Transcript History & Politics in China (I)

History, Economics& Politics in
Ancient China
A) Zhou Dynasty (1122-249B.C)
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After the death of Zhou-menwang, his son
(the later King Mo武王) became the “tribal”
leader of Zhou.
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King Mo successfully rebel against the wicked
King of Shang Dynasty, whom only focuses on
physical enjoyment, especially women, wine.
The formation of the Zhou Dynasty
King Mo was a good king and warrior.
He brought peace to the state
The Duke of Zhou:
- the brother of King Mo, a son of Zhoumenwang
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The Duke of Zhou周公,
The most important noble (“adviser”) of King
Mo
After King Mo’s death, he became the “acting
King” for 7 years (King Mo’s son was too
young).
The Duke of Zhou
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During his acting period, he completed feudalism封
建制度, family-oriented system宗法制度, li-system
禮法, and extended the border.
His words/contributions were documented in the
Book of Documents.
It was believed that he finalized the Book of Rituals
禮記(Lijing).
The idol of Confucius: his name was mentioned
many times in the Analects
Contributions of the Duke of Zhou
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1. Assisted King Mo to unified China, revolted
against the wicked King Chou Hsin
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2. Assisted King Sing成王, the son of King Mo
3. During the resign of King Sing, he leaded the
army to fight against revolutions in Eastern China
4. He built an important city in the East, which
became another political, military center
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Contributions of the Duke of Zhou
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5. Feudalism
6. Family-oriented system
7. Ritual and music system
The Zhou Dynasty: Fedualism
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Zhou Dynasty: the longest dynasty of China,
> 800 years
Feudalism: King Mo took the Duke of Zhou’s
advice and implement feudalism
Gave land/resources to his relative/warriors,
so that they could help him to rule the state.
Why Feudalism?
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1. In order to win the heart of the people, King Mo
entitled the families of the Ancient Kings as noble.
2. To stabilize the country, King Mo entitled the son
of the wicked King Chou Hsin as noble
3. To prevent the revolt of the son of King Chou Hsin,
King Mo placed his brothers around the former’s
land
4. To reward his warriors and good officials
Beginning of Feudalism
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In total, 71 states/ areas
53 belonged to the relatives of the King
Reasons of Feudalism
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1. To keep an eye on the remaining power of
the Shang Dynasty.
2. To comfort various tribes within the state.
3. To place the close relatives (brothers) and
officials at important areas, for example, in
various borders.
4.To extend the border by absorbing the
tribes nearby.
Results of Feudalism
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1. In the Shang Dynasty, the tribes were selfgoverning. After feudalism, they were all
under the King.
2. With entitlement, the border of the Zhou
Dynasty kept on expanding.
3. The Zhou dynasty was the longest one in
Chinese history
4. Harmonious culture
Feudalism: Zhou Dynasty
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Under the King of Zhou:
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Nobles: 5 kinds (公,侯,伯,子,男) & sub-nobles
Nobles: land, official, soldiers, annual meetings
with the King, regular contribution to the King
Sub-nobles: land, annual meetings with the
superior, regular contribution to the superior
Nobles/sub-nobles: rule their land
A Comparison of the Western and
Chinese Feudalism
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Content of the Western feudalism
Same structure?
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No, even feudalism in different Western kingdoms
in various time are v. different
Similar: according to one’s blood, family
members are reliable
Family-oriented system宗法制度
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Feudalism is a family-oriented system
Originated from the father-based tribal tradition.
Before the Zhou dynasty, common: elder brotheryounger-brother/ father-son
After the Duke of Zhou: only father-son, which
influenced the Chinese culture for the next 3000
years.
Applicable to the King, nobles, sub-nobles, and the
practice of the common people
Content of the Family-oriented System
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Only the eldest son of the official wife can
be the successor
Clear hierarchy: each layer knows its
superior and inferior.
Thus, the whole empire is related and in
order.
Relation of Feudalism & Familyoriented System
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Mutually-enhancing
Aim of both: strengthen the governance of
the state
Feudalism was abolished after the Zhou
Dynasty, yet family-oriented system
influenced China for 3000 years
Usage of Family-oriented system
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A combination of political and family relation: the
King is the “father” of the state.
Reduce the conflict in heritage. It was common that
men of high position to have more than a wife, such
system provide clear guideline for inheritance.
From then on, China became a family-based state.
The emphasis of family, elderly, & fatherly.
The East Zhou
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The Zhou dynasty:
West/Early Zhou西周(1122-771 B.C.)
East/ Late Zhou (770-249 B.C.)
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relocation of its capital
not long after that, the period is distinguished as
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Spring-Autumn春秋時代Period(722-481 B.C.)
– Laozi, Confucius were born
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Warring Period戰国時代(403-221B.C.)
-- Mencius, Zhuangzi were born
B) The Unification of China by the
State of Qin
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The up-rise of the state of Qin/Zhen秦, due to
a prime minister, named Shang Yang商鞅
Shang Yang’s proposals were carried out in
Zhen, which enhance Zhen became the
strongest state in Warring Period.
Shang Yang was the founder of legalism
Shang Yang’s policies (390-338 B.C.)
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1. The abolishment of the feudalism. Descendants
of the nobles, who had no contributions to the state
could only inherit wealth but not power/fame.
2. Reward military performance, strictly restrict
private fighting
3. Five families were grouped as one unit, every 10
units were grouped as a group. They kept an eye on
each other.
Shang Yang’s policies
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4. Centralization of the government, i.e. the
King appointed officials to rule the land.
5. Focus on agriculture and suppress
business. Those with good agricultural
returns could avoid taxation/military duty.
Could not go for business from farming, or
the whole family would be slaves.
Shang Yang’s policies
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6. Permit the buy-sell of land. Privatization of
land.
7. Unification of the measuring system.
8. Unification of the written language.
C) Han Dynasty
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Early Han (Emperor Wen文帝& Ching景帝)
– rule with Daoistic ideas
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A reaction against Legalism
“laisser faire & laisser passer”
E.g. rulers should refrain from interfering the people
Laws/li = harmful
Simple life e.g. in Laozi’s Dao De Ching
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“In those times, people never visited one another even where
they could hear each other’s cocks & dogs.”
Period= one of the highlights of Chinese history
People lived peacefully & quietly
The Strongest King of Han:
- Emperor Wu (Han Wu Di)
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Energetic & ambitious
Wanted a strong & powerful kingdom
Shaped his government according to Confucianism, of which
then influenced Chinese for the next 2000 years
Confucian scholar, Tung Zhong Zhu董仲舒, became the high
official
Tung suppressed all other schools
An academy of Confucianism was formed
Grouped the educated together & restored the ancient text (the
Book of Music suffered extinction)
Anyone who could produce an old would be rewarded
Emperor Wu (Han Wu Di)
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Tung’s book: Zhuenzhiufenlu春秋繁露
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Confucian, with an emphasis on the stabilization &
development of the empire
Criticism of Tung Zhong Zhu
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Even if Confucianism is superior, did it justify the exclusion
of all other schools?
Superstitious, all celestial as well as terrestrials were taken
as omens as future good or evil e.g. eclipse of sun/moon,
heavy rain, a deformed animal… He granted all these
elements on to Confucian philosophy in his text
I.1 Mencius’ ideas on Public
Opinion
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“When your close attendants all say of a man that he is good and wise,
that is not enough; when men in the capital all say so, then have the
case investigated. If the man turns out to be good and wise, then and
only then should he be given office. When your close attendants all
say of a man that he is unsuitable, do not listen to them; when the
Counselors all say the same, do not listen to them; when men in the
capital all say so, then have the case investigated. If the man turns
out to be unsuitable, then and only then should he be removed from
office. When your close attendants all say of a man that he deserves
death, do not listen to them; when the Counselors all say the same, do
not listen to them; when men in the capital all say so, then have the
case investigated. If the man turns out to deserve death, then and
only then should he be put to death. In this way, it will be said, “He
was put to death by men in the capital” (M 2.7)
I.1 Mencius’ ideas on Public Opinion
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(M 2.7) “左右皆曰賢,未可也;諸大夫皆曰賢,未
可也;國人皆曰賢,然後察之;見賢焉,然後用之.
左右皆曰不可,勿聽;諸大夫皆曰不可,勿聽;國人
皆曰不可,然後察之;見不習焉,然後去之.左右皆
曰可殺,勿聽;諸大夫皆曰可殺,勿聽;國人皆曰可
殺,然後察之;見可殺焉,然後殺之.故日,國人殺
之也.”
be careful in judging a man
I.2 Mencius’ ideas on a Good Ruler
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“There is a way to win the Empire; win the people
and you will win the Empire. There is a way to win
the people; win their hearts and you will win the
people. There is a way to win their hearts; amass
what they want for them; do not impose what they
dislike on them.” “得天下有道:得其民,斯得天下矣;得
其民有道:得其心,斯得民矣;得其心有道:所欲與之聚文,
所惡勿施,爾也” (M 7.9)
i.e. even for a ruler “Do not impose on others what
you do not desire” “己所不欲勿施于人”
I.3 Mencius’ ideas on Revolution
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Mencius = the first one
People have a right to revolution when the
Ruler is wicked & ignores repeated advice.
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“He who mutilates ren is a mutilator; he who
cripples yi is a crippler; and a man who is both a
