HST 108 China: from the Shang to the
Yuan
Key Terms from
Lecture and Textbook
Shang Dynasty
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Xunzi
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Records of
the Grand Historian
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China proper
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Yellow River
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Daoism
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Emperor Wu
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Yangshao Culture
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Anyang
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Laozi
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Silk Road
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Longshan Culture
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Di
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Legalism
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Age of Division
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Xia Dynasty
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oracle bones
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Shang Yang
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Sui Dynasty
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hegemon
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logographic
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Han Feizi
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Grand Canal
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Imperial Confucianism
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Zhou Dynasty
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Qin Empire
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Yangzi River
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Yellow Turbans
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Mandate of Heaven
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First Emperor (Zheng)
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Tang Dynasty
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Three Kingdoms
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Warring States Period
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Great Wall
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Chang'an
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Tang Code
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Sun Wu (Sun Tzu)
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Terracotta Army
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Song Dynasty
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Western and Eastern
Jin
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The Art of War
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Xiongnu
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Neo-Confucianism
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Goguryeo
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Confucius
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Xianyang
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foot-binding
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Silla Dynasty
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The Analects
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Han Dynasty
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Zhu Xi
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Jomon Period
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ren
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Emperor Gauzu (Liu
Bang)
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Asuka-Nara Period
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Yayoi Period
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Mencius
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Sima Qian
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Shinto
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Mounded Tomb Period
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Chronology
Shang Dynasty
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1600-1050 BCE
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Zhou Dynasty
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1050-256 BCE
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Warring States
Period
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403-221 BCE
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Qin Empire
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221-206 BCE
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Han Dynasty
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206 BCE - 220 CE
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Age of Division
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220-589 CE
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Sui Dynasty
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581-618 CE
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Tang Dynasty
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618-907 CE
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Song Dynasty
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960-1279 CE
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Yuan Dynasty
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1271-1368 CE
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I. Geography
and Environment [MAP]
A. historical China (China proper)
1. much smaller than modern China
2. did not include Tibet, Inner Mongolia, Turkestan, Manchuria
B. importance of rivers [MAP]
1. Yellow River in the north
2. Yangzi and Xi in the south
C. development of civilization
1. agriculture by 10,000 BCE
a. wheat and millet in the cold, dry north
b. rice in the warm, wet south
2. villages by 5000 BCE
- also domesticated cattle, pigs, dogs
3. sheep in the north and water buffalo in the south by 3000 BCE
D. natural boundaries
1. Himalaya Mountains in Tibet
2. deserts and grassland (steppe) in the west
(as well as hostile tribes, such as the Xiongnu)
II. Shang Dynasty (~1600-1050 BCE) [MAP]
A. Bronze Age civilization
1. Bronze Age begins between 3000-2000 BCE
2. the Shang are the first Bronze Age Chinese civilization for which we have
archaeological and written evidence
3. centered around the Yellow River in the north
B. Society
1. their kings were military chieftains ruling from large cities like Anyang
2. supported by peasant farmers in the countryside
3. bronze metalworking coincides with complex social organization
C. Religion
1. the king was also the high priest
2. made sacrifices to the high god, Di, as well as royal ancestors
3. interpreted cracks in heated cattle bones and tortoise shells
D. Writing (oracle bone)
1. these so-called oracle bones contain the oldest examples of Chinese writing
2. the kings/priests wrote questions on the bones and then touched the bones
with a heated metal rod until they cracked
3. oldest examples are from around 1200 BCE, but the writing is fully developed
- so they had writing long before this (likely on wood or silk that disintegrated)
4. the writing shows:
a. complex society with powerful kings and a literate class of people
b. Chinese script is logographic
- a word is represented by a symbol, like Egyptian hieroglyphics
5. the Chinese kept their logographic script throughout history
a. continuity
b. communication
c. control
d. examples: Qin, Song
III. Zhou Dynasty (1050-256 BCE) [MAP]
A. Religion
1. Zhou kings sacrificed to their ancestors, but also to Heaven
2. they saw Heaven as a supreme deity and the king was the "son of heaven"
3. Mandate of Heaven
a. Heaven allowed the king to rule IF he treated the people well
b. used this to rationalize take over from the Shang
- the Shang king had mistreated the people
B. Feudalism
1. the king used relatives and other aristocrats to govern territories for him
2. in return for land, these vassals agreed to fight for him
3. but these lords grew so powerful that they rivaled the king
and ignored his commands
4. between about 800-400 BCE, China was decentralized with a weak royal authority
C. Society
1. Iron Age began between 1000-800 BCE
2. by the 5th century, iron production was becoming big business
3. some iron traders became massively wealthy and rivaled aristocrats
4. the Zhou kings began using these non-aristocrats in the government
so that they didn't have to rely on those troublesome aristocrats
IV. Warring States Period (403-221 BCE) [MAP]
A. states began using massive armies (hundreds of thousands)
of foot soldiers and cavalry
B. these soldiers used iron helmets and crossbows
C. the old chariot-riding aristocracy became obsolete
D. the rise of generals who were good at military strategy
E. Sun Wu (Sun Tzu)
- excerpt from the Art of War:
All warfare is based on deception. Therefore, when capable of attacking,
feign incapacity; when active in moving troops, feign inactivity. When near
the enemy, make it seem that you are far away; when far away, make it seem
that you are near. Hold out baits to lure the enemy. Strike the enemy when he
is in disorder... Avoid the enemy for the time being when he is stronger. If your
opponent is of bad temper, try to irritate him. If he is arrogant, try to encourage
his egotism... Attack the enemy when he is unprepared, and appear where you
are not expected. These are the keys to victory for a strategist.
