Page 1

History of China 中国

Contents 1

History of China



Prehistory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Paleolithic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Neolithic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Ancient China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Xia dynasty (c. 2100 – c. 1600 BC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Shang dynasty (c. 1600–1046 BC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Zhou dynasty (1046–256 BC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Spring and Autumn period (722–476 BC) . . . . . . . . . . . . . . . . . . . . . . . . . .



Warring States period (476–221 BC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .




. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Qin dynasty (221–206 BC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Han dynasty (202 BC–AD 220) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Three Kingdoms and Western Jin (AD 265–316) . . . . . . . . . . . . . . . . . . . . . .



Sixteen Kingdoms and Eastern Jin (AD 304–439) . . . . . . . . . . . . . . . . . . . . . .



Southern and Northern Dynasties (AD 420–589) . . . . . . . . . . . . . . . . . . . . . . .



Sui dynasty (AD 589–618) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Tang dynasty (AD 618–907) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Five Dynasties and Ten Kingdoms (AD 907–960) . . . . . . . . . . . . . . . . . . . . . .



Song, Liao, Jin, and Western Xia dynasties (AD 960–1234) . . . . . . . . . . . . . . . . .


1.3.10 Yuan dynasty (AD 1271–1368) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


1.3.11 Ming dynasty (AD 1368–1644) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


1.3.12 Qing dynasty (AD 1644–1911) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Republican China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Republic of China (1912–1949) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



People's Republic of China (since 1949) . . . . . . . . . . . . . . . . . . . . . . . . . . .



See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .




. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Prehistory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Shang dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Imperial China






Han dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Jin, the Sixteen Kingdoms, and the Northern and Southern Dynasties . . . . . . . . . . . .



Sui dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Tang dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Song dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Ming dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


1.7.10 Qing dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


1.7.11 Republican era . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


1.7.12 Communist era (1949–present) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


1.7.13 Economy and environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


1.7.14 Women and gender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Xia dynasty



Traditional history . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Origins and early development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Gun's attempt to stop the flood . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Yu the Great's attempt to stop the floods . . . . . . . . . . . . . . . . . . . . . . . . . . .



Establishment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Qi state . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Modern skepticism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Archaeological discoveries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Sovereigns of the Xia dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .




. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Citations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Shang dynasty



Traditional accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Course of the dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Descendants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Early Bronze Age archaeology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Yellow River valley . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Other sites

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Genetic studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Late Shang at Anyang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Court life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Religion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .







Bronze working . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Kings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Gallery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .




. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Zhou dynasty



History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Western Zhou . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Eastern Zhou . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Culture and society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Feudalism and the rise of Confucian bureaucracy . . . . . . . . . . . . . . . . . . . . . .



Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Mandate of Heaven . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Li . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Art gallery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Kings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Zhou in astronomy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .





Spring and Autumn period



Beginning of the Eastern Zhou dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Interstate relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Changing tempo of war . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Rise of Wu and Yue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Partition of Jin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



List of states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Important ďŹ gures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


5.10 External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


iv 6

CONTENTS Warring States period



Geography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Periodisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Background and formation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Partition of Jin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Three Jins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Wei defeated by Qin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Qi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Zhao . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Chu expansion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Royal titles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


6.2.10 Horizontal and vertical alliances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


6.2.11 Qin ascendency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


6.2.12 Qin wars of uniďŹ cation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Military theory and practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Increasing scale of warfare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Military developments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Military thought . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Culture and society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Nobles, bureaucrats and reformers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Sophisticated arithmetic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Economic developments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Footnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .





Qin dynasty



History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Origins and early development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Growth of power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Conquest of the Warring States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Southward expansion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Campaigns against the Xiongnu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Fall from power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Culture and society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Domestic life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Philosophy and literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Government and military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Religion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .





v Etymology of China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Sovereigns of Qin dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Han dynasty



Etymology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .




. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Western Han . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Wang Mang's reign and civil war . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Eastern Han . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Society and culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Social class . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Marriage, gender, and kinship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Education, literature, and philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Law and order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Food . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Clothing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Religion, cosmology, and metaphysics . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Central government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Local government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Kingdoms and marquessates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Variations in currency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Taxation and property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Private manufacture and government monopolies . . . . . . . . . . . . . . . . . . . . . . .


Science, technology, and engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Writing materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Metallurgy and agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Structural engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Mechanical and hydraulic engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Mathematics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Astronomy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Cartography, ships, and vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Medicine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .









8.9 9


. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Citations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


Jin dynasty (265–420)



Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Jin ceramics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Imperial Family . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



List of emperors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Major events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .




. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


9.10 External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .


10 Sixteen Kingdoms


10.1 History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 10.1.1 Initial uprising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 10.1.2 Han Zhao and Later Zhao . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 10.1.3 Rise of Ran Wei . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 10.1.4 Former Yan and Former Qin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 10.1.5 Huan Wen's expeditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 10.1.6 Collapse of Former Qin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 10.1.7 Liu Yu's expeditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 10.2 Involvement of other ethnicities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 10.3 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 10.4 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 10.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 11 Southern and Northern Dynasties


11.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 11.2 The Southern dynasties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104 11.2.1 Liu Song (420–479) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104 11.2.2 Southern Qi (479–502) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 11.2.3 Liang (502–557) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 11.2.4 Chen (557–589) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 11.3 The Northern dynasties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 11.3.1 The Rise of Northern Wei and the Sinicization movement . . . . . . . . . . . . . . . . . . 108 11.3.2 Eastern Wei (534–550) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 11.3.3 Western Wei (535–557) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110



11.3.4 Northern Qi (550–577) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 11.3.5 Northern Zhou (557–581) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 11.4 Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 11.4.1 Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 11.4.2 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 11.4.3 Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 11.5 Demographic changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 11.6 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 11.7 Notes and references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 11.7.1 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 11.7.2 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 11.8 Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 11.9 External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 12 Sui dynasty


12.1 History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 12.1.1 Emperor Wen and the founding of Sui . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 12.1.2 Emperor Yang and the reconquest of Vietnam . . . . . . . . . . . . . . . . . . . . . . . . 114 12.1.3 Goguryeo-Sui wars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 12.1.4 Fall of the Sui Dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 12.2 Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 12.2.1 Buddhism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 12.2.2 Poetry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 12.3 Rulers of the Sui dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 12.4 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 12.5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 12.6 Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 12.7 External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 13 Tang dynasty


13.1 History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 13.1.1 Establishment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 13.1.2 Administration and politics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 13.1.3 Military and foreign policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 13.1.4 Trade and spread of culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 13.1.5 Empress Wu and Emperor Xuanzong . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 13.1.6 Decline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 13.2 Society and culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 13.2.1 Leisure in the Tang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 13.2.2 Chang'an, the Tang capital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 13.2.3 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134 13.2.4 Religion and philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136


CONTENTS 13.2.5 Tang women . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 13.2.6 Tea, food, and necessities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 13.3 Science, technology, and medicine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139 13.3.1 Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139 13.3.2 Woodblock printing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 13.3.3 Medicine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 13.3.4 Cartography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 13.3.5 Alchemy, gas cylinders, and air conditioning . . . . . . . . . . . . . . . . . . . . . . . . . 141 13.4 Historiography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142 13.5 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142 13.6 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 13.7 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 13.8 Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 13.9 External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149

14 Five Dynasties and Ten Kingdoms period


14.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 14.2 Northern China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 14.2.1 Later Liang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 14.2.2 Later Tang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151 14.2.3 Later Jin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152 14.2.4 Later Han . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152 14.2.5 Later Zhou . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152 14.2.6 Northern Han . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152 14.3 Southern China: The Ten Kingdoms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.1 Wu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.2 Wuyue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.3 Min . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.4 Southern Han . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.5 Chu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.6 Northern Han . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.7 Jingnan (also known as Nanping) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.8 Former Shu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.9 Later Shu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 14.3.10 Southern Tang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154 14.3.11 Transitions between kingdoms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154 14.4 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154 14.5 Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154 15 History of the Song dynasty


15.1 Founding of the Song . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156 15.2 Relations with Liao and Western Xia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158



15.2.1 The Great Ditch and Treaty of Shanyuan . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 15.2.2 Conflict and diplomacy in the northwest . . . . . . . . . . . . . . . . . . . . . . . . . . . 159 15.3 Relations with Lý of Vietnam and border conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . 160 15.3.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160 15.3.2 Border hositilies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 15.3.3 Tribute and intrigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 15.3.4 Frontier policy and war . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162 15.4 Partisans and factions, reformers and conservatives . . . . . . . . . . . . . . . . . . . . . . . . . . 163 15.5 Jurchen invasions and the transition to Southern Song . . . . . . . . . . . . . . . . . . . . . . . . . 166 15.5.1 Jingkang Incident . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 15.5.2 A new capital and peace treaty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167 15.6 China's first standing navy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 15.7 Defeat of Jin invasion, 1161 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170 15.8 Mongol invasion and end of the Song dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 15.8.1 Möngke's campaign . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 15.8.2 A fluctuating border . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 15.8.3 Growing discontent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172 15.8.4 Battle of Xiangyang . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 15.8.5 Final resistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 15.9 Historical literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174 15.10See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 15.11Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 15.12References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177 15.13External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178 16 Yuan dynasty


16.1 Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 16.2 History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 16.2.1 Kublai Khan's rise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 16.2.2 Rule of Kublai Khan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 16.2.3 Decline after Kublai . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 16.2.4 Northern Yuan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 16.3 Impact

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184

16.4 Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185 16.5 Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186 16.5.1 Imperial lifestyle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186 16.5.2 Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187 16.5.3 Mathematics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187 16.5.4 Medicine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188 16.5.5 Printing and publishing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188 16.5.6 Social classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 16.6 Administrative divisions

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190


CONTENTS 16.7 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 16.8 References

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192

16.8.1 Citations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192 16.8.2 Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194 16.9 Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 17 Ming dynasty


17.1 History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196 17.1.1 Founding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 17.1.2 Reign of the Yongle Emperor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 17.1.3 Tumu Crisis and the Ming Mongols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200 17.1.4 Decline and fall of the Ming dynasty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 17.2 Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203 17.2.1 Province, prefecture, subprefecture, county . . . . . . . . . . . . . . . . . . . . . . . . . . 203 17.2.2 Institutions and bureaus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204 17.2.3 Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 17.3 Society and culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 17.3.1 Literature and arts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 17.3.2 Religion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209 17.3.3 Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 17.3.4 Urban and rural life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 17.4 Science and technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212 17.5 Population . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214 17.6 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 17.7 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216 17.8 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219 17.9 Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 17.10External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 18 Qing dynasty


18.1 Names . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222 18.2 History

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223

18.2.1 Formation of the Manchu state . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223 18.2.2 Claiming the Mandate of Heaven

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225

18.2.3 The Kangxi Emperor's reign and consolidation

. . . . . . . . . . . . . . . . . . . . . . . 227

18.2.4 Reigns of the Yongzheng and Qianlong emperors . . . . . . . . . . . . . . . . . . . . . . 229 18.2.5 Rebellion, unrest and external pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 18.2.6 Self-strengthening and the frustration of reforms . . . . . . . . . . . . . . . . . . . . . . . 232 18.2.7 Reform, revolution, collapse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 18.3 Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234 18.3.1 Central government agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234 18.3.2 Administrative divisions

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236



18.3.3 Territorial administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237 18.3.4 Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238 18.4 Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 18.5 Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 18.6 Arts and culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 18.7 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 18.8 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243 18.9 References

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244

18.9.1 Citations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244 18.9.2 Works cited

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246

18.10Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 18.10.1 Historiography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 18.11External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 19 History of the Republic of China


19.1 Early republic (1912–16) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250 19.1.1 Founding of the republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250 19.1.2 Early republic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251 19.1.3 Second Revolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251 19.1.4 Mass banditry, Yuan Shikai and the National Protection War . . . . . . . . . . . . . . . . 252 19.2 Warlord Era (1916–28) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 19.2.1 World War I and brief Manchu restoration . . . . . . . . . . . . . . . . . . . . . . . . . . 253 19.2.2 Constitutional Protection War . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254 19.2.3 May Fourth Movement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254 19.2.4 Fight against warlordism and the First United Front . . . . . . . . . . . . . . . . . . . . . 254 19.2.5 Chiang consolidates power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 19.3 Nanjing decade (1928–1937) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256 19.4 Second Sino-Japanese War (1936–45) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256 19.5 Civil War and transfer of sovereignty over Taiwan (1945–49) . . . . . . . . . . . . . . . . . . . . 257 19.6 Republic of China on Taiwan (1949–present) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258 19.6.1 Cross-straits relations and international position in 1949–70 . . . . . . . . . . . . . . . . . 259 19.6.2 Tensions between Mainlanders and people of Taiwan . . . . . . . . . . . . . . . . . . . . 260 19.6.3 Economic developments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260 19.6.4 Diplomatic setbacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261 19.6.5 Democratic reforms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261 19.6.6 Political transition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262 19.7 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263 19.8 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263 19.9 Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 19.10External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265 20 Republic of China (1912–49)



CONTENTS 20.1 History

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267

20.1.1 Founding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268 20.1.2 Nanjing decade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268 20.1.3 Second Sino-Japanese War (1937–45) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 20.1.4 Post-World War II, takeover of and retreat to Taiwan . . . . . . . . . . . . . . . . . . . . 270 20.2 Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272 20.3 Administrative divisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 20.4 Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 20.5 Military . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 20.6 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 20.7 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 20.8 External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 21 History of the People's Republic of China


21.1 1949–1976: Socialist transformation under Mao Zedong . . . . . . . . . . . . . . . . . . . . . . . 277 21.2 1976–1989: Rise of Deng Xiaoping and economic reforms

. . . . . . . . . . . . . . . . . . . . . 278

21.3 1989–2002: Economic growth under the third generation . . . . . . . . . . . . . . . . . . . . . . . 279 21.4 2002–present . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 21.5 See also . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 21.6 Notes and references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 21.7 External links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 21.8 Text and image sources, contributors, and licenses . . . . . . . . . . . . . . . . . . . . . . . . . . 281 21.8.1 Text . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281 21.8.2 Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293 21.8.3 Content license . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309

Chapter 1

History of China “Empire of China”redirects here. For other uses, see recent being the Chinese Civil War that started in 1927. Empire of China (1915–16). Between eras of multiple kingdoms and warlordism, ChiWritten records of the history of China can be found nese dynasties have ruled parts or all of China; in some eras control stretched as far as Xinjiang and Tibet, as at present. In 221 BC Qin Shi Huang united the various warring kingdoms and created for himself the title of "emperor" (huangdi) of the Qin dynasty, marking the beginning of imperial China. Successive dynasties developed bureaucratic systems that enabled the emperor to control vast territories directly. China's last dynasty was the Qing (1644–1912), which was replaced by the Republic of China in 1912, and in the mainland by the People's Republic of China in 1949. The conventional view of Chinese history is that of alternating periods of political unity and disunity, with China occasionally being dominated by steppe peoples, most of whom were in turn assimilated into the Han Chinese population. Cultural and political influences from other parts of Asia and the Western world, carried by successive waves of immigration, expansion, foreign contact, and cultural assimilation are part of the modern culture Approximate territories occupied by the various dynasties and of China. states throughout the history of China

from as early as 1200 BC under the Shang dynasty (c. 1700–1046 BC).* [1] Ancient historical texts such as the Records of the Grand Historian (ca. 100 BC) and the Bamboo Annals describe a Xia dynasty (c. 2100– 1700 BC), which had no system of writing on a durable medium, before the Shang.* [1]* [2] The Yellow River is said to be the cradle of Chinese civilization, although cultures originated at various regional centers along both the Yellow River and the Yangtze River valleys millennia ago in the Neolithic era. With thousands of years of continuous history, China is one of the world's oldest civilizations.* [3]

1.1 Prehistory 1.1.1 Paleolithic See also: List of Paleolithic sites in China What is now China was inhabited by Homo erectus more than a million years ago.* [4] Recent study shows that the stone tools found at Xiaochangliang site are magnetostratigraphically dated to 1.36 million years ago.* [5] The archaeological site of Xihoudu in Shanxi Province is the earliest recorded use of fire by Homo erectus, which is dated 1.27 million years ago.* [4] The excavations at Yuanmou and later Lantian show early habitation. Perhaps the most famous specimen of Homo erectus found in China is the so-called Peking Man discovered in 1923–27.

Much of Chinese culture, literature and philosophy further developed during the Zhou dynasty (1045–256 BC). The Zhou dynasty began to bow to external and internal pressures in the 8th century BC, and the kingdom eventually broke apart into smaller states, beginning in the Spring and Autumn period and reaching full expression in the Warring States period. This is one of multiple periods of failed statehood in Chinese history, the most 1





to excavations at Erlitou in central Henan province,* [13] where a bronze smelter from around 2000 BC was unearthed. Early markings from this period found on potSee also: List of Neolithic cultures of China tery and shells are thought to be ancestral to modern Chinese characters.* [14] With few clear records matching The Neolithic age in China can be traced back to about the Shang oracle bones or the Zhou bronze vessel writ10,000 BC.* [6] ings, the Xia era remains poorly understood. Early evidence for proto-Chinese millet agriculture is According to mythology, the dynasty ended around 1600 radiocarbon-dated to about 7000 BC.* [7] Farming gave BC as a consequence of the Battle of Mingtiao. rise to the Jiahu culture (7000 to 5800 BC). At Damaidi in Ningxia, 3,172 cliff carvings dating to 6000–5000 BC have been discovered, “featuring 8,453 individual 1.2.2 Shang dynasty (c. 1600–1046 BC) characters such as the sun, moon, stars, gods and scenes of hunting or grazing.”These pictographs are reputed to be similar to the earliest characters confirmed to be written Chinese.* [8]* [9] Excavation of a Peiligang culture site in Xinzheng county, Henan, found a community that flourished in 5,500–4,900 BC, with evidence of agriculture, constructed buildings, pottery, and burial of the dead.* [10] With agriculture came increased population, the ability to store and redistribute crops, and the potential to support specialist craftsmen and administrators.* [11] In late Neolithic times, the Yellow River valley began to establish itself as a center of Yangshao culture (5000 BC to 3000 BC), and the first villages were founded; the most archaeologically significant of these was found at Banpo, Xi'an.* [12] Later, Yangshao culture was superseded by the Longshan culture, which was also centered on the Yellow River from about 3000 BC to 2000 BC. The early history of China is obscured by the lack of written documents from this period, coupled with the existence of later accounts that attempted to describe events that had occurred several centuries previously. In a sense, the problem stems from centuries of introspection on the part of the Chinese people, which has blurred the distinction between fact and fiction in regards to this early Remnants of advanced, stratified societies dating back to the history. Shang found primarily in the Yellow River Valley

Main article: Shang dynasty

1.2 Ancient China Capital: Yin, near Anyang


Xia dynasty (c. 2100 – c. 1600 BC)

Main article: Xia dynasty The Xia dynasty of China (from c. 2100 to c. 1600 BC) is the first dynasty to be described in ancient historical records such as Sima Qian's Records of the Grand Historian and Bamboo Annals.* [1]* [2]

Archaeological findings providing evidence for the existence of the Shang dynasty, c. 1600–1046 BC, are divided into two sets. The first set – from the earlier Shang period – comes from sources at Erligang, Zhengzhou, and Shangcheng. The second set – from the later Shang or Yin (殷) period – is at Anyang, in modern-day Henan, which has been confirmed as the last of the Shang's nine capitals (c. 1300–1046 BC). The findings at Anyang include the earliest written record of Chinese past so far discovered: inscriptions of divination records in ancient Chinese writing on the bones or shells of animals – the socalled "oracle bones", dating from around 1200 BC.* [15]

Although there is disagreement as to whether the dynasty actually existed, there is some archaeological evidence pointing to its possible existence. Sima Qian, writing in the late 2nd century BC, dated the founding of the Xia dynasty to around 2200 BC, but this date has not been 31 Kings reined over the Shang dynasty. During their corroborated. Most archaeologists now connect the Xia rein, according to the Records of the Grand Historian,

1.2. ANCIENT CHINA the capital city was moved six times. The final (and most important) move was to Yin in 1350 BC which led to the dynasty's golden age. The term Yin dynasty has been synonymous with the Shang dynasty in history, although it has lately been used to specifically refer to the latter half of the Shang dynasty.

3 lived west of the Shang, and the Zhou leader had been appointed“Western Protector”by the Shang. The ruler of the Zhou, King Wu, with the assistance of his brother, the Duke of Zhou, as regent, managed to defeat the Shang at the Battle of Muye.

The king of Zhou at this time invoked the concept of the Mandate of Heaven to legitimize his rule, a concept that would be influential for almost every succeeding dynasty. Like Shangdi, Heaven (tian) ruled over all the other gods, and it decided who would rule China. It was believed that a ruler had lost the Mandate of Heaven when natural disasters occurred in great number, and when, more realistically, the sovereign had apparently lost his concern for the people. In response, the royal house would be overAlthough written records found at Anyang confirm the ex- thrown, and a new house would rule, having been granted istence of the Shang dynasty, Western scholars are often the Mandate of Heaven. hesitant to associate settlements that are contemporane- The Zhou initially moved their capital west to an area near ous with the Anyang settlement with the Shang dynasty. modern Xi'an, on the Wei River, a tributary of the Yellow For example, archaeological findings at Sanxingdui sug- River, but they would preside over a series of expansions gest a technologically advanced civilization culturally un- into the Yangtze River valley. This would be the first of like Anyang. The evidence is inconclusive in proving how many population migrations from north to south in Chifar the Shang realm extended from Anyang. The leading nese history. hypothesis is that Anyang, ruled by the same Shang in the official history, coexisted and traded with numerous other culturally diverse settlements in the area that is now 1.2.4 Spring and Autumn period (722–476 referred to as China proper. Chinese historians living in later periods were accustomed to the notion of one dynasty succeeding another, but the actual political situation in early China is known to have been much more complicated. Hence, as some scholars of China suggest, the Xia and the Shang can possibly refer to political entities that existed concurrently, just as the early Zhou is known to have existed at the same time as the Shang.



Zhou dynasty (1046–256 BC)

Bronze ritual vessel (You), Western Zhou dynasty

Main articles: Zhou dynasty and Iron Age China

Capitals: Xi'an, Luoyang The Zhou dynasty was the longest-lasting dynasty in Chinese history, from 1066 BC to approximately 256 BC. Chinese pu vessel with interlaced dragon design, Spring and AuBy the end of the 2nd millennium BC, the Zhou dynasty tumn period began to emerge in the Yellow River valley, overrunning the territory of the Shang. The Zhou appeared to have Main article: Spring and Autumn period begun their rule under a semi-feudal system. The Zhou


CHAPTER 1. HISTORY OF CHINA Capitals: Beijing (State of Yan); Xi'an (State of Qin)

1.3.1 Qin dynasty (221–206 BC)

In the 8th century BC, power became decentralized during the Spring and Autumn period, named after the influential Spring and Autumn Annals. In this period, local military leaders used by the Zhou began to assert their power and vie for hegemony. The situation was aggravated by the invasion of other peoples from the northwest, such as the Qin, forcing the Zhou to move their capital east to Luoyang. This marks the second major phase of the Zhou dynasty: the Eastern Zhou. The Spring and Autumn period is marked by a falling apart of the central Zhou power. In each of the hundreds of states that eventually arose, local strongmen held most of the political power and continued their subservience to the Zhou kings in name only. Some local leaders even started using royal titles for themselves. China now consisted of hundreds of states, some of them only as large as a village with a fort. The Hundred Schools of Thought of Chinese philosophy blossomed during this period, and such influential intellectual movements as Confucianism, Taoism, Legalism and Mohism were founded, partly in response to the changing political world.


Warring States period (476–221 BC)

Main article: Warring States period

Capitals: several (multiple states) After further political consolidation, seven prominent states remained by the end of 5th century BC, and the years in which these few states battled each other are known as the Warring States period. Though there remained a nominal Zhou king until 256 BC, he was largely a figurehead and held little real power. As neighboring territories of these warring states, including areas of modern Sichuan and Liaoning, were annexed, they were governed under the new local administrative system of commandery and prefecture (郡縣/郡县). This system had been in use since the Spring and Autumn period, and parts can still be seen in the modern system of Sheng & Xian (province and county, 省縣/省县).

Qin Shi Huang

Main article: Qin dynasty Capital: Xianyang Historians often refer to the period from Qin dynasty to the end of Qing dynasty as Imperial China. Though the unified reign of the First Qin Emperor lasted only 12 years, he managed to subdue great parts of what constitutes the core of the Han Chinese homeland and to unite them under a tightly centralized Legalist government seated at Xianyang (close to modern Xi'an). The doctrine of Legalism that guided the Qin emphasized strict adherence to a legal code and the absolute power of the emperor. This philosophy, while effective for expanding the empire in a military fashion, proved unworkable for governing it in peacetime. The Qin Emperor presided over the brutal silencing of political opposition, including the event known as the burning of books and burying of scholars. This would be the impetus behind the later Han synthesis incorporating the more moderate schools of political governance.

The final expansion in this period began during the reign of Ying Zheng, the king of Qin. His unification of the other six powers, and further annexations in the modern regions of Zhejiang, Fujian, Guangdong and Guangxi in Construction of the Great Wall of China, still extant and 214 BC, enabled him to proclaim himself the First Em- now a UNESCO World Heritage Site, started during the peror (Qin Shi Huang). Qin dynasty; it was later augmented and improved during the Ming dynasty. The other major contributions of the Qin include the concept of a centralized government, 1.3 Imperial China the unification of the legal code, development of the written language, measurement, and currency of China after



The Terracotta Army of Qin Shi Huang

the tribulations of the Spring and Autumn and Warring States periods. Even something as basic as the length of axles for carts—which need to match ruts in the roads— had to be made uniform to ensure a viable trading system throughout the empire.


Han dynasty (202 BC–AD 220)

A Han dynasty oil lamp, with sliding shutter, in the shape of a kneeling female servant (2nd century BC)

Main article: Han dynasty Further information: History of the Han dynasty

Capitals: Xuchang




Western Han The Han dynasty was founded by Liu Bang, who emerged victorious in the civil war that followed the collapse of the unified but short-lived Qin dynasty. A golden age in Chinese history, the Han dynasty's long period of stability and prosperity consolidated the foundation of China as a unified state under a central imperial bureaucracy, which was to last intermittently for most of the next two millennium. During the Han dynasty, territory of China was extended to most of the China proper and to areas far west. Confucianism was officially elevated to orthodox status and was to shape the subsequent Chinese Civilization. Art, culture and science all advanced to unprecedented heights. With the profound and lasting impacts of this period of Chinese history, the dynasty name“Han”had been taken as the name of the Chinese people, now the dominant ethnic group in modern China, and had been commonly used to refer to Chinese language and written characters. After the initial Laissez-faire policies of Emperors Wen and Jing, the ambitious Emperor Wu brought the empire to its zenith. To consolidate his power, Confucianism, which emphasizes stability and order in a well-structured society, was given exclusive patronage to be the guiding

philosophical thoughts and moral principles of the empire. Imperial Universities were established to support its study and further development, while other schools of thoughts were discouraged. Major military campaigns were launched to weaken the nomadic Xiongnu Empire, limiting their influence north of the Great Wall. Along with the diplomatic efforts led by Zhang Qian, the sphere of influence of the Han Empire extended to the states in the Tarim Basin, opened up the Silk Road that connected China to the west, stimulating bilateral trade and cultural exchange. To the south, various small kingdoms far beyond the Yangtze River Valley were formally incorporated into the empire. Emperor Wu also dispatched a series of military campaigns against the Baiyue tribes. The Han annexed Minyue in 135 BC and 111 BC, Nanyue in 111 BC, and Dian in 109 BC.* [16] Migration and military expeditions led to the cultural assimilation of the south.* [17] It also brought the Han into contact with kingdoms in Southeast Asia, introducing diplomacy and trade.* [18] After Emperor Wu, the empire slipped into gradual stagnation and decline. Economically, the state treasury was strained by excessive campaigns and projects, while land acquisitions by elite families gradually drained the tax base. Various consort clans exerted increasing control over strings of incompetent emperors and eventually the dynasty was briefly interrupted by the usurpation of Wang Mang.



Xin dynasty

been greatly romanticized in works such as Romance of the Three Kingdoms.

In AD 9, the usurper Wang Mang claimed that the Mandate of Heaven called for the end of the Han dynasty and the rise of his own, and he founded the shortlived Xin (“New”) dynasty. Wang Mang started an extensive program of land and other economic reforms, including the outlawing of slavery and land nationalization and redistribution. These programs, however, were never supported by the landholding families, because they favored the peasants. The instability of power brought about chaos, uprisings, and loss of territories. This was compounded by mass flooding of the Yellow River; silt buildup caused it to split into two channels and displaced large numbers of farmers. Wang Mang was eventually killed in Weiyang Palace by an enraged peasant mob in AD 23.

After Cao Cao reunified the north in 208, his son proclaimed the Wei dynasty in 220. Soon, Wei's rivals Shu and Wu proclaimed their independence, leading China into the Three Kingdoms period. This period was characterized by a gradual decentralization of the state that had existed during the Qin and Han dynasties, and an increase in the power of great families. In 280, the Jin dynasty reunified the country, but this union was shortlived.

1.3.4 Sixteen Kingdoms and Eastern Jin (AD 304–439) Main article: Sixteen Kingdoms

Eastern Han Capitals: several (multiple states) Emperor Guangwu reinstated the Han dynasty with the support of landholding and merchant families at Luoyang, east of the former capital Xi'an. Thus, this new era is termed the Eastern Han dynasty. With the capable administrations of Emperors Ming and Zhang, former glories of the dynasty was reclaimed, with brilliant military and cultural achievements. The Xiongnu Empire was decisively defeated. The diplomat and general Ban Chao further expanded the conquests across the Pamirs to the shores of the Caspian Sea,* [19] thus reopening the Silk Road, and bringing trade, foreign cultures, along with the arrival of Buddhism. With extensive connections with the west, the first of several Roman embassies to China were recorded in Chinese sources, coming from the sea route in AD 166, and a second one in AD 284.

The Jin Dynasty was severely weakened by interceine fighting among imperial princes and lost control of northern China after non-Han Chinese settlers rebelled and captured Luoyang and Chang’an. In 317, a Jin prince in modern-day Nanjing became emperor and continued the dynasty, now known as the Eastern Jin, which held southern China for another century. Prior to this move, historians refer to the Jin dynasty as the Western Jin.

Northern China fragmented into a series of independent kingdoms, most of which were founded by Xiongnu, Xianbei, Jie, Di and Qiang rulers. These non-Han peoples were ancestors of the Turks, Mongols, and Tibetans. Many had, to some extent, been "sinicized" long before their ascent to power. In fact, some of them, notably the The Eastern Han dynasty was one of the most prolific era Qiang and the Xiongnu, had already been allowed to live of science and technology in ancient China, notably the in the frontier regions within the Great Wall since late historic invention of papermaking by Cai Lun, and the Han times. During the period of the Sixteen Kingdoms, warfare ravaged the north and prompted large-scale Han numerous contributions by the polymath Zhang Heng. Chinese migration south to the Yangtze Basin and Delta.


Three Kingdoms and Western Jin 1.3.5 Southern and Northern Dynasties (AD 265–316) (AD 420–589)

Main articles: Cao Wei and Jin dynasty (265-420)

Capitals: Luoyang (Cao Wei and Western Jin); Chengdu (Shu Han); Jiankang (Eastern Wu and Eastern Jin); Chang'an (Western Jin) By the 2nd century, the empire declined amidst land acquisitions, invasions, and feuding between consort clans and eunuchs. The Yellow Turban Rebellion broke out in AD 184, ushering in an era of warlords. In the ensuing turmoil, three states tried to gain predominance in the period of the Three Kingdoms. This time period has

Main article: Southern and Northern Dynasties Capitals: Ye, Chang'an (Northern Dynasties); Jiankang (Southern Dynasties) In the early 5th century, China entered a period known as the Southern and Northern Dynasties, in which parallel regimes ruled the northern and southern halves of the country. In the south, the Eastern Jin gave way to the Liu Song, Southern Qi, Liang and finally Chen. Each of these Southen Dynasties were led by Han Chinese ruling families and used Jiankang (modern Nanjing) as the capital.


7 In the north, the last of the Sixteen Kingdoms was extinguished in 439 by the Northern Wei, a kingdom founded by the Xianbei, a nomadic people who unified northern China. The Northern Wei eventually split into the Eastern and Western Wei, which then became the Northern Qi and Northern Zhou. These regimes were dominated by Xianbei or Han Chinese who had married into Xianbei families. Despite the division of the country, Buddhism spread throughout the land. In southern China, fierce debates about whether Buddhism should be allowed were held frequently by the royal court and nobles. Finally, towards the end of the Southern and Northern Dynasties era, Buddhists and Taoists reached a compromise and became more tolerant of each other. In 589, the Sui dynasty united China once again, ending a prolonged period of division in Chinese history. In the nearly four centuries between the Han and Sui dynasties, the country was united for only 24 years during the Western Jin.

1.3.6 Sui dynasty (AD 589–618) Main article: Sui dynasty

Capital: Daxing (official); Dongdu (secondary) The Sui dynasty, which lasted 29 years, played a role more important than its length of existence would suggest. The Sui brought China together again and set up many institutions that were to be adopted by their successors, the Tang. These included the government system of Three Departments and Six Ministries, standard coinage, improved defense and expansion of the Great Wall, and official support for Buddhism. Like the Qin, however, the Sui overused their resources and collapsed.

1.3.7 Tang dynasty (AD 618–907) Main article: Tang dynasty

Capitals: Chang'an, Luoyang The Tang dynasty was founded by Emperor Gaozu on 18 June 618. It was a golden age of Chinese civilization with significant developments in art, literature, particuA limestone statue of the Bodhisattva, from the Northern Qi dy- larly poetry, and technology. Buddhism became the prenasty, AD 570, made in what is now modern Henan province. dominant religion for common people. Chang'an (modern Xi'an), the national capital, was the largest city in the world of its time. The second emperor, Taizong, started military campaigns They held off attacks from the north and preserved many to eliminate threats from nomadic tribes, extend the boraspects of Chinese civilization, while northern barbarian der, and submit neighboring states into a tributary system. Military victories in the Tarim Basin kept the Silk regimes began to sinify.


CHAPTER 1. HISTORY OF CHINA devastated the population and drastically weakened the central imperial government. Regional military governors, known as Jiedushi, gained increasingly autonomous status while formerly submissive states raided the empire. Nevertheless, after the An Lushan Rebellion, the Tang civil society recovered and thrived amidst the weakened imperial bureaucracy.

A Chinese Tang dynasty tricolored glaze porcelain horse (c. AD 700)

Road open, connecting Chang'an to Central Asia and areas far to the west. In the south, lucrative maritime trade routes began from port cities such as Guangzhou. There was extensive trade with distant foreign countries, and many foreign merchants settled in China, encouraging a cosmopolitan culture. The Tang culture and social systems were observed and imitated by neighboring countries such as Japan. Internally the Grand Canal linked the political heartland in Chang'an to the economic and agricultural centers in the eastern and southern parts of the empire.

From about 860, the Tang dynasty declined due to a series of rebellions within China itself and in the former subject Kingdom of Nanzhao to the south. One warlord, Huang Chao, captured Guangzhou in 879, killing most of the 200,000 inhabitants, including most of the large colony of foreign merchant families there.* [20]* [21] In late 880, Luoyang surrendered to Huang Chao, and on 5 January 881 he conquered Chang'an. The emperor Xizong fled to Chengdu, and Huang established a new temporary regime which was eventually destroyed by Tang forces. Another time of political chaos followed.

1.3.8 Five Dynasties and Ten Kingdoms (AD 907–960) Main article: Five Dynasties and Ten Kingdoms period

Capitals: various The period of political disunity between the Tang and the Song, known as the Five Dynasties and Ten Kingdoms period, lasted from 907 to 960. During this half-century, when China was in all respects a multi-state system, five regimes rapidly succeeded one another in control of the old Imperial heartland in northern China. During this same time, sections of southern and western China were occupied by ten, more stable, regimes so the period is also referred to as the Ten Kingdoms.

Underlying the prosperity of the early Tang dynasty was a strong centralized bureaucracy with efficient policies. The government was organized as "Three Departments and Six Ministries" to separately draft, review, and implement policies. These departments were run by royal family members as well as scholar officials who were selected by imperial examinations. These practices, which matured in the Tang dynasty, were continued by the later 1.3.9 dynasties, with some modifications.

Song, Liao, Jin, and Western Xia dynasties (AD 960–1234)

Under the Tang "equal-field system" all land was owned by the Emperor and granted to people according to household size. Men granted land were conscripted for mili- Main articles: Song dynasty, Liao dynasty, Western Xia tary service for a fixed period each year, a military pol- and Jin dynasty (1115-1234) icy known as the "Fubing system". These policies stimu- Further information: History of the Song dynasty lated a rapid growth in productivity and a significant army without much burden on the state treasury. By the dyCapitals: Kaifeng and Lin'an (Song dynasty); nasty's midpoint, however, standing armies had replaced Shangjing, Nanjing, Tokmok (Liao dynasty); conscription, and land was continuously falling into the Shangjing, Zhongdu, Kaifeng (Jin dynasty); hands of private owners. Yinchuan (Western Xia dynasty) The dynasty continued to flourish under Empress Wu Zetian, the only empress regnant in Chinese history, and In 960, the Song dynasty gained power over most of reached its zenith during the reign of Emperor Xuanzong, China and established its capital in Kaifeng (later known who oversaw an empire that stretched from the Pacific to as Bianjing), starting a period of economic prosperity, the Aral Sea with at least 50 million people. while the Khitan Liao dynasty ruled over Manchuria, At the zenith of prosperity of the empire, the An Lushan present-day Mongolia, and parts of Northern China. In Rebellion from 755 to 763 was a watershed event that 1115, the Jurchen Jin dynasty emerged to prominence,


9 During the Qingming Festival and Eighteen Songs of a Nomad Flute, along with great Buddhist painters such as the prolific Lin Tinggui.

1.3.10 Yuan dynasty (AD 1271–1368) Main article: Yuan dynasty

Homeward Oxherds in Wind and Rain by Li Di (12th century)

Yang Guifei Mounting a Horse by Qian Xuan (1235–1305 AD)

Capitals: Xanadu, Dadu annihilating the Liao dynasty in 10 years. Meanwhile, in what are now the northwestern Chinese provinces of The Jurchen-founded Jin dynasty was defeated by the Gansu, Shaanxi, and Ningxia, a Western Xia dynasty Mongols, who then proceeded to defeat the Southern emerged from 1032 to 1227, established by Tangut tribes. Song in a long and bloody war, the first war in which The Jin dynasty took power and conquered northern firearms played an important role. During the era afChina in the Jin–Song Wars, capturing Kaifeng from the ter the war, later called the Pax Mongolica, adventurous Song dynasty, which moved its capital to Hangzhou (杭 Westerners such as Marco Polo travelled all the way to 州). The Southern Song dynasty had to acknowledge the China and brought the first reports of its wonders to EuJin dynasty as formal overlords. In the ensuing years, rope. In the Yuan dynasty, the Mongols were divided beChina was divided between the Song dynasty, the Jin dy- tween those who wanted to remain based in the steppes nasty and the Tangut Western Xia. Southern Song experi- and those who wished to adopt the customs of the Chienced a period of great technological development which nese. can be explained in part by the military pressure that it felt from the north. This included the use of gunpowder weapons, which played a large role in the Song dynasty naval victories against the Jin in the Battle of Tangdao and Battle of Caishi on the Yangtze River in 1161. China's first permanent standing navy was assembled and provided an admiral's office at Dinghai in 1132, under the reign of Emperor Renzong of Song. The Song dynasty is considered by many to be classical China's high point in science and technology, with innovative scholar-officials such as Su Song (1020–1101) and Shen Kuo (1031–1095). There was court intrigue between the political rivals of the Reformers and Conservatives, led by the chancellors Wang Anshi and Sima Guang, respectively. By the mid-to-late 13th century, the Chinese had adopted the dogma of Neo-Confucian philosophy formulated by Zhu Xi. Enormous literary works were compiled during the Song dynasty, such as the his( Comprehensive Mirtorical work of the Zizhi Tongjian “ ror to Aid in Government”). Culture and the arts flourished, with grandiose artworks such as Along the River

Kublai Khan, grandson of Genghis Khan, wanting to adopt the customs of China, established the Yuan dynasty. This was the first dynasty to rule the whole of China from Beijing as the capital. Beijing had been ceded to Liao in AD 938 with the Sixteen Prefectures of Yan Yun. Before that, it had been the capital of the Jin, who did not rule all of China. Before the Mongol invasion, Chinese dynasties reported approximately 120 million inhabitants; after the conquest had been completed in 1279, the 1300 census reported roughly 60 million people.* [22] This major decline is not necessarily due only to Mongol killings. Scholars such as Frederick W. Mote argue that the wide drop in numbers reflects an administrative failure to record rather than an actual decrease; others such as Timothy Brook argue that the Mongols created a system of enserfment among a huge portion of the Chinese populace, causing many to disappear from the census altogether; other historians including William McNeill and David Morgan consider that plague was the main factor behind the demographic decline during this period.



In the 14th century China suffered additional depredations from epidemics of plague, estimated to have killed 25 million people, 30% of the population of China.* [23]


Ming dynasty (AD 1368–1644)

Hongwu Emperor, founder of the Ming dynasty

ters, such as Nanjing and Beijing, also contributed to the growth of private industry. In particular, small-scale industries grew up, often specializing in paper, silk, cotton, and porcelain goods. For the most part, however, relatively small urban centers with markets proliferated around the country. Town markets mainly traded food, with some necessary manufactures such as pins or oil. Despite the xenophobia and intellectual introspection characteristic of the increasingly popular new school of neo-Confucianism, China under the early Ming dynasty was not isolated. Foreign trade and other contacts with the outside world, particularly Japan, increased considerably. Chinese merchants explored all of the Indian Ocean, reaching East Africa with the voyages of Zheng He. Court Ladies of the Former Shu by Tang Yin (1470–1523)

Main article: Ming dynasty Further information: History of the Ming dynasty

Capitals: Nanjing, Beijing, Fuzhou, Zhaoqing Throughout the Yuan dynasty, which lasted less than a century, there was relatively strong sentiment among the populace against Mongol rule. The frequent natural disasters since the 1340s finally led to peasant revolts. The Yuan dynasty was eventually overthrown by the Ming dynasty in 1368. Urbanization increased as the population grew and as the division of labor grew more complex. Large urban cen-

The Hong-wu Emperor Zhu Yuanzhang, the founder of the dynasty, laid the foundations for a state interested less in commerce and more in extracting revenues from the agricultural sector. Perhaps because of the Emperor's background as a peasant, the Ming economic system emphasized agriculture, unlike that of the Song and the Mongolian dynasties, which relied on traders and merchants for revenue. Neo-feudal landholdings of the Song and Mongol periods were expropriated by the Ming rulers. Land estates were confiscated by the government, fragmented, and rented out. Private slavery was forbidden. Consequently, after the death of Emperor Yong-le, independent peasant landholders predominated in Chinese agriculture. These laws might have paved the way to removing the worst of the poverty during the previous regimes.


11 In 1449 Esen Tayisi led an Oirat Mongol invasion of northern China which culminated in the capture of the Zhengtong Emperor at Tumu. In 1521, Ming dynasty naval forces fought and repulsed Portuguese ships at Tuen Mun and again fought off the Portuguese in 1522. In 1542 the Mongol leader, Altan Khan, began to harass China along the northern border, reaching the outskirts of Beijing in 1550. The empire also had to deal with Japanese pirates attacking the southeastern coastline;* [24] General Qi Jiguang was instrumental in their defeat. In 1556, during the rule of the Ming Jiajing Emperor, the Shaanxi earthquake killed about 830,000 people, the deadliest earthquake of all time. During the Ming dynasty the last construction on the Great Wall was undertaken to protect China from foreign invasions. Most of what remains of the Wall in modern times was either built or repaired by the Ming. The brick and granite work was enlarged, the watch towers were redesigned, and cannons were placed along its length.

Ming China under the reign of the Yongle Emperor

China defeated the Dutch in the Sino–Dutch conflicts in 1622-1624 over the Penghu islands and again defeated the Dutch at the Battle of Liaoluo Bay in 1633. The Ming loyalist Koxinga defeated the Dutch in the Siege of Fort Zeelandia in Taiwan in 1662.

The dynasty had a strong and complex central government that unified and controlled the empire. The 1.3.12 emperor's role became more autocratic, although Zhu Yuanzhang necessarily continued to use what he called the "Grand Secretaries" (内阁) to assist with the immense paperwork of the bureaucracy, including memorials (petitions and recommendations to the throne), imperial edicts in reply, reports of various kinds, and tax records. It was this same bureaucracy that later prevented the Ming government from being able to adapt to changes in society, and eventually led to its decline. The Yong-le Emperor strenuously tried to extend China's influence beyond its borders by demanding other rulers send ambassadors to China to present tribute. A large navy was built, including four-masted ships displacing 1,500 tons. A standing army of 1 million troops (some estimate as many as 1.9 million ) was created. The Chinese armies conquered Vietnam for around 20 years, while the Chinese fleet sailed the China seas and the Indian Ocean, cruising as far as the east coast of Africa. The Chinese gained influence in eastern Moghulistan. Several maritime Asian nations sent envoys with tribute for the Chinese emperor. Domestically, the Grand Canal was expanded and became a stimulus to domestic trade. Over 100,000 tons of iron per year were produced. Many books were printed using movable type. The imperial palace in Beijing's Forbidden City reached its current splendor. It was also during these centuries that the potential of south China came to be fully exploited. New crops were widely cultivated and industries such as those producing porcelain and textiles flourished.

Qing dynasty (AD 1644–1911)

The reception of the Diplomatique (Macartney) and his suite, at the Court of Pekin, drawn and engraved by James Gillray (published September 1792).

Main article: Qing dynasty

Capitals: Shenyang, Beijing The Qing dynasty (1644–1911) was the last imperial dynasty in China. Founded by the Manchus, it was the second non-Han Chinese dynasty to rule all over Chinese territory. The Manchus were formerly known as Jurchen,



Territory of Qing China in 1892

residing in the northeastern part of the Ming territory outside the Great Wall. They emerged as the major threat to the late Ming dynasty after Nurhaci united all Jurchen tribes and established an independent state. However, the Ming dynasty would be overthrown by Li Zicheng's peasants rebellion, with Beijing captured in 1644 and the last Ming Emperor Chongzhen committing suicide. The Manchu allied with the Ming dynasty general Wu Sangui to seize Beijing, which was made the capital of the Qing dynasty, and then proceeded to subdue the remaining Ming's resistance in the south. The decades of Manchu conquest caused enormous loss of lives and the economic scale of China shrank drastically. In total, the Manchu conquest of China (1618–1683) cost as many as 25 million lives.* [25] Nevertheless, the Manchus adopted the Confucian norms of traditional Chinese government in their rule and were considered a Chinese dynasty.

Late-1890s French political cartoon showing China divided among Britain, Germany, Russia, France and Japan

China who had been denied hereditary rule to large fiefdoms granted by the previous emperor. In 1683, the Qing staged an amphibious assault on southern Taiwan, bringing down the rebel Kingdom of Tungning, which was founded by the Ming loyalist Koxinga in 1662 after the fall of the Southern Ming, and had served as a base for continued Ming resistance in Southern China. The Qing defeated the Russians at Albazin, resulting in the Treaty The Manchus enforced a 'queue order,' forcing the Han of Nerchinsk. Chinese to adopt the Manchu queue hairstyle. Officials were required to wear Manchu-style clothing Changshan By the end of Qianlong Emperor's long reign, the Qing Empire was at its zenith. China ruled more than one-third (bannermen dress and Tangzhuang), but ordinary Han civilians were allowed to wear traditional Han clothing, of the world's population, and had the largest economy in the world. By area it was one of the largest empires ever. or Hanfu. Most Han then voluntarily shifted to wearing Qipao anyway. The Kangxi Emperor ordered the cre- In the 19th century the empire was internally stagnant and ation of Kangxi Dictionary, the most complete dictionary externally threatened by western powers. The defeat by of Chinese characters that had been compiled. The Qing the British Empire in the First Opium War (1840) led to dynasty set up the "Eight Banners" system that provided the Treaty of Nanking (1842), under which Hong Kong the basic framework for the Qing military organization. was ceded to Britain and importation of opium (produced Bannermen could not undertake trade or manual labor; by British Empire territories) was allowed. Subsequent they had to petition to be removed from banner status. military defeats and unequal treaties with other western They were considered a form of nobility and were given powers continued even after the fall of the Qing dynasty. preferential treatment in terms of annual pensions, land Internally the Taiping Rebellion (1851–1864), a quasiand allotments of cloth. Christian religious movement led by the“Heavenly King” Over the next half-century, all areas previously under the Ming dynasty were consolidated under the Qing. Xinjiang, Tibet, and Mongolia were also formally incorporated into Chinese territory. Between 1673 and 1681, the Emperor Kangxi suppressed the Revolt of the Three Feudatories, an uprising of three generals in Southern

Hong Xiuquan, raided roughly a third of Chinese territory for over a decade until they were finally crushed in the Third Battle of Nanking in 1864. This was one of the largest wars in the 19th century in terms of troop involvement; there was massive loss of life, with a death toll of about 20 million.* [26] A string of civil disturbances

1.4. REPUBLICAN CHINA followed, including the Punti–Hakka Clan Wars, Nian Rebellion, Dungan Revolt, and Panthay Rebellion.* [27] All rebellions were ultimately put down, but at enormous cost and with many casualties, seriously weakening the central imperial authority. The Banner system that the Manchus had relied upon for so long failed: Banner forces were unable to suppress the rebels, and the government called upon local officials in the provinces, who raised “New Armies”, which successfully crushed the challenges to Qing authority. China never rebuilt a strong central army, and many local officials became warlords who used military power to effectively rule independently in their provinces.* [28]

13 nese Christians and missionaries. The Imperial Court ordered all foreigners out of the capital after Boxers flooded through the city, however, the foreigners refused and then the Siege of the International Legations started. The Eight-Nation Alliance launched an invasion of China in the Seymour Expedition. Consisting of British, Japanese, Russian, Italian, German, French, US, and Austrian troops, the alliance were defeated by the Boxers at the Battle of Langfang and forced to retreat. Due to the Alliance's attack on Dagu Forts during the Battle of Dagu Forts (1900), the Qing court in response declared war on the Alliance and sided with the Boxers. Fierce fighting erupted at the Battle of Tientsin and the Alliance made another attempt to attack Beijing in the Gaselee Expedition and finally reached Beijing at the Battle of Peking (1900), when the Imperial Court evacuated to Xi'an. The Boxer Protocol was signed to end the war.

1.4 Republican China 1.4.1 Republic of China (1912–1949) Main articles: History of the Republic of China and Republic of China (1912–1949)

Capitals: Nanjing, Beijing, Chongqing, several short-lived wartime capitals, Taipei (after 1949) Frustrated by the Qing court's resistance to reform and by China's weakness, young officials, military officers, and students began to advocate the overthrow of the Qing dynasty and the creation of a republic. They were inspired by the revolutionary ideas of Sun Yat-sen. A revolutionary military uprising, the Wuchang Uprising, began on 10 October 1911, in Wuhan. The provisional government of the Republic of China was formed in Nanjing on 12 The Empress Dowager Cixi March 1912. The Xinhai Revolution ended 2,000 years In response to calamities within the empire and threats of dynastic rule in China. from imperialism, the Self-Strengthening Movement was After the success of the overthrow of the Qing Dynasty, an institutional reform in the second half of the 1800s. Sun Yat-sen was declared President, but Sun was forced The aim was to modernize the empire, with prime empha- to turn power over to Yuan Shikai, who commanded the sis on strengthening the military. However, the reform New Army and was Prime Minister under the Qing govwas undermined by corrupt officials, cynicism, and quar- ernment, as part of the agreement to let the last Qing rels within the imperial family. As a result, the "Beiyang monarch abdicate (a decision Sun would later regret). Fleet" were soundly defeated in the First Sino-Japanese Over the next few years, Yuan proceeded to abolish the War (1894–1895). Guangxu Emperor and the reformists national and provincial assemblies, and declared himthen launched a more comprehensive reform effort, the self emperor in late 1915. Yuan's imperial ambitions Hundred Days' Reform (1898), but it was shortly over- were fiercely opposed by his subordinates; faced with the turned by the conservatives under Empress Dowager Cixi prospect of rebellion, he abdicated in March 1916, and in a military coup. died in June of that year. At the turn of the 20th century an anti-foreign movement Yuan's death in 1916 left a power vacuum in China; the violently revolted against foreign influence in Northern republican government was all but shattered. This ushChina in the Boxer Rebellion. The group attacked Chi- ered in the Warlord Era, during which much of the coun-



The flag of the Republic of China from 1928 to now.

Sun Yat-sen, founder and first president of the Republic of China

try was ruled by shifting coalitions of competing provincial military leaders. In 1919, the May Fourth Movement began as a response to the terms imposed on China by the Treaty of Versailles ending World War I, but quickly became a nationwide protest movement about the domestic situation in China. The protests were a moral success as the cabinet fell and China refused to sign the Treaty of Versailles, which had awarded German holdings to Japan. The New Culture Movement stimulated by the May Fourth Movement waxed strong throughout the 1920s and 1930s. According to Ebrey:

In the 1920s, Sun Yat-sen established a revolutionary base in south China, and set out to unite the fragmented nation. With assistance from the Soviet Union (themselves fresh from a socialist uprising), he entered into an alliance with the fledgling Communist Party of China. After Sun's death from cancer in 1925, one of his protégés, Chiang Kai-shek, seized control of the Kuomintang (Nationalist Party or KMT) and succeeded in bringing most of south and central China under its rule in a military campaign known as the Northern Expedition (1926– 1927). Having defeated the warlords in south and central China by military force, Chiang was able to secure the nominal allegiance of the warlords in the North. In 1927, Chiang turned on the CPC and relentlessly chased the CPC armies and its leaders from their bases in southern and eastern China. In 1934, driven from their mountain bases such as the Chinese Soviet Republic, the CPC forces embarked on the Long March across China's most desolate terrain to the northwest, where they established a guerrilla base at Yan'an in Shaanxi Province. During the Long March, the communists reorganized under a new leader, Mao Zedong (Mao Tse-tung).

“Nationalism, patriotism, progress, science, democracy, and freedom were the goals; imperialism, feudalism, warlordism, autocracy, patriarchy, and blind adherence to tradition where the enemies. Intellectuals struggled with how to be strong and modern and yet Chinese, how to preserve China as a political entity in the world of competing nations.”* [29] The discrediting of liberal Western philosophy amongst leftist Chinese intellectuals led to more radical lines of thought inspired by the Russian Revolution, and supported by agents of the Comintern sent to China by Chinese civilians buried alive during the 1937 Nanking Massacre Moscow. This created the seeds for the irreconcilable conflict between the left and right in China that would The bitter struggle between the KMT and the CPC continued, openly or clandestinely, through the 14-year long dominate Chinese history for the rest of the century.



Japanese occupation of various parts of the country (1931–1945). The two Chinese parties nominally formed a united front to oppose the Japanese in 1937, during the Sino-Japanese War (1937–1945), which became a part of World War II. Japanese forces committed numerous war atrocities against the civilian population, including biological warfare (see Unit 731) and the Three Alls Policy (Sankō Sakusen), the three alls being: “Kill All, Burn All and Loot All”.* [30] Following the defeat of Japan in 1945, the war between the Nationalist government forces and the CPC resumed, after failed attempts at reconciliation and a negotiated settlement. By 1949, the CPC had established control over most of the country (see Chinese Civil War). Westad says the Communists won the Civil War because they made fewer military mistakes than Chiang, and because in his search for a powerful centralized government, Chiang antagonized too many interest groups in China. Furthermore, his party was weakened in the war against Japanese. Meanwhile the Communists told different groups, such as peasants, exactly what they wanted to hear, and cloaked themselves in the cover of Chinese Nationalism.* [31] During the civil war both the Nationalist and Communists carried out mass atrocities with millions of non-combatants killed by both sides during the civil war.* [32] Atrocities include deaths from forced conscription and massacres.* [33] When the Nationalist government forces was defeated by CPC forces in mainland China in 1949, the Nationalist government retreated to Taiwan with its forces, along with Chiang and most of the KMT leadership and a large number of their supporters; the Nationalist government had taken effective control of Taiwan at the end of WWII as part of the overall Japanese surrender, when Japanese troops in Taiwan surrendered to Republic of China troops.* [34]


Chairman Mao Zedong proclaiming the establishment of the People's Republic in 1949

lions of deaths under Mao. In 1966 Mao and his allies launched the Cultural Revolution, which continued until Mao's death a decade later. The Cultural Revolution, motivated by power struggles within the Party and a fear of the Soviet Union, led to a major upheaval in Chinese society. In 1972, at the peak of the Sino-Soviet split, Mao and Zhou Enlai met US president Richard Nixon in Beijing to establish relations with the United States. In the same year, the PRC was admitted to the United Nations in place of the Republic of China, with permanent membership of the Security Council.

A power struggle followed Mao's death in 1976. The Gang of Four were arrested and blamed for the excesses of the Cultural Revolution, marking the end of a turbulent political era in China. Deng Xiaoping outmaneuvered Mao's anointed successor chairman Hua Guofeng, and gradually emerged as the de facto leader over the next People's Republic of China (since few years.


Main article: History of the People's Republic of China Major combat in the Chinese Civil War ended in 1949 with Kuomintang (KMT) pulling out of the mainland, with the government relocating to Taipei and maintaining control only over a few islands. The Communist Party of China was left in control of mainland China. On 1 October 1949, Mao Zedong proclaimed the People's Republic of China.* [35] “Communist China”and “Red China” were two common names for the PRC.* [36] The PRC was shaped by a series of campaigns and fiveyear plans. The economic and social plan known as the Great Leap Forward caused an estimated 45 million deaths.* [37] Mao's government carried out mass executions of landowners, instituted collectivisation and implemented the Laogai camp system. Execution, deaths from forced labor and other atrocities resulted in mil-

Deng Xiaoping was the Paramount Leader of China from 1978 to 1992, although he never became the head of the party or state, and his influence within the Party led the country to significant economic reforms. The Communist Party subsequently loosened governmental control over citizens' personal lives and the communes were disbanded with many peasants receiving multiple land leases, which greatly increased incentives and agricultural production. This turn of events marked China's transition from a planned economy to a mixed economy with an increasingly open market environment, a system termed by some* [38] as "market socialism", and officially by the Communist Party of China as "Socialism with Chinese characteristics". The PRC adopted its current constitution on 4 December 1982. In 1989 the death of former general secretary Hu Yaobang helped to spark the Tiananmen Square protests of 1989, during which students and others campaigned for several months, speaking out against corruption and



in favour of greater political reform, including democratic rights and freedom of speech. However, they were eventually put down on 4 June when PLA troops and vehicles entered and forcibly cleared the square, with many fatalities. This event was widely reported, and brought worldwide condemnation and sanctions against the government.* [39]* [40] A filmed incident involving the "tank man" was seen worldwide.

• History of the Great Wall of China

CPC general secretary and PRC President Jiang Zemin and PRC Premier Zhu Rongji, both former mayors of Shanghai, led post-Tiananmen PRC in the 1990s. Under Jiang and Zhu's ten years of administration, the PRC's economic performance pulled an estimated 150 million peasants out of poverty and sustained an average annual gross domestic product growth rate of 11.2%.* [41]* [42] The country formally joined the World Trade Organization in 2001.

• List of tributaries of Imperial China

Although the PRC needs economic growth to spur its development, the government began to worry that rapid economic growth was degrading the country's resources and environment. Another concern is that certain sectors of society are not sufficiently benefiting from the PRC's economic development; one example of this is the wide gap between urban and rural areas. As a result, under former CPC general secretary and President Hu Jintao and Premier Wen Jiabao, the PRC initiated policies to address issues of equitable distribution of resources, but the outcome was not known as of 2014.* [43] More than 40 million farmers were displaced from their land,* [44] usually for economic development, contributing to 87,000 demonstrations and riots across China in 2005.* [45] For much of the PRC's population, living standards improved very substantially and freedom increased, but political controls remained tight and rural areas poor.* [46]

1.5 See also • Chinese armour • Chinese exploration • Chinese historiography • Chinese sovereign • Economic history of China • Ethnic groups in Chinese history • Foreign relations of Imperial China • Four occupations • History of Hong Kong • History of Islam in China • History of Macau • History of science and technology in China

• List of Chinese monarchs • List of Neolithic cultures of China • List of rebellions in China • List of recipients of tribute from China

• Military history of China (pre-1911) • Naval history of China • Religion in China • Timeline of Chinese history

1.6 Notes [1] “Public Summary Request Of The People's Republic Of China To The Government Of The United States Of America Under Article 9 Of The 1970 Unesco Convention”. Bureau of Educational and Cultural Affairs, U.S. State Department. Archived from the original on 15 December 2007. Retrieved 12 January 2008. [2] “The Ancient Dynasties”. University of Maryland. Retrieved 12 January 2008. [3] “China country profile”. BBC News. 18 October 2010. Retrieved 7 November 2010. [4] Rixiang Zhu, Zhisheng An, Richard Pott, Kenneth A. Hoffman (June 2003). “Magnetostratigraphic dating of early humans of in China”(PDF). Earth Science Reviews 61 (3–4): 191–361. [5] “Earliest Presence of Humans in Northeast Asia”. Smithsonian Institution. Archived from the original on 13 August 2007. Retrieved 4 August 2007. [6] “Neolithic Period in China”. Timeline of Art History. Metropolitan Museum of Art. October 2004. Retrieved 10 February 2008. [7] “Rice and Early Agriculture in China”. Legacy of Human Civilizations. Mesa Community College. Retrieved 10 February 2008. [8] “Chinese writing '8,000 years old'". BBC News. 18 May 2007. Retrieved 4 May 2010. [9] “Carvings may rewrite history of Chinese characters”. Xinhua online. 18 May 2007. Retrieved 19 May 2007. [10] “Peiligang Site”. Ministry of Culture of the People's Republic of China. 2003. Retrieved 10 February 2008. [11] Pringle, Heather (1998).“The Slow Birth of Agriculture” . Science 282: 1446. [12] Wertz, Richard R. (2007). “Neolithic and Bronze Age Cultures”. Exploring Chinese History. ibiblio. Retrieved 10 February 2008.


[13] Bronze Age China at National Gallery of Art [14] Scripts found on Erlitou pottery (written in Simplified Chinese) [15] Boltz, William (1999). “Language and Writing”. In Loewe, Michael; Shaughnessy, Edward L. The Cambridge History of Ancient China. Cambridge: Cambridge University Press. pp. 74–123. ISBN 978-0-521-47030-8. [16] Yu, Yingshi (1986). Denis Twitchett; Michael Loewe, eds. Cambridge History of China: Volume I: the Ch'in and Han Empires, 221 B.C. – A.D. 220. University of Cambridge Press. pp. 455–458. ISBN 978-0-5212-4327-8. [17] Xu, Pingfang (2005). The Formation of Chinese Civilization: An Archaeological Perspective. Yale University Press. p. 281. ISBN 978-0-300-09382-7. [18] Gernet, Jacques (1996). A History of Chinese Civilization. Cambridge University Press. pp. 126–127. ISBN 978-0521-49781-7. [19] Ban Chao, Britannica Online Encyclopedia [20] Gabriel Ferrand, ed. (1922). Voyage du marchand arabe Sulaymân en Inde et en Chine, rédigé en 851, suivi de remarques par Abû Zayd Hasan (vers 916). p. 76. [21] “Kaifung Jews”. University of Cumbria, Division of Religion and Philosophy.


[33] Valentino, Benjamin A. Final solutions: mass killing and genocide in the twentieth century Cornell University Press. December 8, 2005. p88 [34] Surrender Order of the Imperial General Headquarters of Japan, 2 September 1945, "(a) The senior Japanese commanders and all ground, sea, air, and auxiliary forces within China (excluding Manchuria), Formosa, and French Indochina north of 16 degrees north latitude shall surrender to Generalissimo Chiang Kai-shek.” [35] The Chinese people have stood up. UCLA Center for East Asian Studies. Retrieved 16 April 2006. [36] Smith, Joseph; and Davis, Simon. [2005] (2005). The A to Z of the Cold War. Issue 28 of Historical dictionaries of war, revolution, and civil unrest. Volume 8 of A to Z guides. Scarecrow Press publisher. ISBN 0-8108-5384-1, ISBN 978-0-8108-5384-3. [37] Akbar, Arifa (17 September 2010). “Mao's Great Leap Forward 'killed 45 million in four years'". London: The Independent. Retrieved 30 October 2010. [38] Hart-Landsberg, Martin; Burkett, Paul (March 2010). “China and Socialism: Market Reforms and Class Struggle”. Monthly Review Press. ISBN 1-58367-123-4. Retrieved 30 October 2008.

[22] Ho, Ping-ti (1970).“An Estimate of the Total Population of Sung-Chin China”. Études Song. 1 (1): 33–53.

[39] Youngs, R. The European Union and the Promotion of Democracy. Oxford University Press, 2002. ISBN 9780-19-924979-4.

[23] “Course: Plague”. Archived from the original on 18 November 2007.

[40] Carroll, J. M. A Concise History of Hong Kong. Rowman & Littlefield, 2007. ISBN 978-0-7425-3422-3.

[24]“China > History > The Ming dynasty > Political history > The dynastic succession”, Encyclopædia Britannica Online, 2007

[41] “Nation bucks trend of global poverty”. China Daily. 11 July 2003.

[25] John M. Roberts (1997). A Short History of the World. Oxford University Press. p.272. ISBN 0-19-511504-X. [26] White, Matthew. “Statistics of Wars, Oppressions and Atrocities of the Nineteenth Century”. Retrieved 11 April 2007. [27] Harper, Damsan; Fallon, Steve; Gaskell, Katja; Grundvig, Julie; Heller, Carolyn; Huhti, Thomas; Maynew, Bradley; Pitts, Christopher (2005). Lonely Planet China (9 ed.). ISBN 1-74059-687-0. [28] Philip Kuhn, Rebellion and its Enemies in Late Imperial China: Militarization and Social Structure, 1796-1864 (1970) ch 6

[42] “China's Average Economic Growth in 90s Ranked 1st in World”. People's Daily. 1 March 2000. [43] “China worried over pace of growth”. BBC. Retrieved 16 April 2006. [44] “China: Migrants, Students, Taiwan”. Migration News 13 (1). January 2006. [45] “In Face of Rural Unrest, China Rolls Out Reforms”. The Washington Post. 28 January 2006. [46] Thomas, Antony (11 April 2006). "Frontline: The Tank Man transcript”. Frontline. PBS. Retrieved 12 July 2008.

[29] Patricia Buckley Ebrey, Cambridge Illustrated History of China (1996) p 271

1.7 Bibliography

[30] Fairbank, J. K.; Goldman, M. (2006). China: A New History (2nd ed.). Harvard University Press. p. 320. ISBN 9780674018280.

1.7.1 Surveys

[31] Odd Arne Westad, Restless Empire: China and the World Since 1750 (2012) p 291 [32] Rummel, Rudolph (1994), Death by Government.

• Blunden, Caroline, and Mark Elvin. Cultural Atlas of China (2nd ed 1998) excerpt and text search • Catchpole, Brian. Map History of Modern China (1977)



• Eberhard, Wolfram. A History of China (1950; 4th edition, revised 1977), 380 pages' full text online free • Ebrey, Patricia Buckley, and Kwang-ching Liu. The Cambridge Illustrated History of China (1999) 352 pages • Fairbank, John King and Goldman, Merle. China: A New History. 2nd ed. Harvard U. Press, (2006). 640 pp. • Gernet, Jacques, J. R. Foster, and Charles Hartman. A History of Chinese Civilization (1996), called the best one-volume survey; • Hsu, Cho-yun. China: A New Cultural History (Columbia University Press; 2012) 612 pages; stress on China's encounters with successive waves of globalization. • Hsü, Immanuel Chung-yueh. The Rise of Modern China, 6th ed. (Oxford University Press, 1999), highly detailed coverage of 1644–1999, in 1136pp. • Huang, Ray. China, a Macro History (1997) 335pp, an idiosyncratic approach, not for beginners; online edition from Questia • Keay, John. China: A History (2009), 642pp • Latourette, Kenneth Scott. The Development of China (1917) 273 pages; full text online outdated survey

• Wright, David Curtis. 257pp; online edition

History of China (2001)

• Wills, Jr., John E. Mountain of Fame: Portraits in Chinese History (1994)

1.7.2 Prehistory • Chang, Kwang-chih. The Archaeology of Ancient China, Yale University Press, 1986. • Discovery of residue from fermented beverage consumed up to 9,000 years ago in Jiahu, Henan Province, China. By Dr. Patrick E McGovern, University of Pennsylvania archaeochemist and colleagues from China, Great Britain and Germany. • Zhu, Rixiang; Zhisheng An; Richard Potts; Kenneth A. Hoffman. “Magnetostratigraphic dating of early humans in China”(PDF). doi:10.1016/S00128252(02)00132-0. Retrieved 23 January 2011. • The Discovery of Early Pottery in China by Zhang Chi, Department of Archaeology, Peking University, China.

1.7.3 Shang dynasty • Durant, Stephen W. The Cloudy Mirror: Tension and Conflict in the Writings of Sima Qian (1995),

• Franz, Michael. China through the Ages: History of 1.7.4 Han dynasty a Civilization. (1986). 278pp; online edition from Questia • de Crespigny, Rafe. 1972. The Ch’iang Barbarians and the Empire of Han: A Study in Frontier Policy. • Mote, Frederick W. Imperial China, 900–1800 HarPapers on Far Eastern History 16, Australian Navard University Press, 1999, 1,136 pages, the autional University. Canberra. thoritative treatment of the Song, Yuan, Ming, and Qing dynasties; • Perkins, Dorothy. Encyclopedia of China: The Essential Reference to China, Its History and Culture. Facts on File, 1999. 662 pp. • Roberts, J. A. G. A Concise History of China. Harvard U. Press, 1999. 341 pp. • Schoppa, R. Keith. The Columbia Guide to Modern Chinese History. Columbia U. Press, 2000. 356 pp. online edition from Questia • Spence, Jonathan D. The Search for Modern China (1999), 876pp; survey from 1644 to 1990s complete edition online at Questia • Ven, Hans van de, ed. Warfare in Chinese History. E. J. Brill, 2000. 456 pp. online edition • Wang, Ke-wen, ed. Modern China: An Encyclopedia of History, Culture, and Nationalism. Garland, 1998. 442 pp.

• de Crespigny, Rafe. 1984. Northern Frontier. The Policies and Strategies of the Later Han Empire. Rafe de Crespigny. 1984. Faculty of Asian Studies, Australian National University. Canberra. • de Crespigny, Rafe (1990). “South China under the Later Han Dynasty”. Asian Studies Monographs, New Series No. 16 (Faculty of Asian Studies, The Australian National University, Canberra). Retrieved 23 January 2011. |chapter= ignored (help) • de Crespigny, Rafe (1996). “Later Han Military Administration: An Outline of the Military Administration of the Later Han Empire”. Asian Studies Monographs, New Series No. 21 (Based on the Introduction to Emperor Huan and Emperor Ling being the Chronicle of Later Han for the years 189 to 220 CE as recorded in Chapters 59 to 69 of the Zizhi tongjian of Sima Guang ed.) (Faculty of Asian Studies, The Australian National University). Retrieved 23 January 2011.

1.7. BIBLIOGRAPHY • Dubs, Homer H. 1938–55. The History of the Former Han Dynasty by Pan Ku. (3 vol) • Hill, John E. Through the Jade Gate to Rome: A Study of the Silk Routes during the Later Han Dynasty, 1st to 2nd centuries CE. (2009) ISBN 978-14392-2134-1.

19 • Shaffer, Lynda Norene. 1996. Maritime Southeast Asia to 1500. Armonk, New York, M.E. Sharpe, Inc. ISBN 1-56324-144-7. • Wang, Zhenping. 1991. “T’ang Maritime Trade Administration.”Wang Zhenping. Asia Major, Third Series, Vol. IV, 1991, pp. 7–38.

• Hulsewé, A. F. P. and Loewe, M. A. N., eds. China in Central Asia: The Early Stage 125 BCE – CE 23: 1.7.8 Song dynasty an annotated translation of chapters 61 and 96 of the • Ebrey, Patricia. The Inner Quarters: Marriage and History of the Former Han Dynasty. (1979) the Lives of Chinese Women in the Sung Period • Twitchett, Denis and Loewe, Michael, eds. 1986. (1990) The Cambridge History of China. Volume I. The Ch’ • Hymes, Robert, and Conrad Schirokauer, eds. Orin and Han Empires, 221 BCE – CE 220. Cambridge dering the World: Approaches to State and Society in University Press. Sung Dynasty China, U of California Press, 1993; • Yap, Joseph P. ``Wars With the Xiongnu – A Translacomplete text online free tion From Zizhi tongjian`` (Zhan-guo, Qin, Han and • Shiba, Yoshinobu. 1970. Commerce and Society in Xin 403 BCE – 23 CE.) AuthorHouse (2009) ISBN Sung China. Originally published in Japanese as So1-4900-0604-4 dai sho-gyo—shi kenkyu-. Tokyo, Kazama shobo-, 1968. Yoshinobu Shiba. Translation by Mark Elvin, Centre for Chinese Studies, University of Michigan. 1.7.5 Jin, the Sixteen Kingdoms, and the

Northern and Southern Dynasties • de Crespigny, Rafe (1991). “The Three Kingdoms 1.7.9 Ming dynasty and Western Jin: A History of China in the Third • Brook, Timothy. The Confusions of Pleasure: ComCentury AD”. East Asian History (Faculty of Asian merce and Culture in Ming China. (1998). Studies, Australian National University, Canberra) (1 June 1991, pp. 1–36, & no. 2 December 1991, • Brook, Timothy. The Troubled Empire: China in pp. 143–164). Retrieved 23 January 2011. the Yuan and Ming Dynasties (2010) 329 pages. Focus on the impact of a Little Ice Age on the empire, • Miller, Andrew. Accounts of Western Nations in the as the empire, beginning with a sharp drop in temHistory of the Northern Chou Dynasty. (1959) peratures in the 13th century during which time the Mongol leader Kubla Khan moved south into China.


Sui dynasty

• Wright, Arthur F. 1978. The Sui Dynasty: The Unification of China. CE 581–617. Alfred A. Knopf, New York. ISBN 0-394-49187-4, ISBN 0-39432332-7 (pbk).


Tang dynasty

• Benn, Charles. 2002. China's Golden Age: Everyday Life in the Tang Dynasty. Oxford University Press. ISBN 0-19-517665-0. • Schafer, Edward H. 1963. The Golden Peaches of Samarkand: A study of T’ang Exotics. University of California Press. Berkeley and Los Angeles. 1st paperback edition. 1985. ISBN 0-520-05462-8. • Schafer, Edward H. 1967. The Vermilion Bird: T’ ang Images of the South. University of California Press, Berkeley and Los Angeles. Reprint 1985. ISBN 0-520-05462-8.

• Dardess, John W. A Ming Society: T'ai-ho County, Kiangsi, Fourteenth to Seventeenth Centuries. (1983); uses advanced “new social history” complete text online free • Farmer, Edward. Zhu Yuanzhang and Early Ming Legislation: The Reordering of Chinese Society Following the Era of Mongol Rule. E.J. Brill, 1995. • Goodrich, L. Carrington, and Chaoying Fang. Dictionary of Ming Biography. (1976). • Huang, Ray. 1587, A Year of No Significance: The Ming Dynasty in Decline. (1981). • Mote, Frederick W. and Twitchett, Denis, eds. The Cambridge History of China. Vol. 7: The Ming Dynasty, 1368–1644, Part 1. (1988). 976 pp. • Schneewind, Sarah. A Tale of Two Melons: Emperor and Subject in Ming China. (2006). • Tsai, Shih-shan Henry. Perpetual Happiness: The Ming Emperor Yongle. (2001).



• Mote, Frederick W., and Denis Twitchett, eds. The Cambridge History of China. Vol. 7, part 1: The Ming Dynasty, 1368–1644 (1988). 1008 pp. excerpt and text search

• Boorman, Howard L., ed. Biographical Dictionary of Republican China. (Vol. I-IV and Index. 1967– 1979). 600 short scholarly biographies excerpt and text search

• Twitchett, Denis and Frederick W. Mote, eds. The Cambridge History of China. Vol. 8: The Ming Dynasty, 1368–1644, Part 1.

• Boorman, Howard L.“Sun Yat-sen”in Boorman, ed. Biographical Dictionary of Republican China (1970) 3: 170–89, complete text online

• Twitchett, Denis and Frederick W. Mote, eds. The Cambridge History of China. Vol. 8: The Ming Dynasty, 1368–1644, Part 2. (1998). 1203 pp.

• Dreyer, Edward L. China at War, 1901–1949. (1995). 422 pp.


Qing dynasty

• Fairbank, John K. and Liu, Kwang-Ching, ed. The Cambridge History of China. Vol. 2: Late Ch'ing, 1800–1911, Part 2. Cambridge U. Press, 1980. 754 pp. • Mann, Susan. Precious Records: Women in China's Long Eighteenth Century (1997) • Naquin, Sysan, and Evelyn S. Rawski. Chinese Society in the Eighteenth Century (1989) excerpt and text search • Peterson, Willard J., ed. The Cambridge History of China. Vol. 9, Part 1: The Ch'ing Dynasty to 1800. Cambridge U. Press, 2002. 753 pp. • Rawski, Evelyn S. The Last Emperors: A Social History of Qing Imperial Institutions (2001) complete text online free • Struve, Lynn A., ed. The Qing Formation in WorldHistorical Time. (2004). 412 pp. • Struve, Lynn A., ed. Voices from the Ming-Qing Cataclysm: China in Tigers' Jaws (1998) • Yizhuang, Ding. “Reflections on the 'New Qing History' School in the United States,”Chinese Studies in History, Winter 2009/2010, Vol. 43 Issue 2, pp 92–96, It drops the theme of “sinification” in evaluating the dynasty and the non-Han Chinese regimes in general. It seeks to analyze the success and failure of Manchu rule in China from the Manchu perspective and focus on how Manchu rulers sought to maintain the Manchu ethnic identity throughout Qing history.


Republican era

• Bergere, Marie-Claire. Sun Yat-Sen (1998), 480pp, the standard biography

• Eastman Lloyd. Seeds of Destruction: Nationalist China in War and Revolution, 1937– 1945. (1984) • Eastman Lloyd et al. The Nationalist Era in China, 1927–1949 (1991) • Fairbank, John K., ed. The Cambridge History of China, Vol. 12, Republican China 1912–1949. Part 1. (1983). 1001 pp. • Fairbank, John K. and Feuerwerker, Albert, eds. The Cambridge History of China. Vol. 13: Republican China, 1912–1949, Part 2. (1986). 1092 pp. • Fogel, Joshua A. The Nanjing Massacre in History and Historiography (2000) • Gordon, David M. “The China-Japan War, 1931– 1945,”The Journal of Military History v70#1 (2006) 137–182; major historiographical overview of all important books and interpretations; online • Hsiung, James C. and Steven I. Levine, eds. China's Bitter Victory: The War with Japan, 1937–1945 (1992), essays by scholars; online from Questia; • Hsi-sheng, Ch'i. Nationalist China at War: Military Defeats and Political Collapse, 1937–1945 (1982) • Hung, Chang-tai. War and Popular Culture: Resistance in Modern China, 1937–1945 (1994) complete text online free • Lara, Diana. The Chinese People at War: Human Suffering and Social Transformation, 1937–1945 (2010) • Rubinstein, Murray A., ed. Taiwan: A New History (2006), 560pp • Shiroyama, Tomoko. China during the Great Depression: Market, State, and the World Economy, 1929–1937 (2008) • Shuyun, Sun. The Long March: The True History of Communist China's Founding Myth (2007) • Taylor, Jay. The Generalissimo: Chiang Kai-shek and the Struggle for Modern China. (2009) ISBN 978-0-674-03338-2 • Westad, Odd Arne. Decisive Encounters: The Chinese Civil War, 1946–1950. (2003). 413 pp. the standard history



Communist era (1949–present)

• Barnouin, Barbara, and Yu Changgen. Zhou Enlai: A Political Life (2005)

21 Cultural Revolution, 1966–76 • Clark, Paul. The Chinese Cultural Revolution: A History (2008), a favorable look at artistic production excerpt and text search

• Baum, Richard D. "'Red and Expert': The PoliticoIdeological Foundations of China's Great Leap Forward,”Asian Survey, Vol. 4, No. 9 (Sep. 1964), pp. 1048–1057 in JSTOR

• Esherick, Joseph W.; Pickowicz, Paul G.; and Walder, Andrew G., eds. The Chinese Cultural Revolution as History. (2006). 382 pp.

• Becker, Jasper. Hungry Ghosts: China's Secret Famine (1996), on the “Great Leap Forward”of 1950s

• Jian, Guo; Song, Yongyi; and Zhou, Yuan. Historical Dictionary of the Chinese Cultural Revolution. (2006). 433 pp.

• Chang, Jung and Jon Halliday. Mao: The Unknown Story, (2005), 814 pages, ISBN 0-679-42271-4

• MacFarquhar, Roderick and Fairbank, John K., eds. The Cambridge History of China. Vol. 15: The People's Republic, Part 2: Revolutions within the Chinese Revolution, 1966–1982. Cambridge U. Press, 1992. 1108 pp.

• Davin, Delia (2013). Mao: A Very Short Introduction. Oxford UP. • Dittmer, Lowell. China's Continuous Revolution: The Post-Liberation Epoch, 1949–1981 (1989) online free • Dietrich, Craig. People's China: A Brief History, 3d ed. (1997), 398pp • Kirby, William C., ed. Realms of Freedom in Modern China. (2004). 416 pp. • Kirby, William C.; Ross, Robert S.; and Gong, Li, eds. Normalization of U.S.-China Relations: An International History. (2005). 376 pp. • Li, Xiaobing. A History of the Modern Chinese Army (2007) • MacFarquhar, Roderick and Fairbank, John K., eds. The Cambridge History of China. Vol. 15: The People's Republic, Part 2: Revolutions within the Chinese Revolution, 1966–1982. Cambridge U. Press, 1992. 1108 pp. • Meisner, Maurice. Mao's China and After: A History of the People’s Republic, 3rd ed. (Free Press, 1999), dense book with theoretical and political science approach. • Spence, Jonatham. Mao Zedong (1999)

• MacFarquhar, Roderick and Michael Schoenhals. Mao's Last Revolution. (2006). • MacFarquhar, Roderick. The Origins of the Cultural Revolution. Vol. 3: The Coming of the Cataclysm, 1961–1966. (1998). 733 pp. • Yan, Jiaqi and Gao, Gao. Turbulent Decade: A History of the Cultural Revolution. (1996). 736 pp.

1.7.13 Economy and environment • Chow, Gregory C. China's Economic Transformation (2nd ed. 2007) • Elvin, Mark. Retreat of the Elephants: An Environmental History of China. (2004). 564 pp. • Elvin, Mark and Liu, Ts'ui-jung, eds. Sediments of Time: Environment and Society in Chinese History. (1998). 820 pp. • Ji, Zhaojin. A History of Modern Shanghai Banking: The Rise and Decline of China's Finance Capitalism. (2003. 325) pp. • Naughton, Barry. The Chinese Economy: Transitions and Growth (2007)

• Shuyun, Sun. The Long March: The True History of Communist China's Founding Myth (2007)

• Rawski, Thomas G. and Lillian M. Li, eds. Chinese History in Economic Perspective, University of California Press, 1992 complete text online free

• Wang, Jing. High Culture Fever: Politics, Aesthetics, and Ideology in Deng's China (1996) complete text online free

• Sheehan, Jackie. Chinese Workers: A New History. Routledge, 1998. 269 pp.

• Wenqian, Gao. Zhou Enlai: The Last Perfect Revolutionary (2007)

• Stuart-Fox, Martin. A Short History of China and Southeast Asia: Tribute, Trade and Influence. (2003). 278 pp.




Women and gender

• Ebrey, Patricia. The Inner Quarters: Marriage and the Lives of Chinese Women in the Sung Period (1990) • Hershatter, Gail, and Wang Zheng. “Chinese History: A Useful Category of Gender Analysis,” American Historical Review, Dec 2008, Vol. 113 Issue 5, pp 1404–1421 • Hershatter, Gail. Women in China's Long Twentieth Century (2007), full text online • Hershatter, Gail, Emily Honig, Susan Mann, and Lisa Rofel, eds. Guide to Women's Studies in China (1998) • Ko, Dorothy. Teachers of Inner Chambers: Women and Culture in China, 1573–1722 (1994)

• Modernizing China from the Dean Peter Krogh Foreign Affairs Digital Archives • (Chinese) Manuscript and Graphics Database by Academia Sinica. • A universal guide for China studies • Oriental Style • Chinese Text Project, texts and translations of historical Chinese works. • History Forum Asian History Chinese Siege Warfare • Yin Yu Tang: A Chinese Home, an exploration of domestic Chinese architecture during the Qing dynasty.

• Mann, Susan. Precious Records: Women in China's Long Eighteenth Century (1997)

• Early Medieval China, an academic journal devoted to the period between the end of the Han and beginning of the Tang eras.

• Wang, Shuo. “The 'New Social History' in China: The Development of Women's History,”History Teacher, May 2006, Vol. 39 Issue 3, pp 315–323

• Cultural Revolution Propaganda Poster

1.8 Further reading • Classical Historiography For Chinese History • Abramson, Marc S. (2008). Ethnic Identity in Tang China. University of Pennsylvania Press, Philadelphia. ISBN 978-0-8122-4052-8.

• China Rediscovers its Own History, a 100-minute lecture on Chinese history given by Yu Ying-shih, Emeritus Professor of East Asian Studies and History at Princeton University. • Resources for Middle School students (grades 5–9). • A history of China by Wolfram Eberhard, [EBook #17695], ISO-8859-1 (7 February 2006). • China from the Inside, a 2006 PBS documentary.

• Ankerl, G. C. Coexisting Contemporary Civilizations: Arabo-Muslim, Bharati, Chinese, and Western. INU PRESS Geneva, 2000. ISBN 2-88155-004-5.

• Ancient Asian World

• Li, Xiaobing. China at War: An Encyclopedia (2012) in ebrary

• Li (2010). “Evidence that a West-East admixed population lived in the Tarim Basin as early as the early Bronze Age” (PDF). BMC Biology 8 (1). doi:10.1186/1741-7007-8-15. PMC 2838831. PMID 20163704.

• Wilkinson, Endymion, Chinese History: A New Manual, Harvard University, Asia Center (for the Harvard-Yenching Institute), 2013, 1128 (doublecolumn) p., ISBN 978-0-674-06715-8. Supersedes Wilkinson (2000). • Wilkinson, Endymion, Chinese history: a manual, (revised and enlarged. Harvard University, Asia Center (for the Harvard-Yenching Institute), 2000, 1181 p., ISBN 0-674-00247-4; ISBN 0-674-002490; for specialists.

1.9 External links • (Chinese) Chinese Database by Academia Sinica.

• History of China: Table of Contents by the Chaos Group at the University of Maryland.

Chapter 2

Xia dynasty For other dynasties with the same name, see Xia.

2.1.1 Origins and early development

The Xia dynasty (Chinese: 夏朝; pinyin: Xià Cháo; Wade–Giles: Hsia-Ch'ao; IPA: [ɕiâ tʂʰɑ̌ ʊ̯]; c. 2070 – c. 1600 BC) is the first dynasty in China to be described in ancient historical chronicles such as Bamboo Annals, Classic of History and Records of the Grand Historian. The dynasty was established by the legendary Yu the Great* [1] after Shun, the last of the Five Emperors, gave his throne to him. The Xia was later succeeded by the Shang dynasty (1600–1046 BC).

According to ancient Chinese texts, before the Xia dynasty was established, battles were frequent between the Xia tribe and Chi You's tribe. The Xia tribe slowly developed around the time of Zhuanxu, one of the legendary Five Emperors. The Records of the Grand Historian and the Classic of Rites say that Yu the Great is the grandson of Zhuanxu, but there are also other records, like Ban Gu, that say Yu is the fifth generation of Zhuanxu. Based on this, it is possible that the people of the Xia clan are descendants of Zhuanxu.

According to the traditional chronology based upon calculations by Liu Xin, the Xia ruled between 2205 and 1766 BC; according to the chronology based upon the Bamboo Annals, it ruled between 1989 and 1558 BC. The Xia–Shang–Zhou Chronology Project concluded that the Xia existed between 2070 and 1600 BC. The tradition of tracing Chinese political history from heroic early emperors to the Xia to succeeding dynasties comes from the idea of the Mandate of Heaven, in which only one legitimate dynasty can exist at any given time, and was promoted by the Confucian school in the Eastern Zhou period, later becoming the basic position of imperial historiography and ideology. Although the Xia is an important element in early Chinese history, reliable information on the history of China before 13th century BC can only come from archaeological evidence since China's first established written system on a durable medium, the oracle bone script, did not exist until then.* [2] Thus the concrete existence of the Xia is yet to be proven, despite efforts by Chinese archaeologists to link the Xia with Bronze Age Erlitou archaeological sites.* [3]

2.1 Traditional history The Xia dynasty was described in classic texts such as the Classic of History (Shujing), the Bamboo Annals, and the Records of the Grand Historian (Shiji) by Sima Qian. It has been documented that the tribe that founded the dynasty was the Huaxia, who were the ancestral people of the Han Chinese.* [4]* [5]

2.1.2 Gun's attempt to stop the flood See also: Great Flood (China) Gun, the father of Yu the Great, is the earliest recorded member of the Xia clan. When the Yellow River flooded, many tribes united together to control and stop the flooding. Gun was appointed by Yao to stop the flooding. He ordered the construction of large blockades to block the path of the water. The attempt of Gun to stop the flooding lasted for nine years, but it was a failure because the floods became stronger. After nine years, Yao had already given his throne to Shun. Gun was ordered to be executed by Shun at Yushan (Chinese: 羽山), a mountain located between modern Donghai County in Jiangsu Province and Linshu County in Shandong Province.

2.1.3 Yu the Great's attempt to stop the floods Yu was highly trusted by Shun, so Shun appointed him to finish his father’s work, which was to stop the flooding. Yu’s method was different from his father’s: he organized people from different tribes and ordered them to help him build canals in all the major rivers that were flooding and lead the water out to the sea. Yu was dedicated to his work. People praised his perseverance and were inspired, so much so that other tribes joined in the work. Legend says that in the 13 years it took him to successfully complete the work to stop the floods, he




never went back to his home village to stop and rest, even represent fire or the sun, birds and the east, the Xia reprethough he passed by his house three times. sent the west and water. The development of this mythical Xia, Allan argues, is a necessary act on the part of the Zhou dynasty, who justify their conquest of the Shang by 2.1.4 Establishment noting that the Shang had supplanted the Xia. Yu’s success in stopping the flooding increased agricultural production (since the floods were destructive). The Xia tribe’s power increased and Yu became the leader of the surrounding tribes. Soon afterwards Shun sent Yu to lead an army to suppress the Sanmiao tribe, which continuously abused the border tribes. After defeating them, he exiled them south to the Han River area. This victory strengthened the Xia tribe’s power even more. As Shun aged, he thought of a successor and relinquished the throne to Yu, whom he deemed worthy. Yu’s succession marks the start of the Xia dynasty. As Yu neared death he passed the throne to his son, Qi, instead of passing it to the most capable candidate, thus setting the precedent for dynastic rule or the Hereditary System. The Xia dynasty began a period of family or clan control. Jie, the last king, was said to be corrupt. He was overthrown by Tang, the first king of the Shang dynasty.


Qi state

2.3 Archaeological discoveries See also: Xia–Shang–Zhou Chronology Project Archaeologists have uncovered urban sites, bronze implements, and tombs that point to the possible existence of the Xia dynasty at locations cited in ancient Chinese historical texts. There exists a debate as to whether or not the Erlitou culture was the site of the Xia dynasty. Radiocarbon dating places the site at c. 2100 to 1800 BC, providing physical evidence of the existence of a state contemporaneous with and possibly equivalent to the Xia dynasty as described in Chinese historical works.* [9] In 1959, a site located in the city of Yanshi was excavated containing large palaces that some archaeologists have attributed to capital of the Xia dynasty. Through the 1960s and 1970s, archaeologists have uncovered urban sites, bronze implements, and tombs in the same locations cited in ancient Chinese historical texts regarding Xia;* [10] at a minimum, the Xia dynasty marked an evolutionary stage between the late neolithic cultures and the typical Chinese urban civilization of the Shang dynasty.* [10]

After the defeat of Xia by Shang, the imperial descendants scattered and were absorbed by the nearby clans,* [6] and some members of the royal family of the Xia Dynasty survived as the Qi (Henan) state until 445 In 2011, Chinese archaeologists uncovered the remains BC. The Qi state was well recorded in the Oracle script of an imperial sized palace—dated to about 1700 BC— as the one major supporter of the Xia dynasty.* [7] at Erlitou in Henan, further fueling the discussions about the existence of the dynasty.* [11]

2.2 Modern skepticism 2.4 Sovereigns of the Xia dynasty The Skeptical School of early Chinese history, started by Gu Jiegang in the 1920s, was the first group of scholars within China to seriously question the traditional story of its early history: “the later the time, the longer the legendary period of earlier history... early Chinese history is a tale told and retold for generations, during which new elements were added to the front end”.* [8] Yun Kuen Lee's criticism of nationalist sentiment in developing an explanation of Three Dynasties chronology focuses on the dichotomy of evidence provided by archaeological versus historical research, in particular the claim that the archaeological Erlitou Culture is also the historical Xia dynasty. “How to fuse the archaeological dates with historical dates is a challenge to all chronological studies of early civilization.”* [8] In The Shape of the Turtle: Myth, Art, and Cosmos in Early China, Sarah Allan noted that many aspects of the Xia are simply the opposite of traits held to be emblematic of the Shang dynasty. The implied dualism between the Shang and Xia, Allan argues, is that while the Shang

The following table lists the rulers of Xia according to Sima Qian's Shiji. Unlike Sima's list of Shang dynasty kings, which is closely matched by inscriptions on oracle bones from late in that period, records of Xia rulers have not yet been found in archeological excavations.

2.5 See also • Erlitou culture • List of Neolithic cultures of China • Nine Provinces

2.6 References




[1] Mungello, David E. The Great Encounter of China and the West, 1500–1800 Rowman & Littlefield; 3 ed (28 March 2009) ISBN 978-0-7425-5798-7 p. 97. [2] Bagley, Robert. “Shang Archaeology.”in The Cambridge History of Ancient China. Michael Loewe and Edward Shaughnessy, ed. Cambridge: Cambridge University Press, 1999. [3] Liu, L. & Xiu, H., “Rethinking Erlitou: legend, history and Chinese archaeology”, Antiquity, 81:314 (2007) pp. 886–901. [4] Cioffi-Revilla, Claudio; Lai, David (1995). “War and Politics in Ancient China, 2700 BC to 722 BC.” . The Journal of Conflict Resolution 39 (3): 471–472. doi:10.1177/0022002795039003004. [5] Lung, Rachel (2011), Interpreters in early imperial China, Amsterdam: John Benjamins Publishing Company, p. 5, ISBN 978-90-272-2444-6 [6] " 夏朝遗民流布情况概说". Retrieved 2014-08-16. [7] " 夏 代 是 杜 撰 的 吗 —— 与 陈 淳 先 生 商 榷 沈 长 云". 2013-06-21. Retrieved 2014-08-16. [8] Yun Kuen Lee, “Building the Chronology of Early Chinese History”. Asian Perspectives: the Journal of Archaeology for Asia and the Pacific, Vol. 41, 2002. [9] Fairbank, John K. China: A New History. Cambridge: Harvard University Press, 1992, page 35. [10] “China – the ancient dynasties”. Library of Congress Country Studies. [11] “China finds 3,600-year-old palace”. People's Daily Online. 13 December 2011.



• Deady, Kathleen W. and Dubois, Muriel L., Ancient China. Mankato, MN: Capstone Press, 2004. • Lee Yuan-Yuan and Shen, Sinyan. Chinese Musical Instruments (Chinese Music Monograph Series). 1999. Chinese Music Society of North America Press. ISBN 1-880464-03-9 • Allan, Sarah (1991), The Shape of the Turtle: Myth, Art, and Cosmos in Early China (S U N Y Series in Chinese Philosophy and Culture). State University of New York Press. ISBN 978-0-7914-0459-1 • Allan, Sarah,“Erlitou and the Formation of Chinese Civilization: Toward a New Paradigm”, The Journal of Asian Studies, 66:461–496 Cambridge University Press, 2007 • Mair, Victor H. (2013), with contributions by E. Bruce Brooks, “Was There a Xià Dynasty?", SinoPlatonic Papers 238.


2.7 Further reading • Allen, Herbert J. (translator) (1895). “Ssŭma Ch'ien's Historical Records, Chapter II – The Hsia Dynasty”. Journal of the Royal Asiatic Society 27 (1): 93–110. doi:10.1017/S0035869X00022784.

2.8 External links • History of China • Stunning Capital of Xia Dynasty Unearthed

Chapter 3

Shang dynasty The Shang dynasty (Chinese: 商朝; pinyin: Shāng cháo) or Yin dynasty (Chinese: 殷代; pinyin: Yīn dài), according to traditional historiography, ruled in the Yellow River valley in the second millennium BC, succeeding the Xia dynasty and followed by the Zhou dynasty. The classic account of the Shang comes from texts such as the Classic of History, Bamboo Annals and Records of the Grand Historian. According to the traditional chronology based upon calculations made approximately 2,000 years ago by Liu Xin, the Shang ruled from 1766 BC to 1122 BC, but according to the chronology based upon the “current text”of Bamboo Annals, they ruled from 1556 BC to 1046 BC. The Xia–Shang–Zhou Chronology Project dated them from c. 1600 BC to 1046 BC.

in other cases only the name of a king is given.* [3] A closely related, but slightly different, account is given by the Bamboo Annals. The Annals were interred in 296 BC, but the text has a complex history and the authenticity of the surviving versions is controversial.* [4]

vations during the 1920s and 1930s, and over four times as many have been found since. The inscriptions provide critical insight into many topics from the politics, economy, and religious practices to the art and medicine of this early stage of Chinese civilization.* [2]

Sima Qian relates that the dynasty itself was founded 13 generations later, when Xie's descendant Tang overthrew the impious and cruel final Xia ruler in the Battle of Mingtiao. The Records recount events from the reigns of Tang, Tai Jia, Tai Wu, Pan Geng, Wu Ding, Wu Yi and the depraved final king Di Xin, but the rest of the Shang rulers are merely mentioned by name. According to the Records, the Shang moved their capital five times, with the final move to Yin in the reign of Pan Geng inaugurating the golden age of the dynasty.* [7]

The name Yīn (殷) is used by Sima Qian for the dynasty, and in the Bamboo Annals for both the dynasty and its final capital. It has been a popular name for the Shang throughout history, and is often used specifically to describe the later half of the Shang dynasty. In Japan and Korea, the Shang are still referred to almost exclusively as the Yin (In) dynasty. However it seems to have been the Zhou name for the earlier dynasty. The word does not appear in the oracle bones, which refer to the state as Shāng, and the capital as Dàyì Shāng (大邑商“Great Archaeological work at the Ruins of Yin (near modern- settlement Shang”).* [5] day Anyang), which has been identified as the last Shang capital, uncovered eleven major Yin royal tombs and the foundations of palaces and ritual sites, containing 3.1.1 Course of the dynasty weapons of war and remains from both animal and human sacrifices. Tens of thousands of bronze, jade, stone, bone, Sima Qian's Annals of the Yin begins by describing the and ceramic artifacts have been obtained. The workman- predynastic founder of the Shang lineage, Xie (偰) — ship on the bronzes attests to a high level of civilization. also appearing as Qi (契) —as having been miraculously The Anyang site has yielded the earliest known body of conceived when Jiandi, a wife of Emperor Ku, swallowed Chinese writing, mostly divinations inscribed on oracle an egg dropped by a black bird. Xie is said to have helped bones – turtle shells, ox scapulae, or other bones. More Yu the Great to control the Great Flood and for his service * than 20,000 were discovered in the initial scientific exca- to have been granted a place called Shang as a fief. [6]

3.1 Traditional accounts Many events concerning the Shang dynasty are mentioned in various Chinese classics, including the Book of Documents, the Mencius and the Commentary of Zuo. Working from all the available documents, the Han dynasty historian Sima Qian assembled a sequential account of the Shang dynasty as part of his Records of the Grand Historian. His history describes some events in detail, while

Di Xin, the last Shang king, is said to have committed suicide after his army was defeated by Wu of Zhou. Legends say that his army and his equipped slaves betrayed him by joining the Zhou rebels in the decisive Battle of Muye. According to the Yizhoushu and Mencius the battle was very bloody. The classic, Ming-era novel Fengshen Yanyi retells the story of the war between Shang and Zhou as a




conflict where rival factions of gods supported different bore inscriptions.* [19] sides in the war. After the Shang were defeated, King Wu allowed Di Xin's 3.2.1 son Wu Geng to rule the Shang as a vassal kingdom. However, Zhou Wu sent three of his brothers and an army to ensure that Wu Geng would not rebel.* [8]* [9]* [10] After Zhou Wu's death, the Shang joined the Three Governors' Rebellion against the Duke of Zhou, but the rebellion collapsed after three years, leaving Zhou in control of Shang territory.


Yellow River valley


After Shang's collapse, Zhou's rulers forcibly relocated “Yin diehards”(殷 頑) and scattered them throughout Zhou territory.* [11] Some surviving members of the Shang royal family collectively changed their surname from the ancestral name Zi (子) to the name of their fallen dynasty, Yin. The family retained an aristocratic standing and often provided needed administrative services to the succeeding Zhou dynasty. The Shiji states that King Cheng of Zhou, with the support of his regent and uncle, the Duke of Zhou, enfeoffed Weiziqi (微子啟), a brother of Di Xin, as the Duke of Song, with its capital at Shangqiu. The Dukes of Song would maintain rites honoring the Shang kings until Song was conquered by Qi in 286 BC. Confucius was a descendant of the Shang Kings through the Dukes of Song.* [12]* [13]* [14] The Dukes of Yansheng are in turn the descendants of Confucius. The vassal state of Guzhu, located in what is now Tangshan, was formed by another remnant of the Shang, and was destroyed by Duke Huan of Qi.* [15]* [16]* [17] Many Shang clans that migrated northeast after the dynasty's collapse were integrated into Yan culture during the Western Zhou period. These clans maintained an elite status and continued practicing the sacrificial and burial traditions of the Shang.* [18] Both Korean and Chinese legends state that a disgruntled Shang prince named Jizi, who had refused to cede power to the Zhou, left China with a small army. According to these legends, he founded a state known as Gija Joseon in northwest Korea during the Gojoseon period of ancient Korean history. However, the historical accuracy of these legends is widely debated by scholars.

