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GeoJournal 21.1/2 9 5 - 1 0 2 © 1990 (May/June) by Kluwer Academic Publishers

Loess Cave-Dwellings in Shaanxi Province, China Yoon, Hong-key, Dr., University of Auckland, Dept. of Geography, Auckland, New Zealand A B S T R A C T : China's loessland is the h o m e of ancient China's civilisation. For thousands of years, a distinct form of dwelling in Shaanxi, a part of China's loessland has been caves burrowed out of the soil. People still prefer living in cave dwellings to free standing Chinese houses. The persistence of cave dwellings m a y be an indication that the traditional cave dwelling has been a successful ecological adaptation to the local loess environment with long severe winters and intense s u m m e r heat.

The aim of this paper is to discuss China's loess cavedwelling as a successful ecological adaptation to loess land with its long severe winter and intense summer heat. This study is based primarily on field observations in Huangling county, Shaanxi province during my field trip to China in 1988.1) The Loess Plateau, covering 400,000 km2, spreads over the whole of Shanxi province and great areas of Shaanxi, Ningxia, Gansu and Henan provinces (Fig 1). The plateau is bounded by the Qinling Mountain to the S, the Great Wall of China to the N, the Taihang Mountains to the E and Wuxiao Mountains to the W. Loess consists of yellowish soil formed of extremely fine partic-

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I

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k_ )

~__

les of silt which have been carried and deposited by wind (Fig 2). The depth of loess in this region is generally 100 m, but in parts of N Shaanxi, over 150 m deep. It is reported that in Western Gansu it exceeds 200 m (China Handbook, 1983, 47). The Loess Plateau is the home of ancient Chinese civilization, and the use of cave-dwellings cut into the friable loess began in prehistoric times. George B. Cressey wrote in 1955 that millions of people lived in cave-dwellings of Honan, Shanxi, Shaanxi and Gansu (Cressey, 261). It is believed that forty million people still inhabit cave-dwellings in the Loess Plateau region (Kemp, 172).

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THE LOESS PLATEAU

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Fig 2 Fig 1

Location of Loess Plateau in China

A scene of Shaanxi Loessland: m a r k e d by severe soil erosion and sparse vegetation

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conditions considered in cave site selection is primarily based on my field observations and interviews with cavedwellers, notably the two cave builders. As a supplement however, part of Jan Myrdal's interview with cave builder Mr. Mau Ke-yeh, in Report from a Chinese Village, is quoted. The first step in making a cave-dwelling is finding a steep loess slope preferably facing southward. Traditional cave-dwellings are invariably located along steep loess slopes where caves can be excavated (Fig 3). The fronts of the caves are generally open areas, and most of these caves face south, southwest or southeast to gain m a x i m u m benefit from sunlight. The cave builder in Myrdal's report comments (Myrdal, 14): In principle, it is best for a cave to face south, because then it will be warmed by the winter sun, which hangs low, and the summer sun, which stands high in the sky, won't reach in; but you cannot pay much attention to that, where earth or stone caves are concerned, for they have to be sited according to the condition of the ground.

Fig 3

Burrowed loess caves on two different steep slopes. Lower picture: Land on top of the cliff is used for growing crops

Site and Situation of Caves

I asked Liu Chiunlu why the cave where I interviewed him, and which he had built, was facing eastward; he replied that it was determined by the particular frontage of the mountain slope where he had excavated the cave. The second important condition to examine is soil condition. A n ideal soil has to be well compacted, dry, dense and pure loess. The soil condition is critical, for it determines the size and stability of a prospective cave. The cave builder in Myrdal's report comments on the desirable soil conditions (Myrdal, 12):

While visiting Huangling county, I interviewed two elderly peasant cave builders: Mr. Liu Chiuanlu of Shishan village near Huangling county township and Mr. Z h a n g Qingqi of Kuizhang village on a raised flat field away from the township. The following discussion on the

The earth caves are dug into the hillside. The first thing to do is to find a place with the right kind of soil, hard yellow loessial soil. You cannot build a cave where the soil is sandy. There are lots of places in this valley suitable for building caves. But you can make a mistake.