F. the Zhou Dynasty fell from power as outlying states expanded and overwhelmed it
V. The Golden Age of Chinese Philosophy
A. Confucianism
1. Confucius (551-479 BCE)
a. low-level government official in the state of Lu [MAP]
b. began wandering through various other Chinese states,
attempting to teach people and advise rulers (497-484 BCE) [MAP]
c. he focused on ethical notions of duty
d. five relationships are the basis of society
1. ruler - subject
2. father - son
3. husband - wife
4. elder brother - younger brother
5. friend - friend
e. the superior individual must lead and protect,
the inferior must support and obey
f. excerpts from the Analects:
1.6 The Master said: A young man should be filial within his home and
respectful of elders when outside, should be careful and trustworthy,
broadly caring of people at large, and should cleave to those
who are ren...
2.1 The Master said: When one rules by means of virtue it is like
the North Star – it dwells in its place and the other stars pay
reverence to it.
g. to Confucius, ren was the ultimate virtue
- it means perfect goodness, benevolence, humanity
h. Confucius de-emphasized noble birth and class distinctions
1. to him, a true gentlemen was a virtuous man of high morals
2. thus, any intelligent, talented person could climb the social ladder
and get a job serving in the government
i. his ideas were not embraced during his own lifetime, but they eventually
came to dominate in China because of his followers
2. Mencius (370-300 BCE)
a. follower of Confucian teachings
b. like Confucius, Mencius traveled around teaching
c. he argued that human nature was basically good
1. humans can recognize and do the right thing
2. benevolent government will unite everyone
3. Xunxi (310-215 BCE)
a. another follower of Confucian teachings
b. argued that people are naturally selfish
1. thus, they must be taught moral principles
2. only through education and ritual will they learn
c. rituals maintain order in society
1. he didn't believe that Heaven/God intervenes in human affairs
2. thus, rituals have no bearing on Heaven
3. but rituals do allow people to express feelings in an orderly way
4. and they specify how different ranks of people must perform
things differently
d. his advice to rulers was practical, as well as ethical
B. Daoism
1. Daoists disagreed with the moral action of Confucianism
2. they thought that trying to make things better actually made them worse
3. they focused on the big picture, the natural order of things
4. Dao means "the way" (the way things are, the natural order)
5. Laozi (3rd c. BCE)
a. trying to get stuff done is counterproductive
b. it usually doesn't work out, so what's the point?
c. the people would be better off if they knew less stuff
- if they gave up writing, tools, traveling, etc.