3.2 Early Bronze Age archaeology Main article: Shang archaeology Before the 20th century, the Zhou dynasty (1046–256 BC) was the earliest Chinese dynasty that could be verified from its own records. However during the Song dynasty (960–1279 AD), antiquarians collected bronze ritual vessels attributed to the Shang era, some of which

The site of Yin, the capital (1350–1046 BC) of the Shang dynasty, also called Yin dynasty

In 1899, it was found that Chinese pharmacists were selling "dragon bones" marked with curious and archaic characters.* [19] These were finally traced back in 1928 to a site (now called Yinxu) near Anyang, north of the Yellow River in modern Henan province, where the Academia Sinica undertook archeological excavation until the Japanese invasion in 1937.* [19] Archaeologists focused on the Yellow River valley in Henan as the most likely site of the states described in the traditional histories. After 1950, remnants of an earlier walled city were discovered near Zhengzhou.* [19] It has been determined that the earth walls at Zhengzhou, erected in the 15th century BC, would have been 20 metres (66 ft) wide at the base, rising to a height of 8 metres (26 ft), and formed a roughly rectangular wall 7 kilometres (4 mi) around the ancient city.* [20]* [21] The rammed earth construction of these walls was an inherited tradition, since much older fortifications of this type have been found at Chinese Neolithic sites of the Longshan culture (c. 3000–2000 BC).* [20] In 1959, the site of the Erlitou culture was found in Yanshi, south of the Yellow River near Luoyang.* [20] Radiocarbon dating suggests that the Erlitou culture flourished ca. 2100 BC to 1800 BC. They built large palaces, suggesting the existence of an organized state.* [22] The remains of a walled city of about 470 hectares (1,200 acres) were discovered in 1999 across the Huan River from the Yinxu site. The city, now known as Huanbei, was apparently occupied for less than a century and destroyed shortly before the construction of the Yinxu complex.* [23]* [24] Chinese historians living in later periods were accustomed to the notion of one dynasty succeeding another, and readily identified the Zhengzhou and Erlitou sites with the early Shang and Xia dynasty of traditional histories. The actual political situation in early China may



have been more complicated, with the Xia and Shang being political entities that existed concurrently, just as the early Zhou, who established the successor state of the Shang, are known to have existed at the same time as the Shang.* [18]


ered the first verifiable civilization in Chinese history.* [5] In contrast, the earliest layers of the Wucheng site, predating Anyang, have yielded pottery fragments containing short sequences of symbols, suggesting that they may be a form of writing quite different in form from oracle bone characters, but the sample is too small for decipherment.* [27]* [28]* [29]

Other sites 3.2.3 Genetic studies A study of mitochondrial DNA (inherited in the maternal line) from Yinxu graves showed similarity with modern northern Han Chinese, but significant differences from southern Han Chinese.* [30]

3.3 Late Shang at Anyang

Erlitou Zhengzhou Panlongcheng Anyang Sanxingdui Wucheng Major archaeological sites of the second millennium BC Oracle bones pit at Yin in north and central China The Erligang culture represented by the Zhengzhou site is found across a wide area of China, even as far northeast as the area of modern Beijing, where at least one burial in this region during this period contained both Erligangstyle bronzes and local-style gold jewelry.* [18] The discovery of a Chenggu-style ge dagger-axe at Xiaohenan demonstrates that even at this early stage of Chinese history, there were some ties between the distant areas of north China.* [18] The Panlongcheng site in the middle Yangtze valley was an important regional center of the Erligang culture.* [25]

The oldest extant direct records date from around 1200 BC at Anyang, covering the reigns of the last nine Shang kings. The Shang had a fully developed system of writing, preserved on bronze inscriptions and a small number of other writings on pottery, jade and other stones, horn, etc., but most prolifically on oracle bones.* [31] The complexity and sophistication of this writing system indicates an earlier period of development, but direct evidence of that development is still lacking. Other advances included the invention of many musical instruments and observations of Mars and various comets by Shang astronomers.* [32]

Accidental finds elsewhere in China have revealed advanced civilizations contemporaneous with but culturally unlike the settlement at Anyang, such as the walled city of Sanxingdui in Sichuan. Western scholars are hesitant to designate such settlements as belonging to the Shang dynasty.* [26] Also unlike the Shang, there is no known evidence that the Sanxingdui culture had a system of writing. The late Shang state at Anyang is thus generally consid-

Their civilization was based on agriculture and augmented by hunting and animal husbandry.* [33] In addition to war, the Shang also practiced human sacrifice.* [34] Cowry shells were also excavated at Anyang, suggesting trade with coast-dwellers, but there was very limited sea trade in ancient China since China was isolated from other large civilizations during the Shang period.* [35] Trade relations and diplomatic ties with other



formidable powers via the Silk Road and Chinese voyages to the Indian Ocean did not exist until the reign of Emperor Wu during the Han dynasty (206 BC–221 AD).* [36]* [37]


Court life

Bronzewares from the excavated tomb of Fu Hao

At the excavated royal palace of Yinxu, large stone pillar bases were found along with rammed earth foundations and platforms, which according to Fairbank, were “as hard as cement.”* [19] These foundations in turn originally supported 53 buildings of wooden post-and-beam construction.* [19] In close proximity to the main palatial complex, there were underground pits used for storage, servants' quarters, and housing quarters.* [19] Many Shang royal tombs had been tunneled into and ravaged by grave robbers in ancient times,* [38] but in the spring of 1976, the discovery of Tomb 5 at Yinxu revealed a tomb that was not only undisturbed, but one of the most richly furnished Shang tombs that archaeologists had yet come across.* [39] With over 200 bronze ritual vessels and 109 inscriptions of Lady Fu Hao's name, archaeologists realized they had stumbled across the tomb of the militant consort to King Wu Ding, as described in 170 to 180 Shang oracle bones.* [40] Along with bronze vessels, stoneware and pottery vessels, bronze weapons, jade figures and hair combs, and bone hairpins were found.* [41]* [42]* [43] Historian Robert L. Thorp states that the large assortment of weapons and ritual vessels in her tomb correlate with the oracle bone accounts of her military career and involvement in Wu Ding's ritual ancestral sacrifices.* [44] The capital was the center of court life. Over time, court rituals to appease spirits developed, and in addition to his secular duties, the king would serve as the head of the ancestor worship cult. Often, the king would even perform oracle bone divinations himself, especially near the end of the dynasty. Evidence from excavations of the royal tombs indicates that royalty were buried with articles of value, presumably for use in the afterlife. Perhaps

Bronze gū ritual wine vessel

for the same reason, hundreds of commoners, who may have been slaves, were buried alive with the royal corpse. A line of hereditary Shang kings ruled over much of northern China, and Shang troops fought frequent wars with neighboring settlements and nomadic herdsmen from the inner Asian steppes. The Shang king, in his oracular divinations, repeatedly shows concern about the fang groups, the barbarians living outside of the civilized tu regions, which made up the center of Shang territory. In particular, the tufang group of the Yanshan region were regularly mentioned as hostile to the Shang.* [18] Apart from their role as the head military commanders, Shang kings also asserted their social supremacy by acting as the high priests of society and leading the divination ceremonies.* [45] As the oracle bone texts reveal, the Shang kings were viewed as the best qualified members of society to offer sacrifices to their royal ancestors and to the high god Di, who in their beliefs was responsible for the rain, wind, and thunder.* [45]

3.3.2 Religion Shang religion consisted of a mixture of shamanism, divination and sacrifice. There were six main recipients of sacrifice: (1) Di, the High God, (2) nature powers like the sun and mountain powers, (3) former lords, deceased humans who had been added to the dynastic pantheon, (4) predynastic ancestors, (5) dynastic ancestors, and (6) dynastic ancestresses such as the concubines of a past em-



peror.* [46] The Shang rulers subscribed to the notion that these ancestors held power over them and performed rituals to ascertain their intentions.* [46] One of the most common rituals was divination, which often was performed to determine whether ancestors desired specific sacrifices or rituals. Divination involved cracking a turtle carapace or ox scapula to answer a question, and to then record the response to that question on the bone itself.* [47] It is unknown what criteria the diviners used to determine the response, but it is believed to be the sound or pattern of the cracks on the bone. The Shang also seem to have believed in an afterlife, as evidenced by the elaborate burial tombs built for deceased rulers. Often “carriages, utensils, sacrificial vessels, [and] weapons”would be included in the tomb.* [48] A king's burial involved the burial of up to several hundred humans and horses as well to accompany the king into the afterlife, in some cases even numbering four hundred.* [48] Finally, tombs included ornaments such as jade, which the Shang may have believed to protect against decay or confer immortality. The degree to which shamanism was a central aspect of Shang religion is a subject of debate.* [47]* [49] The Shang religion was highly bureaucratic and metic- The Shang dynasty Houmuwu Ding is the heaviest piece of bronze work found in China so far. ulously ordered. Oracle bones contained descriptions of the date, ritual, person, ancestor, and questions associated with the divination.* [47] Tombs displayed highly ordered arrangements of bones, with groups of skeletons laid out facing the same direction.


Bronze working

Main article: Chinese ritual bronzes Chinese bronze casting and pottery advanced during the Shang dynasty, with bronze typically being used for ritually significant, rather than primarily utilitarian, items. As far back as c. 1500 BC, the early Shang dynasty engaged in large-scale production of bronze-ware vessels and weapons.* [50] This production required a large labor force that could handle the mining, refining, and transportation of the necessary copper, tin, and lead ores. This in turn created a need for official managers that could oversee both hard-laborers and skilled artisans and craftsmen.* [50] The Shang royal court and aristocrats required a vast amount of different bronze vessels for various ceremonial purposes and events of religious divination.* [50] Ceremonial rules even decreed how many bronze containers of each type a nobleman or noblewoman of a certain rank could own. With the increased amount of bronze available, the army could also better equip itself with an assortment of bronze weaponry. Bronze was also used for the fittings of spoke-wheeled chariots, which appeared in China around 1200 BC.* [45]

A late Shang dynasty bronze ding vessel with taotie motif

3.3.4 Military Bronze weapons were an integral part of Shang society.* [51] Shang infantry were armed with a variety of stone and bronze weaponry, including máo spears, yuè pole-axes, gē pole-based dagger-axes, composite bows, and bronze or leather helmets.* [52]* [53] The chariot first appeared in China during the reign of Wu Ding. Oracle bone inscriptions suggest that the western enemies of the Shang used limited numbers of chariots in battle, but the Shang themselves used them only as mobile command vehicles and in royal hunts. It is little doubt that the chariot entered China through the Central Asia and the Northern Steppe, possibly indicating some form of

3.4. KINGS

31 of the current king, which follow a standard schedule that scholars have reconstructed. From this evidence, scholars have assembled the implied king list and genealogy, finding that it is in substantial agreement with the later accounts, especially for later kings.* [61] The Shang kings were referred to in the oracle bones by posthumous names. The last character of each name is one of the 10 celestial stems, which also denoted the day of the 10-day Shang week on which sacrifices would be offered to that ancestor within the ritual schedule. There were more kings than stems, so the names have distinguishing prefixes such as 大 Dà (greater), 中 Zhōng (middle), 小 Xiǎo (lesser), 卜 Bǔ (outer), 祖 Zǔ (ancestor) and a few more obscure names.* [62]

A bronze axe of the Shang dynasty

The kings, in the order of succession derived from the oracle bones, are here grouped by generation. Later reigns were assigned to oracle bone diviner groups by Dong Zuobin:* [63]

contact with the Indo-Europeans.* [54] Recent archaeoNotes logical finds have shown that the late Shang used horses, chariots, bows and practiced horse burials that are sim[1] The first king is known as Tang in the Historical Records. ilar to the steppe peoples to the west.* [55]* [56] Other The oracle bones also identify six pre-dynastic ancestors: possible cultural influences resulting from Indo-European 上甲 Shàng Jiǎ, 報乙 Bào Yǐ, 報丙 Bào Bǐng, 報丁 Bào contact may include fighting styles, head-and-hoof rituDīng, 示壬 Shì Rén and 示癸 Shì Guǐ. als, art motifs and myths.* [56] These influences have led one scholar, Christopher I. Beckwith, to speculate that [2] There is no firm evidence of oracle bone inscriptions before the reign of Wu Ding. Indo-Europeans“may even have been responsible for the foundation of the Shang Dynasty,”though he admits there [3] According to the Historical Records and the Mencius, Da is no direct evidence.<ref name="Beckwith43>Beckwith Ding (there called Tai Ding) died before he could ascend 2009, p. 43-48</ref> A crucial factor in the Zhou conto the throne. However in the oracle bones he receives quest of the Shang may have been their more effective rituals like any other king. use of chariots.* [57] Although the Shang depended upon the military skills of their nobility, Shang rulers could mobilize the masses of town-dwelling and rural commoners as conscript laborers and soldiers for both campaigns of defense and conquest.* [58] Aristocrats and other state rulers were obligated to furnish their local garrisons with all necessary equipment, armor, and armaments. The Shang king maintained a force of about a thousand troops at his capital and would personally lead this force into battle.* [59] A rudimentary military bureaucracy was also needed in order to muster forces ranging from three to five thousand troops for border campaigns to thirteen thousand troops for suppressing rebellions against Shang dynasty.

[4] According to the Historical Records, Bu Bing (there called Wai Bing) and 仲壬 Zhong Ren (not mentioned in the oracle bones) were younger brothers of Dai Ting and preceded Da Jia (also known as Dai Jia). However the Mencius, the Commentary of Zuo and the Book of History state that he reigned after Da Jia, as also implied by the oracle bones. [5] The Historical Records include a king Wo Ding not mentioned in the oracle bones. [6] The Historical Records have Xiao Jia as the son of Da Geng (known as Tai Geng) in the “Annals of Yin”, but as a younger brother (as implied by the oracle bones) in the “Genealogical Table of the Three Ages”.

[7] According to the Historical Records, Lü Ji (there called Yong Ji) reigned before Da Wu (there called Tai Wu).

3.4 Kings See also: List of Chinese monarchs § Shang dynasty

[8] The kings from Zhong Ding to Nan Geng are placed in the same order by the Historical Records and the oracle bones, but there are some differences in genealogy, as described in the articles on individual kings.

The earliest records are the oracle bones inscribed during the reigns of the Shang kings from Wu Ding.* [60] The oracle bones do not contain king lists, but they do record the sacrifices to previous kings and the ancestors

[9] The status of Qiang Jia varies over the history of the oracle bones. During the reigns of Wu Ding, Di Yi and Di Xin, he was not included in the main line of descent, a position also held by the Historical Records, but in the intervening reigns he was included as a direct ancestor.


[10] According to the Historical Records, Nan Geng was the son of Qiang Jia (there called Wo Jia). [11] The oracle bones and the Historical Records include an older brother 祖己 Zǔ Jǐ who did not reign. [12] Lin Xin is named as a king in the Historical Records and oracle bones of succeeding reigns, but not those of the last two kings.* [64]


3.7 References Citations [1] Turchin, Peter; Adams, Jonathan M; Hall, Thomas D (December 2006).“East-West Orientation of Historical Empires” (PDF). Journal of world-systems research 12 (2): 219–29. ISSN 1076-156X. Retrieved 12 August 2010.

[13] There are no ancestral sacrifices to the last two kings on the oracles bones, due to the fall of Shang. Their names, including the character 帝 Dì“emperor”, come from the much later Bamboo Annals and Historical Records.* [65]

[2] Keightley (2000).

[14] also referred to as Zhòu (紂), Zhòu Xīn (紂辛) or Zhòu Wáng (紂王) or by adding “Shāng”(商) in front of any of these names.

[5] Keightley (1999), p. 232.

3.5 Gallery • Late Shang artifacts • Jade ring in the shape of a dragon • Jade carved deer

[3] Keightley (1999), pp. 233–235. [4] Keightley (1978b).

[6] Keightley (1999), p. 233, with additional details from the Historical Records. [7] Keightley (1999), p. 233. [8] 邶、鄘二國考 (Bei, Yong two national test) [9] 周初" 三监" 与邶、鄘、卫地望研究 (Bei, Yong, Wei – looking at the research) [10] " 三监" 人物疆地及其地望辨析——兼论康叔的始封 地问题 (breaking ground on Kangshu problem)

• Jade carved fish

[11] 一被剥削者的存在类型 (Expoited by the presence of...)

• Jade carved tiger

[12] Xinzhong Yao (2000). An Introduction to Confucianism. Cambridge University Press. p. 23. ISBN 0521644305.

• Bronze gefuding guǐ vessel • Bronze yuefu you vessel • Bronze pou vessel with four ram heads • Bronze zūn ritual vessel

[13] Xinzhong Yao (1997). Confucianism and Christianity: A Comparative Study of Jen and Agape. Sussex Academic Press. p. 29. ISBN 1898723761. [14] Lee Dian Rainey (2010). Confucius & Confucianism: The Essentials. John Wiley & Sons. p. 66. ISBN 1405188413.

• Bronze guang ritual ewer

[15] 中国孤竹文化网 (Chinese Guzhu Cultural Network)

• Bronze pot with lid and handle

[16] 解 开 神 秘 古 国 —— 孤 竹 之 谜 (unlocking the ancient mystery of Guzhu)

• A late Shang, ritual bronze wine vessel (zun) in the unusual shape of an owl with a domed head for its lid

[17] 孤竹析辨 (Guzhu analysis identified) [18] Sun (2006).

• Bronze yuè axe

[19] Fairbank & Goldman (2006), p. 33.

• Shang/Zhou sculpture, 14–10th century BC

[20] Fairbank & Goldman (2006), p. 34.

• White pottery with a carved geometric pattern

3.6 See also • Chinese sovereign

[21] Needham, Volume 4, Part 2, 43. [22] Fairbank & Goldman (2006), pp. 34–35. [23] Harrington, Spencer P.M. (May–June 2000). “Shang City Uncovered”. Archaeology (Archaeological Institute of America) 53 (3).

• Chinese mythology

[24] Tang, Jigen; Jing, Zhichun; Liu, Zhongfu; Yue, Zhanwei (2004). “Survey and Test Excavation of the Huanbei Shang City in Anyang”. Chinese Archaeology 4: 1–20.

• Historical capitals of China

[25] Bagley (1999), pp. 168–171.



[26] Bagley (1999), pp. 124–125.

[56] Krech & Steinicke 2011, p. 100

[27] Wilkinson (2000), p. 382.

[57] Shaughnessy (1988).

[28] Wagner (1993), p. 20.

[58] Sawyer & Sawyer (1994), p. 33.

[29] Cheung (1983).

[59] Sawyer & Sawyer (1994), p. 34.

[30] Zeng, Wen; Li, Jiawei; Yue, Hongbin; Zhou, Hui; Zhu, Hong (2013). “Poster: Preliminary Research on Hereditary Features of Yinxu Population”. 82nd Annual Meeting of the American Association of Physical Anthropologists.

[60] Wilkinson (2000), p. 397.

[31] Qiu (2000), p. 60. [32] “A Short History of China”. [33] Beck, Roger B.; Linda Black, Larry S. Krieger, Phillip C. Naylor, Dahia Ibo Shabaka, (1999). World History: Patterns of Interaction. Evanston, IL: McDougal Littell. ISBN 0-395-87274-X. [34] Flad, Dr. Rowan (28 Feb 2010). “Shang Dynasty Human Sacrifice”. NGC Presents (National Geographic). Retrieved 3 Mar 2010. [35] Fairbank & Goldman (2006), p. 35. [36] Sun (1989), pp. 161–167. [37] Chen (2002), pp. 67–71. [38] Thorp (1981), p. 239. [39] Thorp (1981), p. 240. [40] Thorp (1981), pp. 240, 245. [41] Thorp (1981), pp. 242, 245. [42] Li (1980), pp. 393–394. [43] Lerner et al. (1985), p. 77. [44] Thorp (1981), p. 245. [45] Ebrey, Walthall & Palais (2006), p. 14. [46] Keightley (2004). [47] Chang (1994). [48] Smith (1961). [49] Keightley (1998). [50] Ebrey, Walthall & Palais (2006), p. 17. [51] Sawyer & Sawyer (1994). [52] Wang (1993). [53] Sawyer & Sawyer (1994), p. 35. [54] “China: History: The Shang Dynasty: The Chariot”. Encyclopædia Britannica Online. Retrieved 30 December 2014. [55] “The Steppe: Horsepowered warfare”. Encyclopædia Britannica Online. Retrieved 30 December 2014.

[61] Keightley (1999), p. 235. [62] Smith (2011), pp. 3–5. [63] Keightley (1999), pp. 234–235, 240–241. [64] Keightley (1978a), p. 187. [65] Keightley (1978a), pp. 187, 207, 209.

Works cited • Bagley, Robert (1999), “Shang archaeology”, in Loewe, Michael; Shaughnessy, Edward L., The Cambridge History of Ancient China, Cambridge: Cambridge University Press, pp. 124–231, ISBN 978-0-521-47030-8. • Beckwith, Christopher I. (16 March 2009). Empires of the Silk Road: A History of Central Eurasia from the Bronze Age to the Present. Princeton University Press. ISBN 14008-29941. Retrieved 30 December 2014. • Chang, Kwang-Chih (1994),“Shang Shamans”, in Peterson, Willard J., The Power of Culture: Studies in Chinese Cultural History, Hong Kong: Chinese University Press, pp. 10–36, ISBN 978-962-201596-8. • Chen, Yan (2002), Maritime Silk Route and ChineseForeign Cultural Exchanges, Beijing: Peking University Press, ISBN 978-7-301-03029-5. • Cheung, Kwong-yue (1983), “Recent archaeological evidence relating to the origin of Chinese characters”, in Keightley, David N.; Barnard, Noel, The Origins of Chinese Civilization, trans. Noel Barnard, University of California Press, pp. 323–391, ISBN 978-0-520-04229-2. • Ebrey, Patricia Buckley; Walthall, Anne; Palais, James B. (2006), East Asia: A Cultural, Social, and Political History, Boston: Houghton Mifflin, ISBN 978-0-618-13384-0. • Fairbank, John King; Goldman, Merle (2006), China: A New History (2nd ed.), Harvard University Press, ISBN 978-0-674-03665-9. • Keightley, David N. (1978a), Sources of Shang History: The Oracle-Bone Inscriptions of Bronze Age China, Berkeley: University of California Press, ISBN 0-520-02969-0; A 1985 paperback 2nd edition is still in print, ISBN 0-520-05455-5.

34 • ——(1978b), “The Bamboo Annals and ShangChou Chronology”, Harvard Journal of Asiatic Studies 38 (2): 423–438, JSTOR 2718906. • ——(1998), “Shamanism, Death, and the Ancestors: Religious Mediation in Neolithic and Shang China (ca. 5000–1000 B.C.)", Asiatische Studien 52 (3): 763–831, doi:10.5169/seals-147432. • ——(1999),“The Shang: China's first historical dynasty”, in Loewe, Michael; Shaughnessy, Edward L., The Cambridge History of Ancient China, Cambridge: Cambridge University Press, pp. 232–291, ISBN 978-0-521-47030-8. • ——(2000), The Ancestral Landscape: Time, Space, and Community in Late Shang China (ca. 1200– 1045 B.C.), China Research Monograph 53, Institute of East Asian Studies, University of California, Berkeley, ISBN 978-1-55729-070-0. • ——(2004), “The Making of the Ancestors: Late Shang Religion and Its Legacy”, in Lagerwey, John, Chinese Religion and Society: The Transformation of a Field, Hong Kong: Chinese University Press, pp. 3–63, ISBN 978-962-99612-3-7. • Krech, Volkhard; Steinicke, Marian (2011). Dynamics in the History of Religions between Asia and Europe: Encounters, Notions, and Comparative Perspectives. Brill. ISBN 9004225358. Retrieved 30 December 2014. • Lerner, Martin; Murck, Alfreda; Ford, Barbara B.; Hearn, Maxwell; Valenstein, Suzanne G. (1985), “Asian Art”, Recent Acquisitions (Metropolitan Museum of Art): 72–88, JSTOR 1513695. • Li, Chu-tsing (1980), “The Great Bronze Age of China”, Art Journal 40 (1/2): 390–395, JSTOR 776607. • Qiu, Xigui (2000), Chinese writing, trans. by Gilbert L. Mattos and Jerry Norman, Berkeley: Society for the Study of Early China and The Institute of East Asian Studies, University of California, ISBN 9781-55729-071-7. (English translation of Wénzìxué Gàiyào 文字學概要, Shangwu, 1988.) • Sawyer, Ralph D.; Sawyer, Mei-chün Lee (1994), Sun Tzu's The Art of War, New York: Barnes and Noble, ISBN 978-1-56619-297-2. • Shaughnessy, Edward L. (1988), “Historical Perspectives on The Introduction of The Chariot Into China”, Harvard Journal of Asiatic Studies 48 (1): 189–237, JSTOR 2719276. • Smith, Adam Daniel (2011), “The Chinese Sexagenary Cycle and the Ritual Origins of the Calendar”, in Steele, John M., Calendars and Years II: Astronomy and time in the ancient and medieval world,

CHAPTER 3. SHANG DYNASTY Oxbow Books, pp. 1–37, ISBN 978-1-84217-9871. • Smith, Howard (1961), “Chinese Religion in the Shang Dynasty”, International Review for the History of Religions 8 (2): 142–150, doi:10.1163/156852761x00090, JSTOR 3269424. • Sun, Guangqi (1989), 中国古代航海史 [History of Navigation in Ancient China], Beijing: Ocean Press, ISBN 978-7-5027-0532-9. • Sun, Yan (2006), “Colonizing China's Northern Frontier: Yan and Her Neighbors During the Early Western Zhou Period”, International Journal of Historical Archaeology 10 (2): 159–177, doi:10.1007/s10761-006-0005-3. • Thorp, Robert L. (1981), “The Date of Tomb 5 at Yinxu, Anyang: A Review Article”, Artibus Asiae 43 (3): 239–246, JSTOR 3249839. • Wagner, Donald B. (1993), Iron and Steel in Ancient China, BRILL, ISBN 978-90-04-09632-5. • Wang, Hongyuan 王宏源 (1993), 漢字字源入門 [The Origins of Chinese Characters], Beijing: Sinolingua, ISBN 978-7-80052-243-7. • Wilkinson, Endymion (2000), Chinese history: a manual (2nd ed.), Harvard Univ Asia Center, ISBN 978-0-674-00249-4.

3.8 Further reading • Allan, Sarah (1991), The Shape of the Turtle: Myth, Art, and Cosmos in Early China, SUNY Press, ISBN 978-0-7914-9449-3. • Allen, Herbert J. (translator) (1895), “Ssŭma Ch'ien's Historical Records, Chapter III – The Yin Dynasty”, Journal of the Royal Asiatic Society 27 (3): 601–615, doi:10.1017/S0035869X00145083. • Chang, Kwang-Chih (1980), Shang Civilization, Yale University Press, ISBN 0-300-02885-7. • Duan, Chang-Qun; Gan, Xue-Chun; Wang, Jeanny; Chien, Paul K. (1998), “Relocation of Civilization Centers in Ancient China: Environmental Factors” , Ambio 27 (7): 572–575, JSTOR 4314793. • Lee, Yuan-Yuan; Shen, Sin-yan (1999), Chinese Musical Instruments, Chinese Music Monograph Series, Chinese Music Society of North America Press, ISBN 1-880464-03-9. • Needham, Joseph (1971), Science and Civilization in China: Volume 4, Part 3, Cambridge University Press, ISBN 978-0-521-07060-7.

3.9. EXTERNAL LINKS • Shen, Sinyan (1987), “Acoustics of Ancient Chinese Bells”, Scientific American 256: 94, doi:10.1038/scientificamerican0487-104. • Timperley, Harold J. (1936), The Awakening of China in Archaeology; Further Discoveries in HoNan Province, Royal Tombs of the Shang Dynasty, Dated Traditionally from 1766 to 1122 B.C..

3.9 External links • Zhengzhou Shang City Site


Chapter 4

Zhou dynasty For other dynasties with the same name, see Zhou.

River valley of modern-day Qishan County.

The Zhou dynasty (c. 1046–256 BC; Chinese: 周朝; pinyin: Zhōu Cháo; Wade–Giles: Chou1 Ch'ao2 [tʂóʊ tʂʰɑ̌ ʊ]) was a Chinese dynasty that followed the Shang dynasty and preceded the Qin dynasty. Although the Zhou dynasty lasted longer than any other dynasty in Chinese history, the actual political and military control of China by the dynasty, surnamed Ji (Chinese: 姬), lasted only until 771 BC, a period known as the Western Zhou. This period of Chinese history produced what many consider the zenith of Chinese bronze-ware making. The dynasty also spans the period in which the written script evolved into its modern form with the use of an archaic clerical script that emerged during the late Warring States period.

4.1 History 4.1.1


The duke passed over his two elder sons Taibo and Zhongyong to favor Jili, a warrior who conquered several Rong tribes as a vassal of the Shang kings Wu Yi and Wen Ding before being treacherously killed. Taibo and Zhongyong had supposedly already fled to the Yangtze delta, where they established the state of Wu among the tribes there. Jili's son King Wen bribed his way out of imprisonment and moved the Zhou capital to Feng (within present-day Xi'an). Around 1046 BC, King Wen's son King Wu and his ally Jiang Ziya led an army of 45,000 men and 300 chariots across the Yellow River and defeated King Zhou of Shang at the Battle of Muye, marking the beginning of the Zhou dynasty.* [lower-alpha 2] The Zhou, however are a later wave of the same or a more or less closely related group to the Shang.* [lower-alpha 3]

4.1.2 Western Zhou Main article: Western Zhou King Wu maintained the old capital for ceremonial pur-

See also: Predynastic Zhou According to Chinese mythology, the Zhou lineage began when Jiang Yuan, a consort of the legendary Emperor Ku miraculously conceived Qi (lit. “the Abandoned One”) after stepping into a divine footprint.* [1]* [2] Qi was a culture hero credited with surviving three abandonments by his mother and with greatly improving Xia agriculture,* [1] to the point where he was granted lordship over Tai and the ancestral name Ji by his own Xia king and a later posthumous name (Houji,“Lord of Millet") by the States of the Western Zhou dynasty Shang king Tang. He even received sacrifice as a harvest god. poses but constructed a new one for his palace and adQi's son Buzhu abandoned his position at court and ei- ministration nearby at Hao. Although Wu's early death ther he or his son Ju abandoned agriculture entirely, liv- left a young and inexperienced heir, the Duke of Zhou ing a nomadic life in the manner of their Rong and Di assisted his nephew King Cheng in consolidating royal barbarian neighbors.* [3] Ju's son Duke Liu,* [4] however, power. He quelled rebellious Zhou princes, feudal rulers, led his people to prosperity by restoring agriculture and and Shang partisans;* [7]* [8] countered Zhou's crisis of settling them at a place called Bin,* [lower-alpha 1] which legitimacy by expounding the doctrine of the Mandate his descendants ruled for generations. Old Duke Danfu of Heaven while accommodating important Shang ritulater led the clan from Bin to Zhou, an area in the Wei als at Chengzhou;* [9] and set up the fengjian system to 36



maintain Zhou authority over its greatly expanded terri- against nepotism were used in favor of establishing the tory.* [7] imperial examination system. Over time, this decentralized system became strained as the familial relationships between the Zhou kings and the regional dynasties thinned over the generations. Periph- 4.2 eral territories developed local power and prestige on par with that of the Zhou.* [10] When King You demoted and exiled his Jiang queen in favor of the beautiful but com- 4.2.1 mon Bao Si, the disgraced queen's father the Marquis of Shen joined with Zeng and the Quanrong barbarians to sack Hao in 771 BC. Modern scholars have surmised that the sack of Haojing might have been connected to a Scythian raid from the Altai before their westward expansion.* [11] With King You dead, a conclave of nobles met at Shen and declared the Marquis's grandson King Ping. The capital was moved eastward to Chengzhou, marking the end of the “Western Zhou”(西周, p Xī Zhōu) and the beginning of the “Eastern Zhou”dynasty (東周, p Dōng Zhōu).


Culture and society Feudalism and the rise of Confucian bureaucracy

Eastern Zhou

The Eastern Zhou was characterized by an accelerating collapse of royal authority, although the king's ritual importance allowed over five more centuries of rule. The Confucian chronicle of the early years of this process led to its title of the "Spring and Autumn" period. The partition of Jin in the mid-5th century BC initiated a second phase, the “Warring States”.* [10] In 403 BC, the Zhou court recognized Han, Zhao, and Wei as fully independent states; in 344 BC, the first – Duke Hui of Wei – claimed the royal title of king for himself. A series of states rose to prominence before each falling in turn, but Zhou was a minor player in these conflicts.

A Western Zhou ceremonial bronze of cooking-vessel form inscribed to record that the King of Zhou gave a fiefdom to Shi You, ordering that he inherit the title as well as the land and people living there

Western writers often describe the Zhou period as "feudal" because the Zhou's fēngjiàn (封建) system invites comparison with medieval rule in Europe. The last Zhou king is traditionally taken to be Nan, who was killed when Qin captured the capital Chengzhou in There were many similarities between the decentralized 256 BC. A "King Hui" was declared, but his splinter state systems. When the dynasty was established, the conwas fully removed by 249 BC. Qin's unification of China quered land was divided into hereditary fiefs (諸 侯, concluded in 221 BC with Qin Shihuang's annexation of zhūhóu) that eventually became powerful in their own right. In matters of inheritance, the Zhou dynasty recogQi. * * The Eastern Zhou, however, is also remembered as nized only patrilineal primogeniture as legal. [13] [14] the golden age of Chinese philosophy: the Hundred According to Tao (1934: 17-31), “the Tsung-fa or deSchools of Thought which flourished as rival lords pa- scent line system has the following characteristics: papatriarchate, sibtronized itinerant shi scholars is led by the example of trilineal descent, patrilineal succession, * [15] exogamy, and primogeniture” Qi's Jixia Academy. The Nine Schools of Thought which came to dominate the others were Confucianism (as interpreted by Mencius and others), Legalism, Taoism, Mohism, the utopian communalist Agriculturalism, two strains of Diplomatists, the sophistic Logicians, Sun-tzu's Militarists, and the Naturalists.* [12] Although only the first three of these went on to receive imperial patronage in later dynasties, doctrines from each influenced the others and Chinese society in sometimes unusual ways. The Mohists, for instance, found little interest in their praise of meritocracy but much acceptance for their mastery of siege warfare; much later, however, their arguments

The system, also called“extensive stratified patrilineage” , was defined by the anthropologist Chang Kuang-chih as “characterized by the fact that the eldest son of each generation formed the main of line descent and political authority, whereas the younger brothers were moved out to establish new lineages of lesser authority. The farther removed, the lesser the political authority”. K.E. Brashier writes in his book “Ancestral Memory in Early China” about the tsung-fa system of patrilineal primogeniture: “The greater lineage, if it has survived, is the direct succession from father to eldest son and is not defined via the

38 collateral shifts of the lesser lineages. In discussions that demarcate between trunk and collateral lines, the former is called a zong and the latter a zu, whereas the whole lineage is dubbed the shi. [...] On one hand every son who is not the eldest and hence not heir to the lineage territory has the potential of becoming a progenitor and fostering a new trunk lineage (Ideally he would strike out to cultivate new lineage territory). [...] According to the Zou commentary, the son of heaven divided land among his feudal lords, his feudal lords divided land among their dependent families and so forth down the pecking order to the officers who had their dependent kin and the commoners who“each had his apportioned relations and all had their graded precedence""* [16] Ebrey defines the descent-line system as follows: “A great line (ta-tsung) is the line of eldest sons continuing indefinitely from a founding ancestor. A lesser line is the line of eldest sons going back no more than five generations. Great lines and lesser lines continually spin off new lesser lines, founded by younger sons”. This type of unilineal descent-group later became the model of the Korean family through the influence of NeoConfucianism, as Zhu Xi and others advocated its reestablishment in China.* [17] There were five peerage ranks below the royal ranks, in descending order with common English translations: gōng 公“duke”, hóu 侯“marquis”, bó 伯“count”, zǐ 子“viscount”, and nán 男“baron”.* [18] At times, a vigorous duke would take power from his nobles and centralize the state. Centralization became more necessary as the states began to war among themselves and decentralization encouraged more war. If a duke took power from his nobles, the state would have to be administered bureaucratically by appointed officials.

CHAPTER 4. ZHOU DYNASTY relieved to return to the more humane virtues of Confucius.

4.2.2 Military The early Western Zhou supported a strong army, split into two major units: “the Six Armies of the west”and “the Eight Armies of Chengzhou”. The armies campaigned in the northern Loess Plateau, modern Ningxia and the Yellow River floodplain. The military prowess of Zhou peaked during the 19th year of King Zhao's reign, when the six armies were wiped out along with King Zhao on a campaign around the Han River. Early Zhou kings were true commanders-in-chief. They were in constant wars with barbarians on behalf of the fiefs called guo, which at that time meant “statelet”or “principality” . King Zhao was famous for repeated campaigns in the Yangtze areas and died in his last action. Later kings' campaigns were less effective. King Li led 14 armies against barbarians in the south, but failed to achieve any victory. King Xuan fought the Quanrong nomads in vain. King You was killed by the Quanrong when Haojing was sacked. Although chariots had been introduced to China during the Shang dynasty from Central Asia, the Zhou period saw the first major use of chariots in battle.* [19]* [20] Recent archaeological finds demonstrate similarities between horse burials of the Shang and Zhou dynasties and Indo-European peoples in the west.* [21] Other possible cultural influences resulting from IndoEuropean contact in this period may include fighting styles, head-and-hoof tiruals, art motifs and myths.* [21]

Despite these similarities, there are a number of important differences from medieval Europe. One obvious dif- 4.2.3 Mandate of Heaven ference is that the Zhou ruled from walled cities rather than castles. Another was China's distinct class system, which lacked an organized clergy but saw the Shang Ziclan yeomen become masters of ritual and ceremony known as Shi (士). When a dukedom was centralized, these people would find employment as government officials or officers. These hereditary classes were similar to Western knights in status and breeding, but like Western clergy were expected to be something of a scholar instead of a warrior. Being appointed, they could move from one state to another. Some would travel from state to state peddling schemes of administrative or military reform. Those who could not find employment would often end up teaching young men who aspired to official status. The most famous of these was Confucius, who taught a system of mutual duty between superiors and inferiors. In contrast, the Legalists had no time for Confucian virtue and advocated a system of strict laws and harsh punishments. The wars of the Warring States were finally ended by the most legalist state of all, Qin. When the Qin dynasty fell and was replaced by the Han dynasty, many Chinese were A Western Zhou bronze gui vessel, c. 1000 BC

4.2. CULTURE AND SOCIETY In the Chinese historical tradition, the Zhou defeated the Shang and oriented the Shang system of ancestor worship towards a universalized worship, away from the worship of Shangdi and to that of Tian or“heaven”. They legitimized their rule by invoking the "Mandate of Heaven", the notion that the ruler (the "Son of Heaven") governed by divine right and that his dethronement would prove that he had lost the Mandate. Disasters and successful rebellions would thus show that the ruling family had lost this Mandate.

39 The system was canonized in the Book of Rites, Zhouli, and Yili compendiums of the Han dynasty (206 BC–220 AD), thus becoming the heart of the Chinese imperial ideology. While the system was initially a respected body of concrete regulations, the fragmentation of the Western Zhou period led the ritual to drift towards moralization and formalization in regard to: • The five orders of Chinese nobility.

• Ancestral temples (size, legitimate number of pavilThe doctrine explained and justified the demise of the Xia ions) and Shang dynasties and, at the same time, supported the legitimacy of present and future rulers. Before conquer• Ceremonial regulations (number of ritual vessels, ing Shang, Zhou was a state in Shaanxi. Gernet (1996:51) musical instruments, people in the dancing troupe) describes the Zhou state as a “city”which was in contact with the barbarian peoples of the western regions and more warlike than the Shang. The Zhou dynasty was 4.2.6 Agriculture founded by the Ji family and operated from four capitals throughout its history.* [22] Sharing the language and culture of the Shang, the early Zhou rulers, through conquest and colonization, established a large imperial territory wherein states as far as Shandong acknowledged Zhou rule and took part in elite culture. The spread of Zhou bronzes, though, was concurrent with the continued use of Shang-style pottery in the distant regions, and these states were the last to recede during the late Western war. The mandate of heaven was based on rules. The emperor was granted the right to rule by heaven.



During the Zhou dynasty, the origins of native Chinese philosophy developed, its initial stages beginning in the 6th century BC. The greatest Chinese philosophers, those who made the greatest impact on later generations of Chinese, were Confucius, founder of Confucianism, and Laozi, founder of Taoism. Other philosophers, theorists, and schools of thought in this era were Mozi, founder of Mohism; Mencius, a famous Confucian who expanded upon Confucius' legacy; Shang Yang and Han Fei, responsible for the development of ancient Chinese Legalism (the core philosophy of the Qin dynasty); and Xun Zi, who was arguably the center of ancient Chinese intellectual life during his time, even more so than iconic intellectual figures such as Mencius.* [23]



Main article: Li (Confucian) Established during the Western period, the Li traditional Chinese: 禮; simplified Chinese: 礼; pinyin: lǐ ) ritual system encoded an understanding of manners as an expression of the social hierarchy, ethics, and regulation concerning material life; the corresponding social practices became idealized within Confucian ideology.

Zhou vase with glass inlays, 4th-3rd century BC, British Museum.

Agriculture in the Zhou dynasty was very intensive and, in many cases, directed by the government. All farming lands were owned by nobles, who then gave their land to their serfs, a situation similar to European feudalism. For example, a piece of land was divided into nine squares in the well-field system, with the grain from the middle square taken by the government and that of surrounding squares kept by individual farmers. This way, the government was able to store surplus food and distribute it in times of famine or bad harvest. Some important manufacturing sectors during this period included bronze smelting, which was integral to making weapons and farming tools. Again, these industries were dominated by the nobility who directed the production of such materials. China's first projects of hydraulic engineering were initiated during the Zhou dynasty, ultimately as a means to aid agricultural irrigation. The chancellor of Wei, Sunshu Ao, who served King Zhuang of Chu, dammed a river to create an enormous irrigation reservoir in modern-day northern Anhui province. For this, Sunshu is credited as China's first hydraulic engineer. The later Wei statesman Ximen Bao, who served Marquis Wen of Wei (445-396



BC), was the first hydraulic engineer of China to have cre- 4.3 Kings ated a large irrigation canal system. As the main focus of his grandiose project, his canal work eventually diverted The rulers of the Zhou dynasty were titled Wang (王) like the waters of the entire Zhang River to a spot further up the Shang rulers before them. The position is normally the Yellow River. translated into English as “king”. In addition to these rulers, King Wu's immediate ancestors – Danfu, Jili, and Wen – are also referred to as “Kings of Zhou”, despite 4.2.7 Art gallery having been nominal vassals of the Shang kings. Western Zhou • Defang ritual bronze vessel • Dake bronze ritual vessel

NB: Dates in Chinese history before the first year of the Gonghe Regency in 841 BC are contentious and vary by source. Those below are those published by Xia–Shang– Zhou Chronology Project and Edward L. Shaughnessy's The Absolute Chronology of the Western Zhou Dynasty.

Nobles of the Ji family proclaimed Duke Hui of Eastern Zhou as King Nan's successor after their capital, • You bronze ritual vessel Chengzhou, fell to Qin forces in 256 BC. Ji Zhao, a son of King Nan, led a resistance against Qin for five years. The • Qizhong Hu bronze vessel dukedom fell in 249 BC. The remaining Ji family ruled • Bronze mirror holder c. 1000 BC (Hainan Provin- Yan and Wei until 209 BC. cial Museum)

4.4 Zhou in astronomy Spring and Autumn period • Dou vessel with a hunting scene • A bo bell of the Duke of Qin • Pu vessel with dragon designs

Zhou is represented by two stars, Eta Capricorni (周一 Zhōu yī , “the First Star of Zhou”) and 21 Capricorni (周二 Zhōu èr,“the Second Star of Zhou”), in“Twelve States” asterism.* [24] Zhou is also represented by the star Beta Serpentis in asterism “Right Wall”, Heavenly Market enclosure (see Chinese constellation).* [25]

• bronze ding vessel • bronze musical bell • bronze vessels (rightmost from Western Zhou) • A square bronze hu vessel • bronze bird-shaped wine server

4.5 See also • Family tree of the Zhou dynasty • Four occupations • Historical capitals of China • Tomb of Marquis Yi of Zeng

• Western Zhou dynasty musical bronze bell • Silk painting of a man railing a dragon, 6th century BC

Warring States period • bronze ritual food vessel (ding) with lacquer design, 5th-4th century BC • A jade bi with two dragons • embroidered silk gauze garment from a 4th-century BC tomb at Mashan, Hubei province • bronze and silver canteen

4.6 Notes [1] The exact location of Bin remains obscure, but it may have been close to Linfen on the Fen River in present-day Shanxi.* [5]* [6] [2] Sima Qian was only able to establish historical dates after the time of the Gonghe Regency. Earlier dates, like that of 1046 BC for the Battle of Muye, are given in this article according to the official PRC Xia–Shang–Zhou Chronology Project, but they remain contentious. Various historians have offered dates for the battle ranging between 1122 and 1027 BC. [3] Bodman (1980), p. 41: “Moreover, Shang dynasty Chinese at least in its syntax and lexicon seems not to differ basically from that of the Zhou dynasty whose language is


amply attested in inscriptions on bronze vessels and which was transmitted in the early classical literature.”

4.7 References [1] Shijing, Ode 245. [2]“Hou Ji”. Encyclopædia Britannica.


[18] encyclopedia, http://www. Alternatively, the sequence was translated as prince, lord, elder, master, chieftain: Brooks 1997:3 n.9. [19] Ebrey, Walthall & Palais (2006), p. 14. [20] Shaughnessy (1988). [21] Krech & Steinicke 2011, p. 100 [22] Khayutina (2003).

[3] Sima Qian. Records of the Grand Historian, Annals of Zhou, §3. [4] Wu (1982), p. 235. [5] Shaughnessy (1999), p. 303. [6] Wu (1982), p. 273. [7] Chinn (2007), p. 43. [8] Hucker (1978), p. 32. [9] Hucker (1978), p. 33. [10] Hucker (1978), p. 37. [11] “The Steppe: Scythian successes”. Encyclopædia Britannica Online. Retrieved 31 December 2014. [12] .Carr, Brian & al. Companion Encyclopaedia of Asian Philosophy, p. 466. Taylor & Francis, 2012. ISBN 041503535X, 9780415035354. [13] Brashier, K. E. (2011-01-01). Ancestral Memory in Early China. ISBN 9780674056077. [14] The ramage system in China and Polynesia Li Hwei 401104_0001.pdf [15] Tao, Hsi-Sheng. Marriage and Family, Shanghai. 1934 [16] Ancestral Memory in Early China Written By K. E. Brashier id=aJAMLt5NYAQC&pg=PA71&lpg=PA71& dq=%22The+White+tiger+hall+discussion+is+ here%22&source=bl&ots=_v909EbDMK&sig= eOK5lPHbTo7DSSNLqHstF1mHAEg&hl=es& sa=X&ei=i6E8UpziCIbR7AatzoDwBQ&ved= 0CDEQ6AEwAA#v=onepage&q=%22The%20White% 20tiger%20hall%20discussion%20is%20here%22&f= false [17] The Confucian Transformation of Korea: A Study of Society and Ideology Written By Martina Deuchler books?id=NQeeYOyUx64C&pg=PA129&lpg= PA129&dq=%22Neo-Confucian+sociopolitical+ theory%22&source=bl&ots=UJTD4wONr7& sig=FOkr8GRYphi2x2yhonC59CSLiik&hl=es& sa=X&ei=WMWKUvSxIs-N7Abg0oDIDA& ved=0CDEQ6AEwAA#v=onepage&q= %22Neo-Confucian%20sociopolitical%20theory% 22&f=false

[23] Schirokauer & Brown (2006), pp. 25–47. [24] (Chinese)“AEEA – Astronomy Education Network (天 文教育資訊網)" (in Chinese). July 4, 2006. Retrieved December 5, 2010. [25] (Chinese) “AEEA – Astronomy Education Network (天 文教育資訊網)" (in Chinese). June 24, 2006. Retrieved December 5, 2010.

Works cited • Beckwith, Christopher I. (16 March 2009). Empires of the Silk Road: A History of Central Eurasia from the Bronze Age to the Present. Princeton University Press. ISBN 1400829941. Retrieved 30 December 2014. • Kleeman, Terry F. (1998). Great Perfection: Religion and Ethnicity in a Chinese Millennial Kingdom. University of Hawaii Press. ISBN 0824818008. Retrieved 31 December 2014. • Bodman, Nicholas C. (1980), “Proto-Chinese and Sino-Tibetan: data towards establishing the nature of the relationship”, in van Coetsem, Frans; Waugh, Linda R., Contributions to historical linguistics: issues and materials, Leiden: E. J. Brill, pp. 34–199, ISBN 978-90-04-06130-9. • Chinn, Ann-ping (2007), The Authentic Confucius, Scribner, ISBN 0-7432-4618-7 • Ebrey, Patricia Buckley; Walthall, Anne; Palais, James B. (2006), East Asia: A Cultural, Social, and Political History, Boston: Houghton Mifflin Company, ISBN 0-618-13384-4 • Gernet, Jacques (1996), A History of Chinese Civilization (Second ed.), Cambridge University Press, ISBN 0-521-49781-7 • Hucker, Charles O. (1978), China to 1850: A short history, Stanford University Press, ISBN 0-80470958-0 • Krech, Volkhard; Steinicke, Marian (2011). Dynamics in the History of Religions between Asia and Europe: Encounters, Notions, and Comparative Perspectives. Brill. ISBN 9004225358. Retrieved 30 December 2014.

42 • Khayutina, Maria (2003), “Where Was the Western Zhou Capital?", The Warring States Working Group, WSWG-17, Leiden, Germany: Warring States Project, p. 14 • Schirokauer, Conrad; Brown, Miranda (2006), A Brief History of Chinese Civilization (Second ed.), Wadsworth: Thomson Learning, pp. 25–47 • Shaughnessy, Edward L. (1988), “Historical Perspectives on The Introduction of The Chariot Into China”, Harvard Journal of Asiatic Studies 48 (1): 189–237, doi:10.2307/2719276, JSTOR 2719276 • Shaughnessy, Edward L. (1999), “Western Zhou History”, in Loewe, Michael; Shaughnessy, Edward L., The Cambridge History of Ancient China, pp. 292–351, ISBN 978-0-521-47030-8 • Wu, K. C. (1982), The Chinese Heritage, New York: Crown Publishers, ISBN 0-517-54475-X

4.8 Further reading • Feng, Li (2006), Landscape and Power in Early China: The Crisis and Fall of the Western Zhou 1045–771 BC, Cambridge University Press, ISBN 978-0-521-85272-2. • Fong, Wen (ed.) (1980). The great bronze age of China: an exhibition from the People's Republic of China. New York: The Metropolitan Museum of Art. ISBN 0870992260. • Lee, Yuan-Yuan; Shen, Sinyan (1999), Chinese Musical Instruments, Chinese Music Monograph Series, Chinese Music Society of North America Press, ISBN 978-1-880464-03-8. • Shen, Sinyan (1987), “Acoustics of Ancient Chinese Bells”, Scientific American 256 (4): 94, doi:10.1038/scientificamerican0487-104. • Sun, Yan (2006), “Cultural and Political Control in North China: Style and Use of the Bronzes of Yan at Liulihe during the Early Western Zhou”, in Mair, Victor H., Contact and Exchange in the Ancient World, Honolulu: University of Hawai'i Press, pp. 215–237, ISBN 978-0-8248-2884-4. • Wagner, Donald B. (1999), “The Earliest Use of Iron in China”, in Young, S. M. M.; Pollard, A. M.; Budd, P. et al., Metals in Antiquity, Oxford: Archaeopress, pp. 1–9, ISBN 978-1-84171-008-2.

4.9 External links • Chinese Text Project, Rulers of the Zhou period – with links to their occurrences in pre-Qin and Han texts.


Chapter 5

Spring and Autumn period This article is about a period in Chinese history. For the century BC, most small states had disappeared and only seasons, see spring and autumn respectively. a few large and powerful principalities dominated China. Some southern states, such as Chu and Wu, claimed inThe Spring and Autumn period (simplified Chinese: dependence from the Zhou, who undertook wars against some of them (Wu and Yue). 春 秋时 代; traditional Chinese: 春 秋時 代; pinyin: Chūnqiū Shídài) was a period in Chinese history from ap- Amid the interstate power struggles, internal conflict was proximately 771 to 476 BC (or by some authorities until also rife: six elite landholding families waged war on each 403 BC* [lower-alpha 1]).* [2] which corresponds roughly other in Jin; the Chen family was eliminating political ento the first half of the Eastern Zhou dynasty. The period's emies in Qi; and legitimacy of the rulers was often chalname is derived from the Spring and Autumn Annals, a lenged in civil wars by various royal family members in chronicle of the state of Lu between 722 and 479 BC, Qin and Chu. Once all these powerful rulers had firmly which tradition associates with Confucius. The period established themselves within their respective dominions, can also be further divided into three sub-periods:* [3]* [4] the bloodshed focused more fully on interstate conflict in the Warring States period, which began in 403 BC when • Age of regional cultures (Early): 771–643 BC, up the three remaining elite families in Jin – Zhao, Wei and Han – partitioned the state. to the death of Duke Huan of Qi. • Age of encroachments (Middle): 643–546 BC, up to the peace conference between the states of Jin and Chu. • Age of reforms (Late): 546–403 BC, up to the partition of Jin. During the Spring and Autumn period, China's feudal system of fēngjiàn became largely irrelevant. The Zhou dynasty kings held nominal power, but had real control over only a small royal demesne centered on their capital Luoyi* [lower-alpha 2] near modern-day Luoyang. During the early part of the Zhou dynasty period, royal relatives and generals had been given control over fiefdoms in an effort to maintain Zhou authority over vast territory.* [5] As the power of the Zhou kings waned, these fiefdoms became increasingly independent states. The most important feudal princes (known later as the twelve vassals) met during regular conferences where important matters, such as military expeditions against foreign groups or offending nobles, were decided. During these conferences, one vassal leader was sometimes declared hegemon (Chinese: 伯; pinyin: bó; later, Chinese: 霸; pinyin: bà) and given leadership over the armies of all Zhou states.

5.1 Beginning of the Eastern Zhou dynasty After the Zhou capital was sacked by the Marquess of Shen and the Quanrong barbarians, the Zhou moved the capital east from the now desolated Zongzhou in Haojing near modern Xi'an to Chengzhou in the Yellow River Valley. The Zhou royalty was then closer to its main supporters,* [6] particularly Jin, and Zheng;* [7]* [8] the Zhou royal family had much weaker authority and relied on lords from these vassal states for protection, especially during their flight to the eastern capital. In Chengzhou, Prince Yijiu was crowned by his supporters as King Ping.* [8] However, with the Zhou domain greatly reduced to Chengzhou and nearby areas, the court could no longer support the six army groups it had in the past; Zhou kings had to request help from powerful vassal states for protection from raids and for resolution of internal power struggles. The Zhou court would never regain its original authority; instead, it was relegated to being merely a figurehead of the feudal states. Though the king de jure retained the Mandate of Heaven, the title held little actual power.

As the era unfolded, larger and more powerful states an- With the decline of Zhou power, the Yellow River nexed or claimed suzerainty over smaller ones. By the 6th drainage basin was divided into hundreds of small, au43



tonomous states, most of them consisting of a single city, though a handful of multi-city states, particularly those on the periphery, had power and opportunity to expand outward.* [9] A total of 148 states are mentioned in the chronicles for this period, 128 of which were absorbed by the four largest states by the end of the period.* [10]

tions alternated between low-level warfare and complex diplomacy.* [17] Ancient sources such as the Zuo Zhuan and the eponymous Chunqiu record the various diplomatic activities, such as court visits paid by one ruler to another (Chinese: 朝; pinyin: cháo), meetings of officials or nobles of different states (simplified Chinese: 会; traditional Chinese: 會; pinyin: huì), missions of friendly inquiries sent by the ruler of one state to another (Chinese: 聘; pinyin: pìn), emissaries sent from one state to another (Chinese: 使; pinyin: shǐ ), and hunting parties attended by representatives of different states (Chinese: 狩; pinyin: shou).

While the Zheng rulers initially supported the Zhou royalty, relations soured enough that Duke Zhuang of Zheng (757–701 BC) raided Zhou territory in 707 BC, defeating King Huan's army in battle and injuring the king himself;* [10]* [11] the display of Zheng's martial strength was effective until succession problems after Zhuang's death weakened the state.* [7] Because of Chu's non-Zhou origin, the state was considered semi-barbarian and its rulers – beginning with King Wu in 704 BC – proclaimed themselves kings in their 5.2 Interstate relations own right. Chu intrusion into Zhou territory was checked several times by the other states, particularly in the major battles of Chengpu (632 BC), Bi (595 BC) and Yanling Chinese plain in the late Spring and Autumn period (5th century BC) (575 BC), which restored the states of Chen and Cai. Steppes Yellow river


Ji (Beijing)



Qin i river We





Huai river

r ve




v i ri





Lopez Hugo, CC-by-sa

Yellow Sea

Song Chen

n Ya




Qufu Cao Chengpu Shangqiu Zheng

Chengzhou Shangcai n ri

i river

riv er


Kaifeng Yi Chiqiu (Zhengzhou)


Sichuan Basin



Ye llo w


Korean Penisula

Bohai Sea

Southern hills

East China Sea Legend

(Shanghai) Gusu Qin State (Hangzou) Imperial capital Guiji

State's capital Ancient or (modern) city

Physical item Yellow Rivers

Late Spring and Autumn period, 5th century BC, before the breakup of Jin and the Qin move into Sichuan. The Wei on this map is Wey, not the other Wei that arose from the Partition of Jin

Main article: Interstate relations during the Spring and Autumn period Shortly after the royal family's move to Chengzhou, a hierarchical alliance system arose where the Zhou king would give the title of hegemon to the leader of the state with the most powerful military; the hegemon was obligated to protect both the weaker Zhou states and the Zhou royalty from the intruding non-Zhou peoples:* [12]* [13] the Northern Di, the Southern Man, the Eastern Yi, and the Western Rong. This political framework retained the fēngjiàn power structure, though interstate and intrastate conflict often led to disregard for feudal customs, respect for the Ji family, and solidarity with other Zhou peoples.* [14] The king's prestige legitimized the military leaders of the states, and helped mobilize collective defense of Zhou territory against “barbarians.”* [15] Over the next two centuries, the four most powerful states —Qin, Jin, Qi and Chu —struggled for power. These multi-city states often used the pretext of aid and protection to intervene and gain suzerainty over the smaller states. During this rapid expansion,* [16] interstate rela-

The first hegemon was Duke Huan of Qi (r. 685–643 BC). With the help of his minister, Guan Zhong, Duke Huan reformed Qi to centralize its power structure. The state consisted of 15 "townships" with the duke and two senior ministers each in charge of five; military functions were also united with civil ones. These and related reforms provided the state, already powerful from control of trade crossroads, with a greater ability to mobilize resources than the more loosely organized states.* [18] By 667 BC, Qi had clearly shown its economic and military predominance, and Duke Huan assembled the leaders of Lu, Song, Chen, and Zheng, who elected him as their leader. Soon after, King Hui of Zhou conferred the title of bà (hegemon), giving Duke Huan royal authority in military ventures.* [19]* [20] An important basis for justifying Qi's dominance over the other states was presented in the slogan 'supporting the king, and expelling the barbarians' (尊王攘夷 zun wang rang yi); the role of subsequent hegemons would also be framed in this way, as the primary defender and supporter of nominal Zhou authority and the existing order. Using this authority, Duke Huan intervened in a power struggle in Lu; protected Yan from encroaching Western Rong nomads (664 BC); drove off Northern Di nomads after they'd invaded Wey (660 BC) and Xing (659 BC), providing the people with provisions and protective garrison units; and led an alliance of eight states to conquer Cai and thereby block the northward expansion of Chu (656 BC).* [21] At his death in 643 BC, five of Duke Huan's sons contended for the throne, badly weakening the state so that it was no longer regarded as the hegemon. For nearly ten years, no ruler held the title.* [22] However, when Duke Wen of Jin (r. 636–628 BC) came to power, he capitalized on the reforms of his father, Duke Xian (r. 676– 651 BC), who had centralized the state, killed off relatives who might threaten his authority, conquered sixteen smaller states, and even absorbed some Rong and



Urbanization during the Spring and Autumn period. Chinese pu vessel with interlaced dragon design, Spring and Autumn period.

Di peoples to make Jin much more powerful than it had been previously.* [23] When he assisted King Xiang in a succession struggle in 635 BC, Xiang awarded Jin with blurred an already vague distinction between Zhou and strategically valuable territory near Chengzhou. non-Zhou.* [26] In addition, new aristocratic houses were Duke Wen of Jin then used his growing power to coordi- founded with loyalties to powerful states, rather than dinate a military response with Qi, Qin, and Song against rectly to the Zhou kings, though this process slowed down Chu, which had begun encroaching northward after the by the end of the seventh century BC, possibly because death of Duke Huán of Qi. With a decisive Chu loss at territory* available for expansion had been largely exthe Battle of Chengpu (632 BC), Duke Wen's loyalty to hausted.* [26] The Zhou kings had also lost much of their the Zhou king was rewarded at an interstate conference prestige [27] so that, when Duke Dao of Jin (r. 572–558 BC) was recognized as bà, it carried much less meaning when King Xīang awarded him the title of bà.* [22] than it had before.

5.3 Changing tempo of war

At the same time, internal conflicts between state leaders and local aristocrats occurred throughout the region. Eventually the dukes of Lu, Jin, Zheng, Wey and Qi became figureheads to powerful aristocratic families.* [27]

After the death of Duke Wen in 628 BC, a growing tension manifested in interstate violence that turned smaller states, particularly those at the border between Jin and Chu, into sites of constant warfare; Qi and Qin also en- 5.4 Rise of Wu and Yue gaged in numerous interstate skirmishes with Jin or its allies to boost their own power.* [24] While the conflict between Jin and Chu for the Central After a period of increasingly exhausting warfare, Qi, Plains gradually eased, two states in southeastern China Qin, Jin and Chu met at a disarmament conference in with initially tenuous links to the Zhou realm – Wu in 579 BC and agreed to declare a truce to limit their mili- modern-day Jiangsu and Yue in modern-day Zhejiang – tary strength.* [25] This peace didn't last very long and it grew in power as they gained relevance in interstate afsoon became apparent that the bà role had become out- fairs.* [15]* [28] Starting around 583 BC, Jin used aid to dated; the four major states had each acquired their own solidify an alliance with Wu, which then acted as a counspheres of control and the notion of protecting Zhou ter- terweight to Chu so that, while Jin and Chu agreed to ritory had become less cogent as the control over (and a truce in 546 BC to address wars over smaller states, the resulting cultural assimilation of) non-Zhou peoples, Wu maintained constant military pressure on Chu and as well as Chu's control of some Zhou areas, further even launched a devastating full-scale invasion in 506



BC.* [28] After King Helü of Wu died during an invasion of Yue in 496 BC, his son, King Fuchai of Wu nearly destroyed the Yue state, imprisoning King Goujian of Yue. Subsequently, Fuchai defeated Qi and extended Wu influence into central China. In 482 BC, King Fuchai held an interstate conference to solidify his power base, but Yue captured the Wu capital. Fuchai rushed back but was besieged and died when the city fell in 473 BC. Yue then concentrated on weaker neighbouring states, rather than the great powers to the north.* [29]

5.5 Partition of Jin

A large bronze tripod vessel from the Spring and Autumn period, now located at the Henan Museum

Main article: Partition of Jin • Duke Xiang of Song After the great age of Jin power, the Jin dukes began to lose authority over their nobles. A full-scale civil war An alternative list replaces the final two with: between 497 and 453 BC ended with the elimination of most noble lines; the remaining aristocratic families • King Fuchai of Wu divided Jin into three successor states: Han, Wei, and * Zhao. [29] • King Goujian of Yue With the absorption of most of the smaller states in the era, this partitioning left seven major states in the Zhou Bureaucrats or Officers world: the three fragments of Jin, the three remaining great powers of Qin, Chu and Qi, and the weaker state • Guan Zhong, advisor of Duke Huan of Qi of Yan near modern Beijing. The partition of Jin, along with the Usurpation of Qi by Tian, marks the beginning • Baili Xi, prime minister of Qin. of the Warring States period. • Bo Pi, bureaucrat under King Helü who played an important diplomatic role in Wu-Yue relations.

5.6 List of states This list is incomplete; you can help by expanding it.

• Wen Zhong and Fan Li, the two advisors of King Goujian of Yue in his war against Wu • Zi Chan, leader of self-strengthening movements in Zheng

A total of 148 states are mentioned in the chronicles for Influential scholars this period.* [10] • Confucius or Kongzi, leading figure in Confucianism

5.7 Important figures

• Lao-tse or Laozi, teacher of Daoism • Mo-tse, Mozi, or Micius, founder of Mohism

The Five Hegemons (春秋五霸):

• Sun Tzu or Sunzi, author of The Art of War Traditional history lists five hegemons during the Spring and Autumn period:* [30] Other people • Duke Huan of Qi

• Lu Ban

• Duke Wen of Jin

• Yao Li, sent by King Helü to kill Qing Ji

• King Zhuang of Chu

• Zhuan Zhu, sent by Helü to kill his cousin King Liao

• Duke Mu of Qin

• Bo Ya


5.8 Notes [1] The Partition of Jin, the watershed between the Spring and Autumn and Warring States periods took several decades, thus there is some debate between scholars as to the exact date. 481 BC, 475 BC, and 468 BC aree other common dates selected by historians* [1]. [2] Chinese: 洛邑.

5.9 References [1] Kiser & Cai 2003. [2] Hsu 1990, p. 547. [3] Pines 2002, p. 2. [4] Blakeley 1977, p. 212.


5.9.1 Bibliography • Blakeley, Barry B (1977), “Functional disparities in the socio-political traditions of Spring and Autumn China: Part I: Lu and Ch'i”, Journal of the Economic and Social History of the Orient 20 (2): 208–43, doi:10.2307/3631778 • Chinn, Ann-ping (2007), The Authentic Confucius, Scribner, ISBN 0-7432-4618-7 • Higham, Charles (2004), Encyclopedia of Ancient Asian Civilizations, Infobase • Hsu, Cho-yun (1990), “The Spring and Autumn Period”, in Loewe, Michael; Shaughnessy, Edward L, The Cambridge history of ancient China: from the origins of civilization to 221 BC, Cambridge University Press, pp. 545–86

[5] Chinn 2007, p. 43. [6] Hsu (1990:546) [7] Higham (2004:412) [8] Shaughnessy (1990:350) [9] Lewis (2000:359, 363) [10] Hsu (1999:567) [11] Pines (2002:3)

• Hui, Victoria Tin-bor (2004), “Toward a dynamic theory of international politics: Insights from comparing ancient China and early modern Europe”, International Organization 58 (1): 175–205, doi:10.1017/s0020818304581067 • Kiser, Edgar; Cai, Young (2003), “War and bureaucratization in Qin China: Exploring an anomalous case”, American Sociological Review 68 (4): 511–39, doi:10.2307/1519737

[12] Lewis 2000, p. 365. [13] Hsu 1990, pp. 549–50. [14] Hsu 1999, pp. 568, 570. [15] Lewis 2000, p. 366. [16] Hsu 1990, p. 567. [17] Lewis 2000, p. 367. [18] Hsu 1999, pp. 553–54.

• Lewis, Mark Edward (2000), “The City-State in Spring-and-Autumn China”, in Hansen, Mogens Herman, A Comparative Study of Thirty City-State Cultures: An Investigation 21, Copenhagen: The Royal Danish Society of Arts and Letters, pp. 359– 74 • Pines, Yuri (2002), Foundations of Confucian Thought: Intellectual Life in the Chunqiu Period (722–453 BCE), University of Hawaii Press

[19] Hsu 1999, p. 555. [20] Lewis 2000, pp. 366, 369. [21] Hsu 1999, pp. 555–56. [22] Hsu 1990, p. 560. [23] Hsu 1990, p. 559. [24] Hsu 1990, pp. 560–61. [25] Hsu 1999, p. 561.

• Shaughnessy, Edward L (1990), “Western Zhou History”, in Loewe, Michael; Shaughnessy, Edward L, The Cambridge history of ancient China: from the origins of civilization to 221 BC, Cambridge University Press, pp. 292–351 • Ye, L (2007), China: five thousand years of history and civilization, Hong Kong: University of Hong Kong Press

[26] Hsu 1999, p. 562. [27] Pines 2002, p. 4. [28] Hsu 1999, pp. 562–63. [29] Hui 2004, p. 186. [30] Ye (2007:34–35)

Further reading • Ebrey, Patricia Buckley (1999). The Cambridge Illustrated History of China. Cambridge: Cambridge University Press. ISBN 0-521-66991-X (paperback).


5.10 External links • “Rulers of the states of Zhou”, Dynasty, C text — linked to their occurrences in classical Chinese texts. • Media related to Art of the Spring and Autumn Period at Wikimedia Commons


Chapter 6

Warring States period “Warring States”redirects here. For the states which existed during the Chinese Warring States period, see Seven Warring States. For the unrelated Warring Kingdoms period in Japanese history, see Sengoku period. For other uses, see Warring States (disambiguation). The Warring States period (simplified Chinese: 战国

6.1 Geography

Seven Warring States late in the period Qin has expanded southwest, Chu north and Zhao northwest

The political geography of the era was dominated by the Seven Warring States, namely: • Qin: The State of Qin was in the far west, with its core in the Wei River Valley and Guanzhong. This geographical position offered protection from the states of the Central Plains and it also limited its initial influence.

Animated map of the Warring States period* [1]

时代; traditional Chinese: 戰國時代; pinyin: Zhànguó Shídài) is a period in ancient China following the Spring and Autumn period and concluding with the victory of the state of Qin in 221 BC, creating a unified China under the Qin dynasty. Different scholars use dates for the beginning of the period ranging between 481 BC and 403 BC, but Sima Qian's date of 475 BC is most often cited. Most of this period coincides with the second half of the Eastern Zhou dynasty, although the Chinese sovereign (king of Zhou) was merely a figurehead. The name of the period was derived from the Record of the Warring States, a work compiled early in the Han dynasty. 49

• The Three Jins: Northeast of Qin, on the Shanxi plateau, were the three successor states of Jin. These were: Han, south, along the Yellow River, controlling the eastern approaches to Qin. Wei, middle. Zhao, the northernmost of the three. • Qi: located in the east of China, centred on the Shandong Peninsula, described as east of Mount Tai but whose territory extended far beyond.


CHAPTER 6. WARRING STATES PERIOD cident or starting point for the Warring States era. The political situation of the period was a culmination of historical trends of conquest and annexation which also characterised the Spring and Autumn period; as a result there is some controversy as to the beginning of the era. Some proposed starting points are as follows: • 481 BC: Proposed by Song-era historian Lü Zuqian, since it is the end of the Spring and Autumn Annals. • 476 BC-475 BC: The author, Sima Qian, of Records of the Grand Historian who chose the inaugural year of King Yuan of Zhou. • 453 BC: The Partition of Jin saw the dissolution/destruction of that key state of the earlier period and creating three of the seven warring states: Han, Zhao, and Wei. • 441 BC: The inaugural year of Zhou Kings starting with King Ai of Zhou.

Warring States about 350 BC

• Chu: located in the south of China, with its core territory around the valleys of the Han River and, later, the Yangtze River.

• 403 BC: The year when Han, Zhao and Wei were officially recognised as states by the Zhou court. Author Sima Guang of Zizhi Tongjian tells us that the symbol of eroded Zhou authority should be taken as the start of the Warring States era.

• Yan: located in the northeast, centred on modernday Beijing. Late in the period Yan pushed northeast 6.2.2 and began to occupy the Liaodong Peninsula

Background and formation

Chinese plain in the late Spring and Autumn period (5th century BC)


Besides these seven major states, some minor states also survived into the period.

Yellow river


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Qin i river We





Huai river

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Chu Ya







Lopez Hugo, CC-by-sa

Yellow Sea

Song Chen

i nz




Qufu Cao Chengpu Shangqiu Zheng

Chengzhou Shangcai n ri

i river



Kaifeng Yi Chiqiu (Zhengzhou)


• Sichuan: In the far southwest were the States of Ba and Shu. These were non-Zhou states that were conquered by Qin late in the period.

Sichuan Basin


riv er


Ye llo w

• Yue: On the southeast coast near Shanghai was the State of Yue, which was highly active in the late Spring and Autumn era but was eventually annexed by Chu.

Korean Penisula

Bohai Sea

Southern hills

East China Sea Legend

(Shanghai) Gusu Qin State (Hangzou) Imperial capital Guiji

State's capital Ancient or (modern) city

Physical item Yellow Rivers

• In the Central Plains comprising much of modernday Henan Province, many smaller city states sur- Start of the Warring States period, 5th century BC, before the vived as satellites of the larger states, though they breakup of Jin and the Qin invasion of Sichuan. The Wei on this map is Wey, not the other Wei that arose from the Partition of would eventually be absorbed as well. Jin.

• Zhongshan: Between the states of Zhao and Yan was the state of Zhongshan which was eventually an- The system of feudal states created by the Western Zhou dynasty underwent enormous changes after 771 BC with nexed by Zhao in 296 BC. the flight of the Zhou court to modern-day Luoyang and the diminution of its relevance and power. The Spring and Autumn period led to a few states gaining power at 6.2 History the expense of many others, the latter no longer able to depend on central authority for legitimacy or protection. Further to the decentralization of China, there exists in 6.2.1 Periodisation Chinese tradition, the“Heaven’s Mandate”(tianming) The Spring and Autumn period was initiated by the east- and is associated to a traditional and religious belief. It ward flight of the Zhou court. There is no one single in- refers to the Heaven’s as the arbiter of the just heir. This



would basically justify the political overthrow of one ruler by another, being that the victorious was chosen by the Heaven’s in order to become ruler. During the Warring States Period, many rulers claimed the Mandate of Heaven in order to have legitimacy as a ruler over other states and spread their influence.* [2]

Wei which attacked Zhao on the western side. Being in danger, Zhao called in Chu. As usual, Chu used this as a pretext to annex territory to its north, but the diversion allowed Zhao to occupy a part of Wei. This conflict marked the end of the power of the united Jins and the beginning a period of shifting alliances and wars on several fronts.

The struggle for hegemony eventually created a state system dominated by several large states, such as Jin, Chu, Qin and Qi, while the smaller states of the Central Plains tended to be their satellites and tributaries. Other major states also existed, such as Wu and Yue in the southeast. The last decades of the Spring and Autumn era were marked by increased stability, as the result of peace negotiations between Jin and Chu which established their respective spheres of influence. This situation would end with the partition of Jin, whereby the state was divided between the houses of Han, Zhao and Wei, and thus enabling the creation of the seven major warring states.

In 370 BC, Marquess Wu of Wei died without naming a successor, which led to a war of succession. After three years of civil war, Zhao from the north and Han from the south invaded Wei. On the verge of conquering Wei, the leaders of Zhao and Han fell into disagreement about what to do with Wei, and both armies abruptly retreated. As a result, King Hui of Wei (still a Marquess at the time) was able to ascend the throne of Wei.


Partition of Jin

Main article: Partition of Jin

By the end of the period Zhao extended from the Shanxi plateau across the plain to the borders of Qi. Wei reached east to Qi, Lu and Song. To the south, the weaker state of Han held the east-west part of the Yellow River valley, surrounded the Zhou royal domain at Luoyang and held an area north of Luoyang called Shangdang.

6.2.5 Wei defeated by Qin

The rulers of Jin had steadily lost political powers since the middle of the 6th century BC to their nominally subordinate nobles and military commanders, a situation arising from the traditions of the Jin which forbade the enfeoffment of relatives of the ducal house. This allowed other clans to gain fiefs and military authority, and decades of internecine struggle led to the establishment of four major families, the Han, Zhao, Wei and Zhi. The Battle of Jinyang (453 BC) saw the allied Han, Zhao and Wei destroy the Zhi family and their lands were distributed among them. With this, they became the de facto rulers of most of Jin's territory, though this situation would not be officially recognised until half a century later, by King Weilie of Zhou.


Three Jins

A jade-carved dragon garment ornament from the Warring States period

The Jin division created a political vacuum that enabled during the first 50 years expansion of Chu and Yue northward and Qi southward. Qin increased its control of the local tribes and began its expansion southwest to Sichuan.

King Hui of Wei (370-319 BC) set about restoring the state. In 362-359 BC he exchanged territories with Han and Zhao in order to make the boundaries of the three states more rational. In 344 BC he assumed the title of From before 405 until 383 the three Jins were united king. under the leadership of Wei and expanded in all direc- In 364 BC Wei was defeated by Qin at the Battle of Shitions. The most important figure was Marquess Wen of men and was only saved by the intervention of Zhao. Qin Wei (445-396). In 408-406 he conquered the State of won another victory in 362 BC. In 361 BC the capital was Zhongshan to the northeast on the other side of Zhao. At moved east to Daliang to be out of the reach of Qin. the same time he pushed west across the Yellow River to In 354 BC, King Hui of Wei started a large-scale attack on the Luo River taking the area of Xihe (literally 'west of Zhao. By 353 BC, Zhao was losing badly and its capital, the [Yellow] river'). Handan, was under siege. The State of Qi intervened. The growing power of Wei caused Zhao to back away The famous Qi strategist, Sun Bin the great-great-greatfrom the alliance. In 383 it moved its capital to Handan grandson of Sun Tzu (author of the Art of War), proposed and attacked the small state of Wey. Wey appealed to to attack the Wei capital while the Wei army was tied up



besieging Zhao. The strategy was a success; the Wei army hastily moved south to protect its capital, was caught on the road and decisively defeated at the Battle of Guiling. The battle is remembered in the second of the Thirty-Six Stratagems,“besiege Wei, save Zhao”meaning to attack a vulnerable spot to relieve pressure at another point.

298 BC: Zhao offered Qin an alliance and Lord Mengchang was driven out of Qin. The remaining three allies, Qi, Wei and Han, attacked Qin, driving up the Yellow River below Shanxi to the Hangu Pass. After 3 years of fighting they took the pass and forced Qin to return territory to Han and Wei. They next inflicted maIn 341 BC, Wei attacked Han. Qi allowed Han to be jor defeats on Yan and Chu. During the 5-year adminnearly defeated and then intervened. The generals from istration of Lord Menchang, Qi was the major power in China. the Battle of Guiling met again (Sun Bin and Tian Ji versus Pang Juan), by using the same tactic, attacking Wei's 294 BC: Lord Mengchang was implicated in a coup d'etat capital. Sun Bin feigned a retreat and then turned on the and fled to Wei. His alliance system collapsed. Qi and overconfident Wei troops and decisively defeated them at Qin made a truce and pursued their own interests. Qi the Battle of Maling. moved south against the State of Song whilst the Qin GenIn the following year Qin attacked the weakened Wei. eral Bai Qi pushed back eastward against a Han/Wei alWei was devastatingly defeated and ceded a large part of liance, gaining victory at the Battle of Yique. In 288 BC its territory in return for truce. With Wei severely weak- the two rulers took the title of “Di”, (帝 literally emened, Qi and Qin became the dominant states in China. peror), of the east and west respectively. They swore a covenant and started planning an attack on Zhao.



This period corresponds to the reign of King Min of Qi and the schemes of Lord Mengchang of Qi and Su Qin.

287 BC: The diplomat Su Qin, possibly an agent of Yan, persuaded King Min that the Zhao war would only benefit Qin. King Min agreed and formed a 'vertical' alliance with the other states against Qin. Qin backed off, abandoned the presumptuous title of“Di”, and restored territory to Wei and Zhao. In 286 Qi annexed the state of Song. 285 BC: The success of Qi frightened the other states (some say that this was part of Su Qin's plan). Under the leadership of Lord Mengchang, who was exiled in Wei, Qin, Zhao, Wei and Yan formed an alliance. Yan had normally been a relatively weak ally of Qi and Qi feared little from this quarter. Yan's onslaught under general Yue Yi came as a devastating surprise. Simultaneously, the other allies attacked from the west. Chu declared itself an ally of Qi but contented itself with annexing some territory to its north. Qi's armies were destroyed while the territory of Qi was reduced to the two cities of Ju and Jimo. King Min himself was later captured and executed by his own followers. After 284 BC Tian Dan was able to restore much of the state's territory, but it never regained the influence it had under King Min.

6.2.7 Zhao Tomb Guardian held at Birmingham Museum of Art

300 BC: Lord Mengchang of Qi, grandson of the former King Wei of Qi came to power when King Min acceded to the throne. He made a westward alliance with the States of Wei and Han. In the far west, Qin, which had been weakened by a succession struggle in 307, yielded to the new coalition and appointed Lord Mengchang its chief minister. This “horizontal”or east-west alliance might have secured peace except that it excluded the State of Zhao.

After Chu was defeated in 278, the remaining great powers were Qin in the west and Zhao in the north-center. There was little room for diplomatic maneuver and matters were decided by war in 265-260. Zhao had been much strengthened by King Wuling of Zhao (325-299). In 307 he enlarged his cavalry by copying the northern nomads. In 306 he took more land in the northern Shanxi plateau. In 305 he defeated the northeastern border state of Zhongshan. In 304 he pushed far to the northwest and occupied the east-west section of the Yellow River in the north of the Ordos Loop. King Huiwen of Zhao (298266) chose able servants and expanded against the weak-



ened Qi and Wei. In 296 his general Lian Po defeated 334:Chu rose to its peak in 334 BC, when it conquered two Qin armies. Yue to its east on the Pacific coast. The series of events In 265 King Zhaoxiang of Qin made the first move by leading up to this began when Yue prepared to attack Qi attacking the weak state of Han which held the Yellow to its north. The King of Qi sent an emissary who perRiver gateway into Qin. He moved northeast across Wei suaded the King of Yue to attack Chu instead. Yue inititerritory to cut off the Han exclave of Shangdang north ated a large-scale attack at Chu but was defeated by Chu's of Luoyang and south of Zhao. The Han king agreed to counter-attack. Chu then proceeded to conquer Yue. surrender Shangdang, but the local governor refused and presented it to King Xiaocheng of Zhao. Zhao sent out Lian Po who based his armies at Changping and Qin sent out general Wang He. Lian Po was too wise to risk a decisive battle with the Qin army and remained inside his fortifications. Qin could not break through and the armies were locked in stalemate for three years. The Zhao king decided that Lian Po was not aggressive enough and sent out Zhao Kuo who promised a decisive battle. At the same time Qin secretly replaced Wang He with the notoriously violent Bai Qi. When Zhao Kuo left his fortifications, Bai Qi used a Cannae maneuver, falling back in the center and surrounding the Zhao army from the sides. After being surrounded for 46 days, the starving Zhao troops surrendered (September 260 BC). It is said that Bai Qi had all the prisoners killed and that Zhao lost 400,000 men. Qin was too exhausted to follow up its victory. Some time later it sent an army to besiege the Zhao capital but the army was destroyed when it was attacked from the rear. Zhao survived, but there was no longer a state that could resist Qin on its own. The other states could have survived if they remained united against Qin, but they did not.


278: General Bai Qi of Qin attacked from Qin's new (from 316) territory in Sichuan to the west of Chu. The capital of Ying was captured and Chu's western lands on the Han River were lost. The effect of 334 and 278 was to shift Chu significantly to the east.

6.2.9 Royal titles The title of “king”(wang, 王) was held by figurehead rulers of the Zhou dynasty, while the rulers of most states held the title of“duke”(gong, 公) or“marquess”(hou, 侯). A major exception was Chu, whose rulers were called kings since King Wu of Chu started using the title c. 703 BC. In 344 BC King Hui of Wei changed his title from Marquess to King. In 334 BC his victorious enemy, King Wei of Qi adopted the same title. In 325 the rulers of Qin and Han declared themselves kings, followed by those of Zhao, Yan, and Zhongshan in 323 BC. In 318 BC, the ruler of Song, a relatively minor state, declared himself king. The ruler of Zhao held out until around 299 BC, and was the last to take the royal title. In 288-287 the kings of Qin and Qi briefly called themselves“emperor” (di), before reverting to “king”.

Chu expansion

6.2.10 Main article: Chu (state) The general policy of Chu was to slowly annex the small

A Warring States bronze ding vessel with gold and silver inlay

Horizontal and vertical alliances

An iron sword and two bronze swords dated to the Warring States period

states to its north. By late in the period it had a common Towards the end of the Warring States period, the Qin border with Qi and Wei. state became disproportionately powerful compared to 389: Early in the Warring States period, Chu was one of the other six states. As a result, the policies of the six the strongest states in China. The state rose to a new level states became overwhelmingly oriented towards dealing of power around 389 BC when King Dao of Chu (楚悼 with the Qin threat, with two opposing schools of thought. 王) named the famous reformer Wu Qi as his chancellor. One school advocated a 'vertical' or north-south alliance



called hezong (合縱/合纵) in which the states would ally 356 and then played a very active role in the final 180 with each other to repel Qin. The other advocated a 'hor- years (300-221 BC). izontal' or east-west alliance called lianheng (連橫/连横) in which a state would ally with Qin to participate in its • Circa 408 Wei pushed Qin back to the Luo River ascendancy. occupying the Xihe area west of the Yellow River. There were some initial successes in hezong, though mu• 364: Qin defeated Wèi and Han at the battle of Shitual suspicions between allied states led to the breakdown men. Wei was saved by the intervention of Zhao. of such alliances. Qin repeatedly exploited the horizontal alliance strategy to defeat the states one by one. Dur• 356-338: Shang Yang made centralizing and authoring this period, many philosophers and tacticians travitarian reforms. elled around the states, recommending that the rulers put • 340: Qin took land from Wèi after it had been detheir respective ideas into use. These “lobbyists,”such feated by Qi. as Su Qin (who advocated vertical alliances) and Zhang Yi (who advocated horizontal alliances), were famous for • 316: Qin conquered Shu and Ba in Sichuan to the their tact and intellect, and were collectively known as southwest. Development of this area took a long the School of Diplomacy, whose Chinese name (縱橫家, time but slowly added greatly to Qin's wealth and literally 'the school of the vertical and horizontal') was power. derived from the two opposing ideas. • 325: The Duke of Qin took the title of king.


Qin ascendency

• 312: Qin defeated an attack from Chu. • 307: Qin was weakened by a disputed succession. • 301: For the intervention of Qi see “period of Qi” above. • 269: General Lian Po of Zhao decisively defeated two Qin armies. • After 269: Fan Sui became chief advisor. He advocated authoritarian reforms, irrevocable expansion and an alliance with distant states to attack nearby states (the twenty-third of the Thirty-Six Stratagems). His maxim “attack not only the territory, but also the people”enunciated a policy of mass slaughter that became increasingly frequent.

A jade-carved huang with two dragon heads, Warring States, Shanghai Museum

After the Zhou were driven out of the Wei River valley in 771 BC the house of Qin was given the task of restoring Zhou rule in the valley. This they did by slowly absorbing the local Rong tribes. The valley was bounded on the south by high mountains and on the north by dry country. Its great advantage was its location in the far west“within the passes” which tended to keep Qin out of needless wars with the other states. Little information exists with regard to the early history of Qin during the Spring and Autumn period. Most of its interactions were with its powerful eastern neighbor, Jin. In 632 Duke Mu of Qin (660-621) helped Jin win the Battle of Chengpu against Chu. In 579 Qin, Jin, Chu and Qi held a peace conference and agreed to limit the size of their armies.

• 278: Qin's notoriously bloody general Bai Qi captured the Chu capital and pushed the Qin frontier east of Sichuan. • 265: Qin started a war with Han, probably to open up the Yellow River corridor south of Shanxi. • 260: Zhao aided Han but its power was broken by Bai Qi at the Battle of Changping. Qin was now the strongest state in China.

6.2.12 Qin wars of unification Main article: Qin's wars of unification

In 230 BC, the Qin state conquered the Han state under the leadership of the ruler Zheng.* [3] Han, the weakest of the Seven Warring States, was adjacent to the much During the early Warring States period Qin generally stronger Qin, and had suffered continuous assaults by Qin avoided conflicts with the other states. It began to be- in earlier years of the Warring States period. This went on come aggressive after the Shang Yang reforms of about until Emperor Qin Shi Huang sent general Wang Jian to

6.3. MILITARY THEORY AND PRACTICE attack Zhao. King An of Han, frightened by the thought that Han would be the next target of the Qin state, immediately sent diplomats to surrender the entire kingdom without a fight, saving the Han populace from the terrible potential consequences of an unsuccessful resistance. In 225 BC, Qin conquered Wei. The Qin army led a direct invasion into Wei by besieging its capital Daliang but soon realized that the city walls were too tough to break into. They devised a new strategy in which they utilized the power of a local river that was linked to the Yellow River. The river was used to flood the city's walls, causing massive devastation to the city. Upon realizing the situation, King Jia of Wei hurriedly came out of the city and surrendered its city to the Qin army in order to avoid further bloodshed of his people. In 223 BC, Qin invaded the relatively strong Chu state. However, the first invasion was an utter disaster when 200,000 Qin troops, led by the inexperienced general, Li Xin, were defeated by 500,000 Chu troops in the unfamiliar territory of Huaiyang, modern-day northern Jiangsu and Anhui provinces. Xiang Yan, the Chu commander, had lured Qin by allowing a few initial victories, but then counterattacked and burnt two large Qin camps. The following year, Wang Jian was recalled to lead a second invasion with 600,000 men. High in morale after their victory in the previous year, the Chu forces were content to sit back and defend against what they expected to be a siege of Chu. However, Wang Jian decided to weaken Chu's resolve and tricked the Chu army by appearing to be idle in his fortifications whilst secretly training his troops to fight in Chu territory. After a year, the Chu defenders decided to disband due to apparent lack of action from the Qin. Wang Jian invaded at that point, with full force, and overran Huaiyang and the remaining Chu forces. Chu lost the initiative and could only sustain local guerrilla-style resistance until it too was fully conquered with the destruction of Shouchun and the death of its last leader, Lord Changping of Chu, in 223 BC. At their peak, the combined armies of Chu and Qin are estimated to have ranged from hundreds of thousands to a million soldiers, more than those involved in the campaign of Changping between Qin and Zhao 35 years earlier.* [4]

55 ruler Zheng declared himself Qin Shi Huangdi,“The first Sovereign Emperor of Qin”.* [3] In the rule of the Qin state, the union was based solely on military power. The feudal holdings were abolished, and noble families were forced to live in the capital of China, Xianyang in order to be supervised. A national road as well as greater use of canals was used in order for deployment and supply of the army can be done at ease and with speed. The peasants were given a wider range of rights in regards of land, although were subject of taxation creating a large amount of revenue to the state.* [3]

6.3 Military theory and practice 6.3.1 Increasing scale of warfare The chariot remained a major factor in Chinese warfare long after it went out of fashion in the Middle East. Near the beginning of the Warring States period there is a shift from chariots to massed infantry, possibly associated with the invention of the crossbow. This had two major effects. First it led the dukes to weaken their chariot-riding nobility so they could get direct access to the peasantry who could be drafted as infantry. This change was associated with the shift from aristocratic to bureaucratic government. Second, it led to a massive increase in the scale of warfare. When the Zhou overthrew the Shang at the Battle of Muye they used 45,000 troops and 300 chariots. For the Warring States period the following figures for the military strengths of various states are reported: • Qin: 1,000,000 infantry, 1,000 chariots, 10,000 horses; • Chu: same numbers; • Wei: 200-360,000 infantry, 200,000 spearmen, 100,000 servants, 600 chariots, 5,000 cavalry; • Han: 300,000 total; • Qi: several hundred thousand;

In 222 BC, Qin conquered Yan and Zhao. After the con- For major battles, the following figures are reported: quest of Zhao, the Qin army then turned its attention towards Yan. Realizing the danger and gravity of this sit• Battle of Maling: 100,000 killed; uation, Crown Prince Dan of Yan had sent the assassin • Battle of Yique: 240,000 killed; Jing Ke to kill the Qin king, but this failure only helped to fuel the rage and determination of the Qin king, and he • General Bai Qi is said to have been responsible for increased the number of troops to conquer the Yan state. 890,000 enemy deaths over his career. In 221 BC, Qin conquered Qi. Qi was the final unconquered warring state. It had not previously conMany scholars think these numbers are exaggerated tributed or helped other states when Qin was conquer(records are inadequate, they are much larger than those ing them. As soon as Qin's intention to invade it became from similar societies, soldiers were paid by the number clear, Qi swiftly surrendered all its cities, completing the of enemies they killed and the Han dynasty had an inunification of China and ushering in the Qin dynasty. The terest in exaggerating the bloodiness of the age before



China was unified). Regardless of exaggeration, it seems clear that warfare had become excessive during this period. The bloodshed and misery of the Warring States period goes a long way in explaining China's traditional preference for a united throne.* [5]


Infantrymen deployed a variety of weapons, but the most popular was the dagger-axe. The dagger-axe came in various lengths, from 9 to 18 feet; the weapon consisted of a thrusting spear with a slashing blade appended to it. Dagger-axes were an extremely popular weapon in various kingdoms, especially for the Qin who produced 18foot-long pikes.

Military developments 6.3.3 Military thought The Warring States was a great period for military strategy; of the Seven Military Classics of China, four were written during this period: • The Art of War, attributed to Sun Tzu, a highly influential study of strategy and tactics.* [8] • Wuzi, attributed to Wu Qi, a statesman and commander who served the states of Wei and then Chu. • Wei Liaozi, of uncertain authorship.

A bronze soldier's helmet from the Yan state

The Warring States period saw the introduction of many innovations to the art of warfare in China, such as the use of iron and of cavalry. Warfare in the Warring States period evolved considerably from the Spring and Autumn period, as most armies made use of infantry and cavalry in battles, and the use of chariots became less widespread. The use of massed infantry made warfare bloodier and reduced the importance of the aristocracy which in turn made the kings more despotic. From this period onward, as the various states competed with each other by mobilizing their armies to war, nobles in China belonged to the literate class, rather than to the warrior class as had previously been the case. The various states fielded massive armies of infantry, cavalry, and chariots. Complex logistical systems maintained by efficient government bureaucracies were needed to supply, train, and control such large forces. The size of the armies ranged from tens of thousands to several hundred thousand men.* [6] Iron became more widespread and began to replace bronze. Most armour and weapons of this period were made from iron. The first official native Chinese cavalry unit was formed in 307 BC during the military reforms of King Wuling of Zhao, who advocated 'Nomadic dress and horse archery'.* [7] But the war chariot still retained its prestige and importance, despite the tactical superiority of cavalry. The crossbow was the preferred long-range weapon of this period, due to several reasons. The crossbow could be mass-produced easily, and mass training of crossbowmen was possible. These qualities made it a powerful weapon against the enemy.

• The Methods of the Sima, attributed to Sima Rangju, a commander serving the state of Qin.

6.4 Culture and society The Warring States period was an era of intensive warfare, as well as bureaucratic and military reforms and consolidation; the major states, ruling over large territories, quickly sought to consolidate their powers, leading to the final erosion of the Zhou court's prestige. As a sign of this shift, the rulers of all the major states (except for Chu, which had claimed kingly title much earlier) abandoned their former feudal titles for the title of 王, or King, claiming equality with the rulers of the Zhou. At the same time, the constant conflict and need for innovative social and political models led to the development of many philosophical doctrines, later known as the Hundred Schools of Thought. The most notable schools of thought include Mohism, expounded by Mozi; Confucianism, represented by Mencius and Xunzi, and Legalism, represented by Shang Yang and Han Feizi, and Taoism, most openly represented by Lao Tzu. The many states that were competing between each other attempted to display their power not only militarily but in their courts and state philosophy. Many differing rulers adopted the differing philosophies in their own advantage or that of their kingdom. Confucianism during the Warring States Period was attempted to be instated as a state philosophy through the efforts of Mencius, proposing that through the governing of moral principles like benevolence and righteousness, the state would win popular support from one state and those neighboring, eliminating the need of a war altogether. Mencius had attempted to convince King Hui



of Liang, although was unsuccessful since the king saw 6.4.2 no advantage in the period of wars.* [9]

Sophisticated arithmetic

Mohism was expanded by Mozi (468-376 BC) and it had the belief that people change depending on environments around. The same is applied to rulers, where depending on their surroundings, which is why one must be cautious of influences. He was very much against warfare, although was a great tactician in defense. He defended the small state of Song from many attempts of the Chu state.* [10] Taoism was advocated by Laozi, and believed that human nature was good and can achieve perfection by returning to original state. It believed that like a baby, humans are simple and innocent although with development of civilizations it lost its innocence only to be replaced by fraud and greed. Contrarily to other schools, it did not want to gain influence in the offices of states and Laozi even refused to be in the minister of the state of Chu.* [10] Legalism created by Shang Yang in 338 BC, rejected all notions of religion and practices, and believed a nation should be governed by strict law. Not only were severe punishments applied, but they would be grouped with the families and made mutually responsible for criminal act. It proposed radical reforms, and established a society based on solid ranks. Peasants were encouraged to practice agriculture as occupation, and military performance was rewarded. Laws were also applied to all ranks with no exception, even the king was not above punishment. The philosophy was adapted by the Qin state and it created it into a well-organized, centralized state with a bureaucracy chosen on the basis of merit.* [9] This period is most famous for the establishment of complex bureaucracies and centralized governments, as well as a clearly established legal system. The developments in political and military organization were the basis of the power of the Qin state, which conquered the other states and unified them under the Qin Empire in 221 BC.


Nobles, bureaucrats and reformers

The phenomenon of intensive warfare, based on mass formations of infantry rather than the traditional chariots, was one major trend which led to the creation of strong central bureaucracies in each of the major states. At the same time, the process of secondary feudalism which permeated the Spring and Autumn period, and led to such events as the partition of Jin and the usurpation of Qi by the Tian clan, was eventually reversed by the same process of bureaucratisation. The reforms of Shang Yang in Qin, and of Wu Qi in Chu, both centred on increased centralisation, the suppression of the nobility, and a vastly increased scope of government based on Legalist ideals, which were necessary to mobilise the large armies of the period.

The world's oldest artifact of decimal multiplication table

A bundle of 21 bamboo slips from the Tsinghua collection dated to 305 BC are the worlds' earliest example of a two digit decimal multiplication table, indicating that sophisticated commercial arithmetic was already established during this period.* [11]

6.5 Economic developments The Warring States period saw the proliferation of iron working in China, replacing bronze as the dominant type of metal used in warfare. Areas such as Shu (presentday Sichuan) and Yue (present-day Zhejiang) were also brought into the Chinese cultural sphere during this time. Trade also became important, and some merchants had considerable power in politics, the most prominent of which was Lü Buwei, who rose to become Chancellor of Qin and was a key supporter of the eventual Qin Shihuang. At the same time, the increased resources of consolidated, bureaucratic states, coupled with the logistical needs of mass levies and large-scale warfare, led to the proliferation of economic projects such as large-scale waterworks. Major examples of such waterworks include the Dujiangyan Irrigation System, which controlled the Min River in Sichuan and turned the former backwater region into a major Qin logistical base, and the Zhengguo Canal which irrigated large areas of land in the

58 Guanzhong Plain, again increasing Qin's agricultural output.

6.6 Footnotes [1] ”MDBG”, Sökord: 战国策 [2] S. Cook, “San De”and Warring States Views on Heavenly Retribution. Journal of Chinese Philosophy 37. (2010)p.101-123 [3] Cotterell (2010), pp. 90–91. [4] Lewis (1999), pp. 626–629. [5] Michael Loewe and Edward L. Shaughnessy, The Cambridge History of Ancient China,1999,page 625 [6] Ebrey, Walthall & Palais (2006), p. ? [7] Ebrey, Walthall & Palais (2006), p. 29. [8] Tzu & Griffith (1963), p. v. [9] Stephen G. Haw. “A traveller’s history of China. Interlink Books”. (Canada 2008) Library of Congress. P 64-71 [10] Lu & Ke (2012). [11] NatureThe 2,300-year-old matrix is the world's oldest decimal multiplication table

6.7 References • Cotterell, Arthur (2010), Asia, a Concise History, Singapore: John Wiley & Sons, ISBN 978-0-47082959-2. • Ebrey, Patricia Buckley; Walthall, Anne; Palais, James B. (2006), Pre-Modern East Asia: A Cultural, Social, and Political History, Boston: HoughtonMifflin Company, ISBN 0-618-13386-0. • Lewis, Mark Edward (1999), “Warring States Political History”, in Loewe, Michael; Shaughnessy, Edward L., The Cambridge history of ancient China: from the origins of civilization to 221 B.C., Cambridge University Press, pp. 587–649, ISBN 9780-521-47030-8. • Lu, Liqing; Ke, Jinhua (2012),“A Concise History of Chinese Psychology of Religion”, Pastoral Psychology 61 (5–6): 623–639, doi:10.1007/s11089011-0395-y. • Tzu, Sun; Griffith, Samuel B. (1963), The Art of War, New York: Oxford University Press


6.8 Further reading • Li Xueqin. Eastern Zhou and Qin Civilizations. Trans. K.C. Chang. New Haven: Yale University Press, 1985. ISBN 0-300-03286-2. • Yap, Joseph P. (2009). Wars With The Xiongnu, A Translation from Zizhi tongjian. AuthorHouse, Bloomington, Indiana, U.S.A. ISBN 978-1-44900604-4.