mutilator and a crippler is an ‘outcast.’ I have
indeed heard of the punishment of the ‘outcast
Tchou,’ but I have not heard of any regicide.” “賊
仁者謂之賊,賊義者謂之殘.殘賊之人謂之 ‘一夫’.
聞誅一夫紂矣,未聞弒君也” (M 2.8)
I.3 Mencius’ ideas on Revolution
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“If the ruler made serious mistakes, they
would remonstrate with him, but if repeated
remonstration fell on deaf ears, they should
depose him.” “君有大過則諫,反复之而不聽,則
易位” (M 10.9)
I.4 Mencius’ Ideas on Rulers &
Officials
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Rulers vs. Officials
(M 8.3) “If a prince treats his subjects as his hands
and feet, they will treat him as their belly and heart.
If he treats them as his horses and hounds, they will
treat him as a mere fellow-countryman. If he treats
them as mud and weeds, they will treat him as an
enemy.”
“君之視臣如手足,則臣視君如腹心;君之視臣如犬馬,則
臣視君如國人;君之視臣如土谷,則臣視君如寇雔.”
That is, relationship between rulers & officials is
interactive.
I.4 Mencius’ Ideas on the
Common People
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4. The importance of the common people
“The people are of supreme importance; the altars to the gods
of earth and grain come next; last comes the ruler. That is why
he who gains the confidence of the multitudinous people will be
Emperor; he who gains the confidence of the Emperor will be a
feudal lard; he who gains the confidence of a feudal lord will be
a Counselor. When a feudal lord endangers the altars to the
gods of earth and grains he should be replaced. When the
sacrificial animals are sleek, the offerings are clean and the
sacrifices are observed at due times, and yet floods and
droughts come, the altars should be replaced” (M 14.14)
I. Mencius’ ideas on the
Common People
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“民為貴,社稷次之,君為輕.是故得乎丘民而為
天子,得乎天子為諸侯,得乎諸侯為大夫.諸侯危
社稷,則變置.犧牲既成,粢盛既絜,祭祀以時,然
而旱乾水溢,則變置社稷.” (M 14.14)
II. Traditional Chinese: Agricultural Community
1. Confucius says, “What I have heard is that
the head of a state or a noble family worries
not about under-population but about uneven
wealth distribution, not about poverty but
about instability…” “丘也聞有國有家者,不患寡
而患不均,不患貧而患不安” (A 16.1)
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To have enough for everyone seems to be
unattainable, thus, looking for fairness均
II. Traditional Chinese: Agricultural Community
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2.Satisfied with what you have in hand知足
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Stabilization
if the farmers are satisfied with what they have
(even if insufficient), no war/conflict
II. Traditional Chinese: Agricultural Community
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3. Encourage farming, suppress business/
trading
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In Zhen/Qin Dynasty秦, legalism heavily punish if
people change from farming to trading.
Since Han Dynasty: official history text (Hanshu漢
書) on social status:
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1.scholars士 (of highest status)
2.farmers農
3. craftsmen工
4. businessmen商 (of lowest status)
II. Traditional Chinese: Agricultural Community
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Farmers: the poorest sector
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produce food (basic necessity)
“high status” to comfort them
Merchants: the easiest sector to gain wealth
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To prevent them to be both wealthy & powerful
Suppress
II. Traditional Chinese: Agricultural Community
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3. Encourage farming, suppress business/trading
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Farmers: the poorest, comfort them with ‘high status”
e.g. Han Dynasty: businessmen could not dress silk clothing
or ride a horse in public
For farmers: tax: 1/30; for businessmen: 1/10
State-owned business in essential & profit-making area e.g.
iron, salt, wine
Businessmen cannot attend public examination (their sons
who do not inherit business can)
State-monopoly in import/export trading
II. Traditional Chinese: Agricultural Community
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4. Disadvantages of suppressing business/ trading &
craftsmanship
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People care for their social status.
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When businessmen become rich, most buy land to upgrade
their social status
Commerce and industry are inter-related. Without further
investment, there is no development in industry.
Agricultural community: conservative & traditional
vs. business & trading: competitive & aggressive
II. Traditional Chinese: Agricultural Community
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Agricultural community encourages big family: more hands
to work, but always not enough to eat…
Craftsmanship (include scientists/technologists)
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Unimportant
belong to the second lowest group.
No support from the government
5. Kings personally take part in farming
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symbolic meaning
From Han Wendi漢文帝to Tong Dynasty, most
governmental policies are for farmers (the majority).
II. Traditional Chinese: Agricultural Community
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6. Busy farming seasons: sowing/ harvest
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Postpone less important official duties
officials & prisoners help in the fields
More hands in the family needed in these days
farmers want large families, but not enough food for
everyone.
7. Han dynasty:
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e.g. in Hanpandi漢平帝period
13 officials to supervise/ assist agricultural development
II. Traditional Chinese: Agricultural
Community
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8. Diligent vs. lazy farmers
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E.g. in Songmandi宋文帝period
Appreciates/ gives credit to diligent farmers
9. officials = not interested in farming
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Exception: e.g. in Han Wudi漢武帝period
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an official named Zhaoguo趙過: farming expert
BUT, no official of latter generations is interested
II. Traditional Chinese: Agricultural Community
Why were & are farmers in poverty?
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1. Large population:
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2. Since Warring Period, very little technological progress in
farming.
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not enough food for all from farming
Now, rural China, farm with a cow
just rely on a big family
3. Free trade of land after Han Dynasty.
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Wealthy merchants bought land to become landlords
In early Han, land-tax cut from 1/15 to 1/30
Only decreased tax-burden of landlords, not the rent of ordinary
farmers.
II. Traditional Chinese: Agricultural Community
Why were farmers very often in poverty?
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4. Aged 20-50:
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a month’s free labor-service for the country
3 days free labor by the border.
Later, can pay cash = more tax
5. More & more tax for the commom people
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E.g. Early Han Dynasty: age-tax: from 15-56
From Han Wudi, age-tax: from 7-14; 15-56
Selection of Officials
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Confucianism from Han Dynasty onwards
Focus on moral qualities
Qn: a good person = an good official???
III. The Appointment of Governmental
Officials in the Han漢(206 B.C-220 A.D)
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Early Han, no official system for the appointment.
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Sons of governmental officials
wealthy people
Official system since King Han Wu-di漢武帝 (the
strongest King of Han):
1. annual basis
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proposed by government officials
according to moral conduct (Confucian virtues: filial piety,
trustworthiness, straightness) & verbal, writing skills.
III. The Appointment of Governmental
Officials in the Han漢(206 B.C-220 A.D)
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2. On an irregular basis
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Later, too many people; to attend an exam (no formal
format).
Blood was unimportant.
No of appointment is according to population of the area
the King needs famous, good people for specific problems
e.g. facing a drought.
related questions asked before appointment.
3. In need of people with special skills
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e.g. in need of someone who knows foreign language for
diplomatic affairs.
III. How to Appoint Governmental
Officials in the Han Dynasty?
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Virtues and conduct
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Many Confucian scholars become officials.
Theoretically:
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Confucian teachings
Rich/common people = equal chance
REALITY: education is expensive, rare for ordinary people
Most scholars & officials: from rich/ powerful families
IV. Nine-pan system九品制in Wei, Chin,
South & North Dynasty魏,晉,南北朝(220-589
A.D.)
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short dynasties: each lasted < 50 years.
Reasons for changes:
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end of Han
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Wars, people flee.
Appointment system = ineffective
In Han,
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appointment system: controlled by local officials
to enrich their power and connections
IV. Nine-pan system in Wei, Chin, South
& North Dynasty (220-589 A.D.)
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Kings of early Wei appointed officials
according to their abilities.
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Appointment was made every three years.
IV.1 The Nine-pan system
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Special officials in states and counties:
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look for appropriate persons
according to family background & personal
behavior (distinguished into 9 grades九品)
IV.2 Advantages of the Nine-pan
System
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1.Grading also included the existing officials.
2. Special officials (to grade others): appointed by
central government.
3. As time were by, famous & big families became
powerful
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This system further empowered them.
4. Special officials (to grade others)
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members of those big families
favored their own relatives/friends.
“No poor in the upper grade, No rich in the lower
grade.” “上品無貧,下品無富”
V. Examination System科舉制in Tong, Song,
Ming, & Ching Dynasty唐,宋,明,清
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Limitations of the past
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A number of different papers
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controlled by the rich & powerful
