Role of climate in the rise and fall of Neolithic cultures on the Yangtze Delta SHIYONG YU, CHENG ZHU, JIAN SONG AND WEIZHENG QU Yu, S., Zhu, C., Song, J. & Qu, W. 2000 (June): Role of climate in the rise and fall of Neolithic cultures on the Yangtze Delta. Boreas, Vol. 29, pp. 157–165. Oslo. ISSN 0300-9483. Climatic changes in the Yangtze Delta have played an important role in the emergence, persistence and collapse of civilization. Archaeological excavations in the region over many years have demonstrated that there are several layers of fine sand or organic mud that interrupt the consecutive culture strata in a number of Neolithic culture sites. Continuous biostratigraphical and sedimentological records from the Maqiao cultural site, Shanghai, suggest that the fine sand and organic mud units resulted from expansion of water bodies both by sea-level fluctuations and from increased flooding during cold and humid episodes of Holocene climates. The absence of human settlement from 7240 BP to 5320 BP in the region was mainly caused by higher sea levels resulting from a warm and humid climate. The Neolithic cultures developed under conditions of lower and more stable sea level as well as warmer and dryer climates between about 4410 BP and 3250 BP. A flood-induced lake expansion interrupted the civilization in the region at about 4200 BP. Later, higher water tables and expansion of lakes between 3250 BP and AD 618 under a cold and moist climate temporarily terminated settlement on the delta. Later, during the Tang Dynasty, beginning at about AD 618, the region again became suitable for human settlement under conditions of more favourable climate and lower water tables. Shiyong Yu, Department of Quaternary Geology, Lund University, Tornavägen 13, SE-223 63 Lund, Sweden; Cheng Zhu, Department of Geology & Ocean Sciences, Nanjing University, Nanjing 210093, P. R. China; Jian Song, Department of Archaeology, The Museum of Shanghai, Shanghai 200002, P. R. China; Weizheng Qu, Department of Meteorology, Ocean University of Qingdao, Qingdao 266003, P. R. China; received 10th August 1998, accepted 2nd December 1999. Observed hydrologic response to modern climate anomalies supports the idea that climate variations severely impacted on human settlement in the Yangtze Delta (Sun & Sun 1994). Historical flood records documented in Chinese annals also provide exceptional information to help us understand how past climate alterations affected human occupation in the region (Chen 1987). Although ice-core oxygen isotopic records from Antarctica and Greenland reveal that climate variability was remarkably more subdued during the Holocene than during the Last Glaciation (Bender et al. 1994; Jouzel 1994), recent evidence from both tropical coral and mid-latitude tree rings indicates that the Holocene has also experienced occasional extreme short-term high variability (Feng & Epstein 1994; Beck et al. 1997). For example, the Hypsithermal Interval (about 7000–5000 BP) contains evidence for a series of cold episodes, each lasting about 50 to 200 years (O’Brien et al. 1995). Estimating the damage to human livelihood that results from abrupt shifts in modern climate can be reasonably determined (Chen 1989), but inferences about similar information from ice cores in order to understand the human impact of such rapid changes in Holocene climates are more difficult. To resolve this discrepancy, it is essential to seek proxy profiles that contain information on both climate variations and vestiges of human activity. The colossal magnitude of Neolithic culture sites in the Yangtze Delta, East China, contained in a wellpreserved Holocene stratigraphic context, provides an ideal framework for evaluating associations between evolution of Neolithic cultures and Holocene climate fluctuations. Climate has been hypothesized to be an important control because the civilization in the region terminated mysteriously at 3000 BP, resulting in a regional hiatus of human occupation known as the ‘cultural interruption’ (Zhu et al. 1996a; Yu et al. 1998). Elsewhere, others have also invoked climate variation to explain aspects of civilization evolution (Hodell et al. 1995; Curtis et al. 1996; Binford et al. 1997; Grosjean et al. 1997). Nevertheless, direct evidence for climatic background in which the emergence, evolution and collapse of Neolithic cultures occurred is scarce. Here, we offer uninterrupted biostratigraphical and geochemical records from the Maqiao cultural site, Yangtze Delta, to evaluate the climatic