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 THE CAMBRIDGE
HISTORY OF
CHINA
Volume 2
The Six Dynasties, 220–589

Edited by
ALBERT E. DIEN
Professor Emeritus, Stanford University

KEITH N. KNAPP
The Citadel, The Military College of South Carolina

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 CONTENTS

List of Figures and Tables page x

List of Maps xiii
Preface xv
Six Dynasties Chronology xviii

Introduction 1

part 1 history 25
1 Wei 27
by R A F E DE CRESPIGNY
Prologue: The Fall of Han (189) 27
Civil War and the Rise of Cao Cao (190–200) 28
Development of a State (200–208) 32
The Limits of Expansion (208–217) 35
From Kingdom to Empire (216–220) 39
Cao Pi and Cao Rui (220–239) 42
Cao Shuang, Sima Yi, and the Fall of Wei (239–265) 46

2 Wu 50
by R A F E DE CRESPIGNY
Sun Jian (c.155–191) and Sun Ce (175–200) 50
Sun Quan and the Kingdom of Wu (200–222) 52
The Empire of Sun Quan (222–252) 57
The Succession to Sun Quan and the Fall of Wu (252–280) 61

3 Shu-Han 66
by J . M I C H A E L F A R M E R

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 iv contents

The Shu Region in the Late Han 66

The Reign of Liu Yan and Liu Zhang 67
Liu Bei’s Conquest of Yi Province 68
The Reign of Liu Bei (214–223) 70
The Reign of Liu Shan (223–263) 73

4 Western Jin 79
by D A M I E N C H A U S S E N D E
The Prehistory of the Jin: The Rise of the Sima Clan under
the Wei 79
The Reign of Emperor Wu (266–290) 84
The Disturbances of the Eight Princes and the Fall of the
Western Jin 92

5 Eastern Jin 96
by C H A R L E S H O L C O M B E
The Founding of the Eastern Jin Dynasty (317–420) 96
Émigrés and Natives 98
Wang Dun’s Rebellion 103
Great-Family Politics 106
Huan Wen 109
The Battle of the Fei River 112
The End of the Eastern Jin 114
An Evaluation 117

6 The Sixteen Kingdoms 119

by C H A R L E S H O L C O M B E
The Emerging Threat 119
The Roads to the Fei River 125
After the Fei River Encounter 137

7 Cheng-Han State 145

by T E R R Y F . K L E E M A N

8 Northern Wei 155

by S C O T T P E A R C E
The Making of a Dynasty 155
The Making of a Nation 159

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 contents v

Completion of the Conquests 164

Justifying the Realm 168
The Growth of Absolutism 171
The Dynasty’s Fall 178
The Shadow of the Tabgač 182

9 Eastern Wei–Northern Qi 184

by A L B E R T E . D I E N
Introduction 184
Geography 184
Final Years of the Northern Wei Dynasty 186
The Eastern Wei Dynasty 193
The Northern Qi Dynasty 197
Conclusions 208

10 Western Wei–Northern Zhou 210

by A L B E R T E . D I E N

11 The Southern Dynasties 237

by A N D R E W C H I T T I C K
The Founding Years, 420–453 241
Factional Strife and the End of the Song Dynasty, 453–478 248
Civilian Realignment and Renewed Factionalism under
the Qi Dynasty, 478–501 254
The Reign of Liang Emperor Wu, 502–549 259
Collapse, Reconsolidation, and Conquest, 548–589 265
Conclusion 271

part 2 society and realia 273

12 The Art of War 275
by D A V I D A. G R A F F
Patterns of Conflict 275
Tools and Techniques of War 283
Military Institutions 289

13 Foreign Relations 296

by C H A R L E S H O L C O M B E
The Investiture System 297

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 vi contents

The Northeastern Interaction Zone 299

Southern Sea Lanes 303
Northwest Passages 305

14 The Northern Economy 309

by V I C T O R C U N R U I X I O N G
Land Tenure, Taxation, and Corvée Labor 309
Money 317
Manufacturing and Trade 319
Population 323
Urbanism 326

