《发现人文》（第九章）翻译项目报告.pdf

'一、■．白＞体感美六賓Ｉ錐一＾麵译专化学位巧女论文．？．．－－．？，？—。－疋《度｜｜１人乂》（第先章；．古：苗／苗４Ｎ々巧ｆｌ栽＊藏巧＇护‘？巧营妮？．．－—？，＞一一．，、．．．Ｖ－猜春？巧，李海峰曲教巧＇■－－专化名巧１？译巧女巧巧巧巧Ｉ巧巧笔译论义插交Ｗ角，２０１６年４月论义答轉时闻：洗１８年６月论义编聲，２０１的３７？－／．‘皆 ＳｉｃｈｕａｎＩｎｔｅｒｎａｔｉｏｎａｌＳｔｕｄｉｅｓＵｎｉｖｅｒｓｉｔｙ人Ｔｒａ打ｓｌａｔｉｏｎＰｒｏｅｃｔ民ｅｏｒｔｏｆＤｉｓｃｏｖｅｒｉ打ｔｈｅＨｕｍａｎｉｔｉｅｓ：ｊｐｇＥｎｃｏｕｎｔｅｒａｎｄＣｏｎｆｒｏｎ化ｔｉｏ打Ｃｈａ化ｒＮｉｎｅ（ｐ）ｂｙＴａｏＬｅｉｎ；Ａ化ｅｓｉｓｓｕｂｍｉｔｔｅｄ＜：〇化ｅＧｒａｄｕａ化Ｓｃｈｏｏｌｉｎａｒｔｉａｌｆｕｌ巧Ｈｍｅ打ｔｏｆｔｈｅｒｅｕｉｒｅｍｅｎｔｓｆｏｒｔｈｅｄｅｒｅｅｏｆｐｑｇＭａｓｔｅｒｏｆＴｒａｎｓｌａｔｉｏ打ａｎｄＩｎｔｅｒｐｒｅｔｉｎｇｕｎｄｅｒｔｈｅｓｕｐ化ｅｒｖｉｓｉｏｎｏｆＡｓｓｏｃｉａｌ：ｅＰｒｏｓｓｏｒＬｉＨａｉｆｔｎｇＣｈｏｎｉｎＰ．Ｒ．ＣｈｉｎａｇＭｑｇ，ａ２０１６ｙ 《发现人文》（第九章）翻译报告摘要本文是一篇翻译项目报告。本翻译报告原文选自《发现人文》（DiscoveringtheHumanities）（第二版）的第九章“邂逅和冲突”（EncounterandConfrontation）。该书作者是亨利·M·塞尔（HenryM.Sayre），由培生教育于2012年出版。随着经济的迅猛发展，多数中国人开始关注文化的重要性。这本书用记叙讲故事的手法向读者介绍人文，这是极其吸引人的。通过这本书，学生们对历史、建筑、音乐、绘画等领域将会有一个更生动的理解。由于笔者主要为中国学生翻译这本书，因此在处理长句复杂句的时候选择了意译，让句子读起来更为通顺、更具表现力。总的来说，笔者在翻译过程中采用了归化的翻译策略以及意译的翻译方法，以便中国读者可以更好地理解文章内容。至于翻译技巧，笔者主要运用了增译法等以传达原作者在原文中试图传达的意思。为了处理翻译上的困难，笔者还在翻译中应用了翻译目的论。目的论包括四个原则，即目的原则、连贯性原则、忠实原则（由弗米尔提出）和忠诚原则（由诺德提出）。本报告同时也列举了大量例子，以展示运用的翻译方法，并从中总结了经验、教训以及项目中所遇到的问题。望能为人文领域的书籍翻译做出点贡献。关键词：翻译目的论；复杂句；人文领域书籍翻译ii ATranslationProjectReportofDiscoveringtheHumanities:EncounterandConfrontation(ChapterNine)AbstractThispaperisatranslationprojectreportonDiscoveringtheHumanities(ChapterIX),writtenbyProfessorHenryM.SayreandpublishedbyPearsonEducationInc.in2012.Withtherapiddevelopmentofeconomy,peopleinChinastarttopaymoreattentiontotheimportanceofculture.Thisbookadoptsanarrativestorytellingapproachtointroducehumanities,whichisveryappealing.Thus,studentscanhavebetterunderstandingofhistory,architecture,music,paintingsandsoonthroughthisbook.SincethisbookistranslatedforChinesestudents,sothetranslatormainlyadoptsfreetranslationwhendealingwithlongandcomplexsentencestomakethesentencefluentandexpressive.Ingeneral,thetranslatortranslatesthisbookundertheguidanceofthestrategyofdomesticationtomakethetargettexteasierunderstoodbyChinesereaders.Asfortranslationskills,thetranslatormainlyusesskillslikeamplificationtomaintaintheoriginalmeaningtheauthorofthebookwantstoexpress.Toaddressthesedifficulties,thetranslatorappliesSkopostheoryinthecourseoftexttranslation.Thistheorycontainsfourrules,namelytheSkoposrule,thecoherencerule,thefidelityrule(putforwardbyVermeer)andtheloyaltyprinciple(putforwardbyNord).Thereportalsolistsabundantexamplesinwhichthesetranslationmethodsareemployedandsummarizesexperience,lessonsandproblemsoftheproject,whichisagoodexampleforbooktranslationinthefieldofhumanities.Keywords:Skopostheory;complexsentence;booktranslationinthefieldofhumanitiesiii AcknowledgementsFirstandforemost,Iwouldliketoexpressmysinceregratitudetomytutor,LiHaifeng,forhisinstructiveadviceandusefulsuggestionsonmythesis.Iamdeeplygratefulforhishelp,responsibility,thetimehespentandwhathedidduringmycompletionofthisthesis.Withouthispatienceandinstruction,Icannotfinishthisthesissowell.Second,IwanttoexpressmygratitudetotheteachersinSISU.Duringthesetwoyears,Ihavelearnedalotfromthemanditisreallyhardtoforgetthelifehere.Third,Iwanttoextendmyheartfeltthankstosomeofmyclassmates,whohelpmecollectsomeinformationanddiscusstheproblemsImetduringthistranslationpracticewithme.Finally,Iamindebtedtomyparentsfortheircontinuoussupportandencouragement.ToallofthemIgivemyearnestthanks.iv CONTENTS摘要............................................................................................................................iiAbstract.......................................................................................................................iiiAcknowledgements.....................................................................................................ivChapterOneAnIntroductiontotheTranslationProject.............................................11.1BackgroundoftheProject..................................................................................11.2SignificanceoftheProject…………………………………………….………..11.3StructureoftheReport.......................................................................................2ChapterTwoAnIntroductiontotheSourceText........................................................42.1AnIntroductiontotheAuthor............................................................................42.2AnIntroductiontotheBook...............................................................................42.3AnAnalysisoftheSourceText..........................................................................5ChapterThreeDifficultiesandApproaches.................................................................63.1Difficulties…………………………………..………………………………….63.2Preparations........................................................................................................63.3TheoryGuideline................................................................................................73.4TranslationMethods...........................................................................................83.4.1LiteralTranslationandFreeTranslation......................................................83.5TranslationSkills...............................................................................................113.5.1AmplificationandOmission......................................................................123.5.2Conversion.................................................................................................133.5.3CombinationandDivision.........................................................................153.6BriefSummary.................................................................................................17ChapterFourConclusion...........................................................................................184.1LessonsLearnedfromtheTranslationPractice...............................................184.2ProblemstoBeSolved.....................................................................................18AppendixISourcetext..............................................................................................19AppendixII中文译文..............................................................................................67References................................................................................................................103 ChapterOneAnIntroductiontotheTranslationProject1.1BackgroundoftheProjectWiththerapiddevelopmentofeconomy,peopleinChinastarttopaymoreattentiontotheimportanceofculture.Culturalexchangeissoimportant.WeChinesewanttolearnfromothersandbroadenourhorizons,andthisbookgivesusawaytoseethehistoryandbrilliantcultureofothercountriesinthepast.ThisbookDiscoveringtheHumanities(2ndEdition)isveryvaluable,fromwhichpeoplecanlearnthehistoryandenjoyarts.Inforeigncountries,thecourseofartisalsoanoptionalcourseinschool,fromwhichwecanseeitsimportance.Thisbookfocusesonthedescriptionofartsandtellsusthehistorybehindtheminastorytellingway.Besides,thisbookwaspublishedbyapublisherofhighrenown.Undertheguidanceofthetutor,thetranslatorhasspentoneyearincollectingtheinformationandtranslatingthisbookandaimedtoconveytheoriginalinformationtoChinesestudents.1.2SignificanceoftheProjectFirst,thebookitselfisinfluentialandvaluable.Thestyleofthebook,DiscoveringtheHumanities(2ndEdition),belongstothefieldofhumanitieswithabout350,000words.ItwaspublishedbyPearsonEducationInc.in2012.Publishedbysuchafamouspublisher,alargenumberofpeoplecangetbenefitsfromthisbook.GreatbookslikethisshouldbenotonlypopularinwesterncountriesbutalsoinChina,wherepeopleinChinacanknowmoreaboutthehistoryinadifferentwayofthinking.Second,itisdifferentfromotherhistoricalbooksandisveryappealing.Differentfromthetextbooksandotherbooksaboutcultureandhistorywhichare1 relativelyalittleboring,thisbooktellsthehistoryinastorytellingwaysothatChinesestudentscanthinkofthehistoryinadifferentwayandgainavividunderstandingofhistory,architecture,music,paintingsandsoonthroughthisbook.Theycanalsoknowhowculturesinfluenceoneanother,howideasexchangeandevolveandhowthehistorydevelops.Italsocultivatesone’sabilityofcriticalthinking,foritraisesseveralquestionsatthebeginningofeachchapterandstudentscanthinkaboutthequestionswhilereading.Exceptlearningthehistory,onecanalsoappreciateartsinthisbook,sincetherearesomanypicturesoffamouspaintings,statues,etc.Theninthchapterofthisbookdepictstheimpactofdevelopingglobalinteraction.That’swhytheauthorchosetotranslatethispart.Inthispart,itnotonlydepictsthewesternculturebutalsotheculturesofChinaandJapan,whicharetwoinfluentialculturesamongeasterncountries.TheauthorheldtheideathatChinesereadersmaybeveryinterestedinthiscountrynearby.Third,fewbooksofthisgenrehavebeentranslatedtothereaders.Infact,relativelyfewbooksofthisgenrehavebeentranslatedsothetranslatorchosetotranslatethisbookandhopethispapercanbevaluabletothosewhodoresearchaboutthistopic.1.3StructureoftheReportThemaincontentsofthistranslationprojectreportisasfollows:PartIisanintroductiontothetranslationproject,includingthebackgroundoftheproject,significanceoftheprojectandstructureoftheproject;PartIIisaboutthebackgroundofthesourcetext,includingtheintroductionoftheauthor,introductionofthebookandtheanalysisofthetext;PartIIIdepictsthedifficultiesmetduringthetranslationprocessandapproachesthetranslatoradopted,includingthesummaryofdifficultiesandintroductionofpreparations.ThetranslatorchoosesSkopostheoryasthetheoryguideline.Adoptedtranslationapproachesincludeliteraltranslationandfree2 translation,combination,division,etc.PartIVisaboutthelessonslearnedfromthistranslationpracticeandtheproblemsthatneedtobesolved.3 ChapterTwoAnIntroductiontotheSourceText2.1AnIntroductiontotheAuthorHenryM.Sayre,theauthorofthisbookisadistinguishedprofessorofarthistoryatOregonStateUniversity-CascadesCampusinBend,Oregon.HeearnedhisPh.D.inAmericanliteraturefromtheUniversityofWashington.What’smore,heisalsoproducerandcreatorofthe10-parttelevisionseriesandauthorofsevenbooks,includingAWorldofArt,TheVisualTextofWilliamCarlosWilliamsandanarthistorybookforchildren,CavePaintingstoPicasso.Mostofhisworksareabouthumanities,soheisanexpertinthisfield.HenrySayredevotedhislifetothestudyofthehumanities.Hehasalwayswantedtowriteabookthatpassesalongtheimportantandcompellingstoriesofthehumanities.2.2AnIntroductiontothebookThestyleofthebook,DiscoveringtheHumanities(2ndEdition),belongstothefieldofhumanitieswithabout350,000words.ItwaspublishedbyPearsonEducationInc.in2012.Thisbook,DiscoveringtheHumanities,addstheflexibilityinteachingtheHumanitiescourseandisappealingforstudentstolearnthecourse.ItcontinuestohelpstudentsgettoknowthehistorythroughHenrySayre’sappealingnarrativethathasmadethecomprehensivetextsuccessfulatschoolsacrosshiscountry.ThisbookhelpsstudentsmakeconnectionsacrossthehumanitiesbytyingtogethertheentireculturalexperiencethroughanarrativestorytellingapproachbecauseHenrybelievesthatstudentslearnbestbyrememberingstoriesratherthanmemorizingfacts.Thesecondeditionfocusesonapplyingconceptsandcultivatingcriticalthinkingskillsinthebeginningandattheendofeachchapter.4 2.3AnAnalysisoftheSourceText“TheSTcanbeanalyzedtodecideonfunctionalprioritiesofthetranslationstrategy”(Munday,2008:83)So,itisnecessarytoanalysisthetextfirst.Andthen“theintendedfunctionofthetranslationshouldbedecided(documentaryorinstrumental)”(Munday,2008:83)Throughanalyzingthesourcetext’slanguagecharacteristicsandarticlestyle,thefunctionofthisbookshouldbedocumentary.Then,afterreadingthewholetext,thetranslatorhasfoundthatmanypropernounsareinvolvedinthesourcetext.So,thetranslatorhastostudythecorrectexpressionsofthesepropernouns.Thus,whentranslatingthesourcetext,thewritershouldlookthemupinreferencebooks,encyclopedia,dictionariesandtheinternet.Thisbookismainlyforstudentswhoareinterestedinhumanities.SinceHenrySayrewantstoengagestudentswithhisstorytellingapproach,thisbookisveryreadableexceptforthetechnicalterms.Healsocitedmuchevidencetoarousereaders’interestinthestorybehindeachworkofart.Thus,thetranslatedtextshouldbeelegantandvividinstyletoattractstudents.Sinceitisabookforeducation,sothetermsandthecontentinthisbookshouldbeaccurateandprofessional.Andthewordsthetranslatorchoosesshouldnotbetoodifficultbecauseitisabookforstudents.5 ChapterThreeDifficultiesandApproaches3.1DifficultiesThefirstproblemthetranslatormetisthedifficultieslieinthetermsandthelackofrelevantknowledge,withoutwhichonecannotknowwhatthetermsspecificallyreferto.Termsinarchitecture,musicandpaintingsaresodifficulttodealwith.Besides,thetranslatormustensuretheaccuracyoftheexpressions.ThistakesthetranslatoralotoftimetocollectinformationandsearchontheInternet.Thesecondproblemliesinthetranslationoflongandcomplexsentences.Somesentencesarecomplexinstructurewithseveralclauses,whichishardtomakethetargettextreadableandnatural.Thethirdproblemishowtomakethetranslatedtextvividandelegantasthesourcetextsothatitcanengagestudentsandhelpthemremembertheknowledge.3.2PreparationsWhenknowingit’stimetopreparethetranslationreport,thetranslatordiscussedwiththetutorhowtochoosethebooks.Undertheguidanceofthetutor,thetranslatorchosetotranslatethisbook.Becausethetutorisdoingsometranslationofthisbookaswellandheisfamiliarwiththisbook.AndfinallythetranslatorgotthebookfromAmazon.Aftergettingthisbook,thetranslatorcopiedthisbookandmeanttotranslatethisbooktogetherwithotherclassmates.Afterdiscussion,thetranslatorwasassignedtotranslatetheninthchapter.Thus,thetranslatorstartedtocollectrelevantinformationtogetbetterunderstandingsofthisbook,abouttheauthorandthewritingstyle.Besides,togetherwiththetutor,discussingthedifficultiesmightmeetduringthetranslationprocess.Andthetranslatoralsorecommendedmanyusefulreferencestotheteamthatworkedtogethertotranslatethisbook,sincethen,thetranslationofthisbookhasbegun.6 3.3TheoryguidelineThestyleofthebookfallswithinthefieldofhumanities.Thebookadoptsanarrativestorytellingapproachanditiselegantinstyleandappealingincontent.Sinceitisabookforstudents,thewordstheauthorchoosesarenotthatdifficult.HenrySayresaidthathewantedtoengagestudentswithhisstorytellingapproachtolearnhumanities,thusthisbookaimstoteachtheknowledgeinavividandappealingway.ConsideringthisbookistranslatedforChinesestudents,sotheauthormainlyadoptedfreetranslationwhentranslatinglongandcomplexsentencestomakethesentencefluentandexpressive.SincethisbookistranslatedforChinesestudents,theauthoralsoresearchesSkopostheory.Forexample:ST:Menlivedpubliclives;womenmuchmoreprivateones.TT:男性可以出门参加公共生活，而女性基本足不出户。ConsideringthisbookwastranslatedforChinesereaders,thetranslatortranslated“privateones”into“足不出户”.ThatisbecausethiskindofphenomenonisverysimilartothatinancientChina,sothetranslatorjusttranslateditinthiswaytoexplainthemeaningbehind“privateones”.Inthisway,Chinesereaderscanunderstandthissentencebetter.“SkoposistheGreekwordfor‘aim’or‘purpose’andwasintroducedintotranslationtheoryinthe1970sbyHansJ.Vermeerasatechnicaltermforthepurposeofatranslationandoftheactionoftranslating”(Munday,2008:79).Itcontainsfourmainrules,namelytheSkoposrule,thecoherencerule,thefidelityrule(putforwardbyVermeer)andtheloyaltyprinciple(putforwardbyNord).InChina,Skopostheoryiswellresearched.Inpasttenyears,moreandmorepeoplestartedtoresearchit,whichmeansithasattractedmoreattentionsandthistheoryhasbeenappliedinmanyfields.However,amongthethesis,82%ofthemarerelatedtotranslationstrategies,80%ofwhicharenon-literatureandonly2%ofwhich7 areaboutliterature.Thus,inthispaper,theauthordecidedtousethistheorytoenrichitsapplicationinliteraturetranslation.3.4Translationmethods3.4.1LiteraltranslationandfreetranslationLiteraltranslation,directtranslation,orword-for-wordtranslationistherenderingoftextfromonelanguagetoanotheronewordatatimeconveyingthesenseoftheoriginalwhole.