 11−13 were constructed after caves 9 and 10, that means caves 11−13 were constructed after 484. However, there is a fundamental problem here: cave 11 bears an inscription with an explicit date (the seventh year of Taihe, i.e., 483), which indicates that the cave was built, at the latest, before 483, not after. It is evident that caves 9 and 10 were excavated after caves 11−13, not before. It therefore does not seem possible to assign caves 11−13 to a time subsequent to caves 9 and 10. As for the layout of cave 13, this is the only cave that adheres to the elliptical plan of the five Tanyao caves. The east, west, and north walls taper gradually as they ascend toward the ceiling forming a half dome, but the ceiling itself is almost flat, and has a smaller elliptical shape. In iconography, the colossal Bodhisattva seated with ankles crossed appears basically the same as the Bodhisattva in cave 17 even though it was repaired and colored at a later time. It belongs to the early iconographic style. In other words, cave 13 is still a colossal statue cave like the five Tanyao caves. What differentiates it is that the ceiling contains patterns of intertwined dragons, and a row of

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worshippers that emerges along the bottom story of the walls – details that do not appear in the five Tanyao caves. This indicates that the impetus and nature of the cave construction had changed.19 The reason why the construction of cave 11 was stopped is important evidence in the investigation of the date of the cave. In the Yungang cave complex, it is rare for a large cave commissioned by the royal family to be aborted. Except for cave 3, which was abandoned perhaps due to the transfer of the capital to Luoyang, cave 11 is the only example in Yungang. The reason is worth in-depth investigation. Nagahiro, out of caution, does not probe into the reason why cave 11 was abandoned halfway.20 In recent years, some scholars have suggested that the abandonment of cave 11 was associated with Tanyao, the founder of Yungang, losing his power and influence, but the date and patronage of the cave have not been discussed.21 However, whether or not Tanyao indeed lost power and influence, or whether the loss was associated with the murder of Emperor Xianwen, are merely conjecture. There is not enough evidence to support either claim. Some scholars have also suggested that the abrupt abandonment is related to the Gongwei coup d’état (宫闱之变) and that the excavation of cave 11 was around the end of the Yanxing (471–76) era and the beginning of the Taihe (477–99) era, i.e., before or after 476, under the patronage of Emperor Xianwen’s allies during his reign.22 Although the arguments touch upon the crucial point, the evidence is not sufficient to establish anything about the patronage of the cave. It is hard to associate cave 11, a royal project, with the allies of the emperor only. I shall argue here that the abandonment of cave 11 was associated with significant political changes at the court. During the Xianwen era, the power struggle between the Emperor and Empress Dowager Wenming (Lady Feng) reached a critical point. In the Pingcheng period of the Northern Wei, Wenming was the epitome of an Empress Dowager intervening in politics.23 The Beishi records that Lady Feng, the imperial consort Wenming of Emperor Wencheng, was from Xindu in the commandery of Changle (長樂, presentday Jixian county in Hebei). When she was 14, Wencheng was enthroned and chosen as guiren 貴人 (secondary wife), and later she was designated as the imperial consort. When Emperor Wencheng passed away, his imperial garments and implements were all burned after three days of imperial mourning, as was customary. Hundreds of officials and palace people all cried aloud, and the empress, deeply grieved, screamed and attempted to throw herself into the fire. People around rescued her, and it took her a long time to regain consciousness. When Xianwen came to throne, she assumed the honored status of Empress Dowager Wenming. When the counselorin-chief Yihun 乙浑 attempted to usurp the throne, Emperor Xianwen was only 12 and was still mourning the loss of his father. The Empress Dowager Wenming then secretly made the important decision to have Yihun executed, and by this means was able to govern from the imperial throne. At the time when Xiaowen was born, the Empress Dowager Wenming raised him herself

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and stopped handling political affairs. Her behavior became improper; she accepted one Li Yi 李弈 as her lover, and because of this, Xianwen had him executed. The Empress Dowager Wenming, displeased at this, had him murdered. In the first year of Chengming 承明 (476) she was honored as Grand Empress Dowager Wenming and resumed power.24 From this we can see that the first time Empress Dowager Wenming ruled from the imperial throne was after Yihun was executed in February of the first year of Tian’an (466), and that after Xiaowen was born (467), she herself raised him and stopped intervening in political affairs. According to the chronicle of Xianzu in the Weishu, in the eighth month of autumn in the first year of Huangxing 皇興 (467), on a dingyou 丁酉 day, the emperor (Xianwen) visited the Wuzhoushan shikusi (Yungang). On a wushen 戊申 day, Hong (Xiaowen) was born, general pardon was issued, and the reign title was changed (from Tian’an to Huangxing).25 It is thus evident that Empress Dowager Wenming “reigned from behind a curtain” for over a year and a half. That Empress Dowager Wenming stopped intervening in political affairs suggests that Emperor Xianwen himself controlled the state with his supporters and allies. Emperor Xianwen changed the reign title to Huangxing in the eighth month of the second year of Tian’an (467). On the surface, this was because of the birth of Xiaowen, but in fact, it reflects a political struggle that was then going on in the palace. The reign title Huangxing appears to refer to the restoration and rejuvenation of the emperor’s power. After Emperor Xianwen was enthroned, a series of Buddhist activities flourished, and the building of Buddhist temples began. But Empress Dowager Wenming’s personal elevation of Xiaowen, and her absence from the political scene, were only a temporary reprieve from the severe power struggle in the palace. She held the trump card in the person of Xiaowen and was preparing for her return to power. Emperor Xianwen’s abdication of the throne in the first year of Yanxing (471) is an early indication of this. The Weishu notes that Emperor Xianwen was not really interested in state affairs and often had thoughts of parting from worldly cares. He intended to abdicate in favor of his eldest surviving uncle, Prince Kang of Jingzhao 京兆 王 (Zitui 子推), but the state officials begged him not to, so he stopped.26 On the surface it appeared that Emperor Xianwen was weary of worldly affairs and wished to pursue his interest in Buddhism and Daoism, and therefore preferred to abdicate and yield the throne to others. But the real situation was that he was being forced off the stage by Empress Dowager Wenming and had no choice, and thus thought of abdicating to Prince Kang, not to Xiaowen, with the intention of casting off her control. 27 When Gaozu (Xiaowen) ascended the throne, Xianzu (Emperor Xianwen) moved to the Chongguang Palace 崇光宮 in the Northern Park, and poured over Daoist and Buddhist texts. He had the Luyeyuan 鹿野苑 built on the western hill within the park. There were stone houses and meditation halls where dhyāna monks lived.28 But he rarely heard anything about state affairs. In

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the Chronicle of Gaozu in the Weishu, it recounts that in the fifth year of Huangxing (471), in the eighth month on a bingwu 丙午 day, Xiaowen was enthroned in the front Hall of Taihua 太華前殿, and granted a general pardon.29 The reign title was changed in 471 to Yanxing 延興. This signified the intention to prolong the preceding Huangxing reign period, and shows that Xianwendi was not willing to resign himself to abdication yet. Of course, Empress Dowager Wenming would not tolerate any of these actions. Xianwen’s execution of Li Yi, the empress’s favorite, was the trigger that caused the power struggle to explode. Eventually in the sixth month of the sixth year of Yanxing (476), the empress had him murdered.30 She thereupon resumed her reign, and reached the pinnacle of her power. It is not surprising, therefore, that the building of cave 11, which had been supported by Xianwendi, was aborted. Cave 11 is not the only example showing that excavation of cave temples and the creation of images were closely related to the social environment and to political power struggles. Cave 16 is another case, as discussed previously. In their investigation, Nagahiro noticed traces of a row of worshippers’ lower legs that were exposed but their upper bodies were replaced by a row of thousand Buddhas: In the summer of 1944, when I was conducting an investigation there, in the slightly dark cave temple, I noticed that beneath the three rows of the thousand Buddhas, there was a row of worshippers’ feet. In the center a bit of an incense burner could be seen. I felt a kind of indescribable trembling. To the east of the incense burner were six male worshippers. Thus it could be inferred that to the west were six female worshippers. Why was it necessary to cut out the row of worshippers, plainly memorable or significant to the patrons, and replace them with the thousand Buddhas? Were the patrons who added the thousand Buddhas later ordered to eliminate the initial worshippers? Were they always hostile or were they expressing resentment? I cannot find a clue to the mystery.31 It is still an enigma today. It seems that the “amputated” legs were intentionally displayed and left there, otherwise they could have been totally obliterated by the later addition of the thousand Buddhas, which could have been represented just a little bit lower to remove the lower part of the legs completely. It has been argued that eliminating the worshippers’ images to be replaced by thousand Buddhas is an indication of the fierce power struggle between Emperor Xianwen and Empress Dowager Wenming.32 3. Emperor Xianwen and caves 11 and 13 Based on the analysis above, we may infer that cave 11 was excavated under the patronage of Emperor Xianwen. From the perspective of the use made of the cliff surface, caves 13 and 11 are situated closest to the five

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Tanyao caves. Cave 13 essentially remains the same cave structure, with a colossal image and elliptical cave plan, as those of the Tanyao caves. We may thus infer that cave 13 was excavated first in the second phase, and is earlier than cave 11. This also corresponds with the excavation sequence from west to east, as in the Northern Wei, the west cardinal direction being superior to the east. Also, cave 13 is in the same perpendicular plane as cave 11. Hence, we may deduce that caves 13 and 11 were both patronized by Xianwendi. This also corroborates the account quoted in the Jin stele from the Yunzhongtu (雲中圖), which mentions that in the first year of Heping (460) in the Wencheng era and the first year of Tian’an (466) in the Xianwen era, innovations were made, and cave temples were excavated.33 We know two things from the record: (1) during the Xianwen era, cave temples continued to be dug, and (2) innovations were made. It is important to emphasize that during the Xianwen era, cave temples continued to be created.34 Emperor Xianwen was the eldest son of Emperor Wencheng and assumed the throne in the sixth year of Heping (465) when he was 12. Like Emperor Wencheng, Emperor Xianwen was a deeply devout Buddhist. The Weishu notes that when Xianzu was enthroned, his faith was earnest and profound. He examined the various scriptures and treatises and delighted in Lao and Zhuang (i.e., Daoism). He always played host to śramanas and gentlemen who were able to discourse on the mysterious, and discussed the essence of the Great Principle with them.35 In the first year of Huangxing (467), Gaozu (Emperor Xiaowen) was born. It was at this time that the Yongning Temple was built and the seven-story reliquary erected.36 It was more than 300 feet high, its base and frame were vast, and it was considered the first temple under Heaven. In addition, a standing Śākyamuni figure (43 feet in height) was erected in the Tiangong Temple (Temple of the Heavenly Palace, Devapura in Sanskrit, City of Gods). One hundred thousand pounds of copper and 600 pounds of gold were used.37 In the Huangxing era (467–71), a three-story stone reliquary was built. The beams, chevrons, lintels, and pillars, joined together from top to bottom, large and small, were all made of stone. Firm, solid, skillful, and meticulous, it was a spectacular scene in the capital.38 One can well perceive that with Emperor Xianwen’s enthusiastic promotion, Buddhism in Pingcheng was at the height of its vigor and splendor. The Weishu also mentions that Emperor Xianwen visited the cave temples twice, going to Wuzhoushan shikusi (Yungang) in the eighth month of the first year of Huangxing (467), and going to Luyeyuan park and the caves in the 12th month of the fourth year of Huangxing (470).39 His visits might have been related to the excavation of caves 13 and 11. It may accordingly be inferred that the excavation of caves 13 and 11 might have started from his visit in 467, and lasted until he was murdered in 476. In addition, we may note that, among the sacred texts translated by Tanyao in Yungang, the Dajiyi shenzhou jing (Sutra of Great Auspicious Significance

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of Magic Spell), a Tantric Dharaṇi text, translated in the third year of Heping (462), is especially worthy of emphasis.40 According to Otsuka Nobuo, Tantric texts in the fifth and mid-sixth centuries are characterized by protection spells (Dharaṇi) and mudra-mantra-mandala based systems. The texts are centered upon rituals for Buddha images and “mandalic” representations of the primary object of devotion. These texts are fundamentally rooted in Mahayana thought and the path of the Bodhisattva, though we also see a thorough integration of “Hindu” rituals.41 The purpose of the Dajiyi shenzhou jing is to emphasize the worship of the seven Buddhas of the Past, the three Buddhas, Maitreya, the four celestial guardians, Asura, and the Naga Kings, and to emphasize that this Dharaṇi sutra is worshipped by the four celestial guardians. It, more importantly, also emphasizes that one should “support the imperial rulers, and extend their prosperity infinitely,” “be able to protect the ruler absolutely,” “pray and make sacrifice to avert calamity, and be filled with virtuous and charitable benevolence,” “endorse the ruler’s benefits,” and “protect the ruler’s supremacy and attainment of great luck.”42 It is worth pondering the reason for the particular emphasis placed on the ability of this Dharaṇi sutra to bring about all sorts of protections and benefits, including the infinite prolongation of the ruler’s prosperity. Tanyao was the key figure in the creation of the Yungang cave temples. He was at the same time in charge of the translations of the sacred texts there. It is natural that the sacred texts translated by him should have some association with the subject matter of the iconography in Yungang. The main image of the Maitreya Bodhisattva seated with ankles crossed in cave 13, the double dragons on the ceiling, the celestial guardians on the reveals of the entrance gateway, and the seven Buddhas added later, as well as the Dharma protectors with multiple arms and heads in the ceiling of cave 11, were all, except for Maitreya, new subjects that emerged in the second phase. They conform with what the Dajiyi shenzhou jing text emphasizes, reflecting a strong consciousness of Dharma protection and a desire to support the power of the imperial ruler. During Emperor Xianwen’s era, the power struggle between the emperor and Empress Dowager Wenming was fierce. Thus, the emphasis on benefitting and protecting the emperor seems to reflect a political purpose: to strengthen public opinion in favor of Emperor Xianwen. This explains why motifs related to Dharma protection, including deities with multiple arms and heads, appeared in caves 13 and 11, which were supported by Emperor Xianwen. 4. Dating cave 12 Cave 12 in the Yungang complex is splendidly decorated with dazzling colorful carvings of Buddhas, Bodhisattvas, deities, and musicians. Not a single unused space can be found on the walls in the entire cave. The magnificent carving is refined and unmatched in any other Buddhist chapels. Mizuno and Nagahiro pointed out, in their description of the cave, that cave 12

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imitates caves 9 and 10 but on a smaller scale.43 For instance, the pillars in imitation of woodwork, the layout of layered niches in the anteroom, the structure of the coffered ceiling, and the configuration of the images are all identical to those in caves 9 and 10. In the rectangular main chamber, the main images are arranged in the layered niches on the main wall. The entire upper level is a curtained niche, and the lower niche is placed in the center. This in the main chamber imitates features of caves 7 and 8. On either side of the reveals of the window, there is a meditation monk, which also replicates a feature of caves 7 and 8. Thus, cave 12 has features both of caves 7 and 8 and caves 9 and 10. The builders were aware of the features of both pairs of caves, so it is reasonable to place the creation date of cave 12 after them. This corresponds with what was suggested earlier: that cave 12 was “inserted” between caves 13 and 11, and was not part of the system of caves excavated according to the initial plan. It was constructed after caves 11 and 13.44 The excavation date of cave 12 should not be far from the time when the construction of cave 11 was resumed, namely, around the seventh year of Taihe (483), latest, under emperor Xiaowen’s reign. In sum, the chronological sequence of the three caves should be cave 13, cave 11, and cave 12.45

Reconstructing a chronological sequence of the second-phase cave temples I argued earlier that caves 13 and 11 were constructed under Emperor Xianwen, and were the earliest in the second phase, and that cave 12 was a little bit later than caves 7 and 8 and caves 9 and 10. I also suggested that cave 12 was constructed around the seventh year of Taihe (483) in the Xiaowen era. Hence the dates of the creation of caves 7 and 8 and caves 9 and 10 will be the key to the question of the chronological sequence of the second-phase cave temples. Before engaging in this investigation, let us first review these caves briefly to fully comprehend them. There is ample evidence that caves 7 and 8 are paired caves (fig. 4.4). Both consist of an anteroom and a main chamber, and both have the same plan and scale. Between the two caves in the anteroom, close to the north wall, there is an archway leading from one cave to the other. At each end of the east and west walls of the anterooms are two symmetrically positioned stūpa-shaped pillars. In the anteroom, both the west wall of cave 8 and the east wall of cave 7 have pictorial narratives and symmetrical arrangements of the niches.46 Both the west wall of cave 7, and the reverse side of it, the east wall of cave 8, are covered by sets of thousand Buddhas in the anterooms. There is uniformity in the main chamber of each cave: the north wall has two stories, and the east, west, and south walls are divided into four stories. More importantly, the distribution of the main images in the north niches

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Fig 4.4 Caves 7 and 8

echo each other. In cave 7, on the north wall (fig. 4.5), there are two large niches, one on top of the other. The upper niche is trabeated and bears five images, and the lower pointed-arch niche contains two Buddhas seated side by side. In the middle of the upper niche is a seated Bodhisattva with ankles crossed, attended by two seated Buddhas with legs pendant, which are each, in turn, attended by a pensive image with one foot resting on the other knee. Corresponding to this arrangement, in the upper niches of the north wall in cave 8 (fig. 4.6), in the middle is a seated Buddha with legs pendant attended by two seated Bodhisattvas with crossed ankles, each in turn attended, at the far end of the niche, by a pensive image with one foot on the other leg. In the lower niche is a seated Buddha. Also, in between the caves in the anteroom, at the base of the wall, there is a carving of a gigantic tortoise, which reminds one of guifu 龜趺. This leads us to believe that there was a stele between the

Fig 4.5 North wall, cave 7

Fig 4.6 North wall, cave 8

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two and that this initially was its base.47 It can be seen that the north walls of the two caves echo one another. This is true of the east, west, and south walls as well. The two caves were excavated as individual cave temples, but it is evident that they were designed and constructed as a pair. The walls of each cave echo each other, as do the caves themselves. We have sufficient evidence to believe that caves 9 and 10 were made as a pair as well (fig. 4.7). The façades of the two have similar structures with columns, and share a central pillar in the middle between them. There is an archway in the anterooms close to the north wall connecting the two, as in caves 7 and 8. The structure of the anteroom and the main chamber in cave 9 corresponds symmetrically to that in cave 10. In the anteroom, the east wall of cave 9 echoes the west wall of cave 10 more closely than the west wall of cave 9 itself. In other words, the two caves were designed as a pair corresponding to each other in structure. In the center of the main chamber, each cave has a large statue behind which is a vaulted passage. It goes round through the back of the main image for “practicing the rite of pradaksina (circumambulation).”48 This is the outstanding characteristic of the two

Fig 4.7 Caves 9 and 10

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caves, and they are the only paired caves that both have a passage behind the main image.49 The main image in cave 9 is of a large seated Buddha with legs pendant (plate 32); its counterpart in cave 10 is a seated Bodhisattva with ankles crossed.50 The relationship between the main images of caves 9 and 10 is the same as between those of caves 7 and 8, in which on the upper level of the north wall a seated Bodhisattva with ankles crossed and a seated Buddha with legs pendant, respectively, appear. The archaeological excavation in the 1940s revealed that, “the court in front of the two caves is common to both and in the same design.”51 Looking from the outside cliff surface, caves 7 and 8 and caves 9 and 10 are on roughly the same perpendicular plane. These two are also the only caves that extensively illustrate the narrative stories derived from the Zabaozang jing, translated by Tanyao in Yungang. This is a rather important phenomenon that deserves scholarly attention. 1. Dates of caves 7 and 8 and caves 9 and 10 reconsidered It is generally agreed that caves 7 and 8 were constructed earlier than caves 9 and 10.52 But inferences about the dates of the caves are different. Mizuno and Nagahiro argued that caves 7 and 8 were constructed during the Heping and Huangxing (460–71) period, and caves 9 and 10 were constructed during the Huangxing and Yanxing periods (467–75).53 Su Bai deduced that caves 7 and 8 were the original Huguo cave temple, and were constructed in the early Xiaowen period, and that caves 9 and 10 were constructed between the eighth and 13th year of the Taihe (484–89) and were initially the Chongfu cave temple commissioned by Qian’er Qingshi (Wang Yu).54 Mizuno and Nagahiro based the dating of the cave temples primarily on the analysis of iconographic style.55 As I emphasized earlier, iconographic style can be used as a means of dating and periodization, but cannot be the only method. As noted earlier, caves 7 and 8 and caves 9 and 10 share the same perpendicular cliff surface. Although the cave structure of these two sets of paired caves is very different, the subjects of the main figures on the north (main) wall of the caves are interlinked. For instance, the main wall in cave 8 is divided horizontally into upper and lower stories. The upper level contains a seated Buddha with legs pendant and apart in the middle flanked by two crowned Bodhisattvas with crossed ankles; the lower-level niche bears a seated Buddha. The upper-level trabeated niche in cave 7 contains a Bodhisattva seated with ankles crossed wearing a crown in the middle flanked by two seated Buddhas with legs pendant; the lower-level niche bears two seated Buddhas (Śākyamuni and Prabutaratna). Within each cave, the composition of the subjects of the main images on the main wall is that of Śākyamuni Buddha (and Prabutaratna Buddha) and Maitreya reflecting the continuation of Buddha Dharma; but the composition of main subjects of the two paired caves is that of the ascending and descending of Maitreya, expressing the desire to save all beings. This is the same as the composition

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of the main images in caves 9 and 10. Moreover, in each pair, there is a passageway connecting the anterooms. This is not seen in any other caves in the second phase. Therefore, based on the above analysis of the outside wall elevation of the caves and the subject matter, these two sets of paired caves can be considered to have been constructed at roughly the same time. There may not, in fact, be a time difference.56 Dating caves 9 and 10 to 467 (Mizuno and Nagahiro) apparently is somewhat too early because many narrative illustrations derived from the sutra of Zabaozang jing translated by Tanyao appear in these two caves. For instance, the narratives of the celestial maiden dedicating lamps (east wall, anteroom), the conversion of Nanda (east wall, anteroom), the story of the Svastika bird (plate 33), the woman who hated desire and became a nun (plate 34), and Mahaprabhasa and the elephant trainer are represented in cave 10, and the narrative illustrations of Gautama Buddha meeting Rahula (west wall, anteroom), the celestial maiden dedicating the canopies (south wall, main room), two brothers becoming monks (south wall, main room), the Nirgrantha-putras redeemed by Buddha in the Fire Samadhi (west part, south wall, main room), the eight celestials taught by Buddha (west part, south wall, main room), Hariti losing her son Pingala (west part, south wall, main room), and the offering of a meal by Sudatta’s wife (west wall, main room) in cave 9, are all inspired by the stories in the Zabaozang jing. According to the Chu sanzang ji ji (Collected Works of Buddhism from All Dynasties) by Sengyou of the Liang, the Zabaozang jing contains 13 juan, the Fufazang yinyuan zhuan has six juan, and the fangbian xinlun (Essay on the core of expedient means) contains two juan. The three texts have 21 juan in total, and they were translated in the second year of Yanxing (472) by Tanyao and Kekaya.57 If the text was translated in 472, the dates of the pictorial representations derived from it in the caves should not be earlier than that year. This means that dates of caves 9 and 10 should not be earlier than 472. Moreover, the emergence of the paired-cave structure is associated closely with the historical context of the joint name of ersheng (two sages) referring to Empress Dowager Wenming and Emperor Xiaowen.58 In other words, the emergence could only be possible after Empress Dowager Wenming resumed power again in 476. Thus, these two sets of paired caves should not be dated to the Empress Dowager Wenming or Emperor Xianwen periods.59 It is more plausible to date caves 7 and 8 to the early Xiaowen era, as suggested by Su Bai.60 It is also not too far afield to deduce the dates of caves 9 and 10 to be between the eighth and 13th year of Taihe (484–89). The time frame is about right. However, Su Bai’s suggestion that caves 9 and 10 should be associated with the Chongfu cave temple, and were commissioned by Qian’er Qingshi, needs to be further substantiated. The Huguo and Chongfu cave temples are mentioned amongst the ten temples in the Jin stele inscription, as I mentioned previously. Due to lack of historical documents on Yungang, the Jin stele inscription is still one of the

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most valuable literary sources to date, until we find new evidence. According to the Jin stele: The Great cave temple of the western capital (Pingcheng) was constructed by the Later Wei. Altogether there are ten names: Tongle; Lingyan; Jingchong; Zhenguo; Huguo; Tiangong; Chongjiao; Tongzi; Huayan and Doushuai. . . . Emperor Mingyuan started with the Tongle temple; Emperor Wencheng continued to erect the Lingyan temple; the Huguo and Tiangong temples were created by Emperor Xiaowen; and the Chongfu then was completed by Qian’er Qingshi.61 It thus can be known that the Huguo and Tiangong temples were patronized by Emperor Xiaowen. The Jin stele further notes that: Within the temples at present there are two remaining traces of inscriptions. One is in the paired Huguo cave(s); it is large but not complete and is without any date that can be ascertained. The other is in the Chongjiao (fu) cave(s), and it is small but complete. It roughly says that the General Pacifying the West, Cavalier Attendant-in-Ordinary, and Secretary General of the Ministry of Civil Office, the Duke of Dangchang, Qian’er Qingshi, had them carved. His carved inscription says: ‘In gratitude for much good fortune, in supplication for future blessings, to honor the imperial household, and to herald the eternal age, Qingshi thus built this place to seek prosperity for the nation.’ It concluded by saying: ‘Established in the 8th year of the Taihe (484) of the Great Dai (i.e., Northern Wei) and completed in the 13th year (489). The two Huguo caves opened up by themselves without external effort, therefore (when the floor is) struck, it makes the sound of miracle clocks. When people hear the sound their hearts become tranquil. While the stones were being carved, sweet spring water poured out. It cured one after drinking it. . . . On the east wall of one of the Huguo cave temples, there is an equestrian representation of a Tuoba prince.’62 Based on the record, Su Bai inferred that caves 7 and 8 were the Huguo cave temple, and caves 9 and 10 were the Chongfu cave temple.63 He further pointed out, “as for the Tiangong temple among the ten temples in Yungang, we are unable to deduce anything about it now, as the stele does not have any other records.”64 Some scholars suggested that the Huguo er kan (two Huguo cave temples 护国二龛) in the Jin stele referred to the Shigudong and Hanquandong (石鼓洞和寒泉洞) from the Ming and Qing dynasties at the eastern end of the Yungang complex, i.e., the current caves 1 and 2. Even today, inside the caves, there are pounding sounds when one touches the ground, and a babbling of running water. Hence, it would be appropriate for caves 1

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and 2 to be the two Huguo cave temples.65 But this inference still needs to be questioned. First of all, the Huguo cave temple recorded in the Jin stele has a big Huguo stele. The height of the cliff surface outside caves 1 and 2 is low, insufficient for a big stele, and there are not any corresponding remains found so far. Secondly, the Huguo er kan were built under Emperor Xiaowen, in a grand royal construction project, and so should be a paired cave of great scale. Judging from their scale, caves 1 and 2 appear to be too small to reflect the scale of an imperial project. In Yungang, the only caves that show a huge stone stele between the paired caves are caves 7 and 8 and caves 5 and 6. Both have a huge turtle base supporting a stele. Therefore, considering that we do not have enough evidence, we cannot repudiate the previous deduction that caves 7 and 8 are the Huguo cave temple. I believe it is more plausible that caves 7 and 8 are the Huguo cave temple. But it is still questionable whether or not caves 9 and 10 are the Chongfu cave temple constructed between the eighth and 13th year of Taihe under Qian’er Qingshi.66 Although Qian’er Qingshi was favored privately by Wenming, excelled at exquisite design (of building structures), and embezzled countless sums of money, the caves he commissioned to “pray for the state” were, after all, not an imperial project, so the scale ought to be smaller.67 If the inference that caves 9 and 10 are the Chongfu cave temple can be established, then they would be juxtaposed in a similar scale to caves 7 and 8 that were constructed under Emperor Xiaowen. This apparently goes against the rigidly stratified relationships between monarch and subject in a feudal society; it goes against the social logic of that period. Besides, in regard to the chronological sequence, if we date cave 11 after caves 9 and 10 (484–89), as was suggested, then we cannot explain the earliest inscription dated to the seventh year of Taihe (483) on the east wall in cave 11, namely, the date when the construction of cave 11 was resumed. Furthermore, if we accept that caves 11−13 were constructed after caves 9 and 10, this would mean that there would have been too many cave temples (caves 11−13, caves 1 and 2, and caves 5 and 6) left to be completed in a rather short period before the transfer of the capital to the south in 494. We therefore cannot yet draw the conclusion that caves 9 and 10 are the Chongfu cave temple. The mention in the Jin stele inscription that the Tiangong cave temple was created under Xiaowen, on the other hand, provides us with some clues.68 The Tiangong (Heavenly Palace), here, should refer to the Tushita Heaven where Maitreya resides in the present until his later rebirth as the next Buddha. We should consider the Tiangong Temple to be the caves associated with the main image of Maitreya. Caves 9 and 10 are both colossal image caves. The main image in cave 10 is damaged. A seated Buddha was sculpted in front of the main image in the Qing dynasty, flanked by two Bodhisattvas (plate 35). The left Bodhisattva was made into a seated Bodhisattva with legs pendant (plate 36). Based on the traces of the celestial scarf of the Bodhisattva in the main wall, and the trabeated niche above the

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head of the large image, it is believed that the main image was originally a large seated Bodhisattva with ankles crossed. The main image in cave 9 is a seated Buddha with legs pendant, flanked with two standing Bodhisattvas. The main images in these two caves constitute a representation of Maitreya’s ascent toward, and descent from, the Tushita Heaven.69 At the same time, the main image in the roof niche on the east wall of the anteroom in cave 9 is a seated Bodhisattva with ankles crossed (see plate 17), and a seated Buddha with ankles crossed symmetrically faces it on the west wall (plate 37). Accordingly, in cave 10, in the same position on the east wall, is a seated Buddha with ankles crossed (plate 38) and on the west wall is a seated Bodhisattva with ankles crossed, a reversed replica of the configuration of cave 9 (see plate 16).70 Thus, the primary subjects in the anterooms of these two caves are also a representation of Maitreya’s ascent toward, and descent from, the Tushita Heaven, echoing the main images of Maitreya in both main chambers. Thus, we have good reason to believe that caves 9 and 10 are the Tiangong temple. The Maitreya Buddha became increasingly popular at this time. As Dorothy Wong aptly pointed out, “the Maitreya faith in China peaked from the late 5th to the early 6th century, and Buddhist cave-chapels such as Yungang and Longmen fully document the popularity of Maitreya as a devotional icon.”71 Based on the analysis above, the Huguo and Tiangong temples created during the Xiaowen reign that are referred to in the Jin stele inscription can be identified with caves 7 and 8 and caves 9 and 10, respectively. These two sets of paired cave temples are adjacent to each other. The excavation date should be after the first year of Chengming (476) when Empress Dowager Wenming resumed power. As for the date of completion, the collapse of the stūpa at the west end of cave 10 provides us a significant clue. The Yungang complex is situated within the sandstone of a Jurassic stratum with soft horizontal layers. The excavation of rock-cut cave temples usually changes the structure of the stratum. The collapse of cave 20 was caused both by external and internal forces, which should also have caused the collapse of the stūpa at the western end of cave 10.72 The approximate date of the collapse of the stūpa can be deduced based on the image and niche added onto the body of the stūpa. The niche contains a Buddha image outside cave 11 (fig. 4.8) that has a round face, and a broad chest, and resembles the images in caves 9, 10, and 12. It appears to exemplify the old style before the stylistic change in the tenth year of Taihe (486). It can be determined that the collapse of the stūpa occurred in the early phase of the Taihe era. The Weishu records that on a xinyou 辛酉 day in the fourth month and on a dingmao 丁卯 day in the seventh month in the first year of Taihe (477) during Xiaowen period, there were earthquakes in the capital.73 There were also two earthquakes in the capital in the tenth year of Taihe (486). The first earthquake happened in 477 when cave 10 had just started and construction was still in progress, so it can be disregarded. The cave should have been finished by the tenth year of Taihe (486). The collapse

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Fig 4.8 Seated Buddha outside cave 11

of the stūpa at the western end of cave 10 might have been related to the second earthquake in 486. Thus, the completion of cave 10 most probably occurred before 486. Based on the analysis above, I argue here that the creation of caves 9 and 10 most probably occurred between the first year of Chengming and the tenth year of Taihe (476–86). Considering the shared outside cliff elevation, caves 7 and 8 should have been excavated at roughly the same time. This is the period when Emperor Xiaowen visited the Wuzhoushan cave temple frequently, and was also the time when Lady Feng (Empress Dowager Wenming) controlled the state.74 Thus the sponsors of these caves were most probably Empress Dowager Wenming and Emperor Xiaowen. Let us now turn to caves 1 and 2 and caves 5 and 6. Caves 1 and 2 are another set of paired caves belonging to the second phase (fig. 4.9). Both caves

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Fig 4.9 Caves 1 and 2

are of medium size, and both contain a central stūpa pillar (plate 39). The two caves are similar in size and architectural structure, but they do not resemble one another as closely as do caves 7 and 8 or caves 9 and 10. The eastern roofed niche of the south wall (plate 40) in cave 1 is occupied by the images of Vimalakirti and Manjusri, whereas the western niche contains a seated Buddha with a Brahmana. The figures in both roofed niches show Chinese style robes with step-like pleats and both shoulders covered. Caves 1 and 2 share many similarities with caves 5 and 6 in style and structure. The central stūpa pillar resembles that of cave 6, the only difference being that this is a smaller version. Most notably, two different styles appear in these two caves. Caves 5 and 6 share a common outside perpendicular cliff surface (fig. 4.10). Three large pagodas with seven or more stories are carved at each end, and in the middle of the outside wall of the two caves. Cave 5, like the five Tanyao imperial caves (16–20), is a colossal image cave, and contains a large seated Buddha occupying most of the space in the cave (plate 41). But behind the seated Buddha, as in caves 9 and 10, there is a passage for the circumambulation ritual. This may suggest the functional distinctions between cave 5 and the imperial five caves, and something of the motivation that lay behind the excavation of the caves. The passage in the rock-cut caves is also found in the caves of Bamiyan and Kizil. Cave 6 is a caitya cave with a large stūpa pillar in the center. It is the richest and

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Fig 4.10 Caves 5 and 6

most complete of all the caves, and also the most dignified and magnificently carved. In cave 6 alone, there are more than 30 pictorial narrative stories from Buddha’s birth, to the great departure (plate 42), and to his first sermon, which, interestingly, was the end of the life of the Buddha in the illustrations. No other cave in the entire Yungang complex contains so many scenes from the life of the Buddha and depicts them so exquisitely. The whole cave is based on a uniform design with the four walls, as well as the stūpa pillar, divided at the level of the window into upper and lower stories. The stylistic transformation to Chinese style garments is clearly reflected in the Buddhist images of cave 6. 2. Dates of caves 1 and 2 and caves 5 and 6 reconsidered Soper suggested that caves 5 and 6 represent the intense ambition and aggressiveness, and probably also the resentful malice, of Lady Feng. He believed cave 6 was dedicated to Lady Feng to “demonstrate her unique position by the same sort of overwhelming display of power and wealth” that was beginning to take form in the political realm.”75 Cave 5 was dedicated in memory of her father, Lang.76 Soper also proposed that caves 1 and

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2 were “opened by Liu Chang 劉昶 (436–97), a refugee prince of the blood from the Song court at Nanking, in memory of his imperial parents,” but did not explain his reasoning.77 Mizuno and Nagahiro suggested that caves 1 and 2 started from the first year of Taihe (477), and caves 5 and 6 were constructed simultaneously with them.78 But it was also supposed that caves 1 and 2 were actually the Chongfu cave temple constructed between 484 and 489 under Qian’er Qingshi.79 This is more plausible and worth further exploration. First of all, these two caves are rectangular in plan with a flat ceiling. The main room in cave 1 is 23 feet wide, 31 feet deep, and 19 feet high; cave 2 is 25 feet wide, 34 feet deep, and 20 feet high. The scale of each cave is not huge and appears to fit the status of court officials. Secondly, caves 1 and 2 are the only paired caitya cave temples in all of Yungang. Both stūpa-pillars are square and built in imitation of wooden structures. The pillars have slots suggesting that at some period they may have had railings, possibly made of wood. The cave 2 stūpa pillar (plate 43) has three stories with tiled roofs and is surmounted with a canopy; the cave 1 stūpa has two stories (see plate 39). The two stūpas are reminiscent of the Huifusi Temple (晖福寺) built under the patronage of Qian’er Qingshi. According to the records on the Dadai Dangchanggong Huifusi Temple stele, Wang Qingshi (Qian’er Qingshi) had the two stūpa pillars built for the “two sages (emperor Xiaowen and Empress Dowager Wenming).” It took three years to complete them, and they were built in the 12th year of Taihe (488).80 From this, we can surmise that the Huifusi Temple was constructed in 488. Caves 1 and 2 were most probably constructed at a time close to that of the Huifusi Temple, and with the same motives. Thirdly, it is noticeable that caves 1 and 2 demonstrate both old and new styles existing simultaneously. Cave 2 is badly eroded with very few well-preserved images, but the tongjian (both shoulders covered) robe of the main Buddha image, in the second niche on the east wall, is still discernable. The seated Buddha on the third level of the stūpa is clad in the tanyou (right shoulder bare) robe. The Bodhisattva in the center is seated with ankles crossed and sweeping celestial robe at the back, falling down to the front on the arms and spreading out. The above images, and the celestial musicians in the cave, all exemplify the old style in iconography, but the seated Buddha and the standing Bodhisattva flanking it in the first niche on the south side of the east wall are both in the new style. Cave 1 is not well preserved either. The main image is of a seated Bodhisattva with ankles crossed and the celestial robe crossed at the front; this and the attendant Bodhisattvas on the side, the robes of the celestial figures flowing through the air, and the seated Buddha on the south side of the west wall are all in the new style. The folds of the dress are similar to those in caves 5 and 6. The seated Bodhisattva with ankles crossed on the upper level of the east face of the stūpa is the only one in the old style.

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In brief, cave 2 has more old-style representations whereas cave 1 has more in the new style. This, then, indicates either that cave 2 was excavated a little bit earlier than cave 1, or caves 1 and 2 were excavated during the transition of iconographic styles from old to new. Some scholars have suggested that the iconographic transformation in style was related to the reform of clothing promoted by Emperor Xiaowen in the tenth year of Taihe (486).81 This is a rather complicated issue and will be discussed along with the investigation of the third-phase caves during the construction of which the sinicized style was perfected. On the basis of the three points made above, it is more reasonable to connect caves 1 and 2 with the Chongfusi Cave temple commissioned by Wang Yu. The only problem is that the outside cliff between the caves collapsed badly so the “small and complete 小而完” stele remains cannot be observed anymore. Caves 5 and 6 are colossal-image and caitya caves respectively. This is the largest set of paired caves in Yungang. Cave 6 was completed according to the plan, but cave 5 was not; only the three Buddhas and two attendant Bodhisattvas were finished. The rest of the images and niches on the walls were added later one after another until after the capital was moved southward. The most outstanding transformation in this set of paired caves is the clothing style, namely, the sinicization of Buddhist images with baoyi bodai robes. Nagahiro suggested that caves 5 and 6 were constructed in the first year of Taihe (477), and finished in the seventh year of Taihe (483) in the Xiaowen era when the emperor visited the Wuzhoushan cave temples.82 Su Bai pointed out that Nagahiro’s proposal is not based on documentary sources, and that “all the large Buddha images in the caves are clad in the baoyi bodai robes, replacing the old garments. The baoyi bodai robe style is an echo of the reform in clothing promoted by emperor Xiaowen between the tenth and 19th years of Taihe (486–95). Thus, the completion of cave 6 should not be too far away in time from the transfer of the capital to Luoyang in 494.”83 Accordingly, caves 5 and 6 are dated to the tenth and 18th years of Taihe (486–94). It is reasonable to date the caves to the last stage of Yungang right before the capital was moved.

Summary of the chronology of the second-phase cave temples The second-phase cave temples were excavated between 467 and 494, beginning with cave 13. The chronological order of the construction is: cave 13, cave 11 (Emperor Xianwen, 467–76), caves 7 and 8, caves 9 and 10 (Empress Dowager Wenming and Emperor Xiaowen, 476–86), cave 12 (patron ?, 483), caves 1 and 2 (Qian’er Qingshi, 484–89), caves 5 and 6 (Emperor Xiaowen, 486–94), and cave 3, unfinished (Emperor Xiaowen, before 494). Caves 7 and 8, caves 9 and 10, caves 1 and 2, and caves 5 and 6, four sets of paired caves, were constructed under the reign of Emperor Xiaowen

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(r. 471–99) and Empress Dowager Wenming. A fundamental innovation took place in cave 6, where the images began to be clad with traditional Chinese robes with both shoulders covered. Before that, all the second-phase caves continued the style of the first-phase caves with minor changes. The conclusion of the chronology of the second phase drawn above is consistent with the use of the cliff surface in the excavation of the entire complex, the observation of which is significant in the study of Buddhist cave art. Essentially, the purpose of the discussion of the chronology lies in reconstructing the process of the construction of the caves in each phase. From the discussion, it can be seen that the second-phase cave temples were constructed in accordance with the Chinese tradition that the west cardinal direction is superior. Therefore, the cave temples were constructed from west to east; even with the paired caves, the cave in the west was constructed earlier than the one in the east. For instance, the main part of cave 13 was finished, but only the layout of cave 11 was finished; cave 6 was finished according to the plan conceived; but only the main body of cave 5 was finished; many old styles appeared in cave 2, while new styles appeared in cave 1. This phenomenon deserves scholars’ further attention. The second phase of Yungang amounts to an illustrated history of politics, faith, and political struggle. The development of architecture, subject matter, and iconography at this time marked a new era in the short 100-year history of Pingcheng as the capital. The scale of the caves, the innovation in architecture, the richness of the subject matter and the complexity of the iconography, are all unprecedented. The history of the art of Yungang during this period is marked both by the discovery of new forms and the assimilation of various other elements and styles, both indigenous and foreign. In addition to dating and periodization of the second-phase caves, another important issue that has not been settled and is worth exploring is the liturgical function of the caves in Yungang. As mentioned previously, with more recent archaeological excavations above the caves, it is clear now that the Yungang complex had different functions in each area. The residential cells and translation centers are all above the caves, but some liturgical ritual such as image worshipping and circumambulation took place in the rock-cut caves down below. In the following chapter, I attempt to discuss the liturgical function of the cave temples in the second phase using cave 12 as a case study.

Notes 1 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu: seireki goseiki ni okeru Chūgoku hokubu Bukkyō kutsuin no kōkogakuteki chōsa hōkoku, vol. 16, 30. 2 Su Bai, “fenqi,” in Su Bai, Zhongguo shikusi yanjiu (Beijing: Wenwu chubanshe, 1996), 80. James Caswell put forward a new proposal on the second-phase cave temples suggesting that caves 7 and 8 are the Chongfu cave temple, and caves 9 and 10 are the Huguo cave temple, which is the reverse of what Mizuno and Su Bai had suggested. Caswell also suggested that there was no construction for 15 years after 465 at Yungang, and that the royal family did not pay any attention

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4 5 6 7 8 9 10 11

12

13 14

15 16 17 18 19

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to the construction of the caves. He further argued that the construction was resumed after 483; therefore, all the second-phase cave temples were dug into the cliff between 465 and 495. See James O. Caswell, The Written and Unwritten: A New History of the Buddhist Caves at Yungang (Vancouver: University of British Columbia Press, 1988), 78–80. Lidu Yi, The Third-Phase of the Yungang Cave Complex: Its Architectural Structure, Subject Matter, Composition and Style, Ph.D. Dissertation (University of Toronto, 2010), 25. I also presented a paper on the issue during the AAS conference, “Re-examining Caves 11 to 13 at Yungang,” Association for Asian Studies conference paper, 2013, San Diego. Li Daoyuan, Shuijing Zhu jiaozheng, annotated by Chen Qiaoyi (Beijing: Zhonghua shuju, 2007), 316. Daoxuan, Xu gaoseng zhuan, T50:2060:425c26 and T50:2060:427c23. These holes indicate that there used to be buildings. The presence of a Jin stele suggests that the building was from the Jin dynasty. See Su Bai, “Jinbei Jiaozhu,” 69. Above these pillars there seems once to have existed a deeply carved roof probably with eaves and brackets represented on it but this is no longer visible. See Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 8 and 9, 95. Mount Sumeru is not seen here, but it is seen in caves 1, 2 and 39. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 8 and 9, 90. Ibid. Mizuno and Nagahiro pointed out that caves 11−13 share a common outside wall. The front of cave 12 with its pillars is found in the center and those of caves 11 and 13 on either side, each having a window and entrance arch; they are roughly speaking symmetrically placed. See Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 8 and 9, 89; Su Bai noted that cave 12, with an anteroom and a main chamber, is in the center; and above the entrance of the main chamber is the window, while caves 11 and 13 on either side each have a window on the entrance gateway. The symmetry of this arrangement, with cave 12 as the center, is evidently intentional. See Su Bai, “fenqi,” 80. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 16, 15. Rei put the dates of caves 11−13 between 480 to 489. See Yoshimura Rei and Liqiang Bian. Tianren danshengtu yanjiu: Dongya fojiao meishushi lunwenji (Shanghai: Shanghai guji chubanshe, 2009), 404. Su Bai, “Jinbei Jiaozhu,” 52–75. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 7, 67 (Japanese version); see remains in front of caves 9 and 10, plates 37, 39, and fig. 85. These details caused Mizuno and Nagahiro to believe that it used to be a more than five-story multi-storied stūpa pillar; the only thing is that regrettably we cannot see any original traces of the west end of the stūpa base; this may be due to the digging out of cave 11. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 8 and 9, cave 11, 107. Ibid, vol. 7, 83–4. Nagahiro Toshio, “Yungang shiku chuzhongqi de teli dakan,” in Zhonguo shiku Yungang shiku. Ed. Yungang shiku wenwu baoguansuo (Beijing: Wenwu chubanshe, 1994), 240–3. Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 16, 15. The most prominent change in the second-phase caves is that the representations of worshippers began to emerge, such as in the lower part of east, west and south walls in cave 7, and in the west wall of the anteroom, and the south wall of the main chamber in cave 9. Nagahiro Toshio, “Unko sekkutsu no nazo,” Bukkyo geijutsu, no. 134 (1981): 11–42.

