Fortified settlements and the settlement
system in the Northern Zone of the
Han Empire
Chen Bo1,2 & Gideon Shelach1
How far are settlement patterns affected
by imperial systems of administration and
control? The prototype city state consisted
N
perhaps only of the population centre and its
surrounding hinterland, but large territorial
states, and still more empires, required
Beijing
complex systems of government and defence.
Historical sources tell of the Chinese imperial
system of ‘commanderies’ or provinces, and
‘county seats’ or subordinate centres, but this
may conceal a range of local variations
and development histories that only detailed
archaeological survey can reveal. In this study,
devoted to the Northern Zone of the Han
Empire close to its border with the troublesome
Xiongnu, a four-fold hierarchy of walled settlements is presented which varies in its character,
origins and development even within this single zone. Many of its special features can be attributed
to the pressures and insecurities of the border setting, and are the direct result of Han imperial
planning.
0
km
2000
Keywords: China, Western Han, Eastern Han, commanderies, county seats, Xiongnu, cities,
walled sites
Introduction
The Han Empire, one of the first dynasties to unite China, has been studied by Chinese
scholars, historians and officials for some 2000 years, and continues to attract attention
from Chinese and non-Chinese scholars alike (Loewe 1987a; Lewis 2006).
The ideal of a united empire evolved during a time of disunity and was first achieved
during the short lived Qin Empire (221–210 BC), before being fully realised and stabilised
1
2
Department of East Asian Studies, The Hebrew University, Jerusalem 91905, Israel
School of History, Zhengzhou University, 100 Science Road, Zhengzhou, Henan Province, 450001 China
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ANTIQUITY 88 (2014): 222–240
http://antiquity.ac.uk/ant/088/ant0880222.htm
222
by the much longer Han Empire (206 BC–AD 220). The political and cultural legacy of
the Qin and the Han has continued to resonate in China throughout the subsequent 2000
years (Lewis 2007; Pines 2012; Pines et al. 2013).
Modern archaeological research in China has identified the remains of more than 1000
fortified Han settlements, ranging considerably in their size and complexity. It is assumed,
but usually not tested, that many of them served as nodes in the administrative system
through which the empire was controlled and managed. The objective of our research is to
systematically analyse this rich data set using statistical and GIS methods in an attempt to
reconstruct the development of the system in one region of the empire.
Our focus is not on the individual sites but rather on the regional and interregional
networks that connect fortified settlements to one another, establish hierarchies among them,
determine their geographic location and unique functions, and incorporate the dynamics
of inter-city interactions. Was the Han walled site system the result of top-down processes,
with central authorities determining the location, function and relative importance of each
city? Or did it emerge from bottom-up processes and the organic evolution of settlements
and their interdependency?
While we acknowledge that this system was comprised of cities and non-urban settlements,
some enclosed by walls and others not, our focus is on fortified settlements. This is for
two main reasons. First, there have been no systematic archaeological surveys that cover
substantial parts of the Han Empire (or even only its northern part), and so in this study
we rely on unsystematic reports collected in recently published atlases of sites in different
provinces (Shaanxi Sheng Wenwuju 1998; Guo 2003; Shi 2006). Han fortifications were
quite substantial in size and are still visible above ground. Therefore, they are likely to have
been recorded, even by unsystematic surveys, and their record, we estimate, is substantial and
almost complete. The existing record of non-fortified sites, however, is highly fragmented
and biased by the surveys. Second, and more substantially, from the historical record it is
clear that all Han cities and some other socio-politically significant settlements were enclosed
by walls (Liu 1998: 544–51). Therefore, by focusing on fortified settlements we believe that
we have a relatively complete picture of the upper levels of the settlement system.
