The Long Zhou Dynasty (1046 – 256 BCE)
After the Xia and Shang, the next major dynasty in Chinese history is the Zhou Dynasty (1045 – 256 BCE). In 1046 BCE, a Zhou king overthrew the last Shang ruler and established control over much of north China. In the early centuries of Zhou rule, during the Western Zhou (1046 – 771 BCE), Zhou kings dispatched kinsmen to territories he granted to them (see Map 4.6). These nobles were allowed to rule their own lands hereditarily, so long as they observed certain obligations to their king.
But over time, Zhou kings lost their ability to control these lords, and the lords became increasingly independent. In 771 BCE, in what became a telling sign of weakness, the Zhou king was murdered and his young successor was compelled to relocate farther east, to a capital closer to the heart of the North China Plain. This move marked the beginning of the Eastern Zhou (770 – 256 BCE). Over the long course of this half millennium, Zhou nobility engaged in escalating warfare with each other over matters small and large. As they did so, their lands evolved into powerful states (see Map 4.7). Eventually, the noble lords of the most powerful states also declared themselves kings, and fought to gain control over all of China. During the third century BCE, the Zhou Kingdom was destroyed and one of these warring states, the Qin [Cheen] Dynasty, prevailed over the rest.
But these centuries were not only marked by the growth of states and accelerating warfare between them. Burgeoning turmoil also inspired much thinking about what was needful to restore order and create a good society, as well as what defined the good life. Two major philosophical traditions emerged to address these issues: Confucianism and Daoism.
The Western Zhou Dynasty (1046 – 771 BCE)
In the eleventh century BCE, the Zhou state was a minor power on the western periphery of the Shang realm, located along the Wei [way] River. In 1059, upon witnessing five planets align, the Zhou ruler declared himself king and proceeded to engage in military conquests that made his kingdom a regional power to be reckoned with. This was King Wen (“Cultured King”), a ruler revered as the founder of the Zhou dynasty. But it was his son King Wu (“Martial King”) who brought down the Shang Dynasty. He assumed the throne upon his father’s death and, in 1046, led three-hundred chariots and 45,000 foot soldiers equipped with bronze armor and pole-mounted dagger-axes to a location just outside the Shang capital, where he met with and decisively defeated the last Shang king and his army.
King Wu then returned to his capital in the Wei River Valley, where he passed away in 1043 BCE. His young son took the throne, but was placed under the regency of Wu’s capable brother, the Duke of Zhou. Now, the Zhou royal court was faced with the task of governing newly conquered territory, including the former lands of the Shang Dynasty. The king and his regent did so by implementing three policies. First, they established a secondary capital farther east at Luoyang [low-yawng], closer to the North China Plain. Second, they issued proclamations explaining to conquered peoples why they should accept Zhou rule. According to the Duke of Zhou, Heaven had decreed that Shang kings must fall and Zhou rulers should replace them. The Shang dynasty had begun with wise and benevolent rulers, but later kings were cruel and incompetent, and failed to see to the well-being of their subjects. Thus, a dynasty once sanctioned by Heaven had lost this sanction; now, Heaven had called upon Zhou rulers to overthrow the Shang dynasty and initiate a new era of just rule. This political theory, which is known as the Mandate of Heaven, would also be used by founders of later dynasties to justify their actions, as well as by theorists to explain the rise and fall of dynasties. The third policy the Zhou court adopted was to dispatch royal kinsmen to strategically critical locations for the purpose of establishing colonies. At their royal palaces, Zhou kings conducted ceremonies of investiture during which they sacrificed to Heaven and the spirits of deceased ancestors, held banquets, and then bestowed noble titles and grants of land upon members of the royal family and relatives by marriage. Large bronzes were cast to commemorate these occasions (see Figure 4.7). These lords– dukes, marquis, earls, and barons–then took their families, contingents of soldiers, and emblems of nobility to the granted territory and set up palaces and ancestral temples in walled towns. From there, these illustrious lineages governed a predominantly rural population of farmers living in villages where life was not easy. Living in hovels and with little opportunity to leave their lord’s manors, these farmers were required to work his lands and also to submit a portion of the harvest from their own small farms.
Historians call this method of governing Zhou kinship feudalism. Feudalism generally describes a political and economic system characterized by fragmented authority, a set of obligations (usually of a military nature) between lords and vassals, and grants of land (“fiefs”) by rulers in exchange for some type of service (see Chapters Three and Twelve). Indeed, Zhou kings granted land and noble titles to kinsmen in exchange for obedience, periodic visits to the king’s palace, tribute, and military support. However, aside from the presence of royal overseers, a hereditary lord enjoyed relative sovereignty in his own domain. The glue that held the Zhou feudal order together was deference to the king and his Mandate and reverence for their shared history–including, most importantly, the deceased spirits of their related ancestors.