15 The Southern Economy 330

by L I U S H U F E N
Foreword 330
The New Émigrés Coming from the North 331
The Southern Aborigines and the Six Dynasties Regimes 337
Commerce 346
Coinage 350
Conclusion 353

16 Agriculture 355
by F R A N C E S C A B R A Y
The Qimin Yaoshu: The Author and His Art 357
Best Farming Practice in North China 361
A Book of Its Time 365
Estate and Peasant in Northern China 368
Agriculture in the South 371

17 The History of Sogdians in China 374

by R O N G X I N J I A N G

18 Northern Material Culture 384

by S H I N G M Ü L L E R
From Gray Pottery to Porcelaneous Stoneware 384
Lacquer: An Inherited Fascination 390
Jade, Glass, and Everything Colorful and Glittering 392
Bronze, Iron, and Other Metals 396
Paper and Stone: New Media for Writing and Artwork 404

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 contents vii

New Weaves, Gold Weaves, and the “Xianbei” Garb 406

Tents, Roofed Dwellings, and Interiors 410
Particularities in Sepulchral Customs 413
Conclusion 416

19 Southern Material Culture 418

by A N N E T T E K I E S E R
Introduction 418
Southern Tombs before the Northern Influx: Wu and
Western Jin 419
Southern Tombs after the Northern Influx: Eastern Jin
and Southern Dynasties 432
Conclusion 441

20 Women, Families, and Gendered Society 443

by J E N - D E R L E E
Introduction through the Life of a Nun 443
Women in Confucian Family Ethics 446
Aristocratic Wives Defying Marital Hierarchy 447
Maternal Bonds Challenging Patriarchy while Reinforcing
Reproduction 449
The Widowed and the Unmarried: Religion as an Alternative 453
Women Rulers as Family Roles 456
Concluding Remarks 458

21 Local Society 460

by H O U X U D O N G
Introduction 460
Lower-Level Settlements 461
Base-Level Administration of Local Government 463
Composition of Resident Households 466
Activities and Organizations of Commoners 473

part 3 culture, religion, and art 481

22 Confucian Learning and Influence 483
by K E I T H N . K N A P P
The Influence of Confucianism 484
Classical Learning 485

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 viii contents

Confucian Education 486

Broad Learning 488
Imperial Schools 490
Examinations 493
Ritual 495
The Major Thinkers of Six Dynasties Confucianism 499
Conclusion 509

23 Qingtan and Xuanxue 511

by Y U E T K E U N G L O
The Intellectual Scene 512
Qingtan 514
Xuan and Xuanxue 522

24 Buddhism 531
by J O H N K I E S C H N I C K
Buddhism at Court 533
Monasticism 539
Devotion 547
Conclusion 551

25 Daoism 553
by S T E P H E N R. B O K E N K A M P

26 Popular Religion 579

by R O B E R T F O R D C A M P A N Y
Local Gods, Their Temples, and Associated Practices: Domestic
Deities 582
Demons, Sprites, and Animals 587
Spirits of the Human Dead 589
Specialists 592
Conclusion 595

27 The World of Prose Literature 597

by A N T J E R I C H T E R
The Literary Heritage of the Six Dynasties 597
Literature in a Web of Interconnections: A Fourth-Century
Example 599
Literary Circles at Courts and Beyond 603

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 contents ix

The Rise of Literary Criticism 609

Genres of Life Writing 614
City, Countryside, and Wilderness 617
Literary Imagination and Narrative Art 619

28 The World of Poetry 623

by C Y N T H I A L . C H E N N A U L T
Introduction 623
Yuefu and Shi of the Wei State and Dynasty 626
Thematic Diversification during the Western and Eastern Jin 633
Nature Poetry, Yuefu, and Other Lyrics of the Liu-Song 639
Poetry of the Southern Qi and Liang Salons 645
Poetry of North China and the Chen Dynasty 654
Conclusion 660