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21 Shisong Rinaizi, “Yungang di shiyi ku Taihe qinian yiyi zaoxiang he wuzhoushan shikusi de bianhua,” in 2005 nian Yungang guoji xueshu yantaohui lunwenji yanjiujuan. Ed. Yungang shiku Yuanjiuyuan (Beijing: Wenwu chubanshe, 2012), 301–12; and “Yungang zhongqi dongku xinlun–Shamentong Tanyao de diwei sangshi he hufu gongyangren xiang de chuxian,” Kaogu yu wenwu, 5 (2004): 81–92. 22 Zhao Kunyu, “Yungang di shiyi ku yingzao de jige wenti,” in 2005 nian yungang guoji xueshu yantaohui lunwenji yanjiujuan. Ed. Yungang shiku yanjiuyuan (Beijing: Wenwu chubanshe, 2006), 313–23. 23 For the discussion of intervention of political affairs by the Empress Dowager Wenming, see Chapters 3 and 4 in Li Ping, Beiwei Pingcheng Shidai (Beijing: Shehui kexue wenxian chubanshe, 2000), 124. 24 Li Yanshou, Beishi, “Houfei Liezhuan,” (Beijing: Zhonghua shuju, 1974), 13:495. 25 Wei Shou (506–572), comp., Weishu (Beijing: Zhonghua shuju, 1974), 6:125. 26 Ibid., 6:131. 27 It is recorded in the Treatise on Astronomy in the Weishu that in the fifth year of Huangxing (471), Emperor Xianwen was forced by Empress Dowager Wenming to abdicate to the prince, Xiaowendi, see the Wei Shou, comp., Weishu, 105:2412. 28 Weishu, 114:3036. 29 Ibid., 7:135. 30 Li Yanshou, Beishi, “Houfei liezhuan,” 13:495. Also, in the Weishu, in the Treatise of Astronomy, it clearly notes that Xianzu suddenly died. It was said that the empress was responsible for this. 31 Nagahiro Toshio, “Unko sekkutsu no nazo 雲岡石窟の謎,” Bukkyō geijutsu, no. 1 (1981), 11–14. 32 Yoshimura Rei and Liqiang Bian, 462. 33 See Su Bai, “Jinbei Jiaozhu,” 53. Here the Jin stele inscription bears a date: the eighth year of the Heping reign-period. There were, however, only five years in the Heping era. It appears, then, that this date resulted from an error in transcription: the word 元 (first) was mistaken for 八 (eighth). The first year of Heping when the five Tanyao cave temples were excavated, is the likely date. 34 Some scholars have suggested that the innovation is reflected in the architectural structure of the caves since each of caves 11−13 display a different architectural layout (stūpa pillar, Buddha Hall and colossal statue). See Zhao Kunyu, “Yungang shiku yingzao de jige wenti,” in 2005 nian Yungang guoji xueshu yantaohui lunwenji yanjiujuan. Ed. Yungang shiku Yanjiuyuan (Beijing: Wenwu chubanshe, 2012), 313–23. Whether or not innovation refers to architectural change, one thing that is certain is that cave temples were made during the Xianwen era. 35 Weishu, 114:3037. The translation is that of Leon Hurvitz with minor revision. 36 Ibid. 37 Ibid. 38 Ibid, 114:3037. 39 Ibid., 6:130. 40 Kaiyuan shijiao lu 开元释教录, compiled by Zhi Sheng 智升 in the 18th year of Kaiyuan (730), records that the Dajiyi shenzhou jing contains 2 or 4 juan (see fashanglu 法上录), the Jingdu sanmei jing 净度三昧经 has 1 juan, and the Fufazang zhuan has 4 juan, and that Tanyao gathered eminent monks and translated the Dajiyi shenzhou jing and other sutras at the Northern Terrace (Yungang). These works can thus come down to later generations, and the significance of this is infinite, T 55: 2154:539.

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41 Otsuka Nobuo 大塚伸夫, “Shoki mikkyo no zentaizo: Shoki mikkyo no hoga kara tenkai, kakuritsu he,” in Shoki mikkyo: shiso, shinko, bunka. Eds. Takahashi Hisao 高橋尚夫, Hideaki Kimura, Keiya Noguchi, and Nobuo Ōtsuka (Tokyo: Shunjusha, 2013), 11–13. 42 Da jiyi shenzhou jing, T21:1335:568–79. 43 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 8 and 9, 102. 44 In my earlier study of caves 11–13, I proposed that they are the earliest of the second phase caves. Li Yuqun questioned the date of cave 12 and suggested that it was not constructed as early as cave 13. 45 Alexander Soper suggested that cave 12 was dedicated to Emperor Xiaowen. See Alexander Soper, “Imperial Cave-Chapels of the Northern Dynasties: Donors, Beneficiaries, Dates,” Artibus Asiae, 28 (1966): 241–70. 46 One story is identified as the Mugapakkha (soul of graveyard 墓魂) jataka story on the east wall of cave 7 in the anteroom; see Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 4, 100. 47 The stele was roughly 41 feet high, and 9 feet wide; see Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 5, 72. 48 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 6, 101. 49 It should be noted that on the north wall of the passage, donors (male and female), monks, and soaring celestials are carved. The donors are divided into two groups in the middle, each group looking outward. They are symmetrically arranged on both sides of the tunnel. The worshippers all hold their palms together at the breast holding stems of lotus flowers. 50 Both main images in caves 9 and 10 were repaired and repainted in the Qing dynasty. From certain remaining traces, it is believed that the original images were presumably a seated Buddha with legs pendant and a seated Bodhisattva with ankles crossed in caves 9 and 10 respectively. 51 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 16, 30. 52 But in recent years, some scholars have suggested that early cave-making at Yungang involved a greater variety of initiatives than has previously been acknowledged and offer perspectives for a broader reconsideration of the beginnings of cave-making at Yungang, and that caves 7 and 8 contain motifs and design concepts from Indian ivory carving that are not evident to any such extent in the other Yungang caves. It has been further suggested that caves 7 and 8 originated in the earliest formative phase of cave-making at Yungang when foreign models were considered authoritative, and that they predate the conventionally accepted periodization of the site, see Katherine R. Tsiang, “Reconsidering Early Buddhist Cave-Making of the Northern Wei in Terms of Artistic Interactions with Gansu and the Western Regions,” Journal of Inner Asian Art and Archaeology, no. 4 (2009): 107. 53 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 16, 30. 54 Su Bai, “fenqi,” 79. 55 Soper suggested that caves 7 and 8 were dedicated to Wenchengdi and his consort Lady Li, caves 9 and 10 to Xianwendi (Xianzu) and Lady Li, and cave 12 to Xiaowendi (Gaozu), see Alexander C. Soper, South Chinese Influence on the Buddhist Art of the Six Dynasties Period, vol. 32 (Stockholm: B. Museums Far East. Antiq, 1960), 65–6. 56 If we hold that caves 7 and 8 are earlier than caves 9 and 10, and the cliff surface of caves 9 and 10 is later than cave 11, this would mean that the cliff surface space for caves 9 and 10 was set aside when caves 7 and 8 were excavated. The resulting chronological sequence is not persuasive. 57 Chu sanzang ji ji, T55:2145:13b06 58 Su Bai, “Jinbei Jiaozhu,” note 34, 106.

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59 Some scholars suggested that caves 7 and 8 might be the earliest caves in the entire Yungang complex, and that they could have been constructed as early as Shenrui era. See Tsiang, “Reconsidering Early Buddhist Cave-Making of the Northern Wei in Terms of Artistic Interactions with Gansu and the Western Regions,” 101–18. 60 Su Bai, “fenqi,” 79. 61 See transcription of the Jin stele, cf. Su Bai, “Jinbei Jiaozhu,” 53–4. 62 Su Bai, “Jinbei Jiaozhu,” 53–4. English translation by James Caswell with revision. See Caswell, The Written and Unwritten, 30. 63 Su Bai, “Jinbei Jiaozhu,” 60. James Caswell dated caves 7 and 8 “at the critical juncture of the last decade of Yungang activity before the transfer of the capital to Luoyang,” and associated them with the Chongfu cave temple, i.e., caves 7 and 8 were constructed between 484 and 489. Harrie A. Vanderstappen, however, argues “the placement of caves 7 and 8 in the eighties of the 5th century as argued by Caswell does seem very difficult.” See Caswell, The Written and Unwritten, 81. Also see Harrie A. Vanderstappen, “Book Review: Written and Unwritten: A New History of the Buddhist Caves at Yungang,” Ars Orientalis, 19 (1989): 125–7. 64 Su Bai, “Jinbei Jiaozhu,” note 16, 64. 65 Zhang Zhuo, “Dajin xijing wuzhoushan chongxiu dashikusi bei xiaoyi,” in Yungang bainian lunwen ji, vol. 2. Ed. Yungang shiku wenwu yanjiusuo (Beijing: Wenwu chubanshe, 2005), 350–4. Su Bai mentioned that Hanquandong is cave 2, see Su Bai, “Jinbei Jiaozhu,” note 26, 67. 66 Su Bai, “Jinbei Jiaozhu,” notes 7 and 8, 60–1, Ishimatsu Hinako assigned Chongfusi to cave 6, but this proposal lacks evidence, see Ishimatsu Hinako, Beiwei fojiao zaoxiang shi yanjiu (Beijing: Wenwu chubanshe, 2012), 113–14. 67 According to the biography of Wang Yu in the Weishu, Wang Yu, styled Qing Shi, had the original name of Ta E 他恶 and was the Pingyi of the Lirun Defense Command and was a Qiang national, 94:2023–4. 68 Jin Weinuo once considered caves 5 and 6 to be the Tiangong temple among the ten temples mentioned in the Jin stele inscription, see Su Bai, “Jinbei Jiaozhu,” 104. However, the main image in cave 5 is Śākyamuni Buddha, and the main image in cave 6 is the seated Buddha with legs pendant, the two constituting the composition of Śākyamuni Buddha and Maitreya Buddha. It is hard to associate them with the Tiangong temple. 69 Nagahito and Minuzo believe that there is no evidence to enable a Buddha with legs pendant to be identified as Maitreya. It would be safer to identify it as Śākyamuni Buddha since the main Buddha with legs pendant in cave 9 is a complement of the main Bodhisattva with ankles crossed in cave 10, see Nagahiro Seiichi and Minuzo Toshio, Unkō sekkutsu, vols. 8 and 9, English text, 77; Nagahiro held the same view in his article “The Characteristics of the Paired Caves 9 and 10,” in Zhongguo shiku-Yungang shiku. Ed. Yungang shiku wenwu baoguansuo (Beijing: Wenwu chubanshe, 1994), 193–207. Li Yumin and Li Jingjie, on the other hand, believe that it is the Maitreya Buddha, See Li Yumin, “Jintasi shiku kao,” Gugong xueshu jikan. Ed. Guoli gugong bowuyuan, no. 22 (2004): 2, 33–66; Li Jingjie, “Yungang 9, 10 ku de tuxiang goucheng,” in Yishushi yanjiu. Ed. Zhongshan daxue yishushi yanjiu zhongxin (Guangzhou: Zhongshan daxue chubanshe, 10, 2008), 327–59. 70 See Nagahiro Seiichi and Mizuon Toshio, Unkō sekkutsu, vol. 6, Plan 6 and 7, Elevation of the east and west walls of cave 9; vol. 7, Plan 5 and 6, Elevation of the east and west walls of cave 10. 71 Dorothy C. Wong, Chinese Steles: Pre-Buddhist and Buddhist Use of a Symbolic Form (Honolulu: University of Hawaii Press, 2004), 89.

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72 Hang Kan argued that the west wall of cave 20 collapsed soon after the attendant Buddha was finished, see Hang Kan, “Yungang di 20 ku xibi tanta de shijian yu Tanyao wuku zuichu de buju sheji,” Wenwu, no. 10 (1994): 55–63. 73 Weishu, “Lingzheng zhi 靈征志,” 114: 2894. 74 The Gaoxu chronicle records that in the fourth year of Taihe (480), eighth month, the emperor, on a wushen day, visited the Wuzhoushan cave temple, and returned to the palace on gengxu, see Weishu, 7:149. The emperor visited the Wuzhoushan cave temple on a xinsi day in the third month in the sixth year of Taihe (482), and granted clothes to the poor and old; see Weishu, 7:151. The emperor also visited the Wuzhoushan cave temple in the seventh year of Taihe (483); see Weishu, 7:152. It should be noted that this is the last visit to the Yungang cave temple that he ever made. In the eighth year of Taihe (484), he visited the Fangshan cave temple 方山石窟寺; see Weishu, 7:154. 75 Soper, South Chinese Influence, 65–6. 76 Ibid., 64–72. Also see Soper, “Imperial Cave-Chapels of the Northern Dynasties,” 243–4. 77 Soper, South Chinese Influence, 69–72; and “Imperial Cave-Chapels of the Northern Dynasties,” 242–5. 78 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 16, 3. 79 Yoshimurai Rei believes that the caves should be the paired stūpa caves 1 and 2, see Yoshimurai Rei, “Unko sekkutsu hennenron shukuhaku cho kogakusetsu hihan,” Kokka, 1140 (1993), 7–29; Li Jingjie noted that the old and new styles co-existed in caves 1 and 2 in the celestial robes of the Bodhisattvas seated with ankles crossed and thus argued “this phenomenon echoes well with the reform of clothing from the tenth year of Taihe (486) to the 18th year of Taihe (494), therefrom the Chongjiao Temple built by Qianer qingshi between 484 and 489 mentioned in the Jin stele inscription, would possibly, if the argument that it is a paired cave is very sound, be caves 1 and 2,” see Li Jingjie, “Yungang 9, 10 ku de tuxiang goucheng,” note 4, 327–59. 80 Tokiwa Daijo and Tadashi Sekino, Shina Bukkyo shiseki hyokai: Buddhist monuments in China (Tokyo: Bukkyo Shiseki Kenkyukai, 1925), Pl. 68 (2), the rubbing of the stele of Huifusi. The stele is now housed at the Xi’an Beilin Museum. 81 The stylistic change in iconography is a very complicated topic. I will treat this issue fully in Chapter Six. 82 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vol. 16, 13. 83 Su Bai, “fenqi,” 109.

5

Considering karmic narratives and liturgical functions

An important question to be asked here is how Buddhist rock-cut cave temples function? What kind of liturgical performances might have happened in the caves? And what can they tell us? When Buddhism was introduced to China, it not only brought the faith to the country, but religious practices as well. It brought not only images and temples, but ways of worshipping and performing, into China. The religious ritual conducted in Yungang, however, is seldom investigated. The focus is usually on the identification of the imagery, the iconographic style, or the relationship between cave temples and meditation. Consequently, the function of cave temples beyond meditation is often neglected – we merely assume that the purpose of the caves was devotional in a broad and general sense. In recent years, as discussed previously, with more and more archaeological excavations in and around Yungang, we have begun to have a better understanding of the components and functions of the Yungang complex in each area, in particular, the excavations above the caves. It was made clear by the excavations that there were freestanding monasteries and residence cells above the rock-cut caves. I have suggested earlier that monks conducted meditative concentration up in monks’ cells, not in the cave temples. I also argued that one of the primary functions of the five Tanyao caves was to serve as family shrine. They were erected as memorials of the Northern Wei imperial rulers, and the five colossal images were represented as the present living Tathāgata. Then how did each of the second phase caves function and how were they used? I have also proposed that both Xinjiang and Liangzhou exerted an impact on Yungang: Xinjiang had more impact on art and architecture, whereas Liangzhou, where stūpa worshipping and meditation were especially emphasized, exerted more influence on religious beliefs and practices, and on the second-phase caves, which were either occupied by a large image (caves 5, 7, 8, 9, 10, 12, and 13) or a stūpa (caves 1, 2, 3, 6, and 11). The function of the latter is more revealing with a stūpa in the center of the cave. It is traditionally believed that one of their key functions was for the ritual practice of pradaksina (circumambulation). Caves 5, 9, and 10 have a vaulted passage behind the main image in the cave, and all the devotees represented along the passage are facing east, making one believe that the caves also had such a function: devotees

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were to walk around the image. Of course, circumambulation was not the only activity in each space. Other karmic activities such as worshiping and making offerings, etc. were common practices as well. But how did other cave temples without a vaulted passage or a central pillar function? The architectural layout of the caves does not in itself clearly reveal this. How did the imagery function in a religious space? How did the imagery and oral ritual activities complement each other to serve the functional purpose of a cave sanctuary? How did they perform? How did Buddhist cave architecture function in Yungang? These issues, which from time to time skipped scholars’ attention, are precisely what this chapter aims to examine. It is possible to establish a hypothesis on the function of a cave sanctuary if the visual images depict edifying narratives, the architectural space is suggestive, and the extant literary sources are revealing. It is significant to explore the function of a cave-chapel since it not only reveals the local faith, but also brings to light the popular ritual practices of the time. Besides, this is an important social art history approach in Buddhist studies. We can never emphasize enough the significance of the function. With hard evidence and literary sources, I wish to address below several issues through the examination of the functions of the second-phase caves using cave 12 as case study. I would argue that most of the second-phase cave temples had liturgical functions, which in some cave temples, are easy to be recognized, but in others are difficult to confirm. I believe that in addition to the ritual practice of circumambulation, image and/or stūpa worshipping, and making offerings (as in caves 1, 2, 3, 6, 11, and 5, 9, and 10), caves 7, 8, and 12, none of which have either a central pillar or a vaulted passage behind the primary Buddha image, also might have had a liturgical function for the then popular ritual practices such as changdao and sujiang 俗講 (vernacular oral presentation), based on the technique by which the narratives unfold and the ubiquity of musical deities in the antechamber of cave 12. The narrative pictorials in the cave had a liturgical function, and fostered an emphasis on karmic rebirth and Buddha’s determination to achieve Enlightenment. I would also suggest that it is quite possible that a then-popular text, the Tiwei Boli Jing (the Sūtra of Trapusa and Bhallika, hereafter the TWBLJ), believed to have been produced in Yungang, might have had an impact on the image-making there. The text was instrumental to the mass laity in understanding Buddhist teaching, and very often, a fabricated text 疑偽經 was even more important and widely accepted than the orthodox canon since it was easier to comprehend for the laity as an expedient means. The significance of the sutra has been, however, greatly overlooked.

Reading the iconography Cave 12, as I have suggested earlier, was constructed at the time when cave 11 was reused around 483. It is one of the most ornate Buddha Hall (fodian) cave temples in Yungang. The symmetric space of the antechamber is completely

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covered with karmic stories, and edifying narratives for achieving Enlightenment. The upper level of the east and west walls with large niches face each other symmetrically, but the bottom level on the east wall was repaired and now contains one niche with two seated Buddhas side by side (plate 44). The west wall contains two niches in the lower level, which illustrate one of the earliest miracles in Buddha’s life: the Conversion of the Three Kasyapas of Uruvilva (plate 45).1 The south niche shows the meditating Buddha seated in the fire temple of Uruvilva Kasyapa surrounded by the Kasyapa brothers and their many brahmana disciples trying to put out the flame of the fire serpent. The story continues to the north niche where the standing Buddha is holding his alms bowl in which the fire serpents were subdued. Both north and south narratives are illustrated in conflated mode in which the protagonist appears only once. When the story is continued from the south to the north niche, they together form a continuous narrative mode.2 For a story to be presented in two separate niches is a rare occurrence in Buddhist narratives in Southern and Northern Dynasties Buddhist art. At the top of the east and west walls in the coved area above are the colorful musical deities, each with a traditional musical instrument (plate 46). One rarely sees so many musical deities concentrated in one cave, and given such prominence to their role. As I shall demonstrate below, these musical figures, beyond any doubt, were not displayed there randomly. They not only enliven the cave, giving it the appearance of a concert chamber, but also have a liturgical performance function. At the top of the east wall, one dwarf musician is playing a pipa, another a pipe, and between them are narrative scenes of the Jataka stories: the Dipamkara story to the north and Mara’s Assault to the south (plate 47). Corresponding to this arrangement, the top of the west wall presents narrative scenes as well. The north niche presents the Buddha’s former life as King Asoka3 and the south niche contains a seated Buddha accompanied by two Brahmanas; one is holding a skull, the other a bird (?) (plate 48).4 The north wall of the anteroom also presents a symmetrical pattern on both sides of the entrance and window, and is divided into two main stories by a well-preserved lotus petal band as is seen on the east and west walls. The lower story contains two levels (plate 49): the upper level is a trabeated niche, the lower a roofed niche, inside of which are four seated Buddhas on each side of the entrance. Together, the eight seated Buddhas represent the seven Buddhas of the past plus the Maitreya Buddha. The Maitreya Buddha became increasingly popular at this time. The top-level illustrations on either side of the entrance window present narratives of significant moments in Buddha’s life. The east side niche portrays the First Sermon of the Buddha in Deer Park, as indicated by the seated Buddha with the triple wheels (dharma-cakra) and two reclining deer (plate 50). The west niche contains a seated Buddha holding an alms bowl in his hands and two celestials holding bowls on either side (plate 51).5 The narrative evidently depicts the story of the four celestial guardians offering

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four alms bowls to the Buddha who, after refusing the gold and silver bowls, took the stone ones.6 In the end, the Buddha transformed four bowls into one, as is shown in the narrative scene.7 The main chamber is rectangular in shape and the walls are divided into two stories, as is the anteroom. The main wall, which is badly damaged and was painted during the Qing dynasty (1644–1911), contains two niches (plate 52). The top niche bears a seated Maitreya Buddha (Mizuno identifies it as Bodhisattva) with legs pendant.8 The arch-pointed lower niche now contains a seated Buddha. Traces inside the niche indicate that it once contained two Buddhas seated side by side. Apparently, the main wall initially represented the three Buddhas, the most prominent subject in the Northern and Southern dynasties.9 On the reveals of the window, two large meditation bhiksus in dhyāna position (plate 53), seated on either side under a tree with an alms bag on its branch, are depicted. It should be noted that each of these images (plate 54) is severed with a vertical cut that removes one kneecap of the bhiksu and the remainder of the tree in order to accommodate a new niche beside them. There is a dapuo (打破 breaking space) spatial relationship between the bhiksus and the new niches. The east wall of the main chamber (plate 55) is covered by two stories and four niches with three seated Buddhas and a Bodhisattva with ankles crossed. The lower part of the west wall (plate 56) bears, for some reason, only a row of 10 seated Buddhas and small niches. Judging from the layout of cave 13 and given the fact that its east wall is protruding into the west wall of cave 12 (they are opposite sides of the same wall), it seems that the common wall was too thin to carve a large niche like those on the east wall of cave 12. The west wall had to avoid piercing through to the other side. The east and west sides of the south wall are symmetrical. Both contain four niches in two vertical stories. The upper niches bear a seated Buddha with Vitarka mudra (teaching mudra), while the lower niches illustrate narrative scenes of Buddha’s life. Mizuno and Nagahiro suggested that both niches illustrate the same narrative, in which two rich merchants offer food to the Buddha.10 It is widely accepted that honor and merit are attributed to the two merchant brothers, Trapusa and Bhallika. Here, the narrative of offering food to the Buddha for his first meal right after Enlightenment is highlighted by the merchants’ caravan, represented by camels and horses beside the Buddha (plate 57). He is sitting beneath the Tarayana tree with shining flames around him like the rising sun, while a kneeling deity leads the merchants and the caravan to the Buddha.11 Therefore Mizuno and Nagahiro are correct in identifying this narrative as Trapusa and Bhallika offering food in the east niche.12 The west niche, however, tells a different story, but a related one (plate 58). The narrative, I would suggest, is intended to represent the 500 merchants worshipping the Buddha after they were rescued. The 500 merchants are symbolically implied by five lay people who are led by a bhiksu, the first figure on the right, who convinced the merchants to worship the Buddha

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in order to be saved. Above them, devotees, after being saved, worship the Buddha with flowers and a boshanlu 博山爐. It would be more reasonable to display these two coherent narratives side by side rather than repeating the same legend of Trapusa and Bhallika, as suggested by Mizuno and Nagahiro. The two narratives on the south wall of the main chamber and the two on the north wall of the anteroom all center around the Buddha’s life immediately after he became Enlightened. These illustrations are coherent. I believe these narratives are related to the then influential sutra, the Sūtra of Trapusa and Bhallika. One may argue that these narratives are likely based on the canonical Lalitavistara, which introduces the forest goddess and gives details of the wheels sinking, harness straps coming loose, and parts coming undone, as well as the vain efforts of the merchants to get the carts moving, but we do not see the forest goddess or the sinking wheels here. Nor do we find the harness straps coming loose, we only find camels and horses on either side of the Buddha in the east niche symbolically representing the legend of offering the food to the Buddha. The legend of the 500 followers is only highlighted by worshipping figures, flowers, and the incense burner in the west niche of the south wall. In brief, the narratives in cave 12, as well as in caves 7 and 8 are more concerned with karmic actions and achieving Enlightenment, which conform with the tenet of the Sūtra of Trapusa and Bhallika.

Modes of narratives and viewers’ response The subjects in the anteroom of cave 12 are richly diversified. The concentration is primarily on the narratives of the significant moments in Buddha’s life and his previous existences, in particular, on his karmic acts and perseverance for Enlightenment. These edifying narratives were an effective means of proselytizing among the mass laity. However, most of these narratives are depicted within one frame, mono-scene, and to the mass laity, they are illegible. This point leads to the question of the modes of narratives and the viewers’ response. Narrative is a universal phenomenon, which, as Roland Barthes remarks, is international, transhistorical, transcultural; it is simply there, like life itself.13 It is present in every age, in every place, in every society; it begins with the very history of mankind. There is not, nor has there ever been, a people without narrative.14 Narrative is the point at which communication occurs: there is a giver of the narrative and a receiver of the narrative. In linguistic communication, je and tu (I and you) are absolutely presupposed by one another; similarly, there can be no narrative without one who relates and one who listens (or reads).15 This is the very case in Buddhist narratives: the stories cannot be comprehended without a narrator. This is precisely what I attempt to establish in this study. I would argue that the givers of the narrative in cave 12 could be changdao sengren 唱導僧人 (the clergy who perform vernacular sutra singing and preaching), jiangjing fashi 講經 法师 (the Dharma masters who give sutra lectures), or the sujiangshi 俗講師

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(vernacular oral presenters), and the receivers would be the devotees, either clergy or laity. Buddhist narratives in a cave-chapel usually had a didactic function; they were a form of instruction used to proselytize audiences. The stories usually begin with the biographies of the historical Buddha, Gautama Siddhartha, a mixture of history and legend, of truth and fiction. In Buddhist narratives, we are not only confronted with an extraordinary personality, but indeed with one who has two faces, depending on whether we look at the man of daily life or at the figure that has grown within the imagination of the faithful.16 His previous births are presented to us as a “dramatic legend in a thousand scenes.” His past existences were innumerable, and he climbed one by one all the rungs of the ladder of all beings, animals, as well as human and superhuman, from ant to god.17 However, there is no “beginning” for Buddha’s existence. He proclaimed: The transmigration of beings [samsara], O my disciples, has its origin in the remote past. It is impossible to discover a beginning for the beings caught in ignorance, enmeshed by the desire for life, wandering from rebirth to rebirth, moaning and weeping and shedding more tears than there are drops of water in the great ocean.18 There is no beginning of the biography of the Buddha in cave 12 either. We do not know where to trace the beginning of his life stories even though the stories are primarily concerned with his life. There is no beginning here, nor an end. It is the karma of each of his lives that continues the transmigration, so there is no need for beginning or end. There is no illustration of his birth or attainment of Nirvana in the cave. It is his karmic acts and perseverance to become a Buddha that are emphasized. The precept is that one good deed calls for another, and everyone has a Buddhahood. Karmic deed and proselytization are the focus and aspiration of this religious sanctuary. Thus, there is no need for beginning or end. Life continues as long as karmic action continues. In the cave, the narratives are presented in various modes: mono-scene, conflated mode, and continuous mode. These are the most common modes to tell a narrative tale.19 The miracle of the Burning of the Fire Dragon’s Shrine and the Imprisonment of the Fire Dragon in the Bowl (west wall, lower niches, anteroom) are uniquely narrated in two different niches in continuous mode. The continuous mode usually can provide a more detailed story for the viewers. Yet the artists in Yungang particularly favored the mono-scene and the conflated mode.20 The Asoka Jataka (west wall, top niche, north, anteroom) is a typical mono-scene tale, whereas the Dipamkara Jataka (east wall, top niche, north, anteroom) and Mara’s Temptation (east wall, top niche, south, anteroom), as usual, are typical conflated narratives.21 In the conflated mode, the protagonist appears only once, but in synoptic mode the protagonist appears repeatedly.22 In Yungang narratives, the protagonist mostly appears once only. The Syama Jataka in cave 9 is the only story narrated in a successive series of panels to emphasize the Confucian concept of filial piety.

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Let us first focus on the various modes of the narratives in the cave under examination, so as to see how viewers would respond to them. This is a rather important issue since it will help us understand the possible ritual practices and activities in the cave, and ultimately reconstruct the initial function of this religious space. It is important to explore not only the material details, but the function of a Buddhist cave, since this will cast a broader light on the social role of a Buddhist community. It should be pointed out first that many narrative modes, whether monoscenic, conflated, continuous, or synoptic, require a viewer’s knowledge of the texts in order to grasp the meaning of the narrative. In other words, the artist relied on a knowing viewer.23 Yet even the knowing viewer must closely scrutinize the scenes to read the story accurately.24 Only those who previously knew the story and could read the episodes in their correct sequence, supplying the missing narrative elements from their memory, could read the “illegible” narratives.25 They were able to add the missing pieces of the story to complete the narrative. This inference leads to three conclusions. One: the cave was probably used exclusively by the Buddhist elite who were familiar with the canonical sources and were able to decipher the narratives. Two: some sort of guidance was made available in the cave to allow lay people to understand the narratives and their implications. Three: the caves thus had a practical function: to help viewers comprehend the edifying visual images together with their implicit messages.

Ritual and function in a rock-cut cave sanctuary First, it is unlikely that cave 12 served only the court and the elite when it was being used. Yungang, as a court cave, was constructed to make sure that the Dharma teaching would be carried down eternally without interruption. One of the key functions of Yungang and other Buddhist temples is to fudao minsu (instruct the mass laity) and to encourage their religious faith.26 In addition, the inscriptions found in Yungang indicate that the yiyi community was actively involved in Yungang even during the second phase.27 Therefore, it is highly unlikely that the cave was constructed exclusively for the elite or the court. This leads us to believe that there might have been some kinds of practices to guide the mass laity in the cave. The most common explanatory formats of the time were sengren changdao, fashi jiangjing, and sujiang.28 And the most effective and direct expedient means for guidance and proselytization were the pictorial jataka, nidana, and avadana stories and parables. These illustrated, edifying narratives of karma and rebirth were often used in canonical texts. The Buddha used innumerable expedients and various types of nidanas and avadanas while he preached the Lotus Sutra. These Indian Buddhist literary genres usually functioned either in a scriptural or in a performative setting as explanatory devices, ideal materials for changdao or sujiang. As narratives, they provide the auditor with a variety of situations modeling karmic acts and their

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consequences.29 In addition, they function as ethical guides; above all, they are a stimulus to action.30 Stanley Abe suggested that the narrative paintings in cave 254 in Dunhuang were possibly used to illustrate an oral presentation.31 Jiangjing lectures and visual images (either painting or sculpture) would complement one another. Both carried the responsibility of spreading Buddhism among all classes of people. During the Six Dynasties period and early Tang, the most popular proselytizers were “singing and leading preachers (changdaoshi)” who recited narrative tales in conjunction with sutra exegesis while preaching to diverse audiences. In his Gaoseng zhuan, Hui Jiao devoted an entire chapter to a description of changdao.32 This is a demonstration of the prevalence and significance of changdao during the Northern and Southern Dynasties. He started the chapter by explaining that changdao was used to promote Dharma teaching by singing in order to instruct the mass laity.33 According to Hui Jiao: This type of preaching came into practice in former times when Buddha’s law was first being transmitted. At maigre feasts there were assemblies that only recited Buddha’s name and scriptures. When midnight came, [the congregation] would be exhausted. In order to revive [everyone], elder monks would be invited to ascend the dais and preach the law.34 These monks would ‘either narrate miscellaneous nidanas or cite avadanas.’35 The magically convincing ability of the changdaoshi was awe-inspiring. Hui Jiao describes their performances as follows: The cadence of their voices rises and falls, their arguments are strong, their words without end. When they talk of death [impermanence], it makes everyone’s heart tremble with fear. When they talk of hell, it makes everyone weep. When they inquire after past causes, it is as if everyone sees their past deeds. When they investigate fruits of present [deeds], each person’s future rewards are demonstrated. When they talk about joy, everyone is happy. When they narrate sorrowful things, then everyone weeps and is sad.36 含吐抑揚辯出不窮言應無盡. 談無常則令心形戰慄, 語地獄則使怖淚 交零, 徵昔因則如見往業, 覈當果則已示來報. 談怡樂則情抱暢悅, 敘哀 慼則灑淚含酸.各各彈指人人唱佛, 爰及中宵後夜鍾漏將罷. Hui Jiao further explains that these monks ought to possess four valuable skills to be good orators for changdao: a sonorous voice 聲 (sheng), the ability to argue 辯 (bian), talent 才 (cai), and broad knowledge 博 (bo).37 He also noted that these preachers were not necessarily experts in canonical scriptures.38 Rather, they were storytellers who used narrative tales to

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educate the laity, and they reached as wide an audience as possible, adjusting their preaching to diverse groups, popular and elite, lay and religious.39 The stories narrated by changdao specialists were part of a larger liturgical program. Both types of performances of karmic narratives complemented the more formal use of sutras through their function as didactic entertainment designed to elicit interest in the general populace. They also share the same temporal placement as the evening or night service, held either before or after the lecture or recitation of scripture. Monks specializing in the enactment of these karmic stories participated in a long tradition of formalized storytelling with its roots on the Indian subcontinent.40 Cave 12 provides an ideal venue for changdao activities, preaching, and singing with a variety of lively musicians from all regions and cultures playing all sorts of pipes and lutes.41 The musical divinities are by no means represented randomly without any symbolic purpose in a functional religious space. They had never been represented in such a high concentration in one cave as they were here. Besides, these musical deities are represented in a very peculiar way: they are right beside the narratives as if each story is told in accompaniment with musical composition. Cave 12 would be perfect for such performances judging from the architectural structure, the subjects, and visual pictorials. In addition to changdao, I would propose, that other common practices such as jiangjing and sujiang were performed in the cave, in particular, jiangjing, which prevailed in Pingcheng, the capital. Jiangjing here is conducted by way of changdao. It was a common practice of the time. Tandu 曇度, the famous jiangjing fashi, began to lecture widely and actively as soon as he arrived in Pingcheng, and had thousands of auditors.42 Many Xuzhou eminent monks are known to have given lectures in Pingcheng and they played a significant role in the prominence of jiangjing activities there during the Taihe era of Emperor Xiaowen.43 The Guang Hongming ji also tells us that Xuzhou monks conducted changdao in lecturing on the Noble Truths of Buddhist teaching.44 Many other Buddhist caves, such as those in Kucha in the Northern dynasties, have lecture halls (jiangjingtang 講經堂) as well.45 Ding Mingyi and others suggested that the square caves in Kizil are all jiangjingtang.46 Giuseppe Vignato pointed out that jiangjing lecture-hall caves are typical in Kucha and many ruins of the caves indicate the same feature.47 Clearly jiangjing in caves was a common practice in the Northern dynasties. According to an important Vinaya text, the Genben shuo yiqie youbu pinaiye zashi (Mulasarvastiva davinaya), the purpose of narrative illustrations of the Buddha’s life and Jataka stories in lecture halls was to spread Dharma teaching and proselytize, to make sure the Dharma teaching was carried down eternally.48 This further proves that the narratives had a didactic function and were used in a religious space as an expedient means to proselytize the mass laity. The narratives were useful visual aids for the oral practices of changdao and jiangjing. Rock-cut caves are essentially the same as Buddhist monasteries, and can be used as lecture halls.

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A sutra lecture (jiangjing) was a religious service given by a fashi (Dharma master) to monks and laymen.49 It was then explained in detail by disciples. Dao’an 道安, for example, often repeated the lectures given by the master, Fotucheng 佛圖澄, and then gave lectures himself afterwards. He was called a qidaoren 漆道人 (black monk), and his lectures sometimes shocked audiences in the Buddhist community.50 The rituals of sutra lecturing were usually supported by the imperial house and welcomed by the common people.51 Many literary sources mentioned such religious activities. For example, Yao He (early 9th century) wrote that when a sutra lecture was held in a town, the wine shops and markets emptied and all the fishing boats disappeared from nearby lakes.52 The abundant records of sutra lectures attest to their great popularity even in the Tang. Sutra lecturing was as popular as sutra painting in the Tang.53 The goal was to proselytize and make Buddhist teaching comprehensible to different audiences, using either visual narratives or performative explanatory activities, as the eminent monk Hui Jiao suggested: In propagating Buddhist doctrines, it is not necessary to speak incisively of impermanence and to discourse trenchantly on repentance. For rulers and elders it is necessary to cite popular allusions and interweave set phrases. For the numerous masses of commoners, it is necessary to point to events and construct shapes, to speak directly of what is seen and heard. For mountain folk and desert dwellers, it is necessary to use neighborly words and to reproach them with terms that arouse feelings of guilt.54 Evidently even during the time of Huijiao and Yungang, making Buddhist teaching comprehensible to people from all walks of life was just as important as it was to be in the Tang. To have sutra lectures and oral presentations to ensure that the precepts are fully understood by everyone was the primary goal of any religious space including Yungang, especially the cave in question. Therefore, it is not unreasonable to believe that Yungang, as an active Buddhist center, and in the capital, had fashi to give sutra lectures and oral presentations. Fashi jiangjing and sengren changdao were prevailing practices of the time. Based on the iconography, subject matter, and the architectural space, I believe that it is highly likely that both changdao and jiangjing oral presentations were used as an expedient means to support and guide the laity (fudao minsu) and to proselytize diverse audiences.55 Another prevailing expedient technique used to fudao minsu was sujiang, popular lectures for lay people. Sujiang was an articulated program of ritual texts and actions performed by monks for the well-being of both lay people and clergy. Victor Mair argues that sujiang actually started as early as the Six Dynasties period.56 Zanning in the Seng Shi Lüe 僧史略 also proved an earlier date than Tang for sujiang and recorded that sutra lectures given by nuns began with a certain nun named Daoxin (道馨) in the third year of

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Taihe (368) during the Eastern Jin (317– 420) in the Eastern Temple 東寺 in Luoyang.57 Scholar Xiang Da proposed that sujiang is similar to changdao and is actually derived from the latter.58 They both are intended to proselytize the laity and make the profound Buddha Dharma more comprehensible. Changdao focused on explaining the Dharma theories, whereas sujiang was centered on canonical scriptures 唱道以說理為主, 而俗講則根本經文.59 Sujiang was often accompanied by music. Two Dunhuang manuscripts (P. 3849 and S. 4417) provide detailed sequences of the steps necessary to perform a popular lecture: The Dharma master would explain the sutra, the cantor would sing the title and text passages of the sutra (it starts with the introductory phase ‘please sing (chang jiang lai)’ and would direct questions (nan) to be answered (tong) by the Dharma master. The typical format of sutra lecture texts is an initial quote from the sutra in question followed by a passage of explanatory prose, reiterated as explanatory verse, with the pattern then repeated throughout the work. Contents range from exposition of such complexities as the relationship between the transcendental Buddha (fashen) and the Buddha of transformations (huasheng) to such basic tenets for laymen as accepting the Three Refuges (sangui) and taking the Five Vows (wujie).60 These liturgies typically centered on the exegesis of a particular sutra, such as the Lotus Sutra, Vimalakirti Sutra, and Amitabha Sutra. These lectures would begin in the morning and take place on festival days, or at maigre feasts (zhai), or by imperial command.61 The Lotus Sutra and Vimalakirti Sutra were influential in image-making in Yungang, as we see the visual representations of Śākyamuni Buddha and Prabhutaratna seated side by side and the legendary debate between Vimalakirti and Manjusri (the visual symbols of the Lotus Sutra and the Vimalakirti Sutra respectively) throughout Yungang. They were, however, not the only influential sacred texts there. The sutras translated by Tanyao, the chief in command of śramanas in Yungang, who gathered hundreds of monks to translate the sutras there, played a significant role in image-making as well.62 Scholars have not grasped, and consequently have failed to sufficiently emphasize, the impact of the sutras translated or produced in Yungang on the visual representations. The narratives represented in caves 9 and 10 reflect strongly the close association between the images and the sutra translated by Tanyao and others, the Zabaozang jing, a collection of the karmic narratives, which was, as mentioned previously, compiled and translated in Yungang in 472.63 The narrative stories on the south wall of the main chamber in cave 9 visually highlight the tenet of the sutra. As Mizuno aptly noted, “they serve to illustrate the close connection between the construction of the caves and the translation of the sutras by Tanyao.”64 These stories are represented only in caves 9 and 10, which were constructed, as we discussed in the previous

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chapter, between 484 and 489. The fact that the narrative stories from the Zabaozang jing are only represented in caves 9 and 10 can further prove that the sutras translated in Yungang had an impact on image-making there. These stories cannot be found in any other caves earlier than 472, the year the sutra was translated. Another source that deserves scholarly attention is the aforementioned fabricated sutra, the Tiwei Boli jing. This text, drawn from the Lalitavistara text, I would like to suggest, possibly had an impact on the imagemaking in Yungang, especially in cave 12 since what cave 12 presents us with, both in visual images and subject matter, conforms to the tenet of the text. Both emphasize karmic acts and rebirth, and both advocate perseverance to Enlightenment. Several sources suggest that the sutra was fabricated in Yungang during the series of reforms carried out by Tanyao who was still recovering from the Buddhist persecution.65 Daoxuan notes that the sutra was instrumental for common lay people in guiding their faith and karmic practice.66 It was more easily accepted and comprehended by the mass laity. It would be more reasonable to use a text that was influential and produced in Yungang while making images as a visual aid. However, scholars have not explored the possible connections between image-making in a rock-cut sanctuary space and the fabricated sutras, which sometimes are more influential than the orthodox canons in educating the mass laity. We should not neglect the significance of the fabricated sutras. This leads to the next topic: the TWBLJ.

Folk faith, karmic practice, and the Tiwei Boli jing The sutra TWBLJ is primarily concerned with karmic acts and rebirth, and it was produced for lay people.67 The emphasis on karmic action is prominent in texts that were written expressly for common lay Buddhists such as the TWBLJ.68 According to Kenneth Chen, the TWBLJ is the earliest expression of the Plebeian Buddhist tradition and represents the first known attempt to align the pancasila (the five precepts in Buddhism) with the five Confucian permanents (virtues) and the five elements theory in Daoism. The sutra therefore signaled a Buddha-Daoist synthesis in early Chinese Buddhist history.69 The Buddha said: “those who want good fortune in the next life, read this sutra; those who want a long life in the next rebirth . . . who want to follow the way of Buddha . . . acquire wisdom . . . and attain nirvana, read this sutra.”70 Plebeian Buddhism is also known as ren tian jiao (human-heaven teaching) and its social organization is known as yiyi or yihui. The Buddha was said to have taught the ren tian jiao to the two merchant brothers Tiwei and Boli during the first 21 days after his Enlightenment: The first period is when the Buddha, soon after his enlightenment, preached to the two merchants, Tiwei (Trapusa) and Boli (Bhallika), along with their five hundred followers, the five precepts (pancasila) and

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This passage provides two visual messages for us: one, the Buddha preached the TWBLJ to the two brother merchants, the protagonists of karmic acts in the text; and two, their 500 followers were in the audience. The tales of the sutra conform to the visual narratives of cave 12 nicely. The visual and literary stories coincide. One is thus led to believe that there is possibly a link between the text and the visual images. The karmic narratives are all highlighted in prominent positions and portrayed in large niches. The two brother merchants and the 500 followers are presented on the south wall of the main chamber in large niches. It is hard to believe that the representative karmic tales shown in the cave are by random choice or by accident. The overall arrangement is too coherent to be random. The tales must have been selected to serve the purpose of the cave sanctuary as a functional religious space. Besides, the tales of Trapusa and Bhallika and 500 merchants are not the most favored subjects that appear frequently in Buddhist cave sanctuaries. But here in cave 12 the stories are stressed in large niches and prominent positions. There must be a reason that these narratives are emphasized. I would suggest the possible association between the influential fabricated sutra TWBLJ and image-making. Another factor that must be considered is that the text was produced in Yungang and it was very popular at the time.72 It was particularly instrumental in teaching to the lay people.73 It is therefore not unreasonable to infer that the sutra produced in Yungang had an impact on the image-making there. After all, the tenet of the text on karmic acts and good deeds, and on proselytization is precisely what the cave advocates. Both emphasized the determination and perseverance of the Buddha before his Enlightenment, and both advocate good deeds and their consequences. The philosophy of Buddha’s preaching to the two brothers and the 500 followers in the sutra is essentially the same: the performance of good deeds for the sake of better rebirth as humans (ren) or in heaven (tian) as gods. The TWBLJ was an attempt, initiated by Tanyao, to educate a significant number of common people attached to Buddhist institutions as a result of the Sangha and Buddha households.74 Cave 12 would provide an ideal venue to serve this purpose. The diversified and yet unified subject matter and visual representations in the cave all function together to educate, inspire, and proselytize the common people. Tanyao, the leader of the śramanas, who lamented over the destruction caused by Buddhist persecution (446–52) and rejoiced over the revival and prosperity, gathered a group of monks in the Beitai Grotto Cave (Yungang) to translate various sutras so that the Dharma would be transmitted to later generations and continue unbroken.

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At that time, a certain monk named Tanjing, seeing that the older translations of various sutras were lost in the fire of the Buddhist persecution and that there was nothing to instruct the common people with during the days of the Buddhist revival, produced the TWBLJ in two scrolls. The purpose was to lead the people to higher understanding, but there was much that was false in its teachings. . . . In the old catalogue of sutras, there was a TWBLJ in one scroll, the teaching of which is in keeping with other sutras. But Tanjing mixed stone with gold and therefore the work is said to be a fabrication. Its whereabouts are unknown. In the early years of the Kaihuang period (581–600), the people around Guannei (the Wei River) still frequently practiced the Ti-wei cult. Members of this yiyi would put on robes and hold bowls every fortnight, keeping the precepts and watching over each other. The cult is widespread with many followers.75 Daoxuan tells us several things here. One, the sutra was produced in Yungang. Two, Tanjing knew Tanyao. Three, the text was written for lay people. Four, the ti-wei cult was popular and had many followers. Thus, it is clear that the sutra was known to the Yungang community, and that the sutra was significant in instructing the yiyi common people. Many yiyi community people were actively involved in the activities in Yungang, as we observe in inscriptions. An inscription in cave 11 explicitly indicates that a group of about 54 yiyi people were dedicated to a certain niche.76 All these reasons made us believe that it is highly likely that the sutra inspired the artists of Yungang who were involved in the construction of cave 12. It would be odd not to use this instrumental text, which was produced in Yungang, and was popular, as a source to depict visual narratives, or not to use pictorial stories and parables as an aid to educate the mass community. It has been suggested that Buddhist literary texts indeed exerted an influence on the image-making of Yungang. Li Jingjie, for example, proposed that the Lotus Sutra influenced all the subject matter in Yungang.77 It was, however, argued that the image-making at Yungang was heavily influenced by sutras such as the Dajiyi shenzhou jing, the Zabaozang jing and others translated or fabricated in Yungang.78 It is hard to believe that a popular and influential sutra, produced in Yungang, would not be used, but other sutras would, as a reference for artistic representation. Furthermore, the sutra was produced to instruct the common lay people for a “higher understanding.” Pictorial stories would be a great way as an “innumerable expedient means” to achieve the goal. Therefore, I would propose that it is entirely possible that the sutra was instrumental for image-making in Yungang, in particular, in the cave in question. It enriched the subject matter of the cave, and at the same time, visual presentations make the text more comprehensible. The narratives on the north wall of the anteroom and south wall of the main chamber vividly depict what the sutra narrates and philosophically promotes. The two merchants’ stories are illustrated in detail and are shown in prominent positions. The emphasis on the story is obvious.