Over time, however, Zhou kinship feudalism failed to function as intended by the founding rulers. In brief, Zhou kings’ ability to control the noble lords diminished over time, and their prestige suffered accordingly. There were two principal reasons for this. First, ties of kinship so crucial to the founding of Zhou lost their meaning over time. In later generations, lords simply became more interested in and identified with their own territories, and they had little sense of solidarity with what were at best distant cousins ruling neighboring feudal states. Hence, it is hardly surprising that histories inform us that the many lords ceased to pay visits to the king’s court. Second, Zhou kings were unable to impose their will on feuding feudal lords and were even defeated by them in several military campaigns. In 771 BCE, for instance, King You [yo] was attacked by the allied forces of the lord of Shen and tribal peoples residing out west. The capital was sacked, and he was killed. Other states came to the rescue, relocating the king’s son, Prince Ping, to the eastern capital at Luoyang. Zhou kings remained there for the next five hundred years, during the period called the Eastern Zhou.
The Eastern Zhou Dynasty (770 – 256 BCE) and the Warring States Period (c. 475 – 221 BCE)
When King Ping was relocated to Luoyang, he ruled from a much smaller royal domain surrounded by approximately 150 feudal states and their lords. His and his successors’ power was, however, much reduced. No longer able to impose their will on unruly noble lineages, Zhou kings failed to maintain a semblance of peace and order throughout the realm. Instead, this warrior nobility engaged in an escalating contest for power and prestige. By 475 BCE, in the wake of 540 wars fought over the course of two centuries, only fifteen states remained (see Map 4.7). But they fought even more fiercely. Over the next 250 years, during what is referred to as the Warring States Period (475 – 221 BCE), these states averaged one major battle per year until, at the very end, only one remained standing. That was the state of Qin [cheen]. The Warring States period ended in 221 BCE when the Qin ruler defeated the remaining states and unified the former Zhou realm, initiating a new period in China’s history. The line of Zhou kings had, however, already been extinguished in 256 BCE, so that date marks the end of the Eastern Zhou Dynasty.
As the frequency and scale of warfare escalated, and states gradually gobbled each other up, the way feudal lords governed their states and conducted military campaigns changed. Prior to the Warring States Period, Zhou kings were still accorded a level of respect, at least as symbols of unity and nominal heads of the Zhou feudal order. At this point, the many lords had no intention of toppling the king; rather, seeing his military weakness, the most powerful ones stepped in to enforce order. The first was Duke Huan of Qi [who-an of chee]. He held this title (“duke”) and fief (Qi) because his distant ancestor had served as a commander under King Wu during the Zhou founding. Now, many generations later, his state was a formidable power on the east coast. In 651 BCE, he convened an interstate meeting with other lords to discuss matters of order and security. Upon being elected as their leader, the Zhou king conferred the title of hegemon. In this capacity, Duke Huan had the authority to resolve disputes between nobles on behalf of the king.
Over the next two centuries, this title changed hands several times, going to the lord of the most powerful state. These hegemons periodically convened interstate meetings to manage such matters as misbehaving states or foreign invasions. Attending lords cemented their agreements by swearing oaths and drinking the blood of sacrificed animals. Yet, although hegemons maintained a semblance of order, warfare remained constant because it was a way of life for the illustrious lineages of the Zhou realm. Noble lords loved to demonstrate their prowess and raise their prestige through success in hunting and battling. A noble looked for a pretext to engage in a vendetta with another lord, at which point a battle was arranged and then carried out according to the protocols of chivalry. After announcing the impending campaign at the ancestral temple, a lord and his kinsmen, accompanied by farmer foot soldiers, would proceed in their chariots to a prearranged location and engage in a skirmish. In victory, a noble redressed matters of honor and brought glory to his ancestors, something symbolized by the mound of dead enemies placed by his ancestral temple.
However, with the onset of the Warring States Period in the fifth century BCE, the level of violence was no longer contained by the hegemon system and codes of chivalry. Both the purpose and conduct of warfare changed. Lords of the seven most powerful states lost respect for the Zhou kings and even assumed the same title, thus claiming the right to unify all of China under their rule. As opposed to serving a lesson to and resolving some dispute with another lord, these self-declared kings waged war to destroy them and take their land.