(FromWikipedia)Freetranslationisanalternativeapproachgenerallyusedtoconveythemeaningandspiritoftheoriginalwithouttryingtocopyitssentencepatternsorfiguresofspeech.Whentheexpressionofsourcedlanguageisthesamewithtargetlanguage,thenwecanuseliteraltranslation,orweshouldmaintaintheinformationtheauthorwantstoexpressandexpressitinabetterwaytosatisfythereaderswithabettereffect.“forexample,inliterarytranslation,wheretheTTallowstheTTreceiveraccesstotheideasoftheSTbutwherethereaderiswellawarethatitisatranslation”(Munday,2008:79)Thus,theauthorshoulddealwiththisproblemcarefully,respectingtheSTandmakingtheTTmorenatureatthesametime.Thestyleofthisbookbelongstothefieldofhumanities,whosewriterwroteinastorytellingway.Thus,theauthorofthispaperwantstotranslateitinanelegantandinterestingstyle.Whentranslatingthetermsanddealingwiththelongandcomplexsentences,theauthorpreferstousefreetranslation.Example1：ST:In1519–21,theAztecempireofMexicowasconqueredbytheSpanishconquistador(“conqueror”)HernánCortés(1485–1547)andhisarmyof600menthroughacombinationofmilitarytechnology(gunpowder,cannon,andmuskets),diseaseinadvertentlyintroducedbyhistroops,andaseriesofliesandviolationsoftrust.TT:1519-1521年，由于西班牙军事技术的发展（火药和枪炮的出现），军队无意间带来的疾病，加上一系列的谎言以及对信任的背叛，西班牙征服者荷南•科尔特斯8 （1485-1547）带着他的600人组成的军队征服了墨西哥的阿兹特克人。Inexample1,theauthorchangedthesentencepatternandputthereasonsoftheresult“throughacombinationofmilitarytechnology(gunpowder,cannon,andmuskets),diseaseinadvertentlyintroducedbyhistroops,andaseriesofliesandviolationsoftrust”aheadofthissentence.Besides,theauthoralsochangedthesubjectandchangedthepassivevoiceintoactivevoice.IntheSourcetext,itis“theAztecempireofMexicowasconqueredbytheSpanishconquistador(“conqueror”)HernánCortés”.Butinthetargettext,itbecame“西班牙征服者荷南•科尔特斯（1485-1547）带着他的600人组成的军队征服了墨西哥的阿兹特克人。”Inthisway,studentscanseethelogicofthissentencemoreclearlyandthesentenceseemsmuchmorefluentandreadable.Example2：ST:Agiantdisk,over10feetacross,foundatthebaseoftheTemploMayordepictsthegoddess(Fig.9.2)decapitated,armsandlegsdismembered.TT:人们在大神庙的基座发现了一个直径达10余英尺的巨大圆盘，上面画着的是一名无头的、手足被肢解的女神（见图9.2）。Inthesourcetextexample2,thesubjectis“agiantdisk,"meanwhile,thesubjectinthetargettextis“人们”.Theauthorchangedthevoicetomakethesentencemorenatural,whichfollowsChineseexpressions.Inthesourcetext,itisthe“giantdisk”that“depictsthegoddess(Fig.9.2)decapitated,armsandlegsdismembered”.Butintargettext,theauthordividethissentence,andtranslatesthissentenceinto“上面画着的是一名无头的、手足被肢解的女神（见图9.2）”.“上面”referstothedisk,butinChinese,thesubjecthasbecome“圆盘上面”,whichmakesthestructureofthissentencemorecompact.9 Example3：ST:Theculturalsyncretism,orinterminglingofculturaltraditions,thatmarksIndianartunderAkbarandJahangir,waslargelyresistedbyChinesepopulationswhenEuropeansarrivedonChina’sshores.TT:阿克巴和贾汉吉尔领导下的印度艺术，其文化传统的交融或汇合，在欧洲人踏上中国海岸之际，受到中国人普遍的抗拒。Inthisexample,theauthoronlychangesthewordorderofthissentence.Theauthordidn’tchangethevoicelikethetwoexamplesabove,becausetheexpressionofthesourcetextisthesamewithChinesetext.Ifweuse“中国人”asthesubject,thenthesentencewillbechangedalot“在欧洲人踏上中国海岸之际，中国人极为抗拒阿克巴和贾汉吉尔领导下的印度艺术，其文化传统的交融或汇合”.Inthefirstpartofthissentence,itseemsgreat,butthelaterpart“其文化传统的交融或汇合”isloosetothewholesentence.Thus,theauthordidn’tchangethevoice.Example4：ST:EspeciallyimportanttoartistsandliteratiintheSongerawasthedevelopmentofChanBuddhism.TT:禅宗的发展对宋代艺术家和文人尤为重要。Example5：ST:Theirnewfoundpowerinmanywaysrepresentedaresurgenceofthefamilialclan-basedsystemofauthoritythathadbeendeeplyengrainedinJapanesesocietysinceatleastthetimeoftheYamatoemperors,butalmostinevitably,theirrisealsoresulted,asithadamongtheYamatoclans,inintenserivalryand,eventually,warfare.TT:这股新兴力量从多种角度展现了氏族权威系统的复苏，自大和时代起，它在日本社会中就一直根深蒂固。但几乎不可避免地，他们的兴盛导致了激烈的争夺最后爆发了战争，如同大和氏族那般重蹈覆辙。10 Inthesetwoexamples,theauthormerelychangedthewordorder.Inexample4,thesubjectwas“禅宗”andtheverbis“对⋯⋯重要”,whichperfectlyexpressedthephrase“importantto”.Inexample5,thesourcetextisalongandcomplexsentence,sotheauthorusedtwosentencetomakethelogicclearbesideschangingthewordordertoreorganizethesentence.Example6：ST:untoldnumbersofthemperishedintheprocessTT:不计其数的人在修建这一工程中丧生。Example7：ST:ArtistswhosefreedomshadbeenseverelyrestrictedundertheMongolswereevenlessfreeundertheMing.TT:在明朝统治下，那些在元朝时就已深受束缚的文人，情形更为尤甚。Inexample6,theauthorchangedthemeaningof“process”into“工程”,becausetheprocessherereferstotheprocessofbuildingtheGreatWall.Weallknowitwasatremendousproject.Comparedto“死于这个过程”,theauthorpreferredtoused“在⋯⋯这一工程中丧生”,whichexpressedthesentencemoredirectlyandmorevividly,becausethereweresomanypeoplewhocontributethemselvestothisprojectanddied,sotheauthortranslated“perished”into“丧生”andexpressthepityforthem.Inexample7,theauthorchangedtheexpressionof“lessfree”into“⋯⋯束缚⋯⋯更为尤甚”toemphasizethemoodandmakethesentencemorevivid.Thiskindofexpressioncanbetterconveytheauthor’sidea.3.5Translationskills3.5.1AmplificationandomissionAmplificationmeanssupplyingnecessarywordsinourtranslationonthebasisofaccuratecomprehensionoftheoriginal.11 Precisely,itisforthepurposeof“faithfulrepresentation”ofthethoughtoftheauthorthatweoftenresortto"amplification".ThatisbecauseEnglishandChinesearetwoentirelydifferentlanguagesandeachhasitsownhistoricalandculturalbackground.Besides,manyideas,idiomaticexpressionsandshortenedwords,etc.thatarewellunderstoodbythenativescanhardlymakesensetopeopleabroad.Generallyspeaking,omissionistoomitsomeunnecessarywordsortodeletethoseburdensomewordswhileremainkeepingoriginalmeanings.Example8：ST:Theimperialpalacewaslocatedatthenorthend,facingsouth,thusImperialPalacewallsymbolizingtheemperorlookingoutoverhiscityand,byextension,hisempire.TT:皇宫坐北朝南，象征着君王俯视他的城乃至他的帝国。Inthisexample,theauthoromittedthenoun“ImperialPalace”becauseitisthesubjectofthetargettextandthereisnotneedtomentionittwice.Example9：ST:Menlivedpubliclives;womenmuchmoreprivateones.TT:男性可以出门参加公共生活，而女性基本足不出户。Inthisexample,theauthorexplainedthewords“privateones”andaddsomeinformationtoexpressitaswomenseldomwentout,whichcanhelpstudentshaveabetterunderstanding.Example10：ST:Themasteroftheceremonywouldassembleafewexamplesofpaintingandcalligraphy,usuallykaramono,treasuresimportedfromChina,ofwhichtheAshikagashogunYoshimasa(1430–90),grandsonofYoshimitsu,hadthefinestcollection.12 TT:茶道大师会收集几幅绘画和书法，通常是从中国来的珍宝——唐物。其中要数吉光的孙子义政（1430–90）收藏的作品最为珍贵。Inthisexample,theauthoraddedtheinformation“amongthemasters,grandsonofYoshimitsu,hadthefinestcollection.”Thus,theauthorusedtwosentencetoexpressthissentence,whichmakesthesentencemorelogicalandcompactly.Example11：ST:Infact,theMongolshadreservedtheentirenorthernsideofBeijingforthemselves,andtheresidentChinesehadlivedonlyinthesouthernthirdofthecity.TT:事实上，在元朝时，蒙人为他们保留了北京北边的全部领域，汉人子民只能居住在南边三分之一大小的地方。Inthisexample,theauthoraddedtheinformationabouttimetomakethesentencemoreaccurate,becausethissentencedepictsthefactintheYuandynasty.Buttherewasnospecifictimeinthesourcetext.Thus,theauthoradded“在元朝时”.3.5.2ConversionConversionisalsoacommonpracticeinChinese-Englishtranslation.Itistochangethepartofspeechintoanother,thetenseandsoon.Itcanchangeanounintoadj.,verborpronoun.Changeaverbintonoun,adjective,adverborpreposition.Changeanadjectiveintoadverborphase.Besides,itcanchangethesubjectintoobject,attributeandsoone.Italsocanchangepassivevoiceintoactivevoiceandsoon.Example12：ST:Chang’anwasthelargestcityintheworld,laidoutinacarefullyconceived13 gridthatdramatizedtheTangcommitmenttosocialorderandmirrored,theybelieved,theorderofthecosmos(Fig.9.24).TT:长安曾一度是世界上最大的城市，精心设计的网格布局展现了唐朝的社会秩序，且他们认为，这也反映了宇宙的秩序（图9.24）。Example13：ST:Polowouldwrite,“thereare12guildsofdifferentcrafts,andeachguildhas12,000housesintheoccupationofitsworkmen…”TT:波罗写道，有12个不同的行会，每个行会都有12000座房子供其工匠居住。Example14：ST:Infact,eachguildwasformedaroundpeoplefromthesameprovince.TT:事实上，每个行会的工匠都来自同一个省。Example15：ST:CourtlyrefinementTT:庄严又典雅Example16：ST:ChinawasonceagainruledbytheChinese.TT:汉人再一次统治了中国Example17：ST:EvilforceswerebelievedtocomefromthenorthandsothecityopenedtotheSouth.TT:由于人们相信邪恶的力量来自北方，因此这座城朝南而建。Theexamplesaboveallusedtheskillofconversion.Inexample12,theverb14 phase“laidout”in“laidoutinacarefullyconceivedgrid”becameanouninthetargettext“精心设计的网格布局”.Inexample13,theword“occupation”in“intheoccupationofitsworkmen”changeditspartofspeechintoaverb“供⋯⋯居住”.Inexample14,theword“people”becameasubjectaswellasthe“Chinese”inexample16.Inexample15,theword“Courtly”changedfromanadverbintoanadjective.Inexample17,thevoicehaschangedfrompassivevoiceintoactivevoice.Alltheseexamplesshowushowtheskillofconversionworksinasentenceanditisareallyimportantskillintranslation.3.5.3CombinationanddivisionCombinationistheprocessofcombiningtwoormorethantwoshortChineseorEnglishsentencesintoonelongEnglishsentencesintoonelongEnglishorChinesesentencesoastomaketheversionacceptableinthetargetlanguage.Divisionreferstothesplittingofaword(usuallyanadjectiveoradverbial)oraphrasefromitsoriginalpositiontobeaclauseoraclausetobeaseparatesentence.Generallyspeaking,iftheEnglishsentenceislongandcomplex,theauthorpreferstousetheskillofdivision.Inthisway,thislongsentencewillbewellexpressedandmorereadableforChinesereaders.Ifthereareseveralshortclauses,thentheskillofcombinationwillwork.Itcanmakethesentencemorefluentandavoidredundancy.Example18：ST:Huitzilopochtliwasbornfull-grownoutofCoatlicueofnecessity.CoatlicuewasalsomotherofCoyolxauhqui,theMoon,andoneday,whileshewassweepinghertempleontopofCoatepechill,symbolicallyrepresentedinTenochtitlánbytheTemploMayor,shehadbeenmiraculouslyimpregnatedwithHuitzilopochtlibyaballoffeathersthatfloateddownfromthesky.TT:科亚特利库埃生下维齐洛波奇特利时，他就已经成年，这有其一定的必然性，同时她也是月神开尤沙乌奇的母亲。她的庙宇在特诺奇蒂特兰的大神庙旁边的科特佩山上。有一天，她正在打扫她的庙宇，从天空中飘落了一个长着羽毛的球状物（她15 将这个球系在自己腰间），随后奇迹般地怀上了维齐洛波奇特利。Inexample18,theauthorusedboththeskillofcombinationanddivision.Theauthortranslated“Huitzilopochtliwasbornfull-grownoutofCoatlicueofnecessity.CoatlicuewasalsomotherofCoyolxauhqui,theMoon,”intoonesentence“科亚特利库埃生下维齐洛波奇特利时，他就已经成年，这有其一定的必然性，同时她也是月神开尤沙乌奇的母亲。”Because“Coatlicue”canbethesubjectofbothsentences.Sotheauthorjustusesitasthesubjectinthetargettexttomakethestructuremorecompact.“Andoneday,whileshewassweepinghertempleontopofCoatepechill,symbolicallyrepresentedinTenochtitlánbytheTemploMayor,shehadbeenmiraculouslyimpregnatedwithHuitzilopochtlibyaballoffeathersthatfloateddownfromthesky.”Inthispart,becausethesubjectsofsweepingthetempleandbearingthesonareall“she”,theauthortranslated“templeontopofCoatepechill”firstandthencombinedtheleftparttogether,“她的庙宇在特诺奇蒂特兰的大神庙旁边的科特佩山上。有一天，她正在打扫她的庙宇，从天空中飘落了一个长着羽毛的球状物（她将这个球系在自己腰间），随后奇迹般地怀上了维齐洛波奇特利。”.Inthisway,thesentenceismuchmorereadableandclearinlogic.Example19：ST:Together,guestandmasterwouldcollaborateinaritualofmeditationtotransformthedrinkingofteaintoaworkofhighlyrefinedart,knownasthewabicha.TT:客人和大师一起冥想，把喝茶变成了高雅的艺术，称为侘茶。Inthisexample,theauthorchangedthissentenceintotwoparts.“Together,guestandmasterwouldcollaborateinaritualofmeditation”hasbeentranslatedinto“一起冥想”.Besides,theauthorchanged“totransformthedrinkingofteainto”asaverbanddividedthestructure.Thissentencealsousedtheskillofconversion.16 Example20：ST:ThenumbernineinChinesesoundslikethewordfor“everlasting,”andbecauseninewasbelievedtobetheextremeofpositivenumbers,themaximumofthesingular,itwasthusreservedforuseonlybytheemperor.TT：在中国，“九”谐音“久”。作为最大的个位数，九也被认为是“天数”，因此只有帝王才可使用这一数字。Inthisexample,theauthordividedthesentenceintotwopartsfrom“andbecause”.Andlater,theauthoradoptedtheskillofcombination.Since“9”isthesubjectof“themaximumofthesingular”andalsothesubjectof“theextremeofpositivenumbers”.Thus,theauthortranslateditinto“作为最大的个位数，九也被认为是‘天数’”tocombinetheleftpartstogether.3.6BriefsummaryInthispart,theauthorsummarizedthedifficultiesinthisreportandlistedcorrespondingtranslationapproachesandexplainedthemwithconcreteexamples.Sometimes,whendealingwithonesentence,youmayunconsciouslyuseseveraltranslationskills.17 Chapter4Conclusion4.1LessonsLearnedfromtheTranslationPracticeDuringthistranslationpractice,theauthorhasgotbetterunderstandingsoftranslation.First,whenreceivedthesourcetext,donotrushtotranslateit.Takefullyadvantageoftheinformationonecangetandknowmoreaboutthisbookandtheauthor.Onlyinthiswaycanyougraspthestyleofthisbookandcantranslateitinaproperstyle.Thus,itisnecessarytodoso.Second,donotfeartechnicalterms.Thetranslatormustfigureoutthemeaningfirsttoensureitsaccuracy.Thus,translationisalsoaprocessoflearningnewthings.Third,discussingnecessarydifficultieswiththetutororclassmates,sincethethinkingofonepersonhaslimitation.Discussingwithotherswillbringtheinspiration.4.2ProblemstobeSolvedTheauthorhasspentayearincompletingthispaperandspentmuchtimeincollectingrelevantinformation.Sincethisbookcoverslotsofprofessionalknowledgeinmanyfields,likearchitecture,music,paintingandsoon,theauthorhascheckedmanybooksandbrowsedmanywebsitesontheInternettounderstandthemfirstandthentranslatethem.However,comparedtothesegreattranslators,Istillneedtopracticemoreandworkharder.18 AppendixISourceTextEncounterandConfrontationTheImpactofIncreasingGlobalInteractionThinkingAheadHowdotheartsreflectthevaluesoftheChineseState,andhowdidMingChinareacttocontactwiththewiderworld?HowdotensionsbetweenBuddhismandmilitarycultureinfluenceJapaneseart?WhatculturesprecededthatoftheAztecsintheAmericas,andwhatwastheSpanishreactiontoAztecculture?HowdidthePortugueseimpacttheculturaltraditionsofWestAfrica?TowhatdegreedidcontactwithEuropeaffectMogulIndia?ChinaandItsInfluenceTheculturalsyncretism,orinterminglingofculturaltraditions,thatmarksIndianartunderAkbarandJahangir,waslargelyresistedbyChinesepopulationswhenEuropeansarrivedonChina’sshores.Thereasonsaremany,butofgreatimportancewastheinherentbeliefoftheseculturesintheirownsuperiority.Forcenturies,theChinesehadresistedMongolianinfluence,forinstance,andatthesametimehadcometopreferisolationfromforeigninfluence.ThisisnottosaythattheChinesetotallyremovedthemselvesfromtheworldstage.In618,theTangdynastyreestablishedaperiodofpeaceandprosperityinChinathat,exceptforabriefperiodofturmoilinthetenthcentury,wouldlastfor660years.TheTangdynastywas,byfar,theproductofthelargestandmostorganizedgovernmentintheworldinthelasthalfofthefirstmillennium.ItscapitalwastheeasternendoftheSilkRoad,Chang’an,“CityofEnduringPeace”19 (present-dayXi’an,whichisaboutone-sevenththesizeoftheTangcapital).ThecityhadservedasthecapitaloftheHandynastyaswell,butastheTangrestoredtradealongtheSilkRoad,theycreatedelaborateplanstorestorethecitytoo.Bytheeighthcentury,itspopulationwaswellover1million,livinginsideawalledperimeternearly26milesinlengthandenclosingalmost42squaremiles.Outsidethewallslivedperhapsasmanyasanothermillionpeople.AmongitsinhabitantswereKorean,Japanese,Jewish,andChristianCommunities,anditsemperor’smaintaineddiplomaticrelationswithPersia.Chang’anwasthelargestcityintheworld,laidoutinacarefullyconceivedgridthatdramatizedtheTangcommitmenttosocialorderandmirrored,theybelieved,theorderofthecosmos(Fig.9.24).Eachofthecity’s108blockswasitselfaminiaturewalledcity,withitsowninteriorstreetsandgatesthatlockedatnight.AstronomerslaidoutthestreetsbyaligningthemwiththeshadowofthesunatnoonandthepositionoftheNorthStaratnight,therebyorientingthecitytothefourcardinaldirections.Theimperialpalacewaslocatedatthenorthend,facingsouth,thusImperialPalacewallsymbolizingtheemperorlookingoutoverhiscityand,byextension,hisempire.Traditionally,Chineseemperorsturnedtheirbackstothenorth,fromwhere,itwasbelieved,evilspirits(nottomentionHuns)came.Governmentbuildingsoccupiedthespaceinfrontoftheimperialpalace.A500-foot-wideavenueledfromthesedirectlytothesoutherngate.TheTangvaluededucationaboveall.TheimperialcollegeatChang’antrainedallcivilservants(womenwereexcluded),andintellectualachievementwasheldinhighesteem.ConfucianandDaoistphilosophydominatedthearts,particularlypoetry,wheretwoTangpoets,theDaoistLiBai(701–62)andtheConfucianDuFu(712–70),achievedspecialprominence.BothreliedforinspirationonTheBookofSongs(seeChapter3)butextendeditsrangeconsiderably.Theirdifferenttemperamentsareexpressedintwoshortpoems(Reading9.4):20 