For
a general overview
of the Chinese Dynasties see:
An earlier case study that traced the evolution of transborder sovereignty
over the course of China’s longest lasting dynasty, the Zhou Dynasty which
lasted from roughly 1000 BC to 221 BC. Were we also noticed how it differed
from the bartered sovereignty that emerged in Europe, showed us a highly
structured feudalism, a territorially bound state that struggled to develop a
bureaucracy to govern it, and a nation rich in tradition before a state could
grow powerful enough to govern it. During the course of the Zhou Dynasty we see
a shift from transborder sovereignty
to absolute sovereignty with the Warring States Period representing a
transitional phase to imperial China.
Also, in the Western imagination, China's history has been inextricably
linked to the notion of "empire." But in fact, more than a millennium
of Chinese history passed before anything resembling an empire ever existed.
For centuries, six separate states battled for military supremacy, until in 221
B.C. the Qin dynasty defeated the last of its rivals and unified the country.
Military conquest is only part of the imperial story, however.
The Qin dynasty
The defining characteristics of the Chinese empire-and, indeed, of all,
empires-were its large scale and the diversity of its peoples. While all of
China's inhabitants have retroactively become "Chinese" today, this
term is anachronistic for the pre-imperial period. The peoples of that time
would have been known as the Qin, Qi, Chu, or by the name of one of the other
Warring States, or as the inhabitants of a particular region (for example, the
people "within the mountain passes"). The Qin's conquests united
these groups politically in the third century B.C., but distinct regional
cultures and "temperaments" survived. Such regional variations were
not an inconvenient fact of life but, rather, became essential to an empire
that justified itself by making just this kind of hierarchical
distinction-between the universal, superior culture of the imperial center and
the limited, particular cultures of regions and localities. This fundamental
distinction manifested itself in political service, religion, literature, and
many other aspects of Chinese life. And following the Qin, the Han empire would
come.The most important change brought about by the
Qin conquest however, was the universal use of a single non-alphabetic script.
By standardizing written communication among groups that did not speak mutually
intelligible tongues, this innovation bound together all the regions of the
empire and allowed the establishment of a state-sanctioned literary canon. Thus
Keith Buchanan explained that "The real history of China is not so much
the history of the rise and fall of great dynasties as the history of the
gradual occupation of the Chinese earth by untold generations of farming folk."
1
In later periods even areas that did not become part of modern
China-Korea, Japan, and Vietnam-shared significant elements of culture through
their use of a common written script. Eventually, a common literary culture
linked all those engaged in, or aspiring to, state service. In later centuries
literacy would permeate lower levels of society, through Chinese theater,
popular fiction, and simplified manuals of instruction.
In the centuries following the Qin conquest, the gradual
demilitarization of both peasant and urban populations and the delegation of
military service to marginal elements of society reversed an earlier trend
among the competing states which had extended military service throughout the
peasantry. In 31. A.D. universal military service was formally abolished, not
to reappear until after the end of the last empire in 1911. In place of a
mobilized peasantry, military service was provided by non-Chinese
tribesmen, who were particularly skilled in the forms of warfare used at the
frontier, and by convicts or other violent elements of the population, who were
transported from the interior to the major zones of military action at the
outskirts of the empire. This demilitarization of the interior blocked the
establishment of local powers that could challenge the empire, but also led to
a recurrent pattern in which alien peoples conquered and ruled China.
Finally, "empire" as it developed in early China depended on
the emergence of a new social elite-great families throughout the realm who
combined landlordism and trade with political office-holding. Those families
dominated local society through their wealth, which they invested primarily in
land, and their ability to mobilize large numbers of kin and dependents. In the
classical period, law and custom divided inherited property among sons, and
therefore landed wealth was subject to constant dispersal. Even large estates
(although no estates in this period were large by Western standards) devolved
into a multitude of small plots within a few generations. In order to reproduce
their wealth over time, families were obliged to find sources of income outside
agriculture. Trade and money lending were vital occupations among the gentry,
but the greatest source of wealth was imperial office-holding.
Like all of Chinese history, also the geography of the early empires is
a tale of the country's many distinct regions. The state created by the Qin
dynasty was not the modern China familiar from our maps. The western third of
contemporary China (modern Xinjiang and Tibet) was an alien world unknown to
the Qin and the early Han. Modern Inner Mongolia and Manchuria also lay outside
their frontiers, as did the southwestern regions of modern Yunnan and Guizhou.
While the modern southeast quadrant (Fujian, Guangdong, and Guangxi) was
militarily occupied, it also remained outside the Chinese cultural sphere. The
China of the early imperial period, and of much of its later history, consisted
of the drainage basins of the Yellow River and the Yangzi. This area comprised
all of the land that was flat enough and wet enough to be suitable for
agriculture, and thus defined the historical limits of the Chinese heartland.
In the Roman Empire, it was cheaper to ship grain or wine all the way from
one end of the Mediterranean Sea to the other than to transport it just a
hundred miles overland by wagon. Regions without water links were not
integrated in the Mediterranean economy. The same was true of China. Prior to
the construction of railroads in the nineteenth century, carrying grain more
than a hundred miles by pack animal cost more than producing the grain itself.
Except for luxury goods such as spices, silks, or gems, where small amounts
produced large profits, hauling goods overland was prohibitively expensive. And
a lack of good natural harbors in north China made trade up and down the coast
uneconomical. Consequently, almost all bulk trade relied on inland waterways.