Historical background
Large walled settlements, widely called cities (cheng), have a long history in China. Some
scholars even apply this term to Late Neolithic sites (Xie 2006) but clearly Bronze Age
fortified settlements such as Zhengzhou or Yinxu, identified with the centres (or capitals)
of the Shang polity, can be called cities (Yuan & Zeng 2004). The Warring States period
(481–221 BC) saw a transformation in the role and nature of fortified settlements in China,
including not only the large and densely populated state capitals, but also smaller settlements
(Shen 1994; Zhongguo Shehui Kexueyuan Kaogu Yanjiusuo 2004). These were associated
with the emerging stratified administrative systems developed to control the huge states,
known as the ‘commanderies and counties system’. Within this system, cities were central
nodes of administration, population registration and tax collection, as well as local centres
of economic activity and craft production (Lewis 2006: 150).
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Method
Chen Bo & Gideon Shelach
Fortified settlements and the settlement system in the Northern Zone of the Han Empire
Cities and other fortified settlements continued to be built and integrated within the
state bureaucracy during the early imperial era, but there were also changes. In the sixth
year of Emperor Gao’s reign (201 BC), for instance, he “ordered to wall all the county seats
in All-under-Heaven” (Ban Gu 1964: 56). A systematic and empire-wide project of the
fortification of settlements, many of them cities, was thus launched. Consequently, by the
end of the Western Han period (206 BC–AD 8), the number of Han cities may have been
greater than 1600, decreasing only slightly to around 1285 cities during the Eastern Han
period (AD 24–220) (Fan Ye 1965).
Previous research
Most previous research into Han cities is text-based and has focused on the imperial capitals,
Chang’an and Luoyang (Lü 1982 [1947]: 584; Lin 1985, 1986: 589–91; Loewe 1987b;
Zhou 2001; Zhang 2006). As Loewe (1987a: 4–5) has pointed out, however, the records
are neither sufficient nor comprehensive, especially when discussing areas that were far from
the empire’s capitals.
Few Han walled sites have been excavated and most are only known from surface remains.
Previous archaeological research is often descriptive, aimed at charting the structure of
individual cities, including the layout of their walls and their size (Yang 1984, 1989; Zhao
2002; Liu & Li 2003). Another common endeavour is to correlate archaeological sites with
the names of cities mentioned in historical texts (Yang 1990; Wu 1995).
The region and the data
The Northern Zone of the Han Empire is the region between the Central Zone (the imperial
capital cities and their peripheries) to the south and the main adversary, the nomadic empire
of the Xiongnu, to the north. In Han administrative terms, this zone covers two provinces—
Shuofang and Bingzhou—which in turn were divided into 11 commanderies during the
Western Han period (Figure 1). During the Eastern Han the two provinces merged into
one, and two commanderies were transferred to neighbouring provinces.
The borders of this area did not remain stable throughout this period. Almost the entire
western part—the region known as ‘lands south of the (Yellow) River’ (he nan di), which
were part of the Qin Empire—came under the domination of the Xiongnu for more than
60 years until they were conquered by the Han armies during the reign of Emperor Wu (r.
141–87 BC). In addition, many of the Han sites discovered by archaeological research are
located in areas beyond the documented northern borders of the empire. Those sites are
included in our analysis, and so the area we define as the ‘Northern Zone’ goes beyond what
have historically been regarded as the borders of the Han Empire.
In total, 216 fortified sites have been discovered in the Northern Zone and are included in
our analysis. Although all of these cities were incorporated into the Han settlement system,
the dates of their original construction vary (Table 1). While the majority were built during
the Western Han period, almost a quarter of them are older, with only a few constructed
during the Eastern Han period.
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Table 1. Original construction dates of walled sites in the Northern Zone.
Construction period
Percentage
3
40
13
158
2
216
1.4
18.5
6.0
73.1
0.9
100.0
Method
Spring and Autumn (770–481 BC)
Warring States (481–221 BC)
Qin Dynasty (221–210 BC)
Western Han Dynasty (206 BC–AD 8)
Eastern Han Dynasty (AD 24–220)
Total
Number of sites
Figure 1. The Northern Zone and the locations of Western Han commanderies and lines of the Great Walls (based on Zhao
1995: 238–49; Xu 2002).
