Ancient China: January 2020

The Western Zhou Period: The Later Bronze Age (c 1046 - 771 BCE)

The Conquest of the Shang

to the west of the Shang lived the Zhou people
they were less civilized and more war-like than the Shang people
it took advantage of the weakening of the Shang
the Shang got weak because of its fights with nomads of the north
it also got weak from fights with rebellious tribes to the east
the Zhou eventually conquered the weakened Shang.

the Zhou continued various practices of the Shang
the 200 or so agrarian-based city-state continued to be the basic unit of society
they assimilated the Shang culture.
the Zhou held their capital in the west (the double city of Feng & Hao in the Wei River valley)
but set up a second one at Chengzhou, near Luoyang
they established other settlements governed by family members and aristocratic families.
kinship ties made it possible to integrate the newly conquered area into a coherent whole.
some innovations of their part were:
a) to abandon large-scale human sacrifices
b) put an end to using oracle bones for divination
c) ushered in the concept of the Mandate of Heaven to legitimize their rulership.
the Zhou dynasty is traditionally dated from 1122 to 256 BC
his immense and long period is divided into two periods:
the Western Zhou, from 1122 to 771 BC.
the Eastern Zhou
further divided into
the Spring and Autumn period from 771 to 481 BCE
the Warring States period, from 403-221 BCE.
the Zhou had emerged as a powerful state to the west of the main centre of Shang activities.
there is no linguistic theory to suggest that they originated from far
a plausible theory suggests that they originated in the Fen valley in Shanxi
later they migrated to the Wei valley in Shaanxi, to the west of Xi’an

it was there that the Zhou people came to adapt many aspects of the Shang
this helped them to acquire administrative techniques
this made easy their eventual seizure of power.
in its origins, the small Zhou tribe interacted with two groups:
a) nomads on the north
b) the proto-Tibetans Qiang people of the west.
they learned to tolerate and work with peoples of different cultures
in the Wei valley, they became strong enough to conquer the Shang in warfare
this was in about 1040 BC.
their was the first example of a right of a dynasty to rule being based on an ethical justification.
the fall of the Shang was because of the shortcomings of the Shang ruler
this was according to the Book of Documents
the mandate from heaven was taken from the Shang ruler and given to the Zhou rulers.
of these, King Wen was a paragon of virtue
his son, King Wu, who overthrew the Shang after a great battle, was an outstanding warrior.
the Zhou headed a coalition of eight nations against the Shang.
two years after the conquest King Wu died in 1043 BC
he was succeeded by his son – this was different from the past
this was because under the Shang the succession had passed to surviving brothers
now it established that the heir should come from the succeeding generation - the son
this was a new important principle, observed by later Chinese dynasties,
the young heir King Cheng - was served by his older brother as regent;
but two other brothers teamed up with the nominal Shang leader to challenge Duke of Zhou,
they probably suspected him of wanting to usurp the throne.
the Zhou armies had to march eastward again for a “second conquest”
it took two years to finalize the conquest
a series of administrative measures took place as well as religious developments
these measures matured Zhou rule.
to prevent another rebellion the Shang elite were re-located eastward (to a state called Song)
some resettled elsewhere
also a Zhou settlement was established in the heartland of the Shang.
in this way they consolidated control of eastern territories
they were able to establish a secondary capital at Chengzhou, near Luoyang;
also new settlements were place strategically in the east
they were ruled by members of the Zhou royal family or close allies
this was to create a security network
it was also to integrate the newly conquered into a coherent whole.
the “second conquest” marked a series of innovations:
they established the double capitals of Feng and Hao in the valley
b) they abandoned the Shang custom of large-scale human sacrifice
c) they stopped using oracle bones for divination
d) they established the notion of “heaven’s decree” as the cornerstone of their ideology

Territorial Expansion & Dual Political Structure

the expansion of the Zhou’s central power involved a degree of acculturation
this was of those who submitted
it involved the spread of the Chinese writing system
this included the rituals and the administration that it served.
the mainstream culture was that of the Central Plain
this was the core region of the Shang-Zhou predominance.
in the peripheral regions there were many whose names were not Chinese
but were recorded in transliteration.
these included the semi-nomads of the north, northeast, and northwest
it also included the tribal peoples of South China.
intermarriage, acculturation, and the start of bureaucratic government was important
it created the successor states that followed the Shang-Zhou dominance
these states inherited various cultural mixes and emerged as distinct political entities
this tool [place during the Warring States period, which began in 403 BC.

by the beginning of the Chinese people had already achieved something unique
this was cultural homogeneity and an isolated community
they had created a society dominated by state power
all other activities,would make their contributions as subordinate parts of the whole
the state was the central power in Chinese from the beginning.
these activities can be designated aa:
agricultural
technological
commercial
military
literary
religious
artistic

Bronze ding (kettle) - Western Zhou period

the Zhou’s power expanded by defeating the nomads on the northwest
they led campaigns southward into three areas:
the Han River area
the Yangzi River area
the southeast area along the Huai River
in these areas they required considerable administrative modifications.
they adopted a system of dual government
direct rule in the west by the royal family and decentralized control of the east.
Chengzhou & the Wei River basin supported the Zhou ruler economically and militarily.