LiBaiandDuFubothbelongedtoagroupcalledtheEightImmortalsoftheWineCup,famousforgatheringinagardenofpeachandplumtreesonmoonlitspringnights,wheretheydrankwinetounleashtheirpoetictemperaments.LikealltheImmortalsoftheWineCup,LiBaiandDuFuwereequallyexpertinpoetry,calligraphy,andpainting—aswellasstatesmanshipandphilosophy.Theypresentamodelofwhat500yearslatertheWestwouldcometocallthe“RenaissanceMan,”theperfectlyroundedindividual,athomeinanyarena.TheyalsoembodythecomplexcharacteristicsofTangculture—atoncestrongandvigorousaswellaspassionateandsympathetic,simultaneouslyrealisticandidealistic,intenselypersonalevenwhilededicatedtopublicservice.21 Fig.9.24PlanoftheTangcapitalofChang’an,China.ca.600.Thelocationofthecapitalhadbeendetermined,inhantimes,bythepracticeoffengshui,literally“windandwater,”whichassessestheprimalenergythatflowsthroughaparticularlandscape.Inthiscase,thehillstothenorthofthecityandthestreamsrunningthroughitwereunderstoodtoprotecttheprecinct.Fengshuiisstillpracticedtothisday.TheSongDynastyandHangzhou,“TheCityofheaven”(960–1279ce)Bythethirteenthcentury,Chang’anhadbeensurpassedbyHangzhou,acityofnearly2millionandthecapitalofChina’sSouthernSongDynasty(1127–1279)whenMarcoPolo(1254–1324),thefirstWesternertoeverseeit,calledit“themostsplendidcityintheworld.”PolowroteatlengthabouthisjourneytoHangzhouinhisTravels,firstpublishedin1299.HeclaimedthathefirstvisitedthecityastheambassadorofKublaiKhan.NorthernSongChinawasalreadyinKublaiKhan’shands,conqueredin1271,buthewouldnotconquertheSouthernSongontheYangziRiveruntil1279.So,whenPolofirstsawHangzhou,itwasstillaSongcity.Itslakesandparksweresobeautiful,filledwithfloatingtea-housesfromwhichpassengerscouldviewthepalaces,pagodas,andtemplesthatdottedtheshore,thatthecitywasknownasKinsai,orthe22 “CityofHeaven.”Theentirecity,some200squaremiles,wasprotectedbya30-foot-highwall,withevenhigherwatchtowersrisingaboveit.Insidethewalls,asystemofcanals,whichmusthaveremindedPoloofhisnativeVenice,wascrisscrossedbysome12,000bridges.ThesecanalswerefedbythemostfamousandprobablymostbeautifullakeinChina,theso-calledWestLake,apopularresort.Beautifulwomenandpleasure-seekersgatheredonhouseboatsonitswaters,andwritersandartistscongregatedinthetranquillibrariesandmonasteriesonitsshores.“Inthiscity,”Polowouldwrite,“thereare12guildsofdifferentcrafts,andeachguildhas12,000housesintheoccupationofitsworkmen.Eachofthesehousescontainsatleast12men,whilesomecontain20andsome40,includingtheapprenticeswhoworkunderthemasters.Allthesecraftsmenhadfullemploymentsincemanyothercitiesofthekingdomaresuppliedbythiscity.”Infact,eachguildwasformedaroundpeoplefromthesameprovince.InHangzhou,teaandclothmerchantshailedfromtheeasternprovinceofAnhui,carpentersandcabinetmakersfromthecityofNingbo,andsoon.Allcametogethertoenjoythebenefitsoftradeandcommerceinthecapital.Food-stuffs,silks,spices,flowers,andbooksfilledthemarkets(Reading9.5):Thesecitizensaccustomedto“delicateliving”apparentlylivedremarkablywell.“Thehousesofthecitizensarewellbuiltandelaboratelyfinished,”Poloclaims,“andthedelighttheytakeindecoration,inpaintingandinarchitecture,leadsthemtospendinthiswaysumsofmoneythatwouldastonishyou.”Inotherwords,HangzhouwasacenterofAsianculturethatnooneintheWest,saveMarcoPolo,couldevendreamexisted,inmanywaysexceedinganythingtheWesthadrealized.23 TheSongdynastyenjoyedtremendousprosperity.Itwastheworld’sgreatestproducerofiron,anditsflourishingmerchantclasstradednotonlyalongtheSilkRoad(seeChapter3)butalsothroughouttheSoutheastAsianseasbyboat.Thegovernmentwasincreasinglycontrolledbythiswealthymerchantclass.Crucialtoitsrisewasthedevelopmentofmovabletype,whichallowedtheSongtobeginprintingbooksonpaper.TheprintingpressrevolutionizedthetransmissionofknowledgeinChina.(Gutenberg’smovabletypeprintingpress,which,intheWest,wecommonlycreditwithrevolutionizingthetransmissionofknowledge,was400yearsinthefuture.)Thechildrenofthethrivingmerchantclassattendedpublic,private,andreligiousschools,wheretheycouldstudythenewlyprintedbooks—includingTheBookofSongs,requiredreadingforallChinesecivilservants,andvariousencyclopedias—astheypreparedforgovernmentexaminations.ThisnewclassofhighlyeducatedgovernmentofficialsrestoredConfucianismtodominanceandstrengtheneditwithrelevantadditionsfromDaoismandBuddhism.Buddhismwasofficiallyrejectedasforeign,butitsexplanationoftheuniverseprovidedaninvaluablemetaphysicalelementtoConfucianism.Asaresult,thesenewofficialsbroughttogovernmentadeepbelief,basedonneo-Confucianteaching,thatthewell-runsocietymirroredtheunchangingmoralorderofthecosmos.EspeciallyimportanttoartistsandliteratiintheSongerawasthedevelopmentofChanBuddhism.“Chan”(betterknownintheWestas“Zen,”asitispronouncedinJapanese)derivesfromtheSanskritworddhyana,meaning“meditation.”LikeDaoism,ChanBuddhismteachesthatonecanfindhappinessbyachievingharmonywithnature.Byusingyogatechniquesandsittingmeditation,theChanBuddhiststrivesforonenesswiththeDao(“theWay”)andtheConfucianli,theprincipleorinnerstructureofnature.TheChanBuddhiststhoughtthatthetraditionalscriptures,rituals,andmonasticrulesofclassicalBuddhismwereessentiallybesidethepoint,becauseBuddha’sspiritwasinnateineveryone,waitingtobediscoveredthroughmeditation.Thus,thepoetsandartistswhopracticedChanBuddhismconsideredthemselvesinstrumentsthroughwhichthespiritofnatureexpresseditself.Theessential“rightness”oftheSongworldismanifestedespeciallyinChinesepaintingoftheSongera,whenlandscapepaintingbecametheprincipalandmostesteemedmeansofpersonalandphilosophicexpressioninthearts.Thelandscapewasbelievedtoembodytheunderlyingprinciplebehindallthings,mademanifestintheworldthroughitsmaterialpresence.Closelyakin24 tothespiritualquestoftheDao,thetaskoftheartistwastorevealtheunifyingprincipleofthenaturalworld,theeternalessenceofmountain,waterfall,pinetree,rock,reeds,clouds,andsky.Humanfiguresaredwarfedbythelandscape,insignificantinthefaceofnature.Overandoveragain,thepaintingsoftheperiodrisefromforegroundvalleystohighmountain-tops,theeyefollowingpaths,cascadingwaterfalls,rockycrags,andtallpinespointingeverhigherinimitationof“theWay,”thepathbywhichoneleavesbehindthehumanworldandattainsthegreatunifyingprinciple(seeCloserLook,pages292–293).CloserLookThehumanpresenceinnaturegoesalmostunnoticedinGuoXi’shangingscroll,EarlySpring.Nature,embodiedbythemountain,isall-embracing,apowerfulandimposingsymbolofeternity.ThecompositionofGuoXi’spaintingisbasedontheChinesewrittencharacterformountain.Thefluidgesturesofthecalligrapher’shandaremirroredinGuoXi’spainting,bothintheorganizationofthewholeandintheindividualbrush-and-inkstrokesthatrenderthisideallandscape.Likethecalligrapher,GuoXiisinterestedinthebalance,rhythm,andmovementofhisline.AcourtpainterduringthereignoftheEmperorShenzong(r.1068–85),GuoXiwasgiventhetaskofpaintingallthemuralsintheForbiddenCity,theimperialcompoundinBeijingthatforeignerswereprohibitedfromentering.Hisideasaboutlandscapepaintingwererecordedbyhisson,GuoSi,inabookentitledTheLoftyMessageoftheForestsandStreams.Accordingtothisbook,thecentralpeakheresymbolizestheemperorhimselfanditstallpinesthegentlemanlyidealsofthecourt.Aroundtheemperorthemassesassumetheirnaturalplace,asaroundthismountainthetreesandhillsfallintotheorderandrhythmsofnature.GuoXi,earlySpring.Songdynasty,1072.hangingscroll,inkandslightcoloronsilk,length5’.Collectionofthe“NationalpalaceMuseum”,Taipei,Taiwan.everythinghasitsproperplaceintheChineseuniverse,andthusthepaintingpossessesmultiplepointsofview.Accordingly,eachpartofthispaintingisconstructedattheappropriate“distance.”25 Chinesecharacterfor“mountain”Barelynoticeable,twofiguresgetoutoftheirboatatthebottomleft,andanotherfigurestandsontheshorelineattheright.Twowaterfallscascadedownthehillsidebehindthissecondfigure,andasmallvillagecanbeseennestledonthemountainsideabovethefalls.SomethingtoThinkAbout...IntheWest,landscapepaintingdidnotbecomeapopulargenreuntiltheeighteenthcentury.WhatdifferencesinattitudebetweenEastandWestduringtheMiddleAgesmightaccount26 forthis?Thecentralmountainispaintedsothatwegazeuptoitinthe“highdistance,”aswewouldgazeupattheemperor.Ontheleftsideofthepainting,wegazefaroffintoa“leveldistance,”creatingasenseoflimitless,eternalspace.Inthehumbling“deepdistance”oftheforeground,farbelowourpointofview,weseeimagesthatreflectourowninsignificanceinnature.WatchtheCloserLookforGuoXi’sEarlySpringonmyartslab.comFig.9.25ChengSixiao,inkOrchids.Yuandynasty,1306.Inkonpaper,101/8”3163/4”.MunicipalMuseumofFineArt,Osaka,Japan.ArtistsoftheYuandynastysuchasChengSixiaopaintedfortheirfellowartistsandfriends,notforthepublic.Thus,ChengSixiaocouldfeelcomfortabledescribinghispoliticalintentionsinthetextaccompanyingthispainting.TheYuanDynasty(1279–1368)ThroughouttheperiodknownasthemedievaleraintheWest,Chinawasthreatenedfrom27 thenorthbynomadictribes.TheNorthernSongcapitalofBianjinghadfallentotribesfromManchuriain1126,undertheleadershipofChinggisKha,forcingtheSongtoretreatsouthtoHangzhou.Finally,theSongdynastysuccumbedtotheMongolleaderChinggis’sgrandson,KublaiKhanin1279.KublaiKhanruledfromanewcapitalatpresent-dayBeijing,transformingitintoawalledcityconstructedonagridplanandextendingtheGrandCanaltoprovisionthecity.CallingthemselvestheYuandynasty,theMongolsunderChinggisKhanandhisdescendantscontrolledthehighestpostsinthegovernment,buttheydependedonChineseofficialstocollecttaxesandmaintainorder.TheChineseunderstoodtheneedtocooperatewiththeMongols,buttheyviewedtheMongolsasforeignersoccupyingtheirhomeland.(Remember,foreignerswerebannedfromenteringtheForbiddenCity.)AtthetimeofMarcoPolo’sarrivalinChina,thescholar-paintersoftheChinesecourt,unwillingtoserveunderforeigndomination,wereretreatingfrompubliclife.Butwhileinexile,theycreatedanartsymbolicoftheirresistance.Paintingsofbamboo,forinstance,abound,becausebambooisaplantthatmightbend,liketheChinesethemselves,butneverbreak.Paintedin1306,ChengSixiao’sInkOrchids(Fig.9.25),accordingtoitsinscription,wasmeanttoprotestthe“theftofChinesesoilbytheinvaders.”Orchids,infact,canlivewithoutsoil,inrocksorintrees,sustainedbythemoistureintheairaroundthem,evenasSixiaothepainterthrives.TheMingDynasty(1368–1644)TheMongolswerefinallyoverthrownin1368,whenZhuYuanzhang(r.1368–98)drovethelastYuanemperornorthintotheGobiDesertanddeclaredhimselffirstemperorofthenewMingdynasty.ChinawasonceagainruledbytheChinese.TheMingemperorswereconsumedbyfearofMongolinvasionandindefensecreatedwhatwasarguablythemostdespoticgovernmentinChinesehistory.ZhuYuanzhangenlistedthousandsofworkerstoreinforcetheGreatWallofChina(seeFig.3.24)againstinvasionfromthenorth,anduntoldnumbersofthemperishedintheprocess.Heequippedhugearmiesandassembledanavytodefendagainstinvasionfromthesea.ArtistswhosefreedomshadbeenseverelyrestrictedundertheMongolswereevenlessfreeundertheMing.Butinabowtoscholarshipandthearts,ZhuDicommissionedthecompilationofanauthoritative11,095-volumeencyclopaediaof28 Chineselearning.HealsoundertooktheconstructionofanImperialPalacecompoundinBeijingonthesiteofKublaiKhan’sruinedcapital(Fig.9.26).Thepalacecomplex,knownastheForbiddenCity,was,amongotherthings,thearchitecturalsymbolofhisrule.Fig.9.26ThehallofSupremeharmony,asseenfromacrossthesquarebeyondtheGateofSupremeharmony.height115’.elevatedonthreetiersofmarbleplatforms,thehallisthelargestbuildinginthecomplex.Thenamereferstothefactthatonlythoseonofficialimperialbusinesscouldenteritsgates.AlthoughlargelyrebuiltintheeighteenthcenturyduringtheQingdynasty(1644–1900),thegeneralplanisMingbutbasedonMongolprecedents.Infact,theMongolshadreservedtheentirenorthernsideofBeijingforthemselves,andtheresidentChinesehadlivedonlyinthesouthernthirdofthecity.Mingemperorspreservedthisdivision,allowingministersandofficialstoliveinthenorthernorInnerCityandcommonersinthesouthernorOuterCity.TheForbiddenCityitselfwasinthemiddleoftheInnerCity.LiketheTangcapitalofChang’an,Beijingislaidoutonagrid,andtheForbiddenCityislaidoutonagridwithinthegridalonganorth–southaxisaccordingtotheprinciplesoffengshui(seeFig.9.24).InDaoistbelief,certain“dragonlines”ofenergyorqiflowthroughtheearth,alongmountainsandridges,downstreamsandrivers,influencingthelivesofpeoplenearthem.Evilforceswerebelievedtocomefromthenorthandsothecityopenedtothesouth.Sinceemperorswereconsidereddivineandcloselyconnectedtotheforcesofthecosmos,thepracticeoffengshuiwasespeciallycrucialinconstructingroyalcompounds.Followingtraditionalpractice,theForbiddenCitycoversabout240acresandiswalledby29 15milesoffortifications.Itiscomposedof9,999buildingsandrooms,eachconstructedwithnails,ninenailsperrow.ThenumbernineinChinesesoundslikethewordfor“everlasting,”andbecauseninewasbelievedtobetheextremeofpositivenumbers,themaximumofthesingular,itwasthusreservedforuseonlybytheemperor.Thebuildingsinthecomplexfollowtraditionalpatternsofpost-and-lintelconstructionthatdatebacktotheShangandZhouperiods.TheemperorsandtheirfamiliesrarelylefttheForbiddenCity’sconfines.VisitorsenteredthroughamonumentalU-shapedMeridianGate,andthencrossedtheGoldenWaterRiverspannedbyfivearchedmarblebridges.AcrossthecourtyardstandstheGateofSupremeHarmony,ontheothersideofwhichisanothergiantcourtyardleadingtotheHallofSupremeHarmony.Here,onthemostimportantstateoccasions,theemperorsatonhisthrone,facingsouth,hisbacktotheevilforcesofthenorth.BehindtheHallofSupremeHarmonyisincreasinglyprivatespaces,devotedtoday-to-dayroutineandlivingquarters.Thebalanceandsymmetryofthecompoundwerebelievedtomirrortheharmonyoftheuniverse.Situated,asitwasbelieved,inthemiddleoftheworld,theForbiddenCitywasthearchitecturalsymboloftheemperor’sruleandofhisdutyastheSonofHeaventomaintainorder,balance,andharmonyinhisland.PaintingandPoetry:CompetingSchoolsTheimperialcourtandthenewlyrichmerchantclassalsoacquiredpaintings,consideredluxurygoodsintheirownright.AsintheTangdynasty,aclassofhighlyeducatedliterati,orliteraryintelligentsia—artistsequallyexpertinpoetry,calligraphy,andpainting—executedtheworks.Manypaintingscombineimageandpoem,thelatterwritteninacalligraphydistinctlytheartist’sown.LateintheMingdynasty,anartist,calligrapher,theorist,andhighofficialinthegovernmentbureaucracynamedDongQichang(1555–1636)wroteanessaythathasaffectedthewaywehavelookedatthehistoryofChinesepaintingeversince,althoughmanyscholars,eveninDongQichang’stime,vieweditasover-simplified.HedividedthehistoryofChinesepaintingintotwoschools,NorthernandSouthern,althoughgeographyhadlittletodowithit.Itwasnotplacebutthespiritinwhichtheartistapproachedthepaintingthatdetermineditsschool.Apainterwas30 Southernifunorthodox,radical,andinventive,liketheSouthernbrandofChan(Zen)Buddhism;apainterwasNorthernifconservativeandtraditionalinapproach,liketheNorthernbrandofChanBuddhism.NorthernSchoolHundredsofBirdsAdmiringthePeacocksbyYinHong,acourtartistactiveinthelatefifteenthandearlysixteenthcenturies,isanexampleoftheNorthernstyle(Fig.9.27).Ithasahighlyrefineddecorativestyle,whichemphasizesthetechnicalskillofthepainter.ItalsohasarichuseofcolorandrelianceontraditionalChinesepainting,inthiscasethebirds-and-flowersgenrethathadbeenextremelypopularintheSongdynasty,whichflourishedcontemporaneouslywiththeEarlyMiddleAgesintheWest.LikeGuoXi’sSongdynastypaintingEarlySpring(seeCloserLook,thischapter,pages292–293),theYinHongpaintingalsohasasymbolicmeaningthatrefersdirectlytotheemperor.JustasthecentralpeakinEarlySpringsymbolizestheemperorhimself,withthelowerpeaksandtreessubservienttohim,hereapeacocksymbolizestheemperor,andaroundit“hundredsofbirds”—thatis,thecourtofficials—gatherinrespectandsubmission.Fig.9.27Yinhong,hundredsofBirdsAdmiringthePeacocks.Mingdynasty,ca.Latefifteenthcentury–earlysixteenthcentury.Hangingscroll,inkandcoloronsilk,7’101/2”36’5”.