Most walled sites share common features. The site of Ershijia in Inner Mongolia is a
fairly typical example. Originally constructed during the Western Han period, it had inner
and outer enclosures whose southern and western walls partly overlapped (Figure 2). The
outer enclosure walls were 500–540m long, and the inner walls measured almost 350m
(Neimenggu Wenwu Gongzuodui 1961; Guo 2003: 13; Wang 2008: 61).
The square ground plan is typical of most walled sites throughout the Han Empire, and
the two-enclosure layout has been identified at 23 sites in the Northern Zone, all others
having a single wall. The walls themselves were built of pounded earth. Auxiliary features,
such as ‘protruding defensive towers’ (ma mian) and ‘corner defensive towers’ (jiao lou) were
sometimes attached to the walls. The number and direction of gates is another variable.
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Fortified settlements and the settlement system in the Northern Zone of the Han Empire
In the Northern Zone, a single south- or
east-facing gate was most common, but
in other regions of the empire multiple
gates were widespread. Encounters with
the Xiongnu may have made security
considerations, such as minimising the
number of possible entry points into the
site, more important in the Northern Zone
than in the inner parts of the empire.
Methodology
One of our main research objectives is
to shift the focus of research from a few
well-known Han cities to the systematic
Figure 2. Ground plan of Ershijia, a walled site in Inner
integration of settlements by considering
Mongolia (based on Neimenggu Wenwu Gongzuodui 1961).
political, geographic and environmental
aspects. We strive to avoid presumptions as
to what this or that site was—based on their ‘known’ name or their supposed administrative
level—adopting instead objective criteria of classification and analysing the patterns of site
distribution. These criteria include the existence of walls, their special features and the size
of the area that they enclose. We assume that the latter was correlated with the size of the site
population, at least in relative terms (Renfrew & Level 1984: 59–60; Chifeng International
Collaborative Archaeological Research Project 2003: 152–65). We use this correlation to
suggest the relative population size for each settlement rather than speculate as to the actual
number of inhabitants.
Rank classification
The rank classification of Han cities (or walled sites) is a popular theme among researchers.
Many scholars assume a direct correlation between Han cities and the Han administrative
system, and so they assign the sites to one of three main administrative levels: imperial
capital, capital of a commandery/princedom, or county seat (Fu 1980; Zhou 2001: 14).
This threefold categorisation seems reasonable, but identifying walled sites with
documented city names is a prerequisite for such analyses, and these correlations often appear
somewhat dubious. Moreover, the three-class framework is not comprehensive enough to
accommodate all of the Han walled sites known archaeologically (Liu 1998).
The 216 walled sites in the Northern Zone varied greatly in size: the biggest enclosed
an area of 600ha (Yuxian Bowuguan 1997: 26; Shi 2006: 598), while at the other extreme,
62 sites were no larger than 2ha, and 33 of them were smaller than 1ha (see Figure 3 &
Table 2).
We used the clustering of site sizes in Figure 3A to divide the entire population of sites
into three groups. Closer examination of the lower end of this distribution (Figure 3B)
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Table 2. Rank categorisation of Han walled sites in the Northern Zone.
Rank class
Percentage
Average size (ha)
12
22
95
62
25
216
5.6
10.2
44.0
28.7
11.6
100.0
299.51
75.55
14.83
1.05
–
35.89
Method
Rank I
Rank II
Rank III
Rank IV
Size not clear
Total
Number of sites
Figure 3. Size histograms of Han sites in the Northern Zone: A) size histogram of all sites (each bar represents 10ha); B) size
histogram of sites smaller than 150ha (each bar represents 2ha).
suggests a further division into two more groups, bringing the total number of ranks to four.
This division should be seen as a heuristic device to be used and tested in advanced analyses.
The twelve largest sites (larger than 150ha) are categorised as Rank I. This number almost
accords with the number of commanderies (11), the most important administrative unit
known in the region during the Western Han period. In Figure 3B, a noticeable gap (to the
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Fortified settlements and the settlement system in the Northern Zone of the Han Empire
left of 50ha) divides the relatively scattered bars on the right from the relatively concentrated
bars on the left. This is where we distinguish between Rank II and Rank III. The leftmost
bar (smaller than 2ha, defined here as Rank IV) is impressively high, and indeed the number
of small walled sites is much greater in the Northern Zone than in other regions of the Han
Empire (e.g. only five walled sites—no more than 5 per cent—smaller than 2ha were found
in the empire’s Central Zone). This is an important observation even if we see those sites
not as an independent category but as the lower end of the distribution of small walled sites.