context of the Neolithic cultures and to discuss responses of civilization to forcing from climatic anomalies. Study area The Yangtze Delta (30°N–33°N, 119°E–122°E), located in East China (Fig. 1), is characterized by a subtropical monsoon climate. Mixed deciduous and evergreen forest characterizes the vegetation of the 158 Shiyong Yu et al. BOREAS 29 (2000) Fig. 1. Map showing the location of the Yangtze Delta studied in the text. CS-01: Fuquanshan cultural site (CCRMS 1990); CS02: Songze cultural site (CCRMS 1962a); CS-03: Guangfulin cultural site (CCRMS 1962b); CS04: Jinshanfen cultural site (CCRMS 1989); CS-05: Maqiao cultural site (present study). The solid line indicates the coastline from 7200 BP to 6000 BP, the dash line represents the coastline from 5800 BP to 5700 BP, and the dotted line demonstrates the coastline from 4300 BP to 3200 BP (Zhu et al. 1996b). region. The mean annual temperature is 15.5°C. In summer, the region is occupied by the Subtropical High and the maximum temperature reaches 28.9°C; in winter, the region is influenced by the Mongolia High and the minimum temperature is about 3.3°C (Jiang 1991). The mean annual precipitation is 1235 mm. Rainfall during the summer months accounts for 40% of the annual total, and only 11% occurs during winter months. Climatologically, the region is sensitive and susceptible to environmental change because it lies along the demarcation between subtropical climate and temperate climate representing seasonal frontal zones that separate highly contrasting air masses. Heavy flooding results mostly from excess rainfall during summer, especially in June and July (the so-called Plum Rainy Season), when slow-drifting cold fronts collide with moist and unstable subtropical-derived air masses (Xiang & Bao 1981). A nearly level plain with an elevation of 2–7 m above sea level covers 95% of the region. The delta is a well-developed area with a long history of human settlement, including numerous Neolithic culture sites. Sediment from these sites provides exceptional information about human-environment interactions for the following reasons. First, many of the cultural sites are associated with the Taihu Basin, which has experienced continual slow subsi- dence that ensures a continuous record of sedimentation. Thus, the Neolithic culture series is not disrupted. Second, the cultural sites are located along margins of lakes, where the origin, rise and fall of Neolithic cultures reflect the extraordinary adaptability of human beings within a harsh environment and the existence of a critical environment threshold. There are about 340 Neolithic culture sites in the Yangtze Delta and these sites can be categorized into four sequential stages (Wu 1988): the Majiabang Cultures (7000–6000 BP), Songze Cultures (6000– 5000 BP), Liangzhu Cultures (5000–4000 BP) and Maqiao Cultures (4000–3000 BP). Numerous archaeological excavations have demonstrated that, frequently, there are several layers of archaeologically sterile sediments of fine sand or mud in these sites (Fig. 2). These units cluster into the following periods: 5900– 5800 BP, 5100–5000 BP, 4400–4300 BP and 3000– 2900 BP (Yu et al. 1998). Sedimentological evidence confirms that these sterile units have no connection with human activity (Yu et al. 1998). The hiatus in human presence represented by the sterile sediments suggests that the Neolithic culture sites in the region were strongly affected by shifts in Holocene climates. The Maqiao cultural site, 121°25'E, 31°05'N, Yangtze Delta, is most typical and could serve as a paradigm. Role of climate in Neolithic cultures, Yangtze Delta BOREAS 29 (2000) 159 Fig. 2. Composite lithostratigraphy of the Neolithic culture sites that contain cultural interruption layers. Their locations are shown in Fig. 1. The Zhou Dynasty lasted from 1066 BC to 771 BC, and the Tang Dynasty began in AD 618 and terminated in AD 907. The site is represented by continuous biostratigraphical and sedimentological records that represent Holocene climate variations and their impacts on Neolithic cultures. Materials and methods The Maqiao cultural site (elevation 4.5 m a.s.l.) is located 1.0 km to the east of Maqiao Town, Shanghai. It was discovered in December of 1960 and was excavated tentatively in 1966 (CCRMS 1960; CCRMS 1978). In 1993, a continuous trench of 200 cm depth was excavated at the site. The section was sampled at 10– 15 cm intervals in the field. The ages of strata within the profile were determined by the traditional 14C radiocarbon method. Age