A big hole being created by the collapse of a loess cave ceiling

D a m p soil proves unsuitable for a big cave, and may collapse (Fig 4). E v e n if a cave can be completed under such conditions, it may be too damp for habitation. E v e n if soil is good and not damp, Mau Ke-yeh in Myrdal's report comments that "an earth cave seldom lasts m o r e than two or three generations" (Myrdal, 13).

Fig 4

In a n u m b e r of examples, I noticed a stream or well nearby a group of caves. A l t h o u g h the cave sites themselves n e e d to be dry, it is desirable to have water supply nearby for daily consumtion by the local inhabitants. A dry and hard soil is often far away from the source of water, while the soil near a well or stream was often damp. Sometimes, people may have to travel several kilometres to fetch water for domestic use as seen in the recent Chinese film "Yellow Earth". Therefore, it is not so easy to find an ideal cave site with a dry and firm soil condition as well as a water supply (well or stream) nearby.

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Conditions for an Ideal Cave Site and Geomantic Principles The conditions for an ideal cave-dwelling site closely reflect those for an auspicious site in geomancy (Fengshui). Chinese geomancy has played a critical role in the development of China's cultural landscape; it has been a key element in determining the sites and morphology of settlements including major cities, temples, graves, and houses. Geomancy is defined as "a unique and comprehensive system of conceptualising the physical environment which regulates human ecology by influencing people to select auspicious environments and to build harmonious structures (e.g., graves, houses and cities) on them" (Yoon 1976, 1). Ideal conditions for an auspicious place in Chinese geomancy in terms of topography, water, soil and orientation, can be summarised as: 1) the location should back into a hill and must have an open front. If the location is sheltered by a surrounding, horseshoe-shaped range of hills, the site has the most ideal landform conditions. 2) the site should be free from both underground and surface water; However, there should be water (either a stream, pond or well) not too distant; 3) the soil condition must be fine in texture, firm in structure and earthy yellow in colour; 4) the direction faced should be southern. When we closely examine the above four important geomantic conditions, it is obvious that they reflect closely an ideal site for a cave-dwelling. Backing onto a hill, for instance, is much more important for a burrowed cave-dwelling than a free-standing house, since the traditional cave-dwelling cannot of course even be made without a loess slope to burrow into. The dryness of an auspicious site is also more closely related to a cavedwelling than the site for a free-standing house, since a house site itself or a free-standing house structure itself can be raised to avoid dampness. But the builder of a cave-dwelling does not have this choice. The ideal soil condition in geomancy, a fine and well compacted loess, is of course ideal for digging out a cave-dwelling, but this type of soil is not critically important for a free-standing house, a grave, or a city-site. Traditionally, the same soil conditions were applied by geomancers for any location, whether for a cave, house or grave. The criteria applied in a geomancer's observation of soil conditions are: (1) to find fine and well compacted soil; and (2) to avoid areas with gravels, large grains of soil, or where the soil has blackish spots or lines which indicate water seepage. If water seeps through any cave walls or ceiling, it is an inauspicious sign that the soil is unstable and may result in a collapse of the cave. The ideal soil condition in geomancy for the selection of any auspicious site may well have derived from early Chinese people's cave building experience. During fieldwork in the Shaanxi province, I confirmed that until the communist revolution, a professional

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geomancer was hired to examine a cave-dwelling site before work began. The geomancer determines, after examination of slope formations and soil conditions, the exact point where to dig. In N China's extremes of temperature, with winter blizzards and summer heatwaves, it is advantageous to face southward both for a cave-dwelling and a freestanding house. Once I travelled by jeep from the city of Xian to Huangling township in Huangling county and recorded directions faced by all visible cave groups. Of some 50 sitings, all but a few were facing southward (including the SE and SW). All the basic principles of Chinese geomancy again point to factors determining an ideal cave-dwelling site in the loessland. Therefore, I reaffirm my previous opinion that geomantic principles must have developed from the early cave-dweller's considerations in their search for favourable cave-dwelling conditions (Yoon 1986 & 1989).