29 Art and Visual Culture 662

by W U H U N G
Funerary Art 663
Religious Art 676
Painting and Calligraphy 687

30 Music 698
by B O L A W E R G R E N
Introduction: The Background to Six Dynasties Music 698
Importation of Kuchean Music to Northern China 699
Buddhism and Music 701
Chinese Instruments 702
Instruments of the Six Dynasties Period 703
Music Theory 719
Conclusion 720

Bibliography
Abbreviations of Frequently Cited Primary Sources 721
Journal Titles: Acronyms (single-word titles do not
use acronyms) 722
List of Asian Journal Titles 725
Primary Texts 729
General Bibliography 733
Glossary–Index 839

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 FIGURES AND TABLES

figures

14.1 Populations (in millions), 157–589 page 325

18.1 Typical grayware jars found in fifth-century Datong 385
18.2 Grave goods with gray pottery, lacquerware, and gold
jewelry in a non-Han tomb 386
18.3 Lead-glazed wares 389
18.4 Lacquerware with exotic forms or motifs 391
18.5 Schematic depiction of the coiled-core technique applied
to the lacquered vessel found in Tian Hong’s tomb 392
18.6 Belt sets of the Northern Dynasties 398
18.7 Gold cap ornaments 401
18.8 Chin straps and jewel elements 403
18.9 Textile patterns and costumes of the North 408
18.10 Animal masks as coffin ornaments with the center motif of
“master of animals” and its variations in palmette leaves 414
19.1 Tomb types of the Wu and Western Jin 420
19.2 Bronze vessel types of the Wu and Western Jin 421
19.3 Vessel types and typical decoration of the Wu and
Western Jin 421
19.4 Guan jars with brownish under-glaze painting 425
19.5 Bear-shaped zun vessel 426
19.6 Figured hunping or duisuguan jar 426
19.7 Models of estates 428
19.8 Earthenware models of (a) toilet, (b) grinding stone,
(c) winnowing basket, (d) mortar, (e) chicken coop,
(f) treadmill, (g) stove, (h) lamp, (i) greenware candle holder,
(j) ink stone, (k) water vessel 429
19.9 Group of figures from Shangfang, Jiangsu 430
19.10 Items for personal hygiene 431
19.11 Small-scale single chamber (Nanjing, Jiangsu), and new

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 list of figures and tables xi

variety with tiers along back and side walls (Meixian,

Guangdong) 433
19.12 Development of vessel shapes (pankouhu, jishouhu, tuohu) 436
19.13 Lotos zun vessel 437
19.14 Male and female figurines of the Eastern Jin and Southern
Dynasties 438
19.15 Jewelry 440
29.1 Tomb of Prince Xiao Ji 664
29.2 Facade of Tomb 133 at Foyemiaowan, Dunhuang, Gansu 667
29.3 Plans of the Wanzhang tomb, Cixian, Hebei 668
29.4 The east wall of the passageway of the Wanzhang tomb,
Cixian, Hebei 668
29.5 The Seven Sages of the Bamboo Grove and Rong Qiqi 669
29.6 House-shaped stone sarcophagus from the tomb of Song
Shaozu, Datong, Shanxi, Northern Wei, 477 672
29.7 Soul jar reportedly from Shaoxing, Zhejiang. Western Jin, 260 674
29.8 Cave 20 at Yungang, Shanxi Province 678
29.9 Central Buddha statue, limestone, central Binyang cave 680
29.10 Ceiling of Cave 249 at Dunhuang, Gansu 681
29.11 Stone stele. Western Wei, dated 551 684
29.12 Rubbings of Wei Wenlang Stele 685
29.13 Aś oka-type Buddha 686
29.14 Altarpiece dedicated to Maitreya 688
29.15 Wang Xizhi, “Letter on the Disturbances” 690
29.16 Attributed to Gu Kaizhi, Wise and Benevolent Women 692
29.17 Attributed to Gu Kaizhi, “Adoring Oneself” 694
29.18 Anonymous, “Lady Ban Rejecting the Emperor’s Invitation” 695
29.19 Attributed to Gu Kaizhi, “Lady Ban Rejecting the
Emperor’s Invitation” 695
29.20 Attributed to Gu Kaizhi, section of The Nymph of the
Luo River 696
30.1 Part of an ensemble inscribed on a tomb wall at Yi’nan,
Shandong, c.170 ce 702
30.2 Musical instruments shown on walls of a tomb of the
Nanjing area, c.400 705
30.3 Lutes moving from the Near East to China via Central Asia 709
30.4 A Northern Qi ensemble shown on parts of a stele 712
30.5 Foreign orchestras at Chang’an, 605–616 715
30.6 The Zoroastrian paradise shown in the tomb
of Shi Jun (c.580) 716

