History 11A

Richard von Glahn

Week 1 Lecture Outlines

2. Prehistory Geographic and Ecological Background --Contrasts between Northern and Southern China: climate, rainfall, soils, and forest cover --Loess region of northwestern China: rich soil and absence of forests provided ideal conditions for primitive agriculture Peking Man and Human Origins in East Asia Neolithic (New Stone Age) revolution: domestication of cultivated plants Early Neolithic Cultures of East Asia (from 7000 BCE) (1) Yangshao (northwestern China) --farmers (millet), supplemented by fishing, pig-raising --little evidence of social stratification (2) Hemudu (eastern coast) --earliest evidence of rice farming (3) Dabenkeng (Taiwan); later, ca. 3500 BCE --origins of Austronesian peoples (present-day inhabitants of Philippine, Indonesian, and Pacific islands Social Differentiation & Stratification --Status, authority, and the origins of inequality China's Later Neolithic Era (ca. 3200-2000 BCE) --Longshan (North China Plain) --Marked social stratification; use of violence; ancestor worship; occupational specialization, including warriors & priests 3. Origins of Shang Civilization Political Continuities & Innovations of Shang (ca. 1550-1045 BCE) --Productive base little changed from Longshan era --Developed technologies to mobilize resources: (1) metal-working; (2) writing; (3) state system (three distinguishing characteristics of civilization) Shang Origin Myths --Lack of a creation myth in Chinese culture --Ancestor myths and clan identity (totems); tutelary spirits Shang Art as a Source for Understanding Shang Myths and Religious Beliefs --Oracle bone inscriptions (jiaguwen ) (divination) & bronze vessels (sacrifice): communication and interaction between human and divine

worlds --taotie motif in bronze art: key to symbolic universe of Shang

4. The First Chinese State Shang Capital Cities: Anyang and Zhengzhou Kinship & Social Stratification under Shang --Rotation of kingship among ruling clan composed of ten lineages Shang Social Order: A Four-Class Society (1) royal clan (2) lesser nobility , clans of descendants (3) the multitude (4) slaves Cities as Sites of Political Authority --Shang capital at Anyang: above all, a necropolis (city of the dead) Shang Idea of Kingship --The kings charisma: special relationship with divine world not shared by ordinary mortals --High God (Shangdi ) and ancestor gods (di ); divine intervention in human affairs --Ritual role of king and capital --Tomb of Lady Hao (principal wifeone of sixty-fiveof first Shang king at Anyang): richest inventory of any surviving Shang tomb --Shamans and divination

History 11A Week 2 Lecture Outlines 5. Founding of Zhou Zhou Rulers Overthrow of Shang, 1045 BCE

Richard von Glahn

--The earliest Chinese literature: Shu (Book of Documents) and Shi (Book of Odes) --The founding fathers: King Wen (Civil King); King Wu (Martial King); the Duke of Zhou Myth and Reality of the Conquest --Zhou imagined their ancestors as martial heroes from margins of Shang world --Zhou shared Shang cultural traditions; may have been a vassal of Shang Legitimation of the New Order Based on a New Concept of Kingship: --Heaven (Tian) & the Mandate of Heaven (tianming ): divine intervention in human affairs --Moral basis of sovereigns charisma Zhou Political System --Royal domain & regional rulers established through investiture (fengjian ) --Patrimonial state (contrast with European feudalism): Zhou king shared inherited sovereignty with rest of his clan --military power in hands of Zhou king 6. Spring and Autumn of Zhou Ritual Revolution of mid-9th c BCE --Disappearance of Shang inheritance of ritual art and culture --Diffusion of royal authority Zhou Mythology --Flood Myth and Yu the Great --Humanized sage heroes who make the world habitable for humanity: Prince Millet(ancestor of Zhou, who taught his people farming) Fall of Western Zhou --Challenges to royal authority from nobility and foreign enemies (Xianyun) --Fall of the Western Zhou capital at Zongzhou to Xianyun invasion in 771 BCE --Zhou kings moved to new capital at Luo in the east; beginning of Eastern Zhou Rise of the aristocracy in the Spring and Autumn period (722-481 BCE) --Re-emergence of charismatic power of ancestors --Warfare & chivalry (chariot warfare)