The Process of Making a Cave After choosing a site, the excavation process is simple enough to be carried out by a peasant family. However, based on a mutual assistance custom, neighbours normally come to help with making a cave. When burrowing into the loess slope, it is usual to start digging from the arched ceiling then move down to eventual floor level. No special tools or skills are needed. Liu Chiuanlu of Shishan village said that the only tools he used were nomal faming tools such as a hoe, spade and pick. After the required cave space is excavated, the wails and ceilings are smoothed and plastered with loess mortar or lime; the front is walled off and given a window and entrance door. The front, and only artificially built wall is often made of thick loess block or wooden frame with thick loess mortar plastering. At the top of the arched (vault) front wall high above the window there is a small air outlet. The air within the cave was not stale or musty, due to this circulation outlet.

Three Ways of Classifying Cave-Dwellings Different types of cave-dwellings can be identified in the Loessland in Shaanxi province. The walls of some caves are bare and without lining, yet others are plastered with loess mortar, lime paste or cement. Most caves I visited had mud floors, but some had a cement floor or paving. The majority of caves which I observed were formed by burrowing into the natural loess slope, while others were made by piling and compacting loess on the flat ground. Based solely on my field observations, three different ways of classifying cave-type dwellings in the loessland are suggested.

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Fig 5

A scene of two burrowed loess caves

1. Classification according to the ways of doing earthwork Cave-dwellings can be classified depending on whether they are made by excavating into a natural hillslope, or by piling and compacting soil on flat ground. We may call the former, excavated cavedwellings or burrowed caves, and the latter, freestanding cave-dwellings or artificial caves. la. Excavated cave-dwelling (Fig 5). This type is invariably burrowed into a steep slope or cliff of loess, and is considered to be the oldest model of cave-dwelling. lb. Free-standing cave-dwelling (Fig 6). This artificial type is made, on flat ground, by building brick or stone framing walls, then piling and compacting earth around them.

Fig 7

A scene of brick cave under construction

Fig 6

A side view of free-standing cave-dwelling

2. Classification according to building materials used Cave-dwellings can also be classified according to materials used for framing walls, and ceilings. Three types can be identified: earth, brick and stone caves. 2a. Earth cave: This type of cave is normally made by excavating into a hillslope, and no other building materials are used for framing walls, or on ceilings. Two sub-categories can be listed. 2a-i. walls and ceiling plastered with loess mortar 2b-ii. walls plastered with lime or cement, and given a sealed floor. 2b. Brick cave: Normally an artificial and a freestanding cave made by piling and compacting

Fig 8

A household having both burrowed cave and free-standing house

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loess often mixed with straw, but the inside walls and the ceiling are brick-framed (Fig 7). 2c. Stone cave: Normally an artificial and free-standing cave made by piling and compacting loess, but the inside walls and the ceiling are framed with quarried stones. 3. Classification according to a combination of free-standing house and cave-dwelling Cave-dwellings can also be classified based on whether they are the sole form of a c c o m m o d a t i o n for a family or whether they are used along with a freestanding house, either separate from or attached to the house. In parts of the Shaanxi loessland, it is not rare to see a family living in both a free-standing house structure which backs onto a b u r r o w e d cave. Three sub-categories can be identified:

Fig 9

Neatly arranged kitchen quarters of a cave-dwelling

3a. Cave-dwelling as sole form of accommodation, 3b. Cave-dwelling and house structure joined together, 3c. Cave-dwelling and free-standing house structure separated, but belonging to one household and together fenced off (Fig 8).

Organisation of the Space within the Cave A humble peasant family in the Loess Plateau traditionally occupies only one cave which provides, without internal division of walling, an open plan space including b e d r o o m , living r o o m and kitchen. I visited a young couple's dwelling in a single b u r r o w e d earth cave with a floor area of about 3 m wide and 6 - 7 m long. It was very well maintained and neatly arranged with simple traditional furnishings. Its kitchen bench and utensils were all clean as was the whole floor of the cave. Storage crocks and bowls were neatly arranged along the rear wall floor and shelves (Fig 9). O n the floor against one wall, there was a chest which most cave-dwellers appear to own. A traditional cave m a y have a kang, a heated floor used for both sleeping and sitting on (Fig 10). A cooking furnace (stove) is attached to the kang, thus fuel used for cooking is also used to heat the sleeping floor (Fig 11). A kang is about I m high and raised from the cave's m u d floor, under which flues are laid. It is an efficient and energy saving system. A recent issue of a Chinese magazine, China Reconstructs comments (Xiao, 8): The kang, the brick bed running the width of a room with a chimney flue inside, used to take up the greater portion of the space. It was the centre of family activity. The women sat cross-legged on its window side to do their needlework or chat. Seated on the warm kang, the family ate its meals off a short-legged table placed on top.