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 xii list of figures and tables

tables

Table 0.1 Sixteen States by area xix

Table 4.1 The six military fronts of the conquest of the
Wu Kingdom 89
Table 4.2 The Eight Princes 92
Table 14.1 Registered populations, 157–280 324
Table 14.2 Household numbers in the North, 280–318 325
Table 16.1 Table of contents of the Qimin yaoshu 358
Table 16.2 Crop rotations in the Qimin yaoshu 364

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 MAPS

0.1 The Three Kingdoms page xx

0.2 Western Jin and the Northern Dynasties xxi
0.3 The Southern Dynasties xxii
4.1 The conquest of Wu by the Jin 95
17.1 Sogdian trade routes 376
30.1 How music traveled from Kucha to northern China 700
30.2 Asia showing the paths of lutes 710

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 PREFACE

We both knew that assembling the second volume of the Cambridge history of
China would be a formidable task. Denis Twitchett had already endeavored to
do so in the mid-1980s, but was unable to for a variety of reasons. The lack of a
Cambridge history of China volume for the Six Dynasties period meant that there
was no way that a reader could acquire by reading just one book a sound feeling
for the period and all of its political and social complexities, as well as an
appreciation for its wide range of cultural achievements. Over the years, we
have both heard many fellow scholars lamenting the fact of the non-existence
of a Six Dynasties volume. Since there are now many excellent specialists
writing about the history and culture of early medieval China, we decided to
take on the challenge, but the project was far more complicated and time-
consuming than either of us anticipated.
Completing this volume would not have been possible without the help of
numerous institutions and individuals. To start off the process of writing the
chapters, we had hoped to invite all of the contributors to a conference.
Unfortunately, the costs of doing so were prohibitive. Due to the generosity
of two universities, we were instead able to hold two smaller meetings. The
first was the “Six Dynasties Material Culture, Arts, Literature, and Ritual
Workshop,” which took place at the University of Chicago on May 26–27,
2012. The workshop was generously sponsored by the China Committee of the
Center for East Asian Studies and the Adelyn Russell Bogert Fund of the
Franke Institute for the Humanities, University of Chicago, and was organized
by the University of Chicago’s Center for the Art of East Asia, Department of
Art History. The workshop included all of the contributors who were working
on topics related to material culture and the arts. We owe much to Professors
Wu Hung and Katherine Tsiang, who played a large role in organizing and
making this meeting possible. The second workshop took place at the exqui-
site Stanford Center at Peking University. This meeting with some of our East
Asian contributors was made possible through the arrangements provided by
the executive director of the center, Dr. Andrew J. Andreasen. We also wish to