--Code of aristocratic society: li (rites, ritual, decorum)

7. Confucius and His Times Hegemonic Rule in the Spring and Autumn Period --Decline of royal authority and the barbarian threat --Hegemon (ba ) vs. King (wang ) --Duke Huan of Qi : recognized as first hegemon in 678 BCE Civil Strife: the Case of Zheng --Factional rivalry and civil violence caused decline of once-powerful lineage --Reforms of Zichan (c. 581-522 BCE) intended to curb power of citizenry Confucius (551-479 BCE), native of the state of Lu --Descended from class of low-ranking nobles known as shi --Political philosophy outlined in dialogues with disciples; later compiled in written form in the book known as The Analects The Confucian Vision of the Good Society --Confucius as conservator of ancient traditions --Confucius as an innovator --The Confucian political lexicon: Dao (the Way); Li (Rites); ren (humanity or benevolence: inner moral integrity) The Realm of Li: --Li as the basis of social hierarchy and cosmic principle of order --The family as the model for society and government Subversive Potential of Confucius Ideas

History 11A Week 3 Lecture Outlines 8. Rebuttal of Confucius: Mo Zi (Mo Tzu) and Lao Zi

Richard von Glahn

Debate over Confucian notions of ritual (moral) order (li) & divine will (ming ) --Problem of order/chaos; dangers of fatalism Mo Zi (lived between 479 and 381 BCE): exponent of political engagement and activism (youwei ) --Utilitarian view of human nature: how to harness self-interest of individuals to serve the general interest of society --Amoral ethic of universal love (jianai) The Mohist Utopian Community --Mohist concept of social contract based on hierarchical subordination to worthy leaders Lao Zi and Daoism (Taoism) --Dao De Jing (Tao Te Ching): political philosophy or mystical religion? --Daoist notion of Dao (the Way) as ultimate, but unknowable, reality --Universe in constant change without purpose (no guiding consciousness) --Non-action (wuwei ) vs. positive action (youwei) --Goal of egolessness (xu , emptiness) Daoist Vision of Utopia 9. The Warring States The Central States (Zhongguo , i.e., China) vs. the Barbarians --The notion of barbarian --Incorporation of southern barbarian state of Chu into Zhou polity --Shifting alliances & the contest for hegemony The Warring States era (481-221 BCE): contest to succeed Zhou and claim Heavens Mandate State Formation during the Warring States: --Centralization of control over economic resources --Private landownership, commerce, use of money --Professionalization of government services: (1) origins of bureaucracy (junxian system); (2) a new class of administrators (shi ) --New technology & tactics of warfare Ruler as Absolute Monarch --Direct subordination of subjects to ruler --Hostility toward hereditary privileges of aristocracy --Competing definitions of meritocracy (junzi , or superior man: meaning changes from noble birth to personal ability)