Fig 10

Kang, the raised and heated floor Fig 11

A cooking furnace attached to the kang

1 O0

The cave-dwellings are more or less uniform width and heights, presumably the least likely size to suffer any cave-in. According to the Myrdal's informant, the normal size cave-dwellings are 1 8 - 1 9 chi long, 9 - 1 0 chi high and 8 - 9 chi wide (Myrdal, 13)2). This standard size must have developed from long trial and error. A more prosperous family may occupy several caves which are fenced off from other families with thick and compacted loess soil walls. Where a family uses a group of caves, some are exclusively for sleeping, one is reserved for cooking, another is used for storage, and still another may be for domesticated animals. I often saw two or three caves together fenced off, signifying a family unit occupancy. The general appearance of cavedwellings is simple and well maintained, but not crude.

Changes to the Traditional Caves Although I was told that there is little change to cave-dwelling in parts of the Loess Plateau region, there were tremendous char/ges to living conditions in parts of Huangling county I visited. Very few new caves are being dug out of steep slopes, yet new dwellings are made in cave forms. People were making flee-standing brick caves by piling up and compacting loess around an internal brick veneer. Where there were no steep slopes available, people have long been making artificial caves by piling up and compacting soil. However, these cave-dwellings do not normally have an internal brick veneer finishing, b u t their ceilings a n d internal walls are normally plastered with loess mortar or lime. Their roofs were of compacted loess and invariably flat, though the ceiling within was arched. Some villages on the top of the Loess Plateau consisted entirely of free-standing artificial caves. These caves are not totally bound by landform conditions: the directions they face, for example, can be chosen. When such new flee-standing dwellings are made, the desirability of facing southward is, for no obvious reason, sometimes ignored. This results in a much colder living space and requires costly heating.

The Livelihood of Cave-dwellers The cave-dwellers in my study area were almost exclusively peasants. Where cave-dwellings were dug out of a loess cliff, the farms were sometimes located 1 0 - 2 0 m above their cave homes. Where one side of a farm field is steep slope or cliff, I often saw cave-dwellings below the crop field. George B. Cressey provided an elegant description of this situation (Cressey, 263). These (cave-dwellings) are cool in summer and comfortable in winter. Where a high bank adjoins a cultivated field, the farmer may dig tunnels for his home and literally live beneath his farm. Small shafts for smoke lead from stoves in the cave-dwellings to the field above. Thus one may see smoke

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curling up from cultivated fields. No house is in sight, and only as one peers over the cliff can be see the courtyard with its various cave entrances below. Such land does double duty, with dwellings below and fields "upstairs." During field trips I saw that the farms grow mainly wheat, barley and millet. These farmers have quite a hard life, and use simple farm tools. However, it seemed that they were fed and clothed adequately.

Cave-Dwelling as a Suitable Ecological Adaptation to the Loess Environment In two respects, cave-dwellings can be seen as an excellent ecological adaption to the local environment. Firstly, the storage heater effect of cave-dwellings: Loessland in Shaanxi province has a continental climate with extreme annual variation in temperature. During long and bitterly cold winters, temperatures may drop well below minus 30 ° C, but during the intensely hot summers temperatures may soar above 30 ° C. It is therefore essential for the local inhabitants to make dwellings which are as unaffected as possible by temperature changes outside. Since the burrowing of a cave can be done with minimum expense and since the inside of a cave is little affected by the external temperature, caves provide affordable and ideal dwellings for common folks. Loess is a better insulator than rocks, since it contains more static and trapped air than rock. In the case of rock, a 12 m wall-thickness will reduce to only 3° C the annual temperature changes inside a cave, while outside there may be a 30°C annual temperature change. This means that a cave insulated with more than a 12 m thickness of rock wall is virtually independent of external temperature changes.3) In the case of a loess cave, the required thickness of the wall is much less to achieve the same insulation effect for the conductivity of loess is lower. In the case of a loess cave, its five sides (three vertical walls plus floor and ceiling) act as a storage heater by warming air during winter and cooling air during summer. All surrounding walls are much thicker than the required attenuation thickness. The remaining wall, that is the wall with entrance door and window, is the least effective insulator. H e a t loss through the front wall is, however, easily offset by the floor heating of the kang, so equitable temperatures are maintained throughout the year. According to a study by Allen, the internal temperature of loess caves is maintained at a constant 10°C throughout the year (Allen, 8). Secondly, the scarcity of timber and the easiness to work with loess: Across the loessland there is very little timber available for house building. It is denuded and sparsely vegetated. The natural vegetation is bunch steppe grass with some herbaceous plants (e.g., bramble, wild chrysanthemum and wild clove) in the wetter parts