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The connection between the text and image-making is convincing. Likely, both the TWBLJ and the Zabanzang Jing were used (cave 12 and caves 9 and 10, respectively) in preaching and singing activities, as Mizuno aptly argued, “They serve to illustrate the close connection between the construction of the caves and the translation of the sutras by Tanyao.”79 Mizuno further suggested that Tanyao translated the sutras in Yungang itself and the caves must therefore have been excavated under his direct and active leadership, and the forged scripture, the TWBLJ, was intended to induce men to practice his faith. Tanyao’s simple approach to the faith as reflected in the TWBLJ and Jingtu Jing easily gained a hold over the population.80 This is so true regarding the forged sutra TWBLJ that I would argue the sutra was a major visual source for the subject matter of cave 12, and likely caves 7 and 8. As I have suggested, much of the subject matter in cave 12, the Dipamkara Jataka, the Asoka Jataka, and the four divinities offering bowls to the Buddha, just to name a few, are all related to karmic rebirth, the attainment of merit, and good deeds. All the narrative illustrations in the cave are centered on karmic concern, the core teaching of Buddhist philosophy and the TWBLJ. Karmic concern is one of the most prominent characteristics of Liangzhou Buddhism, which had a profound impact on Northern Wei Buddhism and practices. The work of Dharmaksema and Liangzhou Buddhism as a whole shaped many important characteristics of Buddhist practice in northern China during the 5th century.81 The Weishu notes that when Liangzhou was pacified in 359 by the Northern Wei, people from the capital of the Northern Liang migrated to Pingcheng. Sramanas and Buddhist practices both went east, and both images and Buddhist Law prospered more and more.82 Therefore, as has been suggested, Buddhist practices found in the area of Pingcheng after the relocation must have been transplanted from Liangzhou.83 The focus of cave 12 is karmic actions, as can be said of other second-phase caves. The function was on image worshipping, circumambulation, and other karmic actions and practices. The Mingseng Zhuan 名僧傳 provides an account of a Maitreya-related meditative practice of a Dunhuang monk, Daofa: Whenever Daofa begged for food or was served at a maigre feast, he would use part of his own portion to feed the insects and birds. He used to sit in meditation and chant, day and night without a halt. At night he would strip off his clothes before the image of Maitreya, to give the mosquitoes something to feed on. After several years had gone by in this way, he saw the Maitreya emit lights of various colors.84 This account provides us with a vivid picture of the significant features of Liangzhou Buddhism and practices in the 5th century: the utilization of images to assist practices, the central role of Maitreya, and most importantly, the emphasis on the results of karmic actions.85 It should be noted that the key characteristics of Liangzhou Buddhism are consistent with those of cave

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12 and of the TWBLJ. This association indicates that both Liangzhou Buddhism and the TWBLJ played a role while the cave in question was being conceived. Another characteristic of Liangzhou Buddhism is the circumambulation practice. The practice is also emphasized in the TWBLJ. However, the sutra does not mention the stūpa, around which the circumambulation ritual is usually practiced; rather, the Buddha gives instructions on the ritual of circumambulating the statue and the benefit of the ritual practice: Circumambulation will produce five rewards: the person will gain a good complexion in his next life; his voice will be fine; he may be reborn in heaven; he may be reborn into families of lords and nobles; he may gain nirvana. What causes the good complexion? It is his rejoicing in seeing the Buddha. What causes the fine voice? It is his reciting the sutra while circumambulating. What causes the rebirth in heaven? It is his will and intentional faithfulness to the precepts while circumambulating. What causes rebirth into aristocratic families? It is his act of honoring the feet of Buddha with bowed head and face. What causes the attainment of nirvana? It is the accumulation of good karma.86 The Buddha further explained to the elder brother: In circumambulating the statue, three acts should be present. In raising your foot, reflect upon the act of raising your foot. In putting down your foot, be mindful of the act of putting down your foot. Thirdly, you should not look left and right or spit within the temple compound.87 Evidently, this emphasizes the effort of accumulating good karma and the ritual of circumambulating the statue. Caves 5, 9, and 10 in the second phase are image caves and all of them have a vaulted passage behind the primary Buddha image in the cave for circumambulation. Circumambulating images to accumulate good karma was a common practice of the time.

Concluding remarks Cave 12 is richly diversified both in art décor and subject matter and every single space on the walls is illustrated. One can easily feel the splendor of this religious space in the 5th century: the ingenuity of the multicolored images, the refined workmanship and the charming narratives of karma and rebirth. The carving is so fine and meticulous, and the narratives are so appealing that a devotee would be drawn into the devotional space immediately and focus on religious aspiration. As a Buddhist cave sanctuary, cave 12 is an example of the perfect integration of folk faith, practice, and function in a religious space. As I have argued earlier, sutra lectures by Dharma masters (fashi jiangjing),

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vernacular sutra singing and preaching by clergy (sengren changdao), and vernacular oral presentation (sujiang) were highly likely to have been practiced in the cave based on the arguments presented above. It is through the visual narratives and these ritual practices, as guiding aids, that the key concept of samsara philosophy was comprehended by the mass laity. Changdao and sujiang played significant roles in proselytization and educating lay people. The basic teaching of the five precepts (not to kill, steal, drink, lie, or be adulterous) and the ten virtues as a code of conduct in China has functioned as the main guidance to daily conduct for lay Buddhists, and the tenet of the teaching was promoted through these ritual practices mentioned above. It is important to emphasize the roles of oral rituals in a religious space. The performance of good deeds will guarantee a better rebirth to the devotee. The Pure Land faith or Chan wisdom are not seen leading to Enlightenment or Buddhahood. Only worship and acts of donation counted.88 The strong belief in karmic acts and good deeds in the yiyi community led to a zeal for image-making and donation during the 5th century. It is the karmic optimism that inspired the common people to become devout and convert. The attainment of merit through hard work and dedication is promised to promote the rebirth as ren in tian. The rentian cult at that time was powerful and popular, and it was still popular during the Sui dynasty.89 Daoxuan described the yiyi members as such: “members would put on robes and hold bowls every fortnight, keeping the precepts and watching each other.”90 It has been suggested that the Chinese peasants in the 6th century, at the urging of the Sila-conscious Liangzhou monks, were literally putting on coarse clothing and holding bowls in imitation of the monks’ uposatha and confessing their sins against the pancasila.91 Both Shixian and Tanyao were from Liangzhou and both were leaders of śramanas who “presumably adopted the ten full silas.” In summation, in this study I have attempted to bring scholars’ close attention to a unique Buddhist cave-chapel in the Yungang cave complex and emphasized the functions served by cave 12. I have argued that, as a religious space, cave 12 had a liturgical function for jiangjing, changdao, and sujiang, prevalent then in order to achieve a higher understanding of Buddhist teaching by the mass laity, and of the implications of the narratives presented in various modes. The narrative stories were the most convincing and direct means for proselytization and conversion. The aim of this study is to draw scholars’ attention to these issues and open another avenue to reconstruct and re-examine Buddhist caves in general. I wish to deepen our understanding of the function of the caves in the second phase, and draw the attention of scholars to the then instrumental sutra produced in Yungang, the TWBLJ. The visual representations, oral presentations, and architecture in a Buddhist sanctuary such as caves 5, 9, 10, and 12 of Yungang function as an integral entity to achieve the goal of spreading Buddha Dharma.

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Notes 1 According to the doctorial texts, the disciples of the three Kasyapas of Uruvilva poured water on the fire. The figures are shown in the usual forms of Brahmana with an emaciated body dressed in only a loin-cloth, hair dressed in a high knot and with a pointed beard. 2 For the modes of Buddhist visual narratives, see Dehejia Vidya. “On Modes of Visual Narratives,” in Dehejia Vidya, Discourse in Early Buddhist Art: Visual Narratives of India (New Delhi: Munshiram Manoharlal Publishers, 1997), 6. 3 See the Sutra of the Wise and the Foolish, trans. Hui Jue et al. in 445. T4: 202.368c. 4 The same illustration is seen in cave 9 as well. The identification of these two figures has been problematic and is still the subject of scholarly debate. Wang Huimin argues that the figure with a skull represents Mrgasirsa, while the other with a bird represents Nirgrantha-putra rather than Vasistha, as is usually suggested, see Wang Huimin, “Identifying the Heretic Figure Who Has Holding a Bird,” Dunhuang yanjiu, 1/119 (2010): 1. About the subject, also see Li Jingjie, “Guanyu Yungang dijiu, dishi ku de tuxiang goucheng,” in Yishushi yanjiu. Ed. Zhongshan daxue yishushi yanjiu zhongxin, vol. 10 (Guangzhou: Zhongshan daxue chubanshe, 2008), 330. 5 The tradition has it that the Buddha remained four weeks at the Bodhi-tree, the two traveling from Ukkula and being warned by a deity, approached Buddha and offered him the first meal: rice and honey cakes. The Buddha questioned, “Tathagatas do not accept food in their hands. With what shall I accept the rice and honey cakes?” Therefore, the four great deities brought four stone bowls, which he accepted, and from which he ate his first meal. According to the Lalitavistara, bowls of gold, silver, and various kinds of precious stones were offered and refused. The jataka says that the gods first offered him four sapphire bowls, which Buddha refused. Then he took the four stone ones, which fitted together and became one. See Edward J. Thomas, The Life of Buddha as Legend and History (London: Routledge & Kegan Paul, 1949), 86. This story is not only narrated in the primary textual source the Lalitavistara, several Pali texts such as Mahavagga, the Nidana Katha, and the Mahavastu also recorded the story. Lalitavistara, though, is the only one that mentions the magical stoppage of the carts. It introduces the forest goddess and gives details of the wheels sinking, harness straps coming loose, and parts coming undone, as well as the merchants’ vain efforts to get the carts moving, also see Dehejia, “Narrative Cycles at Gandhara,” in Dehejia Vidya, Discourse in Early Buddhist Art: Visual Narratives of India,” 203. 6 Some say six or even seven other precious materials: silver, jasper, crystal, amethyst, sapphire, and emeralds, see Alfred Foucher, The Life of the Buddha: According to the Ancient Texts and Monuments of India (Middletown, CT: Wesleyan University Press, 1963), 132. 7 This subject is often seen in Gandhara sculpture, from which the original edges of the four bowls can be easily observed. The bowl was revered in India as a worshipping object. See Lyons Islay and Harald Ingholt, Gandharan Art in Pakistan (New York: Pantheon Books, 1957). Also cf. Foucher, The Life of the Buddha, 132; the bowl was revered in India as a worshipping object. Fa Xian (c. 337–422) noted that the Buddha’s bowl was being worshipped in Peshawar. See Fa-hsien, The Travels of Fa-Hsien (399–414 AD); or, Record of the Buddhistic Kingdoms (London: Routledge & Kegan Paul, 1959), 104. Twice a day the precious relic was exhibited before the faithful, probably placed on a throne and protected by a dais such as is shown on a number of the bas-reliefs from Gandhara. See Foucher, The Life of the Buddha, 132. Fa-hsien, The Travels of Fa-Hsien, 127.

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8 Mizuno Seiichi and Nagahiro Toshio, Unkō sekkutsu, vols. 8 and 9, 99. 9 The Maitreya cult was also very popular, and meditation practice is usually associated with it. See Abe Stanley, “Art and Practice in a Fifth-Century Chinese Buddhist Cave Temple,” Ars Orientalis, 20 (1990): 8. 10 Mizuno and Nagahiro, Unkō sekkutsu, 8 and 9: 136–7. About the story of the two merchants offering food to the Buddha, also see Phyllis Granoff, “The Gift of the Two Merchants: Defining the Buddhist Community through Story,” East and West, 55, no. 1/4 (December 2005): 129–38. 11 Apparently, the artists did not use bulls or carts to represent the caravan, see Foucher, The Life of the Buddha, 131. The meal was something sweet made with honey and some peeled sugar cane. 12 When the Buddha attained enlightenment under the tree, he entered into a state of mystic meditation and remained plunged in a profound trance so long that on the seventh day the Tree-God thought of giving food to him in his trance. Halting them by causing all to stumble, he suggested to Trapusa and Bhallika, the leaders of the caravan, that they offer food to the Buddha and obtain great blessings in return. They mixed wheat flour with honey and came to the tree and offered the food to the Buddha. But the Buddha reflected that all Buddhas should receive offerings only in a bowl and would not eat from the hand like the common pious. Just then, the Four Deva Kings knew what was in the mind of the Buddha and immediately appeared on Mount Jamuna and out of a rock obtained four bowls and each of the Four Deva Kings offered a bowl to the Buddha. Fearing that if he were to accept only one of them, he might offend the other three kings, the Buddha accepted all four bowls. Placing them all on his left palm, he touched them with his right hand, made the four bowls into a nest of bowls, and then received the wheat cakes, and after converting the merchants to Buddhism he taught them to be devoted to Sangha by offering food and other necessities of life and thereby obtaining boundless blessings. See Taizi ruiying benqi jing, T3:185:479:23, translated by Zhi Qian, juan 2. Eng. translation, see Mizuno and Nagahiro, Unkō sekkutsu, vol. 5, 79. 13 Roland Barthes and Stephen Heath, Image, Music, Text (New York: Hill, 1977), 79. 14 Ibid. 15 Ibid., 109. 16 Foucher, A, 13. 17 Ibid., 16. 18 Ibid., 14. 19 This is the case for most of Chinese Buddhist caves. In Yungang, only Syama Jataka is depicted in continuous mode like a series of pictorials. The rest of the narratives are mostly highlighted in one scene. I believe the reason why only Syama Jataka is depicted in serial pictorial is that the visual representation is greatly influenced by Confucian filial piety. 20 Dehejia suggested that there are seven modes of visual narration that ancient artists used to tell tales of Buddhist legends. Monoscenic, continuous, synoptic, conflated, sequential and networked modes were typically used. Some of these modes are closely allied while others are vastly different, see Dehejia, “On Modes of Visual Narration,” 6. 21 Foucher notes that the Mara’s Temptation and the offering of the four bowls were two popular representations in Gandhara, and the two scenes were used interchangeably according to the donor’s desires, see Foucher, The Life of the Buddha, 132. 22 See Dehejia about conflated and synoptic modes, chapter one. 23 Dehejia, “On Modes of Visual Narration,” 23.

Considering karmic narratives 24 25 26 27

28

29 30

31 32 33 34 35 36 37 38 39 40

41 42 43

44 45

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Ibid., 21. Ibid., 23. Wei Shou (506–572), comp., Weishu (Beijing: Zhonghua shuju, 1974), 114:3030. Local religious and social organizations responsible for worship activities are called yiyi or yishe. This social organization is for the plebeian Buddhist faith, i.e., ren tian jiao 人天教, Man and Heaven Teachings. See Dorothy C. Wong, Chinese Steles: Pre-Buddhist and Buddhist Use of a Symbolic Form (Honolulu: University of Hawai‘i Press, 2004), 10. Sujiang, jiangjing and changdao were all popular activities in Buddhist communities at that time, see Xiang Da. “Tangdai Sujiang Kao,” in Xiang Da, Tangdai Changan yu Xiyu wenming (Beijing: Shenghuo, dushu, xinzhi sanlian shudian, 1957), 295–336. For a detailed description of the process of Changdao, see Hui Jiao (497–554), Gaoseng zhuan, T2059, 50:521a10. Schmid David Neil, Yuanqi: Medieval Buddhist Narratives from Dunhuang, Ph.D. Thesis (Philadelphia: University of Pennsylvania, 2002), 13. Schmid further suggested that striking similarities between the practice of changdao and the performance of Dunhuang Yuanqi indicate that the latter is a continuation of the former. He pointed out that both practices center on preaching through established genres of Buddhist narratives, nidana and avadana. As with karmic narratives from Dunhuang, stories were told by a single, unaccompanied monk in a specific religious framework, 22 and 85. Stanleyk Abe. “Art and Practice in a Fifth-Century Chinese Buddhist Cave Temple.” Ars Orientalis. vol. 20 (1990), 11. Hui Jiao, Gaoseng zhuan, T2059:50:415–418a. T2059:50:417c. T2059:50:417c. English translation see Schmid, Yuanqi, 156. T2059:50:417c. T2059:50:418a. English translation by Schmid with revision, 164. T2059:50:417c T2059:50:417a. T2059:50:417c. Also see Schmid, Yuanqi, 165. See Schmid chapter 5, note 49, 157. Also see Strong John, “The Buddhist Avadanists and the Elder Upagupta,” in Tantric and Taoist Studies in Honour of R.A. Stein, Mélanges Chinois et bouddhiques XXII. Ed. Michael Strickmann (Bruxelles: Institut Belge des Hautes Etudes Chinoises, 1985), 862–81. He pointed out the existence of such a tradition in India centering round “avadanists” (avadanika) and experts in “avadanas” (avadanarthakovida); Lamotte Etienne also discusses monks who generated interest before the actual teachings of the law by telling stories of generosity, morality, and heaven, known as amapurvikatha or purvakalakaraniya. They often employed illustrations, particularly in the form of the wheel of life (samsaramandala), in their preaching, see Schmid, Yuanqi, 157. Based on my observation, there are 35 different kinds of musical instruments in cave 12 alone. T2059:50:375b. For eminent monks jiangjing in Pingcheng, see Tang Yongtong, Hanwei Liangjin Nanbeichao fojiaoshi (Changsha: Shangwu yinshuguan, 1938), 600. Also, see Zhang Zhuo, Yungang Shiku Biannianshi, (Beijing: Wenwu chubanshe, 2006), 424–5. T.2103.52:273a. See Angela F. Howard and Giuseppe Vignato, Archaeological and Visual Sources of Meditation in the Ancient Monasteries of Kuča (Laiden: E. J. Brill, 2014).

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46 Ding Mingyi and Ma Shichang, “Kezi’er shiku de fozhuan gushi,” in Zhongguo shiku Kezi’er shiku. Ed. Xinjiang weiwuer zizhiqu wenwu guanli weiyuanhui, vol. 1 (Beijing: Wenwu chubanshe, 1989), 213. 47 Giuseppe Vignato, Districts and Groups: An Archaeological Investigation of the Rock Monasteries of Kucha (Shanghai: Shanghai guji chubanshe, 2013), 81. 48 Mulasarvastiva davinaya (Genbenshuoyiqieyou bu pinaiye zashi). Translated by Yi Jing in the beginning of the 8th century. T24n1451: 0283b05(08). 49 Wu Hung, “Born in Paradise: A Case Study of Dunhuang Sutra Painting and Its Religious, Ritual and Artistic Context,” Orientations 23, no. 5 (May 1992): 55. 50 T2059:50:351c 51 Wu, “Born in Paradise,” 55. 52 Ibid. 53 Ibid. 54 T2059:50:417. English translation by Wu Hung. 55 On Changdao, see Gaoseng zhuan, T50:2059:418b01. Also see He Jianping and Zhou Xin, “Nanbeichao fojiao changdao de diben,” Xinan minzu daxue xuebao, vol. 9 (2013): 64–70; Lu Lizhi, “‘Changdao’ bianzhang,” Zongjiaoxue yanjiu, vol. 1 (2012): 160–6. Chen Shuo, “Dunhuang yishu zhong de ‘changdao’ yishi yu changdaowen zhi guanxi tanwei,” Gansu shehui kexue, vol. 4 (2012): 244–7. 56 Victor H. Mair, Tun-huang Popular Narratives (Cambridge: Cambridge University Press, 1983), 6–7. 57 See Xiang Da, “Tangdai Sujiang Kao,” 299. Also see Zanning, Da Song sengshi lüe, T54:2126:239b. 58 Ibid., 305. 59 Ibid., 301. 60 English translation, see Schmid, Yuanqi, 153. 61 Ennin gives thorough descriptions of the presentation of popular lectures, see Ennin Reischauer and Edwin O. Reischauer, Diary: The Record of a Pilgrimage to China in Search of the Law (New York: Ronald Press Co., 1955), 151, 152, 154, 298–299, 310, and 316. 62 T2060:50:428a. 63 For instance, the narratives of celestial maiden dedicating lamps (east wall, anteroom), the conversion of Nanda (east wall, anteroom), the woman who hated desire and became a nun (east wall, main room), the story of Svastika bird and Mahaprabhasa and elephant trainer (south wall, main room) represented in cave 10 and the narrative illustrations of Gautama Buddha meeting Rahula (anteroom, west wall), celestial maiden dedicating the canopies (main room, south wall), two brothers became monks (main room, south wall), Nirgrantha-putras redeemed by Buddha in the Fire Samadhi (main room, south wall, west part), eight celestials taught by Buddha (main room, south wall, west part), Hariti lost her son, Pingala (main room, south wall, west part), and offering of meal by Sudatta’s wife (main room west wall) in cave 9 are all derived from the stories in the Zabaozang jing. According to the record of the Chu sanzang ji ji by Sengyou of the Liang, the Za baozang jing contains 13 juan, the Fufazang yinyuan zhuan has 6 juan, and the fangbian xinlun contains 2 juan. The three texts have 21 juan in total, and they were translated in the second year of Yanxing (472) by Tanyao and Kekaya. Sengyou, Chu sanzang ji ji. Annotated by Su Jinren and Xiao Lianzi (Beijing: Zhonghua shuju, 1995), 62–3. 64 Mizuno and Nagahiro, Unkō sekkutsu, vol. 13, 96. 65 Cao Ling, Zhongguo Fojiao Yiweijing Zonglu (Shanghai: Shanghai guji chubanshe, 2011), 84. 66 Daoxuan, T50:428a.7–12. 67 The first significant scholarship on the subject is by Japanese scholar Tsukamoto Zenryū, see Shina bukkyō no kenkyū: Hokugi hen (Tokyo: Kobuntō, 1942), 293–354.

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68 Abe, 3. 69 Kenneth K. S. Chʻen, The Chinese Transformation of Buddhism (Princeton, NJ: Princeton University Press, 1973), 56–8. 70 Makita Tairyō, “Tonkohon Daii-kyō no kenkyū,” Bukkyō Daigaku daigakuin kenkyū kiyō, I (1968): 149–150. 71 Whalen W. Lai, “The Earliest Folk Buddhist Religion in China: Ti-wei Po-li Ching and Its Historical Significance,” in Buddhist and Taoist Practice in Medieval Chinese Society. Ed. Chappell David W (Honolulu: University of Hawaii Press, University of Hawaii Press, 1987), 15. Makita Tairyo identified a Dunhuang text (Stein no. 2051 in the British Museum) as the second scroll of the TWBLJ. See Makita Tairyō, “Tonkohon Daii-kyō no kenkyū,” in Bukkyō Daigaku daigakuin kenkyū kiyō, I (1968), I:137–85; and II (1971), 165–97. 72 Daoxuan, T2060:50:428a. 73 Lai, “The Earliest Folk Buddhist Religion in China,” 13. 74 Ibid., 13–14. 75 Daoxuan, T2060:50:428a. English translation with minor revision, see Lai, “The Earliest Folk Buddhist Religion in China,” 15. 76 The inscription is on the east wall of cave 11 in the upper level. 77 Li Jingjie, “Guanyu Yungang dijiu, dishi ku tuxiang goucheng,” 327–59. 78 See Lidu Yi, The Third-Phase Yungang Cave Complex: Its Architecture, Subject Matter, Composition and Style, Ph.D. Dissertation (Toronto: The University of Toronto, 2010), 118–19. 79 Mizuno and Nagahiro, Unkō sekkutsu, vol. 13, 96. 80 Ibid., 96. 81 Abe, 2. 82 Weishu, 114:3037. 83 Sato Chisui, “The Character of Yün-Kang Buddhism: A Look at the Emergence of a State-Supported Religion in China Under the Northern Wei,” The Memoirs of the Research Department of the Toyo Bunko, vol. 36 (Tokyo: Toyo Bunko, 1978), 67–73. Also see Lai. “The Earliest Folk Buddhist Religion in China,” 13–14; and Abe, 2. 84 The Mingseng zhuan was complied by Baochang 寶唱 in the early 6th century. It is a collection of Buddhist monks’ biographies. Unfortunately, only a fraction copied in 1235 by the Japanese monk Shusho was preserved. Shusho, comp., Meisodensho, reprint from Dai Nihon zoku zokyu (Taibei, 1975), 13. Translation see Coburn Soper A. “Literary Evidence for Early Buddhist Art in China,” Artibus Asiae, Supplementum, 19 (1959): 54. 85 He died in 472. Also see Abe, 4. 86 Lai, “The Earliest Folk Buddhist Religion in China,” 26. 87 Ibid. 88 Ibid., 16. 89 Tang Yongtong, 586. 90 T2060:50:428a. 91 Lai, “The Earliest Folk Buddhist Religion in China,” 20.

Plate 1 Shanxi caves

Provided by the Yungang Research Academy

Plate 2 Yungang complex on Mount Wuzhou

Plate 3 Tanmei inscription discovered in front of Cave 20, dated 503

Plate 4 Yungang Area satellite map

Plate 5 Ruin trances of lotus and tortoise patterns

Plate 6 Ruins of roof support, Caves 9 and 10 Provided by the Yungang Research Academy

Plate 7 Remains of the Siyuan monastery

Plate 8 Ethnic dancers, Shaling tombs, Datong, Shan’xi province Provided by the Yungang Research Academy

Plate 9 Manes jewels, Shaling tombs, Datong, Shan’xi province Provided by the Yungang Research Academy

Plate 10 Manes jewels, Cave 9

Plate 11 Seated Śākyamuni and Prabhutaratni, Cave 11-14, dated 489

Plate 12 Cave 19, south wall, west side, upper level, right attendant Buddha

Plate 13 Seated Śākyamuni and Prabhutaratni with a Bodhisattva (above), east reveal of window, Cave 17, dated 489, commissioned by a nun named Huiding

Plate 14 North wall, anteroom, Cave 9

Plate 15 Narrative scenes, east wall, Cave 6

Plate 16 West wall, anteroom, Cave 10

Plate 17 East wall, anteroom, Cave 9

Plate 18 Standing Buddha, west wall, Cave 6

Plate 19 Seated Buddha with legs crossed, west wall, Cave 30

Plate 20 Seated Bodhisattva with ankles-crossed, east wall, Cave 5-11

Plate 21 Mural paintings, Shaling tombs, Datong, Shan’xi province

Plate 22 External view of Cave 19

Plate 23 Seated Buddha, Cave 19

Plate 24 Seated Buddha, Cave 20

Plate 25 Standing Buddha, Cave 18 Provided by the Yungang Research Academy

Plate 26 Seated Bodhisattva with ankles-crossed, Cave 17

Plate 27 Standing Buddha, Cave 16

Plate 28 Seated Bodhisattva with ankles-crossed, Cave 13 Provided by the Yungang Research Academy

Plate 29 Central pillar, Cave 11

Plate 30 Seated Buddha and Bodhisattva (above) with Many Treasures stūpas, east reveal, window, Cave 11, dated 495

Plate 31 Inscription on the upper east wall, dedicated by an yiyi of fifty-four men and women, Cave 11, dated 483

Plate 32 Seated Buddha with legs pendant, north wall, Cave 9 Provided by the Yungang Research Academy

Plate 33 Svastika bird story, south wall, main room, Cave 10

Plate 34 Woman who hated desire and became a nun, east wall, main room, Cave 10

Plate 35 North and east walls, Cave 10

Plate 36 North and west walls, Cave 10

Plate 37 West wall, anteroom, Cave 9

Plate 38 East wall, anteroom, Cave 10

Plate 39 Central pillar, Cave 1

Plate 40 South wall, Cave 1

Plate 41 Seated Buddha with legs crossed, Cave 5

Plate 42 Great departure narrative story, south wall, Cave 6

Plate 43 Central pillar, Cave 2

Plate 44 Lower level, east wall, anteroom, Cave 12

Plate 45 Lower level, west wall, anteroom, Cave 12

Plate 46 Coved area, anteroom ceiling, Cave 12. Provided by the Yungang Research Academy

Plate 47 Upper level, east wall, anteroom, Cave 12

Plate 48 Upper level, west wall, anteroom, Cave 12

Plate 49 North wall, anteroom, Cave 12

Plate 50 East side, north wall, anteroom, Cave 12

Plate 51 West side, north wall, anteroom, Cave 12

Plate 52 North wall, main chamber, Cave 12

Plate 53 East reveal, window, Cave 12

Plate 54 West reveal, window, Cave 12

Plate 55 East wall, main chamber, Cave 12

Plate 56 West wall, main chamber, Cave 12

Plate 57 South wall, east side, main chamber, Cave 12

Plate 58 South wall, west side, main chamber, Cave 12

Plate 59 East wall, Cave 27

Plate 60 West wall, Cave 27

Plate 61 East wall, Cave 29

Plate 62 West wall, Cave 29

Plate 63 Entrance, Cave 35, dated 515

Plate 64 Seated Buddha with legs crossed, north wall, cave 5-11

Plate 65 Seated Buddha with legs crossed, west wall, cave 5-11

Plate 66 Xu Xianxiu tomb mural painting, Taiyuan, Shan’xi province

6

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The third-phase caves include primarily the cave temples that are situated at the western end of Yungang (caves 21–45, to the west of cave 20), caves 4, 14, and 15, niches scattered outside caves 11 and 13 on the cliff plain, and caves 5-10 and 5-11 above cave 5 on the hill. All these caves and niches were excavated after the capital was transferred southward to Luoyang in 494, and the excavation was continued through the Zhengguang 正光 reign period (520–25). During this period, Yungang still remained a Buddhist Mecca with fervent support of local official patrons and devotees. But, at the end of the Northern Wei, Pingcheng fell into a low ebb with constant riots near the capital involving, or even being led by, Buddhist monks; therefore, the construction of Yungang gradually came to an end (the latest inscription found thus far in Yungang is dated to 524 in cave 4).1 As the Jin stele records, “examining the surviving inscriptions, [the excavations of the cave temples] came to an end during the Zhengguang era 驗 其遺刻, 終乎正光.” The third-phase cave temples are relatively small in scale compared to the caves in the first two phases. Some can only accommodate one person, nothing as grand or monumental as the earlier caves that can “hold as many as three thousand,” as described in the Xu gaoseng zhuan.2 There are neither elliptical colossal image cave temples of the first-phase, nor paired caves with front chamber in imitation of wooden structure, characteristic of the second-phase cave temples. In spite of this, however, much innovation was brought forth based on the tradition of the cave temples of the first two phases. For example, rectangular or square cave plans with flat ceilings and three niches on three walls (sanbi sankan 三壁三龕) became the dominant architectural structure. A new trabeated niche style with a folding screen front emerged, as seen in cave 5-11 (see plate 20). In addition, the subject matter was rich, and iconographic composition was diversified. For instance, symmetrically opposed scenes appeared illustrating such narratives as “Great Departure” and “Outing on the Elephant.” In style, the images appear sinicized: graceful and refined. All of these demonstrate the distinctive features and infinite charm of the third-phase cave temples. To

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a certain degree, the cave temples of the third phase still played a pivotal role in the excavation of Buddhist rock-cut cave temples. They exerted great influence on the excavation of cave temples in north China. Their role in the process of the development of cave temples in the Northern Wei cannot be neglected. Without fully understanding the third-phase cave temples, it is hard to comprehend the process of development of Buddhist rock-cut cave temples in north China. Though deserving of study, however, they somehow eluded the attention of scholars. After nearly 100 years of academic research and investigation of Yungang, the primary focus was on the cave temples of the first two phases. Very little attention has been paid to these caves. One may well say that there are very few research results thus far. The architectural structure, subject matter, iconographic composition, and artistic style form an important part of the study of Buddhist rock-cut cave art. Therefore, I will attempt to examine the features of the third-phase cave temples from these perspectives and construct a dating scheme of the excavation, in hopes of bringing them sufficiently to the attention of the academic community. It should be explained here that the primary focus of this study is placed on the cave temples located to the west of cave 20, as well as caves 5-10 and 5-11 (35 caves in total).3 Other caves and niches that are severely damaged, difficult to climb up to on the cliff, or otherwise difficult of access, will not be touched upon. It should also be mentioned, since this is the first thorough examination of the third-phase cave temples, that the cave numbers used here follow the numbers compiled and edited by the Academy of Yungang Research.4

Architectural structure Buddhist cave temples can be divided into two basic types: liturgical service cave temples (libaiku 禮拜窟) and vihāra cave temples (sengfangku 僧房窟). There are, however, only liturgical service cave temples in Yungang, which can be subdivided into Buddha Hall image caves (fodianku) and caitya caves. All third-phase cave temples are image caves except cave 39, which is a caitya cave. It should be noted that the architectural structure here is divided into cave temples, niches, and ceilings. In fact, niches and ceilings belong to the part of cave structure, but since they are complicated and diversified, I will therefore treat them separately. 1. Cave structure Based on niche arrangement, the cave temples can be divided into six types: (1) three niches on three walls, (2) one niche on the north wall and storied niches on other walls, (3) storied niches on three walls, (4) no niches, (5) two niches on three walls, and (6) thousand Buddhas caves.

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Fig 6.1 Plan, cave 25

Three niches on three walls 三壁三龕 Three niches on three walls is the prevalent architectural structure in the third phase. It constitutes almost half of the third-phase cave temples. The cave temples include caves 22-1, 23-1, 24, 25, 27-2, 28, 32-11, 32-12, 33, 33-6, 34, 35, 37, 38-3, 40, and 41 (16 caves in total). To take cave 25 (fig. 6.1) as an example, a niche with seated Buddhas appears in the center of each wall in the cave.5 One niche on the north and storied niches on the other walls 北壁一龛, 侧壁重龛 Type two includes cave temples 21, 22, 24-1, 26, 33-3, 33-4, and cave 38 (seven caves in total). The north wall contains one large niche in which the Śākyamuni and Prabhutaratna are represented. The west and east walls are covered by storied niches. The top one is usually a trabeated niche containing a Bodhisattva with ankles crossed, and the lower niche, a pointed arch,

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houses the Śākyamuni and the Prabhutaratna. Cave 26 is an example of this type. Cave 38 is unique (as will be discussed in detail later): the east wall is covered with storied niches, but the north and west wall contain only one niche on each wall. Storied niches on three walls 三壁重龛 This configuration is seen in caves 27, 29, 30, 31, 32-9, and cave 36 (six caves in total). All three walls bear storied niches. According to the arrangements of the niches on the north wall, they can be subdivided into two types: either two niches or six niches on the north wall. The former includes caves 27 (fig. 6.2), 29 (fig. 6.3), and 30 (fig. 6.4), the north wall of which contains six niches arranged vertically in two tiers, three on each tier. The standing Buddha to the north side of the west wall in cave 30 has been looted (fig. 6.5).6 The latter group of this type includes caves 31, 32-9, and 36.

Fig 6.2 Plan, cave 27

Fig 6.3 Plan, cave 29

Fig 6.4 Plan, cave 30

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Fig 6.5 West wall, cave 30

Caves without niches 无龛窟 It includes only three caves (23, 25-2, and 28-2). In front of each wall in the cave, there is an altar on which a Buddha image appears. Caves 25-2 and 28-2 were mostly left unfinished, except for the main Buddha. The niches on west and east walls of cave 28-2 were added later. It is worth noting that this cave contains two inscriptions with explicit dates, one the fourth year of Zhengshi 正始 (507) and the other the third year of Yanchang 延昌 (514) on the west and east walls respectively. This implies that the excavation of cave 28-2 should not be later than 507. Two niches on three walls 三壁二龛 Cave 5-10 (fig. 6.6) and cave 5-11 (fig. 6.7) can be regarded as the best examples of the third-phase cave temples in visual aesthetics and representation. These are among the very few examples of colored sculpture images in the entire Yungang complex. The main wall contains no niches. There is a low altar on which all the images are standing. The east wall contains a trabeated niche and the west wall has a pointed arch niche.

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Fig 6.6 Plan, cave 5-10

Fig 6.7 Plan, cave 5-11

Thousand Buddha cave 千佛龛 Cave 36-2 is the only thousand Buddha cave. All three walls are filled with small thousand Buddha niches. At the bottom of each wall is the depiction of donors in procession. The north wall bears seven Buddhas between the thousand Buddha niches and the donors.

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2. Niche types There are four kinds of niches: (1) pointed-arch, (2) trabeated, (3) roofed, and (4) canopied niches, among which the pointed-arch and trabeated niches are the most popular and are represented in every cave, while the other two rarely appear. The niches are simpler and less ornate than those in the second phase. Some of the trabeated fronts are plain, without any ornament. The pointed-arch niche The pointed-arch niche usually comprises arched fronts, arched ends, and arched posts. The arched front is often decorated with narrative stories of the life of the Buddha or a row of seated Buddhas, normally seven, above which is a row of ornate garlands held by a row of aupapadukas (youths born by spontaneous transformation). The best representation of the arched front is exemplified by those in the west walls of cave 34, cave 28, and cave 25. The arched ends are normally terminated with animals (dragons, phoenixes, and unidentified creatures) that turn their heads inward as if looking towards the Buddha. The best examples of arch ends appear in cave 27 and cave 29 (discussed later). The trabeated niche This type consists of trabeation and posts that separate the niche into three parts, with the central niche usually containing the cross-ankled Bodhisattva, and left and right compartments bearing the seated Bodhisattva with one leg pendant. The trabeation is divided into a central part, rhomboidal parts, and wings. A looped curtain sometimes appears underneath the trabeation. The trabeated front is usually decorated with flying celestials and musicians as well as seated Buddhas. The most magnificent trabeated front is seen in the eastern wall of cave 21, where the flying celestials and musicians are soaring gracefully fluttering with movement. The trabeated front on the eastern wall of cave 5-11 is like a folding screen, in the center is a seated Buddha beneath which aupapadukas holding a row of garlands appear. The roofed niche This consists of chiwei (roof ridge ornaments), rafters, brackets, triangular ornaments, and side pillars, which divide the niche into three parts: a central niche, which usually houses a seated Buddha with both legs crossed, and two side compartments. In a typical case, underneath the roofed niche, a trabeated niche appears, as seen in the western side of the south wall in cave 38. The canopied niche This consists of inverted triangular and round ornaments under which looped curtains usually appear. Canopied niches can be found in caves 30, 32-12, 33-3, and 36-6.

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3. Ceiling structure According to the structural shape, the ceilings can be broadly divided into two types: rectangular or square.7 According to the decorative patterns, they can be subdivided into: coffered (pingqi 平棊) and neither coffered nor corbelled (zaojing). Compared with the most ornate second-phase ceilings such as the pingqi zaojing 平棊藻井 ceiling in the anteroom of cave 12, ceilings became much simpler in the third phase. Some ceilings are not even coffered, but only decorated with lotuses and/or flying celestials. The pingqi pattern consists usually of either square, rectangular, or trapezoid forms with 4, 5, 6, 8, 9, or 12 chessboard-like panels, inside of which are flying celestials, lotuses, and sometimes intertwined dragons. For instance, the ceiling of cave 29 has nine trapezoid panels with a lotus in the center. During this time, the pingqi design usually has nine panels with lotus pattern in the center and eight flying celestials surrounding it, for example, the ceiling of cave 24. Sometimes there are five lotus patterns and four flying celestials in the nine panels as exemplified in cave 33-1. The ceiling of cave 39 is the only one in the third phase that bears the themes of the Dharma protector deities.

Iconographic composition The iconographic composition in the caves is primarily focused on the main images. They are the primary objects of worship. Surrounding them, in some caves, the biography of the Buddha and jataka stories, etc., appear as well. 1. Composition of the primary images in cave temples Three niches on three walls The three main images are all Buddhas. The designs are of seven types: (1) three seated Buddhas with legs crossed (for example, caves 23-1 and 43), (2) a crosslegged seated Buddha together with a cross-ankled Bodhisattva and a seated Buddha with legs pendant (caves 32-12, 35, and 40), (3) the Śākyamuni and the Prabhutaratna on the north wall with a seated Buddha and a cross-ankled Bodhisattva on side walls (caves 33-6, 33, 38-3, and 42-4), (4) the Śākyamuni and the Prabhutaratna on the north wall with a cross-ankled Buddha and a cross-ankled Bodhisattva on side walls (cave 33), (5) the Śākyamuni and the Prabhutaratna represented with two seated Buddhas on side walls (caves 25, 28, and 34), (6) a cross-ankled Bodhisattva on the north wall with two seated Buddhas on the side (cave 37), and (7) a cross-legged Buddha on the main wall and Śākyamuni and Prabhutaratna on both east and west walls (cave 24). One niche on the north and storied niches on the side walls All north wall niches bear images of the Śākyamuni and Prabhutaratna in this type, but the composition of the storied niches on the east and west

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walls is complicated. For instance, in cave 26, on each of the east and west walls, the upper niche contains a Bodhisattva with ankles crossed, and the lower niche bears the Śākyamuni and Prabhutaratna. Each wall then in turn bears the three-Buddha design, with no compositional association with the Śākyamuni and Prabhutaratna on the north wall. Some niches on the sidewalls contain a Bodhisattva with ankles crossed and a seated Buddha. For example, caves 24-1, 33-3, and 33-4. The iconographic composition in cave 24-1 is unique: the very center of each sidewall has two-storied niches, the top level contains a cross-ankled Bodhisattva flanked by two pensive Bodhisattvas, the bottom level bears a seated Buddha flanked by two standing Bodhisattvas. These six images in the center, in turn, are flanked by six images arranged vertically in three levels. The top is a seated Buddha with legs pendant, the bottom one is a standing Buddha and the central figure is a seated Buddha. The vertical arrangement of the three images is associated with the concept of the three Buddhas. Storied niches on three walls The arrangement of the primary images on the north wall is complicated in this type. For instance, in cave 27, the top level contains three cross-ankled Bodhisattvas and the bottom level contains a seated Buddha flanked by two seated Buddhas with legs pendant. Each of the top levels of caves 29 and 30 bears a seated Buddha with legs pendant in the center flanked by two Bodhisattvas with ankles crossed, the bottom level is the same as those in cave 27. Hence, in these three caves, the upper and lower niches in the center on the north wall constitute the composition of Śākyamuni and Maitreya. In caves 31 and 32-9, on the north wall, the top niche is a cross-ankled Bodhisattva, and the bottom niche bears the Śākyamuni and Prabhutaratna, a configuration of the three Buddhas. The two stories on the east and west walls of cave 31 are also intended to show the three Buddhas. The top niches contain a seated Buddha with both legs pendant and a Bodhisattva with ankles crossed; and the bottom niche bears a seated Buddha cross-legged. They are meant to show aspects of Maitreya’s ascent and descent. In the case of cave 36, the bottom niche bears a seated Buddha and the top niche has a Bodhisattva with ankles crossed on the north wall. The top niches bear a seated Buddha, but the lower level niche has a seated Buddha with legs pendant and a Bodhisattva with ankles crossed on east and west walls respectively. The iconographic design of each wall consists of images of the Śākyamuni Buddha and Maitreya. The main images on the three walls in each of the caves discussed above do not have iconography associated. Caves without niches The main images in cave 23 are unique: the north wall bears the Śākyamuni and Prabhutaratna, and the side walls have two standing Buddhas flanked by

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a standing Bodhisattva. Caves 25-2 and 28-2 were not completed. The north wall of cave 25-2 bears a seated Buddha, and on each sidewall is a Bodhisattva and a disciple, making a total of five images. Two niches on three walls The primary images in caves 5-10 and 5-11 are the same: a seated Buddha on an altar on the north wall, a seated Bodhisattva with ankles crossed on the east wall, and a seated Buddha in the west niche. Together, they form a three-Buddha design. 2. Composition of the images on each wall The main (north) wall is usually covered with three or four images, i.e., Śākyamuni and Prabhutaratna together with two standing Bodhisattvas, as seen in caves 23, 28, 33-6, 38-3, 24-1, and 33-3; or a seated Buddha with two standing Bodhisattvas, as seen in caves 23-1. Later cave temples began to have five or six images, as seen in caves 33, 34, 35, and 33-4. The Śākyamuni and Prabhutaratna are seen together with Bodhisattvas and disciples. The composition on the west walls displays a rich variety. The most popular one is, as on the main wall, a seated Buddha flanked by two standing Bodhisattvas. The composition of one seated Buddha with legs pendant flanked by two standing Bodhisattvas often appears as well. The composition on the storied west walls is more complicated. For example, in cave 24-1, the top level in the center contains a cross-ankled Bodhisattva flanked by two pensive Bodhisattvas, the bottom level bears a seated Buddha flanked by two standing Bodhisattvas. In cave 26, the upper niche in the center is a Bodhisattva with ankles crossed with two pensive Bodhisattvas, the lower niche contains the Śākyamuni and Prabhutaratna with two standing Bodhisattvas. The west wall of cave 33 also presents a unique iconography. Here the cross-ankled figure, usually a Bodhisattva, is a Buddha, and it is flanked by two standing Buddhas of the jataka stories. The composition in cave 30 is unusual as well. The top niche contains a seated Buddha flanked by two standing Buddhas, not the usual Bodhisattvas. The iconographic composition on the east wall is usually simpler. The composition that appears most often is a cross-ankled Bodhisattva in the center attended by two standing Bodhisattvas, e.g., cave 5-11. In the case of a storied east wall, the cross-ankled Bodhisattva in the center flanked by two pensive Bodhisattvas is often represented together with a cross-legged Buddha flanked by two standing Bodhisattvas one above the other (caves 24-1 and 38). Sometimes the bottom niche is replaced by the Śākyamuni and Prabhutaratna with two attendant Bodhisattvas (caves 21 and 26). In sum, the iconographic composition of the main image in each thirdphase cave and on each wall displays a rich diversity and is much more complicated than that of the first two phases. Amidst this diversity, the

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composition of the Śākyamuni and Prabhutaratna on the main wall became increasingly popular and constitutes nearly half of the iconography. This reflects the popularity of the Lotus Sutra in Yungang and its faith. The Śākyamuni and Prabhutaratna eventually became the visual symbol of the popular sutra. They are often represented together with a cross-ankled Bodhisattva to manifest the three Buddhas symbolizing the perpetuation of the Buddha Dharma infinitely. The composition of the cross-ankled seated Bodhisattva and the seated Buddha with legs pendant on sidewalls also emerged. This is associated with Maitreya’s ascent toward, and descent from, the Tushita Heaven. The composition on each wall is mainly composed of one seated Buddha with two Bodhisattvas, or a cross-ankled seated Bodhisattva attended by two pensive Bodhisattvas. It should be noted that the images of disciples appeared rather late in Yungang, and are not represented in every cave. They made regular appearances only in the later Longmen caves, and were usually represented in bas-relief. There are normally two disciples on each wall representing the two great disciples of Mahakasyapa and Ananda. In cave 13-10 in Yungang and Lu cave 路洞 in Longmen, however, there are four disciples, an arrangement not observed in the other Yungang caves.8

Telling tales: narrative stories and visual representations In addition to the main Buddha images in the cave temples, the supplementary subjects of the life stories of the Buddha, the jataka and nidana stories, as well as the legendary debate between Vimalakirti and Manjusri, and others, are rich and diversified in form and content. Among them, the significant moments in the life of the Buddha, from his miraculous descent from Tusita heaven to his serene realization of Nirvana, are especially favored subjects. To date, as far as I can ascertain, more than 90 scenes with 33 themes in Yungang can be identified as illustrations of narratives concerned with the Buddha’s life.9 In the third phase alone, more than 20 of them are depicted including: his descent from the Tusita Heaven in the form of an elephant; his miraculous birth from his mother’s hip in the form of a human being; his first bath by nagas; his riding on an elephant; archery competition and tossing the elephant; his great departure from the palace and his bidding farewell to his white horse Kanthaka; his first meditation under the tree; his defeat of the demons and conversion of the three Kasyapas; his first sermon; his ascent to Tavatimsa to preach for his mother Mayadevi; and his final serene realization of Parinirvana. These narratives constitute an important part of the subject matter of the third-phase cave temples. Some of them were never depicted in the earlier cave temples. For example, the prince tossing the wild elephant depicted in cave 37,10 and Buddha’s ascent to Tavatimsa to preach for his mother seen in cave 38.11 These subjects are rarely seen in Chinese Buddhist caves, and certainly only once in Yungang. Most of these narratives are represented in a monoscene, and only the Syama jataka, influenced by Chinese traditional Confucian