Feudalism & Kinship

Zhou rule was established by setting up a “feudal” network.
the Chinese system was one of kinship and the contractual element was not specified
t was a system in which the ruler personally gave limited sovereignty over parts of his territory
this was given to vassals.
the rulers delegated power to local leaders outside the royal domain
thus it was a decentralized system
it benefitted the locals economically and militarily but it was potentially threatening
this was because regional armies might end up supporting anti-Zhou rebellion
they could also end up supporting or local secession.
they continued to use kinship as a main element of political organization
the lands were the absolute possessions of the king
but he allocated fields to those he deemed worthy servants
he was also able to confiscate and reallocated lands if he wished
this required an increase of administrative officials.
some settlements turned into the nuclei of autonomous polities
they had separate administrative and military systems.
the Zhou ruler developed a number of ways to control regional lords
periodically they had to travel to the capital to receive commands
sometimes bring annual tributes
sometimes provide military support.
regional lords were either descendants of the former ruler or had marriage connections
so, they were subordinate to the kings in kinship terms.

The Son of Heaven

the Zhou created a new basis of legitimacy by espousing the theory of heaven’s mandate.
their ability to maintain their authority was - not just through economic power & the military
it was also through ethical rule (the mandate from Heaven)
the Shang had venerated and sought the guidance of their own ancestors
the Zhou got their sanction to rule came from a broader, impersonal deity, Heaven (Tian),
this mandate may be conferred upon any family that was morally worthy of the responsibility.
this asserted the ruler’s accountability to a supreme moral force
to the Zhou it was this moral force that guides the human community.
the rulers were the intermediary between the divine and the mundane world
they presented themselves as the representative of the supreme deity.
the Chinese theory of Heaven’s mandate set up a moral criteria for holding power.
the ruler did limit interactions with the supreme deity only to monarchs
in this way they were viewed as sons of Heaven.
exclusive access to Heaven imposed a heavy responsibility upon the ruler
so it was necessary for the ruler to
a) behave morally and prudently
b) care for the people’s needs.

The Collapse of the Western Zhou

Administrative Crisis:

the decline of the Western Zhou was the result of a series of failures
these failures were with their model of governing
it became increasingly more and more difficult to control regional politics.
there were attempts to intervene in a number of crises
this caused increased tensions between the ruler and their nominal underlings
this sometimes brought about military clashes
it diminished the prestige of the ruling house.
the crises were caused by the increase of power in the hands of hereditary lineages
aristocratic families grew a lot and land resources under the king’s jurisdiction decreased
the king was increasingly unable to reward officials
he economic resources that supported the king’s will on the subjects decreased;
this reversing this led to rebellion and widespread resentment - the result was that King LI was overthrown in 840 BCE; he later died in exile. The next 14 years saw the royal court governed by a noble. Hence the period was marked by a “crisis of authority.”

Military Crisis:

in 977 BCE the southern expedition of King Zhao against the state of Chu ended in a defeat
the armies were destroyed and he drowned in the Han River.
later the Zhou were defeated in the Huai River basin by the local Yi tribesmen
the Yi tribesmen threatened the secondary capital of Chengzhou.
later they were defeated by a rebellion led by border protectorates
this finalized the loss of control of the southern periphery of the Zhou.
the most serious threat came from the Xianyun in the northwest
they were tribesmen who practiced a mix of agricultural and pastoral economy
they had initially been submissive to the Zhou.
they were a chariot-fighting tribesmen in areas close to the Zhou capitals
they created tension along the borders; they depleted the Zhou military of their resources.

Court Politics: Factionalism & Usurpation

King You (r. 781 - 771 BCE) & his consort Baosi are generally blamed for Zhou’s collapse
also a combination of events are to blame for the collapse of the Zhou
a) succession struggles
b) partisan conflicts
c) bad relations with regional lords
it was a coalition that overran the capital
the coalition was made up of
a) disgruntled officials
b) neighbouring lords
c) alien Quanrong tribesmen
they overran the capital
they killed the king,
they replaced him with a new king, Peng
they relocated the court to the east
this had enormous consequences
it was no longer able to provide economic & military resources
it survived only on a symbolic legitimacy.
the rulers could no longer control regional lords
the result was fragmentation and growth of regional independence.