©TheClevelandMuseumofArt.PurchasefromtheJ.h.WadeFund,74.31.TheChinesetradedintheMiddleeastforpeacocks,consideredthemostsupremeofallornamentalbirds,inexchangeforsilk.31 SouthernSchoolTheSouthernstyleismuchmoreunderstatedthanthatoftheNorthernschool,preferringinktocolorandfreebrushwork(emphasizingtheabstractnatureofpainting)tometiculouslydetailedlinearrepresentation.FortheSouthernartist,realityrestedinthemind,notthephysicalworld,andsoself-expressionwastheultimateaim.Furthermore,intheSouthernschooltheworkofartmoresystematicallysynthesizedthethreeareasofendeavorthatanymemberoftheliteratishouldhavemastered:poetry,calligraphy,andpainting.So,aSouthern-schoolpaintinglikePoetonaMountaintopbyShenZhou(1427–1509)radicalizestraditionalChineselandscape(Fig.9.28).IntheearlierSongdynastylandscapes,theunifyingembraceofthenaturalworlddwarfshumanfigures(seeCloserLook,pages292–293).ButinShenZhou’sMing-dynastypainting,thepoetisthecentralfigure.Hefacesoutoveranairyvoidinwhichhangstheveryimageofhismind,thefollowingpoem:Whitecloudslikeabeltencirclethemountain’swaistAstoneledgeflyinginspaceandthefarthinroad.Ileanaloneonmybramblestaffandgazingcontentedintospace.Wishthesoundingtorrentwouldanswertoyourflute.32 Fig.9.28ShenZhou,Chinese(1427–1509).PoetonaMountainTop,1496,series:LandscapeAlbum:FiveLeavesbyShenZhou,OneLeafbyWenZhengming,MingDynasty(1368–1644).Albumleafmountedasahand‐scroll;inkandcoloronpaper,151/43233/4inches(38.7360.3cm).TheNelson‐AtkinsMuseumofArt,KansasCity,Missouri.purchase:Williamrock‐hillNelsonTrust,46‐51/2.photocredit:robertNewcombe.ShenZhouplaceshimselfatthecenterofthiscompositioninarelaxedandcasualmannerthatreflectsChanBuddhism,whichismoreintuitivethanintellectual.Notetheinformalsimplicityofhisbrushworkandcalligraphy.Anartistcapableofputtinghimselfatthecenterofbothpaintingandpoemwouldhavehadnodesiretoenterthegovernmentbureaucracy.ShenZhoulivedouthislifeinthedistrictofSuzhou,farfromcourt.But,interestingly,itwasShenZhou’sstyleofwork,andthestyleofotherliteratipaintersintheSouthernschool,thattheMingtheoristDongQichangmostpreferredandthatwouldbecomethedominant,orthodoxstyleofpaintingintheQingdynastytofollow.LuxuryArtsThelavishlifestyleoftheMingcourtensuredtheproductionofvastquantitiesofdecorativeluxurygoods.Inaddition,astradeflourished,manyChinesemerchantsbecameincreasinglywealthyandbegantocollectpaintings,antiques,finelymadefurniture,andotherqualityobjectsforthemselves.Lacquerwarewasextremelypopular.MadefromthesapoftheChineseRhusverniciferatree(avarietyofsumac),lacquerisaclear,naturalvarnishthat,whenappliedtowood,textiles,orotherperishablematerials,makesthemair‐tight,waterproof,andresistanttobothheat33 andacid.Asurfacecoatedwithmanythinlayersoflacquercanbecarvedthroughintoallmannerofdesigns.Lacquerwarefurniture,bowls,dishes,andothersmallarticleswereverydesirable.OneofthecommoditiesmostprizedbytheChinesethemselvesandbythosewhotradedwithChinawasporcelainceramicware.TheChinesehadinventedtheprocessformakingporcelainaround1004ceatJingdezhen,whichbythebeginningoftheMingdynastyboasted20kilns.AtZhuDi’sdeathin1424,ithadalmosttripledinsizeto58kilns.Mingpaintersdecoratedtheunfiredsurfacesoftheirporcelainwarewithbluecobaltglazes,coveredeverythingwithalayerofwhiteglaze,andthenfiredtheirworks.DuringthereignofZhuDi,thelookofChineseporcelainimproveddramatically.ThiswasduelargelytothefactthatZhengHehadtradedChineseproduceforacobaltore,probablyfromKashan,Persia,highinironandlowinmanganese(justtheoppositeofChineseore),whichallowedforanewrichnessofcolor.AmongtheMingartists’favoritemotifswerefish,waves,andseamonsters,butparticularlydragons,becausetheysymbolizedtheemperor.Hisveinsweresaidtoflowwiththedragon’sblood(Fig.9.29).ThedragonwaseverywhereonMingart,fromtextilestolacquerwareandjadecarvings.NotethatthetwovasesinFig.9.29aremirrorimages,thefinelyoutlinedformsofthedragonsseeminglymimickingeachother’sflight.Theirgestures,infact,suggestthegracefulmovementsofT’aiChiCh’uan,theChinesemartialartthatincludessoloforms,orroutines,andtwo-personforms,knownas“pushinghands.”Thesetwodragons,theirbonyclawsreachingtowardoneanother,particularlyevokethe“pushinghands”form.Thetwovasescreateasenseofbalance,likethebalanceofyinandyang(seeFig.3.25),thesymbolforwhichis,infact,thesymbolforT’aiChiitself.Fig.9.29PairofVases,Chinese,markofXuandereign(1426–1435),MingDynasty(1368–1644).Porcelainwithunderglazebluedecoration,213/43111/2inches(55.3329.2cm).TheNelson-AtkinsMuseumofArt,KansasCity,Missouri.purchase:William.Rock-hillNelsonTrust,40-45/1,2.photocredit:JohnLamberton.AsearlyastheBronzeAge,theChinese34 associatedthedragonwithsuddenmanifestationsofnature,suchaswind,rain,andlightning.BytheSongandTangdynasties(fifth–tenthcenturies),paintingpicturesofdragonswasamethodofprayingforrain.ForChanBuddhists,thedragonsymbolizedsuddenenlightenment.Japan:CourtPatronageandSpiritualPracticeAlthoughBuddhismmayhavebeenknowninJapanearlier,itiscommonlybelievedthatitarrivedintheYamatoperiod(seeChapter1)fromKoreaandChina.AccordingtotheChroniclesofJapan,astatueofBuddhaandacollectionofsacredBuddhisttextsweregiventoJapaneserulersbythekingoftheBaekjeregionofKoreain552.ChinesecalligraphywasalreadythebasisoftheJapanesewrittenlanguage,andtosome,BuddhismseemedequallyamenabletoJapaneseadaptation.ButBuddhismwasbynomeanswelcomedbyall.OfthethreerivalclansthenmostpowerfulinYamatoJapan—theSoga,Mononobe,andNakatomi,eachtiedtotheimperialfamilythroughmarriagetotheemperor—boththeMononobe,whowereinchargeoftheemperor’smilitary,andtheNakatomi,inchargeofShintoritual,opposedtheintroductionofBuddhismintothecountry.ButtheSoga,managersofimperialestateswhowereinconstantcontactwiththeKoreansandChinese,weredeeplyattractedtothereligion,andtheYamatoemperorallowedthemtopracticeitwithintheirownclan.TheserivalrieswouldinfluenceJapanesecultureforcenturiestocome.Asearlyas708,theFujiwaraclan,whichwasdirectlydescendedfromtheNakatomiandwhichwouldruleJapanfor500years,oversawtheconstructionofanewcapitalatHojeikyo,commonlycalledNaraafteritslocationintheNaraplain,some15milestothenorthwestofAsuka(Map9.4).ItwaslaidoutaccordingtotheprinciplesofChinesecityplanningasawalledcityonthemodelofChang’an(seeFig.9.24),2.7milesfromeasttowestandabout3.1milesfromnorthtosouth,withabroadavenuerunningnorthandsouthinitscenterculminatingattheHeijoPalace.AndalthoughtheNakatomi/FujiwaraclanhaddespisedtheBuddhist-leaningSogathecenturybefore,atNara,theyofficiallyacceptedBuddhismasthestatereligion.Magnificenttemplesandmonasterieswereconstructed.35 Map9.4Japan.IsolatedfromtheAsianmainland,Japanwasbothslowtodevelopandsusceptibletotheinfluenceofthemoreadvancedculturesonceitbecameawareofthem.TheHeianPeriod:CourtlyrefinementAsearlyastheseventhcentury,BuddhistdoctrineandShintohadbeguntoinfluenceeachother.Intheeighthcentury,theGreatBuddhaatNarabecameidentifiedwiththeShintogoddessAmaterasu(seeChapter1),andBuddhistceremonieswereincorporatedintoShintocourtritual.Butbetween784and794,thecapitalofJapanwasmovedtoHeiankyo—modern-dayKyoto—whichquicklybecamethemostdenselypopulatedcityintheworld.Accordingtorecords,themoveoccurredbecausethesecularcourtneededtodistanceitselffromthereligiousinfluenceoftheBuddhistmonksatNara.AtHeiankyo,theartsflourishedinanatmosphereofeleganceandrefinement.LifeintheHeiancourtwasdeterminedbygender.Menlivedpubliclives;womenmuchmoreprivateones.Infact,womenwererarelyvisible.AnaristocraticwomanmightmakeapublicexcursiontoaBuddhisttemple,butshewouldremainoutofpublicview.Shemightreceiveamalevisitor,butthetwowouldconversethroughaportablesetofcurtainpanels.Womenwere,however,highlyeducated,andtheywereexpectedtocontributetotheaestheticoftheHeiancourt.Manycourtgatheringstookplaceforthepurposeofpoetrycompetitions,inwhichbothmenandwomenparticipated.Poemsweregenerallycomposedforasinglerecipient—afriendorlover—andareplywasexpected.InherDiaries—orNikkiinJapanese—MurasakiShikibu(973/8–aft.1014),oneofthemostaccomplishedwomenoftheHeiancourt,alady-in-waitingtotheEmpressShoshi(988–1074),describesjustsuchanexchange(Reading9.6):Reading9.6fromMurasakiShikibu,Diaries36 icanseethegardenfrommyroombesidetheentrancetothegallery.Theairismisty;thedewisstillontheleaves.TheLordPrimeMinisteriswalkingthere;heordershismentocleanse1thebrook.Hebreaksoffastalkofomenaishi,whichisinfullbloombythesouthendofthebridge.Hepeepsinovermyscreen!Hisnobleappearanceembarrassesus,andiamashamedof2mymorningface.Hesays,“Yourpoemonthis!ifyoudelaysomuchthefunisgone!”andiseizethechancetorunawaytothewriting-box,hidingmyface:Flower-maideninbloom—Evenmorebeautifulforthebrightdew,Whichispartial,andneverfavorsme.“Soprompt!”saidhe,smiling,andorderedawriting-boxtobebrought[forhimself].Hisanswer:Thesilverdewisneverpartial.FromherheartTheflower-maiden’sbeauty.1omenaishi:afloweringplant.2morningface:afacewithoutpowderormakeup.Somethingoftheflavorofcourtlifeiscapturedinthisbriefpassage,intheprivatespaceofthegentlewoman’sworld,herrelationtothegentlemenofthecourt,theattentionofthetwopoetstonaturalbeauty,andtheexpressionofthatbeautyasameansofcapturingpersonalfeeling.Diaries,ornikki,comprisedanimportantliteraryformthattellusmuchaboutcourtlifeintheHeianperiod.Murasaki’spoems—indeedherentiretext—arewritteninanew,purelyJapanesewritingsystem,knownashiragana.Beginningintheearlyninthcentury,hiraganagraduallyreplacedtheuseofChinesecharactersandenabledwriterstospellouttheJapaneselanguagephonetically.TheuniversitycurriculumremainedbasedonChineseclassicsandhistory,andtheformalworkingsofstateandgovernmentstillrequiredtheuseofChinese.Chinesewasthelanguageoftheworldofmen.SincetheHeiancourtstronglydiscourageddisplaysofeducationinChinesebywomen,theyweretaughtthehiraganascript,eventhoughmanycourt37 womenactuallyknewChinesequitewell.Thepopularityofhiragana,evenamongmen,whorecognizeditsconvenience,encouragedthedevelopmentofnewJapaneseformsofpoetry,especiallythewaka(literallythe“poetryofWa,”orJapan).Awakaconsistsof31syllablesin5linesonathemedrawnfromnatureandthechangingofseasons.HereisawakabyoneofthegreatpoetsoftheHeianperiod,KinoTomonori(act.850–904)(Reading9.7):Reading9.7KinoTomonori,“ThisPerfectlyStill”ThisperfectlystillSpringdaybathedinthesoftlightFromthespread-outsky.WhydothecherryblossomsSorestlesslyscatterdown?Thetensionhere,betweenthecalmofthedayandtherestlessnessofthecherryblossoms,ismeanttomirrorasimilartensioninthepoet’smind,suggestingacertainsenseofanticipationorpremonition.WakaservesasamodelforotherJapanesepoeticforms,particularlythefamoushaiku,the3-line,17-syllableformthatdevelopedoutofthefirstthreelinesofthewaka.Inadditiontoherdiaries,MurasakiShikibuistheauthorofalongbookofproseandpoetry(over1,000pagesinEnglishtranslation),includingmanyexchangesofpoetryofthetyperecordedinherDiaries.Manyconsiderittheworld’sfirstnovel—certainlynofictionintheWesternworldmatchesitsscopeuntiltheeighteenthcentury.CalledTheTaleofGenji,ittellsthestoryofGenji,animperialprince,borntothefavoritewifeoftheemperor,thoughsheistoolowinrankforhersontobeanheirtothethrone.MuchoftheactiontakesplaceinthehomesandgardensofHeiankyo,andbesidesbeingamoving,romanticstorycovering75yearsofthehero’slife,fromhisbirthtohisdeath,thenovelpresentsuswithavividpictureoflifeinJapanesesocietyattheturnofthemillennium.TheKamakuraPeriod(ca.1185–1392):SamuraiandShogunate38 DuringtheHeianperiod,theemperorshadincreasinglyreliedonregionalwarriorclans—samurai(literally,“thosewhoserve”)—toexercisemilitarycontrol,especiallyinthecountryside.Overtimetheseclansbecamemoreandmorepowerful,until,by1100,theyhadbeguntoemergeasamajorforceinJapanesemilitaryandpoliticallife,inauguratingtheKamakuraPeriod,whichtakesitsnamefromthecapitalcityofthemostprominentoftheseclans,theMinamoto.Theirnewfoundpowerinmanywaysrepresentedaresurgenceofthefamilialclan-basedsystemofauthoritythathadbeendeeplyengrainedinJapanesesocietysinceatleastthetimeoftheYamatoemperors,butalmostinevitably,theirrisealsoresulted,asithadamongtheYamatoclans,inintenserivalryand,eventually,warfare.PureLandBuddhistArtAswarspreadacrossthecountry,manyJapanesefeltthatitannouncedthecomingofMappo,theso-calledThirdAgeofBuddha,oftentranslatedasthe“AgeofDharmaDecline.”Prophesiedtobegin2,000yearsafterthedeathofSakyamuniBuddha,itwouldlast,soitwasbelieved,for10,000years.Duringthisperiodnoonewouldbeabletoattainenlightenmentandsocietywoulddescendintoaconditionofdegeneracyandcorruption.PureLandBuddhismseemedtoofferawayout.PureLandBuddhismhadoriginatedinthelatesixthcenturyinChinaasaparticularformofMahayanaBuddhism.TheMahayanaBuddhistsbelievedthatcompassionforallbeingsisthefoundationoffaithandthatnotnirvanabutbuddhahoodisone’sultimategoal.TheyrecognizedBuddhasotherthanSakyamuni,amongthemAmitabhaBuddha,theBuddhaofInfiniteLightandLifewhodwellsinaparadiseknownastheWesternPureLand.ThisPureLandBuddhismhadbeenintroducedtoJapanasearlyastheseventhcentury,theChineseAmitabhaBuddhabecomingBuddhaAmida.ParticularlyattractivetotheJapanesewasthePureLandbeliefthatbychantingNamuAmidaButsu(“HailtotheBuddhaAmida”),thefaithfulwouldberebornintotheWesternPureLandparadisewheretheenlightenmentimpossibletoachieveinFig.9.30Kosho.kuyaPreaching.Kamakuraperiod,before1207.Paintedwoodwithcrystalinlaideyes,height461/2”.rokuharaMitsu-ji,Kyoto.Kuyawearsagongheldtohischestbyayokeoverhisshoulders.Thegongwouldhaveaccompaniedhimashedancedwhilechanting.39 theworldmightfinallybeattained.OneoftheearlypractitionersofthePureLandchantwasthemonkKuya(903–72),whotraveledonfootaroundthecountrysidechantinganddoingcharitabledeeds.Hisenduringpopularityisunderscoredbythefactthatmorethan200yearsafterhisdeath,hislikenesswouldberepresentedinasculpturebytheKamakuraartistKosho(Fig.9.30).Hisstaffistoppedbydeerhorns,symbolicofhisslayingofadeer,theviolenceofwhosedeathconvertedhimtoBuddhism.Themostremarkablefeatureofthesculpture,however,isKosho’srepresentationofthechant.Itconsistsofsixsmallbuddhas,emanatingfromKuya’smouth.EachbuddharepresentsonesyllableoftheNamuAmidaButsuchant(thefinal“u”ofwhichissilent).TheArtsofMilitaryCultureTheKamakuraperiodactuallybeganwhentheMinamotoclandefeateditschiefrival,theTaira,in1185,butthecontestforpowerbetweenthetwodominatedthelastyearsoftheHeianperiod.ThecomplexrelationshipbetweentheFujiwaraoftheHeianeraandthesamuraiclansoftheKamakuraisembodiedinalonghand-scrollnarrationofanimportantbattleof1160,fromtheScrollsofEventsoftheHeijiPeriod,paintedbyanunknownartistinthethirteenthcenturyperhaps100yearsaftertheeventsthemselves(Fig.9.31).In1156,GoShirakawa(1127–92;r.1156–58)ascendedtothethroneoftheFujiwaratoserveinwhathadbecometheirtraditionalroleasregenttotheemperor,thehighestpositioninthegovernment.ButGoShirakawaresistedtheFujiwaraattempttotakecontrolofthegovernment,andin1157,theyrecruitedoneofthetwomostpowerfulsamuraiclans,theMinamoto,tohelpthemstageacoupandimprisontheemperor.NightAttackontheSanjoPalacedepictsthemomenttroopsledbyFujiwaraNobuyoriattackedtheemperor’spalaceinthemiddleofthenight,takinghimprisonerandburninghispalacetotheground.Thechaosandviolenceoftheeventsarecapturedbythesweepinglinearribbonsofflameandsmokerisingtotheupperrightandthe40 