6.9 External links • Warring States Project, University of Massachusetts Amherst • Rulers of the warring states – Chinese Text Project

Chapter 7

Qin dynasty Not to be confused with the Qing dynasty, the last istration of the entire dynasty through him. The advisors dynasty of Imperial China. squabbled among themselves, however, which resulted in “Qin Empire”redirects here. For other uses, see Qin both their deaths and that of the second Qin emperor. Empire (disambiguation). Popular revolt broke out a few years later, and the weakened empire soon fell to a Chu lieutenant, who went on to found the Han dynasty.* [note 1] Despite its rapid end, The Qin dynasty (Chinese: 秦朝; pinyin: Qín Cháo; IPA: [tɕʰǐn tʂʰɑ̌ ʊ̯]) was the first imperial dynasty of China, last- the Qin dynasty influenced future Chinese empires, particularly the Han, and the European name for China is ing from 221 to 206 BC. The dynasty was formed after the conquest of six other states by the state of Qin, and its thought to be derived from it. founding emperor was known as Qin Shi Huang, the First Emperor of Qin. The Qin state derived its name from its heartland of Qin, in modern-day Gansu and Shaanxi. The strength of the Qin state was greatly increased by the legalist reforms of Shang Yang in the fourth century BC, 7.1 History during the Warring States period. In the mid and late third century BC, the Qin accomplished a series of swift conquests, first ending the powerless Zhou dynasty, and See also: Qin (state) eventually conquering the other six of the Seven Warring States to gain control over the whole of China. During its reign over China, the Qin sought to create an imperial state unified by highly structured political power and a stable economy able to support a large military.* [1] The Qin central government sought to minimize the role of aristocrats and landowners and have direct administrative control over the peasantry, who comprised the overwhelming majority of the population, and control over whom would grant the Qin access to a large labor force. This allowed for the construction of ambitious projects, such as a wall on the northern border, now known as the Great Wall of China. The Qin dynasty also introduced several reforms: currency, weights and measures were standardized, and a uniform system of writing was established. An attempt to restrict criticism and purge all traces of old dynasties led to the infamous burning of books and burying of scholars incident, which has been criticized greatly by subsequent scholars. The Qin's military was also revolutionary in that it used the most recently developed weaponry, transportation, and tactics, though the government was heavy-handed and bureaucratic. Despite its military strength, the Qin dynasty did not last long. When the first emperor died in 210 BC, his son was placed on the throne by two of the previous emperor's advisers, in an attempt to influence and control the admin-

7.1.1 Origins and early development In the 9th century BC, Feizi, a descendant of the ancient political advisor Gao Yao, was granted rule over Qin City. The modern city of Tianshui stands where this city once was. During the rule of King Xiao of Zhou, the eighth king of the Zhou dynasty, this area became known as the state of Qin. In 897 BC, under the regency of Gonghe, the area became a dependency allotted for the purpose of raising and breeding horses.* [2] One of Feizi's descendants, Duke Zhuang, became favoured by King Ping of Zhou, the thirteenth king in that line. As a reward, Zhuang's son, Duke Xiang, was sent eastward as the leader of a war expedition, during which he formally established the Qin.* [3] The state of Qin first sent a military expedition into central China in 672 BC, though it did not engage in any serious incursions due to the threat from neighbouring tribesmen. By the dawn of the fourth century BC, however, the neighbouring tribes had all been either subdued or conquered, and the stage was set for the rise of Qin expansionism.* [4]





Growth of power

Lord Shang Yang, a Qin statesman, introduced a number of militarily advantageous reforms from 361 BC until his death in 338 BC, and also helped construct the Qin capital, Xianyang. This latter accomplishment commenced in the mid-fourth century BC; the resulting city greatly resembled the capitals of other Warring States.* [5]

verse, eager for profit, and without sincerity. It knows nothing about etiquette, proper relationships, and virtuous conduct, and if there be an opportunity for material gain, it will disregard its relatives as if they were animals.” * [9] It was this Legalist thought combined with strong leadership from long-lived rulers, openness to employ talented men from other states, and little internal opposition that gave the Qin such a strong political base.* [10]

Map of the Warring States. Qin is shown in pink

Another advantage of the Qin was that they had a large, efficient army* [note 3] and capable generals. They utilised the newest developments in weaponry and transportation as well, which many of their enemies lacked. These latter developments allowed greater mobility over Marble bust of statesman Shang Yang several different terrain types* [note 4] which were most Of Shang Yang's reforms, the most notable one was ad- common in many regions of China. Thus, in both*ideolvocating the philosophy of Legalism, which encouraged ogy and practice, the Qin were militarily superior. [6] practical and ruthless warfare.* [6] In contrast, during the Finally, the Qin empire had a geographical advantage due Zhou dynasty and the ensuing Warring States period, the to its fertility and strategic position, protected by mounprevalent philosophy had dictated war as a gentleman's tains that made the state a natural stronghold.* [note 5] Its activity; military commanders were instructed to respect expanded agricultural output helped sustain Qin's large what they perceived to be Heaven's laws in battle.* [7] For army with food and natural resources;* [10] the Wei River example, when Duke Xiang of Song* [note 2] was at war canal built in 246 BC was particularly significant in this with the state of Chu during the Warring States period, he respect.* [11] declined an opportunity to attack the enemy force, commanded by Zhu, while they were crossing a river. After allowing them to cross and marshal their forces, he was 7.1.3 Conquest of the Warring States decisively defeated in the ensuing battle. When his advisors later admonished him for such excessive courtesy Main article: Qin's wars of unification to the enemy, he retorted, “The sage does not crush the feeble, nor give the order for attack until the enemy have During the Warring States period preceding the Qin dyformed their ranks.”* [8] nasty, the major states vying for dominance were Yan, The Qin disregarded this military tradition, taking advan- Zhao, Qi, Chu, Han, Wei and Qin. The rulers of these tage of their enemy's weaknesses. A nobleman in the state states styled themselves as kings, rather than using the tiof Wei accused the Qin state of being “avaricious, per- tles of lower nobility they had previously held. However,



none elevated himself to believe that he had the “Mandate of Heaven,”as the Zhou emperors had claimed, nor that he had the right to offer sacrifices—they left this to the Zhou rulers.* [12] Before their conquest in the fourth and third centuries BC, the Qin suffered several setbacks. Shang Yang was executed in 338 BC by King Huiwen due to a personal grudge harboured from his youth. There was also internal strife over the Qin succession in 307 BC, which decentralised Qin authority somewhat. Qin was defeated by an alliance of the other states in 295 BC, and shortly after suffered another defeat by the state of Zhao, because the majority of their army was then defending against the Qi. The aggressive statesman Fan Sui (范雎), however, soon came to power as prime minister even as the problem of the succession was resolved, and he began an expansionist policy that had originated in Jin and Qi, which prompted the Qin to attempt to conquer the other states.* [13] The Qin were swift in their assault on the other states. They first attacked the Han, directly east, and took the city of Yangdi in 230 BC. They then struck northward; the state of Zhao surrendered in 228 BC, and the northernmost state of Yan followed, falling in 226 BC. Next, Qin armies launched assaults to the east, and later the south as well; they took the Wei city of Daliang (now called Kaifeng) in 225 BC and forced the Chu to surrender by 223 BC. Lastly, they deposed the Zhou dynasty's remnants in Luoyang and conquered the Qi, taking the city of Linzi in 221 BC.* [14]

Marble statue of Qin Shihuang located near his burial place

inforcing their troops during their second attack to the south. Building on these gains, the Qin armies conquered the coastal lands surrounding Guangzhou,* [note 8] and took the provinces of Fuzhou and Guilin. They struck as far south as Hanoi. After these victories in the south, Qin Shihuang moved over 100,000 prisoners and exiles to colonize the newly conquered area. In terms of extending the boundaries of his empire, the First Emperor was extremely successful in the south.* [17]

When the conquests were complete in 221 BC, King Zheng* [note 6] – who had first assumed the throne of the Qin state at age 9* [15] – became the effective ruler of China. He solidified his position as sole ruler with the abdication of his prime minister, Lü Buwei. He then combined the titles of the earlier Three Sovereigns and Five Emperors into his new name: Shi Huangdi (始皇帝) or “First Emperor”.* [16]* [note 7] The newly declared emperor ordered all weapons not in the possession of the Qin 7.1.5 Campaigns against the Xiongnu to be confiscated and melted down. The resulting metal was sufficient to build twelve large ornamental statues at Main article: Qin's campaign against the Xiongnu the Qin's newly declared capital, Xianyang.* [17]


Southward expansion

Main article: Qin's campaign against the southern tribes In 214 BC Qin Shihuang secured his boundaries to the north with a fraction (100,000 men) of his large army, and sent the majority (500,000 men) of his army south to conquer the territory of the southern tribes. Prior to the events leading to Qin dominance over China, they had gained possession of much of Sichuan to the southwest. The Qin army was unfamiliar with the jungle terrain, and it was defeated by the southern tribes' guerrilla warfare tactics with over 100,000 men lost. However, in the defeat Qin was successful in building a canal to the south, which they used heavily for supplying and re-

However, while the empire at times was extended to the north, the Qin could rarely hold on to the land for long. The tribes of these locations, collectively called the Hu by the Qin, were free from Chinese rule during the majority of the dynasty.* [18] Prohibited from trading with Qin dynasty peasants, the Xiongnu tribe living in the Ordos region in northwest China often raided them instead, prompting the Qin to retaliate. After a military campaign led by General Meng Tian, the region was conquered in 215 BC and agriculture was established; the peasants, however, were discontented and later revolted. The succeeding Han dynasty also expanded into the Ordos due to overpopulation, but depleted their resources in the process. Owen Lattimore said of both dynasties' attempts to conquer the Ordos, “conquest and expansion were illusory. There was no kind of success that did



not create its own reaction.”* [19] Indeed, this was true of the dynasty's borders in multiple directions; modern Xinjiang, Tibet, Manchuria, Inner Mongolia, and regions to the southeast were foreign to the Qin, and even areas over which they had military control were culturally distinct.* [20]


Fall from power

Upon this, Ziying, a nephew of Qin Er Shi, ascended the throne, and immediately executed Zhao Gao.* [22] Ziying, seeing that increasing unrest was growing among the people* [note 9] and that many local officials had declared themselves kings, attempted to cling to his throne by declaring himself one king among all the others.* [11] He was undermined by his ineptitude, however, and popular revolt broke out in 209 BC. When Chu rebels under the lieutenant Liu Bang attacked, a state in such turmoil could not hold for long. Ziying was defeated near the Wei River in 207 BC and surrendered shortly after; he was executed by the Chu leader Xiang Yu. The Qin capital was destroyed the next year, and this is considered by Derk Bodde, as well as other historians, to be the end of the Qin empire.* [23]* [note 10] Liu Bang then betrayed and defeated Xiang Yu, declaring himself Emperor Gaozu* [note 11] of the new Han dynasty on 28 February 202 BC.* [24] Despite the short duration of the Qin dynasty, it was very influential on the structure of future dynasties.

7.2 Culture and society 7.2.1 Domestic life

An edict in bronze from the reign of the Second Qin Emperor

Three assassination attempts were made on Qin Shihuang's life,* [21] leading him to become paranoid and obsessed with immortality. He died in 210 BC, while on a trip to the far eastern reaches of his empire in an attempt to procure an elixir of immortality from Taoist magicians, who claimed the elixir was stuck on an island guarded by a sea monster. The chief eunuch, Zhao Gao, and the prime minister, Li Si, hid the news of his death upon their return until they were able to alter his will to place on the throne the dead emperor's most pliable son, Huhai, who took the name of Qin Er Shi.* [15] They believed that they would be able to manipulate him to their own ends, and thus effectively control the empire. Qin Er Shi was, indeed, inept and pliable. He executed many ministers and imperial princes, continued massive building projects (one of his most extravagant projects was lacquering the city walls), enlarged the army, increased taxes, and arrested messengers who brought him bad news. As a result, men from all over China revolted, attacking officials, raising armies, and declaring themselves kings of seized territories.* [22]

The aristocracy of the Qin were largely similar in their culture and daily life. Regional variations in culture were considered a symbol of the lower classes. This stemmed from the Zhou and was seized upon by the Qin, as such variations were seen as contrary to the unification that the government strove to achieve.* [25] Commoners and rural villagers, who made up over 90% of the population,* [26] very rarely left the villages or farmsteads where they were born. Common forms of employment differed by region, though farming was almost universally common. Professions were hereditary; a father's employment was passed to his eldest son after he died.* [27] The Lüshi Chunqiu* [note 12] gave examples of how, when commoners are obsessed with material wealth, instead of the idealism of a man who“makes things serve him”, they were“reduced to the service of things”.* [28]

Peasants were rarely figured in literature during the Qin dynasty and afterwards; scholars and others of more elite status preferred the excitement of cities and the lure of politics. One notable exception to this was Shen Nong, the so-called “Divine Father”, who taught that households should grow their own food. “If in one's prime he does not plow, someone in the world will grow hungry. If in one's prime she does not weave, someone in the world will be cold.”The Qin encouraged this; a ritual was performed once every few years that consisted of important During this time, Li Si and Zhao Gao fell out, and Li government officials taking turns with the plow on a speSi was executed. Zhao Gao decided to force Qin Er cial field, to create a simulation of government interest Shi to commit suicide due to Qin Er Shi's incompetence. and activity within agriculture.* [27]




63 challenged Legalism or the state.* [35] This decree was passed in 213 BC, and also stipulated that all scholars who refused to submit their books to be burned would be executed by premature burial.* [17] Only texts considered productive by the Legalists were preserved, most those that discussed pragmatic subjects, such as agriculture, divination, and medicine.* [35]

Warring States-era architecture had several definitive aspects. City walls, used for defense, were made longer, and indeed several secondary walls were also sometimes built to separate the different districts. Versatility in federal structures was emphasized, to create a sense of authority and absolute power. Architectural elements such However, controversy remains about the “burning of as high towers, pillar gates, terraces, and high buildings books and burying of scholars”. Nowadays, many Sinolamply conveyed this.* [29] ogists argue that the“burying of scholars”, as recorded in Grand Historian, is not literally true, as the term probably meant simply “put to death.”* [36]


Philosophy and literature

The written language of the Qin was logographic, as that 7.2.4 of the Zhou had been.* [30] As one of his most influential achievements in life, prime minister Li Si standardized the writing system to be of uniform size and shape across the whole country. This would have a unification effect on the Chinese culture for thousands of years. He is also credited with creating the“lesser-seal”(Chinese: 小 篆, Pinyin: xiǎozhuàn) style of calligraphy, which serves as a basis for modern Chinese and is still used in cards, posters, and advertising.* [31]

Government and military

During the Warring States period, the Hundred Schools of Thought comprised many different philosophies proposed by Chinese scholars. In 221 BC, however, the First Emperor conquered all of the states and governed with a single philosophy, Legalism. At least one school of thought, Mohism, was eradicated, though the reason is not known. Despite the Qin's state ideology and Mohism Qin dynasty composite bow arrows (top) and crossbow bolts (botbeing similar in certain regards, it is possible that Motom) hists were sought and killed by the state's armies due to Credit: Liang Jieming paramilitary activities.* [32] Confucius's school of thought, called Confucianism, was also influential during the Warring States period, as well as throughout much of the later Zhou dynasty and early imperial periods.* [note 13] This school of thought had a so-called Confucian canon of literature, known as the“six classics": the Odes, Documents, Ritual, Music, Spring and Autumn Annals, and Changes, which embodied Chinese literature at the time.* [33]

The Qin government was highly bureaucratic, and was administered by a hierarchy of officials, all serving the First Emperor. The Qin put into practice the teachings of Han Feizi, allowing the First Emperor to control all of his territories, including those recently conquered. All aspects of life were standardized, from measurements and language to more practical details, such as the length of chariot axles.* [16] Zheng and his advisers also introduced new laws and practices that ended feudalism in China, replacing it with a centralized, bureaucratic government. Under this system, both the military and government thrived, as talented individuals could be more easily identified in the transformed society. Later Chinese dynasties emulated the Qin government for its efficiency, despite its being condemned by Confucian philosophy.* [16]* [37] Such a system, however, could be manipulated by power-hungry individuals; one example of such an occurrence was documented in the “Records of Officialdom”. A commander named Hu ordered his men to attack peasants, in an attempt to increase the number of “bandits”he had killed; his superiors, likely eager to inflate their records as well, allowed this.* [38]

During the Qin dynasty, Confucianism—along with all other non-Legalist philosophies—was suppressed by the First Emperor; early Han dynasty emperors did the same. Legalism denounced the feudal system and encouraged severe punishments, particularly when the emperor was disobeyed. Individuals' rights were devalued when they conflicted with the government's or the ruler's wishes, and merchants and scholars were considered unproductive, fit for elimination.* [34] One of the more drastic measures employed to accomplish the eradication of the old schools of thought was the infamous burning of books and burying of scholars incident, which contributed to the Qin dynasty's dismal reputation among later scholars.* [17] The First Emperor, in an attempt to consolidate power, ordered the burning of all books advocating viewpoints that Qin Shihuang also improved the military, despite the fact



that it had already undergone extensive reforms.* [39] The military used the most advanced weaponry of the time. The invention of the sword during the Warring States period was a great advance. It was first used mostly in bronze form, but by the third century BC, the Qin were using stronger iron swords. The demand for this metal resulted in improved bellows. The crossbow had been introduced in the fifth century BC and was more powerful and accurate than the composite bows used earlier. It could also be rendered ineffective by removing two pins, which prevented enemies from capturing a working crossbow.* [7]

The Terracotta army.

The Qin also used improved methods of transportation and tactics. The state of Zhao had first replaced chariots with cavalry in 307 BC, but the change was swiftly adopted by the other states because cavalry had greater mobility over the terrain of China.* [40] The First Emperor developed plans to fortify his northern border, to protect against the nomadic Mongols. The result was the initial construction of what later became the Great Wall of China, which was built by joining and strengthening the walls made by the feudal lords, which would be expanded and rebuilt multiple times by later dynasties, also in response to threats from the north. Another project built during Qin Shihuang's rule was the Terracotta army, intended to protect the emperor after his death.* [39] The Terracotta army was inconspicuous due to its underground location, and was not discovered until 1974.* [41]



Floating on high in every direction, Music fills the hall and court. The incense sticks are a forest of feathers, The cloudy scene an obscure darkness. Metal stalks with elegant blossoms, A host of flags and kingfisher banners. The music of the “Seven Origins”and “Blossoming Origins”

Are intoned as harmonious sounds. Thus one can almost hear The spirits coming to feast and frolic. The spirits are seen off to the zhu zhu of the musics, Which purifies and refines human feelings. Suddenly the spirits ride off on the darkness, And the brilliant event finishes. Purified thoughts grow hidden and still, And the warp and weft of the world fall dark. Han shu, p. 1046 The dominant religious belief in China during the reign of the Qin, and, in fact, during much of early imperial China, was focused on the shen (roughly translating to “spirits”), yin (“shadows”), and the realm they were said to live in. The Chinese offered sacrifices* [note 14] in an attempt to contact this other world, which they believed to be parallel to the earthly one. The dead were said to simply have moved from one world to the other. The rituals mentioned, as well as others, served two purposes: to ensure that the dead journeyed and stayed in the other realm, and to receive blessings from the spirit realm.* [note 15]* [42]* [43] Religious practices were usually held in local shrines and sacred areas, which contained sacrificial altars. During a sacrifice or other ritual, the senses of all participants and witnesses would be dulled and blurred with smoke, incense, and music. The lead sacrificer would fast and meditate before a sacrifice to further blur his senses and increase the likelihood of perceiving otherworldly phenomena. Other participants were similarly prepared, though not as rigorously. Such blurring of the senses was also a factor in the practice of spirit intermediaries, or mediumship. Practitioners of the art would fall into trances or dance to perform supernatural tasks. These people would often rise to power as a result of their art—Luan Da, a Han dynasty medium, was granted rule over 2,000 households. Noted Han historian Sima Qian was scornful of such practices, dismissing them as foolish trickery.* [44] Divination—to predict and/or influence the future—was yet another form of religious practice. An ancient practice that was common during the Qin dynasty was cracking bones or turtle shells to gain knowledge of the future. The forms of divination which sprang up during early imperial China were diverse, though observing natural phenomena was a common method. Comets, eclipses, and droughts were considered omens of things to come.* [45]

7.2.6 Etymology of China The name 'Qin' (pronounced as 'Chin') is believed to be the etymological ancestor of the modern-day European name of the country, China. The word probably made its way into the Indo-Aryan languages first as 'Cina' or 'Sina'

7.6. REFERENCES and then into Greek and Latin as 'Sinai' or 'Thinai'. It was then transliterated into English and French as 'China' and 'Chine'. This etymology is dismissed by some scholars, who suggest that 'Sina' in Sanskrit evolved much earlier before the Qin dynasty. 'Jin' (pronounced as 'Zhin'), a state controlled by the Zhou dynasty in seventh century BC, is another possible origin.* [46]

7.3 Sovereigns of Qin dynasty


[7] As the modern Chinese habit is to include dynasty names as a surname, this became Qin Shihuangdi. Later, this was abridged to Qin Shihuang, because it is uncommon for Chinese names to have four characters. [8] Formerly known as Canton. [9] This was largely caused by regional differences which survived despite the Qin's attempt to impose uniformity. [10] The first emperor of the Qin had boasted that the dynasty would last 10,000 generations; it lasted only about 15 years. (Morton 1995, p. 49)

Note: King Zhaoxiang of Qin (秦昭襄王) had already [11] Meaning “High Progenitor”. been ruling Qin for 51 years when Qin annihilated the Zhou dynasty; however the other six warring states were [12] A text named for its sponsor Lü Buwei; the prime minister still independent regimes. Some Chinese historiograof the Qin directly preceding the conquest of the other states. phers thus used the next year (the 52nd year of King Zhaoxiang of Qin) as the official succession from the [13] The term“Confucian”is rather ill-defined in this context Zhou dynasty. —many self-dubbed Confucians in fact rejected tenets of

what was known as “the Way of Confucius,”and were Qin Shihuang was the first Chinese sovereign to proclaim disorganized, unlike the later Confucians of the Song and himself “Emperor”, after reunifying China in 221 BC. Yuan dynasties. That year is therefore generally taken by Western historians to be the start of the “Qin dynasty”which lasted [14] Sacrifices were always animals; human sacrifice had been for fifteen years until 206 when it was cut short by civil abolished in ancient China. wars.* [47] [15] Mystics from the state of Qi, however, saw sacrifices differently—as a way to become immortal.

7.4 See also • Chinese sovereign

7.6 References

• Emperor of China

[1] Tanner 2010, p. 85-89

• Hata clan

[2] Lewis 2007, p. 17

• Qin's Moon

7.5 Notes

[3] “Chinese surname history: Qin”. People's Daily Online. Retrieved 28 June 2008. [4] Lewis 2007, pp. 17–18 [5] Lewis 2007, p. 88

[1] The first emperor of the Qin had boasted that the dynasty would last 10,000 generations; it lasted only about 15 years. (Morton 1995, p. 49)

[6] Morton 1995, p. 45

[2] Not to be confused with any Duke of the Song dynasty of a later period.

[8] Morton 1995, pg. 26

[3] This was due to the large workforce available as a result of their landowning policies (implemented by Shang Yang), described in the “Culture and society”section. [4] These, along with the weaponry, are elaborated upon in the section describing the Qin's military and government. [5] This was the heart of the Guanzhong region, as opposed to the region of the Yangtze River drainage basin, known as Guandong. The warlike nature of the Qin in Guanzhong evolved into a Han dynasty adage:“Guanzhong produces generals, while Guandong produces ministers.”(Lewis 2007, p. 17) [6] His personal name was Yíng Zhèng.

[7] Morton 1995, p. 26

[9] Time-Life Books 1993, p. 86 [10] Kinney and Clark 2005, p. 10 [11] Lewis 2007, pp. 18–19 [12] Morton 1995, p. 25 [13] Lewis 2007, pp. 38–39 [14] Lewis 2007, p. 10 [15] Bai Yang. Records of the Genealogy of Chinese Emperors, Empresses, and Their Descendants (中国帝王皇后亲王 公主世系录) (in Chinese) 1. Friendship Publishing Corporation of China (中国友谊出版公司). pp. 134–135.


[16] World and Its Peoples: Eastern and Southern Asia, p. 36 [17] Morton 1995, p. 47 [18] Lewis 2007, p. 129


7.7 Bibliography • World and Its Peoples: Eastern and Southern Asia. Marshall Cavendish. 2007. ISBN 978-0-76147631-3.

[19] Breslin 2001, p. 5 [20] Lewis 2007, p. 5 [21] Borthwick, p. 10 [22] Kinney and Hardy 2005, p. 13-15 [23] Bodde 1986, p. 84 [24] Morton 1995, pp. 49–50 [25] Lewis 2007, p. 11 [26] Lewis 2007, p. 102 [27] Lewis 2007, p. 15 [28] Lewis 2007, p. 16 [29] Lewis 2007, p. 75–78 [30] World and its Peoples: Eastern and Southern Asia, p. 34 [31] Bedini 1994, p. 83 [32] Readings in Classical Chinese Philosophy, p. 61 [33] Lewis 2007, p. 206 [34] Borthwick, p. 17 [35] Borthwick, p. 11 [36] Bodde 1986, p. 72 [37] Borthwick 2006, pp. 9–10 [38] Chen, pp. 180–81 [39] Borthwick 2006, p. 10 [40] Morton 1995, p. 27 [41] “Mausoleum of the First Qin Emperor”. UNESCO. Retrieved 3 July 2008. [42] Lewis 2007, p. 178 [43] Lewis 2007, p. 186

• Readings in Classical Chinese Philosophy. Edited by Philip J. Ivanhoe and Bryan W. Van Norden. Hackett Publishing. 2005. ISBN 0-87220-780-3. • Breslin, Thomas A. (2001). Beyond Pain: The Role of Pleasure and Culture in the Making of Foreign Affairs. Greenwood Publishing Group. ISBN 0-27597430-8. • Bedini, Silvio (1994). The Trail of Time: Shih-chien Ti Tsu-chi : Time Measurement with Incense in East Asia. Cambridge University Press. ISBN 0-52137482-0. • Bodde, Derk. (1986). “The State and Empire of Ch'in,”in The Cambridge History of China: Volume I: the Ch'in and Han Empires, 221 B.C. – A.D. 220. Edited by Denis Twitchett and Michael Loewe. Cambridge: Cambridge University Press. ISBN 0521-24327-0. • Borthwick, Mark (2006). Pacific Century: The Emergence of Modern Pacific Asia. Westview Press. ISBN 0-8133-4355-0. • Behnke, Anne; Grant Hardy (2005). The Establishment of the Han Empire and Imperial China. Westport, Connecticut: Greenwood Press. ISBN 0313-32588-X. • Keay, John (2009). China A History. Harper Press. ISBN 9780007221783. • Lewis, Mark Edward (2007). The Early Chinese Empires: Qin and Han. London: Belknap Press. ISBN 978-0-674-02477-9. • Chen Guidi; Wu Chuntao (2007). Will the Boat Sink the Water?: The Life of China's Peasants. Translated by Zhu Hong. PublicAffairs. ISBN 1-58648-441-9. • Morton, W. Scott (1995). China: Its History and Culture (3rd ed. ed.). McGraw-Hill. ISBN 0-07043424-7. • Tanner (2010). China: A History=Harold. Hackett. ISBN 978-1-60384-203-7.

[44] Lewis 2007, p. 180 [45] Lewis 2007, p. 181 [46] Keay 2009, p. 98. [47] Bodde 1986, p. 20

7.8 Further reading • Bodde, Derk. (1986). “The State and Empire of Ch'in,”in The Cambridge History of China: Volume I: the Ch'in and Han Empires, 221 B.C. – A.D.

7.9. EXTERNAL LINKS 220. Edited by Denis Twitchett and Michael Loewe. Cambridge: Cambridge University Press. ISBN 0521-24327-0. • Cotterell, Arthur. (2007). The Imperial Capitals of China – An Inside View of the Celestial Empire. London: Pimlico. pp. 304 pages. ISBN 978-1-84595009-5. • Fong, Wen (ed.) (1980). The great bronze age of China: an exhibition from the People's Republic of China. New York: The Metropolitan Museum of Art. ISBN 0870992260. • Paludan, Ann. (1998). Chronicle of the China Emperors. London: Thames & Hudson. pp. 224 pages. ISBN 0-500-05090-2. • Yap, Joseph P. (2009). Wars with the Xiongnu, A Translation from Zizhi tongjian. AuthorHouse, Bloomington, Indiana, U.S.A. ISBN 978-1-44900604-4.

7.9 External links


Chapter 8

Han dynasty “Eastern Han”redirects here. For the Five Dynasties themselves in court politics, engaging in violent power era kingdom, see Northern Han. struggles between the various consort clans of the empresses and empress dowagers, causing the Han's ultimate downfall. Imperial authority was also seriously chalThe Han dynasty (simplified Chinese: 汉朝; traditional Chinese: 漢朝; pinyin: Hàn Cháo; Wade–Giles: Han lenged by large Daoist religious societies which instigated the Yellow Turban Rebellion and the Five Pecks of Rice Ch'ao; IPA: [xân tʂʰɑ̌ ʊ̯], 206 BC – 220 AD) was an imperial dynasty of China, preceded by the Qin dynasty Rebellion. Following the death of Emperor Ling (r. 168– 189 AD), the palace eunuchs suffered wholesale mas(221–207 BC) and succeeded by the Three Kingdoms (220–280 AD). It was founded by the rebel leader Liu sacre by military officers, allowing members of the arisBang, known posthumously as Emperor Gaozu of Han. tocracy and military governors to become warlords and It was briefly interrupted by the Xin dynasty (9–23 AD) divide the empire. When Cao Pi, King of Wei, usurped of the former regent Wang Mang. This interregnum sep- the throne from Emperor Xian, the Han dynasty ceased arates the Han into two periods: the Western Han (206 to exist. BC – 9 AD) and Eastern Han (25–220 AD). Spanning over four centuries, the period of the Han dynasty is considered a golden age in Chinese history.* [3] To this day, China's majority ethnic group refers to itself as the“Han people”and the Chinese script is referred to as "Han characters".* [4] The Han Empire was divided into areas directly controlled by the central government, known as commanderies, and a number of semi-autonomous kingdoms. These kingdoms gradually lost all vestiges of their independence, particularly following the Rebellion of the Seven States. The Xiongnu, a nomadic steppe confederation,* [5] defeated the Han in 200 BC and forced the Han to submit as a de facto inferior partner, but continued their raids on the Han borders. Emperor Wu of Han (r. 141–87 BC) launched several military campaigns against them. The ultimate Han victory in these wars eventually forced the Xiongnu to accept vassal status as Han tributaries. These campaigns expanded Han sovereignty into the Tarim Basin of Central Asia, divided the Xiongnu into two separate confederations, and helped establish the vast trade network known as the Silk Road, which reached as far as the Mediterranean world. The territories north of Han's borders were quickly overrun by the nomadic Xianbei confederation. Emperor Wu also launched successful military expeditions in the south, annexing Nanyue in 111 BC and Dian in 109 BC, and in the Korean Peninsula where the Xuantu and Lelang Commanderies were established in 108 BC.

The Han dynasty was an age of economic prosperity and saw a significant growth of the money economy first established during the Zhou dynasty (c. 1050–256 BC). The coinage issued by the central government mint in 119 BC remained the standard coinage of China until the Tang dynasty (618–907 AD). To pay for its military campaigns and the settlement of newly conquered frontier territories, the government nationalized the private salt and iron industries in 117 BC. These government monopolies were repealed during the Eastern Han period, and the lost revenue was recouped through heavily taxing private entrepreneurs. The emperor was at the pinnacle of Han society. He presided over the Han government but shared power with both the nobility and appointed ministers who came largely from the scholarly gentry class. From the reign of Emperor Wu onward, the Chinese court officially sponsored Confucianism in education and court politics, synthesized with the cosmology of later scholars such as Dong Zhongshu. This policy endured until the fall of the Qing dynasty in 1911 AD. Science and technology during the Han period saw significant advances, including papermaking, the nautical steering rudder, the use of negative numbers in mathematics, the raised-relief map, the hydraulic-powered armillary sphere for astronomy, and a seismometer employing an inverted pendulum.

8.1 Etymology

According to the Records of the Grand Historian, afAfter 92 AD, the palace eunuchs increasingly involved ter the collapse of the Qin dynasty the hegemon Xiang 68



Yu appointed Liu Bang as prince of the small fief of Hanzhong, named after its location on the Han River (in modern southwest Shaanxi). Following Liu Bang's victory in the Chu–Han Contention, the resulting Han dynasty was named after the Hanzhong fief.* [6]

8.2 History Main article: History of the Han dynasty For a more comprehensive list, see List of emperors of the Han dynasty.


Western Han

China's first imperial dynasty was the Qin dynasty (221– 206 BC). The Qin unified the Chinese Warring States by conquest, but their empire became unstable after the death of the first emperor Qin Shi Huangdi. Within four years, the dynasty's authority had collapsed in the face of rebellion.* [7] Two former rebel leaders, Xiang Yu (d. 202 BC) of Chu and Liu Bang (d. 195 BC) of Han, engaged in a war to decide who would become hegemon of China, which had fissured into 18 kingdoms, each claiming allegiance to either Xiang Yu or Liu Bang.* [8] Although Xiang Yu proved to be a capable commander, Liu Bang defeated him at Battle of Gaixia (202 BC), in modern-day Anhui. Liu Bang assumed the title “emperor” (huangdi) at the urging of his followers and is known posthumously as Emperor Gaozu (r. 202–195 BC).* [9] Chang'an was chosen as the new capital of the reunified empire under Han.* [10] At the beginning of the Western Han dynasty, thirteen centrally controlled commanderies—including the capital region—existed in the western third of the empire, while the eastern two-thirds were divided into ten semiautonomous kingdoms.* [12] To placate his prominent commanders from the war with Chu, Emperor Gaozu enfeoffed some of them as kings. By 157 BC, the Han court had replaced all of these kings with royal Liu family members, since the loyalty of non-relatives to the throne was questioned.* [12] After several insurrections by Han kings—the largest being the Rebellion of the Seven States in 154 BC—the imperial court enacted a series of reforms beginning in 145 BC limiting the size and power of these kingdoms and dividing their former territories into new centrally controlled commanderies.* [13] Kings were no longer able to appoint their own staff; this duty was assumed by the imperial court.* [14] Kings became nominal heads of their fiefs and collected a portion of tax revenues as their personal incomes.* [14] The kingdoms were never entirely abolished and existed throughout the remainder of Western and Eastern Han.* [15]

A silk banner from Mawangdui, Changsha, Hunan province. It was draped over the coffin of Lady Dai (d. 168 BC), wife of the Marquess Li Cang (利蒼) (d. 186 BC), chancellor for the Kingdom of Changsha.* [11]

Military expansion Main articles: Han–Xiongnu War and Southward expansion To the north of China proper, the nomadic Xiongnu chieftain Modu Chanyu (r. 209–174 BC) conquered various tribes inhabiting the eastern portion of the Eurasian



Steppe. By the end of his reign, he controlled Manchuria, Mongolia, and the Tarim Basin, subjugating over twenty states east of Samarkand.* [16] Emperor Gaozu was troubled about the abundant Han-manufactured iron weapons traded to the Xiongnu along the northern borders, and he established a trade embargo against the group.* [17] Although the embargo was in place, the Xiongnu found traders willing to supply their needs. Chinese forces also mounted surprise attacks against Xiongnu who traded at the border markets.* [18] In retaliation, the Xiongnu invaded what is now Shanxi province, where they defeated the Han forces at Baideng in 200 BC.* [19] After negotiations, the heqin agreement in 198 BC nominally held the leaders of the Xiongnu and the Han as equal partners in a royal marriage alliance, but the Han were forced to send large amounts of tribute items such as silk clothes, food, and wine to the Xiongnu.* [20] Despite the tribute and a negotiation between Laoshang Chanyu (r. 174–160 BC) and Emperor Wen (r. 180– 157 BC) to reopen border markets, many of the Chanyu's Xiongnu subordinates chose not to obey the treaty and periodically raided Han territories south of the Great Wall for additional goods.* [21] In a court conference assembled by Emperor Wu (r. 141–87 BC) in 135 BC, the majority consensus of the ministers was to retain the heqin agreement. Emperor Wu accepted this, despite continuing Xiongnu raids.* [22] However, a court conference the following year convinced the majority that a limited engagement at Mayi involving the assassination of the Chanyu would throw the Xiongnu realm into chaos and benefit the Han.* [23] When this plot failed in 133 BC,* [24] Emperor Wu launched a series of massive military invasions into Xiongnu territory. Chinese armies captured one stronghold after another and established agricultural colonies to strengthen their hold.* [18] The assault culminated in 119 BC at the Battle of Mobei, where the Han commanders Huo Qubing (d. 117 BC) and Wei Qing (d. 106 BC) forced the Xiongnu court to flee north of the Gobi Desert.* [25] After Wu's reign, Han forces continued to prevail against the Xiongnu. The Xiongnu leader Huhanye Chanyu (呼 韓邪) (r. 58–31 BC) finally submitted to Han as a tributary vassal in 51 BC. His rival claimant to the throne, Zhizhi Chanyu (r. 56–36 BC), was killed by Chen Tang and Gan Yanshou (甘 延 壽/甘 延 寿) at the Battle of Zhizhi, in modern Taraz, Kazakhstan.* [26] In 121 BC, Han forces expelled the Xiongnu from a vast territory spanning the Hexi Corridor to Lop Nur. They repelled a joint Xiongnu-Qiang invasion of this northwestern territory in 111 BC. In that year, the Han court established four new frontier commanderies in this region: Jiuquan, Zhangyi, Dunhuang, and Wuwei.* [28] The majority of people on the frontier were soldiers.* [29] On occasion, the court forcibly moved peasant farmers to new frontier settlements, along with government-owned slaves and convicts who performed hard labor.* [30] The court also encouraged commoners, such as farmers, mer-

A gilded bronze oil lamp in the shape of a kneeling female servant, dated 2nd century BC, found in the tomb of Dou Wan, wife of the Han prince Liu Sheng; its sliding shutter allows for adjustments in the direction and brightness in light while it also traps smoke within the body.* [27]

chants, landowners, and hired laborers, to voluntarily migrate to the frontier.* [31] Even before Han's expansion into Central Asia, diplomat Zhang Qian's travels from 139 to 125 BC had established Chinese contacts with many surrounding civilizations. Zhang encountered Dayuan (Fergana), Kangju (Sogdiana), and Daxia (Bactria, formerly the GrecoBactrian Kingdom); he also gathered information on Shendu (Indus River valley of North India) and Anxi (the Parthian Empire). All of these countries eventually received Han embassies.* [32] These connections marked the beginning of the Silk Road trade network that extended to the Roman Empire, bringing Han items like silk to Rome and Roman goods such as glasswares to China.* [33] From roughly 115 to 60 BC, Han forces fought the Xiongnu over control of the oasis city-states in the Tarim Basin. Han was eventually victorious and established the Protectorate of the Western Regions in 60 BC, which dealt with the region's defense and foreign affairs.* [34] The Han also expanded southward. The naval conquest of Nanyue in 111 BC expanded the Han realm into what are now modern Guangdong, Guangxi, and northern Vietnam. Yunnan was brought into the Han realm with the conquest of the Dian Kingdom in 109 BC, followed by parts of the Korean Peninsula with the colonial establishments of Xuantu Commandery and Lelang Commandery in 108 BC.* [35] In China's first known nationwide census taken in 2 AD, the population was reg-



istered as having 57,671,400 individuals in 12,366,470 During this time, a succession of her male relatives held households.* [2] the title of regent.* [38] Following the death of Ai, Wang To pay for his military campaigns and colonial expan- Zhengjun's nephew Wang Mang (45 BC–23 AD) was apon 16 August under sion, Emperor Wu nationalized several private industries. pointed regent as Marshall of State * Emperor Ping (r. 1 BC – 6 AD). [39] He created central government monopolies administered largely by former merchants. These monopolies included salt, iron, and liquor production, as well as bronze-coin currency. The liquor monopoly lasted only from 98 to 81 BC, and the salt and iron monopolies were eventually abolished in early Eastern Han. The issuing of coinage remained a central government monopoly throughout the rest of the Han dynasty.* [36] The government monopolies were eventually repealed when a political faction known as the Reformists gained greater influence in the court. The Reformists opposed the Modernist faction that had dominated court politics in Emperor Wu's reign and during the subsequent regency of Huo Guang (d. 68 BC). The Modernists argued for an aggressive and expansionary foreign policy supported by revenues from heavy government intervention in the private economy. The Reformists, however, overturned these policies, favoring a cautious, non-expansionary approach to foreign policy, frugal budget reform, and lower tax-rates imposed on private entrepreneurs.* [37]


Wang Mang's reign and civil war

Main articles: Wang Mang and Xin dynasty

When Ping died on 3 February 6 AD, Ruzi Ying (d. 25 AD) was chosen as the heir and Wang Mang was appointed to serve as acting emperor for the child.* [39] Wang promised to relinquish his control to Liu Ying once he came of age.* [40] Despite this promise, and against protest and revolts from the nobility, Wang Mang claimed on 10 January that the divine Mandate of Heaven called for the end of the Han dynasty and the beginning of his own: the Xin dynasty (9–23 AD).* [39]* [41] Wang Mang initiated a series of major reforms that were ultimately unsuccessful. These reforms included outlawing slavery, nationalizing land to equally distribute between households, and introducing new currencies, a change which debased the value of coinage.* [42] Although these reforms provoked considerable opposition, Wang's regime met its ultimate downfall with the massive floods of c. 3 AD and 11 AD. Gradual silt buildup in the Yellow River had raised its water level and overwhelmed the flood control works. The Yellow River split into two new branches: one emptying to the north and the other to the south of the Shandong Peninsula, though Han engineers managed to dam the southern branch by 70 AD.* [43] The flood dislodged thousands of peasant farmers, many of whom joined roving bandit and rebel groups such as the Red Eyebrows to survive.* [43] Wang Mang's armies were incapable of quelling these enlarged rebel groups. Eventually, an insurgent mob forced their way into the Weiyang Palace and killed Wang Mang.* [44]

Left image: A Western-Han painted ceramic mounted cavalryman from the tomb of a military general at Xianyang, Shaanxi Right image: A Western or Eastern Han bronze horse statuette with a lead saddle Wang Zhengjun (71 BC–13 AD) was first empress, then empress dowager, and finally grand empress dowager during the reigns of the Emperors Yuan (r. 49–33 BC), A spade-shaped bronze coin issued during Wang Mang's (r. 9–23 Cheng (r. 33–7 BC), and Ai (r. 7–1 BC), respectively. AD) reign period



The Gengshi Emperor (r. 23–25 AD), a descendant of Emperor Jing (r. 157–141 BC), attempted to restore the Han dynasty and occupied Chang'an as his capital. However, he was overwhelmed by the Red Eyebrow rebels who deposed, assassinated, and replaced him with the puppet monarch Liu Penzi.* [45] Emperor Gengshi's brother Liu Xiu, known posthumously as Emperor Guangwu (r. 25–57 AD), after distinguishing himself at the Battle of Kunyang in 23 AD, was urged to succeed Gengshi as emperor.* [46] Under Guangwu's rule the Han Empire was restored. Guangwu made Luoyang his capital in 25 AD, and by 27 AD his officers Deng Yu and Feng Yi had forced the Red Eyebrows to surrender and executed their leaders for treason.* [47] From 26 until 36 AD, Emperor Guangwu had to wage war against other regional warlords who claimed the title of emperor; when these warlords were defeated, China reunified under the Han.* [48] The period between the foundation of the Han dynasty and Wang Mang's reign is known as the Western Han dynasty (simplified Chinese: 西汉; traditional Chinese: 西 漢; pinyin: Xī Hàn) or Former Han dynasty (simplified Chinese: 前 汉; traditional Chinese: 前 漢; pinyin: Qiánhàn) (206 BC – 9 AD). During this period the capital was at Chang'an (modern Xi'an). From the reign of Guangwu the capital was moved eastward to Luoyang. The era from his reign until the fall of Han is known as the Eastern Han dynasty (simplified Chinese: 东汉; traditional Chinese: 東 漢; pinyin: Dōng Hàn) or the Later Han dynasty (simplified Chinese: 后汉; traditional Chinese: 後漢; pinyin: Hòu Hàn) (25–220 AD).* [49]


Eastern Han

Left image: Western-Han painted ceramic jar decorated with raised reliefs of dragons, phoenixes, and taotie Right image: Reverse side of a Western-Han bronze mirror with painted designs of a flower motif The Eastern Han, also known as the Later Han, formally began on 5 August 25, when Liu Xiu became Emperor Guangwu of Han.* [50] During the widespread rebellion against Wang Mang, the Korean state of Goguryeo was free to raid Han's Korean commanderies; Han did not reaffirm its control over the region until AD 30.* [51] The Trưng Sisters of Vietnam rebelled against Han in AD 40. Their rebellion was crushed by Han general Ma Yuan (d. AD 49) in a campaign from AD 42–43.* [52] Wang Mang renewed hostilities against the Xiongnu, who were estranged from Han until their leader Bi (比), a rival claimant to the throne against his cousin Punu (蒲奴), submitted to Han as a tributary vassal in AD 50. This created two rival Xiongnu states: the Southern Xiongnu led by Bi, an ally of Han, and the Northern Xiongnu led by Punu, an enemy of Han.* [53] During the turbulent reign of Wang Mang, Han lost control over the Tarim Basin, which was conquered by the Northern Xiongnu in AD 63 and used as a base to invade Han's Hexi Corridor in Gansu.* [54] Dou Gu (d. 88 AD) defeated the Northern Xiongnu at the Battle of Yiwulu in AD 73, evicting them from Turpan and chasing them as far as Lake Barkol before establishing a garrison at Hami.* [55] After the new Protector General of the Western Regions Chen Mu (d. AD 75) was killed by allies of the Xiongnu in Karasahr and Kucha, the garrison at Hami was withdrawn.* [56] At the Battle of Ikh Bayan in AD 89, Dou Xian (d. AD 92) defeated the Northern Xiongnu chanyu who then retreated into the Altai Mountains.* [57] After the Northern Xiongnu fled into the Ili River valley in AD 91, the nomadic Xianbei occupied the area from the borders of the Buyeo Kingdom in Manchuria to the Ili River of the Wusun people.* [58] The Xianbei reached their apogee under Tanshihuai (檀石槐) (d. AD 180), who consistently defeated Chinese armies. However, Tanshihuai's confederation disintegrated after his death.* [59] Ban Chao (d. AD 102) enlisted the aid of the Kushan



Empire, occupying the area of modern India, Pakistan, Afghanistan, and Tajikistan, to subdue Kashgar and its ally Sogdiana.* [60] When a request by Kushan ruler Vima Kadphises (r. c. 90–c. 100 AD) for a marriage alliance with the Han was rejected in AD 90, he sent his forces to Wakhan (Afghanistan) to attack Ban Chao. The conflict ended with the Kushans withdrawing because of lack of supplies.* [60] In AD 91, the office of Protector General of the Western Regions was reinstated when it was bestowed on Ban Chao.* [61]

Zhong (d. 107 AD), Emperor He (r. 88–105 AD) had Empress Dowager Dou (d. 97 AD) put under house arrest and her clan stripped of power. This was in revenge for Dou's purging of the clan of his natural mother — Consort Liang—and then concealing her identity from him.* [69] After Emperor He's death, his wife Empress Deng Sui (d. 121 AD) managed state affairs as the regent empress dowager during a turbulent financial crisis and widespread Qiang rebellion that lasted from 107 to 118 AD.* [70]

In addition to tributary relations with the Kushans, the Han Empire received gifts from the Parthian Empire, from a king in modern Burma, from a ruler in Japan, and initiated an unsuccessful mission to Daqin (Rome) in AD 97 with Gan Ying as emissary.* [62] A Roman embassy of Emperor Marcus Aurelius (r. 161–180 AD) is recorded in the Hou Hanshu to have reached the court of Emperor Huan of Han (r. AD 146–168) in AD 166,* [63]* [64] yet Rafe de Crespigny asserts that this was most likely a group of Roman merchants.* [65] Other travelers to Eastern-Han China included Buddhist monks who translated works into Chinese, such as An Shigao of Parthia, and Lokaksema from Kushan-era Gandhara, India.* [66]

When Empress Dowager Deng died, Emperor An (r. 106–125 AD) was convinced by the accusations of the eunuchs Li Run (李閏) and Jiang Jing (江京) that Deng and her family had planned to depose him. An dismissed Deng's clan members from office, exiled them and forced many to commit suicide.* [71] After An's death, his wife, Empress Dowager Yan (d. 126 AD) placed the child Marquess of Beixiang on the throne in an attempt to retain power within her family. However, palace eunuch Sun Cheng (d. 132 AD) masterminded a successful overthrow of her regime to enthrone Emperor Shun of Han (r. 125–144 AD). Yan was placed under house arrest, her relatives were either killed or exiled, and her eunuch allies were slaughtered.* [72] The regent Liang Ji (d. 159 AD), brother of Empress Liang Na (d. 150 AD), had the brother-in-law of Consort Deng Mengnü (later empress) (d. 165 AD) killed after Deng Mengnü resisted Liang Ji's attempts to control her. Afterward, Emperor Huan employed eunuchs to depose Liang Ji, who was then forced to commit suicide.* [73]

Western-Han pottery tomb statuettes of unclothed servants that once had wooden arms and miniature silk clothes, which have eroded over time and since disappeared.* [74] A female servant and male advisor dressed in silk robes, ceramic figurines from the Western Han Era

Eunuchs in state affairs Emperor Zhang's (r. 75–88 AD) reign came to be viewed by later Eastern Han scholars as the high point of the dynastic house.* [67] Subsequent reigns were increasingly marked by eunuch intervention in court politics and their involvement in the violent power struggles of the imperial consort clans.* [68] With the aid of the eunuch Zheng

Students from the Imperial University organized a widespread student protest against the eunuchs of Emperor Huan's court.* [75] Huan further alienated the bureaucracy when he initiated grandiose construction projects and hosted thousands of concubines in his harem at a time of economic crisis.* [76] Palace eunuchs imprisoned the official Li Ying (李膺) and his associates from the Imperial University on a dubious charge of treason. In 167 AD, the Grand Commandant Dou Wu (d. 168 AD) convinced his son-in-law, Emperor Huan, to release them.* [77] However the emperor permanently barred Li Ying and his associates from serving in office, marking



the beginning of the Partisan Prohibitions.* [77]

during the crisis never disbanded their assembled militia power outside of Following Huan's death, Dou Wu and the Grand Tutor forces and used these troops to amass * the collapsing imperial authority. [84] Chen Fan (陳蕃) (d. 168 AD) attempted a coup d'état against the eunuchs Hou Lan (d. 172 AD), Cao Jie (d. 181 AD), and Wang Fu (王甫). When the plot was uncovered, the eunuchs arrested Empress Dowager Dou (d. 172 AD) and Chen Fan. General Zhang Huan (張奐) favored the eunuchs. He and his troops confronted Dou Wu and his retainers at the palace gate where each side shouted accusations of treason against the other. When the retainers gradually deserted Dou Wu, he was forced to commit suicide.* [78] Under Emperor Ling (r. 168–189 AD) the eunuchs had the partisan prohibitions renewed and expanded, while themselves auctioning off top government offices.* [79] Many affairs of state were entrusted to the eunuchs Zhao Zhong (d. 189 AD) and Zhang Rang (d. 189 AD) while Emperor Ling spent much of his time roleplaying with concubines and participating in military parades.* [80] End of the Han dynasty Main article: End of the Han dynasty

A Chinese crossbow mechanism with a buttplate from either the late Warring States Period or the early Han dynasty; made of bronze and inlaid with silver The Partisan Prohibitions were repealed during the Yellow Turban Rebellion and Five Pecks of Rice Rebellion in 184 AD, largely because the court did not want to continue to alienate a significant portion of the gentry class who might otherwise join the rebellions.* [81] The Yellow Turbans and Five-Pecks-of-Rice adherents belonged to two different hierarchical Daoist religious societies led by faith healers Zhang Jue (d. 184 AD) and Zhang Lu (d. 216 AD), respectively. Zhang Lu's rebellion, in modern northern Sichuan and southern Shaanxi, was not quelled until 215 AD.* [82] Zhang Jue's massive rebellion across eight provinces was annihilated by Han forces within a year, however the following decades saw much smaller recurrent uprisings.* [83] Although the Yellow Turbans were defeated, many generals appointed

Animalistic guardian spirits of day and night wearing Chinese robes, Han dynasty paintings on ceramic tile; Michael Loewe writes that the hybrid of man and beast in art and religious beliefs predated the Han and remained popular during the first half of Western Han and the Eastern Han.* [85]

General-in-Chief He Jin (d. 189 AD), half-brother to Empress He (d. 189 AD), plotted with Yuan Shao (d. 202 AD) to overthrow the eunuchs by having several generals march to the outskirts of the capital. There, in a written petition to Empress He, they demanded the eunuchs' execution.* [86] After a period of hesitation, Empress He consented. When the eunuchs discovered this, however, they had her brother He Miao (何苗) rescind the order.* [87] The eunuchs assassinated He Jin on September 22, 189 AD. Yuan Shao then besieged Luoyang's Northern Palace while his brother Yuan Shu (d. 199 AD) besieged the Southern Palace. On September 25 both palaces were breached and approximately two thousand eunuchs were killed.* [88] Zhang Rang had previously fled with Emperor Shao (r. 189 AD) and his brother Liu Xie—the future Emperor Xian of Han (r. 189–220 AD). While being pursued by the Yuan brothers, Zhang committed suicide by jumping into the Yellow River.* [89] General Dong Zhuo (d. 192 AD) found the young emperor and his brother wandering in the countryside. He escorted them safely back to the capital and was made Minister of Works, taking control of Luoyang and forcing Yuan Shao to flee.* [90] After Dong Zhuo demoted Emperor Shao and promoted his brother Liu Xie as Emperor Xian, Yuan Shao led a coalition of former officials and officers against Dong, who burned Luoyang to the ground and resettled the court at Chang'an in May 191 AD. Dong Zhuo later poisoned Emperor Shao.* [91] Dong was killed by his adopted son Lü Bu (d. 198 AD)



in a plot hatched by Wang Yun (d. 192 AD).* [92] Emperor Xian fled from Chang'an in 195 AD to the ruins of Luoyang. Xian was persuaded by Cao Cao (155–220 AD), then Governor of Yan Province in modern western Shandong and eastern Henan, to move the capital to Xuchang in 196 AD.* [93]

Two Han-dynasty red-and-black lacquerwares, one a bowl, the other a tray; usually only wealthy officials, nobles, and merchants could afford domestic luxury items like lacquerwares, which were common commodities produced by skilled artisans and craftsmen.* [99]

Yuan Shao challenged Cao Cao for control over the emperor. Yuan's power was greatly diminished after Cao defeated him at the Battle of Guandu in 200 AD. After Yuan died, Cao killed Yuan Shao's son Yuan Tan (173– 205 AD), who had fought with his brothers over the family inheritance.* [94] His brothers Yuan Shang and Yuan Xi were killed in 207 AD by Gongsun Kang (d. 221 AD), who sent their heads to Cao Cao.* [94]

Each successive rank gave its holder greater pensions and legal privileges. The highest rank, of full marquess, came with a state pension and a territorial fiefdom. Holders of the rank immediately below, that of ordinary marquess, received a pension, but had no territorial rule.* [100] Officials who served in government belonged to the wider commoner social class and were ranked just below nobles in social prestige. The highest government officials could be enfeoffed as marquesses.* [101] By the Eastern Han period, local elites of unattached scholars, teachers, students, and government officials began to identify themselves as members of a larger, nationwide gentry class with shared values and a commitment to mainstream scholarship.* [102] When the government became noticeably corrupt in mid-to-late Eastern Han, many gentrymen even considered the cultivation of morally grounded personal relationships more important than serving in public office.* [103]

After Cao's defeat at the naval Battle of Red Cliffs in 208 AD, China was divided into three spheres of influence, with Cao Cao dominating the north, Sun Quan (182–252 AD) dominating the south, and Liu Bei (161–223 AD) dominating the west.* [95] Cao Cao died in March 220 AD. By December his son Cao Pi (187–226 AD) had Emperor Xian relinquish the throne to him and is known posthumously as Emperor Wen of Wei. This formally ended the Han dynasty and initiated an age of conflict between three states: Cao Wei, Eastern Wu, and Shu Han.* [96] The farmer, or specifically the small landownercultivator, was ranked just below scholars and officials in the social hierarchy. Other agricultural cultivators were of a lower status, such as tenants, wage laborers, and 8.3 Society and culture in rare cases slaves.* [104] Artisans and craftsmen had a legal and socioeconomic status between that of ownerMain article: Society and culture of the Han dynasty cultivator farmers and common merchants.* [105] Stateregistered merchants, who were forced by law to wear white-colored clothes and pay high commercial taxes, were considered by the gentry as social parasites with a 8.3.1 Social class contemptible status.* [106] These were often petty shopIn the hierarchical social order, the emperor was at the keepers of urban marketplaces; merchants such as indusapex of Han society and government. However the em- trialists and itinerant traders working between a network peror was often a minor, ruled over by a regent such as of cities could avoid registering as merchants and were ofpowerful than the vast majority of the empress dowager or one of her male relatives.* [97] ten wealthier and more * government officials. [107] Wealthy landowners, such as Ranked immediately below the emperor were the kings nobles and officials, often provided lodging for retainers * who were of the same Liu family clan. [98] The rest of who provided valuable work or duties, sometimes includsociety, including nobles lower than kings and all coming fighting bandits or riding into battle. Unlike slaves, moners excluding slaves belonged to one of twenty ranks retainers could come and go from their master's home as (ershi gongcheng 二十公乘). they pleased.* [108] Medical physicians, pig breeders, and butchers had a fairly high social status, while occultist diviners, runners, and messengers had low status.* [109]

8.3.2 Marriage, gender, and kinship The Han-era family was patrilineal and typically had four to five nuclear family members living in one household. Multiple generations of extended family members did not occupy the same house, unlike families of later dynasties.* [110] According to Confucian family norms, various family members were treated with different levels of respect and intimacy. For example, there were dif-

76 ferent accepted time frames for mourning the death of a father versus a paternal uncle.* [111] Arranged marriages were normal, with the father's input on his offspring's spouse being considered more important than the mother's.* [112] Monogamous marriages were also normal, although nobles and high officials were wealthy enough to afford and support concubines as additional lovers.* [113] Under certain conditions dictated by custom, not law, both men and women were able to divorce their spouses and remarry.* [114]

CHAPTER 8. HAN DYNASTY then their husband, and then their adult son in old age. However, it is known from contemporary sources that there were many deviations to this rule, especially in regard to mothers over their sons, and empresses who ordered around and openly humiliated their fathers and brothers.* [118] Women were exempt from the annual corvée labor duties, but often engaged in a range of income-earning occupations aside from their domestic chores of cooking and cleaning.* [119] The most common occupation for women was weaving clothes for the family, sale at market or for large textile enterprises that employed hundreds of women. Other women helped on their brothers' farms or became singers, dancers, sorceresses, respected medical physicians, and successful merchants who could afford their own silk clothes.* [120] Some women formed spinning collectives, aggregating the resources of several different families.* [121]

8.3.3 Education, literature, and philosophy

Left image: A Han pottery female servant in silk robes Right image: A Han pottery female dancer in silk robes Apart from the passing of noble titles or ranks, inheritance practices did not involve primogeniture; each son received an equal share of the family property.* [115] Since the father usually sent his adult married sons away with a portion of the family fortune, unlike later dynasties, sons did not always receive their inheritance after the death of their father.* [116] Daughters were not formally included in a father's will, although they did receive a portion of the family fortune through their marriage dowries.* [117]

A fragment of the 'Stone Classics' (熹 平 石 經); these stonecarved Five Classics installed during Emperor Ling's reign along the roadside of the Imperial University (right outside Luoyang) were made at the instigation of Cai Yong (132–192 AD), who feared the Classics housed in the imperial library were being interpolated by University Academicians.* [122]

Women were expected to obey the will of their father, The early Western Han court simultaneously accepted the

8.3. SOCIETY AND CULTURE philosophical teachings of Legalism, Huang-Lao Daoism, and Confucianism in making state decisions and shaping government policy.* [123] However, the Han court under Emperor Wu gave Confucianism exclusive patronage. He abolished all academic chairs or erudites (boshi 博士) not dealing with the Confucian Five Classics in 136 BC and encouraged nominees for office to receive a Confucian-based education at the Imperial University that he established in 124 BC.* [124] Unlike the original ideology espoused by Confucius, or Kongzi (551–479 BC), Han Confucianism in Emperor Wu's reign was the creation of Dong Zhongshu (179–104 BC). Dong was a scholar and minor official who aggregated the ethical Confucian ideas of ritual, filial piety, and harmonious relationships with five phases and yin-yang cosmologies.* [125] Much to the interest of the ruler, Dong's synthesis justified the imperial system of government within the natural order of the universe.* [126] The Imperial University grew in importance as the student body grew to over 30,000 by the 2nd century AD.* [127] A Confucianbased education was also made available at commanderylevel schools and private schools opened in small towns, where teachers earned respectable incomes from tuition payments.* [128]

77 riods of forced hard labor for convicts, and the penalty of death by beheading.* [136] Early Han punishments of torturous mutilation were borrowed from Qin law. A series of reforms abolished mutilation punishments with progressively less-severe beatings by the bastinado.* [137] Acting as a judge in lawsuits was one of many duties of the Magistrates of counties and Administrators of commanderies. Complex, high profile or unresolved cases were often deferred to the Minister of Justice in the capital or even the emperor.* [138] In each Han county was several districts, each overseen by a chief of police. Order in the cities was maintained by government officers in the marketplaces and constables in the neighborhoods.* [139]

8.3.5 Food The most common staple crops consumed during Han were wheat, barley, foxtail millet, proso millet, rice, and beans.* [140] Commonly eaten fruits and vegetables included chestnuts, pears, plums, peaches, melons, apricots, strawberries, red bayberries, jujubes, calabash, bamboo shoots, mustard plant and taro.* [141] Domesticated animals that were also eaten included chickens, Mandarin ducks, geese, cows, sheep, pigs, camels and dogs (various types were bred specifically for food, while most were used as pets). Turtles and fish were taken from streams and lakes. Commonly hunted game, such as owl, pheasant, magpie, sika deer, and Chinese Bamboo Partridge were consumed.* [142] Seasonings included sugar, honey, salt and soy sauce.* [143] Beer and wine were regularly consumed.* [144]

Some important texts were created and studied by scholars. Philosophical works written by Yang Xiong (53 BC – 18 AD), Huan Tan (43 BC – 28 AD), Wang Chong (27– 100 AD), and Wang Fu (78–163 AD) questioned whether human nature was innately good or evil and posed challenges to Dong's universal order.* [129] The Records of the Grand Historian by Sima Tan (d. 110 BC) and his son Sima Qian (145–86 BC) established the standard model for all of imperial China's Standard Histories, such as the Book of Han written by Ban Biao (3–54 AD), his son Ban Gu (32–92 AD), and his daughter Ban Zhao 8.3.6 (45–116 AD).* [130] There were dictionaries such as the Shuowen Jiezi by Xu Shen (c. 58 – c. 147 AD) and the Fangyan by Yang Xiong.* [131] Biographies on important figures were written by various gentrymen.* [132] Han dynasty poetry was dominated by the fu genre, which achieved its greatest prominence during the reign of Emperor Wu.* [133]



Law and order

Han scholars such as Jia Yi (201–169 BC) portrayed the previous Qin dynasty as a brutal regime. However, archaeological evidence from Zhangjiashan and Shuihudi reveal that many of the statutes in the Han law code compiled by Chancellor Xiao He (d. 193 BC) were derived from Qin law.* [134] Woven silk textile from Tomb No. 1 at Mawangdui, Various cases for rape, physical abuse and murder were Changsha, Hunan province, China, 2nd century BC prosecuted in court. Women, although usually having fewer rights by custom, were allowed to level civil and criminal charges against men.* [135] While suspects were jailed, convicted criminals were never imprisoned. Instead, punishments were commonly monetary fines, pe-

The types of clothing worn and the materials used during the Han period depended upon social class. Wealthy folk could afford silk robes, skirts, socks, and mittens, coats made of badger or fox fur, duck plumes, and slippers with



inlaid leather, pearls, and silk lining. Peasants commonly wore clothes made of hemp, wool, and ferret skins.* [145]


Religion, physics


and meta-

A rubbing of a Han pictorial stone showing an ancestral worship hall (citang 祠堂)

An Eastern-Han bronze statuette of a mythical chimera (qilin), 1st century AD

Families throughout Han China made ritual sacrifices of animals and foodstuffs to deities, spirits, and ancestors at temples and shrines, in the belief that these items could be utilized by those in the spiritual realm.* [146] It was thought that each person had a two-part soul: the spirit-soul (hun 魂) which journeyed to the afterlife paradise of immortals (xian), and the body-soul (po 魄) which remained in its grave or tomb on earth and was only reunited with the spirit-soul through a ritual ceremony.* [147] These tombs were commonly adorned with uniquely decorated hollow clay tiles that function also as a doorjamb to the tomb. Otherwise known as tomb tiles, these artifacts feature holes in the top and bottom of the tile allowing it to pivot. Similar tiles have been found in the Chengdu area of Sichuan province in south-central China.* [148]

Daoists formed large hierarchical religious societies such as the Way of the Five Pecks of Rice. Its followers believed that the sage-philosopher Laozi (fl. 6th century BC) was a holy prophet who would offer salvation and good health if his devout followers would confess their sins, ban the worship of unclean gods who accepted meat sacrifices and chant sections of the Daodejing.* [154] Buddhism first entered China during the Eastern Han and was first mentioned in 65 AD.* [155] Liu Ying (d. 71 AD), a half-brother to Emperor Ming of Han (r. 57–75 AD), was one of its earliest Chinese adherents, although Chinese Buddhism at this point was heavily associated with Huang-Lao Daoism.* [156] China's first known Buddhist temple, the White Horse Temple, was erected during Ming's reign.* [157] Important Buddhist canons were translated into Chinese during the 2nd century AD, including the Sutra of Forty-two Chapters, Perfection of Wisdom, Shurangama Sutra, and Pratyutpanna Sutra.* [158]

In addition to his many other roles, the emperor acted as the highest priest in the land who made sacrifices to Heaven, the main deities known as the Five Powers, and the spirits (shen 神) of mountains and rivers.* [149] It was believed that the three realms of Heaven, Earth, and Mankind were linked by natural cycles of yin and yang and the five phases.* [150] If the emperor did not behave according to proper ritual, ethics, and morals, he could disrupt the fine balance of these cosmological cycles and cause calamities such as earthquakes, floods, droughts, epidemics, and swarms of locusts.* [151] It was believed that immortality could be achieved if one 8.4 Government reached the lands of the Queen Mother of the West or Mount Penglai.* [152] Han-era Daoists assembled into small groups of hermits who attempted to achieve immortality through breathing exercises, sexual techniques Main article: Government of the Han dynasty and use of medical elixirs.* [153] By the 2nd century AD,



Central government

A pottery model of a palace from a Han-dynasty tomb; the entrances to the emperor's palaces were strictly guarded by the Minister of the Guards; if it was found that a commoner, official, or noble entered without explicit permission via a tally system, the intruder was subject to execution.* [159] In Han government, the emperor was the supreme judge and lawgiver, the commander-in-chief of the armed forces and sole designator of official nominees appointed to the top posts in central and local administrations; those who earned a 600-dan salary-rank or higher.* [160] Theoretically, there were no limits to his power. However, state organs with competing interests and institutions such as the court conference (tingyi 廷議)—where ministers were convened to reach majority consensus on an issue —pressured the emperor to accept the advice of his ministers on policy decisions.* [161] If the emperor rejected a court conference decision, he risked alienating his high ministers. Nevertheless, emperors sometimes did reject the majority opinion reached at court conferences.* [162] Below the emperor were his cabinet members known as the Three Councillors of State. These were the Chancellor/Minister over the Masses, Imperial Counselor/Excellency of Works, and Grand Commandant/Grand Marshal.* [163] The Chancellor, whose title was changed to 'Minister over the Masses' in 8 BC, was chiefly responsible for drafting the government budget. The Chancellor's other duties included managing provincial registers for land and population, leading court conferences, acting as judge in lawsuits and recommending nominees for high office. He could appoint officials below the salary-rank of 600-shi.* [164] The Imperial Counselor's chief duty was to conduct disciplinary procedures for officials. He shared similar duties with the Chancellor, such as receiving annual provincial reports. However, when his title was changed to Minster of Works in 8 BC, his chief duty became oversight of public works projects.* [165]

79 Commandant in 51 AD, was the irregularly posted commander of the military and then regent during the Western Han period. In the Eastern Han era he was chiefly a civil official who shared many of the same censorial powers as the other two Councillors of State.* [166]

A scene of historic paragons of filial piety conversing with one another, Chinese painted artwork on a lacquered basketwork box, excavated from an Eastern-Han tomb of what was the Chinese Lelang Commandery in modern North Korea

Ranked below the Three Councillors of State were the Nine Ministers, who each headed a specialized ministry. The Minister of Ceremonies was the chief official in charge of religious rites, rituals, prayers and the maintenance of ancestral temples and altars.* [167] The Minister of the Household was in charge of the emperor's security within the palace grounds, external imperial parks and wherever the emperor made an outing by chariot.* [168] The Minister of the Guards was responsible for securing and patrolling the walls, towers, and gates of the imperial palaces.* [169] The Minister Coachman was responsible for the maintenance of imperial stables, horses, carriages and coach-houses for the emperor and his palace attendants, as well as the supply of horses for the armed forces.* [170] The Minister of Justice was the chief official in charge of upholding, administering, and interpreting the law.* [171] The Minister Herald was the chief official in charge of receiving honored guests at the imperial court, such as nobles and foreign ambassadors.* [172] The Minister of the Imperial Clan oversaw the imperial court's interactions with the empire's nobility and extended imperial family, such as granting fiefs and titles.* [173] The Minister of Finance was the treasurer for the official bureaucracy and the armed forces who handled tax revenues and set standards for units of measurement.* [174] The Minister Steward served the emperor exclusively, providing him with entertainment and amusements, proper food and clothing, medicine and physical care, valuables and equipment.* [175]

8.4.2 Local government

In descending order of size, the Han Empire, excluding kingdoms and marquessates, was divided into political units of provinces (zhou), commanderies (jun), and counties (xian).* [178] A county was divided into several The Grand Commandant, whose title was changed to districts, the latter composed of a group of hamlets, each Grand Marshal in 119 BC before reverting to Grand containing about a hundred families.* [179]* [180]



8.4.3 Kingdoms and marquessates Main article: Kings of the Han dynasty Kingdoms —roughly the size of commanderies —were ruled exclusively by the emperor's male relatives as semiautonomous fiefdoms. Before 157 BC some kingdoms were ruled by non-relatives, granted to them in return for their services to Emperor Gaozu. The administration of each kingdom was very similar to that of the central government.* [186] Although the emperor appointed the Chancellor of each kingdom, kings appointed all the remaining civil officials in their fiefs.* [187] However, in 145 BC, after several insurrections by the kings, Emperor Jing removed the kings' rights to appoint officials with salaries higher than 400-dan.* [188] The Imperial Counselors and Nine Ministers (excluding the Minister Coachman) of every kingdom were abolished, although the Chancellor was still appointed by the central government.* [188] With these reforms, kings were reduced to being nominal heads of their fiefs, gaining a personal income from only a portion of the taxes collected in their kingdom.* [189] Similarly, the officials in the administrative staff of a full marquess's fief were appointed by the central governA pottery dog found in a Han tomb wearing a decorative dog ment. A marquess's Chancellor was ranked as the equivcollar, indicating their domestication as pets,* [176] while it is alent of a county Prefect. Like a king, the marquess colknown from written sources that the emperor's imperial parks lected a portion of the tax revenues in his fief as personal had kennels for hunting dogs.* [177] income.* [190] The heads of provinces, whose official title was changed from Inspector to Governor and vice versa several times during Han, were responsible for inspecting several commandery-level and kingdom-level administrations.* [181] On the basis of their reports, the officials in these local administrations would be promoted, demoted, dismissed or prosecuted by the imperial court.* [182] A governor could take various actions without permission from the imperial court. The lower-ranked inspector had executive powers only during times of crisis, such as raising militias across the commanderies under his jurisdiction to suppress a rebellion.* [178] A commandery consisted of a group of counties, and was headed by an Administrator.* [178] He was the top civil and military leader of the commandery and handled defense, lawsuits, seasonal instructions to farmers and recommendations of nominees for office sent annually to the capital in a quota system first established by Emperor Wu.* [183] The head of a large county of about 10,000 households was called a Prefect, while the heads of smaller counties were called Chiefs, and both could be referred to as Magistrates.* [184] A Magistrate maintained law and order in his county, registered the populace for taxation, mobilized commoners for annual corvée duties, repaired schools and supervised public works.* [185]

8.4.4 Military At the beginning of the Han dynasty, every male commoner aged twenty-three was liable for conscription into the military. The minimum age for the military draft was reduced to twenty after Emperor Zhao's (r. 87–74 BC) reign.* [191] Conscripted soldiers underwent one year of training and one year of service as non-professional soldiers. The year of training was served in one of three branches of the armed forces: infantry, cavalry or navy.* [192] The year of active service was served either on the frontier, in a king's court or under the Minister of the Guards in the capital. A small professional (paid) standing army was stationed near the capital.* [192] During the Eastern Han, conscription could be avoided if one paid a commutable tax. The Eastern Han court favored the recruitment of a volunteer army.* [193] The volunteer army comprised the Southern Army (Nanjun 南軍), while the standing army stationed in and near the capital was the Northern Army (Beijun 北軍).* [194] Led by Colonels (Xiaowei 校 尉), the Northern Army consisted of five regiments, each composed of several thousand soldiers.* [195] When central authority collapsed after 189 AD, wealthy landowners, members of the aristocracy/nobility, and regional military-governors relied upon their retainers to act as their own personal troops (buqu



8.5.1 Variations in currency

A wushu (五銖) coin issued during the reign of Emperor Wu (r. 141–87 BC), 25.5 mm in diameter

The Han dynasty inherited the ban liang coin type from the Qin. In the beginning of the Han, Emperor Gaozu closed the government mint in favor of private minting of coins. This decision was reversed in 186 BC by his widow Grand Empress Dowager Lü Zhi (d. 180 BC), who abolished private minting.* [198] In 182 BC, Lü Zhi issued a bronze coin that was much lighter in weight than previous coins. This caused widespread inflation that was not reduced until 175 BC when Emperor Wen allowed private minters to manufacture coins that were precisely 2.6 g (0.09 oz) in weight.* [198]

An Eastern-Han pottery soldier, with a now-faded coating of paint, is missing a weapon.

In 144 BC Emperor Jing abolished private minting in favor of central-government and commandery-level minting; he also introduced a new coin.* [199] Emperor Wu introduced another in 120 BC, but a year later he abandoned the ban liangs entirely in favor of the wushu (五銖) coin, weighing 3.2 g (0.11 oz).* [200] The wushu became China's standard coin until the Tang dynasty (618–907 AD). Its use was interrupted briefly by several new currencies introduced during Wang Mang's regime until it was reinstated in 40 AD by Emperor Guangwu.* [201]

Since commandery-issued coins were often of inferior quality and lighter weight, the central government closed commandery mints and monopolized the issue of coinage 部曲).* [196] in 113 BC. This Central government issuance of coinage During times of war, the volunteer army was increased, was overseen by the Superintendent of Waterways and and a much larger militia was raised across the coun- Parks, this duty being transferred to the Minister of Fi* try to supplement the Northern Army. In these circum- nance during Eastern Han. [202] stances, a General (Jiangjun 將軍) led a division, which was divided into regiments led by Colonels and sometimes Majors (Sima 司馬). Regiments were divided into 8.5.2 Taxation and property companies and led by Captains. Platoons were the smallAside from the landowner's land tax paid in a portion est units of soldiers.* [197] of their crop yield, the poll tax and property taxes were paid in coin cash.* [203] The annual poll tax rate for adult men and women was 120 coins and 20 coins for minors. Merchants were required to pay a higher rate of 8.5 Economy 240 coins.* [204] The poll tax stimulated a money economy that necessitated the minting of over 28,000,000,000 Main article: Economy of the Han dynasty coins from 118 BC to 5 AD, an average of 220,000,000 coins a year.* [205]


CHAPTER 8. HAN DYNASTY more popular.* [214]

8.5.3 Private manufacture and government monopolies

Left image: Eastern-Han tomb models of towers with dougong brackets supporting balconies, 1st–2nd century AD. Zhang Heng (78–139 AD) described the large imperial park in the suburbs of Chang'an as having tall towers where archers would shoot stringed arrows from the top in order to entertain the Western Han emperors.* [206] Right image: A painted ceramic architectural model— found in an Eastern-Han tomb at Jiazuo, Henan province —depicting a fortified manor with towers, a courtyard, verandas, tiled rooftops, dougong support brackets, and a covered bridge extending from the third floor of the main tower to the smaller watchtower.* [207] The widespread circulation of coin cash allowed successful merchants to invest money in land, empowering the very social class the government attempted to suppress through heavy commercial and property taxes.* [208] Emperor Wu even enacted laws which banned registered merchants from owning land, yet powerful merchants were able to avoid registration and own large tracts of land.* [209]

A Han-dynasty iron Ji (halberd) and iron dagger

In the early Western Han, a wealthy salt or iron industrialist, whether a semi-autonomous king or wealthy merchant, could boast funds that rivaled the imperial treasury and amass a peasant workforce of over a thousand. This kept many peasants away from their farms and denied the government a significant portion of its land tax revenue.* [215] To eliminate the influence of such private entrepreneurs, Emperor Wu nationalized the salt and iron industries in 117 BC and allowed many of the former industrialists to become officials administering the monopolies.* [216] By Eastern Han times, the central government monopolies were repealed in favor of production by commandery and county administrations, as well as private businessmen.* [217]

The small landowner-cultivators formed the majority of the Han tax base; this revenue was threatened during the latter half of Eastern Han when many peasants fell into debt and were forced to work as farming tenants for wealthy landlords.* [210] The Han government enacted reforms in order to keep small landowner-cultivators out of debt and on their own farms. These reforms included reducing taxes, temporary remissions of taxes, granting loans and providing landless peasants temporary lodging and work in agricultural colonies until they could recover from their debts.* [211]

Liquor was another profitable private industry nationalized by the central government in 98 BC. However, this was repealed in 81 BC and a property tax rate of two coins for every 0.2 L (0.05 gallons) was levied for those who traded it privately.* [218] By 110 BC Emperor Wu also interfered with the profitable trade in grain when he eliminated speculation by selling government-stored grain at a lower price than demanded by merchants.* [219] Apart from Emperor Ming's creation of a short-lived Office for Price Adjustment and Stabilization, which was abolished in 68 AD, central-government price control regulations were largely absent during the Eastern Han.* [220]

In 168 BC, the land tax rate was reduced from onefifteenth of a farming household's crop yield to onethirtieth,* [212] and later to a one-hundredth of a crop yield for the last decades of the dynasty. The consequent loss of government revenue was compensated for by increasing property taxes.* [213]

8.6 Science, technology, and engineering

Main article: Science and technology of the Han dynasty The labor tax took the form of conscripted labor for one The Han dynasty was a unique period in the development month per year, which was imposed upon male common- of premodern Chinese science and technology, compaers aged fifteen to fifty-six. This could be avoided in East- rable to the level of scientific and technological growth ern Han with a commutable tax, since hired labor became during the Song dynasty (960–1279).* [221]



The ruins of a Han-dynasty watchtower made of rammed earth at Dunhuang, Gansu province, the eastern edge of the Silk Road


Writing materials

Typical ancient Chinese writing materials were bronzewares and animal bones. By the beginning of the Han dynasty, the chief writing materials were clay tablets, silk cloth, and rolled scrolls made from bamboo strips sewn together with hempen string; these were passed through drilled holes and secured with clay stamps.* [222] The oldest known Chinese piece of hard, hempen wrapping paper dates to the 2nd century BC. The standard papermaking process was invented by Cai Lun (50– 121 AD) in 105 AD.* [223] The oldest known surviving piece of paper with writing on it was found in the ruins of a Han watchtower that had been abandoned in 110 AD, in Inner Mongolia.* [224]


Metallurgy and agriculture

Evidence suggests that blast furnaces, that convert raw iron ore into pig iron, which can be remelted in a cupola furnace to produce cast iron by means of a cold blast and hot blast, were operational in China by the late Spring and Autumn period (722–481 BC).* [225] The bloomery was nonexistent in ancient China; however, the Han-era Chinese produced wrought iron by injecting excess oxygen into a furnace and causing decarburization.* [226] Cast iron and pig iron could be converted into wrought iron and steel using a fining process.* [227] The Han-era Chinese used bronze and iron to make a range of weapons, culinary tools, carpenters' tools and domestic wares.* [228] A significant product of these improved iron-smelting techniques was the manufacture of new agricultural tools. The three-legged iron seed drill, invented by the 2nd century BC, enabled farmers to carefully plant crops in rows instead of casting seeds out by hand.* [229] The heavy moldboard iron plow, also invented during the Han dynasty, required only one man to control it, two oxen to pull it. It had three plowshares, a seed box for the drills, a tool which turned down the soil

A pair of Eastern-Han iron scissors

and could sow roughly 45,730 m2 (11.3 acres) of land in a single day.* [230] To protect crops from wind and drought, the Grain Intendant Zhao Guo (趙過) created the alternating fields system (daitianfa 代田法) during Emperor Wu's reign. This system switched the positions of furrows and ridges between growing seasons.* [231] Once experiments with this system yielded successful results, the government officially sponsored it and encouraged peasants to use it.* [231] Han farmers also used the pit field system (aotian 凹田) for growing crops, which involved heavily fertilized pits that did not require plows or oxen and could be placed on sloping terrain.* [232] In southern and small parts of central Han-era China, paddy fields were chiefly used to grow rice, while farmers along the Huai River used transplantation methods of rice production.* [233]

8.6.3 Structural engineering Timber was the chief building material during the Han dynasty; it was used to build palace halls, multi-story residential towers and halls and single-story houses.* [235] Because wood decays rapidly, the only remaining evidence of Han wooden architecture is a collection of scattered ceramic roof tiles.* [236] The oldest surviving wooden halls in China date to the Tang dynasty (618– 907 AD).* [237] Architectural historian Robert L. Thorp points out the scarcity of Han-era archaeological remains, and claims that often unreliable Han-era literary and



An Eastern-Han vaulted tomb chamber at Luoyang made of small bricks

many of them featuring archways, vaulted chambers, and domed roofs.* [244] Underground vaults and domes did not require buttress supports since they were held in place by earthen pits.* [245] The use of brick vaults and domes in aboveground Han structures is unknown.* [245]

A stone-carved pillar-gate, or que (é&#x2014;&#x2022;), 6 m (20 ft) in total height, located at the tomb of Gao Yi in Ya'an, Sichuan province, Eastern Han dynasty* [234]

From Han literary sources, it is known that woodentrestle beam bridges, arch bridges, simple suspension bridges, and ďŹ&#x201A;oating pontoon bridges existed in Han China.* [246] However, there are only two known references to arch bridges in Han literature,* [247] and only a single Han relief sculpture in Sichuan depicts an arch bridge.* [248]

artistic sources are used by historians for clues about lost Underground mine shafts, some reaching depths over 100 metres (330 ft), were created for the extraction of metal Han architecture.* [238] ores.* [249] Borehole drilling and derricks were used to Though Han wooden structures decayed, some Han- lift brine to iron pans where it was distilled into salt. dynasty ruins made of brick, stone, and rammed earth re- The distillation furnaces were heated by natural gas funmain intact. This includes stone pillar-gates, brick tomb neled to the surface through bamboo pipelines.* [250] chambers, rammed-earth city walls, rammed-earth and Dangerous amounts of additional gas were siphoned oďŹ&#x20AC; brick beacon towers, rammed-earth sections of the Great via carburetor chambers and exhaust pipes.* [251] Wall, rammed-earth platforms where elevated halls once stood, and two rammed-earth castles in Gansu.* [239] The ruins of rammed-earth walls that once surrounded 8.6.4 Mechanical and hydraulic engineerthe capitals Chang'an and Luoyang still stand, along ing with their drainage systems of brick arches, ditches, and ceramic water pipes.* [240] Monumental stone pillargates, twenty-nine of which survive from the Han period, formed entrances of walled enclosures at shrine and tomb sites.* [241] These pillars feature artistic imitations of wooden and ceramic building components such as roof tiles, eaves, and balustrades.* [242] The courtyard house is the most common type of home portrayed in Han artwork.* [235] Ceramic architectural models of buildings, like houses and towers, were found in Han tombs, perhaps to provide lodging for the dead in the afterlife. These provide valuable clues about lost wooden architecture. The artistic designs found on ceramic roof tiles of tower models are in some cases exact matches to Han roof tiles found at archaeological A Han-dynasty pottery model of two men operating a winnowing sites.* [243] machine with a crank handle and a tilt hammer used to pound Over ten Han-era underground tombs have been found, grain.



Evidence of Han-era mechanical engineering comes largely from the choice observational writings of sometimes disinterested Confucian scholars. Professional artisan-engineers (jiang 匠) did not leave behind detailed records of their work.* [252] Han scholars, who often had little or no expertise in mechanical engineering, sometimes provided insufficient information on the various technologies they described.* [253] Nevertheless, some Han literary sources provide crucial information. For example, in 15 BC the philosopher Yang Xiong described the invention of the belt drive for a quilling machine, which was of great importance to early textile manufacturing.* [254] The inventions of the artisan-engineer Ding Huan (丁緩) are mentioned in the Miscellaneous Notes on the Western Capital.* [255] Around 180 AD, Ding created a manually operated rotary fan used for air conditioning within palace buildings.* [256] Ding also used gimbals as pivotal supports for one of his incense burners and invented the world's first known zoetrope lamp.* [257] Modern archaeology has led to the discovery of Han artwork portraying inventions which were otherwise absent in Han literary sources. As observed in Han miniature tomb models, but not in literary sources, the crank handle was used to operate the fans of winnowing machines that separated grain from chaff.* [258] The odometer cart, invented during Han, measured journey lengths, using mechanical figures banging drums and gongs to indicate each distance traveled.* [259] This invention is depicted in Han artwork by the 2nd century AD, yet detailed written descriptions were not offered until the 3rd century AD.* [260] Modern archaeologists have also unearthed specimens of devices used during the Han dynasty, for example a pair of sliding metal calipers used by craftsmen for making minute measurements. These calipers contain inscriptions of the exact day and year they were manufactured. These tools are not mentioned in any Han literary sources.* [261]

A modern replica of Zhang Heng's seismometer

pressure head of the inflow water clock, Zhang was the first in China to install an additional tank between the reservoir and inflow vessel.* [268] Zhang also invented a seismometer (Houfeng didong yi 候风地动仪) in 132 AD to detect the exact cardinal or ordinal direction of earthquakes from hundreds of kilometers away.* [269] This employed an inverted pendulum that, when disturbed by ground tremors, would trigger a set of gears that dropped a metal ball from one of eight dragon mouths (representing all eight directions) into a metal toad's mouth.* [270]

8.6.5 Mathematics

The waterwheel appeared in Chinese records during the Han. As mentioned by Huan Tan in about 20 AD, they were used to turn gears that lifted iron trip hammers, and were used in pounding, threshing and polishing grain.* [262] However, there is no sufficient evidence for the watermill in China until about the 5th century.* [263] The Nanyang Commandery Administrator Du Shi (d. 38 AD) created a waterwheel-powered reciprocator that worked the bellows for the smelting of iron.* [264] Waterwheels were also used to power chain pumps that lifted water to raised irrigation ditches. The chain pump was first mentioned in China by the philosopher Wang Chong in his 1st-century-AD Balanced Discourse.* [265]

Three Han mathematical treatises still exist. These are the Book on Numbers and Computation, the Arithmetical Classic of the Gnomon and the Circular Paths of Heaven and the Nine Chapters on the Mathematical Art. Hanera mathematical achievements include solving problems with right-angle triangles, square roots, cube roots, and matrix methods,* [271] finding more accurate approximations for pi,* [272] providing mathematical proof of the Pythagorean theorem,* [273] use of the decimal fraction,* [274] Gaussian elimination to solve linear equations,* [275] and continued fractions to find the roots of equations.* [276]

The armillary sphere, a three-dimensional representation of the movements in the celestial sphere, was invented in Han China by the 1st century BC.* [266] Using a water clock, waterwheel and a series of gears, the Court Astronomer Zhang Heng (78–139 AD) was able to mechanically rotate his metal-ringed armillary sphere.* [267] To address the problem of slowed timekeeping in the

One of the Han's greatest mathematical advancements was the world's first use of negative numbers. Negative numbers first appeared in the Nine Chapters on the Mathematical Art as black counting rods, where positive numbers were represented by red counting rods.* [277] Negative numbers are used in the Bakhshali manuscript of ancient India, but its exact date of compilation is un-



known.* [278] Negative numbers were also used by the model, Wang Chong accurately described the water cycle Greek mathematician Diophantus in about 275 AD, but of the evaporation of water into clouds.* [287] were not widely accepted in Europe until the 16th century AD.* [279]

8.6.7 Cartography, ships, and vehicles

A Han-dynasty era mold for making bronze gear wheels (Shanghai Museum)

The Han applied mathematics to various diverse disci- An early Western-Han silk map found in tomb 3 of Mawangdui, plines. In musical tuning, Jing Fang (78–37 BC) real- depicting the Kingdom of Changsha and Kingdom of Nanyue in ized that 53 perfect fifths was approximate to 31 octaves southern China (note: the south direction is oriented at the top). while creating a musical scale of 60 tones, calculating the difference at 177147 ⁄176776 (the same value of 53 equal temperament discovered by the German mathematician Nicholas Mercator [1620–1687], i.e. 353 /284 ).* [280]



Mathematics were essential in drafting the astronomical calendar, a lunisolar calendar that used the Sun and Moon as time-markers throughout the year.* [281] Use of the ancient Sifen calendar (古四分历), which measured the tropical year at 3651 ⁄4 days, was replaced in 104 BC with the Taichu calendar (太初历) that measured the tropical year at 365385 ⁄1539 days and the lunar month at 2943 ⁄81 days.* [282] However, Emperor Zhang later reinstated the An Eastern-Han pottery ship model with a steering rudder at the stern and anchor at the bow Sifen calendar.* [283] Han Chinese astronomers made star catalogues and detailed records of comets that appeared in the night sky, including recording the 12 BC appearance of the comet now known as Halley's comet.* [284]

Evidence found in Chinese literature, and archaeological evidence, show that cartography existed in China before the Han.* [288] Some of the earliest Han maps discovered were ink-penned silk maps found amongst the Mawangdui Silk Texts in a 2nd-century-BC tomb.* [289] The general Ma Yuan created the world's first known raised-relief map from rice in the 1st century AD.* [290] This date could be revised if the tomb of Qin Shi Huang is excavated and the account in the Records of the Grand Historian concerning a model map of the empire is proven to be true.* [290]

Han-era astronomers adopted a geocentric model of the universe, theorizing that it was shaped like a sphere surrounding the earth in the center.* [285] They assumed that the Sun, Moon, and planets were spherical and not disc-shaped. They also thought that the illumination of the Moon and planets was caused by sunlight, that lunar eclipses occurred when the Earth obstructed sunlight falling onto the Moon, and that a solar eclipse oc- Although the use of the graduated scale and grid reference curred when the Moon obstructed sunlight from reach- for maps was not thoroughly described until the published ing the Earth.* [286] Although others disagreed with his work of Pei Xiu (224–271 AD), there is evidence that in

8.8. REFERENCES the early 2nd century AD, cartographer Zhang Heng was the first to use scales and grids for maps.* [291] The Han-era Chinese sailed in a variety of ships differing from those of previous eras, such as the tower ship. The junk design was developed and realized during Han. Junks featured a square-ended bow and stern, a flat-bottomed hull or carvel-shaped hull with no keel or sternpost, and solid transverse bulkheads in the place of structural ribs found in Western vessels.* [292] Moreover, Han ships were the first in the world to be steered using a rudder at the stern, in contrast to the simpler steering oar used for riverine transport, allowing them to sail on the high seas.* [293]

87 • Family tree of the Han dynasty • First Chinese domination (History of Vietnam) • Mawangdui • Shuanggudui • Southward expansion of the Han dynasty • Ten Attendants

8.8 References

Although ox-carts and chariots were previously used in 8.8.1 Citations China, the wheelbarrow was first used in Han China in the 1st century BC.* [294] Han artwork of horse-drawn [1] Turchin, Peter; Adams, Jonathan M.; Hall, Thomas D (December 2006). “East-West Orientation of Historichariots shows that the Warring-States-Era heavy wooden cal Empires”. Journal of world-systems researc h 12 (2): yoke placed around a horse's chest was replaced by the 219–229. ISSN 1076-156X. Retrieved 12 August 2010. * softer breast strap. [295] Later, during the Northern Wei (386–534 AD), the fully developed horse collar was in- [2] Nishijima (1986), 595–596. vented.* [295] [3] Zhou (2003), 34.



[4] Schaefer (2008), 279. [5] Bailey (1985), pp. 25–26

Han-era medical physicians believed that the human body was subject to the same forces of nature that governed the greater universe, namely the cosmological cycles of yin and yang and the five phases. Each organ of the body was associated with a particular phase. Illness was viewed as a sign that qi or “vital energy”channels leading to a certain organ had been disrupted. Thus, Han-era physicians prescribed medicine that was believed to counteract this imbalance.* [296] For example, since the wood phase was believed to promote the fire phase, medicinal ingredients associated with the wood phase could be used to heal an organ associated with the fire phase.* [297] To this end, the physician Zhang Zhongjing (c. 150–c. 219 AD) prescribed regulated diets rich in certain foods that were thought to curb specific illnesses. These are now known to be nutrition disorders caused by the lack of certain vitamins consumed in one's diet.* [298] Besides dieting, Han physicians also prescribed moxibustion, acupuncture, and calisthenics as methods of maintaining one's health.* [299] When surgery was performed by the physician Hua Tuo (d. 208 AD), he used anesthesia to numb his patients' pain and prescribed a rubbing ointment that allegedly sped the process of healing surgical wounds.* [300]

[6] Loewe (1986), p. 116. [7] Ebrey (1999), 60–61. [8] Loewe (1986), 116–122. [9] Davis (2001), 44–46. [10] Loewe (1986), 122. [11] Hansen (2000), 117–119. [12] Loewe (1986), 122–125. [13] Loewe (1986), 139–144. [14] Bielenstein (1980), 106; Ch'ü (1972), 76. [15] Bielenstein (1980), 105. [16] Di Cosmo (2001), 175–189, 196–198; Torday (1997), 80–81; Yü (1986), 387–388. [17] Torday (1997), 75–77. [18] Jerry Bentley, “Old World Encounters: Cross Cultural Contacts and Exchanges in Pre-Modern Times (New York: Oxford University Press, 1993), 37. [19] Torday (1997), 75 77; Di Cosmo (2001), 190–192.

8.7 See also

[20] Yü (1967), 9–10; Morton and Lewis (2005), 52; Di Cosmo (2001), 192–195.

• Battle of Jushi

[21] Yü (1986), 388–389; Torday (1997), 77, 82–83; Di Cosmo (2002), 195–196.

• Campaign against Dong Zhuo

[22] Torday (1997), 83–84; Yü (1986), 389–390.

• Early Imperial China

[23] Yü (1986), 389–391; Di Cosmo (2001), 211–214.



[24] Torday (1997), 91–92

[51] Yü (1986), 450.

[25] Yü (1986), 390; Di Cosmo (2001), 237–240.

[52] de Crespigny (2007), 562, 660; Yü (1986), 454.

[26] Loewe (1986), 196–197, 211–213; Yü (1986), 395–398.

[53] Bielenstein (1986), 237–238; Yü (1986), 399–400.

[27] Ebrey (1999), 66; Wang (1982), 100.

[54] Yü (1986), 413–414.

[28] Chang (2007), 5–8; Di Cosmo (2002), 241–242; Yü (1986), 391.

[55] Yü (1986), 414–415.

[29] Chang (2007), 34–35. [30] Chang (2007), 6, 15–16, 44–45. [31] Chang (2007), 15–16, 33–35, 42–43. [32] Di Cosmo (2002), 247–249; Morton and Lewis (2005), 54–55; Yü (1986), 407; Ebrey (1999), 69; Torday (1997), 104–117. [33] An (2002), 83; Ebrey (1999), 70. [34] Di Cosmo (2002), 250–251; Yü (1986), 390–391, 409– 411; Chang (2007), 174; Loewe (1986), 198.

[56] Yü (1986), 414–415; de Crespigny (2007), 73. [57] Yü (1986), 414–415; de Crespigny (2007), 171. [58] Yü (1986), 405, 443–444. [59] Yü (1986), 444–446. [60] Torday (1997), 393; de Crespigny (2007), 5–6. [61] Yü (1986), 415–416. [62] de Crespigny (2007), 239–240, 497, 590; Yü (1986), 450–451, 460–461. [63] Chavannes (1907), p. 185.

[35] Ebrey (1999), 83; Yü (1986), 448–453. [64] Hill (2009), p. 27. [36] Wagner (2001), 1–17; Loewe (1986), 160–161; Nishijima (1986), 581–588; Ebrey (1999), 75; Morton and Lewis (2005), 57; see also Hinsch (2002), 21–22.

[65] de Crespigny (2007), 600; Yü (1986), 460–461.

[37] Loewe (1986), 162, 185–206; Paludan (1998), 41; Wagner (2001), 16–19.

[67] de Crespigny (2007), 497, 500, 592.

[38] Bielenstein (1986), 225–226; Huang (1988), 46–48.

[68] Hinsch (2002), 25; Hansen (2000), 136.

[39] Robert Hymes (2000). John Stewart Bowman, ed. Columbia Chronologies of Asian History and Culture. Columbia University Press. pp. 12–13. ISBN 978-0-23111004-4.

[69] Bielenstein (1986), 280–283; de Crespigny (2007), 499, 588–589.

[40] Bielenstein (1986), 227–230. [41] Hinsch (2002), 23–24; Bielenstein (1986), 230–231; Ebrey (1999), 66. [42] Hansen (2000), 134; Bielenstein (1986), 232–234; Morton and Lewis (2005), 58; Lewis (2007), 23.

[66] Akira (1998), 248, 251; Zhang (2002), 75.

[70] Bielenstein (1986), 283–284; de Crespigny (2007), 123– 127. [71] Bielenstein (1986), 284; de Crespigny (2007), 128, 580. [72] Bielenstein (1986), 284–285; de Crespigny (2007), 473– 474, 582–583. [73] Bielenstein (1986), 285–286; de Crespigny (1986), 597– 598.

[43] Hansen (2000), 135; de Crespigny (2007), 196; Bielenstein (1986), 241–244.

[74] Bower (2005), “Standing man and woman,”242–244.

[44] de Crespigny (2007), 568; Bielenstein (1986), 248.

[75] Hansen (2000), 141.

[45] de Crespigny (2007), 197, 560; Bielenstein (1986), 249– 250.

[76] de Crespigny (2007), 597, 599, 601–602; Hansen (2000), 141–142.

[46] de Crespigny (2007), 558–560; Bielenstein (1986) 251– 254.

[77] de Crespigny (2007), 602.

[47] Bielenstein (1986), 251–254; de Crespigny (2007), 196– 198, 560. [48] de Crespigny (2007), 54–55, 269–270, 600–601; Bielenstein (1986), 254–255.

[78] Beck (1986), 319–322. [79] de Crespigny (2007), 511; Beck (1986), 323. [80] de Crespigny (2007), 513–514. [81] de Crespigny (2007), 511.

[49] Hinsch (2002), 24–25.

[82] Ebrey (1986), 628–629.

[50] David R. Knechtges, in The Cambridge History of Chinese Literature, ed. Kang-i Sun Chang and Stephen Owen (Cambridge: Cambridge University Press, 2010): 116.

[83] Beck (1986), 339–340. [84] Ebrey (1999), 84.


[85] Loewe (1994), 38–52. [86] Beck (1986), 339–344. [87] Beck (1986), 344; Zizhi Tongjian, vol. 59. [88] Beck (1986), 344–345; Morton and Lewis (2005), 62. [89] Beck (1986), 345. [90] Beck (1986), 345–346. [91] Beck (1986), 346–349. [92] de Crespigny (2007), 158. [93] Beck (1986), 349–351; de Crespigny (2007), 36. [94] Beck (1986), 351–352; de Crespigny (2007), 36–37. [95] Beck (1986), 352; de Crespigny (2007), 37. [96] Beck (1986), 353–357; Hinsch (2002), 206. [97] Ch'ü (1972), 66–72.


[120] Ch'ü (1972), 54–56; Hinsch (2002), 29, 51, 54, 59–60, 65–68, 70–74, 77–78. [121] Hinsch (2002), 29. [122] de Crespigny (2007), 513; Barbieri-Low (2007), 207; Huang (1988), 57. [123] Csikszentmihalyi (2006), 24–25; Loewe (1994), 128– 130. [124] Kramers (1986), 754–756; Csikszentmihalyi (2006), 7–8; Loewe (1994), 121–125; Ch'en (1986), 769. [125] Kramers (1986), 753–755; Loewe (1994), 134–140. [126] Kramers (1986), 754. [127] Ebrey (1999), 77–78; Kramers (1986), 757. [128] Ch'ü (1972), 103. [129] Ch'en (1986), 773–794. [130] Hardy (1999), 14–15; Hansen (2000), 137–138.

[98] Ch'ü (1972), 76; Bielenstein (1980), 105–107.

[131] Norman (1988), 185; Xue (2003), 161.

[99] Wang (1982), 83–85; Nishijima (1986), 581–583.

[132] Ebrey (1986), 645.

[100] Nishijima (1986), 552–553; Ch'ü (1972), 16. [101] Ch'ü (1972), 84. [102] Ebrey (1986), 631, 643–644; Ebrey (1999), 80. [103] Hansen (2000), 141–142; de Crespigny (2007), 601–602.

[133] Hansen (2000), 137 138; de Crespigny (2007), 1049; Neinhauser et al. (1986), 212; Lewis (2007), 222; Cutter (1989), 25–26. [134] Hulsewé (1986), 525–526; Csikszentmihalyi (2006), 23– 24; Hansen (2000), 110–112.

[104] Ch'ü (1972), 104–111; Nishijima (1986), 556–557; [135] Ebrey (1986), 621–622; Ebrey (1974), 173–174. [136] [105] Ch'ü (1972), 112. [137] [106] Ch'ü (1972), 104–105, 119–120; Nishijima (1986), 576– [138] 577. [107] Nishijima (1986) 576 577; Ch'ü (1972), 114–117.

Hulsewé (1986), 523–530; Hinsch (2002), 82. Hulsewé (1986), 532–535. Hulsewé (1986), 531–533. Hulsewé (1986), 528–529.

[139] Nishijima (1986), 552–553, 576; Loewe (1968), 146– 147.

[108] Ch'ü (1972), 127–128.

[140] Wang (1982), 52. [109] Csikszentmihalyi (2006), 172–173, 179–180; Ch'ü [141] Wang (1982), 53, 206. (1972), 106, 122–127. [110] Hinsch (2002), 46–47; Ch'ü (1972), 3–9. [111] Ch'ü (1972), 9–10. [112] Hinsch (2002), 35; Ch'ü (1972), 34. [113] Ch'ü (1972), 44–47; Hinsch (2002), 38–39. [114] Hinsch (2002), 40–45; Ch'ü (1972), 37–43. [115] Ch'ü (1972), 17. [116] Ch'ü (1972), 6–9.