History 11A Week 4 Lecture Outlines 10. Mencius & the Problem of Human Nature

Richard von Glahn

Debate over Human Nature --Yang Zhu (4th c. BCE) and the idea of xing (nature) Human Nature and Mind in the Thought of Mencius (371-289 BCE) --Mencius refutation of Gao Zi --Relationship between heart/mind (xin ) and nature (xing): fundamental goodness of human nature (which can be corrupted by selfish desires) --Mencius doctrine of natural equality: four innate qualities (inherent senses of compassion; shame; respect; and right and wrong are the germs of positive virtues of benevolence, righteousness, ritual decorum, and wisdom) Mencius Views on Government --Rulers responsibility to the people --Meritocracy of superior men (junzi ) --Ideal social institutions: the well-field (jingtian ) land tenure system --Mencius apocalyptic vision: right to rebel against tyrants 11. Law and Legalism Origins of Law in Early China --Evidence for Shang/Zhou laws in Book of Documents --Relationship between Heaven and human law --Aversion to rule by law (coercive force) --Law (fa ) intended for commoners; nobility governed by ritual (li ) Legal Code (536 BCE) of Zichan , minister of small state of Zheng --Selection of officials on basis of merit (not birth) --Redistribution of nobility's lands to commoners --Confucius rejection of fixed legal code Lord Shang (Shang Yang ); minister of Qin from 361 to 338 BCE; commonly regarded as founder of Legalist school of thought --Developed legal code designed to destroy aristocracy & enrich state --Penal law applied to all, regardless of rank --Abolished primogeniture (inheritance by first-born sons) and instituted principle of equal inheritance Legalist Conception of Law --The Yellow Emperor as Legalist sage: use of sanctioned violence to create order --Twin pillars of state power: agriculture and war Rise of the Qin State: most powerful contender for mantle of Zhou

12. Architects of Empire: Xun Zi and Han Fei Zi Xun Zi (ca. 298-238 BCE) as a tough-minded Confucian --Student and teacher at Jixia Academy founded by ruler of Qi Xun Zi on Human Nature --Doctrine of evil human nature --Rationalist and humanist philosophy --Li (ritual) and yi (righteousness) as foundations of social order (established through education and ritual discipline, the keys to learned goodness) Xun Zis Vision of the State --Role of the ruler as moral teacher --Distinction between true king and hegemon Han Fei Zi (ca. 280-233 BCE): Advisor to King Zheng of Qin (259-210 BCE) --Disciple of Xun Zi who later rejected Confucianism for Legalism --Theory of rulership: methods (shu ) and strategic advantage (shi ) --Problem of bureaucracy --Problem of incompetent (or merely competent) rulers --Concept of prudence (employs Daoist term non-action, wuwei )

History 11A Week 5 Lecture Outlines 13. The First Unified Empire: Qin

Richard von Glahn

Competition between Han Fei Zi and Qin Prime Minister Li Si (ca. 280-208 BCE) --Han Fei Zi lost, was executed in 233 BCE --Li Si and King Zhengs quest for conquest of the Chinese world --Unification achieved in 221 BCE; creation of Qin empire (221-206 BCE) First Emperor of Qin (Qin Shihuangdi ): Legalist Tyrant --Military metaphors of government: autocracy and the feminization of combat --Megalomania; assassination attempts; search for immortality Li Sis Principles of Government: (1) Exaltation of ruler; (2) Centralization of authority; (3) Surveillance of officialdom; (4) Control of knowledge Operation of Qin Local Government --Regulation of the economy; control of population; statute and convict labor Power Struggle after First Emperors Death --Fall of the Qin dynasty in 206 BCE 14. The Han Imperial Order Reunification of empire by peasant general Liu Bang (Emperor Gao Zu ) in 202 BCE; founding of Han Dynasty (202 BCE220 CE) --Repudiation of Qin autocratic government; partial return to principles of the patrimonial state (enfeoffment of imperial relatives) Consolidation of Han Rule --Emperor Wu (reigned 140-87 BCE) --Recentralization of government authority (abolition of investiture) --State control of key economic resources (salt & iron monopolies) Confucian Orthodoxy --Establishment of Confucian Six Classics as official canon of learning (136 BCE) and the curriculum of the Imperial Academy --Imperial ideology of Dong Zhongshu (179-104 BCE): theory of portents and authoritarian social ethics derived from Xun Zis philosophy --Confucian domination of the educational system The Imperial System of Government --Synthesis of Legalist monarchy and Confucian bureaucracy --Confucians gained ideological control after Salt and Iron Debates (81 BCE) --Political triumph of Confucian-trained officials led to their transformation into the dominant social class as well