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ideology, is represented in sequential order like the unrolling of a handscroll painting. Some scholars believe that Buddhist narratives in successive scenes is influenced by Chinese tradition, in particular by the compositional structure of handscroll paintings.12 Jin Weinuo stated that multiple, linked scenes organized into horizontal registers obviously show the influence of Chinese handscroll painting and are a sign of the sinicization of Buddhist art.13 Pao-chen Chen also noted that the presentation of successive scenes in a linear sequence is an innately Chinese preference.14 However, Julia K. Murray argues, The belief that Chinese handscroll shaped the representation of Buddhist narratives is based on yet another supposition for which there is little supporting evidence, namely, that the handscroll was a standard format for Chinese painting in the period before Buddhism interacted significantly with Chinese art and culture.15 She concluded, Rather than assume that the existence of the handscroll in China induced Buddhist narrative subjects to be illustrated in a sequential presentation, I am proposing that the development of the handscroll as a format for painting in China was stimulated by the advent of Buddhism.16 Several other scholars also hold that the format of successive scenes in a narrative was introduced when Buddhism came to China, and that the format of handscroll cannot explain the reversal of directions of the narrative scenes in Dunhuang. As Murray observes “if the handscroll format influenced the creation of this illustration (Mahasattva jataka scenes in cave 428 in Dunhuang, and the Sudhana jataka on the other side of the cave door), there should be no reversal of direction.”17 Michael Sullivan also states that the technique of continuous, linear narration appears to have come from India with the introduction of Buddhism, for there is no evidence of it in Han art.18 This has been a much-debated and unsettled issue. However, the discovery of a painted lacquer box (34 inches long and 2 inches high) from Baoshan 包山 tomb 2 at Jingmen 荊門, Hubei province, shed new light on the issue.19 It was previously believed that there were no scenes placed in narrative sequence before the Qin dynasty in the history of Chinese art, however, the new archaeological findings of the narratives on the lacquer box not only filled in a gap in our knowledge, but also push us to reconsider the long accepted theory. As Wu Hung points out, This work shows remarkable advances in both spatial conception and temporal representation. Much like a later handscroll painting, it must be viewed section by section in a sequential order. The horizontal format and sequential reading invite the viewer to read figures and scenes as components of a continuous narrative.20

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The story on the round box is highlighted by the procession and the reception leading the viewers to imagine the beginning and/or the end of the story. Similarly, in Buddhist narratives, sometimes there is neither beginning nor end. The beginning can be the end and vice versa, like a circle of continuous narratives. The narrative stories in the third phase are primarily depicted in mono-scene with only very few continuous scenes, as will be seen below in the discussion of the form, content, and related issues of the narratives depicted in the third phase. The Great Departure and elephant riding These are the two most popular motifs,21 and are usually represented together as a pair on the front wall over either side of the entrance of the cave.22 The latter displays the prince riding on an elephant; the attendants follow him holding a long handle parasol. The former, the Great Departure through the city gates at night, always shows the prince, the groom, Kanthaka (the horse), and the four guardian kings, illustrated either in profile or in full face. The groom usually carries the parasol by its long handle and the four guardian kings hold Kanthaka’s hooves in their hands to soften their touch on the ground. The story denotes the Buddha’s renunciation of this worldly life when the prince was 19 years old. He convinced himself that it was time to leave home although he knew his father would be against it. He wanted to relieve the pain of rejection and separation of all living things from the ones they love. On the night of the departure during the second watch, the guardian kings and Devas fully filled the sky and said to the prince, “inside and outside the palace everyone is sound asleep. Now it is time to leave.” The prince himself then went to wake up Chandaka, who asked “why do you want the horse saddled suddenly in the middle of the night?” The prince explained that he wanted to overcome life’s troubles for humanity, and wanted to leave the affairs of this world to follow the path of truth. In his lion’s voice, he roared: “in the past the various Buddhas left home, and now so do I.”23 The Devas then carried Kanthaka, the white horse, upholding his four hooves, and Indra, holding the canopy, followed. The Devas then commanded the north gate to open without making any sound. So the prince departed through the gate.24 The scene of the prince riding the elephant is often depicted with the Great Departure in the third phase. In ancient India, all noblemen at the time of the Buddha learned four skills: elephant riding, horsemanship, chariot-driving, and handling of arms. Elephant riding and horsemanship were mandatory skills for a nobleman, they must have been important activities in the life of the prince. Although the Great Departure is an important turning point of the Buddha’s life, it is not directly associated with elephant riding; however, interestingly, the two are often paired and repeatedly represented in the thirdphase caves. Both show important episodes in his youth. It can be assumed that these two important events are represented together for aesthetic purpose to balance the visual space: one side showing a horse and the other side the

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elephant (both animals are central to a young nobleman’s life). The athletic training of elephant riding and departing from the royal city are the two significant moments in the lives of youths in those times. In visual art, especially in Buddhist cave sanctuaries, illustrations of these two motifs appear in prominent positions so as to emphasize them and facilitate their use as inspiring tools for proselytization. Elephant riding, however, is not associated with the birth of the prince, which is discussed next. Maya’s dream This episode is normally illustrated with Maya lying down asleep, dreaming of an elephant entering her body with the prince not even shown. The story was a very popular motif in Gandhara art, but in Yungang the Buddha’s early life is not depicted as much as his later life in the pictorial narratives. The scene on the east wall in cave 37 is the only example, and is depicted in a peculiar format. Here the Bodhisattva is seen descending from Tusita Heaven mounted on an elephant while entering his mother through her right flank (fig. 6.8). This is a rather unique illustration since the prince otherwise never appears in this episode. It seems that Chinese artisans tried to solve the puzzle of how and when the Bodhisattva transformed himself from a six-tusked elephant, in which form he entered his mother’s body, to a human being, and in which form he emerged from her womb.25

Fig 6.8 East wall, cave 37

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An issue related to the episode of the conception is that it is often misinterpreted as the elephant-riding episode.26 As I have suggested above, the elephant-riding episode demonstrates one of his skills in youth, it is thus not intended to illustrate his conception, which is depicted with images of Maya lying down with the elephant beside her, without the prince. The portrait of the episode in cave 37 with the Bodhisattva mounting an elephant to enter his mother’s body is the only exception.27 Another piece of evidence to support our inference that the elephant-riding illustration is the prince’s athletic training, not the conception, can be found in cave 6, in which there are 37 depictions of the Buddha’s historical life. The stories on the central pillar are represented clockwise, with the depiction of the elephant-riding on the east side of the north face in the lower level and the ascetic Asita divining the prince’s future, which happened right after the birth, depicted on the west side before the riding of the elephant. The narratives in the central pillar are read in sequential order clockwise. It is obvious then that the elephant-riding episode could not be Maya’s dream of conception and her subsequent pregnancy. Rather, an event happened after Asita’s prophecy and it represents the prince’s essential athletic training in youth. Birth of the Buddha The miraculous birth of the Buddha under the trees in the Lumbini garden is one of the four most important events (birth, Enlightenment, first sermon, and Parinirvana) in his life. It did not, however, seem to appeal to the Yungang artists as much as it should have. The episode is usually depicted in a small panel in bas-relief (caves 33-2, 33-3, and 41) and is represented in a slightly different manner in Yungang than in Gandhara art. Although Maya is still seen standing up grasping the branch of a tree, in Gandhara art, the infant Buddha comes forth from the right side of her body, whereas in Yungang, the baby sometimes comes out from her left side, as seen in cave 33-3.28 Seven steps Immediately after the Buddha’s mystical birth, he slipped out of the hands that received him and took seven steps and proclaimed in a lion’s voice: “Among all beings, I am the first and I am the best. I have come here through infinite births and deaths for the benefit of mankind.” As soon as the newborn left the hands that received him, the lotus miraculously emerged from the earth under his feet to protect the newborn from contact with the ground. The episode is only portrayed on the north wall in cave 41. Nagas bathing the Buddha Another immediate activity after the Buddha’s miraculous birth was his first bath. We are told in one of the literary sources that two Naga (water spirit)

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brothers, named Kala and Akala, welcomed the infant Buddha and gave him the first bath. One spirit, on the left, rained warm water down on him, while the other, on the right, poured cold spring water.29 The first bath is vividly depicted on the east wall in cave 37. Asita’s prophecy The great sage Asita’s prophecy of the newborn is often depicted with Asita holding the infant in his hands as seen in cave 41 where the episode is illustrated together with the birth of the Buddha and the seven steps. Farewell to his white horse Kanthaka The subject of the Buddha’s farewell to his white horse Kanthaka is usually represented in small panels in bas-relief.30 The Yungang artists did not seem to favor the subject as much the Gandhara artists, but in both representations, Kanthaka is seen bending his legs, licking the prince’s foot, and crying with tears falling down like rain.31 There are no illustrations of the return of Chandaka and Kanthaka in Yungang. Banishing of the demons and the conversion of the three Kasyapas These are among the most favored subjects, usually depicted as a pair, and portrayed in a large pointed-arch front on the south wall on either side of the entrance or the window of the cave, as seen in cave 35.32 The conversion of the three Kasyapas are usually characterized by images of Brahmins holding bottles in their hands attempting to put out the fire and the Buddha holding a bowl with the three Kasyapas inside. The conflict between the Bodhisattva and Mara almost became a metaphor, like the temptation, of the ordeals one has to endure before ultimately becoming Enlightened. The Assault of Mara (Banishing of the Demons) is about temptation, resistance against the lure of lust and desire, and most importantly, the difficulties encountered during meditation. The ultimate goal of the Bodhisattva is to detach himself from this world, but Mara, the deity of death and desire, attempted to prevent the Buddha from Enlightenment. He sent his three daughters (Loving Sex, Constant Pleasure, and Great Gratification) to seduce the Bodhisattva and sent his army to threaten him as well. Each one of his soldiers had a different kind of body and head: some held scabbards and swords or wore large trees on their heads; others carried the golden batons; some had the head of a pig, fish, donkey, horse, lion, dragon, bear, tiger, or some other animal. All kinds of ferocious-looking soldiers surrounded the Bodhisattva shouting noisely. The ground shook, but Bodhisattva’s heart was peaceful. He was like a lion sitting among a flock of deer. After the defeat of Mara, the Bodhisattva continued in meditation until he was without any doubts.

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First sermon at Sarnath near Benares The story is one of the four most important episodes in Buddha’s life, and is usually illustrated in a large niche (as seen in caves 29, 36, and 38).33 The emblem of the event is the triple wheels flanked by reclining deer as seen on the south wall of cave 38. In cave 36, only triple wheels are shown. Neither the five bhiksus (Kaundinya and others) nor the 500 merchants who offered food to the Buddha right after his Enlightenment are illustrated in the third phase. First meditation The events of the prince’s palace life, such as skill learning, his engagement and his wedding, etc., are not popular subjects in Yungang; only the first meditation was favored. The prince’s first meditation is the first sign foretelling the Bodhisattva’s religious vocation, and is often depicted in small caves (32-11, 32-12, 32-13, 33-3, 33-4, and 35-1). Since the episode took place in the “plowmen’s village,” the prince usually sits under a jambu (rose-apple) tree which crooks its branches to provide shade for him. The prince is usually depicted with a small kneeling figure, his father Suddhodhana, in front of him as seen in cave 33-3 and the king, startled by the miracle of the branches, is worshipping the prince whom he had not recognized from a distance.34 It should be mentioned here that many scholars mistakenly identify the pensive Bodhisattva as the prince’s first meditation.35 Although the pensive Bodhisattva and the contemplative prince share some iconographic similarities in posture (both figures have one leg pendant and the right hand is raised to the chin), the first meditation, however, usually has a small kneeling figure in front of the prince. The pensive Bodhisattva, on the other hand, is often represented in the side compartments of a trabeated niche flanking the Bodhisattva with ankles crossed in the center as seen in cave 35. The first meditation episode is not depicted in the side compartments as flanking figures and the prince’s head is straight up, not lowered in a downward gaze. In Gandhara, the first meditation episode is often depicted with plowing men and oxen. In Longmen, the first meditation motif became very popular, appearing regularly on either side of the niche front. The prince is often seen with a kneeling figure, the king, with his entourage holding the canopy for him. A first meditation tableau must always include an image of his father, who was looking for his son; otherwise it is just an illustration of a pensive figure. Physical training in youth Elephant riding is not the only depiction of prince’s physical training in youth. Other athletic contests such as the archery competition and tossing the elephant are illustrated as well. Both activities, recounted together in

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the Guoqu xianzai yinguo jing, are represented together visually, as seen on the west wall over the pointed arch front in cave 37.36 The illustration of tossing the elephant here shows the prince and his two cousins, Nanda and Devadatta. The figure on the south side with the elephant on his outstretched right arm is Devadatta, the standing figure pulling the elephant’s trunk is Nanda and the person in the middle, eroded but still discernible, holding the elephant to his chest, is the prince. The archery competition on the south side of the arch front now shows only one bow, one drum and one figure instead of three (the prince and his two cousins). The athletic contests are a favorite subject of the Gandhara artists but they do not appear in Yungang. The wrestling contest is not depicted here, and tossing the elephant is depicted only once. It is especially precious. Ascent to Tavatimsa to preach for his mother Maya The event of the Buddha’s ascent to Tavatimsa to preach for his mother Maya is illustrated only once even though it is an interesting subject. The narrative is shown on the south wall in cave 38 (fig. 6.9). The subject is rarely depicted in Buddhist art, so this illustration is of unusual interest.

Fig 6.9 South wall, cave 38

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Parinirvana scene The narratives are depicted only in caves 35 and 38 since the death of the Buddha is not a favorite subject in Yungang, as mentioned previously. This is perhaps because the initial impetus of the excavation of Yungang led by Tanyao was to disseminate the Buddha Dharma and carry forward the Buddhist doctrines. It was considered too pessimistic to show the death of the spiritual leader. It is also said that due to indigenous distaste for scenes of human suffering, the death scene appears infrequently in China.37 In Yungang the Parinirvana scene is thus far less frequent than other important events in his life.38 Jataka tales The core tenets of karma and reincarnation in Buddhism constitute an important part of all Buddhist iconography. The Wheel of Life shows various realms, in which living beings can be reborn through karma, which is the result of willful intention, and good or bad actions are what determine karmic outcome. Therefore, rebirth to various realms of existence from animal to human to divine depends on the good or bad actions in one’s previous life. With these key concepts in mind, Chinese artists favored the subject of the jataka stories of the Buddha’s previous lives, and among the 17 jataka motifs in Yungang, four are illustrated in the third phase including: the Buddha’s revisit to his hometown Kapilavastu and his son Rahula, the Gridhrakuta Hill episode, the Asoka story, and the Dipamkara legend.39 The Dipamkara legend The emphasis on reincarnation made the Dipamkara legend a muchdepicted subject in Buddhist art. Tradition has it that Dipamkara was the first Buddha of an earlier cycle of the universe in a distant epoch, many thousands of millions of years ago. The legend of the Gautama Buddha usually begins with the meeting of the Dipamkara Buddha with the future Buddha, a Brahmin youth then named Sumadhi who was just a Bodhisattva living a secluded life in the mountains meditating. When the Dipamkara Buddha came to the city, the boy spent 500 pieces of silver, which was all he had, to buy five flowers from a girl to present to the Buddha. When the Bodhisattva approached the Buddha to toss his five flowers, they stopped in the air and stayed suspended there above the Buddha. The Buddha who knew the reason for this, said to the Bodhisattva: “for innumerable kalpas, you have practiced the way of a pure recluse. You disciplined your heart, rejected life, you cast off desire, kept your mind empty with no desire, with mercy even for a mad dog. Because you accumulated virtue and held fast to your vows, now you have achieved the goal. Thus, know that you

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yourself will be a Buddha by the name of Śākyamuni.”40 The Bodhisattva heard these words and his questions were answered, his desire stopped. His body became light and he ascended to kowtow at the Buddha’s feet. When he saw the ground wet with puddles, he laid out his deerskin clothing to cover them. Seeing they were insufficient to cover the puddles, he spread out his hair on the ground and told the Buddha to tread on it and walk by.41 The Buddha said: “Your spirit had progressed undauntingly, you will be a Buddha.”42 The Buddha Dipamkara promised that all sentient beings by practicing the six paramitas will be able to attain Enlightenment and enter nirvana. The spreading of the hair story is a promise of achieving one’s ultimate goal. After the last previous lives on earth, the Bodhisattva was reborn among Tusita gods where he enjoyed divine bliss, resting and relaxing. The legend is easily identified by the standing Buddha and the learned Brahmin youth spreading his deerskin cloak and his own hair over the marshy ground for the passage of Dipamkara, as seen on the south wall of cave 35.43 Asoka jataka The Asoka jataka is often depicted in a large niche on the south wall.44 The illustration usually shows the Buddha holding a bowl and slightly bending over towards three boys, squatting or standing, who are trying to offer earth named “millet” to the Buddha. The boy standing on the shoulder of another boy and closest to the Buddha is King Asoka. The illustration is without a doubt based on the Xianyu jing (the Sutra of the Wise and the Foolish).45 Among the Buddha’s various previous reincarnations from animals to human being, and tales of his extreme compassion and self-sacrifice, the Dipamkara jataka and the Asoka jataka are most favored subjects in Yungang. The Dipamkara prophecy promises us a future Buddha when the present Buddha enters final nirvana, whereas Asoka promises that good karmic practices will result in favorable reincarnation. The narrative pictorials emphasize the similarity between King Asoka and Chinese emperors who therefore could validate their claim to resemble King Asoka who earned his favorable rebirth by practicing karmic deeds. The story implies the close relationship between politics and religion, and politics and art. Rulers, particularly in the Northern Dynasties, attempted to gain good karma and to imitate King Asoka as the Dharma king by extending their support to Buddhist activities and Buddhist sanctuaries. In the Asoka story, it says that when Buddha was living in the city of Sravasti at the Jetavana monastery in Anathapindika’s park, upon a certain occasion, the Buddha and Ananda were traveling on the alm-round, and there were some children playing along the roadside, building toy treasure houses. One of the children, seeing the Buddha approaching, rejoiced, and

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thinking that he would acquire merit, took a handful of earth and tried to offer it to the Buddha, but because he was so tiny could not reach the almsbowl and asked another boy to let him climb upon his shoulders. The boy did this and when the Buddha lowered his bowl, he dropped the handful of earth into it. The Buddha accepted it, and handed the bowl to Ananda, and said, Take this earth to the monastery and scatter it. Ananda, a hundred years after I have attained final nirvana, this little boy, by virtue of having made an offering in great joy and by virtue of its having been scattered at the monastery, will be reborn as the Emperor Asoka. The child who let him climb on his shoulders will be reborn as a minister. The emperor will rule all India and will make known to all the blessings of the Three Treasures. He will venerate my relics by erecting eighty-four thousand stupas.46 Rahula jataka The depiction of the Rahula jataka is usually recognized by the Buddha patting a little boy’s head. In cave 19, the standing Buddha is patting the kneeling boy’s head with his left hand and boy is seen to his left side. In cave 9, the kneeling boy is in front of the Buddha. In cave 38, the story is illustrated twice and in both cases the Buddha is seated and the boy is kneeling down to the left of the Buddha. Evidently the Yungang artists have created their own iconography rather than strictly following the doctrine,47 in which, according to the record of the Zabaozang jing, the boy is usually standing to the left side of the Buddha. Gridhrakuta Hill episode The vivid depiction of the Gridhrakuta Hill episode on the south wall in cave 38 shows the Buddha and Ananda seated side by side in two niches on Gridhrakuta Hill, where the Buddha used to dwell for some 50 years and deliver the Dharma, with a huge vulture behind them. The Buddha is, through the wall, patting the head of Ananda who is frightened by the vulture (fig. 6.10).48 The story is only depicted once, and is a rare scene in Buddhist art. In summary, from the above discussion we can conclude that the life of the Buddha and his previous lives constitute a major part of the subject matter in Yungang. Together with the eternal theme of the three Buddhas, the Śākyamuni and Prabhutaratna, the discourse between Vimalakirti and Manjusri, and the Dharma protectors, etc., enrich the iconography of Yungang and present a kaleidoscopic imagery.

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Fig 6.10 South wall, cave 38, Gridhrakuta Hill

Iconographic style Stylistically, the images in the third phase do not appear as grandiose and masculine as those in the Tanyao cave temples, nor do they appear as powerful and plump as the images of cave 6. Rather, they look slender, elegant, supple, and lifelike with amiable smiles on their faces. The imagery demonstrates a new visual representation, a sinicized visual form. However, because they were made in different times during the third phase, the images of Buddha, Bodhisattva, and flying celestials display a clear transformation in style. Early images appear slender but with a sense of roundness, e.g., the face is slightly rounded, neck is shorter and the body is fuller, whereas later images show elongated face and neck with slightly sloping shoulders. The bodies became more slender; some were even elongated to create an exaggerated visual effect.

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All Buddha images in the third phase are clad in a loose robe and a wide girdle (baoyi bodai) with both shoulders covered. The early popular style with only one shoulder covered, seen in the imperial five caves, disappeared completely. The early Buddha images (e.g., cave 21), as observed in those in cave 6, are with a “V” shaped neckline, but the late images mainly show a “U” shape. The cordlike raised folds and incised lines observed in the imperial five and early second-phase cave temples are not found during this time. Rather, we only see step-like folds, some flattened, and others bulgy. In general, the early third-phase images have flattened and well-balanced step-like folds, as seen in caves 21, 22, 23 and 28, 33, 25, 27, and 29, etc. The later images have bulgy and uneven folds, which is best exemplified in the seated Buddha image, dated to the fourth year of Yanchang (515) in cave 19-2 (fig. 6.11) and those in caves 27-2, 5-10, 5-11, 33-3, and 40-1. The imagery before 515 contrasts considerably from that made afterward.

Fig 6.11 Cave 19-2, dated 515

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The drapery of the Buddha image is generally rendered in two ways: one large series of arcs in the center covering both feet, and two series of arcs side by side covering both legs but leaving the right foot exposed. Generally speaking, the earlier images have only one large arc and the later ones have two arcs; and the longer the drapery falls down, the later the rendition is. The drapery from the last stage of the third phase falls down low like a waterfall. But the one large arc style did not disappear entirely when the style of two arcs emerged. For example, the same drapery style with one arc can be observed in both the image in the east reveal of the window of cave 11 dated to the 19th year of Taihe (495) (see plate 30), and in the seated Buddha images dated to the 13th year of Taihe (489) in cave 11-14 (see plate 11). The two-arced style is best exemplified by the seated Buddha in cave 34. The Bodhisattvas in the third phase appear slender and graceful with long neck and narrow waist. The heaviness of the Bodhisattvas with short neck and thick skirt shown in cave 6 is not seen. Rather, we see supple and elegant figures with fluttering celestial robes, which form an “X” in the center and taper from the shoulder area down to the end. The left hand usually holds one end of it and the other hangs over the right arm. The end of the skirt undulates, giving a strong sense of movement. The earlier Bodhisattva does not have a large ring in the center for a celestial robe to cross through. The flying celestials in the third phase look supple and elegant with long drapery fluttering backwards. The worshippers are slender and elegant as well, with long necks and high chignons.

Classification, dating, and chronological sequence There are very few inscriptions in the third-phase cave temples, and they are mainly in small niches that were added to the caves later, thus the inscriptions often lack direct associations with the excavation of the cave temples. Therefore in the following, the classification of the caves, the assignment of dates and the construction of a chronological sequence will be primarily based on the above discussion and analysis of cave structure, as well as iconographic composition and style. Furthermore, the investigation will also be based on my field observation of the spatial relationships between the caves themselves, and between caves and niches: some caves make space for others (birang 避讓) and some encroach on others (dapuo 打破). This is an important approach for identifying the time sequence of the excavations. The spatial relations between cave temples are useful in constructing a chronological sequence. It must be pointed out that iconographic style should not be used as the sole criteria to construct a dating scheme. However, its significance becomes more prominent when there are not many written records or inscriptions. In such cases, iconographic style becomes more valuable and even indispensible evidence. Although certain stylistic features sometimes continue, in general, each period exhibits its own style. Based on field research and critical

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analysis, the third-phase cave temples will be classified into four groups and examined in chronological sequence. This is the very first comprehensive study of these cave temples thus far. 1. Group one The first group includes 13 caves (caves 21, 31, 39, 22, 23, 33, 25, 28, 24, 27, 29, 30, and 28-2). These caves resemble one another in style, yet have distinguishing details. They are chronologically close to each other. Cave 21 The cave, rectangular in plan, is situated to the west of cave 20 and is the largest of the third-phase caves. The refined workmanship suggests that the cave was patronized by a high official. Stylistically, the Buddha images, though damaged, appear fuller, with broad chests. The seated Buddha on the east wall resembles closely the image dated to the 19th year of Taihe (495) in the east reveal of the window of cave 11. The drapery has only one arc in the front instead of two. The seated Bodhisattva with ankles crossed resembles closely that of cave 11-7 on the east wall. It should be noted that the cave was not finished. Soon after the north and east walls were completed, the construction was stopped for unknown reasons. It was perhaps related to the transfer of the capital in 494, which may have caused the patron to move to the south. Nevertheless, cave 21 is the earliest cave in the third phase and the construction could have been started as early as before the transfer. Cave 22 This is a small cave. Only the north wall is preserved. The seated Buddhas on the north wall closely resemble those in cave 11-14. The round face with gentle smile, the smooth usnisa, and the rendition of the robes all appear similar. The Buddha images also resemble those in cave 21. The iconographic similarity suggests that cave 22 is close to cave 21 in time and is also one of the earliest caves. The east and west walls, as well as the south wall, are damaged. Cave 23 Cave 23 has no niches. It should not be far in time from caves 21 and 22 judging from the style of the seated Buddhas on the north and east walls. The drapery of the seated Buddhas on the east wall still has the archaic single arc in the front, covering both legs and feet. The standing Buddhas on the west wall look similar to the seven Buddhas on the west wall in cave 11, so the excavation dates should be close to each other in time. In overall shape and attitude, the images in these two caves resemble one another. The flying

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celestials are clumsy compared to those made later, which are supple and elegant with a great sense of movement. Caves 27, 29, and 30 Caves 27 (see fig. 6.2), 29 (see fig. 6.3), and 30 (see fig. 6.4) are among the larger of the third-phase caves. They resemble one another closely in subject matter, style, and structure with storied niches on three walls. This makes it appear likely that they were carved from the same design and by the hands of the same artisans. Caves 27 and 29, like caves 7 and 8, are likely to have been excavated as paired caves, judging from the architectural structure, arrangement of the niches, and iconography. The images on the sidewalls of cave 27 (plates 59 & 60) and cave 29 (plates 61 & 62), which are divided into two stories and contain four niches, are represented delicately, and drapery is exquisitely rendered with two series of arcs side by side. These images are considered the masterpieces of the western-end caves and well represent the third-phase work of Yungang. The masterpiece among masterpieces is the image housed in the upper story canopied niche in the west wall of cave 30 (see plate 19). It is a perfect visual representation with well-proportioned body and refined rendition. The image, gazing into the distance, appears calm, graceful, and stately. It should be noted that the Asoka narrative story is depicted on the south wall of cave 29. Cave 31 This large, badly eroded cave is the only one in the third phase that has both an anteroom and a main room. There is a small cave dug into the west wall of the anteroom. The images appear slender and archaic, and the seated Buddhas are reminiscent of those dated to the 13th year of Taihe (489) of cave 11-14. Another piece of evidence, besides the architectural and stylistic indications, to prove that this cave is earlier than many other third-phase caves is that the Dvarapalas on each side of the entrance closely resemble those on cave 9. Cave 33 Cave 33, a sanbi sankan (three niches on three walls) cave (fig. 6.12), is the only cave that contains seated Buddhas with ankles crossed, rather than seated Bodhisattvas with ankles crossed as is usual, and the disciples are represented beside the Bodhisattvas, not the Buddha. The representation of the Buddhas is refined with flattened and well-balanced folds, smooth texture, and soft material. The solidness of the images in the cave is reminiscent of those in cave 6 but the rendition is more natural. The facial features of the disciple Mahākāśyapa are striking with high cheekbones, bulgy forehead, deep eyes, and exaggerated wrinkles on his neck. The gentle

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Fig 6.12 Plan, cave 33

smile makes this image lifelike. In a similar manner, the Bodhisattva looks kind and humane with a mild smile. Stylistic features and iconographic similarities to earlier images suggest that cave 33 is one of the early caves in the third phase. Cave 25 Cave 25 is a typical sanbi sankan cave with a square floor plan. The images appear slender and graceful; in particular, the standing Buddhas in the south wall and the attendant Bodhisattvas on the sidewalls. The seated Buddha with long neck and slender face on the east wall is reminiscent of those in cave 29. It is worth noting that the Bodhisattva on the south side of the east wall has a ring in the abdomen to have the celestial robes to cross through it. The ring is not, with the one exception of cave 33, represented in any of the aforementioned caves. We may thus infer that cave 25 was excavated later than those caves.

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Cave 28 Cave 28 is a typical sanbi sankan cave. It shares close similarities with cave 25 in cave structure and iconography. The two caves are possibly close in time. The flattened and wide folds of the robes of the two Buddhas on the north wall accentuate the elegance of the images. The inner robe covers only one shoulder and the sash is represented with a bowknot with streamers hanging down outside of the right hem of the robe. The rendition of the robes in cave 28 proves the mastery of sculpting by Chinese artisans at that time. The images can be considered representative works of Yungang thirdphase caves. Cave 24 Cave 24 contains three niches on three walls (fig. 6.13). The south wall is damaged. The west and east walls contain twin Buddhas, and the north wall

Fig 6.13 Cave plan, cave 24

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bears a canopied niche, both iconographically rare. The images appear slim and elegant with long necks and sloping shoulders. The overall rendition is smooth and natural, and the seated Buddhas on the west wall, in particular, appear graceful and supple. The drapery has two series of arcs side by side, however, the main image on the north wall has one series of arcs in the center of the drapery which falls down over the pedestal and the hem flares out forming an angular 八. Cave 28-2 Cave 28-2, situated above cave 28 on the right, is not finished. The seated Buddha shares considerable iconographic similarities with the masterpiece of cave 30 and the images in caves 27, 29, and 24, except that the workmanship is not as refined as in those. The overall impression given by this image is stately and powerful; it has a well-built body and a full face. The Bodhisattvas on both sides appear slender and animated with one hand holding the celestial robe and the other raised to the chest. It should be noted that cave 28-2 has two inscriptions with explicit dates. The inscription on the east wall niche (fig. 6.14) is dated to the fourth year of Zhengshi 正始 (507) and the one on the west wall niche (fig. 6.15) is dated to the third year of Yanchang 延昌 (514).49 The images in the niches are crude,

Fig 6.14 East wall niche, cave 28-2, dated 507

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Fig 6.15 West wall niche, cave 28-2, dated 514

and do not seem to have been completed, thus cannot be used as typological evidence. But the inscription can at least prove that the main image in the cave was started before 507, or the latest in 507. More significantly, cave 28-2 encroaches onto the Bodhisattva in the south niche of the west wall in cave 27. This not only indicates that cave 27 is earlier than cave 28-2, but also accordingly provides an important clue for constructing a chronological sequence of the caves in this group. The cave structure, subject matter, and style in caves 27, 29, and 30 are all the same and belong to the same time period of construction. Cave 28 is situated between caves 27 and 29. From the observation of the outside cliff, it is clear that cave 28 used the space left by the other two. In turn, cave 28-2 used the space on top of cave 28. Therefore, we can infer that cave 28 is earlier than cave 28-2 but later than caves 27 and 29. The images in caves 28 and 25 share similarities in the rendition of the robes and the arrangement of the draperies. They should have been excavated within the same time period. The images in caves 22 and 23 resemble

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the images in cave 21, although they do not appear as full, but they should have been constructed close in time. The anteroom in cave 31 was not finished as a conceived plan. The arrangement of the niches and the subject matter of the north wall in the main chamber are similar to those in cave 12. Although the images are severely eroded, they display iconographic similarities with caves 27 and 29. Based on the analysis above, I wish to argue that the caves in this group were excavated before the fourth year of Zhengshi 正始 (507), approximately from before the transfer of the capital in 494 (cave 21) to the first year of Zhengshi (504). The earliest in this group is cave 21, followed by caves 22, 23, 33, 27, 29, 30, 25, 28, 24, and 28-2 in succession. 2. Group two The second group includes only four caves: 34, 35, 37, and 39. The imagery in these caves appears different from that in earlier caves, transformed from slender and elegant to slightly solid and fleshy. Cave 34 Cave 34 is a sanbi sankan cave (the east wall is damaged). The seated Buddhas on the north wall appear solid and robust compared to the images in caves 27, 29, and 30, but the seated Buddha on the west wall appears more elegant particularly with a more refined rendition of the robe. The step-like folds are flattened and rhythmical. The drapery is in the two parallel series of arcs as seen in the images in caves 27 and 29, etc. Cave 35 Cave 35 (fig. 6.16) is a sanbi sankan cave with square plan and window. Two Dvarapalas outside the entrance and Dharma protectors on the reveals of the window are depicted. The overall impression of the images is solid and chunky with large series of arcs. The cross-ankled Bodhisattva in the east wall trabeated niche, adorned with necklaces, earrings, and crown, is the most elaborate image in Yungang (fig. 6.17). A series of sharp arcs is rendered on both legs and gives a strong sense of rhythm. The two standing Buddhas on the south wall look fleshy and tall, disproportionate with small heads and broad chests. On the other hand, the seated Buddhas appear slender with sloping shoulders and long neck compared with the images on the sidewalls. It should be noted that the cave entrance bears an inscription dated to the fourth year of Yanchang (515) (plate 63). It is thus clear that cave 35 was executed before that date.

Fig 6.16 Plan, cave 35

Fig 6.17 Cross-ankled Bodhisattva, east wall, cave 35

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Fig 6.18 Plan, cave 37

Cave 37 Cave 37 (fig. 6.18) is a unique cave in iconography and subject matter, but is the same in structure as cave 35 with three niches on three walls and a window, the reveals of which bear the Dharma protectors. The main image is a rare one: a cross-ankled Bodhisattva. The subject matter is richly diversified, and some of the themes (e.g., the prince tossing the wild elephant depicted on the west wall) are depicted only in this cave. The images appear solid and stern with round face, full cheeks, and voluminous drapery hanging down low over the pedestal. Cave 39 Cave 39 is the only caitya cave in the third phase and bears Dharma protectors on the ceiling. Judging from the arrangements of the niches on the south wall, it is assumed that the cave was not completed as it was initially

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planned, and only the stūpa and the ceiling were finished. The thousand Buddha niches and the south wall niches were added later. Judging from the styles of the images, the cave was completed within a short period and was executed early in the third phase. As discussed above, the Buddha images in cave 34 resemble those in caves 27 and 29. The iconographic style in cave 39 is the same, so the time of construction is close. Cave 35 was constructed before the fourth year of Yanchang (515). The sizes of caves 35 and 37 are the same and the cave structures are the same, with three niches on three walls and the south wall with storied niches. Their iconographic composition is similar as well: each has Dharma protectors on the reveals of the window, two standing Buddhas, and Vimalakirti and Manjusri on the south wall. At the same time, there are differences reflecting the complementary nature of the two caves. For example, in cave 35, on the north wall a seated Śākyamuni Buddha appears, whereas in cave 37 a seated Bodhisattva with ankles crossed appears instead, so that together the caves represent Śākyamuni and Maitreya. The sidewalls of cave 35 show a Bodhisattva with crossed ankles and a seated Buddha with legs pendant, and the sidewalls in cave 37 contain seated Buddhas, forming the same iconographic complementarity (i.e., the Śākyamuni Buddha and Maitreya). It can therefore be assumed that the two caves were based on the same design, with images from the same prototype, so the possibility that they are paired caves cannot be ruled out. Hence, the chronological sequence for this group is cave 34, caves 35 and 37, and cave 39. The dates are approximately between the first year of Zhengshi (504) and before the fourth year of Yanchang (515). 3. Group three Caves 5-10 (see fig. 6.6) and 5-11 (see fig. 6.7), hidden deep in the mountain above cave 5, are unique and far from the other caves, and thus are classified separately as a group. They are the most delicate and refined examples of workmanship in the third-phase caves; in particular, the seated Bodhisattva with ankles crossed in cave 5-11. Caves 5-10 and 5-11 The caves are situated on both sides below the window of cave 5 on the outside cliff. The cave structures and arrangements of the subject matter are the same (both have two niches on three walls and multi-armed deities outside, and both have three Buddhas). Possibly, they are paired caves. The structure of the caves with two niches on three walls might be related to the thickness of the cliff; they had to be excavated without a north niche. Even so, the north wall of cave 5-11 encroached on the south wall of cave 5 (there is a huge hole in between). Each main Buddha (plate 64) appears graceful and dignified. The generous drapery hangs down low over the pedestal and the edges flare out at each side. The west wall Buddha (plate 65) appears

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even more slender and elegant with sloping shoulders and long neck, and the east wall contains a cross-ankled Bodhisattva in a trabeated niche, the front of which is the so-called folding screen. The south wall bears two standing Buddhas and the narrative stories in the life of the Buddha. Cave 5-11 is perhaps one of the most refined caves in all of Yungang. The main Buddha is draped in a thin robe with both shoulders covered. The folds are dense and flattened, and the neckline is double hemmed. It is rich and rhythmical like a waterfall flowing over the pedestal. The west wall also contains the depiction of the debate between Vimalakirti and Manjusri. The seated Bodhisattva on the east wall is a masterpiece of workmanship. The image appears extremely elegant and stately with a well-proportioned slender body and gentle expression on the face. The south wall echoes the layout of the south wall in cave 5-10. The images in these two caves closely resemble the image in cave 19-2, dated to 515 (see fig. 6.11). The only difference is that the cave 5-11 images are more refined works. This suggests that the two caves were constructed approximately at that date (before or after). The celestial robes of the Bodhisattvas with an “X” in the front and the trabeation adorned with folding screen resemble those of the Bodhisattva in cave 35, which was excavated before 515. This further suggests that these two caves are later in time than cave 35, and were excavated around the fourth year of Yanchang (515). 4. Group four This group includes 17 caves: 22-1, 23-1, 24-1, 25-2, 26, 27-2, 32-11, 32-12, 32-9, 33-3, 33-4, 33-6, 36, 36-2, 38, 40, and 41. The caves here are smaller and more numerous. The cave structure is mostly the same: three niches with three walls (22-1, 23-1, 27-2, 32-11, 32-12, 33-6, 40, and 41), or one niche on north wall and sidewalls with storied niches (24-1, 26, 33-3, 33-4, and 38). The iconographic composition and style are the same or similar. Therefore, in what follows, I shall not discuss the caves one by one, but shall instead analyze several representative caves only. Cave 23-1 Cave 23-1 is a small and elegant cave with one pointed arch in the north wall and a trabeated niche in each sidewall. The rest of the space is filled with thousand Buddha niches neatly arranged. The seated Buddha in the north wall appears serene and stern, but the body is disproportioned with small head and heavy drapery. The Bodhisattvas look slender and elegant. Cave 27-2 Cave 27-2 is a small cave with three niches on three walls. The main Buddha on the north wall appears slender. The trabeated niche with folding screen on

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the east wall contains a cross-ankled Bodhisattva, disproportioned with large torso and short legs. The robe of each Buddha, carved in bas-relief on the folding screen, is unique. Instead of covering the left shoulder, as is usual, it covers the right shoulder with incised vertical lines rendered on the robe. This unique rendition is also represented in all the so-called folding screen trabeations and some of the arch fronts (such as in caves 24-1, 26, 35, 38, 5-10, and 5-11). Cave 33-3 Cave 33-3 is a small cave with storied niches on the sidewalls and one curtained niche on the north wall. The images resemble those in cave 27-2 and are crudely carved. The two Buddhas on the main wall appear slender and elegant. The rich drapery hangs over the pedestal voluminously and resembles those of caves 5-10 and 5-11. The seated Bodhisattva with one leg pendant under a tree and a kneeling figure in front of him in the lower level of the west wall depicts the First Meditation of the prince. Cave 24-1 Cave 24-1 contains slender and elegant images. The two Buddhas on the main wall look slender and dignified with sloping shoulders and long necks. The attending Bodhisattvas appear elegant and humane with a gentle smile. The west wall contains two stories. The vertical composition of the images in the west wall is noteworthy as previously mentioned. It is a rarely seen composition: that of a seated Buddha with both legs pendant, a seated Buddha with both legs crossed, and a standing Buddha. The niches on the sidewalls are arranged to correspond to each other. Cave 26 Cave 26 resembles cave 24 closely in style, structure, composition, and subject matter. The main wall contains a trabeated niche in which two seated Buddhas side by side are attended by two Buddhas with both legs pendant, a rare representation, observed elsewhere only in cave 7, the anteroom of cave 12, and caves 27, 29, and 30. Cave 36 Cave 36 is a small rectangular cave with storied niches on three walls. The seated Buddha appears stately and dignified, and the workmanship is refined. The outer robe neckline is in a “V” shape with a thick bottom across the front to hang over the left arm forming the series of arcs in the abdominal area. The First Sermon episode in the upper niche on the west wall is portrayed. The seated Buddhas with legs crossed in the upper level niches on the east wall are similar to those in the sidewalls of cave 27, slender and serene with flat and well-balanced folds.

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Cave 33-4 Cave 33-4 is a small cave. The north wall bears only a pointed-arch niche inside of which twin Buddhas are represented. The sidewalls contain storied niches with compact composition. The motifs are diversified, and the Asoka episode is represented twice. The seated Buddha on the left wall resembles the images in the east wall of the entrance gateway of cave 35 (dated to 515) and the image in the west wall of cave 28-2 (dated to 514). Cave 38 Cave 38 (fig. 6.19) is so small and inaccessible that it is difficult to photograph a full view of each wall, but it contains subject matter that is among the richest and the most diversified of all the caves of Yungang. Some motifs represented in this cave (Buddha’s ascent to Tavatimsa to preach for his mother Queen Maya and the Gridhrakuta Hill episode) are found nowhere else. The north wall contains a pointed-arch niche and many narrative pictorials of Buddha’s life (the Great Departure, the Prince Riding an Elephant, the Buddha’s Meeting with His Son Rahula, and the Parinirvana). The east wall contains three stories (the Asoka narrative and the Dipamkara legend on the second level), and the west wall contains only one niche, inside of which is a seated Buddha with legs pendant. The south wall is filled with episodes in the life of the Buddha (the Conversion of the Three Kāśyapas,

Fig 6.19 Plan, cave 38

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Buddha’s Ascent to Tavatimsa to Preach for His Mother, Gridhrakuta Hill, Mara’s Assault, and Buddha’s First Sermon). In sum, the caves in this group are numerous, but were excavated mainly in the space left between the caves of the first two groups. For instance, cave 38 was excavated using cliff space allocated for cave 39, and therefore should be dated later than cave 39; also, cave 22-1 was excavated using the space above and between caves 22 and 21. Thus, without a doubt, this group is later than the first two groups. Cave 39 is at the west end of the Yungang mountain body, beyond which the stratum of rock is bad and not suitable for excavation, so caves 40 and 41, etc., were hewn here only because there was no available space to the east of cave 39. Hence, these caves should belong to the latest group of the third phase. Also, the iconographic style in all of cave 27-2 is similar to the south wall of cave 35. This indicates that the construction date is close, so it should also have been excavated around the fourth year of Yanchang (515), or a little bit later. Furthermore, the trabeated niche front with folding screen is the same as in caves 24-1, 26, 38, 5-10, and 5-11. This style is also seen in cave 35 in the trabeated niche on the east wall and on the east entrance niche which is dated to 515. The seven Buddhas on the north wall in cave 36-2 are exceedingly similar to the Buddha in cave 4,50 which bears an inscription dated to the □ year of Zhengguang (520–24).51 It may thus be inferred that the excavation date of cave 36-2 is not too far from this. It is worth noting that some of the caves in this group were not completed. For example, in cave 36 the carving is crude in some images, and hastily done; and in cave 33-4, the east niche images are refined but those in the west niche have hardly any carved lines on the robes. These phenomena suggest that these caves are near the end of the construction of Yungang. In brief, the iconographic style in this group is extremely similar, the excavation dates were close, and should belong to the last phase of Yungang (515–24). Among them, 23-1, 27-2, 32-12, 32-9, 32-11, 33-3, and 35-1 are probably early, and 24-1, 26, 36, 33-4, 38, 40, and 41 belong to the final phase of the caves.