Spatial distribution and location strategies
A few recent studies of prehistoric societies in China have grappled with the effect of the
natural environment on the location of settlement, and related questions and methodologies
(Teng 2009; Shelach & Teng 2011), but similar studies are almost non-existent for historic
periods. For the study of Han walled sites we correlated the location of sites with the degree
of the slope on which they are constructed and with the local climatic conditions. Other
correlations—such as with soil type and distance from streams and rivers—were tested, but
the results were less significant.
The baseline expectation in our analysis is that the proportion of the estimated number
of Han walled sites and the area covered by the sites within a given environmental zone
will be similar to the proportion of the area covered by that zone. If a larger than expected
proportion appears in a particular zone, then a preference for that zone over others is
suggested, and vice versa. The potential reasons for this preference or dislike can then be
explored in terms of human behaviour and resource management, as well as other political
or social issues (Shelach & Teng 2011).
Degree of slope
Slope is a significant topographic element that can affect the location of ancient habitations.
We used the DEM (digital elevation model) database STRM90 with 90m resolution
to simulate the geographic environment and create a slope gradient model. The slopes
are divided into seven categories with uneven intervals, which is considered a more
accurate reflection of the human feel of ‘slopeness’ than categories of even intervals
(Demek 1972: 28).
Category A (0–0.5◦ ), and even more so category B (0.5–2◦ ), have the highest site densities
(per km2 ) and population densities (area covered by sites per km2 ) (Table 3; Figure 4A).
These results confirm that planners and residents preferred to locate sites and to conduct
their daily lives on relatively flat land. The preference for building on land with a slight slope
(0.5–2◦ ) was probably for drainage and flood prevention. Similar patterns are observed in
other regions of the Han Empire (Figure 4B & C), confirming that the construction and
development of walled sites on relatively flat land was a universal phenomenon during this
period.
That said, many walled sites in the Northern Zone (almost 25 per cent) were located on
sloping land, including category D (5–15◦ ) and even category E (15–35◦ ). In contrast, a
much smaller proportion of the sites in the Central and Eastern Zones of the Han Empire
were located on such steeply sloping ground. Thus, the relatively higher proportion of sites
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Table 3. Land area, number of walled sites, area covered by those sites and their percentage and density in each slope category.
229
A
B
C
D
E
F
G
All categories
combined
Degrees
Land area
(ha)
Percentage of
land area per
slope category
Number of
walled sites
Percentage of
sites per slope
category
Density (sites
per ha)
Area
covered by
sites (ha)
Percentage of
site area per
slope category
Percentage of
land area
covered by sites
0–0.5
0.5–2
2–5
5–15
15–35
35–55
55–90
4 065 365
10 418 616
7 295 415
13 603 918
7 082 510
129 697
2579
9.5
24.5
17.1
31.9
16.6
0.3
0.0
28
98
36
42
12
0
0
13.0
45.4
16.7
19.4
5.6
0.0
0.0
0.000006887
0.000009406
0.000004935
0.000003087
0.000001694
0.000000000
0.000000000
1479.85
3394.69
338.46
1052.60
464.90
0.00
0.00
22.0
50.4
5.0
15.6
6.9
0.0
0.0
0.03640
0.03258
0.00464
0.00778
0.00656
0.00000
0.00000
42 598 100
100.0
216
100.0
0.000005071
6730.50
100.0
0.01580
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Method
Chen Bo & Gideon Shelach
Slope
category
Fortified settlements and the settlement system in the Northern Zone of the Han Empire
located on sloping land is an important
regional feature of the Northern Zone.
As will be further discussed below, this
phenomenon is probably related to the
conflict with the Xiongnu and considerations of military defence in this area.