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 xvi preface

thank Professor Tu Wei-ming for his active and informative participation at

the workshop. Many thanks too to Peking University for assisting with the
logistics of this meeting.
The Citadel, the Military College of South Carolina, generously provided
the support for much of this work. For the duration of this project, the college
supplied us with a graduate assistantship. Through this funding, Victoria
Musheff served as a superb internal editor who polished the chapters’ prose and
made sure that the information within was intelligible to nonspecialists.
Isabelle Bailey Knight, another graduate assistant, helped us put our biblio-
graphy in good order. The History Department’s Henry and Jenny Johnson
Endowment Fund and the Citadel’s School of Humanities and Social Sciences
funded honorariums for the translators of the “Western Jin” and “Local
Society” chapters.
Many thanks to Professors Joelle Neulander for translating the “Western
Jin” chapter from French and Jon Felt for translating the “Local Society”
chapter from Chinese. Albert Dien translated from Chinese both the chapters
on the Sogdians and on the southern economy.
Many thanks to our contributors as well. They not only contributed their
expertise through the writing of their chapters; they also patiently endured the
editors’ requests to adjust their chapter’s contents for readability and clarity.
Charles Holcombe and Albert Dien are especially to be commended for taking
on the burden of writing more than one chapter.
Working with the dedicated and talented staff of Cambridge University
Press has been a joy. Marigold Acland, our first editor, recruited us to do the
volume. After Marigold’s retirement, our new editor, Lucy Rhymer, turned
out to be every bit as helpful and encouraging. Heather Lings took on the
difficult role of preparing the Glossary–Index, and John Gaunt performed the
Herculean task of making the text readable. Natasha Whelan and Lisa Carter
greatly helped us get the final manuscript in order.
Finally, we need to acknowledge each of our family’s patience and assis-
tance. With no say in the matter, Dora and Joseph Dien and Jade and Melissa
Knapp were swept into the project in ways big and small. Their help ranged
from technical assistance to listening to endless worries and complaints. Their
support, although usually indirect, was essential to the project’s completion.

guidelines for readers

Following the precedent set by The Cambridge history of ancient China: From the
origins of civilization to 221 b.c. , for the romanization of Chinese words, we
have decided to use the Pinyin system rather than the Wade–Giles system,
which has been employed in previous volumes of the Cambridge history of

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 preface xvii

China. We do this in recognition that the Pinyin system is now the most
popular romanization system of Chinese—it is used by nearly all English-
language newspapers and academic journals and books. By now, only specia-
lists are still acquainted with the Wade–Giles system.
Unlike prior volumes of the Cambridge history of China, this work will
employ the bce (before common era) and ce (common era) dating system,
rather than bc (before Christ) and ad (anno domini) one. This has been done
to be more in line with current academic conventions and to regard time in a
more secular manner.
Chinese characters have been used sparingly in the text of the chapters. For
the most part, characters are inserted after the few sentence-length passages
that occur in some chapters. This has been done to facilitate specialists’
understanding of the quoted romanized sentence. These Chinese sentences
are not indexed. The Chinese characters for any term, person, or place will be
found in the index.

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 SIX DYNASTIES CHRONOLOGY

Three Kingdoms
Wei (220–265) Shu (221–263) Wu (220–280)

Western Jin (265–317)

Sixteen States 304–439 Eastern Jin (318–420)
Northern Wei (386–534) Liu-Song (420–479)
Western Wei (535–557) Eastern Wei (534–550) Southern Qi (479–502)
Northern Zhou (557–581) Northern Qi (550–577) Liang (502–557)
Chen (557–589)
Sui (581–618)

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 Table 0.1 Sixteen States by area

Name Dates Founder Ethnicity Capital Conqueror

Former Zhao 304–329 Liu Yuan Xiongnu Pingyang Later Zhao

前趙 劉淵 平陽 後趙
Later Zhao 319–351 Shi Le Jie Linzhang Former Yan
後趙 石勒 臨漳 前燕
Former Qin 351–384 Fu Jian Di Chang’an Western Qin
前秦 苻健 長安 西秦
Later Qin 384–417 Yao Chang Qiang Chang’an Eastern Jin
後秦 姚萇 長安 東晉
Western Qin 385–431 Qifu Guoren Xianbei Jincheng Xia
西秦 乞伏國仁 金城 夏
Xia 407–431 Helian Bobo Xiongnu Tongwan Northern Wei
夏 赫連勃勃 統萬 北魏
Cheng Han 304–347 Li Xiong Di Chengdu Eastern Jin
城漢 李雄 成都 東晉
Former Yan 349–370 Murong Jun Xianbei Yedu Former Qin
前燕 慕容俊 鄴都 前秦
Later Yan 384–409 Murong Chui Xianbei Zhongshan Northern Yan
後燕 慕容垂 中山 北燕
Southern Yan 400–410 Murong De Xianbei Guanggu Eastern Jin
南燕 慕容德 廣固 東晉
Northern Yan 409–436 Feng Ba Han Changli Northern Wei
北燕 馮跋 昌黎 北魏
Former Liang 314–376 Zhang Mao Han Guzang Former Qin
前涼 張茂 故臧 前秦
Later Liang 386–403 Lü Guang Di Guzang Later Qin
後涼 呂光 故臧 後秦
Southern Liang 397–414 Tufa Wugu Xianbei Ledu Western Qin
南涼 禿髮烏孤 樂都 西秦
Northern Liang 401–439 Juqu Mengsun Xiongnu Zhangyi Northern Wei
北涼 沮渠蒙遜 張掖 北魏
Western Liang 400–422 Li Hao Han Jiuquan Northern Liang
西涼 李皜 酒泉 北涼