Hence, battles became increasingly bloody and bitter, and victory went to those kings who could field the most effective killing machines. Chariot-riding kinsmen and a few thousand foot soldiers no longer met that requirement. During the Warring States, rulers introduced large armies composed of mass infantry and cavalry. Soldiers were equipped with armor, crossbows, halberds, dagger-axes, and swords manufactured from bronze, iron, leather, and wood in royal workshops located at capital cities. (View the image of a Warring States Period soldier at the following link: http://brandonqindynasty.weebly.com/uploads/1/0/3/9/10391259/8580061.jpeg. One description of an elite soldier states that he wears heavy armor, shoulders a large crossbow and fifty arrows, straps a halberd to his back, buckles a helmet to his head, and places a sword to his side.) Kings also militarized their kingdoms’ landscapes by building forts at strategically critical passes, walls to mark off boundaries, and watch towers to signal the enemy’s approach. Finally, these rulers no longer relied solely on close kinsmen to wage war alongside them. Rather, they created a class of military commanders and specialists whose promotion was based on their ability to produce victories in the field. It is therefore not surprising that during this time some of China’s greatest military treatises were written, most notably the Art of War by Master Sun [sue-in]. Master Sun was a military commander and strategist who served the lords of the state of Wu just prior to the onset of the Warring States period (c. fifth century BCE). The manual of military strategy and tactics attributed to him stresses the importance of formulating a strategy that insures victory prior to any campaigning. Stratagem is critical. “All warfare is deception,” Master Sun states. “Hence, when able to attack, we must seem unable; when using our forces, we must seem inactive; when we are near, we must make the enemy believe we are far away; when far away, we must make him believe we are near.”
To mobilize large numbers of men for war and supply them with weapons and grain, kings devised ways to make their realms more productive and compliant with their will. Prior to the Warring States Period, it was the norm for nobility to hand out land in their states to kinsmen, just as it had been for the king during the Western Zhou. This practice meant that lesser but related aristocratic lineages lived in estates across each noble’s territory, while also serving as ministers at his court. For a king, however, these men might become an obstacle or pose a threat because they held this land hereditarily. Therefore, they devised better ways to control land in their realms. Whenever new territory was added or a noble line was extinguished, kings created counties and appointed magistrates to manage the villages and towns in that area. The magistrate’s job would then be to register the population, maintain law and order, collect tax revenue, and conscript people for labor projects and military campaigns. And rather than give those posts to kinsmen, kings appointed men from the lower ranks of the nobility or commoners based on their loyalty and merit. Stated more simply, Warring States Period rulers created administrative units and a civil service. Their embryonic bureaucracies included such features as a system of official posts, salaries paid in grain and gifts, administrative codes, and methods for measuring a servant’s performance. Thus, by the end of this period, largely owing to the demands of warfare, the Zhou feudal order had been supplanted by a small number of powerful territorial states with centralized monarchies. Among them, the most successful was the state of Qin, which eventually conquered all of China and became an empire. We return to that topic after reviewing the ideas put forward by philosophers in the context of these centuries of turmoil.
Philosophy in a Time of Turmoil: Confucianism and Daoism
China’s three major pre-modern philosophical and religious traditions are Confucianism, Daoism, and Buddhism. The first two had their origins in the later centuries of the Eastern Zhou, while Buddhism only began to arrive from South Asia in the first century C.E. Confucianism and Daoism were both responses to the crisis presented by the breakdown of the Zhou feudal order and escalating warfare in China.
Confucius and Confucianism
Confucius lived just prior to the Warring States Period (551-479 BCE). What little we know about his life comes primarily from the Analects, a record of conversations Confucius held with his students compiled after he died. In later centuries, in China, Confucius was revered as a sage and teacher, and even today outside of China some people might think of him as a stern pedant, perhaps calling to mind sayings beginning with “The Master said.” However, in the context of his time, Confucius was anything but stiff and rather a dynamic individual who believed he was mandated by Heaven to return the world to a more socially and politically harmonious time. The Analects not only shows a serious and learned man, but also someone capable in archery and horsemanship, who loved music and ritual, and who untiringly travelled the feudal states in the hopes of serving in a lord’s retinue (see Figure 4.8). According to one passage, a lord once asked one of Confucius’s students about his master, but the student fell silent. Later, Confucius asked him, “Why did you not say: As a man, when agitated in thought he forgets to eat, joyfully forgetting his cares, not realizing that old age is near at hand?”
Confucius was born to a family of minor nobility and modest means in the feudal state of Lu. His father died about the time Confucius was born, and he was raised by his mother, who also passed away when Confucius was young. Like other young men of similar background, he had access to an education and could aspire to serve in some capacity in a feudal state, perhaps at the lord’s court, or as an official or soldier. Confucius chose to become learned and seek office. To his mind, he was living at a time when civilization was collapsing and society was decaying. He believed that, during the early Zhou, the nobility was honorable, observed moral codes, and upheld social standards. He believed that a golden age existed in the past and wished to transmit the ethical values of that time. However, in the course of doing so, he reinterpreted the past and imbued the virtues he stressed with rich, new meanings. Here are a few of the important statements Confucius made, and what they meant:
- “The noble person is concerned with rightness, the small person is concerned with profit.” (4.16) Confucius redefined the meaning of nobility. For him, nobility was defined not by birth but rather by character and conduct. A truly noble person is one who puts what is right before personal gain and the desire for wealth and fame.