confusionofhorsemen,warriors,fleeingladies,thedead,andthedyingintheforeground,allframedbyanarchitecturethatfallsatasteepdiagonaltothebottomleft.Thesamuraiwarriors,dressedinelaborateironarmor,weremasterhorsemenandarchers.Inthisscene,manyholdtheirbows,thelowerportionsofwhicharesmallerthanthetopinorderthattheymightpassoverahorse’sneck.Asitturnedout,thiswasabriefmomentoftriumphfortheMinamoto.Therebellionwasquicklyquashedbythesecondofthepowerfulclans,theTaira,andforthenext20years,theTairamanagedtocontroltheJapaneseimperialcourtwiththeabdicatedemperorGoShirakawa’sblessing.Butin1185,theMinamotosamuraiarmy,ledbyMinamotoYoshitusune(1159–89),defeatedtheTaira,killingvirtuallyallmalemembersoftheTairaclanandlargenumbersoftheirwivesandchildren.Fig.9.31nightAttackontheSanjôPalace,fromtheillustratedScrollsoftheEventsoftheheijiEra(heijimonogatariemaki),Japanese,Kamakuraperiod,secondhalfofthe13thcentury.handscroll;inkandcoloronpaper,41.33699.7cm(161/432751/2in.),MuseumofFineArts,Boston,Fenollosa-WeldCollection,11.4000.photograph©2011MuseumofFineArts,Boston.Thisisthecentralsceneofthescroll,whichbeginswiththearmymovingtowardthepalacefromtherightandendswithitleavingintriumphtotheleft.Yoshitusune’sbrother,Yoritomo(1147–99),hadsatoutthewarinKamakura,andassoonasthewarwasendedhequicklydisposedofallsamurairivalsintheregion,includinghisownbrother,whomhehunteddown,butwhomanagedtocommitsuicideratherthanbecaptured.Yoritomodemandedthatallothersamurailordspledgeallegiancetohimorriskthefateofhisbrother,andhesooncontrolledmostoftheJapanesearchipelago.Heestablishedhisruleat41 Kamakura,andthusremovedJapanesegovernmentfromtheinfluenceofboththearistocraticcourtatHeiankyoandtheBuddhiststrongholdatNara.Interestingly,Yoritomonevertriedtoassumetheimperialthrone,andneitherdidanyofthesubsequentsamurairulers.Instead,heconsideredhimselftheemperor’sservant,muchastheFujiwarahadservedtheHeianemperors.But,in1192,theimperialcourtgrantedhimthetitleofSeiitaiShogun,literally“Barbarian-subduingGeneral,”andasshogun—thatis,general-in-chiefofthesamarais—hismilitaryformofgovernment,knownastheshogunate,ruledthecountryfor150years.Yoritomo’sshogunatewas,inmanyways,definedbylandreformsthatheimmediatelyinstituted.Inessencehegrantedthecountryestatesthathadbelongedformerlytohisenemiesasgiftstohisfollowers.Thesenewlandholderscametobeofficiallyknownasdaimyo,literally“greatname,”bythefifteenthcentury.Theydefinedthemselvesfirstbytheabsoluteallegiancetotheshogun,andthenbytheirdevotiontomilitaryartsandtheirconcernfortheir“greatname”—byextension,theirhonor,theirfame,andtheirprideintheirfamilyorclan.Eventually,whenJapanenjoyedanextendedperiodofpeace,from1600untilthemid-nineteenthcentury,thesevalueswerecodifiedandexpandeduponbyadaimyoclasswhosemilitarismseemedincreasinglyirrelevantintoawell-definedcodeofconduct,bushido,“thewayofthewarrior,”whichcontinuestoinfluencemanyaspectsofJapanesesocietytothisday.TheMuromachiPeriod(1392–1573):CulturalPatronageIfthepoweroftheemperorwasrarelychallengedbythedaimyo,theywerenonethelessimportantpatronsoftheimperialcourt,aswellasmajorconsumersofcourt-basedartsandcrafts.TheprinciplesandethicsofZenBuddhism,theJapaneseversionofChineseChanBuddhism,alsoappealedtothem.ThroughoutthetwelfthandthirteenthcenturiesChanteachingsgainedanincreasingfootholdinJapan.ThecarefullyorderedmonasticlifestyleofChanmonkscontrasteddramaticallywiththesometimesextravagantlife-stylesoftheBuddhistmonasteriesoftheHeianperiod.AndtheChanadvocacyofthepossibilityofimmediateenlightenmentthroughmeditationandself-denialpresented,likePureLandBuddhism,withwhichitcompetedforfollowers,anespeciallyattractivespiritualpractice.By1392,oneshogunfamily,theAshikaga,hadbeguntoexerciseincreasedauthorityover42 Japanesesociety.TheyhadtheirheadquartersintheMuromachidistrictofKyoto(hencethealternativenamesfortheperiodinwhichtheyruled).Itwasaperiodofoftenbrutalcivilwarasthedaimyoviedforpower.AlthoughKyotoremainedinastateofnear-totaldevastation—starvationwasnotuncommon—theAshikagashogunsbuiltelaboratepalacesaroundKyotoasrefugesfromthechaosoutsidetheirwalls.Oneofthemostelaborateofthese,nowknownasKinkakuji,theGoldenPavilion(Fig.9.32),wasbuiltasasettingfortheretirementoftheAshikagashogunYoshimitsu(1358–1408).Begunin1399,itscentralpavilionismodeledonChineseprecedents.Itsfirstfloorwasintendedforrelaxationandcontemplationofthelakeandgardens.Awideverandaforviewingthemoon,apopularpastime,fronteditssecondfloor.AndthetopfloorwasdesignedasasmallPureLandBuddhisttemple,containingasculptureofAmidaBuddha,theBuddhaofInfiniteLightandLife,whodwellsintheparadiseoftheWesternPureLand,alongwith25bodhisattvas.ThegardenssurroundingthepavilionsatKinkakujiprovidedthecasualstrollerwithanever-changingvarietyofviews,thuscreatingatensionbetweenthemultiplicityofscenesandtheunityofthewhole.Asamatterofpolicy,Yoshimitsuassociatedhimselfwiththeartsinordertolendhisshogunateauthorityandlegitimacy.Therefore,heandlaterAshikagashogunsencouragedsomeofthemostimportantartisticdevelopmentsoftheerainpaintingandgardendesign.Theyalsochampionedimportantnewformsofexpression,includingtheteaceremonyandNohdrama.Fig.9.32Kinkakuji(TempleofthegoldenPavilion),rokuonji,Kyoto.Rebuiltin1964aftertheoriginalofthe1390s.TheoriginalKinkakujiwassetablazeandcompletelydestroyedin1950byayoungmonkprotestingthecommercializationofBuddhismafterWorldWarII.Therestorationcloselyapproximatesitsoriginalappearance.43 ZengardensThequestionoftheextentoftheinfluenceofZenonJapaneseartisaproblematicone.Ashasoftenbeenpointedout,thefeaturesnormallyassociatedwithZen(Chan)Buddhisminthearts—simplicityofdesign,suggestionratherthandescription,andcontrollingbalancethroughirregularityandasymmetry—arealsocharacteristicofindigenousJapanesetaste.ButitisindisputablethatgardenswerearegularfeatureofMuromachiZentemples,especiallythekaresansui,or“withered”ordrylandscapegarden.Japanesegardenershadlongfeaturedwaterasanimportant,evenprimaryelement,butaroundKyoto,withitslimitednumberofspringsandmountainstreams,gardenersturnedtheirattentionawayfromthestreamsandpondsthatcharacterizetheGoldenPavilionatKinkakujiandincreasinglyfocusedtheirattentiononrocksandafewcarefullygroomedplantingsastheprimaryfeatureofgardendesign.AnespeciallyremarkableexampleisagardenintheprecinctofDaisen-in,asub-templeoftheDaitokujicompoundfoundedin1509inKyotobyKogakuSoko(1465–1548).ItsdesignisusuallyattributedtothepainterSoami(d.1525).ThegardenoftheDaisen-inisactuallyaseriesofseparategardensarrangedaroundSoko’sresidence,itselfdecoratedwithavarietyofSoami’spaintings.Thegardenthatflankstwosidesoftheresidenceisaminiaturelandscape,theverticalrocksofwhichrepresentamountain(Fig.9.33).Awaterfall,suggestedbyaveinofwhitequartz,cascadesdownonerock,formingariverofwhitegravelacrosswhichaslabofstonehasfallen44 likeanaturalbridge,connectingislandsinthestream.Fartherdown,aboat-shapedrocksailsinthewiderexpanseoftheriver.Ontheothersideoftheresidence,thegravelstreamflowsintoanexpanseofcarefullyrakedwhitegravelpunctuatedbytwoconesconstructedofthesamematerial.Thiswideexpanseismeanttosuggesttheocean,itsraked-linedwavesrisingtomeetwhatmaybetwovolcanicislands.(Thislastattributionremainsamatterofspeculation.)Takenasawhole,theflowofthepebblestream,frommountaintoptoocean,mightbestbeviewedasanarrative,perhapsametaphorforthepassageoftime,oreventhepassageofaZenBuddhistphilosopherfromtherelativecomplexityandconfusionofearlylifetotheexpansivesimplicityandenlightenment.Fig.9.33AttributedtoSoami,gardenoftheDaisenofDaitokuji,Kyoto.Muromachiperiod,ca.1510–25.NotethesimilaritybetweentherockfeaturesinthegardenandthoseintraditionalChineselandscapepainting(seeCloserLook,pages292–293).TheTeaCeremony45 Matcha,literally“finelypowderedtea,”wasintroducedintoJapaninthelatetwelfthcentury,duringtheearlyKamakuraperiod,fromChina.BytheendoftheKamakuraperiod,teaconteststodiscerndifferentteasandtheregionsinwhichtheyweregrownhadbecomepopular.BytheearlyMuromachiperiod,rulesforthewaysinwhichteawastobedrunkbeguntobecodified,especiallyinZentemples.Bythesixteenthcentury,theseruleswouldcometobeknownastheWayofTea,chanoyu.Insmallroomsspecificallydesignedforthepurposeandoftendecoratedwithcalligraphyonhangingscrollsorscreens,theguestwastoleavetheconcernsofthedailyworldbehindandenteratimelessworldofease,harmony,andmutualrespect.Themasteroftheceremonywouldassembleafewexamplesofpaintingandcalligraphy,usuallykaramono,treasuresimportedfromChina,ofwhichtheAshikagashogunYoshimasa(1430–90),grandsonofYoshimitsu,hadthefinestcollection.Lateinthefifteenthcentury,inatransformationtraditionallyattributedtoMurataShuko,aformerZenpriest,thetastefordisplayingkaramonointheteaceremonywastransplantedbyatasteforthingspossessingthequalityofwabi—thatis,thingsevidencingqualitiesofausterityandsimplicityandshowingtheeffectsoftime.TheseobjectswerethoughttoreflectatastemoreJapanesethanChinese,atastereflectedinacommentattributedtoShuko:“Themoonisnotpleasingunlesspartiallyobscuredbyacloud.”Themasteroftheceremonywouldassembleafewexamplesofpaintingandcalligraphytogetherwithavarietyofdifferentobjectsandutensilsformakingtea—thekettle,thewaterpot,thewhisk,theteacaddy,andabovealltheteabowl,eachprizedforitsaestheticshapeandtexture.Inaquiet,mutedlight,andonafloorcoveredwithtatami,wovenstrawmats,themasterandhisguestwouldcontemplatethetea,itspreparation,andtheobjectsaccompanyingtheensemble,which,itwasunderstood,expressedthemaster’sartisticsensibility.Together,guestandmasterwouldcollaborateinaritualofmeditationtotransformthedrinkingofteaintoaworkofhighlyrefinedart,knownasthewabicha.Interestingly,itwasnotatcourtwherethewabichadevelopedintotheclassicteaceremony,butamongtherichmerchantclasses.TwomerchantsfromSakai,TakenoJoo(1502–55)andSennoRikyu(1522–91)aretraditionallycreditedwithinventingtheceremonyproper.AsRikyudefinedit:Chanoyuperformedinaplainhutisaboveallanasceticdiscipline,basedontheBuddhistlaw,thatisaimedatachievingspiritualdeliverance.Tobeconcernedaboutthequalityofthe46 dwellinginwhichyouserveteaortheflavorofthefoodservedwithitistoemphasizethemundane.Itisenoughifthedwellingoneusesdoesnotleakwaterandthefoodservedsufficestostaveoffhunger.ThisisinaccordancewiththeteachingsofBuddhaandistheessenceofthechanoyu.First,wefetchwaterandgatherfirewood.Thenweboilthewaterandpreparetea.AfterofferingsometotheBuddha,weserveourguests.Finally,weserveourselves.TheprominenceofRikyuandJoointhedevelopmentofthechanoyupresagesadramaticshiftinJapaneseculture,asthemilitaryclassthathaddominatedJapanesesocietyforcenturieswasbeginningtogivewaytotheinterestsofcommerceandtrade.NohDramaTheAshikagashoguns,includingYoshimitsuandYoshimasa,alsoenthusiasticallysupportedthedevelopmentoftheimportantliterarygenreofNohdrama.TheNohdramawasprimarilytheresultoftheeffortsofKan’amiKiyotsugu(1333–84)andhissonZeamiMotokiyo(1363–1443).Theyconceivedofatheaterincorporatingmusic,chanting,dance,poetry,prose,mime,andmaskstocreateaworldofsublimebeautybasedontheidealofyugen,whichalmostdefiestranslationbutreferstothesuggestionofvague,spiritualprofunditylyingjustbelowthesurfaceoftheNohplay’saction(or,rather,thestillnessofitsinaction).ThewordNohmeans“accomplishment”anditreferstothevirtuosoperformanceofthedrama’smaincharacter,whoseinnerconflictsmustberesolvedbeforehisorhersoulcanfindpeace.TherewerefivekindsofNohplays,including“warriorplays”and“womanplays.”Themaincharactersofthewarriorplays,whichdidnotexistbeforeZeami,werehistoricalpersonagesofthesamuraiclassderivedfromthesameaccountsastheTairaandMinamotoconflictsuponwhichthescrollpaintingNightAttackontheSanjoPalaceisbased(seeFig.9.31).NohisverydifferentfromWesterndrama.Charactersoftenwearbeautifullycraftedmasks.Theactionisaccompaniedbyachorus,whichnarrateseventstothesoundofwindinstrumentsanddrums.Theplot,whichtheaudiencewouldknowquitewell,isalmostirrelevant—certainlyitdoesnotdrivetheactionofthedramaforward.Thecharactersspeaktheirlinesinastylizedmanner,andmakenoattemptatrealistictonalinflections.Threedrumsandafluteaccompanytheirlines,theirmovementsturnintodance,andtheperformancelastsforamuchlongertimethan47 ittakessimplytoreadit.Infact,althoughNohplaysoftenreadwellonthepage,thetotaleffectislostwithoutthenonverbalelements.AztecIn1519–21,theAztecempireofMexicowasconqueredbytheSpanishconquistador(“conqueror”)HernánCortés(1485–1547)andhisarmyof600menthroughacombinationofmilitarytechnology(gunpowder,cannon,andmuskets),diseaseinadvertentlyintroducedbyhistroops,andaseriesofliesandviolationsoftrust.TheAztecspossessedneithergunsnorhorses,normuchinthewayofclothingorarmour,allofwhichmadethemappearifnotuncivilized,thencompletelyvulnerable.TheywerealsovulnerablebecauseothernativepopulationsinMexicodeeplyresentedthefactthattheAztecsregularlyraidedtheirvillagestoobtainvictimsforbloodsacrifice.AccordingtoAzteclegend,atthetimeoftheirexilefromTula,thesupremespiritualleadershipoftheculturewasassumedbythebloodthirstyHuitzilopochtli,thegodofwar,whohademergedfullygrownfromthewombofhismotherCoatlicue,theearthgoddess,wieldinghisweapon,theFireSerpent,Xiuhcoatl.AsculpturedepictingCoatlicuemayhaveoriginallystoodinthetempletoHuitzilopochtliattheAzteccapitalofTenochtitlánatopthegianttempleattheheartofthecity,theTemploMayor(Fig.9.1).Herheadiscomposedoftwofangedserpents,symbolizingtworiversofbloodflowingfromherdecapitatedhead.Shewearsanecklaceofhumanears,severedhands,and,atthebottom,ahumanskull.Theconnectionofbloodtofertilityismadeclearinthesnakethatdescendsbetweenherlegs,whichsuggestsbothmenstruationandthephallus.Huitzilopochtliwasbornfull-grownoutofCoatlicueofnecessity.CoatlicuewasalsomotherofCoyolxauhqui,theMoon,andoneday,whileshewassweepinghertempleontopofCoatepechill,symbolicallyrepresentedinTenochtitlánbytheTemploMayor,shehadbeenmiraculouslyimpregnatedwithHuitzilopochtlibyaballoffeathersthatfloateddownfromthesky.Coyolxauhquiviewedthepregnancyofhermotherasanaffront,andsheconspiredtokillhermother.Atthatmoment,Huitzilopochtliwasborn.Hedecapitatedhistreacheroussister,andcastherdownfromthetopofCoatepechill.Ateachtumbleofherfall,shewasfurtherdismembered.ThisistheAztecexplanationforthephasesofthemoon.As,themoonwaneseachmonth,moreandmoreofitdisappears.48 Agiantdisk,over10feetacross,foundatthebaseoftheTemploMayordepictsthegoddess(Fig.9.2)decapitated,armsandlegsdismembered.Sheisadornedwithatwo-headedserpentbeltbearingaskull,asishermotherCoatlicueinFig.9.1.Hertorso,withflaccidbreasts,isshownfrontally.Issuingfromhermouthiswhatappearstobeherlastbreath.Thusvictoriousoverthemoon,HuitzilopochtliorderedtheAztecprieststosearchforacactuswithagreateaglepercheduponitandthereestablishacityinhisname.TheysoonfoundtheplaceontheshoresofLakeTexcoco.ThecactusboreredfruitintheshapeoftheheartsthatHuitzilopochtlidevoured,andtheeaglewasthesymbolofthegodhimself.TheAztecsproceededtobuildtheirgreatcity,Tenochtitlán,“theplaceofthepricklypearcactus.”Fig.9.2TheMoongoddessCoyolxauhqui,Aztec,fromtheSacredPrecinct,TemploMayor,Tenochtitlán.ca.1469.Stone,diameter10’10”.MuseoTemploMayor,MexicoCity.ThesculpturewasfoundlyingatthebaseoftheTemploMayor,asifcastdownbyhuitzilopochtli.AnthropologicalevidencesuggeststhatjustbeforeCortés’sbirth,inabout1450,theAztecs,intheirthirstforbloodsacrifice,hadwipedouttheentirepopulationofCasasGrandes,nearpresent-dayChihuahuainnorthernMexico,atradingcentercontainingover2,000puebloapartments.GivensuchAztecbehavior,othertribeswerewillingtocooperatewithCortés.Cortésquicklyrealizedhecouldexploitthesevulnerabilitiestogreatmilitaryadvantage.OneofthemostimportantdocumentsoftheSpanishcon-quest,the1581HistoryoftheIndiesofNewSpain,byDiegodeDurán,depictsthistechnologicalsuperiority(Fig.9.3).DuránwasaDominicanpriestfluentinNahuatl,theAzteclanguage.HisHistoryistheproductofextensiveinterviewsand49 