Temperature
The global climate database, WorldClim
(Hijmans et al. n.d.), was the source
for our GIS layers of temperature and
precipitation. These data were derived from
modern observations (AD 1950–2000) and
may therefore not accurately reflect the
conditions some 2000 years ago. We still
do not have enough accurate data at a
sufficiently high regional resolution on the
ancient climate but evidence suggests that
conditions were not very different during
the Han period (Zhu 1972; Man 2009).
Furthermore, even if average temperatures
and precipitation differed slightly from
those of today, we would expect their
relative distribution patterns to be similar.
The distribution of temperature zones in
the Northern Zone generally corresponds
to latitude, although low temperature zones
extended further south in the eastern
part of the Northern Zone because of
Figure 4. Percentage of land area, walled sites and
the high mountains in that area. In
accumulated area covered by sites in each slope category in
addition, the temperature in the main river
the Northern (A), Central (B) and Southern (C) zones of the
Han Empire.
valleys is higher than in neighbouring areas
(Figure 5).
The frequency of Han sites in the temperature zones of 1, 6 and 7◦ C (annual average
temperature) is clearly higher than expected (i.e. higher than the proportion of land these
zones occupy), while the total walled area is higher than expected in the temperature zones
of 7 and 8◦ C (Table 4; Figure 6). It is interesting to note that the density of sites in cold zones
(7◦ C and below) is relatively high, but that the population density in these zones is much
lower. It seems that a greater number of small sites were constructed in the north, where the
weather is harsh, perhaps due to the military importance of this zone. This suggests imperial
(top-down) planning rather than organic development. By contrast, the proportion of the
population in areas with medium-range temperatures (c. 7 and 8◦ C) is clearly higher than
expected. Population density is also quite high, suggesting an organic agglomeration of the
population in areas where climatic conditions were favourable.
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Method
Chen Bo & Gideon Shelach
Figure 5. Distribution of average annual temperature zones and Han walled sites in the Northern Zone.
Precipitation
In the Northern Zone, high precipitation levels are usually advantageous, but too much rain
can cause flooding, a natural disaster frequently recorded in Han texts (Bu 2002). Although
the average yearly precipitation in northern China is not very high, the region is notorious
for flooding because of the relatively sparse vegetation cover and the nature of the loess soils.
We divided the Northern Zone into 14 zones according to the data for long-term average
yearly precipitation. Precipitation levels are affected by the direction of the annual monsoon
and decrease from the south-east to the north-west (Figure 7).
Most Han walled sites are located in areas with medium to low precipitation, and the
population is denser in the medium range levels (Figure 8; Table 5). The proportion of
walled sites is higher than expected in most of the zones with yearly precipitation of 450mm
and below, while lower than expected in all zones with precipitation of 500mm and above.
The percentage of population is relatively high in the precipitation zones 300–500mm.
This implies that in this region the medium precipitation range provided the optimal living
conditions, though many small sites were located in the northernmost border zone where
precipitation is low.
Spatial distribution and organisation of the settlement system
The distribution of walled sites throughout the Han Empire and their location vis-à-vis one
another reflects the planning and functioning of this unprecedented system. Only a few of
the walled sites in the Northern Zone were constructed during the Eastern Han; therefore,
our data most accurately reflect the evolution of this system during the Western Han period.