15. The Han World View Correlative Cosmology --Philosophical effort to control human society by aligning human actions with the cycles and rhythms of nature --Zou Yan (4th c. BCE; member of Jixia Academy at court of Qi) and his theory of the Five Phases (wuxing ): Cyclical pattern of human history, and cosmic principle of order and change --Concepts of Yin/Yang (Female/Male principles embedded in cosmic order) The Emperor and Cosmic Order --Dong Zhongshu on cosmology and the unique role of the emperor --New conceptions of divine order; the great age of myth-making & cosmography --Creation: Conceived as a continual process of self-sustaining renewal, rather than a single act by transcendent deity --Personifications of cosmic processes: Nwa (N-kua) and Fuxi (Fuhsi) Queen Mother of the West --Demonic figure and ruler of the world of death and afterlife --Divine counterpart to earthly monarch --The Queen Mother in elite and popular cults

History 11A

Richard von Glahn

Week 6 Lecture Outlines 16. The Rise of the Great Clans Political Dominance of the Shi --Transformation of shi from career civil servants to the dominant socioeconomic class -- Recommendation system of recruitment for government office: based on (1) literary achievement; (2) moral character (xiaolian ) --Schooling; privilege & family status; sumptuary laws Landholding and the Rise of the Great Clans --Private aggrandizement sanctioned by Confucian duty to family welfare --Rising influence of Confucian scholars (& values) after Emperor Wu --Concentration of landholding in hands of government officials Wang Mangs Xin (New) Dynasty (9-23 CE) --Usurped throne in order to restore integrity to government --Economic reforms (vs. great clans); nationalization of landownership (literal enactment of Mencius well-field system) --Failure and disgrace; great clans regained domination over government and society Monarchy vs. Bureaucracy: An Enduring Tension in the Chinese Imperial System

17. Politics, Ideology, and Cultural Styles in the Later Han Restoration of the Han (Later Han Dynasty, 23-220 CE) --Weakness of Later Han emperors (child-emperors) --Factional struggles over control of the imperial institution Court Intrigues in the Later Han (1) Consort families (waiqi ) & empress dowager (2) Eunuchs: Eunuch coup in 159 launched purge of political enemies from government & schools Confucian Reaction to Factional Struggles --Pure Stream group called for reform based on conservative moral standards; classified public figures according to moral criteria --Members expelled from government or executed in 160s Cultural Styles and Social Ideology in Han Art (1) Ornamental: patronized by hereditary nobility of Chou and Han (2) Classical: Confucian values, images, and role models (Wu Family Shrines ) (3) Descriptive: parvenu elites (consort families, eunuchs, merchants)

History 11A

Richard von Glahn

Week 7 Lecture Outlines

18. Death, Afterlife, and Messianic Rebellion Conceptions of Death --Components of the soul: (1) hun (spiritual existence, intellect); and (2) po (body & physical functions) --Ghosts (gui ) and the netherworld (the Yellow Springs ) --Paradise of the Immortals (Queen Mother of the West) and the journey to the afterlife Han Ideas of Divine Judgment and Punishment in the Afterlife --Lord of Mt. Tai and the bureaucracy of the underworld --The ancestors: objects of both fear and pity Daoist Religion and Messianic Revolt --Daoism as an organized religion --Canon of Great Peace (Taiping jing ): messianic vision of spiritual renewal --The Way of Celestial Masters (Tianshi Dao; aka Five Pecks of Rice Religion ): established its own Daocracy of utopian communities in northwestern China in late 2nd century Yellow Turban Rebellion (184-89) --Millennarian peasant rebels in northeastern China --Severely weakened the Han dynasty, followed by 30 years of civil war until the dynasty expired in 220