d. rulers should let people return to a state of ignorance
e. ignorance is bliss
- if they don't know about stuff, they won't envy others or fight
C. Legalism
1. Legalists rejected BOTH Confucians and Daoists
2. instead, they supported a strong government built on rigorous laws
3. Shang Yang (390-338 BCE)
a. chief minister of the Qin ruler
b. his Legalist changes made Qin a powerful state
1. aristocracy abolished
2. military rank determined social distinctions
3. how many heads you cut off in battle determined military rank
4. state divided into counties governed by state officials
5. farmers worked the land for the state, not the aristocrats
6. heavy taxes and labor obligations
7. permits were required to travel
8. vagrancy punished with labor service
4. Han Feizi (280-233 BCE)
a. Legalist philosopher
b. his ideas are what we would call realpolitik, or Machiavellian theory
c. you do what you have to do to get things done
d. trust no one, even your own officials
1. keep your officials ignorant of your intentions
2. create competition among them
e. laws and prohibitions should be as clear as possible
VI. Qin Empire (221-206 BCE) [MAP]
A. the king of Qin (Zheng) unified China by defeating all of his rivals
B. he called himself First Emperor because he hoped to create a long-lasting dynasty
C. he centralized the Chinese government
1. he forced nobles to move to the capital (Xianyang) so that he could control them
2. he issued extensive regulations for his government officials
3. he standardized weights, measures and coinage to facilitate his control of trade
4. he ordered a census in order to get a sense of his human resources
D. he used those human resources for three major building projects
1. thousands of miles of roads
2. the Great Wall [MAP]
a. the Great Wall that stands today is mainly from the later Ming Dynasty (1368-1644)
b. but it had been rebuilt and enhanced over time, beginning in the Qin period
c. it was originally built to protect against the nomadic Xiongnu
d. the Qin Great Wall eroded over time because it was built out of rammed/tamped earth
3. mausoleum (built 246-208 BCE)
a. based on the capital city of Xianyang
b. 4 miles in circumference
c. pyramid covers the tomb at the center [pyramid size comparison]
d. terracotta warriors
1. army of 8000 warriors, horses, chariots
2. meant to protect the emperor in the afterlife
E. the Qin dynasty was not long-lasting like the emperor wished
a. his sons and their factions fought for power
b. various uprisings occurred
VII. Han Dynasty (206 BCE - 220 CE) [MAP]
A. Emperor Gaozu of Han (r. 202-195 BCE)
1. Liu Bang, peasant rebel leader
2. took control in the midst of the chaos
B. Golden Age of Ancient China
1. return to Confucian dominance
a. Gaozu was a commoner who was sympathetic to the people
b. emphasized benevolent government
c. reduced taxes, canceled harsh laws
2. Sima Qian (145-85 BCE)
- excerpt of Records of the Grand Historian:
[The Xiongnu] herd mainly horses, cattle and sheep, but also some
unusual animals, such as camels, donkeys, mules and wild horses...
They move around looking for water and pasture and have no walled
settlements or permanent housing. They do not farm, but they do divide
their land into separate holdings under different leaders. They have no
writing, and all their contracts are verbal. When their children can ride
a sheep, they begin to use bows and arrows to shoot birds and rodents.
When they are older, they shoot foxes and rabbits for food. In this way,
all the young men are easily able to become archers and serve as cavalry.
It is their custom when times are easy to graze their animals and hunt
with the bow for their living, but when hard times come, they take up
weapons to plunder and raid.
3. discoveries/inventions
a. paper (oldest fragment from 179 BCE)
b. melting iron (Han era iron scissors)
c. crossbows
4. Silk Road
a. Emperor Wu (r. 141-87 BCE)
b. fought the Xiongnu and opened up trade
C. competition and civil war
1. succession of child emperors created factions
2. warlords took control and removed the emperor
VIII. The Age of Division and the Spread of Buddhism (220-589 CE)
A. Division
1. North
a. non-Chinese people established short-lived dynasties
b. e.g., the Xiongnu and various Turkish peoples
2. South
- various dynasties rose and fell over the years
B. Buddhism
1. Silk Road [MAP]
2. Mahayana Buddhism
3. spread during the chaos because it emphasized kindness and compassion
4. as it spread, it became more devotional
a. it became a religion of the masses
b. Buddha came to be seen as a god
c. he was worshipped along with other Buddhas and Bodhisattvas
IX. The Medieval Dynasties
A. Sui Dynasty (581-618 CE) [MAP]
1. short-lived dynasty with only two emperors
a. Wen (541-604 CE)
b. Yang (569-618 CE)
2. rise of meritocracy with competitive exams
3. Grand Canal [MAP] - then, now
B. Tang Dynasty (618-907 CE) [MAP]
1. emperor Gaozu of Tang (r. 618-626 CE)
a. Li Yuan, Duke of Tang
b. seized the throne during the unrest that arose
from the building of the Grand Canal
2. Golden Age of Medieval China
a. expansion into Korea, Vietnam, and Turkish lands in central Asia
b. cosmopolitan cities
1. e.g., Chang'an had a population over one million
2. foreign cultures mixed freely with Chinese culture
c. great age of Chinese poetry
d. Buddhism flourishing; monasteries popping up everywhere
e. spread of government schools; preparation for civil service jobs
C. Song Dynasty (960-1279 CE)
- subject of the film next time
D. Yuan Dynasty (1271-1368 CE)
- will be addressed later in the semester when we look at the Mongols
The Ancient and Medieval
World 