[142] Wang (1982), 57–58. [143] Hansen (2000), 119–121. [144] Wang (1982), 206; Hansen (2000), 119. [145] Wang (1982), 53, 59–63, 206; Loewe (1968), 139; Ch'ü (1972), 128. [146] Ch'ü (1972), 30–31. [147] Hansen (2000), 119; Csikszentmihalyi (2006), 140–141.

[118] Ch'ü (1972), 49–59.

[148] Birmingham Museum of Art (2010). Birmingham Museum of Art : guide to the collection. [Birmingham, Ala]: Birmingham Museum of Art. p. 21. ISBN 978-1904832-77-5.

[119] Hinsch (2002), 74–75.

[149] Ch'ü (1972), 71.

[117] Ch'ü (1972), 17–18.



[150] Loewe (1994), 55; Csikszentmihalyi (2006), 167; Sun and [183] de Crespigny (2007), 1230–1231; Bielenstein (1980), 96; Kistemaker (1997), 2–3; Ebrey (1999), 78 79. Hsu (1965), 367–368. [151] Ebrey (1999), 78–79; Loewe (1986), 201; de Crespigny [184] de Crespigny (2007), 1230; Bielenstein (1980), 100. (2007), 496, 592. [185] Bielenstein (1980), 100. [152] Loewe (2005),“Funerary Practice in Han Times,”101– [186] Hsu (1965), 360; Bielenstein (1980), 105–106; Loewe 102; Csikszentmihalyi (2006), 116–117. (1986), 126. [153] Hansen (2000), 144. [187] Hsu (1965), 360; Bielenstein (1980), 105–106. [154] Hansen (2000), 144–146. [188] Bielenstein (1980), 105–106. [155] Needham (1972), 112; “Demieville (1986), 821–822.

[189] Chü (1972), 76.

[156] Demiéville (1986), 821–822.

[190] Crespigny (2007), 1230; Bielenstein (1980), 108.

[157] Demiéville (1986), 823.

[191] Chang (2007), 70–71

[158] Akira (1998), 247–251; see also Needham (1972), 112.

[192] Nishijima (1986), 599; Bielenstein (1980), 114.

[159] Ch'ü (1972), 68–69.

[193] de Crespigny (2007), 564–565, 1234.

[160] de Crespigny (2007), 1216; Wang (1949), 141–143.

[194] Bielenstein (1980), 114–115.

[161] Bielenstein (1980), 144; Wang (1949), 173–177.

[195] de Crespigny (2007), 1234; Bielenstein (1980), 117–118.

[162] Ch'ü (1972), 70–71.

[196] Ch'ü (1972), 132–133.

[163] de Crespigny (2007), 1221; Bielenstein (1980), 7–17.

[197] de Crespigny (2007), 1234; Bielenstein (1980), 116, 120– 122.

[164] Wang (1949), 143–144, 145–146, 177; Bielenstein [198] Nishijima (1986), 586. (1980), 7–8, 14.

[165] Wang (1949), 147–148; Bielenstein (1980), 8–9, 15–16. [199] Nishijima (1986), 586–587. [166] Wang (1949), 150; Bielenstein (1980), 10–13.

[200] Nishijima (1986), 587.

[167] de Crespigny (2007), 1222; Wang (1949), 151; Bielen- [201] Ebrey (1986), 609; Bielenstein (1986), 232–233; Nishijima (1986), 587–588. stein (1980), 17–23. [168] de Crespigny (2007), 1222; Bielenstein (1980), 23–24.

[202] Nishijima (1986), 587–588; Bielenstein (1980), 47, 83.

[169] de Crespigny (2007), 1223; Bielenstein (1980), 31.

[203] Nishijima (1986), 600–601.

[170] de Crespigny (2007), 1223; Bielenstein (1980), 34–35.

[204] Nishijima (1986), 598.

[171] Bielenstein (1980), 38; Wang (1949), 154.

[205] Nishijima (1986), 588.

[206] Bulling (1962), 312. [172] de Crespigny (2007), 1223–1224; Bielenstein (1980), 39– 40. [207] Guo (2005), 46–48. [173] Wang (1949), 155; Bielenstein (1980), 41.

[208] Nishijima (1986), 601.

[174] de Crespigny (2007), 1224; Bielenstein (1980), 43.

[209] Nishijima (1986), 577; Ch'ü (1972), 113–114.

[175] de Crespigny (2007), 1224; Bielenstein (1980), 47.

[210] Nishijima (1986), 558–601; Ebrey (1974), 173 174; Ebrey (1999), 74–75.

[176] Wang (1982), 57, 203. [177] Bielenstein (1980), 83. [178] de Crespigny (2007), 1228.

[211] Ebrey (1999), 75; Ebrey (1986), 619–621. [212] Loewe (1986), 149–150; Nishijima (1986), 596–598. [213] Nishijima (1986), 596–598.

[179] Bielenstein (1980), 103. [214] Nishijima (1986), 599; de Crespigny (2007), 564–565. [180] Nishijima (1986), 551–552. [215] Needham (1986c), 22; Nishijima (1986), 583–584. [181] Bielenstein (1980), 90–92; Wang (1949), 158–160. [182] Bielenstein (1980), 91.

[216] Nishijima (1986), 584; Wagner (2001), 1–2; Hinsch (2002), 21–22.



[217] Nishijima (1986), 584; Wagner (2001), 15–17.

[247] Needham (1986c), 171–172.

[218] Nishijima (1986), 600; Wagner (2001), 13–14.

[248] Liu (2002), 56.

[219] Ebrey (1999), 75.

[249] Loewe (1968), 191–194; Wang (1982), 105.

[220] de Crespigny (2007), 605.

[250] Loewe (1968), 191–194; Tom (1989), 103; Ronan (1994), 91.

[221] Jin, Fan, and Liu (1996), 178–179; Needham (1972), [251] Temple (1986), 78–79. 111.

[222] Loewe (1968), 89, 94–95; Tom (1989), 99; Cotterell [252] Needham (1986c), 2, 9; see also Barbieri-Low (2007), 36. (2004), 11–13. [253] Needham (1986c), 2. [223] Buisseret (1998), 12; Needham and Tsien (1986), 1–2, [254] Temple (1986), 54–55. 40–41, 122–123, 228; Day and McNeil (1996), 122. [224] Cotterell (2004), 11.

[255] Barbieri-Low (2007), 197.

[225] Wagner (2001), 7, 36–37, 64–68, 75–76; Pigott (1999), [256] Needham (1986c), 99, 134, 151, 233. 183–184. [257] Temple (1986), 87; Needham (1986b), 123, 233–234. [226] Pigott (1999), 177, 191. [227] Wang (1982), 125; Pigott (1999), 186. [228] Wagner (1993), 336; Wang (1982), 103–105, 122–124.

[258] Temple (1986), 46; Needham (1986c), 116–119, PLATE CLVI. [259] Needham (1986c), 281–285.

[260] Needham (1986c), 283–285. [229] Greenberger (2006), 12; Cotterell (2004), 24; Wang (1982), 54–55. [261] Temple (1986), 86–87; Loewe (1968), 195–196. [230] Nishijima (1986), 563–564; Ebrey (1986), 616–617.

[262] Needham (1986c), 183–184, 390–392.

[231] Nishijima (1986), 561–563.

[263] Needham (1986c), 396–400.

[232] Hinsch (2002), 67–68; Nishijima (1986), 564–566.

[264] de Crespigny (2007), 184; Needham (1986c), 370.

[233] Nishijima (1986), 568–572.

[265] Needham (1986c), 89, 110, 342–344.

[234] Liu (2002), 55.

[266] Needham (1986a), 343.

[235] Ebrey (1999), 76.

[267] de Crespigny (2007), 1050; Needham (1986c), 30, 479 footnote e; Morton and Lewis (2005), 70; Bowman (2000), 595; Temple (1986), 37.

[236] Ebrey (1999) 76; Wang (1982), 1–40. [237] Steinhardt (2004), 228–238. [238] Thorp (1986), 360–378.

[268] de Crespigny (2007), 1050; Needham (1986c), 479 footnote e.

[239] Wang (1982), 1, 30, 39–40, 148–;149; Chang (2007), 91– [269] de Crespigny (2007), 1050; Morton and Lewis (2005), 70. 92; Morton and Lewis (2005), 56; see also Ebrey (1999), [270] Needham (1986a), 626–631. 76; see Needham (1972), Plate V, Fig. 15, for a photo of a Han-era fortress in Dunhuang, Gansu province that has [271] Dauben (2007), 212; Liu, Feng, Jiang, and Zheng (2003), rammed earth ramparts with defensive crenallations at the 9–10. top. [272] Needham (1986a), 99–100; Berggren, Borwein and Bor[240] Wang (1982), 1–39. wein (2004), 27. [241] Steinhardt (2005), “Pleasure Tower Model,”279; Liu [273] Dauben (2007), 219–222; Needham (1986a), 22. (2002), 55. [274] Temple (1986), 139, 142–143 [242] Steinhardt (2005), “Pleasure Tower Model,”279–280; [275] Shen, Crossley, and Lun (1999), 388; Straffin (1998), 166; Liu (2002), 55. Needham (1986a), 24–25, 121. [243] Steinhardt (2005), “Tower Model”283–284. [276] Temple (1986), 142. [244] Wang (1982), 175–178. [277] Temple (1986), 141; Liu, Feng, Jiang, and Zheng (2003), [245] Watson (2000), 108. 9–10. [246] Needham (1986d), 161–188.

[278] Teresi (2002), 65–66.



[279] Temple (1986), 141. [280] McClain and Ming (1979), 212; Needham (1986b), 218– 219. [281] Cullen (2006), 7; Lloyd (1996), 168. [282] Deng (2005), 67. [283] de Crespigny (2007), 498. [284] Loewe (1994), 61, 69; Csikszentmihalyi (2006), 173– 175; Sun and Kristemaker (1997), 5, 21–23; Balchin (2003), 27. [285] Dauben (2007), 214; Sun and Kistemaker (1997), 62; Huang (1988), 64. [286] Needham (1986a), 227, 414. [287] Needham (1986a), 468. [288] Hsu (1993), 90–93; Needham (1986a), 534–535. [289] Hsu (1993), 90–93; Hansen (2000), 125. [290] Temple (1986), 179. [291] de Crespigny (2007), 1050; Hsu (1993), 90–93; Needham (1986a), 538–540; Nelson (1974), 359; Temple (1986), 30. [292] Turnbull (2002), 14; Needham (1986d), 390–391. [293] Needham (1986d), 627–628; Chung (2005), 152; Tom (1989), 103–104; Adshead (2000), 156; Fairbank and Goldman (1998), 93; Block (2003), 93, 123. [294] Needham (1986c), 263–267; Greenberger (2006), 13. [295] Needham (1986c), 308–312, 319–323. [296] Csikszentmihalyi (2006), 181–182; Sun & Kistemaker (1997), 3–4; Hsu (2001), 75. [297] Csikszentmihalyi (2006), 181–182. [298] Temple (1986), 131. [299] de Crespigny (2007) 332; Omura (2003), 15, 19–22; Loewe (1994), 65; Lo (2001), 23. [300] Crespigny (2007), 332.



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CHAPTER 8. HAN DYNASTY • Han dynasty art with video commentary, Minneapolis Institute of Arts • Early Imperial China: A Working Collection of Resources • “Han Culture,”Hanyangling Museum Website

Coordinates: 34°09′21″N 108°56′47″E / 34.15583°N • Wagner, Donald B. (2001). The State and the Iron 108.94639°E Industry in Han China. Copenhagen: Nordic Institute of Asian Studies Publishing. ISBN 87-8706283-6. • Wang, Yu-ch'uan. “An Outline of The Central Government of The Former Han Dynasty,”Harvard Journal of Asiatic Studies, Vol. 12, No. 1/2 (Jun., 1949): pp. 134–187. • Wang, Zhongshu. (1982). Han Civilization. Translated by K.C. Chang and Collaborators. New Haven and London: Yale University Press. ISBN 0-30002723-0. • Xue, Shiqi. (2003).“Chinese lexicography past and present”in Lexicography: Critical Concepts, 158– 173. Edited by R.R.K. Hartmann. London and New York: Routledge. ISBN 0-415-25365-9. • Yü, Ying-shih. (1967). Trade and Expansion in Han China: A Study in the Structure of SinoBarbarian Economic Relations. Berkeley: University of California Press. • Yü, Ying-shih. (1986). “Han Foreign Relations,” in The Cambridge History of China: Volume I: the Ch'in and Han Empires, 221 B.C. – A.D. 220, 377– 462. Edited by Denis Twitchett and Michael Loewe. Cambridge: Cambridge University Press. ISBN 0521-24327-0. • Watson, William. (2000). The Arts of China to AD 900. New Haven: Yale University Press. ISBN 0300-08284-3. • Zhang, Guanuda. (2002). “The Role of the Sogdians as Translators of Buddhist Texts,”in Silk Road Studies VII: Nomads, Traders, and Holy Men Along China's Silk Road, 75–78. Edited by Annette L. Juliano and Judith A. Lerner. Turnhout: Brepols Publishers. ISBN 2-503-52178-9. • Zhou, Jinghao (2003). Remaking China's Public Philosophy for the Twenty-First Century. Westport: Greenwood Publishing Group, Inc. ISBN 0-27597882-6.

8.9 External links • Han dynasty by Minnesota State University

Chapter 9

Jin dynasty (265–420) fied China, but internal conflicts, corruption, and political turmoil quickly weakened the dynasty, and the unification lasted only ten years. Upon the advent of the second Jin emperor, Emperor Hui, various imperial princes tried to grab power in the devastating War of the Eight Princes. The Wu Hu uprising followed, during which large numbers of refugees fled south while the north was occupied by various nomadic groups. This marked the end of the Western Jin dynasty in 316 when the Jin court evacuated to the region south of the Huai River, and the beginning of the Eastern Jin and the Sixteen Kingdoms period. Seven Sages of the Bamboo Grove, an Eastern Jin tomb painting from Nanjing, now located in the Shaanxi Provincial Museum.

The Jin dynasty (simplified Chinese: 晋朝; traditional Chinese: 晉朝; pinyin: Jìn Cháo; Wade–Giles: Chin⁴ch'ao² , IPA: [tɕîn tʂʰɑ̌ ʊ];), was a dynasty in Chinese history, lasting between the years 265 and 420 CE. There are two main divisions in the history of the dynasty, the first being Western Jin (西晉, 265–316) and the second Eastern Jin (東晉, 317–420). Western Jin was founded by Sima Yan, with its capital at Luoyang, while Eastern Jin was begun by Sima Rui, with its capital at Jiankang. The two periods are also known as Liang Jin (兩晉; literally: two Jin) and Sima Jin (司馬晉) by scholars, to distinguish this dynasty from other dynasties that use the same Chinese character, such as the Later Jin dynasty (後 晉).

9.1 Foundation The Sima clan was initially subordinate to the Wei dynasty, but the clan's influence and power grew greatly after the incident at Gaoping tombs in 249. In 263, Sima Zhao unified the lands of Shu and captured Liu Shan. In 264, Zhong Hui rebelled against Sima Zhao. In 265, Sima Yan forced emperor Cao Huan of Wei to abdicate the throne to him, ending Wei and starting Jin (as Emperor Wu). He named his dynasty after the state of Jin of the Spring and Autumn Period that once ruled the Sima clan's home county of Wen in Henei (present day Wen County, Henan). In 280, the Jin conquered Eastern Wu and uni-

Sima Rui founded the Eastern Jin at Jiankang in 317, with its territory stretching across most of today's southern China. The combination of the Eastern Jin and Sixteen Kingdoms period is sometimes called the, “Eastern Jin Sixteen Kingdoms”(東晉十六國). During this period, huge numbers of people moved south from the central plain, stimulating the development of Southern China. The Emperors of Eastern Jin had limited power, owing to their dependence on the support of both local and refugee noble families which possessed military power. These families included the Wang family, including the chancellor Wang Dao, and the Xie family of Xie An and Xie Xuan. Many fangzhen (方鎮; literally: military county) started to have ambitions which resulted in military revolts, like the rebellions of Wang Dun, Su Jun, and the dictatorship of Huan Wen. Even though there was the stated goal of getting back the “northern lost lands”, paranoia within the royal family and a constant string of disruptions to the throne caused the loss of support of many officials. In 383, Former Qin mobilized its troops and intended to conquer Eastern Jin. Faced by the threat of invasion, many Jin officials cooperated hoping to repel the attack. After the battle of Fei river, Xie An, Xie Xuan, and other generals were able to push back the Qin's assault and seized back a huge amount of territory from their enemy. However, more internal political battles from different groups of officials followed Huan Xuan's usurpation of the throne. As civilian administration suffered, more revolts from Sun En, Lu Xun, and the declaration of a new kingdom called Western Shu by the militarist Qiao zong in Eastern Jin's Shu region. Ultimately, Liu Yu's rise ended major chaos and later he took the throne




for himself, marking the ending of the Jin dynasty and (The rival Wu Hu states in the north, which did not recthe start of the Liu Song dynasty, and the Southern and ognize the legitimacy of Jin, would sometimes refer to it Northern Dynasties period of Chinese history. as “Langye.”)

9.2 History Main article: History of the Jin dynasty (265–420) The Western Jin dynasty (西晉, 265–316) was founded

Eastern Jin c. 400 CE

Military crises, such as the rebellions of generals Wang Dun and Su Jun, plagued the Eastern Jin throughout its 104 years of existence. However, the Battle of Fei River turned out to be a major Jin victory, due to the shortlived cooperation of Huan Chong, brother of a great general Huan Wen, and Prime Minister Xie An. Later, Huan Xuan, son of Huan Wen, usurped the throne and changed the dynasty's name to Chu. He, in turn, was toppled by Liu Yu, who after reinstating Emperor An, ordered him strangled and installed his brother, Emperor Gong, in 419. Emperor Gong abdicated in 420 in favor of Liu Yu, ushering in the Liu Song dynasty the first of the Southern dynasties. The Jin Dynasty thus came to an end.

Hunping jar of the Western Jin, with Buddhist figures.

Meanwhile, North China was ruled by the Sixteen Kingdoms, many of which were founded by the Wu Hu. The last of these, Northern Liang, was conquered by the Northern Wei dynasty in 439, ushering in the Northern dynasties period.

by Emperor Wu, better known as Sima Yan. Although it provided a brief period of unity after conquering Eastern Wu in 280, the Jin suffered a devastating civil war, War 9.3 Jin ceramics of the Eight Princes, after which they could not contain the revolt of nomadic tribes known as the Wu Hu. The The Jin dynasty is well known for the quality of its greencapital, Luoyang was captured in 311, and Emperor Huai ish celadon porcelain wares, which immediately followed was captured. His successor, Emperor Min was also capthe development of proto-celadon. Jar designs often intured in Chang'an in 316. corporated animal, as well as Buddhist, figures.* [1] The remnants of the Jin court fled to the east and reestabExamples of Yue ware are also known from the Jin dylished the government at Jiankang, near modern-day nasty.* [2] Nanjing, under a member of the royal family named the Prince of Langye. The prince was proclaimed the Emperor Yuan of the Eastern Jin dynasty (東晉, 317– • Celadon lion-shaped Bixie, Western Jin period, 265– 420) when news of the fall of Chang'an reached the south. 317 CE.



9.8 See also • Chinese sovereign • Ge Hong • List of tributaries of Imperial China • Liu Song dynasty • Northern dynasties • Northern Wei dynasty Yue ware with motif, 3rd century CE, Western Jin, Zhejiang.

• Romance of the Three Kingdoms • Six Dynasties

• Celadon Lian bowl with Buddhist figures, Western Jin, 265–317 CE.

• Sixteen Kingdoms • Southern dynasties

• Celadon jar, Eastern Jin, 317–420 CE. • Celadon jar with brown spots, Eastern Jin, 317-420 CE.

9.9 References • Gernet, Jacques (1990). Le monde chinois. Paris: Armand Colin.

9.4 Imperial Family • Sima's family tree of the Western Jin dynasty Sima Fei 司馬朏 was a descendant of Jin dynasty royalty who fled north to the Xianbei Northern Wei in exile and married the Xianbei Princes Huayang 華陽公主, the daughter of Emperor Xiaowen of Northern Wei. The Song dynasty chancellor Sima Guang (1019–1086) was descended from the Jin Imperial family.

9.5 List of emperors 9.6 Notes [1] Shanghai Museum permanent exhibit [2] Guimet Museum permanent exhibit

9.7 Major events • Battle of Fei River • Butterfly Lovers • War of the Eight Princes • Wu Hu people

9.10 External links • Chinese History, the Jin Dynasty 晉 • Largest Jin Dynasty Tomb Discovered in NW China • Early Imperial China: A Working Collection of Resources • History of China: A good catalogue of info

Chapter 10

Sixteen Kingdoms For the sixteen states that share Elizabeth II as Head of 10.1.1 Initial uprising State, see Commonwealth realm. Main article: Uprising of the Five Barbarians The Sixteen Kingdoms, or less commonly the Sixteen States was a period in Chinese history from 304 to 439 In 304 AD, following the outbreak of civil war in the rulAD in which the political order of northern China broke ing Jin dynasty in China, various ethnic minorities, led down into a series of short-lived sovereign states, most by the Xiongnu, rose up against Chinese rule. By 311 of which were founded by ethnic minority peoples who AD, with the Disaster of Yongjia, ethnic minorities unhad settled in northern China during the preceding cen- der the Xiongnu regime of Han then dominated the North turies and participated in the overthrow of the Eastern China plain.* [1] By 317 AD, Jin forces had been comJin Dynasty in the early 300s. The period ended with the pletely driven out of North China. An attempt to recover unification of northern China by the Northern Wei in the the Central China plain under general Zu Ti (祖逖) was early 400s. initially successful in recovering all of Henan and Shan* The term was first introduced by Cui Hong in the his- dong but ended with Zu's death in 321 AD. [2] torical record Shiliuguo Chunqiu (the Spring and Autumn Annals of the Sixteen Kingdoms) and restricted to sixteen kingdoms of this era, namely the states of Han Zhao, Later Zhao, Cheng Han, Former Liang, Later Liang, 10.1.2 Han Zhao and Later Zhao Northern Liang, Western Liang, Southern Liang, Former Yan, Later Yan, Northern Yan, Southern Yan, Former Main articles: Han Zhao and Later Zhao Qin, Later Qin and Western Qin and Xia. The term has been broadened to include other states that existed between 304 and 439, including Ran Wei, Zhai Wei, and Although the Xiongnu regime of Han (which was Western Yan. The Northern Wei, a kingdom founded changed to Former Zhao) was dominant in North China, during this period but went on to rule all of northern the Jie general Shi Le challenged the Xiongnu's dominance. In 329 AD, Shi le overthrew Former Zhao and China is not considered one of the Sixteen Kingdoms. reunified North China.* [3] Jie rule was extremely brutal, Classical Chinese historians call the period the Sixteen reportedly even using many Chinese girls as provisions Kingdoms of the Five Barbarians because most of the for the army. Later Zhao's rule finally ended with the askingdoms were founded by ethnic Xianbei, Xiongnu, Di, cension of Ran Min in 350 AD. Jie or Qiang rulers, who took on Chinese dynastic names. Han Chinese founded four only states: Northern Yan, Western Liang, Former Liang and Ran Wei.

10.1.3 Rise of Ran Wei

10.1 History

Main articles: Wei-Jie war and Wei-Xianbei war

The Sixteen Kingdoms period was one of the most devastating periods in Chinese history. Following a long period of Chinese dominance since the Qin dynasty, the Uprising of the Five Barbarians took over much of the Chinese heartland. It did not end until the Eastern Jin dynasty reclaimed much of central China while Northern Wei took over the areas north of the Yellow River.

Ran Min, a Chinese, restored native rule to China in 350 AD. However, his rule was opposed by the Jie and other minorities. In response, Ran Min ordered that thousands of ethnic minorities be killed. Attempts to overthrow Ran Wei by the Jie and other ethnicities were largely defeated until the Xianbei invaded Ran Wei in 352 AD and defeated Ran Min.* [4]




Former Yan and Former Qin

Main articles: Former Yan and Former Qin The regime of Former Yan founded by the Xianbei then proceeded to dominate much of North China. Meanwhile, Di tribesmen conquered the region around Shanxi and formed the regime of Former Qin. In 370 AD, Former Qin invaded and conquered Former Yan, unifying most of North China. By 376 AD, after two campaigns against Former Liang and the state of Dai, Former Qin ruler Fu Jian reunified all of North China. The independence of the last Chinese state, the Jin dynasty, was now in danger.* [5]


Huan Wen's expeditions

101 some 300,000 Former Qin troops were routed by an army of 80,000 Jin soldiers. Former Qin then collapsed. After the battle, Jin forces reclaimed much of Henan and Shandong.* [7]

10.1.7 Liu Yu's expeditions Main article: Liu Yu's expeditions In 406, the Jin general Liu Yu began a series of campaigns aimed at reclaiming the Chinese heartland. These campaigns were extraordinarily successful and by 416 Jin forces had reclaimed the two capitals of Luoyang and Chang'an which they had lost a century earlier. However, Chang'an was lost in 417. Nevertheless, Liu Yu's success meant that all Chinese territory up to the Yellow river was now reclaimed, though the North was now under the control of Xianbei Northern Wei.* [8]

10.2 Involvement of other ethnicities The Korean Goguryeo kingdom was a powerful and influential state in northeast China at the beginning of the Sixteen Kingdoms period. Goguryeo was attacked by the Murong Xianbei numerous times, and in 342 Prince Murong Huang of Former Yan captured the Goguryeo capital Hwando (Wandu in Chinese). Under the powerful and dynamic leadership of feudal kings, Goguryeo during the reign of Gwanggaeto the Great successfully invaded the kingdoms of Baekje, Silla, and Dongbuyeo. Riding its success, Goguryeo campaigned against the Later Yan, obtaining the Liao River region. King Murong Xi of Later Territory of the Former Qin kingdom and the Jin dynasty in 376. Yan twice launched retaliatory attacks to reclaim the Liao River watershed territory, but was only partially successful. At Northern Yan's destruction by the Northern Wei, Main article: Huan Wen's expeditions Yan king Feng Hong fled to Goguryeo to seek asylum. Although granted asylum, Hong was said to have acted as The Jin general Huan Wen was determined to reclaim if he was still king, issuing orders and demanding respect, North China for the Chinese Jin dynasty. Between 346 and was executed by King Jangsu of Goguryeo. and 369, Huan Wen launched a series of expeditions against the states in the north, but did not succeed be- The Yuwen Xianbei group Kumo Xi, who lived north of Youzhou, and the Khitan began increasing in strength. In cause of lack of support from the Jin court.* [6] 414, the Kumo Xi tribes sent a trade caravan to Northern Yan, then joined with the Khitan in declaring allegiance to Northern Yan, and then to Northern Wei after its de10.1.6 Collapse of Former Qin struction of Northern Yan. Thus, the Northern Wei (esMain article: Battle of Fei River sentially the Tuoba Xianbei), held de facto rule over the entire Mongolian Plateau and the Liao River region. Attempting to capitalize on his success and conquer all of China, Fu Jian then proceeded to invade the territory of the Jin dynasty, the last Han Chinese state whose conquest would have made Fu Jian the first non-Chinese ruler of China. However, the Jin army rallied and the Chinese forces scored a massive success on the Fei river, where

In the Western Regions (modern Xinjiang) of the former Han Empire lay the kingdoms of Shanshan, Qiuzi, Yutian, Dongshi, and Shule. These kingdoms were often controlled or influenced by the various Liang kingdoms that existed during the Sixteen Kingdoms period. The Former Liang organized Gaochang Commandery (Chi-

102 nese: 高昌郡) and Tiandi County (Chinese: 闐地縣) in the west, both under the administration of the Gaochang Governor. Day-to-day administration was run out of several forts: Western Regions Chief Clerk, Wu and Ji Colonel, and Jade Gate Commissioner of the Army. Other Liangzhou states generally followed this administrative system. In 382, the Former Qin king Fu Jian sent General Lü Guang on a military expedition to the Dayuan kingdom and promoted him to Protector General of the western border regions. After Qin collapsed and Lü Guang founded the Northern Liang, the western border forts and the Shanshan kingdom all became parts of or vassals to the Northern Liang.

10.3 See also • Five Barbarians • Ethnic groups in Chinese history • Sinicization • Avars • Battle of Fei River • Shiliuguo Chunqiu

10.4 Notes [1] Li and Zheng, pg 383 [2] Li and Zheng, pg 391 [3] Li and Zheng, pg 394–395 [4] Li and Zheng, pg 403-404 [5] Li and Zheng, pg 412–413 [6] Li and Zheng, pg 390–392 [7] Li and Zheng, pg 419 [8] Li and Zheng, pg 428–432

10.5 References • Shiliuguo Chunqiu • Li Bo, Zheng Yin,“5000 years of Chinese history” , Inner Mongolian People's publishing corp, ISBN 7-204-04420-7, 2001.


Chapter 11

Southern and Northern Dynasties This article is about the Chinese historical period. For other uses, see Northern and Southern Courts period (disambiguation). The Southern and Northern Dynasties (Chinese:

Northern and Southern Dynasties by 560.

Approximate territories of the Northern Wei (blue) and Liu Song (maroon) states in 440.

南北朝; pinyin: Nánběicháo) was a period in the history of China that lasted from 420 to 589. It is sometimes considered as the latter part of a longer period known as the Six Dynasties (220 to 589).* [1] Though an age of civil war and political chaos, it was also a time of flourishing arts and culture, advancement in technology, and the spreading of Mahayana Buddhism and Daoism. The period saw large-scale migration of Han Chinese people to the lands south of the Yangtze River. During this period the process of sinicization accelerated among the non-Chinese arrivals in the north and among the aboriginal people in the south. This process was also accompanied by the increasing popularity of Buddhism (introduced into China in the 1st century) in both north and south China, along with Daoism gaining influence with two essential Daoist canons written during this period.

Western Jin dynasty helped spur the development of heavy cavalry as a combat standard. Historians also note advances in medicine, astronomy, mathematics, and cartography. The elite culture which was shaped and developed and which helped to shape and develop southern China during this period of time, contributed to the intellectual and social production of such persons as the famous Chinese mathematician and astronomer Zu Chongzhi (429–500), who belonged to this age.

11.1 Background Main articles: End of the Han dynasty, Three Kingdoms, Jin dynasty (265–420) and Sixteen Kingdoms

After the collapse of a united China under the Han dynasty in 220 due in large part to the Yellow Turban and Five Pecks of Rice rebellions, China eventually coalesced into the Three Kingdoms. Of these Three Kingdoms, Cao Wei was the strongest followed by Eastern Wu and Notable technological advances occurred during this pe- Shu Han, but they were initially in a relatively stable forriod. The invention of the stirrup during the earlier mation. After a 249 coup by Sima Yi, the Sima fam103



ily essentially controlled Cao Wei and soon conquered Shu Han. Following a failed coup by the ruling Cao family against the Sima family, the final Cao ruler abdicated. Sima Yan then founded the Jin Dynasty and in 280 conquered Eastern Wu, ending the Three Kingdoms and uniting China again. The Jin dynasty was severely weakened after the War of the Eight Princes from 291 to 306. During the reigns of Emperor Huai of Jin and Emperor Min of Jin, the country was put into grave danger with the uprising of the northern non-Han barbarians collectively known as Wu Hu. Invading barbarian armies almost destroyed the dynasty in the Disaster of Yongjia, which was the 311 sack of Luoyang. Chang'an met a similar fate in the year 316. However, a scion of the royal house, the Prince of Langya (Sima Rui), fled south of the Huai River to salvage what was left in order to sustain the empire. Cementing their power in the south, the Jin established modernday Nanjing (then called Jianye and renamed Jiankang) as their new capital, renaming the dynasty as the Eastern Jin (317–420) since the new capital was located southeast of Luoyang. In the north, the barbarians established numerous kingdoms, leading to the period being known as the Sixteen Kingdoms. Eventually, the Northern Wei conquered the rest of the northern states in 386. Although the Chinese of the Eastern Jin (and successive southern dynasties) were well-defended from the northern barbarians by placement of naval fleets along the Yangtze River, there were still various problems faced with building and maintaining military strength. The designation of specific households for military service in the Tuntian system eventually led to a falling out in their social status, causing widespread desertion of troops on many occasions. Faced with shortage of troop numbers, Jin generals were often sent on campaigns to capture non-Chinese tribesman in the south in order to draft them into the military. The Eastern Jin dynasty fell not because of external invasion, though, but because the general Liu Yu seized the throne from Emperor Gong of Jin, becoming Emperor Wu of Liu Song (reigned 420–422), starting the Southern and Northern dynasties period.

11.2 The Southern dynasties The Jin were supplanted by the Liu Song (420–479), the Southern Qi (479–502), the Liang Dynasty (502–557), and then the Chen dynasty (557–589). Because all of these dynasties had their capital at Jiankang (with the exception of Liang after they moved their capital), they are sometimes grouped together with Eastern Wu and Eastern Jin as the Six Dynasties. The rulers of these shortlived dynasties were generals who seized and then held power for several decades, but were unable to securely pass power of rule onto their heirs to continue their dynasty successfully. Emperor Wu of Liang (502–549), however, was the most notable ruler of his age, being a

A scene of two horseback riders from a wall painting in the tomb of Lou Rui at Taiyuan, Shanxi, Northern Qi dynasty (550–577)

patron of the arts and of Buddhism. Under the later waning leadership of the Chen dynasty, the southern Chinese were unable to resist the military power amassed in the north by Yang Jian, who declared himself Emperor Wen of Sui and invaded the south to reunify China. For a chronology of sovereigns during the Southern dynasties, see this List of Emperors of China's Southern Dynasties.

11.2.1 Liu Song (420–479) Main article: Liu Song Liu Song founder Liu Yu was originally a leader of the Army of the Northern Garrison (北府军) that notably won the Battle of Fei River in 383. In 404, he helped suppress Huan Xuan's rebellion, leading to his dominance over the Eastern Jin court. In order to gain popularity to take the throne, Liu Yu undertook two northern expeditions against the Sixteen Kingdoms, capturing Shandong, Henan, and briefly Guanzhong by 416. He gave up Guanzhong to try to take the throne. Because he believed in a prophecy saying there would be one more emperor after Emperor An of Jin, he deposed Emperor An, and soon afterwards Emperor An's replacement, Emperor Gong of Jin in 420, ending the Eastern Jin dynasty. Even after crowning himself Emperor Wu of Liu Song, he remained diligently frugal. However, he did not care for education and trusted unsavory people. He felt that the nobility (世族) had too much power, so he tended to appoint the lower classes (寒族) to government positions and gave military power to imperial kinsmen. Ironically, because the imperial kinsmen stabilized their military power and wished to gain political power, Emperor Wu was afraid they would have thoughts of usurping the throne. Thus, he frequently killed his kinsmen.

11.2. THE SOUTHERN DYNASTIES After the death of Emperor Wu, his son Emperor Shao of Liu Song ruled briefly before being judged incompetent and killed by government officials led by Xu Xianzhi, replacing him with Emperor Wen of Liu Song, another son of Emperor Wu. Those government officials were soon killed by Emperor Wen. Emperor Wen's reign was a period of relative political stability because of his frugality and good government; the period was called the Yuanjia administration (元嘉之治). In 430, Emperor Wen started a number of northern expeditions against Northern Wei. These were ineffective because of insufficient preparations and excessive micromanagement of his generals, decreasing weakening the dynasty. Because of his jealousy of Tan Daoji, a noted leader of the Army of the Northern Garrison, he deprived himself of a formidable general to the great delight of the Northern Wei. Thus, they were unable to capitalize when Northern Wei suffered the Wuqi Incident. Starting in 445, Northern Wei, taking advantage of Liu Song's weakness, made major incursions in the lands between the Yellow and Huai River (modern Shandong, Hebei, and Henan) and devastating six provinces. Emperor Wen lamented that if Tan were still alive, he would have prevented Northern Wei advances. From then on, Liu Song was in a weakened state.

105 Ming began his reign by killing all the descendants of Emperor Xiaowu, and his suspicious nature resulted in the loss of the provinces north of the Huai River, which were only briefly regained in the other Southern dynasties. Emperor Ming's young son became Emperor Houfei of Liu Song. The political situation was volatile. The general Xiao Daocheng slowly gained power and eventually deposed Emperor Houfei in favor of his brother who became Emperor Shun of Liu Song. After defeating his rival general Shen Youzhi, Xiao forced Emperor Shun to yield to throne and crowned himself as Emperor Gao of Southern Qi, ending the Liu Song dynasty.

11.2.2 Southern Qi (479–502) Main article: Southern Qi Though distantly related, the Southern Qi and the fol-

Emperor Wen was assassinated by Crown Prince Shao and the second prince Jun in 453 after planning to punish them for consorting with witchcraft. However, they were both defeated by the third prince Jun (spelled with a different character than the aforementioned Jun), who become Emperor Xiaowu of Liu Song. Emperor Xiaowu proved to be licentious and cruel, supposedly committing incest with the daughters of an uncle who had helped him gain the throne; his rivals also claimed he had incest with his mother. This led to two rebellions by the imperial A map of the Southern Qi dynasty and Northern Wei dynasty clan, one of which saw him slaughter the inhabitants of (550–577) Guangling. The following ballad gives an idea of those lowing Liang dynasty were members of the Xiao (萧) times: family from Lanling (兰陵, in modern Cangshan County, Shandong). Because Emperor Gao had a low social stand遥望建康城, Looking toward Jiankang city ing, he earned the disdain of nobility. His style of gover小江逆流萦, the little river flows against the nance was similar to the early style of the Liu Song dycurrent nasty and was very economical. He died in the fourth year of his reign and his heir, who was only 13 years younger 前见子杀父, in front, one sees sons killing than him, succeeded him as Emperor Wu of Southern Qi. fathers Emperor Wu made peace with the Northern Wei, content 后见弟杀兄。 and behind, one sees younger to protect his borders. This period of peace was known * brothers killing older brothers a[›] as Yongming Administration (永明之治). He also used Emperor Xiaowu died naturally in 464 and was suc- government secretaries (典签官) appointed with provinceeded by his son, who became Emperor Qianfei of Liu cial governors and members of the imperial clan to monSong. Emperor Qianfei proved to be similar to his fa- itor them. ther, engaging in both kin slaughter and incest. In a scandalous move, because his sister complained about how it was unfair that men were allowed 10,000 concubines, he gave her 30 handsome young men as lovers. His uncle Liu Yu, the Prince of Xiangdong, whom he called the “Prince of Pigs”for his obesity, eventually assassinated him and became Emperor Ming of Liu Song. Emperor

The short reigns of Emperor Wu's grandsons, Xiao Zhaoye and Xiao Zhaowen (his first son predeceased him), were dominated by Xiao Luan, Emperor's Wu's first cousin. He killed them in turn and crowned himself as Emperor Ming of Southern Qi. Using the government secretaries (典签官), he slaughtered all the descendants of Emperors Gao and Wu. Emperor Ming soon became



very ill and started following Daoism, changing his whole wardrobe to red. He also passed an edict making officials try to find silver fish (银鱼). He died in 498 and was succeeded by his son Xiao Baojuan, who killed high officials and governors at whim, sparking many revolts. The final revolt in 501 started after Xiao Baojun killed his prime minister Xiao Yi, leading his brother Xiao Yan to revolt under the banner of Xiao Baojun's brother who was declared Emperor He of Southern Qi. Xiao Baojun was killed by one of his generals during the siege of his capital at Jiankang, and after a short puppet reign by Emperor He, Xiao Yan overthrew the Southern Qi and established the Liang dynasty.


Liang (502–557)

Main article: Liang dynasty Emperor Wu was economical, worked hard at governing, and cared for the common people. His early reign was known as Tianjian Administration (天监之治). The Liang dynasty's military strength gradually surpassed the strength of the Northern Wei, who suffered internal strife due to their policy of sinicization. In 503, the Northern Wei invaded but were defeated at Zhongli (modern Bengbu). Emperor Wu supported the Northern Expeditions but did not aggressively take advantage of his victory in 516 at Shouyang due to heavy casualties. Given the excessive kin-slaughter in the Liu Song and Southern Qi dynasties, Emperor Wu was very lenient to imperial clansmen, not even investigating them when they committed crimes. Because he was very learned, supported scholars, and encouraged the flourishing education system, the Liang dynasty reached a cultural peak. An avid poet, Emperor Wu was fond of gathering many literary talents at court, and even held poetry competitions with prizes of gold or silk for those considered the best.

Emperor Wu of Liang's portrait

rebel Eastern Wei commander Hou Jing, sending him on Northern Expeditions against Eastern Wei. After some initial successes, Liang forces were decisively defeated. Rumors abounded that Emperor Wu intended to give Hou as a peace offering. Despite Emperor Wu's assurances, Hou decided to rebel in the name of Xiao Dong, the grandson of the former crown prince Xiao Tong who died in 531 and was removed from crown prince because of conflicts with his father. Hou surprised Emperor Liang by besieging the Liang capital at Jiankang. Attempts by Liang forces to break the siege failed, and Emperor Wu was forced to negotiate a ceasefire and peace. However, Hou thought that peace was unsustainable, so he broke the ceasefire and captured the palace, leading to the slaughter of the nearby populace. Emperor Wu was starved to death and after the short puppet reigns of crown prince In his later years, however, sycophants surrounded him. Xiao Gang and Xiao Dong, Hou seized power and estabThree times he dedicated his life (舍身) to Buddhism and lished the Han dynasty. tried to become a monk, but each time he was persuaded In spite of conquering Jiankang, Hou essentially only conto return by extravagant court donations to Buddhism. trolled the nearby areas. The rest of the Liang dynasty Furthermore, since Buddhists and Daoists were exempt lands were under the control of members of the impefrom taxation, nearly half of the population fraudulently rial clan. Their squabbling amongst themselves weakened named themselves as such, badly damaging state finances. their efforts to defeat Hou. In the end, Xiao Yi with the Imperial clansmen and officials were also greedy and aid of his generals Wang Sengbian and Chen Baxian dewasteful. feated Hou, crowning himself Emperor Yuan of Liang. Emperor Wu was willing to accept generals who defected from Northern Wei. So when Northern Wei suffered major revolts in their northern garrison towns, he sent his general Chen Qingzhi to support the pretender Yuan Hao. Despite the fact that Chen was only given 7,000 troops, he still managed to defeat army after army and even captured Luoyang, the capital of Northern Wei. Ultimately, Chen was insufficiently supplied and was defeated by troops ten times his size. After the Northern Wei split into Eastern and Western Wei, Emperor Wu granted asylum to

His brother Xiao Ji based in Sichuan was still a major threat. Emperor Yuan asked for assistance from Western Wei to defeat Xiao Ji, but after subduing Xiao Ji, they kept Sichuan. Due to a diplomatic faux pas, he incited the anger of Yuwen Tai, the leading general of Western Wei, which resulted in him being deposed and dying. Western Wei set up the puppet state of Western Liang with capital at Jiangling. Northern Qi also had designs on the Liang throne and sent an expedition under the banner of the a cousin of Emperor Yuan. Chen Baxian and Wang Seng-



bian set up the last surviving son of Emperor Yuan, Xiao Fangzhi, as Liang ruler, but he was not given the imperial title. After some defeats to the forces of Northern Qi, Wang Sengbian allowed their pretender, Xiao Yuanming to establish himself as Emperor Min of Liang. However, Chen Baxian was displeased with the arrangements, and in a surprise move killed Wang and deposed Emperor Min in favor of Xiao Fangzhi who became Emperor Jing of Liang. After a short reign, Chen deposed Emperor Jing and took power himself as Emperor Wu of Chen in 557.


Chen (557–589)

Main article: Chen Dynasty A map of the Chen dynasty along with Northern Zhou, Northern Emperor Wu of Chen came from the region of Wu (a re- Qi and Western Liang extensive efforts at good governance, the economic situation of the South was greatly improved, restoring his kingdom's national strength.

Emperor Wu of Chen's portrait

gion near modern-day Shanghai). At that time, due to the Hou Jing rebellion, the Qiao and Wu clans were greatly weakened, and many independent regimes emerged. Emperor Wu could not pacify all the independent regimes, so he adopted conciliatory measures. After the sudden death of Emperor Wu, his nephew Chen Qian took power as Emperor Wen of Chen. After the fall of Liang, the general Wang Lin had established an independent kingdom based in modern day Hunan and Hubei provinces and was now starting to cause trouble. Wang Lin allied with Northern Zhou and Northern Qi to conquer the Chen capital at Jiankang. Emperor Wen first defeated the combined forces of Northern Qi and Wang Lin before preventing the forces of Northern Zhou from entering the South at Yueyang. Furthermore, through Emperor Wen's

Following the death of Emperor Wen, his son, the weakwilled Chen Bozong, took power and became Emperor Fei of Chen. His uncle, Chen Xu, after essentially controlling the country through his short reign, eventually deposed him and took power as Emperor Xuan of Chen. At that time, the Northern Zhou intended to conquer Northern Qi and thus invited the Chen dynasty to help. Emperor Xuan agreed to help because he wanted to recover the lost territories south of the Huai River. In 573, he sent general Wu Mingche to assist the effort; in two years, he managed to recover he lost territories south of the Huai River. At the time, Northern Qi was in a precarious situation with little military strength and Emperor Xuan could have taken advantage of the opportunity to entirely defeat Northern Qi. However, he only wanted to protect his territories south of the Huai River. Northern Zhou instead took advantage of Northern Qi's weakness and following their defeat of Northern Qi, in 577, they sent troops to the territories south of the Huai River, where they decisively defeated the Chen dynasty forces. The Chen dynasty was in imminent danger. In a stroke of fortune, Northern Zhou's Emperor Wu suddenly died and his general Yang Jian attempted to take the throne. This stopped the southern advance of the Northern Troops. The respite was short though as after Yang Jian defeated his rival General Yuchi Jiong, he usurped the throne from Emperor Jing of Northern Zhou and established the Sui dynasty, crowning himself Emperor Wen of Sui. He proceeded to invade the south to reunify China. Emperor Xuan had just died and his incompetent son Chen Shubao (Houzhu of Chen) took power. He was licentious and wasteful, resulting in chaos and corruption in the government; many officials heavily exploited the people, causing great suffering. In planning tactics to defeat the Chen dynasty, Emperor Wen of Sui took the suggestion of his general Gao Jiong and waited until



the South were harvesting their crops to entirely burn the farmland, crippling the strength of the Chen dynasty. In 588, Emperor Wen of Sui sent his son Yang Guang (who would become Emperor Yang of Sui) to finally vanquish the Chen dynasty. Chen Shubao relied on the natural barrier of the Yangtze River and continued as always with his festive and licentious activities. The next year, Sui forces captured the Chen capital of Jiankang. Chen Shubao and his favorite concubine Zhang Lihua attempted to hide in a well but eventually were captured by Sui forces, thus ending the Chen dynasty.

11.3 The Northern dynasties

Northern Zhou Daoist stele made of limestone.

Emperors Daowu (Tuoba Gui), Mingyuan, and Taiwu, the Northern Wei progressively expanded. The establishment of the early Northern Wei state and economy was also greatly indebted to the father-son pair of Cui Hong and Cui Hao. Tuoba Gui engaged in numerous conflicts with the Later Yan that ended favorably for the Northern Wei after they received help from Zhang Gun that allowed them to destroy the Later Yan army at the Battle of Canhe Slope. Following this victory, Tuoba Gui conquered the Later Yan capital of Pingcheng (modern day Datong). That same year he declared himself as Emperor Daowu. Due to Emperor Daowu's cruelty, he was killed by his son Tuoba Shao, but crown prince Tuoba Si managed to defeat Tuoba Shao and took the throne as Emperor Mingyuan. Though he managed to conquer Liu Song's province of Henan, he died soon afterwards. Emperor Mingyuan's son Tuoba Tao took the throne as Emperor Taiwu. Due to Emperor Taiwu's energetic efforts, Northern Wei's strength greatly increased, allowing them to repeatedly attack Liu Song. After dealing the Rouran threat to his northern flank, he engaged in a war to unite northern China. With the fall of the Northern Liang in 439, Emperor Taiwu united northern China, ending the Sixteen Kingdoms period and beginning the Southern and Northern Dynasties period with their southern rivals, the Liu Song. Even though it was a time of great military strength for the Northern Wei, because of Rouran harassment in the north, they could not fully focus on their southern expeditions. After uniting the north, Emperor Taiwu also conquered the strong Shanshan kingdom and subjugated the other kingdoms of Xiyu, or the Western Regions. In 450, Emperor Taiwu once again attacked the Liu Song and reached Guabu (瓜步, in modern Nanjing, Jiangsu), threatening to cross the river to attack Jiankang, the Liu Song capital. Though up to this point, the Northern Wei military forces dominated the Liu Song forces, they took heavy casualties. The Northern Wei forces plundered numerous households before returning north.

The Northern dynasties began in 439 when the Northern Wei conquered the Northern Liang to unite northern China and ended in 589 when Sui dynasty extinguished the Chen dynasty. It can be divided into three time periods: Northern Wei; Eastern and Western Weis; Northern Qi and Northern Zhou. The Northern, Eastern, and Western Wei along with the Northern Zhou were established by the Xianbei people while the Northern Qi was established by Sinicized barbarians. At this point, followers of the Buddhist Gai Wu (盖吴) rebelled. After pacifying this rebellion, Emperor Taiwu, under the advice of his Daoist prime minister Cui Hao, 11.3.1 The Rise of Northern Wei and the proscribed Buddhism, in the first of the Three Disasters Sinicization movement of Wu. At this late stage in his life, Emperor Taiwu meted out cruel punishments, which led to his death in 452 at the Main article: Northern Wei hands of the eunuch Zong Ai. This sparked off turmoil that only ended with the ascension of Emperor Wencheng In the Sixteen Kingdoms period, the Tuoba family of the later that same year. Xianbei were the rulers of the state of Dai (Sixteen Kingdoms). Although it was conquered by the Former Qin, the defeat of the Former Qin at the Battle of Fei River resulted in the collapse of the Former Qin. The grandson of the last prince of Dai Tuoba Shiyijian, Tuoba Gui restored the fortunes of the Tuoba clan, renaming his state Wei (now known as Northern Wei) with its capital at Shengle (near modern Hohhot). Under the rule of

In the first half of the Northern Wei dynasty (386–534), the Xianbei steppe tribesmen who dominated northern China kept a policy of strict social distinction between them and their Chinese subjects. Chinese were drafted into the bureaucracy, employed as officials to collect taxes, etc. However, the Chinese were kept out of many higher positions of power. They also represented the mi-



nority of the populace where centers of power were located. Widespread social and cultural transformation in northern China came with Emperor Xiaowen of Northern Wei (reigned 471–499), whose father was a Xianbei, but whose mother was Chinese. Although of the Tuoba Clan from the Xianbei tribe, Emperor Xiaowen asserted his dual Xianbei-Chinese identity, renaming his own clan after the Chinese Yuan (元 meaning“elemental”or“origin”). In the year 493 Emperor Xiaowen instituted a new sinification program that had the Xianbei elites conform to many Chinese standards. These social reforms included donning Chinese clothing (banning Xianbei clothing at court), learning the Chinese language (if under the age of thirty), applied one-character Chinese surnames to Xianbei families, and encouraged the clans of high-ranking Xianbei and Chinese families to intermarry. Emperor Xiaowen also moved the capital city from Pingcheng to one of China's old imperial sites, Luoyang, which had been the capital during the earlier Eastern Han and Western Jin dynasties. The new capital at Luoyang was revived and transformed, with roughly 150,000 Xianbei and other northern warriors moved from north to south to fill new ranks for the capital by the year 495. Within a couple decades, the population rose to about half a million residents, and was famed for being home to over a thousand Buddhist temples. Defectors from the south, such as Wang Su of the prestigious Northern Wei Buddha Maitreya gilt-bronze figurine, 443. Langye Wang family, were largely accommodated and felt at home with the establishment of their own Wu quarter in Luoyang (this quarter of the city was home to over three thousand families). They were even served tea (by this time gaining popularity in southern China) at court instead of yogurt drinks commonly found in the north. In the year 523, Prince Dongyang of the Northern Wei was sent to Dunhuang to serve as its governor for a term of fifteen years. With the religious force of Buddhism gaining mainstream acceptance in Chinese society, Prince Dongyang and local wealthy families set out to establish a monumental project in honor of Buddhism, carving and decorating Cave 285 of the Mogao Caves with beautiful statues and murals. This promotion of the arts would continue for centuries at Dunhuang, and is now one of A limestone statue of a bodhisattva, from the Northern Qi era China's greatest tourist attractions. In that same year of 523 a revolt of several military garrisons was caused by a food shortage far north of Luoyang. After this was suppressed, the government had 200,000 surrendered garrison rebels deployed to Hebei, which proved later to be a mistake when a former garrison officer organized another rebellion in the years 526–527. The Wei court was betrayed by one of their own generals, who had the empress dowager and the young emperor thrown into the Yellow River, while establishing his own puppet ruler to maintain authority. As conflict swelled in the north between successive leaders, Gao Huan took control of the east and Luoyang (holding Emperor Xiaojing of Eastern Wei as a puppet ruler) by 534, while

his rival Yuwen Tai took control of the west and the traditional Chinese capital of Chang'an by 535. Eventually, Gao Huan's son Gao Yang forced the Eastern Wei emperor to abdicate in favor of his claim to the throne, establishing the Northern Qi dynasty (551–577). Afterwards, Yuwen Tai's son Yuwen Jue seized the throne of power from Emperor Gong of Western Wei, establishing the Northern Zhou dynasty (557–580). The Northern Zhou dynasty was able to defeat and conquer Northern Qi in 577, reunifying the north. However, this success was short-lived, as the Northern Zhou was overthrown in 581 by Yang Jian, who became Emperor Wen of Sui. With



greater military power and morale, along with convincing propaganda that the Chen dynasty ruler Chen Shubao was a decadent ruler who had lost the Mandate of Heaven, the Sui Dynasty was able to effectively conquer the south. After this conquest, the whole of China entered a new golden age of reunification under the centralization of the short-lived Sui dynasty and succeeding Tang dynasty (618–907). For a chronology of sovereigns during the Northern dynasties, see this List of Emperors of China's Northern Dynasties.


Eastern Wei (534–550)

Main article: Eastern Wei


Western Wei (535–557)

Main article: Western Wei


Northern Qi (550–577)

Main article: Northern Qi

Song established a Neo-Daoist Academy and promoted it, along with Confucianism, literature, and history, as the four great subjects of study. A phenomenon known as “empty chat”(Chinese: 清谈; pinyin: Qīng tán) became common, where educated men would meet and talk about philosophy all day without paying any attention to“mundane”things such as their profession or family. The phenomenon gradually waned during the Sui dynasty, though it did not fully disappear until the Tang dynasty.* [3]

11.4.2 Literature Further information: Six Dynasties poetry Literature was particularly vibrant during the Southern Dynasty and tended to be flowery and frilly, while Northern Dynasty literature was rougher and more straightforward. Notable writers include Yu Xin, Xing Fang, Wei Shou, and Wen Zisheng of the Northern Dynasty. In poetry, fu poetry continued to be a dominant genre, though the five-syllable form that achieved great prominence during the Tang dynasty gradually increased in popularity. In the Southern Dynasty, a type of essay known as pian wen (Chinese: 骈 文), which used metered rhyme, flowery language, and classical allusions, became popular. Writings often spoke of removing oneself from everyday material existence and jettisoning cares and anxiety.

Poets of the Southern and Northern Dynasties focused on imitating older classical poets of Ancient China, formalizing the rhyme patterns and meters that governed 11.3.5 Northern Zhou (557–581) poem composition. However, scholars realized that ancient songs and poems, like those of the Shijing, in many Main article: Northern Zhou instances no longer rhymed due to sound shifts over the previous centuries. The introduction of Buddhism to China, which began in the late Han dynasty and continued through the Tang dynasty, introduced Chinese scholars 11.4 Culture to Sanskrit and its highly organized phonological system. For the first known time, Chinese scholars began attempt11.4.1 Philosophy ing to analyze and categorize the syllables and tones of their language and dialects. During this period, scholar Confucianism's unchallenged domination of Chinese cul- Zhou Yi wrote the first known description of the four ture and thought was greatly weakened during the Jin tones of early Middle Chinese. dynasty, which lead to a wide diversification of political thought and philosophy by the time of the Southern and Northern Dynasties. This era produced a myr- 11.4.3 Other iad of writers that advocated practical systems of governance and administration, such as Cao Cao and Zhuge The southern dynasties of China were rich in cultural Liang in the Three Kingdoms Period, Wang Dao and Bao achievement, with the flourishing of Buddhism and Jingyan of the Eastern Jin, as well as Fan Zhen, Xing Shao Daoism; especially the latter as two new canons of scrip(Chinese: 邢邵), and Fan Xun (Chinese: 樊逊) of the tual writings were created for the Supreme Purity sect Southern and Northern period. Much of the philosophy and its rival the Numinous Treasure Sect. The southof the period is despondent and dispirited, and a number ern Chinese were influenced greatly by the writings of of scholars and poets became reclusive mountain hermits Buddhist monks such as Huiyuan, who applied familiar living apart from society.* [2] Of these various trends, the Daoist terms to describe Buddhism for other Chinese. most influential was Neo-Daoism (Chinese: 玄学; pinyin: The Chinese were in contact and influenced by cultures Xuánxué). Neo-Daoism was highly influential during the of India and trading partners farther south, such as the Southern Dynasty, to the point that Emperor Wen of Liu kingdoms of Funan and Champa (located in modern-


111 latter originating from Buddhist traditions of protecting sutras in ancient India.

Part of the scroll for Admonitions of the Instructress to the Palace Ladies, a Tang dynasty duplication of the original by Gu Kaizhi.

11.5 Demographic changes

Northern Wei wall murals and painted figurines from the Yungang Grottoes.

day Cambodia and Vietnam). The Chinese arts of poetry, calligraphy, painting, and playing of music found greater precedent during this age, as their sophistication and complexity reached new heights. The earlier Cao Zhi, son of Cao Cao, is regarded as one of the greatest poets of his day. His style and deep emotional expression in writing influenced later poets of this new age, such as Tao Qian (365–427) or Tao Yuanming. Even during his lifetime, the written calligraphy of the “Sage of Calligraphy”, Wang Xizhi (307–365), was prized by many and considered a true form of personal expression like other arts. In regards to painting, this art became highly prized with artists such as Gu Kaizhi (344–406), who largely established the tradition of landscape art in classical Chinese painting (to learn more, refer to the “Far East”section of the article for Painting). Institutions of learning in the south were also renowned, including the Zongmingguan (Imperial Nanjing University), where the famed Zu Chongzhi (mentioned above) had studied. Zu Chongzhi devised the new Daming Calendar in 465, calculated one year as 365.24281481 days (which is very close to 365.24219878 days as we know today), and calculated the number of overlaps between sun and moon as 27.21223 (which is very close to 27.21222 as we know today). Using this number he successfully predicted 4 eclipses during a period of 23 years (from 436 to 459). Although multiple story towers such as guard towers and residential apartments existed in previous periods,* [4] during this period the distinct Chinese pagoda tower (for storing Buddhist scriptures) evolved from the stupa, the

It was during the Southern and Northern Dynasties period that the earliest recorded migration of ethnic Han Chinese to southern China (below the Yangtze River) took place. This sinicisation helped to develop the region from its previous state of being inhabited by only small and isolated communities separated by vast uncolonized wilderness of non-Chinese tribes. During this period, the south went from being nearly a frontier to being on a path to the thriving, urbanized, sinicized region that it became in later centuries. In his book Buddhism in Chinese History, Arthur F. Wright points out this fact by stating: “When we speak of the area of the Yangtze valley and below in the period of disunion, we must banish from our minds the picture of the densely populated, intensively cultivated South China of recent centuries. When the aristocrats of the remnants of the Chin [Jin] ruling house fled to the Nanking [Nanjing] area early in the 4th century, the south contained perhaps a tenth of the population of China. There were centers of Chinese culture and administration, but around most of these lay vast uncolonized areas into which Chinese settlers were slow to move”.* [5]

11.6 See also • List of Emperors of China's Southern Dynasties • List of Emperors of China's Northern Dynasties • Sui dynasty • Chinese sovereign • List of tributaries of Imperial China



• Avars • Buddhism • Buddhism in China • Empress Dowager Hu (Xiaoming) • Yan Zhitui

11.7 Notes and references 11.7.1


^ a: The ballad rhymes in the original Middle Chinese. Note the antithesis between fathers and sons on the one hand, and younger brothers and older brothers on the other, both of which crimes are considered acts of great impiety according to the Confucian tenet known as the Five Bonds.



[1] Bamber Gascoigne, The Dynasties of China, Carroll & Graf Publishers, New York, 2003. [2] Zou Jiwan 邹 纪 万, 1992. Wei-Jin-Nan-Bei Chao de Xueshu yu Xinyang 魏 晋 南 北 朝 的 学 术 与 信 仰, in Zhongguo Tongshi 中国通史, vol. 5, 165. [3] Zou, 168 [4] Art Gallery NSW [5] Wright, Arthur F. (1959). Buddhism in Chinese History. Stanford: Stanford University Press. Page 44.

11.8 Further reading • Graff, David A., Medieval Chinese Warfare, 300– 900. ISBN 0-415-23954-0 • Ebrey, Walthall, & Palais (2006). East Asia: A Cultural, Social, and Political History. Boston: Houghton Mifflin Company. • Miller, Roy Andrew (1959): Accounts of Western Nations in the History of the Northern Chou Dynasty. University of California Press. • Wright, Arthur F. (1959). Buddhism in Chinese History. Stanford: Stanford University Press.

11.9 External links • Period of the Northern and Southern Dynasties • Early Imperial China: A Working Collection of Resources

Chapter 12

Sui dynasty The Sui dynasty (581–618 AD)* [1] was a short-lived Imperial Chinese dynasty. Preceded by the Southern and Northern Dynasties, it unified China for the first time after over a century of north-south division. It was followed by the Tang dynasty.

Tujue Xiyu States

Shiwei Mohe Kithan Kumo Xi


Founded by Emperor Wen of Sui, the Sui dynasty capital was Chang'an (which was renamed Daxing, 581– 605) and the later at Luoyang (605–614). Emperors Wen and Yang undertook various centralized reforms including the equal-field system, intended to reduce economic inequality and improve agricultural productivity; the institution of the Three Departments and Six Ministries system; and the standardization and re-unification of the Sui Dynasty, Sui's Provinces, and border powers (about 610) coinage. They also spread and encouraged Buddhism throughout the empire and undertook monumental construction projects including expanding the Great Wall and Sui's China, and Sui divisions under Yangdi (western regions not digging the Grand Canal.* [2] depicted). Jizhou Qingzhou Yanzhou



Silla Baekje







After its costly and disastrous military campaigns against the Korean kingdom of Goguryeo ended in defeat by 614, the dynasty disintegrated under a series of popular revolts culminating in the assassination of Emperor Yang by his ministers in 618. The dynasty's short duration—only thirty seven years—is often attributed to its heavy demands on its subjects, including taxation and the compulsory labor demanded by its ambitious construction projects.

became the Empress Dowager of Northern Zhou, with her stepson as the new emperor. After crushing an army in the eastern provinces as the prime minister of Zhou, Emperor Wen took the throne by force and proclaimed himself emperor. In a bloody purge, he had fifty-nine princes of the Zhou royal family eliminated, yet nevertheless became known as the“Cultured Emperor”.* [3] The dynasty is often compared to the earlier Qin dy- Emperor Wen abolished the anti-Han policies of Zhou nasty, which also undertook wide-ranging reforms and and reclaimed his Han surname of Yang. Having won the support of Confucian scholars who held power in previconstruction projects yet lasted only a few decades. ous Han dynasties (abandoning the nepotism and corruption of the nine-rank system), Emperor Wen initiated a series of reforms aimed at strengthening his empire for the wars that would reunify China. 12.1 History


Emperor Wen and the founding of Sui

Northern Zhou's defeat of Northern Qi in 577 AD was the culminating moment in the struggle between north and south China. The southern dynasties had lost hope in conquering the north, and the situation of conquest from north-to-south was only delayed in 523 with civil war. The Sui dynasty began when Emperor Wen's daughter

In his campaign for southern conquest, Emperor Wen assembled thousands of boats to confront the naval forces of the Chen dynasty on the Yangtze River. The largest of these ships were very tall, having five layered decks and the capacity for 800 non-crew personnel. They were outfitted with six 50-foot-long booms that were used to swing and damage enemy ships, or to pin them down so that Sui marine troops could use act-and-board techniques.* [3] Besides employing Xianbei and other Chinese ethnic groups for the fight against Chen, Emperor Wen also employed the service of people from southeastern




12.1.2 Emperor Yang and the reconquest of Vietnam Main article: Emperor Yang of Sui Further information: Third Chinese domination of Vietnam Emperor Yang of Sui (569–618) ascended the throne

Sui dynasty Bodhisattva, sandstone, Tianlongshan Grottoes, Shanxi, 6th century.

A Sui dynasty pilgrim flask made of stoneware.

after his father's death, possibly by murder. He further extended the empire, but unlike his father, did not seek to gain support from the nomads. Instead, he restored Confucian education and the Confucian examination system for bureaucrats. By supporting educational reforms, he lost the support of the nomads. He also started many expensive construction projects such as the Grand Canal of China, and became embroiled in several costly wars. Sichuan, which Sui had recently conquered.* [3] Between these policies, invasions into China from Turkic In 588, the Sui had amassed 518,000 troops along the nomads, and his growing life of decadent luxury at the northern bank of the Yangtze River, stretching from expense of the peasantry, he lost public support and was Sichuan to the East China Sea.* [4] The Chen dynasty eventually assassinated by his own ministers. could not withstand such an assault. By 589, Sui troops Both Emperors Wen and Yang sent military expeditions entered Jiankang (Nanjing) and the last emperor of Chen into Vietnam as Annam in northern Vietnam had been insurrendered. The city was razed to the ground, while corporated into the Chinese empire over 600 years earlier Sui troops escorted Chen nobles back north, where the during the Han dynasty (202 BC – 220 AD). However the northern aristocrats became fascinated with everything Kingdom of Champa in central Vietnam became a major the south had to provide culturally and intellectually. counterpart to Chinese invasions to its north. According Although Emperor Wen was famous for bankrupting the state treasury with warfare and construction projects, he made many improvements to infrastructure during his early reign. He established granaries as sources of food and as a means to regulate market prices from the taxation of crops, much like the earlier Han dynasty.

to Ebrey, Walthall, and Palais, these invasions became known as the Linyi-Champa Campaign (602–605).* [3]

The Hanoi area formerly held by the Han and Jin dynasties was easily recovered from the local ruler in 602. A few years later the Sui army pushed farther south and was attacked by troops on war elephants from Champa The Sui Emperors were from the northwest military aris- in southern Vietnam. The Sui army feigned retreat and tocracy, and emphasized that their patrilineal ancestry dug pits to trap the elephants, lured the Champan troops was ethnic Han, claiming descent from the Han official to attack then used crossbows against the elephants causYang Zhen.* [5] ing them to turn around and trample their own soldiers.


115 tropical diseases such as malaria.* [3]

12.1.3 Goguryeo-Sui wars Main article: Goguryeo-Sui Wars The biggest factor that led to the downfall of Sui dynasty was a series of massive expeditions into the Korean Peninsula to invade Goguryeo, one of the Three Kingdoms of Korea. Emperor Yang conscripted many soldiers for the campaign. This army was so enormous it recorded in historical texts that it took 30 days for all the armies to exit their last rallying point near Shanhaiguan before invading Korea. In one instance the soldiers— both conscripted and paid—listed over 3000 warships, up to 1.15 million infantry, 50,000 cavalry, 5000 artillery, and more. There were as many supporting laborers and an exorbitant military budget that included mounds of equipment and rations (most of which never reached the Chinese vanguard, as they were captured by Goguryeo armies already). The army stretched to 1000 li or about 410 km (250 mi) across rivers and valleys, over mountains and hills. In all four main campaigns, the military conquest ended in failure. Many Sui soldiers were defeated by the prominent army leader Eulji Mundeok of Goguryeo - in prominent battles such as The Battle of Salsu River. According to the Old Book of Tang, of the 305,000 Chinese troops, only 2,700 returned to China.

12.1.4 Fall of the Sui Dynasty

Chinese swords of the Sui dynasty, about 600, found near Luoyang. The P-shaped furniture of the bottom sword's scabbard is similar to and may have been derived from sword scabbards of the Sarmatians and Sassanians.* [6]

One of the major work projects undertaken by the Sui was construction activities along the Great Wall of China; but this, along with other large projects, strained the economy and angered the resentful workforce employed. During the last few years of the Sui dynasty, the rebellion that rose against it took many of China's able-bodied A Sui dynasty stone statue of the Avalokitesvara Boddhisattva men from rural farms and other occupations, which in (Guanyin). turn damaged the agricultural base and the economy further.* [7] Men would deliberately break their limbs in order to avoid military conscription, calling the practice Although Sui troops were victorious many succumbed “propitious paws”and“fortunate feet.”* [7] Later, after to disease as northern soldiers did not have immunity to the fall of Sui, in the year 642, Emperor Taizong of Tang



made an effort to eradicate this practice by issuing a de- Buddhism was popular during the Six Dynasties pecree of a stiffer punishment for those who were found to riod that preceded the Sui dynasty, spreading from India deliberately injure and heal themselves.* [7] through Kushan Afghanistan into China during the Late Although the Sui dynasty was relatively short (581-618 Han period. Buddhism gained prominence during the peAD), much was accomplished during its tenure. The riod when central political control was limited. Buddhism Grand Canal was one of the main accomplishments. It created a unifying cultural force that uplifted the people was extended north from the Hangzhou region across the out of war and into the Sui dynasty. In many ways, BudYangzi to Yangzhou and then northwest to the region of dhism was responsible for the rebirth of culture in China under the Sui dynasty. Luoyang. Again, like the Great Wall works, the massive conscription of labor and allocation of resources for the Emperor Wen and his empress had converted to BudGrand Canal project resulted in challenges for Sui dy- dhism to legitimize imperial authority over China and nastic continuity. The eventual fall of the Sui dynasty the conquest of Chen. The emperor presented himself was also due to the many losses in Southern Manchuria as a Cakravartin king, a Buddhist monarch who would and North Korea military campaigns. It was after these use military force to defend the Buddhist faith. In the defeats and losses that the country was left in ruins and year 601 AD, Emperor Wen had relics of the Buddha rebels soon took control of the government. Emperor distributed to temples throughout China, with edicts that Yang was assassinated in 618. He had gone South after expressed his goals,“all the people within the Four Seas the capital being threatened by various rebel groups and may, without exception, develop enlightenment and towas killed by his advisors (Yuwen Clan). Meanwhile, in gether cultivate fortunate karma, bringing it to pass that the North, the aristocrat Li Yuan (李淵) held an uprising present existences will lead to happy future lives, that the after which he ended up ascending the throne to become sustained creation of good causation will carry us one Emperor Gaozu of Tang. This was the start of the Tang and all up to wondrous enlightenment”.* [3] Ultimately, dynasty, one of the most-noted dynasties in Chinese his- this act was an imitation of the ancient Mauryan Emperor tory. Ashoka of India.* [3]

12.2 Culture

12.2.2 Poetry

Although the Sui dynasty was relatively short-lived, in terms of culture, it represents a transition from the preceding ages, and many cultural developments which can be seen to be incipient during the Sui dynasty later were expanded and consolidated during the ensuing Tang dynasty, and later ages. This includes not only the major public works initiated, such as the Great Wall and the Great Canal, but also the political system developed by Sui, which was adopted by Tang with little initial change other than at the top of the political hierarchy. Other cultural developments of the Sui dynasty included religion and literature, particular examples being Buddhism and poetry.



Strolling About in Spring, by Zhan Ziqian, Sui era artist.

Yang Guang depicted as Emperor of Sui.

12.6. FURTHER READING Further information: Six Dynasties poetry and Tang poetry Although poetry continued to be written, and certain poets rose in prominence while others disappeared from the landscape, the brief Sui dynasty, in terms of the development of Chinese poetry, lacks distinction, though it nonetheless represents a continuity between the Six Dynasties and the poetry of Tang.* [8] Sui dynasty poets include Yang Guang (580-618), who was the last Sui emperor (and a sort of poetry critic); and also, the Lady Hou, one of his consorts.


[2] CIHoCn, p.114 : « dug between 605 and 609 by means of enormous levies of conscripted labour ». [3] Ebrey, Patricia; Walthall, Ann; Palais, James (2009). East Asia: A Cultural, Social, and Political History. Houghton Mifflin Harcourt. ISBN 978-0-547-00534-8. [4] Zizhi Tongjian, vol. 176. [5] 'Book of Sui, vol. 1 [6] Metropolitan Museum of Art permanent exhibit notice. [7] Benn, 2. [8]

12.3 Rulers of the Sui dynasty 12.4 See also • Chinese sovereign • Extreme weather events of 535–536 • Grand Canal of China

• Watson, Burton (1971). CHINESE LYRICISM: Shih Poetry from the Second to the Twelfth Century. (New York: Columbia University Press). ISBN 0231-03464-4, p. 109.

12.6 Further reading • Bingham, Woodbridge. 1941. The Founding of the T'ang The Sui dynasty: The Unification of China. A.D. 581-617. Alfred A. Knopf, New York. ISBN 0-394-49187-4 ; 0-394-32332-7 (pbk).

• History of China • List of tributaries of Imperial China

12.7 External links

• List of ancient Chinese

• Classical Imperial China

• History of China: A good catalogue of info

12.5 References [1] In 617, the rebel general Li Yuan (the later Emperor Gaozu of Tang) declared Emperor Yang's grandson Yang You emperor (as Emperor Gong) and“honored”Emperor Yang as Taishang Huang (retired emperor) at the western capital Daxing (Chang'an), but only the commanderies under Li's control recognized this change; for the other commanderies under Sui control, Emperor Yang was still regarded as emperor, not as retired emperor. After news of Emperor Yang's death in 618 reached Daxing and the eastern capital Luoyang, Li Yuan deposed Emperor Gong and took the throne himself, establishing the Tang dynasty, but the Sui officials at Luoyang declared Emperor Gong's brother Yang Tong (later also known as Emperor Gong during the brief reign of Wang Shichong over the region as the emperor of a brief Zheng (鄭) state) emperor. Meanwhile, Yuwen Huaji, the general under whose leadership the plot to kill Emperor Yang was carried out, declared Emperor Wen's grandson Yang Hao emperor but killed Yang Hao later in 618 and declared himself emperor of a brief Xu (許) state. As Yang Hao was completely under Yuwen's control and only“reigned”briefly, he is not usually regarded as a legitimate emperor of Sui, while Yang Tong's legitimacy is more recognized by historians but still disputed.

Chapter 13

Tang dynasty For other uses, see Tang dynasty (disambiguation). The Tang dynasty (Chinese: 唐朝; pinyin: Táng cháo; IPA: [tʰɑ̌ ŋ tʂʰɑ̌ ʊ]; Middle Chinese: Dâng) (618–907 AD) was an imperial dynasty of China preceded by the Sui dynasty and followed by the Five Dynasties and Ten Kingdoms period. It was founded by the Li family (李), who seized power during the decline and collapse of the Sui Empire. The dynasty was briefly interrupted when Empress Wu Zetian seized the throne, proclaiming the Second Zhou dynasty (October 8, 690 – March 3, 705) and becoming the only Chinese empress regnant. The Tang dynasty, with its capital at Chang'an (presentday Xi'an), which at the time was the most populous city in the world, is generally regarded as a high point in Chinese civilization: a golden age of cosmopolitan culture. Its territory, acquired through the military campaigns of its early rulers, rivaled that of the Han dynasty. In two censuses of the 7th and 8th centuries, the Tang records estimated the population by number of registered households at about 50 million people.* [2]* [3] Yet, even when the central government was breaking down and unable to compile an accurate census of the population in the 9th century, it is estimated that the population had grown by then to about 80 million people.* [4]* [5]* [lower-alpha 1] With its large population base, the dynasty was able to raise professional and conscripted armies of hundreds of thousands of troops to contend with nomadic powers in dominating Inner Asia and the lucrative trade routes along the Silk Road. Various kingdoms and states paid tribute to the Tang court, while the Tang also conquered or subdued several regions which it indirectly controlled through a protectorate system. Besides political hegemony, the Tang also exerted a powerful cultural influence over neighboring states such as those in Korea, Japan, and Vietnam. The Tang dynasty was largely a period of progress and stability, except during the An Lushan Rebellion and the decline of central authority in the later half of the dynasty. Like the previous Sui dynasty, the Tang dynasty maintained a civil service system by recruiting scholarofficials through standardized examinations and recommendations to office. This civil order was undermined by the rise of regional military governors known as jiedushi

during the 9th century. Chinese culture flourished and further matured during the Tang era; it is considered the greatest age for Chinese poetry.* [6] Two of China's most famous poets, Li Bai and Du Fu, belonged to this age, as did many famous painters such as Han Gan, Zhang Xuan, and Zhou Fang. There was a rich variety of historical literature compiled by scholars, as well as encyclopedias and geographical works. There were many notable innovations during the Tang, including the development of woodblock printing. Buddhism became a major influence in Chinese culture, with native Chinese sects gaining prominence. However, Buddhism would later be persecuted by the state and decline in influence. Although the dynasty and central government were in decline by the 9th century, art and culture continued to flourish. The weakened central government largely withdrew from managing the economy, though the country's mercantile affairs stayed intact and commercial trade continued to thrive regardless.

13.1 History 13.1.1 Establishment Main article: Transition from Sui to Tang On 18 June 618, Li Yuan declared himself the emperor of a new dynasty, the Tang.* [7]* [8] His declaration was made following the murder of Emperor Yang, Li Yuan's first cousin,* [2] by General Yuwen Huaji.* [7]* [8] Li Yuan (who was later renamed Emperor Gaozu of Tang) rose to power after having been Duke of Tang and governor of Taiyuan during the Sui dynasty's collapse, which was caused in part by the Sui failure to conquer the Korean Peninsula during the Goguryeo–Sui War.* [9]* [10] Li Yuan had prestige and military experience and in 617 he rose in rebellion along with his son and his equally militant daughter Princess Pingyang (d. 623), who raised her own troops and commanded them.* [7] In 617, Li Yuan occupied Chang'an and acted as regent over Emperor Gong of Sui, a puppet childemperor. Li Yuan relegated Emperor Yang to the position of Taishang Huang or retired emperor/father of the present emperor.* [7] With the news of Emperor




Emperor Taizong (r. 626–649) receives Ludongzan, ambassador of Tibet, at his court; painted in 641 AD by Yan Liben (600–673)

Portrait painting of Emperor Yang of Sui, commissioned in 643 by Taizong, painted by Yan Liben (600–673)

Although killing two brothers and deposing his father contradicted the Confucian value of filial piety,* [18] Taizong showed himself to be a capable leader who listened to the advice of the wisest members of his council.* [2] In 628, Emperor Taizong held a Buddhist memorial service for the casualties of war, and in 629 he had Buddhist monasteries erected at the sites of major battles so that monks could pray for the fallen on both sides of the fight.* [19] This was during the campaign against Eastern Tujue, a Göktürk khanate that was destroyed after the capture of its ruler, Illig Qaghan, by the famed Tang military officer Li Jing (571–649), who later became a Chancellor of the Tang dynasty. With this victory, the Turks accepted Taizong as their khagan, a title rendered as Tian Kehan (天可汗), in addition to his rule as Emperor of China under the traditional title “Son of Heaven”.* [20]* [21]

Yang's murder by General Yuwen Huaji (d. 619) Li Yuan declared himself the emperor of a new dynasty, the Tang.* [7]* [8] Emperor Gaozu of Tang would rule as 13.1.2 Administration and politics Tang's first emperor from 618 until 626. Initial reforms Li Yuan's family belonged to the northwest military aris* * tocracy prevalent during the Sui dynasty [9] [11] and Taizong set out to solve internal problems within the govclaimed to be patrilineally descended from Laozi (whose * personal name was Li Dan or Li Er), [12] the Han dy- ernment which had constantly plagued past dynasties. Building upon the Sui legal code, he issued a new lenasty General Li Guang,* [13]* [14] and Western Liang gal code that subsequent Chinese dynasties would model ruler Li Gao. theirs upon, as well as neighboring polities in Vietnam, Li Yuan ruled until 626 before being forcefully deposed Korea, and Japan.* [2] The earliest law code to survive by his son Li Shimin, Prince of Qin. Li Shimin had was the one established in the year 653, which was dicommanded troops since the age of 18, had prowess vided into 500 articles specifying different crimes and with bow and arrow, sword and lance and was known penalties ranging from ten blows with a light stick, one for his effective cavalry charges.* [2]* [15] Fighting a nu- hundred blows with a heavy rod, exile, penal servitude, merically superior army, he defeated Dou Jiande (573– or execution.* [22] 621) at Luoyang in the Battle of Hulao on May 28, 621.* [16]* [17] In a violent elimination of royal family The legal code clearly distinguished different levels of due to fear of assassination, Li Shimin ambushed and severity in meted punishments when different members killed two of his brothers, Li Yuanji (b. 603) and Crown of the *social and political hierarchy committed the same prince Li Jiancheng (b. 589), in the Xuanwu Gate In- crime. [23] For example, the severity of punishment was cident on July 2, 626.* [18] Shortly thereafter, his father different when a servant or nephew killed a master or abdicated in his favor and Li Shimin ascended the throne. an uncle*than when a master or uncle killed a servant or He is conventionally known by his temple name Taizong nephew. [23] (唐太宗). The Tang Code was largely retained by later codes such as

120 the early Ming dynasty (1368–1644) code of 1397,* [24] yet there were several revisions in later times, such as improved property rights for women during the Song dynasty (960–1279).* [25]* [26]

CHAPTER 13. TANG DYNASTY capital was also filled with incredible amounts of riches and resources to spare. When the Chinese prefectural government officials traveled to the capital in the year 643 to give the annual report of the affairs in their districts, Emperor Taizong discovered that many had no proper quarters to rest in and were renting rooms with merchants.* [29] Therefore, Emperor Taizong ordered the government agencies in charge of municipal construction to build every visiting official his own private mansion in the capital.* [29]

The Tang had three departments (Chinese: 省; pinyin: shěng), which were obliged to draft, review, and implement policies respectively. There were also six ministries (Chinese: 部; pinyin: bù) under the administrations that implemented policy, each of which was assigned different tasks. These Three Departments and Six Ministries included the personnel administration, finance, rites, military, justice, and public works—an administrative model Imperial examinations which would last until the fall of the Qing dynasty (1644– 1912).* [27] Main article: Imperial examination Although the founders of the Tang related to the glory Further information: Imperial examination in Chinese of the earlier Han dynasty (202 BC–220 AD), the basis mythology for much of their administrative organization was very Following the Sui dynasty's example, the Tang abansimilar to the previous Southern and Northern Dynasties.* [2] The Northern Zhou (557–581) fubing system of divisional militia was continued by the Tang, along with farmer-soldiers serving in rotation from the capital or frontier in order to receive appropriated farmland. The equal-field system of the Northern Wei (386–534) was also kept, although there were a few modifications.* [2]

Tang era gilt-gold bowl with lotus and animal motifs

Although the central and local governments kept an enormous number of records about land property in order to assess taxes, it became common practice in the Tang for literate and affluent people to create their own private documents and signed contracts.* [28] These had their own signature and that of a witness and scribe in order to prove in court (if necessary) that their claim to property was legitimate.* [28] The prototype of this actually existed since the ancient Han dynasty, while contractual language became even more common and embedded into Chinese literary culture in later dynasties.* [28]

Tang statue of a civil official dressed in Hanfu, made of sancai glazed earthenware; he wears a tall hat, wide-sleeved outer garment tied at the waist with a wide belt, and rectangular “kerchief”in front. A white inner gown hangs over his square shoes. He holds a tablet to his chest, preparing to provide a report to his superiors.

The center of the political power of the Tang was the capital city of Chang'an (modern Xi'an), where the emperor maintained his large palace quarters and entertained po- doned the nine-rank system in favor of a service syslitical emissaries with music, sports, acrobatic stunts, po- tem.* [30] Students of Confucian studies were potential etry, paintings, and dramatic theater performances. The candidates for the imperial examinations, the graduates

13.1. HISTORY of which could be appointed as state bureaucrats in the local, provincial, and central government. There were two types of exams that were given, mingjing ('illuminating the classics examination') and jinshi ('presented scholar examination').* [31] The mingjing was based upon the Confucian classics and tested the student's knowledge of a broad variety of texts.* [31] The jinshi tested a student's literary abilities in writing essay-style responses to questions on matters of governance and politics, as well as their skills in composing poetry.* [32] Candidates were also judged on their skills of deportment, appearance, speech, and level of skill in calligraphy, all of which were subjective criteria that allowed the already wealthy members of society to be chosen over ones of more modest means who were unable to be educated in rhetoric or fanciful writing skills.* [33] There was a disproportionate number of civil officials coming from aristocratic as opposed to non-aristocratic families.* [33] The exams were open to all male subjects whose fathers were not of the artisan or merchant classes,* [34] although having wealth or noble status was not a prerequisite in receiving a recommendation.* [33] In order to promote widespread Confucian education, the Tang government established staterun schools and issued standard versions of the Five Classics with selected commentaries.* [23] This competitive procedure was designed to draw the best talent into government. But perhaps an even greater consideration for the Tang rulers, aware that imperial dependence on powerful aristocratic families and warlords would have destabilizing consequences, was to create a body of career officials having no autonomous territorial or functional power base. The Tang law code ensured equal division of inherited property amongst legitimate heirs, allowing a bit of social mobility and preventing the families of powerful court officials in becoming landed nobility through primogeniture.* [35] As it turned out, these scholar-officials acquired status in their local communities and in family ties, while they also shared values that connected them to the imperial court. From Tang times until the end of the Qing dynasty in 1912, scholar-officials functioned often as intermediaries between the grassroots level and the government. Yet the potential of a widespread examination system was not fully realized until the Song dynasty, when the meritdriven scholar official largely shed his aristocratic habits and defined his social status through the examination system.* [36]* [37]* [38] As historian Patricia Ebrey states of the Song period scholar-officials:

The examination system, used only on a small scale in Sui and Tang times, played a central role in the fashioning of this new elite. The early Song emperors, concerned above all to avoid domination of the government by military men, greatly expanded the civil service examination system and the government school system.* [39]

121 Nevertheless, the Sui and Tang dynasties institutionalized and set the foundations for the civil service system and the new elite class of exam-drafted scholar-officials. Religion and politics

Emperor Xuanzong of Tang wearing the robes and the hat of a scholar

From the outset, religion played a role in Tang politics. In his bid for power, Li Yuan had attracted a following by claiming descent from the Daoist sage Laozi (fl. 6th century BC).* [40] People bidding for office would have monks from Buddhist temples pray for them in public in return for cash donations or gifts if the person was selected. Before the persecution of Buddhism in the 9th century, Buddhism and Daoism were accepted side by side, and Emperor Xuanzong (r. 712–56) invited monks and clerics of both religions to his court.* [41] At the same time Xuanzong exalted the ancient Laozi by granting him grand titles, wrote commentary on the Daoist Laozi, set up a school to prepare candidates for examinations on Daoist scriptures, and called upon the Indian monk Vajrabodhi (671–741) to perform Tantric rites to avert a drought in the year 726.* [41] In 742 Emperor Xuanzong personally held the incense burner during a ceremony led by Amoghavajra (705–74, patriarch of the Shingon school) reciting“mystical incantations to secure the victory of Tang forces.”* [41] While religion played a role in politics, politics also played a role in religion. In the year 714, Emperor Xuanzong forbade shops and vendors in the city of Chang'an to sell copied Buddhist sutras, instead giving the Buddhist clergy of the monasteries the sole right to distribute

122 sutras to the laity.* [42] In the previous year of 713, Emperor Xuanzong had liquidated the highly lucrative Inexhaustible Treasury, which was run by a prominent Buddhist monastery in Chang'an. This monastery collected vast amounts of money, silk, and treasures through multitudes of anonymous people's repentances, leaving the donations on the monastery's premise.* [43] Although the monastery was generous in donations, Emperor Xuanzong issued a decree abolishing their treasury on grounds that their banking practices were fraudulent, collected their riches, and distributed the wealth to various other Buddhist monasteries, Daoist abbeys, and to repair statues, halls, and bridges in the city.* [43]

CHAPTER 13. TANG DYNASTY cities, 321 prefectures, and 1,538 counties throughout the empire.* [47] Although there were many large and prominent cities during the Tang, the rural and agrarian areas comprised the majority of China's population at some 80 to 90%.* [48] There was also a dramatic migratory shift of the population from northern to southern China, as the North held 75% of the overall population at the dynasty's inception, but by its end was reduced to 50%.* [49] Chinese population size would not dramatically increase until the Song dynasty period, when the population doubled to 100 million people due to extensive rice cultivation in central and southern China, coupled with rural farmers holding more abundant yields of food that they could easily provide to the growing market.* [50]

Taxes and the census

13.1.3 Military and foreign policy Main articles: Military history of China before 1911, Naval history of China and Jimi system Further information: Imperial Guards (Tang dynasty)

Protectorates and tributaries

A Man Herding Horses, by Han Gan (706–783), a court artist under Xuanzong

The Tang dynasty government attempted to create an accurate census of the size of their empire's population, mostly for effective taxation and matters of military conscription for each region. The early Tang government established both the grain tax and cloth tax at a relatively low rate for each household under the empire. This was meant to encourage households to enroll for taxation and not avoid the authorities, thus providing the government with the most accurate estimate possible.* [2] In the census of 609, the population was tallied by efforts of the government at a size of 9 million households, or about 50 million people.* [2] The Tang census of 742 again approximated the size of China's population at about 50 million people.* [44] Patricia Ebrey writes that even if a rather significant number of people had avoided the registration process of the tax census, the population size during the Tang had not grown significantly since the earlier Han dynasty (the census of the year 2 recording a population of roughly 58 million people in China).* [2]* [45] S.A.M. Adshead disagrees, estimating that there were about 75 million people by 750.* [46]

A bas-relief of a soldier and horse with elaborate saddle and stirrups, from the tomb of Emperor Taizong, c. 650

The 7th century and first half of the 8th century is generally considered the zenith era of the Tang dynasty. Emperor Tang Xuanzong brought the Middle Kingdom to its golden age while the Silk Road thrived, with sway over Indochina in the south, and to the west Tang China ruled the Pamir Mountains (modern-day Tajikistan) and established a protectorate over Kashmir bordering Persia.* [51]

Some of the kingdoms paying tribute to the Tang dynasty included Kashmir, Nepal, Khotan, Kucha, Kashgar, Korea, Champa, and kingdoms located in Amu Darya and Syr Darya valley.* [52]* [53] Turkic nomads adIn the Tang census of the year 754, there were 1,859 dressed the Emperor of Tang China as Tian Kehan.* [21]



After the widespread Göktürk revolt of Shabolüe Khan (d. 658) was put down at Issyk Kul in 657 by Su Dingfang (591–667), Emperor Gaozong established several protectorates governed by a Protectorate General or Grand Protectorate General, which extended the Chinese sphere of influence as far as Herat in Western Afghanistan.* [54] Protectorate Generals were given a great deal of autonomy to handle local crises without waiting for central admission. After Xuanzong's reign, military governors (jiedushi) were given enormous power, including the ability to maintain their own armies, collect taxes, and pass their titles on hereditarily. This is commonly recognized as the beginning of the fall of Tang's central government.* [55]* [56] Soldiers and conscription By the year 737, Emperor Xuanzong discarded the policy of conscripting soldiers that were replaced every three years, replacing them with long-service soldiers who were more battle-hardened and efficient.* [57] It was more economically feasible as well, since training new recruits and sending them out to the frontier every three years drained the treasury.* [57] By the late 7th century, the fubing troops began abandoning military service and the homes provided to them in the equal-field system. The supposed standard of 100 mu of land allotted to each family was in fact decreasing in size in places where population expanded and the wealthy bought up most of the land.* [58] Hard-pressed peasants and vagrants were then induced into military service with benefits of exemption from both taxation and corvée labor service, as well as provisions for farmland and dwellings for dependents who accompanied soldiers on the frontier.* [59] By the year 742 the total number of enlisted troops in the Tang armies had risen to about 500,000 men.* [57]

A Tang period gilt-silver jar, shaped in the style of northern nomad's leather bag* [60] decorated with a horse dancing with a cup of wine in its mouth, as the horses of Emperor Xuanzong were trained to do.* [60]

and women to the Turks as a reward.* [65] On two occasions between 635 to 636, Tang royal princesses were married to Turk mercenaries or generals in Chinese service.* [64] Throughout the Tang dynasty until the end of 755, there were approximately ten Turkic generals serving under the Tang.* [66]* [67] While most of the Tang army was made of fubing Chinese conscripts, the majority of the troops led by Turkic generals were of nonChinese origin, campaigning largely in the western fronTurkic and Western regions tier where the presence of fubing troops was low.* [68] were nomadisized Han Chinese, Main articles: Protectorate General to Pacify the West, Some “Turkic”troops * a desinicized people. [69] Protectorate General to Pacify the North and Inner Asia Civil war in China was almost totally diminished by 626, during the Tang dynasty The Sui and Tang carried out very successful military along with the defeat in 628 of the Ordos Chinese warlord campaigns against the steppe nomads. Chinese foreign Liang Shidu; after these internal conflicts, the Tang began policy to the north and west now had to deal with Turkic an offensive against the Turks.* [70] In the year 630, Tang nomads, who were becoming the most dominant ethnic armies captured areas of the Ordos Desert, modern-day group in Central Asia.* [61]* [62] To handle and avoid any Inner Mongolia province, and southern Mongolia from threats posed by the Turks, the Sui government repaired the Turks.* [65]* [71] After this military victory, Emperor fortifications and received their trade and tribute mis- Taizong won the title of Great Khan amongst the varisions.* [32] They sent royal princesses off to marry Turkic ous Turks in the region who pledged their allegiance to clan leaders, a total of four of them in 597, 599, 614, and him and the Chinese empire (with several thousand Turks 617. The Sui stirred trouble and conflict amongst eth- traveling into China to live at Chang'an). On June 11, nic groups against the Turks.* [63]* [64] As early as the 631, Emperor Taizong also sent envoys to the Xueyantuo Sui dynasty, the Turks had become a major militarized bearing gold and silk in order to persuade the release of force employed by the Chinese. When the Khitans be- enslaved Chinese prisoners who were captured during the gan raiding northeast China in 605, a Chinese general led transition from Sui to Tang from the northern frontier; 20,000 Turks against them, distributing Khitan livestock this embassy succeeded in freeing 80,000 Chinese men

124 and women who were then returned to China.* [72]* [73]

A tomb guard (wushi yong), terracotta sculpture, Tang dynasty, early-8th-century

CHAPTER 13. TANG DYNASTY was at times settled with marriage alliances such as the marrying of Princess Wencheng (d. 680) to Songtsän Gampo (d. 649).* [75]* [76] A Tibetan tradition mentions that Chinese troops captured Lhasa after Songtsän Gampo's death,* [77] but no such invasion is mentioned in either Chinese annals or the Tibetan manuscripts of Dunhuang.* [78] There was a long string of conflicts with Tibet over territories in the Tarim Basin between 670– 692, and in 763 the Tibetans even captured the capital of China, Chang'an, for fifteen days during the An Shi Rebellion.* [79]* [80] In fact, it was during this rebellion that the Tang withdrew its western garrisons stationed in what is now Gansu and Qinghai, which the Tibetans then occupied along with the territory of what is now Xinjiang.* [81] Hostilities between the Tang and Tibet continued until they signed a formal peace treaty in 821.* [82] The terms of this treaty, including the fixed borders between the two countries, are recorded in a bilingual inscription on a stone pillar outside the Jokhang temple in Lhasa.* [83] During the Islamic conquest of Persia (633–656), the son of the last ruler of the Sassanid Empire, Prince Pirooz, fled to Tang China.* [52]* [84] According to the Old Book of Tang, Pirooz was made the head of a Governorate of Persia in what is now Zaranj, Afghanistan. During this conquest of Persia, the Islamic Caliph Uthman Ibn Affan (r. 644–656) sent an embassy to the Tang court at Chang'an.* [67] By the 740s, the Arabs of Khurasan had established a presence in the Ferghana basin and in Sogdiana. At the Battle of Talas in 751, Qarluq mercenaries under the Chinese defected, helping the Arab armies of the Islamic Caliphate to defeat the Tang force under commander Gao Xianzhi. Although the battle itself was not of the greatest significance militarily, this was a pivotal moment in history; it marks the spread of Chinese papermaking* [85]* [86] into regions west of China as captured Chinese soldiers revealed secrets of Chinese papermaking to the Arabs. These techniques ultimately reached Europe by the 12th century through Arab-controlled Spain. Although they had fought at Talas, on June 11, 758, an Abbasid embassy arrived at Chang'an simultaneously with the Uyghur Turks bearing gifts for the Tang Emperor.* [87] From even further west, a tribute embassy came to the court of Taizong in 643 from the Patriarch of Antioch.* [88] In 788–9 the Chinese concluded a military alliance with the Uighur Turks who twice defeated the Tibetans, in 789 near the town of Kuch'eng in Jungharia, and in 791 near Ning-hsia on the Yellow River.* [89]

While the Turks were settled in the Ordos region (former territory of the Xiongnu), the Tang government took on the military policy of dominating the central steppe. Like the earlier Han dynasty, the Tang dynasty (along with Turkic allies) conquered and subdued Central Asia during the 640s and 650s.* [32] During Emperor Taizong's reign alone, large campaigns were launched against not only the Göktürks, but also separate campaigns against Korea and Japan the Tuyuhun, the Xiyu states, and the Xueyantuo. Under Emperor Gaozong, a campaign led by the general Su See also: Protectorate General to Pacify the East Dingfang was launched against the Western Turks ruled In the east, the Chinese military campaigns were less by Ashina Helu.* [74] successful than elsewhere. Like the emperors of the Sui The Tang Empire competed with the Tibetan Empire dynasty before him, Taizong established a military camfor control of areas in Inner and Central Asia, which paign in 644 against the kingdom of Goguryeo in the


125 668 to 676, the Tang Empire would control northern Korea. However, in 671 Silla began fighting the Tang forces there. At the same time the Tang faced threats on its western border when a large Chinese army was defeated by the Tibetans on the Dafei River in 670.* [91] By 676, the Tang army was driven out of Korea by Unified Silla.* [92] Following a revolt of the Eastern Turks in 679, the Tang abandoned its Korean campaigns.* [91]

Although the Tang had fought the Japanese, they still held cordial relations with Japan. There were numerous Imperial embassies to China from Japan, diplomatic missions that were not halted until 894 by Emperor Uda (r. A clay haniwa model of a ship, from Japan's Kofun period (250– 887–897), upon persuasion by Sugawara no Michizane (845–903).* [93] The Japanese Emperor Temmu (r. 672– 538) 686) even established his conscripted army on that of the Chinese model, his state ceremonies on the Chinese Goguryeo-Tang War; however, this led to its withdrawal model, and constructed his palace at Fujiwara on the in the first campaign because they failed to overcome the Chinese model of architecture.* [94] successful defense led by General Yeon Gaesomun. AlMany Chinese Buddhist monks came to Japan to help lying with the Korean Silla Kingdom, the Chinese fought further the spread of Buddhism as well. Two 7thagainst Baekje and their Yamato Japanese allies in the century monks in particular, Zhi Yu and Zhi You, visBattle of Baekgang in August 663, a decisive Tang–Silla ited the court of Emperor Tenji (r. 661–672), wherevictory. The Tang dynasty navy had several different ship upon they presented a gift of a south-pointing chariot types at its disposal to engage in naval warfare, these ships that they had crafted.* [95] This 3rd century mechandescribed by Li Quan in his Taipai Yinjing (Canon of the ically driven directional-compass vehicle (employing a White and Gloomy Planet of War) of 759.* [90] The Batdifferential gear) was again reproduced in several modtle of Baekgang was actually a restoration movement by els for Tenji in 666, as recorded in the Nihon Shoki remnant forces of Baekje, since their kingdom was topof 720.* [95] Japanese monks also visited China; such pled in 660 by a joint Tang–Silla invasion, led by Chinese was the case with Ennin (794–864), who wrote of his general Su Dingfang and Korean general Kim Yushin travel experiences including travels along China's Grand (595–673). In another joint invasion with Silla, the Tang Canal.* [96]* [97] The Japanese monk Enchin (814–891) army severely weakened the Goguryeo Kingdom in the stayed in China from 839 to 847 and again from 853 north by taking out its outer forts in the year 645. With to 858, landing near Fuzhou, Fujian and setting sail for joint attacks by Silla and Tang armies under commander Japan from Taizhou, Zhejiang during his second trip to Li Shiji (594–669), the Kingdom of Goguryeo was deChina.* [98]* [99] stroyed by 668.* [51]

13.1.4 Trade and spread of culture

A 10th-century mural painting in the Mogao Caves at Dunhuang showing monastic architecture from Mount Wutai, Tang dynasty; Japanese architecture of this period was influenced by Tang Chinese architecture

Although they were formerly enemies, the Tang accepted officials and generals of Goguryeo into their administration and military, such as the brothers Yeon Namsaeng (634–679) and Yeon Namsan (639–701). From

Through use of the land trade along the Silk Road and maritime trade by sail at sea, the Tang were able to gain many new technologies, cultural practices, rare luxury, and contemporary items. From the Middle East, India, Persia, and Central Asia the Tang were able to acquire new ideas in fashion, new types of ceramics, and improved silver-smithing.* [100] The Chinese also gradually adopted the foreign concept of stools and chairs as seating, whereas the Chinese beforehand always sat on mats placed on the floor.* [101] To the Middle East, the Islamic world coveted and purchased in bulk Chinese goods such as silks, lacquerwares, and porcelain wares.* [102] Songs, dances, and musical instruments from foreign regions became popular in China during the Tang dynasty.* [103]* [104] These musical instruments included oboes, flutes, and small lacquered drums from Kucha in the Tarim Basin, and percussion instruments from India such as cymbals.* [103] At the court there were nine musical ensembles (expanded from seven in the Sui dynasty)

126 representing music from throughout Asia.* [105] There was great contact and interest in India as a hub for Buddhist knowledge, with famous travelers such as Xuanzang (d. 664) visiting the South Asian subcontinent. After a 17-year-long trip, Xuanzang managed to bring back valuable Sanskrit texts to be translated into Chinese. There was also a Turkic–Chinese dictionary available for serious scholars and students, while Turkic folksongs gave inspiration to some Chinese poetry.* [106]* [107] In the interior of China, trade was facilitated by the Grand Canal and the Tang government's rationalization of the greater canal system that reduced costs of transporting grain and other commodities.* [108] The state also managed roughly 32,100 km (19,900 mi) of postal service routes by horse or boat.* [109] Silk Road

CHAPTER 13. TANG DYNASTY 763, the Tang Empire had once again lost control over its western lands, as the Tibetan Empire largely cut off China's direct access to the Silk Road.* [82] An internal rebellion in 848 ousted the Tibetan rulers, and Tang China regained its northwestern prefectures from Tibet in 851. These lands contained crucial grazing areas and pastures for raising horses that the Tang dynasty desperately needed.* [82]* [113] Despite the many western travelers coming into China to live and trade, many travelers, mainly religious monks, recorded the strict border laws that the Chinese enforced.* [102] As the monk Xuanzang and many other monk travelers attested to, there were many Chinese government checkpoints along the Silk Road that examined travel permits into the Tang Empire.* [102] Furthermore, banditry was a problem along the checkpoints and oasis towns, as Xuanzang also recorded that his group of travelers were assaulted by bandits on multiple occasions.* [102] The Silk Road also had an impact on Tang dynasty art. Horses became a significant symbol of prosperity and power as well as an instrument of military and diplomatic policy. Horses were also revered as a relative of the dragon.* [114]

Seaports and maritime trade

A Tang dynasty tri-color glazed figurine of a horse

Chinese envoys had been sailing through the Indian Ocean to India since perhaps the 2nd century BC,* [115]* [116] yet it was during the Tang dynasty that a strong Chinese maritime presence could be found in the Persian Gulf and Red Sea, into Persia, Mesopotamia (sailing up the Euphrates River in modern-day Iraq), Arabia, Egypt, Aksum (Ethiopia), and Somalia in the Horn of Africa.* [117] From the same Quraysh tribe of Muhammad, Sa'd ibn Abi-Waqqas sailed from Ethiopia to China during the reign of Emperor Gaozu. He later traveled back to China with a copy of the Quran, establishing China's first mosque, the Mosque of Remembrance, during the reign of Emperor Gaozong. To this day he is still buried in a Muslim cemetery at Guangzhou.