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 INTRODUCTION

Periods of disunity in Chinese history do not usually receive the attention they
deserve, yet it is just in those years of apparent disorder and even chaos that
important developments, social, cultural, artistic, and even institutional, often
find their earliest expression. The Six Dynasties period (220–589 ce) was just
such a time of momentous changes in many aspects of the society. But it is
precisely the confusing tumult and disorder of the political events of those four
centuries that create the strongest impression. We find this perception mir-
rored in the reaction of the put-upon Gao Laoshi, the middle-school school-
master described by Lu Xun in one of his stories, who was so dejected when he
had been assigned to teach a course on the Six Dynasties. All he remembered
about the subject was how very confusing it was, a time of much warfare and
turmoil; no doubt what would have come to his mind was the common saying
wu Hu luan Hua 五胡亂華 “the Five Barbarians brought disorder to China.”
He felt that he could do a creditable job with the great Han and Three
Kingdoms that came before or the glorious Tang after it, but what could he
say about those miserable years in between?1 The very nomenclature reflects
its apparent disjointed nature. Yet it was that very disorder, a collapse of
central authority, that provided the conditions enabling such important
advances which make the Six Dynasties period such a significant one in
Chinese history.
The period covered in this volume suffers from what might be called an
identity problem; that is, one of definition. In historical terms, identity defines
the qualities and characteristics associated with it, and what role, so to speak,
that period played in the course of events that made up the history under
consideration. The name applied to the period encapsulated that identity and
thus deserves some attention. In Chinese terminology this poses no problem,

1
Lu Xun, “Gao Laofuzi,” in Lu Xun zhuyi biannian quanji, ed. Wang Shijia and Zhi Yan (Bejing, 2009),
6.198–205; William A. Lyell, trans., “The venerable schoolmaster Gao,” in Lu Xun, Diary of a madman
and other stories (Honolulu, 1990), p. 298.

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 2 introduction

since the usual list is a factual one. It is generally called most expansively
“Sanguo liang Jin Nanbeichao” 三國兩晉南北朝; that is, the Three
Kingdoms, two Jin, and Southern and Northern courts, or, a bit shorter,
“Wei Jin Nanbeichao” 魏晉南北朝, with the Wei state standing for the
Three Kingdoms; similarly Japanese scholars call it “Gi-Shin Nambokuchō .”
Another term is “Liuchao” 六朝 (Japanese “Rikuchō ”), the Six Kingdoms,
since Jiankang (modern Nanjing) in this period served as the capital of six
dynasties (Wu 吳, Eastern Jin 東晉, Song 宋, Qi 齊, Liang 梁 and Chen 陳);
thus while the reference is to the southern states, the sense of the term
generally covers the whole of China, north and south.2 However, “Liuchao”
may be ambiguous, as some modern writers (usually southerners) use it to refer
only to the area of the Southern Dynasties that made Jiankang their capital.
A more descriptive label sometimes used is the “Period of Disunity,” but while
it has the virtue of underlining a salient political characteristic of the period, it
has the drawback of being applicable also to that of the Five Dynasties
(907–960).
The Han and Sui–Tang dynasties are usually recognized as among the high
points of early Chinese power and cultural achievement; as a consequence, the
period between them, the years 220 to 589, is often held in low esteem—the
Dark Age of Chinese history—and at most viewed simply as a transitional
span of time. Calling it China’s Middle Age, and its derivation “medieval” on
the model of European history, for many scholars carries with it a pejorative
import.3 Arnold Toynbee, in his Study of history, found a striking parallel
between the European and Chinese cases, seeing that in both there was a period
of state decline followed by a time of trouble; that is, external/barbarians and
internal/proletariat, resolving itself into a new stage of the “universal state,”
which is to say, in China, the Sui–Tang.4 No doubt Toynbee’s paradigm of
historical analysis of challenge and response deservedly no longer is felt to have
any explanatory usefulness.5 However, the term “medieval” can still be viewed