the top ones are appointed by the King.
Examination: opened for all male
Absorb good people from all levels/ areas.
Enormous influence for 1000 years
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Chinese politics, social and culture, future development.
V.1 Examination System in Tong
Dynasty (618-907 A.D.)
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Examination: 2 kinds.
1. Irregular exam:
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Dates set & headed by the King
Various papers
mainly: strategic
2. Regular exam: every Nov. by the Ritual Dept禮部
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Examinee: recommended by local schools or by the county.
Various papers
the most important
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ancient text, current issues, & poetry-writing
V.1 Examination System in Tong:
Official Dept. Test
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1. Pass the open exam
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2. also has to pass the test of Official Dept吏部
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3. The most important & difficult paper
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body outlook, verbal, calligraphy, judgment
ancient text, current issues, poetry-writing
Very few get pass
4. also hand in one’s daily writings to the Ritual Dept
V.2. Influence of the Examination
System in Tong
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1. Exam: centralized
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all Male = equal chance
big families: no power in the appointment process
2. merchants and technical workers:
excluded from the exam
V.2. Influence of the Examination
System in Tong
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2. merchants and technical workers:
excluded from the exam
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only scholars in gov’t
business and industrial sectors = under-valued
Government: suppress the development of
business and industry
Businessmen can be very rich, but cannot be
politically powerful
V.2. Influence of the Examination
System in Tong
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3. the most important exam paper:
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Include poetry-writing
Tong Dynasty = a blooming period for poetry
Since then, ignore science and technology.
Good poets may not have political capacity/ ruling
talent
V.2 Influence of the Examination
System in Tong
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4. Scholars consider exam as the most effective and
direct way to become officials.
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More and more examinees and no of pass were increased.
- Too many officials in the government.
5. passed examinees: pass the test of the Official
Dept.
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Officials there began to group with the powerful.
After mid-Tong, the passed examinees of the most
important paper were from poor families; of the second most
important paper were from rich families. They ganged with
each other, in opposite position.
V.3. Examination System in Song
Dynasty
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Exam: 2 kinds
1. Regular exam: every three years.
- Examinees:
-pass the state exam and being recommended by
the local government
-Capital-exam, headed by the Ritual Dept
-Palace-exam: questioned by the King personally.
- Various paper: the most important paper include
lyrics; the rest, only ancient texts.
V.3. Examination System in Song
Dynasty
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2. Irregular exam: Headed by the King,
according to need.
No need to be recommended by schools/
states.
Any common people (except merchants &
craftsmen) can be an examinee.
V.3 Special Features of the
Examination System in Song
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1. The finalists were being questioned by the King in
the palace-exam.
2. To avoid cheating, answer-sheets were
anonymous. Each answer was being copied once
more, so as to avoid the recognition of one’s
calligraphy. Such methods were used by the future
dynasties.
3. The abolishment of the test of the Official Dept (of
the Tong Dynasty). A passed examinee will be an
official.
V.3. Influence of the Examination
System in Song
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1. The Song emphasizes civil officials文官. Many
important officials came from the exam system.
2. The exam paper: strategic, focus on the Confucian
texts, include literature, lyrics詞. Another golden
period for Chinese literature.
3. Emphasis civil and suppress military officials. The
number of passed examinees can be up to a few
hundreds: too many officials
V.4 The Exam System In Ming Dynasty
(1368-1644 A.D.)
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A few stages:
1. County-Exam鄉試, those who passed can study in
county-schools.
2. In autumn time, state-exam縣試would be held
every three years in every state. (The examiner was
appointed by the King.)
3. Capital exam京試in the next Feb (after the state
exam), headed by the Ritual Dept禮部.
Those who failed the Capital-exam could study in
schools and wait for the next chance.
V.4 The Exam System In Ming Dynasty
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4. Palace-exam殿試: questioned by the King.
Three examinees would be elected by the
King.
Exam papers: in early Ming, no special
format (mainly strategic, Confucian texts)
-in Mid-Ming onwards: format: “Eightstructured Essay/Writing”八股文, a rigid way
of writing a paper. The content of writing
must be quotations from ancient texts.
V.4 Special features of the Exam
System In Ming Dynasty