The Iron Age: The Eastern Zhou Dynasty (770-221 BCE)

the Eastern Zhou Dynasty (770-221 BCE) is divided into two phases:
a) the Spring and Autumn period (770-475 BCE)
b) the Warring States period ((475-221 BCE).
in 771 BCE the heir to the throne had to escape to the second capital near Luoyang
this was when barbarians were attacking the Wei valley twin capitals
what can be said is that
a) their old authority would never return
b) its military was weak
c) alliances were with neighbours were not sustainable
the result was a disintegration of the realm into competing political units
these political monopolized by aristocratic families.
the aristocrats of the Spring & Autumn period maintained a high level of
a) social cohesiveness
b) cultural uniformity.
their adherence to Zhou ritualism gave them an identity in the sense that
1) they shared a common textual culture
2) spoke an intelligible language (different from the colloquial language of commoners)
3) performed common ceremonies.
there was a collapse of alliances & there was annexation of neighbours,
the result was that the borders expanded & interstate stability disappeared.
the Warring States period differed from the previous period
a bureaucracy emerged that intervened in the lives of commoners
it affected them in terms of in terms of
a) taxes,
b) military and labour conscriptions,
c) civilian projects.
the new elite (shih) emerged at the same time as the decline of the hereditary aristocracy.
this was a period of intellectual ascendancy
competing thinkers attempted to seek remedies for the socio-political turmoil that had arisen
this laid the foundation (Confucianism, Daoism, Legalism) for a unified empire yet to come.
the Warring States period was a time of rapid urbanization
the walled cities were no longer isolated by plains, marshes, and forests
the rise of the iron tools cleared the land and increased agricultural productivity
irrigation and drainage canals grew in importance.

another important change was the rise in commercial activity
military roads were now used by merchants for inter-state trade
copper coins was added to bolts of silk and precious metals as media of exchange.
a change that brought about the demise of the city-state was the rise of a new kind of army
this was that the war chariots of the old aristocracy (limited to flat terrain) was replaced
they were replaced by cavalry forces armed with a crossbow
the majority of the fighting was performed by conscripted foot soldiers
armies grew in size.
lords of territories began to act like kings
hereditary aristocrats were supplanted by the new elite
the new elite were well versed in the art of statecraft.
the scholar-bureaucrat consisted of nobles, warriors, landlords, merchants and commoners.
this was a literate bureaucracy.

The Spring and Autumn Period:

the years 771-481 BC are known as the Spring and Autumn period
this comes from the annals which describe the events of those years in the small state of Lu.
the main political event of the time was the rise of states,
these states professed only symbolic allegiance to the Zhou kings
in the end the
Zhou kings only ruled a small area near Luoyang.
around 170 states are recorded to have existed in those years
50 of which were significant in size and importance.
during this period the Zhou became an area of non-stop conflicts
these conflicts were between regional powers and within them as well
warfare and successive disputes reduced the number of states to seven.
this period saw frequent wars between states and with the surrounding people.
throughout the entire period, only 38 years were peaceful ones.
the wars reflected the rapid political, social, and economic changes.
at the beginning of the Spring and Autumn period the political elite was made up of
a) the king
b) the feudal lords,
c) their hereditary ministers,
each of these groups had a clearly defined role in ritual performance
they also had an obligation to defend the honour of the lineage.
under the pressure of wars, this elite began to become fragmented
a) state government became more centralized
b) administrative units were established
c) junior members of the aristocracy were appointed to supervise them.
d) a class of men known as shih, or scholar-gentlemen began to emerge in the 7th century
e) by the fifth century BC, the shih had eclipsed the former elite in government.
there were also major technological and economic changes that were taking place
the use of bronze had become more widespread and
bronze agricultural tools were in common use in the lower Yangzi valley.
by the middle of the period, cast iron and steel were being produced
but iron was not used for making weapons, implements, and vessels until the Warring period.
up until then Chinese agriculturalists had probably practised a form of communal agriculture
this form of agriculture later became known as the “well-field” system.
in this system plots of land were arranged or divided into nine holdings
eight of the holdings were farmed by individual families
the ninth was farmed communally and the produce was delivered to the lord.
communal agriculture began to decline during the Spring and Autumn period
this was because of the spread of the iron plough, which increased productivity.
in 594 BC the state of Lu instituted a system of land taxation
this required peasants to pay taxes rather than to provide labour service.
individual ownership and a free market in land began to appear at this time.
along with this change there was growth in commerce.
there was the appearance of coinage
in the Shang cowrie shells had been used in transactions
in the Shang cloth was also used as a medium of exchange
by the late Spring and Autumn period metallic currencies had been introduced
these early coins being in the form of spades or knives.