19. Political Disunion & Foreign Domination Collapse of the Han Dynasty --Yellow Turban Rebellion (184-89) --Division of China into the Three Kingdoms (220-265) --Temporary reunification under Jin Dynasty (265-420) --Sack of the capital (Luoyang ) by steppe nomads in 311; division of China into Northern (foreign-ruled) and Southern (Chinese-ruled) dynasties Steppe Nomadism --Pastoral societies found throughout the Eurasian steppe --Technological breakthroughs (horse-riding & metal-working) led to true steppe nomadism ca. 1000 BCE (in steppe of East Asia, by 600 BCE) Xiongnu (= Huns of West Asia and Europe) --Xiongnu invasions of Han empire began in 201 BCE --Nomad strategy of the Han Dynasty: Two handles of tribute and warfare --Han unable to defend against Xiongnu, resorted to policy of appeasement (peace through marriage and trading privileges) Emerging Class Identity of the Shi --Nine Ranks system of political appointment --Legal discrimination between shi and commoners (shu ) --Notion of cultural and moral refinement as defining quality of shi status Northern Wei dynasty (386-534): Sino-foreign synthesis --Ruled by Toba Turks ) --Accommodation with Chinese aristocracy; deliberate policy of sinicization of Turks under Emperor Xiaowen (r. 471-499) --Northern Wei attempt to control the aristocracy: Land Equalization (juntian ) system (est. 484) and its consequences --opposition of the Toba nobility (Revolt of the Six Garrisons) in 524 and the demise of the Northern Wei dynasty ten years later

History 11A Week 8 Lecture Outlines 20. Introduction of Buddhism

Richard von Glahn

Origins of Buddhism --Sakyamunis (ca. 560-480 BCE) repudiation of Vedic religion Basic concepts of Buddhism: --Suffering caused by craving for sensual pleasure (samsara) --Karma & rebirth (taken from Vedic tradition) into six classes of being: deity; (2) asura (titan); (3) human; (4) animal; (5) preta (living dead or hungry ghosts); (6) denizen of hell --Salvation attained through Eight-Fold Path (moral conduct, mental discipline; wisdom) --Nirvana: cessation of existence Theravada (or Hinayana , the Lesser Vehicle ): monastic tradition Mahayana (Greater Vehicle ): enlightenment achievable by all Lotus Sutra : basic statement of Mahayana doctrines --Truth and the many paths to enlightenment: (1) voice-hearer (sravaka); (2) self-enlightened (pratyeka-buddha); (3) aid of bodhisattvas --Doctrine of expedient means --bodhisattva : Buddhist saints Buddhist saviors: the bodhisattva Avalokitesvara (Guanyin ; God/dess of Mercy) & the Maitreya Buddha

21. The Chinese Transformation of Buddhism The Daoist Religion --Concepts of sin, death, and afterlife --The Way of Celestial Masters in western China: messianic vision of spiritual renewal; utopian communities under jurisdiction of hereditary priesthood --Celestial Masters recognized as official religion in 215 and entitled the Sole & Orthodox Doctrine --Competition with Buddhism for favor of aristocracy Introduction of Buddhism into China (from 1st century CE) --Kumarajivas translations of Buddhist scriptures (ca. 400) --Buddhisms accommodation to Chinese values (filial piety, etc.) Buddhism and the Chinese Aristocracy --Vimalakirti as a role model: paragon of aristocratic virtues --Lay piety: the Field of Reverence (jingtian ) and the Field of Compassion (beitian )

22. Religious Faith and Popular Sects Profusion and Diversity in Chinese Buddhism; two trends emerge: (1) Elaboration of systems of graded truth (Tiantai ) (2) Salvation through faith Buddhism as a Mass Religion in China --Pure Land Buddhism: the Reformation of Buddhism (salvation through faith rather than earning karmic merit through ones own effort) --Pure Land Sutra : rebirth in Western Paradise of the Amitabha Buddha --Dependence on a savior (bodhisattva or buddha); transfer of merit --Guanyin (Avalokitesvara): chief minister of the Pure Land --Lay religion independent of clergys control Rebirth in Paradise --Celestial paradise of the Pure Land --Deliverance from underworld torment (Ten Kings of Hell and the bodhisattva Ksitigarbha ) Messianism and Millennarianism in Popular Buddhism --Maitreya, the future Buddha, lord of the Tusita Heaven --Notion of apocalypse (the end of the kalpa, mofa ) --Maiteyan cult in heretical sutras: condemnation of both the political and religious orders

