Chapter 7- China’s First Empire (221B.C. - 220 A.D.):

(1). Discuss the Ch’in Dynasty’s unification of China, and explain the significance of its reforms.

(2). Describe the theory of the Dynastic Cycle, and explain its significance.

(3). Examine the Former Han Dynasty and the role of Han Wu Ti.

(4). Discuss the Later Han Dynasty, and describe its decline and disunity that followed Empire’s fall.

(5). Examine Han Confucianism, Neo-Taoism, and Buddhism, and assess Han historical scholarship.

(6). Compare &contrast the key forces & dynamics of Han China’s Empire with that of Roman Empire.

(7). Review for MTX.

v Strategic Overview:

Ø Key Turning Point in Chinese History=> 3^rd Century BC:

§ Chou (Zhou – pronounced “Joe”) multistate =>

· Supplanted by centralized bureaucratic government

· Created empire from Northern Steppes to Vietnam

§ Empire divided into three parts:

· Ch’in (Qin)

· Former Han

· Later Han

v Ch’in Unification of China

Ø Ch’in Dynasty (256-206BC):

§ Based on Wei River (NW China)

§ Defeat other contending states

§ Brutal but stable centralize government

§ Harsh laws still draw farmers to Ch’in – why?

§ Legalist Administration (chapter 2)

· Policies to enrich country & strengthen military

· Strong emperor => expands territory & builds Wall

· Bureaucratic reforms=> strict uniformity => result?

v Former Han Dynasty (206BC-8 AD)

Ø End of Ch’in:

§ Too many changes too fast => rebellion

· Legalist conformity => repression & book burnings

· Ch’in dynasty collapsed under its harsh rule

¨ Rebellion spreads as popular support was lost

§ Struggle for power ensues as dynasty comes to it end

Ø The Dynastic Cycle:

§ Confucian historian describes cycle

· 1^st part of cycle: internal war => eventual unification

¨ restoration of peace => proof of mandate

¨ economic growth follows

· Peak: public works, reforms, & military expansion

¨ State appears invincible

· Cycle downside: expansion & court expenses rise

¨ Heavy tax burden => decline in $$$ gets worse

¨ Monarchs become weak=> central power wanes

¨ Provincial governors & military commanders rise

¨ Infrastructure deteriorates => disrepair

¨ Natural disasters follow=> citizens soon rebel

§ Confucians: last emperors both weak & corrupt

Ø Early Years of the Former Han Dynasty:

§ Kau Tsu=> 1^st Han emperor (plebian)

· Established capital in Wei Basin – near Ch’in

· Humble origins & not much of an intellectual

¨ Confucians not high on his list

§ Kau Tsu and his successors made good start

· Established good government & the economy grew

· Less harsh punishment (avoid Ch’in fate)

Ø Han Wu Ti (“martial emperor”):

§ 2^nd phase of dynasty begins=> expands territory farther

§ Aggressive leader=> created strong army

§ Barbarians used to restrain more distant barbarians

· Bribes border nomads & makes them allies

· Policy usually worked=> Silk road & trade established

¨ Connects India, Iran, & Roman West

§ If Barbarians couldn’t be bribed & made allies=> then…

· Wu Ti applies overwhelming force against recalcitrant

¨ Hsiung Nu are case in point

¨ 100K troops to Gobi Desert in southern Mongolia

¨ 700K colonists to Kansu panhandle

¨ Extended great Wall of China to Jade Gate (Map)

Ø Government During the Former Han:

§ Chou type principalities set up – token jester (why?)

§ Officials organized according to grades & paid salaries

· Recruited by sponsorship & recommendation (talent)

§ Legalist centralized government use for administration

· “partially confucianized” over time

· Confucian officials gradually rose to be key advisors

¨ Confucian classics accepted as best source for talent

¨ Officials chosen on basis of potential and ability

§ Central Imperial government functions limited:

· Collected taxes & administered laws

· Maintained army & supported imperial court

· Executed public works projects

· Rest left to local provincial governments

¨ local notables & rich & powerful landowners

· Empire’s government rested on top of local gov.