1. A more developed system
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

2. Strictly prohibit cheating, or heavy punishment.
3. “Eight-structured” format
–
–
–
–

exam date, content and examinee’s qualification were clear.
each answer must be in eight paragraphs, from roughly
300-700 words.
Questions: discussion /analysis of a quotation from
Confucian ancient text
Answers: strict quotations from Confucian ancient text.
No expression of personal opinion/ creativity.
4. Only the first three (狀元,榜眼,探花)of the most
important paper could be important officials.
V.4 Bad Influence of the Exam System
in Ming Dynasty

1. The weakness of the “eight-structured writing”:
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–
–

examinees kept on memorizing and studying the ancient
texts.
Creativity, originality, and personal opinions were
diminished.
In the long-run, many people (including government officials)
became very stubborn and rigid.
2. Only ancient texts would be examined and thus,
studied (even current issue/ strategic paper is not
included).
–
People thus neglected all other knowledge, both humanities
& scientific.
V.5 Exam System in Ching Dynasty
(1644-1912 A.D)


Similar to the exam system in Ming.
Exam: civil (regular, special) & military
V.5 Civil Exam (regular) in Ching




1. county-exam, headed by the highest official of the
county
2. state-exam: in autumn, every three years. The
King appointed officials to various states to be head
of the exam.
3. Capital exam: in the next spring, examinees went
to the capital for exam.
4. Palace exam: headed by the King, a number of
examinees would be appointed as officials or
continue study in the Royal-school.
V.5. Civil Exam (special) in
Ching

Special exam: the King was looking for
officials with special ability.
–
–
–
Irregular, according to needs
Examinees were recommended by officials.
E.g. early Ching: looking for poets, only exam on
the paper of poetry; late Ching: look for people
with economical knowledge.
V.5 Special Features of the Exam
System in Ching


1. The system was sophisticated, based on
>1000 years experience.
2. The Ching people was originally a tribe
outside China. Some scholars believed that
the Ching wanted to comfort/ stabilize/absorb
the Han people for the empire.
V.5. Influence of the Exam System
in Ching

1. It was generally believed that the purpose of the
exam system was to keep the Han people busy and
focus on studying the ancient text, rather than
politics.
–
–

The “eight-structured writing” emphasized on studying
ancient texts only.
More knowledgeable = more rigid
2. The exam in Ching was strict
–
culture: examinees bribed the examiners to cheat/pass.
V.5. Influence of the Exam System
in Ching

3. In late Ming & late Ching Dynasty:
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–
–
–
corruption: to “buy” the qualifications to attend the
county and village exam.
Officials who bought their posts with money: sell
posts for money
government was in need of money, official posts
could be bought.
Even, open price for different ranking.