conversationswiththeAztecsthemselves.ItrepresentsaconcertedefforttopreserveAztecculture,recountingAztechistoryfromitscreationstorythroughtheSpanishconquest.Inthisillustration,awell-armedarmyledbyPedrodeAlvarado,oneofCortés’sgenerals,confrontstheAztecmilitaryordersoftheEagleandtheJaguar.TheSpanishweararmorandfightwithcrossbowsandfirearms,whiletheAztecshaveonlyspears.Despitetheirtechnologicalsuperiority,Alvarado’smenwereinsomejeopardy.AlvaradowasbesiegedbyAztecsangryattheslaughterofhundredsofAztecsduringtheFiestaofToxcatl,stagedtoimpresstheirSpanishvisitors.ThemassacrebytheSpaniardsisillustratedinDurán’sHistory(Fig.9.4).Throughouttheseevents,theAzteckingMotecuhzoma(formerlyspelledMontezuma)hadremainedaprisoneroftheSpanishforces.Cortéshadpledgedhisfriendship,butoncehehadbeenadmittedintoTenochtitlánitself,heimprisonedMotecuhzoma.TheSpanishconquistadorhadlearnedofanAztecmythconcerningQuetzalcóatl,theFeatheredSerpent,whowaswidelyworshipedthroughoutMexico.Inthismyth,Quetzcalcóatlwasdethronedbyhisevilbrother,Tezcatlipoca,godofwar,andfledtotheGulfofMexico,whereheburstintoflamesandascendedtotheheavens,becomingtheMorningStar,Venus.Inyetanotherversion,hesailedawayacrosstheseaonaraftofserpents,promisingonedaytoreturn.ItwasreputedthatQuetzalcóatlwasfair-skinnedandbearded.Evidently,MotecuhzomabelievedthatCortéswasthereturningQuetzalcóatlandwelcomedhimwithoutresistance.Withintwoyears,Cortés’sarmyhadcrushedMotecuhzoma’speopleinthenameofSpain.Ofthe20to25millioninhabitantsofMexicoatthattime,onlyabout2millionsurvived—theremainderwerewipedoutbywaranddisease.50 Figs.9.3and9.4(top)AztecsconfronttheSpaniards;and(bottom)theSpanishmassacreAztecnoblesinthetemplecourtyard.BothfromDiegodeDurán’shistoryoftheindiesofnewSpain.1581.BibliotecaNacional,Madrid,Spain.Durán’sworkwasroundlycriticizedduringhislifetimeforhelpingthe“heathen”Aztecsmaintaintheirculture.ThischaptersurveystheculturesoftheAmericas,Africa,India,China,andJapaninthisperiod,andconsidershowEuropetransformedtheseculturesasitexploredtheworld(Map9.1)andwasitselftransformedbycontactwiththem.ButEuropeancontactwasnottheonlyinteractiontheseculturesexperiencedintheera.Theyalsoimpactedoneanother.FromaWesternperspective,theseculturesrepresentedawiderworldwithEuropeatitscenter.Butfromthepointofviewofthesecultures,Europerepresentedtheperiphery,aculturalforceinvadingtheirowncentersofculturefromtheoutside.51 Map9.1Worldexploration,1486–1611.NoteMarcopolo’soverlandroutetoChinain1271to1295,whichanticipatedthegreatseaexplorationsby200years.TheSpanishintheAmericasWhenCortésenteredtheAztecislandcapitalofTenochtitlán(Fig.9.5),morethan200,000peoplelivedthere.Gold-ladentemplestoweredabovethecity.Gardensrichinflowersandfruit,andmarketswitheveryavailablecommoditydominatedthecityitself;BernalDíaz(1492–1584),oneofCortés’sconquistadores,wouldlaterrecallthesight(Reading9.1):Fig.9.5PlanofTenochtitlán,fromCortés’sfirstlettertothekingofSpain.1521.Bernal52 Díaz,oneofCortés’sconquistadors,comparedtheplanofTenochtitlántoVenice.SetinthemiddleofLakeTexcoco,itwascrisscrossedbycanals.InthecenteroftheislandistheTemploMayor.Reading9.1FromBernalDiaz,TrueHistoryoftheConquestofNewSpain(ca.1568;published1632)Wewereastounded…Thesebuildingsrisingfromthewater,allmadeofstone,seemedlikeanenchantedvision…indeedsomeofoursoldiersasked…whetheritwasnotalladream…itwasallsowonderful…thatIdonotknowhowtodescribethisfirstglimpseofthingsneverheardof,seen,ordreamedofbefore…Letusbeginwiththedealersingold,silver,andpreciousstones,feathers,cloaks,andembroideredgoods,andmaleandfemaleslaveswhoarealsosoldthere…nexttherewerethosewhosoldcoarsercloth,andcottongoodsandfabricsmadeoftwistedthreads,andtherewerechocolatemerchantswiththeirchocolate.InthiswayyoucouldseeeverykindofmerchandisetobefoundanywhereinnewSpain…Wewereastoundedatthegreatnumberofpeopleandthequantitiesofmerchandise,andattheorderlinessandgoodarrangementsthatprevailed.WhatmostastonishedCortéshimself,asithadDiaz,wasthatAzteccivilizationwasassophisticatedashisown.“SoasnottotireYourHighnesswiththedescriptionofthingsofthiscity,”CortéswroteQueenIsabellaofSpain,“IwillsayonlythatthesepeoplelivealmostlikethoseinSpain,andinasmuchharmonyandorderasthere,andconsideringthattheyarebarbarousandsofarfromtheknowledgeofGodandcutofffromallcivilizednations,itistrulyremarkabletoseewhattheyhaveachievedinallthings.”Thisinclinationtoseeathrivingcivilizationasuncivilizedbecauseitisunlikeone’sownistypicaloftheattitudeofWesternerstowardthepeopleswithwhomtheycameintocontactintheAgeofEncounter.Otherpeopleswereexactlythat—the“Other”—aseparatecategoryofbeingthatfreedWesterncolonizersfromanyobligationtoidentifythesepeoplesasequal,orevensimilar,tothemselves.TheAmericasbeforeContact53 Greatcultureshad,infact,developedintheAmericasbeforethearrivaloftheSpanish.InthearidnorthofpresentdayMexico,asomewhatmysteriousbutenormouslyinfluentialcivilizationcenteredatTeotihuacánflourished.Bythefourthcenturyce,itwasacenterofculturecomparableinsizeandinfluencetoConstantinople.InMesoamerica,comprisingmodern-dayHonduras,Guatemala,Belize,andsouthernMexico,between250and900cetheMayaestablishedvastpalacecomplexesthatwereboththeadministrativeandreligiouscentersoftheirculture.Thesecultureswerethemselvesprecededbyothers.Asearlyas1300bce,apreliterategroupknownastheOlmeccametoinhabittheareabetweenVeracruzandTabascoonthesoutherncoastoftheGulfofMexico,wheretheybuilthugeceremonialprecinctsinthemiddleoftheircommunities.Intheseprecincts,theyerectedgiantpyramidalmounds,whereanelitegroupofruler-priestslived.ThesepyramidsmayhavebeenanarchitecturalreferencetothevolcanoesthatdominateMexico,ortheymayhavebeentombs.Excavationsmayeventuallytellus.AtLaVenta,verynearthepresent-daycityofVillahermosa,threecolossalstoneheadsstoodguardovertheceremonialcenteronthesouthendoftheplatform(Fig.9.6),andafourthguardedthenorthendbyitself.Eachheadweighsbetween11and24tons,andeachbearsauniqueemblemonitsheadgear,whichissimilartoold-styleAmericanleatherfootballhelmets.Theyarecarvedofbasalt,althoughthenearestbasaltquarryis50milestothesouthintheTuxtlaMountains.Theywereevidentlyatleastpartiallycarvedatthequarry,thenloadedontoraftsandfloateddownrivertotheGulfofMexicobeforegoingbackuprivertotheirfinalrestingplaces.ManyofthecharacteristicfeaturesoflaterMesoamericanculture,suchaspyramids,ballcourts,mirror-making,andthecalendarsystem,probablyoriginatedwiththeOlmec.Fig.9.6Colossalhead,LaVenta,Mexico,Olmecculture.ca.900–500bce.Basalt,height7’5”.LaVentapark,Villahermosa,Tabasco,Mexico.ThestoneheadsaregenerallybelievedtobeportraitsofOlmecrulers,andtheyallsharethesamefacialfeatures,includingwide,flatnosesand54 thicklips.Theysuggestthattherulerwastheculture’sprincipalmediatorwiththegods,literallylargerthanlife.MayanCultureTothesouth,anotherculture,thatoftheMaya,bothpredatedandpostdatedthatofTeotihuacán.TheMayaoccupiedseveralregions:thehighlandsofChiapasandGuatemala;theSouthernlowlandsofGuatemala,Honduras,ElSalvador,Belize,andtheMexicanstatesofChiapas;andtheNorthernLowlandsinthestatesofYucatan,Campeche,andQuintanoRoo.Theywereneverunifiedintoasinglepoliticalentity,butratherconsistedofmanysmallkingdomsthatengagedinwarfarewithoneanotheroverlandandresources.Anelaboratecalendarsystemenabledthemtokeeptrackoftheirhistory—and,evidencesuggests,predictthefuture.Itconsistedoftwointerlockingwaysofrecordingtime,a260-daycalendaranda365-daycalendar.The260-daycalendarprobablyderivesfromthelengthofhumangestation,fromapregnantwoman’sfirstmissedmenstrualperiodtobirth.Whenbothcalendarsweresynchronized,ittookexactly52yearsof365daysforagivendaytorepeatitself—theso-calledcalendarround—andtheendofeachcyclewaswidelycelebrated.TheMayancalendarwasputtomanyuses.AnexampleistheMadridCodex(Fig.9.9),oneofthefoursurvivingMayancodices.Itconsistsof56stucco-coatedbark-paperleaves,painted,withtheexceptionofonepage,onbothsides.Over250separate“almanacs”thatplaceeventsofbothasacredandsecularnaturewithinthe260-dayMesoamericanritualcalendarfillitspages.Itrecordseventsconcerningparticularlytheactivitiesofdailylife(planting,tendingcrops,theharvest,weaving,andhunting),rituals,astronomicevents,offerings,anddeitiesassociatedwiththem.Thefourhorizontalrowsinthelowerhalfofeachpanelarecomposedoftheglyphsofthe20nameddaysrecyclingthirteentimes.Skyserpentswhosendtherainandspeakinthunderareshownweavingaroundtherowsofglyphs.Intheshortertoptwoleavesstandardnumerologycanbeseen.TheMayanswrotenumbersintwoways:asasystemofdotsandbars,seenhere,andinasetofpictorialvariants.Twentywasexpressedwithaglyphofthemoon,andzerowithashell55 glyph,anumber,incidentally,usedwidelyinMesoamericamanycenturiesbeforeHindumathematicians“discovered”itinIndia.Fig.9.9MadridCodex.leaves13–16,ca.1400.Amatlpaperscreen-foldpaintedonbothsides.56leaves.MuseodelAmericas,Madrid.Divinerswouldhaveusedthistexttopredicteventssuchasflood,drought,oranabundantharvest.AmongthemostimportantMayancitiesisPalenque,oneofthebest-preservedofallMayansites.Lostinthejungleforcenturiesfollowingitsdecline,whichoccurredaroundtheyear850,Palenquewasrediscoveredin1746byaSpanishpriestwhohadheardrumorsofitsexistence.TheTempleofInscriptions,facingintothemaincourtyardoftheso-calledPalace,whichmayhavebeenanadministrativecenterratherthanaroyalresidence,risesinninesteps,representingtheninelevelsoftheMayanUnderworld(Fig.9.10).ItisinscribedwiththehistoryofthePalenquekings,whowereassociatedwiththejaguar.ThefirstrecordedkingisK’ukB’alam,“QuetzalJaguar,”who,sotheinscriptionssay,foundedthecityonMarch11,431.Palenque’smostpowerfulkingwasK’inichJanaab’PakalI(GreatSunShield),knownasPakal(603–83),whoruledfor67years,andtheTempleofInscriptionswaserectedoverhisgrave.56 Fig.9.10“Palace”(foreground)andTempleofinscriptions(tombpyramidofLordPacal),Palenque,Mexico.Mayaculture.600–900ce.Thesetwobuildings,alongwithtwoothertemplesnotseeninthisview,formedthecentralcomplexofpalenque.Anothercomplextothenorthiscomposedoffivetemplesandaballcourt,andathirdgroupoftemplesliestothesouth.Palenquewasthecenterofaterritorythatmayhavebeenpopulatedbyasmanyas100,000people.In1952,AlbertoRuz,aMexicanarcheologist,discoveredtheentrancetothetombofLordPakalunderthepyramid.Itwashiddenunderlarge,stoneslabsinthefloorofthetempleatthetopofthepyramid.RuzhadtoclearthepassagedowntoPakal’stomb,attheverybaseofthestructure,whichhadbeenbackfilledwithstonedebris.Whenhereachedthetomb,hefoundthatPakal’sfacewascoveredwithajadedeathmask.Asmalltubeconnectedthetombwiththeupperlevel,thusprovidingthedeadkingwithaneternalsourceoffreshair.Italsofunctionedasaformofcommunicationbetweenthelivingandtheancestor.Pakalwasburiedinalargeuterus-shapedstonesarcophagusweighingoverfivetonsandcoveredwithjadeandcinnabar.By900ce,theMayanculturefromwhichtheAzteceventuallyemergedhadcollapsedasaresultofawidevarietyofevents,includingoverpopulationandaccompanyingecologicaldegradation,politicalcompetition,andwar.Itspeoples,whosurviveinlargenumberstothisday,returnedtosimplefarmingaroundtheruinsoftheironce-greatcities.But,aftercontact,itseemedparamounttotheSpanishcrowtobegintoraisethenativepopulationfromits“barbarous”conditionbybringingChristianitytoit.TheSpanishessentiallyobliteratedthetraditionsoftheNativeAmericanculturestheyencountered,burningalltheirbooks,destroyingalmostevery57 recordoftheirhistorythattheycouldlaytheirhandson,andcripplingforalltimeourabilitytoeveradequatelypiecetogetherafullpictureoftheirculture.ChurcheswerequicklybuiltinMexicoCity.AndastheChurchsoughttoconvertnativepopulationstotheCatholicfaith,themusicalliturgybecameapowerfultool.Asearlyas1523,SpanishmonkscreatedaschoolforNativeAmericansinTexcoco,Mexico(justeastofMexicoCity),andbeganteachingmu-sic,includingGregorianchant,theprinciplesofpolyphony,andcomposition,onanimportedorgan.Throughoutthesixteenthcenturymissionariesusedmusic,dance,andreligiousdramastoattractandconverttheindigenouspopulationtoChristianity.Asyncreticculturequicklydeveloped,inwhichEuropeanstyleswereIndianized,andIndianculturewasChristianized.TheSpanishinPeruAninterestingexampleoftheSpanishChristianizationofnativecultureisoneofthemostelaboratelydecoratedofallIncasites,theCoricancha(literally,“thecorralofgold”),theIncaTempleoftheSunfacingthemainplazaofCuzco,thetraditionalcapitaloftheIncaempire(Fig.9.11).DedicatedtoInti,thesungod,theoriginaltemplewasdecoratedwith700sheetsofgoldstuddedwithemeraldsandturquoiseanddesignedtoreflectthesunlightadmittedthroughitswindows.Itscourtyardwasfilledwithgoldenstatuary—“stalksofcornthatwereofgold—stalks,leavesandears,”theSpanishchroniclerPedrodeCiezadeLeónreportedinthemid-sixteenthcentury.“Asidefromthis,”hecontinued,therewere“morethantwentysheepofgoldwiththeirlambsandtheshepherdswhoguardedthem,allofthismetal.”Fig.9.11OriginalincastonewalloftheCoricanchawithaDominicanmonasteryrisingaboveit,Cuzco,Peru.Incaculture.TheextraordinaryskillofIncamasonsisevidentinthissurvivinggranitewall,whichwasmadewithstonetoolsandwithoutmortar,andthathas,for58 centuries,withstoodearthquakesthathavedestroyedmanylaterstructures.SpainconqueredPeruin1533throughtheexploitsofFranciscoPizarro(1474–1541)withanarmyofonly180men.Pizarro’smilitarystrategywasaidedbysimpledeceit.HecapturedtheIncaemperor,AtahuallpawhoofferedPizarroaransomof13,420poundsofgoldand26,000poundsofsilver.Pizarroacceptedtheransomandthenexecutedtheunsuspectingemperor.HenextproceededtoplunderPeruofthegoldandsilverartifactsthatwerepartofitsreligiousworshipofthesun(gold)andmoon(silver),includingthemassivedecorationsattheTempleoftheSuninCuzco.Inaddition,Spanishpriestsquicklyadoptedthefoundationsofthetempletotheirownpurposes,constructingaDominicanchurchandmonasteryontheoriginalIncafoundations.TheIncatraditionallygatheredtoworshipatthecurved,circularwalloftheCoricancha,andthustheapseofSantoDomingowaspurposefullyconstructedaboveittoemphasizeChristiancontrolofthenativesite.Still,whateverthemissionaryzealoftheSpanish,theacquisitionofgold,silver,andothertreasurewasamajormotivationfortheircolonialenterprise.GreatmassesoftreasureweresenthomefromtheNewWorld.WhenthefirstRoyalFifth(thatis,one-fifthofthetreasurescollectedbyCortésandearmarkedbycontractfortheking)arrivedinBrussels,theGermanartistAlbrechtDürerwaspresent:IsawthethingswhichwerebroughttotheKingfromtheNewGoldenLand:asunentirelyofgold,awholefathom[sixfeet]broad;likewise,amoon,entirelyofsilver,justasbig;likewise,sundrycuriositiesfromtheirweapons,armor,andmissiles;veryoddclothing,bedding,andallsortsofstrangearticlesforhumanuse,allofwhichisfairertoseethanmarvels.Thesethingswereallsopreciousthattheywerevaluedatahundredthousandguilders.ButIhaveneverseeninallmydaysthatwhichsorejoicedmyheart,asthesethings.ForIsawamongthemamazingartisticobjects,andImarveledoverthesubtleingenuityofthemeninthesedistantlands.Indeed,Icannotsayenoughaboutthethingswhichweretherebeforeme.Accountslikethishelpedgiverisetothebeliefinanentirecityofgold,ElDorado,whichcontinuedtoeludethegraspoftheconquistadoresunderroyalorderwhofollowedinPizarro’sfootstepsinPeru,oftenwithunhappyresults.Thetreasuresofgoldandsilverthatwerebroughtbackwouldbemelteddownforcurrency,farmoreimportantthantheirartisticvaluetothe59 warringSpanishmonarchy.Infact,almostnogoldorsilverobjectssurvivefromtheconquest.WestAfricanCultureandthePortuguesePortugalwasasactiveasSpaininseekingtradingopportunitiesthroughnavigation,butfocusedonAfricaandtheEastinsteadoftheAmericas.In1488,BartholomeuDias(ca.1450–1500),investigatingthecoastofWestAfrica(Map9.2),wasblownfarsouthbyasuddenstorm,andturningnortheast,foundthathehadroundedwhatwouldlaterbecalledtheCapeofGoodHopeandenteredtheIndianOcean.FollowingDias,Vascoda(ca.1460–1524)sailedaroundthecapewithfourshipsin1497andreachedCalicut,India,10monthsand14daysafterleavingLisbon.Then,in1500,PedroCabral(ca.1467–ca.1520),seekingtorepeatdaGama’svoyagetoIndia,setoutfromthebulgeofAfrica.Sailingtoofarwestward,helandedinwhatisnowBrazil,whereheclaimedtheterritoryforPortugal.Map9.2Sub-SaharanWestAfrica,1200–1700.WhileMuslimtradershadextensiveknowledgeofNorthAfrica,littlewasknownofsub-SaharanAfricabeforethePortugueseexplorationsofthefifteenthandsixteenthcenturies.TheindigenousCulturesofWestAfricaWhenthePortuguesearrived,somewhattotheirsurprisetheydiscoveredthatthrivingcultureshadlongsinceestablishedthemselves.Severallargekingdomsdominatedthewestern60 