§ Power concentrated in the emperor “son of heaven”

· Only problem arose when emperor was minor

¨ Then struggle for control over regency

Ø Dowagers vs. eunuchs vs. military leaders

§ Conspiracies, intrigues, & murder

· Military leaders usually founded new dynasties

Ø Decline and Usurpation:

§ In typical fashion=> downside of cycle became evident

· Latter half of Wu Ti’s rule => military costs rose

¨ While revenues declined

· Wu’s successors did take steps to slow decline

¨ Reduced taxes, $ controls, & military expenditures

· Still large landowners gained more & more power

¨ avoid paying fair share of taxes=> state $$$ declined

Ø burden falls on small landowners & free peasants

Ø rebellion soon follow

· Weak emperors=> nepotism/favorites=> corruption

¨ Court intrigues

§ Wang Mang usurps throne=> institutes reforms

· Unpopular w/merchants (monopolies) & landowners

· Natural disaster also demonstrates its attitude

¨ Yellow River overflowed its banks/changed course

¨ Poor harvest produced famine

§ Secret peasant society rose in rebellion

· Attack capital at Ch’ang-an & kill & eat Mang

· Dynastic Cycle begins again with internal wars

· Finally large landowner & rebel army leader emerged

¨ Established new dynasty (loosely view as Han)

v Later Han (25-220 AD) & Its Aftermath

Ø The First Century: capital moved to Loyang

§ Return to strong central government

§ Laissez-faire economics

§ Military expansion to North (across Gobi desert)

· Defeat of northern Hsuing Nu

¨ Ancestors of Attila the Hun

Ø Decline During the Second Century:

§ To 88 AD=> emperors vigorous & strong

· After ineffective & weak=> short lived

§ Political instability

· Intrigues & conspiracies=>

¨ Empresses & eunuchs compete to take power

· Religious rebellion => dynasty cycle full circle

¨ military overthrows dynasty in 220 AD

Ø Aftermath of Later Han Empire:

§ For 3.5 centuries=> focus on regional/local developments

· South: succession of 6 short dynasties around Nanking

· North: State formation of nomadic tribe interactions

¨ Referred to as: The “16 Kingdoms”

§ Throughout: wars, instability, & language polyglot

§ What was common denominator to bridge the differences?

v Han Thought and Religion

Ø Han period was also creative in many ways:

§ Excelled in philosophy, history, & art (Text)

Ø Han Confucianism:

§ Added cosmological naturalism – how?

· Han Confucianist explained value of good emperors

· Virtuous emperors=> order society & harmonize nature

· Order & precedence dictates nature and rule

¨ All nature reflects: yin & yang and the five elements

§ Therefore: proper polices of the virtuous emperor essential

· Must be appropriate to nature’s inherent progression

· If not => initial warning of nature given

· Followed soon after with loss of Heaven’s mandate=>

¨ Then chaos => and new cycle begins

Ø History during the Han:

§ With exception of Confucius, History begins w/Han

§ Various explanations given for Chinese interest in history

· Chinese tradition

· Confucianists’ veneration for classics & written word

· History seen as lessons reflected in the mirror

§ Ssu-ma Chi’en’s Historical Records=> original sources

§ Pan Ku’s The Book of the Han=> analysis Former Han=>

· Established what traditional Chinese pattern?

Ø Neo-Taoism (Mysterious learning – why?): =>

§ In reaction to strict doctrines of what philosophy?

§ Considered Confucian doctrines too rigid

§ Defined natural as pleasurable

§ Extreme individualism & eccentricity

§ Many sought immortality in dietary restrictions

· Also through mediation, sexual abstinence or excess

§ Stressed an combination of beliefs:

· An afterlife of countless heavens & hells=> depending

¨ Good & evil accounted for after death

· Any parallels to other beliefs in other civilizations?

Ø Buddhism:

§ Bought to China via central Asian missionaries (Map)

· 1^st century: considered a new Taoist sect

§ As Han socio-political order collapsed (3^rd century)=>

· Spread rapidly until firmly established by 5^th century

§ What were the advantages thought to be over Taoism?

· What made it so attractive? Any parallels to West?

v China’s First Empire in World Perspective

Ø Comparison of China’s Han with West’s Roman Empire:

§ Both empires built on ideas of earlier people:

· Han built on previous thought, philosophy, & ideas

¨ Chou & the Ch’in

· Rome?

§ Both used iron age technology

§ Both had superior political organization & military forces

Ø Contrast of China’s Han with West’s Roman Empire:

§ Culture:

· Rome: diverse polyglot of people & cultures

· Han: homogeneous culture – all Chinese

§ Geo/Physical:

· Rome:

¨ Mediterranean Sea w/direct access=> trade/culture

· Han: land locked/separate & isolated regions

¨ Inward looking with little outside exposure or ideas

§ Government-Army:

· Rome: Army competes for political power

Ø Result: disorder & chaos & dynastic struggle

· Han: Civilian control over military generally firm

¨ More orderly & competent control (until cycle’s end)

§ Military Expansion:

· Rome: gradual piecing of Empire together w/o plan

¨ Controlled Empire w/o external threat until 3^rd cent.

Ø (Less concerned about outside threats ‘til then)

· Han: Threat from North relatively constant

¨ Result: cohesive dynamic state emerged=>

Ø Protect security from threat to North

Ø Massive response to eliminate this threat=>

Ø Strong unified cohesive state (until cycle’s end)