The Silk Road was the most important pre-modern Eurasian trade route. The Tang dynasty established a second Pax Sinica, and the Silk Road reached its golden age, whereby Persian and Sogdian merchants benefited from the commerce between East and West. At the same time, the Chinese empire welcomed foreign cultures making it very cosmopolitan in its urban centers. During the Tang dynasty, thousands of foreigners came Although the Silk Road from China to the West was ini- and lived in numerous Chinese cities for trade and comtially formulated during the reign of Emperor Wu of Han mercial ties with China, including Persians, Arabs, Hindu (141–87 BC), it was reopened by the Tang in 639 when Indians, Malays, Sinhalese, Khmers, Chams, Jews and Hou Junji (d. 643) conquered the West, and remained Nestorian Christians of the Near East, and many othopen for almost four decades. It was closed after the ers.* [118]* [119] In 748, the Buddhist monk Jian Zhen Tibetans captured it in 678, but in 699, during Empress described Guangzhou as a bustling mercantile center Wu's period, the Silk Road reopened when the Tang re- where many large and impressive foreign ships came to conquered the Four Garrisons of Anxi originally installed dock. He wrote that“many big ships came from Borneo, in 640,* [110] once again connecting China directly to Persia, Qunglun (Indonesia/Java)...with...spices, pearls, the West for land-based trade.* [111] The Tang captured and jade piled up mountain high”,* [120]* [121] as writthe vital route through the Gilgit Valley from Tibet in ten in the Yue Jue Shu (Lost Records of the State of Yue). 722, lost it to the Tibetans in 737, and regained it un- During the An Lushan Rebellion Arab and Persian pirates der the command of the Goguryeo-Korean General Gao burned and looted Guangzhou in 758,* [82] and foreignXianzhi.* [112] When the An Lushan Rebellion ended in ers were massacred at Yangzhou in 760. the Tang gov-


127 Japan were all involved in the Yellow Sea trade, which Silla dominated.* [128] After Silla and Japan reopened renewed hostilities in the late 7th century, most Japanese maritime merchants chose to set sail from Nagasaki towards the mouth of the Huai River, the Yangzi River, and even as far south as the Hangzhou Bay in order to avoid Korean ships in the Yellow Sea.* [128]* [129] In order to sail back to Japan in 838, the Japanese embassy to China procured nine ships and sixty Korean sailors from the Korean wards of Chuzhou and Lianshui cities along the Huai River.* [130] It is also known that Chinese trade ships traveling to Japan set sail from the various ports along the coasts of Zhejiang and Fujian provinces.* [131]

Figurine of a foreign merchant of the Tang dynasty, 7th-century

ernment reacted by shutting the port of Canton down for roughly five decades, and foreign vessels docked at Hanoi instead.* [122] However, when the port reopened it continued to thrive. In 851 the Arab merchant Sulaiman alTajir observed the manufacturing of Chinese porcelain in Guangzhou and admired its transparent quality.* [123] He also provided a description of Guangzhou's mosque, its granaries, its local government administration, some of its written records, the treatment of travelers, along with the use of ceramics, rice-wine, and tea.* [124] However, in another bloody episode at Guangzhou in 879, the Chinese rebel Huang Chao sacked the city, and purportedly slaughtered thousands of native Chinese, along with foreign Jews, Christians, Zoroastrians, and Muslims in the process.* [125]* [126]* [127] Huang's rebellion was eventually suppressed in 884.

A gilt Buddhist reliquary with decorations of armored guards, from Korean Silla, 7th-century

The Chinese engaged in large-scale production for overseas export by at least the time of the Tang. This was proven by the discovery of the Belitung shipwreck, a siltpreserved shipwrecked Arabian dhow in the Gaspar Strait near Belitung, which had 63,000 pieces of Tang ceramics, silver, and gold (including a Changsha bowl inscribed with a date:“16th day of the seventh month of the second year of the Baoli reign”, or 826 AD, roughly confirmed by radiocarbon dating of star anise at the wreck).* [132] Beginning in 785, the Chinese began to call regularly at Sufala on the East African coast in order to cut out Arab middlemen,* [133] with various contemporary Chinese sources giving detailed descriptions of trade in Africa. Vessels from Korean Silla, Balhae and Hizen Province of The official and geographer Jia Dan (730–805) wrote

128 of two common sea trade routes in his day: one from the coast of the Bohai Sea towards Korea and another from Guangzhou through Malacca towards the Nicobar Islands, Sri Lanka and India, the eastern and northern shores of the Arabian Sea to the Euphrates River.* [134] In 863 the Chinese author Duan Chengshi (d. 863) provided a detailed description of the slave trade, ivory trade, and ambergris trade in a country called Bobali, which historians suggest was Berbera in Somalia.* [135] In Fustat (old Cairo), Egypt, the fame of Chinese ceramics there led to an enormous demand for Chinese goods; hence Chinese often traveled there (this continued into later periods such as Fatimid Egypt).* [136]* [137] From this time period, the Arab merchant Shulama once wrote of his admiration for Chinese seafaring junks, but noted that their draft was too deep for them to enter the Euphrates River, which forced them to ferry passengers and cargo in small boats.* [138] Shulama also noted that Chinese ships were often very large, with capacities up to 600–700 passengers.* [134]* [138]

CHAPTER 13. TANG DYNASTY Zhou dynasty. Empress Wu's rise to power was achieved through cruel and calculating tactics, popular conspiracy theory stated that she killed her own baby girl and blamed it on Gaozong's empress so that the empress would be demoted.* [33] Emperor Gaozong suffered a stroke in 655, and Wu began to make many of his court decisions for him, discussing affairs of state with his councilors, who took orders from her while she sat behind a screen.* [139] When Empress Wu's eldest son, the crown prince, began to assert his authority and advocate policies opposed by Empress Wu, he suddenly died in 675. Many suspected he was poisoned by Empress Wu. Although the next heir apparent kept a lower profile, in 680 he was accused by Wu of plotting a rebellion and was banished (and later forced to commit suicide).* [140]

In 683, Emperor Gaozong died. He was succeeded by Emperor Zhongzong, his eldest surviving son by Wu. Zhongzong tried to appoint his wife's father as chancellor: after only six weeks on the throne, he was deposed by Empress Wu in favor of his younger brother, 12-yearold Emperor Ruizong.* [140] Wu was the real power. 13.1.5 Empress Wu and Emperor Xuan- This provoked a group of Tang princes to rebel in* 684; Wu's armies suppressed them within two months. [140] zong In 690, she forced Ruizong to step down from the throne. She became China's first female emperor while Ruizong Further information: Wu Zetian and Emperor Xuanzong became crown prince. She ruled until 705, when a palace of Tang coup forced her to abdicate in favor of Zhongzong. She died soon after.* [141] Usurpation of Wu Zetian

To legitimize her rule, she circulated a document known as the Great Cloud Sutra, which predicted that a reincarnation of the Maitreya Buddha would be a female monarch who would dispel illness, worry, and disaster from the world.* [142]* [143] She even introduced numerous revised written characters to the written language, which reverted to the originals after her death.* [144] Arguably the most important part of her legacy was diminishing the power of the northwest aristocracy, allowing people from other clans and regions of China to become more represented in Chinese politics and government.* [145]* [146] Rise of Xuanzong

There were many prominent women at court during and after Wu's reign, including Shangguan Wan'er (664– 710), a female poet, writer, and trusted official in charge of Wu's private office.* [147] In 706 the wife of Emperor Zhongzong of Tang, Empress Wei (d. 710), convinced her husband to staff government offices with his sister and her daughters, and in 709 requested that he grant Palace ladies in a garden from a mural of Prince Li Xian's tomb women the right to bequeath hereditary privileges to their * in the Qianling Mausoleum, where Wu Zetian was also buried in sons (which before was a male right only). [148] Empress Wei eventually poisoned Zhongzong, whereupon 706 she placed his fifteen-year-old son upon the throne in Although she entered Emperor Gaozong's court as the 710.* [41] Two weeks later, Li Longji (the later Emlowly consort Wu Zhao, Wu Zetian rose to the highest peror Xuanzong) entered the palace with a few followseat of power in 690, establishing the short-lived Later ers and slew Empress Wei and her faction.* [41] He then



13.1.6 Decline An Shi Rebellion and catastrophe Main article: An Lushan Rebellion The Tang Empire was at its height of power up until

The Leshan Giant Buddha, 71 m (233 ft) high; begun in 713, completed in 803. The Giant Wild Goose Pagoda, Chang'an (modern-day Xi'an), built in 652, repaired by Empress Wu Zetian in 704.

installed his father Emperor Ruizong (r. 710–712) on the throne.* [41] Just as Emperor Zhongzong was dominated by Empress Wei, so too was Ruizong dominated by Princess Taiping.* [149] This was finally ended when Princess Taiping's coup failed in 712 (she later hung herself in 713) and Emperor Ruizong abdicated to Emperor Xuanzong.* [41]* [148] During the 44-year reign of Emperor Xuanzong, the Tang dynasty reached its height, a golden age with low economic inflation and a toned down lifestyle for the imperial court.* [108]* [146] Seen as a progressive and benevolent ruler, Xuanzong even abolished the death penalty in the year 747; all executions had to be approved beforehand by the emperor himself (these were relatively few, considering that there were only 24 executions in the year 730).* [150] Xuanzong bowed to the consensus of his ministers on policy decisions and made efforts to fairly staff government ministries with different political factions.* [149] His staunch Confucian chancellor Zhang Jiuling (673–740) worked to reduce deflation and increase the money supply by upholding the use of private coinage, while his aristocratic and technocratic successor Li Linfu (d. 753) favored government monopoly over the issuance of coinage.* [151] After 737 most of Xuanzong's confidence rested in his long-standing chancellor Li Linfu, who championed a more aggressive foreign policy employing non-Chinese generals. This policy ultimately created the conditions for a massive rebellion against Xuanzong.* [152]

the middle of the 8th century, when the An Shi Rebellion (December 16, 755 – February 17, 763) destroyed the prosperity of the empire. An Lushan was a halfSogdian, half-Turk Tang commander since 744, had experience fighting the Khitans of Manchuria with a victory in 744,* [55]* [153] yet most of his campaigns against the Khitans were unsuccessful.* [154] He was given great responsibility in Hebei, which allowed him to rebel with an army of more than one hundred thousand troops.* [55] After capturing Luoyang, he named himself emperor of a new, but short-lived, Yan state.* [153] Despite early victories scored by Tang General Guo Ziyi (697–781), the newly recruited troops of the army at the capital were no match for An Lushan's die-hard frontier veterans, so the court fled Chang'an.* [55] While the heir apparent raised troops in Shanxi and Xuanzong fled to Sichuan province, they called upon the help of the Uyghur Turks in 756.* [155] The Uyghur khan Moyanchur was greatly excited at this prospect, and married his own daughter to the Chinese diplomatic envoy once he arrived, receiving in turn a Chinese princess as his bride.* [155] The Uyghurs helped recapture the Tang capital from the rebels, but they refused to leave until the Tang paid them an enormous sum of tribute in silk.* [55]* [155] Even Abbasid Arabs assisted the Tang in putting down An Lushan's rebellion.* [155]* [156] The Tibetans took hold of the opportunity and raided many areas under Chinese control, and even after the Tibetan Empire had fallen apart in 842 (and the Uyghurs soon after) the Tang were in no position to reconquer Central Asia after 763.* [55]* [157] So significant was this loss that half a century later jinshi examination candidates were required to write an essay on the causes of the Tang's decline.* [158] Although An Lushan was killed by one



of his eunuchs in 757,* [155] this time of troubles and cation system after 755, the central Chinese state barely widespread insurrection continued until rebel Shi Siming interfered in agricultural management and acted merely was killed by his own son in 763.* [155] as tax collector for roughly a millennium, save a few instances such as the Song's failed land nationalization during the 13th-century war with the Mongols.* [160]

An 8th-century silk wall scroll from Dunhuang, showing the paradise of Amitabha

One of the legacies that the Tang government left since 710 was the gradual rise of regional military governors, the jiedushi, who slowly came to challenge the power of the central government.* [56] After the An Shi Rebellion, the autonomous power and authority accumulated by the jiedushi in Hebei went beyond the central government's control. After a series of rebellions between 781 and 784 in today's Hebei, Shandong, Hubei and Henan provinces, the government had to officially acknowledge the jiedushi's hereditary ruling without accreditation. The Tang government relied on these governors and their armies for protection and to suppress locals that would take up arms against the government. In return, the central government would acknowledge the rights of these governors to maintain their army, collect taxes and even to pass on their title to heirs.* [55]* [159] As time passed, these military governors slowly phased out the prominence of civil officials drafted by exams, and became more autonomous from central authority.* [55] The rule of these powerful military governors lasted until 960, when a new civil order under the Song dynasty was established. Also, the abandonment of the equal-field system meant that people could buy and sell land freely. Many poor fell into debt because of this, forced to sell their land to the wealthy, which led to the exponential growth of large estates.* [55] With the breakdown of the land allo-

With the central government collapsing in authority over the various regions of the empire, it was recorded in 845 that bandits and river pirates in parties of 100 or more began plundering settlements along the Yangtze River with little resistance.* [161] In 858, enormous floods along the Grand Canal inundated vast tracts of land and terrain of the North China Plain, which drowned tens of thousands of people in the process.* [161] The Chinese belief in the Mandate of Heaven granted to the ailing Tang was also challenged when natural calamities occurred, forcing many to believe the Heavens were displeased and that the Tang had lost their right to rule. Then in 873 a disastrous harvest shook the foundations of the empire; in some areas only half of all agricultural produce was gathered, and tens of thousands faced famine and starvation.* [161] In the earlier period of the Tang, the central government was able to meet crises in the harvest, as it was recorded from 714–719 that the Tang government responded effectively to natural disasters by extending the price-regulation granary system throughout the country.* [161] The central government was able then to build a large surplus stock of foods to ward off the rising danger of famine and increased agricultural productivity through land reclamation.* [108]* [161] In the 9th century, however, the Tang government was nearly helpless in dealing with any calamity.

Eighty Seven Celestials, draft painting of a fresco by Wu Daozi (c. 685–758)

Rebuilding and recovery Although these natural calamities and rebellions stained the reputation and hampered the effectiveness of the central government, the early 9th century is nonetheless viewed as a period of recovery for the Tang dynasty.* [162] The government's withdrawal from its role in managing the economy had the unintended effect of stimulating trade, as more markets with less bureaucratic restrictions were opened up.* [163]* [164] By 780,


131 the emperor to make a considerable number of machines, for distribution to the people along the Zheng Bai Canal, for irrigation purposes. —* [166]

Xumi Pagoda, built in 636

the old grain tax and labor service of the 7th century was replaced by a semiannual tax paid in cash, signifying the shift to a money economy boosted by the merchant class.* [156] Cities in the Jiangnan region to the south, such as Yangzhou, Suzhou, and Hangzhou prospered the most economically during the late Tang period.* [163] The government monopoly on the production of salt, weakened after the An Shi Rebellion, was placed under the Salt Commission, which became one of the most powerful state agencies, run by capable ministers chosen as specialists. The commission began the practice of selling merchants the rights to buy monopoly salt, which they would then transport and sell in local markets. In 799 salt accounted for over half of the government's revenues.* [55] S. A. M. Adshead writes that this salt tax represents“the first time that an indirect tax, rather than tribute, levies on land or people, or profit from state enterprises such as mines, had been the primary resource of a major state.”* [165] Even after the power of the central government was in decline after the mid 8th century, it was still able to function and give out imperial orders on a massive scale. The Tangshu (Old Book of Tang) compiled in the year 945 recorded that in 828 the Tang government issued a decree that standardized irrigational square-pallet chain pumps in the country: In the second year of the Taihe reign period [828 AD], in the second month...a standard model of the chain pump was issued from the palace, and the people of Jingzhao Fu (d footnote: the capital) were ordered by

Painting of the scholar Fu Sheng, by the Tang poet, musician, and painter Wang Wei (701–761)

The last great ambitious ruler of the Tang dynasty was Emperor Xianzong (r. 805–820), his reign period aided by the fiscal reforms of the 780s, including the government monopoly on the salt industry.* [167] He also had an effective well trained imperial army stationed at the capital led by his court eunuchs; this was the Army of Divine Strategy, numbering 240,000 in strength as recorded in 798.* [168] Between the years 806 and 819, Emperor Xianzong conducted seven major military campaigns to quell the rebellious provinces that had claimed autonomy from central authority, managing to subdue all but two of them.* [99]* [169] Under his reign there was a brief end to the hereditary jiedushi, as Xianzong appointed his own military officers and staffed the regional bureaucracies once again with civil officials.* [99]* [169] However, Xianzong's successors proved less capable and more interested in the leisure of hunting, feasting, and playing outdoor sports, allowing eunuchs to amass more power as drafted scholar-officials caused strife in the bureaucracy with factional parties.* [169] The eunuchs' power became unchallenged after Emperor Wenzong's (r. 826–840) failed plot to have them overthrown; instead the allies of Emperor Wenzong were publicly executed in the West Market of Chang'an, by the eunuchs' command.* [163] Collapse In addition to natural calamities and jiedushi amassing autonomous control, the Huang Chao Rebellion (874– 884) resulted in the sacking of both Chang'an and Luoyang, and took an entire decade to suppress.* [170] Although the rebellion was defeated by the Tang, it never



recovered from that crucial blow, weakening it for the future military powers to take over. There were also large groups of bandits, in the size of small armies, that ravaged the countryside in the last years of the Tang, who smuggled illicit salt, ambushed merchants and convoys, and even besieged several walled cities.* [125] Zhu Wen, originally a salt smuggler who had served under the rebel Huang, surrendered to Tang forces. By helping to defeat Huang, he was granted a series of rapid military promotions.* [171] In 907 the Tang dynasty was ended when Zhu Wen, now a military governor, deposed the last emperor of Tang, Emperor Ai of Tang, and took the throne for himself (known posthumously as Emperor Taizu of Later Liang). He established the Later Liang, which inaugurated the Five Dynasties and Ten Kingdoms period. A year later the deposed Emperor Ai was poisoned to death by Zhu Wen.

13.2 Society and culture

Tang dynasty Kai Yuan Tong Bao coin (開元通寶), first minted in 621 CE in Chang'an, a model for the Japanese 8th-century Wadōkaichin

See also: Tang dynasty art 13.2.1 Both the Sui and Tang Dynasties had turned away from

Leisure in the Tang

Much more than earlier periods, the Tang era was renowned for the time reserved for leisure activity, especially for those in the upper classes.* [172] Many outdoor sports and activities were enjoyed during the Tang, including archery,* [173] hunting,* [174] horse polo,* [175] cuju football,* [176] cockfighting,* [177] and even tug of war.* [178] Government officials were granted vacations during their tenure in office. Officials were granted 30 days off every three years to visit their parents if they lived 1,000 mi (1,600 km) away, or 15 days off if the parents lived more than 167 mi (269 km) away (travel time not included).* [172] Officials were granted nine days of vacation time for weddings of a son or daughter, and either five, three, or one days/day off for the nuptials of close relatives (travel time not included).* [172] Officials also received a total of three days off for their son's capping initiation rite into manhood, and one day off for the ceremony of initiation rite of a close relative's son.* [172] A Tang sancai-glazed lobed dish with incised decorations, 8thcentury

the more feudal culture of the preceding Northern Dynasties, in favor of staunch civil Confucianism.* [2] The governmental system was supported by a large class of Confucian intellectuals selected through either civil service examinations or recommendations. In the Tang period, Daoism and Buddhism reigned as core ideologies as well, and played a large role in people's daily lives. The Tang Chinese enjoyed feasting, drinking, holidays, sports, and all sorts of entertainment, while Chinese literature blossomed and was more widely accessible with new printing methods.

Traditional Chinese holidays such as Chinese New Year, Lantern Festival, Cold Food Festival, and others were universal holidays. In the capital city of Chang'an there was always lively celebration, especially for the Lantern Festival since the city's nighttime curfew was lifted by the government for three days straight.* [179] Between the years 628 and 758, the imperial throne bestowed a total of sixty-nine grand carnivals nationwide, granted by the emperor in the case of special circumstances such as important military victories, abundant harvests after a long drought or famine, the granting of amnesties, the installment of a new crown prince, etc.* [180] For special celebration in the Tang era, lavish and gargantuan-sized feasts were sometimes prepared, as the imperial court



had staffed agencies to prepare the meals.* [181] This included a prepared feast for 1,100 elders of Chang'an in 664, a feast for 3,500 officers of the Divine Strategy Army in 768, and a feast for 1,200 women of the palace and members of the imperial family in the year 826.* [181] Drinking wine and alcoholic beverages was heavily ingrained into Chinese culture, as people drank for nearly every social event.* [182] A court official in the 8th century allegedly had a serpentine-shaped structure called the 'Ale Grotto' built with 50,000 bricks on the groundfloor that each featured a bowl from which his friends could drink.* [183]

with multiple city blocks. The city was made famous for this checkerboard pattern of main roads with walled and gated districts, its layout even mentioned in one of Du Fu's poems.* [185] During the Heian period, the city of Heian kyō (present-day Kyoto) of Japan like many cities was arranged in the checkerboard street grid pattern of the Tang capital and in accordance with traditional geomancy following the model of Chang'an.* [32] Of these 108 wards in Chang'an, two of them (each the size of two regular city wards) were designated as governmentsupervised markets, and other space reserved for temples, gardens, ponds, etc.* [19] Throughout the entire city, there were 111 Buddhist monasteries, 41 Daoist abbeys, 38 family shrines, 2 official temples, 7 churches of for13.2.2 Chang'an, the Tang capital eign religions, 10 city wards with provincial transmission offices, 12 major inns, and 6 graveyards.* [186] Some city Main article: Chang'an wards were literally filled with open public playing fields Although Chang'an was the capital of the earlier Han and or the backyards of lavish mansions for playing horse polo and cuju football.* [187] In 662, Emperor Gaozong moved the imperial court to the Daming Palace, which became the political center of the empire and served as the royal residence of the Tang emperors for more than 220 years.* [188]

A mural depicting a corner tower, most likely one of Chang'an, from the tomb of Prince Yide (d. 701) at the Qianling Mausoleum, dated 706

Jin dynasties, after subsequent destruction in warfare, it was the Sui dynasty model that comprised the Tang era capital. The roughly square dimensions of the city had six miles (10 km) of outer walls running east to west, and more than five miles (8 km) of outer walls running north to south.* [19] The royal palace, the Taiji Palace, stood north of the city's central axis.* [184] From the large Mingde Gates located mid-center of the main southern wall, a wide city avenue stretched from there all the way north to the central administrative city, behind which was the Chentian Gate of the royal palace, or Imperial City. Intersecting this were fourteen main streets running east to west, while eleven main streets ran north to south. These main intersecting roads formed 108 rectangular wards with walls and four gates each, and each ward filled

The bronze Jingyun Bell cast 711, height 247 cm high, weight 6,500 kg, now in the Xi'an Bell Tower

The Tang capital was the largest city in the world at its time, the population of the city wards and its suburban countryside reaching 2 million inhabitants.* [19] The Tang capital was very cosmopolitan, with ethnicities of Persia, Central Asia, Japan, Korea, Vietnam, Tibet, India, and many other places living within. Naturally, with this plethora of different ethnicities liv-

134 ing in Chang'an, there were also many different practiced religions, such as Buddhism, Nestorian Christianity, Manichaeism, Zoroastrianism, Judaism, and Islam being practiced within. With widely open access to China that the Silk Road to the west facilitated, many foreign settlers were able to move east to China, while the city of Chang'an itself had about 25,000 foreigners living within.* [102]* [189] Exotic green-eyed, blondhaired Tocharian ladies serving wine in agate and amber cups, singing, and dancing at taverns attracted customers.* [190] If a foreigner in China pursued a Chinese woman for marriage, he was required to stay in China and was unable to take his bride back to his homeland, as stated in a law passed in 628 to protect women from temporary marriages with foreign envoys.* [191] Several laws enforcing segregation of foreigners from Chinese were passed during the Tang dynasty. In 779 the Tang dynasty issued an edict which forced Uighurs in the capital, Chang'an, to wear their ethnic dress, stopped them from marrying Chinese females, and banned them from passing off as Chinese.* [192]

CHAPTER 13. TANG DYNASTY However, the Tang court eventually demoted its capital status and did not visit Luoyang after the year 743, when Chang'an's problem of acquiring adequate supplies and stores for the year was solved.* [118] As early as 736, granaries were built at critical points along the route from Yangzhou to Chang'an, which eliminated shipment delays, spoilage, and pilfering.* [195] An artificial lake used as a transshipment pool was dredged east of Chang'an in 743, where curious northerners could finally see the array of boats found in southern China, delivering tax and tribute items to the imperial court.* [196]

13.2.3 Literature Main articles: Chinese literature and Tang poetry The Tang period was a golden age of Chinese litera-

Chang'an was the center of the central government, the home of the imperial family, and was filled with splendor and wealth. However, incidentally it was not the economic hub during the Tang dynasty. The city of Yangzhou along the Grand Canal and close to the Yangtze River was the greatest economic center during the Tang era.* [118]* [193]

Spring Outing of the Tang Court, by Zhang Xuan (713–755)

Yangzhou was the headquarters for the Tang's government monopoly on salt, and the greatest industrial center of China; it acted as a midpoint in shipping of foreign goods that would be organized and distributed to the major cities of the north.* [118]* [193] Much like the seaport of Guangzhou in the south, Written calligraphy of Emperor Taizong on a Tang stele Yangzhou boasted thousands of foreign traders from all across Asia.* [193]* [194] ture and art. There are over 48,900 poems penned by There was also the secondary capital city of Luoyang, some 2,200 Tang authors that have survived until modwhich was the favored capital of the two by Empress Wu. ern times.* [197]* [198] Skill in the composition of poetry In the year 691 she had more than 100,000 families (more became a required study for those wishing to pass imthan 500,000 people) from around the region of Chang'an perial examinations,* [199] while poetry was also heavmove to populate Luoyang instead.* [118] With a pop- ily competitive; poetry contests amongst guests at banulation of about a million, Luoyang became the second quets and courtiers were common.* [200] Poetry styles largest capital in the empire, and with its close proxim- that were popular in the Tang included gushi and jintishi, ity to the Luo River it benefited from southern agricul- with the renowned poet Li Bai (701–762) famous for the tural fertility and trade traffic of the Grand Canal.* [118] former style, and poets like Wang Wei (701–761) and Cui



Hao (704–754) famous for their use of the latter. Jintishi poetry, or regulated verse, is in the form of eight-line stanzas or seven characters per line with a fixed pattern of tones that required the second and third couplets to be antithetical (although the antithesis is often lost in translation to other languages).* [201] Tang poems remained popular and great emulation of Tang era poetry began in the Song dynasty; in that period, Yan Yu (嚴羽; active 1194–1245) was the first to confer the poetry of the High Tang (c. 713–766) era with“canonical status within the classical poetic tradition.”Yan Yu reserved the position of highest esteem among all Tang poets for Du Fu (712– 770), who was not viewed as such in his own era, and was branded by his peers as an anti-traditional rebel.* [202] The Classical Prose Movement was spurred in large part by the writings of Tang authors Liu Zongyuan (773–819) and Han Yu (768–824). This new prose style broke away from the poetry tradition of the 'piantiwen' style begun in the Han dynasty. Although writers of the Classical Prose Movement imitated 'piantiwen', they criticized it for its often vague content and lack of colloquial language, focusing more on clarity and precision to make their writing more direct.* [203] This guwen (archaic prose) style can be traced back to Han Yu, and would become largely associated with orthodox Neo-Confucianism.* [204] Short story fiction and tales were also popular during the Tang, one of the more famous ones being Yingying's Biography by Yuan Zhen (779–831), which was widely circulated in his own time and by the Yuan dynasty (1279–1368) became the basis for plays in Chinese opera.* [205]* [206] Timothy C. Wong places this story within the wider context of Tang love tales, which often share the plot designs of quick passion, inescapable societal pressure leading to the abandonment of romance, followed by a period of melancholy.* [207] Wong states that this scheme lacks the undying vows and total selfcommitment to love found in Western romances such as Romeo and Juliet, but that underlying traditional Chinese values of inseparableness of self from one's environment (including human society) served to create the necessary fictional device of romantic tension.* [208] There were large encyclopedias published in the Tang. The Yiwen Leiju encyclopedia was compiled in 624 by the chief editor Ouyang Xun (557–641) as well as Linghu Defen (582–666) and Chen Shuda (d. 635). The encyclopedia Treatise on Astrology of the Kaiyuan Era was fully compiled in 729 by Gautama Siddha (fl. 8th century), an ethnic Indian astronomer, astrologer, and scholar born in the capital Chang'an. Chinese geographers such as Jia Dan wrote accurate descriptions of places far abroad. In his work written between 785 and 805, he described the sea route going into the mouth of the Persian Gulf, and that the medieval Iranians (whom he called the people of Luo-HeYi) had erected 'ornamental pillars' in the sea that acted as lighthouse beacons for ships that might go astray.* [210]

Small Wild Goose Pagoda, built by 709, was adjacent to the Dajianfu Temple in Chang'an, where Buddhist monks from India and elsewhere gathered to translate Sanskrit texts into Chinese* [209]

Confirming Jia's reports about lighthouses in the Persian Gulf, Arabic writers a century after Jia wrote of the same structures, writers such as al-Mas'udi and alMuqaddasi. The Tang dynasty Chinese diplomat Wang Xuance traveled to Magadha (modern northeastern India) during the 7th century.* [211] Afterwards he wrote the book Zhang Tianzhu Guotu (Illustrated Accounts of Central India), which included a wealth of geographical information.* [212] Many histories of previous dynasties were compiled between 636 and 659 by court officials during and shortly after the reign of Emperor Taizong of Tang. These included the Book of Liang, Book of Chen, Book of Northern Qi, Book of Zhou, Book of Sui, Book of Jin, History of Northern Dynasties and the History of Southern Dynasties. Although not included in the official Twenty-Four Histories, the Tongdian and Tang Huiyao were nonetheless valuable written historical works of the Tang period. The Shitong written by Liu Zhiji in 710 was a meta-history, as it covered the history of Chinese historiography in past centuries until his time. The Great Tang Records on the Western Regions, compiled by Bianji, recounted the journey of Xuanzang, the Tang era's most renowned Buddhist monk. Other important literary offerings included Duan Chengshi's (d. 863) Miscellaneous Morsels from Youyang, an entertaining collection of foreign legends and hearsay, reports on natural phenomena, short anecdotes, mythical and mundane tales, as well as notes on various subjects. The exact literary category or classification that Duan's large informal narrative would fit into is still debated amongst scholars and historians.* [213]




Religion and philosophy

revenues to set up mills, oil presses, and other enterprises.* [216]* [217]* [218] Although the monasteries reMain articles: Religion in China and Chinese philosophy tained 'serfs', these monastery dependents could actually Since ancient times, the Chinese believed in a folk re- own property and employ others to help them in their work, including their own slaves.* [219] The prominent status of Buddhism in Chinese culture began to decline as the dynasty and central government declined as well during the late 8th century to 9th century. Buddhist convents and temples that were exempt from state taxes beforehand were targeted by the state for taxation. In 845 Emperor Wuzong of Tang finally shut down 4,600 Buddhist monasteries along with 40,000 temples and shrines, forcing 260,000 Buddhist monks and nuns to return to secular life;* [30]* [220] this episode would later be dubbed one of the Four Buddhist Persecutions in China. Although the ban would be lifted just a few years after, Buddhism never regained its once dominant status in Chinese culture.* [30]* [220]* [221]* [222] This situation also came about through new revival of interest in native Chinese philosophies, such as Confucianism and Daoism. Han Yu (786–824)—who Arthur F. Wright stated was a “brilliant polemicist and ardent xenophobe" —was one of the first men of the Tang to denounce Buddhism.* [223] Although his contemporaries found him crude and obnoxious, he would foreshadow the later persecution of Buddhism in the Tang, as well as the revival of Confucian theory with the rise of NeoConfucianism of the Song dynasty.* [223] Nonetheless, Chán Buddhism gained popularity amongst the educated elite.* [30] There were also many famous Chan monks A Tang dynasty sculpture of a Bodhisattva from the Tang era, such as Mazu Daoyi, Baizhang, and Huangbo Xiyun. The sect of Pure Land Buddhism initiligion that incorporated many deities. The Chinese be- ated by the Chinese monk Huiyuan (334–416) was also lieved that the afterlife was a reality parallel to the liv- just as popular as Chan Buddhism during the Tang.* [224] ing world, complete with its own bureaucracy and afterlife currency needed by dead ancestors.* [214] Funerary practices included providing the deceased with everything they might need in the afterlife, including animals, servants, entertainers, hunters, homes, and officials. This ideal is reflected in Tang dynasty art.* [114] This is also reflected in many short stories written in the Tang about people accidentally winding up in the realm of the dead, only to come back and report their experiences.* [214] Buddhism, originating in India around the time of Confucius, continued to flourish during the Tang period and was adopted by the imperial family, becoming thoroughly sinicized and a permanent part of Chinese traditional culture. In an age before Neo-Confucianism and figures such as Zhu Xi (1130–1200), Buddhism had begun to flourish in China during the Southern and Northern Dynasties, and became the dominant ideology during the prosperous Tang. Buddhist monasteries played an integral role in Chinese society, offering lodging for travelers in remote areas, schools for children throughout the country, and a place for urban literati to stage social events and gatherings such as going-away parties.* [215] Buddhist monasteries were also engaged in the economy, since their land property and serfs gave them enough

A timber hall built in 857,* [225] located at the Buddhist Foguang Temple of Mount Wutai, Shanxi

Rivaling Buddhism was Daoism, a native Chinese philosophical and religious belief system that found its roots in the book of the Daodejing (attributed to Laozi in the 6th century BC) and the Zhuangzi. The ruling Li family of the Tang dynasty actually claimed descent from the ancient Laozi.* [226] On numerous occasions where Tang princes

13.2. SOCIETY AND CULTURE would become crown prince or Tang princesses taking vows as Daoist priestesses, their lavish former mansions would be converted into Daoist abbeys and places of worship.* [226] Many Daoists were associated with alchemy in their pursuits to find an elixir of immortality and a means to create gold from concocted mixtures of many other elements.* [227] Although they never achieved their goals in either of these futile pursuits, they did contribute to the discovery of new metal alloys, porcelain products, and new dyes.* [227] The historian Joseph Needham labeled the work of the Daoist alchemists as“proto-science rather than pseudo-science.”* [227] However, the close connection between Daoism and alchemy, which some sinologists have asserted, is refuted by Nathan Sivin, who states that alchemy was just as prominent (if not more so) in the secular sphere and practiced more often by laymen.* [228]

137 mistresses of the bordellos in the North Hamlet of the capital Chang'an acquired large amounts of wealth and power.* [230] Their high-class courtesans, who likely influenced the Japanese geishas,* [231] were well respected. These courtesans were known as great singers and poets, supervised banquets and feasts, knew the rules to all the drinking games, and were trained to have the utmost respectable table manners.* [230]

The Tang dynasty also officially recognized various foreign religions. The Assyrian Church of the East, otherwise known as the Nestorian Christian Church, was given recognition by the Tang court. In 781, the Nestorian Stele was created in order to honor the achievements of their community in China. A Christian monastery was established in Shaanxi province where the Daqin Pagoda still stands, and inside the pagoda there is Christian-themed artwork. Although the religion largely died out after the Tang, it was revived in China following the Mongol invasions of the 13th century.* [229]


Tang women

Woman playing polo, 8th-century

Beauties Wearing Flowers, by Zhou Fang, 8th-century

Concepts of women's social rights and social status during the Tang era were notably liberal-minded for the period. However, this was largely reserved for urban women of elite status, as men and women in the rural countryside labored hard in their different set of tasks; with wives and daughters responsible for more domestic tasks of weaving textiles and rearing of silk worms, while men tended to farming in the fields.* [48] There were many women in the Tang era who gained access to religious authority by taking vows as Daoist priestesses.* [226] The head

Although they were renowned for their polite behavior, the courtesans were known to dominate the conversation amongst elite men, and were not afraid to openly castigate or criticize prominent male guests who talked too much or too loudly, boasted too much of their accomplishments, or had in some way ruined dinner for everyone by rude behavior (on one occasion a courtesan even beat up a drunken man who had insulted her).* [232] When singing to entertain guests, courtesans not only composed the lyrics to their own songs, but they popularized a new form of lyrical verse by singing lines written by various renowned and famous men in Chinese history.* [197] It was fashionable for women to be full-figured (or plump). Men enjoyed the presence of assertive, active women.* [233]* [234] The foreign horse-riding sport of polo from Persia became a wildly popular trend amongst the Chinese elite, and women often played the sport (as glazed earthenware figurines from the time period portray).* [233] The preferred hairstyle for women was to bunch their hair up like “an elaborate edifice above the forehead,”* [234] while affluent ladies wore extravagant head ornaments, combs, pearl necklaces, face powders,



and perfumes.* [235] A law was passed in 671 which attempted to force women to wear hats with veils again in order to promote decency, but these laws were ignored as some women started wearing caps and even no hats at all, as well as men's riding clothes and boots, and tightsleeved bodices.* [236] There were some prominent court women after the era of Empress Wu, such as Yang Guifei (719–756), who had Emperor Xuanzong appoint many of her relatives and cronies to important ministerial and martial positions.* [41]


Tea, food, and necessities

During the earlier Southern and Northern Dynasties (420–589), and perhaps even earlier, the drinking of tea (Camellia sinensis) became popular in southern China. Tea was viewed then as a beverage of tasteful pleasure and with pharmacological purpose as well.* [197] During the Tang dynasty, tea became synonymous with everything sophisticated in society. The poet Lu Tong (790– 835) devoted most of his poetry to his love of tea. The 8th-century author Lu Yu (known as the Sage of Tea) even wrote a treatise on the art of drinking tea, called The Classic of Tea.* [237] Although wrapping paper had been used in China since the 2nd century BC,* [238] during the Tang dynasty the Chinese were using wrapping paper as folded and sewn square bags to hold and preserve the flavor of tea leaves.* [238] Indeed, paper found many other uses besides writing and wrapping during the Tang era. Earlier, the first recorded use of toilet paper was made in 589 by the scholar-official Yan Zhitui (531–591),* [239] and in 851 an Arab Muslim traveler commented on how he believed the Tang era Chinese were not careful about cleanliness because they did not wash with water (as was his people's habit) when going to the bathroom; instead, he said, the Chinese simply used paper to wipe themselves.* [239] In ancient times, the Chinese had outlined the five most basic foodstuffs known as the five grains: sesamum, legumes, wheat, panicled millet, and glutinous millet.* [240] The Ming dynasty encyclopedist Song Yingxing (1587–1666) noted that rice was not counted amongst the five grains from the time of the legendary and deified Chinese sage Shennong (the existence of whom Yingxing wrote was“an uncertain matter”) into the 2nd millenniums BC, because the properly wet and humid climate in southern China for growing rice was not yet fully settled or cultivated by the Chinese.* [240] During the Tang, the many common foodstuffs and cooking ingredients in addition to those already listed were barley, garlic, salt, turnips, soybeans, pears, apricots, peaches, apples, pomegranates, jujubes, rhubarb, hazelnuts, pine nuts, chestnuts, walnuts, yams, taro, etc.* [241] The various meats that were consumed included pork, chicken, lamb (especially preferred in the north), sea otter, bear (which was hard to catch, but there were recipes for steamed, boiled, and marinated bear), and even Bactrian camels.* [241] In the south along the coast meat from seafood was by default the most common, as the Chinese enjoyed eating cooked jellyfish with cinnamon, Sichuan pepper, cardamom, and ginger, as well as oysters with wine, fried squid with ginger and vinegar, horseshoe crabs and red swimming crabs, shrimp and pufferfish, which the Chinese called “river piglet”.* [242]

A terracotta sculpture of a woman, 7th- to 8th-century; during the Tang era, female hosts prepared feasts, tea parties, and played drinking games with their guests.

Some foods were also off-limits, as the Tang court encouraged people not to eat beef (since the bull was a valuable working animal), and from 831 to 833 Emperor Wenzong of Tang even banned the slaughter of cattle on the grounds of his religious convictions to



13.3 Science, medicine



Main article: Science and technology of the Tang dynasty Further information: History of science and technology in China, List of Chinese inventions and List of Chinese discoveries

13.3.1 Engineering

A page of Lu Yu's The Classic of Tea Wooden statues of tomb guardians; mechanical-driven wooden statues served as cup-bearers, wine-pourers, dancers, and others in this age.* [251]

Buddhism.* [243] From the trade overseas and over land, the Chinese acquired peaches from Samarkand, date palms, pistachios, and figs from Greater Iran, pine nuts and ginseng roots from Korea and mangoes from Southeast Asia.* [244]* [245] In China, there was a great demand for sugar; during the reign of Harsha over North India (r. 606–647), Indian envoys to the Tang brought two makers of sugar who successfully taught the Chinese how to cultivate sugarcane.* [246]* [247] Cotton also came from India as a finished product from Bengal, although it was during the Tang that the Chinese began to grow and process cotton, and by the Yuan dynasty it became the prime textile fabric in China.* [248]

Technology during the Tang period was built also upon the precedents of the past. Advancements in clockworks and timekeeping included the mechanical gear systems of Zhang Heng (78–139) and Ma Jun (fl. 3rd century) gave the Tang engineer, astronomer, and monk Yi Xing (683–727) inspiration when he invented the world's first clockwork escapement mechanism in 725.* [252] This was used alongside a clepsydra clock and waterwheel to power a rotating armillary sphere in representation of astronomical observation.* [253] Yi Xing's device also had a mechanically timed bell that was struck automatically every hour, and a drum that was struck automatically every quarter hour; essentially, a striking clock.* [254] Yi Xing's astronomical clock and water-powered armillary sphere became well known throughout the country, since students attempting to pass the imperial examinations by 730 had to write an essay on the device as an exam requirement.* [255] However, the most common type of public and palace timekeeping device was the inflow clepsydra. Its design was improved c. 610 by the Sui-dynasty engineers Geng Xun and Yuwen Kai. They provided a steelyard balance that allowed seasonal adjustment in the pressure head of the compensating tank and could then control the rate of flow for different lengths of day and night.* [256]

Methods of food preservation were important, and practiced throughout China. The common people used simple methods of preservation, such as digging deep ditches and trenches, brining, and salting their foods.* [249] The emperor had large ice pits located in the parks in and around Chang'an for preserving food, while the wealthy and elite had their own smaller ice pits.* [250] Each year the emperor had laborers carve 1000 blocks of ice from frozen creeks in mountain valleys, each block with the dimension of 3 ft (0.91 m) by 3 ft by 3½ ft (1.06 m).* [250] There were many frozen delicacies enjoyed during the summer, There were many other mechanical inventions during the especially chilled melon.* [250]



Tang era. This included a 3 ft (0.91 m) tall mechanical wine server of the early 8th century that was in the shape of an artificial mountain, carved out of iron and rested on a lacquered-wooden tortoise frame.* [257] This intricate device used a hydraulic pump that siphoned wine out of metal dragon-headed faucets, as well as tilting bowls that were timed to dip wine down, by force of gravity when filled, into an artificial lake that had intricate iron leaves popping up as trays for placing party treats.* [257] Furthermore, as the historian Charles Benn describes it: Midway up the southern side of the mountain was a dragon…the beast opened its mouth and spit brew into a goblet seated on a large [iron] lotus leaf beneath. When the cup was 80% full, the dragon ceased spewing ale, and a guest immediately seized the goblet. If he was slow in draining the cup and returning it to the leaf, the door of a pavilion at the top of the mountain opened and a mechanical wine server, dressed in a cap and gown, emerged with a wooden bat in his hand. As soon as the guest returned the goblet, the dragon refilled it, the wine server withdrew, and the doors of the pavilion closed…A pump siphoned the ale that flowed into the ale pool through a hidden hole and returned the brew to the reservoir [holding more than 16 quarts/15 liters of wine] inside the mountain.* [257]

automatons used in the Tang, including general Yang Wulian's wooden statue of a monk who stretched his hands out to collect contributions; when the amount of coins reached a certain weight, the mechanical figure moved his arms to deposit them in a satchel.* [259] This weightand-lever mechanism was exactly like Heron's penny slot machine.* [260] Other devices included one by Wang Ju, whose“wooden otter”could allegedly catch fish; Needham suspects a spring trap of some kind was employed here.* [259] In the realm of structural engineering and technical Chinese architecture, there were also government standard building codes, outlined in the early Tang book of the Yingshan Ling (National Building Law).* [261] Fragments of this book have survived in the Tang Lü (The Tang Code),* [262] while the Song dynasty architectural manual of the Yingzao Fashi (State Building Standards) by Li Jie (1065–1101) in 1103 is the oldest existing technical treatise on Chinese architecture that has survived in full.* [261] During the reign of Emperor Xuanzong of Tang (712–756) there were 34,850 registered craftsmen serving the state, managed by the Agency of Palace Buildings (Jingzuo Jian).* [262]

13.3.2 Woodblock printing

The Diamond Sutra, printed in 868, is the world's first widely printed book (using woodblock printing).

A square bronze mirror with a phoenix motif of gold and silver inlaid with lacquer, 8th-century

Although the use of a teasing mechanical puppet in this wine-serving device was certainly ingenious, the use of mechanical puppets in China date back to the Qin dynasty (221–207 BC)* [258] while Ma Jun in the 3rd century had an entire mechanical puppet theater operated by the rotation of a waterwheel.* [258] There was also an automatic wine-server known in the ancient GrecoRoman world, a design of Heron of Alexandria that employed an urn with an inner valve and a lever device similar to the one described above. There are many stories of

Woodblock printing made the written word available to vastly greater audiences. One of the world's oldest surviving printed documents is a miniature Buddhist dharani sutra unearthed at Xi'an in 1974 and dated roughly from 650 to 670.* [263] The Diamond Sutra is the first fulllength book printed at regular size, complete with illustrations embedded with the text and dated precisely to 868.* [264]* [265] Among the earliest documents to be printed were Buddhist texts as well as calendars, the latter essential for calculating and marking which days were auspicious and which days were not.* [266] With so many books coming into circulation for the general public, literacy rates could improve, along with the lower classes being able to obtain cheaper sources of study. Therefore, there were more lower-class people seen entering



the Imperial Examinations and passing them by the later Song dynasty.* [36]* [267]* [268] Although the later Bi Sheng's movable type printing in the 11th century was innovative for his period, woodblock printing that became widespread in the Tang would remain the dominant printing type in China until the more advanced printing press from Europe became widely accepted and used in East Asia.* [269] The first use of the playing card during the Tang dynasty was an auxiliary invention of the new age of printing.* [270]



The Chinese of the Tang era were also very interested in the benefits of officially classifying all of the medicines used in pharmacology. In 657, Emperor Gaozong of Tang (r. 649–683) commissioned the literary project of publishing an official materia medica, complete with text and illustrated drawings for 833 different medicinal substances taken from different stones, minerals, metals, plants, herbs, animals, vegetables, fruits, and cereal crops.* [271] In addition to compiling pharmacopeias, the Tang fostered learning in medicine by upholding imperial medical colleges, state examinations for doctors, and publishing forensic manuals for physicians.* [248] Authors of medicine in the Tang include Zhen Chuan (d. 643) and Sun Simiao (581–682), the former who first identified in writing that patients with diabetes had an excess of sugar in their urine, and the latter who was the first to recognize that diabetic patients should avoid consuming alcohol and starchy foods.* [272] As written by Zhen Chuan and others in the Tang, the thyroid glands of sheep and pigs were successfully used to treat goiters; thyroid extracts were not used to treat patients with goiter in the West until 1890.* [273] The use of the dental amalgam, manufactured from tin and silver, was first introduced in the medical text Xinxiu Bencao written by Su Gong in 659.* [274]


The Dunhuang map, a star map showing the North Polar region. circa 700.* [275] Constellations were divided into three“schools” distinguished with different colors: white, black and yellow for stars of Wu Xian, Gan De and Shi Shen respectively. The whole set of star maps contained 1,300 stars.

stele with a grid scale of 100 li.* [278] However, the only type of map that has survived from the Tang period are star charts. Despite this, the earliest extant terrain maps of China come from the ancient State of Qin; maps from the 4th century BC that were excavated in 1986.* [279]

13.3.5 Alchemy, gas cylinders, and air conditioning


In the realm of cartography, there were further advances beyond the map-makers of the Han dynasty. When the Tang chancellor Pei Ju (547–627) was working for the Sui dynasty as a Commercial Commissioner in 605, he created a well-known gridded map with a graduated scale in the tradition of Pei Xiu (224–271).* [276] The Tang chancellor Xu Jingzong (592–672) was also known for his map of China drawn in the year 658.* [277] In the year 785 the Emperor Dezong had the geographer and cartographer Jia Dan (730–805) complete a map of China and her former colonies in Central Asia.* [277] Upon its completion in 801, the map was 9.1 m (30 ft) in length and 10 m (33 ft) in height, mapped out on a grid scale of one inch equaling one hundred li (Chinese unit of measuring distance).* [277] A Chinese map of 1137 is similar in complexity to the one made by Jia Dan, carved on a stone

A rounded ceramic plate with “three colors”(sancai) glaze design, 8th-century

The Chinese of the Tang period employed complex chemical formulas for an array of different purposes, often found through experiments of alchemy. These in-

142 cluded a waterproof and dust-repelling cream or varnish for clothes and weapons, fireproof cement for glass and porcelain wares, a waterproof cream applied to silk clothes of underwater divers, a cream designated for polishing bronze mirrors, and many other useful formulas.* [280] The vitrified, translucent ceramic known as porcelain was invented in China during the Tang, although many types of glazed ceramics preceded it.* [137]* [281] Ever since the Han dynasty (202 BC – 220 AD), the Chinese had drilled deep boreholes to transport natural gas from bamboo pipelines to stoves where cast iron evaporation pans boiled brine to extract salt.* [282] During the Tang dynasty, a gazetteer of Sichuan province stated that at one of these 182 m (600 ft) 'fire wells', men collected natural gas into portable bamboo tubes which could be carried around for dozens of km (mi) and still produce a flame.* [283] These were essentially the first gas cylinders; Robert Temple assumes some sort of tap was used for this device.* [283]


13.4 Historiography See also: Chinese historiography The first classic work about the Tang is the Old Book of Tang by Liu Xu (887–946 AD) et al. of the Later Jin, who redacted it during the last years of his life. This was edited into another history (labelled the New Book of Tang) in order to distinguish it, which was a work by the Song historians Ouyang Xiu (1007–1072), Song Qi (998–1061), et al. of the Song dynasty (between the years 1044 and 1060). Both of them were based upon earlier annals, yet those are now lost.* [287] Both of them also rank among the Twenty-Four Histories of China. One of the surviving sources of the Old Book of Tang, primarily covering up to 756, is the Tongdian, which Du You presented to the emperor in 801. The Tang period was again placed into the enormous universal history text of the Zizhi Tongjian, edited, compiled, and completed in 1084 by a team of scholars under the Song dynasty Chancellor Sima Guang (1019–1086). This historical text, written with 3 million Chinese characters in 294 volumes, covered the history of China from the beginning of the Warring States (403 BC) until the beginning of the Song dynasty (960).

13.5 See also • Di Renjie • Eight Immortals of the Wine Cup • Yijing (monk) • Kaiyuan Za Bao (government newspaper for officials) • List of emperors of the Tang dynasty • List of tributaries of Imperial China This Tang yellow-glazed pottery horse includes a carefully sculpted saddle, which is decorated with leather straps and ornamental fastenings featuring eight-petalled flowers and apricot leaves.

The inventor Ding Huan (fl. 180 AD) of the Han dynasty invented a rotary fan for air conditioning, with seven wheels 3 m (10 ft) in diameter and manually powered.* [284] In 747, Emperor Xuanzong had a “Cool Hall”built in the imperial palace, which the Tang Yulin (唐語林) describes as having water-powered fan wheels for air conditioning as well as rising jet streams of water from fountains.* [285] During the subsequent Song dynasty, written sources mentioned the air conditioning rotary fan as even more widely used.* [286]

• Nine Pinnacle Pagoda • Qianling Mausoleum • Chinese emperors family tree (middle) • Tang dynasty in Inner Asia • Tang poetry • Wei Zheng • Yan Zhenqing • Taxation in premodern China


13.6 Notes [1] During the reign of the Tang the world population grew from about 190 million to approximately 240 million, a difference of 50 million. See also medieval demography.

13.7 References [1] Turchin, Peter; Adams, Jonathan M.; Hall, Thomas D (December 2006). “East-West Orientation of Historical Empires”. Journal of World-Systems Research 12 (2): 219–229. ISSN 1076-156X. Retrieved August 12, 2010. [2] Ebrey, Walthall & Palais 2006, p. 91. [3] Ebrey 1999, pp. 111, 141. [4] Du 1998, p. 37.


[31] Ebrey, Walthall & Palais 2006, pp. 91–92. [32] Ebrey, Walthall & Palais 2006, p. 92. [33] Ebrey, Walthall & Palais 2006, p. 97. [34] Gascoigne & Gascoigne 2003, p. 95. [35] Fairbank & Goldman 2006, p. 83. [36] Ebrey, Walthall & Palais 2006, p. 159. [37] Fairbank & Goldman 2006, p. 95. [38] Adshead 2004, p. 54. [39] Ebrey 1999, pp. 145–46. [40] Graff 2000, p. 79. [41] Ebrey, Walthall & Palais 2006, p. 99. [42] Benn 2002, p. 57.

[5] Fairbank & Goldman 2006, p. 106.

[43] Benn 2002, p. 61.

[6] Yu 1998, pp. 73–87.

[44] Ebrey 1999, p. 141.

[7] Adshead 2004, p. 40.

[45] Nishijima 1986, pp. 595–596.

[8] Graff 2000, p. 78.

[46] Adshead 2004, p. 72.

[9] Ebrey, Walthall & Palais 2006, pp. 90–91.

[47] Benn 2002, p. 45.

[10] Graff 2000, pp. 78, 93.

[48] Benn 2002, p. 32.

[11] Adshead 2004, pp. 40–41.

[49] Adshead 2004, p. 75.

[12] Latourette 1934, p. 191.

[50] Ebrey, Walthall & Palais 2006, p. 156.

[13] Drompp 2005, p. 126.

[51] Benn 2002, p. 4.

[14] Mair & Steinhardt & Goldin 2005, p. 376.

[52] Whitfield 2004, p. 47.

[15] Graff 2000, p. 80.

[53] Twitchett 2000, pp. 116–118.

[16] Adshead 2004, pp. 40–42.

[54] Twitchett 2000, pp. 118, 122.

[17] Graff 2000, pp. 78, 82, 85–86, 95.

[55] Ebrey, Walthall & Palais 2006, p. 100.

[18] Adshead 2004, p. 42.

[56] Wang 2003, p. 91.

[19] Ebrey, Walthall & Palais 2006, p. 93.

[57] Benn 2002, p. 9.

[20] Adshead 2004, pp. 42–43.

[58] Graff 2002, p. 208.

[21] Twitchett 2000, p. 124.

[59] Graff 2002, p. 209.

[22] Ebrey 1999, pp. 111–112.

[60] Ebrey 1999, p. 127.

[23] Ebrey 1999, p. 112.

[61] Ebrey, Walthall & Palais 2006, p. 113.

[24] Andrew & Rapp 2000, p. 25.

[62] Xue 1992, pp. 149–152, 257–264.

[25] Ebrey 1999, p. 158.

[63] Benn 2002, pp. 2–3.

[26] Bernhardt 1995, pp. 274–275.

[64] Cui 2005, pp. 655–659.

[27] Fairbank & Goldman 2006, p. 78.

[65] Ebrey 1999, p. 111.

[28] Brook 1998, p. 59.

[66] Xue 1992, p. 788.

[29] Benn 2002, p. 59.

[67] Twitchett 2000, p. 125.

[30] Ebrey, Walthall & Palais 2006, p. 96.

[68] Liu 2000, pp. 85–95.



[69] Gernet 1996, p. 248.

[103] Ebrey, Walthall & Palais 2006, p. 114.

[70] Xue 1992, pp. 226–227.

[104] Whitfield 2004, p. 255.

[71] Xue 1992, pp. 380–386.

[105] Benn 2002, p. 134.

[72] Benn 2002, p. 2.

[106] Schafer 1985, p. 28.

[73] Xue 1992, pp. 222–225.

[107] Eberhard 2005, p. 182.

[74] Skaff 2009, p. 183.

[108] Benn 2002, p. 7.

[75] Whitfield 2004, p. 193.

[109] Adshead 2004, p. 90.

[76] Sen 2003, pp. 24, 30–31.

[110] Twitchett 2000, p. 118.

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[281] Wood 1999, p. 49. [282] Temple 1986, pp. 78–79. [283] Temple 1986, pp. 79–80. [284] Needham 1986b, pp. 99, 151, 233. [285] Needham 1986b, pp. 134, 151. [286] Needham 1986b, p. 151. [287] Chronicles of the Chinese Dynasties PDF (25.9 KB)

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CHAPTER 13. TANG DYNASTY • ——(1986d), Science and Civilization in China: Volume 5, Chemistry and Chemical Technology, Part 1, Paper and Printing, Taipei: Caves Books • ——(1986e), Science and Civilization in China: Volume 5, Chemistry and Chemical Technology, Part 4, Spagyrical Discovery and Invention: Apparatus, Theories and Gifts, Taipei: Caves Books • Nishijima, Sadao (1986), “The Economic and Social History of Former Han”, in Twitchett, Denis; Loewe, Michael, Cambridge History of China: Volume I: the Ch'in and Han Empires, 221 B.C. – A.D. 220, Cambridge: Cambridge University Press, pp. 545–607, ISBN 0-521-24327-0 • Pan, Jixing (1997), “On the Origin of Printing in the Light of New Archaeological Discoveries”, Chinese Science Bulletin 42 (12): 976–981, doi:10.1007/BF02882611, ISSN 1001-6538 • Reed, Carrie E. (January–March 2003), “Motivation and Meaning of a 'Hodge-podge': Duan Chengshi's 'Youyang zazu'", Journal of the American Oriental Society: 121–145 • Reischauer, Edwin O. (1940),“Notes on T'ang Dynasty Sea Routes”, Harvard Journal of Asiatic Studies 5 (2): 142–164, doi:10.2307/2718022, JSTOR 2718022 • Richardson, H. E. (1985), A Corpus of Early Tibetan Inscriptions, Royal Asiatic Society, Hertford: Stephen Austin and Sons • Schafer, Edward H. (1985) [1963], The Golden Peaches of Samarkand: A study of T’ang Exotics (1st paperback ed.), Berkeley and Los Angeles: University of California Press, ISBN 0-520-054628 • Sen, Tansen (2003), Buddhism, Diplomacy, and Trade: The Realignment of Sino-Indian Relations, 600–1400, Manoa: Asian Interactions and Comparisons, a joint publication of the University of Hawaii Press and the Association for Asian Studies, ISBN 0-8248-2593-4 • Shen, Fuwei (1996), Cultural flow between China and the outside world, Beijing: Foreign Languages Press, ISBN 7-119-00431-X • Skaff, Jonathan Karem (2009). Nicola Di Cosmo, ed. Military Culture in Imperial China. Harvard University Press. ISBN 978-0-674-03109-8. • Song, Yingxing (1966), T'ien-Kung K'ai-Wu: Chinese Technology in the Seventeenth Century, translated with preface by E-Tu Zen Sun and ShiouChuan Sun, University Park: Pennsylvania State University Press



• Stein, R. A. (1972) [1962], Tibetan Civilization (1st English ed.), Stanford: Stanford University Press, ISBN 0-8047-0806-1

• Xue, Zongzheng (1992), Turkic peoples (突厥史), Beijing: 中 国 社 会 科 学 出 版 社, ISBN 7-50040432-8

• Steinhardt, Nancy Shatzman (2004),“The Tang Architectural Icon and the Politics of Chinese Architectural History”, The Art Bulletin 86 (2): 228–254, doi:10.2307/3177416, JSTOR 3177416

• Yu, Pauline (December 1998),“Charting the Landscape of Chinese Poetry”, Chinese Literature: Essays, Articles, Reviews (CLEAR), pp. 71–87

• Studwell, Joe (2003), The China Dream: The Quest for the Last Great Untapped Market on Earth, New York: Grove Press, ISBN 0-8021-3975-2 • Sun, Guangqi (1989), History of Navigation in Ancient China, Beijing: Ocean Press, ISBN 7-50270532-5 • Tang, Zhiba (1991),“The influence of the sail on the development of the ancient navy”, Proceedings of the International Sailing Ships Conference in Shanghai • Temple, Robert (1986), The Genius of China: 3,000 Years of Science, Discovery, and Invention, with a foreword by Joseph Needham, New York: Simon and Schuster, ISBN 0-671-62028-2 • Twitchett, Denis (2000), “Tibet in Tang's Grand Strategy”, in van de Ven, Hans, Warfare in Chinese History, Leiden: Koninklijke Brill, pp. 106–179, ISBN 90-04-11774-1 • Wang, Yongxing (2003), Draft Discussion of Early Tang Dynasty's Military Affairs History, Beijing: Kunlun Press, ISBN 7-80040-669-5 • Whitfield, Susan (2004), The Silk Road: Trade, Travel, War and Faith, Chicago: Serindia, ISBN 978-1-932476-13-2 • Wood, Nigel (1999), Chinese Glazes: Their Origins, Chemistry, and Recreation, Philadelphia: University of Pennsylvania Press, ISBN 0-8122-3476-6 • Woods, Frances (1996), Did Marco Polo go to China?, United States: Westview Press, ISBN 08133-8999-2 • Wong, Timothy C. (1979), “Self and Society in Tang Dynasty Love Tales”, Journal of the American Oriental Society 99 (1): 95–100, doi:10.2307/598956, JSTOR 598956 • Wright, Arthur F. (1959), Buddhism in Chinese History, Stanford: Stanford University Press • Xi, Zezong (1981),“Chinese Studies in the History of Astronomy, 1949–1979”, Isis 72 (3): 456–470, doi:10.1086/352793 • Xu, Daoxun (1993), The Biography of Tang Xuanzong, et al., Beijing: People's Press, ISBN 7-01001210-5

• Zizhi Tongjian, vols. 182, 183, 184, 185, 186, 187, 188, 189, 190, 191, 192, 193, 194, 195, 196, 197, 198, 199.

13.8 Further reading • Abramson, Marc S. (2008), Ethnic Identity in Tang China, Philadelphia: University of Pennsylvania Press, ISBN 978-0-8122-4052-8 • Cotterell, Arthur (2007), The Imperial Capitals of China: An Inside View of the Celestial Empire, London: Pimlico, ISBN 978-1-84595-009-5 • de la Vaissière, E. (2005), Sogdian Traders. A History, Leiden: Brill, ISBN 90-04-14252-5 • Schafer, Edward H. (1967), The Vermilion Bird: T’ ang Images of the South, Berkeley and Los Angeles: University of California Press

13.9 External links • The Tang Dynasty at the Metropolitan Museum of Art • Home of 300 Tang Poems, University of Virginia • Tang art with video commentary, from the Minneapolis Institute of Arts • Paintings of Sui and Tang dynasties

Chapter 14

Five Dynasties and Ten Kingdoms period • Later Han (947–951 or 979, depending on whether Northern Han is considered part of the dynasty)

“Ten Kingdoms”redirects here. For the occurrence of this in biblical prophecy, see Daniel 2 and Daniel 7.

• Later Zhou (951–960). Five Dynasties and Ten Kingdoms (simplified Chinese: 五代十国; traditional Chinese: 五代十國; pinyin: The Ten Kingdoms were: Wǔdài Shíguó) was an era of political upheaval in China from 907–960/979 CE, between the fall of the Tang dy• Wu (907–937) nasty and the founding of the Song. During this period, five dynasties quickly succeeded one another in the • Wuyue (907–978) north, and more than twelve independent states were es• Min (909–945) tablished, mainly in the south. Only ten are traditionally listed, hence the era's name,“Ten Kingdoms"; some his• Chu (907–951) torians, such as Bo Yang, count eleven, including Yan and Qi but not the Northern Han, viewing it as simply a con• Southern Han (917–971) tinuation of Later Han. This era also led to the founding • Former Shu (907–925) of the Liao dynasty in the north. • Later Shu (934–965) • Jingnan (924–963) • Southern Tang (937–975) • Northern Han (951–979). Other regimes during this period were Yan, Qi, Zhao, Yiwu Jiedushi, Dingnan Jiedushi, Wuping Jiedushi, Qingyuan Jiedushi, Yin, Ganzhou, Shazhou, and Liangzhou.

14.1 Background

The Later Liang (yellow) and contemporary kingdoms

The Five Dynasties were: • Later Liang (June 1, 907–923)

Towards the end of the Tang, the imperial government granted increased powers to the jiedushi, the regional military governors. The Huang Chao Rebellion weakened the imperial government, and by the early 10th century the jiedushi commanded de facto independence from its authority. Thus ensued the Five Dynasties and Ten Kingdoms period. The following were important jiedushi: North China

• Later Tang (923–936)

• Zhu Wen at Bianzhou (modern Kaifeng, Henan), precursor to Later Liang

• Later Jin (936–947) 150



• Li Keyong and Li Cunxu at Taiyuan (modern For this function, he was awarded the Xuanwu Jiedushi Taiyuan, Shanxi), precursor to Later Tang title. Within a few years, he had consolidated his power by destroying neighbours and forcing the move of the im• Liu Rengong and Liu Shouguang at Youzhou (mod- perial capital to Luoyang (in modern Henan province), ern Beijing), precursor to Yan which was within his region of influence. In 904, he ex• Li Maozhen at Fengxiang (modern Fengxiang ecuted Emperor Zhaozong and made his 13-year-old son a subordinate ruler. Three years later, he induced the boy County, Shaanxi province), precursor to Qi emperor to abdicate in his favour. He then proclaimed • Luo Shaowei at Weibo (modern Daming County, himself emperor, thus beginning the Later Liang. Hebei province) • Wang Rong at Zhenzhou (modern Zhengding County, Hebei province) • Wang Chuzhi at Dingzhou (modern Dingzhou, Hebei) South China • Yang Xingmi at Yangzhou (modern Yangzhou, Jiangsu), precursor to Wu • Qian Liu at Hangzhou (modern Hangzhou, Zhejiang), precursor to Wuyue • Ma Yin at Tanzhou (modern Changsha, Hunan), precursor to Chu • Wang Shenzhi at Fuzhou (modern Fuzhou, Fujian), precursor to Min • Liu Yin at Guangzhou (modern Guangzhou, Guangdong), precursor to Southern Han • Wang Jian at Chengdu (modern Chengdu, Sichuan), precursor to Former Shu

Night Revels of Han Xizai, by Gu Hongzhong, 10th century (read right-to-left). Painting by Chinese artist Li Cheng (c. 919–967)

14.2 Northern China 14.2.2 Later Tang 14.2.1

Later Liang Main article: Later Tang

Main article: Later Liang (Five Dynasties) During the Liang Dynasty, the warlord Zhu Wen held the most power in northern China. Although he was originally a member of Huang Chao's rebel army, he took on a crucial role in suppressing the Huang Chao Rebellion.

During the Tang Dynasty, rival warlords declared independence in their governing provinces—not all of whom recognized the emperor's authority. Li Cunxu and Liu Shouguang (劉守光) fiercely fought the regime forces to conquer northern China; Li Cunxu succeeded. He de-



feated Liu Shouguang (who had proclaimed a Yan Empire in 911) in 915, and declared himself emperor in 923; within a few months, he brought down the Later Liang regime. Thus began the Later Tang—the first in a long line of conquest dynasties. After reuniting much of northern China, Cunxu conquered Former Shu in 925, a regime that had been set up in Sichuan.


Later Jin

Main article: Later Jin (Five Dynasties) The Later Tang had a few years of relative calm, followed by unrest. In 934, Sichuan again asserted independence. In 936, Shi Jingtang, a Shatuo Turk jiedushi from Taiyuan, was aided by the Manchurian Khitan Empire in a rebellion against the dynasty. In return for their aid, Shi Jingtang promised annual tribute and sixteen prefectures in modern northern Hebei province and Beijing to the Khitans. The rebellion succeeded; Shi Jingtang became emperor in this same year. Not long after the founding of the Later Jin, the Khitans regarded the emperor as a proxy ruler for China proper. Butterfly and Wisteria Flowers, by Xu Xi (886–975). In 943, the Khitans declared war and within three years seized the capital, Kaifeng, marking the end of Later Jin. But while they had conquered vast regions of China, the Khitans were unable or unwilling to control those regions 959, Chai Rong attacked the Khitan Empire in an attempt and retreated from them early in the next year. to recover territories ceded during the Later Jin. After many victories, he succumbed to illness.


Later Han

Main article: Later Han (Five Dynasties) To fill the power vacuum, the jiedushi Liu Zhiyuan entered the imperial capital in 947 and proclaimed the advent of the Later Han, establishing a third successive Shatuo Turk reign. This was the shortest of the five dynasties. Following a coup in 951, General Guo Wei, a Han Chinese, was enthroned, thus beginning the Later Zhou. However, Liu Chong, a member of the Later Han imperial family, established a rival Northern Han regime in Taiyuan and requested Khitan aid to defeat the Later Zhou.


Later Zhou

In 960, the general Zhao Kuangyin staged a coup and took the throne for himself, founding the Northern Song Dynasty. This is the official end of the Five Dynasties and Ten Kingdoms period. During the next two decades, Zhao Kuangyin and his successor Zhao Kuangyi defeated the other remaining regimes in China proper, conquering Northern Han in 979, and reunifying China completely in 982.

14.2.6 Northern Han

Main article: Later Zhou

Main article: Northern Han

After the death of Guo Wei in 951, his adopted son Chai Rong succeeded the throne and began a policy of expansion and reunification. In 954, his army defeated combined Khitan and Northern Han forces, ending their ambition of toppling the Later Zhou. Between 956 and 958, forces of Later Zhou conquered much of Southern Tang, the most powerful regime in southern China, which ceded all the territory north of the Yangtze River in defeat. In

Though considered one of the ten kingdoms, the Northern Han was based in the traditional Shatuo Turk stronghold of Shanxi. It was created after the last of three dynasties created by Shatuo Turks fell to the Hangoverned Later Zhou in 951. With the protection of the powerful Khitan Liao empire, the Northern Han maintained nominal independence until the Song Dynasty wrested it from the Khitan in 979.


14.3 Southern China: Kingdoms

The Ten 14.3.5 Chu

Unlike the dynasties of northern China, which succeeded one other in rapid succession, the regimes of southern China were generally concurrent, each controlling a specific geographical area. These were known as “The Ten Kingdoms”.




The Chu (927–951) was founded by Ma Yin with the capital at Changsha. The kingdom held Hunan and northeastern Guangxi. Ma was named regional military governor by the Tang court in 896, and named himself the Prince of Chu with the fall of the Tang Dynasty in 907. This status as the Prince of Chu was confirmed by the Later Tang in 927. The Southern Tang absorbed the state in 951 and moved the royal family to its capital in Nanjing, although Southern Tang rule of the region was temporary, as the next year former Chu military officers under the leadership of Liu Yan seized the territory. In the waning years of the Five Dynasties and Ten Kingdoms period, the region was ruled by Zhou Xingfeng.

The Kingdom of Wu (902–937) was established in modern-day Jiangsu, Anhui, and Jiangxi provinces. It was founded by Yang Xingmi, who became a Tang Dynasty military governor in 892. The capital was initially at Guangling (present-day Yangzhou) and later moved 14.3.6 Northern Han to Jinling (present-day Nanjing). The kingdom fell in 937 when it was taken from within by the founder of the The Northern Han was founded by Liu Min (劉旻), forSouthern Tang. merly known as Liu Chong (劉崇), and lasted from 951 to 979. It has the capital at Taiyuan.


Wuyue 14.3.7 Jingnan (also known as Nanping)

The Kingdom of Wuyue was the longest-lived (907–978) and among the most powerful of the southern states. Wuyue was known for its learning and culture. It was founded by Qian Liu, who set up his capital at Xifu (modern-day Hangzhou). It was based mostly in modern Zhejiang province but also held parts of southern Jiangsu. Qian Liu was named the Prince of Yue by the Tang emperor in 902; the Prince of Wu was added in 904. After the fall of the Tang Dynasty in 907, he declared himself king of Wuyue. Wuyue survived until the eighteenth year of the Song Dynasty, when Qian Shu surrendered to the expanding dynasty.



The Kingdom of Min (909–945) was founded by Wang Shenzhi, who named himself the Prince of Min with its capital at Changle (present-day Fuzhou). One of Shenzhi’s sons proclaimed the independent state of Yin in the northeast of Min territory. The Southern Tang took that territory after the Min asked for help. Despite declaring loyalty to the neighboring Wuyue, the Southern Tang finished its conquest of Min in 945.


Southern Han

The Southern Han (917–971) was founded in Guangzhou (also known as Canton) by Liu Yan. His brother, Liu Yin, was named regional governor by the Tang court. The kingdom included Guangdong, Guangxi, Hanoi (North Vietnam), Hainan island.

The smallest of the southern states, Jingnan (924–963), was founded by Gao Jichang. It was based in Jiangling and held two other districts southwest of present-day Wuhan in Hubei. Gao was in the service of the Later Liang (the successor of the Tang Dynasty in northern China). Gao’s successors claimed the title of King of Nanping after the fall of the Later Liang in 924. It was a small and weak kingdom, and thus tried to maintain good relations with each of the Five Dynasties. The kingdom fell to advancing armies of the Song Dynasty in 963.

14.3.8 Former Shu The Kingdom of Shu (907–925) was founded after the fall of the Tang Dynasty by Wang Jian, who held his court in Chengdu. The kingdom held most of present-day Sichuan, western Hubei, and parts of southern Gansu and Shaanxi. Wang was named military governor of western Sichuan by the Tang court in 891. The kingdom fell when his incompetent son surrendered in the face of an advance by the Later Tang in 925.

14.3.9 Later Shu The Later Shu (935–965) is essentially a resurrection of the previous Shu state that had fallen a decade earlier to the Later Tang. Because the Later Tang was in decline, Meng Zhixiang found the opportunity to reassert Shu’s independence. Like the Former Shu, the capital was at Chengdu and it basically controlled the same territory as



its predecessor. The kingdom was ruled well until forced stability of the Ten Kingdoms, especially the longevity of to succumb to Northern Song armies in 965. Wu Yue and Southern Han, would contribute to the development of distinct regional identities within China.


Southern Tang

Main article: Southern Tang The Southern Tang (937–975) was the successor state

14.4 See also

A Literary Garden, by Zhou Wenju, Southern Tang. A river journey with the first snow (五代南唐趙幹江行初雪

of Wu as Li Bian (Emperor Liezu) took the state over 圖) Shan shui painting by Chao Khan from within in 937. Expanding from the original domains of Wu, it eventually took over Yin, Min, and Chu, hold• Annam (Chinese province) ing present-day southern Anhui, southern Jiangsu, much of Jiangxi, Hunan, and eastern Hubei at its height. The • Family trees of the emperors of the Five Dynasties kingdom became nominally subordinate to the expanding Song Dynasty in 961 and was invaded outright in 975, • Chinese sovereign when it was formally absorbed into the Song Dynasty. • Liao Dynasty


Transitions between kingdoms

Although more stable than northern China as a whole, southern China was also torn apart by warfare. Wu quarrelled with its neighbours, a trend that continued as Wu was replaced with Southern Tang. In the 940s Min and Chu underwent internal crises which Southern Tang handily took advantage of, destroying Min in 945 and Chu in 951. Remnants of Min and Chu, however, survived in the form of Qingyuan Jiedushi and Wuping Jiedushi for many years after. With this, Southern Tang became the undisputedly most powerful regime in southern China. However, it was unable to defeat incursions by the Later Zhou between 956 and 958, and ceded all of its land north of the Yangtze River. The Northern Song Dynasty, established in 960, was determined to reunify China. Jingnan and Wuping were swept away in 963, Later Shu in 965, Southern Han in 971, and Southern Tang in 975. Finally, Wuyue and Qingyuan gave up their land to Northern Song in 978, bringing all of southern China under the control of the central government. In common with other periods of fragmentation, the Five Dynasties and Ten Kingdoms period resulted in a division between northern and southern China. The greater

• Suppression of the Southern Tang • Zizhi Tongjian

14.5 Further reading • Dudbridge, Glen (2013). A Portrait of Five Dynasties China: From the Memoirs of Wang Renyu (880-956). Oxford University Press. ISBN 9780199670680. • Kurz, Johannes L. (2011). China's Southern Tang Dynasty (937-976). Routledge. ISBN −9780415454964. • Lorge, Peter, ed. (2011). Five Dynasties and Ten Kingdoms. The Chinese University Press. ISBN 962996418X. • Ouyang Xiu (2004) [1077]. Historical Records of the Five Dynasties. (transl. Richard L. Davis). New York: Columbia University Press. ISBN 0-23112826-6. • Schafer, Edward H. (1954). Empire of Min: A South China Kingdom of the Tenth Century. Tuttle Publishing.

14.5. FURTHER READING • Wang Gungwu (1963). The Structure of Power in North China During the Five Dynasties. Stanford University Press. • Wang Hongjie (2011). Power and Politics in TenthCentury China: The Former Shu Regime. Cambria Press. ISBN 1604977647.


Chapter 15

History of the Song dynasty For the Book of Dynastic History on the Song dynasty, first goal was the reunification of China after half a censee History of Song. tury of political division. This included the conquests of Nanping, Wu-Yue, Southern Han, Later Shu, and The Song dynasty (Chinese: 宋朝; pinyin: Sòng cháo; Southern Tang in the south as well as the Northern Han and the Sixteen Prefectures in the north. With capable 960–1279, 1276 according to some sources) of China was a ruling dynasty that controlled China proper and military officers such as Yang Ye (d. 986), Liu Tingrang (929–987), Cao Bin (931–999) and Huyan Zan southern China from the middle of the 10th century into the last quarter of the 13th century. The Song is consid- (d. 1000), the early Song military became the dominant force in China. Innovative military tactics, such as deered a high point of classical Chinese innovation in science and technology, an era that featured prominent intel- fending supply lines across floating pontoon bridges led lectual figures such as Shen Kuo and Su Song and the rev- to success in battle such as the Song assault against the Tang state while crossing the Yangzi River in olutionary use of gunpowder weapons (catapult-projected Southern * 974. [1] Using a mass of arrow fire from crossbowmen, bombs, fire lances, flamethrowers, and land mines). HowSong forces were able to defeat the renowned war eleever, it was also a period of political and military turphant corps of the Southern Han on January 23, 971, thus moil, with opposing and often aggressive political facforcing the submission of Southern Han and terminating tions formed at court, which impeded progress in many the first and last elephant corps that would make up a regways. The frontier management policies of the Chancel* ular division within a Chinese army. [2] lor Wang Anshi exacerbated hostile conditions along the Chinese-Vietnamese border, sparking a border war with the Lý dynasty. Although this conflict was fought to a mutual draw, there was subsequently an enormous military defeat at the hands of invading Jurchens from the north in 1127 during the Jin–Song wars, forcing the remnants of the Song court to flee south from Kaifeng and establish a new capital at Hangzhou. It was there that new naval strength was developed to combat the Jurchen's Jin dynasty formed in the north. Although the Song dynasty was able to defeat further Jurchen invasions, the Mongols led by Genghis Khan, Ögedei Khan, Möngke Khan, and finally Kublai Khan gradually conquered China, until the fall of the final Song Emperor in 1279.

Consolidation in the south was completed in 978, with the conquest of Wu-Yue. Song military forces then turned north against the Northern Han, which fell to Song forces in 979. However, efforts to take the Sixteen Prefectures were unsuccessful and they were incorporated into the Liao state based in Manchuria to the immediate north instead.* [3] To the far northwest, the Tanguts had been in power over northern Shaanxi since 881, after the earlier Tang court appointed a Tangut chief as a military governor (jiedushi) over the region, a seat that became hereditary (forming the Xi-Xia dynasty).* [4] Although the Song state was evenly matched against the Liao dynasty, the Song gained significant military victories against the Western Xia (who would eventually fall to the Mongol conquest of Genghis Khan in 1227).* [5]

15.1 Founding of the Song

After political consolidation through military conquest, Emperor Taizu held a famous banquet inviting many of the high-ranking military officers that had served him in Song's various conquests. As his military officers drank wine and feasted with Taizu, he spoke to them about the potential of a military coup against him like those of Five Dynasties era. His military officers protested against this notion, and insisted that none were as qualified as him to lead the country. The passage of this account in the Song Shi follows as such:

Further information: List of Song Emperors The Later Zhou was the last of the Five Dynasties that had controlled northern China after the fall of the Tang dynasty in 907. Zhao Kuangyin, later known as Emperor Taizu (r. 960–976), usurped the throne from the Zhou with the support of military commanders in 960, initiating the Song dynasty. Upon taking the throne, his




Fishermen's Evening Song, one of Xu Daoning's (970–1051) most famous paintings

A porcelain teapot in the Qingbai style, from Jingdezhen, Song dynasty.

Porcelain, lacquerware, and stoneware from the Song dynasty.

The emperor said, 'The life of man is short. Happiness is to have the wealth and means to enjoy life, and then to be able to leave the same prosperity to one's descendents. If you, my officers, will renounce your military authority, retire to the provinces, and choose there the best lands and the most delightful dwellingplaces, there to pass the rest of your lives in pleasure and peace...would this not be better than to live a life of peril and uncertainty? So that no shadow of suspicion shall remain between prince and ministers, we will ally our families with marriages, and thus, ruler and

A Liao dynasty polychrome wood-carved statue of Guan Yin, Shanxi Province, China, (907–1125)

subject linked in friendship and amity, we will enjoy tranquility'...The following day, the army commanders all offered their resignations, reporting (imaginary) maladies, and withdrew to the country districts, where the emperor, giving them splendid gifts, appointed them to high official positions.* [6] Emperor Taizu developed an effective centralized bureaucracy staffed with civilian scholar-officials and regional military governors and their supporters were replaced by centrally appointed officials. This system of



civilian rule led to a greater concentration of power in the central government headed by the emperor than had been possible during the previous dynasties. In the early 11th century, there were some 30,000 men who took the prefectural exams per year (see imperial examination), which steadily increased to roughly 80,000 by the end of the century, and to 400,000 exam takers during the 13th century.* [7] Although new municipal governments were often established, the same number of prefectures and provinces were in existence as before the Song came to power. Thus although more people were taking exams, roughly the same number were being accepted into the government as in previous periods, making the civil service exams very competitive amongst aspiring students and scholars.

ception.* [11] The Song also sent envoys abroad, such as Wang Yande (939–1006) who was sent as an official envoy to the Uyghur-Turkic city of Gaochang in 981,* [12] then under Kara-Khanid control.

15.2 Relations with Liao and Western Xia Further information: Liao dynasty and Western Xia

15.2.1 The Great Ditch and Treaty of Shanyuan Emperor Taizu also found other ways to consolidate and strengthen his power, including updated map-making (cartography) so that his central administration could easily discern how to handle affairs in the provinces. In 971, he ordered Lu Duosun to update and 're-write all the Tu Jing [maps] in the world'; a daunting task for one individual. Nonetheless, he traveled throughout the provinces to collect illustrative gazetteers and as much data as possible.* [8] With the aid of Song Zhun, the massive work was completed in 1010, with some 1566 chapters.* [8]* [9] The later Song Shi historical text stated (Wade–Giles spelling): Yuan Hsieh (d. +1220) was DirectorGeneral of governmental grain stores. In pursuance of his schemes for the relief of famines he issued orders that each pao (village) should prepare a map which would show the fields and mountains, the rivers and the roads in fullest detail. The maps of all the pao were joined together to make a map of the tu (larger district), and these in turn were joined with others to make a map of the hsiang and the hsien (still larger districts). If there was any trouble about the collection of taxes or the distribution of grain, or if the question of chasing robbers and bandits arose, the provincial officials could readily carry out their duties by the aid of the maps.* [8] Taizu also displayed a strong interest in science and technology. He employed the Imperial Workshop to support such projects as Zhang Sixun's hydraulic-powered armillary sphere (for astronomical observation and timekeeping) that used liquid mercury instead of water (because liquid mercury would not freeze during winter).* [10] Emperor Taizu was also quite open-minded in his affairs, especially with those perceived as foreigners: he appointed the Arab Muslim Ma Yize (910–1005) as the chief astronomer of the Song court. For receiving envoys from the Korean kingdom of Goryeo alone, the Song court had roughly 1,500 volumes written about the nuanced rules, regulations, and guidelines for their re-

Contemporary portrait of Emperor Taizong of Song, National Palace Museum, Taipei

Relations between the Song and Liao (led by the Khitans) were relatively peaceful in the first two decades after Song was founded, the disputed territories of the Northern Han and the Sixteen Prefectures notwithstanding. In 974, the two began exchanging embassies on New Years Day. However, in 979 the Song moved against the Northern Han, long under the protection of the Liao dynasty. The Song emperor succeeded in forcing the Northern Han to surrender, but when marching on the Liao Southern Cap-

15.2. RELATIONS WITH LIAO AND WESTERN XIA ital (present-day Beijing) in the Sixteen Prefectures, Song forces were defeated at the Battle of Gaoliang River.* [13] This defeat was politically damaging to the prestige of Emperor Taizong of Song (r. 976–997), so much so that his top military commanders orchestrated an aborted coup to replace him with his nephew Zhao Dezhao.* [14] Relations between the Song and Liao remained tense and hostile: in 986 the Song sent three armies against the Liao in an effort to take advantage of an infant emperor and recapture the Sixteen Prefectures, but the Liao successfully repulsed all three armies.* [15] Following this, diplomatic relations were resumed.* [13] Relations between Song and Liao worsened in the 990s. From 993 to 1004, the Liao observed the Song as the latter built a 'Great Ditch' in northern Hebei province from the Taihang Mountains in the west all the way to the Bohai Sea in the east.* [16] This was essentially a series of canals meant to block the advance of Liao cavalry far from the northern border line, although the Liao perceived this engineering project as a means for the Song to dispatch offensive forces more efficiently via new waterways.* [17] In 999 the Liao began annual attacks on Song positions, though with no breakthrough victories. The Liao were interested in capturing the Guannan region of northern Hebei, both because the Song general Zhou Shizong had taken it from them and because it contained strategic passes.* [18]

159 kinship.* [21] However, the treaty required the Song to make annual tribute payments to the Liao and recognize Liao equality with the Song.* [22] The tribute consisted of 283 kg (100,000 oz) of silver along with 200,000 bolts of silk, increasing to 500,000 units by 1042.* [3] However, even with the increase in 1042, the Song economy was not damaged by this enforced tribute. The bullion holding of the Liao dynasty did not increase with the tribute either, since the Song exported many goods annually to the Liao, dwarfing the amount of imported goods from Liao.* [3] Therefore much of the silver sent to Liao as tribute was used to pay for Song Chinese goods, and the silver wound up back into the hands of Chinese merchants and the Song government. Until the Song dynasty took advantage of a large rebellion within the Liao Kingdom in 1125, the Song had to conduct cordial relations with the Liao. Skilled ambassadors were sent on missions to court the Liao and maintain peace, such as the renowned horologist, engineer, and state minister Su Song.* [23] The Song also prepared for armed conflict, increasing the overall size of the armed forces to a million soldiers by 1022.* [3] By that time, however, the military was consuming three-quarters of the tax revenues gathered by the state, compared to a mere 2 or 3 percent of state income that would be consumed by just providing the Liao with tribute.* [3] Due to these circumstances, intense political rivalries would later arise in the Song court over how to handle these issues.

15.2.2 Conflict and diplomacy in the northwest

A 12th century Song painting of ladies processing silk; as part of the agreement in the Treaty of Shanyuan, the Song sent annual tribute of 200,000 bolts of silk to the Khitan Liao dynasty.

In 1004, Liao forces managed to march deep into Song territory, camping out in Shanyuan, about 100 kilometers (62 mi) north of the Song capital of Kaifeng. However, their forces were greatly overextended and any possible escape route was in danger of being blocked by Song forces.* [19] Eventually, the completion of the 'Great Ditch' as an effective defensive blockade which slowed the advance of Liao cavalry forced the Liao to request a truce.* [20] Negotiations resulted in the Treaty of Shanyuan, signed in January 1005 (some sources cite 1004 due to the Chinese Lunar Calendar), which fixed the borders of the Song and Liao as they were before the conflict.* [18] The Khitan rulers also wanted to intermarry with the Zhao family line of the Song, an offer that the Song refused in favor of a nominal and figurative imperial

The Northern Song, Liao, and Xia dynasties.

The Song came into conflict with the Tanguts of the Western Xia dynasty as early as the 980s, when Song intended to retake the former Ordos prefectures of the late Tang dynasty, then held by the Tanguts.* [24] After the


CHAPTER 15. HISTORY OF THE SONG DYNASTY of Hebei used against Liao—they instead garrisoned the wide expanse with a recorded 200 imperial battalions and 900 provincial and militia battalions by 1043.* [34]

Bronze edicts written in the Tangut script of the Western Xia; edict plates were used to send urgent documents and messages, under imperial orders. When these matching pieces are joined together, they prove the bearer's identity.

Tangut leader Li Jiqian died in 1004, the Tanguts under his successor Li Deming (r. 1005–1032) had initially attacked the Song, but later sought peaceful relations which brought economic benefits until 1038.* [25]* [26] After non-Chinese Song patrol leader Li Jipeng (aka Zhao Baozhong) raided Xia's territory and destroyed some fortified settlements in 1034, the Tanguts under Li Yuanhao (1003–1048) retaliated.* [27] On September 12, 1034 the Tanguts raided Qingzhou in Huanqing Circuit, but later Li Yuanhao released Song officers and soldiers he had captured; by January 29, 1035 relations were restored when Li Yuanhao sent tribute of fifty horses to the Song court and requested a copy of a Buddhist canon in return, which he received.* [27] Although he retained some unique Tangut customs and had a Tangut script created, Li's administration followed the traditional Chinese model of bureaus.* [28] Li proclaimed himself the first imperial ruler of Western Xia, ruling as Emperor Jingzong (r. 1038–1048), and on November 10, 1038 he sent an envoy to the Song capital in order to gain recognition for his new title as "Son of Blue Heaven" and to cease paying tribute to Song to affirm his new status.* [29] The Xia began attacks on Song's borders which were repulsed by Song commander Lu Shouqin (fl. 1030–1050), and on January 9, 1039 the Song shut down its border markets and soon after a reward of 100,000 strings of coin was offered to anyone who could capture Emperor Jingzong.* [30] Although he won impressive victories in the initial phase of the war, Jingzong gained no additional territory for Western Xia by war's end in 1044, while both sides had lost tens of thousands of troops.* [31]* [32] Emperor Jingzong also conceded to the Song demand that he refer to himself as an inferior subject when addressing the Song, and that he accept Song ritualists to perform official ceremonies at his court.* [33] Throughout the war, the Song had maintained a number of fortified military outposts stretching some 480 km (300 mi) from the westernmost prefectures of Shaanxi to Hedong in what is now Shanxi.* [34] Since the Song could not rely on water obstacle defenses in this region—like the Great Ditch

Relations broke down once more in 1067 with the ascension of Emperor Shenzong of Song,* [35] and in the 1070s the Song had considerable success in capturing Tangut territory. A mood of frontier adventurism permeated Shenzong's court, as well as a desire to reclaim territories he felt belonged to him as the rightful ruler of China; when a Song general led an unprovoked attack on a Western Xia border town, Shenzong appeared at the border to commend the general himself.* [36] To punish the Western Xia and damage their economy, Emperor Shenzong also shut down all commercial border markets along the Song-Western Xia border.* [36] The scientist and statesman Shen Kuo (1031–1095) was sent to Yanzhou (now Yan'an, Shaanxi province) in 1080 to stave off Tangut military invasion.* [37] He successfully defended his fortified position, yet the new Grand Councillor Cai Que held him responsible for the death of a rival Song military officer and the decimation of that officer's forces; as a result, Shen Kuo was ousted from office and the state abandoned the projected land that Shen was able to defend.* [38] When Empress Dowager Gao died in 1093, Emperor Zhezong of Song asserted himself at court by ousting the political conservatives led by Sima Guang, reinstating Wang Anshi's reforms, and halting all negotiations with the Tanguts of the Western Xia. This resulted in continued armed conflict between the Song dynasty and the Western Xia. In 1099, the Northern Song launched a campaign into Xining and Haidong (in modern Qinghai province), occupying territory that was controlled by the Tibetan Gusiluo regime since the 10th century.* [39] By 1116, Song managed to acquire all of its territory and incorporated it into prefectures; the area became the westernmost frontier against the Western Xia.* [40]

15.3 Relations with Lý of Vietnam and border conflict 15.3.1 Background For roughly a millennium a series of Chinese dynasties had controlled northern Vietnam, until the independence of the Ngô dynasty (939–967). Early Song armies had fought and lost to the Early Lê dynasty (980–1009) of Vietnam at the Battle of Bạch Đằng in 981. Subsequently the Vietnamese rebel Nùng Trí Cao (1025–1053) attempted to establish his own frontier kingdom in 1042, 1048, and 1052, creating a disturbance on Song's southern border that prompted an invasion against Nùng Trí Cao's forces in the 1050s. This invasion resulted in the Song conquest of border regions inhabited by Tai peoples and a border confrontation with the Lý dynasty (1010–



men Nùng Tông Đán intended to plunder the region after he crossed the Song border in 1057.* [43] Wang Han took a personal visit to Nùng Tông Đán's camp and spoke with Nùng Trí Cao's son, explaining that seeking “Interior Dependency”status would alienate them from the Lý court, but if they remained outside of China proper they could safely act as loyal frontier militia.* [46] Wang Han then sent a memorial to Emperor Renzong's (r. 1022– 1063) court in 1060, advocating the policy agreed with the Nùng.* [46] The Song government rejected his proposal and made the Nùng communities (along with other ethnic groups) official dependents of Song imperial authority,* [46] and Nùng Tông Đán's request that the territories under his authority be incorporated into the Song Empire was granted in 1062.* [46] In 1059 —six years before the Song court's New Policies under Chancellor Wang Anshi (1021–1086) organized new self-sufficient militia units throughout the empire and along the border with Đại Việt—the Lý dynasty ruler Lý Thánh Tông reorganized northern frontier administrative units and raised new militias.* [47] This bolstered his kingdom's strength in a time of conflict with Champa (located in southern Vietnam).* [47]

The Lý dynasty controlled areas seen in light yellow on the map, then called Đại Việt, bordered by Champa and the Khmer Empire

In the spring of 1060, Giáp Đồng natives under the frontier prefectural leader Thàn Thiệu Thái—an imperial inlaw to the Lý court through marriage alliance—raided the Song frontier for cattle and militia recruits.* [47] He succeeded in taking the Song military leader Yang Baocai hostage, and in autumn of 1060 Song troops were sent into the frontier to rescue the general but he was not found.* [47] The Song court appointed Yu Jing (余靖; 1000–1064) as a new military commissioner of the Guangnan region and charged him with the task of quelling the unrest caused by Thàn Thiệu Thái.* [47] Yu Jing also sent an agent to Champa to enlist Cham aid against the Song's enemies in Guangnan.* [48]

1225) that lasted from 1075 to 1077.* [41] The Song court's interest in maximizing the economic benefits of these frontier zones came into conflict with the Lý dynasty, whose goal was to consolidate their peripheral fiefdoms.* [41] In the aftermath, an agreement was negotiated by both sides that fixed the borders; the resulting line of demarcation “would largely remain in place 15.3.3 Tribute and intrigue through to the present day”, according to James A. Anderson, Associate Professor in the History Department at The Lý court discovered the Song's secret attempt to ally the University of North Carolina.* [42] with Champa; while Lý sent a delegation to Yongzhou to thank Song for putting down local rebellions and to negotiate terms of peace, they instructed their agents to 15.3.2 Border hositilies gather intelligence on the alleged Champa alliance and the strength of Song's military presence in the GuangThe Lý court had not intervened when the Song gen- nan Western Circuit.* [48] Two Vietnamese envoys were eral Di Qing (1008–1061) crushed the border rebellion permitted to offer tribute to the court of Renzong in of Nùng Trí Cao in 1053.* [43] During the two decades Kaifeng, arriving on February 8, 1063 to deliver gifts, inof relative regional peace that followed, the Lý observed cluding nine tamed elephants.* [48] On March 30, 1063, the threat of Song expansion, as more Han Chinese set- Emperor Renzong died and was succeeded by Emperor tlers moved into areas which the Lý relied upon for the Yingzong (r.1063–1067); Vietnamese envoys arrived in extraction of natural resources.* [44] Initially, a division Kaifeng again to congratulate Yingzong on his ascenof Di Qing's soldiers (originally from Shandong) had set- sion, and on April 7, 1063, Yingzong sent gifts such as tled the region, followed by a wave of Chinese settlers calligraphy works by Renzong to Vietnamese King Lý from north of the Yangzi River.* [45] Thánh Tông.* [48] On the day that the Vietnamese enThe Guangnan West Circuit Fiscal Commissioner, Wang voy Lý Kế Tiên prepared to depart from Kaifeng back to Han (fl. 1043–1063), feared that Nùng Trí Cao's kins- Đại Việt, news arrived that Thàn Thiệu Thái had raided


CHAPTER 15. HISTORY OF THE SONG DYNASTY Lý Thánh Tông with the official title“King of the Southern Pacified Region”(Chinese: 南平王, pinyin: nán píng wáng, Vietnamese: Nam Bình Vương).* [50] Shenzong also countered Nùng Tông Đán's defection by recognizing his kinsman Nùng Trí Hội as the Nùng clan leader in 1069, giving him a title similar to Tông Đán's and command over Guihua prefecture (also known as Wuyang grotto settlement).* [52]

15.3.4 Frontier policy and war

Elephas maximus; the Lý Dynasty court sent nine elephants as tribute to the Song capital of Kaifeng on February 8, 1063.