AfricanregionknownastheSahel,thegrasslandsthatserveasatransitionbetweentheSaharaDesertandthemoretemperatezonestothewestandsouth.AmongthemostimportantisthekingdomofMali,discussedinChapter4,whichshowsthegreatinfluenceIslamhadcometohaveonmuchofnorthernAfricalongbeforetheendofthefirstmillenniumce.Farthersouth,alongthewesterncoastofcentralAfrica,werethepowerfulYorubastateofIfeandthekingdomofBenin.WestAfricanMusicTherhythm-drivencrescendooftheBeninpraisepoemsharesmuchwithAfricanmusicasawhole.Infact,thepoemmayhavebeenaccompaniedbymusic.Africanmusicispartofthefabricofeverydaylife,accompanyingwork,poetry,ceremony,anddance,andoftenevokedbyvisualart.TheWesternideathatmusiccanbeisolatedfromeverydayexperienceisalmostincomprehensibletotheAfricansensibility.Typicallyconsistingofasinglelineofmelodywithoutharmony,Africanmusicisgenerallycommunalinnature,encouragingasenseofsocialcohesionbypromotinggroupactivity.Asaresult,oneofthemostuniversalmusicalformsthroughoutAfricaiscall-and-responsemusic,inwhichacaller,orsoloist,raisesthesong,andthecommunitychorusrespondstoit.Call-and-responsemusicisbynomeanssimple.TheYorubalanguage,forinstance,istone-based;anyYorubasyllablehasthreepossibletonesandthistonedeterminesitsmeaning.TheYorubareproducetheirspeechinthemethodofmusicalsignalingknownastalkingdrums,performedwiththreetypesofbatádrums,whichimitatethethreetonesofthelanguage.Inritualdrumming,thedrumsareplayedfortheYorubagodsandareessentiallypraisepoemstothosegods.Characteristicofthismusicisitspoly-rhythmicstructure.Hereasmanyasfivetotendifferent“voices”ofinterpenetratingrhythmsandtones,oftenrepeatedoverandoveragaininacall-and-responseform,playoffagainstoneanother.Thismethodofplayingagainstor“off”themainbeatistypicalofWestAfricanmusicandexiststothisdayinthe“off-beat”practicesofWesternjazz.PortugalandtheSlaveTradeAfterBartholomeuDias’sexplorationofthewestcoastofAfrica,itdidnottakelongfor61 EuropeanandAfricantraderstoextendexistingpracticesofhumanexploitationthatwerecommononbothcontinents.Thistradeinhumanlaborwouldeventuallytakeonascopeanddimensionnotpreviouslyseen.ThePortugueseexploitationofAfricanlaborwasfinancedprincipallybyaFlorentinebankertogetherwithagroupofotherfinanciersfromGenoa.Overthecourseoffourcenturies,thePortuguesetransportedmillionsofAfricansacrosstheAtlanticontheMiddlePassage,sonamedbecauseitformedthebaseofatriangulartradesystem:EuropetoAfrica,AfricatotheAmericas(theMiddlePassage),andtheAmericastoEurope.Noonecansaywithcertaintyjusthowmanyslavesmadethecrossing,althoughestimatesrangebetween15and20million(Map9.3).Partoftheproblemistheunknownnumberswhodiedofdiseaseandharshconditionsduringthevoyage.Forinstance,in1717,ashipreachedBuenosAireswithonly98survivorsofanoriginal594slaves.Suchfigureswereprobablynotunusual.Forawhile,atleast,thePortugueseenjoyedacertainstatusasdivinevisitorsfromthewateryworld,therealmofOlokun,godofthesea.Theywereconsideredtobetheequivalentofthemud-fish,becausetheycouldboth“swim”(intheirboats)andwalkonland.Themud-fishwassacredtothepeopleofBenin,whosawitasasymbolofbothtransformationandpower.(Itliesdormantallsummerondrymudflatsuntilfallwhentherainscomeanditis“reborn.”)(Thefishisasymbolofpowerbecauseitcandeliverstrongelectricshocksandpossessesfatalspines.)Likewise,thePortugueseseemedtobebornoftheseaandpossessedfatal“spines”oftheirown—riflesandmusketry.Anexampleofthisassociationofthemud-fishwiththePortugueseisadecorativedesignthatformsthetiaraofanivorymaskwornasahippendantbytheobaEsigie(r.1504–50)(Figs.9.16and9.17).(AnobaisthesupremetraditionalheadofaYorubatown.)Thependantprobably62 depictsthequeenmother(thatis,theoba’smother),oriyoba.Esigie’smotherwasnamedIdia,andshewasthefirstwomantoholdofficiallythepositionofiyoba.Apparently,whentheneighboringIgalapeopleoflowerNigerthreatenedtoconquertheBenin,IdiaraisedanarmyandbyusingmagicalpowershelpedEsigiedefeattheIgalaarmy.PartofhermagicmayhavebeentheenlistmentofPortuguesehelp.InacknowledgmentofthePortugueseaid,theiyoba’scollarbearsdecorativeimagesofbeardedPortuguesesailorsandalternatingsailorsandmud-fishatthetopofhertiara.Fig.9.16Maskofaniyoba(queenmother),probablyidia,CourtofBenin,nigeria.ca.1550.Ivory,iron,andcopper,height93/8”.TheMetropolitanMuseumofArt,NewYork.TheMichaelC.RockefellerMemorialCollection,GiftofNelsonA.rockefeller,1972.(1978.412.323).Thescarificationlinesontheforeheadwereoriginallyinlaidwithiron,andsowereitspupils,bothsymbolsofstrength.Fig.9.17Symbolofacoiledmud-fish.FoundthroughouttheartofBeninandinthetiarawornbytheiyobainFig.9.16.63 TheimpactofthePortuguesemerchants,andoftheCatholicmissionarieswhofollowedthem,wasnottransforming,thoughitwasundeniableandattimesdevastating.TheBeninculturehasremainedmoreorlessintactsincethetimeofencounter.Today,forinstance,duringritualsandceremonies,theobawearsathiswaistfiveorsixreplicasofmaskssuchastheiyoba’s,aswellasthetraditionalcoral-beadheaddress.Oraltraditions,likethepraisepoem,remaininplace,despiteattemptsbyWesternprieststosuppressthem.Ifanything,ithasbeenthelast50yearsthathavemostdramaticallytransformedtheculturesofAfrica.Butitwastheinstitutionofslavery,longpracticedinAfricaandtheMiddleEastandbytheYorubaofIfe(theirfoundingcity)andtheBeninpeoples,thatmostdramaticallyimpactedPortugueseandWesternculture.AtfirstBeninhadtradedgold,ivory,rubber,andotherforestproductsforbeadsand,particularly,brass.Thestandardmediumofexchangewasahorseshoe-shapedcopperorbrassobjectcalledamanilla,fiveofwhichappearinanearlysixteenth-centuryBeninplaqueportrayingaPortuguesewarrior(Fig.9.18).Suchmetalplaquesdecoratedthepalaceandroyalaltarareaparticularly,andherethesoldierbringswithhimtheverymaterialoutofwhichtheplaqueismade.Ifhisweapons—tridentandsword—suggesthispower,itisapowerintheserviceoftheBeninking,atleastfromtheBeninpointofview.Fig.9.18PortugueseWarriorSurroundedbyManillas,CourtofBenin,nigeria.Sixteenthcentury.Bronze.KunsthistorischesMuseum,Vienna,Austria.Noticethebackgroundofthebronze64 incisedwithjunglefloralimages.ThePortuguesealsopickedupthousandsofsmallobjects—amulets,trinkets,andsoon—thattheytermedfetisso,asixteenth-centuryAfro-Portuguesepidginwordfromwhichderivesourwordfetish,signifyinganobjectbelievedtohavemagicalpowerssimilartothoseofWesternobjectssuchasrosariesorreliquaries.Buteventuallythetradeturnedtoslaves.Africanshadlongbeensellingslaves,thevictimsofwarwithneighboringterritories,toMuslimtraders.ButthePortuguesedramaticallyexpandedthepractice.Atthestartoftheera,around1492,therewereanestimatedbetween140,00and170,000AfricanslavesinEurope,butinabout1551,thePortuguesebeganshippingthousandsmoreslavestoBraziltoworkinthesugarplantations.Warcaptivesprovedaninsufficientsourceofbodies,andthePortuguesetookwhomevertheycouldgettheirhandson.Furthermore,theytreatedtheseslavesmuchmoreharshlythantheMuslimshad.Theychainedthem,brandedthem,andoftenliterallyworkedthemtodeath.Inshort,thePortugueseinauguratedapracticeofculturalhegemony(culturaldomination)thatsetthestagefortheracistexploitationthathashauntedtheWesternworldeversince.65 附录II中文译文第九章邂逅与冲突——全球互动日趋频繁的影响阅读前思考：艺术如何反映了中国政府的价值观？中国明朝对接触更广阔的世界作何反应？佛教和军事文化之间的紧张关系如何影响了日本艺术？在美洲，有哪些文化先于阿兹特克文化？西班牙入侵者对阿兹特克文化的反应是什么？葡萄牙殖民者是如何影响非洲西部的文化传统？中国及其影响阿克巴和贾汉吉尔领导下的印度艺术，其文化传统的交融或汇合，在欧洲人踏上中国海岸之际，受到中国人普遍的抗拒。这其中的原因很多，但很重要的一点是因为中国人对其文化有着固有的优越感。例如，几个世纪以来，汉人抵挡了蒙古的影响，同时选择闭关锁国，免受外来文化影响。唐朝，“持久和平之城”——长安(公元618—907)这并不是说，中国人完全退出了世界舞台。公元618年，唐朝在中国建立了一个和平繁荣的盛世，长达660年之久（除了十世纪有过短暂的动乱外）。迄今为止，唐朝是第二个五百年间，世界上最大且组织最完善的政府的产物，其首都是丝绸之路东端的长安——意为“持久和平之城”（今西安，约为唐时首都的七分之一大小）。长安也曾是汉朝首都，在唐朝试图恢复丝绸之路的贸易时，也制定了精细的计划恢复这座城市。至公元八世纪，其人口已超过100万，城墙包围着这座城市，周长约26英里，占地约42平方英里。城墙外的区域可能也住了近一百万人，包括高丽、日本、犹太教和基督教社区，君王与波斯也保持着外交关系。长安曾一度是世界上最大的城市，精心设计的网格布局展现了唐朝的社会秩序，且他们66 认为，这也反映了宇宙的秩序（图9.24）。长安共被划分为108块街区，每一个街区本身就是一个微型的被城墙围住的城市，各自有着内部的街道和城门，一到夜里，城门就会关闭。天文学家根据太阳在中午投下的影子和夜晚北极星的位置排列街道，由此为城市确定了四个主要方位。皇宫坐北朝南，象征着君王俯视他的城乃至他的帝国。自古以来，中国皇帝都背对北方，因为人们认为恶魔都来自北方（更不用提匈奴了）。皇宫前建了许多政府机构，由500英尺宽的大道直接通往南门。唐朝尤其重视教育。长安的太学培养所有政府人员(妇女除外)，智力成就深受人们推崇。儒家和道家哲学主导了艺术，尤其在诗歌的表现上，两位唐代诗人，信奉道教的李白(701-62)和信奉儒家的杜甫(712-70)都表现得尤为突出。两者都从《诗经》得到启示(见第3章)但又都极大程度地对其进行了延伸。两首短诗即可看出他们不同的性格(阅读9.4):李白、杜甫是饮中八仙中的两位。在洒满月光的春夜，他们聚集在桃李园，把酒言欢，纵情谈笑，因此得名饮中八仙。与其他六位一样，李白杜甫精通诗歌、书法、绘画、治国和哲学。他们呈现了一种典范，即个体精通于各个领域能得以全方位的发展，500年后这也被西方叫做“文艺复兴人”。他们也代表了唐文化的复杂特征——即强而有力，充满激情和同情，同时又理想与现实并存，极具个性，即使是为大众服务。67 图9.24中国唐朝首都长安的规划图，约公元600年在汉朝就已通过风水确定了首都的位置，从字面上看即为“风”和“水”，能评估流经特定区域的原始能量。在这种情况下，城市北面的山岭和穿行其中的小溪被认为是保护了这片区域。风水一直沿用至今。宋朝与“天堂之城”——杭州(公元960-1279)到了十三世纪，南宋首都杭州（1127-1279），一个近200万人口的城市，其发展已超越长安。首位西方人马可波罗（1254-1324）第一次来杭州时，把它称之为“全世界最辉煌的城市”。他在他的游记（首次出版于1299年）中对杭州进行了详细的描写。他写道，他作为忽必烈的使者首次出使杭州，公元1271年，北宋已经被忽必烈征服，但一直到1279年才征服了长江流域一带的南宋。因此，在波罗首次到达杭州时，杭州仍是一个宋朝城市。这里的湖和公园是那么美丽，到处都有茶室，游客们可以在这欣赏岸上点点的宫殿，塔和寺庙，因此得名Kinsai（音同“京师”），也叫“天堂之城”。整座城市约200平方米，被30英尺高的城墙及四周更高的瞭望塔所保护。城墙内是运河系统，这一定让波罗想起了他的故乡威尼斯，因为威尼斯有大约1万2千座纵横交错的桥。这些运河被著名度假胜地西湖所滋养，这是中国68 最有名也可能是最美的湖。美丽的女性和来享受闲暇的人欢聚在船屋，作家和艺术家则聚集在岸边安静的藏书楼和寺院里。波罗写道，在这座城市里，有12个不同的行会，每个行会都有12000座房子供其工匠居住。每座房子至少住12人，有些甚至住20到40人，包括在师傅手下工作的学徒们。鉴于大国的许多城市都由这城市供着，所有的工匠都全职在岗。事实上，每个行会的工匠都来自同一个省。在杭州，茶商和布商都来自安徽的东部省份，木匠和其他家具木工来自宁波市等。所有人在这个首都享受贸易和商业带来的好处。食品、丝绸、香料、鲜花和书布满了市场（阅读9.5）：这些居民习惯于“精致的生活”，显然他们生活得相当不错。“居民的房屋都很结实和贵气，”波罗写道，“他们在装饰、绘画和建筑上带来的喜悦，使得他们在这上花了大笔惊人的钱。”换句话说，杭州是亚洲文化的中心，且在很多方面已超过当时西方国家达到的水平，而在西方，只有马可波罗相信它的存在。宋朝有着无尽的繁荣，这是世界上最大的铁供应商，兴起的商人阶级不仅在丝绸之路上进行贸易（见第三章）也通过船将贸易涉足到东南亚海域。政府逐渐被其控制。崛起的关键在于活字的发展，这让宋朝能在纸上印刷书籍。印刷机改革了知识在中国的传播方式。(在400年后的西方，古腾堡的活字印刷机，我们普遍认为它改革了知识的传播)富裕的商人阶级的孩子参加公立学校、私立学校和宗教学校，在那他们能学习最新的印刷的书籍，包括《诗经》，这是所有中国公务员的必读书目，以及各种官场考试所需的百科全书。这类受过高等教育的官员阶级让儒家重回统治地位并运69 用道家和佛家对其进行加强。佛家自此正式成为外教，但它对宇宙的解释为儒家提供了宝贵的形而上学因素。因此，借助于新儒家教义，这些官员为政府带去了深层的信仰，良好运作的社会反映了宇宙亘古不变的道德秩序。禅宗的发展对宋代艺术家和文人尤为重要。“禅”（西方把这称为“Zen”，按日文发音），这源自梵语dhyana，意为“冥想”。正如道教，佛教的禅宗教人如何在与自然和谐相处中找寻幸福。通过使用瑜伽技巧坐着冥想，佛教徒追求道家的“天人合一”、儒家的“礼”以及自然的原则或内部结构。佛教徒认为经典佛教的传统经书、仪式和清规是毫无意义的，因为佛性存于每个人的内心，等着从冥想中被唤醒。因此，修炼禅宗的诗人和艺术家把他们自身看成器具，由此自然精神能通过他们进行表达。宋朝的“正直”在宋朝国画中体现的淋漓尽致，山水画成为了在艺术中最重要最体面的展现个人和哲学表达的方式。山水被认为表现了所有事背后的潜在原则，通过物质表现明确展现了世界。与道的精神追求相似，艺术家的任务即是挖掘自然的潜在原则及山、瀑布、松树、岩石、芦苇、云和天空的外在本质。人物在山水面前变得矮小，在自然面前显得微不足道。长久以来，绘画时期从山谷的前景崛起到高山顶，眼前的小路，飞落直下的瀑布，岩石峭壁和喻为指路的高大的松树。人类世界留下的路获得了更一致的原则（见“补充阅读”，292-293页）。补充阅读郭熙《早春图》立轴里的人物形象在大自然中都被凸显得不太起眼。大山代表着自然，是对永恒的一个有力、壮观的象征。郭熙图中的构图是基于“山”这个汉字。在整体的构图上以及独立的笔触和水墨比划中，书法家灵动的手充分反映在郭熙的这幅画中，传达了这个理70 想的风景。书法家郭熙对这种平衡、节奏和线条的移动很感兴趣。郭熙曾是神宗皇帝在位期间的一位宫廷画家。当时，他被赋予绘制紫禁城所有壁画的职责，这座北京的宫殿群禁止外来人进入，故名紫禁城。他对山水画的理解后来也被他的儿子郭思记载在《林泉高致》中。据此书记载，中央的山峰象征了皇帝本身，高高的松树象征了朝廷的气节。在大山周围的树木和山丘在大自然中错落有致，象征着皇帝身边的群臣。郭熙，《早春图》，宋朝，1072年。立轴，绢本浅设色。长5’。中华人民共和国，台湾，台北故宫博物院。在中国的宇宙观中，万物皆有他自己的位子，因此这些观点也被反映在这幅画中。该画的每个部分都被设在合适的“距离”。中国汉字“山”难以察觉的是，在左下方有两个人物爬出了他们的船，另一个站在右边的岸上。第二个人物身后，有两个瀑布从山边上垂下来，能看到有一个小村庄坐落在瀑布上方的山坡上。思考……在西方，山水画一直到18世纪才成为受欢迎的一个流派。在中世纪，东西方之间关于这一点的态度有何差异？中央的大山被上了色，所以我们会把它放在一个远位，就像我们凝视君王一样。在画的左边，我们会注意到远处的一个水平距离，创造了一种无限感，空间的永恒感。在前景的近景中，在我们的视线下，通过意象，我们能看到我们在自然中是多么微不足道。更多关于郭熙《早春图》的详情，请登陆myartslab.com71 图9.25郑思肖，《墨兰图》。元朝，1306.水墨纸本，101/8”3163/4”.日本大阪市立美术馆。元朝的画家如郑思肖为身边的画家和朋友作画，而不是为大众。因此，郑思肖能在画的文本中畅意书写他的政治思想。元代(1279年—1368年)在整个西方的中世纪时期，中国受到了来自北方游牧民族的威胁。北宋首都汴京已经在1126年沦为满洲部落，在成吉思汗的进攻下，迫使将首都往南撤退到杭州。最后，在1279年宋朝屈服于蒙古领袖成吉思汗的孙子忽必烈。忽必烈统治了一个新的首都即今天的北京，用网格规划图将其转变为城墙化的城市并延长京杭大运河为城市提供物资。蒙古人在成吉思汗和其子孙的领导下控制了政府的最高职位，并自称为元代，但他们依赖中国官员征收税款和维持秩序。中国理解与蒙古人合作的必要性，但他们把蒙古人看成是侵占他们家园的异族人。（请记住，异族人被禁止进入紫禁城。)马可•波罗来到中国时，中国的文人画家不愿意在外国的统治下服务朝廷，因而退出公共生活。但在流亡期间，他们创造了反抗的艺术符号。例如，他们画了大量的竹子，因为竹子可以弯曲但从不会折断，就像中国人自己一样。1306年，郑思肖画了一幅《墨兰图》（图9.25），由题词可看出，该画意在反抗“入侵者对中国领土的掠夺”。兰花，实际上，能离开泥土继续生存，靠岩石或树木周围空气中的水分赖以生存，就像思肖那样。明代(1368年—1644年)72 1368年，朱元璋(在位时间为1368年——1398年)把最后一个元朝皇帝向北驱逐到戈壁沙漠并宣称自己为新明代的第一任皇帝，于此，元朝最终被推翻。汉人再一次统治了中国。明代君主恐被蒙古族再扰，建立了大概中国历史上最专制的政府以对其进行抵御。朱元璋招募了成千上万的工人加固中国的万里长城（见图3.24）以抵抗北来的侵略，而数不尽的工人也死于这一工程。他配有庞大的军队并组建了一支海军抵抗海上的入侵。在明朝统治下，那些在元朝时就已深受束缚的文人此时更为尤甚。但为了学术和艺术，其子朱棣下令编纂了11095册的权威百科古典。此外，他也在忽必烈废都上，在北京重新修建了故宫（图9.26）。在所有事物中，这座宫殿群（又名紫禁城）即为他统治下的建筑标志。这一名字意为只有为皇宫做事的那些人才准通过它的城门。尽管此城是在十八世纪的清朝统治下才得以大力重建（1644-1900），但其总的格局仍是基于元朝遗址下明朝的修建。事实上，在元朝时，蒙人为他们保留了北京北边的全部领域，汉人子民只能居住在南边三分之一大小的地方。而明代君王保留着这种划分，允许大臣和官员居住在北边，即内城，平民只能住在南边，也叫外城。紫禁城位于内城中心。如同唐朝首都长安，北京也是网格布局。依照风水，紫禁城就坐落在南北纵向的中轴线上（图9.24）。道家认为，上到高山、山脊，下到小溪、河流，能量的“龙脉”或宇宙间的气都影响着周围人们的生活。既然人们相信邪恶的力量来自北方，则此城朝南。鉴于帝王都被认为是神圣且最接近天意，风水在皇城建设中的应用也就变得尤为重要。紫禁城占地240英亩，四周为15英里的护城墙，共有9999座建筑和房间，每间都有门钉，每排九个门钉。在中国，“九”谐音“久”。作为最大的个位数，九也被认为是“天数”，因此只有帝王才可使用这一数字。建筑群的建筑采用了商周时期连梁柱的传统模式。帝王和皇族极少离开紫禁城。来者需通过U型的午门，之后穿过金水河，其上共架有五座拱形大理石桥。走过庭院，矗立的是太和门，太和门的另一边即为另一个宽阔的庭院直通太和殿。在最重要的场合，皇上就在这太和殿，朝南端坐在他的龙椅上，背对北方的邪恶势力。太和殿后面是私人空间，皆为日常生活区。建筑器的平衡和对称被认为体现了宇宙的和谐。当时人们认为，紫禁城坐落于世界的中心，是帝王统治和天子职责在维持国家秩序、平衡和和谐上的建筑象征。 73图9.26太和殿高26.92m，在太和门的广场的对面。建于三层高的大理石平台之上，为紫禁城中最大的建筑。诗与画:竞争中的流派考虑到奢侈品是他们身份的象征，朝廷和新兴的富商阶层也寻求名画。在唐朝，这类画一般由受过高等教育的文人或士大夫阶层所绘，他们擅长作诗、书法以及绘画。许多画结合了画和诗，后者的书写极具艺术家个人风格。在明朝晚期，董其昌（艺术家、书法家、理论家，位居高管）（1555-1636）写了一篇文章，影响了我们自古以来看待国画史的方式。尽管很多文人，甚至是在董其昌那个朝代的文人，觉得这一方式过于简单——他把国画史划分为两个派别，南派和北派，虽然这和地域几乎无关，是文人们在画中展现的精神决定了其派别。如果他的画风非正统、激进且别出心裁，那他就属于南派，如南宗。如果他画风保守、传统，那就是北派，如北宗。北派殷宏，《孔雀牡丹图》。殷宏是一位宫廷画家，活跃在15世纪末16世纪初，是北派风格的代表之一（图9.27）。该画极具精致的装饰风格，这就需要画家的工艺。殷宏在传统国画的基础上，运用了丰富的色彩，因此，在宋朝极其流行的鸟花样式在中世纪初的西方也盛极一时。宋代郭熙，《早春图》（见“补充阅读”，本章，292-293页）。殷宏的画也有跟帝王直接相关的象征含义。《早春图》中央的山峰象征了皇帝，周围矮点的山峰和树木都簇拥其下。孔雀象征了皇帝，周围百鸟围绕，象征了百官臣服。图9.27，殷宏，《孔雀牡丹图》。明代，约十五世纪末——十六世纪初。立轴，绢上水墨，7"101/2"36’5”.©克利夫兰艺术博物馆。从J.h.74 韦德基金会,74.31购买。鉴于孔雀是最具观赏性的鸟类，中国人在中东用丝绸贸易孔雀。南派南派风格比北派要委婉得多，偏向于用墨表达色彩解放笔触（强调绘画的抽象性质）并细腻的展现细节线条。对南派文人来说，现实存在于心中，而不是物质世界，因此艺术的自我表现是终极目标。而且，南派的画作更是系统性地综合了文人应该掌握的三个领域，即诗歌、书法和绘画。因此，南派的绘画，如沈周（1427-1509）的《杖藜远眺图》激进表现了传统的中国山水（图9.28）。在宋代早期的山水画中，对自然世界的拥抱使人物显得渺小（见“补充阅读”，292-293页）。但在沈周的明代绘画中，诗即为中心，他勇敢面对在他心中的虚空：“白云如带束山腰，石磴飞空细路遥。独倚杖藜舒眺望，欲因鸣涧答吹箫。”图9.28沈周，中国（1427——1509年)。《杖藜远眺图》，1496，系列：山水画。画集：沈周5页，文征明1页，明代（1368-1644）。画集的册页为一画轴，绢上水墨151/43233/4英寸（38.7360.3厘米）。纳尔逊•阿特金斯艺术博物馆，密苏里州堪萨斯城，从威廉•罗克希尔•纳尔逊信托购买46-51/2.图片来源：罗伯特·纽康比。沈周以一种轻松随意的态度把他放在构图的中心，反映了禅宗，比智慧更直观。注意他笔触和书法的放逸爽利。一个能把自己放于绘画和诗歌中心的文人对入世兴致缺缺。沈周远离朝廷，在苏州度过他的一生。但是，有趣的是，这就是沈周的风格，也是其他南派文人画家的风格，明代理论家董其昌最钟意这一风格，也成了后来清朝的主要正统画风。奢侈品75 明代宫廷奢华的生活方式为大量装饰性奢侈品的生产提供了保证。此外，随着贸易的繁荣，很多中国商人渐渐累积了财富，开始搜集画作、古董、精致的家具以及其他上乘物品。漆器尤为盛行，漆器由漆树树液制成。漆器是种透澈的天然清漆，涂于木头、织物或其他易腐烂材质表面可以让他们与空气隔离，防水、防热和防酸。在表面涂上多层薄漆能被雕刻成多种式样。漆器家具、碗碟以及其他小物件都非常受欢迎。其中一个中国人以及那些和中国贸易的商人认为高价的商品是陶瓷。大约在1004年，中国人在景德镇发明了制作陶瓷的工艺，到明初共拥有20窑。1424年，朱棣逝世，这一年，数量扩大到了原来的3倍，共58个窑。明画家在未烧的陶罐表面用钴蓝色的釉料装饰，再用白釉涂上一层，之后再放入窑中烧。朱棣在位期间，中国陶瓷得到了极大的改进，这主要归功于郑和。郑和拿中国货物交易钴矿砂，这种材料可能来源于波斯的卡尚，卡尚盛产铁，少产锰（正好与中国矿石相反），由此多了一种丰富的新色彩。明代画家最喜欢的基本图案是鱼、波浪和海怪，尤其是龙，因为他们象征了帝王，据说他们的血脉里流淌着龙的血（图9.29）。在明代的艺术品中，从纺织品到漆器到玉雕，龙随处可见。注意图9.29中的两个花瓶是镜中图像，精致的龙的轮廓形状似乎是在模仿各自腾飞的姿势。他们的姿态，实际上是来自太极拳优美的招式。中国武术包括独自完成的形式，打一套拳，有两人对练的形式，也叫推手。这两个花瓶创造了一种平衡感，就像太极的标志“阴”和“阳”一样。图9.29这对花瓶来自中国，宣德统治年间的标志（1426-1435年），明代（1368-164476 年）。陶瓷带青花彩绘，213/43111/2英寸(55.3329.2厘米)。纳尔逊•阿特金斯艺术博物馆，密苏里州堪萨斯城，从威廉•罗克希尔•纳尔逊信托购买40-45/1,2.图片来源：约翰·彭伯顿。早在铜器时代，中国人把龙与自然的突然现象联系在一起，如风雨雷电。到了唐宋时期（10-15世纪），画龙成为了求雨的祈福方式。对佛教徒来说，龙象征了顿悟。日本:朝廷任免权和精神锻炼尽管佛教很早就为日本人所知，但普遍的说法认为佛教是在大和时代（见第一章）从韩国和中国传入日本。日本历代记记载，在552年，韩国百济时期的王给日本统治者送了一尊佛像和一系列神圣的佛经。中国书法是日文字体的基础，因此日本改良版佛教似乎也是可接受的。但并不是所有人都接受佛教。大和时代的三大竞争氏族，苏我氏、物部氏和中臣氏，每个氏族都通过联姻与天皇家族维持关系。物部氏主管皇族的军事，中臣氏主管神道仪式，反对引入佛教。但是作为皇族的管理者，苏我氏持续与韩国人和中国人保持联系并深深被宗教吸引，大和天皇允许他们在他们各自的氏族中实行。这些抗争会影响日本接下来几个世纪的文化。早在708年，藤原氏是中臣氏的后裔，统治日本近500年，监管了新首都的建设，因新首都在奈良平原所以首都也被称为奈良，离东北部的明日香约15英里（图9.4）。该首都以长安这座有围墙的城市为模型按中国的城市蓝图进行布局（见图9.24）。东西方向约为2.7英里，南北纵向为3.1英里，在平城宫的中心有一条南北纵向的宽阔大道。尽管在一世纪前的奈良，中臣氏和藤原氏瞧不上学习佛法的苏我氏，但他们最终官方接受佛教为国教。宏伟的寺庙和修道院都已建成。图9.4日本日本与亚洲大陆隔绝，因此对更先进的文化发展得慢，较不易被影响。77 平安时代：威严又典雅早在七世纪，佛法教义和神道教开始互相影响。在18世纪，奈良的大佛与神道天照女神（见第一章）和佛教徒典礼也包括在神道宫廷仪式里。但在784至794年间，日本的首都转移到平安京，也就是如今的京都，很快就成为了世界上人口最密集的城市之一。据记载，这是因为世俗的朝廷需要远离奈良佛教徒所带来的宗教影响。在平安京，艺术在优雅精致的氛围里达到鼎盛时期。平安时代男女待遇完全不同。男性可以出门参加公共生活，而女性基本足不出户。事实上，几乎见不到什么女性。一位贵族女性可以远行去寺庙，但却不应该被公众所看见，她或许可以接待一位男性拜访者，但他们俩交谈时，中间应隔着屏风。受过良好教育的女性被寄予期望可以为平安时代的审美做出贡献。许多皇宫的珍藏品都出自男女皆可参加的诗歌竞赛。诗歌通常为一个对象所作——朋友或爱人——并期待回复。