Concluding remarks As discussed above, the third-phase caves have been divided into four groups and three time periods of construction based on the perspective of archaeological periodization. Dating and chronological sequence are two important aspects of Buddhist art study. It is fundamental in the examination of Buddhist rock-cut cave temples. The features of each period in the third phase can be summarized as follows: The first period, i.e., the first group, is located in the eastern section of the west-end caves (21 to 31). They are mainly medium-sized, and are the representatives of the exquisite craftsmanship in the third phase, especially caves 27, 29, and 30. They can be called masterpieces of the third phase. The patrons were probably higher-level officials. This group of caves was

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excavated approximately at the beginning of the transfer of the capital, but cave 21 was probably constructed before then. The cave structure is primarily storied niches on three walls, continuing the cave structure of caves 7 and 8; there is also cave structure of one niche on the north wall with storied niches on sidewalls; the cave structure of three niches on three walls (sanbi sankan) emerged. The structure of the niches is a continuation of the second phase with pointed and trabeated niches. The curtained niche emerged (on the west wall of cave 30). The Śākyamuni and Prabhutaratna become iconographically popular and are the main images used for the subject of the three Buddhas. There even appeared the unique composition of the Śākyamuni Buddha on the north wall and Śākyamuni and Prabhutaratna on the sidewalls (cave 24). This implies that the Lotus Sutra was widely popular and deeply rooted in the heart of the people. Next is the composition of Śākyamuni (upper niche) and Maitreya (low niche) expressing the passing on of the Buddha Dharma. The iconographic style continued that of cave 6 and caves 1 and 2, but appear more slender and elegant. The neckline of the robes is mainly in a “V” shape, and the drapery is short. The “U” shaped neckline began to appear and the drapery has two arcs. The celestial robes of the Bodhisattva has an “X” crossing in the front. The second period, i.e., the second group caves (37, 35, 34, and 39) are mainly situated at the western section of the western end. They are larger in scale, thus the images are larger than those in other caves. The excavation dates of this group of caves were before the first year of Zhengshi (504) up to the fourth year of Yanchang (515). The patrons, as with the first-group, were higher level officials. Sanbi sankan is the popular cave structure. Caves 35 and 37 are probably paired caves. The caitya cave (39) began to emerge. The central pillar is in imitation of wooden pagoda with nine stories. Compared with caves 1 and 2, it is more like the structure of a real pagoda, modeled after the monasteries in Pingcheng. The niche structure of this group is the same as the first group, but the trabeated niche front with the folding screen (cave 35) began to emerge. At this time, there appeared Maitreya Bodhisattva (cave 37) as the main image in the iconographic composition of the three Buddhas, as well as Śākyamuni and Prabhutaratna (cave 34) as the main image. There also appeared the iconographic composition of three Buddhas in the form of Śākyamuni as the main image flanked by seated Buddha with legs crossed and seated Bodhisattva with ankles crossed. The latter is the representation of Maitreya’s ascent toward, and descent from, the Tushita Heaven, a manifestation of passing on the Buddha Dharma in three phases. The appearance of the disciples as the attendants of the Buddha is significant. Stylistically, this group followed the older tradition, but at the same time, innovations were made. The images appear robust and solid with broad chests and full faces. The workmanship is not as refined as the previous group. The third period includes the third and fourth groups. These two groups are close in time. All caves were excavated between the fourth year of

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Yanchang (515) and the fifth year of Zhengguang (524). These two groups are mainly small cave temples, and were excavated using the leftover cliff space. The excavation was extended to the west of cave 39. The social status of the patrons was apparently lower than those of the first two groups. They were middle or low officials, or ordinary devotees. But caves 5-10 and 5-11 are exceptions. The images in these caves are refined sculpture and can be considered the masterpieces of the group. The patrons possibly had high social status and were able to invest abundant financial resources and use excellent craftsmen. The sanbi sankan and a design with one niche on the north wall with storied niches on the sidewalls was popular in this group, but caves 5-10 and 5-11 are different due to the thickness of the north walls; also, the design of the cave includes two niches with an altar on the north wall. The trabeated niche with folding screen is a prominent and popular characteristic of this group. Iconographically, Śākyamuni and Prabhutaratna are primary, and Śākyamuni and Maitreya is often seen as well. The iconographic style is elegant and slender with some images elongated. Overall, the workmanship is not as exquisite as the first two groups; some are even unduly crude, with disproportioned bodies and rough lines. All of these imply that the excavation of the caves in Yungang had begun to decline. This perhaps was related to the fact that after the southward transfer of the capital to Luoyang, a large number of excellent craftsmen moved south. In the end, mention must be made of the relationships between scriptures and visual images, and image-making and politics, and in particular, the sacred texts translated by Tanyao and others in Yungang. The eminent monk Tanyao from Liangzhou had just experienced the disastrous persecution of Buddhism by Emperor Taiwu and was appointed as Shamentong after Buddhism was revived. After the painful persecution, Tanyao deeply felt that without the support of the court it would be impossible to carry the Buddha Dharma forward in an unbroken fashion. It was due to such feelings that he persuaded Emperor Wencheng to carve five colossal images of the five emperors of the Northern Wei on Mount Wuzhou. While he was supervising the excavation of the caves, Tanyao gathered many eminent monks in the Beitai caves (Yungang) to translate sutras, among which, the Fufazang yinyuan zhuan and Dajiyi shenzhou jing especially emphasize the significance of passing on the Buddha Dharma.52 The most popular subject matter of the three Buddhas in the caves is evidently related to the influence of these two scriptures. The Lotus Sutra and the Vimalakirti Sutra also inspired image-making in the rock-cut cave temples. The Śākyamuni and Prabhutaratna are the primary Buddha images in the third-phase caves, and the debate between Vimalakirti and Manjusri is illustrated in almost every cave. They became the visual symbols of the sutras. One can well perceive the profound influence of the two classics. The subject matter of the imagery in Yungang reflects the social and political climate, as well as ideology. The images in the first-phase caves were modeled after the five founding emperors to validate the claim by Faguo that

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the emperor was the living Tathāgata.53 The emperor represented the manifestation of the Buddha. On one hand, Buddhism was supported actively by the court; on the other hand, in return, it served the imperial family. In the second phase, paired caves became the prominent arrangement, reflecting the reign of the “two sages” of the time: Emperor Xiaowen and Lady Feng. The sinicized style emerged first in cave 6, was further developed, and was eventually perfected in the third phase. That art, politics, and society were closely connected, and the subjects served as a political tool is clearly reflected in the art of Yungang. Many prominent narrative scenes (the Great Departure, the Defeat of Mara, the Dipamkara Buddha, and the Asoka jataka, etc.) from the life of the Buddha and his previous existences were represented as didactic tools. These favored subjects were carefully chosen by the Yungang craftsmen and/or donors to be in line with political exigencies. The third-phase cave temples are an integral and important part of the “Yungang style.” Even though the excavation of the caves at this time fell into decline, they are still endowed with some of the glory of the preceding phases. The innovative styles created in the third phase, the iconography and cave structure, etc., had a profound impact in the Luoyang area, even the entire central plain area, in particular, the caves in southeast Shanxi, with the southward transfer of the capital.54 The cave structure, and the subject matter and the style of the caves in these areas are strikingly similar to those in the third-phase caves in Yungang. Su Bai notes that the excavation of the cave temples in the Luoyang area primarily reflected the “Yungang Style.”55 The Guyang cave temple in Longmen excavated during Emperor Xiaowen and Emperor Xuanwu imitated the cave temples in the second phase of Yungang. Mention was made in the Weishu that Emperor Shizong commanded Dachangqiuqing 大長秋卿 (the Grand Chief Autumnal Prince) Bai Zheng 白整 to excavate the Binyang caves in Longmen modeling on the caves of Yungang.56 Thus it is clear that the third-phase caves had a significant role in the development of the Buddhist rock-cut cave temples in north China. This will be my final remark below.

One final remark: Buddhist sinicization reconsidered One final point must be made to emphasize the significance of the thirdphase caves in the process of Buddhist sinicization, which was fully realized in the third-phase caves before Longmen. Chinese Buddhist imagery underwent a stylistic transformation during the late 5th century. It went from the early images with one shoulder covered only to the icons with baoyi bodai and both shoulders covered. This can be best reflected in cave 6 in which Buddhist images began to wear baoyi bodai Chinese style garments. Numerous scholars have explored the issue and most of these same scholars suggest that the process was not improved until Longmen.57 Since little to no attention has been paid to the third-phase caves before this research, the full process of sinicization from the baoyi bodai images in cave 6 to the elongated and elegant images of the third phase has been wholly

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overlooked. The earliest datable example of Buddhist imagery in this new trend can first be observed in cave 11-14 outside cave 11 at Yungang. The inscription below indicates that the figures were executed in the 13th year of the Taihe era (489). In view of the analysis of the third-phase caves above, it is my belief that the process of sinicization was perfected by the end of the third phase of Yungang. This can be seen clearly in the images of the thirdphase caves. The sinicized images are best exemplified in caves 28 and 30 in the west-end portion of Yungang, as well as in caves 5-10 and 5-11. It is also my belief that the sinicization did not result merely from the 486 edicts by Emperor Xiaowen or from the close influence from the south.58 The reason Buddhist images in the late 5th century began to wear baoyi bodai and to appear attenuated and angular is far more complicated than scholars have previously supposed. Also, the stylistic transformation in Buddhist imagery is an important visual phenomenon. In the following, I will discuss the complicated process based on the previous studies and new research in the hope to emphasize the significance of the “Yungang Style 雲崗模式” and its influence in the image-making in central plain China especially in Shan’xi and Henan. I would also like to emphasize the mutual influence between north and south in the process of sinicization. Finally, I will attempt to demonstrate how painting was synchronized with sculpture during the 4th, 5th, and 6th centuries. These stylistic innovations perfectly correspond to what Zhang Huaiguan 張懷瓘 (active 713–41) summarized in the evolution of Chinese painting: Zhang gets the flesh right, Lu gets the bones right, and Gu gets the spirit right 張得其肉, 陸得其骨, 顧得其神.59 First of all, the baoyi bodai robes appeared before the 486 edicts adopting Chinese culture. The Maitreya-Amitayus stele discovered in 1920 in Maoxian 茂縣, northwest of Sichuan, was dated to the first year of Yongming 永明 (483). Both Maitreya Buddha and Amitayus Buddha wear baoyi bodai robes with both shoulders covered. Apparently the sinicized baoyi bodai style existed before the edict of 486. Besides, the reform of Xianbei people adopting Chinese culture actually started as early as Daowudi in the beginning of the Northern Wei, and it was continued through Xiaowendi and Xiaomingdi (r. 516–28). The edict in 486 just reinforced the development. In the first year of Tianxing 天興 (398), Daowudi commanded Dong Mi 董謐 to compose different kinds of ritual ceremonials.60 In the sixth year of Tianxing (404), he commanded that caps and gowns be made according to rank.61 In the Taihe era of Emperor Xiaowen’s reign, he commanded that a new style of caps and gowns be made according to established rules. The Suishu (The Book of Sui) records that even from the beginning of the Northern Wei during the reign of Emperor Daowu, the adoption of Han clothing by the Northern Wei Xianbei people had started and after him, through the emperor Xiaowen and emperor Xuanwu, the sinicization was continued.62 Through this long process of adoption of Chinese culture, Emperor Xiaowen’s reform was perhaps most effective. It includes using Chinese names, speaking the Chinese language, wearing Chinese clothes, and transferring the capital to the south, from Pingcheng to Luoyang.

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The development of Buddhism, a foreign religion, and its art, from its arrival in Chinese soil in the Han dynasty, had been in a process of adjusting to and adopting Chinese culture, and Buddhist art and architecture are reflections of this cultural assimilation. The changes of the garments of the Buddhist images were inevitably influenced by Han culture from the beginning. The earliest extant Han Buddha images discovered in the 1940s in Pengshan and Leshan tombs in Sichuan wear tongjian robes. These, though reminiscent of Gandhara art, clearly demonstrate Chinese Han cultural influence, with loose sleeves and a strong sense of linear design. Chinese art is characterized by linearity. The figures on the frescos in cave 169 in the Bingling cave-temple complex are another good example of Chinese linear art reflected in Buddhist iconography. Besides, the life of the Buddha depicted in consecutive panels also shows the influence of Han brick reliefs. It is clear that from the very beginning, Buddhist art is a hybrid of Chinese and western culture. The second interpretation of the stylistic shift, which assigns much importance to southern influence, cannot be wholly denied. There is, however, little evidence that southern culture became dominant. The images in the Qixiashan 棲霞山 cave-temple complex in Nanjing do not wear baoyi bodai robes. “This baoyi bodai style was apparently northern rather than southern, as is generally assumed.”63 A more valid position is that the well-known Chinese tradition of syncretism, of blending seemingly divergent traditions, was operative in the cave-art we are discussing. In this regard, we find an interesting discussion between Chen Qingzhi 陳慶之 (d.u.), a southern official, and Zhu Yi 朱异 (483–549), a scholar well versed in classics, history, and literature. The conversation, from the Luoyang qielan ji goes like this: Xiaoyan appointed (Chen Qingzhi) Governor of the Metropolitan province of Sizhou. Chen showed great respect for northerners and relied heavily on them. This attitude was highly unusual. Zhu Yi found it strange and asked him about it. Chen replied: ‘Ever since the Jin and Song periods, people have been calling Luoyang a desolate land and saying that anyone north of the Yangtze is a barbarian. On my recent visit to Luoyang, I at once realized that the capped and gowned scholars all lived in the central plains where ritual and etiquette flourish and people are prosperous. I can’t find words to express how what I saw there impressed me. This is why we say that the imperial capital is magnificent and the model of the four quarters. This is like those who have climbed Mt. Tai think little of mere hills, and those who have been on the Yangtze or open sea despise the Xiang and Yuan. How can we not assign heavy responsibilities to the northerners?’ Qingzhi therefore adopted the Northern Wei style of feathered canopies for insignias and costumes. Gentry and commoners south of the Yangtze quickly competed in imitating him. The loose robe with wide girdle (baoyi bodai) was worn in Moling (Nanjing).64

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What Yang Xuanzhi tells us in his Luoyang qielan ji, confirms that the northern culture actually inspired the south in the style of dress and that the baoyi bodai style is from the central plain, not from the south, as scholars have suggested. But this is not to say that the south did not have an impact on the north. It certainly did, but in Buddhist iconography, North and South interacted, and the influence is mutual. To summarize the points I have made above, the process of sinicization started as early as the Han Dynasty. The 486 edicts were only one of the factors which enhanced the process, and it is not the major reason for sinicization. In this process, northern culture and southern interacted, and influenced each other. The southern influence is undeniable particularly in the late stages of Yungang and throughout the construction of Longmen. The influence of the South, due mostly to migration to the district of the Northern Wei capital, made itself felt in Buddhist images of the caves. Supple and slender bodies replaced the stiff formalism of the earlier images. I would suggest that northern culture also had a profound influence on south China. The baoyi bodai dress style started from the north rather than south. The robes of Buddhist figures were modified in stages to fit more closely into the Chinese tradition and aesthetic value. This led to a greater degree of naturalism in the depiction of the body in Chinese Buddhist sculptures. As I mentioned earlier, many scholars have taken the position that the sinicization of Buddhist iconography was not completed until the Longmen period. I have argued that sinicization was perfected during the third phase of Yungang, not during the Longmen time as other scholars have suggested. The images in the third phase of Yungang appear much more elegant and graceful. They are the genuine xiugu qingxiang icons demonstrating a strong sense of linear design, one of the outstanding features of Chinese art. The elongated seated Buddha on the west wall of cave 30 can be considered the masterpiece of the third phase. It is delicate and supple. The gentle smile makes the image more personal. Besides, it is widely accepted that the Longmen artisans imitated Yungang in iconography and architecture while creating their own regional art. The images in the earliest cave, Guyang cave 古陽洞, in Longmen closely resemble those in caves 7 and 8 in Yungang. Also, it is traditionally believed that some of the Yungang artisans went to Luoyang when the capital was transferred southward. My final argument against simplistic explanations for the iconographic shift in cave sculptures is based on the largely unexplored relationship between painting and sculpture in China during the period under discussion. It is this relationship, and the fact that many renowned artists like Dai Kui 戴逵 (?−396), Gu Kaizhi (345–406), Lu Tanwei 陸探微 (?−485), Zhang Sengyou 張僧繇 (?−?), a contemporary of Emperor Wudi (r. 502–49) of the Liang, and Cao Zhongda 曹仲達 of the Northern Qi (550–77) were both painters and sculptors, that lead me to believe that the art of the brush had a profound influence on the shaping of the figures in the Buddhist caves of

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Yungang and Longmen. Below, I will examine more closely some of the representative exemplars of this phenomenon. The sinicization is not only reflected in the changes of Buddhist garments, but is also reflected in the iconographic transformations from the nonChinese masculine colossal images of five Tanyao icons to the attenuated and elegant Buddhas seen in the masterful Buddha image on the left wall of cave 31 in Yungang; the slender seated Bodhisattvas with ankles crossed in caves 5-10 and 5-11; and the fleshy and heavy images of Xiangtangshan caves and Qingzhou. These iconographic transformations took place simultaneously with the transformation of style in painting. As sculptures were mostly painted, the sculptors were often required, as a foundation for sculpture, to be adept at painting as well. There is sufficient evidence that distinguished sculptors, in general, excelled both in painting and sculpture. Chinese painters thus had a profound impact on the transformation of Buddhist sculpture. Dai Kui, a contemporary of Gu Kaizhi, is well-known for being good at both painting and sculpture. Dai was also skilled at casting Buddhist images and carving them. Whenever he sculpted a Buddha image he analyzed his task and pondered the means to carry it out until it achieved brilliance. Dai also sculpted five “image of Buddha taken in procession” 行像 images. Dai Kui’s son, Dai Yong 戴顒, inherited his father’s talent. “The simplicity of his rendering of images was charming and profound.”65 “The images made by both Dais were unequalled in all generations.”66 Jiang Shaoyou 蔣少游 (?−501) of the late Wei period was said to be skilled in calligraphy and painting. According to Lidai minghua ji, he excelled in both painting the human figure and carving.67 That good sculptors were also adept at painting is well demonstrated in all of the examples mentioned above, and a close inspection of cave 328 at Dunhuang gives one a better idea of how painting and sculpture are closely associated as an integral whole. The consistency of the configuration and a uniformity of modeling and style are clear. We are even led to believe that in many cases it is one single artist creating both painting and sculpture since they echo one another so remarkably. Both from literary evidence and observation of actual work, it can be seen that painting and sculpture are interconnected and synchronized. When the style of painting changes, the style of sculpture changes as well. To demonstrate this point we might look at some of the renowned painters, each representative of his own time: Gu Kaizhi of 4th century, Lu Tanwei of the 5th century, and Zhang Sengyou of the 6th century and their painting style while at the same time looking at the style of contemporary sculpture. Gu Kaizhi remains a legend in China even today, revered as the father of Chinese painting. Gu, it is said, often left the eyes of his figures undotted for years to decide how to transmit the spirit. “Transmitting the spirit in sketching a portrait lies precisely in the eyes,” he wonderfully put it when he was asked.68 He made the eyes of his figures speak. The eye contact between

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the figures in the Nüshizhen tu (Admonitions to the Court Ladies) and the direction of their gazes bring them to life and make the viewer feel at one with them. In his Lidai minghua ji, Zhang Yanyuan commented on Gu’s brushstrokes as follows: (They are) firm and powerful connecting with one another without interruption. The strokes follow each other in succession and go beyond the mundane. (In this way he made) his style lofty and unique. His strokes are as swift as the wind and like a flash of lightening. His intent existed in his mind before it emerged from his brush. When the painting was completed, his intent remained in it. This is entirely because of the vitality of spirit. . . . Master Gu understood the subtle principles so well in painting the worthies of antiquity that even after looking at them all day one did not feel weary.69 Gu Kaizhi created a revolutionary innovation when he depicted the Indian layman Vimalakirti because it satisfied Chinese eyes and taste by making this Indian layman a Chinese scholar. Master Gu was the first to create the portrait of Vimalakirti. His face gives the impression of emaciation and delicacy suggesting his illness. He is shown resting against a small table having forgotten how to speak.70 He created this delicate and emaciated style to fit the Chinese taste, and more importantly, he transformed the Indian layman into an idealized Chinese scholar to satisfy Chinese eyes and taste, so much so that the Chinese elite hoped to find reflections in the image of Vimalakirti. This became the model in creating iconic Buddhist images. It should be mentioned that Gu was not alone in creating this new style. His contemporary, Dai Kui, played an important role as well in this stylistic innovation. Dai was perhaps more influential after all since he sculpted many Buddhist icons. “Dai’s style was delicate and his integrity was lofty.”71 His famous The Seven Sages of the Bamboo Grove and Rong Qiqi, now a lost piece, was, according to Gu Kaizhi, a masterpiece beyond comparison with the work of any other painters.72 Gu also painted “Seven Sages” but it was not as good as Dai’s. Although unfortunately this work did not come down to us, we can still nevertheless trace the very root from the extant stamped-brick tomb murals of the “Seven Sages,” which was excavated in 1960 at Xishanqiao 西善橋 near Nanjing and dated as a work of the 5th century. The authorship of this work may never be known, but it perhaps is not too unreasonable to infer that the designer was influenced by Dai Kui since it is so close to Dai Kui both in time and in place. And since Dai was the “leader of all craftsmen,” who wouldn’t want to copy his work? Xie He 謝赫 of the sixth century expressed the view that “Dai excelled in depicting Wise Men and Sages. They have become the models for all craftsmen. He became a true leader.”73 The biography of Dai Kui in Songshu (The Book of Song) records that Buddha images began to emerge from the Han dynasty,

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but that the rendering of the forms was not yet skillful. Dai Kui uniquely excelled in this matter.74 “Both Dais, father and son, excelled in painting, and believed in Buddhism. In sculpting and painting, they created new models in every move.”75 These new models were copied by painters and sculptors of all times. After him, Cao Zhongda of the Northern Qi, Zhang Sengyou of the Liang dynasty, and Wu Daozi and Zhou Fang of the Tang dynasty all showed their advantages and disadvantages.76 But the root was Dai Kui. The later styles, Cao style, Zhang style, Wu style, and Zhou style initially copied Dai Kui’s model though they each later invented their new mode. Lu Tanwei was the third painter in the tradition of Dai Kui and Gu Kaizhi and also known for “transmitting the spirit” and portraying figures of elegance. He is usually regarded as the key figure in the stylistic evolution of Chinese plastic arts: “Lu embraced what went before him and gave birth to what succeeded him. He stands alone from ancient times up till now.”77 Both Gu Kaizhi and Lu Tanwei were esteemed as the foremost apractitioners of their art by Zhang Yanyuan: Master Lu brought subtlety into the souls of his figures. Each brush stroke joined together with spirit. His strokes are powerful and sharp as if chiseled with a knife. The appearances of his figures look elegant and refined. They seem to be actually living. In capturing the whole person, Lu gets the bones right, but Gu gets the spirit right.78 It is this “elegant and refined appearance” that was favored by Chinese connoisseurs and soon copied by Chinese artists in both painting and sculpture. As mentioned earlier, the earliest datable example of Baoyi bodai appeared in cave 11-14 outside cave 11 at Yungang (dated to 489 AD). Buddhist iconic figures thereafter all showed emaciated bodies and elongated faces: they were transformed into Chinese scholars. Most of the images from the third phase of Yungang demonstrate these features and the masculine, non-Chinese looking Buddha disappeared from Chinese soil from the late 5th century. The essential qualities of the elongated style are also exemplified by the images in the Guyang cave at Longmen. This trend of slender and elegant figures is not only illustrated in Buddhist sculpture, but is also observed in other, non-religious, art, and became a dominant feature of 5th century Chinese art. The earliest known examples of non-Buddhist images of this type are illustrated on the lacquer screen in the tomb of Sima Jinlong and his wife, discovered in the village of Shijiazhai, outside Datong, dated from the fourth year of Yanxing 延興 (474) to the eighth year of Taihe (484).79 A different trend gradually began to emerge in the late 5th century and would become dominant throughout the 6th century. Typical examples of this trend are found in the figures from the stone steles unearthed from the Wanfo Temple dated to 523 AD and 529 AD. The figures are fleshy with plump shoulders and full-moon faces.80

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From these images we do not see Gu Kaizhi’s “transmitting the spirit” through eyes shown in Nüshizhen tu, or the emaciated Vimalakirti; nor do we see Lu Tanwei’s clear-cut elegant figures reflected in the images in the third-phase cave temples. Rather we seem to observe Zhang Sengyou’s “fleshy” figures. In rendering Buddhist images, Zhang Yanyuan tells us, Zhang was skilled in: A thousand changes and myriad transformations, (creating) strange shapes and unique forms. He let them pass before his eyes and then transferred to his hand; receiving them with his mind, he echoed them with his hand [he masters them with his mind and hand]. In reality it is not only that he reached perfection in the Six Laws (of Xie He); in truth he mastered all the wonders of myriad categories.81 The trend toward simpler draperies and fleshier bodies was increasingly noticeable at the end of Northern Wei. It continued into the mid-6th century under the Eastern Wei (534–50), Western Wei (535–57), and Northern Qi dynasties and gradually underwent a process of softening. The bodies and faces of the figures became less narrow and the pleats of their robes lost their sharp, angular character. The decorative linearity which characterized the Northern Wei treatment of drapery lost its tension and rhythmic dynamism, becoming somewhat mechanical and repetitive, while the images’ countenances became milder. The simplicity in the rendering of the images further demonstrates the influence of Zhang Sengyou who created “spare style 疏体.” Zhang Sengyou “acquired his talent from Heaven, so that after only one or two strokes the image already existed in them.”82 Mi Fu (1050–1107) of the Northern Song described his images as “short of face and heavily painted 面短而艷.”83 Zhang’s style is also clearly reflected in the mural paintings in Xu Xianxiu 徐顯秀 tomb discovered in Shanxi province. The figures on the mural appear rather fleshy and are simply sketched (plate 66). Another example is the cavalrymen in the murals at the tomb of Prince Lou Rui 婁叡 dated to the first year of Wuping (570 AD) of the Northern Qi dynasty. They were depicted with fuller, rounder faces and bodies. The murals are drawn with simple but forceful lines, showing great vitality. The Jiankang shilu 建康實錄 records that Zhang adopted the threedimensional method (凹凸法) from Indian and Western Regions painters who were invited to Jiankang by Emperor Liang Wudi. Zhang was also often invited to paint Buddhist icons in temples for Emperor Liang Wudi: Three-dimensional flowers [with bright and dark colors] were painted all over the temple gate. They are said to be Zhang Sengyou’s hand traces. These flowers were [painted] in Indian traditions with red, green and blue colors. Viewed from a far distance they look three-dimensional

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making one dizzy; viewed from a near distance they look flat. People of the time all think they are very unique, therefore named it the Temple of Flower of Three-dimensions.84 Zhang’s “three-dimension method” is not only reflected in the technique of the “light-heavy” turns used in the calligraphy, it is also displayed in the skills of the “bright-dark” technique influenced by the West. It is significant to note that Zhang Sengyou is not alone in contributing to the second transformation in the evolution of Chinese Buddhist sculpture. Cao Zhongda of the Northern Qi dynasty played a fairly important role in this innovation. According to Lidai minghua ji, Cao Zhongda of the Northern Qi was by origin a native of the realm of Cao (in today’s Uzbekistan near Samarkand) and acknowledged his supremacy in painting icons of the Indian type. Guo Ruoxu of the Northern Song made a vivid description of Cao Chongda’s and Wu Daozi’s styles in his Tuhua jianwen zhi: Wu’s strokes in form were round and curving and his robes fluttered upward. Cao’s strokes were dense and layered. His robes were tight and clinging. Therefore later generations said Wu’s girdles flutter in the wind, while Cao’s garments had just come out of the water.85 Since none of Cao’s works survive today, we must rely on Guo Ruoxu’s record and some recently discovered (1996) Buddhist sculptures of Qingzhou in Shandong Province. The Buddhist icons found there are primarily from Northern Wei and Northern Qi dynasties. Luckily most of them are still painted. The robes of the Northern Qi images all cling tightly to the bodies. They appear to be wet and just out of the water, exactly as Guo Ruoxu had observed in his comments on Cao Zhongda’s style. The Qingzhou Buddhist icons, as they continue to be studied, will provide invaluable and abundant evidence for scholars to investigate Zhang Sengyou’s and Cao Zhongda’s styles further and to study the cultural exchange between the south and the north. By examining these renowned painters and their styles, I have attempted to demonstrate how painting was synchronized with sculpture during the 4th, 5th, and 6th centuries. These stylistic innovations perfectly correspond to what Zhang Huaiguan suggested in the evolution of Chinese painting: Zhang gets the flesh right, Lu gets the bones right, and Gu gets the spirit right.86 In other words, in the 4th century, Gu (Kaizhi) gets the spirit right; in the 5th century, Lu (Tanwei) gets the bones right; and in the 6th century, Zhang (Sengyou) gets the flesh right. These three great painters had a proud impact on the evolution of Buddhist sculpture. These three preoccupations of the three painters conform perfectly to the Buddhist images produced in their times. In the first phase the images by Gu

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emphasize the spirit; the second phase, by Lu, emphasizes the bones; and the third phase, by Zhang, emphasizes fleshiness. In these periods, Chinese sculpture experienced two successive stylistic changes. It first emerged from the simple, powerful, and virile forms of the first phase of Yungang to the elongated, refined, and slender figures of the Yungang third phase and Longmen. We find, in this process, that alien Buddhist icons were transformed into Chinese scholar clad in baoyi bodai. Then in turn, this changed to the full-moon faced, fleshy figures of Qingzhou and Xiangtangshan. In summary, the sinicizaiton of Buddhist images was a long process. Buddhism and its art underwent assimilation from the time of its arrival on Chinese soil in order to survive. It was a process of absorption and innovation. Chinese art is the art of linear design, and Buddhist art became linear under Chinese influence. The garments of Buddhas are in a way a reflection of monastic life. They are not just the results of political reform enforcing sinicization or the southern influence. The cultural influence is mutual through interaction as our literary sources tell us. The sinicization is not just reflected in the change of the garments of the icons. It is also reflected in the elegant and attenuated iconography. This transformation is closely related to the famous painters. As we have pointed out Zhang Huaiguan perceptively suggested: Zhang gets the flesh right, Lu gets the bones right, and Gu gets the spirit right.87 The iconographic transformations of painting and sculpture took place simultaneously in China. The great painters had a profound impact on the evolution of the sculpture from the 4th to the 6th centuries. From Yungang to Longmen, from north to south, there is a clear map of evolution and yet they each have their own aesthetic principles and each created a distinctive art form. As I have suggested, these art forms did not solely result from the two factors usually mentioned by art historians. I suggest that the sinicization edict of Emperor Xiaowen and the growth of southern influences after the court moved to Luoyang played a part. I have attempted to amplify these explanations by suggesting an additional factor: the synchronization of painting and sculpture. Together these four factors combined to create some of the great monuments of world art history.

Notes 1 In the history of peasants’ rebellions, only at the end of the Northern Wei did many Buddhist monks participate and even lead some of them. They destroyed Buddhist temples and caves, and burned sutras. For details, see Su Bai, “fenqi,” in Zhongguo shikusi yanjiu (Beijing:wenwu chubanshe,1996), note 23, 88. Also see. Weishu, “Shizong ji” (Beijing: Zhonghua shuju, 1974), 8:191 and “Suzong ji,” 9:221. 2 Daoxuan, Xu gaoseng zhuan, T50:2060:425c26 and T50:2060:427c23. 3 These include caves 21, 22, 22-1, 23, 23-1, 24, 24-1, 25, 25-2, 26, 27, 27-2, 28, 28-2, 29, 30, 31, 32-9, 32-11, 32-12, 33, 33-3, 33-4, 33-6, 34, 35, 36, 36-2, 37, 38, 38-3, 40, and 41, as well as 5-10 and 5-11.

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4 Li Xueqin, “Yungang shiku xinbian kuhao shuoming,” in Zhongguo shiku Yungang shiku. Ed. Yungang shiku wenwu baoguansuo (Beijing: Wenwu chubanshe, 1991), 209–11. 5 In some cases, the Śākyamuni and Prabhutaratna seated side by side are the predominant images on the main wall. They constitute almost half of the primary images on the main wall. This demonstrates the popularity of the Lotus Sutra during the third phase. 6 The author discovered this lost standing Buddha in the Musée Guimet in 2005 when doing research in Paris. 7 Mizuno and Nagahiro divided the ceilings into: (1) elliptical and slightly domed, (2) flat and rectangular, always coffered (zao jing), (3) coffered and corbelled, and (4) coffered, corbelled, and coved, four different types, see Mizuno Seiichi and Nagahiro Toshio, “Unkō sekkutsu: seireki goseiki ni okeru Chūgoku hokubu Bukkyō kutsuin no kōkogakuteki chōsa hōkoku: Tōhō Bunka Kenkyūjo chōsa (Yungang: The Buddhist Cave-Temples of the Fifth Century A.D. in North China), (Kyoto: Kyōto Daigaku Jinbun Kagaku Kenkyūjo, 1951), vol. 16, 65–6. However, types 3 and 4 should belong to type 2 since they are just two different kinds of decorative designs and the structural pattern of types 3 and 4 is the same. Mizuno and Nagahiro also mistook pingqi design as pingqi zaojing. Pingqi is an architectural term of the Song dynasty. In Ming and Qing dynasties it was called tianhua 天花, and was used for plafond decorations. The design looks like a chessboard pattern with 4, 5, 6, 8, 9, or 12 panels. Zaojing is a term used for plafond decorative art and structure. The zaojing panel can be dousi 斗四 (quadrilateral), or douba 斗八 (octagon). Zaojing plafond decoration can be seen as early as in the Han dynasty. In Yungang, pingqi and zaojing plafond decorative designs are combined together with zaojing inside pingqi. 8 In some of the images on steles discovered in Chengdu, four disciples carved in bas-relief appear as well. See Li Yuqun, “Sichuan nanchao zaoxiang de ticai yu beifang shiku de guanxi,” in Sichuan chutu nanchao fojiao zaoxiang. Ed. Sichuan bowuyuan, chengdushi wenwu kaogu yanjiusuo, and Sichuan daxue bowuguan (Beijing: Zhonghua shuju, 2013), 228–42. 9 According to Zhao Kunyu’s statistics, there are more than 190 narratives of Buddhist sculpture. See Zhao Kunyu, Yungang – Fojiao gushi diaoke yishu (Nanjing: Jiangsu meishu chubanshe, 2010), 3. 10 The story is told in the Guoqu xianzai yinguo jing (Sutra on the Causes and the Effects in the Past and Present), translated by the Indian Buddhist monk Gunabhadra (Qiunabatuoluo 求那跋陀羅) in 435–443 CE, see T03:189:628:c21. 11 See Foshuo guanfo sanmei haijing, translated by Buddhabhadra (Fotuobatuoluo 佛陀跋陀罗) of the Eastern Jin, “guan siweiyi pin,” T15:643:667:c14; also see Mokemoye jing (Mahāmāyā sutra), also known as Buddha’s Ascent to Tavatimsa to preach for his mother Mayadevi, translated by unknown Tanjing 释昙景 of the late 5th century, T11:383:1008. 12 Jin Weinuo, “fobensheng tu xingshi de yanbian,” in Jin Weinuo, Zhongguo meishushi lunji (Taibei: Mingwen shuju, 1984), 389–96. 13 Ibid. 14 Pao-chen Chen, The Goddess of the Lo River: A Study of Early Chinese Narrative Handscrolls, Ph.D. dissertation (Princeton, 1987), 139–40. 15 Julia K. Murray, “Buddhism and Early Narrative Illustration in China,” Archives of Asian Art, 48 (1995): 24. 16 Ibid. 17 Ibid. 18 Michael Sullivan, The Arts of China (Berkeley, CA: University of California Press, 2009), 107. Also see Karetzky Patricia Eichenbaum, Early Buddhist Narrative

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19

20

21

22

23 24

25 26 27

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Art: Illustrations of the Life of the Buddha from Central Asia to China, Korea, and Japan (Lanham, MD: University Press of America, 2000), 72. Baoshan Chu mu, 2 vols. (Beijing: Wenwu, 1991), vol, 1, 144–6, 501–3. Also see Cui Renyi, “Jingmen Baoshan erhaomu chutu de yingbin chuxing tu chulun,” Jianghan kaogu, 2 (1988): 72–9; Chen Zhenyu, “Chu guo chema chuxingtu chulun,” Jianghan kaogu, 4 (1989): 54–63. Wu Hung read the story from right to left: an official in a white robe is taking a tour on a horse-drawn chariot; the horses increase speed and attendants run ahead of them; the chariot then slows down and is greeted by a kneeling figure. Meanwhile, a gentleman wearing a dark robe is on his way to meet the official. In the final scene, the official has descended from the chariot and meets the host; but somehow he is now dressed in a dark robe while the host wears a white robe. See Wu Hung, “The Art and Architecture of the Warring States Period,” in The Cambridge History of Ancient China: From the Origins of Civilization to 221 B.C. Ed. Michael Loewe, and Edward L. Shaughnessy (Cambridge, UK: Cambridge University Press, 1999), 705. The great departure episode is depicted in caves 5-11, 5-33, 5-38, 28, 31, 35, 38, and 41, eight depictions in total during the third phase. Since these episodes – the great departure and the prince riding on an elephant – often appear together as a pair, I believe cave 5-10 originally had a depiction of the great departure as well but it was looted leaving the big hole that now appears on the west side of the front wall, but the prince riding on an elephant is still there on the east side. It is the same situation as in caves 33-3 and 33-4. In cave 33-4, the two episodes are illustrated outside the cave above the entrance. The prince riding on an elephant is illustrated in caves 5-10, 5-11, 5-33, 5-38, 31, 33-3, 33-4, and 38, eight discernable now in total. I also believe that the north side of the west wall in cave 35 originally had the depiction of the prince riding on an elephant as well, but it is eroded now. The south side still bears an illustration of the great departure. In cave 28, the great departure episode is depicted on the west wall over the niche, but it is not illustrated together with the story of the prince riding on an elephant as a pair. Instead, it is depicted together with the prince’s farewell to his white horse Kanthaka. In cave 38, these two episodes are illustrated together as a pair, as usual, but they are not illustrated on the front wall over the entrance. Rather they are depicted on the north wall. In cave 31, the two episodes are depicted on the either side of the reveals of the window of the rear chamber, not on the front wall. Guoqu xianzai yinguo jing, T3:189:632c27. The prince then made several solemn vows: “if I do not eliminate the grief of old age, sickness and death, I will not return to the palace. If I do not achieve complete Enlightenment, if I cannot turn the wheel of the Dharma, I will not return to my father. Until I exhaust all feelings of love and attachment, I will not go home to see Mahaprajapati nor Yashodhara.” See Guoqu xianzai yinguo jing, T3:189:633a18. Alfred Charles Auguste Foucher, The Life of the Buddha: According to the Ancient Texts and Monuments of India (Middletown, CT: Wesleyan University Press, 1963), 24. Yan Wenru, Yungang shiku yanjiu (Guilin: Guangxi shifan daxue chubanshe, 2003), 332; Wang Heng, Yungang fojing gushi (Sutra Stories in Yungang) (Taiyuan: Shanxi renmin chubanshe, 2002), 11. In both India and Gandhara narratives, Maya is often seen lying down, while in the distance, a descending elephant prepares to enter her side. Besides, it is more suitable to depict the great departure and the elephant-riding as paired images, for they are closer in time in historic life and in sutra texts.

Phase three – the remaining splendor 28 29 30 31

32

33 34

35 36

37 38 39

40 41

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The episode is depicted in caves 32-3, 33-3 and 41. Xiuxing benqi jing, T3:184:463a17. The episode is depicted in caves 28, 30 and 41. Guoqu xianzai yinguo jing tells that after they departed the palace and by dawn, the prince patted Kanthaka’s back and said: “you have accomplished some difficult task.” He said to Chandaka: “now that I have reached this place of refuge, you need to lead Kanthaka and return to the palace.” Chandaka cried after he was told to leave. He fell lame on the ground and could not control himself. Kanthaka, when hearing that they would be left behind, knelt down and licked the prince’s foot, his tears fell like rain, see T3:189:633b1. The episode of the banishing of the demons is depicted in caves 31, 35, and 38. The episode of the conversion of the three Kasyapas is illustrated in caves 35 and 38. Judging from the illustration of the banishing the demons in cave 31, it seems that the story of the conversion of the three Kasyapas was originally portrayed as well. The other three are the birth, the Enlightenment, and the attainment of Nirvana. According to the Xiuxing benqi jing (Sutra on the Origin of Practice of the Bodhisattva), translated by Zhu Dali and Kang Mengxiang in 197 C. E., the earliest extant literary source on the biographies of the life of the Buddha, tells us that the king asked his advisers how to prevent the prince from leaving home to pursue his spiritual life. One minister suggested that the prince should be ordered to oversee the ploughing so he can be distracted. So he was sent out with a thousand servants to oversee the farming and told how to inspect their work. The prince then sits under a jambu tree watching them till the land. When they broke new soil, worms came out from the soil, and then the birds swallowed them. Then frogs chased and ate the birds and snakes ate the frogs. Peacocks then ate the snakes and in turn the hawks ate the peacocks. The vultures then ate the hawks. Watching these creatures devouring each other, the adolescent’s heart was wounded. He sat under the tree and attained the first meditation. When the king heard that his effort to prevent the prince from practicing his spiritual life was in vain, he went out to the field to meet with his son. Looking from the distance, the king witnessed the miracle of the branches of the trees moving to make shade for the prince. He recognized the existence of the spirit after watching the miracle, but he didn’t realize that it was his son. So he dismounted the horse and worshipped his son, see T3:184:467b18. Mizuno and Nagahiro, Unkō sekkutsu, vol. 7, 79. Also Wang Heng, Yungang fojing gushi, 8. Guoqu xianzai yinguo jing, T3:0189:0628c21. The story is slightly different in the Xiuxing benqi jing which begins with the elephant event: “when they tried to go out from the city gates, they realized that an elephant was stuck between the gates so the prince and his cousins decided to have a test of strength to see who was the strongest,” see T3:184:465c7. Karetzky Patricia Eichenbaum, Early Buddhist Narrative Art: Illustrations of the Life of the Buddha from Central Asia to China, Korea, and Japan (Lanham, MD: University Press of America, 2000), 180. The moment is illustrated only in caves 35 and 38. The Rahula jataka is depicted in caves 9, 19, and 38; the Asoka story is illustrated in caves 25, 28, 29, 33, 33-4, 34, and 5-11; the Dipamkara story is depicted in caves 35 and 38 and the Gridhrakuta Hill legend is depicted on the south wall in cave 38. The story is accounted in Xuan Zang’s Da Tang xiyu ji 大唐西域記 (Buddhist Records of the Western World), see T51:2087:921b6. Guoqu xianzai yinguo jing, T3:189:622b14. Ibid., T3:189:622b24.

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42 Ibid., T3:189:622b27. 43 Many sutras, for example, the Sutra on the Causes and Effects of the Past and Present, Sutra on the Origin of Practice of the Bodhisattva and Lalitavistara, start with the former existence of the Buddha in the time of the Buddha Dipamakara. 44 The story can be found in caves 5-11, 5-38, 25, 28, 29 33, 33-4, and 34. It is depicted twice in cave 33-4. 45 Xianyu jing, translated into Chinese by Hui Jue and others in 445. According to Chu sanzang ji ji, Tanxue, Weide and eight others went westward from northwestern China to Khotan to seek Buddhist scriptures. They unexpectedly encountered a Buddhist Council at the Great Monastery which happens every five years. During the Council, Buddhist monks expounded the Buddhist scriptures and rules of monastic discipline in the language of Khotan. Tanxue and other monks translated and recorded the lectures in Chinese. Later they returned from Khotan and, upon reaching the region of Turfan, compiled the lectures given by the monks in Khotan as a single sutra, which is known as the Sutra of the Wise and the Foolish, T4:202:368:c14. 46 Xianyu jing, T4:202:368c7. 47 In Zabaozang jing (Sutra of the Miscellaneous Treasures), from which the story is derived, we are told that the boy is standing to the left side of the Buddha but the Yungang artists portrayed a kneeling boy and he is not always on the left side of the Buddha, see T4:023:0497:b15. 48 According to Xuan Zang, “. . . to the south of the vihara, by the side of the mountain cliff, is a great stone house in which Tathagata, when dwelling in the world long ago, entered Samadhi. To the north-west of the stone house and in front of it is a great and extraordinary stone. This is the place where Ananda was frightened by Mara. When the venerable Ananda had entered the Samadhi in this place, Mara, assuming the form of a vulture, in the middle of the night, during the dark portion of the month, took his place on this rock, and flapping his wings and uttering loud screams, tried to scare the venerable one. Ananda, filled with fear, was at a loss to know what to do, then Tathagata, by his spiritual power, seeing his state, stretched out his hand to compose him. He pierced the stone wall and patted the head of Ananda, and with these words of great love he spoke to him: ‘you need not fear the assumed form which Mara has taken.’ Ananda in consequence recovered his composure, and remained with his heart and body at rest and peace. Although years and months have elapsed since then, yet the bird traces on the stone and the hole in the rock still remain visible,” see T51:2087:921b6. Eng. trans. by Samuel Beal with minor revision, see Buddhist Records of the Western World (Delhi: Motilal Banardass, 1994), 9:154. Also see Faxian zhuan 法顯傳 (A Record of Buddhistic Kingdoms) by Faxian of the Eastern Jin, which has similar record of the story, T51:2085:859:c16. 49 See Mizuno and Nagahiro, Unkō sekkutsu, vol. 2, Appendix, “epigraphy” for inscriptions. 50 See Mizuno and Nagahiro, Unkō sekkutsu, vol. 1, plates 109 A, B, and 110 A, B. 51 See Mizuno and Nagahiro, Unkō sekkutsu, vol. 2 for the inscription detail. 52 Fourteen in total (the Fufazang yinyuan zhuan, dajiyi shenzhou jing, and zabaozang jing are the three in extant), see Weishu, 114:3037. 53 Weishu, 114:3031. 54 These caves are mainly situated within the triangle-shaped Buddhist centers and capitals of the Northern dynasties (Pingcheng, Luoyang and Ye) where Buddhism flourished quickly, and many Buddhist caves were commissioned for merit accumulation, good fortune and for meditation. Some areas in southeastern Shanxi have more caves than others. Gaoping 高平 County, for example, has many

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55 56 57 58

59

60 61 62 63 64

65 66 67 68 69 70 71 72 73 74 75 76 77 78

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Buddhist caves and monasteries (Yangtoushan cave complex 羊頭山, Shitanghui cave complex 石堂會, Gaomiaoshan cave 高廟山 and Fushan cave 釜山, and Dinglin monastery 定林 and Kaihua monastery 開化 etc.). Besides that, Changzhi 長治 County, Lingchuan 陵川 County, and many other counties are also filled with Buddhist caves and monasteries. I have examined and documented more than 30 unexplored caves in Shanxi including Lianghoudian caves 良侯店 in Wuxiang County 武鄉; Zihongzhen caves 子洪鎮 in Qixian 祁縣; Yuanzishan caves 圓子山 and Xiangtangsi caves 響堂寺 in Yushe 榆社; Shifosi caves 石佛寺 in Zuoquan 左權; Beishanqianfo caves 北山千佛, Wangqing caves 王慶, and Jiaodingshan caves交頂山 in Changzhi 長治; Yunlongshan caves 云龍山 in Heshun 和順; Fushan 釜山, Shitanghui 石堂會, Yangtoushan 羊頭山, Dinglinsi 定林寺, Gaomiaoshan 高廟山 in Gaoping 高平; Baoyingsi caves 寳應寺 in Lingchuan 陵 川; Shimasi Cave 石馬寺 in Xiyang 昔陽; and Kaihesi Cave 開河寺 in Pingding 平定, etc. Su Bai, “Yungang moshi,” 142. Weishu, 114:3043. See endnote 64 in Chapter One for the scholarship of sinicization. Alexander Soper, “Southern Chinese Influence on the Buddhist art of the Six Dynasties Period,” Bulletin of the Museum of Far Eastern Antiquities, 32 (1960): 78–9; also Yang Hong, “Shilun Nanbeichao qianqi foxiang fushi de zhuyao bianhua,”Kaogu, 6 (1963): 335. Zhang Yanyuan 張彥遠, Lidai minghua ji 歷代名畫記 (Beijing: Renmin meishu chubanshe, 1963), 6:77. English trans. see Bush Susan and Hsio-yen Shih, Early Chinese Texts on Painting (Cambridge, MA: Published for the Harvard-Yenching Institute by Harvard University Press, 1985), 79–80. Weishu, 108: 2817. Ibid. Wei Zheng (580–643), Suishu (History of the Sui dynasty) (Beijing: Zhonghua shuju, 1973), 11:238, and Weishu, 91:1971. Albert E. Dien, Six Dynasties Civilization (New Haven: Yale University Press, 2007), 315. Yang Xuanzhi, Luoyang qielan ji (Record of the Monasteries in Luoyang), (Shanghai: Shanghai shudian chubanshe, 2000), 107–8. English translation with revision, see William John Francis Jenner, Memories of Lo-yang: Yang Hsuanchih and the Lost Capital (493–534) (New York: Clarendon Press, Oxford University Press, 1981), 203. Daoshi 道世, Fayuan zhulin 法苑珠林 (Beijing: Zhonghua shuju, 2003), 16:543. Ibid. Zhang, Lidai minghua ji, 8:95. Ibid., 5:68. Ibid., 2:24. Ibid., 2:25. Daoshi, Fayuan zhulin, 16:543. Gu Kaizhi, “Lun Hua,” in Lidai minghua ji, 5:73. Xie He (Southern Qi), “Guhua pinlu 古畫品錄 (Classification record of ancient paintings),” in Congshu jicheng chubian. Ed. Wang Yunwu (Shanghai: Shangwu yinshuguan, 1936), 1:7. Shen Yue 瀋約 (441–513), Songshu (History of the Southern Song), (Beijjing: Zhonghua shuju, 1974), 93:53:2274. Zhang, Lidai minghua ji, 5:75. Ibid. Xie, “Guhua pinlu,” 1:2. Zhang, Lidai minghua ji, 6:77.

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79 Another example is the slender figures on the brick-relief walls, excavated in 1958, in the tomb at the village of Xuezhuang 學庄, Dengxian Prefecture 邓县, Henan province and the terracotta figures there exhibit the same feature. All of them are typical of the linear emphasis in Chinese painting. 80 Liu Zhiyuan, Chengdu Wanfosi shike yishu (Beijing: Zhongguo gudian yishu chubanshe, 1958), 12. 81 Zhang, Lidai minghua ji, 7:91. 82 Ibid. 83 Tao Zongyi 陶宗儀 (1329–1410), Shuofu 說郛, 92:1226. 84 Xu Song 許嵩, Jiankang shilu (Shanghai: Shanghai guji chubanshe, 1987), 17:481. 85 Guo Ruoxu, “Tuhua jianwen zhi (Experiences in painting),” in Huashi congshu. Ed. Yu Anlan (Shanghai: Shanghai renmin meishu chubanshe, 1963), 1:10. 86 Zhang, Lidai minghua ji, 6:77. 87 Ibid.