Song's Guangnan West Circuit again.* [49] Although a plea from a Guangnan official urged Kaifeng to take action, Yingzong left defenses up to local Guangnan forces and labeled Thàn Thiệu Thái as “reckless and mad”in an effort to disassociate him from the Lý court.* [49] The minor Song official Lu Shen, a prefect in Guizhou, sent a message to Kaifeng in 1065 which reported that Nùng Tông Đán had apparently switched allegiance from Song to Lý, as well as united with the Quảng Nguyên chieftain Lưu Ký.* [50] When the now “mentally weak and distracted ruler”Yingzong—as Anderson describes him—received the report, he took no other action but to reassign Nùng Tông Đán with new honorific titles.* [50] The court took no action to resolve the problem, and Nùng Tông Đán later played a key role in the Song-Lý war of 1075–1077.* [50] The Song also gave official titles to other Vietnamese leaders despite their involvement in Nùng Trí Cao's rebellions and their pledged loyalty to Lưu Ký, the latter employed as a tribal official under King Lý Thánh Tông.* [51]

In his New Policies sponsored by Shenzong, Wang Anshi enhanced central authority over Song's frontier administrations, increased militia activity, increased troop levels and war horses sent to the frontiers (including the border areas with Đại Việt), and actively sought loyal supporters in border regions who could heighten the pace of extraction of local resources for the state's disposal.* [36] Officials at court debated the merits or faults of Wang's policies, yet criticism of his reforms even appeared in Đại Việt, where the high officer Lý Thường Kiệt (1019– 1105) publicly announced that Wang's policies were deliberate efforts to seize and control their border frontiers.* [53] Tensions between Song and Lý were critical, and in these conditions any sign of hostility had potential to ignite a war. The Quảng Nguyên chieftain Lưu Ký launched an unexpected attack against Yongzhou in 1075, which was repelled by the Song's Vietnamese officer Nùng Trí Hội in charge of Guihua.* [54] Shenzong then sought to cement an alliance with the“Five Clans”of northern Guangnan by issuing an edict which would standardize their once irregular tribute missions to visit Kaifeng now every five years.* [54] Shenzong had officials sent from the capital to supervise militiamen in naval training exercises.* [54] Shenzong then ordered that all merchants were to cease trade with the subjects of Đại Việt, a further indication of heightened hostility that prompted the Lý court under Lý Nhân Tông (r. 1072–1127) to prepare for war.* [54] In the autumn of 1075, Nùng Tông Đán advanced into Song territory in Guangxi while a naval fleet commanded by Lý Thường Kiệt captured Qinzhou and Lianzhou prefectures.* [55] Lý Thường Kiệt calmed the apprehensions of the local Chinese populace, claiming that he was simply apprehending a rebel who took refuge in China and that the local Song authorities had refused to cooperate in detaining him.* [56] In the early spring of 1076, Thường Kiệt and Nùng Tông Đán defeated the Song militia of Yongzhou,* [56] and during a battle at Kunlun Pass, their forces beheaded the Governor-General of Guangnan West Circuit, Zhang Shoujie (d. 1076).* [56] After a forty-two day siege, Yongzhou was breached and razed to the ground.* [56] When Song forces attempted to challenge Lý's forces, the latter retreated, with their spoils of war and thousands of prisoners.* [56]

Yingzong died on January 8, 1067, and was replaced by Emperor Shenzong (r. 1067–1085), who like his father, heaped rewards on Vietnamese leaders but was more observant of the Vietnamese delegations.* [50] When Vietnamese envoys arrived in Kaifeng to congratulate Shenzong on his ascension, he sent lavish gifts to the Lý court, including a golden belt, silver ingots, 300 bolts of silk, two horses, a saddle inlaid with gold and silver plating, and on February 9, 1067 bestowed the Vietnamese ruler Lý Thường Kiệt had fought a war with the Cham in



later make up part of Cao Bằng Province.* [58] As a result, Thường Kiệt made peace overtures to the Song; the Song commander Guo Kui agreed to withdraw his troops, but kept five disputed regions of Quảng Nguyên (renamed Shun'anzhou or Thuận Châu), Tư Lang Châu, Môn Châu, Tô Mậu Châu, and Quảng Lăng.* [57] These areas now comprise most of modern Vietnam's Cao Bằng Province and Lạng Sơn Province.* [57] In 1082, after a long period of mutual isolation, King Lý Nhân Tông of Đại Việt returned Yong, Qin, and Lian prefectures back to Song authorities, along with their prisoners of war, and in return Song relinquished its control of four prefectures and the county of Đại Việt, including the Nùng clan's home of Quảng Nguyên.* [57] Further negotiations took place from July 6 to August 8, 1084 and were held at Song's Yongping garrison in southern Guangnan, where Lý's Director of Military Personnel Lê Van Thình (fl. 1075–1096) convinced Song to fix the two countries' borders between Quảng Nguyên and Guihua prefectures.* [59]

15.4 Partisans and factions, reformers and conservatives Further information: Society of the Song dynasty: Political partisanship and reform After students passed the often difficult, bureaucratic, The location of modern Hanoi in Vietnam, where the Lý dynasty capital of Thăng Long was located, and which Song forces nearly besieged before both sides agreed to withdraw

1069, and in 1076 Song called on the Khmer Empire and Champa to go to war again in 1076. At the same time, the Song commander Guo Kui (1022–1088) led the combined Song force of approximately 100,000 men against Lý.* [56] The Song quickly regained Quảng Nguyên prefecture and in the process captured the resistance leader Lưu Ký.* [56] By 1077, the Song had destroyed two other Vietnamese armies and marched towards their capital at Thăng Long (modern Hanoi).* [56] Song forces halted at the Nhu Nguyệt River (in modern Bắc Ninh Province), where Lý Thường Kiệt had defensive ramparts built on the southern banks.* [56] However, Song forces broke through his defense line and their cavalry advanced to within several kilometers of the capital city.* [57] The Vietnamese counterattacked and pushed Song forces back across the river while their coastal defenses distracted the Song navy. Lý Thường Kiệt also launched an offensive, but lost two Lý princes in the fighting at Kháo Túc River.* [57] According to Chinese sources,“tropical climate and rampant disease”severely weakened Song's military forces while the Lý court feared the result of a A portrait painting of Chancellor Wang Anshi prolonged war so close to the capital.* [57] In 1078 China defeated Đại Việt and overran several districts that would and heavily demanding Imperial Exams, as they became



officials, they did not always see eye to eye with others that had passed the same examination. Even though they were fully-fledged graduates ready for government service, there was always the factor of competition with other officials. Promotion to a higher post, higher salary, additional honors, and selection for choice assignment responsibilities were often uncertain, as young new officials often needed higher-ranking officials to recommend them for service.* [60] Once an official would rise to the upper echelons of central administration based in the capital, they would often compete with others over influence of the emperor's official adoption of state policies. Officials with different opinions on how to approach administrative affairs often sought out other officials for support, leading to pacts of rivaling officials lining up political allies at court to sway the emperor against the faction they disagreed with. Factional strife at court first became apparent during the 1040s, with a new state reform initiated by Fan Zhongyan (989–1052). Fan was a capable military leader (with successful battles in his record against the Tanguts of Xi-Xia) but as a minister of state he was known as an idealist, once “Children Playing in an Autumn Courtyard”(秋 庭 婴 戏 图), saying that a well-minded official should be one that was close-up detail of a larger vertical-scroll painting on silk by Su “first in worrying about the world's troubles and last in en- Hanchen (苏汉臣, active 1130-1160s AD) joying its pleasures”.* [60] When Fan rose to the seat of chancellor, there was a growing opposition to him within • Government monopolies on tea, salt, and wine in orthe older and more conservative crowd. They disliked his der to raise state revenues (although this would now pushing for reforms for the recruitment system, higher limit the merchant class).* [61] pay for minor local officials to discourage against corrup• Instituting a more up-to-date land survey system in tion, and wider sponsorship programs to ensure that offiorder to properly assess the land tax.* [61] cials were drafted more on the basis of their intellect and character. However, his Qingli Reforms were cancelled • Introduction of a local militia in order to lessen the within a year's time (with Fan replaced as chancellor), budget of expenses paid for upholding the official since many older officials halfway through their careers standing army, which had grown dramatically to were not keen on making changes that could affect their roughly 1 million soldiers by 1022.* [61] comfortably set positions.* [60] • The creation of a new government bureau in 1073 After Fan Zhongyan, there was Chancellor Wang Ancalled the Directorate of Weapons, which supershi (1021–1086). The new nineteen-year-old Emperor vised the manufacture of armaments and ensured Shenzong (r. 1067–1085) had an instant liking of Wang quality control.* [63] Anshi when he submitted a long memorial to the throne that criticized the practices of state schools and the ex• Introduction of the Finance Planning Commission, amination system itself. With Wang as his new chancelcreated in mind to speed up the reform process so lor, he quickly implemented Wang's New Policies, which that dissident Conservatives would have less time to evoked some heated reaction from the conservative base. react and oppose reforms.* [61] Along with the Baojia system of a community-based law • The poetry requirement of the civil service examienforcement, the New Policies included: nation (introduced during the earlier Tang dynasty) was scrapped in order to seek out men with more practical experience and knowledge.* [61] • Low-cost loans for farmers and replaced the labor service with a tax instead, hoping this would ultimately help the workings of the entire economy and In addition, Wang Anshi had his own commentaries on state (as he directly linked state income to the level Confucian classics made into a standard and required of prosperity of rural peasants who owned farms, reading for students hoping to pass the state examinaproduced goods for the market, and paid the land tions. This and other reforms of Wang's were too much tax).* [61] These government loans replaced the sys- for some officials to bear idly, as there were many adtem of landlords offering their tenants private loans, ministrative disagreements, along with many personal inwhich was prohibited under the new laws of Wang's terests at stake. In any case, the rising conservative facreforms.* [62] tion against the reformer Wang Anshi branded him as an



about to allow ministers who opposed his reforms to have sway at court, and with his prowess (and perceived arrogance) was known as 'the bullheaded premier'.* [64] He gathered to his side ministers who were loyal to his policies and cause, an elite social coalition known as the New Policies Group (新法, Xin Fa).* [65] He had many able and powerful supporters, such as the scientist and statesman Shen Kuo. Ministers of state who were seen as obstructive to the implementation of Wang's reforms were not all dismissed from the capital to other places (since the emperor needed some critical feedback), but many were. A more extreme example would be “obstructionist”officials sent far to the south to administer regions that were largely tropical, keeping in mind that northern Chinese were often susceptible to malaria found in the deep south of China.* [61] Even the celebrated poet and government official Su Shi was persecuted in 1079 when he was arrested and forced into five weeks of interrogation. Finally, he confessed under guarded watch that he had slandered the emperor in his poems. One of them read: This poem can be interpreted as criticizing the failure of the salt monopoly established by Wang Anshi, embodied in the persona of a hard-working old man who was cruelly denied his means to flavor his food, with the severity of the laws and the only salt available being charged at rates that were too expensive. After his confession, Su Shi was found guilty in court, and was summarily exiled to Hubei Province. More than thirty of his associates were also given minor punishments for not reporting his slanderous poems to authorities before they were widely circulated to the educated public.* [61]

An early Yuan dynasty portrait of Su Shi (1037–1101), by Zhao Mengfu 趙孟頫, held at Taipei Palace Museum.

inferior-intellect who was not up to par with their principles of governance (likewise, the reformers branded conservatives in the same labeled fashion). The conservatives criticized Wang's reforms as a means of curbing the influence of landholding families by diminishing their private wealth in favor of self-sufficient communal groups.* [62] The conservatives argued that the wealth of the landholding class should not be purposefully diminished by state programs, since the land holding class was the essential socio-economic group that produced China's scholarofficials, managers, merchants, and landlords.* [62] Reminded of the earlier Fan Zhongyan, Wang was not

Emperor Shenzong died in 1085, an abrupt death since he was in his mid 30s. His successor Emperor Zhezong of Song was only ten years old when he ascended to the throne, so his powerful grandmother served as regent over him. She disliked Wang's reforms from the beginning, and sought to appoint more Conservative officials at court who would agree to oppose the Reformists. Her greatest political ally was Sima Guang (1019–1086), who was made the next Chancellor. Undoing what Wang had implemented, Sima dismissed the New Policies, and forced the same treatment upon Reformers that Wang had earlier meted out to his opponents: dismissal to lower or frontier posts of governance, or even exile. However, there was still mounted opposition to Sima Guang, as many had favored some of the New Policies, including the substitution of tax instead of forced labor service to the state. Sure enough, when Emperor Zhezong's grandmother died in 1093, Zhezong was quick to sponsor the Reformists like his predecessor Shenzong had done. The Conservatives once more were ousted from political dominance at court. When Zhezong suddenly died in his twenties, his younger brother Emperor Huizong of Song (r. 1100–1125) succeeded him, and also supported the Reformers at court. Huizong banned the writing of Sima Guang and his lackeys while elevating Wang Anshi to



15.5 Jurchen invasions and the transition to Southern Song Main articles: Jin–Song Wars and Timeline

15.5.1 Jingkang Incident Main article: Jingkang Incident Before the arrival of the Jurchens the Song dynasty was

Official court portrait painting of Emperor Huizong of Song. A drawing of Sima Guang.

near revered status, having a statue of Wang erected in a Confucian temple alongside a statue of Mencius.* [66] To further this image of Wang as a great and honorable statesman, printed and painted pictures of him were circulated throughout the country.* [66] Yet this cycle of revenge and partisanship continued after Zhezong and Huizong, as Reformers and Conservatives continued their infighting. Huizong's successor, Emperor Gaozong of Song, abolished once more the New Policies, and favored ministers of the Conservative faction at court.

for centuries engaged in a stand-off against the Western Xia and the Khitan Liao dynasty. This balance was disrupted when the Song dynasty developed a military alliance with the Jurchens for the purpose of annihilating the Liao. This balance of power disrupted, the Jurchens then turned on the Song, resulting in the fall of the Northern Song and the subsequent establishment of the Southern Song. During the reign of Huizong, the Jurchen tribe to the north (once subordinates to the Liao), revolted against their Khitan masters. The Jurchen community already had a reputation of great economic clout in their own region of the Liao and Sungari rivers. They were positioned in an ideal location for horse raising, and were known to muster ten thousand horses a year to sell annually to the Khitans of the Liao dynasty.* [66] They even had a martial history of being pirates, in the 1019 Toi invasion of the Heian Japanese islands in modern-day Iki Province, Tsushima Province, and Hakata Bay. From the Jurchen

15.5. JURCHEN INVASIONS AND THE TRANSITION TO SOUTHERN SONG Wanyan clan, a prominent leader Wanyan Aguda (1068– 1123) challenged Liao authority, establishing their own Jin (or 'Golden') dynasty in 1115.* [66] The Song government took notice of the political dissidence of the Jurchens in Liao's territory, as Council of State Tong Guan (1054–1126) persuaded the emperor to ally with the Jurchens against the Liao .* [66] The two nations secretly forged the Alliance on the Sea, so-named because it was negotiated by envoys who crossed the Bohai Sea, and agreed to jointly invade the Liao, and if successful, divide up Liao territory with the Sixteen Prefectures given to the Song.* [67] In 1121-23, Song forces fared badly against the Liao, but the Jin succeeded in driving the Liao to Central Asia. Through the campaign, the Jurchens discovered weaknesses about the Song military based in the north (as the Chinese for so long had been sending tribute to the Liao instead of actually fighting them). Song forces had failed to make a joint attack in a siege with the Jurchens, who viewed the Song generals as incompetent. Banking on the possibility that the Song were weak enough to be destroyed, the Jurchens made a sudden and unprovoked attack against the Song in the north. Soon enough, even the capital at Kaifeng was under siege by Jin forces, only staved off when an enormous bribe was handed over to them. There was also an effective use of Song Chinese war machines in the defense of Kaifeng in 1126, as it was recorded that 500 catapults hurling debris were used.* [68] During the siege of Taiyuan, the Jin employed 30 catapults and over fifty carts protected by rawhide and sheets of iron plating so that Jin troops could be ferried to the walls safely to fill in Taiyuan city's defensive moat.* [69] The eunuch general Tong Guan, who had initially urged for an alliance with the Jurchens, was blamed for causing the war. He was eventually executed by Emperor Qinzong of Song (r. 1126–1127) after Huizong abdicated the throne to him.* [70]

Southern Song in 1142.


However, the Jin returned soon after with enough siege machinery to scale Kaifeng's layer of walls defended by 48,000 Song troops.* [69] The Jin used siege towers taller than Kaifeng's walls in order to lob incendiary bombs into the city.* [69] The besieged city was captured by the Jurchens in less than two months.* [71] Three thousand members of the Emperor's court were taken as captives,* [72] including Huizong and many of his relatives, craftsmen, engineers, goldsmiths, silversmiths, blacksmiths, weavers and tailors, Daoist priests, and female entertainers to label some.* [66]* [73] The mechanical clock tower designed by Su Song and erected in 1094 was also disassembled and its components carted back north, along with many clock-making millwrights and maintenance engineers that would cause a setback in technical advances for the Song court.* [73] According to the contemporary Xia Shaozeng, other war booty included 20,000 fire arrows that were handed over to the Jurchens upon taking the city.* [74] After capturing Kaifeng, the Jurchens went on to conquer the rest of northern China, while the Song Chinese court fled south. They took up temporary residence at Nanjing, where a surviving prince was named Emperor Gaozong of Song in 1127.* [72] Jin forces halted at the Yangzi River, but staged continual raids south of the river until a later boundary was fixed at the Huai River further north.* [75] With the border fixed at the Huai, the Song government would promote an immigration policy of repopulating and resettling territories north of the Yangzi River, since vast tracts of vacant land between the Yangzi and Huai were open for landless peasants found in Jiangsu, Zhejiang, Jiangxi, and Fujian provinces of the south.* [76]

15.5.2 A new capital and peace treaty In 1129, Emperor Gaozong designated the site at Hangzhou (known then as Lin'an) to be the temporary settlement of the court, but it was not until 1132 that it was declared the new Song capital.* [75] Hangzhou and Nanjing were devastated by the Jin raids; both cities were heavily repopulated with northern refugees who outnumbered the remaining original inhabitants.* [75] Hangzhou was chosen not only for its natural scenic beauty, but for the surrounding topographic barriers of lakes and muddy rice-fields that gave it defensive potential against northern armies comprising mostly cavalry.* [77] Yet it was viewed by the court as only a temporary capital while the Song emperors planned to retake Kaifeng.* [78] However, the rapid growth of the city from the 12th century to the 13th necessitated long term goals of residency. In 1133 the modest palatial residence of the imperial family was improved upon from a simple provincial lodging to one that at least accommodated strolls with new covered alleyways to deflect the rain.* [79] In 1148 the walls of the small palace compound were finally extended to the southeast, yet this was another marginal improvement.* [79]


CHAPTER 15. HISTORY OF THE SONG DYNASTY mother's ransom while he commissioned a symbolic art project about her, the Eighteen Songs of a Nomad Flute, originally based upon the life of Cai Wenji (b. 177).* [83] Gaozong's mother was eventually released and brought south, but Qinzong was never freed from his confinement in the north. Decades after Yue's death, the later Emperor Xiaozong of Song honored Yue Fei as a national hero in 1162, providing him proper burial and memorial of a shrine.* [84] As a means to shame those who had pressed for his execution (Qin Hui and his wife), iron statues of them were crafted to kneel before the tomb of Yue Fei, located at the West Lake in Hangzhou.

15.6 China's first standing navy

Emperor Gaozong (r. 1127–1162)

The new triangular arrangement between the Southern Song, Jin, and Western Xia continued the age of division and conflict in China. The region of Huainan (between the Yangzi and Huai rivers) became a new borderland and battleground between Song and Jin from 1128 to 1141, displacing hundreds of thousands of families who had lived there for generations.* [80] The Southern Song deployed several military commanders, among them Yue Fei and Han Shizhong, to resist the Jin as well as recapture territory, which proved successful at times. Yue Fei in particular had been preparing to recapture Kaifeng (or Bianjing as the city was known during the Song period), the former capital of the Song dynasty and the then southern capital of the Jin, after a streak of uninterrupted military victories. However, the possible defeat of the Jurchens threatened the power of the new emperor of the Southern Song, Gaozong and his premier Qin Hui. The reason for this was that Qinzong, the last emperor of the Northern Song was living in Jin-imposed exile in Manchuria and had a good chance of being recalled to the throne should the Jin dynasty be destroyed. Although Yue Fei had penetrated into enemy territory as far as Luoyang, he was ordered to head back to the capital and halt his campaign.* [71] Emperor Gaozong signed the Treaty of Shaoxing in 1141 that fixed the borders at the Huai River,* [81] as well as conceded territory regained through the efforts of Yue Fei, while Yue was killed during imprisonment. As part of the treaty, the Song were also forced to pay tribute to the Jin, much as it had to the Liao.* [71] With the treaty of Shaoxing, hostilities ceased between the Jin and Song dynasties for the next two decades.* [82] In the meantime, Emperor Gaozong negotiated with the Jin over his

A Song era junk ship, 13th century; Chinese ships of the Song period featured hulls with watertight compartments.

As the once great Indian Ocean maritime power of the Chola dynasty in medieval India had waned and declined, Chinese sailors and seafarers began to increase their own maritime activity in South East Asia and into the Indian Ocean. Even during the earlier Northern Song period, when it was written in Tamil inscriptions under the reign of Rajendra Chola I that Srivijaya had been completely taken in 1025 by Chola's naval strength, the succeeding king of Srivijaya managed to send tribute to the Chinese Northern Song court in 1028.* [85] Much later, in 1077, the Indian Chola ruler Kulothunga Chola I (who the Chinese called Ti-hua-kia-lo) sent a trade embassy to the court of Emperor Shenzong of Song, and made lucrative profits in selling goods to China.* [86] There were other tributary payers from other regions of the world as well. The Fatimid-era Egyptian sea captain Domiyat traveled to a Buddhist site of pilgrimage in Shandong in 1008, where he presented the Chinese Emperor Zhenzong of Song with gifts from his ruling Imam Al-Hakim bi-Amr Allah, establishing diplomatic relations between Egypt and China that had been lost during the collapse of the Tang dynasty in 907 (while the Fatimid state was established three years later in 910).* [87] During the Northern Song, Quanzhou was already a bustling port of call

15.6. CHINA'S FIRST STANDING NAVY visited by a plethora of different foreigners, from Muslim Arabs, Persians, Egyptians, Hindu Indians, MiddleEastern Jews, Nestorian Christians from the Near East, etc. Muslims from foreign nations dominated the import and export industry (see Islam during the Song dynasty).* [88] To regulate this enormous commercial center, in 1087 the Northern Song government established an office in Quanzhou for the sole purpose of handling maritime affairs and commercial transactions.* [89] In this multicultural environment there were many opportunities for subjects in the empire of foreign descent, such as the (Arab or Persian) Muslim Pu Shougeng, the Commissioner of Merchant Shipping for Quanzhou between 1250 and 1275.* [90] Pu Shougeng had gained his reputable position by helping the Chinese destroy pirate forces that plagued the area, and so was lavished with gifts and appraisal from Chinese merchants and officials.* [91] Quanzhou soon rivaled Guangzhou (the greatest maritime port of the earlier Tang dynasty) as a major trading center during the late Northern Song. However, Guangzhou had not fully lost its importance. The medieval Arab maritime captain Abu Himyarite from Yemen toured Guangzhou in 993, and was an avid visitor to China.* [92] There were other notable international seaports in China during the Song period as well, including Xiamen (or Amoy).* [93]

169 ploying a drydock for repair of 'imperial dragon boats' (see Science and technology of the Song dynasty).* [96] Already during the Northern Song, the Chinese had established fortified trade bases in the Philippines, a noted interest of the court to expand China's military power and economic influence abroad.* [97] Provincial armies in the Northern Song era also maintained naval river units.* [98] However, it was the Southern Song court that was the first to create a large, permanent standing naval institution for China in 1132.* [94]* [98] The new headquarters of the Southern Song Chinese admiralty was based at Dinghai, the office labeled as the Yanhai Zhizhi Shisi (Imperial Commissariat for the Control and Organization of Coastal Areas).* [99]* [100] Even as far back as 1129 officials proposed ambitious plans to conquer Korea with a new navy and use Korea as a base for launching invasions into Jin territory, but this scheme was never achieved and was of secondary importance to maintaining defense along the fluctuating border with Jin.* [100]

A small section of Along the River During Qingming Festival, a large horizontal scroll painting by Zhang Zeduan (1085–1145).

When the Song capital was removed far south to Hangzhou, massive numbers of people came from the north. Unlike the flat plains of the north, the mountainous terrain riddled with lakes and rivers in southern China is largely a hindrance and inhospitable to widespread agriculture. Therefore, the Southern Song took on a unique maritime presence that was largely unseen in earlier dynasties, grown out of the need to secure importation of foreign resources. Commercial cities (located along the coast and by internal rivers), backed by patronage of the state, dramatically increased shipbuilding activity (funding harbor improvements, warehouse construction, and navigation beacons).* [94] Navigation at sea was made easier by the invention of the compass and Shen Kuo's treatise of the 11th century on the concept of true north (with magnetic declination towards the North Pole).* [95] With military defense and economic policy in mind, the Southern Song established China's first standing navy. China had a long naval history before that point (example, Battle of Chibi in 208), and even during the Northern Song era there were concerns with naval matters, as seen in examples such as the Chinese official Huang Huaixin of the Xining Reign (1068–1077) outlining a plan of em-

A Song illustration from the Wujing Zongyao manuscript of 1044, showing a rivership with a Xuanfeng traction trebuchet catapult mounted on the top deck.

Capturing the essence of the day, the Song era writer Zhang Yi once wrote in 1131 that China must regard the Sea and the River as her Great Wall, and substitute warships for watchtowers.* [99] Indeed, the court administration at Hangzhou lived up to this ideal, and were successful for a time in employing their navy to defend their interests against an often hostile neighbor to the north. In his Science and Civilization in China series, Joseph Needham writes: From a total of 11 squadrons and 3,000 men [the Song navy] rose in one century to 20 squadrons totalling 52,000 men, with its main base near Shanghai. The regular striking force could be supported at need by substantial merchantmen; thus in the campaign of 1161 some 340 ships of this kind participated in the battles


CHAPTER 15. HISTORY OF THE SONG DYNASTY on the Yangtze. The age was one of continual innovation; in 1129 trebuchets throwing gunpowder bombs were decreed standard equipment on all warships, between 1132 and 1183 a great number of treadmill-operated paddlewheel craft, large and small, were built, including stern-wheelers and ships with as many as 11 paddle-wheels a side (the invention of the remarkable engineer Kao Hsuan), and in 1203 some of these were armored with iron plates (to the design of another outstanding shipwright Chhin Shih-Fu)...In sum, the navy of the Southern Sung held off the [Jurchen Jin] and then the Mongols for nearly two centuries, gaining complete control of the East China Sea.* [99]

During the reign of Emperor Xiaozong of Song, the Chinese increased the number of trade missions that would dock at ports throughout the Indian Ocean, where Arab and Hindu influence was once predominant. The Chinese sailed regularly to Korea and Japan in the Far East, westwards towards India and Sri Lanka, and into the Persian Gulf, and the Red Sea.* [101] The Chinese were keen to import goods such as rare woods, precious metals, gems, spices, and ivory, while exporting goods such as silk, ceramics, lacquer-ware, copper cash, dyes, and even books.* [102] In 1178, the Guangzhou customs officer Zhou Qufei wrote of an island far west in the Indian Ocean (possibly Madagascar), from where people with skin“as black as lacquer”and with frizzy hair were captured and purchased as slaves by Arab merchants.* [103] As an important maritime trader, China appeared also on geographical maps of the Islamic world. In 1154 the Moroccan geographer Al-Idrisi published his Geography, where he described the Chinese seagoing vessels as having aboard goods such as iron, swords, leather, silk, velvet, along with textiles from Aden (modern-day Yemen), the Indus River region, and Euphrates River region (modern-day Iraq).* [101] He also commended the silk manufactured at Quanzhou as being unparalleled in the world for its quality, while the Chinese capital at Hangzhou was best known throughout the Islamic world for being a major producer of glass wares.* [101] By at least the 13th century, the Chinese were even familiar with the story of the ancient Lighthouse of Alexandria since it is described at length by Zhao Rugua, a Southern Song customs inspector of Quanzhou.* [104]

Games in the Jinming Pool, by Zhang Zeduan, a painting depicting the imperial gardens of Kaifeng, Northern Song.

dences, and moved the Jin's southern capital from Beijing to Kaifeng. It was here at the former seat of the Song dynasty that he began a large project of reconstruction (since the siege against it in 1127).* [70]* [105] For much of his reign there was peace between Jin and Song, while both states upheld an uninterrupted flow of commercial trade between each other.* [71] While amassing tribute from the Southern Song, the Jin dynasty also imported large amounts of tea, rice, sugar, and books from the Southern Song.* [71] However, Hailingwang reopened the Jin dynasty's armed conflict with the Song by the 1160s.

Emperor Wanyan Liang established a military campaign against the Southern Song in 1161, with 70,000 naval troops aboard 600 warships facing a smaller Song fleet of only 120 warships and 3,000 men.* [106] At the Battle of Tangdao and the Battle of Caishi along the Yangtze River, Jin forces were defeated by the Southern Song navy. In these battles, the Jin navy was wiped out by the much smaller Song fleet because of their use of fast paddle-wheel crafts and gunpowder bombs launched from trebuchet catapults (since explosive grenades and bombs had been known in China since the 10th century).* [107] Meanwhile, two simultaneous rebellions of Jurchen nobles, led by soon-to-be crowned Jin Emperor Wányán Yōng (完顏雍) and Khitan tribesman, erupted in Manchuria. This forced the reluctant Jin court to withdraw its troops from southern China to quell these uprisings. In the end, Emperor Wányán Liàng failed in taking the Southern Song and was assassinated by his own gen15.7 Defeat of Jin invasion, 1161 erals in December 1161.* [108]* [109] The Khitan uprising was not suppressed until 1164, while the Treaty of Main article: Battle of Caishi Longxing (隆興和議) was signed in 1165 between Song In 1153 the Jin Emperor Hailingwang, born as Wányán and Jin, reestablishing the 1142 border line and ushering Liàng (完 顏 亮), moved the empire's capital from in four decades of peace between the two.* [108]* [109] Huining Fu in northern Manchuria (south of present-day Harbin) to Zhongdu (now Beijing).* [70] Four years later In the years 1205 and 1209 the Jin state was under raid in 1157 he razed Beijing, including the nobles’resi- attacks by Mongols from the north, and in 1211 the ma-



during the 5 month siege of their capital city, and being held somewhat responsible for this, the last Xia ruler was hacked to death when he was persuaded to exit the gates of his city with a small entourage.* [112]

15.8 Mongol invasion and end of the Song dynasty Main article: Mongol conquest of the Song dynasty Following the death of Gaozong and the emergence of the Mongols, the Song dynasty formed a military alliance with the Mongols in the hope of finally defeating the Jin dynasty. Several tens of thousands of carts full of grain were sent to the Mongol army during the siege. Following the destruction of the Jurchens in 1234, the Southern Song generals broke the alliance, proceeding to recapture the three historical capitals of Kaifeng, Luoyang and Chang'an. However the cities, ravaged by years of warfare, lacked economic capacity and yielded little defensibility. This breaking of alliance meant open warfare bePortrait of Genghis Khan, who initiated the first Mongol inva- tween the Mongols and the Song Chinese. Ögodei Khan's sions of China. forces conquered fifty-four out of Sichuan's fifty-eight total districts by 1236, while ordering the slaughter of over a million people that inhabited the city of Chengdu, which jor campaign led by Genghis Khan was launched.* [110] was taken by the Mongols with ease.* [114] His army consisted of fifty thousand bowmen, while his three sons led armies of similar size.* [110] Patricia Ebrey writes that at this point the Mongol population could not 15.8.1 Möngke's campaign have been greater than 1.5 million, yet they boosted their numbers by employing Khitans and Han Chinese “who felt no great loyalty to their Jurchen lords.”* [111] After a Jurchen general murdered Emperor Weishaowang of Jin in 1213 and placed Emperor Xuanzong of Jin on the throne, a peace settlement was negotiated between Jin and the Mongol forces in 1214, as Genghis made the Jin a vassal state of the Mongol Empire.* [112] However, when the Jin court moved from Beijing to Kaifeng, Genghis saw this move as a revolt,* [112] and moved upon the old Jin capital at Beijing in 1215, sacking and burning it.* [105] Although the now small Jin state attempted to defend against the Mongols and even fought battles with the Song in 1216 and 1223, the Jin were attacked by the Mongols again in 1229 with the ascension of Ögedei Khan.* [112] According to the account of 1232, written by the Jin commander Chizhan Hexi, the Jurchens led a valiant effort against the Mongols, whom Growth of the Mongol Empire throughout the 13th century until Kublai Khan's death in 1294. The bounds of the Yuan dynasty they frightened and demoralized in the siege of the capof China is seen in purple in the final stage. ital by the use of 'thunder-crash-bombs' and fire lance flamethrowers.* [113] However, the capital at Kaifeng The Mongols eventually gained the upper hand under was captured by siege in 1233, and by 1234 the Jin dy- Möngke Khan, famed for his battles in Russia and Hunnasty finally fell in defeat to the Mongols after the capture gary in Eastern Europe, and ushered in the final destrucof Caizhou.* [105] tion of the ruling Ch'oe family of Korea in 1258.* [115] In The Western Xia met a similar fate, becoming an unreli- 1252 Möngke commissioned his younger brother Kublai able vassal to the Mongols by seeking to secure alliances to conquer the Kingdom of Dali in the southwest (modwith Jin and Song.* [112] Genghis Khan had died in 1227 ern Yunnan province), which was a successful campaign



from the summer of 1253 to early 1254.* [116]* [117] Möngke also sent a military campaign into northern Vietnam (which was a failure). Möngke sent his renowned general and brother Hulagu east to face Syria and Egypt, after he had sacked and razed medieval Baghdad to the ground in 1258 during the sack of Baghdad, bringing an end to the Abbasid Caliphate and the Islamic Golden Age. Meanwhile, Möngke infiltrated Song territory further, until he died while battling the Song Chinese at Fishing Town, Chongqing on August 11, 1259.* [116] There are several different claims as to how he died; the causes of death include either an arrow wound from a Chinese archer during the siege, dysentery, or cholera epidemic.* [118] Whatever the cause, his death halted the invasion of the Southern Song, and sparked a succession crisis that would ultimately favor Kublai Khan as the new Khaghan of the Mongols. Möngke's death in battle also led to the recall of the main Mongol armies led by Hulagu campaigning in the Middle East. Hulagu had to travel back to Mongolia in order to partake in the traditional tribal meeting of the khuriltai to appoint a new successor of the Mongol Khanate.* [118] In Hulagu's absence, the emboldened Mamluks of Egypt were ready to face the Mongols. Mongol forces under Christian Kitbuqa's command were defeated in a decisive blow at Ain Jalut.* [119] This marked the extent of Mongol conquests west, but in the east, the Song dynasty had to be dealt with.


A fluctuating border

other side. Both sides suffered considerable casualties, but Kublai's troops were victorious and gained a foothold south of the Yangzi.* [120] Kublai made preparations to take the heavily fortified city of Ezhou. Meanwhile, the Song chancellor Jia Sidao dispatched General Lü Wende to lead the reinforcements in the defense of Ezhou, and on October 5 Lü slipped past Kublai's ill-prepared forces and entered the city.* [121] Jia Sidao then sent his general and emissary Song Jing to negotiate a tributary settlement with Kublai.* [121] He offered Kublai annual tribute of silver like in the earlier treaty with the Khitans, in return for the territories south of the Yangzi that had been taken by the Mongols.* [121] Kublai rejected the proposal since he was already in a favorable strategic position on the other side of the Yangzi.* [121] However, Kublai had to suspend the war and travel north with the majority of his forces due to the Toluid Civil War. His rival brother Ariq Böke led a sudden movement of troops towards Kublai's home base of Xanadu.* [122] Kublai's absence from the war front was seen by Chancellor Jia Sidao as an opportune moment, so he ordered to resume armed conflict.* [123] The Song army routed the small armed detachment that Kublai had stationed south of the Yangzi, and the Song regained its lost territory.* [123] With his ally Hulagu busy fighting the Golden Horde and his own forces needed in the north against the rival Khagan claimant Ariq Böke, Kublai was unable to focus on hostilities in the south.* [124] On May 21, 1260, Kublai sent his envoy Hao Jing and two other advisors to negotiate with the Southern Song.* [123] Upon their arrival and attempts to solve the conflict through diplomatic means, Jia Sidao ordered Kublai's embassy to be detained.* [123] Although Kublai would not forget this slight of imprisoning his ambassadors, he nonetheless had to focus on more pressing affairs with the threat of his brother and rival Khan.* [123] From 1260 to 1262 the Song forces raided Kublai's southern border which forced Kublai to retaliate with some minor incursions until 1264, when his brother finally surrendered and ended the civil war.* [125] In 1265 the first major battle in five years erupted in Sichuan province, where Kublai gained a preliminary victory and considerable war booty of 146 Song naval ships.* [125]

15.8.3 Growing discontent

Painting of Kublai Khan on a hunting expedition with guards, by court artist Liu Guandao, c. 1280.

Although Möngke's forces stalled the war effort immediately after his death, his younger brother Kublai continued to fight the Southern Song along the Yangzi River for the next two months into the autumn of 1259.* [120] Kublai made a daring advance across the river during a storm, and assaulted the Southern Song troops on the

While Kublai attended to other matters in the north, the Song court was mobilizing its populace for war and all available resources that could be rendered and drained into the war effort.* [126] In the mid 13th century, the Song government led by Jia Sidao began confiscating portions of estates owned by the rich in order to raise revenues in a land nationalization scheme.* [115]* [127] This had the negative effect of alienating the wealthy landowners and hastening the collapse of the empire, as wealthy landlords and merchants favored what they deemed the inevitable Mongol conquest and rule than the other al-



15.8.4 Battle of Xiangyang

Kublai Khan ruled as the Khagan of the Mongol Empire from 1260 to 1271. From 1271 until his death in 1294 he was the emperor of China, establishing the Yuan dynasty that would end in 1368.

The siege of the city Xiangyang was a long, drawn out conflict from 1268 to 1273.* [130] Xiangyang and the adjacent town of Fancheng were located on the opposite bank of the Han River and were the last fortified obstacles in Kublai's way towards the rich Yangzi River basin.* [125] Kublai made an attempt to starve the city of its supply lines by gaining naval supremacy along the Han River in a gigantic blockade.* [131] It was the Song defector Liu Zheng who was the main proponent in advising Kublai Khan to expand the Yuan's naval strength, which was a great factor in their success.* [125]* [132] On several occasions—August 1269, March 1270, August 1271, and September 1272—the Southern Song attempted to break the Yuan blockade with its own navy, yet each attempt was a costly failure of thousands of men and hundreds of ships.* [133] An international force —composed of Chinese, Jurchens, Koreans, Mongols, Uyghur Turks, and Middle Eastern Muslims —contributed to Kublai's siege effort in crafting ships and artillery.* [131] After the siege, in the summer of 1273, Kublai appointed the Chinese general Shi Tianze and Turkic general Bayan as the commander-in-chief of the armed forces. However, Shi Tianze died in 1275; Bayan was then granted a force of 200,000 (composed mostly of Han Chinese) to assault Song.* [116]* [134]

15.8.5 Final resistance ternative of paying higher taxes for continual, exhaustive warfare.* [126]* [127] There was also mounting political opposition against Chancellor Jia Sidao. Jia had purged several dissident officials who were opposed to his reforms aimed at limiting official corruption and personal profiteering.* [128] When he replaced some of these officials with his own cronies, however, political conditions were ripe for a schism at court and within the gentry class that would be favorable to a strong, unified force led by Kublai.* [129] Kublai used various ploys and gestures in order to entice defectors from the Southern Song to his side. Kublai Khan established Dadu (Beijing) as his new capital in 1264, catering to the likes of the Chinese with his advisor Liu Bingzhong and the naming of his dynasty with the Chinese word for“primal” “Yuan” ( ).* [116] He made it a policy to grant land, clothing, and oxen to Song Chinese who defected to his side.* [129] Kublai Khan chose the moral high ground of releasing Song captives and prisoners while Jia Sidao refused to release Kublai's emissary Hao Jing.* [129] In 1261 Kublai personally released seventy-five Song merchants captured at the border; in 1263 he released fifty-seven merchants; in 1269 he released forty-five merchants.* [129] In 1264 he publicly reprimanded his own officers for executing two Song gen- Emperor Bing, the last Song emperor. erals without trial or investigation.* [129] With these acts his reputation and legitimacy in the eyes of the Chinese In March 1275 the forces of Bayan faced the army of Chancellor Jia Sidao, which was 130,000 strong; the end were greatly enhanced.

174 result was a decisive victory for Bayan, and Jia was forced to retreat after many deserted him.* [135] This was the opportune moment for his political rivals to smite him. Jia was effectively stripped of rank, title, and office and banished to Fujian in exile from the court; while en route to Fujian, he was killed by the same commander that was appointed to accompany him.* [136] After his death many of his supporters and opposing ministers submitted to Bayan. By 1276 the Yuan army had conquered nearly all of the Southern Song's territory, including the capital at Hangzhou.* [105]


15.9 Historical literature

Meanwhile the rebel remnants of the Song court fled to Fuzhou.* [137] Emperor Gong was left behind as the empress dowager submitted to Bayan, horrified by reports of the total slaughter of Changzhou.* [138] Before the capital was taken, Empress Dowager Xie (1208–1282) made attempts to negotiate with Bayan, promising annual tribute to the Yuan dynasty, but he rejected these proposals.* [139] After her attempts at diplomacy had failed, she handed over the Song dynasty's imperial seal to Bayan, “an unambiguous symbol of capitulation.”* [140] With the submission of Emperor Gong, Bayan ordered that the Song imperial family should be respected, and forbade the pillaging of their imperial tombs or treasuries.* [140] Kublai granted the deposed emperor the title “Duke of Ying”, but he was eventually exiled to Tibet where he took up a monastic life in 1296.* [140] Any hope of resistance was centered on two young princes, Emperor Gong's brothers. The older boy, Zhao Shi, who was nine years old, was declared emperor on June 14, 1276, in Fuzhou.* [137] The court sought refuge in Quanzhou, seeking an alliance with the Superintendent of Maritime Shipping, the Muslim Pu Shougeng.* [91] However, he secretly formed an alliance with Kublai, so the Song court was forced to flee in 1277.* [141] The court then sought refuge in Silvermine Bay (Mui Wo) on Lantau Island. The older brother became ill and died on May 8, 1278 at age ten, and was succeeded by his younger brother who became Emperor Huaizong of Song, aged seven.* [141] The Sung Wong Toi monument in Kowloon commemorates his enthronement. On March 19, 1279 the Song army was defeated in its last battle, the Battle of Yamen, fought against the Yuan army led by the Chinese general Zhang Hongfan in the Pearl River Delta.* [142] Song Prime Minister Lu Xiufu is said to have taken the boy emperor in his arms and jumped from his sinking ship into the sea, drowning both of them.* [142] With the death of the last remaining emperor, Song China was eliminated, while Kublai Khan established the realm of the Yuan dynasty over China proper, Mongolia, Manchuria, Tibet, and Korea. For nearly a century to follow, the Chinese would live under a dynasty established by Mongols. However, a native Han Chinese dynasty would be established once more with the Ming dynasty in 1368.

Zhu Xi (1130–1200), the Neo-Confucian philosopher who edited the Zizhi Tongjian historical text originally compiled by Sima Guang.

During the Song dynasty, the Zizhi Tongjian (Chinese: 資 治通鑒/资治通鉴; Wade–Giles : Tzu-chih t'ung-chien; literally “Comprehensive Mirror for/to Aid in Government”) was an enormous work of Chinese historiography, a written approach to a universal history of China, compiled in the 11th century. The work was first ordered to be compiled by Emperor Yingzong of Song in 1065, the team of scholars headed by Sima Guang, who presented the completed work to Emperor Shenzong of Song in 1084. Its total length was 294 volumes containing roughly 3 million Chinese characters. The Zizhi Tongjian covers the people, places, and events of Chinese history from the beginning of the Warring States in 403 BC until the beginning of the Song dynasty in 959. Its size, brevity, and scope has often been compared to the groundbreaking work of Chinese historiography compiled by the ancient historian Sima Qian (145 BC–90 BC), known as the Shiji. This historical work was later compiled and condensed into fifty nine different books by the Neo-Confucian philosopher Zhu Xi in 1189, yet his pupils had to complete the work shortly after his death in 1200.* [143] During the Manchu Qing dynasty, the book was reprinted in 1708, while the European Jesuit Father Joseph Anne Maria de Moyriac de Mailla (1679– 1748) translated it shortly after in 1737.* [143] It was later edited and published by the Jesuit Abbé, Jean Baptiste

15.11. NOTES


Gabriel Alexandre Grosier (1743–1823), in part with Le [12] Brose (2008), 258. Roux des Hauterays, where a thirteenth volume and a title [13] Mote, 69. page were added.* [143] It was also translated and published by the Jesuit astronomer Antoine Gaubil in 1759, [14] Lorge (2008), 67. whose pupils founded a Russian school of sinology.* [143] Another historical source was the enormous encyclopedia Prime Tortoise of the Record Bureau published by 1013, one of the Four Great Books of Song. Divided into 1000 volumes of 9.4 million written Chinese characters, this book provided important information on political essays of the period, extensive autobiographies on rulers and various subjects, as well as a multitude of memorials and decrees brought forth to the imperial court. However, the official history of the Song dynasty was the Song Shi, compiled in 1345 during the Yuan dynasty.* [144] The recorded history of the Jurchen Jin dynasty, the Jin Shi, was compiled in the same year.* [144] This historical book is one of the classic Twenty-Four Histories of China.

[15] Lorge (2008), 60.

[16] Lorge (2008), 59–61. [17] Lorge (2008), 60–62. [18] Lorge (2008), 65. [19] Lorge (2008), 70. [20] Lorge (2008), 71. [21] Lorge (2008), 66. [22] Mote, 70–71. [23] Needham, Volume 4, Part 3, 446. [24] Dunnell (1996), xxi, 13, 91 [25] Lorge (2005), 44.

15.10 See also • Chinese literature • History of China • Military history of China (pre-1911)

[26] McGrath (2008), 152. [27] McGrath (2008), 155. [28] McGrath (2008), 154–156. [29] McGrath (2008), 157. [30] McGrath, 157–159.

• Naval history of China

[31] Lorge (2005), 44–45.

• Timeline of the Jin–Song Wars

[32] McGrath (2008), 152, 157–158

• Wen Tianxiang

[33] McGrath (2008), 157–158.

• Yang Hui

[34] McGrath (2008), 153.

• Zhou Tong (archer)

[35] McGrath (2008), 158. [36] Anderson (2008), 206.

15.11 Notes

[37] Sivin, III, 8. [38] Sivin, III, 9.

[1] Graff, 87. [2] Schafer, 291. [3] Ebrey et al., 154. [4] Ebrey et al., 155. [5] Needham, Volume 1, 133.

[39] Dunnell (1996), 75. [40] Wang (2001), 15. [41] Anderson (2008), 191. [42] Anderson (2008), 191–192. [43] Anderson (2008), 195.

[6] Needham, Volume 1, 132.

[44] Anderson (2008), 195–198.

[7] Ebrey et al., 160.

[45] Anderson (2008), 198.

[8] Needham, Volume 3, 518.

[46] Anderson (2008), 196.

[9] Hargett (1996), 413.

[47] Anderson (2008), 199.

[10] Needham, Volume 4, Part 2, 469–471.

[48] Anderson (2008), 200.

[11] Ebrey, Cambridge Illustrated History of China, 138.

[49] Anderson (2008), 201.



[50] Anderson (2008), 202.

[88] BBC page about Islam in China

[51] Anderson (2008), 202–203.

[89] Wang, 14.

[52] Anderson (2008), 203.

[90] Needham, Volume 4, Part 3, 465.

[53] Anderson (2008), 206–207.

[91] Rossabi, 92.

[54] Anderson (2008), 207.

[92] Shen, 157–158.

[55] Anderson (2008), 207–208.

[93] Sivin, III, 5.

[56] Anderson (2008), 208.

[94] Paludan, 136.

[57] Anderson (2008), 209.

[95] Sivin, III, 22.

[58] Cœdès (1966), p. 84

[96] Levathes, 77.

[59] Anderson (2008), 210.

[97] Hall, 24.

[60] Ebrey et al., 163.

[98] Lo, 490.

[61] Ebrey et al., 164.

[99] Needham, Volume 4, Part 3, 476.

[62] Fairbank, 97.

[100] Lo, 491.

[63] Peers, 130.

[101] Shen, 159–161.

[64] Morton, 102.

[102] Paludan, 142.

[65] Sivin, III, 3–4.

[103] Levathes, 37.

[66] Ebrey et al., 165.

[104] Needham, Volume 4, Part 3, 662.

[67] Mote 1999, p. 208.

[105] Needham, Volume 1, 139.

[68] Peers, 131.

[106] Levathes, 43–47.

[69] Ebrey, Cambridge Illustrated History of China, 168.

[107] Needham, Volume 1, 134.

[70] Ebrey et al., 166.

[108] Tillman, 29.

[71] Ebrey, Cambridge Illustrated History of China, 150.

[109] Mostern (2008), 241.

[72] Gernet, 22.

[110] Ebrey et al., 235.

[73] Needham, Volume 4, Part 2, 497.

[111] Ebrey, Cambridge Illustrated History of China, 171.

[74] Needham, Volume 5, Part 7, 154.

[112] Ebrey et al., 236.

[75] Coblin, 533.

[113] Needham, Volume 5, Part 7, 225.

[76] Coblin, 533 & 536.

[114] Ebrey, Cambridge Illustrated History of China, 170.

[77] Gernet, 22–23.

[115] Ebrey et al., 239.

[78] Gernet, 23–25.

[116] Ebrey et al., 240.

[79] Gernet, 25.

[117] Rossabi, 24–27.

[80] Mostern (2008), 231.

[118] Rossabi, 46.

[81] Mostern (2008), 238.

[119] Rossabi, 47.

[82] Tillman, 3.

[120] Rossabi, 49.

[83] Ebrey, Cambridge Illustrated History of China, 151.

[121] Rossabi, 50.

[84] Giles, 950.

[122] Rossabi, 50–51.

[85] Hall, 23.

[123] Rossabi, 56.

[86] Sastri, 173, 316.

[124] Rossabi, 55–56.

[87] Shen, 158.

[125] Rossabi, 82.


[126] Embree, 385. [127] Adshead, 90–91. [128] Rossabi, 80–81. [129] Rossabi, 81. [130] Rossabi, 82–87. [131] Rossabi, 83. [132] Lo, 492. [133] Rossabi, 85. [134] Rossabi, 87. [135] Rossabi, 88. [136] Rossabi, 88–89. [137] Rossabi, 91. [138] Ebrey et al., 241. [139] Rossabi, 89–90. [140] Rossabi, 90. [141] Rossabi, 93. [142] Rossabi, 94. [143] Partington, 238. [144] Partington, 237.

15.12 References • Adshead, S.A.M. (2004). T'ang China: The Rise of the East in World History. New York: Palgrave Macmillan. ISBN 1-4039-3456-8 (hardback).

177 • Cœdès, George. (1966). The Making of South East Asia (illustrated, reprint ed.). University of California Press. ISBN 0520050614. Retrieved 7 August 2013. • Dunnell, Ruth W. (1996). The Great State of White and High: Buddhism and State Formation in Eleventh-Century Xia . Honolulu: University of Hawaii Press. ISBN 0-8248-1719-2. • Ebrey, Walthall, Palais (2006). East Asia: A Cultural, Social, and Political History. Boston: Houghton Mifflin Company. ISBN 0-618-13384-4. • Ebrey, Patricia Buckley (1999). The Cambridge Illustrated History of China. Cambridge: Cambridge University Press. ISBN 0-521-66991-X (paperback). • Embree, Ainslie Thomas (1997). Asia in Western and World History: A Guide for Teaching. Armonk: ME Sharpe, Inc. • Fairbank, John King and Merle Goldman (1992). China: A New History; Second Enlarged Edition (2006). Cambridge: MA; London: The Belknap Press of Harvard University Press. ISBN 0-67401828-1 • Gernet, Jacques (1962). Daily Life in China on the Eve of the Mongol Invasion, 1250–1276. Stanford: Stanford University Press. ISBN 0-8047-0720-0 • Giles, Herbert Allen (1939). A Chinese biographical dictionary (Gu jin xing shi zu pu). Shanghai: Kelly & Walsh. (see here for more) • Graff, David Andrew and Robin Higham (2002). A Military History of China. Boulder: Westview Press.

• Anderson, James A. (2008). "'Treacherous Factions': Shifting Frontier Alliances in the Breakdown of Sino-Vietnamese Relations on the Eve of the 1075 Border War”, in Battlefronts Real and Imagined: War, Border, and Identity in the Chinese Middle Period, 191–226. Edited by Don J. Wyatt. New York: Palgrave MacMillan. ISBN 9781-4039-6084-9.

• Hall, Kenneth (1985). Maritime trade and state development in early Southeast Asia. Hawaii: University of Hawaii Press. ISBN 0-8248-0959-9.

• Brose, Michael C. (2008). “People in the Middle: Uyghurs in the Northwest Frontier Zone”, in Battlefronts Real and Imagined: War, Border, and Identity in the Chinese Middle Period, 253–289. Edited by Don J. Wyatt. New York: Palgrave MacMillan. ISBN 978-1-4039-6084-9.

• Huiping Pang, “Nansong gongting huashi zhi gongzhi moshi yanjiu”(How Did Court Painters Serve in Southern Song?), Journal of Gugong Studies, (Volume 3, 2007): 230–251.

• Coblin, W. South “Migration History and Dialect Development in the Lower Yangtze Watershed”, Bulletin of the School of Oriental and African Studies (Volume 65, Number 3, 2002): 529–543.

• Huiping Pang, “Strange Weather: Art, Politics, and Climate Change in the Middle of Emperor Huizong's Reign”, Journal of Song-Yuan Studies 39 (2009), 1–49. ISSN 1059-3152

• Huiping Pang, “Zouchu gongqiang: you huajiashisanke tan nansong gongtinghuashi de mingjjan xing”(Get out of the Palace: From Southern Song Court Painters to Folk Limners), Yishushi Yanjiu (The Study of Art History), (Volume 7, 2005): 179– 216.

178 • Huiping Pang, “Nansonghuayuan zhi shengshezhizhi yu houshi xiangxiang”(The Organization of the So-called Southern Song Painting Academy as a Post-1279 Imaginary Construct), Gugong Xuekan (Journal of Gugong Studies), (Volume 2, 2005): 62–86. • Levathes (1994). When China Ruled the Seas. New York: Simon & Schuster. ISBN 0-671-70158-4. • Lo, Jung-Pang. “The Emergence of China as a Sea Power During the Late Sung and Early Yuan Periods”, The Far Eastern Quarterly (Volume 14, Number 4, 1955): 489–503. • Lorge, Peter (2005). War, Politics and Society in Early Modern China, 900–1795: 1st Edition. New York: Routledge. • Lorge, Peter (2008). “The Great Ditch of China and the Song-Liao Border”, in Battlefronts Real and Imagined: War, Border, and Identity in the Chinese Middle Period, 59–74. Edited by Don J. Wyatt. New York: Palgrave MacMillan. ISBN 978-14039-6084-9. • McGrath, Michael (2008). “Frustrated Empires: The Song-Tangut Xia War of 1038–1044”, in Battlefronts Real and Imagined: War, Border, and Identity in the Chinese Middle Period, 151–190. Edited by Don J. Wyatt. New York: Palgrave MacMillan. ISBN 978-1-4039-6084-9.

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• Sivin, Nathan (1995). Science in Ancient China. Brookfield, Vermont: VARIORUM, Ashgate Publishing.

• Mostern, Ruth. (2008). “From Battlefields to Counties: War, Border, and State Power in Southern Song Huainan”, in Battlefronts Real and Imagined: War, Border, and Identity in the Chinese Middle Period, 227–252. Edited by Don J. Wyatt. New York: Palgrave MacMillan. ISBN 978-1-4039-6084-9.

• Tillman, Hoyt C. and Stephen H. West (1995). China Under Jurchen Rule: Essays on Chin Intellectual and Cultural History. New York: State University of New York Press.

• Mote, F.W. (1999). Imperial China: 900–1800. Harvard: Harvard University Press. • Needham, Joseph (1954). Science and Civilization in China: Volume 1, Introductory Orientations. Cambridge: Cambridge University Press; rpr. Taipei: Caves Books, Ltd, 1986. • Needham, Joseph (1959). Science and Civilization in China: Volume 3, Mathematics and the Sciences of the Heavens and the Earth. Cambridge: Cambridge University Press; rpr. Taipei: Caves Books, Ltd, 1986. • Needham, Joseph (1965). Science and Civilization in China: Volume 4, Physics and Physical Technology, Part 2: Mechanical Engineering. Cambridge: Cambridge University Press; rpr. Taipei: Caves Books, Ltd.

• Wang, Lianmao (2000). Return to the City of Light: Quanzhou, an eastern city shining with the splendour of medieval culture. Fujian People's Publishing House. • Wang, Jiawei (2001). The Historical Status of China's Tibet. Beijing: China Intercontinental Press. ISBN 7-80113-304-8.

15.13 External links • Song Dynasty in China • China 7 BC To 1279

Chapter 16

Yuan dynasty The Yuan (/juːˈɑːn/) dynasty (Mongolian script: , Mongolian Cyrillic: Их Юань Улс; Chinese: 元朝; pinyin: Yuán Cháo), officially the Great Yuan (Chinese: 大元; pinyin: Dà Yuán) or the Great Yuan Great Mongolian State (Mongolian: Dai Ön Yeke Mongghul Ulus, Их Юань улс, Ikh Yuanʹ Üls* [1]) was the empire established by Kublai Khan, leader of the Mongolian Borjigin clan. Although the Mongols had ruled territories which included today's northern China for decades, it was not until 1271 that Kublai Khan officially proclaimed the dynasty in the traditional Chinese style.* [2] His realm was by this point isolated from the other khanates and controlled only most of presentday China and its surrounding areas including modern Mongolia.* [3] It was the first foreign dynasty to rule all of China and lasted until 1368, after which its remnants in Mongolia were known as the Northern Yuan. Almost none of the Mongolian Emperors of the Yuan mastered the Chinese language, using instead their native language and Mongolian and 'Phags-pa script.* [4]

The Yuan Emperors equated their state with the concept of China(中國) like other non-Han dynasties did such as the Jin.* [8] Non-Han rulers expanded the definition of “China”to include non-Han peoples in addition to Han people, whenever they ruled China.* [9] Yuan, Jin, and Northern Wei documents indicate the usage of “China” by dynasties to refer to themselves began earlier than previously thought.* [10] In 1217 a Chinese title, Da Chao (大朝; Wade Giles: Ta-ch'ao ; English: “Great Dynasty”) was adopted by Genghis Khan to refer to the Mongol state, alongside Da Menggu Guo (大 蒙 古 國; Wade Giles: Ta Mengku kuo), the Chinese translation of the Mongol name “Yeke Mongghol Ulus”(The Great Mongolian State), until Kublai Khan imposed the new name Da Yuan (大元; Wade–Giles: Ta-Yüan).* [11]

16.2 History

The Yuan is considered both a successor to the Mongol Main article: History of the Yuan dynasty Empire and as an imperial Chinese dynasty. In official Chinese histories, the Yuan dynasty bore the Mandate of Heaven, following the Song dynasty and preceding the Ming dynasty. Although the dynasty was established by 16.2.1 Kublai Khan's rise Kublai Khan, he placed his grandfather Genghis Khan on the imperial records as the official founder of the dynasty Main article: Toluid Civil War as Taizu. In addition to Emperor of China, Kublai Khan also claimed the title of Great Khan, supreme over the other successor khanates: the Chagatai, the Golden Horde, and the Ilkhanate. As such, the Great Yuan Empire was also sometimes referred to as the Empire of the Great Khan. However, although this claim of the emperors of the Yuan dynasty was at times recognized by the western khans, their subservience was merely nominal and they each continued their own separate development.* [5]* [6]* [7]

16.1 Name Main article: Names of China

Genghis Khan united the Mongol and Turkic tribes of the steppes and became Great Khan in 1206.* [12] He and his successors expanded the Mongol empire across Asia. Under the reign of Genghis' third son, Ögedei Khan, the Mongols destroyed the weakened Jin dynasty in 1234, conquering most of northern China.* [13] Ögedei offered his nephew Kublai a position in Xingzhou, Hebei. Kublai was unable to read Chinese, but had several Han Chinese teachers attached to him since his early years by his mother Sorghaghtani. He sought the counsel of Chinese Buddhist and Confucian advisers.* [14] Möngke Khan succeeded Ögedei's son, Güyük, as Great Khan in 1251.* [15] He granted his brother Kublai control over Mongol held territories in China.* [16] Kublai built schools for Confucian scholars, issued paper money, revived Chinese rituals, and endorsed policies that stimu-




lated agricultural and commercial growth.* [17] He made main.* [29]* [30] The hostile but weakened Song dynasty the city of Kaiping in Inner Mongolia, later renamed remained an obstacle in the south.* [29] Kublai secured Shangdu, his capital.* [18] the northeast border in 1259 by installing the hostage of Korea, making it a MonMöngke Khan commenced a military campaign against prince Wonjong as* the ruler * gol tributary state. [31] [29] Kublai was also threatened * the Chinese Song Dynasty in southern China. [19] He by domestic unrest. Li Tan, the son-in-law of a pow* died in 1259 without a successor. [20] Kublai returned erful official, instigated a revolt against Mongol rule in from fighting the Song in 1260 when he learned that 1262. After successfully suppressing the revolt, Kublai his brother, Ariq Böke, was challenging his claim to the curbed the influence of the Han Chinese advisers in his * throne. [21] Kublai convened a kurultai in the Chinese * city of Kaiping that elected him Great Khan.* [22] A rival court. [32] He feared that his dependence on Chinese officials left him vulnerable to future revolts and defections kurultai in Mongolia proclaimed Ariq Böke Great Khan, * * beginning a civil war. [23] Kublai Khan depended on the to the Song. [33] cooperation of his Chinese subjects to ensure that his army received ample resources. He bolstered his popularity among his subjects by modeling his government on the bureaucracy of traditional Chinese dynasties and adopting the Chinese era name of Zhongtong.* [24] Ariq Böke was hampered by inadequate supplies and surrendered in 1264.* [25] The three other Mongol khanates recognized Kublai as Great Khan,* [26] but were functionally autonomous.* [27] Civil strife had permanently ended the unity of the Mongol Empire.* [28]


Rule of Kublai Khan

Kublai's government after 1262 was a compromise between preserving Mongol interests in China and satisfying the demands of his Chinese subjects.* [34] He instituted the reforms proposed by his Chinese advisers by centralizing the bureaucracy, expanding the circulation of paper money, and maintaining the traditional monopolies on salt and iron.* [35] He restored the Imperial Secretariat and left the local administrative structure of past Chinese dynasties unchanged.* [36] However, Kublai rejected plans to revive the Confucian imperial examinations and divided Yuan society into three, later four, classes with the Han Chinese occupying the lowest rank. Kublai's Chinese advisers still wielded significant power in the government, but their official rank was nebulous.* [35] Kublai readied the move from the Mongol capital from Karakorum in Mongolia to Khanbaliq in 1264,* [37] by constructing a new city near the former Jurchen capital Zhongdu, now modern Beijing in 1266.* [38] In 1271, Kublai Khan formally claimed the Mandate of Heaven and declared that 1272 was the first year of the Great Yuan (Chinese: 大元) in the style of a traditional Chinese dynasty.* [39] The name of the dynasty originated from the I Ching and describes the “origin of the universe” or a“primal force”.* [40] Kublai proclaimed Khanbaliq the “Great Capital”or Daidu (Dadu, Chinese: 大都 in Chinese) of the dynasty.* [41] The era name was changed to Zhiyuan to herald a new era of Chinese history.* [42] The adoption of a dynastic name legitimized Mongol rule by integrating the government into the narrative of traditional Chinese political succession.* [43] Khublai evoked his public image as a sage emperor by following the rituals of Confucian propriety and ancestor veneration,* [44] while simultaneously retaining his roots as a leader from the steppes.* [43]

Kublai Khan promoted commercial, scientific, and cultural growth. He supported the merchants of the Silk Road trade network by protecting the Mongol postal system, constructing infrastructure, providing loans that Kublai Khan, Genghis Khan's grandson and founder of the Yuan financed trade caravans, and encouraging the circulation of paper banknotes (鈔, Chao). Pax Mongolica, dynasty Mongol peace, enabled the spread of technologies, com* Instability troubled the early years of Kublai Khan's modities, and culture between China and the West. [45] Canal from southern China reign. Ogedei's grandson Kaidu refused to submit to Kublai expanded the Grand * to Daidu in the north. [46] Mongol rule was cosmopoliKublai and threatened the western frontier of Kublai's do-



tan under Kublai Khan.* [47] He welcomed foreign visitors to his court, such as the Venetian merchant Marco Polo, who wrote the most influential European account of Yuan China.* [48] Marco Polo's travels would later inspire many others like Christopher Columbus to chart a passage to the Far East in search of its legendary wealth.* [49]

mother Kökejin and the minister Bayan, succeeded the throne and ruled as Temür Khan, or Emperor Chengzong, from 1294 to 1307. Temür Khan decided to maintain and continue much of the work begun by his grandfather. He also made peace with the western Mongol khanates as well as neighboring countries such as Vietnam, which After strengthening his government in northern China, recognized his nominal suzerainty and paid tributes for Kublai pursued an expansionist policy in line with the a few decades. However, the corruption in the Yuan dynasty began during the reign of Temür Khan. tradition of Mongol and Chinese imperialism. He renewed a massive drive against the Song dynasty to the south.* [50] Kublai besieged Xiangyang between 1268 and 1273,* [51] the last obstacle in his way to capture the rich Yangzi River basin.* [37] An unsuccessful naval expedition was undertaken against Japan in 1274.* [52] Kublai captured the Song capital of Hangzhou in 1276,* [53] the wealthiest city of China.* [54] Song loyalists escaped from the capital and enthroned a young child as Emperor Bing of Song. The Mongols defeated the loyalists at the battle of Yamen in 1279. The last Song emperor drowned, bringing an end to the Song dynasty.* [55] The conquest of the Song reunited northern and southern China for the first time in three hundred years.* [56] Kublai's government faced financial difficulties after 1279. Wars and construction projects had drained the Mongol treasury.* [57] Efforts to raise and collect tax revenues were plagued by corruption and political scandals.* [58] Mishandled military expeditions followed the financial problems.* [57] Kublai's second invasion of Japan in 1281 failed because of an inauspicious typhoon.* [52] Kublai botched his campaigns against Annam, Champa, and Java,* [59] but won a Pyrrhic victory against Burma.* [60] The expeditions were hampered by disease, an inhospitable climate, and a tropical terrain unsuitable for the mounted warfare of the Mongols.* [59]* [52] Annam, Burma, and Champa recognized Mongol hegemony and established tributary relations with the Yuan dynasty.* [61] Internal strife threatened Kublai within his empire. Kublai Khan suppressed rebellions challenging his rule in Tibet and the northeast.* [62] His favorite wife died in 1281 and so did his chosen heir in 1285. Kublai grew despondent and retreated from his duties as emperor. He fell ill in 1293, and died on 18 February 1294.* [63]


Decline after Kublai

Following the conquest of Dali in 1253, the former ruling Duan dynasty were appointed as governors-general, recognized as imperial officials by the Yuan, Ming, and Qing-era governments, principally in the province of Yunnan. Succession for the Yuan dynasty, however, was an intractable problem, later causing much strife and internal struggle. This emerged as early as the end of Kublai's reign. Kublai originally named his eldest son, Zhenjin, as the Crown Prince, but he died before Kublai in 1285. Thus, Zhenjin's third son, with the support of his

Yuan dynasty Junk.

Külüg Khan (Emperor Wuzong) came to the throne after the death of Temür Khan. Unlike his predecessor, he did not continue Kublai's work, largely rejecting his objectives. Most significantly he introduced a policy called “New Deals”, focused on monetary reforms. During his short reign (1307–11), the government fell into financial difficulties, partly due to bad decisions made by Külüg. By the time he died, China was in severe debt and the Yuan court faced popular discontent. The fourth Yuan emperor, Buyantu Khan (Ayurbarwada) was a competent emperor. He was the first among the Yuan emperors who actively supported and adopted the mainstream Chinese culture after the reign of Kublai, to the discontent of some Mongol elite. He had been mentored by Li Meng, a Confucian academic. He made many reforms, including the liquidation of the Department of State Affairs (Chinese: 尚書省), which resulted in the execution of five of the highest-ranking officials. Starting in 1313 the traditional imperial examinations were reintroduced for prospective officials, testing their knowledge on significant historical works. Also, he codified much of the law, as well as publishing or translating a number of Chinese books and works. The final years of the Yuan dynasty were marked by struggle, famine, and bitterness among the populace. In time, Kublai Khan's successors lost all influence on other Mongol lands across Asia, while the Mongols beyond the Middle Kingdom saw them as too Chinese. Gradually, they lost influence in China as well. The reigns of the later

182 Yuan emperors were short and marked by intrigues and rivalries. Uninterested in administration, they were separated from both the army and the populace, and China was torn by dissension and unrest. Outlaws ravaged the country without interference from the weakening Yuan armies.

CHAPTER 16. YUAN DYNASTY When Yesün Temür died in Shangdu in 1328, Tugh Temür was recalled to Khanbaliq by the Qipchaq commander El Temür. He was installed as the emperor (Emperor Wenzong) in Khanbaliq while Yesün Temür's son Ragibagh succeeded to the throne in Shangdu with the support of Yesün Temür's favorite retainer Dawlat Shah. Gaining support from princes and officers in Northern China and some other parts of the dynasty, Khanbaliqbased Tugh Temür eventually won the civil war against Ragibagh in 1329. Afterwards, Tugh Temür abdicated in favour of his brother Kusala who was backed by Chagatai Khan Eljigidey and announced Khanbaliq's intent to welcome him. However, Kusala suddenly died only four days after a banquet with Tugh Temür. He was supposedly killed with poison by El Temür, and Tugh Temür then remounted the throne. Tugh Temür also managed to send delegates to the western Mongol khanates such as Golden Horde and Ilkhanate to be accepted as the suzerain of Mongol world.* [65] However, he was mainly a puppet of the powerful official El Temür during his latter three-year reign. El Temür purged pro-Kusala officials and brought power to warlords, whose despotic rule clearly marked the decline of the dynasty.

The Bailin Temple Pagoda of Zhaoxian County, Hebei Province, built in 1330 during the Yuan dynasty.

Emperor Gegeen Khan, Ayurbarwada's son and successor, ruled for only two years, from 1321 to 1323. He continued his father's policies to reform the government based on the Confucian principles, with the help of his newly appointed grand chancellor Baiju. During his reign, the Da Yuan Tong Zhi (Chinese: 大元通制, “the comprehensive institutions of the Great Yuan”), a huge collection of codes and regulations of the Yuan dynasty begun by his father, was formally promulgated. Gegeen was assassinated in a coup involving five princes from a rival faction, perhaps steppe elite opposed to Confucian reforms. They placed Yesün Temür (or Taidingdi) on the throne, and, after an unsuccessful attempt to calm the princes, he also succumbed to regicide.

A Yuan dynasty jade belt plaque featuring carved designs of a dragon.

Due to the fact that the bureaucracy was dominated by El Temür, Tugh Temür is known for his cultural contribution instead. He adopted many measures honoring Confucianism and promoting Chinese cultural values. His most concrete effort to patronize Chinese learning was founding the Academy of the Pavilion of the Star of Literature (Chinese: 奎章閣學士院), first established in the spring of 1329 and designed to undertake “a number of tasks relating to the transmission of Confucian high culture to the Mongolian imperial establishment”. The academy was responsible for compiling and publishing a number of books, but its most important achievement was its compilation of a vast institutional compendium named Jingshi Dadian (Chinese: 經世大 典). Tugh Temür supported Zhu Xi's Neo-Confucianism and also devoted himself in Buddhism.

Before Yesün Temür's reign, China had been relatively free from popular rebellions after the reign of Kublai. Yuan control, however, began to break down in those regions inhabited by ethnic minorities. The occurrence of these revolts and the subsequent suppression aggravated the financial difficulties of the Yuan government. The government had to adopt some measure to increase revenue, such as selling offices, as well as curtailing its After the death of Tugh Temür in 1332 and subsequent spending on some items.* [64]


183 Inner Mongolia) two years later (1370). Yingchang was seized by the Ming shortly after his death. Some royal family members still lived in Henan today.* [66] The Prince of Liang, Basalawarmi established a separate pocket of resistance to the Ming in Yunnan and Guizhou, but his forces were decisively defeated by the Ming in 1381. By 1387 the remaining Yuan forces in Manchuria under Nahacu had also surrendered to the Ming dynasty.

16.2.4 Northern Yuan Main article: Northern Yuan dynasty The Yuan remnants retreated to Mongolia after the fall

A Yuan dynasty blue-and-white porcelain dish with fish and flowing water design, mid fourteenth century, Freer Gallery of Art.

death of Rinchinbal (Emperor Ningzong) the same year, the 13-year-old Toghun Temür (Emperor Huizong), the last of the nine successors of Kublai Khan, was summoned back from Guangxi and succeeded to the throne. After El Temür's death, Bayan became as powerful an official as El Temür had been in the beginning of his long reign. As Toghun Temür grew, he came to disapprove of Bayan's autocratic rule. In 1340 he allied himself with Bayan's nephew Toqto'a, who was in discord with Bayan, and banished Bayan by coup. With the dismissal of Bayan, Toghtogha seized the power of the court. His first administration clearly exhibited fresh new spirit. He also gave a few early signs of a new and positive direction in central government. One of his successful projects was to finish the long-stalled official histories of the Liao, Jin, and Song dynasties, which were eventually completed in 1345. Yet, Toghtogha resigned his office with the approval of Toghun Temür, marking the end of his first administration, and he was not called back until 1349. From the late 1340s onwards, people in the countryside suffered from frequent natural disasters such as droughts, floods and the resulting famines, and the government's lack of effective policy led to a loss of popular support. In 1351, the Red Turban Rebellion started and grew into a nationwide uprising. In 1354, when Toghtogha led a large army to crush the Red Turban rebels, Toghun Temür suddenly dismissed him for fear of betrayal. This resulted in Toghun Temür's restoration of power on the one hand and a rapid weakening of the central government on the other. He had no choice but to rely on local warlords' military power, and gradually lost his interest in politics and ceased to intervene in political struggles. He fled north to Xanadu from Khanbaliq (present-day Beijing) in 1368 after the approach of the forces of the Míng dynasty (1368–1644), founded by Zhu Yuanzhang in the south. He had tried to regain Khanbaliq, which eventually failed; he died in Yingchang (located in present-day

Hand cannon from the Yuan dynasty

of Yingchang to the Ming in 1370, where the name Great Yuan (大元) was formally carried on, and is known as the Northern Yuan (北元). According to Chinese political orthodoxy, there could be only one legitimate dynasty whose rulers were blessed by Heaven to rule as Emperor of China (see Mandate of Heaven), and so the Ming and the Northern Yuan denied each other's legitimacy as emperors of China, although the Ming did consider the previous Yuan which it had succeeded to be a legitimate dynasty. Historians generally regard Míng dynasty rulers as the legitimate emperors of China after the Yuan dynasty, though Northern Yuan rulers also claimed to rule over China, and continued to resist the Ming under the name “Yuan”or “Northern Yuan”.* [67] The Ming army pursued the Northern Yuan forces into Mongolia in 1372, but were defeated by the latter under Ayushridar and his general Köke Temür. They tried again in 1380, ultimately winning a decisive victory over Northern Yuan in 1388. About 70,000 Mongols were taken prisoner, and Karakorum (the Northern Yuan capital) was sacked.* [68] Eight years later, the Northern Yuan throne was taken over by Yesüder, a descendant of Ariq Böke, instead of the descendants of Kublai Khan. The following centuries saw a succession of Genghisid rulers, many of whom were mere figureheads put on the throne by those warlords who happened to be the most powerful. Periods of conflict with the Ming dynasty inter-

184 mingled with periods of peaceful relations with border trade. In 1402, Örüg Temür Khan (Guilichi) abolished the name Great Yuan; he was however defeated by Öljei Temür Khan (Bunyashiri), protege of Tamerlane (Timur Barulas) in 1403. A few decades later the new khan Batumongke (1464–1517/43) took the title Dayan meaning“Da Yuan”or“Great Yuan”.* [69] and reunited the Mongols. His successors continued to rule until the submission to the Qing dynasty, ending the Northern Yuan in 1635.

16.3 Impact

Archbishop John of Cilician Armenia, in a painting from 1287. His dress displays a Chinese dragon, an indication of the thriving exchanges with the Mongols during the period.

CHAPTER 16. YUAN DYNASTY the communications between Yuan dynasty and its ally and subordinate in Persia, the Ilkhanate, encouraged this development.* [70]* [71] Buddhism had a great influence in the Yuan government, and the Tibetan-rite Tantric Buddhism had significantly influenced China during this period. The Muslims of the Yuan dynasty introduced Middle Eastern cartography, astronomy, medicine, clothing, and diet in East Asia. Eastern crops such as carrots, turnips, new varieties of lemons, eggplants, and melons, high-quality granulated sugar, and cotton were all either introduced or successfully popularized during the Yuan dynasty.* [72] Western musical instruments were introduced to enrich Chinese performing arts. From this period dates the conversion to Islam, by Muslims of Central Asia, of growing numbers of Chinese in the northwest and southwest. Nestorianism and Roman Catholicism also enjoyed a period of toleration. Buddhism (especially Tibetan Buddhism) flourished, although Taoism endured certain persecutions in favor of Buddhism from the Yuan government. Confucian governmental practices and examinations based on the Classics, which had fallen into disuse in north China during the period of disunity, were reinstated by the Yuan court, probably in the hope of maintaining order over Han society. Advances were realized in the fields of travel literature, cartography, geography, and scientific education.

A plate made of lacquer, wood, and paper from the Yuan dynasty. The Chinese were able to perfect a method of making lacquer. Decorating this plate are parrots and peonies. The parrot was a symbol of fidelity; and because of its ability to mimic human speech, it was believed to be a suitable companion to a woman whose husband was away from home. The bird would be able to inform each person of the other's activities. The peony was a symbol of female virtue. When shown in full bloom, it is a token of love, affection, and feminine beauty.* [73]Birmingham Museum of Art.

A rich cultural diversity developed during the Yuan dynasty. The major cultural achievements were the development of drama and the novel and the increased use of the written vernacular. The political unity of China and much of central Asia promoted trade between East and West. The Mongols' extensive West Asian and European contacts produced a fair amount of cultural exchange. The other cultures and peoples in the Mongol World Empire also very much influenced China. It had significantly Certain Chinese innovations and products, such as pueased trade and commerce across Asia until its decline; rified saltpetre, printing techniques, porcelain, playing

16.4. GOVERNMENT cards and medical literature, were exported to Europe and Western Asia, while the production of thin glass and cloisonné became popular in China. The Yuan exercised a profound influence on the Chinese Ming dynasty. The Ming Emperor Zhu Yuanzhang (1368–97) admired the Mongols' unification of China and adopted its garrison system.* [72] The first recorded travels by Europeans to China and back date from this time. The most famous traveler of the period was the Venetian Marco Polo, whose account of his trip to“Cambaluc,”the capital of the Great Khan, and of life there astounded the people of Europe. The account of his travels, Il milione (or, The Million, known in English as the Travels of Marco Polo), appeared about the year 1299. Some argue the accuracy of Marco Polo's accounts due to the lack of mentioning the Great Wall of China, tea houses, which would have been a prominent sight since Europeans had yet to adopt a tea culture, as well the practice of foot binding by the women in capital of the Great Khan. Some suggest that Marco Polo acquired much of his knowledge through contact with Persian traders since many of the places he named were in Persian.* [74]

185 the legitimate dynasty between the Song dynasty and the Ming dynasty. Note, however, Yuan dynasty is traditionally often extended to cover the Mongol Empire before Kublai Khan's formal establishment of the Yuan in 1271, partly because Kublai had his grandfather Genghis Khan placed on the official record as the founder of the dynasty or Taizu (Chinese: 太祖). Despite the traditional historiography as well as the official views (including the government of the Ming dynasty which overthrew the Yuan dynasty), there also exist Chinese people who did not consider the Yuan dynasty as a legitimate dynasty of China, but a period of foreign domination. The latter believe that Han Chinese were treated as second-class citizens, and China stagnated economically and scientifically.

16.4 Government

The Yuan undertook extensive public works, and of Kublai Khan's top engineers and scientists, was the astronomer Guo Shoujing who was tasked with many public Yuan coinage works projects and helped the Yuan reform the lunisolar calendar to provide an accuracy of 365.2425 days out of the year,* [75] which was only 26 seconds off the modern Gregorian calendar's measurement. Road and water communications were reorganized and improved. To provide against possible famines, granaries were ordered built throughout the empire. The city of Beijing was rebuilt with new palace grounds that included artificial lakes, hills and mountains, and parks. During the Yuan period, Beijing became the terminus of the Grand Canal of China, which was completely renovated. These commercially oriented improvements encouraged overland and maritime commerce throughout Asia and facilitated direct Chinese contacts with Europe. Chinese travelers to the West were able to provide assistance in such areas as hydraulic engineering. Contacts with the West also brought the introduction to China of a major food crop, sorghum, along with other foreign food products and methods of preparation. The Yuan dynasty (1271–1368) was the first time that non-native Chinese people ruled all of China. In the historiography of Mongolia, it is generally considered to be the continuation of the Mongol Empire.* [76] Mongols are widely known to worship the Eternal Heaven, and according to the traditional Mongolian ideology Yuan is considered to be “the beginning of an infinite number of beings, the foundation of peace and happiness, state power, the dream of many peoples, besides it there is nothing great or precious”which conquered the whole China.* [77] In traditional historiography of China on the other hand, the Yuan dynasty is usually considered to be

Map of the North west territory.

The structure of the Yuan government took shape during the reign of Kublai Khan (1260–1294). While some changes took place such as the functions of certain institutions, the essential components of the government bureaucracy remained intact from the beginning to the end of the dynasty in 1368. The system of bureaucracy created by Kublai Khan reflected various cultures in the empire, including that of the Han Chinese, Khitans, Jurchens, Mongols and

186 Tibetan Buddhists. While the official terminology of the institutions may indicate the government structure was almost purely that of native Chinese dynasties, the Yuan bureaucracy actually consisted of a mix of elements from different cultures. The Chinese-style elements of the bureaucracy mainly came from the native Tang, Song, as well as Khitan Liao and Jurchen Jin dynasties. Chinese advisers such as Liu Bingzhong and Yao Shu gave strong influence to Kublai's early court, and the central government administration was established within the first decade of Kublai's reign. This government adopted the traditional Chinese tripartite division of authority among civil, military, and censorial offices, including the Central Secretariat (Chinese: 中書省) to manage civil affairs, the Privy Council (Chinese: 樞密院) to manage military affairs, and the Censorate (Chinese: 御史臺) to conduct internal surveillance and inspection. The actual functions of both central and local government institutions however showed a major overlap between the civil and military jurisdictions, due to the Mongol traditional reliance on military institutions and offices as the core of governance. Nevertheless, such a civilian bureaucracy, with the Central Secretariat as the top institution that was (directly or indirectly) responsible for most other governmental agencies (such as the traditional Chinese-style Six Ministries), was created in China. At various times another central government institution called the Department of State Affairs (Chinese: 尚書省) mainly dealt with finance was established (such as during the reign of Külüg Khan or Emperor Wuzong), but usually became abandoned shortly afterwards. While the existence of these central government departments and the Six Ministries (which had been introduced since the Sui and Tang dynasties) gave a Sinicized image in the Yuan administration, the actual functions of these ministries also reflected how Mongolian priorities and policies reshape and redirect those institutions. For example, the authority of the Yuan legal system, the Ministry of Justice did not extend to legal cases involving Mongols and Semuren, where there were separate courts of justice for them. Cases involving members of more than one ethnic group were decided by a mixed board consisting of Chinese and Mongols. Another example was the insignificance of the Ministry of War compared with native Chinese dynasties, as the real military authority in Yuan times resided in the Privy Council.

16.5 Society See also: Society of the Mongol Empire


Painting of Kublai Khan on a hunting expedition, by Chinese court artist Liu Guandao, c. 1280.

16.5.1 Imperial lifestyle Since its invention in 1269, the 'Phags-pa script, a unified script for spelling Mongolian' Tibetan, and Chinese languages, was preserved in the court until the end of the dynasty. Most of the Emperors could not master written Chinese, but they could generally converse well in the language. The Mongol custom of long standing quda/marriage alliance with Mongol clans, the Onggirat and the Ikeres, kept the imperial blood purely Mongol until the reign of Tugh Temur whose mother was a Tangut concubine. The Mongol Emperors had built large palaces and pavilions, but some still continued to live as nomads at times. Nevertheless, a few other Yuan emperors actively sponsored cultural activities; an example is Tugh Temur (Emperor Wenzong), who wrote poetry, painted, read Chinese classical texts, and ordered compilation of books.* [78] Kublai and his successors kept a Tibetan lama of the Sakya order at court. Mongol patronage of Buddhism resulted in a number of monuments of Buddhist art. Mongolian Buddhist translations, almost all from Tibetan originals, began on a large scale after 1300. Many Mongols of the upper class such as the Jalayir and the Oronar nobles delighted in patronizing Confucian scholars and institutions. A considerable number of Confucian and Chinese historical works were translated into Mongolian language. The average Mongol garrison family of the Yuan dynasty seems to have lived a life of decaying rural leisure, with income from the harvests of their Chinese tenants eaten up by costs of equipping and dispatching men for their tours of duty. The Mongols practiced debt slavery and by 1290 in all parts of the Mongol Empire Mongol commoners were selling their children into slavery. Seeing this as damaging the Mongol nation, Kublai forbade the



sale abroad of the Mongols in 1291, and likewise Ilkhan One of the important cultural developments during the Ghazan (1295–1304) in Persia budgeted funds to redeem Yuan era was the consolidation of poetry, painting, and Mongol slaves. calligraphy into a unified piece of the type which tends to come to mind when people think of classical Chinese art. Another important aspect of Yuan times is the increas16.5.2 Culture ing incorporation of the then current, vernacular Chinese into both the qu form of poetry and the zaju variety show. See also: List of historical cities and towns of Mongolia Another important consideration regarding Yuan dynasty In the China of the Yuan, or Mongol era, various im- arts and culture is that so much of it has survived in China, relatively to works from the Tang dynasty and Song dynasty, which have often been better preserved in places such as the Shōsōin, in Japan.

16.5.3 Mathematics

Wine Jar with Fish and Aquatic Plants, 14th century. Porcelain with underglaze cobalt blue decoration. Brooklyn Museum

portant developments in the arts occurred or continued in their development. These developments included the areas of painting, mathematics, calligraphy, poetry, and theater, with many great artists and writers being famous today. Due to the coming together of painting, poetry, and calligraphy at this time many of the artists practicing these different pursuits were the same individuals, though perhaps more famed for one area of their achievements than others. Often in terms of the further development of landscape painting as well as the classical joining together of the arts of painting, poetry, and calligraphy, the Song dynasty and the Yuan dynasty are linked together. In the area of Chinese painting during the Yuan dynasty there were many famous painters. In the area of calligraphy many of the great calligraphers were from the Yuan dynasty era. In Yuan poetry, the main development was the qu, which was used among other poetic forms by most of the famous Yuan poets. Many of the poets were also involved in the major developments in the theater during this time, and the other way around, with people important in the theater becoming famous through the development of the sanqu type of qu. One of the key factors in the mix of the zaju variety show was the incorporation of poetry both classical and of the newer qu form.

A diagram of Pascal's triangle in Zhu Shijie's Jade Mirror of the Four Unknowns, written in 1303

Advances in polynomial algebra were made by mathematicians during the Yuan era. The mathematician Zhu Shijie (1249–1314) solved simultaneous equations with up to four unknowns using a rectangular array of coefficients, equivalent to modern matrices.* [79]* [80] Zhu used a method of elimination to reduce the simultaneous equations to a single equation with only one unknown.* [81] His method is described in the Jade Mirror of the Four Unknowns, written in 1303. The opening pages contain a diagram of Pascal's triangle. The summation of a finite arithmetic series is also covered in the



book.* [82]

Kublai.* [92] Huihui doctors staffed at two imperial hospitals were responsible for treating the imperial family and members of the court.* [87] Chinese physicians opposed Western medicine because its humoral system contradicted the yin-yang and wuxing philosophy underlying traditional Chinese medicine.* [93] No Chinese translation of Western medical works is known, but it is possible that the Chinese had access to Avicenna's The Canon of Medicine.* [94]

Guo Shoujing applied mathematics to the construction of calendars. He was one of the first mathematicians in China to work on spherical trigonometry.* [83] Gou derived a cubic interpolation formula for his astronomical calculations.* [84] His calendar, the Shoushi Li (授時 ) or Calendar for Fixing the Seasons, was disseminated in 1281 as the official calendar of the Yuan dynasty.* [85] The calendar may have been influenced solely by the work of Song dynasty astronomer Shen Kuo or possibly by the work of Arab astronomers.* [83] There are no explicit 16.5.5 signs of Muslim influences in the Shoushi calendar, but Mongol rulers were known to be interested in Muslim calendars.* [85] Mathematical knowledge from the Middle East was introduced to China under the Mongols, and Muslim astronomers brought Arabic numerals to China in the 13th century.* [83]


Printing and publishing


The physicians of the Yuan court came from diverse cultures.* [86] Healers were divided into non-Mongol physicians called otachi and traditional Mongol shamans. The Mongols characterized otachi doctors by their use of herbal remedies, which was distinguished from the spiritual cures of Mongol shamanism.* [86] Physicians received official support from the Yuan government and Yuan dynasty banknote with its printing plate, 1287. were given special legal privileges. Kublai created the Imperial Academy of Medicine to manage medical treatises and the education of new doctors.* [87] Confucian scholars were attracted to the medical profession because it ensured a high income and medical ethics were compatible with Confucian virtues.* [88]* [87] The Chinese medical tradition of the Yuan had “Four Great Schools”that the Yuan inherited from the Jin dynasty. All four schools were based on the same intellectual foundation, but advocated different theoretical approaches toward medicine.* [88] Under the Mongols, the practice of Chinese medicine spread to other parts of the empire. Chinese physicians were brought along military campaigns by the Mongols as they expanded towards the west. Chinese medical techniques such as acupuncture, moxibustion, pulse diagnosis, and various herbal drugs and elixirs were transmitted westward to the Middle East and the rest of the empire.* [89] Several medical advances were made in the Yuan period. The physician Wei Yilin (1277–1347) invented a suspension method for reducing dislocated joints, which he performed using anesthetics.* [90] The Mongol physician Hu Sihui described the importance of a healthy diet in a 1330 medical treatise.* [90] Western medicine was also practiced in China by the Nestorian Christians of the Yuan court, where it was sometimes labeled as huihui or Muslim medicine.* [91] The Nestorian physician Jesus the Interpreter founded the Office of Western Medicine in 1263 during the reign of

A revolving typecase with individual movable type characters from Wang Zhen's Nong Shu, published in 1313

The Mongol rulers patronized the Yuan printing industry.* [95]* [96] Chinese printing technology was transferred to the Mongols through Uighur and Tibetan intermediaries.* [95] Some Yuan documents such as Wang Zhen's Nong Shu were printed with earthenware movable type, a technology invented in the 12th century. However, most published works were still produced through



traditional block printing techniques.* [97] The publication of a Taoist text inscribed with the name of Töregene Khatun, Ögedei's wife, is one of the first printed works sponsored by the Mongols. In 1273, the Mongols created the Imperial Library Directorate, a governmentsponsored printing office.* [95] The Yuan government established centers for printing throughout China.* [95] Local schools and government agencies were funded to support the publishing of books.* [98] Private printing businesses also flourished under the Yuan. They published a diverse range of works, and printed educational, literary, medical, religious, and historical texts. The volume of printed materials was vast.* [99] In 1312, 1,000 copies of a Buddhist text commented by Cosgi Odsir were printed just within Beijing.* [100] By 1328, annual sales of printed calendars and almanacs reached over three million in the Yuan dynasty.* [101] One of the more notable applications of printing technology was the chao, the paper money of the Yuan. Chao were made from the bark of mulberry trees.* [100] The Yuan government used woodblocks to print paper money, but switched to bronze plates in 1275.* [102] The Mongols experimented with establishing the Chinese-style Jinan Great Southern Mosque was completed during the reign of paper monetary system in Mongol-controlled territories Temür Khan, Emperor Chengzong of Yuan. outside of China. The Yuan minister Bolad was sent to Iran, where he explained Yuan paper money to the Ilkhanate court of Gaykhatu.* [103] The Il-khanate government issued paper money in 1294, but public distrust of the exotic new currency doomed the experiment.* [104] Foreign observers took note of Yuan printing technology. Marco Polo documented the Yuan printing of paper money and almanac pamphlets called tacuini.* [100] The vizier Rashid-al-Din recognized that printing was a valuable technological breakthrough, and expressed regret that the Mongol experiment with printing paper money had failed in the Muslim world. Rashid-al-Din's view was not shared by other chroniclers in the Middle East, who were critical of the experiment's disruptive impact on the Il-khanate.* [101]


Social classes

Main article: Islam during the Yuan dynasty Politically, the system of government created by Kublai Khan was the product of a compromise between Mongolian patrimonial feudalism and the traditional Chinese autocratic-bureaucratic system. Nevertheless, socially the educated Chinese elite were in general not given the degree of esteem that they had been accorded previously under native Chinese dynasties. Although the traditional Chinese elite were not given their share of power, the Mongols and the Semuren (various allied groups from Central Asia and the western end of the empire) largely remained strangers to the mainstream Chinese culture, and this dichotomy gave the Yuan regime a somewhat

Brown-glazed Jar with Design of Three Fish. Yuan Dynasty. Excavated from Hancheng City

strong "colonial" coloration.* [105] The unequal treatment is possibly due to the fear of transferring power to the ethnic Chinese under their rule. The Mongols and Semuren were given certain advantages in the dynasty, and this would last even after the restoration of the imperial examination in the early 14th century. In general there were very few North Chinese or Southerners reaching the highest-post in the government compared with the possi-

190 bility that Persians did so in the Ilkhanate.* [106] Later the Yongle Emperor of the Ming dynasty had also mentioned about the discrimination existed during the Yuan dynasty. In response to an objection against the use of “barbarians”in his government, the Yongle Emperor answered: "... Discrimination was used by the Mongols during the Yuan dynasty, who employed only “Mongols and Tartars”and discarded northern and southern Chinese and this was precisely the cause that brought disaster upon them”.* [107] The Mongols had employed foreigners long before the reign of Kublai Khan, the founder of the Yuan dynasty. But during Kublai's reign a hierarchy of reliability was introduced in China. The population was divided into the following classes: • Mongols • Semu, consisting of non-Mongol foreigners from the west and of Central Asia like Buddhist Uyghurs from Turfan, Jews, Nestorian Christians, and Muslims from Central Asia • "Han", or all subjects of the former Jin dynasty, including Han Chinese, Khitans, Jurchens in northern China, and other peoples like Koreans, and people in Sichuan and Yunnan (from the Kingdom of Dali).

CHAPTER 16. YUAN DYNASTY the Han Chinese for assisting them.* [110] The Muslims in the semu class also revolted against the Yuan dynasty in the Ispah Rebellion but the rebellion was crushed and the Muslims were massacred by the Yuan loyalist commander Chen Youding. The historian Frederick W. Mote wrote that the usage of the term “social classes”for this system was misleading and that the position of people within the 4 class system was not an indication of their actual social power and wealth, but just entailed“degrees of privilege”to which they were entitled institutionally and legally so a person's standing within the classes was not a guarantee of their standing, since there were rich and well socially standing Chinese while there were less rich Mongol and Semu than there were Mongol and Semu who lived in poverty and were ill treated.* [111] The reason for the order of the classes and the reason why people were placed in a certain class was the date they surrendered to the Mongols, and had nothing to do with their ethnicity. The earlier they surrendered to the Mongols, the higher they were placed, the more the held out, the lower they were ranked. The Northern Chinese were ranked higher and Southern Chinese were ranked lower because southern China withstood and fought to the last before caving in.* [112] * [113] Major commerce during this era gave rise to favorable conditions for private southern Chinese manufacturers and merchants.* [114]

• Southerners, or all subjects of the former Southern Song dynasty, including Han Chinese and minority When the Mongols placed the Uighurs of the Kingdom of Qocho over the Koreans at the court the Korean King obnative ethnic groups in southern China jected, then the Mongol Emperor Kublai Khan rebuked the Korean King, saying that the Uighur King of Qocho Partner merchants and non-Mongol overseers were usuwas ranked higher than the Karluk Kara-Khanid ruler, ally either immigrants or local ethnic groups. Thus, in who in turn was ranked higher than the Korean King, China they were Uighurs, Turkestani and Persian Muswho was ranked last, because the Uighurs surrendered lims, and Christians. Foreigners from outside the Mongol to the Mongols first, the Karluks surrendered after the Empire entirely, such as the Polo family, were everywhere Uighurs, and the Koreans surrendered last, and that the welcomed. Uighurs surrendered peacefully without violently resistAt the same time the Mongols imported Central Asian ing.* [115]* [116] Muslims to serve as administrators in China, the Mongols Japanese historians like Uematsu, Sugiyama and Morita also sent Han Chinese and Khitans from China to serve criticized the perception that a four class system existed as administrators over the Muslim population in Bukhara under Mongol rule and Funada Yoshiyuki questioned the in Central Asia, using foreigners to curtail the power of very existence of the Semu as a class.* [117] * the local peoples of both lands. [108] Despite the high position given to Muslims, some policies of the Yuan Emperors severe discriminated against them, restricting Halal slaughter and other Islamic practices like circumcision, as well as Kosher butchering for Jews, forcing them to eat food the Mongol way.* [109] Toward the end, corruption and the persecution became so severe that Muslim Generals joined Han Chinese in rebelling against the Mongols. The Ming founder Zhu Yuanzhang had Muslim Generals like Lan Yu who rebelled against the Mongols and defeated them in combat. Some Muslim communities had a Chinese surname which meant“barracks”and could also mean“thanks”. Many Hui Muslims claim this is because that they played an important role in overthrowing the Mongols and it was given in thanks by

16.6 Administrative divisions The territory of the Yuan dynasty was divided into the Central Region (腹裏) and places under control of various Xing Zhongshusheng (行中書省 or 行省) or the Xuanzheng Yuan (宣政院). The Central Region, consisting of present-day Hebei, Shandong, Shanxi, the south-eastern part of present-day Inner Mongolia and the Henan areas to the north of the Yellow River, was considered the most important region of the dynasty and directly governed by Zhongshusheng (中書省, “Secretariat”) at Khanbaliq; similarly, an-

16.7. SEE ALSO

191 7. Lingbei Xingsheng (嶺北行省) with Karakorum as its seat of government. Under this province came the present-day Mongolia, northern Inner Mongolia and parts of Siberia. 8. Shaanxi Xingsheng (陝 西 行 省) with Xi'an as its seat of government. Under this came the majority of present-day Shaanxi Province, the south-western part of Inner Mongolia, south-eastern Gansu, northwestern Sichuan, and a small part of Qinghai. 9. Sichuan Xingsheng (四 川 行 省) with Chengdu at its seat of government. Under this came most of present-day Sichuan Province and parts of southwestern Shaanxi.

Administrative divisions of the Yuan dynasty.

other top-level administrative department called the Xuanzheng Yuan governed the whole of modern-day Tibet and a part of Kashmir.

10. Yunnan Xingsheng (雲南行省) with Kunming as its seat of government. Under this came presentday Yunnan Province, parts of western Guizhou and north-eastern part of Burma.

Xing Zhongshusheng (行中書省, “branch Secretariat” 11. Zhengdong Xingsheng (征東行省) with Kaesong of present-day Korea as its seat. It was a special instior “en-route Secretariat”), or simply Xingsheng (行 tution set up when Kublai Khan attempted to invade 省), were provincial-level administrative organizations or Japan in 1281, with the king of Goryeo as its head. institutions, sometimes roughly translated as "province", The setting of this Xingsheng was considerably difthough they were not exactly provinces in modern sense. ferent from all other Xingsheng, and unlike other There were 11 Xingsheng in Yuan dynasty.* [118] Xingsheng, Zhengdong (征東), literally “Conquer East”or “Eastern Expedition”, was not a geo1. Gansu Xingsheng (甘肅行省) with Zhangye Disgraphic name, and this institution was also referred trict as its seat of government. Under this came to as “Japanese Expedition Xingsheng”(征日本 most of present-day Ningxia Hui Autonomous Re行省) or just “Japan Xingsheng”(日本行省). It gion (originally the Tangut territory), south-eastern was abolished when the invasion of Japan had failed, Gansu Province, and part of north-eastern Amdo. though set up again later. 2. Henan Jiangbei Xingsheng (河南江北行省) with Kaifeng District as its seat of government. Under Below the level of Xingsheng, the largest political divithis came the Henan areas to the south of the Yellow sion was the circuit (道), followed by prefectures (府) River, north-east Hubei, Jiangsu, the north-eastern operating under a prefect and subprefectures (州) under part of Jiangxi Province. a subprefect. The lowest political division was the county (縣) overseen by a magistrate. This government structure 3. Huguang Xingsheng (湖廣行省) with Wuhan of the at the provincial level was later copied by the Ming and present-day Hubei Province as its seat of governQing dynasties. ment. Under this came a part of south-east Hubei, Hunan, Guangxi, most of Guizhou, and parts of south-western Guangdong Province.

16.7 See also

4. Jiangxi Xingsheng (江西行省) with Nanchang as its seat of government. Under this came part of present-day Jiangxi and Guangdong Province. 5. Jiangzhe Xingsheng (江浙行省) with Hangzhou as its seat of government. Under this came Jiangsu and Anhui areas to the south of the Yangtze River, Zhejiang, Fujian, and a small area in the north-east of Jiangxi Province. 6. Liaoyang Xingsheng (遼陽行省) with present-day Liaoyang District in Liaoning Province as its seat of government. Under this came north-east China, the northern part of Korea and the southern part of the Russian Far East.

• List of emperors of the Yuan dynasty • List of Mongolian monarchs • List of medieval Mongolian tribes and clans • Mongol Empire • Yuan dynasty family tree • Jun ware • Jurchen Jin dynasty • Song dynasty



• Ming dynasty

[23] Rossabi 1988, p. 53.

• Western Xia

[24] Rossabi 1994, p. 423–424.

• History of Mongolia

[25] Morgan 2007, p. 104.

• List of Mongol Khans

[26] Rossabi 1988, p. 62.

• Mongol invasions

[27] Allsen 1994, p. 413.

• Europeans in Medieval China • Islam during the Yuan dynasty • Hua-Yi distinction

16.8 References 16.8.1


[1] Also the Yekhe Yuan Ulus. According to some sources such as Volker Rybatzki & Igor de Rachewiltz's The Early Mongols: Language, Culture and History (p. 116), the full Mongolian name was Dai Ön Yeke Mongghul Ulus. [2] Mote 1994, p. 624. [3] Christopher P.Atwood – Encyclopedia of Mongolia and the Mongol Empire [4] Herbert Franke-Could the Mongol emperors read and write Chinese?

[28] Allsen 2001, p. 24. [29] Rossabi 1988, p. 77. [30] Morgan 2007, p. 105. [31] Rossabi 1994, pp. 436–437. [32] Rossabi 1994, p. 426. [33] Rossabi 1988, p. 66. [34] Rossabi 1994, p. 427. [35] Rossabi 1988, pp. 70–71. [36] Rossabi 2012, p. 70. [37] Ebrey 201, p. 172. [38] Rossabi 1988, p. 132. [39] Mote 1994, p. 616. [40] Rossabi 1988, p. 136. [41] Mote 1999, p. 460. [42] Mote 1999, p. 458.

[5] Micheal Prwadin – The Mongol Empire and its legacy [43] Mote 1999, p. 616. [6] J.J.Saunders – The history of Mongol conquests [7] Rene Grousset – The Empire of Steppes [8] Zhao 2006, p. 7. [9] Zhao 2006, p. 6. [10] Zhao 2006, p. 24. [11] Chan 陳 1991, p. 255. [12] Ebrey 2010, p. 169. [13] Ebrey 2010, pp. 169–170.

[44] Rossabi 1994, p. 458. [45] Rossabi 2012, p. 72. [46] Rossabi 2012, p. 74. [47] Rossabi 2012, p. 62. [48] Rossabi 1994, p. 463. [49] Allsen 2001, p. 61. [50] Rossabi 1994, p. 429. [51] Rossabi 2012, p. 77.

[14] Rossabi 1994, p. 415.

[52] Morgan 2007, p. 107.

[15] Allsen 1994, p. 392.

[53] Morgan 2007, p. 106.