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(Tregear, 270). In this forest deficient area, a cave which requires virtually no timber to make is an ideal form of dwelling. Loess is compacted but unconsolidated, therefore it is easy to burrow into, mould and compact even with peasants' simple farm tools. Establishing cave-dwellings in loess soil requires a minimum not only of equipment and know how, but also of construction material. Preparing cave-dwellings is therefore a most suitable means of providing housing in the loessland. To distribute weight to walls, all cave-dwellings have arched ceilings (vaults). Where loess above the ceiling is not very thick, one can occasionally see a collapsed cave ceiling. The shape of the cave reflects the empirical learning of engineering principles. Cave-dwellings also illustrate the wise use of a given environmental condition and represent an interesting aspect of intimate humanitynature relationships. The continued building of new excavated and free-standing cave-dwellings appears proof that they are the best adapted to the environment of loessland.

Further Discussions and Concluding Remarks The persistence of cave-dwelling could be interpreted from perspectives other than the above obvious explanation that cave-dwellings are a successful ecological adaptation to the loess environment. Firstly, we could consider that the persistence of cave-dwelling is a product of cultural limitations. Technology is bounded by culture and in fact a product of culture. The technology of a traditional society is often a culturally bound solution to the people's needs in a particular culture. This is why, for instance, different cultures have different ways (technologies) of building a house or boat, making tools or irrigating water to farms. Different cultures tend to have different ways (technologies) of solving very similar problems and demands, due to different environmental conditions, historical heritage, and religious beliefs and so on. This culturally bound technology tends to persist and perpetuate itself. Even if a new and rather more efficient way of meeting demands is introduced, people often adhere to the traditional and familiar method (technology). That is perhaps why the cave-dwellers choose to establish new cave-dwellings rather than build free-standing Chinese houses with brick and tiled roofs. New cave-dwellings seem to be an ekample of the persistence of a culturally bound traditional technology. Secondly, geomantic views might have been important. The quasi-religious belief is that the underground cave is an augpicious site which is more effective than a free-standing house in extracting vital energy from the land. According to geomancy, the vital energy flows under the ground, and influences living creatures auspiciously. This is why underground graves are considered more effective in extracting auspiciousness than a free-

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Fig 12

A two story office building modelled after the cave structure

standing house on the ground. This emotional and spiritual attachment to the cave might be one reason why cave-dwellings are still being used. The practice of geomancy, on official levels at least, has ceased since the 1949 revolution. The practice of building modern artificial cave-dwelling on the flat land may suggest that this explanation is not so important now. Thirdly, the practice of cave-dwelling may reflect economic limitations. Few if any peasants can afford to construct a free-standing brick and tile house. Where they would have to import materials for house building which are not locally produced, the cost could certainly be prohibitive. Therefore, they may be forced by economic circumstances to remain as cave-dwellers. Even if there were no such limiting factors, the Chinese style house is not as effective as a cave as regards to the temperature control of living space. Liu Chiuanlu of Shishan village said that among the three types of dwellings - burrowed earth cave, free-standing brick cave, and free-standing normal house, the earth cave provides the most effective insulation of the inside cave temperature while the free-standing house, the least effective. All the above three suggested points are, to some degree, valid interpretations as to why cave-dwellings remain the dominant form of rural housing in the northern part of Shaanxi province. However, I believe the main reason is that the normal Chinese style house, which is expensive to build, is not as effective as the cave in providing temperature control of living spaces. Based on long experience of living in the area, the people in Shaanxi loessland have formed a mentality of recognising a cave as the most suitable ecological adaptation to the local environment and thus is the most suitable form of dwelling for themselves. We may call this established mind set the cave-dweller's geomentality - the mentality about their local environment and how to adapt to it. Burrowed cave-dwellings are even today being constructed and used and free-standing cave-dwellings are also made. I even saw a two story office building which was modeled after the cave structure (Fig 12). These definitely seem proof that cave-dweller's geomentality still

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persists and it is a proven fact that cave-dwellings are the most suitable ecological adaptations to the local loess environment.