2
The term “Six Dynasties” was applied to this period as early as the Song by Zhang Shou (1084–1145) and
Zhang Dunyi (active twelfth century), the latter the author of the Liuchao shiji bianlei, ed. Zhang Chenshi
(Beijing, 2012), a work primarily focused on the history and landmarks of Jiankang when it served as
capital during the Six Dynasties period. The Yuan dynasty Songshi 宋史 (compiled in 1345) provides an
example (56.3933) where the term “Six Dynasties” is used to designate both the northern and southern
dynasties.
3
T. H. Barrett, “China and the redundancy of the medieval,” Medieval history journal 1.1 (1998), pp. 73–89;
and Timothy Brook, “Medievality and the Chinese sense of history,” Medieval history journal 1.1 (1998),
pp. 145–164.
4
Arnold Toynbee, A study of history (London, revised edn, 1972).
5
Charles Holcombe rightly observes that the term “medieval,” if only defined in terms of European-style
feudalism, is not applicable to China from the third to the eighth centuries. See his “Was medieval China
medieval? (Post-Han to mid-Tang),” in A companion to Chinese history, ed. Michael Szonyi (Chichester,
2017), p. 114.

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 introduction 3

as a useful descriptor if broadly defined, which is why many Western scholars

refer to this period as early medieval China. Scholars of global history have
become more cognizant that to understand the historical commonalities of
civilizations across the world there is a need for general descriptive labels, such
as “medieval,” that can be applied cross-culturally. The similarities between
Europe from the sixth through tenth centuries, the early Arab empires
(Umayyad, 661–749, and Abbasid, 750–1258), and China from the third
through the sixth centuries are striking: we see a decentralized polity, a hybrid
ruling elite, the appearance of a manorial type of economy, the emergence of
organized religion, and a heavy reliance on close patron–client ties between
upper-class men. Hence, applying the word “medieval” to China from the
third to sixth centuries still has hermeneutic value.6
All of the other volumes in the Cambridge history of China series are named
after political dynasties, but the term “Wei–Jin–Northern and Southern
Dynasties” is much too cumbersome, true perhaps even for the more simplified
“Northern and Southern Dynasties.” Alternatives such the “Han–Tang
Interim,” or, perhaps more meaningfully, the “Transition between the Han
and Tang,” may be useful as chapter headings, but not as tags within written
narratives, and in most contexts do not give the period its due importance. The
fallback solution used in this volume, and more generally elsewhere, is to
simply use as its title the term “Six Dynasties,” referring broadly to this
interim between the Han and Sui–Tang. The number is not fully accurate
since it encompasses the short-lived regimes in the North succeeding the fall
of the Western Jin and leading up to the Northern Wei, what is called the
“Shiliuguo” 十六國, or in English, the “Sixteen States.” Nevertheless, keep-
ing all these restraints in mind, Six Dynasties serves quite well.
The terminology related to this period clearly points to the enduring
fragmentation of the previously united Han realm. As Helena Motoh has
described it, in the post-Han period there emerged “a series of different
constellations of power (parallel rule of three states, or two states, etc.),”
roughly divided in a north–south formation, one north of the Yellow River
and the other south of the Yangzi, with the area between the scene of
continuing competition.7 As Motoh further notes,
6
Keith N. Knapp, “Did the Middle Kingdom have a middle period? The problem of ‘medieval’ in China’s
history,” Education about Asia 12.2 (2007), pp. 8–13.
7
Helena Motoh, “The noble eclecticism: Example of Tao Yuanming’s Xing Ying Shen,” in The yields of
transition: Literature, art and philosophy in early medieval China, ed. Jana S. Rošker and Nataša
Vampelj Suhadolnik (Newcastle upon Tyne, 2011), pp. 227–239; see esp. p. 228, n. 1, that directs the
reader to Billy K. L. So and Gungwu Wang, Power and identity in the Chinese world order (Hong Kong,
2003); and Nicola Di Cosmo and Don J. Wyatt, Political frontiers, ethnic boundaries, and human geographies
in Chinese history (New York, 2003). Yang Anqing, “Liang Wei Zhongli zhi zhan yi qi yingxiang,”
Huaibei shifan daxue xuebao (zhexue shehui kexuebn) 36.1 (2015), pp. 17–21, insightfully goes beyond the