control for the profile is based on two 14C dates of shard from cultural layers and four 14C dates of shell slice, bulk mud, and fossil tree from organic mud and shell layers, respectively. The 14C ages were measured at the Radiocarbon Laboratory of Nanjing University and at the Radiocarbon Laboratory of the Shanghai Museum. The half-life of radiocarbon dates employed in the study is 5730 30 years. The 14C dates were converted to calendar ages, following the tree-ring calibration data set (Stuiver & Reimer 1993). Pollen, foraminifera and ostracodes were extracted by conventional methods. The pollen concentrations of species were expressed as percentages of the total sum of pollen and spores. Only selected taxa are shown in the diagram. At least 200 foraminifera and ostracodes were counted from each 50 g dry sample. The relative abundances of foraminifera and ostracodes were also given as percentages. The frequency-dependent magnetic susceptibility (Xfd) was measured in SI units with a Bartington magnetic susceptibility meter (MS2) and probe (MSF). The sensor emits a 1-Oersted alternating magnetic field and the operating frequency of the probe is 580 Hz (Thompson & Oldfield 1986). Results Chronology The chronology of the Maqiao cultural site is constrained by six conventional radiocarbon ages (Table 1). According to the archaeological stratigraphy, it was determined that the 24–37 cm horizon is the cultural layer of the Tang Dynasty (AD 618–907), the 44–59 cm horizon is the Maqiao cultural layer, and the 67–96 cm horizon is the Liangzhu cultural layer. The cultural layers are disrupted by two layers of fine sand and Table 1. Conventional radiocarbon dates and calendar ages referenced in the text and in Fig. 3. Sample type Depth (cm) Laboratory no. Dated material Radiocarbon age (yr BP) Cultural layer Organic mud Cultural layer Organic mud Shell ridge Organic mud 45 64 94 135 181 198 SB-9320 SB-9321 SB-9322 ND-96011 SB-9323 ND-96012 Shard Fossil tree Shard Bulk mud Shell slice Blk mud 3075 80 3840 109 4005 109 4750 92 5500 96 6615 73 Calendar age (yr BP) Sedimentation rate (cm/yr) 3250 250 4200 95 4410 110 5320 135 6150 120 7240 85 0.012 0.020 0.143 0.070 0.028 0.016 160 Shiyong Yu et al. BOREAS 29 (2000) of evergreen trees and subtropical ferns indicates a warm and moist climate between 7240 BP and 5320 BP. Fig. 3. Distribution of calendar ages versus depth at the Maqiao cultural site, Shanghai. Plot symbols encompass error bars. organic mud. All the ages are properly ordered, with calendar ages increasing from upper part to lower part along the profile of the site (Fig. 3). Foraminifera and ostracodes Fifteen samples were investigated for foraminifera and ostracodes (Fig. 4). Foraminifera and ostracodes are concentrated prior to 5320 BP. All the foraminifera are benthic species dwelling in saline water less than 20 m deep, but most of them can also tolerate brackish water. Specimens containing both foraminifera and ostracodes demonstrate a coastal sea environment that is influenced frequently by fresh water. The abundance and compound diversity of foraminifera in per 50 g desiccated sediments decrease gradually from 7240 BP and vanish after 5320 BP, which indicates a process of sea regression, after which civilization in the region emerges. Pollen assemblage On the whole, both the pollen and spores are abundant in the site and well preserved. Concentrations of tree pollen are low, but herb pollen and fern spores are more abundant. The pollen sequence can be divided into three zones (Fig. 5). Zone I (200–137 cm, 7240–5320 BP). – The zone is characterized by abundant fern spores and aeolian gymnosperm pollen such as Pinus, Tsuga, but the terrestrial herb pollen is scarce. Fern and algae spores make up around 75% of the total sum, most of them are subtropical species. In addition, there are also some evergreen, broad-leaved trees such as Cyclobalanopsis and Castanopsis growing at higher elevation landscapes in the coastal region. The flora composed by abundance Zone II (137–44 cm, 5320–3250 BP). – The zone is dominated by abundant herb pollen. Xerophytes such as Gramineae, Artemisia, Cyperaceae and Chenopodiaceae represent about 70% of the herbaceous species. Trees are dominated by Pinus, Quercus and Salix, and ferns comprise Dennstaedtiaceae, Pteris and Hicriopteris, but their low proportion is interpreted to signify a warm and dry savannah vegetation that persisted from 5320 BP to 3250 BP. The absence of foraminifera and ostracodes assemblages indicates that the sea had