An earlier draft of this paper was presented at the Fiftenth New Zealand Geography Conference, Dunedin,

August, 1989. I wish to thank Professor Zhu Shiguang of Shaanxi Teachers University for his guiding me to Huangling county, Shaanxi province; Dr. Grant Anderson and Mr. Stacy Krause for their critical reading of this manuscript; Ms. Ruth Lyons for her advice on thermo dynamics. I wish to gratefully acknowledge the support of the University of Auckland Research Fund (420-079) for the current research project.

Footnotes

References

1) I travelled through N China, especially the areas around Beijing, Xian and the Loess Plateau region from 3rd March 1988 to 27th April 1988. For about three weeks of that period I was in Shaanxi province where caves burrowed into loess soil are a major form of dwelling.

Allen, M. C.: Gansu Grasslands Agricultural Systems Research & Development Project Report on Urea-Loess Block Making. Occasional Report no. 12, Prepared by Hassall & Associates PTY LTD, Canberra and Gansu Grasslands Ecological Research Institute, 1989.

2) 1 chi is about 34 cm or 131/2 inches 3) The above attenuation lengths are calculated by using a standard

China Handbook Editorial Committee: Geography. Trans. by Liang Liangxing. Foreign Languages Press, Beijing 1983.

formula used in geophysics: the temperature change of the inside surface of a wall, thickness z, as a result of an outside thermal oscillation is given by (Stacy, 184-188):

Cressey, G. B.: Land of the 500 Million: A Geography of China. McGraw-Hill Book Company, New York 1955.

T(z) = Toexp (7 ~ - ~ - z ) s i n

Myrdal, J.: Report from a Chinese Village. Heinemann, London 1965.

Acknowledgement

where 7r

k p C 0J

(oJt - ~ - - ~ - z )

= thermal diffusivity k = = = =

pC conductivity density specific heat capacity frequency of applied thermal oscillation (Tosim0t)

The attenuation length, z*, for which T(z)=To/e, i.e. the thickness for which the amplitude of the external oscillation is reduced approximately 1/3, is given by (Stacy, 184): z,=

Taking zr = 1.2×10 -6 m 2 sec -1, for granitic rock, and a daily oscillation, z* ~- 0.2 m. The corresponding z* for a yearly oscillation will be 4 m. Note that a thickness of 3z* will reduce the amplitude of the internal oscillation to approximately 3% of the external emplitude. That is, in case of rock, it requires only 0.6 m of attentuation length to make a cave effectively free from a 30 degree daily temperature change; 0.4 m to reduce the daily temperature changes to one tenth; 0.2 m to reduce them to one third of the outside temperature changes. Of course, to achieve the same insulation effect as above, loess requires much less attenuation length than rock, because the conductivity (k) will be reduced significantly more than the specific heat capacity (C), i.e., the thermal diffusivity will be lower for loess than for rock.

Kempe, D.: Living Underground: A History of Cave and Cliff Dwelling. The Herbert Press, London 1988.

Stacey, F. D.: Physics of the Earth. John Wiley & Sons, New York 1977. Tregear, T. R.: China: A Geographical Survey. Hodder and Stoughton, London and Sydney 1980. Yoon, H.-K.: Geomantic Relationships Between Culture and Nature in Korea. Orient Culture Service, Taipei 1976. Yoon, H.-K.: The Nature and Origin of Chinese Geomancy. Eratosthene-sphragide 1 (Lausanne), 88-102 (1986) Yoon, H.-K.: Lun Zhongguo Gudai Fengshui de Qiyan he Fazhang (A Theory on the Origin and Development of Ancient Chinese Geomancy (feng-shui). Ziran Kexueshi Yanjiu (Studies in the History of Natural Sciences) 8, 1, 84-89 (1989) Xiao Qing: Shaanxi Folkways. China Reconstructs 35, 4, 8 (April 1986)