The Art of War:

between the Western Zhou & Spring and Autumn periods, armies were led by aristocrats
they fought using chariots drawn by horses
this form of fighting by the nobility gave war a sense of respect
there was a sort of diplomacy attached to warfare
battles were pre-arranged and gamesmanship relations became part of the fabric of war.
by the time of the Warring States period, the armies had undergone profound changes
infantry, at first and later, the cavalry replaced the limited form of chariot fighters
large mass conscript armies (of peasants) made their appearances.
the noble and courteous virtues of warfare were now replaced by brutal violence.
the Warring States period was also a time of technological changes
one was the invention of the crossbow
its production (by artisans in state sponsored workshops) was supervised by the state
this was combined with the appearance of iron swords, armour, and helmets
these clever strategies were employed to make armies more effective
during the 4th century BCE the ""Art of War" made its appearance
it is a masterpiece of military thought
it is attributed to Sunzi, a semi-legendary general
he saw war not as a battle but a competition between competing ideologies
he saw the war being grounded on administration and economics
war had to be fought for political victories, not military victories
the grasp of war became visionary.

The Warring States Period:

by the Spring and Autumn period (722-481BC) there were about 170 states
these were aristocratic family-states, each centred in its own walled capital
they engaged in diplomatic-military free-for-all, some absorbing others
by the era of the Warring States (403-221 BC) only seven major states remained
most of them were on the populous North China plain.

what were visible were two components of the eventual Chinese imperial government
a) military rulers
b) scholar-teachers.

Ritualization

both were concerned with the performance of ritual and ceremonies
these were to keep human society in proper accord with the cosmic order
the ruler’s authority in each state was based on ritually directed violence
this took the form of sacrifices, warfare, and hunting.
hunting was seen as practice for war against other men
the two major state services were sacrifice and warfare.
both involved the ritual taking of life, thus it defined the realm of political power.
during the Shang and Zhou period, veneration of the ancestors through sacrifice
both animals and human were sacrificed
this had made use of the highest achievements of art – the bronze ritual vessels
it also maintained the ruler’s legitimacy by his liturgical activities.

hunting provided sacrificial animals and warfare sacrificial prisoners.
warfare itself was a religious service
it was filled with rituals of divination, prayers, and oaths preceding combat
they ended in the presentation of formal reports, booty, and prisoners at the ancestral altar.
participation in these activities defined one’s membership in the ruling class
one shared a common ancestry.
its hallmark was the privilege of eating meat.
although there were wars in each of these periods the character of war changed
war changed from being an aristocratic monopoly to an activity which involved
a) authoritarian leadership,
b) standing armies,
c) peasants performing military services.
in this period military specialists appeared
the most famous was Sunzi, the supposed author of the Art of War
Warring States “ming” money knives
at this time new weapons were adopted
this was the crossbow and the improved iron sword.
the armour was also developed.
from the middle of the 6th century, armies composed of infantry began to appear
the number of combatants rose sharply.
there are records of armies of 600,000 men.
the economic/ social changes started in the Spring & Autumn period were now accelerating.
in agriculture, iron tools became more available,
fertilizer began being applied
irrigation was being used – all became more common.
walled towns increased,
development of trade was accompanied by the spread in the use of money.
communal land-ownership disappeared and the
a private landlord class emerged
along with the military the Warring States also fostered an age of philosophers
they who looked for theoretical bases for those same things.

during this time there was a strong desire for peace and order
many idealized a golden age of earlier times
this was when according to legends, all of China lived peacefully under one ruler.
violence inspired the late Zhou philosophers to get back to the golden age.

Changes among the Elite: the rise of the shih

most important change was the decline of the hereditary aristocracy
during the Spring & Autumn the noble lineages based their power on two things
a) the system of hereditary office holding
b) hereditary allotments
in the wake of the Warring states period both systems were abolished
administrators were selected from a broad pool of educated elite
they received payments in terms of grain & precious metals
they no longer received payments in terms of territorial allotments
by depriving the nobility of a major source of power, it led to a decline
they also merged into new elites
the new elites were designated as shih
originally they had been the lowest in the aristocratic stratum
they made living as administrative and military retainers of the high ranking nobles
this expertise made them indispensable for rulers of the Warring states.
but they lacked independent resources
in this way they had to seek employment from patronage of powerful potentates
thus, they identified with the interest of those regional rulers
social mobility had excessive high rates during this period.
the end product of this was:
a) the demise of the hereditary aristocracy
b) the entrance of the members of the lower strata in officialdom
]these two elements disrupted the cultural unity of the Zhou
the newcomers contributed to the increase of homogeneity
the newcomers contributed to the increase of heterogeneity
this took place as the unity of the elite culture was dissolving
cultural diversity was more explicit in the peripheral states of Qin & Chu
they became more estranged from the core Zhou states
the shih brought about cultural ties throughout the Zhou world
this was because of
a) the fluidity of employment patterns
b) their shifts from one state to another
they promulgated the notion of “all under Heaven”
they did not commit to any individual state
no ideology came out of this diversification that could threaten future unification.