withdrawn from the region. In organic mud layers (59– 67 cm and 96–137 cm), deciduous tree pollen and fern spores increase abruptly and herb pollen decreases rapidly, which suggests that cooler and wetter climates may have been present during the time of their deposition. Liangzhu Cultures, a well developed civilization, emerges after the first event of water expansion; however, after the second event, civilization vanishes from the site. It should be pointed out that the fossil pollen grains and spores preserved in the sediments are mainly from angiosperms and ferns disseminated merely by pollen falling directly onto the sediments, only a few of the pollen grains are of aeolian origin from gymnosperms. Furthermore, the provenance of sediments on the Yangtze Delta is mainly from the Taihu Basin, where, owing to the low elevation, the vegetation follows neither a distinct horizontal zonality nor an apparent vertical gradient (Yan & Huang 1987). Therefore, large amounts of deciduous tree pollen and fern spores preserved in organic mud layers reveal the natural cooling and wetting of regional climates. Zone III (44–0 cm, 3250 BP-present). – The zone is marked by abundant herb pollen and fern spores. Tree pollen is in low proportion, but herb pollen (mainly Gramineae, Artemisia, Cruciferae and Cyperaceae) comprises about 55% of the total, and fern spores account for 35% of the total. Common occurrences of Dennstaedtiaceae and Hicriopteris indicate a warm and humid climate from 3250 BP to the present. In a fine sand layer (37–44 cm), fern spores increase abruptly and herb pollen decreases rapidly, and these biotic shifts are associated with a transient period of expansion of water bodies. At about the same time, the Neolithic cultures of the region terminate. Settlement does not begin to develop again in the area until the Tang Dynasty (AD 618–907). Grain size, magnetic susceptibility and geochemistry In Neolithic culture sites, the geochemical elements phosphorus and iron are the exceptional proxies of biogenesis and anthropogenesis (Goldschmidt 1954). BOREAS 29 (2000) Role of climate in Neolithic cultures, Yangtze Delta 161 Fig. 4. Foraminifera and ostracode stratigraphy of the Maqiao cultural site, Shanghai. Only selected species are shown in the diagram. The abundances of foraminifera and ostracodes are expressed as percentages of the total number counted. Fig. 5. Pollen stratigraphy of the Maqiao cultural site, Shanghai. Only selected taxa are shown in the diagram. The concentrations of pollen and spores are given as percentages of the total number counted. 162 Shiyong Yu et al. BOREAS 29 (2000) Fig. 6. Diagram showing the changes in grain size, geochemical elements and magnetic susceptibility of the Maqiao cultural site, Shanghai. Sand, silt and clay refer to the microparticles, which grain sizes are greater than 0.063 mm, from 0.063 mm to 0.004 mm and less than 0.004 mm, respectively. Phosphorus is a dominant composition of cytoplasm of animals and plants, and is also an important ingredient of animal bones and teeth. Iron in cultural horizons is mainly controlled by oxidation/reduction associated with the use of fire. Therefore, the extreme concentrations of P2O5 and Fe2O3 in Neolithic culture sites indicate human settlement rather than climatic changes. In addition, the variations in magnetic susceptibility are primarily controlled by silt-sized magnetite and/or maghemite content (Maher & Thompson 1995). Thus, both the sedimentation dynamics (grain size) and oxidation/reduction process can influence the values of magnetic susceptibility (An et al. 1991). The percentages of sand, silt and clay content are determined from the 50 g dehydrated specimens sieved fraction that are >0.063 mm, 0.063–0.004 mm and <0.004 mm, respectively. In cultural layers, the concentrations of P2O5 and Fe2O3 are high and the values of magnetic susceptibility are also high owing to human settlement (Fig. 6). However, in the fine sand layer (37– 44 cm) and organic mud layers (59–67 cm and 96– 137 cm), the sediments are mainly composed of clay. Furthermore, the proportions of P2O5 and F2O3 are low and the values of magnetic susceptibility are also low in these horizons (Fig. 6). This demonstrates that transient expansion of water bodies occurred three times in response to colder and wetter climates. These three cold and humid episodes of Holocene climate are also recorded in ice cores and tree rings (Feng & Epstein 1994; O’Brien et al. 1995). Discussion Both the abundance and compound diversity