7

Postscript

It was over 80 years ago that the well-known Japanese scholars Mizuno Seiichi and Nagahiro Toshio conducted the first comprehensive studies of the Yungang cave complex in Shanxi. Inspired by their meticulous research, and my curiosity about Yungang, I spent over a decade investigating this splendid Buddhist monument. My fascination began with these questions: Why, when, and under what circumstances was Yungang produced? Who played significant roles at various stages and paid for them? Which cave was built first? What were the essential components of this Buddhist monument? Where did the monks live and translate the scriptures? What kinds of liturgical practices were conducted there? Where did the tradition of making colossal images come from? How long did it take to make a rock-cut cave space? Yungang was built as a royal memorial sponsored by Northern Wei rulers, high-ranking officials, eminent clergy, and devotees in a rather short period. At the time, Yungang amassed human resources and material from different places, both foreign and domestic. During the second phase of Yungang, the “Yungang moshi (Yungang style)” had been well established. After the transfer of the capital southward to Luoyang in 494, the splendour of Yungang remained. During the Liao and Jin periods, repairs and reconstructions were made. The new discovery above caves 5 and 6, for instance, reveal that a freestanding Buddhist monastery was reconstructed during the Liao dynasty on the foundation of a Northern Wei monastery. One of the goals in this book has been to date and propose a construction sequence of the second- and third-phase cave temples. It is my belief that cave 13 is the earliest cave temple in the second-phase caves. It is followed by cave 11. They were likely to have been constructed as a pair under Emperor Xianwen. Cave 12 was added to the space between the two. The four paired caves were commissioned by Emperor Xiaowen (caves 7 and 8, 9 and 10, and 5 and 6) and Wang Yu (caves 1 and 2). I have also divided the thirdphase cave temples into four groups and three construction periods. In doing so, observation of the external walls of the caves was an important approach in this research in reconstructing a timeline for the caves. The recent archaeological discoveries in and around Yungang have shed great fresh light on a comprehensive view of the Yungang complex as a

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Postscript

significant rock-cut Buddhist monastery, and corroborate the mention in the Jinbei stele inscription of the “stone chambers on the northern terrace” (i.e., the monks’ cells above the caves) in Yungang. These discoveries, therefore, provide a better picture of the important components of the Yungang complex, as well as the monastic life in Yungang as to where the monks lived and worked. The archaeological evidence also indirectly testifies to the authenticity of the records in the Jin stele inscription. Without the discovery of further written documentation, the Jin stele inscription will remain a valuable source in our study of Yungang. In addition, the discovery of the tombs in Pingcheng has provided important clues about the reciprocal impact between the religious and secular material culture at the time Yungang was constructed. It is hoped that more freestanding monastery remains will be excavated in the near future to shed significant light on art and architecture in Yungang. Freestanding monasteries were an important resource for Yungang. One of the key questions inquires what the liturgical function of the caves are. If the five Tanyao cave temples were constructed as family memorial, how did the other caves function? I have argued that the cave temples in Yungang were not ideal for meditation since they were situated on the road between the two capitals, and were primarily statue shrines. This is one of the most distinguishing features of the Yungang cave temples. Many of the caves were constructed not merely for the sake of having them built, for merits and virtues; rather, some, such as caves 1 and 2, 5 and 6, 9 and 10, and caves 11 and 12, etc., had liturgical functions such as Changdao. The function of the cave temples will remain my inquiry. The sinicization of Buddhist iconography in northern China was a long process, and far more complicated than previous explanations, such as reforms by the court or influences from the south, would have us believe. I have tried to show that over the three phases of Yungang, western influence gradually weakened and finally disappeared altogether during the third phase. The difficulties in studying Yungang are that we do not have much literary or visual evidence. Yungang cave temples carry very few inscriptions, much less compared with those in Longmen. As such, it is very difficult to construct a dating scheme with complete confidence. Therefore, dating and periodization of the Yungang cave temples will remain a topic of scholarly debate. Part of the problem has been that sculpture and architecture are considered merely labor work in Chinese civilization. Great sculptors and architects have rarely been as recorded and appreciated as they are in the west, such as the “Renaissance Man” Leonardo Da Vinci (1452–1519) and his contemporary Michelangelo (1475–1564). The technological and scientific ingenuity of the workers involved in making the Yungang caves is still largely unknown and remains a big question for scholars. I believe that there remain other fruitful lines of inquiry. Among them is a cluster of questions around the donors who sponsored the niches and images,

Postscript

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and the nature and training of the artists, artisans, and laborers who built them. And undoubtedly, a more comprehensive study of the Shanxi caves and their intimate relationship with Yungang is overdue. The distributions of these caves (see plate 1), all of which are situated within the triangle of the three capitals (Pingcheng, Luoyang, and city of Ye) of the Northern Dynasties, well reflect the social and political situation. Further questions to explore are: how far did the “Yungang style” spread both temporally and geographically? Did the tradition of making colossal images come from Kizil, Gaochang, and the Hexi corridor? I very much hope that this study will inspire further research on Yungang, one of the most magnificent Buddhist monuments of all time.

Classification of the caves in the third phase

Three walls with two niches 三壁二 龛

Thousand Chaitya Buddha cave niches 支提窟 千佛龛

Cave Three Structure niches on three walls 三壁三龛

One niche on the north wall and storied niches on sidewalls 北壁一龛, 侧壁重龛

No Two storied niche 无龛 niches on three walls 三壁重龛

Cave 16 caves: Numbers 22-1, 23-1, 24, 25, 27-2, 28, 32-11, 32-12, 33, 33-6, 34, 35, 37, 38-3, 40, and 41

7 caves: 21, 22, 24-1, 26, 33-3, 33-4, and 38

Cave 36-2 Cave 39 6 caves: 3 caves: Caves 27, 29, 23, 25-2 5-10 and 30, 31, and 28-2 5-11 32-9, and 36

Groups and periodization of the third-phase caves

Groups Periodization Caves

Dates

Features

Group One

Approximately before the transfer of the capital until the first year of Zhengshi 正始 (494–504)

Many medium-sized caves. In architecture, caves with storied niches vertically arranged on three walls predominate. Niches are mainly either pointed-arch or trabeated. Canopied niches with looped curtains appeared. The iconographic composition of the Śākyamuni and the Prabhutatna became increasingly popular. Other compositions (the Śākyamuni and the Prabhutaratna with a seated Buddha and a cross-ankled Bodhisattva; the Śākyamuni and the Prabhutaratna with a cross-ankled Buddha and a cross-ankled Bodhisattva; the Śākyamuni and the Prabhutaratna with two seated Buddhas; and a cross-ankled Bodhisattva with two seated Buddhas) also appeared. The images appear slender and continue the style in caves 6, 1, and 2.

Phase One

Caves 21, 22, 23, 33, 27, 29, 30, 31, 25, 28, 24, and 28-2

(Continued )

(Continued) Groups Periodization Caves Group Two

Phase Two

Group Three

Phase Three

Group Four

Dates

Features

All medium-sized caves. Three niches on three walls predominate in architecture. Chaitya cave appeared. The folding-screen trabeated niches appeared. The iconographic composition is primarily composed of the three Buddhas. Also, a cross-legged seated Buddha together with a cross-ankled Bodhisattva and a seated Buddha with legs pendant. Disciples began to appear for the first time. The images continued the style of the first group with innovation. The drapery of the Buddha images began to have two series of arcs side by side. Bodhisattva began to have a large ring in the center for a celestial robe to cross through. Caves 5-10 Around the Mainly small caves. Three and 5-11 fourth year of niches on three walls Yanchang (515) predominate. One niche on the main wall with Caves 22-1, Between the fourth year of storied niches on sidewalls 23-1, 24-1, Yanchang and were also popular. The 25-2, 26, folding screen trabeated the fifth year 27-2, 32-11, of Zhengguang niches were popular. 32-12, 32-9, The composition of (515–24) 33-3, 33-4, the Śākyamuni and the 36, 36-2, Prabhutatna or Śākyamuni 36-6, 38, 40, became the primary and 41 images of the caves. The composition of Śākyamuni and Maitreya is often seen as well. The images appear elegant and slender with elongated body. Caves 34, 35, 37, and 39

Approximately between the first year of Zhengshi and before the fourth year of Yanchang 延昌 (504–15)

Character glossary

An Faqin 安發欽 An Xi 安息 Antarvasaka 安陀會 Ayuwang jing 阿育王經 Ayuwang zhuan 阿育王經傳 Bai Zheng 白整 Baizizhang 百子帳 Baochang 寶唱 Baoshan 包山 Beitai 北台 Bian 辯 Bingwu 丙午 Bingyangdong 賓陽 Birang 避讓 Bo 博 Boshanlu 博山爐 Cai 才 Cao Zhongda 曹仲達 Caoyi chushui 曹衣出水 Chan miyao fa jing 禪秘要法經 Changdao 唱導 Changdao sengren 唱導僧人 Changfu 常服 Changle 長樂 Changnayeshe 常那邪捨 Changzhi 長治 Chen Qingzhi 陳慶之 Chengming 承明 Chiwei 鴟尾 Chongfu 崇福 Chongguang Palace 崇光宮 Chongjiao temple 崇教寺 Chuanzuo wuqiong 傳祚無窮

196

Character glossary

Da Song sengshi lüe 大宋僧史略 Dachangqiuqing 大長秋卿 Dai Kui 戴逵 Dai Yong 戴顒 Dajiyi shenzhou jing 大吉義神咒經 Dao’an 道安 Dao’xin 道馨 Daorentong 道人統 Daoshi 道世 Dapuo 打破 Dazhusheng 大住聖 Dinglin 定林 Dingmao 丁卯 Dingyou 丁酉 Dong Mi 董謐 Douba 斗八 Doushuai 兜率 Dousi 斗四 Fafu 法服 Fangshan 方山 Fashanglu 法上錄 Faxian 法顯傳 Fayuan zhulin 法苑珠林 Fei Changfang 費長房 Fo suoxing zan 佛所行讚經 Fodianku 佛殿窟 Foshuo guanfo sanmei haijing 佛說觀佛三昧海經 Fotucheng 佛圖澄 Fotuhu 佛圖戶 Fotuobatuoluo 佛陀跋陀罗 Fozhi biqiu liuwutu 佛製比丘六物圖 Fudao minsu 輔導民俗 Fufazang yinyuan zhuan 付法藏因緣傳 Fugui wansui 富貴萬歲 Fushan 釜山 Gao Yun 高允 Gaomiaoshan 高廟山 Gaoping 高平 Gaoseng zhuan 高僧傳 Gongwei zhibian 宮闈之變 Gongzong 恭宗 Gu Kaizhi 顧愷之 Guan siweiyi pin 觀四威儀品 Guanfo sanmei fa 觀佛三昧法 Guannei 關內

Character glossary Guhua pinlu 古畫品錄 Guifu 龜趺 Guiren 貴人 Gujin yijing tuji 古今譯經圖記 Guo Ruoxu 郭若虛 Guoqu xianzai yinguo jing 過去現在因果經 Guzang 姑臧 Hanquandong 寒泉洞 Helinge’er 和林格尔 Heng’an 恆安 Hengdi 橫笛 Heping 和平 Hou Hanshun 後漢書 Hu 斛 Huangfugong 皇甫公 Huangjiu si 皇舅寺 Huangxing 皇興 Huayan 華嚴 Huguo 護國 Huifusi 晖福寺 Huishi 惠始 Huren 胡人 Hutengwu 胡騰舞 Jiang Shaoyou 蔣少游 Jiangjing 講經 Jiangjing fashi 講經法师 Jiangjingtang 講經堂 Jiankang shilu 建康實錄 Jiaoshansi 焦山寺 Jiasha 袈裟 Jinbei 金碑 Jingchong 鯨崇 Jingdu sanmei jing 净度三昧经 Jingmen 荊門 Jingming 景明 Jingtu sanmei jing 淨土三昧經 Jingzhao 京兆王 Jiu’er juezhi 就而镌之 Juqu Mujian 沮渠牧犍 Kaihua 開化 Kaihuang 開皇 Kaiyuan shijiao lu 開元释教錄 Kashiga 喀什 Konghou 箜篌 Lanruo 蘭若

197

198

Character glossary

Li Daoyuan 酈道元 Li Yi 李弈 Liangzhou 涼州 Libaiku 禮拜窟 Lidai sanbao ji 歷代三寶記 Lingchuan 陵川 Lingyan 靈岩 Lingyu 靈裕 Lishe 裏社 Liu Chang 劉昶 Liu Xiaobiao 劉孝標 Longwangmiao 龍王廟 Lou Rui 婁叡 Lu Tanwei 陸探微 Lubanyao 魯班窯 Luyeyuan 鹿野苑 Maoxian 茂縣 Mingseng Zhuan 名僧傳 Miu Quansun 繆荃蓀 Mofa 末法 Mokemoye jing 摩诃摩耶經 Moni 摩尼 Nanqishu 南齊書 Nanshi 南史 Niepan jing 涅槃經 Otsuka Nobuo 大塚伸夫 Paixiao 排簫 Pianshan 偏衫 Pingcheng 平城 Pingqi 平棊 Pingqi zaojing 平棊藻井 Pingwen 平文 Pipa 琵琶 Putai 普泰 Putong 普通 Puyao jing 普曜經 Qian’er Qingshi 鉗耳慶時 Qidaoren 漆道人 Qiunabatuoluo 求那跋陀羅 Qixiashan 棲霞山 Ren tian jiao 人天教 Samghapala 僧伽婆羅 Samghati 僧伽梨 Sanbi sankan 三壁三龕 Sanqian daqian shijie 三千大千世界

Character glossary Sengfangku 僧房窟 Sengxian 僧顯 Sengyi 僧衣 Sengzhihu 僧祇戶 Shale 沙勒 Shaling 沙嶺 Shamentong 沙門統 Sheng 聲 Shengle 盛樂 Shenrui 神瑞 Shigudong 石鼓洞 Shili 師禮 Shilihe 十里河 Shitanghui 石堂會 Shixian 師賢 Shuijing zhu 水經注 Shuntianfu zhi 順天府志 Shuofu 說郛 Shuopingfu zhi 朔平府志 Sifenlu shanbu suiji jiemo shuzhengyuanji 四分律隨機羯磨疏正源記 Sifenlu xingshichaozichiji 四分律行事鈔資持記 Sima Jinlong 司馬金龍 Siwei lüeyao fa 思維略要法 Siyuan lingtu 思遠靈圖 Song Dexing 宋德興 Song Shaozu 宋紹祖 Songshu 宋書 Sujiang 俗講 Sujiangshi 俗講師 Ta E 他恶 Tai’an 太安 Taihua 太華 Taipingzhenjun 太平真君 Taiyan 太延 Takahashi Hisao 高橋尚夫 Tandu 曇度 Tanjing 昙景 Tanmei 曇媚 Tanyao 曇曜 Tao Zongyi 陶宗儀 Tianci 天賜 Tiangong 天宮 Tianhua 天花 Tianxing 天興 Tiwei Boli jing 提謂波利經

199

200

Character glossary

Tongle 通樂 Tongzi 童子 Tulufan 吐魯番 Tuyuk 吐峪溝 Uttarasanga 鬰多羅僧 Wan Shen 菀申 Wanfosi 万佛寺 Wang Yu 王遇 Weishu 魏書 Weizi caves 魏字洞 Wudianding 庑殿頂 Wuguantun cave temple complex 吳官屯 Wuhuadong 五華洞 Wushen 戊申 Wuwei 武威 Wuzhoushan 武周山 Xie He 謝赫 Xijing zhi 析津志 Xing’an 興安 Xingguang 興光 Xinyou 辛酉 Xiong Mengxiang 熊夢祥 Xishanqiao 西善橋 Xu Song 許嵩 Xu Xianxiu 徐顯秀 Xuangao 玄高 Xuezhuang 學庄 Yanbei shiyuan 雁北師院 Yanchang 延昌 Yangtoushan 羊頭山 Yanxing 延興 Yaogu 腰鼓 Yihun 乙浑 Yijing 義淨 Yinyan jiegou 因岩結構 Yishe 邑社 Yiweijing 疑偽經 Yongming 永明 Yuan 院 Yuanguang 元光 Yuanzhao 元照 Yungang bu 雲岡堡 Yungang moshi 雲岡模式 Yunzhongtu 雲中圖 Za baozang jing 雜寶藏經

Character glossary Zengxiu jiaoyuan qinggui 增修教苑清規 Zhang Gui 張軌 Zhang Huaiguan 張懷瓘 Zhang Sengyou 張僧繇 Zhang Tan 張潭 Zhang Yong 張永 Zhanzhang 毡帳 Zhao Mu zhi 昭穆制 Zhengguang 正光 Zhengguansi 正觀寺 Zhengshi 正始 Zhenguan 貞觀 Zhenguo 鎮國 Zhi Qian 支谦 Zhi Sheng 智升 Zhizheng 至正 Zhu Yi 朱异 Zitui 子推 Zuochan sanmei jing 坐禪三昧經

201

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Vanderstappen, Harrie A. “Book Review.” Review of Written and Unwritten: A New History of the Buddhist Caves at Yungang by James O. Caswell. Ars Orientalis 19 (1989): 125–7. Wang, Eugene. “Grotto-Shrine as Chronotope and the Working of Analogous Iconography: The Sixth Century Sculptureal Program in Cave 38 at Yungang in Perspective,” in Between Han and Tang: Religious Art and Archaeology in a Transformative Period. Ed. Wu Hung. Beijing: Wenwu chubanshe, 2000, 279–312. ———. Shaping the Lotus Sutra: Buddhist Visual Culture in Medieval China. Seattle: University of Washington Press, 2005. Wang, Yi-t’ung. Trans. A Record of Buddhist Monasteries in Lo-yang. Princeton: Princeton University Press, 1984. Weiner, Sheila L. Ajaṇṭā: Its Place in Buddhist Art. Berkeley: University of California Press, 1977. Williams, Joanna. “Sarnath Gupta Steles of the Buddha’s Life.” Ars Orientalis, no. 10 (1975): 171–92. Wong, Dorothy C. Chinese Steles: Pre-Buddhist and Buddhist Use of a Symbolic Form. Honolulu: University of Hawaii Press, 2004. ———. “Four Sichuan Buddhist Steles and the Beginnings of Pure Land Imagery in China.” Archives of Asian Art 51 (1998/99): 56–79. ———. “Maitreya Buddha Statues at the University of Pennsylvania Museum.” Orientations 32, 2 (2001): 24–31. ———. “Women as Buddhist Art Patrons During the Northern and Southern Dynasties 386–581,” in Between Han and Tang: Religious Art and Archaeology in a Transformative Period. Ed. Wu Hung. Beijing: Wenwu chubanshe, 2000, 535–66. Wu Hung. “Art in Ritual Context: Rethinking Mawangdui.” Early China 17 (1992): 111–44. ———. “Born in Paradise: A Case Study of Dunhuang Sutra Painting and its Religious, Ritual and Artistic Context.” Orientations 23, 5 (May 1992): 54–60. ———. Monumentality in Chinese Art and Architecture. Stanford: Standford University press, 1995. ———. Reinventing the Past: Archaism and Antiquarianism in Chinese Art and Visual Culture. Chicago: Center for the Art of East Asia, University of Chicago, 2010. ———. “The Transparent Stone: Inverted Vision and Binary Imagery in Medieval Chinese Art.” Representations, no. 46 (Spring 1994): 58–85. Yi, Lidu. “Art, Ritual and Patrons: An Unknown Rock-Cut Buddhist Cave Shrine in Shanxi.” Eastern Buddhist 12 (2013): 1–25. Zhao Chao. “Stone Inscriptions of the Wei, Jin Nanbeichao Periods (Trans. Victor Xiong).” Early Medieval China 1 (1994): 84–96. Zürcher Erik. The Buddhist Conquest of China: The Spread and Adaptation of Buddhism in Early Medieval China. Leiden: E. J. Brill, Sinica Leidensia, 1972. Zürcher Erik and Junjie Huang. Time and Space in Chinese Culture. Leiden: E. J. Brill, 1995.

Works in Chinese and Japanese Cao Chenming 曹臣明. “Pingcheng fujin xianbei ji beiwei muzang fenbu guilu kao 平城附近鮮卑及北魏墓葬分佈規律考 (Study on the distribution pattern of the Xianbei and Northern Wei tombs near Pingcheng).” Wenwu, no. 5 (2016): 1–9.

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211

Ding Mingyi and Ma Shichang. “Kezi’er shiku de fozhuan bihua 克孜爾石窟的佛傳 壁畫 (Mural paintings of the biography of the Buddha in Kizil caves),” in Zhongguo shiku Kezi’er shiku. Ed. Xinjiang weiwuer zizhiqu wenwu guanli weiyuanhui, vol. 1 Beijing: Wenwu chubanshe, 1989, 185–222. Du Doucheng 杜斗城. Beiliang fojiao yanjiu 北涼佛教研究 (Study on the Beiliang Buddhism). Taibei: Xinwenfeng chuban gufenyouxian gongsi, 1998. Feng Hanji 馮漢驥. “Chengdu wanfosi shike zaoxiang 成都万佛寺石刻造像 (Stone sculpture from Wanfosi, Chengdu).” Wenwu cankao ziliao, no. 9 (1954): 110–20. Fong Wen 方聞. “Chuan Gu Kaizhi ‘Nüshizhen tu’ yu zhongguo gudai yishushi 傳顧愷 之 與中國古代藝術史 (Admonitions of the instructress to the court ladies attributed to Gu Kaizhi and Chinese art history).” Wenwu, no. 2 (2003): 82–96. Fu Xinian 傅熹年. “Maijishan shiku zhong suo fanyin de beichao jianzhu 麥積山石 窟中所反映的北朝建築 (Architecture of the Northern dynasties reflected in the Maijishan Cave Complex).” Wenwu ziliao congkan, no. 4 (1981): 156–83. Gao Yun 高允. “Luyuan fu 鹿苑賦,” in Guang hongming ji. Comp. Daoxuan. T 52, no. 339. Guo Ruoxu 郭若虛. “Tuhua jianwen zhi 圖畫見聞志 (Experiences in painting),” in Huashi congshu. Ed. Yu Anlan. Shanghai: Shanghai renmin meishu chubanshe, 1963, 1–10. Hang Kan 杭侃. “Yungang di 20 ku xibi tanta de shijian yu Tan Yao wuku zuichu de buju sheji 雲岡第20窟西壁坍塌的時間與曇曜五窟最初的佈局設計 (The collapsing time of the west wall of cave 20 at Yungang and the initial designs and compositions of the five Tanyao caves).” Wenwu, no.10 (1994): 55–63. Han Youfu 韓有富. “Beiwei Cao Tiandu qianfota tacha 北魏曹天度千佛塔塔刹 (Thousand Buddha stupa dedicated by Cao Tiandu in the Northern Wei).” Wenwu, no. 7 (1980): 65. He Jianping 何劍平 and Zhou Xin 周欣. “Nanbenchao fojiao changdao de diben 南 北朝佛教唱導的底本 (Original texts for Buddhist Changdao in the Southern and Northern Dynasties).” Xinan minzu daxue xuebao, 9 (2013): 64–70. He Shizhe 賀世哲. “Guanyu Beichao shiku qianfo tuxiang zhu wenti 關於北朝石窟 千佛圖像諸問題 (Several problems of the iconography of the thousand Buddhas during the Northern Wei dynasty).” Dunhuang yanjiu, no. 4 (1992): 1–18 and no. 1 (1993): 1–10. Henansheng wenhuaju Wenwu gongzuodui 河南省文化局文物工作隊. Dengxian huaxiangzhuan mu 鄧縣彩色畫像磚墓 (Tomb with painted bricks at Dengxian). Beijing: Wenwu chubanshe, 1958. Hou Xudon 侯旭東. Beichao cunmin de shenghuo shijie: chaoting, zhouxian yu cunli 北朝村民的生活世界－朝廷州縣與村里 (Life of the Northern Dynasties villagerCourt, state, county and village). Beijing: Shang wu yin shu guan, 2005. Hu Mi 胡謐 and Li Kan 李侃. Shanxi tongzhi 山西通誌 (General Gazetteer of Shanxi Province), 17 vols. Jinan: Qilu chubanshe, 1997. Ishimatsu Hinako 石松日奈子. Beiwei fojiao zaoxiang shi yanjiu 北魏佛教造像史研究 (Studies on Buddhist images in the Northern Wei). Beijing: Wenwu chubanshe, 2012. ———. Hokugi Bukkyo zozoshi no kenkyu 北魏仏敎造像史の硏究 (Buddhist images in the Northern Wei). Kunitachi-shi: Buryukke, 2005. Itō Chūta 伊東忠太. Itō Chūta kenchiku bunken 伊東忠太建築文献 (Itō Chūta’s documents on architecture). Tōkyō: Ryūginsha, 1936–37.

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———. Kengaku kiko 見学紀行 (Diary of things studied and observed). Itō Chūta kenchiku bunken 伊東忠太建築文献, 5. Tōkyō: Ryūginsha, 1936. ———. “Shina sansei Unkō no sekkutsu-ji (The Cave-temples of Yungang in Shanxi, China).” Kokka, nos. 197 and 198 (1906): 104. ———. Tōyō kenchiku no kenkyū 東洋建築の研究 (Research on East Asian architecture), Reprint of 1937 Tōyō kenchiku no kenkyū. Tōkyō: Ryūginsha, 1936–37. Tōkyō: Hara Shobō, 1982. Jiang Huaiying 姜懷英, Yuan Hairui 員海瑞 and Xie Tingfan 解廷凡. “Yungang shiku xinfaxian de jichu jianzhu yizhi 雲岡石窟新發現的幾處建築遺址 (Several architectural remains newly discovered in Yungang),” in Zhongguo shiku Yungang shiku. Ed. Yungang shiku wenwu baoguansuo. Beijing: Wenwu chubanshe, 1991, 198–201. Jiang Renhe 蔣人和. “Zaoqi foxiang huoyan shiwen shenguang zhi yanbian ji Guyang dong qiyuan de yixie tanxiang 早期佛像火焰飾紋身光之演變及古陽洞起源的 一些探想 (Some thoughts on the origin of the Guyang cave and the evolution of flame patterns in early Buddhist mandorlas),” in Longmen shiku yiqian wubai zhounian guoji xueshu taolunhui lunwenji (Collected works from the 1500th year anniversary international scholarly conference on the Longmen Caves). Ed. Longmen shiku yanjiusuo. Beijing: Wenwu chubanshe, 1996, 220–51. Jin Hua 晉華 and Qu Shengrong 瞿盛榮. “Shanxi xiyang Shimasi Shiku ji moya zaoxiang 山西昔陽石馬寺石窟及摩崖造像 (Shimasi caves and cliff images in Xiyang, Shanxi Province).” Wenwu, no. 4 (1999): 69–76. Jin Shen 金申. Fojiao meishu congkao 佛教美術叢考 (Essays on Buddhist art). Beijing: Kexue chubanshe, 2004. ———. Zhongguo lidai jinian foxiang tudian 中國歷年佛像圖典 (Buddhist images from all times). Beijing: Wenwu chubanshe, 1994. Jin Weinuo 金維諾. “Caojiayang yu Yang Zihua fengge 曹家樣與楊子華風格 (The Cao school and the Yang Zihuan style).” Meishu yanjiu, no. 1 (1984), 39–40. ———. “Fobensheng tu xingshi de yanbian 佛本生圖形式的演變 (Evolution of the forms of Buddhist biography narratives),” in Jin Weinuo, Zhongguo meishushi lunji. Taibei: Mingwen shuju, 1984, 389–96. Li Chongfeng 李崇峰. Fojiao kaogu: cong yindu dao zhongguo 佛教考古: 從印度到 中國 (Buddhist archaeology from India to China), 2 vols. Shanghai: Guji chubanshe, 2014. ———. Zhongyin fojiao shikusi bijiao yanjiu 中印佛教石窟寺比較研究 (A comparative study of Chinese and Indian Buddhist caves). Beijing: Beijing daxue chubanshe, 2003. Li Jingjie 李靜傑. “Guanyu Yungang dijiu, dishi ku de tuxiang goucheng 關於雲崗 第九第十窟的圖像構成 (Composition of the iconography of caves 9 and 10 in Yungang),” in Yishushi yanjiu 藝術史研究. Ed. Zhongshan daxue yishushi yanjiu, vol. 10. Guangzhou: Zhongshan daxue chubanshe, 2008, 327–59. Li Ping 李凭. Beiwei Pingcheng shidai 北魏平城時代 (Pingcheng during the Northern Wei). Beijing: Shehui kexue wenxian chubanshe, 2000. Li Xueqin 李学勤. “Guanyu Yungang shiku xinbian kuhao de buchong shuoming 關於雲崗石窟新編窟號的補充說明 (Further explanations on the new cave numbers of Yungang caves).” Wenwu, no. 5 (2001): 87–9. Li Yumin 李玉珉. “Jintasi shiku kao 金塔寺石窟考 (On the Jintasi cave temple).” Gugong xueshu jikan, no. 22 (2004): 33–66. Li Yuqun 李裕群. Beichao wanqi shikusi yanjiu 北朝晚期石窟寺研究 (A study of Buddhist caves of the late Northern dynasties). Beijing: Wenwu chubanshe, 2003.

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213

———. “Shanxi beichao shiqi xiaoxing shiku de kaocha yu yanjiu 山西北朝小型石 窟的考察與研究 (Brief examination on the small caves of the Northern dynasties in Shanxi),” in Between Han and Tang: Religious Art and Archaeology in a Transformative Period 漢唐之間的宗教藝術與考古. Ed. Wu Hung. Beijing: Wenwu chubanshe, 2000, 27–60. ———. “Shanxi Zuoquan shifosi shiku yu ‘Gao Huan Yundong’ shiku 山西左權石 佛寺石窟與高歡云洞 (Shifosi caves and Gao Huan caves in Zuoquan Shanxi Province).” Wenwu, no. 9 (1995): 58–71. ———. “Sichuan nanchao zaoxiang de ticai yu beifang shiku de guanxi 四川南朝造 像的題材與北方石窟的關係 (The relationship between the subjects of the Southern dynasty images and the Northern cave temples),” in Sichuan chutu nanchao fojiao zaoxiang. Ed. Sichuan bowuyuan, chengdushi Wenwu kaogu yanjiusuo, and Sichuan daxue bowuguan. Beijing: Zhonghua shuju, 2013, 228–42. ———. “Tulufan tuyugou shiku kaogu xinfaxian: Shilun wushiji Gaochang fojiao tuxiang 吐魯番吐峪溝石窟考古新發現試論五世紀高昌佛教圖像 (On Buddhist iconography of the 5th century newly discovered in Gaochang in the archaeology of Tuyuk cave temples),” in Yishushi zhong de Han Jin yu Tang, Song zhi bian. Ed. Shi Shouqian and Yan Juanying. Taibei: Shitou Chuban gufen youxian gongsi, 2014, 95–124. ———.“Wutaishan nanchansi jiucang beiwei jingang baozuo shita 五臺山南禪寺舊 藏北魏金剛寶座石塔 (Northern Wei stupa with vajra pedestal formerly housed in Nanchan temple on Wutai Mountain).” Wenwu, no. 4 (2008): 82–9. Li Yuqun and Lidu Yi. “Shanxi Gaoping Shitanghui shiku 山西高平石堂會石窟 (The Shitanghui Cave Complex in Gaoping Shanxi Province).” Wenwu, no. 5 (2009): 67–85. ———. “A study of the iconography of the great Buddha cliff in Gaoping Shanxi 山 西高平大佛山摩崖造像考.” Wenwu, no. 3 (2015): 82–94. Li Yuqun, “Tulufan tuyugou shiku kaogu xinfaxian: Shilun wushiji Gaochang fojiao tuxiang,” in Yishushi zhong de Han Jin yu Tang, Song zhi bian 藝術史中的漢晉與唐 宋之變 (Changes in Han and Jin, and Tang and Song in art history). Ed. Shi Shouqian 石守謙 and Yan Juanying 顏娟英. Taibei: Shitou chuban gufen youxian gongsi, 2014. Li Zhiguo 李治国 and Liu Jianjun 刘建军. “Beiwei Pingcheng Luyeyuan shiku diaocha ji 北魏平城鹿野苑石窟调查记,” in Yungang bainian lunwen xuanji. Ed. Yungang shiku wenwu yanjiusuo. Beijing: Wenwu chubanshe, 2005, 150–6. Liang Sicheng 梁思成. “Yungangshiku zhong suo biaoxian de Beiwei jianzhu 雲岡石 窟中所表現的北魏建築 (The Northern Wei architecture demonstrated in the Yungang caves),” in Yungang bainian lunwen xuanji. Ed. Yungang shiku wenwu yanjiusuo. Beijing: Wenwu chubanshe, 2005, 11–28. Liu Huida 劉慧達. “Bei Wei shiku yu Chan 北魏石窟與禪 (Northern Wei caves and Chan).” Kaogu xuebao, no. 3 (1978): 337–50. ———. “Bei Wei shiku zhong de ‘sanfo’ 北魏石窟中的三佛 (Three Buddhas in the Northern Wei caves).” Kaogu xuebao, no. 4 (1958): 91–101. Liu Jianhua 刘建华. “Hebei zhangjiakou xiahuayuan shiku 河北張家口下花園石窟 (Caves from Xiahuayuan Zhangjiakou Hebei).” Wenwu, no. 7 (1998): 60–6. ———. Yixian wanfotang 义县万佛堂石窟 (Ten thousand Buddha hall caves in Yi County). Beijing: Kexue chubanshe, 2001. Liu Jinglong 劉景龍. “Longmen shiku kaizao niandai 龍門石窟開鑿年代 (Date of the execution of the Longmen caves),” in Guyang dong. Ed. Liu Jinglong. Beijing: Kexue chubanshe, 2001, 94–5. Liu Shufen 劉淑芬. “Cong minzushi de jiaodu kan Taiwu miefo 從民族史的角度看 太武滅佛 (On Buddhist persecution by Taiwu from the perspective of the history

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of ethnic minorities).” Zhongyang yanjiuyuan lishi yuyan yanjiusuo jikan, no. 72.1 (2001): 1–47. ———. Liuchao de chengshi yu shehui 六朝的城市與社會 (Cities and society during the six dynasties). Taibei: Taiwan xuesheng shuju, 1992. ———. “Wu zhi liu shiji huabei xiangcun de fojiao xinyang 五至六世紀華北鄉村的 佛教信仰 (Buddhist belief in rural north China during the fifth and sixth centuries).” Zhongyang yanjiuyuan lishi yuyan yanjiusuo jikan, no. 3 (1993): 497–544. Liu Zhiyuan 劉志遠 and Liu Tingbi 劉廷壁. Chengdu wanfosi shike yishu 成都萬佛 寺石刻藝術 (Art of stone carving in Wanfosi Chengdu). Beijing: Gudian yishu chubanshe, 1958. Lu Yaodong 逯耀東. Cong Pingcheng dao Luoyang – Tuoba Wei wenhua zhuanbian de licheng 從平城到洛陽 (From Pingcheng to Luoyang). Taibei: Lianjing chuban shiye gongsi, 1979. Lu Yifeng 陸屹峰 and Yuan Hairui 員海瑞. “Yungang shiku nisi kao 雲崗石窟尼寺考 (A study of the nunnery in the Yungang),” in Yungang bainian lunwen xuanji 雲崗百年論文選集. Ed. Yungang shiku wenwu yanjiusuo 雲岡石窟文物研究所. Beijing: Wenwu chubanshe, 2005, 255–8. Luo Shiping 羅世平. “Beiqi xinhuafeng 北齊新畫風 (New painting trend of the Northern Qi).” Wenwu, no. 10 (2003): 63–5. ———. “Taiyuan beiqi Xu Xianxiu mu bihua zhong de huhua yinsu 太原北齊徐顯 秀墓壁畫中的胡化因素 (Barbarian elements in the murals of Xu Xianxiu tomb of the Northern Qi in Taiyuan).” Yishushi yanjiu, no. 5 (2003): 223–41. Luo Zongzhen 罗宗真. Liuchao kaogu 六朝考古 (Archaeology of six dynasties). Nanjing: Nanjing daxue chubanshe, 1994. ———. “Nanjing xishanqian youfanfcun nanchao damu de fajue 南京西善橋油坊村 南朝大墓的發掘 (The excavation of the Xishanqiao tomb in Youfang village, Nanjing).” Kaogu, no. 6 (1963): 340–2. Luoyang bowuguan 洛陽博物館. “Luoyang beiwei yuanshao mu 洛陽北魏元邵墓 (The Northern Wei Yuanshao tomb in Luoyang).” Kaogu, no. 4 (1973): 218–24. Ma Changshou 馬長壽. Wuhuan yu Xianbei 烏桓與鮮卑 (Wuhuan and Xianbei). Beijing: Zhonghua shuju, 1962, 30–3. Ma Yuji 馬玉基. “Datongshi Xiaozhancun Huagetatai beiweimu qingli jianbao 大同 史小站村花麧塔台北魏墓清理簡報 (Inventory report on the Northern Wei tomb unearthed in Huagetatai Xiaozhan village, Datong).” Wenwu, no. 11 (1983): 1–4. Maeda, Masana 前田正名. Heijōno rekishi chirigakuteki kenkyū 平城の歴史地理学 的研 (Research on the history and geography of Pingcheng). Tokyo: Kazama Shobō, 1979. Maeda, Masana, Li Ping, Sun Yao and Sun Lei, eds. Pingcheng li shi di li xue yan jiu 平城历史地理学研究 (Research on Pingcheng history and geography). Beijing: Shumu wenxian chubanshe, 1994. Matsubara, Saburō 松原三郎. Chūgoku bukkyō chōkoku shiron 中国仏教彫刻史論 (On the history of Chinese Buddhist sculpture), 4 vols. Tokyo: Yoshikawa Kōbunkan, 1995. ———. Chūgoku bukkyō chōkokushi kenkyū: tokuni kondōbutsu oyobi sekkutsu zōzō igai no sekibutsu ni tsuite no ronkō 中國佛敎彫刻史研究 : 特に金銅仏及び 石窟造像以外の石仏に就いての論考 (Chinese Buddhist sculpture: A study based on bronze and stone statues other than works from cave temples). Tokyo: Yoshikawa Kōbunkan, 1966.

Selected bibliography

215

Matsumoto Bunzaburō 松本文三郎. Gokuraku jōdoron 極樂淨土論 (On Pure Land Paradise). Tokyo: Kinkōdō Shoseki Kabushiki Kaisha, 1904. ———. Miroku jōdoron 彌勒淨土論 (On Maitreya Pure Land). Tokyo: Heigo Shuppansha, 1911. ———. Shina Bukkyō ibutsu 支那佛教遺物 (Buddhist remains in China). Tokyo: Daitōkaku, 1919. Mi Wenping. “Xianbei shishi de faxian yu chubu yanjiu 鮮卑石室的發現與初步研究 (Discovery and preliminary research on the stone chamber of the Xianbei).” Wenwu, no. 2 (1981): 1–7. Mizunō Seiichi 水野清一. Chūgoku no Bukkyō bijutsu 中國の佛敎美術 (Buddhist art of China). Tokyo: Heibonsha, 1968. ———. Chūgoku no chōkoko: sekibutsu, kondōbutsu 中國 の彫刻 (Chinese sculpture). Tokyo: Nihon Keizai shinbunsha, 1960. Mizunō Seiichi and Nagahirō Toshiō 長廣敏雄. Unkō sekkutsu 雲岡石窟: seireki goseiki ni okeru Chūgoku hokubu Bukkyō kutsuin no kōkogakuteki chōsa hōkoku: Tōhō Bunka Kenkyūjo chōsa (Yungang: The Buddhist Cave-Temples of the Fifth Century A.D. in North China: detailed report of the archaeological survey carried out by the Mission of the Tōhōbunka kenkyūsho 1938-45), 16 vols. Kyoto: Kyōto Daigaku Jimbun Kagaku Kenkyūjo, 1951-56. Nagahirō, Toshiō 長広敏雄. Chūgoku no sekkutsuji 中国の石窟寺 (Cave temples in China). Sekai no bunka shiseki, 7. Tokyo: Kōdansha, 1969. ———. Daidō sekibutsu geijutsuron 大同石佛藝術論 (On art of stone Buddhas at Datong). Kyōto: Kōtō Shoin, 1946. ———. Hiten no geijutsu 飛天の藝術 (Art of flying celestials). Kyōto Daigaku Jinbun Kagaku Kenkyūjo hōkoku. Osaka: Asahi Shinbunsha, 1949. ———. Unkō nikki: Taisenchū no Bukkyō sekkutsu chōsa 雲岡日記: 大戦中の仏教 石窟調查 (Diary of Yungang: Investigations of Buddhist stone caves during the great war). Tokyo: Nihon Hoso Shuppan Kyōkai, 1988. ———. “Unko sekkutsu no nazo.” Bukkyo geijutsu, no. 134 (1981): 11–42. ———. Unkō to Ryūmon 雲岡と龍門 yungangshiku (Longmen and Yungang). Tokyo: Chūō Kōron Bijutsu Shuppan, 1964. ———. “Yungang shiku chuzhongqi de teli dakan 雲崗石窟初,中期的特例大窟 (Big caves in the first two phases in Yungang),” in Zhonguo shiku Yungang shiku. Ed. Yungang shiku wenwu baoguansuo. Beijing: Wenwu chubanshe, 1994, 240–3. ———. “Yungang shiku di jiu shi shuangku de tezheng 雲崗石窟第九十雙窟的特徵 (The features of the twin caves of 9 and 10),” in Yungang shiku wenwu baoguansuo, vol. 2. Ed. Zhongguo shiku Yungang shiku. Beijing: Wenwu chubanshe, 1994, 193–207. Nagahirō, Toshiō and Seiichi Mizuno. Unkō Sekkutsu: Chūgoku Bunka Shiseki 雲岡 石窟: 中国文化史蹟 (The Yungang cave temples: Historical landmarks of Chinese culture). Tōkyō: Sekai Bunkasha, 1976. Nanjing bowuyuan 南京博物院. “Jiangsu Danyang huqiao jianshan liangzuo nanchao muzang 江蘇丹陽胡橋建山兩座南朝墓葬 (Two tombs from Jiangsu Danyang Huqiaojianshan of the Southern dynasties).” Wenwu, no. 2 (1980): 1–17. ———. “Jiangsu danyang huqiao nanchao damu ji zhuanke bihua 江蘇丹陽胡橋南 朝大墓及磚刻壁畫 (Tomb and brick murals from Danyang Huqiao in Jiangsu).” Wenwu, no. 2 (1974): 44–56. ———. “Nanjing Raohuamen nanchao Liangmu fajue jianbao 南京蕘化門南朝梁墓 發掘簡報 (The excavation report on a Liang dynasty tomb in Raohuamen, Nanjing).” Wenwu, no. 12 (1981): 14–23.

216

Selected bibliography

———. “Nanjing xishanqiaomu jiqi zhuanke bihua 南京西善橋南朝墓及其磚刻壁畫 (Nanjing Xishanqiao tomb and brick murals from the Southern dynasties).” Wenwu, no. 8 (1960): 37–42. Ogawa Seiyō 小川晴暘. Daidō no sekibutsu 大同の石佛 (Stone Buddhas of Datong). Arusu bunka sōsho, 14. Tokyo: Arusu, 1941. ———. Daidō Unkō no sekkutsu 大同雲岡の石窟 (The caves of Yungang, Datong). Tokyo: Nikko Shoin, 1944. Ogawa Seiyō 小川晴暘 and Torao Miyagawa 宮川寅雄. Unkō no sekkutsu 雲岡の石窟 (Yungang cave temples). Tokyo: Shinchōsha, 1978. Ōmura Seigai 大村西崖. Shina bijutsushi chōso hen 支那美術史: 彫塑篇 (History of Chinese art: Sculpture), 2 vols. Tokyo: Bussho Kankōkai Zuzōbu, 1915. Onō Genmyō 小野玄妙. Daijō bukkyō geijutsushi no kenkyū 大乗仏敎芸術史の研究 (Research on the history of Mahayanna Buddhist art). Tokyo: Kanaobun’endō, 1944. ———. Kyokutō no sandai geijutsu 極東の三大藝術 (Three great arts of the Far East). Tokyo: Hinoeuma Shuppansha, 1924. ———. Onō Genmyō Bukkyo geijutsu chosakushu 小野玄妙佛敎藝術著作集 (Onō Genmyō’s collected W works on Buddhist art), 9 vols. Tokyo: Kaimei Shoin, 1977. Ōtsuka Nobuo 大塚伸夫. “Shoki mikkyō no zentaizō: Shoki mikkyō no hōga kara tenkai, kakuritsu he,” in Shoki mikkyō: shisō, shinkō, bunka. Eds. Takahashi Hisao, Hideaki Kimura, Keiya Noguchi, and Nobuo Ōtsuka. Tokyo: Shunjusha, 2013, 11–13. Qu Chuanfu 渠傳福. “Xu Xianxiu yu Beiqi Jinyang 徐顯秀墓與北齊晉陽 (Xu Xianxiu tomb and Northern Qi Jinyang).” Wenwu, no. 10 (2003): 50–2. Rong Xinjiang 榮新江. “Lüetan Xu Xianxiu mu bihua de pusa lianzhuwen 略談徐 顯秀 墓壁畫的菩薩連珠紋 (A brief discussion of the rings of pearls on the Bodhisattvas in the murals of Xu Xianxiu tomb).” Wenwu, no. 10 (2003): 66–8. Sekino Tadashi 関野貞. Shina no kenchiku to geijutsu 支那の建築と藝術 (Art and architecture of China), 3rd ed. Tokyo: Iwanami Shoten, 1941. Shanxisheng Datongshi bowuguan 山西省大同市博物館. “Shanxi Datong Shijiazhai beiwei Simajinglong mu 山西大同石家寨北魏司馬金龍墓 (The Sima Jinlong tomb of the Northern Wei in Shijiazhai village, Datong, Shanxi).” Wenwu, no. 3 (1972): 20–33. Shanxisheng jianzhu baohu yanjiusuo 山西省建築保護研究所. “Shanxi pingding kaihesi shiku 山西平定開河寺石窟 (Kaihe cave temples in Pingding Shanxi Province).” Wenwu, no. 1 (1997): 73–85. Shanxisheng kaogu yanjiusuo 山西省考古研究所. “Datongshi beiwei Song Shaozu mu fajue jianbao 大同市北魏宋紹祖墓發掘簡報 (A brief report on the excavation of the Song Shaozu tomb of the Northern Wei in Datong).” Wenwu, no. 7 (2001): 19–39. ———. “Taiyuan Beiqi Xu Xianxiu mu fajue jianbao 太原北齊徐顯秀墓發掘簡報 (A brief report on the discovery of Xu Xianxiu tomb of the Northern Qi).” Wenwu, no. 10 (2003): 4–40. Shi Shuqing 史樹青. “Beiwei Cao Tiandu zao qianfo shita 北魏曹天度造千佛石塔 (Thousand Buddha stone stupa dedicated by Cao Tiandu in the Northern Wei).” Wenwu, no. 1 (1980): 68–71. Shisong Rinaizi. “Yungang di shiyi ku Taihe qinian yiyi zaoxiang he wuzhoushan shikusi de bianhua 雲岡第11窟太和七年邑義造像和武周山石窟寺的變化 (The image of the seventh year of Taihe in cave 11 and the changes of the Wuzhoushan cave temples),” in 2005 nian Yungang guoji xueshu yantaohui lunwenji yanjiujuan. Ed. Yungang shiku Yuanjiuyuan. Beijing: Wenwu chubanshe, 2012, 301–12.