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C
Temperature
zones (◦ C)
232
1
2
3
4
5
6
7
8
9
10
11
12
13
14
All zones combined
Land area
(ha)
Percentage of
land area per
temperature
zone
97 011.5
496 766.0
1 426 738.6
3 581 063.8
3 852 027.0
4 303 632.5
6 628 564.1
8 471 783.3
7 478 251.3
4 030 996.6
1 754 570.7
337 867.8
78 612.8
36 797.5
42 598 100.0
0.2
1.2
3.3
8.4
9.0
10.1
15.6
19.9
17.6
9.5
4.1
0.8
0.2
0.1
100.0
Number of
walled sites
Percentage
of sites per
temperature
zone
2
0
7
14
17
32
68
31
26
13
6
0
0
0
216
0.9
0.0
3.2
6.5
7.9
14.8
31.5
14.4
12.0
6.0
2.8
0.0
0.0
0.0
100.0
Density (sites
per ha)
Area
covered by
sites (ha)
Percentage of
site area per
temperature
zone
Percentage
of land area
covered by
sites
0.000020616
0.000000000
0.000004906
0.000003909
0.000004413
0.000007436
0.000001026
0.000003659
0.000003477
0.000003225
0.000003420
0.000000000
0.000000000
0.000000000
0.000005073
0.70
0.00
95.88
129.80
98.18
672.46
2288.19
1849.71
1129.98
370.60
95.00
0.00
0.00
0.00
6730.50
0.0
0.0
1.4
1.9
1.5
10.0
34.0
27.5
16.8
5.5
1.4
0.0
0.0
0.0
100.0
0.00072
0.00000
0.00672
0.00363
0.00255
0.01563
0.03452
0.02183
0.01511
0.00919
0.00541
0.00000
0.00000
0.00000
0.01581
Fortified settlements and the settlement system in the Northern Zone of the Han Empire
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Table 4. Land area, number of walled sites, area covered by those sites and their percentage and density in each temperature zone. Temperature
zones equate to annual average temperature.
Chen Bo & Gideon Shelach
Method
Figure 6. Percentage of land area, walled sites and area covered by walled sites in each of the temperature zones.
Figure 7. Distribution of precipitation zones (annual average precipitation in mm) and Han walled sites in the Northern
Zone.
There is an important difference between the evolution of the walled site system in the
eastern and western parts of the Northern Zone. The western part, known in historical
sources as the ‘lands south of the (Yellow) River’, was captured by Han armies (after 127
BC) following a period of over 60 years under Xiongnu control. The historical record is
corroborated by the distribution of Han tombs, which suggests that the Han population did
not expand into the western part during the early phase of the Western Han period (Jiang
2010: 78–87).
One of the clearest features in the distribution of walled sites (Figure 9) is an unbalanced
spatial pattern, with a higher density of sites in the northern part of the Northern Zone
than in the southern part. The three neighbouring commanderies in the north (Yunzhong,
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Fortified settlements and the settlement system in the Northern Zone of the Han Empire
Figure 8. Proportions of land area, walled sites and area covered by sites in each precipitation zone.
Wuyuan and Dingxiang) have the highest densities of both discovered walled sites and
recorded cities, while the density of sites and cities in the southern commanderies, such as
Shangdang and Beidi, is low (Table 6).
Although the formation of the settlement system started later in the western part of
the Northern Zone, more walled sites were located here than in the eastern part, but the
proportion of higher ranking sites (Ranks I and II) is higher in the east. In addition, the
average size of Rank I sites in the east is larger than in the west, and most of the Rank IV
sites are located in the west (Figure 9).
The 12 Rank I sites are more or less evenly distributed throughout the Northern Zone.
Indeed Rank I sites were located in the territories of all but two of the commanderies, and
only two commanderies contained more than one Rank I site. Once again, this suggests
a correlation between Rank I sites—which were the largest and probably most influential
cities—and the commandery, a crucial level in the Han administrative system.
In order to explore further the spheres of influence of Rank I sites in the Northern Zone,
we used a cost allocation analysis model, an improvement on the Thiessen polygon that
takes into account the effects of the environment on the distance and intensity of contacts.
In the cost surface used here, the time (or energy) cost of moving from one place to another
was calculated such that relatively flat lands (with a gradient lower than 15◦ ) were given a
value of 1, mountainous areas (with a gradient higher than 15◦ ) were given a value of 3,
and travelling along streams was given a value of 0.5. Based on these assumptions, heuristic
influence areas of Rank I sites were created (Figure 10).
It is notable that these hypothetical spheres of influence are approximately of equal size (if
we ignore parts that extend beyond the limits of the Northern Zone), and that they resemble
the territorial arrangement of commanderies. This suggests that the Rank I sites were most
probably the central cities of commanderies. Such a close correlation is a distinctive feature
of the Han city system in the Northern Zone, but cannot be seen in other regions of the
Han Empire.