of foraminifera from the Maqiao cultural site demonstrate that sea level reached its maximum at about 7240 BP, and the high sea level was maintained for about 1100 years, probably owing to aglobally warmer climate and eustatic factors. Then, from 6150 BP, the sea level began to decrease, and by 5320 BP the sea had withdrawn from the region (Fig. 4 and Fig. 5). Our conclusion is compatible with the results derived from a chronology of shell ridges (Zhang et al. 1982). According to the radiocarbon ages and distances of the shell ridges (Fig. 1), the rate of sea regression was very fast (50 m/yr) from 6000 BP to 5800 BP. The rapid regression is mostly associated with both the abrupt drying climate and the sudden increase in sand discharge from the Yangtze River caused by the southward migration of the channel (Chen & Stanley 1995). During the span between 5800 BP and 5700 BP, the shoreline was stable owing to uniform climatic conditions and the stability of the Yangtze River channel. After about 5700 BP, the sea regressed again at a low rate (7m/yr), conditioned by the drying climate BOREAS 29 (2000) Role of climate in Neolithic cultures, Yangtze Delta 163 and slightly southward drifting Yangtze River channel. During the period from 4300 BP to 3200 BP, the shoreline was stable because of the long-term drier climate (Fig. 5). During this period, most of the Yangtze Delta emerged from the sea, allowing the Neolithic cultures of the region to develop. Because of the close vertical proximity to sea-level control and high water-table conditions, modest changes in sea level might very strongly influence drainage conditions in the delta. Nevertheless, pollen taxa indicate that the levels of lakes and water tables were mainly controlled by regional precipitation. In addition, because of the slight southward shifts of the Yangtze River channel (Chen & Stanley 1995), the increased sand discharge raised the levels of lakes and water tables, and accelerated the susceptibility to flooding. Therefore, massive river flows from the upstream Yangtze River represent another factor that triggers regional flooding. There are a great many fossil trees in the region. Sedimentological studies demonstrate that the trees were transported by runoff from upstream on the Yangtze River or inundated by expanded water bodies (Zhu et al. 1997a). Chronological studies also verify that high frequencies of fossil trees in the region were concurrent with the cultural interruptions (Zhu et al. 1996c; Yu et al. 1998). These studies and studies elsewhere support the conclusion above and indicate that the magnitude and frequency of floods tend to increase when climates shift toward colder and wetter conditions on a time-scale of centuries and millennia (Ely et al. 1993; Knox 1993; Zhu et al. 1997b). Numerical experiments with a general circulation model (GCM) demonstrate that widespread shrinkage of the East Asian summer monsoon circulation occurs during periods of climatic cooling, induced by a reduction of solar insolation derived from increased aerosol loadings (Mudur 1995). During such global cooling episodes, the region is occupied by the tropospheric westerly belt instead of the East Asian summer monsoon circulation, because of the southward drift of the climatic zones. Because the largest floods are mainly caused by frontal cyclones in the westerly belt, the magnitude and recurrence frequencies of large floods increased during cooler episodes. At present, the palaeohydrologic parameters such as precipitation, runoff volume and flood level cannot be determined quantitatively from the elevations of fine sand and organic mud layers in the cultural site. Nevertheless, the findings demonstrate that modest Holocene climate changes have resulted in very significant hydrologic responses that greatly affected human settlement in the coastal zone of the Yangtze Delta. cultural site, Shanghai, offer a climatic background in which the Neolithic cultures emerge, persist and terminate. The strata in the Maqiao cultural site have a common lithological sequence consisting of cultural layers separated by archaeologically sterile horizons that are represented by fine sand and organic mud (Fig. 2). Biostratigraphical and sedimentological information from the Maqiao cultural site provides direct evidence for the interaction between human beings and environment, because the archaeologically sterile horizons are associated with abrupt climatic shifts toward cooler and wetter conditions and increased flooding of the area. Neolithic