[16] Allsen 1994, p. 394.

[54] Rossabi 1994, p. 430.

[17] Rossabi 1994, p. 418.

[55] Rossabi 2012, pp. 77–78.

[18] Rossabi 2012, p. 65.

[56] Morgan 2007, p. 113.

[19] Allsen 1994, p. 410.

[57] Rossabi 1994, p. 473.

[20] Allsen 1994, p. 411.

[58] Rossabi 2012, p. 111.

[21] Rossabi 1994, p. 422.

[59] Rossabi 2012, p. 113.

[22] Rossabi 1988, p. 51.

[60] Rossabi 1988, p. 218.



[61] Rossabi 1988, pp. 218–219.

[91] Allsen 2001, p. 151.

[62] Rossabi 1988, pp. 487–488.

[92] Allsen 2001, p. 155.

[63] Rossabi 1994, p. 488.

[93] Allsen 2002, p. 157.

[64] Hsiao 1994, p. 551. [65] Hsiao 1994, p. 550. [66] 成吉思汗直系后裔现身河南巨幅家谱为证 (组图)_ 新民网 [67] The Northern Yuan rulers had also buttressed their claim on China at least up to the 15th century, who held tenaciously to the title of Emperor (or Great Khan) of the Great Yuan (Dai Yuwan Khaan, or 大元可汗). For more information regarding the use of the name Yuan among Mongols and the memory of it in later ages, see .

[94] Allsen 2002, p. 151. [95] Allsen 2001, p. 182. [96] Wu 1950, p. 460. [97] Allsen 2001, pp. 176–177. [98] Wu 1950, p. 463. [99] Allsen 2001, p. 181.

[100] Allsen 2001, p. 183. [68] Michael Prawdin, The Mongol Empire, its Rise and Legacy p.389. Collier-MacMillan Ltd. Toronto [101] Allsen 2001, p. 184. [69] Memory of the Dai Yuan ulus (the Great Yuan dynasty) [70] Guzman 1988, pp. 568-570.

[102] Allsen 2001, p. 179. [103] Allsen 2001, p. 177.

[71] Allsen 2001, p. 211.

[104] Allsen 2001, p. 178. [72] C.P. Atwood - Encyclopedia of Mongolia and the Mongol [105] Hsiao 1994, pp. 491-492. Empire, p.611 [73] Birmingham Museum of Art (2010). Birmingham Mu- [106] Morgan 1982, p. 135. seum of Art: A Guide to the Collection. London: Giles. p. 28. ISBN 978-1-904832-77-5. Retrieved 2011-07-01. [107] Morgan 1982, pp. 124-136. [74] Frances, Wood. “Did Marco Polo Go to China (London: [108] BUELL, PAUL D. (1979). “SINO-KHITAN ADMINSecker & Warburg, 1995) ISTRATION IN MONGOL BUKHARA”. Journal of Asian History. Vol. 13 (No. 2). Harrassowitz Verlag. pp. [75] 137–8. JSTOR 41930343. 0018Guo_Shoujing6603w.html [76] The Mongol Empire By Michael Prawdin, Gerard [109] Donald Daniel Leslie (1998). “The Integration of Religious Minorities in China: The Case of Chinese Muslims” Chaliand, ISBN 978-1-4128-0519-3 . The Fifty-ninth George Ernest Morrison Lecture in Eth[77] Ganbold et al., op. cit., 2006, p.20–21. nology. p. 12. Retrieved 30 November 2010.. [78] Mote 1999, p. 471.

[80] Dauben 2007, p. 344.

[110] Dru C. Gladney (1991). Muslim Chinese: ethnic nationalism in the People's Republic (2, illustrated, reprint ed.). Council on East Asian Studies, Harvard University. p. 234. ISBN 0-674-59495-9. Retrieved 2010-06-28.

[81] Dauben 2007, p. 346.

[111] Mote 2003, p. 492.

[82] Ho 1985, p. 101.

[112] ed. Zhao 2007, p. 265.

[79] Joseph 2011, p. 196.

[83] Ho 1985, p. 105. [84] Joseph 2011, p. 247.

[113] Bakhit 2000, p. 426. [114] Ford 1991, p. 29.

[85] Allsen 2001, p. 172. [115] ed. Rossabi 1983, p. 247. [86] Allsen 2001, p. 142. [87] Rossabi 1988, p. 125. [88] Allsen 2001, p. 157. [89] Lane 2005, pp. 138–139. [90] Lane 2006, p. 140.

[116] Haw 2014, p. 4. [117] Funada 2010, pp. 1-21. [118] Duosang Mongol History, Vol. 1; Zhong-gou Tong-shi; History of Zhong-gou Border Nationalities; The New Yuan-shih





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• Guzman, Gregory G. (1988). “Were the Barbarians a Negative or Positive Factor in Ancient and Medieval History?". The Historian (Blackwell Publishing) 50 (4): 558–571. doi:10.1111/j.15406563.1988.tb00759.x.

• Mote, Frederick W. (1994). “Chinese society under Mongol rule, 1215-1368”. In Denis C. Twitchett; Herbert Franke; John King Fairbank. The Cambridge History of China: Volume 6, Alien Regimes and Border States, 710–1368. Cambridge University Press. pp. 616–664. ISBN 978-0-521-243315.

• Ho, Peng Yoke (1985). Li, Qi and Shu: An Introduction to Science and Civilization in China. Hong Kong University Press. ISBN 978-0-486-41445-4.

• Saunders, John Joseph (2001) [1971]. The History of the Mongol Conquests. University of Pennsylvania Press. ISBN 978-0-812-21766-7.

16.9. FURTHER READING • Wu, K. T. (1950). “Chinese Printing under Four Alien Dynasties: (916-1368 A. D.)". Harvard Journal of Asiatic Studies 13 (3/4): 447–523. doi:10.2307/2718064. ISSN 0073-0548. • Zhao, Gang (January 2006). “Reinventing China: Imperial Qing Ideology and the Rise of Modern Chinese National Identity in the Early Twentieth Century” 32 (Number 1). Sage Publications. doi:10.1177/0097700405282349. JSTOR 20062627. Archived from the original on 25 March 2014. Retrieved 23 May 2014.

16.9 Further reading • Owen, Stephen,“The Yuan and Ming Dynasties,”in Stephen Owen, ed. An Anthology of Chinese Literature: Beginnings to 1911. New York: W. W. Norton, 1997. p. 723-743 (Archive). Coordinates: 39°54′N 116°23′E / 39.900°N 116.383°E


Chapter 17

Ming dynasty See also Ming (disambiguation) or Ming Dynasty isade and connected and fortified the Great Wall of China into its modern form. Wide-ranging censuses of the en(disambiguation) for other uses. tire empire were conducted decennially, but the desire The Ming dynasty, also Empire of the Great Ming, to avoid labor and taxes and the difficulty of storing and reviewing the enormous archives at Nanjing hampered was the ruling dynasty of China for 276 years (1368– * 1644) following the collapse of the Mongol-led Yuan dy- accurate figures. [6] Estimates for*the late-Ming population vary from 160 to 200 million, [9] but necessary revnasty. The Ming, described by some as“one of the greatest eras of orderly government and social stability in hu- enues were squeezed out of smaller and smaller numbers of farmers as more disappeared from the official records man history,”* [5] was the last dynasty in China ruled lands to tax-exempt eunuchs or temby ethnic Han Chinese. Although the primary capital or “donated”their * ples. [6] Haijin laws intended to protect the coasts from of Beijing fell in 1644 to a rebellion led by Li Zicheng “Japanese”pirates instead turned many into smugglers (who established the Shun dynasty, soon replaced by the and pirates themselves. Manchu-led Qing dynasty), regimes loyal to the Ming throne – collectively called the Southern Ming – survived By the 16th century, however, the expansion of Eurountil 1662. pean trade – albeit restricted to islands near Guangzhou The Hongwu Emperor (ruled 1368–98) attempted to cre- like Macao – spread the Columbian Exchange of crops, ate a society of self-sufficient rural communities ordered plants, and animals into China, introducing chili pepin a rigid, immobile system that would guarantee and sup- pers to Sichuan cuisine and highly productive corn and port a permanent class of soldiers for his dynasty:* [6] potatoes, which diminished famines and spurred poputhe empire's standing army exceeded one million troops lation growth. The growth of Portuguese, Spanish, and and the navy's dockyards in Nanjing were the largest Dutch trade created new demand for Chinese products in the world.* [7] He also took great care breaking the and produced a massive influx of Japanese and American power of the court eunuchs* [8] and unrelated magnates, silver. This abundance of specie allowed the Ming to finally avoid using paper money, which had sparked enfeoffing his many sons throughout China and attempting to guide these princes through the Huang Ming Zu hyperinflation during the 1450s. While traditional Confucians opposed such a prominent role for commerce and Xun, a set of published dynastic instructions. This failed spectacularly when his teenage successor, the Jianwen the newly rich it created, the heterodoxy introduced by Wang Yangming permitted a more accommodating attiEmperor, attempted to curtail his uncles' power, prompting the Jingnan Campaign, an uprising that placed the tude. Zhang Juzheng's initially successful reforms proved devastating when a slowdown in agriculture produced by Prince of Yan upon the throne as the Yongle Emperor in 1402. The Yongle Emperor established Yan as a sec- the Little Ice Age was met with Japanese and Spanish ondary capital and renamed it Beijing, constructed the policies that quickly cut off the supply of silver now necForbidden City, and restored the Grand Canal and the essary for farmers to be able to pay their taxes. Comprimacy of the imperial examinations in official appoint- bined with crop failure, floods, and epidemic, the dyments. He rewarded his eunuch supporters and employed nasty was considered to have lost the Mandate of Heaven them as a counterweight against the Confucian scholar- and collapsed before the rebel leader Li Zicheng and a bureaucrats. One, Zheng He, led seven enormous voyages Manchurian invasion. of exploration into the Indian Ocean as far as Arabia and the coast of Africa.

The rise of new emperors and new factions diminished 17.1 History such extravagances; the capture of the Zhengtong Emperor during the 1449 Tumu Crisis ended them com- Main article: History of the Ming dynasty pletely. The imperial navy was allowed to fall into dis- For a more comprehensive list, see List of emperors of repair while forced labor constructed the Liaodong pal- the Ming dynasty. 196




Revolt and rebel rivalry

197 Zhu Yuanzhang eliminated his arch rival and leader of the rebel Han faction Chen Youliang in the Battle of Lake Poyang, arguably the largest naval battle in history. Known for its ambitious use of fire ships, Zhu's force of 200,000 Ming sailors were able to defeat a Han rebel force over triple their size, claimed to be 650,000strong. The victory destroyed the last opposing rebel faction, leaving Zhu Yuanzhang in uncontested control of the bountiful Yangtze River Valley and cementing his power in the south. After the dynastic head of the Red Turbans suspiciously died in 1367 while a guest of Zhu, there was no one left who was remotely capable of contesting his march to the throne, and he made his imperial ambitions known by sending an army toward the Yuan capital Dadu (present-day Beijing) in 1368.* [13] The last Yuan emperor fled north to Shangdu and Zhu declared the founding of the Ming dynasty after razing the Yuan palaces in Dadu to the ground;* [13] the city was renamed Beiping in the same year.* [14] Zhu Yuanzhang took Hongwu or “Vastly Martial”as his era name. Reign of the Hongwu Emperor

Hongwu made an immediate effort to rebuild state infrastructure. He built a 48 km (30 mi) long wall around Nanjing, as well as new palaces and government halls.* [13] The History of Ming states that as early as 1364 Zhu Yuanzhang had begun drafting a new Confucian law code, the Da Ming Lü, which was completed by 1397 and repeated certain clauses found in the old Tang Code of 653.* [15] Hongwu organized a military system known as A cannon from the Huolongjing, compiled by Jiao Yu and Liu the weisuo, which was similar to the fubing system of the Tang dynasty (618–907). Ji before the latter's death in 1375. The Mongol-led Yuan dynasty (1271–1368) ruled before the establishment of the Ming dynasty. Alongside institutionalized ethnic discrimination against Han Chinese that stirred resentment and rebellion, other explanations for the Yuan's demise included overtaxing areas hard-hit by inflation, and massive flooding of the Yellow River as a result of the abandonment of irrigation projects.* [10] Consequently, agriculture and the economy were in shambles and rebellion broke out among the hundreds of thousands of peasants called upon to work on repairing the dykes of the Yellow River.* [10] A number of Han Chinese groups revolted, including the Red Turbans in 1351. The Red Turbans were affiliated with the White Lotus, a Buddhist secret society. Zhu Yuanzhang was a penniless peasant and Buddhist monk who joined the Red Turbans in 1352, but soon gained a reputation after marrying the foster daughter of a rebel commander.* [11] In 1356, Zhu's rebel force captured the city of Nanjing,* [12] which he would later establish as the capital of the Ming dynasty.

In 1380 Hongwu had the Chancellor Hu Weiyong (胡惟 庸) executed upon suspicion of a conspiracy plot to overthrow him; after that Hongwu abolished the Chancellery and assumed this role as chief executive and emperor, a precedent mostly followed throughout the Ming period.* [16]* [17] With a growing suspicion of his ministers and subjects, Hongwu established the Jinyiwei, a network of secret police drawn from his own palace guard. They were partly responsible for the loss of 100,000 lives in several purges over three decades of his rule.* [16]* [18] South-Western frontier

Main article: Ming conquest of Yunnan In Qinghai, the Salar Muslims voluntarily came under Ming rule, their clan leaders capitulating around 1370. Uyghur troops under Uyghur general Hala Bashi suppressed the Miao Rebellions of the 1370s and settled in Changde, Hunan.* [19] Hui Muslim troops also settled in Changde, Hunan after serving the Ming in campaigns against other aboriginal tribes.* [20] In 1381, the Ming With the Yuan dynasty crumbling, competing rebel dynasty annexed the areas of the southwest that had once groups began fighting for control of the country and been part of the Kingdom of Dali following the successful thus the right to establish a new dynasty. In 1363, effort by Hui Muslim Ming armies to defeat Yuan-loyalist


CHAPTER 17. MING DYNASTY population and the resulting government presence and policies sparked more Miao and Yao revolts in 1464 to 1466, which were crushed by an army of 30,000 Ming troops (including 1,000 Mongols) joining the 160,000 local Guangxi (see Miao Rebellions (Ming dynasty)). After the scholar and philosopher Wang Yangming (1472– 1529) suppressed another rebellion in the region, he advocated single, unitary administration of Chinese and indigenous ethnic groups in order to bring about sinification of the local peoples.* [22] Relations with Tibet Main article: Tibet during the Ming dynasty The Mingshi—the official history of the Ming dynasty

Portrait of the Hongwu Emperor (ruled in 1368–98)

A 17th-century Tibetan thangka of Guhyasamaja Akshobhyavajra; the Ming dynasty court gathered various tribute items which were native products of Tibet (such as thangkas),* [23] and in return granted gifts to Tibetan tribute-bearers.* [24] The old south gate of the ancient city of Dali, Yunnan

Mongol and Hui Muslim troops holding out in Yunnan province. The Hui troops under General Mu Ying, who was appointed Governor of Yunnan, were resettled in the region as part of a colonization effort.* [21] By the end of the 14th century, some 200,000 military colonists settled some 2,000,000 mu (350,000 acres) of land in what is now Yunnan and Guizhou. Roughly half a million more Chinese settlers came in later periods; these migrations caused a major shift in the ethnic make-up of the region, since formerly more than half of the population were nonHan peoples. Resentment over such massive changes in

compiled later by the Qing dynasty in 1739 —states that the Ming established itinerant commanderies overseeing Tibetan administration while also renewing titles of exYuan dynasty officials from Tibet and conferring new princely titles on leaders of Tibet's Buddhist sects.* [25] However, Turrell V. Wylie states that censorship in the Mingshi in favor of bolstering the Ming emperor's prestige and reputation at all costs obfuscates the nuanced history of Sino-Tibetan relations during the Ming era.* [26] Modern scholars debate whether the Ming dynasty had sovereignty over Tibet. Some believe it was a relationship of loose suzerainty which was largely cut off when the Jiajing Emperor (r. 1521–67) persecuted Buddhism

17.1. HISTORY in favor of Daoism at court * [26]* [27] Others argue that the significant religious nature of the relationship with Tibetan lamas is underrepresented in modern scholarship.* [28]* [29] Others note the Ming need for Central Asian horses and the need to maintain the tea-horse trade.* [30]* [31]* [32]* [33]

199 Rise to power The Hongwu Emperor specified his grandson Zhu Yunwen as his successor, and he assumed the throne as the Jianwen Emperor (1398–1402) after Hongwu's death in 1398. The most powerful of Hongwu's sons, Zhu Di, then the militarily mighty disagreed with this, and soon a political showdown erupted between him and his nephew Jianwen.* [43] After Jianwen arrested many of Zhu Di's associates, Zhu Di plotted a rebellion that sparked a threeyear civil war. Under the pretext of rescuing the young Jianwen from corrupting officials, Zhu Di personally led forces in the revolt; the palace in Nanjing was burned to the ground, along with Jianwen himself, his wife, mother, and courtiers. Zhu Di assumed the throne as the Yongle Emperor (1402–1424); his reign is universally viewed by scholars as a “second founding”of the Ming dynasty since he reversed many of his father's policies.* [44]

The Ming sporadically sent armed forays into Tibet during the 14th century, which the Tibetans successfully resisted.* [34]* [35] Several scholars point out that unlike preceding Mongols, the Ming dynasty did not garrison permanent troops in Tibet.* [36]* [37] The Wanli Emperor (r. 1572–1620) attempted to reestablish SinoTibetan relations in the wake of a Mongol-Tibetan alliance initiated in 1578, an alliance which affected the foreign policy of the subsequent Manchu Qing dynasty (1644–1912) in their support for the Dalai Lama of the Yellow Hat sect.* [26]* [38]* [39]* [40] By the late 16th century, the Mongols proved to be successful armed protectors of the Yellow Hat Dalai Lama after their increasing presence in the Amdo region, culminating in Güshi Khan's (1582–1655) conquest of Tibet in New capital and foreign engagement 1642.* [26]* [41]* [42]


Reign of the Yongle Emperor

Main article: Yongle Emperor

Yongle demoted Nanjing to a secondary capital and in 1403 announced the new capital of China was to be at his power base in Beijing. Construction of a new city there lasted from 1407 to 1420, employing hundreds of thousands of workers daily.* [45] At the center was the political node of the Imperial City, and at the center of this was the Forbidden City, the palatial residence of the emperor and his family. By 1553, the Outer City was added to the south, which brought the overall size of Beijing to 4 by 4½ miles.* [46]

The Ming Tombs located 50 km (31 mi) north of Beijing; the site was chosen by Yongle.

Portrait of the Yongle Emperor (ruled in 1402–24)

Additionally, Yongle used Zheng He's treasure fleet to expand China's tributary trade system farther afield than ever before. He also used woodblock printing to spread Chinese culture, and used the military (especially cavalry) to expand China's borders north into Manchuria and south into Vietnam.



Treasure voyages Main article: Treasure voyages 17.1.3 Tumu Crisis and the Ming Mongols Beginning in 1405, the Yongle Emperor entrusted his faMain articles: Tumu Crisis and Rebellion of Cao Qin The Oirat Mongol leader Esen Tayisi launched an in-

The Great Wall of China; although the rammed earth walls of the ancient Warring States were combined into a unified wall under the Qin and Han dynasties, the vast majority of the brick and stone Great Wall as it is seen today is a product of the Ming dynasty.

A Bengali envoys presented a tribute giraffe in the name of King Saif Al-Din Hamzah Shah of Bengal (r. 1410–12) to the Yongle Emperor of Ming China (r. 1402–24).

vored eunuch commander Zheng He (1371–1433) as the admiral for a gigantic new fleet of ships designated for international tributary missions. The Chinese had sent diplomatic missions over land and west since the Han dynasty (202 BCE – 220 CE) and had been engaged in private overseas trade. This led to further Chinese exploration, and culminated in the Song and Yuan dynasties. However, no government-sponsored tributary mission of this grandeur and size had ever been assembled before. To service seven different tributary missions abroad, the Nanjing shipyards constructed two thousand vessels from 1403 to 1419, which included the large treasure ships that measured 112 m (370 ft) to 134 m (440 ft) in length and 45 m (150 ft) to 54 m (180 ft) in width.* [47]

vasion into Ming China in July 1449. The chief eunuch Wang Zhen encouraged the Zhengtong Emperor (r. 1435–49) to lead a force personally to face the Mongols after a recent Ming defeat; marching off with 50,000 troops, the emperor left the capital and put his halfbrother Zhu Qiyu in charge of affairs as temporary regent. On 8 September, Esen routed Zhengtong's army, and Zhengtong was captured —an event known as the Tumu Crisis.* [48] The Mongols held the Zhengtong Emperor for ransom. However, this scheme was foiled once the emperor's younger brother assumed the throne under the era name Jingtai (r. 1449–57); the Mongols were also repelled once the Jingtai Emperor's confidant and defense minister Yu Qian (1398–1457) gained control of the Ming armed forces. Holding the Zhengtong Emperor in captivity was a useless bargaining chip for the Mongols as long as another sat on his throne, so they released him back into Ming China.* [48] The former emperor was placed under house arrest in the palace until the coup against the Jingtai Emperor in 1457 known as the“Wresting the Gate Incident”.* [49] The former emperor retook the throne under the new era name Tianshun (r. 1457–64). Tianshun proved to be a troubled time and Mongol forces within the Ming military structure continued to be problematic. On 7 August 1461, the Chinese general Cao Qin and his Ming troops of Mongol descent staged a coup against the Tianshun Emperor out of fear of being next on his purge-list of those who aided him in the Wresting the Gate Incident.* [50] Cao's rebel force managed to set fire to the western and eastern gates of the Imperial City (doused by rain during the battle) and killed several leading ministers before his forces were finally cornered and

17.1. HISTORY he was forced to commit suicide.* [51] While the Yongle Emperor had staged five major offensives north of the Great Wall against the Mongols, the constant threat of Mongol incursions prompted the Ming authorities to fortify the Great Wall from the late 15th century to the 16th century; nevertheless, John Fairbank notes that “it proved to be a futile military gesture but vividly expressed China's siege mentality.”* [52] Yet the Great Wall was not meant to be a purely defensive fortification; its towers functioned rather as a series of lit beacons and signalling stations to allow rapid warning to friendly units of advancing enemy troops.* [53]


Decline and fall of the Ming dynasty

201 one after him skilled enough to maintain the stability of these alliances;* [54] officials soon banded together in opposing political factions. Over time Wanli grew tired of court affairs and frequent political quarreling amongst his ministers, preferring to stay behind the walls of the Forbidden City and out of his officials' sight.* [55] Scholarofficials lost prominence in administration as eunuchs became intermediaries between the aloof emperor and his officials; any senior official who wanted to discuss state matters had to persuade powerful eunuchs with a bribe simply to have his demands or message relayed to the emperor.* [56] Role of eunuchs

Main article: Fall of the Ming dynasty

Reign of the Wanli Emperor

Tianqi-era teacups, from the Nantoyōsō Collection in Japan; the Tianqi Emperor was heavily influenced and largely controlled by the eunuch Wei Zhongxian (1568–1627).

The Hongwu Emperor forbade eunuchs to learn how to read or engage in politics. Whether or not these restrictions were carried out with absolute success in his reign, eunuchs during the Yongle Emperor's reign and afterwards managed huge imperial workshops, commanded armies, and participated in matters of appointment and promotion of officials. The eunuchs developed their own bureaucracy that was organized parallel to but was not subject to the civil service bureaucracy.* [46] Although there were several dictatorial eunuchs throughout the Ming, such as Wang Zhen, Wang Zhi, and Liu Jin, excessive tyrannical eunuch power did not become evident until the 1590s when the Wanli Emperor increased their rights over the civil bureaucracy and granted them power to collect provincial taxes.* [56]* [57]* [58] The Wanli Emperor (ruled in 1572–1620)

The financial drain of the Imjin War in Korea against the Japanese was one of the many problems—fiscal or other —facing Ming China during the reign of the Wanli Emperor (1572–1620). In the beginning of his reign, Wanli surrounded himself with able advisors and made a conscientious effort to handle state affairs. His Grand Secretary Zhang Juzheng (1572–82) built up an effective network of alliances with senior officials. However, there was no

The eunuch Wei Zhongxian (1568–1627) dominated the court of the Tianqi Emperor (r. 1620–1627) and had his political rivals tortured to death, mostly the vocal critics from the faction of the Donglin Society. He ordered temples built in his honor throughout the Ming Empire, and built personal palaces created with funds allocated for building the previous emperor's tombs. His friends and family gained important positions without qualifications. Wei also published a historical work lambasting and belittling his political opponents.* [59] The instabil-

202 ity at court came right as natural calamity, pestilence, rebellion, and foreign invasion came to a peak. Although the Chongzhen Emperor (r. 1627–44) had Wei dismissed from court—which led to Wei's suicide shortly after—the problem with court eunuchs persisted until the dynasty's collapse less than two decades later.

Economic breakdown and natural disasters

CHAPTER 17. MING DYNASTY such as flooding and inability of the government to manage irrigation and flood-control projects properly caused widespread loss of life and normal civility.* [62] The central government, starved of resources, could do very little to mitigate the effects of these calamities. Making matters worse, a widespread epidemic spread across China from Zhejiang to Henan, killing an unknown but large number of people.* [63] The deadliest earthquake of all time, the Shaanxi earthquake of 1556, occurred during the Jiajing Emperor's reign, killing approximately 830,000 people.* [64] Rise of the Manchu

Spring morning in a Han palace, by Qiu Ying (1494–1552); excessive luxury and decadence marked the late Ming period, spurred by the enormous state bullion of incoming silver and by private transactions involving silver.

During the last years of the Wanli era and those of his two successors, an economic crisis developed that was centered around a sudden widespread lack of the empire's chief medium of exchange: silver. Philip IV of Spain (reigned 1621–1665) began cracking down on illegal smuggling of silver from New Spain and Peru across the Pacific (See Manila galleon) towards China, in favor of shipping American-mined silver through Spanish ports. In 1639 the new Tokugawa regime of Japan shut down most of its foreign trade with European powers, cutting off another source of silver coming into China. These events occurring at roughly the same time caused a dramatic spike in the value of silver and made paying taxes nearly impossible for most provinces. People began hoarding precious silver as there was progressively less of it, forcing the ratio of the value of copper to silver into a steep decline. In the 1630s a string of one thousand copper coins equaled an ounce of silver; by 1640 that sum could fetch half an ounce; and, by 1643 only one-third of an ounce.* [60] For peasants this meant economic disaster, since they paid taxes in silver while conducting local trade and crop sales in copper.* [61] Famines became common in northern China in the early 17th century because of unusually dry and cold weather that shortened the growing season - effects of a larger ecological event now known as the Little Ice Age.* [62] Famine, alongside tax increases, widespread military desertions, a declining relief system, and natural disasters

Shanhaiguan along the Great Wall, the gate where the Manchus were repeatedly repelled before being finally let through by Wu Sangui in 1644.

A Jurchen tribal leader named Nurhaci (r. 1616–26), starting with just a small tribe, rapidly gained control over all the Manchurian tribes. During the Japanese invasions of Korea in the 1590s, he offered to lead his tribes in support of the Ming and Joseon army. This offer was declined, but he was granted honorific Ming titles for his gesture. Recognizing the weakness of Ming authority north of their border, he united all of the adjacent northern tribes and consolidated power in the region surrounding his homeland as the Jurchen Jin dynasty had done previously.* [65] In 1610, he broke relations with the Ming court; in 1618, he demanded the Ming pay tribute to him

17.2. GOVERNMENT to redress“Seven Grievances”which he documented and sent to the Ming court. This was effectively a declaration of war, as the Ming were not about to pay money to a former tributary. By 1636, Nurhaci's son Huang Taiji renamed his dynasty from the “Later Jin”to the "Great Qing" at Shenyang, which had fallen to Qing forces in 1621 and was made their capital in 1625.* [66]* [67] Huang Taiji also adopted the Chinese imperial title huangdi, declared the Chongde (“Revering Virtue”) era, and changed the ethnic name of his people from "Jurchen" to "Manchu".* [67]* [68] In 1638 the Manchu defeated and conquered Ming China's traditional ally Joseon with an army of 100,000 troops in the Second Manchu invasion of Korea. Shortly after, the Koreans renounced their long-held loyalty to the Ming dynasty.* [68]

203 Shanhaiguan; the Prince of Shun's army fled the capital on the fourth of June. On 6 June, the Manchus and Wu entered the capital and proclaimed the young Shunzhi Emperor ruler of China. After being forced out of Xi'an by the Manchus, chased along the Han River to Wuchang, and finally along the northern border of Jiangxi province, Li Zicheng died there in the summer of 1645, thus ending the Shun dynasty. One report says his death was a suicide; another states that he was beaten to death by peasants after he was caught stealing their food.* [73]

Scattered Ming remnants held out after 1644, including that of Koxinga (Zheng Chenggong) on Taiwan (Formosa). Despite the loss of Beijing and the death of the emperor, Ming power was by no means totally destroyed. Nanjing, Fujian, Guangdong, Shanxi, and Yunnan were all strongholds of Ming resistance. However, there were several pretenders for the Ming throne, and their forces were divided. Each bastion of resistance was individually defeated by the Qing until 1662, when the last real Rebellion, invasion, collapse hopes of a Ming revival died with the Yongli Emperor, A peasant soldier named Li Zicheng mutinied with his Zhu Youlang. Despite the Ming defeat, smaller loyalfellow soldiers in western Shaanxi in the early 1630s af- ist movements continued until the proclamation of the ter the Ming government failed to ship much-needed sup- Republic of China. plies there.* [62] In 1634 he was captured by a Ming gen- In 1725 the Qing Yongzheng Emperor bestowed the eral and released only on the terms that he return to ser- hereditary title of Marquis on a descendant of the Ming vice.* [69] The agreement soon broke down when a local dynasty Imperial family, Zhu Zhiliang, who received a magistrate had thirty-six of his fellow rebels executed; salary from the Qing government and whose duty was to Li's troops retaliated by killing the officials and contin- perform rituals at the Ming tombs, and was also inducted ued to lead a rebellion based in Rongyang, central Henan the Chinese Plain White Banner in the Eight Banners. province by 1635.* [70] By the 1640s, an ex-soldier and Later the Qianlong Emperor bestowed the title Marquis rival to Li—Zhang Xianzhong (1606–47) —had created of Extended Grace posthumously on Zhu Zhuliang in a firm rebel base in Chengdu, Sichuan, while Li's cen- 1750, and the title passed on through twelve generations ter of power was in Hubei with extended influence over of Ming descendants until the end of the Qing dynasty. Shaanxi and Henan.* [70] In 1640, masses of Chinese peasants who were starving, unable to pay their taxes, and no longer in fear of the fre- 17.2 quently defeated Chinese army, began to form into huge bands of rebels. The Chinese military, caught between fruitless efforts to defeat the Manchu raiders from the 17.2.1 north and huge peasant revolts in the provinces, essentially fell apart. Unpaid and unfed, the army was defeated by Li Zicheng—now self-styled as the Prince of Shun —and deserted the capital without much of a fight. On 26 May 1644, Beijing fell to a rebel army led by Li Zicheng when the city gates were treacherously opened from within. During the turmoil, the last Ming emperor hanged himself on a tree in the imperial garden outside the Forbidden City.* [71] Seizing opportunity, the Manchus crossed the Great Wall after the Ming border general Wu Sangui (1612–1678) opened the gates at Shanhai Pass. This occurred shortly after he learned about the fate of the capital and an army of Li Zicheng marching towards him; weighing his options of alliance, he decided to side with the Manchus.* [72] The Manchu army under the Manchu Prince Dorgon (1612–50) and Wu Sangui approached Beijing after the army sent by Li was destroyed at

Government Province, prefecture, ture, county


Processional figurines from the Shanghai tomb of Pan Yongzheng, a Ming dynasty official who lived during the 16th century

The Ming emperors took over the provincial administration system of the Yuan dynasty, and the thirteen Ming provinces are the precursors of the modern provinces.



Throughout the Song dynasty, the largest political division was the circuit (lu 路).* [74] However, after the Jurchen invasion in 1127, the Song court established four semi-autonomous regional command systems based on territorial and military units, with a detached service secretariat that would become the provincial administrations of the Yuan, Ming, and Qing dynasties.* [75] Copied on the Yuan model, the Ming provincial bureaucracy contained three commissions: one civil, one military, and one for surveillance. Below the level of the province (sheng 省) were prefectures (fu 府) operating under a prefect (zhifu 知府), followed by subprefectures (zhou 州) under a subprefect. The lowest unit was the county (xian 縣), overseen by a magistrate. Besides the provinces, there were also two large areas that belonged to no province, but were metropolitan areas (jing 亰) attached to Nanjing and Beijing.* [76]


Institutions and bureaus

Institutional trends

direct control of the emperor until the end of the Ming. The Hongwu Emperor sent his heir apparent to Shaanxi in 1391 to“tour and soothe”(xunfu) the region; in 1421 the Yongle Emperor commissioned 26 officials to travel the empire and uphold similar investigatory and patrimonial duties. By 1430 these xunfu assignments became institutionalized as "grand coordinators". Hence, the Censorate was reinstalled and first staffed with investigating censors, later with censors-in-chief. By 1453, the grand coordinators were granted the title vice censor-in-chief or assistant censor-in-chief and were allowed direct access to the emperor.* [79] As in prior dynasties, the provincial administrations were monitored by a travelling inspector from the Censorate. Censors had the power to impeach officials on an irregular basis, unlike the senior officials who were to do so only in triennial evaluations of junior officials.* [79]* [80] Although decentralization of state power within the provinces occurred in the early Ming, the trend of central government officials delegated to the provinces as virtual provincial governors began in the 1420s. By the late Ming dynasty, there were central government officials delegated to two or more provinces as supreme commanders and viceroys, a system which reined in the power and influence of the military by the civil establishment.* [81] Grand Secretariat and Six Ministries

The Forbidden City, the official imperial household of the Ming and Qing dynasties from 1420 until 1924, when the Republic of China evicted Puyi from the Inner Court.

Departing from the main central administrative system generally known as the Three Departments and Six Ministries system, which was instituted by various dynasties since late Han (202 BCE – 220 CE), the Ming administration had only one Department, the Secretariat, that controlled the Six Ministries. Following the execution of the Chancellor Hu Weiyong in 1380, the Hongwu Emperor abolished the Secretariat, the Censorate, and the Chief Military Commission and personally took charge of the Six Ministries and the regional Five Military Commissions.* [77]* [78] Thus a whole level of administration was cut out and only partially rebuilt by subsequent rulers.* [77] The Grand Secretariat, at the beginning a secretarial institution that assisted the emperor with administrative paperwork, was instituted, but without employing grand counselors, or chancellors. The ministries, headed by a minister and run by directors remained under

A portrait of Jiang Shunfu, an official under the Hongzhi Emperor, now in the Nanjing Museum. The decoration of two cranes on his chest is a "rank badge" that indicates he was a civil official of the first rank.

Governmental institutions in China conformed to a similar pattern for some two thousand years, but each dynasty installed special offices and bureaus, reflecting its own particular interests. The Ming administration had the Grand Secretaries assisting the emperor, with paper-

17.2. GOVERNMENT work handled by them under Yongle's reign and finally appointed as top officials of agencies and Grand Preceptor, a top-ranking, non-functional civil service post, under the Hongxi Emperor (ruled in 1424–5).* [82] The Grand Secretariat drew its members from the Hanlin Academy and were considered part of the imperial authority, not the ministerial one (hence being at odds with both the emperor and ministers at times).* [83] The Secretariat operated as a coordinating agency, whereas the Six Ministries —which were Personnel, Revenue, Rites, War, Justice, and Public Works—were direct administrative organs of the state:* [84] 1. The Ministry of Personnel was in charge of appointments, merit ratings, promotions, and demotions of officials, as well as granting of honorific titles.* [85] 2. The Ministry of Revenue was in charge of gathering census data, collecting taxes, and handling state revenues, while there were two offices of currency that were subordinate to it.* [86]

205 of Handicrafts, and Office of Staff Surveillance.* [90] Starting in the 1420s, eunuchs began taking over these ladies' positions until only the Bureau of Apparel with its four subsidiary offices remained.* [90] Hongwu had his eunuchs organized into the Directorate of Palace Attendants, but as eunuch power at court increased, so did their administrative offices, with eventual twelve directorates, four offices, and eight bureaus.* [90] The dynasty had a vast imperial household, staffed with thousands of eunuchs, who were headed by the Directorate of Palace Attendants. The eunuchs were divided into different directorates in charge of staff surveillance, ceremonial rites, food, utensils, documents, stables, seals, apparel, and so on.* [91] The offices were in charge of providing fuel, music, paper, and baths.* [91] The bureaus were in charge of weapons, silverwork, laundering, headgear, bronzework, textile manufacture, wineries, and gardens.* [91] At times, the most influential eunuch in the Directorate of Ceremonial acted as a de facto dictator over the state.* [92]

Although the imperial household was staffed mostly by 3. The Ministry of Rites was in charge of state cereeunuchs and palace ladies, there was a civil service ofmonies, rituals, and sacrifices; it also oversaw regfice called the Seal Office, which cooperated with euisters for Buddhist and Daoist priesthoods and even nuch agencies in maintaining imperial seals, tallies, and the reception of envoys from tributary states.* [87] stamps.* [93] There were also civil service offices to over4. The Ministry of War was in charge of the ap- see the affairs of imperial princes.* [94] pointments, promotions, and demotions of military officers, the maintenance of military installations, equipment, and weapons, as well as the courier sys- 17.2.3 Personnel tem.* [88] 5. The Ministry of Justice was in charge of judicial and Scholar-officials penal processes, but had no supervisory role over the Censorate or the Grand Court of Revision.* [89] 6. The Ministry of Works had charge of government construction projects, hiring of artisans and laborers for temporary service, manufacturing government equipment, the maintenance of roads and canals, standardization of weights and measures, and the gathering of resources from the countryside.* [89] Bureaus and offices for the imperial household

Ming coinage, 14–17th century

The imperial household was staffed almost entirely by eunuchs and ladies with their own bureaus.* [90] Female servants were organized into the Bureau of Palace Attendance, Bureau of Ceremonies, Bureau of Apparel, Bureau of Foodstuffs, Bureau of the Bedchamber, Bureau

Candidates who had taken the civil service examinations would crowd around the wall where the results were posted; detail from a handscroll in ink and color on silk, by Qiu Ying (1494– 1552).* [95]

206 After the reign of Hongwu—who from 1373 to 84 staffed his bureaus with officials gathered through recommendations only —the scholar-officials who populated the many ranks of bureaucracy were recruited through a rigorous examination system that was first established by the Sui dynasty (581–618).* [96]* [97]* [98] Theoretically the system of exams allowed anyone to join the ranks of imperial officials (although frowned upon for merchants to join); in reality the time and funding needed to support the study in preparation for the exam generally limited participants to those already coming from the landholding class. However, the government did exact provincial quotas while drafting officials.* [99] This was an effort to curb monopolization of power by landholding gentry who came from the most prosperous regions, where education was the most advanced.* [100] The expansion of the printing industry since Song times enhanced the spread of knowledge and number of potential exam candidates throughout the provinces.* [101] For young schoolchildren there were printed multiplication tables and primers for elementary vocabulary; for adult examination candidates there were mass-produced, inexpensive volumes of Confucian classics and successful examination answers.* [102] As in earlier periods, the focus of the examination was classical Confucian texts,* [96] while the bulk of test material centered on the Four Books outlined by Zhu Xi in the 12th century.* [103] Ming era examinations were perhaps more difficult to pass since the 1487 requirement of completing the "eight-legged essay", a departure from basing essays off progressing literary trends.* [103]* [104] The exams increased in difficulty as the student progressed from the local level, and appropriate titles were accordingly awarded successful applicants. Officials were classified in nine hierarchic grades, each grade divided into two degrees, with ranging salaries (nominally paid in piculs of rice) according to their rank.* [105] While provincial graduates who were appointed to office were immediately assigned to low-ranking posts like the county graduates, those who passed the palace examination were awarded a jinshi ('presented scholar') degree and assured a high-level position.* [106]* [107] In 276 years of Ming rule and ninety palace examinations, the number of doctoral degrees granted by passing the palace examinations was 24,874.* [106] Ebrey states that“there were only two to four thousand of these jinshi at any given time, on the order of one out of 10,000 adult males.”* [99] This was in comparison to the 100,000 shengyuan ('government students'), the lowest tier of graduates, by the 16th century.* [99] The maximum tenure in office was nine years, but every three years officials were graded on their performance by senior officials.* [108] If they were graded as superior then they were promoted, if graded adequate then they retained their ranks, and if graded inadequate they were demoted one rank. In extreme cases, officials would be dismissed or punished. Only capital officials of grade

CHAPTER 17. MING DYNASTY 4 and above were exempt from the scrutiny of recorded evaluation, although they were expected to confess any of their faults.* [80] There were over 4,000 school instructors in county and prefectural schools who were subject to evaluations every nine years. The Chief Instructor on the prefectural level was classified as equal to a secondgrade county graduate.* [109] The Supervisorate of Imperial Instruction oversaw the education of the heir apparent to the throne; this office was headed by a Grand Supervisor of Instruction, who was ranked as first class of grade three.* [94]

Lesser functionaries

The Xuande Emperor playing chuiwan with his eunuchs, a game similar to golf, by an anonymous court painter of the Xuande period (1425–35).

Scholar-officials who entered civil service through examinations acted as executive officials to a much larger body of non-ranked personnel called lesser functionaries. They outnumbered officials by four to one; Charles Hucker estimates that they were perhaps as many as 100,000 throughout the empire. These lesser functionaries performed clerical and technical tasks for government agencies. Yet they should not be confused with lowly lictors, runners, and bearers; lesser functionaries were given periodic merit evaluations like officials and after nine years of service might be accepted into a low civil service rank.* [110] The one great advantage of the lesser functionaries over officials was that officials were periodically rotated and assigned to different regional posts and had to rely on the good service and cooperation of the local lesser functionaries.* [111]

Eunuchs, princes, and generals Eunuchs during the Ming dynasty gained unprecedented power over state affairs. One of the most effective means of control was the secret service stationed in what was called the Eastern Depot at the beginning of the dynasty, later the Western Depot. This secret service was overseen by the Directorate of Ceremonial, hence this state organ's often totalitarian affiliation.* [91] Eunuchs had ranks that were equivalent to civil service ranks, only theirs had four grades instead of nine.* [112]


207 displaced them.* [117]

17.3 Society and culture 17.3.1 Literature and arts Further information: Ming dynasty painting and Ming poetry Literature, painting, poetry, music, and Chinese opera of

Detail of The Emperor's Approach showing the Wanli Emperor's royal carriage being pulled by elephants and escorted by cavalry (full panoramic painting here)

Descendants of the first Ming emperor were created princes and given (typically nominal) military commands, annual stipends, and large estates. The title used was “king”(王, wáng) but – unlike the princes in the Han and Jin dynasties – these estates were not feudatories, the princes did not serve any administrative function, and they partook in military affairs only during the reigns of the first two emperors.* [113] The rebellion of the Prince of Yan was justified in part as upholding the rights of the princes but, once the Yongle Emperor was enthroned, he continued his nephew's policy of disarming his brothers and moved their fiefs away from the militarized northern border. Although princes served no organ of state administration, the princes, consorts of the imperial princesses, and ennobled relatives did staff the Imperial Clan Court, which supervised the imperial genealogy.* [94]

A Ming dynasty red lacquer box with intricate carving of people in the countryside, surrounded by a floral border design.

various types, flourished during the Ming dynasty, especially in the economically prosperous lower Yangzi valley. Although short fiction had been popular as far back as the Tang dynasty (618–907),* [118] and the works of contemporaneous authors such as Xu Guangqi, Xu Xiake, and Song Yingxing were often technical and encyclopedic, the most striking literary development was the vernacular novel. While the gentry elite were educated enough to fully comprehend the language of Classical Chinese, those with rudimentary education— such as women in educated families, merchants, and shop clerks —became a large potential audience for literature and performing arts that employed Vernacular Chinese.* [119] Literati scholars edited or developed major Chinese novels into mature form in this period, such as Water Margin and Journey to the West. Jin Ping Mei, published in 1610, although incorporating earlier material, marks the trend toward independent composition and concern with psychology.* [120] In the later years of the dynasty, Feng Menglong and Ling Mengchu innovated with vernacular short fiction. Theater scripts were equally imaginative. The most famous, The Peony Pavilion, was written by Tang Xianzu (1550–1616), with its first performance at the Pavilion of Prince Teng in 1598.

Like scholar-officials, military generals were ranked in a hierarchic grading system and were given merit evaluations every five years (as opposed to three years for officials).* [114] However, military officers had less prestige than officials. This was due to their hereditary service (instead of solely merit-based) and Confucian values that dictated those who chose the profession of violence (wu) over the cultured pursuits of knowledge (wen).* [114]* [115] Although seen as less prestigious, military officers were not excluded from taking civil service examinations and after 1478 the military even held their own examinations to test military skills.* [116] In addition to taking over the established bureaucratic structure from the Yuan period, the Ming emperors established the new post of the travelling military inspector. In the early half of the dynasty, men of noble lineage dominated the higher ranks of military office; this trend was reversed during the latter half of the Informal essay and travel writing was another highlight. dynasty as men from more humble origins eventually Xu Xiake (1587–1641), a travel literature author, pub-



Poetry of Min Ding, 17th century

Lofty Mount Lu, by Shen Zhou, 1467.

(1037–1101).* [126] Yuan Hongdao and his two brothers, Yuan Zongdao (1560–1600) and Yuan Zhongdao (1570–1623), were the founders of the Gong'an School of letters.* [127] This highly individualistic school of poetry and prose was criticized by the Confucian establishment for its association with intense sensual lyricism, which was also apparent in Ming vernacular novels such as the Jin Ping Mei.* [127] Yet even gentry and scholarofficials were affected by the new popular romantic literature, seeking courtesans as soulmates to reenact the heroic love stories which arranged marriages often could not provide or accommodate.* [128]

lished his Travel Diaries in 404,000 written characters, with information on everything from local geography to mineralogy.* [121]* [122] The first reference to the publishing of private newspapers in Beijing was in 1582; by 1638 the Beijing Gazette switched from using woodblock print to movable type printing.* [123] The new literary field of the moral guide to business ethics was developed during the late Ming period, for the readership of the mer- Famous painters included Ni Zan and Dong Qichang, as chant class.* [124] well as the Four Masters of the Ming dynasty, that is, In contrast to Xu Xiake, who focused on technical as- Shen Zhou, Tang Yin, Wen Zhengming, Qiu Ying, They pects in his travel literature, the Chinese poet and of- drew upon the techniques, styles, and complexity in paintficial Yuan Hongdao (1568–1610) used travel literature ing achieved by their Song and Yuan predecessors, but to express his desires for individualism as well as au- added techniques and styles. Well-known Ming artists tonomy from and frustration with Confucian court pol- could make a living simply by painting, due to the high itics.* [125] Yuan desired to free himself from the ethical prices they demanded for their artworks and the great decompromises which were inseparable from the career of mand by the highly cultured community to collect prea scholar-official. This anti-official sentiment in Yuan's cious works of art. The artist Qiu Ying was once paid travel literature and poetry was actually following in the 2.8 kg (100 oz) of silver to paint a long handscroll for the tradition of the Song dynasty poet and official Su Shi eightieth birthday celebration of the mother of a wealthy


209 to help the wary new connoisseur; Liu Tong (died 1637) wrote a book printed in 1635 which told his readers how to spot fake and authentic pieces of art.* [133] He revealed that a Xuande era (1426–1435) bronzework could be authenticated by judging its sheen; porcelain wares from the Yongle era (1402–1424) could be judged authentic by their thickness.* [134]

17.3.2 Religion See also: Islam during the Ming dynasty, Jesuit China missions and Chinese Rites Controversy The dominant religious beliefs during the Ming dy-

Painting of flowers, a butterfly, and rock sculpture by Chen Hongshou (1598–1652); small leaf album paintings like this one first became popular in the Song dynasty.

patron. Renowned artists often gathered an entourage of followers, some who were amateurs who painted while pursuing an official career and others who were full-time painters.* [129] The period was also renowned for ceramics and porcelains. The major production centers for porcelain were the imperial kilns at Jingdezhen in Jiangxi province and Dehua in Fujian province. The Dehua porcelain factories catered to European tastes by creating Chinese export porcelain by the 16th century. Individual potters also became known, such as He Chaozong, who became famous in the early 17th century for his style of white porcelain sculpture. In The Ceramic Trade in Asia, Chuimei Ho estimates that about 16% of late Ming era Chinese ceramic exports were sent to Europe while the rest were destined for Japan and South East Asia.* [130] Carved designs in lacquerware and designs glazed onto porcelain wares displayed intricate scenes similar in complexity to those in painting. These items could be found in the homes of the wealthy, alongside embroidered silks and wares in jade, ivory, and cloisonné. The houses of the rich were also furnished with rosewood furniture and feathery latticework. The writing materials in a scholar's private study, including elaborately carved brush holders made of stone or wood, were designed and arranged ritually to give an aesthetic appeal.* [131] Connoisseurship in the late Ming period centered around these items of refined artistic taste, which provided work for art dealers and even underground scammers who themselves made imitations and false attributions.* [131] The Jesuit Matteo Ricci while staying in Nanjing wrote that Chinese scam artists were ingenious at making forgeries and huge profits.* [132] However, there were guides

Chinese glazed stoneware statue of a Daoist deity, from the Ming dynasty, 16th century.

nasty were the various forms of Chinese folk religion and the Three Teachings – Confucianism, Taoism, and Buddhism. The Yuan-supported Tibetan lamas fell from favor and the early Ming emperors particularly favored Taoism granting its practitioners many positions in the state's ritual offices.* [135] The Hongwu Emperor curtailed the cosmopolitan culture of the Mongol Yuan dynasty, and the prolific Prince of Ning Zhu Quan even composed one encyclopedia attacking Buddhism as a foreign “mourning cult”deleterious to the state and another encyclopedia that subsequently joined the Taoist canon.* [135]



Islam was also well-established throughout China, with a history said to have begun with Sa`d ibn Abi Waqqas during the Tang dynasty and strong official support during the Yuan. Although the Ming sharply curtailed this support, there were still several prominent Muslim figures early on, including the Hongwu Emperor's generals Chang Yuqun, Lan Yu, Ding Dexing, and Mu Ying* [136] and the Yongle Emperor's powerful eunuch Zheng He. The advent of the Ming was initially devastating to Christianity: in his first year, the Hongwu Emperor declared the eighty-year-old Franciscan missions among the Yuan heterodox and illegal.* [137] The centuries-old Nestorian church also disappeared. The later Ming saw a new wave of Christian – particularly Jesuit – missionaries arrive, who employed new western science and technology in their arguments for conversion. They were educated in Chinese language and culture at St. Paul's College on Macao after its founding in 1579. The most influential was Matteo Ricci, whose "Map of the Myriad Countries of the World" upended traditional geography throughout East Asia and whose work with the convert Xu Guangqi led to the first Chinese translation of Euclid's Elements in 1607. The discovery of a Nestorian stele at Xi'an in 1625 also permitted Christianity to be treated as an old and established faith, rather than a new and dangerous cult. However, there were strong disagreements about the extent to which converts could continue to perform rituals to the emperor, Confucius, or their ancestors: Ricci had been very accommodating and an attempt by his successors to backtrack from this policy led to the Nanjing Incident of 1616, which exiled four Jesuits to Macao and forced the others out of public life for six years.* [138] A series of spectacular failures by the Chinese astronomers – including missing an eclipse easily computed by Xu Guangqi and Sabatino de Ursis – and a return by the Jesuits to presenting themselves as educated scholars in the Confucian mold* [139] restored their fortunes but, by the end of the Ming, the Dominicans had begun the Chinese Rites controversy in Rome that would eventually lead to a full ban of Christianity under the Qing dynasty.

Wang Yangming (1472–1529), considered the most influential Confucian thinker since Zhu Xi.

aoru in 1402.

The Ming scholar most influential upon subsequent generations, however, was Wang Yangming (1472–1529), whose teachings were attacked in his own time for their similarity to Chan Buddhism.* [142] Building upon Zhu Xi's concept of the “extension of knowledge”(理學 or 格物致知), gaining understanding through careful and rational investigation of things and events, Wang argued that universal concepts would appear in the minds of anyone.* [143] Therefore, he claimed that anyone – no matter their pedigree or education – could become as wise as Confucius and Mencius had been and that their writings were not sources of truth but merely guides which * During his mission, Ricci was also contacted in Beijing might have flaws when carefully examined. [144] A peasby one of the approximately 5,000 Kaifeng Jews and in- ant with a great deal of experience and intelligence would troduced them and their long history in China to Eu- then be wiser than an official who had memorized the * rope.* [140] However, the 1642 flood caused by Kaifeng's Classics but not experienced the real world. [144] Ming governor devastated the community, which lost five of its twelve families, its synagogue, and most of its Conservative reaction Torah.* [141]



Wang Yangming's Confucianism During the Ming dynasty, the Neo-Confucian doctrines of the Song scholar Zhu Xi were embraced by the court and the Chinese literati at large, although the direct line of his school was destroyed by the Yongle Emperor's extermination of the ten degrees of kinship of Fang Xi-

Other scholar-bureaucrats were wary of Wang's heterodoxy, the increasing number of his disciples while still in office, and his overall socially rebellious message. To curb his influence, he was often sent out to deal with military affairs and rebellions far away from the capital. Yet his ideas penetrated mainstream Chinese thought and spurred new interest in Taoism and Buddhism.* [142] Furthermore, people began to question the validity of the social hierarchy and the idea that the scholar should be above the farmer. Wang Yangming's disciple and


211 descent groups, religious associations, and other local voluntary organizations were increasing in number and allowing more contact between educated men and local villagers.* [149] Jonathan Spence writes that the distinction between what was town and country was blurred in Ming China, since suburban areas with farms were located just outside and in some cases within the walls of a city. Not only was the blurring of town and country evident, but also of socioeconomic class in the traditional four occupations (Chinese: 士 農 工 商), since artisans sometimes worked on farms in peak periods and farmers often traveled into the city to find work during times of dearth.* [150]

A Ming dynasty print drawing of Confucius on his way to the Zhou dynasty capital of Luoyang.

salt-mine worker Wang Gen gave lectures to commoners about pursuing education to improve their lives, while his follower He Xinyin (何心隱) challenged the elevation and emphasis of the family in Chinese society.* [142] His contemporary Li Zhi even taught that women were the intellectual equals of men and should be given a better education; both Li and He eventually died in prison, jailed on charges of spreading “dangerous ideas”.* [145] Yet these “dangerous ideas”of educating women had long been embraced by some mothers* [146] and by courtesans who were as literate and skillful in calligraphy, painting, and poetry as their male guests.* [147] The liberal views of Wang Yangming were opposed by the Censorate and by the Donglin Academy, reëstablished in 1604. These conservatives wanted a revival of orthodox Confucian ethics. Conservatives such as Gu Xiancheng (1550–1612) argued against Wang's idea of innate moral knowledge, stating that this was simply a legitimization for unscrupulous behavior such as greedy pursuits and personal gain. These two strands of Confucian thought, hardened by Chinese scholars' notions of obligation towards their mentors, developed into pervasive factionalism among the ministers of state, who used any opportunity to impeach members of the other faction from court.* [148]


Urban and rural life

Emperor Minghuang's Journey to Sichuan, a Ming dynasty painting after Qiu Ying (1494–1552).

A variety of occupations could be chosen or inherited from a father's line of work. This would include—but was not limited to—coffinmakers, ironworkers and blacksmiths, tailors, cooks and noodle-makers, retail merchants, tavern, teahouse, or winehouse managers, shoemakers, seal cutters, pawnshop owners, brothel heads, and merchant bankers engaging in a proto-banking system involving notes of exchange.* [60]* [151] Virtually every town had a brothel where female and male prostitutes could be had.* [152] Male catamites fetched a higher price than female concubines since pederasty with a teenage boy was seen as a mark of elite status, regardless of sodomy being repugnant to sexual norms.* [153] Public bathing became much more common than in earlier periods.* [154] Urban shops and retailers sold a variety of goods such as special paper money to burn at ancestral sacrifices, specialized luxury goods, headgear, fine cloth, teas, and others.* [151] Smaller communities and townships too poor or scattered to support shops and artisans obtained their goods from periodic market fairs and traveling peddlers. A small township also provided a place for simple schooling, news and gossip, matchmaking, religious festivals, traveling theater groups, tax collection, and bases of famine relief distribution.* [150]

Wang Gen was able to give philosophical lectures to many commoners from different regions because —following the trend already apparent in the Song dynasty—commu- Farming villagers in the north spent their days harvestnities in Ming society were becoming less isolated as the ing crops like wheat and millet, while farmers south of distance between market towns was shrinking. Schools, the Huai River engaged in intensive rice cultivation and

212 had lakes and ponds where ducks and fish could be raised. The cultivation of mulberry trees for silkworms and tea bushes could be found mostly south of the Yangzi River; even further south of this sugarcane and citrus were grown as basic crops.* [150] Some people in the mountainous southwest made a living by selling lumber from hard bamboo. Besides cutting down trees to sell wood, the poor also made a living by turning wood into charcoal, burning oyster shells to make lime, fired pots, and wove mats and baskets.* [155] In the north traveling by horse and carriage was most common, while in the south the myriad of rivers, canals, and lakes provided cheap and easy water transport. Although the south had the characteristic of the wealthy landlord and tenant farmers, there were on average many more owner-cultivators north of the Huai River due to harsher climate, living not far above subsistence level.* [156]

CHAPTER 17. MING DYNASTY starting with the Polish Jesuit Michael Boym (1612–59) in 1627, Adam Schall von Bell's treatise in 1640, and finally Joseph Edkins, Alex Wylie, and John Fryer in the 19th century.* [158] Catholic Jesuits in China would promote Copernican theory at court, yet at the same time embrace the Ptolemaic system in their writing; it was not until 1865 that Catholic missionaries in China sponsored the heliocentric model as their Protestant peers did.* [159] Although Shen Kuo (1031–95) and Guo Shoujing (1231–316) had laid the basis for trigonometry in China, another important work in Chinese trigonometry would not be published again until 1607 with the efforts of Xu Guangqi and Matteo Ricci.* [160] Ironically, some inventions which had their origins in ancient China were reintroduced to China from Europe during the late Ming; for example, the field mill.* [161]

17.4 Science and technology Further information: History of science and technology in China, List of Chinese inventions and List of Chinese discoveries Compared to the flourishing of science and technol-

Map of the known world by Zheng He: India at the top, Ceylon at the upper right and East Africa along the bottom.

The puddling process of smelting iron ore to make pig iron and then wrought iron, with the right illustration displaying men working a blast furnace, from the Tiangong Kaiwu encyclopedia, 1637.

ogy in the Song dynasty, the Ming dynasty perhaps saw fewer advancements in science and technology compared to the pace of discovery in the Western world. In fact, key advances in Chinese science in the late Ming were spurred by contact with Europe. In 1626 Johann Adam Schall von Bell wrote the first Chinese treatise on the telescope, the Yuanjingshuo (Far Seeing Optic Glass); in 1634 the Chongzhen Emperor acquired the telescope of the late Johann Schreck (1576–1630).* [157] The heliocentric model of the solar system was rejected by the Catholic missionaries in China, but Johannes Kepler and Galileo Galilei's ideas slowly trickled into China

The Chinese calendar was in need of reform since it inadequately measured the solar year at 365 ¼ days, giving an error of 10 min and 14 sec a year or roughly a full day every 128 years.* [162] Although the Ming had adopted Guo Shoujing's Shoushi calendar of 1281, which was just as accurate as the Gregorian Calendar, the Ming Directorate of Astronomy failed to periodically readjust it; this was perhaps due to their lack of expertise since their offices had become hereditary in the Ming and the Statutes of the Ming prohibited private involvement in astronomy.* [163] A sixth-generation descendant of Emperor Hongxi, the “Prince”Zhu Zaiyu (1536– 611), submitted a proposal to fix the calendar in 1595, but the ultra-conservative astronomical commission rejected it.* [162]* [163] This was the same Zhu Zaiyu who discovered the system of tuning known as equal temperament, a discovery made simultaneously by Simon Stevin (1548–1620) in Europe.* [164] In addition to publishing his works on music, he was able to publish his findings on the calendar in 1597.* [163] A year earlier, the memorial of Xing Yunlu suggesting a calendar improvement was rejected by the Supervisor of the Astronomical Bureau due to the law banning private practice of astronomy; Xing would later serve with Xu Guangqi in reforming the calendar (Chinese: 崇禎 書) in 1629 according to Western



standards.* [163]

A 24-point compass chart employed by Zheng He during his explorations.

When the Ming founder Hongwu came upon the mechanical devices housed in the Yuan dynasty's palace at Khanbaliq—such as fountains with balls dancing on their jets, self-operating tiger automata, dragon-headed devices that spouted mists of perfume, and mechanical clocks in the tradition of Yi Xing (683–727) and Su Song (1020–101) —he associated all of them with the decadence of Mongol rule and had them destroyed.* [165] This was described in full length by the Divisional Director of the Ministry of Works, Xiao Xun, who also carefully preserved details on the architecture and layout of the Yuan dynasty palace.* [165] Later, European Jesuits such as Matteo Ricci and Nicolas Trigault would briefly mention indigenous Chinese clockworks that featured drive wheels.* [166] However, both Ricci and Trigault were quick to point out that 16th-century European clockworks were far more advanced than the common time keeping devices in China, which they listed as water clocks, incense clocks, and “other instruments ... with wheels rotated by sand as if by water”(Chinese: 沙漏).* [167] Chinese records—namely the Yuan Shi (Chinese: 元史) —describe the 'five-wheeled sand clock', a mechanism pioneered by Zhan Xiyuan (fl. 1360–80) which featured the scoop wheel of Su Song's earlier astronomical clock and a stationary dial face over which a pointer circulated, similar to European models of the time.* [168] This sanddriven wheel clock was improved upon by Zhou Shuxue (fl. 1530–58) who added a fourth large gear wheel, changed gear ratios, and widened the orifice for collecting sand grains since he criticized the earlier model for clogging up too often.* [169]

Portrait of Matteo Ricci by Yu Wenhui, Latinized as Emmanuel Pereira, dated the year of Ricci's death, 1610

In 1584, Abraham Ortelius (1527–1598) featured in his atlas Theatrum Orbis Terrarum the peculiar Chinese innovation of mounting masts and sails onto carriages, just like Chinese ships.* [170] Gonzales de Mendoza also mentioned this a year later—noting even the designs of them on Chinese silken robes —while Gerardus Mercator (1512–94) featured them in his atlas, John Milton (1608– 74) in one of his famous poems, and Andreas Everardus van Braam Houckgeest (1739–801) in the writings of his travel diary in China.* [171] The encyclopedist Song Yingxing (1587–1666) documented a wide array of technologies, metallurgic and industrial processes in his Tiangong Kaiwu (Chinese: 天 工開物) encyclopedia of 1637. This includes mechanical and hydraulic powered devices for agriculture and irrigation,* [173] nautical technology such as vessel types and snorkeling gear for pearl divers,* [174]* [175]* [176] the annual processes of sericulture and weaving with the loom,* [177] metallurgic processes such as the crucible technique and quenching,* [178] manufacturing processes such as for roasting iron pyrite in converting sulphide to oxide in sulfur used in gunpowder compositions —illustrating how ore was piled up with coal briquettes in an earthen furnace with a still-head that sent over sulfur as vapor that would solidify and crystallize* [179] — and the use of gunpowder weapons such as a naval mine ignited by use of a rip-cord and steel flint wheel.* [180]

Focusing on agriculture in his Nongzheng Quanshu, the The Chinese were intrigued with European technology, agronomist Xu Guangqi (1562–1633) took an interest in but so were visiting Europeans of Chinese technology. irrigation, fertilizers, famine relief, economic and textile


CHAPTER 17. MING DYNASTY be traced to earlier Chinese folk medicine, was detailed in Chinese texts by the sixteenth century. Throughout the Ming dynasty, around fifty texts were published on the treatment of smallpox.* [191] In regards to oral hygiene, the ancient Egyptians had a primitive toothbrush of a twig frayed at the end, but the Chinese were the first to invent the modern bristle toothbrush in 1498, although it used stiff pig hair.* [192]

17.5 Population

Bodhisattva Manjusri in Blanc-de-Chine, by He Chaozong, 17th century; Song Yingxing devoted an entire section of his book to the ceramics industry in the making of porcelain items like this.* [172]

crops, and empirical observation of the elements that gave insight into early understandings of chemistry.* [181] There were many advances and new designs in gunpowder weapons during the beginning of the dynasty, but by the mid to late Ming the Chinese began to frequently employ European-style artillery and firearms.* [182] The Huolongjing, compiled by Jiao Yu and Liu Ji sometime before the latter's death on 16 May 1375 (with a preface added by Jiao in 1412),* [183] featured many types of cutting-edge gunpowder weaponry for the time. This includes hollow, gunpowder-filled exploding cannonballs,* [184] land mines that used a complex trigger mechanism of falling weights, pins, and a steel wheellock to ignite the train of fuses,* [185] naval mines,* [186] finmounted winged rockets for aerodynamic control,* [187] multistage rockets propelled by booster rockets before igniting a swarm of smaller rockets issuing forth from the end of the missile (shaped like a dragon's head),* [188] and hand cannons that had up to ten barrels.* [189] Li Shizhen (1518–93) —one of the most renowned pharmacologists and physicians in Chinese history —belonged to the late Ming period. His Bencao Gangmu is a medical text with 1,892 entries, each entry with its own name called a gang. The mu in the title refers to the synonyms of each name.* [190] Inoculation, although it can

Appreciating Plums, by Chen Hongshou (1598–1652) showing a lady holding an oval fan while enjoying the beauty of the plum.

Sinologist historians debate the population figures for each era in the Ming dynasty. The historian Timothy Brook notes that the Ming government census figures are dubious since fiscal obligations prompted many families to underreport the number of people in their households and many county officials to underreport the number of households in their jurisdiction.* [193] Children were often underreported, especially female children, as shown by skewed population statistics throughout the Ming.* [194] Even adult women were underreported;* [195] for example, the Daming Prefecture in North Zhili reported a population of 378 167 males and 226 982 females in 1502.* [196] The government attempted to revise the census figures using estimates of the expected average number of people in each household, but this did not solve the widespread problem of tax reg-

17.6. SEE ALSO istration.* [197] Some part of the gender imbalance may be attributed to the practice of female infanticide. The practice is well documented in China, going back over two thousand years, and it was described as “rampant” and“practiced by almost every family”by contemporary authors.* [198] However, the dramatically skewed sex ratios, which many counties reported exceeding 2:1 by 1586, can't likely be explained by infanticide alone.* [195]

The Xuande Emperor (r. 1425–35); he stated in 1428 that his populace was dwindling due to palace construction and military adventures. But the population was rising under him, a fact noted by Zhou Chen—governor of South Zhili —in his 1432 report to the throne about widespread itinerant commerce.* [199]

The number of people counted in the census of 1381 was 59 873 305; however, this number dropped significantly when the government found that some 3 million people were missing from the tax census of 1391.* [200] Even though underreporting figures was made a capital crime in 1381, the need for survival pushed many to abandon the tax registration and wander from their region, where Hongwu had attempted to impose rigid immobility on the populace. The government tried to mitigate this by creating their own conservative estimate of 60 545 812 people in 1393.* [199] In his Studies on the Population of China, Ho Ping-ti suggests revising the 1393 census to 65 million people, noting that large areas of North China and frontier areas were not counted in that census.* [201] Brook states that the population figures gathered in the official censuses after 1393 ranged between 51 and 62 million, while the population was in fact increasing.* [199] Even the Hongzhi Emperor (r. 1487-505) remarked that the daily increase in subjects coincided with the daily dwindling amount of registered civilians and soldiers.* [155]

215 William Atwell states that around 1400 the population of China was perhaps 90 million people, citing Heijdra and Mote.* [202] Historians are now turning to local gazetteers of Ming China for clues that would show consistent growth in population.* [194] Using the gazetteers, Brook estimates that the overall population under the Chenghua Emperor (r. 1464–1487) was roughly 75 million,* [197] despite midMing census figures hovering around 62 million.* [155] While prefectures across the empire in the mid-Ming period were reporting either a drop in or stagnant population size, local gazetteers reported massive amounts of incoming vagrant workers with not enough good cultivated land for them to till, so that many would become drifters, conmen, or wood-cutters that contributed to deforestation.* [203] The Hongzhi and Zhengde emperors lessened the penalties against those who had fled their home region, while the Jiajing Emperor (r. 1521–67) finally had officials register migrants wherever they had moved or fled in order to bring in more revenues.* [196] Even with the Jiajing reforms to document migrant workers and merchants, by the late Ming era the government census still did not accurately reflect the enormous growth in population. Gazetteers across the empire noted this and made their own estimations of the overall population in the Ming, some guessing that it had doubled, tripled, or even grown fivefold since 1368.* [204] Fairbank estimates that the population was perhaps 160 million in the late Ming dynasty,* [205] while Brook estimates 175 million,* [204] and Ebrey states perhaps as large as 200 million.* [206] However, a great epidemic that entered China through the northwest in 1641 ravaged the densely populated areas along the Grand Canal; a gazetteer in northern Zhejiang noted more than half the population fell ill that year and that 90% of the local populace in one area was dead by 1642.* [207]

17.6 See also • Economy of the Ming dynasty • Kaifeng flood of 1642 • Kingdom of Tungning • List of tributaries of Imperial China • Luchuan-Pingmian Campaigns • Ming ceramics • Military conquests of the Ming dynasty • Ming official headwear • Ming poetry • Taxation in premodern China

216 • Ye Chunji (for further information on rural economics in the Ming) • Zheng Zhilong


[21] Michael Dillon (1999). China's Muslim Hui community: migration, settlement and sects. Richmond: Curzon Press. p. 208. ISBN 0-7007-1026-4. Retrieved 28 June 2010. [22] Ebrey (1999), 197.

[1] Primary capital after 1403; secondary capital after 1421.

[23] Zhang, Yuxin; Xiang, Hongjia; Information Office of the State Council. People's Republic of China (2002). Testimony of History. China: China Intercontinental Press. p. 73. ISBN 7-80113-885-6.

[2] Secondary capital until 1421; primary capital afterwards.

[24] Wang Jiawei & Nyima Gyaincain (1997), 39–41.

[3] The capitals-in-exile of the Southern Ming were Nanjing (1644), Fuzhou (1645–6), Guangzhou (1646–7), Zhaoqing (1646–52).

[25] Mingshi-Geography I « 明史 • 地理一 »: 東起朝鮮,西 據吐番,南包安南,北距大磧。; Geography III « 明史 • 地理三 »: 七年七月置西安行都衛於此,領河州、 朵甘、烏斯藏、三衛。; Western territory III « 明史 • 列傳第二百十七西域三 »

17.7 Notes

[4] Turchin, Peter; Adams, Jonathan M.; Hall, Thomas D (December 2006). “East-West Orientation of Historical Empires”. Journal of world-systems research 12 (2): 219–229. ISSN 1076-156X. Retrieved 12 August 2010. [5] Edwin Oldfather Reischauer, John King Fairbank, Albert M. Craig (1960) A history of East Asian civilization, Volume 1. East Asia: The Great Tradition, George Allen & Unwin Ltd.

[26] Wylie (2003), 470. [27] Wang & Nyima (1997), 1–40. [28] Norbu (2001), 52. [29] Kolmaš, 32. [30] Wang & Nyima (1997), 39–40.

[6] Zhang Wenxian. "The Yellow Register Archives of Imperial Ming China". Libraries & the Cultural Record, Vol. 43, No. 2 (2008), pp. 148-175. Univ. of Texas Press. Accessed 9 October 2012.

[31] Sperling (2003), 474–5, 478. [32] Perdue (2000), 273.

[7] Ebrey (2006), 271.

[33] Kolmaš, 28–9.

[8] Crawford, Robert. "Eunuch Power in the Ming dynasty". T'oung Pao, Second Series, Vol. 49, Livr. 3 (1961), pp. 115-148. Accessed 14 October 2012.

[34] Langlois (1988), 139, 161.

[9] For the lower population estimate, see (Fairbank & Goldman 2006:128); for the higher, see (Ebrey 1999:197).

[35] Geiss (1988), 417–8. [36] Ebrey (1999), 227. [37] Wang & Nyima (1997), 38.

[10] Gascoigne (2003), 150.

[38] Kolmaš, 30–1.

[11] Ebrey (1999), 190–1.

[39] Goldstein (1997), 8.

[12] Gascoigne (2003), 151.

[40] The Ming Biographical Dictionary (1976), 23.

[13] Ebrey (1999), 191.

[41] Kolmaš, 34–5.

[14] Naquin, Susan (2000). Peking: Temples and City Life, 1400–1900. Berkeley: University of California press. p. xxxiii. ISBN 0-520-21991-0.

[42] Goldstein (1997), 6–9.

[15] Andrew & Rapp (2000), 25.

[44] Atwell (2002), 84.

[16] Ebrey (1999), 192–3.

[45] Ebrey (2006), 272.

[17] Fairbank & Goldman (2006), 130.

[46] Ebrey (1999), 194.

[18] Fairbank & Goldman (2006), 129–30.

[47] Fairbank & Goldman (2006), 137.

[19] “Ethnic Uygurs in Hunan Live in Harmony with Han Chinese”. People's Daily. 29 December 2000.

[48] Ebrey (2006), 273.

[20] Zhiyu Shi (2002). Negotiating ethnicity in China: citizenship as a response to the state. Volume 13 of Routledge studies—China in transition (illustrated ed.). Psychology Press. p. 270. ISBN 0-415-28372-8. Retrieved 28 June 2010.

[43] Robinson (2000), 527.

[49] Robinson (1999), 83. [50] Robinson (1999), 84–5. [51] Robinson (1999), 79, 101–8. [52] Fairbank & Goldman (2006), 139.

17.7. NOTES


[53] Ebrey (1999), 208.

[90] Hucker (1958), 24.

[54] Hucker (1958), 31.

[91] Hucker (1958), 25.

[55] Spence (1999), 16.

[92] Hucker (1958), 11, 25.

[56] Spence (1999), 17.

[93] Hucker (1958), 25–26.

[57] Ebrey (1999), 194–5.

[94] Hucker (1958), 26.

[58] Hucker (1958), 11.

[95] Ebrey (1999), 200.

[59] Spence (1999), 17–8.

[96] Hucker (1958), 12.

[60] Spence (1999), 20.

[97] Ebrey (2006), 96.

[61] Spence (1999), 20–1.

[98] Ebrey (1999), 145–6.

[62] Spence (1999), 21.

[99] Ebrey (1999), 199.

[63] Spence (1999), 22–4.

[100] Ebrey (1999), 198–9.

[64] Tsunami among world's worst disasters. BBC News. 30 [101] December 2004. [102] [65] Spence (1999), 27. [103] [66] Spence (1999), 24, 28. [104] [67] Chang (2007), 92. [68] Spence (1999), 31. [69] Spence (1999), 21–2. [70] Spence (1999), 22.

Ebrey (1999), 201–2. Ebrey (1999), 202. Ebrey (1999), 198. Hucker (1958), 13.

[105] Hucker (1958), 11–2. [106] Hucker (1958), 14. [107] Brook (1998), xxv. [108] Hucker (1958), 15–6.

[71] Spence (1999), 25.

[109] Hucker (1958), 17.

[72] Spence (1999), 32–3.

[110] Hucker (1958), 18.

[73] Spence (1999), 33.

[111] Hucker (1958), 18–9.

[74] Yuan (1994), 193–4.

[112] Hucker (1958), 24–5.

[75] Hartwell (1982), 397–8.

[113] Hucker (1958), 8.

[76] Hucker (1958), 5.

[114] Hucker (1958), 19.

[77] Hucker (1958), 28.

[115] Fairbank & Goldman (2006), 109–12.

[78] Chang (2007), 15, footnote 42.

[116] Hucker (1958), 19–20.

[79] Chang (2007), 16.

[117] Robinson (1999), 116–7.

[80] Hucker (1958), 16.

[118] Ebrey (2006), 104–5.

[81] Hucker (1958), 23.

[119] Ebrey (1999), 202–3.

[82] Hucker (1958), 29–30.

[85] Hucker (1958), 32.

[120] Andrew H. Plaks, Four Masterworks of the Ming Novel. (Princeton, New Jersey: Princeton University Press, 1987. 595p. ISBN 0691067082). Plaks counts Romance of the Three Kingdoms, Water Margin (or, Men of the Marshes), Journey to the West, and Golden Lotus (or Plum in a Golden Vase).

[86] Hucker (1958), 33.

[121] Needham (1986), Volume 3, 524.

[87] Hucker (1958), 33–35.

[122] Hargett (1985), 69.

[88] Hucker (1958), 35.

[123] Brook (1998), xxi.

[89] Hucker (1958), 36.

[124] Brook (1998), 215–7.

[83] Hucker (1958), 30. [84] Hucker (1958), 31–32.



[125] Chang (2007), 318–9.

[158] Needham (1986), Volume 3, 444–7.

[126] Chang (2007), 319.

[159] Wong (1963), 31 (footnote 1).

[127] Chang (2007), 318.

[160] Needham (1986), Volume 3, 110.

[128] Brook (1998), 229–31.

[161] Needham (1986), Volume 4, Part 2, 255–7.

[129] Ebrey (1999), 201.

[162] Kuttner (1975), 166.

[130] Brook (1998), 206.

[163] Engelfriet (1998), 78.

[131] Spence (1999), 10.

[164] Kuttner (1975), 166–7.

[132] Brook (1998), 224–5.

[165] Needham (1986), Volume 4, Part 2, pp. 133, 508.

[133] Brook (1998), 225.

[166] Needham (1986), Volume 4, Part 2, 438.

[134] Brook (1998), 225–6.

[167] Needham (1986), Volume 4, Part 2, 509.

[135] Wang, Richard G. The Ming Prince and Daoism: Institu- [168] Needham (1986), Volume 4, Part 2, 511. tional Patronage of an Elite. Oxford Univ. Press, 2012. [169] Needham (1986), Volume 4, Part 2, 510–1. ISBN 0199767688, 9780199767687. Accessed 14 October 2012. [170] Needham (1986), Volume 4, Part 2, 276. [136] Lipman (1998), 39.

[171] Needham (1986), Volume 4, Part 2, 274–6.

[137] Leslie, Donald D. "The Integration of Religious Minori- [172] Needham (1986), Volume 4, Part 2, 171–2. ties in China: The Case of Chinese Muslims". The 59th George E. Morrison Lecture in Ethnology. 30 November [173] Song (1966), 7–30, 84–103. 2010. [174] Song (1966), 171–2, 189, 196. [138] Wong (1963), 30–2. [175] Needham (1986), Volume 4, Part 3, 668 [139] Ebrey (1999), 212. [140] White (1966), Volume 1, 31–8.

[176] Needham (1986), Volume 4, Part 3, 634, 649–50, 668–9. [177] Song (1966), 36–6.

[141] Xu Xin. The Jews of Kaifeng, China: History, Culture, [178] Song (1966), 237, 190. and Religion, p. 47. Ktav Publishing Inc, 2003. ISBN 978-0-88125-791-5. [179] Needham (1986), Volume 5, Part 7, 126. [142] Ebrey (2006), 282.

[180] Needham (1986), Volume 5, Part 7, 205, 339 F.

[143] Ebrey (2006), 281.

[181] Needham (1986), Volume 6, Part 2, 65–6.

[144] Ebrey (2006), 281–282.

[182] Needham (1986), Volume 5, Part 7, 372.

[145] Ebrey (2006), 283.

[183] Needam (1986), Volume 5, Part 7, 24–5.

[146] Ebrey (1999), 158.

[184] Needham (1986), Volume 5, Part 7, 264.

[147] Brook (1998), 230.

[185] Needham (1986), Volume 5, Part 7, 203–5.

[148] Ebrey (1999), 213.

[186] Needham (1986), Volume 5, Part 7, 205.

[149] Ebrey (1999), 206.

[187] Needham (1986), Volume 5, Part 7, 498–502.

[150] Spence (1999), 13.

[188] Needham (1986), Volume 5, Part 7, 508.

[151] Spence (1999), 12–3.

[189] Needham (1986), Volume 5, Part 7, 229.

[152] Brook (1998), 229, 232.

[190] Zohara Yaniv; Uriel Bachrach (2005). Handbook Of Medicinal Plants. Psychology Press. p. 37. ISBN 9781-56022-995-7.

[153] Brook (1998), 232–3. [154] Schafer (1956), 57. [155] Brook (1998), 95. [156] Spence (1999), 14. [157] Needham (1986), Volume 3, 444–5.

[191] Donald R. Hopkins (15 September 2002). The Greatest Killer: Smallpox in History. University of Chicago Press. p. 110. ISBN 978-0-226-35168-1. Inoculation had been a popular folk practice ... in all, some fifty texts on the treatment of smallpox are known to have been published in China during the Ming dynasty


[192] “Who invented the toothbrush and when was it invented?". The Library of Congress. 4 April 2007. Retrieved 18 August 2008. [193] Brook (1998), 27. [194] Brook (1998), 267. [195] Brook (1998), 97–9. [196] Brook (1998), 97.

219 • Chang, Michael G. (2007). A Court on Horseback: Imperial Touring & the Construction of Qing Rule, 1680–1785. Cambridge: Published by Harvard University Asia Center; distributed by Harvard University Press. ISBN 0-674-02454-0. • Crosby, Alfred W., Jr. (2003). The Columbian Exchange: Biological and Cultural Consequences of 1492; 30th Anniversary Edition. Westport: Praeger Publishers. ISBN 0-275-98092-8.

[197] Brook (1998), 28, 267. [198] Anne Behnke Kinney. Chinese views of childhood. pp. 200–201. [199] Brook (1998), 28. [200] Brook (1998), 27–8. [201] Ho (1959), 8–9, 22, 259. [202] Atwell (2002), 86. [203] Brook (1998), 94–6. [204] Brook (1998), 162.

• Dupuy, R. E.; Dupuy, Trevor N. (1993). The Collins Encyclopedia of Military History: From 3500 B.C. to the Present. Glasgow: HarperCollins. ISBN 0-00470143-7. Source for “Fall of the Ming Dynasty” • Ebrey, Patricia Buckley, Anne Walthall, James B. Palais. (2006). East Asia: A Cultural, Social, and Political History. Boston: Houghton Mifflin Company. ISBN 0-618-13384-4. • Ebrey, Patricia Buckley (1999), The Cambridge Illustrated History of China, Cambridge: Cambridge University Press, ISBN 0-521-66991-X

[205] Fairbank & Goldman (2006), 128. [206] Ebrey (1999), 195. [207] Brook (1998), 163.

17.8 References • L. Carrington Goodrich and Chaoying Fang, eds. (1976). Dictionary of Ming Biography, 1368–1644: 明代名人傳: Volume 1, A-L. New York: Columbia University Press. ISBN 0-231-03801-1. • Andrew, Anita N. and John A. Rapp. (2000). Autocracy and China's Rebel Founding Emperors: Comparing Chairman Mao and Ming Taizu. Lanham: Rowman & Littlefield Publishers Inc. ISBN 0-8476-9580-8. • Atwell, William S.“Time, Money, and the Weather: Ming China and the“Great Depression”of the MidFifteenth Century,”The Journal of Asian Studies (Volume 61, Number 1, 2002): 83–113. • Brook, Timothy. (1998). The Confusions of Pleasure: Commerce and Culture in Ming China. Berkeley: University of California Press. ISBN 0-52022154-0 (Paperback). • Chan, Hok-Lam. (1988). “The Chien-wen, Yunglo, Hung-shi, and Hsuan-te reigns, 1399-1435”in The Cambridge History of China: Volume 7, The Ming Dynasty, 1368–1644, Part 1, 182–384, edited by Denis Twitchett and John K. Fairbank. Cambridge: Cambridge University Press. ISBN 0-52124332-7.

• Engelfriet, Peter M. (1998). Euclid in China: The Genesis of the First Translation of Euclid's Elements in 1607 & Its Reception Up to 1723. Leiden: Koninklijke Brill. ISBN 90-04-10944-7. • Fairbank, John King; Goldman, Merle (2006), China: A New History; Second Enlarged Edition, Cambridge: The Belknap Press of Harvard University Press, ISBN 0-674-01828-1 • Gascoigne, Bamber. (2003). The Dynasties of China: A History. New York: Carroll & Graf Publishers. ISBN 0-7867-1219-8 (Paperback). • Geiss, James. (1988). “The Cheng-te reign, 1506– 1521,”in The Cambridge History of China: Volume 7, The Ming Dynasty, 1368–1644, Part 1, 403–439, edited by Denis Twitchett and John K. Fairbank. Cambridge: Cambridge University Press. ISBN 0521-24332-7. • Gernet, Jacques (1962). Daily Life in China on the Eve of the Mongol Invasion, 1250–1276. Translated by H. M. Wright. Stanford: Stanford University Press. ISBN 0-8047-0720-0 • Goldstein, Melvyn C. (1997). The Snow Lion and the Dragon: China, Tibet and the Dalai Lama. Berkeley: University of California Press. ISBN 0520-21951-1. • Hargett, James M. “Some Preliminary Remarks on the Travel Records of the Song Dynasty (960– 1279),”Chinese Literature: Essays, Articles, Reviews (Clear) (July 1985): 67–93.



• Hartwell, Robert M. “Demographic, Political, and Social Transformations of China, 750–1550,”Harvard Journal of Asiatic Studies (Volume 42, Number 2, 1982): 365–442.

• Needham, Joseph (1986). Science and Civilization in China: Volume 4, Physics and Physical Technology, Part 3, Civil Engineering and Nautics. Taipei: Caves Books Ltd.

• Ho, Ping-ti. (1959). Studies on the Population of China: 1368–1953. Cambridge: Harvard University Press. ISBN 0-674-85245-1.

• Needham, Joseph (1986). Science and Civilization in China: Volume 5, Chemistry and Chemical Technology, Part 7, Military Technology; the Gunpowder Epic. Taipei: Caves Books Ltd.

• Hoffman, Helmut. (2003). “Early and Medieval Tibet”in The History of Tibet: Volume 1, The Early Period to c. AD 850, the Yarlung Dynasty, 45–69, ed. Alex McKay. New York: Routledge. ISBN 0415-30842-9. • Hucker, Charles O. “Governmental Organization of The Ming Dynasty,”Harvard Journal of Asiatic Studies (Volume 21, December 1958): 1–66. • Kolmaš, Josef. (1967). Tibet and Imperial China: A Survey of Sino-Tibetan Relations Up to the End of the Manchu Dynasty in 1912: Occasional Paper 7. Canberra: The Australian National University, Centre of Oriental Studies. • Kuttner, Fritz A. “Prince Chu Tsai-Yü's Life and Work: A Re-Evaluation of His Contribution to Equal Temperament Theory,”Ethnomusicology, Vol. 19, No. 2 (May 1975): 163–206. • Laird, Thomas. (2006). The Story of Tibet: Conversations with the Dalai Lama. New York: Grove Press. ISBN 978-0-8021-1827-1. • Langlois, John D., Jr. (1988).“The Hung-wu reign, 1368–1398,”in The Cambridge History of China: Volume 7, The Ming Dynasty, 1368–1644, Part 1, 107–181, edited by Denis Twitchett and John K. Fairbank. Cambridge: Cambridge University Press. ISBN 0-521-24332-7. • Li, Bo and Zheng Ying. (2001). 5000 years of Chinese history. Inner Mongolia People's Publishing House. ISBN 7-204-04420-7. • Lipman, Jonathan N. (1998). Familiar Strangers: A History of Muslims in Northwest China. Seattle: University of Washington Press. • Mote, Frederick W. and Denis Twitchett. (1998). The Cambridge History of China; Volume 7–8. Cambridge: Cambridge University Press. ISBN 0521-24333-5 (Hardback edition).

• Needham, Joseph (1986). Science and Civilization in China: Volume 6, Biology and Biological Technology, Part 2: Agriculture. Taipei: Caves Books, Ltd. • Norbu, Dawa. (2001). China's Tibet Policy. Richmond: Curzon. ISBN 0-7007-0474-4. • Nowell, Charles E.“The Discovery of the Pacific: A Suggested Change of Approach,”The Pacific Historical Review (Volume XVI, Number 1; February 1947): 1–10. • Perdue, Peter C. (2000).“Culture, History, and Imperial Chinese Strategy: Legacies of the Qing Conquests,”in Warfare in Chinese History, 252–287, edited by Hans van de Ven. Leiden: Koninklijke Brill. ISBN 90-04-11774-1. • Pfoundes, C.“Notes on the History of Eastern Adventure, Exploration, and Discovery, and Foreign Intercourse with Japan,”Transactions of the Royal Historical Society (Volume X; 1882): 82–92. • Robinson, David M. “Banditry and the Subversion of State Authority in China: The Capital Region during the Middle Ming Period (1450–1525),”Journal of Social History (Spring 2000): 527–563. • Robinson, David M. “Politics, Force and Ethnicity in Ming China: Mongols and the Abortive Coup of 1461,”Harvard Journal of Asiatic Studies (Volume 59, Number 1, June 1999): 79–123. • Schafer, Edward H. “The Development of Bathing Customs in Ancient and Medieval China and the History of the Floriate Clear Palace,”Journal of the American Oriental Society (Volume 76, Number 2, 1956): 57–82.

• Needham, Joseph (1986). Science and Civilization in China: Volume 3, Mathematics and the Sciences of the Heavens and the Earth. Taipei: Caves Books, Ltd.

• Song, Yingxing (1966). T'ien-Kung K'ai-Wu: Chinese Technology in the Seventeenth Century. Translated with preface by E-Tu Zen Sun and ShiouChuan Sun University Park: Pennsylvania State University Press.

• Needham, Joseph (1986). Science and Civilization in China: Volume 4, Physics and Physical Technology, Part 2, Mechanical Engineering. Taipei: Caves Books Ltd.

• Spence, Jonathan D. (1999). The Search For Modern China; Second Edition. New York: W. W. Norton & Company. ISBN 0-393-97351-4 (Paperback).

17.10. EXTERNAL LINKS • Sperling, Elliot. (2003). “The 5th Karma-pa and some aspects of the relationship between Tibet and the Early Ming,”in The History of Tibet: Volume 2, The Medieval Period: c. AD 850–1895, the Development of Buddhist Paramountcy, 473–482, ed. Alex McKay. New York: Routledge. ISBN 0-41530843-7. • Temple, Robert. (1986). The Genius of China: 3,000 Years of Science, Discovery, and Invention. With a forward by Joseph Needham. New York: Simon and Schuster, Inc. ISBN 0-671-62028-2. • Wakeman, Frederick, Jr. “Rebellion and Revolution: The Study of Popular Movements in Chinese History,”The Journal of Asian Studies (1977): 201– 237. • Wang, Jiawei and Nyima Gyaincain. (1997). The Historical Status of China's Tibet. Beijing: China Intercontinental Press. ISBN 7-80113-304-8. • White, William Charles. (1966). The Chinese Jews (Vol. 1–3). New York: Paragon Book Reprint Corporation. • Wong, H.C. “China's Opposition to Western Science during Late Ming and Early Ch'ing,”Isis (Volume 54, Number 1, 1963): 29–49. • Wylie, Turrell V. (2003). “Lama Tribute in the Ming Dynasty”in The History of Tibet: Volume 2, The Medieval Period: c. AD 850–1895, the Development of Buddhist Paramountcy, ed. Alex McKay. New York: Routledge. ISBN 0-415-30843-7. • Yuan, Zheng. “Local Government Schools in Sung China: A Reassessment,”History of Education Quarterly (Volume 34, Number 2; Summer 1994): 193–213.

17.9 Further reading • Huang, Ray (1981). 1587, a Year of No Significance: The Ming Dynasty in Decline. New Haven: Yale University Press. ISBN 0-300-02518-1. • Owen, Stephen,“The Yuan and Ming Dynasties,”in Stephen Owen, ed. An Anthology of Chinese Literature: Beginnings to 1911. New York: W. W. Norton, 1997. p. 723-743 (Archive). • Owen, Stephen, “Late Ming Informal Prose,”in Stephen Owen, ed. An Anthology of Chinese Literature: Beginnings to 1911. New York: W. W. Norton, 1997. p. 807-832 (Archive).


17.10 External links • Notable Ming dynasty painters and galleries at China Online Museum • Ming dynasty art at the Metropolitan Museum of Art

Chapter 18

Qing dynasty Not to be confused with the Qin dynasty, the first dynasty of Imperial China. “Qing”redirects here. For other uses, see Qing (disambiguation). The Qing dynasty (Chinese: 清朝; pinyin: Qīng Cháo; Wade–Giles: Ch'ing1 Ch'ao2 ; IPA: [tɕʰíŋ tʂʰɑ̌ ʊ̯]), also Empire of the Great Qing, Great Qing or Manchu dynasty, was the last imperial dynasty of China, ruling from 1644 to 1912 with a brief, abortive restoration in 1917. It was preceded by the Ming dynasty and succeeded by the Republic of China. The Qing multi-cultural empire lasted almost three centuries and formed the territorial base for the modern Chinese state. The dynasty was founded by the Jurchen Aisin Gioro clan in Northeastern China. In the late sixteenth century, Nurhaci, originally a Ming vassal, began organizing Jurchen clans into "Banners", military-social units. Nurhaci formed them into a Manchu people, a term used, especially by foreigners, to call Northeast China Manchuria. By 1636, his son Hong Taiji began driving Ming forces out of Liaodong and declared a new dynasty, the Qing. In 1644, peasant rebels led by Li Zicheng conquered the Ming capital Beijing. Rather than serve them, Ming general Wu Sangui made an alliance with the Manchus and opened the Shanhai Pass to the Banner Armies led by Prince Dorgon, who defeated the rebels and seized Beijing. The conquest of China proper was not completed until 1683 under the Kangxi Emperor (r. 1661–1722). The Ten Great Campaigns of the Qianlong Emperor from the 1750s to the 1790s extended Qing control into Central Asia. While the early rulers maintained Manchu culture, they governed using Confucian styles and institutions of bureaucratic government. They retained the imperial examinations to recruit Han Chinese to work in parallel with Manchus. They also adopted the ideals of the tributary system in international relations. The reign of the Qianlong Emperor (1735–1796) saw the apogee and initial decline of prosperity and imperial control. The population rose to some 400 million, but taxes and government revenues were fixed at a low rate, virtually guaranteeing eventual fiscal crisis. Corruption set in, rebels tested government legitimacy, and ruling elites did not change their mindsets in the face of changes in the

world system. Following the Opium War, European powers imposed unequal treaties, free trade, extraterritoriality and treaty ports under foreign control. The Taiping Rebellion (1849–60) and Dungan Revolt (1862–77) in Central Asia led to the deaths of some 20 million people. In spite of these disasters, in the Tongzhi Restoration of the 1860s, Han Chinese elites rallied to the defense of the Confucian order and the Qing rulers. The initial gains in the Self-Strengthening Movement were destroyed in the First Sino-Japanese War of 1895, in which the Qing lost its influence over Korea and the possession of Taiwan. New Armies were organized, but the ambitious Hundred Days' Reform of 1898 was turned back by Empress Dowager Cixi, a ruthless but capable leader. When, in response to the violently anti-foreign Yihetuan (“Boxers”), foreign powers invaded China, the Empress Dowager declared war on them, leading to disastrous defeat. The government then initiated unprecedented fiscal and administrative reforms, including elections, a new legal code, and abolition of the examination system. Sun Yatsen and other revolutionaries competed with reformers such as Liang Qichao and monarchists such as Kang Youwei to transform the Qing empire into a modern nation. After the death of the Empress Dowager and the Emperor in 1908, the hardline Manchu court alienated reformers and local elites alike. Local uprisings starting on October 11, 1911 led to the 1911 Revolution. The last emperor abdicated on February 12, 1912.

18.1 Names Main article: Names of China Nurhaci originally named his state the Great Jin (lit. “gold”) dynasty in honor both of the 12–13th century Jurchen Jin dynasty and of his Aisin Gioro clan (Aisin being Manchu for the Chinese 金 (jīn, “gold”)), and afterwards called the Later Jin dynasty by historians. His son Hong Taiji renamed the dynasty Great Qing in 1636. There are competing explanations on the meaning of Qīng (lit. “clear”or “pure”). The name may have been se-




lected in reaction to the name of the Ming dynasty (明), 18.2.1 which consists of the Chinese characters for “sun”(日) and“moon”(月), both associated with the fire element of the Chinese zodiacal system. The character Qīng (清) is composed of“water”(氵) and“azure”(青), both associated with the water element. This association would justify the Qing conquest as defeat of fire by water. The water imagery of the new name may also have had Buddhist overtones of perspicacity and enlightenment and connections with the Bodhisattva Manjusri.* [3] After conquering “China proper”, the Manchus identified their state as “China”(中國, Zhōngguó; “Middle Kingdom”), and referred to it as Dulimbai Gurun in Manchu (Dulimbai means“central”or“middle,”gurun means “nation”or “state”). The emperors equated the lands of the Qing state (including present day Northeast China, Xinjiang, Mongolia, Tibet and other areas) as “China”in both the Chinese and Manchu languages, defining China as a multi-ethnic state, and rejecting the idea that “China”only meant Han areas. The Qing emperors proclaimed that both Han and non-Han peoples were part of “China.”They used both “China”and “Qing”to refer to their state in official documents, international treaties (as the Qing was known internationally as“China”* [4] or the“Chinese Empire”* [5]) and foreign affairs, and “Chinese language”(Dulimbai gurun i bithe) included Chinese, Manchu, and Mongol languages, and“Chinese people”(中國人 Zhōngguó rén; Manchu: Dulimbai gurun i niyalma) referred to all subjects of the empire.* [6]

Formation of the Manchu state

An Italian map showing the “Kingdom of the Nüzhen" or the "Jin Tartars”, who “have occupied and are at present ruling China”, north of Liaodong and Korea, published in 1682

The Qing dynasty was founded not by Han Chinese, who form the majority of the Chinese population, but by a semi-sedentary people known as the Jurchen, a Tungusic people who lived around the region now comprising the Chinese provinces of Jilin and Heilongjiang.* [12] What was to become the Manchu state was founded by Nurhaci, the chieftain of a minor Jurchen tribe – the Aisin Gioro – in Jianzhou in the early 17th century. Originally a vassal of the Ming emperors, Nurhachi embarked on an intertribal feud in 1582 that escalated into a campaign to unify the nearby tribes. By 1616, he had sufficiently consoliIn the Chinese-language versions of its treaties and its dated Jianzhou so as to be able to proclaim himself Khan maps of the world, the Qing government used “Qing” of the Great Jin in reference to the previous Jurchen dy* and “China”interchangeably. [7] nasty.* [13] The Manchu name daicing, which sounds like a phonetic Two years later, Nurhachi announced the "Seven rendering of Dà Qīng or Dai Ching, may in fact have been Grievances" and openly renounced the sovereignty of derived from a Mongolian word that means “warrior”. Ming overlordship in order to complete the unification of Daicing gurun may therefore have meant“warrior state” those Jurchen tribes still allied with the Ming emperor. , a pun that was only intelligible to Manchu and MonAfter a series of successful battles, he relocated his capgol people. In the later part of the dynasty, however, ital from Hetu Ala to successively bigger captured Ming even the Manchus themselves had forgotten this possible cities in Liaodong Peninsula: first Liaoyang in 1621, then * meaning. [8] Shenyang (Mukden) in 1625.* [13] When the Qing conquered Dzungaria in 1759, they Relocating his court from Jianzhou to Liaodong provided proclaimed that the new land was absorbed into Nurhachi access to more resources; it also brought him in “China”(Dulimbai Gurun) in a Manchu language memoclose contact with the Mongol domains on the plains of rial.* [9]* [10] The Manchu language version of the Mongolia. Although by this time the once-united MonConvention of Kyakhta (1768), a treaty with the Russian gol nation had long since fragmented into individual and Empire concerning criminal jurisdiction over bandits, rehostile tribes, these tribes still presented a serious secuferred to people from the Qing as“people from the Cenrity threat to the Ming borders. Nurhachi's policy towards tral Kingdom (Dulimbai Gurun)".* [11] the Mongols was to seek their friendship and cooperation against the Ming, securing his western border from a powerful potential enemy.* [14]

18.2 History

Furthermore, the Mongols proved a useful ally in the war, lending the Jurchens their expertise as cavalry archers. See also: History of the Ming dynasty § Fall of the To cement this new alliance, Nurhachi initiated a policy dynasty and Manchu conquest of China of inter-marriages between the Jurchen and Mongol nobilities, while those who resisted were met with military



action. This is a typical example of Nurhachi's initiatives that eventually became official Qing government policy. During most of the Qing period, the Mongols gave military assistance to the Manchus.* [14]

his reign did not start well on the military front. The Jurchens suffered yet another defeat in 1627 at the hands of Yuan Chonghuan. As before, this defeat was, in part, due to Ming's newly acquired Portuguese cannons.

Some of Nurhaci's other important contributions include ordering the creation of a written Manchu script based on the Mongolian so as to avoid the earlier Jurchen script which had been derived from Khitan and Chinese and the creation of the civil and military administrative system which eventually evolved into the Eight Banners, the defining element of Manchu identity and the foundation for transforming the loosely knitted Jurchen tribes into a nation.

To redress the technological and numerical disparity, Hong Taiji in 1634 created his own artillery corps, the ujen chooha, Chinese: 重軍 from among his existing Han troops who cast their own cannons in the European design with the help of captured Chinese metallurgists. In 1635, the Manchus' Mongol allies were fully incorporated into a separate Banner hierarchy under direct Manchu command. Hong Taiji then proceeded in 1636 to invade Korea again.

Han defectors played a massive role in the Qing conquest of China. Han Chinese Generals who defected to the Manchu were often given women from the Imperial Aisin Gioro family in marriage while the ordinary soldiers who defected were given non-royal Manchu women as wives. Nurhaci married one of his granddaughters to the Ming General Li Yongfang after he surrendered Fushun in Liaoning to the Manchu in 1618.* [15]* [16] Aisin Gioro women were married to the sons of the Han Chinese Generals Sun Sike (Sun Ssu-k'o), Geng Jimao (Keng Chi-mao), Shang Kexi (Shang K'o-hsi), and Wu Sangui (Wu San-kuei).* [17] Geng Zhongming, a Han bannerman, was awarded the title of Prince Jingnan, and his son Geng Jingmao managed to have both his sons Geng Jingzhong and Geng Zhaozhong become court attendants under Shunzhi and get married to Aisin Gioro women, with Haoge's (a son of Hong Taiji) daughter marrying Geng Jingzhong and Prince Abatai's granddaughter marrying Geng Zhaozhong.* [18]

This was followed by the creation of the first two Han Banners in 1637 (increasing to eight in 1642). Together these military reforms enabled Hong Taiji to resoundingly defeat Ming forces in a series of battles from 1640 to 1642 for the territories of Songshan and Jinzhou. This final victory resulted in the surrender of many of the Ming dynasty's most battle-hardened troops, the death of Yuan Chonghuan at the hands of the Chongzhen Emperor (who thought Yuan had betrayed him), and the complete and permanent withdrawal of the remaining Ming forces north of the Great Wall.