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Table 5. Land area, number of walled sites, area covered by those sites and their percentage and density in each precipitation zone.
Precipitation
zones (mm
per year)
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Number
of walled
sites
Percentage of
sites per
precipitation
zone
Density
(sites
per ha)
Area
covered by
sites (ha)
Percentage of
site area per
precipitation
zone
Percentage
of land area
covered by
sites
359 611.7
1 943 575.9
2 791 590.6
2 825 042.8
2 584 186.6
3 445 582.1
6 023 078.3
7 680 637.5
6 565 004.8
4 301 959.8
2 264 717.6
1 328 054.5
299 397.7
185 660.0
0.8
4.6
6.6
6.6
6.1
8.1
14.1
18.0
15.4
10.1
5.3
3.1
0.7
0.4
4
16
4
9
23
26
44
59
23
5
3
0
0
0
1.9
7.4
1.9
4.2
10.6
12.0
20.4
27.3
10.6
2.3
1.4
0.0
0.0
0.0
0.00001112
0.00000823
0.00000143
0.00000317
0.00000890
0.00000755
0.00000731
0.00000768
0.00000350
0.00000116
0.00000133
0.00000000
0.00000000
0.00000000
5.65
143.20
73.26
71.42
465.35
568.90
1232.14
2832.05
1167.65
20.88
150.00
0.00
0.00
0.00
0.1
2.1
1.1
1.1
6.9
8.5
18.3
42.1
17.3
0.3
2.2
0.0
0.0
0.0
0.001571
0.007368
0.002624
0.002528
0.018008
0.016511
0.020457
0.036873
0.017786
0.000485
0.006623
0.000000
0.000000
0.000000
42 598 100.0
100.0
216
100.0
0.00000507
6730.50
100.0
0.015800
Method
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100
150
200
250
300
350
400
450
500
550
600
650
700
750
All zones
combined
Land area
(ha)
Percentage of
land area per
precipitation
zone
Fortified settlements and the settlement system in the Northern Zone of the Han Empire
Figure 9. Digital elevation model and the distribution of Han walled sites in the Northern Zone.
Table 6. Densities of discovered walled sites and recorded Han cities in each commandery of the
Northern Zone.
Discovered walled sites
Commandery
Shangdang
Taiyuan
Dai
Yanmen
Dingxiang
Yunzhong
Wuyuan
Shuofang
Xihe
Shang
Beidi
Expanding Region
Recorded Han cities
(Western Han period)
Area (km2 )
Number
of sites
Density
(sites per km2 )
Number
of cities
Density
(sites per km2 )
32 269
47 026
29 841
33 853
8875
11 687
15 672
35 075
49 481
61 846
59 863
40 493
2
14
12
25
10
21
32
15
32
17
10
20
0.000062
0.000298
0.000402
0.000738
0.01127
0.01797
0.02042
0.00428
0.00647
0.00275
0.00167
0.00494
14
21
18
14
12
11
16
10
36
23
19
–
0.00434
0.00447
0.00603
0.00414
0.01352
0.00941
0.001021
0.00285
0.00728
0.00372
0.00317
–
One difference between the eastern and western parts of the Northern Zone is that in the
west almost all Rank I sites were newly constructed during the Western Han period, while
many of the Rank I sites in the east date from pre-Han periods. Rank I sites in the west
were generally smaller and their distribution more even, suggesting a top-down design of
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Chen Bo & Gideon Shelach
Figure 10. Spheres of influence (chromatic areas) of Rank I sites in the Northern Zone.
the local (administrative) centres of the newly-conquered west, with the aim of improving
control over the frontier lands.
Rank IV sites were mainly found in two areas: the commanderies of the north-west, an
area also known as the Hetao Plain, and the vicinity of the Han Great Walls in the far
north-west of the region (Figure 9). Most of the walled sites discovered in the vicinity of
the Han Great Walls were probably affiliated defensive points or fortresses. These sites are
located far away from the other concentrations of Han walled sites and are separated from
them by the Yinshan Mountains, which suggests that they were related to the functioning
of the Great Wall. Although they may have contained a civilian population, they were more
probably part of the military project and under the direct control of the imperial court.