- “Young men should be filial at home and respectful to their elders when away from home.” (1.6) Filial piety is central to Confucius’s thought. He taught how a person becomes moral because a good society only develops when composed of and led by virtuous people. He saw the practice of morality in the family as the root. Should a young man learn to be respectful and reverent towards parents and elders, he will become a humane person, and humane people are far more likely to contribute in a positive way to society.
- “The noble man does not abandon humaneness for so much as the space of a meal.” (4.5) For Confucius, the highest virtue is humanity, and many of his conversations center upon defining what it is that makes a person humane. A person of humanity is, for instance, one who is capable of empathy and unselfish concern for the welfare of others. They know the golden rule: “what you would not want for yourself,” he taught, “do not do to others.” (15.23) Confucius emphasized that a society cannot function if people are incapable of taking other’s perspectives and doing their best for them. In addition, he insisted that such virtues as humanity are most fully demonstrated when individuals observe good etiquette. Decorum was important to Confucius.
- “Heaven has given birth to the virtue that is in me.” 11 (7.22) Interpreters of Confucius have rightly noted that he is quite silent about the supernatural and what happens after death, rather emphasizing the life we have and serving others. Yet, it would be wrong to conclude that he wasn’t religious in any sense, because he frequently spoke of Heaven. He believed that Heaven ordains a certain course of life for each individual, including becoming a moral person. This Heaven, however, is less a deity than a higher moral order, a kind of beneficent presence.
- “To govern is to rectify. If you lead the people by being rectified yourself, who will dare not be rectified?” (12.17) Confucius believed that good governing flows from good men. The first qualification for a ruler or one who serves is moral rectitude. If those who lead do so by virtue and conduct themselves according to rules of propriety, people will learn from them and develop a sense of honor and shame. Consequently, society will become more orderly.
The noble person, filial piety, humaneness, etiquette, Heaven, and government by men of virtue are just some of the ideas Confucius discussed as he traveled the feudal states seeking to advise their lords. However, he only managed to hold some minor offices in Lu and generally failed in his political aspirations. Instead, he gained an avid following of 70 students, whom he accepted regardless of their social status. After he died, they passed on his teachings, and a school of thought emerged from his teachings known as Confucianism. Those who belonged to it are Confucians–individuals distinguished by their commitment to the ideas articulated by Confucius, classical learning, and the value they place on character and conduct as the key to a good society and political order.
Philosophical and Institutional Daoism
During the turmoil of the Warring States period, however, other individuals developed a philosophy very different from Confucianism called Daoism. These Daoists largely rejected Confucian ideas about human moral development and social order as artificial constructs. Rather, they pointed to a natural condition that both individuals and society can recover, one that existed before desires trapped people in a world of strife. Their central concept is the Dao (“Way”). The Dao is mysterious: it is beyond sense perception and yet the source of life and the universe, the ultimate truth transcending the polarities that make up life and yet pervades them, empty and yet the mother of all things.
Paradoxically, although the Dao is indescribable and can’t be seen or heard, the goal of the Daoist is to accord with and follow it. But this goal won’t be accomplished through more seeking and more knowledge. Rather, the mind must be emptied out, calmed, and purified, until desires are absent and a primordial, natural condition is restored. At that point, when the individual is in accord with the ineffable Way, life becomes spontaneous, natural, and effortless. The two most important early books belonging to this tradition are named after their putative authors: the Laozi (“Old Master”) and Zhuangzi (“Master Zhuang”). Historians believe the “Old Master” was a fictional sage invented by Warring States Period philosophers who compiled the book attributed to him. Master Zhuang, however, lived during the fourth century BCE.
In later centuries, the Daoism of these early philosophers was taken in new directions. The definition of the Way was broadened to include the idea that individuals have a spiritual essence in need of harmonizing and liberation. By so doing, it was believed, one’s health would be preserved and life prolonged. Daoists even entertained the idea that one could become immortal. To achieve these goals, techniques were developed, including special dietary regimens, yoga, Chinese boxing, meditation, and alchemy.
Over the course of the first millennium CE, Daoism also became a popular and institutionalized religion. Daoist masters, claiming divine inspiration, composed esoteric texts for their followers. These texts explained how the natural world originated from a primordial ether (qi) and its division into two polar forces: the yin and yang (see Figure 4.9). They presented a universe with multiple heavenly and hellish realms populated with divinities and demons. The principal purpose of these Daoists was to attend to a person’s physical and psychological well-being. That involved not only teaching individual techniques for preserving the life spirit, but also the use of exorcism and faith healing to remove malevolent influences. Daoists also developed communal prayers and rituals that could cure illness, free souls from hell, win blessings from heaven, and eliminate sins from the community. Eventually, a Daoist church developed, with its own ordained priesthood, temples, and monasteries.