History 11A Week 9 Lecture Outlines 23. Reunification of the Empire

Richard von Glahn

China in the 6th Century: Weak & Divided States in Both North and South Rise of Yang Jian (Emperor Wendi of Sui , r. 581-604) --Son of Chinese aristocrat and Tuoba princess --Coup vs. Tuoba emperor (581); founded his own dynasty, Sui (581-618) --Conquest of south completed in 589 Tasks of Reunification --Centralization of political authority --Abolition of Nine Ranks system & hereditary rights to office-holding --Economic integration (Grand Canal ) --Uniform code of law (basis of future law codes) Sui Ideology --Problem of cultural diversity in a multi-national empire --Buddhism as a common set of core values --Yang Jian styled himself as a Cakravartin (Wheel-Turning) king: defender of the Buddhist faith who wages religious wars for salvation of humanity Military Defeats Under Son and Successor, Yangdi (r. 604-18): Collapse of Sui dynasty in 618

24. The Tang Dynasty Founding of Tang (618-906) --Established by Li Yuan (r. 618-27), upstart usurper (another aristocratic general of mixed Turkish-Chinese blood) --Political continuity with Sui & Northern Dynasties --Continued preeminence of aristocracy in government Empress Wu (Wu Zetian ) --Only woman in Chinese history to rule in her own right --Declared herself emperor (deposed own son) in 690; founded her own dynasty (called Zhou , as in ancient dynasty of same name) --Patron of Buddhism (vs. Daoism & Confucianism) --Use of civil service examinations to promote new men --Deposed in 705; Tang Dynasty restored --Historical judgment of the woman emperor & the nature of the imperial institution Reign of Emperor Xuanzong (r. 712-756): the High Tang --Return to stability & prosperity; revival of aristocratic power

History 11A

Richard von Glahn

Weeks 10 Lecture Outlines

25. Cultural Exchanges in East Asia Era of Cosmopolitanism in East Asia during 4th to 8th centuries --emergence of multi-state system in East Asia State Formation in the Korean Peninsula --collapse of Han rule followed by rise of independent states of Puy & Goguryeo --fourth century: founding of new states of Baekje, Gaya, and Silla --Sui dynasty: both model and rival for emerging states in Korea and Japan --660s: aided by Tang, Silla defeated its rivals, created a unified kingdom (Unified Silla) that spanned whole peninsula (territory of modern Korean states) Mainland Influences and Rise of Unified State in Japan --Late development of agricultural & metallurgical technologies (from 4th century BCE) --Wa (Yamato) kingdom emerged in 4th century --Prince Shotoku (572-621): sponsored adoption of Sui political system and Buddhism as state religion A Common Literary Culture --Chinese writing system became lingua franca in East Asia --Confucian ideology and Buddhist religion spread throughout East Asia through Chinese language (adopted as official language in Korea, Japan, Vietnam) China as the Center of the Buddhist Realm --Reconfiguration of Buddhist universe with China at its center --Pure Land and Chan (Zen) Buddhist movements: purely Chinese in origin, became dominant traditions within East Asia --Chinese forms of Buddhism introduced to Korea & Japan in 4th-5th centuries East Asia: common culture roots; but diverged into distinctive national forms

26. Rebellion, Restoration, Renaissance An Lushan Rebellion (755-63) --General of Sogdian descent; revolted against Tang emperor in 755 --Rebels defeated after 8 years; but Tang divided and weakened An Lushan Rebellion as a Turning Point in Chinese History --Demise of aristocracy (permanently) --Migration to south; shift of economic center to Yangzi River Delta --Emergence of private landholding and market economy Intellectual Reaction to the An Lushan Rebellion --Confucian revival spearheaded by Han Yu (768-824) Foundations of Neo-Confucianism (1) Rejection of alien ideas (above all Buddhism) (2) Revival of fundamental moral values (Confucian ethics) (3) Restoration of the ideal order of the ancient past (Three Dynasties) (4) Renaissance: recover the original meaning of the sages and the Classics

27. Retrospective