Selected bibliography

217

Su Bai 宿白. “Luoyang diqu beichao shiku de chubu kaocha 洛陽地區北朝石窟的初 步考察 (Preliminary research on the Northern dynasties caves in Luoyang area),” in Zhongguo shiku Longmen shiku 中國石窟龍門石窟. Eds. Longmen wenwu baoguansuo and Beijing daxue kaoguxi. Beijing: Wenwu chubanshe, 1991, 225–38. ———. Zhang Yanyuan he Lidai minghua ji 張彥遠和《歷代名畫記》(Zhang Yanyuan and famous paintings from all dynasties). Beijing: Wenwu chubanshe, 2008. ———. Zhongguo fojiao shikusi yiji 中國佛教石窟寺遗址 (Ruins of Buddhist cave temples in China). Beijing: Wenwu chubanshe, 2010. ———. Zhongguo shikusi yanjiu 中國石窟寺研究 (Study of Chinese Buddhist cave temples). Beijing: Wenwu chubanshe, 1996. Sun Ji 孫機. Handai wuzhi wenhua ziliao tushuo 漢代物質文化資料圖説 (Illustrations of material culture of the Han dynasty). Beijing: Wenwu chuban she, 1990. ———. Sun Ji tan wenwu 孫機談文物 (Su Ji on cultural relics). Taibeishi: Dongda, 2005. ———. Yang guan ji 仰觀集 (Collected essays on appreciation and authentication of ancient Chinese cultural relics). Beijing: Wenwu chubanshe, 2015. Sun Tongxun 孫同勛. Tuobashi de hanhua 拓跋氏漢化 (Sinicization of the Tuoba). Taibei: Guoli Taiwan daxue wenxueyuan, 1962. Tang Changru 唐長儒. Weijin nanbei chao shi luncong 魏晉南北朝史論叢 (Discussions on History of Wei, Jin and Northern and Southern dynasties). Beijing: Sanlian shudian, 1962. ———. Weijin nanbei chao shi shiyi 魏晉南北朝史論拾遺 (Supplement history of Northern Wei, Jin and Northern and Southern dynasties). Beijing: Zhonghua shuju, 1983. Tang Yongtong 湯用彤. Hanwei Liangjin nanbei chao fojiao shi 漢魏兩晉南北朝佛敎 史 (History of Buddhism from the Two Jins and the Southern and Northern dynasties). Beijing: Beijing daxue chubanshe, 1997. Tian Yuqing 田餘慶. Qin Han Wei Jin shi tanwei 秦漢魏晉史探微 (Study of the history of Qin, Han, Wei, and Jin dynasties). Beijing: Zhonghua shuju, 1993. Tokiwa Daijo 常盤大定. Shina Bukkyō no kenkyū (Studies on Buddhism in China). Tokyo: Shunjūsha, 1938. ———. Shina bukkyō shiseki tōsaki (Expeditions to Chinese Buddhist sites). Tokyo: Kokusho Kankōkai, 1937. ———. Shina Bukkyō shiseki tōsaki 支那佛敎史蹟踏查記 (Investigation of the monuments of Chinese Buddhism). Tokyo: Ryūginsha, 1938. Tokiwa Daijo 常盤大定 and Tadashi Sekino 関野貞. Buddhist monuments in China:Text part (English version of Shina Bukkyō shiseki hyōkai). Tokyo: Bukkyoshiseki Kenkyu-kwai, 1926. ———. Chūgoku bunka shiseki: kaisetsu 支那文化史蹟: 解說 (Monuments of Chinese culture: commentary). Kyōto: Hōzōkan, 1975. ———. Shina Bukkyo shiseki 支那佛教史蹟 (Monuments of Chinese Buddhism), 5 vols. Tokyo: Bukkyo Shiseki Kenkyukai, 1925–27. ———. Shina bunka shiseki: zuhan 支那文化史蹟: 圖版 (Monuments of Chinese culture: plates). Tokyo: Hōzōkan, 1939–41. Tsukamoto Yasushi 塚本靖, Itō Chuta 伊東忠太 and Tadashi Sekino 關野貞. Sekai kenchiku shūsei, Shina kenchiku 世界建築集成, 支那建築 (Compendium of world architecture: Chinese architecture). Tokyo: Kenchiku Gakkai, 1928.

218

Selected bibliography

Tsukamoto Zenryu 塚本善隆. Chūgoku Bukkyō tsūshi 中国仏教通史 (Comprehensive history of Chinese Buddhism). Tokyo: Suzuki Gakujutsu Zaidan, 1968. ———. Daisekibutsu 大石仏 (Great stone statues of Buddhism). Tōkyō: Kōbundō, 1953. ———. Shina bukkyōshi kenkyū 支那佛敎史硏究: 北魏篇 (Research on the history of Chinese Buddhism, Northern Wei chapter). Tōkyō: Shimizu Kōbundō, 1969. ———. Hokuchō bukkyōshi kenkyu 北朝仏敎史研究 (Research on the history of Northern dynasties Buddhism). Tsukamoto zenryū chosakushū, 2. Tokyo: Daitōshuppansha, 1974. ———.“The Sramana Superintendent Tanyao and his Time.” Trans. Galen Eugene Sargent. Monumenta Serica, no. 16 (1957): 376–8. ———. Tsukamoto Zenryū chosakushu 塚本善隆著作集 (The works of Zenryu Tsukamoto). Tokyo: Daitō Shuppan, 1974. Wan Shengnan 万繩楠. Wei-jin nanbeichao shi lungao 魏晉南北朝史論稿 (Essays on the history of Wei-Jin and Southern and Northern dynasties). Heifei: Anhui jiaoyu chubanshe, 1983. ———. Wei-jin nanbeichao wenhua shi 魏晉南北朝文化史 (Cultural history of WeiJin and Southern and Northern dynasties). Huangshan: Huangshan shushe, 1989. Wang Huimin 王惠民. “Zhique waidao fei posouxian bian 執雀外道非婆薮仙辯 (Identifying the heretic figure who has holding a bird).” Dunhuang yanjiu, no. 1, 119 (2010): 1–7. Wang Xun 王遜. “Yungang yidai kancha ji 雲崗一帶勘察記 (Records on investigation in the Yungang area),” in Yanbei wenwu kanchatuan baogao. Ed. Yanbei wenwu kanchatuan. vol. 2. Beijing: Zhongyang renmin zhengfu wenhuabu wenwuju, no. 2, 1951, 28. Wang Yintian 王银田 and Liu Junxi 刘俊喜. “Datong zhijiabu beiwei mu shidun bihua 大同智家堡北魏墓石椁壁画 (Stone bed murals from the Northern Wei tomb at Zhijiabu in Datong).” Wenwu, no. 7 (2001): 40–51. Wang Zhongluo 王仲犖. Wei jin nanbeichao shi 魏晉南北朝史 (History of Wei-jin and Southern and Northern dynasties). Shanghai: Renmin chubanshe, 1976. Wei Zhengzhong 魏正中. Quduan yu zuhe – qiuzi shiku siyuan yizhi de kaoguxue tansuo 區段與組合－龜茲石窟寺院遺址的考古學探索區段與組合 (Districts and groups: An archaeological investigation of the rock monasteries of Kucha). Shanghai: guji chubanshe, 2013. Wu Hung, ed. Han Tang zhijian de zongjiao yishu yu kaogu 漢唐之間的宗教藝術與 考古 (Between Han and Tang: Religious art and archaeology in a transformative period), 3 vols. Beijing: Wenwu chubanshe, 2000. Xiang Da 向達. “Tangdai sujiang kao 唐代俗講考 (Study of vernacular oral presentation in the Tang dynasty),” in Xiang Da, Tangdai Changan yu xiyu wenming 唐代 長安與西域文明. Beijing: Sanlian shudian, 1957, 295–336. Xiangfanshi Wenwu guanlichu 襄樊市文物管理處. “Xiangyang jiajiachong huaxiangzhuanm 襄陽賈家沖畫像磚墓 (Tomb with brick carvings from Jiajiachong, Xiangfan).” Jianghan kaogu, no. 1 (1986): 16–33. Xinjiang weiwuer zizhiqu wenwu guanli weiyuanhui, baichengxian kezier qianfodong wenwu baoguansuo and Beijing daxue kaoguxi, eds. Zhongguo shiku kezi’er shiku 中國石窟, 克孜爾石窟 (Chinese caves: Kizil), 3 vols. Beijing and Tokyo: Wenwu chubanshe and Heibonsha, 1997. Xu Pingfang 徐蘋芳. “Zhongguo shikusi kaoguxue de chuangjian licheng – Du Su Bai’s Zhongguo shikusi yanjiu 中國石窟寺考古學的創建歷程讀宿白的中國石窟寺

Selected bibliography

219

研究 (The process of establishing the archaeological methodology in the study of caves in China—reading Su Bai’s Studies on Chinese cave temples),” Wenwu, no. 2 (1998): 54–63. Yagi Haruo 八木春生. Chūgoku Bukkyō bijutsu to Kan minzokuka: Hokugi jidai kōki o chūshin to shite 中国仏敎美術と漢民族化: 北魏時代後期を中心として (Sinicization in Chinese Buddhist art). Kyoto: Hōzōkan, 2004. ———. Unko sekkutsu mon’yoron 雲岡石窟文様論 (On the ornament of Yungang caves). Kyoto: Hōzōkan, 2000. Yan Wenru 阎文儒. “Yungang shiku de kaichuang he ticai de fenxi 雲崗石窟的開創 和題材的分析 (Analysis of the excavation and subjects of the Yungang cave temples).” Shehui kexue jikan, no. 5 (1980), 112–18, and no. 6 (1980), 110–14. ———. “Yungang shiku zaoxiang zhong de yixie ticai de kaoshi 雲崗石窟造像中的 一些題材的考釋 (Study of some subjects in the image of the Yungang cave temples).” Xiandai foxue, no. 2 (1963), 11–21. ———. Yungang shiku yanjiu 云岡石窟研究 (The study of Yungang caves). Guilin: Guangxi shifan daxue chubanshe, 2003. ———. Zhongguo shiku yishu zonglun 中國石窟藝術總論 (General introduction to Chinese grottoes). Tianjin: Guji chubanshi, 1987. Yang Hong 楊泓. “Guanyu nanbeichao qingzhou kaogu de sikao 關於南北朝青州考 古的思考 (Reflections on the archaeology in Qingzhou of the Southern and Northern dynasties).” Wenwu, no. 2 (1998): 2. ———. “Guonei xiancun zuigu de jizun fojiao zaoxiang shiwu 國内現存最古的幾尊佛 教造像實物 (Earliest extant Buddhist images).” Xiandai foxue 現代佛學, no. 4 (1962): 31–4. ———. Han Tang meishu kaogu he fojiao yishu 漢唐美術考古和佛教藝術 (Art archaeology and Buddhist art between the Han and Tang). Beijing: Kexue chubanshe, 2000. ———. Meishu kaogu banshiji 美術考古半世紀中國美術考古發現史 (Half century of archaeological discoveries in Chinese arts). Beijing: renmin meishu chubanshe, 2015. ———. “Shilun Nanbeichao qianqi foxiang fushi de zhuyao bianhua 試論南北朝期間 佛像 服飾的主要變化 (A preliminary study on the evolution of draperies of Buddhist images from the Southern and Northern dynasties).” Kaogu, no. 6 (1963): 330–7. Yi, Lidu. “Handan Cheng’anxian chutu de beiwei Taihe liunian shijia sanzunxiang 邯鄲成安縣 出土的北魏太和六年釋迦三尊像 (Diciphering a newly discovered image in Cheng’an).” Dunhuang yanjiu, no. 3 (2012): 7–14. Yin Guanming 殷光明. “Beiliang Shita Fenqi Shilun 北梁石塔分期 試論 (On the periodization of the Northern Liang stone pagodas).” Dunhuang yanjiu, no. 3 (1997): 84–92. ———. “Shilun mofa sixiang yu Beiliang fojiao jiqi yingxiang 試論末法思想與北涼 佛教及其影響 (On mofa belief and Northern Liang Buddhism as well as its influence).” Dunhuang yanjiu, no. 2 (1998): 89–102. Yoshimura Rei 吉村怜. Chūgoku Bukkyō zuzō no kenkyū (Study of Chinese Buddhist art). Tokyo: Tōhō Shoten, 1983. ———. Chūgoku Bukkyō zuzō no kenkyū 中國仏敎図像の研究 (A study on the iconography of Buddhist art in China). Tokyo: Tōhō Shoten, 1983. ———. “Donyō Gokutsu zōei shidai.” Bukkyō geijutsu, no. 212 (1994): 11–36. ———. Tennin tanjōzu no kenkyū: Higashi Ajia Bukkyō bijutsushi ronshū 天人誕生 図の研究東アジア仏教美術史論集. Tokyo: Tōhōshoten, 1999.

220

Selected bibliography

———. Tennin tanjōzu no kenkyū: Higashi Ajia Bukkyō bijutsushi ronshū (Study of the celestial-born iconography: Selected essays on East Asian Buddhist art). Tokyo: Tōhōshoten, 1999. Yungang guji baoyangsuo 雲岡古蹟保養所. “Yungang xinfaxian de yikuai beiwei shike 雲岡新發現的一塊北魏石刻 (A Northern Wei stone inscription just discovered in Yungang).” Wenwu caikao ziliao, no. 9 (1957): 48. “Yungang kuqian yizhi fajue huo zhongda chengguo 雲崗窟前遺址發掘獲重大成果 (The great result of the excavation of the ruins in front of the caves).” Zhongguo wenwubao (1994): 1, 16. Yungang shiku baoguansuo 雲岡石窟保管所 and Wenwu baoguan kexue jishu yanjiusuo 文物保管科學技術研究所. “Yungang shiku jianzhu yiji de xinfaxian 雲岡石 窟建築遺址的新發現 (New findings of architectural remains in Yungang),” Wenwu, no. 4 (1976): 89–93. Yungang shiku wenwu baoguansuo, ed. Zhongguo shiku yungang shiku 中國石窟云 岡石窟 (Chinese caves: Yungang), 2 vols. Beijing: Wenwu chubanshe, 1994. Yungang shiku wenwu yanjiusuo 雲岡石窟文物研究所, Shanxisheng kaogu yanjiusuo 山西省考古研究所 and Datongshi bowuguan大同市博物館. “Yungang shiku disanku yizhi fajue jianbao 雲崗石窟第三窟遺址發掘簡報 (Report on the excavations in front of cave 3 in Yungang),” Wenwu, no. 6 (2004): 65–88. Yungang shiku wenwu yanjiusuo, ed. Yungang bainian lunwen xuanji 雲崗百年論文 選集 (Selected essays on Yungang in the last hundred years). Beijing: Wenwu chubanshe, 2005. Zhang Qingjie 張慶捷, Li Baijun and Jiang Weiwei. “Shanxi Yungang shiku kuding beiwei fosi yizhi 山西雲崗石窟窟頂北魏佛寺遺址 (Northern Wei monastery ruins discovered on top of the cave-temples in Yungang of Shan’xi),” in 2010 Zhongguo zhongyao kaogu faxian. Ed. guojia wenwuju. Beijing: Wenwu chubanshe, 2011, 127–30. Zhang Qingjie, “Yungang shiku kuding xiqu beiwei fojiao siyuan yizhi 雲岡石窟窟 頂西區北魏佛教寺院遺址 (The Ruins of Buddhist Temples in the Western Section above the Yungang Caves),” in Kaogu xuebao, no. 4 (2016), 533–62. _______. “Shanxi Datong caochangcheng beiwei erhao yizhi fajue jianbao 山西大同 操場城北魏二號遺址發掘簡報 (Important excavation on no. 2 ruins of the Northern Wei in Caochangcheng Datong Shanxi).” Wenwu, no. 4 (2016): 4–25. Zhang Zhuo. “‘Dajin xijing wuzhoushan chongxiu dashikusibei’xiaoyi 大金西京武周 山重修大石窟寺碑小譯 (On the Jin stele inscription on the repairs of the great stone caves on Mount Wuzhou of the Jin dynasty),” in Yungang bainian lunwen ji. Ed. Yungang shiku wenwu yanjiusuo. Beijing: Wenwu chubanshe, 2005, 350–4. ———. Yungang shiku biannianshi 雲崗石窟編年史 (The chronicle of the Yungang cave temples). Beijing: Wenwu chubanshe, 2006. Zhao Chao 趙超. Hanwei nanbei chao muzhi huibian 漢魏南北朝墓誌彙編 (Collections of tomb inscriptions from the Han, Wei, and the Southern and Northern dynasties). Tianjin: guji chubanshe, 1996. Zhao Kunyu 趙昆雨. “Yungang shiku yingzao de jige wenti 雲岡石窟營造的幾個問題 (Issues on the excavations of Yungang cave temples),” in 2005 nian Yungang guoji xueshu yantaohui lunwenji yanjiujuan. Ed. Yungang shiku Yuanjiuyuan. Beijing: Wenwu chubanshe, 2012, 313–23. Zhao Shuguang 趙曙光. “Longwanggou xice gudai yizhi qingli jianbao 龍王廟溝西 側古代遺址清理簡報 (Report on the inventory of the ancient ruins to the west of the Dragon King temple).” in Zhonguo shiku Yungang shiku, 2 vols. Ed. Yungang

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221

shiku wenwu baoguansuo. Beijing and Tokyo: Wenwu chubanshe and Heibonsha, 1994, 219–30. Zhao Wanli 趙萬里. Hanwei nanbeichao muzhi jishi 漢魏南北朝墓誌集釋 (Annotated collections of tomb inscriptions from the Han, Wei and the Southern and Northern dynasties). Beijing: Kuxue chubanshe, 1956. Zhou Yiliang 周一良. Weijin nanbeichao shilunji 魏晋南北朝史论集 (Collected essays on the history of Wei-Jin and Northern and Southern dynasties). Beijing: Beijing daxue chubanshe, 1987. ———. Weijin nanbeichao shilunji xubian 魏晉南北朝史論集續編 (Continued essays on the history of Wei-Jin and Southern and Northern dynasties). Beijing: Beijing daxue chubanshe, 1991. Zhou Zheng 周錚. “Xiwei Ju Shiguang zaoxiangbei 西魏巨始光造像碑 (A Western Wei stele by Ju Shiguang).” Zhongguo lishi bowuguan guankan, no. 11 (1985): 90–4.

Index

Page numbers for entries dealing with specific cave numbers are prefixed by p or pp to avoid confusion between cave numbers and page numbers. Abe, Stanley K. 18n64, 117, 128n9, 129n31, 131n68, 131n81, 131n83, 131n85 Abu Simbel Temple 20 accumulation of merit and virtue 126; Asoka 153; cave function 36, 186n54; imperial family 21–2; Trapusa and Bhallika 113; see also merit Achaemenid kings 20 Admonitions to the Court Ladies see Nüshizhen tu Amitabha Sūtra 120 Ananda 70, 77n91, 143, 152–3, 186n48 Anathapindika’s park 152 An Faqin 77n92, 195 Antarvasaka 52n79, 195 anterooms: cave 3 p36; cave 12 pp36, 80, 81, 105n11, 112–16, 130n63, 140, 168; cave 31 pp158, 163; caves 7 and 8 pp36, 90, 105n19, 107n46; caves 9 and 10 pp90, 93, 94, 96, 123; passageway connecting 94; residential cells with 37; secondphase caves 39, 44–5 An Xi 77n92, 195 aranya 23 archaeological excavations 12, 26–37; in 1970s and 1990s 31–5; above the Yungang caves 7, 10–11, 23, 26, 27, 28, 29–31, 33, 36–7, 49n43, 65, 73, 104, 110, 189–90; in and around Yungang 10, 48, 110, 189; in front of cave 3 p32; in front of cave 8 p28; in front of cave 12 pp29, 105n11; in front of cave 20 pp14n23, 26, 29,

33, 57, 64; in front of caves 9 and 10 pp28–9, 31, 50n49, 83, 105n14; Jiaoshansi caves 50n46; Lubanyao caves 27; by Mizuno and Nagahiro 5, 27–31, 49n40, 94; monastery remains above caves 5 and 6 pp28, 33–4, 189; Sima Jinlong 40; tiles 28–30, 33, 34–6, 50n43, 57; Yanbei shiyuan 40 archaeological expeditions 2, 4–6, 8, 14n30, 15n32 archaeological materials 5 archaeological method 4, 8 archaeological periodization 170 archaeological remains: in front of Wuhuadong caves 62; Northern Wei monasteries 62 archaeological typology methodology 4 archery competition 143, 149–50 architectural space of Buddhist sanctuaries 43, 73, 111, 119 architectural structure of Buddhist sanctuaries 3, 4, 6, 8, 10, 12, 27, 29, 31, 38–40, 43, 48, 56, 58, 63, 73, 100, 106n34, 111, 118, 126, 132–40, 158, 190; functions of 39, 43 architecture 4, 6, 9, 20, 38–40, 43, 48, 56, 104, 110, 175, 176, 183n7 archways: caves 7 and 8 p90; caves 9 and 10 p93 Asita’s prophecy of 147, 148 Asoka, King 71, 77n92, 152–3; jataka narrative 115, 124, 151–3, 158, 169, 173, 185n39; merit accumulation 153 Asura 80, 89 aupapadukas (lotus-born Buddhas) 58, 139

224

Index

avadana narratives 117, 129n30, 129n40 Ayuwang jing 77n92, 195 Ayuwang zhuan (The Biography of King Asoka) 70–1, 77n92, 195 Bai Zheng see Grand Chief Autumnal Prince Bai Zheng baizizhang (tent of a hundred sons) 73n12, 195 Bamiyan 100 Banishing of the Demons see Mara, Assault of Baochang 131n84, 195 Baoshan tomb 2 144, 195 baoyi bodai robes 43, 47, 59, 63, 103, 155, 173–4, 179, 182; cave 11-14 pp43, 179 Barthes, Roland 114 bas-relief 127n7, 143, 147–8, 168, 183n8 Beishi 40, 85 Beitai caves 1, 37, 51n55, 62, 69, 122, 172, 195; see also Yungang Benares 149 Bhallika 3, 111, 113–14, 121, 128n12; see also Trapusa and Bhallika Bhikkhunis (nuns) 26 bhiksus 21, 80, 113, 149 bian (talent) 117, 195 bilateral symmetry 66 Binglingsi caves 44, 175; cave 169 p175 bingwu day 87, 195 Binyang caves (Bingyangdong) 10, 43, 66, 173, 195 Biographies of Eminent Monks see Gaoseng zhuan Biography of King Asoka see Ayuwang zhuan birang (making room for another space) 156, 195 birth of Buddha 101, 115, 143, 146–8, 185n33 black pebbles on a stone Buddha 22, 53 bo (knowledge) 117, 195 Boli see Trapusa and Bhallika Book of Song see Songshu boshanlu 114, 195 brackets 44, 105n7, 139 Brahmana 46, 69, 100, 112, 127n1 Brahmins 148, 151 Brahmin youth 152 Brief History of The Clergy of The Great Song see Da Song sengshi lüe

broad knowledge (bo) 117 Buddha: alms bowl of 38, 112, 127n7, 152–3; Amitayus 174; archery competition 143, 149–50; ascent to and descent from Tusita Heaven 40, 94, 97, 141, 143, 146, 171; ascent to Tavatimsa to preach for his mother Mayadevi 143, 150, 169, 183n11; athletic training 146–7, 149–50; birth of 101, 115, 143, 146–8, 185n33; chariot-driving 145; conception 147; contemplative prince 149; Dharma 1, 21, 61, 64, 69–70, 72, 76n86, 94, 120, 126, 143, 151, 171–2; Dipamkara 112, 115, 124, 151, 169, 173, 185n39; elephant-riding 95, 130n63, 132, 143, 145–7, 149, 169, 184n21–2, 184n27; farewell to His White Horse Kanthaka 143, 145, 148, 184n22, 185n31; first meditation 143, 149, 168, 185n34; historical biographies 46, 115, 185n34; horsemanship 145; law of 65, 117, 124; life stories 115, 143; Maitreya 39, 45, 71, 89, 94, 97, 108n68–9, 112, 124, 128n9, 141, 143, 166, 171–2, 174, 194; manifestation of 45, 173; Many-Jeweled 47; meeting his son Rahula 95, 130n63, 151, 153, 169, 185n39; Prabhutaratna 45, 70, 94, 120, 134–5, 140–5, 153, 171–2, 183n5, 193; previous incarnations 45; return to his hometown Kapilavastu 151; Śākyamuni 45, 47, 53, 64, 70, 71, 88, 94, 108n68–9, 120, 134–5, 140–3, 152–3, 166, 171–2, 183n5, 193–4; worshiping 48 Buddha-Daoist synthesis 121 Buddha Dharma 1, 21, 61, 64, 69, 72, 76n86, 94, 120, 126, 143, 151, 171–2 Buddha Hall image caves (fodianku) 81, 133 Buddha Halls (fodian) cave temples pp1, 18n68, 37, 81, 106n34, 111 Buddha-household economic system 71 Buddhanandi 38 Buddha of transformations (huasheng) 120 Buddhism: five precepts of 121–2, 126; Liangzhou 38–9, 124; Noble Truths 118; persecution of 2, 21–2,

Index 25, 54, 60, 67, 70, 172; Plebeian 121–2, 129n27; reliquaries 21, 60; restoration of 2, 7, 11, 22, 37, 40, 53, 59–61, 69, 72, 74n23, 76n86, 172; sinicization 18n64, 173–82; texts 21, 69, 122 Buddhist archaeology 4, 43 Buddhist architecture 4, 6, 9–10, 73, 175, 190; caves 10, 31, 176; Yungang 3, 6, 10, 12, 38–9, 41, 43, 48, 56, 104, 110, 126, 190 Buddhist art 4–6, 8–10, 12, 60, 73, 112, 170; sinicization 39, 43, 144, 173–4, 182 Buddhist centers 119, 186n54 Buddhist community 4, 116, 119 Buddhist doctrines 119, 151 Buddhist iconography 151, 175–6, 190 Buddhist image-making 22, 38, 53, 72, 120, 122, 174 Buddhist narratives see narratives Buddhist sūtras 6–7, 36–7, 46–7, 52n89, 61–2, 69–70, 76n74, 77n92, 106n40, 118–19, 172–3, 186n43 Burning of the Fire Dragon’s Shrine 115 cai (talent) 117, 195 caitya (stūpa) caves: cave 6 pp45, 102, 103; cave 11 pp45, 80, 81; cave 39 pp133, 165–6, 172; caves 1 and 2 pp45, 101 canonical scriptures 117, 120; see also Buddhism, texts Cao style 179 Cao Yan 7, 16n43–4, 37; see also Jin stele inscription caoyi chushui style 74n17, 195 Cao Zhongda 74n17, 176, 179, 181 Caswell, James 9, 105n2, 108n63 cave 1 pp101–3; see also caves 1 and 2 cave 2 pp40n43, 102–3, 108n65; see also caves 1 and 2 cave 3 pp6–8, 32, 35–6, 78, 83, 85, 103; excavations above 29–31, 35; excavations in front of 32 cave 4 pp132, 170 cave 5 pp9, 15n32, 100–4, 108n68, 166; see also caves 5 and 6 cave 5-10 pp137–8, 166, 167, 184n21 cave 5-11 pp48, 132, 137–9, 142, 166–7 cave 6 pp9, 43, 46–7, 49n28, 59, 63, 81, 100–3, 108n66, 108n68, 147, 154–6, 158, 171, 173; see also caves 5 and 6

225

cave 7 pp90–1, 94, 105n19, 107n46, 168; see also caves 7 and 8 cave 8 pp28, 83, 90–1, 94; excavation in front of 28; see also caves 7 and 8 cave 9 pp28, 44, 45–6, 83, 93–5, 98, 105n19, 108n69–70, 120, 127n4, 130n63, 158; excavation in front of 28; initial function 116; Rahula jataka 153; Syama jataka 115; see also caves 9 and 10 cave 10 pp28–9, 44, 83, 93–5, 98, 108n69–70, 130n63; excavation in front of 28–9, 31; see also caves 9 and 10 cave 11 pp63, 81–2, 83, 97, 103, 105n14, 107n56, 111, 156–7; abandonment of 85; dating 11, 88, 90, 97, 99, 104, 189; inscriptions 16n50, 27, 81, 83, 84, 123, 131n76; see also caves 11 to 13 cave 11-14 pp14n20, 43, 63, 156–7, 158, 174; baoyi bodai 43, 179; inscription 14n20, 174 cave 12 pp9, 11–12, 32, 80, 81–2, 90, 104, 105n11, 107n55, 111–18, 121–6, 163; anteroom 37, 80, 82, 105n11, 112–16, 130n63, 140, 168; archaeological excavation in front of 29, 105n11; configuration of images 90; dating 11, 89–90, 90, 103, 107n44; function 37, 118, 122, 124–6, 189–90; insertion between caves 13 and 11 p89; musical deities 80, 89, 111, 112, 118, 129n41; patronage 9, 102, 107n45, 189; square bricks 29; see also caves 11 to 13 cave 13 pp11, 44, 80, 81, 82–4; colossal image 80, 81, 84, 88; elliptical cave plan 80, 84, 88; intertwined dragons 47, 80, 81, 84; patronage 11, 80, 87; see also caves 11 to 13 cave 16 pp54, 56, 58, 63–6, 74n43, 87; worshippers legs depicted 54, 87; see also caves 16 to 20 cave 17 pp14n20, 44, 56, 58, 63–6, 84; iconographic style 14n20, 84; inscription 14n20, 27, 58; inventory 29; see also caves 16 to 20 cave 19 pp29, 41, 44, 57, 64, 72, 153; excavation in front of 29; floor bricks 29; see also caves 16 to 20 cave 19-2 pp155, 167

226

Index

cave 20 pp26–7, 29, 36, 42, 58, 62, 64–7, 98, 109n72; excavation in front of 14n23, 26, 29, 64; tiles found in front of 29–30, 33, 57; see also caves 16 to 20 cave 21 pp67, 139, 155, 157, 163, 171 cave 22 p157 cave 22-1 p170 cave 23 pp141, 157 cave 23-1 p167 cave 24 pp140, 160–1, 168, 171 cave 24-1 pp141–2, 168 cave 25 pp134, 139, 159 cave 25-2 p142 cave 26 pp135, 141–2, 168 cave 27 pp135, 139, 141, 158, 162, 168 cave 27-2 pp167–8, 170 cave 28 pp139, 160–2, 162, 184n22 cave 28-2 pp137, 161–3, 169; inscriptions 137 cave 29 pp136, 139–40, 158–9, 161 cave 30 pp47, 135–7, 142, 158, 161, 176 cave 31 pp141, 158, 163, 177, 184n22, 185n32 cave 33 pp140, 142, 158–9, 163 cave 33-1 p140 cave 33-3 pp147, 149, 168 cave 33-4 pp168, 169–70, 184n21, 186n44 cave 34 pp139, 156, 163, 166, 171 cave 35 pp148–9, 152, 163–6, 167, 169–71, 184n21 cave 36 pp135, 141, 149, 168, 170 cave 36-2 pp138, 170 cave 37 pp140, 143, 146–8, 150, 165–6, 171 cave 38 pp134–5, 139, 143, 149–50, 153–4, 169–70, 184n22, 185n39 cave 39 pp133, 140, 201–2, 208–9; excavations above 62 cave 169 in the Bingling cave-temple complex 175 cave 254 in Dunhuang 117 cave 328 in Dunhuang 177 caves 1 and 2 pp4, 6–8, 16n47, 49n43, 96, 99–100, 101–3, 108n65, 109n79, 171, 189; architectural structure 100; central stūpa pillar 100, 102–3; cliff surface 97, 100; dating 6, 78, 101–3; Qian’er Qingshi (Wang Yu) 102–3, 189 caves 5 and 6 pp6–9, 15n32, 44, 44, 45, 49n28, 58–9, 63–4, 80, 97, 99–103,

108n66, 108n68, 147, 154–6, 158, 166, 172, 174, 189; cliff surface 100; dating 6, 102; monastery remains above 28, 33–4, 189; pagodas 100; transformation of clothing style 103 caves 7 and 8 pp7–9, 16n47, 17n55, 28–9, 58, 83, 90, 94–5, 96–7, 98, 103, 104n2, 105n19, 107n46, 107n52, 107n55–6, 108n59, 108n63, 114, 124, 158, 158, 171, 176, 189; anterooms 36–7, 82, 90, 105n19, 107n46; archways 90; dating 78, 90, 94–5, 95, 99, 103, 107n56, 108n59, 108n63; stele between 91, 97; stūpashaped pillars 90 caves 9 and 10 pp6–9, 16n50, 28–9, 31–2, 35, 44, 44, 46, 70, 84, 90, 93–101, 104n2, 105n19, 107n50, 107n55–6, 108n69–70, 115, 120–1, 124, 127n4, 130n63, 153, 158; anterooms 44, 82; dating 7–8, 78–9, 83, 93–101, 103; excavations in front of 28–9, 31, 50n49, 83, 105n14; façade 93; traces of lotus and tortoise patterns 28, 33; wooden structure 31–2 caves 11 to 13 pp9, 11–12, 16n50, 27, 28–9, 31–2, 36–7, 44, 47, 63, 79–90, 97, 103, 105n11, 105n14, 107n44–5, 107n55–6, 111, 112–16, 117–18, 120–6, 129n41, 130n63, 131n76, 140, 156–7, 189–90; archaeological excavation in front of 28–9, 105n11; cliff surface 83, 87; dating 78–90, 97, 98, 103, 189, 107n44 caves 16 to 20 pp6, 8, 12, 22, 28, 53–67; see also Tanyao caves cave sanctuaries 48, 122, 146 cave structure 27, 39, 44, 45, 79, 88, 94, 95, 133, 156, 160, 162, 166, 167, 171, 173 cave tombs 20 celestial guardians 89, 112 celestial maidens dedicating canopies 46, 95, 130n63 celestial musicians 80, 89, 102, 112, 129n41 celestial robes 44, 102, 109n79, 156, 159, 167, 171, 194 central Asia 15n32, 39–40, 51n71, 56; culture 56 central India 5, 15n32 central pillar 9, 39, 80, 93, 93, 100–2, 105n14, 106n34, 111, 147, 171;

Index cave 11 pp80, 82; cave 12 pp80, 89–90, 105n7, 105n11, 106n34; cave 13A p83; cave 39 p172; caves 1 and 2 pp99–100, 101–3; caves 5 and 6 pp100–1, 147; caves 7 and 8 p90; caves 9 and 10 pp83, 93, 105n14; function 111; see also stūpa caves central plain China 12, 23, 40, 173–6 chaitya caves pp20, 39, 45, 47, 194 Chandaka 145, 148, 185n31 Chang’an 40 changdao (vernacular sūtra singing and preaching) 36, 111, 116–20, 126, 129n28, 129n30, 190, 195 changfu (monastic dress) 52n79, 195 Changle (present-day Jixian county in Hebei) 85, 195 Changnayeshe 61, 69, 195 Changzhi 187n54, 195 Chan miyao fa jing (Scripture on the Esoteric Essential Methods of Meditation) 23, 195 chanting 36 Chan wisdom 126 chariot-driving 145 Chavannes, Émmanuel-Édouard 2, 8 Chen, Kenneth 121 Chengming era 51n73, 86, 98–9, 195 Chen Qingzhi 175, 195 Chen Yuan 3, 6, 13n8, 60 chi 61 Chinese architecture 6, 9, 31, 43 Chinese culture 6, 42, 71, 174 Chinese ethical norms 42 Chinese linear art 175 Chinese style garments 43, 100, 100, 173 chiwei (roof ridge ornaments) 44, 139, 195 Chongfu cave temple 37, 84, 95, 95–7, 97–8, 104n2, 108n63, 108n66, 195 Chongfusi see Chongfu cave temple Chongguang Palace 86, 195 Chongjiao cave temple 7, 96, 109n79, 195; inscription 7, 96 Chronicle of Gaozu 87 chronicle of Xianzu 86 chuanzuo wuqiong characters (extending prosperity infinitely) 30–1, 34, 195 Chu sanzang ji ji 95 circumambulation (pradaksina) 36, 39, 45, 93, 100, 104, 110–11, 124–5

227

City of Gods see Tiangong Temple clay camels 40 clay tents 40; see also tents cliff surface 1–3, 7, 56–7, 79, 83, 94, 97, 100, 104, 107n56, 132; natural structure (yinyan jiegou) 57, 79 closed mode garment 72 cloud pattern 57 coffered ceilings (pingqi) 44, 90, 140, 183n7 colossal images 22, 39, 43, 47, 53–4, 68, 189, 191; Abu Simbel Temple 20; cave 5 pp100, 102; cave 13 pp80, 81, 84, 88; caves 9 and 10 p97; daxiangku (colossal statue cave) 81; Maitreya Bodhisattva with crossed ankles 80; Tanyao caves 11–12, 23, 42, 54, 64, 70, 72, 84, 100, 110, 210, 215 column holes 33 configuration of caves 66, 81, 128n20, 128n22 conflated narrative mode 112, 115–16 Confucian ideology 46, 143–4; filial piety 115, 128n19; five permanents 121 consecutive scenes narrative 46, 175 Constant Pleasure 148 construction materials from excavations 34 continuous narrative mode 45–6, 112, 115–16, 128n19–20, 144–5 Conversion of Nanda 95, 130n63 Conversion of the Three Kasyapas of Uruvilva 45, 112, 127n1, 143, 148, 169, 185n32 corbelled ceilings 44, 140, 183n7 cord-like folds 47, 63, 155 cross-ankled Bodhisattva 58, 80, 139–43, 163–4, 165, 167, 168, 193 cross-legged Buddha 140, 142 Crown Prince see Jingmu Dachangqiuqing 196 Dai Kui 9, 18n64, 41, 176–9, 196 Dai Yong 177, 196 Dajiyi shenzhou jing (Sūtra of Great Auspicious Significance of Magic Spell) 11, 70–7, 89, 106n40, 123, 172, 186n52, 196 Dangchang, Duke of 96 Dao’an 119, 196 Daofa 125

228

Index

Daoism 2, 21, 86, 88, 121 Daorentong 61, 74n32, 196 Daoshi 187n65, 196 Daowu, Emperor (Tuoba Gui) ix, 59, 64–5, 75n44, 174; see also Taizu Daowudi see Daowu Daoxin 119, 196 Daoxuan 1, 3, 13n10, 26, 27, 50n50, 79, 121, 123, 126 dapuo (breaking space) spatial relationship 113, 156, 196 Darius the Great (c. 550–486 BCE) 20 Da Song sengshi lüe (Brief History of The Clergy of The Great Song) 21, 196 Da Tang neidian lu 13n10, 59 dating and periodization 4, 6–8, 78, 81, 94, 104, 170, 190; cave 11 pp11, 87, 90, 97, 99, 103, 189; cave 12 pp11, 82, 89, 103, 107n44; caves 1 and 2 pp6, 78, 101–3; caves 5 and 6 pp6, 103; caves 7 and 8 pp78, 90, 94–5, 96, 99–100, 103, 107n56, 108n59, 108n63; caves 9 and 10 pp7–8, 78–9, 83, 93–101, 103; caves 11 to 13 pp78–90, 97, 99, 104, 189, 107n44; second-phase chronology 8, 11–12, 78–9, 90–103; Tanyao caves 6, 9, 59–67, 75n43, 106n33; thirdphase chronology 12, 156–70, 189, 193; Yungang 3–4, 6–9, 11, 59–67, 75n43, 78–90, 93–101, 103, 106n33, 107n44, 107n56, 108n59, 108n63, 189 Datong 1–2, 38, 40, 51n61, 51n71, 179; see also Pingcheng Datong Municipal Archaeological Institute 33 daxiangku (colossal statue cave) 81; see also colossal images Dazhusheng cave temples 66, 196 death (impermanence) 117 debate between Vimalakirti and Manjusri 120, 143, 167, 172 decline of belief in the Dharma see mofa belief dedicative stone slab 26 Deer Park 112 deerskin cloak 152 Defeat of Mara see Mara, Assault of Devadatta 150 Devapura (City of Gods) see Tiangong Temple

Devas 145 devotional rituals and practices 4, 14n22, 39, 89, 110, 125 dharaṇi sūtra 89 Dharma 1, 60–1, 64, 68–9, 77n91, 94, 116–17, 119, 122, 126, 143, 151, 153, 171–2, 184n24; Asoka Dharma king 152; masters (fashi jiangjing) 116–19, 125, 197; mofa 21–2, 198; protectors 21, 45, 69–72, 77n92, 89, 140, 153, 163, 165–6 Dharma-cakra 112 Dharma-pitaka 70, 77n92 Dharmaksema 124 dhyāna: Buddhas 57; halls 25; masters 23; monks 86; position 57, 80, 113; practice 23, 68; Samādhi 24; see also meditation Dinglin monastery 187n54, 196 dingmao day 98, 196 Ding Mingyi 8, 23, 118 dingyou day 86, 196 Dipamkara 151–2; jataka 112, 115, 124, 151–2, 169, 173, 185n39; prophecy 152 Dong Mi 174, 196 douba (octagon) 183n7, 196 double-courtyard configuration 37 Doushuai cave temple 16n40, 16n44, 96, 196 dousi (quadrilateral) 183n7, 196 dragons 139, 148; Fire Dragon 115; intertwined 47, 80, 84, 89, 140 drapery 156–7, 158, 161, 163, 165–8, 171, 180, 194 Dunhuang caves 5, 44, 124, 144; cave 254 p117; cave 328 p177; cave 428 p144; manuscripts 120 Dvarapalas 71, 80, 158, 163 dwarf musician 112 earthquakes in the capital 98 Eastern Jin 120 Eastern Temple in Luoyang 120 Eastern Wei dynasty ix, 180 edicts: of 398 (building of Buddhist temple halls) 26; of 446 (destruction of Buddhist temples) 53, 68; of 452 (Buddhist revival) 53, 62; of 452 (making of a stone Buddha image) 22, 62; of 454 (making of five images) 53, 62; of 486 (adoption of Chinese culture) 174, 176, 182

Index edifying narratives 111, 114, 116 Egyptian temples 20 eight celestials taught by Buddha 94, 130n63 elephants: Buddha in elephant form 143, 146–7, 184n27; Buddha riding 143, 145–7, 169, 184n21–2, 184n27; Buddha tossing 143, 150, 165, 185n36; Mahaprabhasa and elephant trainer 95, 130n63; Outing on the Elephant 132; six-tusked 146 enlightenment 2, 111–12, 114, 121–2, 126, 128n12, 147–9, 152, 184n24, 185n33 ersheng see two sages ethnic dancers 40 explanatory prose 120 extending prosperity infinitely see chuanzuo wuqiong fabricated sūtras 3, 111, 121–2 fafu (formal monastic dress) 52n79, 196 Faguo 22, 73n5, 172 fangbian xinlun 95, 130n63 Fangshan, Mount 38, 51n73, 68, 109n74, 196 fashanglu 106n40, 196 fashi 116–19, 125, 197 Faxian 186n48, 196 Fayuan zhulin 74n34, 187n65, 187n71, 196 Fei Changfang 16n42, 76n84, 196 Feng, Empress Dowager (Lady) see Wenming filial motive 53 filial piety 115, 128n19 first meditation of Buddha 143, 149, 168, 185n34 first phase 6–7, 22, 42, 43, 44–5, 45, 47, 48, 53, 56, 69, 104, 132, 181 first-phase caves 39, 43–4, 48, 53, 104, 172 First Sermon of Buddha 46, 101, 112, 143, 147, 149, 168–9 five Confucian permanents (virtues) 121 Five Dynasties era ix, 5 five elements theory 121 five hundred merchants worshipping the Buddha 113–14, 121, 149 five precepts (pancasila) 121–2, 126; see also Buddhism, five precepts of Five-storeyed Reliquary 53, 65, 73n4 Five Vows (wujie) 120

229

flaming nimbus 57 floral ornaments 80 floral-scroll pattern 57 flying celestials 50n50, 80, 139–40, 154, 156–7 fodian caves (fodianku) 39, 47, 81, 111, 133, 196 folding screen on niche 132, 139, 167, 168, 170–2, 194 folk faith 121, 125 foreign relations 3 Foshuo guanfo sanmei haijing 183n11, 196 Fo suoxing zan (Acts of the Buddha) 46, 196 Fotucheng 119, 196 Fotuhu 71, 196 Fotuobatuoluo 183n11, 196 founding emperors of the Northern Wei 53, 57, 64–6, 172 four celestial guardians 89, 112 four divinities offering bowls to Buddha 112, 124, 127n5, 128n12, 128n21 four guardian kings 145 Fozhi biqiu liuwutu 42, 196 freestanding monasteries 20–1, 30, 31, 37, 62, 110, 190 frescos 175 fudao minsu (instructing mass laity) 26, 116, 119, 196 Fufazang yinyuan zhuan (A History of the Indian Patriarchs) 11, 23, 37, 69–70, 95, 130n63, 172, 186n52, 196 fugui wansui (wealth and longevity) 34, 196 fujian see pianshan function of cave temples 10–12, 25, 39, 43, 48, 100, 104, 110–12, 116, 122, 124, 126, 190; circumambulation 39, 100, 110, 124; liturgical 10–12, 21, 37, 104, 110–11, 112, 116, 126, 190; meditation 11, 36; merit accumulation 36, 186n54; monastic remains 12, 27, 33, 36–7 Further Biographies of Eminent Monks see Xu gaoseng zhuan Fushan cave 187n54, 196 future incarnation of the Buddha 11, 58, 64–5, 71, 151–2 Gandhara 38, 42, 52n79, 128n21, 149, 184n27; art 42, 72, 127n7, 146–7, 175; artists 148, 150; style 4, 15n30

230

Index

Gansu 21, 40, 56, 68 Gaomiaoshan cave 187n54, 196 Gaoping County 186–7n54, 196 Gaoseng zhuan (Biographies of Eminent Monks) 3, 64, 68, 117, 196 Gao Yun 22, 196 Gaozu, Emperor 9, 17n52, 66, 71, 86, 88, 107n55; see also Xiaowen garments see robes Gautama Buddha 151; meeting Rahula 95, 130n63; Siddhartha 115 Gazetteer of Shuoping Prefecture see Shuopingfu zhi Genben shuo yiqie youbu pinaiye zashi (Mulasarvastiva davinaya) 118 giver of the narrative 114 gong 66, 75n64, 75n66 Gongwei coup d’état (Gongwei zhibian) 85, 196 Gongzong, Emperor 68, 196 Grand Chief Autumnal Prince Bai Zheng 173 Grand Chiliocosm 72, 77n99 Great Dai 96 Great Departure 45, 101, 132, 143, 145, 169, 173, 184n21–2, 184n27 Great Gratification 148 Great Principle 88 Greek and Roman influences 38 Gridhrakuta Hill 151, 153–4, 169, 185n39 Group Four caves 167–70, 194 Group One caves 157–63, 193 Group Three caves 166–7, 194 Group Two caves 163–6, 194 Guanfo sanmei fa (Methods of Visualizing the Buddha Image) 24, 196 Guang hongming ji 68, 118 Guannei (the Wei River) 123, 197 Guan siweiyi pin 183n11, 196 Guhua pinlu (Classification record of ancient paintings) 187n73, 196 guide the laity see fudao minsu guifu 91, 197 guiren (secondary wife) 85, 197 guji baoyangsuo 26 Gujin yijing tuji (Seal of Ancient and Modern Sūtra Translation) 37, 197 Gu Kaizhi 18n64, 40, 176–7, 196 Guoqu xianzai yinguo jing (Sūtras on Causes and Effects of the Past and Present) 46, 150, 183n10, 197 Guo Ruoxu 181, 197