cultures and palaeoclimatic context 3250 BP–present Continuous pollen, foraminifera, grain size, geochemistry and magnetic susceptibility data from the Maqiao During this period, the climate shifted back toward warmer and moister conditions than had prevailed 7240–5320 BP Climate during this period was warm and moist. The pollen taxa indicate an abundance of trees and ferns living on higher land in the western Yangtze Delta, while the present eastern Delta was covered by a shallow sea. A similar environment is also recorded in pollen assemblages from the Taihu Lake and the East China Sea (Liu et al. 1992; Liu & Chang 1996). Higher sea level during the period 7240–6150 BP restricted Neolithic cultural sites to the high land of the western part of the Yangtze Delta, and the Maqiao area was inundated by the sea (Fig. 1). After 6150 BP, the climate became cooler and drier, and sea level was falling (Yang & Xie 1984). By about 5320 BP, most of the Yangtze Delta was above sea level (Fig. 1) and human settlement spread onto the recently emergent plain. To sustain the dense population on the delta, the civilization developed irrigated agriculture and cultivated rice (Yin & Zhang 1962). 5320–3250 BP After 5320 BP, the sea withdrew from the region entirely (Fig. 1), leaving behind fossil shorelines of shell ridges (Zhu et al. 1996b). The climate during this period became warmer and drier. Nevertheless, during the span of 5320–4200 BP, the pollen taxa indicate two events of rapid expansion of water bodies, which resulted in a harsh wetland environment for human settlement in the Yangtze Delta. After termination of the first period of water expansion, the Liangzhu Cultures in the region flourished, owing to the suitable climate and an enlarged living area. The cultural sites expanded southward and northward, indicating the dense population and agriculture on the delta (Yu et al. 1998). At 4200 BP, another episode of expansion of water bodies caused the Liangzhu Cultures to vanish and led to a regional hiatus of human occupation. Thereafter, the Maqiao Cultures emerged. 164 Shiyong Yu et al. between 5320 BP and 3250 BP. Similar changes are also observed in pollen assemblages from adjacent areas (Liu et al. 1992; Liu & Chang 1996). Pollen assemblages indicate that, after 3250 BP, rapid expansion of water bodies occurred, because there are large numbers of fern spores such as Hicriopteris and Dennstaedtiaceae that live in freshwater swamps. Apparently, higher water tables and frequent flooding caused civilization to migrate to the high land of the western Yangtze Delta. The colder and more humid climate that terminated the Neolithic Age in the region lasted about 1600 years. Civilization in the region was initiated again at the beginning of the Tang Dynasty (AD 618–907). Conclusions The continuous records of biostratigraphy, sedimentology and geochemistry from the Maqiao cultural site suggest that Neolithic cultures on the Yangtze Delta were strongly affected by climatic changes. During the period 7240–5320 BP, the climate was warm and humid, and the sea level was higher than that of present. The high sea level limited living area, and rendered the region unsuitable for permanent settlement. By 5320 BP the sea had withdrawn from the region, but cold and humid climatic conditions resulted in the expansion of water bodies that lasted for about 800 years. After this event, the civilization migrated to the region and began to reclaim the plain. At the late stage of the Liangzhu Cultures, rapid expansion of water bodies occurred. The high lake levels and high water tables caused the civilization to vanish and human settlement migrated to the higher landscapes of the western Yangtze Delta. Later, the Maqiao Cultures emerged, but during a late stage of the Maqiao Cultures, expansion of water bodies caused by cold and humid climatic conditions again led to a rapid collapse of settlement in the delta. Settlement of the region resumed during the Tang Dynasty (AD 618–907) when climatic conditions again became more favourable for agriculture in the region. Acknowledgments. – We cordially thank the Museum of Shanghai and the Museum of Nanjing for permitting us to access the Maqiao cultural site for sampling. Professor James C. Knox critically perused the manuscript and rectified the language; we are grateful for many valuable comments. We also express our gratitude to Professor Fubao Wang and Professor Lingyu Tang for beneficial discussions. 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