Most of the small walled sites in this region had auxiliary defensive structural features and
only one gate, which, as discussed earlier, are features associated with military functions.
The Rank IV sites in the Hetao Plain can be subdivided into four clusters: the western
cluster, located in the western part of Shuofang commandery; the middle cluster, located in
the commandery of Wuyuan; the eastern cluster, located in the northern parts of Yunzhong
and Dingxiang; and the southern cluster, located in the joint area of the commanderies
of Yunzhong, Dingxiang and Xihe. We suggest that those clusters are also associated with
military functions. The western, middle and eastern clusters were most probably associated
with the protection of routes that connected the territory of the Han Empire with the
border regions and the Mongolian Plateau. Although the Han Great Walls were built to the
north of the Hetao Plain, they were considered as outer defence lines rather than a stable
border (Wei 2007: 219–20). The more southerly line of the Qin-Han Great Wall, located
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Fortified settlements and the settlement system in the Northern Zone of the Han Empire
to the south of the Yinshan Mountains, was considered the more stable internal border,
with the mountains serving as a buffer zone. The routes crossing through the main valleys of
the Yinshan Mountains were strategic locations for communication and possible routes of
invasion. Indeed, Han attacks on the Xiongnu were usually launched through these valleys
(Wei 2007: 222), and Xiongnu envoys to the Han capitals also passed through them (Ban
Gu 1964).
The southern cluster of Rank IV sites is located relatively far from the frontier. It was
located close to the Yellow River, however, and along a section of the Warring States Great
Wall running south-west to north-east. Before the Han conquest of the ‘lands south of
the River’, this part of the Great Wall was the dividing line between the Xiongnu and the
Han Empire. After the conquest, the southern cluster of Rank IV sites retained its military
significance since the region’s flat lands could provide an ideal corridor for a Xiongnu attack
on the Han capital (Shiji ch. 99 (biographies of Liu Jing and Shusun Tong); Sima Qian
1962: 2179).
This discussion has concentrated on two types of walled site in the Northern Zone: the
largest ones and the smallest ones. Their distribution seems to reflect a top-down decisionmaking process that was imposed by the imperial apparatus. The distribution and size of
Rank I sites in the eastern part of this zone may, however, be indicative of bottom-up
developments and demographic processes that started before the Han. Such developments
can also be seen in the distribution patterns of Rank II and III sites.
Conclusions
In this study we used methods that have never before been deployed in archaeological
research on Han walled sites. The most important contribution of this research is its
regional approach, which allows us to go beyond the analysis of a single city to address
the development and functioning of a system that connected all of the walled sites in the
Northern Zone. While the existence of such a system is well supported by the historical
evidence, the process by which it was established, developed and functioned can only be
understood through systematic archaeological research. We hope that our work is the first
step towards more such integrative research and analysis.
Among the new insights generated by this research, our division of the Han walled sites in
the Northern Zone into a four-class rank structure should be highlighted. This ranking differs
from the commonly suggested three-rank system of the Han administration (including the
capital cities not present in this zone), and illustrates the diversity in the functions of Han
walled sites. The Northern Zone is distinctive owing to its large number of Rank IV sites.
More such comparisons might produce new insights into the unique characteristics of the
different regions of the empire. Integrating our results with more targeted research—of a
selection of Rank I sites, for example—would further develop our understanding of the
variability of urban life in China and the interactions between communities of different
sizes and levels of complexity.
The regional variability of the Han system is another important insight suggested by our
research, and one which we hope to investigate further in the future. We see this research
as a pilot project and are confident that more insights will be generated by increasing the
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number and types of spatial analysis and by implementing them in more regions of the Han
Empire. Such analyses will not only greatly increase our knowledge of the Han Empire but
will inspire similar research into other periods of history in China and elsewhere.
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Received: 21 January 2013; Accepted: 28 June 2013; Revised: 1 July 2013
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