Qing era brush container

Nurhachi's unbroken series of military successes came to an end in January 1626 when he was defeated by Yuan Chonghuan while laying siege to Ningyuan. He died a few months later and was succeeded by his eighth son, Hong Taiji, who emerged after a short political struggle amongst other potential contenders as the new Khan. Although Hong Taiji was an experienced leader and the commander of two Banners at the time of his succession,

Meanwhile, Hong Taiji set up a rudimentary bureaucratic system based on the Ming model. He established six boards or executive level ministries in 1631 to oversee finance, personnel, rites, military, punishments, and public works. However, these administrative organs had very little role initially, and it was not until the eve of completing the conquest some ten years later that they filled out their government roles.* [19] Hong Taiji's bureaucracy was staffed with many Han Chinese, including many newly surrendered Ming officials. The Manchus' continued dominance was ensured by an ethnic quota for top bureaucratic appointments. Hong Taiji's reign also saw a fundamental change of policy towards his Han Chinese subjects. Nurhaci had treated Han in Liaodong differently according to how much grain they had, those with less than 5 to 7 sin were treated like chattel while those with more than that amount were rewarded with property. Due to a revolt by Han in Liaodong in 1623, Nurhachi, who previously gave concessions to conquered Han subjects in Liaodong, turned against them and ordered that they no longer be trusted and enacted discriminatory policies and killings against them, while ordering that Han who assimilated to the Jurchen (in Jilin) before 1619 be treated equally as Jurchens were and not like the conquered Han in Liaodong. Hong Taiji instead incorporated them into the Jurchen“nation”as full (if not first-class) citizens, obligated to provide military service. By 1648, less than one-sixth of the bannermen were of Manchu ancestry.* [20] This change of policy not only increased Hong Taiji's manpower and reduced his military dependence on banners not under his personal control, it also greatly encouraged other Han Chinese subjects of the



Ming dynasty to surrender and accept Jurchen rule when they were defeated militarily. Through these and other measures Hong Taiji was able to centralize power unto the office of the Khan, which in the long run prevented the Jurchen federation from fragmenting after his death. One of the defining events of Hong Taiji's reign was the official adoption of the name “Manchu”for the united Jurchen people in November, 1635. The next year, when he is said to be presented with the imperial seal of the Yuan dynasty after the defeat of the last Khagan of the Mongols, Hong Taiji renamed his state from“Great Jin” to“Great Qing”and elevated his position from Khan to Emperor, suggesting imperial ambitions beyond unifying the Manchu territories.


Claiming the Mandate of Heaven

Pine, Plum and Cranes, 1759 AD, by Shen Quan (1682–1760). Hanging scroll, ink and colour on silk. The Palace Museum, Beijing.

against fiscal collapse, and against a series of peasant rebellions. They were unable to capitalise on the Manchu succession dispute and installation of a minor as emperor. In April 1644, the capital at Beijing was sacked by a coaliDorgon (1612–1650) tion of rebel forces led by Li Zicheng, a former minor Ming official, who established a short-lived Shun dynasty. Hong Taiji died suddenly in September 1643 without The last Ming ruler, the Chongzhen Emperor, committed a designated heir. As the Jurchens had traditionally suicide when the city fell, marking the official end of the “elected”their leader through a council of nobles, the dynasty. Qing state did not have in place a clear succession system Li Zicheng then led a coalition of rebel forces numberuntil the reign of the Kangxi Emperor. The leading con- ing 200,000* [lower-alpha 1] to confront Wu Sangui, the tenders for power at this time were Hong Taiji's oldest son general commanding the Ming garrison at Shanhai Pass. Hooge and Hong Taiji' half brother Dorgon. A compro- Shanhai Pass is a pivotal pass of the Great Wall, located mise candidate in the person of Hong Taiji's five-year-old fifty miles northeast of Beijing, and for years its defenses son, Fulin, was installed as the Shunzhi Emperor, with kept the Manchus from directly raiding the Ming capital. Dorgon as regent and de facto leader of the Manchu na- Wu Sangui, caught between a rebel army twice his size tion. and a foreign enemy he had fought for years, decided to Ming government officials fought against each other, cast his lot with the Manchus, with whom he was famil-



iar. Wu Sangui may have been influenced by Li Zicheng's mistreatment of his family and other wealthy and cultured officials; it was said that Li also took Wu's concubine Chen Yuanyuan for himself. Wu and Dorgon allied in the name of avenging the death of the Chongzhen Emperor. Together, the two former enemies met and defeated Li Zicheng's rebel forces in battle on May 27, 1644.* [21] The newly allied armies captured Beijing on June 6. The Shunzhi Emperor was invested as the "Son of Heaven" on October 30. The Manchus, who had positioned themselves as political heir to the Ming emperor by defeating the rebel Li Zicheng, completed the symbolic transition by holding a formal funeral for the Chongzhen Emperor. However the process of conquering the rest of China took another seventeen years of battling Ming loyalists, pretenders and rebels. The last Ming pretender, Prince Gui, sought refuge with the King of Burma, but was turned over to a Qing expeditionary army commanded by Wu Sangui, who had him brought back to Yunnan province and executed in early 1662. Han Chinese Banners were made up of Han Chinese who defected to the Qing up to 1644 and joined the Eight Banners, giving them social and legal privileges in addition to being acculturated to Manchu culture. So many Han defected to the Qing and swelled the ranks of the Eight Banners that ethnic Manchus became a minority, making up only 16% in 1648, with Han Bannermen dominat- A Chinese paddle-wheel driven ship from a Qing encyclopedia ing at 75%.* [22]* [23] This multi-ethnic force in which published in 1726. Manchus were only a minority conquered China for the Qing.* [24] moted or imprisoned under one pretext or another. AlHan Chinese Bannermen were responsible for the sucthough the period of his regency was relatively short, Dorcessful Qing conquest of China, as they made up the magon cast a long shadow over the Qing dynasty. jority of governors in the early Qing, and they governed and administered China after the conquest, stabilizing First, the Manchus had entered “China proper”beQing rule.* [25] Han Bannermen dominated the post of cause Dorgon responded decisively to Wu Sangui's apgovernor-general in the time of the Shunzhi and Kangxi peal. Then, after capturing Beijing, instead of sacking Emperors, and also the post of governor, largely exclud- the city as the rebels had done, Dorgon insisted, over the protests of other Manchu princes, on making it the dynasing ordinary Han civilians from these posts.* [26] tic capital and reappointing most Ming officials. ChoosThe Qing showed that the Manchus valued military skills ing Beijing as the capital had not been a straightforward in propaganda targeted towards the Ming military to get decision, since no major Chinese dynasty had directly them to defect to the Qing, since the Ming civilian polititaken over its immediate predecessor's capital. Keeping cal system discriminated against the military.* [27] The the Ming capital and bureaucracy intact helped quickly three Liaodong Han Bannermen officers who played a stabilize the regime and sped up the conquest of the rest massive role in the conquest of southern China from the of the country. However, not all of Dorgon's policies Ming were Shang Kexi, Geng Zhongming, and Kong were equally popular nor easily implemented. Youde and they governed southern China autonomously as viceroys for the Qing after their conquests.* [28] Nor- Dorgon's controversial July 1645 edict (the “haircutmally the Manchu Bannermen acted as only reserve ting order”) forced adult Han Chinese men to shave the forces while the Qing foremost used defected Han Chi- front of their heads and comb the remaining hair into nese troops to fight as the vanguard during the entire con- the queue hairstyle which was worn by Manchu men, on pain of death.* [30] The popular description of the order quest of China.* [29] was: “To keep the hair, you lose the head; To keep your The first seven years of the Shunzhi Emperor's reign were head, you cut the hair.”* [31] To the Manchus, this poldominated by the regent prince Dorgon. Because of his icy was a test of loyalty and an aid in distinguishing friend own political insecurity, Dorgon followed Hong Taiji's from foe. For the Han Chinese, however, it was a humilexample by ruling in the name of the emperor at the exiating reminder of Qing authority that challenged tradipense of rival Manchu princes, many of whom he detional Confucian values. The Classic of Filial Piety (Xi-



aojing) held that “a person's body and hair, being gifts from one's parents, are not to be damaged.”Under the Ming dynasty, adult men did not cut their hair but instead wore it in the form of a top-knot.* [32] The order triggered strong resistance to Qing rule in Jiangnan* [33] and massive killing of ethnic Han Chinese. Li Chengdong, a Han Chinese general who had served the Ming but surrendered to the Qing,* [34] ordered troops to carry out three separate massacres in the city of Jiading within a month, resulting in tens of thousands of deaths. At the end of the third massacre, there was hardly any living person left in this city.* [35] The queue was the only aspect of Manchu culture which the Qing forced on the common Han population. The Qing required people serving as officials to wear Manchu clothing, but allowed non-official Han civilians to continue wearing Hanfu (Han clothing). On December 31, 1650, Dorgon suddenly died during a hunting expedition, marking the official start of the Shunzhi Emperor's personal rule. Because the emperor was only 12 years old at that time, most decisions were made on his behalf by his mother, Empress Dowager Xiaozhuang, who turned out to be a skilled political operator. Although Dorgon's support had been essential to Shunzhi's ascent, Dorgon had through the years centralised so much power in his hands as to become a direct threat to the throne. So much so that upon his death he was extraordinarily bestowed the posthumous title of Emperor Yi (Chinese: 義皇帝), the only instance in Qing history in which a Manchu "prince of the blood" (Chinese: 親 王) was so honored. Two months into Shunzhi's personal rule, Dorgon was not only stripped of his titles, but his corpse was disinterred and mutilated.* [lower-alpha 2] to atone for multiple “crimes”, one of which was persecuting to death Shunzhi’s agnate eldest brother, Hooge. More importantly, Dorgon's symbolic fall from grace also signalled a political purge of his family and associates at court, thus reverting power back to the person of the emperor. After a promising start, Shunzhi's reign was cut short by his early death in 1661 at the age of twenty-four from smallpox. He was succeeded by his third son Xuanye, who reigned as the Kangxi Emperor.


The Kangxi Emperor (r. 1662–1722)

senior cabinet ministers to govern on behalf of his young son. The four ministers —Sonin, Ebilun, Suksaha, and Oboi —were chosen for their long service, but also to counteract each other's influences. Most important, the four were not closely related to the imperial family and laid no claim to the throne. However as time passed, through chance and machination, Oboi, the most junior of the four, achieved such political dominance as to be a potential threat. Even though Oboi's loyalty was never an issue, his personal arrogance and political conservatism led him into an escalating conflict with the young emperor. In 1669 Kangxi, through trickery, disarmed and The Kangxi Emperor's reign and imprisoned Oboi —a significant victory for a fifteenyear-old emperor over a wily politician and experienced consolidation commander.

See also: Revolt of the Three Feudatories The sixty-one year reign of the Kangxi Emperor was the longest of any Chinese emperor. Kangxi's reign is also celebrated as the beginning of an era known as “High Qing”, during which the dynasty reached the zenith of its social, economic and military power. Kangxi's long reign started when he was eight years old upon the untimely demise of his father. To prevent a repeat of Dorgon's dictatorial monopolizing of power during the regency, the Shunzhi Emperor, on his deathbed, hastily appointed four

The early Manchu rulers also established two foundations of legitimacy which help to explain the stability of their dynasty. The first was the bureaucratic institutions and the neo-Confucian culture which they adopted from earlier dynasties.* [36] Manchu rulers and Han Chinese scholar-official elites gradually came to terms with each other. The examination system offered a path for ethnic Han to become officials. Imperial patronage of Kangxi Dictionary demonstrated respect for Confucian learning, while the Sacred Edict of 1670 effec-


CHAPTER 18. QING DYNASTY tensive territories became increasingly autonomous. Finally, in 1673, Shang Kexi petitioned Kangxi for permission to retire to his hometown in Liaodong province and nominated his son as his successor. The young emperor granted his retirement, but denied the heredity of his fief. In reaction, the two other generals decided to petition for their own retirements to test Kangxi's resolve, thinking that he would not risk offending them. The move backfired as the young emperor called their bluff by accepting their requests and ordering that all three fiefdoms to be reverted to the crown.

Pilgrim flask, porcelain with underglaze blue and iron-red decoration. Qing dynasty, Qianlong period in the 18th century.

tively extolled Confucian family values. The second major source of stability was the Central Asian aspect of their Manchu identity which allowed them to appeal to Mongol, Tibetan, Uighur constituents. The Qing rulers were simultaneously emperors of the Han Chinese, khans of the Mongols, and Buddhist sage rulers, patrons of Tibetan Buddhism, for the newly conquered areas of Central Asia.* [37] The Kangxi Emperor also welcomed to his court Jesuit missionaries, who had first come to China under the Ming. Missionaries including Tomás Pereira, Martino Martini, Johann Adam Schall von Bell, Ferdinand Verbiest and Antoine Thomas held significant positions as military weapons experts, mathematicians, cartographers, astronomers and advisers to the emperor. The relationship of trust was however lost in the later Chinese Rites controversy.

Faced with the stripping of their powers, Wu Sangui, later joined by Geng Zhongming and by Shang Kexi's son Shang Zhixin, felt they had no choice but to revolt. The ensuing Revolt of the Three Feudatories lasted for eight years. Wu attempted, ultimately in vain, to fire the embers of south China Ming loyalty by restoring Ming customs, ordering that the resented queues be cut, and declaring himself emperor of a new dynasty. At the peak of the rebels' fortunes, they extended their control as far north as the Yangtze River, nearly establishing a divided China. Wu then hesitated to go further north, not being able to coordinate strategy with his allies, and Kangxi was able to unify his forces for a counterattack led by a new generation of Manchu generals. By 1681, the Qing government had established control over a ravaged southern China which took several decades to recover.* [38] Manchu Generals and Bannermen were initially put to shame by the better performance of the Han Chinese Green Standard Army, who fought better than them against the rebels and this was noted by Kangxi, leading him to task Generals Sun Sike, Wang Jinbao, and Zhao Liangdong to lead Green Standard Soldiers to crush the rebels.* [39] The Qing thought that Han Chinese were superior at battling other Han people and so used the Green Standard Army as the dominant and majority army in crushing the rebels instead of Bannermen.* [40] In northwestern China against Wang Fuchen, the Qing put Bannermen in the rear as reserves while they used Han Chinese Green Standard Army soldiers and Han Chinese Generals like Zhang Liangdong, Wang Jinbao, and Zhang Yong as the primary military forces, considering Han troops as better at fighting other Han people, and these Han generals achieved victory over the rebels.* [41] Sichuan and southern Shaanxi were retaken by the Han Chinese Green Standard Army under Wang Jinbao and Zhao Liangdong in 1680, with Manchus only participating in dealing with logistics and provisions.* [42] 400,000 Green Standard Army soldiers and 150,000 Bannermen served on the Qing side during the war.* [43] 213 Han Chinese Banner companies, and 527 companies of Mongol and Manchu Banners were mobilized by the Qing during the revolt.* [44]

Yet controlling the "Mandate of Heaven" was a daunting task. The vastness of China's territory meant that there were only enough banner troops to garrison key cities forming the backbone of a defense network that relied heavily on surrendered Ming soldiers. In addition, three surrendered Ming generals were singled out for their contributions to the establishment of the Qing dynasty, ennobled as feudal princes (藩 王), and given governorships over vast territories in Southern China. The chief of these was Wu Sangui, who was given the provinces of Yunnan and Guizhou, while generals Shang To extend and consolidate the dynasty's control in CenKexi and Geng Jingzhong were given Guangdong and tral Asia, the Kangxi Emperor personally led a series of military campaigns against the Dzungars in Outer MonFujian provinces respectively. golia. The Kangxi Emperor was able to successfully expel As the years went by, the three feudal lords and their ex-

18.2. HISTORY Galdan's invading forces from these regions, which were then incorporated into the empire. Galdan was eventually killed in the First Oirat-Manchu War. In 1683, Qing forces took Taiwan from Zheng Keshuang, grandson of Koxinga, who had conquered Taiwan from the Dutch colonists as a base against the Qing. Winning Taiwan freed Kangxi's forces for series of battles over Albazin, the far eastern outpost of Russian Empire. The 1689 Treaty of Nerchinsk was China's first formal treaty with a European power and kept the border peaceful for the better part of two centuries. After Galdan's death, his followers, as adherents to Tibetan Buddhism, attempted to control the choice of the next Dalai Lama. Kangxi dispatched two armies to Lhasa, the capital of Tibet, and installed a Dalai Lama sympathetic to the Qing.* [45] By the end of the 17th century, China was at its greatest height of confidence and political control since the Ming dynasty.


Reigns of the Yongzheng and Qianlong emperors

See also: Ten Great Campaigns The reigns of the Yongzheng Emperor (r. 1723–1735)

The Putuo Zongcheng Temple of Chengde, built in the 18th century during the reign of the Qianlong Emperor.

229 the words of one recent historian, he was “severe, suspicious, and jealous, but extremely capable and resourceful,”* [47] and in the words of another, turned out to be an “early modern state-maker of the first order.”* [48] He moved rapidly. First, he promoted Confucian orthodoxy and reversed what he saw as his father's laxness by cracking down on unorthodox sects and by decapitating an anti-Manchu writer his father had pardoned. In 1723 he outlawed Christianity and expelled Christian missionaries, though some were allowed to remain in the capital.* [49] Next, he moved to control the government. He expanded his father's system of Palace Memorials which brought frank and detailed reports on local conditions directly to the throne without being intercepted by the bureaucracy, and created a small Grand Council of personal advisors which eventually grew into the emperor's de facto cabinet for the rest of the dynasty. He shrewdly filled key positions with Manchu and Han Chinese officials who depended on his patronage. When he began to realize that the financial crisis was even greater than he had thought, Yongzheng rejected his father's lenient approach to local landowning elites and mounted a campaign to enforce collection of the land tax. The increased revenues were to be used for“money to nourish honesty” among local officials and for local irrigation, schools, roads, and charity. Although these reforms were effective in the north, in the south and lower Yangzi valley, where Kangxi had wooed the elites, there were long established networks of officials and landowners. Yongzheng dispatched experienced Manchu commissioners to penetrate the thickets of falsified land registers and coded account books, but they were met with tricks, passivity, and even violence. The fiscal crisis persisted.* [50] In 1725 Yongzheng bestowed the hereditary title of Marquis on a descendant of the Ming dynasty Imperial family, Zhu Zhiliang, who received a salary from the Qing government and whose duty was to perform rituals at the Ming tombs, and was also inducted the Chinese Plain White Banner in the Eight Banners. Later the Qianlong Emperor bestowed the title Marquis of Extended Grace posthumously on Zhu Zhuliang in 1750, and the title passed on through twelve generations of Ming descendants until the end of the Qing dynasty.

and his son, the Qianlong Emperor (r. 1735–1796), marked the height of Qing power. During this period, Yongzheng also inherited diplomatic and strategic probthe Qing Empire ruled over 13 million square kilometres lems. A team made up entirely of Manchus drew up the of territory. Treaty of Kyakhta (1727) to solidify the diplomatic understanding with Russia. In exchange for territory and After the Kangxi Emperor's death in the winter of 1722, trading rights, the Qing would have a free hand dealing his fourth son, Prince Yong (雍 親 王), became the with the situation in Mongolia. Yongzheng then turned Yongzheng Emperor. In the later years of Kangxi's reign, to that situation, where the Zunghars threatened to reYongzheng and his brothers had fought, and there were emerge, and to the southwest, where local Miao chiefrumours that he had usurped the throne, a charge for tains resisted Qing expansion. These campaigns drained which there is little evidence. In fact, his father had the treasury but established the emperor's control of the trusted him with delicate political issues and discussed * [51] military and military finance. state policy with him. When Yongzheng came to power at the age of 45, he felt a sense of urgency about the prob- The Yongzheng Emperor died in 1735. His 24-year-old lems which had accumulated in his father's later years and son, Prince Bao (寶 親 王), then became the Qianlong did not need instruction in how to exercise power.* [46] In

230 Emperor. Qianlong personally led military campaigns near Xinjiang and Mongolia, putting down revolts and uprisings in Sichuan and parts of southern China while expanding control over Tibet.

CHAPTER 18. QING DYNASTY moaned the country's situation by remarking“The population continues to grow, but the land does not.”The only remaining part of the empire that had arable farmland was Manchuria, where the provinces of Jilin and Heilongjiang had been walled off as a Manchu homeland. The emperor decreed for the first time that Han Chinese civilians were forbidden to settle.* [54] In 1796, open rebellion by the White Lotus Society against the Qing government broke out. The White Lotus Rebellion continued for eight years, until 1804, and marked a turning point in the history of the Qing dynasty.* [55]

18.2.5 Rebellion, unrest and external pressure

“The reception of the Diplomatique (Macartney) and his suite, at the Court of Pekin”. Drawn and engraved by James Gillray, published in September 1792.

Qianlong's reign saw the launch of several ambitious cultural projects, including the compilation of the Siku Quanshu, or Complete Repository of the Four Branches of Literature. With a total of over 3,400 books, 79,000 chapters, and 36,304 volumes, the Siku Quanshu is the largest collection of books in Chinese history. Nevertheless, Qianlong used Literary Inquisition to silence opposition. The accusation of individuals began with the emperor's own interpretation of the true meaning of the corresponding words. If the emperor decided these were derogatory or cynical towards the dynasty, persecution would begin. Literary inquisition began with isolated cases at the time of Shunzhi and Kangxi, but became a pattern under Qianlong's rule, during which there were 53 cases of literary persecution.* [52]

British Steamship destroying Chinese war junks (E. Duncan) (1843)

At the start of the dynasty, the Chinese empire continued to be the hegemonic power in East Asia. Although there was no formal ministry of foreign relations, the Lifan Yuan was responsible for relations with the Mongol and Tibetans in Central Asia, while the tributary system, a loose set of institutions and customs taken over from the Ming, in theory governed relations with East and Southeast Asian countries. The Treaty of Nerchinsk (1689) stabilized relations with Czarist Russia.

Beneath outward prosperity and imperial confidence, the later years of Qianlong's reign saw rampant corruption and neglect. Heshen, the emperor's handsome young favorite, took advantage of the emperor's indulgence to become one of the most corrupt officials in the history of the dynasty.* [53] Qianlong's son, the Jiaqing Emperor However, the 18th century saw the European empires (r. 1796–1820), eventually forced Heshen to commit sui- gradually expand across the world, as European states decide. veloped economies built on maritime trade. The dynasty China also began suffering from mounting overpopula- was confronted with newly developing concepts of the intion during this period. Population growth was stagnant ternational system and state to state relations. European for the first half of the 17th century due to civil wars and trading posts expanded into territorial control in nearby epidemics, but prosperity and internal stability gradually India and on the islands that are now Indonesia. The Qing reversed this trend. The introduction of new crops by response, successful for a time, was in 1756 to establish Europeans such as the potato and peanut allowed an im- the Canton System, which restricted maritime trade to proved food supply as well, so that the total population of that city and gave monopoly trading rights to private ChiChina during the 18th century ballooned from 100 mil- nese merchants. The British East India Company and the lion to 300 million people. Soon all available farmland Dutch East India Company had long before been granted was used up, forcing peasants to work ever-smaller and similar monopoly rights by their governments. more intensely worked plots. Emperor Qianlong once be- In 1793, the British East India Company, with the support



of the British government, sent a delegation to China under Lord George Macartney in order to open free trade and put relations on a basis of equality. The imperial court viewed trade as unimportant, whereas the British saw maritime trade as the key to their economy. The Qianlong Emperor told Macartney“the kings of the myriad nations come by land and sea with all sorts of precious things,”and “consequently there is nothing we lack....” * [56]

Navy. British soldiers, using advanced muskets and artillery, easily outmaneuvered and outgunned Qing forces in ground battles. The Qing surrender in 1842 marked a decisive, humiliating blow to China. The Treaty of Nanjing, the first of the unequal treaties, demanded war reparations, forced China to open up the five ports of Canton, Amoy, Fuchow, Ningpo and Shanghai to western trade and missionaries, and to cede Hong Kong Island to Great Britain. It revealed many inadequacies in the Qing govDemand in Europe for Chinese goods such as silk, tea, ernment and provoked widespread rebellions against the already hugely unpopular regime. and ceramics could only be met if European companies funneled their limited supplies of silver into China. In the The Taiping Rebellion in the mid-19th century was the late 1700s, the governments of Great Britain and France first major instance of anti-Manchu sentiment threatwere deeply concerned about the imbalance of trade and ening the stability of the dynasty. Hong Xiuquan, a the drain of silver. To meet the growing Chinese de- failed civil service candidate, led the Taiping Rebellion, mand for opium, the British East India Company greatly amid widespread social unrest and worsening famine. In expanded its production in Bengal. Since China's econ- 1851 Hong Xiuquan and others launched an uprising omy was essentially self-sufficient, the country had little in Guizhou province, established the Taiping Heavenly need to import goods or raw materials from the Euro- Kingdom with Hong himself as king, claiming he often peans, so the usual way of payment was through silver. had visions of God and that he was the brother of Jesus The Daoguang emperor, concerned both over the outflow Christ. Slavery, concubinage, arranged marriage, opium of silver and the damage that opium smoking was caus- smoking, footbinding, judicial torture, and the worship ing to his subjects, ordered Lin Zexu to end the opium of idols were all banned. However, success and subsetrade. Lin confiscated the stocks of opium without com- quent authority and power led to internal feuds, defections pensation in 1839, leading Great Britain to declare war and corruption. In addition, British and French troops, on China in the following year. equipped with modern weapons, had come to the assistance of the Qing imperial army. It was not until 1864 that Qing armies under Zeng Guofan succeeded in crushing the revolt. The rebellion not only posed the most serious threat towards Qing rulers; it was also“bloodiest civil war of all time.”Between 20 and 30 million people died during its fourteen-year course from 1850 to 1864.* [57] After the outbreak of this rebellion, there were also revolts by the Muslims and Miao people of China against the Qing dynasty, most notably in the Dungan Revolt (1862–77) in the northwest and the Panthay Rebellion (1856–1873) in Yunnan.

A scene of the Taiping Rebellion, 1850–1864

In this political cartoon, the United Kingdom, Germany, Russia, France, and Japan are dividing China

The First Opium War revealed the outdated state of the Chinese military. The Qing navy, composed entirely of wooden sailing junks, was severely outclassed by the modern tactics and firepower of the British Royal

The Western powers, largely unsatisfied with the Treaty of Nanjing, gave grudging support to the Qing government during the Taiping and Nian Rebellions. China's income fell sharply during the wars as vast areas of farmland were destroyed, millions of lives were lost, and countless armies were raised and equipped to fight the rebels. In 1854, Great Britain tried to re-negotiate the Treaty of Nanjing, inserting clauses allowing British commercial access to Chinese rivers and the creation of



a permanent British embassy at Beijing. In 1856, Qing authorities, in searching for a pirate, boarded a ship, the Arrow, which the British claimed had been flying the British flag, an incident which led to the Second Opium War. In 1858, facing no other options, the Xianfeng Emperor agreed to the Treaty of Tientsin, which contained clauses deeply insulting to the Chinese, such as a demand that all official Chinese documents be written in English and a proviso granting British warships unlimited access to all navigable Chinese rivers. Ratification of the treaty the following year led to resumption of hostilities and in 1860, with Anglo-French forces marching on Beijing, the emperor and his court fled the capital for the imperial hunting lodge at Rehe. Once in Beijing, the Anglo-French forces looted the Old Summer Palace, and in an act of revenge for the arrest of several Englishmen, burnt it to the ground. Prince Gong, a younger half-brother of the emperor, who had been left as his brother's proxy in the capital, was forced to sign the Convention of Beijing. Meanwhile, the humiliated emperor died the following year at Rehe.


Self-strengthening and the frustration of reforms

Yet the dynasty rallied. Chinese generals and officials such as Zuo Zongtang led the suppression of rebellions and stood behind the Manchus. When the Tongzhi Emperor came to the throne at the age of five in 1861, these officials rallied around him in what was called the Tongzhi Restoration. Their aim was to adopt western military technology in order to preserve Confucian values. Zeng Guofan, in alliance with Prince Gong, sponsored the rise of younger officials such as Li Hongzhang, who put the dynasty back on its feet financially and instituted the Self-Strengthening Movement. The reformers then proceeded with institutional reforms, including China's first unified ministry of foreign affairs, the Zongli Yamen; allowing foreign diplomats to reside in the capital; establishment of the Imperial Maritime Customs Service; the formation of modernized armies, such as the Beiyang Army, as well as a navy; and the purchase from Europeans of armament factories. * [58] The dynasty lost control of peripheral territories bit by bit. In return for promises of support against the British and the French, Czarist Russia took large chunks of territory in the Northeast in 1860. The period of cooperation between the reformers and the European powers ended with the Tientsin Massacre of 1870, which was incited by the murder of French nuns set off by the belligerence of local French diplomats. Starting with the Cochinchina Campaign in 1858, France expanded control of Indochina. By 1883, France was in full control of the region and had reached the Chinese border. The Sino-French War over Tonkin, once a Qing tributary state, ended in 1885 with French victory and Chinese recognition of all the French

Imperialism 1900. The bear representing Russia, the lion, the United Kingdom, the frog France, and the eagle the United States.

claims to it.* [59] In 1884, pro-Japanese Koreans in Seoul led the Gapsin Coup. Tensions between China and Japan rose after China intervened to suppress the uprising. Japanese Prime Minister Itō Hirobumi and Li Hongzhang signed the Convention of Tientsin, an agreement to withdraw troops simultaneously, but the First Sino-Japanese War of 1895 was a military humiliation. The Treaty of Shimonoseki recognized Korean independence and ceded Taiwan and the Pescadores to Japan. The terms might have been harsher, but a when Japanese citizen attacked and wounded Li Hongzhang, an international outcry shamed the Japanese into revising them. The original agreement stipulated the cession of Liaodong Peninsula to Japan, but Russia, with its own designs on the territory, along with Germany and France, in what was known as the Triple Intervention, successfully put pressure on the Japanese to abandon the peninsula. These years saw an evolution in the participation of Empress Dowager Cixi (Wade–Giles: Tz'u-Hsi) in state affairs. She entered the imperial palace in the 1850s as a concubine to the Xianfeng Emperor (r. 1850–1861) and came to power in 1861 after her five year-old son, the Tongzhi Emperor ascended the throne. She, the Empress Dowager Ci'an (who had been Xianfeng's empress), and Prince Gong (a son of the Daoguang Emperor), staged a coup that ousted several regents for the boy emperor.


233 reforms, the empress dowager stepped in to call them off, arrested and executed several reformers, and took over day-to-day control of policy. Yet many of the plans stayed in place, and the goals of reform were implanted.* [61] Widespread drought in North China, combined with the imperialist designs of European powers and the instability of the Qing government, created conditions that led to the emergence of the Righteous and Harmonious Fists, or "Boxers.”In 1900, local groups of Boxers proclaiming support for the Qing dynasty murdered foreign missionaries and large numbers of Chinese Christians, then converged on Beijing to besiege the Foreign Legation Quarter. A coalition of European, Japanese, and Russian armies (the Eight-Nation Alliance) then entered China without diplomatic notice, much less permission. Cixi declared war on all of these nations, only to lose control of Beijing after a short, but hard-fought campaign. She fled to Xi'an. The victorious allies drew up scores of demands on the Qing government, including compensation for their expenses in invading China and execution of complicit officials.* [62]

18.2.7 Reform, revolution, collapse Painting of Empress Dowager Cixi by Dutch American artist Hubert Vos circa 1905

Between 1861 and 1873, she and Ci'an served as regents, choosing the reign title“Tongzhi”(ruling together). Following the emperor's death in 1875, Cixi's nephew, the Guangxu Emperor, took the throne, in violation of the dynastic custom that the new emperor be of the next generation, and another regency began. In the spring of 1881, Ci'an suddenly died, aged only forty-three, leaving Cixi as sole regent. * [60] From 1889, when Guangxu began to rule in his own right, to 1898, the Empress Dowager lived in semiretirement, spending the majority of the year at the Summer Palace. On November 1, 1897, two German Roman Catholic missionaries were murdered in the southern part of Shandong Province (the Juye Incident). In response, Germany used the murders as a pretext for a naval occupation of Jiaozhou Bay. The occupation prompted a “scramble for concessions”in 1898, which included the German lease of Jiazhou Bay, the Russian acquisition of Liaodong, and the British lease of the New Territories of Hong Kong. In the wake of these external defeats, Emperor Guangxu initiated the Hundred Days' Reform of 1898. Newer, more radical advisers such as Kang Youwei were given positions of influence. The emperor issued a series of edicts and plans were made to reorganize the bureaucracy, restructure the school system, and appoint new officials. Opposition from the bureaucracy was immediate and intense. Although she had been involved in the initial

Yuan Shikai

By the early 20th century, mass civil disorder had begun in China, and it was growing continuously. To overcome such problems, Empress Dowager Cixi issued an imperial edict in 1901 calling for reform proposals from the governors-general and governors and initiated the era of the dynasty's “New Policy,”also known as the “Late



Qing Reform.”The edict paved the way for the most far- in 1945. reaching reforms in terms of their social consequences, including the creation of a national education system and the abolition of the imperial examinations in 1905.* [63] 18.3


The Guangxu Emperor died on November 14, 1908, and on November 15, 1908, Cixi also passed away. Rumors See also: Mandarin (bureaucrat) § Ranks under the Qing held that she or Yuan Shikai ordered trusted eunuchs to dynasty and List of emperors of the Qing dynasty poison the Guangxu Emperor, and an autopsy conducted The early Qing emperors adopted the bureaucratic strucnearly a century later confirmed lethal levels of arsenic in his corpse.* [64] Puyi, the oldest son of Zaifeng, Prince Chun, and nephew to the childless Guangxu emperor, was appointed successor at the age of two, leaving Zaifeng with the regency. This was followed by the dismissal of General Yuan Shikai from his former positions of power. In April 1911 Zaifeng created a cabinet in which there were two vice-premiers. Nonetheless, this cabinet was also known by contemporaries as “The Royal Cabinet”because among the thirteen cabinet members, five were members of the imperial family or Aisin Gioro relatives.* [65] This brought a wide range of negative opinions from senior officials like Zhang Zhidong. The Wuchang Uprising of October 10, 1911, led to the creation of a new central government, the Republic of China, in Nanjing with Sun Yat-sen as its provisional head. Many provinces soon began “separating”from Qing control. Seeing a desperate situation unfold, the Qing government brought Yuan Shikai back to military power. He took control of his Beiyang Army to crush the revolution in Wuhan at the Battle of Yangxia. After taking the position of Prime Minister and creating his own cabinet, Yuan Shikai went as far as to ask for the removal of Zaifeng from the regency. This removal later proceeded with directions from Empress Dowager Longyu. With Zaifeng gone, Yuan Shikai and his Beiyang commanders effectively dominated Qing politics. He reasoned that going to war would be unreasonable and costly, especially when noting that the Qing government had a goal for constitutional monarchy. Similarly, Sun Yatsen's government wanted a republican constitutional reform, both aiming for the benefit of China's economy and populace. With permission from Empress Dowager Longyu, Yuan Shikai began negotiating with Sun Yatsen, who decided that his goal had been achieved in forming a republic, and that therefore he could allow Yuan to step into the position of President of the Republic of China.

A Qing dynasty mandarin

tures and institutions from the preceding Ming dynasty but split rule between Han Chinese and Manchus, with some positions also given to Mongols.* [66] Like previous dynasties, the Qing recruited officials via the imperial examination system, until the system was abolished in 1905. The Qing divided the positions into civil and military positions, each having nine grades or ranks, each subdivided into a and b categories. Civil appointments ranged from attendant to the emperor or a Grand Secretary in the Forbidden City (highest) to being a prefectural tax collector, deputy jail warden, deputy police commissioner or tax examiner. Military appointments ranged from being a field marshal or chamberlain of the imperial bodyguard to a third class sergeant, corporal or a first or second class private.* [67]

On 12 February 1912, after rounds of negotiations, Longyu issued an imperial edict bringing about the abdication of the child emperor Puyi. This brought an end to over 2,000 years of imperial China and began an extended period of instability of warlord factionalism. The unorganized political and economic systems combined with a widespread criticism of Chinese culture led to questioning and doubt about the future. In the 1930s, the 18.3.1 Central government agencies Empire of Japan invaded Northeast China and founded Manchukuo in 1932, with Puyi, as the emperor. After The formal structure of the Qing government centered the invasion by the Soviet Union, Manchukuo collapsed on the Emperor as the absolute ruler, who presided over



six Boards (Ministries* [lower-alpha 3]), each headed by two presidents* [lower-alpha 4] and assisted by four vice presidents.* [lower-alpha 5] In contrast to the Ming system, however, Qing ethnic policy dictated that appointments were split between Manchu noblemen and Han officials who had passed the highest levels of the state examinations. The Grand Secretariat,* [lower-alpha 6] which had been an important policy-making body under the Ming, lost its importance during the Qing and evolved into an imperial chancery. The institutions which had been inherited from the Ming formed the core of the Qing “Outer Court,”which handled routine matters and was located in the southern part of the Forbidden City. In order not to let the routine administration take over the running of the empire, the Qing emperors made sure that all important matters were decided in the“Inner Court,” which was dominated by the imperial family and Manchu nobility and which was located in the northern part of the Forbidden City. The core institution of the inner court was the Grand Council.* [lower-alpha 7] It emerged in the 1720s under the reign of the Yongzheng Emperor as a body charged with handling Qing military campaigns against the Mongols, but it soon took over other military and administrative duties and served to centralize authority under the crown.* [68] The Grand Councillors* [loweralpha 8] served as a sort of privy council to the emperor. The Six Ministries and their respective areas of responsibilities were as follows: • Board of Civil Appointments* [lower-alpha 9] The personnel administration of all civil officials - including evaluation, promotion, and dismissal. It was also in charge of the “honours list”. • Board of Revenue* [lower-alpha 10] The literal translation of the Chinese word hu (户) is “household”. For much of Qing history, the government's main source of revenue came from taxation on landownership supplemented by official monopolies on salt, which was an essential household item, and tea. Thus, in the predominantly agrarian Qing dynasty, the “household”was the basis of imperial finance. The department was charged with revenue collection and the financial management of the government. • Board of Rites [lower-alpha 11]

2000-cash banknote from 1859

• Board of War* [lower-alpha 12] Unlike its Ming predecessor, which had full control over all military matters, the Qing Board of War had very limited powers. First, the Eight Banners were under the direct control of the emperor and hereditary Manchu and Mongol princes, leaving the ministry only with authority over the Green Standard Army. Furthermore, the ministry's functions were purely administrative campaigns and troop movements were monitored and directed by the emperor, first through the Manchu ruling council, and later through the Grand Council. • Board of Punishments* [lower-alpha 13]


This board was responsible for all matters concerning court protocol. It organized the periodic worship of ancestors and various gods by the emperor, managed relations with tributary nations, and oversaw the nationwide civil examination system.

The Board of Punishments handled all legal matters, including the supervision of various law courts and prisons. The Qing legal framework was relatively weak compared to modern day legal systems, as there was no separation of executive and legislative branches of government. The legal system could be inconsis-


CHAPTER 18. QING DYNASTY tent, and, at times, arbitrary, because the emperor ruled by decree and had final say on all judicial outcomes. Emperors could (and did) overturn judgements of lower courts from time to time. Fairness of treatment was also an issue under the apartheid system practised by the Manchu government over the Han Chinese majority. To counter these inadequacies and keep the population in line, the Qing government maintained a very harsh penal code towards the Han populace, but it was no more severe than previous Chinese dynasties.

A postage stamp from Yantai (Chefoo) in the Qing dynasty

• Board of Works* [lower-alpha 14] The Board of Works handled all governmental building projects, including palaces, temples and the repairs of waterways and flood canals. It was also in charge of minting coinage. From the early Qing, the central government was characterized by a system of dual appointments by which each position in the central government had a Manchu and a Han Chinese assigned to it. The Han Chinese appointee was required to do the substantive work and the Manchu to ensure Han loyalty to Qing rule.* [69] The distinction between Han Chinese and Manchus extended to their court costumes. During the Qianlong Emperor's reign, for example, members of his family were distinguished by garments with a small circular emblem on the back, whereas Han officials wore clothing with a square emblem.

Mongol lands. As the empire expanded, it took over administrative responsibility of all minority ethnic groups living in and around the empire, including early contacts with Russia —then seen as a tribute nation. The office had the status of a full ministry and was headed by officials of equal rank. However, appointees were at first restricted only to candidates of Manchu and Mongol ethnicity, until later open to Han Chinese as well. Even though the Board of Rites and Lifan Yuan performed some duties of a foreign office, they fell short of developing into a professional foreign service. It was not until 1861 —a year after losing the Second Opium War to the Anglo-French coalition —that the Qing government bowed to foreign pressure and created a proper foreign affairs office known as the Zongli Yamen. The office was originally intended to be temporary and was staffed by officials seconded from the Grand Council. However, as dealings with foreigners became increasingly complicated and frequent, the office grew in size and importance, aided by revenue from customs duties which came under its direct jurisdiction. There was also another government institution called Imperial Household Department which was unique to the Qing dynasty. It was established before the fall of the Ming, but it became mature only after 1661, following the death of the Shunzhi Emperor and the accession of his son, the Kangxi Emperor.* [70] The department's original purpose was to manage the internal affairs of the imperial family and the activities of the inner palace (in which tasks it largely replaced eunuchs), but it also played an important role in Qing relations with Tibet and Mongolia, engaged in trading activities (jade, ginseng, salt, furs, etc.), managed textile factories in the Jiangnan region, and even published books.* [71] Relations with the Salt Superintendents and salt merchants, such as those at Yangzhou, were particularly lucrative, especially since they were direct, and did not go through absorptive layers of bureaucracy. The department was manned by booi,* [lower-alpha 15] or“bondservants,”from the Upper Three Banners.* [72] By the 19th century, it managed the activities of at least 56 subagencies.* [70]* [73]

18.3.2 Administrative divisions

Further information: History of the administrative divisions of China before 1912 § Provinces and Protectorates under the Qing dynasty Qing China reached its largest extent during the 18th century, when it ruled China proper (eighteen provinces) as well as the areas of present day Northeast China), Inner Mongolia, Outer Mongolia, Xinjiang and Tibet, at approximately 13 million km2 in size. There were originally 18 provinces, all of which in China proper, but later this number was increased to 22, with Manchuria and XinIn addition to the six boards, there was a Lifan Yuan jiang being divided or turned into provinces. Taiwan, unique to the Qing government. This institution was es- originally part of Fujian province, became a province tablished to supervise the administration of Tibet and the of its own in the 19th century, but was ceded to the


237 4. Other Mongolian leagues - Alshaa khoshuu (League-level khoshuu), Ejine khoshuu, Ili khoshuu (in Xinjiang), Köke Nuur league; directly ruled areas: Dariganga (Special region designated as Emperor's pasture), Guihua Tümed, Chakhar, Hulunbuir 5. Tibet (Ü-Tsang and western Kham, approximately the area of present-day Tibet Autonomous Region) 6. Manchuria provinces)





• Eighteen provinces (China proper provinces) Qing dynasty in 1820, with provinces in yellow, military governorates and protectorates in light yellow, tributary states in orange.

• Additional provinces in the late Qing dynasty

18.3.3 Territorial administration

Qing dynasty in 1833

Empire of Japan following the First Sino-Japanese War by the end of the century. In addition, many surrounding countries, such as Korea (Joseon dynasty), Vietnam were tributary states of China during much of this period. The Katoor dynasty of Afghanistan also paid tribute to the Qing dynasty of China until the mid-19th century.* [74] During the Qing dynasty the Chinese claimed suzerainty over the Taghdumbash Pamir in the south west of Tashkurgan Tajik Autonomous County but permitted the Mir of Hunza to administer the region in return for a tribute. Until 1937 the inhabitants paid tribute to the Mir of Hunza, who exercised control over the pastures.* [75] Khanate of Kokand were forced to submit as protectorate and pay tribute to the Qing dynasty in China between 1774 and 1798. 1. Northern and southern circuits of Tian Shan (later became Xinjiang province) - including several small semi-autonomous khanates such as Kumul Khanate 2. Outer Mongolia - Khalkha, Kobdo league, Köbsgöl, Tannu Urianha 3. Inner Mongolia - 6 leagues (Jirim, Josotu, Juu Uda, Shilingol, Ulaan Chab, Ihe Juu)

Qing China in 1892

The Qing organization of provinces was based on the fifteen administrative units set up by the Ming dynasty, later made into eighteen provinces by splitting for example, Huguang into Hubei and Hunan provinces. The provincial bureaucracy continued the Yuan and Ming practice of three parallel lines, civil, military, and censorate, or surveillance. Each province was administered by a governor (巡 撫, xunfu) and a provincial military commander (提 督, tidu). Below the province were prefectures (府, fu) operating under a prefect (知 府, zhīfǔ), followed by subprefectures under a subprefect. The lowest unit was the county, overseen by a magistrate. The eighteen provinces are also known as“China proper” . The position of viceroy or governor-general (總 督, zongdu) was the highest rank in the provincial administration. There were eight regional viceroys in China proper, each usually took charge of two or three provinces. The Viceroy of Zhili, who was responsible for the area surrounding the capital Beijing, is usually considered as the most honorable and powerful viceroy among the eight. 1. Viceroy of Zhili – in charge of Zhili



2. Viceroy of Shaan-Gan – in charge of Shaanxi and sent an expedition force to Tibet and forced Tibetans to Gansu sign a treaty. The Qing court responded by asserting Chinese sovereignty over Tibet,* [78] resulting in the 1906 3. Viceroy of Liangjiang – in charge of Jiangsu, Anglo-Chinese Convention signed between Britain and Jiangxi, and Anhui China. The British agreed not to annex Tibetan terri4. Viceroy of Huguang – in charge of Hubei and Hunan tory or to interfere in the administration of Tibet, while China engaged not to permit any other foreign state to 5. Viceroy of Sichuan – in charge of Sichuan interfere with the territory or internal administration of Tibet.* [79] Furthermore, similar to Xinjiang which was 6. Viceroy of Min-Zhe – in charge of Fujian, Taiwan, converted into a province earlier, the Qing government and Zhejiang also turned Manchuria into three provinces in the early 7. Viceroy of Liangguang – in charge of Guangdong 20th century, officially known as the "Three Northeast Provinces", and established the post of Viceroy of Three and Guangxi Northeast Provinces to oversee these provinces, making 8. Viceroy of Yun-Gui – in charge of Yunnan and the total number of regional viceroys to nine. Guizhou By the mid-18th century, the Qing had successfully put outer regions such as Inner and Outer Mongolia, Tibet and Xinjiang under its control. Imperial commissioners and garrisons were sent to Mongolia and Tibet to oversee their affairs. These territories were also under supervision of a central government institution called Lifan Yuan. Qinghai was also put under direct control of the Qing court. Xinjiang, also known as Chinese Turkestan, was subdivided into the regions north and south of the Tian Shan mountains, also known today as Dzungaria and Tarim Basin respectively, but the post of Ili General was established in 1762 to exercise unified military and administrative jurisdiction over both regions. Dzungaria was fully opened to Han migration by the Qianlong Emperor. Likewise, Manchuria was also governed by military generals until its division into provinces, though some areas of Xinjiang and Northeast China were lost to the Russian Empire in the mid-19th century. Manchuria was originally separated from China proper by the Inner Willow Palisade, a ditch and embankment planted with willows intended to restrict the movement of the Han Chinese, as the area was off-limits to civilian Han Chinese until the government started colonizing the area, especially since the 1860s.* [76] With respect to these outer regions, the Qing maintained imperial control, with the emperor acting as Mongol khan, patron of Tibetan Buddhism and protector of Muslims. However, Qing policy changed with the establishment of Xinjiang province in 1884. During The Great Game era, taking advantage of the Dungan revolt in northwest China, Yaqub Beg invaded Xinjiang from Central Asia with support from the British Empire, and made himself the ruler of the kingdom of Kashgaria. The Qing court sent forces to defeat Yaqub Beg and Xinjiang was reconquered, and then the political system of China proper was formally applied onto Xinjiang. The Kumul Khanate, which was incorporated into the Qing empire as a vassal after helping Qing defeat the Zunghars in 1757, maintained its status after Xinjiang turned into a province through the end of the dynasty in the Xinhai Revolution up until 1930.* [77] In early 20th century, Great Britain

Frontier area ceded by Russia (Treaty of Nerchinsk 1689)

Khüree (Ulan Bator) Urumchi

The Qing Empire in 1870.

18.3.4 Military Main article: Military of the Qing dynasty See also: Military history of China before 1911 § Qing

Beginnings and early development The early Qing military was rooted in the Eight Banners first developed by Nurhaci to organize Jurchen society beyond petty clan affiliations. There were eight banners in all, differentiated by color. The yellow, bordered yellow, and white banners were known as the“Upper Three Banners”and were under the direct command of the emperor. Only Manchus belonging to the Upper Three Banners, and selected Han Chinese who had passed the highest level of martial exams could serve as the emperor's personal bodyguards. The remaining Banners were known as the “Lower Five Banners.”They were commanded by hereditary Manchu princes descended from Nurhachi's immediate family, known informally as the "Iron cap princes". Together they formed the ruling council of the



peror, concerned about maintaining Manchu identity, reemphasized Manchu ethnicity, ancestry, language, and culture in the Eight Banners and started a mass discharge of Han Bannermen from the Eight Banners, either asking them to voluntarily resign from the Banner rolls or striking their names off. This led to a change from Han majority to a Manchu majority within the Banner system,* [81] and previous Han Bannermen garrisons in southern China such as at Fuzhou, Zhenjiang, Guangzhou, were replaced by Manchu Bannermen in the purge, which started in 1754. The turnover by Qianlong most heavily impacted Han banner garrisons stationed in the provinces while it less impacted Han Bannermen in Beijing, leaving a larger proportion of remaining Han Bannermen in Beijing than the provinces.* [82] Han Bannermen's status was decreased from that point on with Manchu Banners gaining higher status. Han Bannermen numbered 75% in 1648 Shunzhi's reign, 72% in 1723 Yongzheng's reign, but decreased to 43% in 1796 during the first year of Jiaqing's reign, which was after Qianlong's purge. The mass discharge was known as the Disbandment of the Han Banners (zh). Qianlong directed most of his ire at those Han Bannermen descended from defectors who joined the Qing after the Qing passed through the Great Wall at Shanhai Pass in 1644, deeming their ancestors as traitors to the Ming and therefore untrustworthy, while retaining Han Bannermen who were descended from defectors who joined the Qing before 1644 in Liaodong and The Qianlong Emperor's Southern Inspection Tour, Scroll marched through Shanhai pass, also known as those who Twelve: Return to the Palace (detail), 1764—1770, by Xu Yang. “followed the Dragon through the pass”(從龍入關; cong long ru guan). Manchu nation as well as high command of the army. After a century of peace the Manchu Banner troops lost Nurhachi's son Hong Taiji expanded the system to in- their fighting edge. Before the conquest, the Manchu banclude mirrored Mongol and Han Banners. After captur- ner had been a “citizen”army whose members were ing Beijing in 1644, the relatively small Banner armies farmers and herders obligated to provide military service were further augmented by the Green Standard Army, in times of war. The decision to turn the banner troops made up of those Ming troops who had surrendered to into a professional force whose every need was met by the the Qing, which eventually outnumbered Banner troops state brought wealth, corruption, and decline as a fighting three to one. They maintained their Ming era organiza- force. The Green Standard Army declined in a similar tion and were led by a mix of Banner and Green Standard way. officers. Banner Armies were organized along ethnic lines, namely Manchu and Mongol, but included non-Manchu bondservants registered under the household of their Manchu masters. The years leading up to the conquest increased the number of Han Chinese under Manchu rule, leading Hong Taiji to create the Eight Han Banners (zh), and around the time of the Qing takeover of Beijing, their numbers rapidly swelled.* [80] Han Bannermen held high status and power in the early Qing period, especially immediately after the conquest during Shunzhi and Kangxi's reign where they dominated GovernorGeneralships and Governorships across China at the expense of both Manchu Bannermen and Han civilians. Han also numerically dominated the Banners up until the mid 18th century. European visitors in Beijing called them “Tartarized Chinese”or “Tartarified Chinese” . It was in Qianlong's reign that the Qianlong Em-

Rebellion and modernization Early during the Taiping Rebellion, Qing forces suffered a series of disastrous defeats culminating in the loss of the regional capital city of Nanjing in 1853. Shortly thereafter, a Taiping expeditionary force penetrated as far north as the suburbs of Tianjin, the imperial heartlands. In desperation the Qing court ordered a Chinese official, Zeng Guofan, to organize regional and village militias into an emergency army called tuanlian. Zeng Guofan's strategy was to rely on local gentry to raise a new type of military organization from those provinces that the Taiping rebels directly threatened. This new force became known as the Xiang Army, named after the Hunan region where it was raised. The Xiang Army was a hybrid of local militia and a standing army. It was given professional



General Zeng Guofan A late-Qing woodblock print representing the Yangzhou massacre of May 1645. By the late 19th century, the massacre was used by anti-Qing revolutionaries to arouse anti-Manchu sentiment among the population.

training, but was paid for out of regional coffers and funds its commanders —mostly members of the Chinese gentry —could muster. The Xiang Army and its successor, the Huai Army, created by Zeng Guofan's colleague and student Li Hongzhang, were collectively called the "Yong In 1894–1895, fighting over influence in Korea, Japanese troops Ying" (Brave Camp).* [83] Zeng Guofan had no military experience. Being a classically educated official, he took his blueprint for the Xiang Army from the Ming general Qi Jiguang, who, because of the weakness of regular Ming troops, had decided to form his own “private”army to repel raiding Japanese pirates in the mid-16th century. Qi Jiguang's doctrine was based on Neo-Confucian ideas of binding troops' loyalty to their immediate superiors and also to the regions in which they were raised. Zeng Guofan's original intention for the Xiang Army was simply to eradicate the Taiping rebels. However, the success of the Yongying system led to its becoming a permanent regional force within the Qing military, which in the long run created problems for the beleaguered central government. First, the Yongying system signaled the end of Manchu dominance in Qing military establishment. Although the Banners and Green Standard armies lingered on as a drain on resources, henceforth the Yongying corps became the Qing government's de facto first-line troops. Second, the

defeated Qing forces.

Yongying corps were financed through provincial coffers and were led by regional commanders, weakening central government's grip on the whole country. Finally, the nature of Yongying command structure fostered nepotism and cronyism amongst its commanders, who laid the seeds of regional warlordism in the first half of the 20th century.* [84] By the late 19th century, the most conservative elements within the Qing court could no longer ignore China's military weakness. In 1860, during the Second Opium War, the capital Beijing was captured and the Summer Palace sacked by a relatively small Anglo-French coalition force numbering 25,000. The advent of modern weaponry resulting from the European Industrial Revolution had rendered China's traditionally trained and equipped army and navy obsolete. The government attempts to modernize during the Self-Strengthening Movement were ini-



18.4 Society The most significant fact of early and mid-Qing social history was population growth. The population doubled during the 18th century. People in this period were also remarkably on the move. There is evidence suggesting that the empire's rapidly expanding population was geographically mobile on a scale, which, in term of its volume and its protracted and routinized nature, was unprecedented in Chinese history. Indeed, the Qing government did far more to encourage mobility than to discourage it. Migration took several different forms, though might be divided in two varieties: permanent migration The Beiyang Army in training for resettlement, and relocation conceived by the party (in theory at least) as a temporary sojourn. Parties to the latter would include the empire's increasingly large and mobile manual workforce, as well as its densely overlapping tially successful, but yielded few lasting results because of internal diaspora of local-origin-based merchant groups. the central government's lack of funds, lack of political It would also included the patterned movement of Qing will, and unwillingness to depart from tradition.* [85] subjects overseas, largely to Southeastern Asia, in search of trade and other economic opportunities.* [87] According to statute, Qing society was divided into relatively closed estates, of which in most general terms there were five. Apart from the estates of the officials, the comparatively minuscule aristocracy, and the degree-holding literati, there also existed a major division among ordinary Chinese between commoners and people with inferior status.* [88] They were divided into two categories: one of them, the good “commoner”people, the other “mean”people. The majority of the population belonged to the first category and were described as liangmin, a legal term meaning good people, as opposed to jianmin meaning the mean (or ignoble) people. Qing law explicitly stated that the traditional four occupational groups of scholars, farmers, artisans and merchants were “good” , or having a status of commoners. On the other hand, Footage of a naval battle during the First Sino-Japanese War slaves or bondservants, entertainers (including prostitutes (1894). and actors), and those low-level employees of government officials were the “mean people”. Mean people were considered legally inferior to commoners and sufLosing the First Sino-Japanese War of 1894–1895 was a fered unequal treatments, forbidden to take the imperial watershed. Japan, a country long regarded by the Chi- examination.* [89] nese as little more than an upstart nation of pirates, annihilated the Qing government's modernized Beiyang Fleet, then deemed to be the strongest naval force in Asia. The Japanese victory occurred a mere three decades after the 18.5 Economy Meiji Restoration set a feudal Japan on course to emulate the Western nations in their economic and technological achievements. Finally, in December 1894, the See also: Economic history of China before 1912 § Qing Qing government took concrete steps to reform military (Manchu) Dynasty (1644–1912 CE) institutions and to re-train selected units in westernized drills, tactics and weaponry. These units were collectively By the end of the 17th century, the Chinese economy called the New Army. The most successful of these was had recovered from the devastation caused by the wars in the Beiyang Army under the overall supervision and con- which the Ming dynasty were overthrown, and the resulttrol of a former Huai Army commander, General Yuan ing breakdown of order.* [90] In the following century, Shikai, who used his position to build networks of loyal markets continued to expand as in the late Ming period, officers and eventually become President of the Republic but with more trade between regions, a greater depenof China.* [86] dence on overseas markets and a greatly increased popu-

242 lation.* [91] After the re-opening of the southeast coast, which had been closed in the late 17th century, foreign trade was quickly re-established, and was expanding at 4% per annum throughout the latter part of the 18th century.* [92] China continued to export tea, silk and manufactures, creating a large, favorable trade balance with the West.* [93] The resulting inflow of silver expanded the money supply, facilitating the growth of competitive and stable markets.* [94]

CHAPTER 18. QING DYNASTY boomed.* [93]

18.6 Arts and culture See also: Chinese art § Late imperial China (1368– 1911), Chinese literature § Classical fiction and drama, Classical Chinese poetry § History and development and Qing poetry Under the Qing, traditional forms of art flourished and

Qing vases, in the Calouste Gulbenkian Museum, Lisbon, Portugal

The government broadened land ownership by returning land that had been sold to large landowners in the late Ming period by families unable to pay the land tax.* [95] To give people more incentives to participate in the market, they reduced the tax burden in comparison with the late Ming, and replaced the corvée system with a head tax used to hire laborers.* [96] The administration of the Grand Canal was made more efficient, and transport opened to private merchants.* [97] A system of monitoring grain prices eliminated severe shortages, and enabled the price of rice to rise slowly and smoothly through the 18th century.* [98] Wary of the power of wealthy merchants, Qing rulers limited their trading licenses and usually refused them permission to open new mines, except in poor areas.* [99] These restrictions on domestic resource exploration, as well as on foreign trade, are held by some scholars as a cause of the Great Divergence, by which the Western world overtook China economically. By the end of the 18th century the population had risen to 300 million from approximately 150 million during the late Ming dynasty. The dramatic rise in population was due to several reasons, including the long period of peace and stability in the 18th century and the import of new crops China received from the Americas, including peanuts, sweet potatoes and maize. New species of rice from Southeast Asia led to a huge increase in production. Merchant guilds proliferated in all of the growing Chinese cities and often acquired great social and even political influence. Rich merchants with official connections built up huge fortunes and patronized literature, theater and the arts. Textile and handicraft production

Landscape by Wang Gai 1694

innovations occurred at many levels and in many types. High levels of literacy, a successful publishing industry, prosperous cities, and the Confucian emphasis on cultivation all fed a lively and creative set of cultural fields. The Manchu emperors were generally adept at poetry and often skilled in painting, and offered their patronage to Confucian culture. The Kangxi and Qianlong Emperors, for instance, embraced Chinese traditions both to control them and to proclaim their own legitimacy. The Kangxi Emperor sponsored the Peiwen Yunfu, a rhyme dictionary published in 1711, and the Kangxi Dictionary published in 1716, which remains to this day an authoritative reference. The Qianlong Emperor sponsored the largest collection of writings in Chinese history, the Siku Quanshu, completed in 1782. Court painters made new versions of the Song masterpiece, Zhang Zeduan's Along the River During the Qingming Festival whose depiction of a prosperous and happy realm demonstrated the beneficence of the emperor. The emperors undertook tours of

18.7. SEE ALSO


the south and commissioned monumental scrolls to depict the grandeur of the occasion.* [100] Imperial patronage also encouraged the industrial production of ceramics and Chinese export porcelain.

New World crops and products entered everyday life. The Manchu Han Imperial Feast originated at the court. Although this banquet was probably never common, it reflected an appreciation by Han Chinese for Manchu culi* Yet the most impressive aesthetic works were done nary customs. [105] among the scholars and urban elite. Calligraphy and By the end of the nineteenth century, all elements of napainting* [101] remained a central interest to both court tional artistic and cultural life had recognized and begun painters and scholar-gentry who considered the Four Arts to come to terms with world culture as found in the West part of their cultural identity and social standing.* [102] and Japan. Whether to stay within old forms or welThe painting of the early years of the dynasty included come Western models was now a conscious choice rather such painters as the orthodox Four Wangs and the indi- than an unchallenged acceptance of tradition. Classividualists Bada Shanren (1626–1705) and Shitao (1641– cally trained Confucian scholars such as Liang Qichao 1707). The nineteenth century saw such innovations as and Wang Guowei broke ground later cultivated in the the Shanghai School and the Lingnan School* [103] which New Culture Movement. used the technical skills of tradition to set the stage for modern painting. Traditional learning flourished, especially among Ming loyalists such as Dai Zhen and Gu Yanwu, but scholars in the school of evidential learning made innovations in skeptical textual scholarship. Scholar-bureaucrats, including Lin Zexu and Wei Yuan, developed a school of practical statecraft which rooted bureaucratic reform and restructuring in classical philosophy. Literature grew to new heights in the Qing period. Poetry continued as a mark of the cultivated gentleman, but women wrote in larger and larger numbers and poets came from all walks of life. The poetry of the Qing dynasty is a lively field of research, being studied (along with the poetry of the Ming dynasty) for its association with Chinese opera, developmental trends of Classical Chinese poetry, the transition to a greater role for vernacular language, and for poetry by women in Chinese culture. The Qing dynasty was a period of much literary collection and criticism, and many of the modern popular versions of Classical Chinese poems were transmitted through Qing dynasty anthologies, such as the Quantangshi and the Three Hundred Tang Poems. Pu Songling brought the short story form to a new level in his Strange Stories from a Chinese Studio, published in the mid-18th century, and Shen Fu demonstrated the charm of the informal memoir in Six Chapters of a Floating Life, written in the early 19th century but published only in 1877. The art of the novel reached a pinnacle in Cao Xueqin's Dream of the Red Chamber, but its combination of social commentary and psychological insight were echoed in highly skilled novels such as Wu Jingzi's The Scholars (1750) and Li Ruzhen's Flowers in the Mirror (1827).* [104] In drama, Kong Shangren's Kunqu opera The Peach Blossom Fan, completed in 1699, portrayed the tragic downfall of the Ming dynasty in romantic terms. The most prestigious form became the so-called Peking opera, though local and folk opera were also widely popular. Cuisine aroused a cultural pride in the accumulated richness of a long and varied past. The gentleman gourmet, such as Yuan Mei, applied aesthetic standards to the art of cooking, eating, and appreciation of tea at a time when

18.7 See also 18.8 Notes [1] The exact figure of Li Zicheng's forces at the battle of Shanhai Pass is disputed. Some primary sources, such as the official Qing and Ming court histories (Chinese: 《清 世祖實錄》,《明史》), cite 200,000. Modern historians generally estimate Li Zicheng's army to be no larger than 100,000. [2] This event was recorded by Italian Jesuit Martin Martinius in his account Bellum Tartaricum with original text in Latin, first published in Rome 1654. First English edition, London: John Crook, 1654. [3] Chinese: 六部; pinyin: lìubù [4] simplified Chinese: 尚 书; traditional Chinese: 尚 書; pinyin: shàngshū; Ma:

Aliha amban

[5] Chinese: 侍郎; pinyin: shìláng; Ma: amban

Ashan i

[6] simplified Chinese: 内 阁; traditional Chinese: 內 閣;

pinyin: nèigé; Ma:

Dorgi yamun

[7] simplified Chinese: 军机处; traditional Chinese: 軍機處; pinyin: jūnjī chù [8] simplified Chinese: 军机大臣; traditional Chinese: 軍機 大臣; pinyin: jūnjī dàchén

[9] Chinese: 吏部; pinyin: lìbù; Ma:

Hafan i jurgan



[10] Chinese: 户部; pinyin: hùbù; Ma: gan

Boigon i jur-

[11] simplified Chinese: 礼 部; traditional Chinese: 禮 部;

pinyin: lǐbù; Ma:

[15] Shuo Wang,“Qing Imperial Women: Empresses, Concubines, and Aisin Gioro Daughters,”in Anne Walthall, ed., Servants of the Dynasty: Palace Women in World History (Berkeley: University of California Press, 2008)p. 148. [16] Wakeman 1977, p. 79. [17] Evelyn S. Rawski, “Ch'ing Imperial Marriage and Problems of Rulership,”in Watson, Ebrey eds. Marriage and Inequality in Chinese Society (Berkeley: University of California Press, 1991 pp. 179-180.

Dorolon i jurgan

[18] Wakeman (1986), p. 1017.. [12] Chinese: 兵部; pinyin: bīngbù; Ma: gan

Coohai jur-

[13] Chinese: 刑部; pinyin: xíngbù; Ma: rgan

Beidere ju-

[19] Li (2002), pp. 60–62. [20] Encyclopædia Britannica: China » History » The early Qing dynasty » The rise of the Manchu [21] Spence (2012), p. 32. [22] Naquin 1987, p. 141. [23] Fairbank, Goldman 2006, p. 2006.

[14] Chinese: 工部; pinyin: gōngbù; Ma: rgan

Weilere ju-

[15] Chinese: 包衣; pinyin: bāoyī

[24] Evelyn S. Rawski, “Ch'ing Imperial Marriage and Problems of Rulership,”in Watson, Ebrey eds. Marriage and Inequality in Chinese Society (Berkeley: University of California Press, 1991 p. 175. [25] Spence 1990, p. 41.

18.9 References 18.9.1


[1] Elliott (2001), pp. 290–291. [2] Turchin, Peter; Adams, Jonathan M.; Hall, Thomas D. (December 2006). “East-West Orientation of Historical Empires”. Journal of world-systems research 12 (2): 219–229. ISSN 1076-156X. Retrieved 12 August 2010.

[26] Spence 1988, pp. 4-5. [27] Di Cosmo 2007, p. 6. [28] Di Cosmo 2007, p. 7. [29] Di Cosmo 2007, p. 9. [30] Wakeman (1986), pp. 646–650. [31] Tejapira (2001), p. 44.

[3] Crossley (1997), pp. 212–213.

[32] Wakeman (1986), p. 648, n. 183.

[4] Treaty of Nanking. 1842.

[33] Wakeman (1986), pp. 651–80.

[5] McKinley, William. "Second State of the Union Address". 5 Dec. 1898.

[34] Faure (2007), p. 164.

[6] Zhao (2006), pp. n4, 7–10, and 12–14. [7] Bilik, Naran. “Names Have Memories: History, Semantic Identity and Conflict in Mongolian and Chinese Language Use.”Inner Asia 9.1 (2007): 23–39. p. 34 [8] Elliott (2001), p. 402, note 118.

[35] Ebrey (1993). [36] Rowe (2009), pp. 32–33. [37] David Farquhar, “Emperor As Bodhisattva in the Governance of the Qing Empire,”Harvard Journal of Asiatic Studies 38.1 (1978): 5–34 [38] Spence (2012), pp. 48–51.

[9] Elliott & Chia (2004), pp. 77, 83. [39] Di Cosmo 2007, p. 24. [10] Elliott (2001), p. 503. [40] Di Cosmo 2007, pp. 24-25. [11] Cassel (2012), pp. 44 and 205. [12] Ebrey (2010), p. 220. [13] Ebrey (2010), pp. 220–224. [14] Bernard Hung-Kay Luk, Amir Harrak-Contacts between cultures, Volume 4, p.25

[41] Di Cosmo 2007, p. 15. [42] Di Cosmo 2007, p. 17. [43] Di Cosmo 2007, p. 17. [44] Di Cosmo 2007, p. 23.



[45] Spence (2012), pp. 62–66.

[76] Elliott (2000), pp. 603–646.

[46] Spence (2012), p. 72.

[77] James A. Millward (2007). Eurasian crossroads: a history of Xinjiang. Columbia University Press. p. 190. ISBN 0231-13924-1. Retrieved 2010-06-28.

[47] Hsü (1990), p. 35. [48] Rowe (2009), p. 68. [49] Hsü (1990), pp. 35–37.

[78] The New York Times, Jan 19, 1906

[50] Spence (2012), pp. 80–83.

[79] Convention Between Great Britain and China Respecting Tibet (1906)

[51] Spence (2012), pp. 83, 86.

[80] Naquin 2000, p. 372.

[52] “In Chinese: 康乾盛世" 的文化專制與文字獄". www. Retrieved 2008-12-30.

[81] Naquin 2000, p. 380.

[53] Schoppa, R. Keith. Revolution and its Past: Identities and Change in Modern Chinese History. Pearson Hall, 2010, pgs. 42–43. [54] Elliott (2000), p. 617. [55] The New Encyclopædia Britannica, p357 [56] Têng & Fairbank (1954), p. 19.

[82] Crossley, Siu, Sutton 2006, p. 50. [83] Liu & Smith (1980), pp. 202–211. [84] Liu & Smith (1980), pp. 202–210. [85] Wakeman (1977?) [86] Liu & Smith (1980), pp. 251–273.

[57] Platt (2012), p. xxii.

[87] Rowe (2002), pp. 480–481.

[58] Wright (1957), pp. 196–221.

[88] Rowe (2002), p. 485.

[59] Paul H. Clyde and Burton F. Beers, The Far East: A history of Western impacts and Eastern responses, 1830–1975 (6th ed. 1975) pp 193–4

[89] Naquin & Rawski (1987), p. 117.

[60] Crossley (2010).

[91] Myers & Wang (2002), p. 564.

[61] Reynolds (1993), pp. 35-36.

[92] Myers & Wang (2002), p. 587.

[62] Spence (2012), pp. 223–225.

[93] Murphey (2007), p. 151.

[63] Kaske (2008), p. 235.

[94] Myers & Wang (2002), pp. 587, 590.

[64] Mu, Eric. Reformist Emperor Guangxu was Poisoned, Study Confirms”. Danwei. 3 November 2008. Accessed 13 February 2013. [65] Chien-nung Li, Jiannong Li, Ssŭ-yü Têng,“The political history of China, 1840–1928”, p234 [66] Spence (2012), p. 39.

[90] Myers & Wang (2002), pp. 564, 566.

[95] Myers & Wang (2002), p. 593. [96] Myers & Wang (2002), pp. 593, 595. [97] Myers & Wang (2002), p. 598. [98] Myers & Wang (2002), pp. 572–573, 599–600.

[67] Beverly Jackson and David Hugus Ladder to the Clouds: [99] Myers & Wang (2002), pp. 606, 609. Intrigue and Tradition in Chinese Rank (Ten Speed Press, [100]“Recording the Grandeur of the Qing.”Chinese painting 1999) pp. 134–135. [68] Bartlett (1991).

[101] Minneapolis Institute of Arts [69] “The Rise of the Manchus”. University of Maryland [102] “Qing Dynasty, Painting,”Metropolitan Museum of Art web site. Retrieved 2008-10-19. [70] Rawski (1998), p. 179.

[103] “The Lingnan School of Painting,”

[71] Rawski (1998), pp. 179–180.

[104] “Ming and Qing Novels,”Berkshire Encyclopedia

[72] Torbert (1977), p. 27.

[105] Jonathan Spence, “Ch'ing,”in Kwang-chih Chang, ed., Food in Chinese Culture: Anthropological and Historical Perspectives (New Haven: Yale University Press, 1977): 260–294, reprinted in Jonathan Spence, Chinese Roundabout: Essays in History and Culture (New York: W.W. Norton, 1992).

[73] Torbert (1977), p. 28. [74] [75] Kreutzmann, H. Yak Keeping in Western High Asia




Works cited

• Bartlett, Beatrice S. (1991), Monarchs and Ministers: The Grand Council in Mid-Ch'ing China, 1723– 1820, Berkeley and Los Angeles: University of California Press, ISBN 978-0-520-06591-8. • Cassel, Pär Kristoffer (2012), Grounds of Judgment: Extraterritoriality and Imperial Power in NineteenthCentury China and Japan, Oxford University Press, ISBN 978-0-19-979205-4 • Crossley, Pamela Kyle (1997), The Manchus, Wiley, ISBN 978-1-55786-560-1. • ——(2010), The Wobbling Pivot: China since 1800, Malden, MA: Wiley-Blackwell, ISBN 978-1-40516079-7. • Dvořák, Rudolf (1895), Chinas religionen ..., Volume 12; Volume 15 of Darstellungen aus dem Gebiete der nichtchristlichen Religionsgeschichte (illustrated ed.), Aschendorff (Druck und Verlag der Aschendorffschen Buchhandlung) • Ebrey, Patricia (1993), Chinese Civilization: A Sourcebook (2nd edition ed.), New York: Simon and Schuster, ISBN 978-0-02-908752-7. • ——(2010), The Cambridge Illustrated History of China, Cambridge University Press, ISBN 978-0521-12433-1. • Elliott, Mark C. (2000), “The Limits of Tartary: Manchuria in Imperial and National Geographies” , Journal of Asian Studies 59: 603–646, JSTOR 2658945. • ——(2001), The Manchu Way: The Eight Banners and Ethnic Identity in Late Imperial China, Stanford University Press, ISBN 978-0-8047-4684-7. • Elliott, Mark C.; Chia, Ning (2004), “The Qing Hunt at Mulan”, in Dunnell, Ruth W.; Elliott, Mark C.; Foret, Philippe et al., New Qing Imperial History: The Making of Inner Asian Empire at Qing Chengde, Routledge, pp. 66–83, ISBN 978-1-134-36222-6. • Faure, David (2007), Emperor and Ancestor: State and Lineage in South China, Stanford University Press, ISBN 978-0-8047-5318-0. • Hauer, Erich (2007), Corff, Oliver, ed., Handwörterbuch der Mandschusprache, Volume 12; Volume 15 of Darstellungen aus dem Gebiete der nichtchristlichen Religionsgeschichte (illustrated ed.), Otto Harrassowitz Verlag, ISBN 3447055286 • Hsü, Immanuel C. Y. (1990), The rise of modern China (4th ed.), New York: Oxford University Press, ISBN 978-0-19-505867-3.

• Kaske, Elisabeth (2008), The politics of language in Chinese education, 1895–1919, Leiden: BRILL, ISBN 978-90-04-16367-6. • Li, Gertraude Roth (2002), “State building before 1644”, in Peterson, Willard, The Ch'ing Empire to 1800, The Cambridge History of China 9, Cambridge: Cambridge University Press, pp. 9–72, ISBN 978-0-521-24334-6. • Liu, Kwang-Ching; Smith, Richard J. (1980),“The Military Challenge: The North-west and the Coast” , in Fairbank, John K.; Liu, Kwang-Ching, Late Ch'ing, 1800–1911, Part 2, Cambridge History of China 11, Cambridge, England: Cambridge University Press, pp. 202–273, ISBN 978-0-521-22029-3. • Murphey, Rhoads (2007), East Asia: A New History (4th ed.), Pearson Longman, ISBN 978-0-32142141-8. • Myers, H. Ramon; Wang, Yeh-Chien (2002),“Economic developments, 1644–1800”, in Peterson, Willard, The Ch'ing Empire to 1800, The Cambridge History of China 9, Cambridge: Cambridge University Press, pp. 563–647, ISBN 978-0-521-24334-6. • Naquin, Susan; Rawski, Evelyn Sakakida (1987), Chinese Society in the Eighteenth Century, Yale University Press, ISBN 978-0-300-04602-1. • Perdue, Peter C. (2005), China Marches West: The Qing Conquest of Central Eurasia, Harvard University Press, ISBN 978-0-674-01684-2. • Platt, Stephen R. (2012), Autumn in the Heavenly Kingdom: China, the West, and the Epic Story of the Taiping Civil War, Alfred A. Knopf, ISBN 978-0307-27173-0. • Rawski, Evelyn S. (1998), The Last Emperors: A Social History of Qing Imperial Institutions, Berkeley and Los Angeles: University of California Press, ISBN 978-0-520-21289-3. Paperback edition (2001) ISBN 978-0-520-92679-0. • Reynolds, Douglas Robertson (1993), China, 1898– 1912 : The Xinzheng Revolution and Japan, Cambridge, Mass.: Council on East Asian Studies Harvard University : Distributed by Harvard University Press, ISBN 978-0-674-11660-3. • Rowe, William T. (2002), “Social stability and social change”, in Peterson, Willard, The Ch'ing Empire to 1800, The Cambridge History of China 9, Cambridge: Cambridge University Press, pp. 473– 562, ISBN 978-0-521-24334-6. • ——(2009), China's Last Empire: The Great Qing, History of Imperial China, Cambridge, MA: Harvard University Press, ISBN 978-0-674-03612-3.

18.10. FURTHER READING • Spence, Jonathan D. (2012), The Search for Modern China (3rd ed.), New York: Norton, ISBN 978-0393-93451-9. • Tejapira, Kasian (2001), “Pigtail: a prehistory of Chineseness in Siam”, in Tong, Chee Kiong; Chan, Kwok B., Alternate Identities: The Chinese of Contemporary Thailand, Singapore: Times Academic Press, pp. 41–66, ISBN 978-981-210-142-6. • Têng, Ssu-yü; Fairbank, John King, eds. (1954) [reprint 1979], China's Response to the West: A Documentary Survey, 1839–1923, Cambridge, MA: Harvard University Press, ISBN 978-0-674-120259.

247 • Esherick, Joseph; Kayalı, Hasan; Van Young, Eric, eds. (2006), Empire to Nation: Historical Perspectives on the Making of the Modern World, Rowman & Littlefield, ISBN 978-0-7425-4031-6. • Fairbank, John K.; Liu, Kwang-Ching, eds. (1980), Late Ch'ing 1800–1911, Part 2, The Cambridge History of China 11, Cambridge: Cambridge University Press, ISBN 978-0-521-22029-3. • Owen, Stephen, “The Qing Dynasty: Period Introduction,”in Stephen Owen, ed. An Anthology of Chinese Literature: Beginnings to 1911. New York: W. W. Norton, 1997. p. 909-914. (Archive).

• Torbert, Preston M. (1977), The Ch'ing Imperial Household Department: A Study of Its Organization and Principal Functions, 1662–1796, Harvard University Asia Center, ISBN 978-0-674-12761-6.

• Paludan, Ann (1998), Chronicle of the Chinese Emperors, London: Thames & Hudson, ISBN 978-0500-05090-3.

• Wakeman, Frederic (1986), The Great Enterprise: The Manchu Reconstruction of Imperial Order in Seventeenth-century China, Berkeley and Los Angeles: University of California Press, ISBN 978-0520-04804-1.

• Peterson, Willard, ed. (2003), The Ch'ing Empire to 1800, The Cambridge History of China 11, Cambridge: Cambridge University Press, ISBN 978-0521-24334-6.

• Wright, Mary Clabaugh (1957), The Last Stand of Chinese Conservatism: The T'ung-Chih Restoration, 1862–1874, Stanford: Stanford University Press, ISBN 978-0-80470475-5. • Wu, Shuhui (1995), Die Eroberung von Qinghai unter Berücksichtigung von Tibet und Khams 1717 - 1727: anhand der Throneingaben des Grossfeldherrn Nian Gengyao, Volume 2 of Tunguso Sibirica (reprint ed.), Otto Harrassowitz Verlag, ISBN 3447037563 • Zhao, Gang (2006), “Reinventing China Imperial Qing Ideology and the Rise of Modern Chinese National Identity in the Early Twentieth Century”, Modern China 32 (1): 3– 30, doi:10.1177/0097700405282349, JSTOR 20062627, archived from the original on 25 March 2014.

18.10 Further reading • Bickers, Robert (2011), The Scramble for China: Foreign Devils in the Qing Empire, 1832–1914, Penguin, ISBN 978-0-7139-9749-1. • Cotterell, Arthur (2007), The Imperial Capitals of China - An Inside View of the Celestial Empire, London: Pimlico, ISBN 978-1-84595-009-5. • Dunnell, Ruth W.; Elliott, Mark C.; Foret, Philippe et al., eds. (2004), New Qing Imperial History: The Making of Inner Asian Empire at Qing Chengde, Routledge, ISBN 978-1-134-36222-6.

• Rowe, William T. (2009), The Great Qing, Cambridge, MA: Harvard University Press, ISBN 9780-674-03612-3. • Smith, Richard Joseph (1994), China's Cultural Heritage: The Qing Dynasty, 1644–1912, Westview Press, ISBN 978-0-8133-1347-4. • Spence, Jonathan (1997), God's Chinese Son: The Taiping Heavenly Kingdom of Hong Xiuquan, New York: W. W. Norton & Company, ISBN 978-0393-31556-1. • Struve, Lynn A. (1968), Voices from the Ming-Qing Cataclysm: China in Tigers' Jaws, New Haven: Yale University Press, ISBN 978-0-300-07553-3. • ——(2004), The Qing Formation in WorldHistorical Time, Harvard University Asia Center, ISBN 978-0-674-01399-5. • Waley-Cohen, Joanna (2006), The culture of war in China: empire and the military under the Qing dynasty, I.B. Tauris, ISBN 978-1-84511-159-5. • Woo, X.L. (2002), Empress dowager Cixi: China's last dynasty and the long reign of a formidable concubine: legends and lives during the declining days of the Qing dynasty, Algora Publishing, ISBN 9781-892941-88-6. • Zhao, Gang (2013), The Qing Opening to the Ocean: Chinese Maritime Policies, 1684–1757, University of Hawaii Press, ISBN 978-0-8248-3643-6.





• Newby, L.J. (2011),“China: Pax Manjurica”, Journal for Eighteenth-Century Studies 34 (4): 557–563, doi:10.1111/j.1754-0208.2011.00454.x. • Ho, Ping-Ti (1967),“The Significance of the Ch'ing Period in Chinese History”, The Journal of Asian Studies 26 (2): 189–195, JSTOR 2051924. • ——(1998),“In Defense of Sinicization: A Rebuttal of Evelyn Rawski's 'Reenvisioning the Qing'", The Journal of Asian Studies 57 (1): 123–155, JSTOR 2659026. • Rawski, Evelyn S. (1996),“Reenvisioning the Qing: The Significance of the Qing Period in Chinese History”, The Journal of Asian Studies 55 (4): 829– 850, JSTOR 2646525. • Waley-Cohen, Joanna (2004),“The New Qing History”, Radical History Review 88 (1): 193–206, doi:10.1215/01636545-2004-88-193. A review essay on revisionist works.

18.11 External links • Section on the Ming and Qing dynasties of "China's Population: Readings and Maps.”Retrieved on 2008-11-10. Coordinates: 39°54′N 116°23′E / 39.900°N 116.383°E

Chapter 19

History of the Republic of China This article is about the history of the state which currently governs Taiwan Area. For the history of the island of Taiwan, see History of Taiwan. For the history of Imperial China and People's Republic of China, see History of China and History of the People's Republic of China. The History of the Republic of China begins af-

Flag of the ROC (1928–present), Blue Sky, White Sun with 12 rays, and Wholly Red field.

by elements as disparate as warlord generals and foreign powers. In 1928, the Republic was nominally unified under the "Kuomintang" (KMT)—Chinese Nationalist Party—after the Northern Expedition, and was in the early stages of industrialization and modernization when it was caught in the conflicts among the Kuomintang government, the Communist Party of China, (founded 1921), which was converted into a nationalist party, local warlords and the Empire of Japan. Most nation-building efforts were stopped during the full-scale “Second Sino-Japanese War”/ “War of Resistance” against Japan from 1937 to 1945, and later the widening gap between the Kuomintang and the Communist Party made a coalition government impossible, causing the resumption of the Chinese Civil War, in 1946, shortly after the Japanese surrender to the Americans and the Western Allies in September 1945.

A Rand McNally map of the Republic of China in 1914

Flag of the ROC - Five-colored flag (1912–1928), means Five Races Under One Union.

ter the Qing dynasty in 1912, when the formation of the Republic of China as a constitutional republic put an end to 4,000 years of Imperial rule. The Qing dynasty, (also known as the Manchu dynasty), ruled from 1644–1912. The Republic had experienced many trials and tribulations after its founding with including being dominated

A series of political, economic and military missteps led to the KMT's defeat and its retreat to Taiwan (formerly “Formosa”) in 1949, where it established an authoritarian one-party state continuing under Generalissimo/President Chiang Kai-shek. This state considered itself to be the continuing sole legitimate ruler of all of China, referring to the communist government or “regime”as illegitimate, a so-called “Peoples' Republic of China”declared in Beijing (Peking) by Mao Tse Tung in 1949, as“mainland China”“ , Communist China,




or “Red China”. Although supported for many years, even decades by many nations especially with the support of the United States who established a 1954 Mutual Defense treaty, as the decades passed, since political liberalization began in the late 1960s, the PRC was able after a constant yearly campaign in the United Nations to finally get approval in 1971, to take the seat for “China”in the General Assembly, and more importantly, be seated as one of the five permanent members of the Security Council. After recovering from this shock of rejection by its former allies and liberalization in the late 1970s from the Nationalist authoritarian government and following the death of Chiang Kai-shek, the Republic of China has transformed itself into a multiparty, representative democracy on Taiwan and given more representation to those native Taiwanese, whose ancestors predate the 1949 mainland evacuation.

19.1 Early republic (1912–16) 19.1.1

Founding of the republic

Main article: Xinhai Revolution The last days of the Qing dynasty in the late 19th

Three different flags were originally used during the Revolution. The bottom message says“Long live the Republic!" with the five races represented by the Five-Color Flag of the Republic.

and early 20th centuries were marked by civil unrest and foreign invasions. Various internal rebellions caused millions of deaths, and conflicts with foreign Western European powers almost always resulted in humiliating unequal treaties that exacted costly reparations and compromised the country's territorial integrity. In addition, there were sentiments that political power should return to the majority Han Chinese from the minority Manchus from the northeastern province of Manchuria. Responding to these civil failures and discontent, the Qing Imperial Court attempted to reform the Imperial Government in various ways, such as the decision to draft a constitution in 1906, the establishment of provincial legislatures in 1909, and the preparations for electing a national parliament in 1910. However, many of these

measures were opposed by the conservatives of the Qing Court, and many reformers were either imprisoned or executed outright. The failures of the Imperial Court to enact such political liberalization and modernization caused the reformists to take the road of revolution. There were many revolutionary groups, but the most organized one was founded by Sun Yat-sen (Chinese: 孫 逸仙), a republican and anti-Qing activist who became increasingly popular among overseas Chinese and Chinese students abroad, especially in Japan. In 1905 Sun founded the Tongmenghui in Tokyo with Huang Xing, a popular leader of the Chinese revolutionary movement in Japan, as his deputy. This movement, generously supported by overseas Chinese funds, also gained political support with regional military officers and some of the reformers who had fled China after the Hundred Days' Reform. Sun's political philosophy was conceptualized in 1897, first enunciated in Tokyo in 1905 and modified through the early 1920s. It centered on the Three Principles of the People: “nationalism, democracy, and people's livelihood”. The principle of nationalism called for overthrowing the Manchus and ending foreign hegemony over China. The second principle, democracy, was used to describe Sun's goal of a popularly elected republican form of government. People's livelihood, often referred to as socialism, was aimed at helping the common people through regulation of the ownership of the means of production and land.

Bonds that Sun Yat-sen used to raise money for revolutionary cause. The Republic of China was also once known as the Chunghwa Republic.

The Republican Era of China began with the outbreak of revolution on October 10, 1911, in Wuchang, the capital of Hubei Province, among discontented modernized army units whose anti-Qing plot had been uncovered. This would be known as the Wuchang Uprising, which is celebrated as Double Tenth Day in Taiwan. It had been preceded by numerous abortive uprisings and organized protests inside China. The revolt quickly spread to neighboring cities, and Tongmenghui members throughout the country rose in support of the Wuchang revolutionary forces. On October 12 the Revolutionaries succeeded in capturing Hankou and Hanyang. However, the euphoria engendered by this victory was short-lived. On October 27, Yuan Shikai was reappointed by the Qing Court to lead the New Army, and loyalist forces under Feng

19.1. EARLY REPUBLIC (1912–16)

251 had effective control of the Beiyang Army, the most powerful military force in China at the time. To prevent civil war and possible foreign intervention from undermining the infant republic, Sun agreed to Yuan's demand for China to be united under a Beijing government headed by him. On March 10, in Beijing, Yuan Shikai was sworn in as the second Provisional President of the Republic of China.

A poster that commemorates permanent President of the Republic of China Yuan Shikai and provisional President of the Republic Sun Yat-sen.

A calendar that commemorates the first year of the Republic as well as the election of Sun Yat-sen as the provisional President.

Guozhang and Duan Qirui moved south to retake Wuhan. After heavy fighting in November, the out-manned and out-gunned Revolutionary Army was driven out of Hankou and Hanyang, and retreated to Wuchang south of the Yangtze. During the 41-day Battle of Yangxia, however, 15 of the 24 provinces had declared their independence from the Qing empire. Yuan Shikai halted his army's advance on Wuchang and began to negotiate with the revolutionaries. A month later, Sun Yat-sen returned to China from the United States, where he had been raising funds among Chinese and American sympathizers. On January 1, 1912, delegates from the independent provinces elected Sun Yat-sen as the first Provisional President of the Republic of China. Yuan Shikai agreed to accept the Republic and forced the last emperor of China, Puyi, to abdicate on February 12. Empress Dowager Longyu signed the abdication papers. Puyi was allowed to continue living in the Forbidden City, however. The Republic of China officially succeeded the Qing Dynasty.


Early republic

On January 1, 1912, Sun officially declared the establishment of the Republic of China and was inaugurated in Nanjing as the first Provisional President. However, power in Beijing already had passed to Yuan Shikai, who

The republic which Sun Yat-sen and his associates envisaged evolved slowly. Although there were many political parties vying for supremacy in the legislature, the revolutionists lacked an army, and soon Yuan Shikai's power began to outstrip that of parliament. Yuan revised the constitution on his own and became dictatorial. In August 1912 the Kuomintang (Nationalist Party) was founded by Song Jiaoren, one of Sun's associates. It was an amalgamation of small political groups, including Sun's Tongmenghui. In the national elections held in February 1913 for the new bicameral parliament, Song campaigned against the Yuan administration, whose representation at the time was largely by the Republican Party, led by Liang Qichao. Song was an able campaigner and the Kuomintang won a majority of seats.

19.1.3 Second Revolution Song was assassinated in March. Some people believe that Yuan Shikai was responsible, and although it has never been proven, he had already arranged the assassination of several pro-revolutionist generals. Animosity towards Yuan grew. In April he secured a Reorganization Loan of 25 million pounds sterling from Great Britain, France, Russia, Germany and Japan, without consulting the parliament first. The loan was used to finance Yuan's Beiyang Army. On May 20 Yuan concluded a deal with Russia that granted Russia special privileges in Outer Mongolia and restricted Chinese right to station troops there. Kuomintang members of the Parliament accused Yuan of abusing his rights and called for his removal. On the



other hand, the Progressive Party (Chinese: 進 步 黨; pinyin: Jìnbùdǎng), which was composed of constitutional monarchists and supported Yuan, accused the Kuomintang of fomenting an insurrection. Yuan then decided to use military action against the Kuomintang. In July 1913 seven southern provinces rebelled against Yuan, beginning the Second Revolution (Chinese: 二 次 革 命; pinyin: Èrcì Gémìng). There were several underlying reasons for the Second Revolution besides Yuan's abuse of power. First was that most Revolutionary Armies from different provinces were disbanded after the establishment of the Republic of China, and many officers and soldiers felt that they were not compensated for toppling the Qing Dynasty. These factors gave rise to much discontent against the new government among the military. Secondly, many revolutionaries felt that Yuan Shikai and Li Yuanhong were undeserving of the posts of presidency and vice presidency, because they acquired the posts through political maneuvering rather than participation in the revolutionary movement. Lastly, Yuan's use of violence (such as Song's assassination) dashed the Kuomintang's hope of achieving reforms and political goals through electoral means. Yuan Shikai as the Emperor of the Empire of China (1915–16). However, the Second Revolution did not fare well for the Kuomintang. The leading Kuomintang military force of Jiangxi was defeated by Yuan's forces on August 1 ment did not meet quorum and was subsequently unable and Nanchang was taken. On September 1, Nanjing was to convene. In January 1914 Yuan formally suspended taken. When the rebellion was suppressed, Sun and other the parliament. In February he called into session a meetinstigators fled to Japan. In October 1913 an intimi- ing to revise the Provisional Constitution of the Republic dated parliament formally elected Yuan Shikai President of China, which was announced in May of that year. The of the Republic of China, and the major powers extended revision greatly expanded Yuan's powers, allowing him recognition to his government. Duan Qirui and other to declare war, sign treaties and appoint officials without trusted Beiyang generals were given prominent positions seeking approval from the legislature first. In December in the cabinet. To achieve international recognition, Yuan 1914 he further revised the law and lengthened the term Shikai had to agree to autonomy for Outer Mongolia and of the President to ten years, with no term limit. EssenTibet. China was still to be suzerain, but it would have tially, Yuan was preparing for his ascendancy as the emto allow Russia a free hand in Outer Mongolia and Tanna peror. Tuva and Britain continuation of its influence in Tibet. On the other hand, since the failure of the Second Revo-


Mass banditry, Yuan Shikai and the National Protection War

Main articles: Bai Lang Rebellion, Yuan Shikai and National Protection War

lution, Sun Yat-sen and his allies were trying to rebuild the revolutionary movement. In July 1914 Sun established the Chinese Revolutionary Party (Chinese: 中華 革命黨; pinyin: Zhōnghúa Gémìngdǎng). He felt that his failures at building a consistent revolutionary movement stemmed from the lack of cohesiveness among its members. To that end, Sun required that party members to be totally loyal to Sun and follow a series of rather harsh rules. Some of his earlier associates, including Huang Xing, balked at the idea of such authoritarian organization and refused to join Sun. However, they agreed that the republic must not revert to imperial rule.

Bandit leaders with popular movements instigated revolts, with the support of Sun Yat-sen's revolutionaries from Canton. The bandit-led Bai Lang Rebellion ransacked and destroyed much of central China before it was crushed by the Beiyang Army of Yuan Shikai, the Mus- Besides the revolutionary groups associated with Sun, lim Ma clique and Tibetan militia. These bandits were there were also several other groups aimed at toppling associated with the Gelaohui. Yuan Shikai. One was the Progressive Party, the original In November Yuan Shikai, legally president, ordered the constitutional-monarchist party that opposed the KuomKuomintang dissolved and forcefully removed its mem- intang during the Second Revolution. The Progressive bers from parliament. Because the majority of the parlia- Party switched their position largely because of Yuan's ment members belonged to the Kuomintang, the parlia- sabotage of the national parliament. Secondly, many

19.2. WARLORD ERA (1916–28) provincial governors who had declared their independence from the Qing Imperial Court in 1912 found the idea of supporting another Imperial Court utterly ridiculous. Yuan also alienated his Beiyang generals by centralizing tax collection from local authorities. In addition, public opinion was overwhelmingly anti-Yuan. When World War I broke out in 1914, Japan fought on the Allied side and seized German holdings in Shandong Province. In 1915 the Japanese set before the government in Beijing the so-called Twenty-One Demands, aimed at securing Japanese economic controls in railway and mining operations in Shandong, Manchuria and Fujian. The Japanese also pressed to have Yuan Shikai appoint Japanese advisors to key positions in the Chinese government. The Twenty-One Demands would have made China effectively a Japanese protectorate. The Beijing government rejected some of these demands but yielded to the Japanese insistence on keeping the Shandong territory already in its possession. Beijing also recognized Tokyo's authority over southern Manchuria and eastern Inner Mongolia. Yuan's acceptance of the demands was extremely unpopular, but he continued his monarchist agenda nevertheless. On 12 December 1915 Yuan, supported by his son Yuan Keding, declared himself emperor of a new Empire of China. This sent shock waves throughout China, causing widespread rebellion in numerous provinces. On 25 December former Yunnan governor Cai E, former Jiangxi governor Li Liejun (Chinese: 李烈鈞; pinyin: Lǐ Lièjūn) and Yunnan Gen. Tang Jiyao formed the National Protection Army (Chinese: 護國軍; pinyin: Hùgúojūn) and declared Yunnan independent. Thus began the National Protection War (Chinese: 護 國 戰 爭; pinyin: Hùgúo Zhànzhēng).

253 other warlords did not acknowledge the transitory governments in this period and were a law unto themselves. These military-dominated governments were collectively known as the Beiyang Government. The warlord era is considered by some historians to have ended in 1927.

19.2.1 World War I and brief Manchu restoration Main article: Manchu Restoration After Yuan Shikai's death, Li Yuanhong became the President and Duan Qirui became the Premier. The Provisional Constitution was reinstated and the parliament convened. However, Li Yuanhong and Duan Qirui had many conflicts, the most glaring of which was over China's entry into World War I. Since the outbreak of the war, China had remained neutral until the United States urged all neutral countries to join the Allies, as a condemnation of Germany's use of unrestricted submarine warfare. Premier Duan Qirui was particularly interested in joining the Allies as an opportunity to secure loans from Japan to build up his Anhui clique army. The two factions in the parliament engaged in ugly debates regarding the entry of China and, in May 1917, Li Yuanhong dismissed Duan Qirui from his government.

This led provincial military governors loyal to Duan to declare independence and to call for Li Yuanhong to step down as President. Li Yuanhong summoned Zhang Xun to mediate the situation. Zhang Xun had been a general serving the Qing Court and was by this time the military governor of Anhui province. He had his mind on restoring Puyi (Xuantong Emperor) to the imperial throne. Yunnan's declaration of independence also encouraged Zhang was supplied with funds and weapons through the other southern provinces to declare theirs. Yuan's German legation, which was eager to keep China neutral. Beiyang generals, who were already wary of his imperial On July 1, 1917, Zhang officially proclaimed the restoracoronation, did not put up an aggressive campaign against tion of Qing dynasty and requested that Li Yuanhong give the National Protection Army. On 22 March 1916 Yuan up his presidency, which Li promptly rejected. Duan formally repudiated monarchy and stepped down as the Qirui led his army and defeated Zhang Xun's restoration first and last emperor of his dynasty. He died on 6 June of forces in Beijing. One of Duan's airplanes bombed the that year. Vice President Li Yuanhong assumed the presForbidden City, in what was possibly the first aerial bomidency and appointed Beiyang Gen. Duan Qirui as his bardment in East Asia. On July 12 Zhang's forces disinPremier. Yuan Shikai's imperial ambitions finally ended tegrated and Duan returned to Beijing. with the return of republican government. The Manchu restoration ended almost as soon as it began. During this period of confusion, Vice President Feng Guozhang, also a Beiyang general, assumed the post 19.2 Warlord Era (1916–28) of Acting President of the republic and took his oath of office in Nanjing. Duan Qirui resumed his post as the Main article: Warlord Era Premier. The Zhili clique of Feng Guozhang and the Anhui clique of Duan Qirui emerged as the most powAfter Yuan Shikai's death, shifting alliances of regional erful cliques following the restoration affair. warlords fought for control of the Beijing government. Despite the fact that various warlords gained control of the government in Beijing during the warlord era, this did not constitute a new era of control or governance, because

Duan Qirui's triumphant return to Beijing essentially made him the most powerful leader in China. Duan dissolved the parliament upon his return and declared war on Germany and Austria-Hungary on August 13, 1917.



German and Austro-Hungarian nationals were detained 19.2.3 and their assets seized. Around 175,000 Chinese workers volunteered for labor battalions after being enticed with money, some even years before war was declared. They were sent to the Western Front, German East Africa and Mesopotamia and served on supply ships. Some 10,000 died, including over 500 on ships sunk by Uboats. No soldiers were sent overseas, though they did participate with the Allies in the Siberian Intervention under Japanese General Kikuzo Otani.


May Fourth Movement

Constitutional Protection War Students in Beijing rallied during the May Fourth Movement.

In September Duan's complete disregard for the constitution caused Sun Yat-sen, Cen Chunxuan and the deposed parliament members to establish a new government in Guangzhou and the Constitutional Protection Army (Chinese: 護法軍; pinyin: Hùfǎjūn) to counter Duan's abuse of power. Ironically, Sun Yat-sen's new government was not based on the Provisional Constitution; rather, it was a military government and Sun was its“Grand Commander of the Armed Forces”(Chinese: 大元帥; pinyin: Dàyúanshuài, translated in the Western press as "Generalissimo"). Six southern provinces became part of Sun's Guangzhou military government and repelled Duan's attempt to destroy the Constitutional Protection Army.

In 1917 China declared war on Germany in the hope of recovering its lost province, then under Japanese control. On May 4, 1919, there were massive student demonstrations against the Beijing government and Japan. The political fervor, student activism and iconoclastic and reformist intellectual currents set in motion by the patriotic student protest developed into a national awakening known as the May Fourth Movement.

The intellectual milieu in which the May Fourth Movement developed was known as the New Culture Movement and occupied the period 1917–1923. The student demonstrations of May 4, 1919, were the high point of the New Culture Movement, and the terms are often used The Constitutional Protection War continued through synonymously. Chinese representatives refused to sign 1918. Many in Sun Yat-sen's Guangzhou government felt the Treaty of Versailles due to intense pressure from both his position as the Gen