Guyang cave 173, 176, 179 Guzang 40, 197 half-domed ceiling 43, 44 half-palmette of three leaves 57 Hall of Taihua 87, 199 Han art 144 Han brick reliefs 175 Han clothing 174 handling of arms 145 handscroll paintings 45–6, 144 Han dynasty ix, 25, 175–6, 178 Han stone reliefs 45 Han stone slabs 58 Hang Kan 66, 109n72 Hanquandong 96, 108n65, 197 Hariti losing her son, Pingala 46, 69, 95, 130n63 heaven (tian) 122 Hebei 40, 85 Helinge’er 23, 197; see also Shengle Henan 174 Heng’an (Pingcheng in the Tang) 59, 197 Heng’an cave-temple 1, 37, 50n55, 62; see also Yungang hengdi 40, 197 Heping era 6, 34, 37–8, 59–60, 62, 68, 88, 94, 106n33, 197 Hindu rituals 89 hip roof 32, 50n49 historical Buddha Śākyamuni 64 History of Chinese Art: Sculpture Volume (see Shina bijutsushi chōsō hen) History of the Indian Patriarchs see Fufazang yinyuan zhuan Honorary Grand Mentor Zhang Tan 68, 201 horizontal format narrative 144 horseshoe-like plan 54 Hou Hanshun 55, 197 Hou Xudong 4 Howard, Angela F. vii, 9, 25 hu 71, 197 Huangfugong caves p43, 197 Huangjiu Monastery 68, 197 Huangxing era 63, 86–7, 94, 197 huasheng 120 Huayan cave temple 16n40, 16n44, 51n57, 197 Hubei province 144 Huguo cave 7, 16n40, 16n44, 16n47, 26, 37, 51n57, 95, 95–6, 98, 104n2, 197; inscription 95–6

Index Huifusi Temple stele 102 Hui Jiao 117–19 Huishi 23, 197 humans (ren) 122 huren (ethnic groups) 40, 197 hutengwu dancers 40, 197 iconographic composition of images 27, 43, 45–6, 47, 94, 108n68, 132–3, 140–4, 156, 166, 167, 171, 193–4 iconographic shift 176 iconographic style 3, 5–6, 8, 9–10, 14n20, 27, 47, 84, 94, 102, 110, 154–6, 166, 170–2 iconographic transformations 177, 182 identification of imagery 110, 127n4 image making 22, 38, 53, 64, 69, 72, 120–4, 126, 172, 174 imperial consort 85 imperial family of Northern Wei 21–2, 53, 88, 173; accumulation of merit 21–2; ancestors 48; patronage 1, 72; shrine temples 54 imperial five see Tanyao caves impermanence 117, 119 Imprisonment of the Fire Dragon in the Bowl 115 incense burner 87, 114 incised lines 44, 58, 155; vertical 168 India 5, 15n30, 20, 42, 52n79, 54, 118, 144–5, 153, 178; culture 27–8, 56; monks 37; painters 180; patriarchs 70; style 72 Indian and Gandhara influences 15n32, 38, 42, 184n27 Indra 145 ink stone 40, 51n71 inner robe 42–3, 52n79, 57, 160 innovation in cave temples 42–3, 48, 56, 88, 104, 106n34, 132 innovation of Chinese Buddhist sculpture 171, 173, 194 inscriptions 2–5, 7, 9–10, 12, 14n20, 14n23, 19n72, 116, 132, 156, 190; cave 4 pp132, 170; cave 11 pp16n50, 27, 80–1, 83, 84, 97, 123, 131n76, 211; cave 11-14 pp14n20, 174; cave 17 pp14n20, 27, 58; cave 28-2 pp137, 161–2; cave 35 p163; Chongjiao cave 7, 96; Huguo cave 95–6; Jin stele 1–2, 7–9, 13n11, 16n40, 16n43, 16n48, 26, 31, 37, 51n56, 59, 62, 83, 84, 88, 95–7, 98, 106n33,

231

108n68, 109n79, 132, 190; by nuns 26–7 intermixture and fusion of multiple cultures and peoples 43 inverted V shaped roof brackets 31, 44 Iran 20 Itō Chūta 2, 4 jambu (rose-apple) tree 149, 185n34 jataka narratives 45, 46, 69, 80, 112, 116, 118, 140, 142–3, 151–4; Asoka 115, 124, 151, 152–3, 158, 169, 173, 185n39; Dipamkara 112, 115, 124, 151–2, 169, 173, 185n39; Mahasattva 144; Mugapakkha 107n46; Sudhana 144; Syama 45–6, 115, 128n19, 143 Jetavana monastery 152 jiangjing (sūtra lectures) 36, 114, 116, 126, 129n28, 197 jiangjing fashi (Dharma masters who give sūtra lectures) 114, 118, 126, 197 Jiang Shaoyou 177 Jiankang 180 Jiankang shilu 180, 197 Jiaoshansi caves 27, 50n46, 197 jiasha (Kasaya) 52n79, 197 Jinbei 190, 197 Jin dynasty x, 26, 77n92 Jingchong cave temple 16n44, 51n57, 96, 197 Jingdu sanmei jing 106n40, 197 Jingmen 144, 197 Jingming era 14n23, 26, 66, 197 Jingmu, Emperor (Tuoba Huang) 64–6, 75n44 Jingtu sanmei jing (Samādhi Sūtra on the Pure Land) 37, 51n55, 124, 197 Jin stele inscription 7, 13n11, 16n40, 16n43, 16n48, 26, 31, 37, 51n56, 59, 2, 83, 84, 88, 95–7, 98, 106n33, 108n68, 109n79, 132, 190; Cao Yan 7, 16n43–4, 37; Miu Quansun 13n11, 198 Jin Weinuo 108n68, 144 jiu’er juezhi (based on the nature of the mountain cliff) 79, 197 Juqu Mujian 68, 197 Jurassic stratum 98 Kaihua monastery 187n54, 197 Kaihuang period 123 Kaiyuan shijiao lu 16n44, 74n34, 106n40, 197

232

Index

kalpas 69, 72, 76n88, 151 Kanthaka, Buddha’s horse 143, 145, 148, 184n22, 185n31 Kapilavastu 151 karma 115, 116, 125, 151–2; core tenets of 151; retribution in samsara 115, 122 Kashiga (Shale) 38, 197 Kasyapas 45, 112, 127n1, 143, 148, 169, 185n32 Kaundinya 149 Kekaya 69, 76n86, 95, 130n63 King of Dai 65 Kizil caves p25, 36, 39, 100, 118, 191 kneeling figure 57, 113, 149, 153, 168, 184n20, 186n47 knowing viewer 116 konghou 40, 197 Kucha 9, 39, 118 lacquer box 144 Lady Feng see Wenming Lalitavistara 46, 114, 121, 127n5, 186n43 Land of the Lion (Sri Lanka) 38 Lang 9, 101 lanruo (hermitage) 21, 197 Lao and Zhuang 88; emptiness of 71 Later Wei 96 lecture halls (jiangjingtang) 36, 118–19 Leshan tombs 175 Liang dynasty 9, 95, 176, 179 Liang Sicheng 3, 6, 56 Liang Wudi, Emperor 180 Liangzhou 15n32, 21, 23, 38–9, 59, 110, 124, 126, 172, 198; Buddhism 38–9, 124 Liao dynasty x, 7, 16n44, 31, 32, 189; grand-scale structure remains 29, 32, 34; tiles and brick remains 28, 50n43 Libaiku 23, 133, 198 Lidai minghua ji 177–8, 181 Lidai sanbao ji 16n42, 74n34, 76n84, 198 Li Daoyuan 1, 3, 26–7, 50n43, 57, 79, 198 Li Jingjie 108n69, 109n79, 123 linear design 175–6, 180, 182, 188n79 linear narrative sequence 144 Lingchuan County 187n54, 198 Lingyan cave temple 1, 16n44, 26, 37, 51n55, 51n57, 96, 198 Lingyu 66, 198

linked narrative scenes 144 lishe 14n22, 198 Liu Chang 102, 198 Liu Xiaobiao 68, 198 Li Yi 86–7, 198 Li Yuqun 20, 107n44 Loewe, Michael 65 Longmen 5, 176; Binyang 173; caves 8, 10, 15n32, 18n64, 19n72, 43, 66, 98, 143, 149, 173, 176, 182, 190; Guyang cave 173, 176, 179; Lu cave 143; period 176 Longwang Shrine (Longwangmiao) 28, 198 lotus-born Buddhas see aupapadukas lotus design: cave 10 column 28, 31–2; ceilings 140; petal bands 112; tiles 30, 34 Lotus Sūtra 47, 70–1, 116, 120, 123, 143, 171–2, 183n5 Lou Rui, Prince 180, 198 Loving Sex 148 lower terrace 25 Lubanyao caves 27, 49n43, 198; archaeological excavations 27 Lumbini garden 147 Luoyang 77n92, 120, 172–6, 186n54, 191; transfer of capital to 2, 35, 63, 82, 85, 103, 108n63, 132, 172, 173–4, 182, 189 Luoyang qielan ji 175 Lu Tanwei 41, 176–7, 179, 198 Luyeyuan park caves 25, 49n28, 86, 88, 198 Mahākāśyapa 70, 77n91, 143, 158 Mahaprabhasa and the elephant trainer 95, 130n63 Mahasattva jataka 144 Mahayana 21, 77n92, 89 maigre feasts (zhai) 117, 120, 124 Maijishan caves 44 Mair, Victor 119 Maitreya 39, 89, 94, 98, 124, 128n9, 141, 143, 166, 171–2, 194; ascent and descent 40, 94, 98, 141, 143, 146, 171–2; Bodhisattva 56, 65, 80, 89, 171; Buddha 45, 71, 98, 108n68–9, 112, 174; Śākyamuni and Maitreya 108n68–9, 141, 166, 171–2, 194; Sūtra 40 Maitreya-Amitayus stele 174 Manes jewels 40

Index Many-Jeweled Buddha 47; see also Prabhutaratna Maoxian 174, 198 Mara, Assault of (Mara’s Temptation, Banishing of the Demons) 112, 115, 128n21, 143, 148, 169–70, 173, 185n32, 186n48 Mara’s Temptation see Mara, Assault of Mathura 42, 52n79 Maya 146–7, 150, 169, 184n27; Buddha’s ascent to Tavatimsa 143, 150, 169, 183n11; Maya’s Dream 146–7 Mayadevi see Maya McNair, Amy 10 meditation 9, 11, 22–5, 65, 110, 113, 124, 128n9, 128n12, 148, 186n54, 190; cells 9, 25, 49n28; first 143, 149, 168, 185n34; halls 65, 86; see also dhyāna merchants 40; caravan 113; five hundred 113–14, 122–3, 149; offering food to Buddha 45, 113, 128n10; Trapusa and Bhallika (Tiwei and Boli) 113–14, 121–2 merit 21–2, 36, 113, 124, 126, 153, 186n54; accumulation 21–2, 36, 113, 126, 153, 186n54; Trapusa and Bhallika 113 Methods of Visualizing the Buddha Image see Guanfo sanmei fa Mi Fu 180 migration: Buddhism 60; migrants 39–40, 43, 48, 51n71, 60; to Pingcheng 39–40, 59–60, 124, 176; Sogdian 40 Ming dynasty x, 1, 59, 96, 183n7 Mingseng Zhuan 124, 131n84, 198 Mingyuan, Emperor (Tuoba Si) ix, 17n52, 26, 37, 59, 64, 65–6, 75n44, 96; prayer to gods of heaven and earth 26 Miu Quansun 13n11, 198; see also Jin stele inscription Mizuno Seiichi 15n32, 61, 104n2, 113, 120, 124; see also Mizuno Seiichi and Nagahiro Toshio Mizuno Seiichi and Nagahiro Toshio 5–6, 8, 14n23, 15n32, 61, 62–3, 67, 78, 81, 82–3, 89, 94, 102, 105n11, 105n14, 113–14, 183n7, 189; excavations of 28–31

233

mofa belief (the decline of belief in the Dharma) 21–2, 198 Mokemoye jing 183n11, 198 Moling (Nanjing) 175 monasteries 3, 9, 21–2, 25–6, 28, 30–8, 40, 48, 50n43, 51n55, 51n73, 62, 68, 77n98, 118, 153, 171, 186n45, 187n54; freestanding 20–1, 30, 31, 37, 62, 110, 190, 189–90; layout of 33, 38, 45, 82 monastery remains in Yungang 28, 30, 33–4, 36–8, 189–90; anterooms 36; brick beds 34, 37; brick walls 30; courtyards 34, 37; flues 34, 37; iron casting remains 34; kitchen stoves 34, 37; residential cells 33–4, 37, 104; stūpa base 34, 37–8; suite cells 34, 37; tiles 29–31, 34 monastic comptroller see shamentong Mongolia 23 mono-scene narratives 45, 114–15, 128n20, 143, 145 mortuary art and architecture 56, 73 Mount Grdhrakuta (Vulture Peak) 25 Mount Sumeru 25, 65, 80, 105n8 Mount Wuzhou 1–3, 17n52, 22, 25–6, 62, 68, 172 mudra-mantra-mandala 89 multi-armed deities 166 mural paintings 40, 55, 73n11, 178, 180 musical deities 80, 89, 111, 112, 118, 129n41 musical instruments 40, 80, 112, 129n41; hengdi 40, 197; konghou 40, 197; lutes 118; paixiao 40, 198; pipa 40, 112, 198; yaogu 40, 200 nadanas 116 Naga (water spirit) brothers, Kala and Akala 148 Nagahiro Toshio 8, 15n32, 63, 84, 87, 103; see also Mizuno Seiichi and Nagahiro Toshio Naga Kings 89 Nagarjuna defeats Brahmana in a debate 46 Nagas Bathing the Buddha 143, 147–8 nan (questions) 120 Nanda 95, 130n63, 150 Nanjing (Nanking) 175, 178; see also Moling Nanking 102; see also Nanjing

234

Index

Nanqishu 198, 204 Nanshi 198, 203 Naqsh-i Rustam 20 narratives 36, 45–6, 52n89, 69, 71, 90, 94–5, 101, 110–26, 129n30, 132, 139, 143–54, 158, 167, 169, 173, 183n9; archery competition 143, 149–50; ascent to and descent from Tusita Heaven 40, 95, 98, 141, 143, 146, 171; ascent to Tavatimsa 143, 150, 169, 183n11; avadanas 116, 129n30, 129n40; Banishing of the Demons 112, 115, 128n21, 143, 148, 169, 173, 185n32, 186n48; birth of Buddha 101, 115, 143, 146–8, 185n33; celestial maidens dedicating canopies 46, 95, 130n63; conflated mode 112, 115–16; consecutive scenes 46, 175; continuous mode 45–6, 112, 115–16, 128n19–20, 144–5; Conversion of the Three Kasyapas of Uruvilva 45, 112, 127n1, 143, 148, 169, 185n32; didactic function 115; Dunhuang paintings 117; eight celestials taught by Buddha 95, 130n63; as ethical guides 117; Farewell to Kanthaka 143, 148, 184n22, 185n31; Fire Dragon’s Imprisonment 112, 115; first meditation 143, 149, 168, 185n34; First Sermon 46, 101, 112, 143, 147, 149, 168–9; as form of instruction 115, 119; four divinities offering bowls to Buddha 112, 124, 127n5, 128n12, 128n21; giver of 114; Great Departure 45, 101, 132, 143, 145, 169, 173, 184n21–2, 184n27; Gridhrakuta Hill 151, 153–4, 169, 185n39; Hariti losing her son, Pingala 46, 69, 95, 130n63; horizontal format 144; linear 144; linked scenes 144; Mahaprabhasa and elephant trainer 95, 130n63; Mara’s Assault 112, 115, 128n21, 143, 148, 170, 173, 185n32, 186n48; modes 114–16, 126, 128n20; mono-scene 45, 114–16, 128n20, 143, 145; nagas bathing the Buddha 143, 147–8; nidanas 46, 69, 117, 129n30, 143; offering of a meal by Sudatta’s wife 46, 95, 130n63; Parinirvana 143, 147, 151, 169; pictorials 114–24, 123, 146;

proselytizing mass laity 115–26, 126, 146; Rahula 95, 130n63, 151, 153, 169, 185n39; receiver of 114; riding an elephant 95, 130n63, 132, 143, 145–7, 149, 169, 184n21–2, 184n27; Seven Steps 147; successive scenes 45–6, 144; Svastika bird 95, 130n63; synoptic mode 115, 128n22; tossing the elephant 143, 150, 165, 185n36; viewers’ response to 114–16; woman who hated desire and become a nun 69, 95, 130n63; see also jataka narratives naturalism 59, 65, 176 nature of the mountain cliff see jiu’er juezhi niches 1, 4, 11, 14n23, 44, 45, 47, 57, 58, 64, 79, 80–1, 82–3, 90, 91, 94, 98, 100, 102, 103, 112–13, 114–15, 122–3, 132–42, 149, 152–3, 156–73, 190, 192–3; canopied 139, 158, 161; caves without niches 137, 141; compartments 44, 139, 149; curtained 90, 168, 171, 193; folding screen front 132, 139, 167–8, 170–2, 194; pointed-arch 81, 91, 113, 193; roofed 44, 100, 112, 139; storied 45, 80, 133–5, 140–2, 158, 166, 167–8, 171, 172, 192–3; trabeated 91, 94, 97, 112, 132, 134, 137, 139, 149, 163, 167–8, 170–2, 193–4 nidana narratives 46, 69, 117, 129n30, 143 Niepan jing 198, 202 Nirgrantha-putras redeemed by Buddha in the fire Samadhi 46, 95, 130n63 nirvana 21, 70, 76n88, 77n91, 115, 121, 125, 143, 152–3 nirvana scene 46 Nirvana Sūtra 21 Noble Truths of Buddhism 118 nomads 54–5, 73n12 north China caves p133 Northern Dynasties ix, 4, 18n64, 23, 55, 112, 118, 152, 191 Northern Liang 21, 43, 43, 59, 68, 124 Northern Park 49n28, 86 Northern Qi dynasty ix, 176, 179–81 Northern Song 180–1 Northern Wei ix, 1, 4, 7, 11, 21–3, 25, 27, 29–30, 31–2, 34–9, 40, 43, 53, 57–8, 59–60, 65, 72, 88, 96, 124, 132, 174–5, 176, 180–1; era 31, 36,

Index 42, 62, 83, 85; five founding emperors 53, 57, 64–6, 172; monasteries 29–31, 33–6, 62, 189; rulers 21–2, 35, 48, 53, 64, 69, 110, 189 Northern Yan 40 North Terrace see Beitai caves nunnery 26, 27 nuns 3, 26; dedicative inscriptions by 26; see also Bhikkhunis Nüshizhen tu (Admonitions to the Court Ladies) 178, 180 octagonal stūpa base 34 offering of a meal by Sudatta’s wife 46, 95, 130n63 Offering of Food by the Merchants 45, 113 Ōmura Seigai 4–5, 9, 64 one good deed calls for another precept 115 One Niche on the North and Storied Niches on the Side Walls 133, 134, 140, 167, 171, 172, 192, 194 open mode garment 42–3, 72 oral presentations in Buddhist sanctuaries 111, 115, 117, 119, 126 orthodox canon 111, 121 Otsuka Nobuo 89, 198 Outing on the Elephant 132; see also elephants, Buddha riding Outlining the Methods of Contemplation see Siwei lüeyao fa pagodas 6, 43, 62, 171; caves 5 and 6 p100; caves 9 and 10 pp12, 83 paired caves 4, 12, 44–5, 95, 96–7, 98, 103, 132, 173, 189 paixiao 40, 198 pancasila see Buddhism, five precepts of Pao-chen Chen 144 parasol 145 Parinirvana narrative 143, 147, 151, 169 passageways (passages) 36, 39, 45, 93–4, 100, 107n49, 110–11, 125; connecting anterooms 45, 95 patronage 4, 7, 9, 12, 69, 85, 87, 96, 132, 157, 170–2, 190; cave 13 pp11, 80, 87; Northern Wei imperial family 1, 34, 69, 72, 80, 189; Qian’er Qingshi 102; social status of patrons 172; Wenming (Lady Feng) 38; Xianwen 87, 95; Xianwen’s allies 85

235

Pengshan 175 pensive Bodhisattvas 141–3, 149 pensive figure 91 performative explanatory activities 110, 112, 119 perpendicular plane 83, 88, 94, 100 Persian Achaemenid Empire 20 pianshan (patch) 42–3, 52n83, 57–8, 198 pianxiuyi 42 pillars 39, 44, 90, 111, 139; cave 11 pp80–1, 83; cave 12 pp80, 90, 105n7, 105n11, 106n34; caves 5 and 6 pp100–1, 147; caves 7 and 8 p90; caves 9 and 10 pp83, 93, 105n14; see also stūpa pillars Pingcheng 2–3, 9–10, 21–3, 25, 38, 40, 56, 59–60, 72, 88, 95, 104, 118, 124, 132, 171, 174, 191, 198; archaeological excavations near 40–1, 48, 54, 190; configuration of the monasteries 38, 45; era 32, 38, 85; monastery remains 38; palaces and other buildings 32, 35 pingqi 71, 140, 183n7, 198; see also coffered ceilings pingqi zaojing 140, 183n7, 198 Pingwen, Emperor 64, 75n44, 198 pipa 40, 112, 198 please sing (chang jiang lai) 120 Plebeian Buddhism 121–2, 129n27 plowmen’s village 149 power struggle between Xianwen and Wenming 85–7, 89 Prabhutaratna 45, 70, 94, 120, 134–5, 140–3, 153, 171–2, 183n5, 193; see also Many-Jeweled Buddha pradaksina see circumambulation Prince Kang of Jingzhao 86, 197 proselytizing mass laity: TWBLJ 3, 111; visual narratives 114–24, 126, 146 protection spells (Dharaṇi) 89 Pure Land faith 37, 126 Putai caves 43, 198 putong (ordinary) 21, 198 Puyao jing 46, 198; see also Lalitavistara Qian’er Qingshi (Wang Yu) 7, 37, 95–6, 102–3, 198; caves 1 and 2 p101–2, 189; patronage 102 qidaoren (black monk) 119, 198 Qin dynasty ix, 144

236

Index

Qing dynasty x, 4, 6, 59, 96–7, 107n50, 113 qingtan (pure conversation) 46 Qingzhou 177, 181 Qixiashan caves 175, 198 Qiunabatuoluo (Gunabhadra) 183n10, 198 rafters 6, 44, 139; holes for 7, 16n44, 31, 33, 49n43 Rahula 57; Buddha meeting 95, 130n63, 151, 153, 169; jataka 151, 153, 185n39 Ramses the Great 20 receiver of the narrative 114 Record of Excavating a Cave Temple 66 Rei see Yoshimura Rei reincarnation 151–2 religious and secular, reciprocal influence 10, 38, 40, 73, 190 ren (humans) 122, 126 rentian cult 126 ren tian jiao (human-heaven teaching) 121, 129n27, 198; see also Plebeian Buddhism roads: ancient ruts 23–4, 35; between Pingcheng and Shengle 23–6, 35, 190 robes: Antarvasaka 52n79, 195; baoyi bodai 43, 47, 59, 63, 103, 155, 173–6, 179, 182; celestial 44, 102, 109n79, 156, 159, 167, 171, 194; changfu 52n79, 195; Chinese style garments 43, 100, 100, 173; cord-like folds 47, 63, 155; fafu 52n79, 196; flattened pattern 47, 63, 155, 158, 160, 163, 167; imperial garments 85; inner 42–3, 52n79, 57, 160; Samghati 52n79, 198; step-like folds 44, 47, 59, 63, 100, 155, 163; Three Garments 42, 52n79; tongjian (both shoulders covered) 102, 175; traditional Chinese 47, 104; wet clothes style 72 rock-cut cave temples 20–1, 27, 37, 98, 133, 170, 172–3, 189; function 11, 110–11, 116; layout 20; origins 20 roof eaves 30–2, 44, 50n49, 105n7 Śākyamuni 45, 47, 53, 64, 70, 71, 88, 94, 108n68–9, 120, 134–5, 140–3, 152–3, 166, 171–2, 183n5, 193–4 Śākyamuni and Maitreya 108n68–9, 141, 166, 171–2, 194

Śākyamuni and Prabhutaratna 45, 70, 94, 120, 134–5, 140–3, 153, 171–2, 183n5, 193–4 Sakya Tathāgata 72 Samādhi Sūtra on the Pure Land 37; see also Jingtu sanmei jing Samarkand 181 Samghapala 77n92, 198 Samghati 52n79, 198 samsara 115, 122, 126 sanbi sankan 47, 132, 134, 158–60, 163, 171–2, 198; see also three niches on three walls sangha 42 Sangha-household economic system 71, 77n98, 122, 128n12 Sanqian daqian shijie (trisahsramahasasralokadhatu) 77n99, 198 Sarnath 149 Scripture on Concentration in Sitting Meditation see Zuochan sanmei jing Scripture on the Esoteric Essential Methods of Meditation see Chan miyao fa jing scroll paintings 45–6, 144 Seal of Ancient and Modern Sūtra Translation see Gujin yijing tuji second phase 6, 8, 31, 39, 40, 43, 45, 47, 63, 79, 88–9, 116, 171, 173, 182, 189 second-phase caves 6, 8, 44, 45, 47, 69, 78–9, 90, 105n2, 105n19, 124, 132, 139–40, 155, 171–2, 189; chronological sequence 8, 11–12, 78–9, 90–103; inscriptions 81, 116; liturgical function 12, 39, 45, 48, 104, 110–11, 116, 126; narratives 69; patronage 11, 69; visual representations 69 second transformation in the evolution of Chinese Buddhist sculpture 181 secular and religious, reciprocal influence 10, 38, 40, 73, 190 secular material culture 10, 73, 190 secular tomb art and architecture 48 Sekinō Tadashi 5, 64 Sengfangku 199 sengren changdao (the clergy who perform vernacular sūtra singing) 116, 119–21, 126, 195 Seng Shi Lue 119, 199 Sengxian 68, 199

Index Sengyi 52n79, 68, 199 Sengyou of the Liang 95 Sengzhihu 199 seven bay wide span 31 seven Buddhas of the Past 71, 89, 112 Seven Sages of the Bamboo Grove and Rong Qiqi 178 seven steps 147 seven-story reliquary 88 Shale (Kashiga) 38, 199 Shaling tomb mural paintings 40, 73n11 shamentong (monastic comptroller) 22, 53, 61, 172, 199 Shandong Province 8, 77n98, 181 Shan’xi 173–4 Shanxi 1, 5, 8, 51n71, 180, 189, 191; minor caves p12, 173, 187n54, 191 Shanxi Archaeological Institute 32, 33 Shengle 23, 35, 199 Shenrui era 9, 59–60, 108n59, 199 Shigudong 96, 199 Shijiazhai 179 shili (teacher) 68, 199 Shilihe (Shili River) 1, 199; see also Wuzhou River Shina bijutsushi chōsō hen (A History of Chinese Art: Sculpture Volume) 4 Shitanghui cave 187n54, 199 Shixian 23, 60–1, 68, 74n32, 126, 199 Shizong, Emperor 66, 173; see also Xuanwu Shuijing zhu 2–4, 6, 26, 37, 199 Shuntianfu zhi 13n11, 199 Shuofu 188n83, 199 Shuopingfu zhi (Gazetteer of Shuoping Prefecture) 6, 199 Sichuan 174–5 Sifenlü shanbu suiji jiemo shuzhengyuanji (Commentary on the revised monastic procedures of the four-part Vinaya) 42, 52n81, 199 Sifenlü xingshi chao zichi ji (A commentary on the Dharmaguputaka Vinaya) 43, 199 Sila-conscious Liangzhou monks 126 silas 126 Sima Jinlong 40, 51n74, 179, 199 singing and leading preachers (changdaoshi) 117 single stūpa monastery configuration 38 sinicization 6, 18n64, 43, 44, 47, 51n76, 103, 144, 173–4, 176–7, 182, 190 Sirén, Osvald 8

237

Siwei lüeyao fa (Outlining the Methods of Contemplation) 25, 199 Six Dynasties era 117, 119 Six Laws 180 six paramitas 152 Sixteen Kingdoms era 21, 23, 39 Siyuan monastery 38, 68, 199 Sizhou 175 social status of patrons 172 Sogdia 40; dance 40; merchants 40; musicians 40 Song Dexing 42–3, 199 Song dynasty x, 16n44, 21, 102, 175, 183n7 Song Shaozu 40, 199 Songshu (The Book of Song) 178, 199 sonorous voice (sheng) 117, 199 Soper, Alexander C. 5, 8–9, 18n64, 18n71, 64, 101, 107n45, 107n55 Southern Dynasties ix, 113, 117 southern influence 18n64, 41, 175–6, 182 spare style 180 spatial conception, narrative 144 spatial relationships of caves p79, 156 Spink, Walter 40 śramanas 21, 26, 38, 53, 60–1, 65, 68, 73n5, 74n32, 88, 120, 124, 126 Sravasti 152 state of the field 12 Steinhardt, Nancy 9 steles 2, 5, 10, 13n11, 14n23, 59, 91, 96, 102, 107n47, 174, 179, 183n8; see also Jin stele inscription step-like folds 44, 47, 59, 63, 100, 155, 163; flattened pattern 47, 63, 155, 158, 160, 163, 167 stone chambers 37, 190 stone monasteries 3, 21, 26, 50n43 stone reliquary 89 stone slab 26, 27, 58 Storied Niches on Three Walls 133, 135, 141, 158, 168, 171, 192 story of the Svastika bird 95, 130n63 story of the woman who hated desire and become a nun 69, 95, 130n63 stratum: excavations 29–30, 35; rock 36, 67, 98, 170 stūpa caves 23, 26, 39, 45; cave 6 pp46, 100, 102; cave 11 pp45, 80–1, 83, 106n34; cave 39 pp133, 165–6, 172; caves 7 and 8 pp90; caves 9 and 10 pp120–1, 98–9

238

Index

stūpa pillars 9, 39, 80, 90, 98–100, 101–2, 105n14, 106n34, 111, 147, 171; cave 6 pp100–1, 147; cave 11 pp80, 82; cave 39 p170; caves 1 and 2 pp99–100, 101–2; function 111; see also stūpa caves stūpas 9, 21, 38, 45, 60, 110, 125, 153; courtyards 34, 36–8; Siyuan monastery 38; Yungang monastery 33–4, 37, 49n43 style 3, 9–10, 12, 15n30, 15n32, 17n55, 18n64, 41, 42, 44, 50n43, 63, 67, 72, 83, 98–101, 132–3, 157– 8, 162, 166–8, 173–81, 189, 191, 193, 194; iconographic 3–6, 8–10, 14n20, 27, 47, 84, 94, 154–7, 166, 170–2; transformation 41, 51n76, 101, 103–4, 173–4, 177 Su Bai 4, 6–8, 16n44, 16n48, 18n64, 23, 26, 40, 56, 61–4, 78, 84, 94, 96, 103, 105n2, 105n11, 108n65, 173 successive narrative scenes 45–6, 144 Sudatta 46, 95, 130n63 Suddhodhana 149 Sudhana jataka 144 Sui dynasty ix, 66, 126 Suishu (The Book of Sui) 174 sujiang (vernacular oral presentation) 111, 118–19, 120, 126, 199 sujiangshi (vernacular oral presenters) 114 Sullivan, Michael 144 Sumadhi, a Brahmin youth 151 Sumeru, Mount 25, 65, 80, 105n8 sūtra lectures see jiangjing sūtra lecture texts 120 Sūtra of the Great Auspicious Significance of Magic Spell see Dajiyi shenzhou jing Sūtra of Trapusa and Bhallika 3, 111, 114; see also Tiwei Boli Jing (TWBLJ) sūtras 3, 6–7, 37, 46–7, 49n26, 52n89, 61–2, 67, 70, 76n86, 106n40, 117, 120–1, 125–6, 172, 182n1; Amitabha 120; dharaṇi 89; fabricated 3, 111, 121; Lotus Sūtra 47, 70, 116, 120, 123, 143, 171–2, 183n5; Maitreya 39; Nirvana 21; Tiwei Boli jing (TWBLJ) 3, 111, 121–6, 131n71, 200; Trapusa and Bhallika 3, 111, 113–14; Vimalakirti 120, 172; Xianyu jing (the Sūtra

of the Wise and the Foolish) 152, 224n45 Syama jataka 45–6, 115, 128n19, 143 symbols of imperial rulers 53, 80 synoptic narrative mode 115, 128n22 Ta E 108n67, 199 Tai’an era 38, 63, 199; images 63 Taihe era 6–7, 14n20, 17n52, 27, 38, 40, 44, 51n73, 58, 81, 83, 83–5, 90, 95, 94–6, 98, 102–3, 109n74, 109n79, 118, 120, 156–7, 158, 174, 179 Taipingzhenjun era 41, 63, 71, 199 Taiwu, Emperor (Tuoba Tao) ix, 21–2, 25, 38, 40, 64, 66, 71, 75n44, 172 Taiyan era 38, 40, 59, 199 Taizu, Emperor 53, 59, 62, 65, 73n5; see also Daowu Takahashi Hisao 107n41, 199 talent (cai) 117 Tandu 118, 199 Tang dynasty ix, 1, 7, 26, 31, 59, 62, 75n66, 117, 119, 179 Tanjing 3, 123, 183n11, 199 Tanmei 14n23, 26, 199 Tantric Dharaṇi text 89 Tanyao 2–3, 6–7, 11, 22–3, 36–7, 46, 50n43, 53, 56, 60–1, 67–71, 74n16, 76n86, 77n92, 84, 89, 94–5, 94, 120–4, 126, 130n63, 151, 172, 199 Tanyao caves p6, 9, 12, 22–3, 28–9, 39, 40, 44, 48, 50n43, 53–67, 72, 79, 84, 88, 106n40, 154; architecture 12, 56; asymmetry 36; colossal images 11–12, 23, 43, 54, 64, 72, 84, 100, 110, 177; configuration 36, 50n43, 65–7; dating 6, 9, 59–67, 75n49, 106n33; excavations in front of 28–9, 33; as family shrine 36, 54, 65, 72, 110, 190; functions of 12, 36, 110, 190; see also caves 16 to 20 tanyou robes 42, 57–8, 102 Tao Zongyi 188n83, 199 Tathāgata incarnate 22, 53–4, 57, 58–9, 64–5, 69, 72, 73n5, 76n88, 110, 173 Tavatimsa, Buddha’s ascent to 143, 150, 183n11; cave 38 pp169–70 Temple of the Heavenly Palace see Tiangong Temple temptation 148 ten good deeds 122

Index Ten Great Disciples of Śākyamuni 58, 72 tents: baizizhang 73n12, 195; clay model 40, 54–6; half-dome shaped 54; murals 55, 73n11; nomads 55, 73n12; structure of caves 73 ten virtues 126 third phase 4, 43, 47–8, 103, 132–82, 183n5, 184n21, 190; iconographic composition 132–3, 140–4, 156, 166–8, 171 third-phase caves 6, 8, 11–12, 132–82, 192–3; architectural structure 47, 132–4, 158; chronological sequence 12, 156–70, 189, 193; subject matter 47, 132–3, 153, 143, 158, 162, 163, 165–6, 168–9, 172–3 thousand Buddhas 43, 45, 50n43, 57, 58, 72, 81, 87, 90, 133, 138, 166, 167, 192 three Buddhas 11, 38, 43, 45, 69, 72, 89, 103, 113, 141–3, 153, 166, 171, 172, 194 three Buddhas in three kalpas 69, 72–3 three daughters of Mara (Loving Sex, Constant Pleasure, and Great Gratification) 631 Three Garments 42, 52n79 three kalpas 69, 70–1 three niches on three walls 47, 132–4, 140, 158, 160, 166–7, 171, 192, 194; see also sanbi sankan Three Refuges (sangui) 120 Three Treasures 153 tian (gods) 122, 126 Tian’an era 52n83, 86, 88 Tianci 59, 199 Tiangong Temple (Heavenly Palace) 16n40, 16n44, 26, 37, 51n57, 88, 96–7, 98, 108n68, 199 tianhua 183n7, 199 Tianxing era 25, 59, 174, 199 tiles 28–31, 33, 34–6, 50n43, 57; with characters 30–1, 34; green glazed 30, 34; with lotus patterns 30, 34 Tiwei (Trapusa) 121 Tiwei and Boli, two merchant brothers 121; see also Trapusa and Bhallika Tiwei Boli jing (TWBLJ) 3, 111, 121–6, 131n71, 200; proselytizing mass laity 3, 111; see also Sūtra of Trapusa and Bhallika Ti-wei cult 3, 123 Tokiwa Daijō 5, 14n30, 64, 75n44

239

tomb murals 40, 73n11, 178 tombs 10, 20, 40, 48, 51n74, 55–6, 73n11, 144, 175, 178–80, 188n79, 190 tong (answers) 120 tongjian robes (both shoulders covered) 102, 175 Tongle Temple 16n44, 26, 37, 50n55, 51n57, 62, 69, 96, 200 Tongzi Temple 16n40, 16n44, 51n57, 96, 200 tossing the elephant 143, 150, 165, 185n36 traditional Chinese robes 47, 104 transcendental Buddha (fashen) 120 transfer of the capital to Luoyang 2, 35, 63, 82, 85, 103, 108n63, 132, 172, 174–6, 182, 189 translation centers 104 transmigration 115; see also samsara Trapusa and Bhallika 3, 111, 113–14, 122, 128n12 triangular ornaments 44, 139 Tsukamoto Zenryu 64, 68 Tuhua jianwen zhi 181 Tulufan 49n28, 200 Tuoba Gui see Daowu Tuoba Huang see Jingmu Tuoba Jun see Wencheng Tuoba prince 96 Tuoba Si see Mingyuan Tuoba Tao see Taiwu Turfan 25, 224n45 Tushita Heaven 40, 97; see also Tusita Heaven Tusita Heaven: ascent to and descent from 113, 141, 143, 146, 171; gods 152; see also Tushita Heaven Tuyuk caves 25, 200 TWBLJ 111, 121–6, 131n71; see also Tiwei Boli Jing twin Buddhas (Śākyamuni and Prabhutaratni) 45, 47, 160, 169 two brothers who became monks 46, 113, 130n63 two niches on three walls 133, 137, 142, 166 two pensive Bodhisattvas 141–3 two sages (ersheng) 95, 102, 173 typology, archaeological 7–8, 25, 43; methodology of 4 uposatha 126 upper terrace landform 25

240

Index

usnisa 157 Uttarasanga 52n79, 200 Uzbekistan 181 vahara (residential) caves 62 Vanderstappen, Harrie 5, 17n55, 108n63 vaulted passages 36, 39, 93, 110–11, 125 vernacular oral presentation (sujiang) 111, 115, 119, 126, 126; see also changdao vernacular sūtra singing and preaching by clergy (sengren changdao) 116–18, 126, 195 viewers’ response to narratives 114–16 Vignato, Giuseppe 9, 118 vihāra caves 10, 27, 133, 224n48 Vimalakirti 45, 46, 100, 120, 143, 154, 166–7, 172, 178, 180 Vimalakirti and Manjusri 45, 46, 100, 120, 143, 154, 166–7, 172 Vimalakirti Sūtra 120, 172 vinaya 42–3, 68, 118 Virtue Storehouse 70, 76n88 visual narratives see narratives, pictorials Vitarka mudra 113 Vulture Peak 25, 65; see also Mount Grdhrakuta vultures 153, 185n34, 224n48 Wanfosi 200 Wanfo Temple 179 Wang Qingshi see Qian’er Qingshi Wang Yu see Qian’er Qingshi Wan Shen 41, 200 wealth and longevity see fugui wansui Wei era 177 Weishu 1–3, 6, 10, 25, 38, 49n28, 53, 59–62, 74n34, 77n95, 86–8, 98, 106n27, 106n30, 124, 173, 200; “A Treatise on Buddhism and Daoism” chapter 2, 21 Weizi caves 43, 200 Wencheng, Emperor (Tuoba Jun) ix, 2, 9, 22, 26, 37, 53–4, 63, 64–6, 68, 70, 85, 88, 96, 107n55, 172; black pebbles on a stone Buddha 22, 53; era 88 Wenchengdi see Wencheng Wenming, Empress Dowager (Lady Feng) 9, 38, 66, 85, 95, 97, 98–9,

102–3, 173; patronage 38, 98; political affairs of 86, 106n23, 106n27; power struggle with Xianwen 85–7, 89–90; two sages 95, 102, 173 western-end caves 4, 6, 8, 25, 158, 170–1, 174 western hill, Northern Park 86 Western Regions 4, 38–9, 42, 180 Western Wei dynasty ix, 180 Western Zhou era 65 wet clothes style 72 Wheel of Life 129n40, 151 Williams, Joanna 46 woman who hated desire and became a nun 69, 113–14, 130n63 Wong, Dorothy 10, 98 wooden structures 32, 44, 73n11, 80, 83, 102, 132; caves 9 and 10 pp31, 33 worshippers, images of 34, 80, 85, 87, 105n19, 107n49, 156; lower legs only 54, 87 wrestling contest 150 Wu Daozi 179, 181 Wudi, Emperor 176 wudianding (hip roof) 50n49, 200 Wuguantun caves 27, 200 Wuhua caves see Wuhuadong Wuhuadong (caves 9 to 13) 28, 33, 36, 62, 82 Wuhuan people 55 Wu Hung 144, 184n20 wu jie jing see Tiwei Boli Jing Wuping era 180 wushen day 86, 109n74, 200 Wu style 179 Wuwei see Liangzhou Wuzhou Fortress 25, 60 Wuzhou Mountain see Mount Wuzhou Wuzhou River 1, 26, 37, 49n43, 62 Wuzhoushan cave temple 99, 103, 109n74, 200 Wuzhoushan shikusi (Yungang) 86, 88 Xianbei people 54–6, 174 Xiang Da 120 Xiangtangshan caves 5, 177, 182 Xianwen, Emperor ix, 9, 11, 17n52, 49n28, 63, 68, 85–9, 103, 106n27; era 64, 85, 88, 95, 106n34, 107n55, 189; imperial garments 85; patronage of 87; patronage of allies 85; power struggle with Wenming 85–7, 89

Index Xianwendi see Xianwen Xianzu see Xianwen Xianyu jing (the Sūtra of the Wise and the Foolish) 152, 186n45 Xiaomingdi 174 Xiaowen, Emperor (r. 471–499) ix, 9, 17n52, 26, 34, 37–8, 64, 66, 68, 85–7, 90, 95–7, 98–9, 102, 107n55, 118, 173, 174, 182, 189; two sages 95, 102, 173; see also Gaozu Xiaowendi see Xiaowen Xiaowen era 36, 90, 94, 95–6, 99, 103 Xiaowu, Emperor ix, 59 Xiaoyan 175 Xie He 178, 180, 200 Xijing zhi 13n11, 200 Xindu 85 Xing’an era 7, 37, 59, 200 Xingguang era 40, 53, 200 Xinjiang 25, 36, 38–9, 56, 110; see also Turfan xinyou day 98, 200 Xiong Mengxiang 13n11, 200 Xiongnu 25 Xishanqiao 178, 200 xiugu qingxiang (graceful and refined) images 47, 176 Xuangao 3, 23, 68, 200 Xuanwu, Emperor ix, 62, 173–4; see also Shizong Xuezhuang 188n79, 200 Xu gaoseng zhuan (Further Biographies of Eminent Monks) 2–3, 27, 37, 62, 79, 132 Xu Song 188n84, 200 Xu Xianxiu 180, 200 Xuzhou eminent monks 118 Yanbei shiyuan tombs 40–1, 55, 200 Yanchang era 137, 155, 161, 163, 166–7, 170–1, 194, 200 Yang Xuanzhi 176 Yangtoushan caves 187n54, 200 Yangtze 175 Yanxing era 85, 87, 94, 95, 130n63, 179, 200 Yan Wenru 6, 60–1 yaogu 40, 200 Yao He 119 Yasagupta 38 Yijing 130n48, 200 yihui 121 Yihun 85–6, 200

241

yishe 14n22, 129n27, 200 Yiweijing 130n65, 200 yiyi 4–5, 14n22, 116, 121–3, 126, 129n27 Yongming era 174, 200 Yongning Temple 88 Yongxing era 26 Yoshimura Rei 6, 63, 67, 109n79 youths born by spontaneous transformation see aupapadukas yuan (cloister) 21, 200 Yuanguang era 25, 200 Yuanzhao 202 Yungang: archaeological excavations above caves 7, 10–11, 23, 25, 27, 28, 29–31, 33, 36–7, 49n43, 62, 73, 104, 110, 189–90; archaeological excavations in front of caves 14n23, 26, 28–30, 31–2, 50n49, 57, 64–5, 83, 105n11, 105n14; architectural structure 3–4, 6, 8–10, 12, 38–9, 40, 43, 56, 58, 63, 72, 100, 104, 106n34, 111, 118–19, 126, 133–40, 158, 176, 190, 193–4; as Buddhist Mecca 132; colossal images 11–12, 22–3, 39, 43, 43, 47, 53–4, 64, 68, 70, 72, 80, 81, 84, 88, 97, 100, 103, 110, 172, 177, 189, 191; components of 37, 48, 110, 189; dating 3–4, 6–9, 11, 59–67, 75n49, 78–90, 93–101, 103, 106n33, 107n44, 107n56, 108n59, 108n63, 189; function of caves 10–12, 21, 25, 28, 33, 36–7, 39, 43, 48, 100, 104, 110–12, 116, 122–4, 126, 190, 186n54; geographical environment 1, 3, 25–7; inscriptions 2–5, 7, 9–10, 12, 14n20, 14n23, 16n48, 18n65, 25–7, 58, 81–2, 84, 97, 116, 123, 131n76, 132, 137, 156, 161–2, 163, 170, 174, 190; patronage 1, 4, 7, 9–12, 34, 38, 66, 69, 72, 80, 85, 87, 96, 102, 132, 157, 170–2, 189–90 Yungang bu 1, 200; see also Yungang Fortress Yungang Fortress 1, 30, 200; see also Yungang bu Yungang moshi 16n48, 189, 200; see also Yungang style Yungang style (Yungang moshi) 4, 12, 50n43, 173–4, 189, 191, 200 Yunzhongtu 88, 200

242

Index

Zabaozang jing (Sūtra of the Miscellaneous Treasures) 69, 94–5, 121, 123, 130n63, 153, 224n47, 201 Zanning 21, 119 zaoshi kaishan yinyan jiego 3 Zengxiu jiaoyuan qinggui (Expanded rule for teachings monasteries) 42, 201 zhang 50n52, 59 Zhang Gui 39, 201 Zhang Huaiguan 174, 182, 201 Zhang Sengyou 18n64, 41, 140n63, 176–7, 179–81, 201 Zhang style 179 Zhang Yanyuan 178–80

Zhang Yong image 42–3, 52n83, 194, 201 Zhao Mu system 65–7 Zhengguang era 9, 66, 132, 170–1, 201 Zhengshi era 137, 161, 163, 166, 171, 193–4, 201 Zhenguan era 31, 201 Zhenguo cave temple 16n40, 16n44, 51n57, 96, 201 Zhongshan 60 Zhou Fang 179 Zhou style 179 Zhu Yi 175, 201 Zuochan sanmei jing (The Scripture on Concentration in Sitting Meditation) 23, 201