紫式部是平安时代最有成就的女性之一，也是天皇彰子（988-1074）的侍女，在她的日记里——日语叫Nikki——紫式部（937/8-约1014后）描写了这样的一种交流（阅读9.6）：阅读9.6摘自紫式部的日记走廊入口处就是我的房间，我在这能看见花园。空气很潮湿，露珠仍然挂在叶子上。道长大人正走到那，命令他的手下清理小溪。渡桥南面女郎花开得正盛，大人亲手折下一枝。他隔着我的帘子瞥见了我。他高贵的身子让我尴尬，因为让他见到了我早起还没洗漱的那张脸。他说“你以此花作诗，慢了可就没乐趣了”我便顺势跑到砚桌，低头不让他看：“观女郎花盛开之色，知我身未分承露恩。”“好快呀。”大人微笑，命人拿来他的文具，接到：“白霞珠洒花与人，花方艳更染美色。”女郎花：一种花78 早起的脸：没有化妆通过这篇简短的文章，我们能捕捉到宫廷生活的氛围，在淑女的私人空间里，他与宫廷男性的关系，两位诗人对自然美景的关注及表达都展现了他们的个人主观感受。日记中是一种极重要的文学形式，向我们展示了平安时代的宫廷生活。紫式部的诗，实际上是她所有的文章都以一种新颖纯粹的日语体系展现，也叫平假名。始于9世纪初，平假名逐渐取代了汉字的用法，使作家从发音上读出日文。大学课程保留了中国的经典作品和历史，政府正式的文书仍需要使用中文。中文是当时日本男性才能使用的语言。自平安时代起，他们开始学习平假名，即使是当时宫廷的女性，中文也学得很好。鉴于平假名十分便利，在男性中也很普及，这鼓励了日语新诗体的发展，尤其是和歌。和歌共5行，31个音节。主题通常为自然和季节的变迁。下面是一首平安时代，最伟大的诗人之一，纪友则的和歌（850-904）（阅读9.7）：阅读9.7纪友则《完美的寂静》春光渐逝日色闲，千树樱花舞翩跹。这里的冲突在于白天的静与樱花的动，这反映了诗人内心的冲突，暗示了一丝期待。和歌为其他日本诗体做出了一个典范，尤其是著名的俳句，3行，17个音节，就由和歌的前三行发展得来。除日记之外，紫式部也写了长篇散文和诗歌（英文译本有1000多页），包括了许多他日记里记载的诗歌的交流。许多人把这当成是世界上的第一部小说——当然，西方世界直到18世纪才有这一领域的小说。该书名为《源氏物语》，讲述了源氏的故事。源氏是一位皇子，由天皇最宠爱的妃子所生，因为他母亲在后宫等级不够，因此，源氏无法成为皇位继承人。大多场景都发生在家和平安京花园。这是一个动人的浪漫故事，描述了英雄的一生，约75年。这本书为我们展现了在公元1世纪之际，日本社会生动的生活画面。镰仓时代（大约1185-1392年）：武士和幕府在平安时代，天皇逐渐依赖地方武士氏族来掌控军事，尤其是在乡下。随着时间的推移，这些家族的权力越来越大，直到1100年，他们开始成为日本军事和政治生活中一股中79 流砥柱的力量，由此开创了镰仓时代。名字来源于几个显赫氏族所在的主要城市，源。这股新兴力量从多种角度展现了氏族权威系统的复苏，自大和时代起，它在日本社会中就一直根深蒂固。但几乎不可避免地，他们的兴盛导致了激烈的争夺最后爆发了战争，如同大和氏族那般重蹈覆辙。净土佛教艺术随着战争的蔓延，很多日本人觉得这宣告了末法时代的到来。预言在释迦牟尼佛死后2000年开始，会持续1万年。在这期间，没有人能得到教化，社会逐步堕落。净土宗提供了一种出路。净土宗源于6世纪末的中国，是大乘佛教的一种特殊形式。大乘佛教认为万物的同理心是信念的基础，人的终极目标不是涅槃而是成为佛陀。他们把除了释迦牟尼的佛陀，阿弥陀佛奉为无量光佛、无量寿佛，住在西方极乐净土。净土宗早在七世纪初就传入日本，中国的阿弥陀佛就变成了阿弥陀。对日本人来说最吸引他们的是极乐世界的信念，念诵南无阿弥佗佛（向阿弥陀佛致敬），信徒会在西方极乐净土重生，并最终获得在凡世不可能得到的开悟。最早的净土吟诵使者是和尚空也（903-72），他在乡村步行诵经并大做善事。他死后的两百年，镰仓时代的艺术家康胜（图9.30）依他的容貌做了一尊雕像，由此更使得他扬名。他手持鹿角杖，暗示其曾杀过鹿，这种死亡带来的暴力让他皈依佛祖。雕像最明显的特点是对空也诵经的再现。他的嘴里叼着6尊小佛像，象征了南無阿弥陀佛的6个音节（最后的u不发音）。图9.30康胜，《空也宣法》。镰仓时期，1207年以前。内嵌水晶眼珠，漆木，高461/2”。六波罗蜜寺，京都。空也肩挂枷锁在胸前挂锣，供他在起舞诵经时候使用。军事文化的艺术1185年，源氏族打败了他的主要对手平氏族，自此镰仓时代真正开始了，但两大氏族80 间的角逐一直延续到平安时代末。一本长手卷，对1160重大战争的叙述表现了平安时代藤原氏族和镰仓武士家族的复杂关系，来自平治年间的重大事件卷轴，大约在事件发生100年后由一位不知名的画家在13世纪所绘（图9.31）。1156年，后白河天皇（1127–92;在任时期1156–58）在藤原掌权，作为天皇的摄政王，是政府的最高职位。但后白河天皇反对藤原掌权政府，1157年，他们招募了两大最具威望的武士氏族中的源氏，帮他们发动政变监禁天皇。《三条殿夜讨卷》（又名《三条殿之火》）描述了午夜时分，藤原信赖率领军队袭击了院御所·三条殿，俘虏了天皇并烧毁此宫殿。漫天的火焰和烟火飘往画面右上方展现了混乱和暴力。往左下角倒塌的建筑体现了骑兵、武士、逃跑的妇女、尸体以及前景奄奄一息的人的混乱。着精良铁铠甲的武士善于是主骑兵和弓箭手。在这画面里，许多人手持弓箭，下半部分比上半部分比例小，因此他们能跨过马的脖子。源氏一度有一刻胜利的瞬间。但反抗很快被极具权力的平氏镇压。接下来的20年间，在退位的天皇后白河天皇的准许下，平氏掌控了日本皇宫。但在1185年，在源义经的领导下，源氏武士军队击败了平氏，杀了平氏家族几乎所有的男丁及他们的妻女。图9.31《三条殿夜讨卷》，出自《平治物语》，日本，镰仓时代，13世纪下半叶。手卷，绢上水墨41.33699.7厘米(161/432751/2英寸)，波士顿美术博物馆藏，费诺罗萨-韦尔德收藏，11.4000.摄影©2011波士顿美术博物馆。这是画卷的中心场景，从军队自右边移动到宫殿起至画卷最左的军队最后赢得胜利离开。源义经的哥哥源赖朝（1147-99）在镰仓发动战争，在战斗尾声，他迅速摆平区域内的所有武士对手，包括对自己的亲弟弟穷追不舍，但他弟弟不甘被捕，选择了自尽。源赖朝要求所有的武士首领都受命于他，否则就会落得他弟弟的下场。很快，他掌控了大部分日本列岛。他在镰仓颁布他的法令，使日本政府摆脱平安京贵族宫廷和奈良根深蒂固的佛教影响。有趣的是，源赖朝从不夺取皇权，也不跟武士首领争夺权力。相反，他把自己看成天皇的仆81 人，就像藤原氏族侍奉平安天皇一样。1192年，皇宫授予他“征夷大将军”的封号，作为幕府将军，武士们的最高长官，统治了这个国家150年。从很多角度看，源赖朝的幕府由他很快进行的土地改革所定义。本质上，他把原先敌人的国家财产赠送给他下属作为礼物。15世纪，这些新的地主被正式称呼为大名。他们首先绝对效忠幕府，其次是追求军事艺术以及捍卫他们的大名——详细说来，即他们的荣誉、名声和家族氏族的荣耀感。最终，自1600年至16世纪中叶，日本享受了一段长期的和平时期，这些价值被编入法典，并由大名阶级加以延伸，他们的军国主义似乎越来越偏离良好的行为——武士道，这持续影响了日本社会的许多方面。室町时代（1392-1573）：文化赞助如果说天皇的权力很少受到大名的挑战，那么毫无疑问他们是宫廷的重要赞助者，是宫殿艺术和工艺的主要消费者。日式的中国禅宗的教义和伦理很吸引他们。12世纪到13世纪期间，禅逐渐在日本站稳脚跟。这种克制的僧侣生活与平安时代奢靡的寺庙生活形成了强烈对比。与净土佛教一样，禅宗在冥想和克己中寻求顿悟，这样特别吸引人的灵修为他们争取到了追随者。1392年，一个叫足利的幕府家族在日本社会逐步开始揽权。他们在京都（统治地区的另一个名字）室町有自己的总部。这是一个大名争夺权力的内战时期。尽管京都在几近毁灭中保留了下来，饥荒却并不罕见，足利幕府在京都周围建了精美的宫殿，作为城墙外远离骚乱的庇护所。最富丽堂皇的一所就是现在著名的京都·金阁寺（图9.32），作为足利将军吉光的退休居所（1358-1408）。1399年开始，中心亭模仿中式亭阁建造。底层用于在湖和花园中静思冥想。宽阔的阳台可用于赏月，非常流行的消遣方式，正对着第二层楼。顶楼设计成小的净土佛教寺庙，包括了西方极乐世界的一尊阿弥陀佛像，即无量光佛、无量寿佛，以及其他25尊菩萨。金阁寺周围都是花园为漫步者提供了变化多端的美景，在场景的多样性和统一性中创造了一种张力。作为一种策略，吉光以艺术会友，赋予幕府权威和正统性。因此，他和之后的足利将军鼓励一些最重要的艺术形式的发展，无论是在绘画82 还是园林设计。他们也捍卫重要的新表现形式，包括茶道和能剧。图9.32金阁寺，也称鹿苑寺，京都。十四世纪九十年代初建，1964年重建。原先的金阁寺在1950年已经被一个年轻的和尚完全烧毁，抗议二战后佛教的商业化。重建几乎保持了原样。禅宗花园禅宗对日本艺术的影响程度是很难说清的。就像经常被指出的那样，艺术特点都与禅宗有关，设计简明，启发而非言明，保持不规则和对称性之间的平衡，这些也是日本固有的审美特点。但毫无争议的是花园是室町时代禅宗寺庙的典型特征，尤其是枯山水，也叫“枯萎”或干枯的花园。日本的园艺家长期把水看成一种非常重要的元素，甚至是不可或缺的基本元素。但是在京都，泉水和溪水都十分有限，园艺家把他们的目光从金阁寺的小溪池塘中转移到岩石和一些精心栽种的植物上，以此最为园林设计的基本特征。最显著的一个例子是大仙院的一个园林，是1509年古嶽宗亘（1465-1548）在京都建造的大德寺的子寺。一般认为是由画家相阿弥所设计（死于1525年）。大仙院的园林实际由一系列独立的花园组成，围绕着宗亘的住所，挂着许多相阿弥的画作为装饰。园林两边的住所是迷你景观，竖立的岩石摆成了假山（图9.33）。白色的石英组成了瀑布，从岩石上垂泻下来，形成了白色的砂砾河，有一块像天然小桥的石板，把小溪中的小岛连接起来。远处，船形的石块在宽阔的河流里航行。在住宅的另一边，砂砾河的溪水流入仔细耙平白色砂砾，竖了两个相同材质的锥形建筑。宽阔的区域暗示着海洋，耙出来的波浪冲击着两座火山岛。（最后的象征仍是猜测。）总的来说，卵石流从山上流入海洋，可能是在述说什么，也许暗示了时间的流逝，或是禅道哲学家从一个早起相对复杂混沌的阶段进入到更广阔简单的般若境界。83 图9.33相阿弥，大德寺公园，京都。室町时期，约1510-1525年。注意园内的岩石特点与传统中国山水画之间的相似之处（见“近距观察”，292-293页）。茶道抹茶，即“精心研磨的茶叶”，在12世纪末引进日本，在镰仓时代早期从中国引进。在镰仓时代末，辨别不同茶叶和其产地的茶叶比赛开始盛行。到室町时代早期，喝茶的规矩开始被编辑成书，尤其在禅宗寺院里。到16世纪，这些规矩即为“茶道”，茶汤。在专门设计的小房间内，挂着有书法的画轴或屏风。客人想要离开尘世的纷争，进入了一个没有时间限制的闲适、和谐和相互尊敬的世界。茶道大师收集几幅绘画和书法，通常是唐物，是从中国来的珍宝。要数吉光的孙子义政(1430–90)收藏的作品最为珍贵。十五世纪末，改革主要归功于先前的禅宗僧侣村田珠光，在茶道中展示唐物的品味转为对“侘”的痴迷，代表了俭朴，显示了岁月的影响。这些作品更能反映日本人的品味，而不是中国人的，像村田珠光评论的那样：“被云半遮掩的月亮才是最赏心悦目的。”茶道大师会收集一些绘画和书法作品以及不同的物件和制茶器皿——茶壶、水壶、搅拌器、茶叶罐以及最重要的茶碗，每个都具备美学形状和质地。在静谧柔和的光线下，大师和他的客人在铺着榻榻米（草编的席子）的地板上一起品茶，讨论准备程序以及其他器皿，这体现了大师的审美敏感度。客人和大师一起冥想，把喝茶变成了高雅的艺术，称为侘茶。有趣的是，侘茶不是在宫廷里而是在富裕的商人阶级中发展成经典茶道。两个来自坂井的两名商人武野绍鸥(1502–1555)和千利休(1522–1591)发明了茶道。千利休这样定义：茶道在一间普通的小屋中进行，首先这是基于佛法之上的苦行修炼，意在达到精神上的解脱。注意奉茶住所的品味，或者配茶食物的口味以突出平淡。只要住所不漏雨，食物能填报肚子就足够了。这跟佛法和茶道的本质是一致的。首先，我们要取水再拾柴火。然后我们煮水再备茶。在供奉佛陀后，再为客人上茶。最后再自己喝茶。千利休和武野绍鸥在茶道的发展过程中所起的杰出成就预示了日本文化的巨大转变。几世纪以来统治了日本社会的军事阶级开始为商业贸易让路。能剧足利将军，包括吉光和义政，也积极支持能剧这一重要文学体裁的发展。能剧的产生84 主要归功于关阿弥清继（1333-1384）以及他的儿子世阿弥元清（1363-1443）。他们把剧院看成音乐、说唱、舞蹈、诗歌、散文、滑稽戏和面具的结合，这些创造了一个基于“幽玄”的壮丽世界，几乎无法被翻译，在能剧表象底下涉及模糊联想，精神上的深沉（或，沉静不动）。“能”这个词意味着“成就”，指剧中主角艺术家的表现，内在冲突必须在他/她灵魂找到安宁前解决。能剧有五种形式，包括“士兵表演”和“妇女表演”。士兵表演在世阿弥元清之前并不存在，主角都是武士阶级的历史名人，来源于《三条殿之火》里平氏和源氏的冲突（图9.31）。能剧与西方戏剧不同。角色通常穿戴精致的手工面具。动作伴随着合唱，在管乐器和鼓的伴奏下叙述事件。为观众所熟知的情节几乎与此毫无关联——当然它不能推动戏剧的发展。演员们以艺术形式讲述台词，而不是日常生活中的语调变化。三架鼓和一支长笛伴着他们的台词，他们的动作变成舞蹈，表演时间比只是单纯地念台词要长得多。实际上，尽管能剧很耐读，但若是没有言语上的表现，整体效果也会稍显逊色。阿兹特克1519年至1921年，通过军事技术（火药、大炮和火枪）、军队中不经意引入的疾病、一系列的谎言和背叛的结合，西班牙征服者赫尔南多·科蒂斯和他的一支600人的军队征服了墨西哥的阿兹特克帝国。阿兹特克人既没有枪支和马匹，也没有太多的衣服和盔甲，所有这些使他们看起来如果再不开化，他们将会完全地不堪一击。同时，他们也容易受到攻击，这是因为他们经常袭击临近的部落，获取俘虏进行血祭，使墨西哥的其他土著居民愤怒不已。根据阿兹特克的传说，在他们被图拉流放的时候，嗜杀的战神维齐洛波奇特利被认为是他们文化的最高精神领袖。维齐洛波奇特利是大地女神科亚特利库埃的儿子，他从母亲子宫出来时便是成人模样，挥舞着他的武器火蛇。在前往维齐洛波奇特利神庙的途中，还有一座神庙，即阿兹特克大神庙，它位于阿兹特克的首都特诺奇蒂特兰，处于整个城市的中心位置，科亚特利库埃雕像可能最初矗立在这座神庙的上方（图9.1）。科亚特利库埃的头部由两条毒蛇组成，象征着两条血河从她斩断的头颅涌出，她戴着一串由人耳和断裂的人手组成的项链，项链的底部是一个骷髅头。一条蛇低垂在她的双腿之间，表明了血液和生育器官的连接关系，暗示了月经和阴茎。科亚特利库埃生下维齐洛波奇特利时，他就已经成年，这有其一定的必然性，同时她85 也是月神开尤沙乌奇的母亲。她的庙宇在特诺奇蒂特兰的大神庙旁边的科特佩山上。有一天，她正在打扫她的庙宇，从天空中飘落了一个长着羽毛的球状物（她将这个球系在自己腰间），随后奇迹般地怀上了维齐洛波奇特利。科犹尔绍琪把她母亲的怀孕看做是一种侮辱，她密谋着要杀死她的母亲。在那一刻，维齐洛波奇特利诞生了。他将奸诈的姐姐斩首，并将她从科特佩山上抛下。科犹尔绍琪在降落过程中的每一次翻滚都导致了她的进一步肢解。这也是阿兹特克人对于月相的解释。正如，月亮在每个月亏缺，最后慢慢消失。人们在大神庙的基座发现了一个直径达10余英尺的巨大圆盘，上面画着的是一名无头的、手足被肢解的女神（见图9.2），即科犹尔绍琪。她用一条由双头蛇组成的、系着一个骷髅头的带子装饰自己，正如图9.1中她的母亲的装扮。正面展示的是她有着松弛乳房的身体。看上去她的最后一口气正从她的嘴里冒出。因此，战胜了月神后，维齐洛波奇特利命令阿兹特克的祭司们去寻找一株被巨鹰栖身的仙人掌，然后在仙人掌附近以他的名字建立城市。阿兹特克人很快在特斯科科湖的湖岸找到了建城的地方。仙人掌上长出的一颗红色心形果实被维齐洛波奇特利吞食了，老鹰则象征着战神，即维齐洛波奇特利自己。阿兹特克人开始建立他们的伟大城市特诺奇蒂特兰，意即“仙人掌之地”。图9.2月亮女神科犹尔绍琪，阿兹特克文化，建于1469年，位于特诺奇蒂特兰市大神庙范围内。石像，直径为10英尺10英寸。墨西哥城，庙博物馆。人们在大神庙的底座上发现这座雕像，好似被维齐洛波奇特利推倒一样。人类学的证据表明，大约在1450年，科蒂斯出生之前，阿兹特克人出于对血祭的渴望，杀死了卡萨斯格兰德斯的全体人民。卡萨斯格兰德斯在今墨西哥北部的奇瓦瓦附近，它是一86 个包含了超过2000个印第安人村庄的交易中心。鉴于阿兹特克人这样的行为，其他部落愿意与科蒂斯进行合作。科蒂斯很快意识到他可以把阿兹特克人这一弱点变成军事优势。由狄亚哥﹒迪杜兰撰写的《新西班牙印地安人史1581》是西班牙征服史的重要文件之一，它描述了该技术优势(图9.3)。迪杜兰是明尼加共和国的牧师，他能讲一口流利的纳瓦特尔语，即阿兹特克人的语言。他所撰写的《印第安人史》是与阿兹特克人进行广泛的访谈与对话后的产物，它代表了保护阿兹特克文化的一种共同努力，该书从创世故事开始，一直到西班牙的征服，讲述了阿兹特克的历史。在这幅插画中，科蒂斯旗下的将军佩德罗•德•阿尔瓦拉带领着一支装备精良的军队，面对阿兹特克人的鹰和捷豹的军事命令。西班牙士兵身穿盔甲，使用战弩和火器战斗，而阿兹特克人只有长矛。尽管在技术上占有优势，阿尔瓦拉多的军队仍陷入了困境。在托克斯卡特尔嘉年华（阿兹特克帝国的一个节日）期间，阿兹特克人原是为了给西班牙到访者留下好印象，但有数百人却遭到了西班牙人的屠杀，他们异常愤怒，围攻了阿尔瓦拉多。在迪杜兰所撰写的《印第安史》中，记录了这一场西班牙人制造的大屠杀（图9.4）。在这些文件中，阿兹特克国王蒙特祖玛一直作为囚犯被西班牙军队囚禁。科蒂斯曾承诺以礼相待，但当他被获准进入特诺奇蒂特兰时，他马上囚禁了蒙特祖玛。西班牙征服者从阿兹特克人处知道了一个关于库兹埃科特的神话故事，他是羽蛇神，在墨西哥被广泛崇拜。在这个神话中,库兹埃科特被他邪恶的兄弟，战神特斯卡特利波卡所废黜，随后他逃到墨西哥湾，在波斯湾时，他突然燃烧起来，升到了天上，成为了启明星(即金星)。在另一个版本中，库兹埃科特乘坐着由蛇做成的船筏航行在大海上，希望能有归来的一天。羽蛇神被认为是白皮肤的、有胡子的人。很显然，蒙特祖玛认为科蒂斯是回归的羽蛇神，因此没有一丝抵抗地欢迎他的到来。两年之内，科蒂斯的军队以西班牙的名义击溃了蒙特祖玛的人民。当时，墨西哥有2000万~2500万居民，却只存活了2百万人——他们随后也死于战争和疾病。87 图9.3和9.4（上图）阿兹特克人与西班牙人对峙；（下图）西班牙人在神殿的庭院屠杀阿兹特克人。两幅画均来自1581年迪杜兰撰写的《新西班牙印地安人史》。西班牙马德里的巴西国家图书馆藏。在迪杜兰的一生中，由于帮助“异教的”阿兹特克人保持他们的文化，受到了严厉的批判。本章概况了该时期美洲、非洲、印度、中国、欧洲和日本的文化，并考量当欧洲探索世界时，它是如何改造这些文化（地图9.1）、或与这些文化的接触如何改变了它本身。但在这个时代中，欧洲与这些文化的接触并不是唯一性的互动体验。文化各方也在互相影响。从西方的角度来看，以欧洲为中心的一个更广阔的世界。但从这些文化的角度来看，欧洲代表了一种边缘、一种文化力量，它从外部入侵这些文化的中心。地图9.11486-1611年之间的世界探索。注意1271至1295年间马可·波罗抵达中国的陆上航线，比海洋探索路线早了200年。西班牙人在美洲88 科蒂斯进入阿兹特克岛的首都特诺奇蒂特兰时，城里居住着20多万人(图9.5)。装满黄金的寺庙耸立于城中。花园中花朵盛开、果实累累，市场中遍布商品，构成了特诺奇蒂特兰；科蒂斯的随从贝纳‧狄亚兹是回忆道（阅读9.1）：图9.5特诺奇蒂特兰的平面图，来自科蒂斯给西班牙女王写的第一封信。1521年。贝尔纳尔·迪亚斯是科蒂斯的征服者之一，他把特诺奇蒂特兰的平面图比作威尼斯。特诺奇蒂特兰位于特斯科科湖的中部，城中运河交错。大神庙位于岛中央。阅读9.1来自贝纳·狄亚兹，《新西班牙政府历史》(约写于1568年；1632年出版)我们很震惊……这些建筑立于水面上，它们全由石头所做，看上去如同幻境……事实上，我们的一些士兵质疑是不是在梦里……这一切都太美妙了，我不知该如何描述这第一次看到的、从未听过、见过、或梦过的东西……让我们先从卖黄金、白银、宝石、羽毛,、斗篷和绣花产品的商人们，以及那些在出售的男奴隶和女奴隶说起……接下来是那些卖粗布料、棉制品和用扭曲的线制成纺织品的商人们，市场上还有商人在卖巧克力。通过这些，你能看到在新西班牙市场上发现的各种各样的商品……我们震惊于人们和商品的数量，以及优于国内的良好秩序和安排。89 最令科蒂斯震惊的是阿兹特克的文明，它如西班牙文明一样深奥，这也使狄亚兹震惊不已。科蒂斯在给西班牙女王伊丽莎白的信中写道：“为了避免女王殿下因我描述这座城市的东西而疲倦，这里我只能说，阿兹特克人几乎活得像西班牙人一样，他们的和谐、秩序也和西班牙差不多。考虑到他们是野蛮人，以及迄今为止，他们对上帝的认知和与所有文明的隔绝，他们所达到的一切非常令人惊讶。”只因一种欣欣向荣的文明与本国文明不同，就把它看成未开化的文明，在文化碰撞时期，这种倾向是西方人对待与其相联系的人们的典型态度。其他民族——“其他人”——恰好是存在体的单独分类，他们把西方殖民者解放于一切义务中，以标识这些民族与自己一样平等，或者甚至与自己相似。文化碰撞前的美洲事实上，在西班牙人抵达美洲之前，美洲就已孕育了许多灿烂的文化。在今墨西哥北部的干旱地区，一股以特奥蒂瓦坎为中心的神秘而极具影响力的文明盛极一时。公元前4世纪，特奥蒂瓦坎文化中心在规模和影响力上可与君士坦丁堡比拟。在中美洲，公元250年至公元900年间，玛雅（分布在现今的洪都拉斯、危地马拉、伯利兹和墨西哥南部地区）建立了巨大的宫殿建筑群，这些宫殿群都是玛雅文明的行政和宗教中心。这些文明本身是由其他文明演化而来。早在公元前1300年，一群尚未发明文字的群体，即奥尔梅克人居住在墨西哥湾南部海岸的韦拉克鲁斯州和塔巴斯科州之间的区域，他们在居住区中心建立了巨大的典礼区。在这些典礼区中，奥尔梅克人竖起了巨型金字塔土墩，这也是统治者、祭司等精英居住的地方。这些金字塔有可能是参考了俯瞰墨西哥的火山群而建成的建筑物，也有可能是坟墓群。考古挖掘会最终告诉我们答案。在拉文塔，靠近今比亚埃尔莫萨市的地区，三个巨大的石刻头像在平台守卫着典礼区南端（图9.6），第四个石像则自己守卫着北端。每个石像的重量在11吨至24吨之间，头上戴了一个类似于老式美国皮革橄榄球头盔的头饰，其上刻有一个独特的标志。它们由玄武岩雕刻而成，然而最近的玄武岩采石场位于图斯特拉山以南50英里。显然，至少有一部分石像是在采石场雕刻而成，随后装载到竹筏上，在返回上游的最后安放的地点之前，让竹筏逆流而下，直至墨西哥湾。很多中美洲文明的特点可能源自奥尔梅克文明，比如金字塔、球场、镜像和日历系统。图9.6墨西哥拉文塔的巨石头像，奥尔梅克文明，公元前900年至公元前500年。玄武岩，高7尺5英寸。墨西哥塔巴斯科州比亚埃尔莫萨的拉文塔公园。人们一般认为这些石像是奥尔梅克统治者的肖像，并且所有石像都有共同的面部特征，包括扁平鼻和厚嘴唇。这些石90 像暗示着统治者们和神一样，是文化中传递神灵意旨的人，不夸张地说，它们比真人大得多。玛雅文化在美洲南部还存在着另一种文化，那就是玛雅文化，它先于特奥蒂瓦坎文化，却又远在其之后。玛雅人占领了几个地区：恰帕斯州和危地马拉的高地；危地马拉、洪都拉斯、萨尔瓦多、伯利兹、墨西哥恰帕斯州的低地；尤卡坦州、坎佩切州以及金塔纳罗奥州的北部低地。玛雅从未是一个统一的政治实体，而是由许多相互争夺土地和资源的小王国组成。玛雅复杂的日历系统可以使他们记录自己的历史——有证据表明，亦可以预测未来。玛雅日历用两种不同的历法记录时间，分别是260天的历法和365天的历法。260天的历法可能源于人类妊娠期的周期，即从一名孕妇第一次错过月经到孩子出生的时间段。两个历法的同步需要耗费整整52个360天，在那一天两个日子会重复在一起——这就是所谓的历法循环——同时，玛雅人会广泛地庆祝每个循环的结束。玛雅历法有诸多用途。以《马德里抄本》(图9.9)为例，它是四本幸存的玛雅刻本之一。《马德里抄本》由56张涂着灰色颜料的树叶纸组成，除了一页外，每一页都有绘画。超过250个单独的“历书”在260天的中美洲仪式历法内，记录了神圣与世俗的事件，这些“历书”填满了《马德里抄本》的页面。《马德里抄本》记录了许多事件，特别是日常活动（种植、抚育作物、收获、编织及狩猎）、宗教仪式、天文事件、祭祀以及与他们有关的神明。每一板画下半部分的四条横向列都由20个结算日的象形文字组成，并重复了十三次。给玛雅人带来降雨并在雷电中讲话的天蛇，则缠绕在一行行的象形文字上。在2片叶子的顶部，能看到标准的数字占卜术。玛雅人用两种方式书写数字：一个是在《马德里抄本》中可见的点线系统，另一个是图文系统。他们用一个月亮的图像表达20，用贝壳的图像表示0。顺便说一下，早在印度数学家在印度“发现”数字之前，数字就已在中美洲地区广泛地使用了几个世纪。91 图9.9《马德里抄本》，第13-16叶片，公元1400年。Amatl，折叠纸，双面印。56张树叶。马德里美洲博物馆。预言师会用此文本预测事件，例如洪水、干旱或丰收。帕伦克是玛雅最重要的城市，它是保存得最完好的所有玛雅遗址之一。约850年，帕伦克衰落了，在丛林中消失了几个世纪，直到1746年，才由一名听过传闻的西班牙牧师重新发现了它。铭文神殿面向宫殿的主要庭院，它可能不是王宫，而是一个行政中心。铭文神殿上矗立着九层阶梯，代表着玛雅地下世界的九个级别（图9.10）。铭文神殿上铭刻着与美洲豹有关的帕伦克国王的历史。第一个记录在册的国王是库巴汗，亦被誉为“格查尔的美洲豹”，根据碑文所说，他在431年3月11日发现了帕伦克市。帕伦克市的最强大的国王是巴加尔二世（伟大的太阳盾），也被称为巴加尔大帝（603年-683年），他的统治时期长达67年，铭文神殿就直立在他的墓穴之上。92 图9.10墨西哥帕伦克的“宫殿”（最显著的位置）和铭文神殿（巴加尔大帝的金字塔墓穴）。玛雅文化，公元600年-公元900年。这两座建筑物以及视图中未出现的其他两个寺庙形成了帕伦克的中心建筑群。五个寺庙、一个球场以及向北组成的第三组寺庙组成了南部的建筑群。帕伦克是一个多达10万人口的领土的中心。1952年，墨西哥考古学家艾伯多﹒鲁兹发现了金字塔下巴加尔大帝墓穴的入口。该入口隐藏在金字塔顶端的神殿地板的大石板之下。鲁兹需要清除通往巴加尔大帝墓穴的通道，因为在通道的最底部堆满了碎石头。当鲁兹到达墓穴时，他发现巴加尔的脸上带着玉制的死亡面具。一条小通道连接了墓穴和上一层建筑，给已故国王提供永恒的新鲜空气。它还是生者与死者之间的沟通纽带。巴加尔大帝被埋在一具状似子宫的石棺中，该石棺重达5吨，其上铺满了玉石和朱砂。公元900年，从阿兹特克文化演化而出的玛雅文化因一系列重大的变故而衰落了，其中包括人口过剩，以及随之而来的生态退化、政治竞争以及战争都是诱因。大量幸存下来的玛雅人则又回到城市废墟的周围，进行简单的农业生产，直至今日，世界上仍存在着大量的玛雅人。但是，对西班牙王室来说，与玛雅人接触后，最重要的是通过引进基督教的方式，93 把土著居民从“蛮荒”中释放出来。西班牙从根本上抹去了美洲土著居民的文化，他们焚烧土著人的书籍、毁坏他们的历史纪录，这些行为阻碍了我们今天将美洲土著人的文化拼成一幅完整的图画。教堂迅速地在墨西哥城崛起。它们试图让土著人信仰天主教，这时，音乐礼仪成为了一个强大的工具。早在1523年，西班牙僧侣在墨西哥的特斯可可湖(墨西哥城城东)为美洲原住民创办了一所学校，并且开始音乐教学，这包括格里高利圣咏、进口管风琴上的复调音乐及作曲的基本原则。在整个十六世纪，传教士用音乐、舞蹈和宗教戏剧吸引和劝说土著民们皈依基督教。文化融合出现了，其中欧洲文化被印第安化，印第安文化则基督化。西班牙人在秘鲁克里干查（字面意思是“黄金花园”）是最精心装饰的印加遗址之一，它是本土文化的西班牙基督教化的一个有趣例子。库斯科是印加帝国的传统首都，库斯科广场的对面就是太阳神庙(图9.11)。为了致敬太阳神因蒂，原来的太阳神庙用700张镶有黄金、翡翠和绿松石的薄片装饰，旨在通过窗户反射阳光。太阳神庙的庭院中充满了金色的雕像，据西班牙编年史家佩德罗·谢德·莱昂在十六世纪中叶的记载，“玉米的秸秆也是黄金的——包括秸秆、叶子和玉米穗”，他继续说道，“此外，那里有二十多头黄金羊[骆驼]、小羊羔和看守它们的牧羊人，他们都由这种金属做成”。图9.11秘鲁库斯科，克里干查的原始的印加石头墙，其上是多米尼加修道院。印加文化。在这幸存的花岗岩墙上，可以明显看到印加石匠的精湛技术，因为该石墙用石头砌成，94 没有砂浆，多个世纪以来，历经数次地震而屹立不倒，而在它之后修的建筑却被地震破坏了。通过弗朗西斯科·皮萨罗(1474–1541)及其只有180人的军队的探索，西班牙在1533年征服了秘鲁。皮萨罗的军事战略受助于简单的欺骗。皮萨罗俘获了印加皇帝阿塔瓦尔帕，而后者向皮萨罗提供了13420英镑黄金和26000英镑白银的赎金。皮萨罗接受了赎金，随后处决了毫无戒心的皇帝。他接下来继续掠夺秘鲁的金银器，那是秘鲁对太阳（金色）和月亮（银色）的宗教信仰的一部分，他也掠夺了库斯科太阳神庙上的大规模的装饰品。此外，西班牙神父为了他们自己的目的，迅速地占用了神庙的地基，并在原来的印加土地上建起了多米尼加教堂和修道院。传统上，印加人会聚集在克里干查的弧形的、圆形围墙里做礼拜，因此，圣多明我的三角墙建在上面的目的就是突出基督教对原著居民的控制。尽管如此，无论传教士如何为西班牙狂热，金、银和其他珍宝的采集是他们殖民事业的一个主要动机。有大量的财宝从新世界运往西班牙。当第一辆皇家五号(即科蒂斯收集的、为国王特别制定的五分之一的宝藏)抵达布鲁塞尔时，德国艺术家阿尔布雷希特·丢勒也在场：我看到了从新黄金土地带给国王的东西：如太阳般夺目的一整片黄金，整整六英尺宽；同样，如月亮一样泛着银辉的银块，和金块一样大；以及，从印加人的武器、盔甲和投掷物上取下的各类杂物珍品；非常奇怪的服装、床上用品，以及各种各样供人类使用的奇怪物品，所有的一切都相当的神奇。这些物品如此珍贵，它们的价值高达10万荷兰盾。在我的有生之年，我从未见过能让我的心如此欢喜的东西。因为我在这些东西当中看到了令人惊叹的艺术对象，我惊叹于那些遥远国度的人们的微妙才智。事实上，我无法确切地描述我所面对的东西。这样的记事使人们越发相信埃尔多拉多是黄金之城，征服者们追随着皮萨罗在秘鲁的脚步，在王室的命令下掌控埃尔多拉多城，而埃尔多拉多城则继续躲避这种掌控，但结果往往不愉快。带回国的金银宝藏灰被融化成货币，对好战的西班牙王室而言，金币远远重要于艺术价值。事实上，在这场征服中，没有任何一件金银器物幸免于难。西非文化和葡萄牙如同西班牙一样，葡萄牙也积极地通过航海寻求贸易机遇，不同的是，西班牙专注于美洲，而葡萄牙侧重于非洲和东方。1488年，在探索西非海岸时(地图9.2)，巴尔托洛梅95 乌·缪·迪亚士（公元1450年-1500年）被一股突如其来的风暴吹向南方，接着他向东北方向航行，然后发现自己绕过了后世所称的好望角，进入了印度洋。在迪亚士之后，1497年，瓦斯科·达·伽马（约1460年—1524年）带领了四艘船绕过好望角，在离开里斯本后的第10个月零14天，抵达了印度的卡利卡特。随后，佩德罗．卡布拉尔（约1467年—1520年）在1500年从非洲的突起处出发，试图重复达·伽马的航线。由于向西航行，卡布拉尔抵达了现在的巴西，并宣布这片土地为葡萄牙所有。地图9.2撒哈拉以南的非洲西部，1200年-1700年。虽然穆斯林商人对北非知之甚多，但是在十五、十六世纪葡萄牙人的探索之前，很少有人知道撒哈拉以南的非洲。西非的本土文化当葡萄牙人抵达西非时，令他们吃惊的是，他们发现长久以来，西非已有繁荣的文化。几个大的王国通知了西非的萨赫勒地区，它是撒哈拉沙漠和许多西部、南部温带地区的过渡性草原。其中最重要的是在第四章讨论过的马里王国，它对西非有巨大影响。远在第一个千禧年结束之前，伊斯兰教就已经在非洲北部的大部分地区传播。顺着中部非洲的西海岸往南走便是强大的约鲁巴王国和贝宁王国。葡萄牙和奴隶贸易巴尔托洛梅乌·缪·迪亚士探索非洲西海岸后，没过多久，欧洲和非洲的商人扩展了现有96 的人类剥削，这在两大洲中很常见。人类劳动力贸易最终达到了史无前例的范围和规模。佛罗伦萨的银行家和一群其他的热那亚银行家资助了葡萄牙对非洲劳动力的剥削。四个世纪以来，葡萄牙通过中间通道，运送了数百万非洲人横渡大西洋。中间航道的命名是因为它形成了三角贸易体系的基础：欧洲到非洲、非洲到美洲（中间航道）、美洲到欧洲。没有人可以确定究竟有多少奴隶横渡过大西洋，但是估计人数是15—2000万(地图9.3)。在航行中，有不可知数量的奴隶死于疾病和恶劣环境，这是问题的一部分。例如，在1717年，一艘抵达布宜诺斯艾利斯的船上只有98名幸存者，而原来有594名奴隶。这种情况可能并不罕见。至少有一段时间，葡萄牙人热衷于某种状态，把自己当成来自海神奥路昆的水域中的神圣访客。他们认为自己是泥鱼，因为他们不仅可以“游泳”（在自己的船上），还可以在陆地上行走。对于贝宁人来说泥鱼非常的神圣，他们把泥鱼看作变换和力量的象征。（整个夏天，它们都潜伏在干燥的泥土中，直到秋天雨季来临，它们又“重生”了。）（泥鱼是力量的象征，因为它能射出强烈的电击，并且拥有使人致命的刺。）同样，葡萄牙人似乎诞生于海中，并拥有可使人致命的“刺”——来福枪和步枪。把葡萄牙人比作泥鱼的最好的一个例子是西吉欧拔的臀部吊坠是由象牙面具的冠状头饰。（欧拔是约鲁巴城镇传统上的最高首领。）吊坠大概描述了女王的母亲(即欧拔的母亲)或伊欧拔。西吉的母亲名叫艾迪尔，她是第一位正式担任伊欧拔职位的女性。显然，在尼日尔河下游的邻国伊加拉威胁要征服贝宁时，艾迪尔建立了一支军队，运用魔法力量帮助西吉击退了伊加拉军队。她的魔法的一部分可能得益于葡萄牙人的入伍。为了答谢葡萄牙的帮助，在伊欧拔的衣领上佩戴着长着胡子的葡萄牙水手的装饰图像，她的王冠上方水手和泥鱼相互交错。97 图9.16伊欧拔（太后）的面具，可能是艾迪尔的，尼日利亚贝宁宫廷，公元1550年。象牙、铁和铜，高度为93/8英尺。纽约大都会艺术博物馆。马歇尔·C·洛克菲勒的纪念收藏品，来自纳尔逊·A·洛克菲勒在1972年送的礼物。(1978.412.323)。前额上的划痕和瞳孔上最初镶着铁，这两个地方是力量的象征。图9.17一个卷曲的泥鱼符号。在整个贝宁的艺术文化中很常见，图9.16中伊欧拔也佩戴这种冠状头饰。葡萄牙商人及追随其后的天主教传教士的影响并未改变，虽然这种影响不可否认并时而具有破坏性。自贝宁文化与葡萄牙文化相碰触依赖，它基本完好无损。比如今天，在典礼和仪式期间，欧拔王在腰间佩戴了5至6个诸如伊欧拔的面具的复制品，头上戴着传统的珊瑚珠头饰。如投献诗一样的口头传统仍保持原样，纵使西方牧师意图压制它们。如果有什么98 区别的话，就是它在近50年里显著改变了非洲文化。但它是奴隶制度，长期以来一直在非洲和中东地区中进行，被伊费（他们创办的城市）的约鲁巴人和贝宁人民所执行，并显著影响了葡萄牙文化和西方文化。起初，贝宁出售黄金、象牙、橡胶和其他林产品，以换取珠子，尤其是黄铜。标准的交换媒介（即货币）是一种叫做曼尼拉马蹄形状的铜币，其中五枚出现在十六世纪早期的描绘一个葡萄牙战士的贝宁饰板上(图9.18)。这种金属饰板特别用来装饰皇宫和皇家祭坛，在饰板上，葡萄牙士兵身上带着制作饰板的材料。如果他的武器——三叉戟和剑——代表着他的力量，至少在贝宁人看来，这是服务于贝宁国王的力量。图9.18被曼尼拉铜币包围的葡萄牙战士，尼日利亚贝宁宫廷。十六世纪。青铜器。奥地利维也纳艺术史博物馆。注意，青铜器的背景上雕刻有丛林花卉的图像。葡萄牙人还获得了数以千计的、他们称之为“fetisso（迷信）”的小物品——护身符、小饰品等等，fetisso一词来自十六世纪非裔葡萄牙人的洋泾浜语，它派生于“fetish（恋物）”一词中，代表着一件认为有神奇力量的物品，类似于念珠、圣物箱等西方物品。但最终贸易转向了奴隶。长期以来，非洲人把邻国战败的俘虏当成奴隶卖给穆斯林商人。然而，葡萄牙99 人变本加厉。大约在1492年时欧洲估计有14万至17万名非洲奴隶，但在1551年，葡萄牙人开始运送成千上万的奴隶到巴西的甘蔗种植园工作。战争俘虏已不能满足需求，葡萄牙人便转向了所有他们能得到的人。此外，他们对待这些奴隶的方式比穆斯林商人更严厉。葡萄牙人拴住奴隶，给他们打上烙印，并且经常使他们过劳死。总之，葡萄牙人开始了文化霸权(文化统治)运动，为至今困扰着西方世界的种族主义埋下了伏笔。100 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