But even this mode of transportation had its limitations. Both of the major
rivers-the Yellow River and the Yangzi-flowed from west to east, with no
navigable water links between them. No natural intersecting lines of transport
moved north and south. Over time, as the bottom of the channel gradually rose,
the river overflowed its banks. Dikes were built ever higher to prevent
flooding, and in some places the river started to flow above the surrounding
countryside. Today, in a stretch of about 1,100 miles, the Yellow River moles
along yards above the plain. But dikes do not control silting, and floods
continued to occur on an ever larger scale. On more than 1,500 occasions during
the history of imperial China the Yellow River burst its dikes, destroying
farmland, killing villagers, and earning its description as "China's sorrow."
But under the Qin and Han empires, the Yellow River was the core of Chinese
civilization, home to around 90 percent of the population. It was separated by
mountains and hills into a northwestern region (modern Gansu and northern
Shaanxi), the central loess highlands (modern Shaanxi, Shanxi, and Western
Henan), and the alluvial floodplain (modern Henan, southern Hebei, Shandong,
northern Anhui, and northern Jiangsu). The Yangzi drainage basin, still a
frontier region in this period, was also naturally divided into three regions:
the mountain-ringed Min River basin (modern Sichuan), the middle Yangzi (Hubei,
Hunan, and Jiangxi), and the lower Yangzi (Zhejiang, southern Anhui, and
Jiangsu).
The Qin state's conquests of its neighbors and the unified empire that
emerged were built on a foundation of reforms that Shang Yang, a minister from
the state of Wey, carried out in the years following 359 B.C. His radical,
thoroughgoing transformations of Qin military and civil life grew out of
practices that were first pioneered in Qi and in Jin
and its successors. Internecine wars among the Zhou nobility following the
monarchy's loss of power and the eastward shift of the capital in 770 B.C. had
put pressure on Qi and Jin to increase the size of
their armies. Gradually these states extended military service from the
nobility and its followers to the entire population of the capital, and then on
to certain segments of the rural population. Under Shang Yang's adaptation of
these practices, Qin peasants who served in the army were rewarded with land
that their individual households could hold and work and on which they paid
taxes. But there were severe punishments as well as rewards.
When the fall of his last rival left the king of Qin master of the
civilized world, he and his court were fully aware of the unprecedented nature
of their achievement. As one courtier remarked, they had surpassed the greatest
feats of the legendary sages of antiquity. And now they would set about
enacting visionary programs designed to institutionalize a new era in human
history, the era of total unity.
Yet, the Qin dynasty collapsed within two decades because it did not
change enough. Despite its proclamations of making a new start in a world
utterly transformed, the Qin carried forward the fundamental institutions of
the Warring State era, seeking to rule a unified realm with the techniques they
had used to conquer it. The Qin's grandiose visions of transformation failed to
confront the extensive changes that the end of permanent warfare had brought
about. It fell to the Han, who took over the realm after the Qin dynasty's
defeat, to carry out the major institutional programs and cultural innovations
that gave form to the vision of world empire.
Although more than nine-tenths of the population worked on the land
during the Qin and Han empires, little was written about peasants. Elites
preferred the color and excitement of cities and the allure of power at court.
Bound to the soil, rural life smacked of the brutish and vulgar. However, Shen
Nong, the so-called Divine Farmer, figured in the Han pantheon. Credited with
the invention of agriculture, he was the patron sage of a Warring States
tradition that insisted all men should grow their own food. An early Han
philosophical compendium Master of Huainan (Huainanzi)
quotes him as a law-giver: "Therefore the law of Shen Nong says, 'If in
the prime of life a man does not plow, someone in the world will go hungry. If
in the prime of life a woman does not weave, someone in the world will be
cold.' Therefore he himself plowed with his own hands, and his wife herself
wove, to set an example to the world."2
Some writers adapted this doctrine to support the Qin regime, which was
dependent on rural households' productivity and suspicious of merchants'
wealth, and it was carried forward into the Han. Farming was even incorporated
into a rarely performed ritual in which Han emperors initiated the agricultural
season with three pushes of a plow in a special field. Major officials then
took a turn, in order to show through simulated labor the court's interest in
agriculture. The empress did her part by engaging in ceremonial weaving for the
feast of the first (silk farming) sericulturist.
The limits of the Qin empire roughly defined the enduring borders of the
Chinese people and their culture. Although the empire was sometimes extended
into the northern steppes, Central Asia, southern Manchuria, Korea, and
continental southeast Asia, these expansions were generally brief. The peoples
of these regions remained beyond Chinese control until the final, non-Chinese Qing dynasty. The people surrounding China can
be divided into two groups. To the north and west lay nomadic societies that
lived on grasslands and formed states radically different from the Chinese
model. Except for the oasis city-states of Central Asia, these regions would
remain outside the Chinese cultural sphere. By contrast, the watery regions of
the south and southeast, as well as the highland plateaus of the southwest,
were progressively settled by Chinese emigrants. There, and in the northeast,
sedentary agrarian states would gradually adopt Chinese forms of writing and
state organization, but these developments had scarcely begun during the early
imperial dynasties.
1. Buchanan, Transformation of the Chinese Earth, pp. 5-6. Worster, Rivers of Empire, 1970, ch.
2, "The Flow of Power in History."
2. Huainanzi
(The Master of Huainan). In Xin bian zhu zi ji cheng (New Compilation
of the Comprehensive Collection of the Various Masters), Vol. 7. Taipei: Shijie, 1974.
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