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 4 introduction

The division is also ethnic, since the North was mostly ruled by the dynastic families of
non-Han origin, while the South was ruled by Han Chinese dynasties, first by the Eastern
Jin and then by the so-called Southern Dynasties. Political disunity is thus also seen in
cultural terms, as a loss of parts of the territory to the rule of the non-Han peoples.

A salient feature of the Six Dynasties period is the dominant role taken by the
non-Han peoples who entered northern China, some by slowly permeating
into the borderlands or by storming the frontier. The historical records list
a number of tribal names: Xiongnu, Xianbei, Tuoba, Jie, Murong, and so
forth, but there was little discussion at the time of the actual composition of
these entities, nor has modern research made much analytical headway. In his
chapter on the Northern Wei, Scott Pearce draws on the opening of the Weishu
(History of the Northern Wei) to trace the origins of the Tuoba, the founders of
that dynasty. Their traditional account of the various encounters as these
people made their way from their distant northern habitat to the Chinese
frontier, telling of a hybrid, horse-like animal that served as guide for a time,
and the “heavenly maiden” who presented one of the leaders with an heir, may
well have been the stuff of myths. But as Pearce suggests, these legends of the
difficult journey, no doubt recounted with some license, may still reflect some
reality. What this account calls to mind is the similar origin accounts
associated with the various “barbarian” peoples who appeared on the Roman
frontier in medieval Europe.
There is a rich literature on the nature of the “barbarian migrations” in
Europe at roughly the same period as that in China, which to a certain extent
may suggest parallel developments, but the Western historians still struggle
with how to frame the material. The current favored term, “ethnogenesis,”
emphasizes that the various barbarian groups under discussion were not
biological or ethnic communities as such but, as Michael Kulikowski has it,
were unstable and fissiparous groups, and that the earlier racial conceptions of
barbarian ethnicity must give way to constructed ethnicities, however that is
perceived by the modern scholarly factions now debating the issue—a highly
contentious subject.8 In ethnogenesis’s early model, Reinhard Wenskus pro-
posed that there was a nucleus tradition, a complex, that was able to confer an
identity on a population. This involved a process of Stammesbildung or

account of a particular struggle to suggest that there were significant internal social and political ends
served by such contending campaigns.
8
Michael Kulikowski, “Nation versus army: A necessary contrast?”, in On barbarian identity: Critical
approaches to ethnicity in the Early Middle Ages, ed. Andrew Gillett (Turnhout, 2002), pp. 71–72.
Kulikowski, p. 70, n. 2: “One of the great virtues of recent studies of ethnogenesis has been to show
the malleability of early medieval ethnicity and, consequently, to force us to regard with skepticism all
claims to natural ethnic community while looking for the strategies by which such communities are
socially constructed.”

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 introduction 5

ethnogenesis, that drew together disparate people into a community that on

the basis of ancient and orally transmitted traditions came to believe they
shared a common origin. While the belief in such ancient origins can be said to
be ideological, such elements cannot be entirely discounted, and amid such
memories, myths, and traditions there is still the strong possibility that they
were not entirely invented.9
Walter Pohl, in defense of the term “ethnogenesis,” suggested that ethnic
formation processes were complex, long-term developments, and that the
term suggests an origin of the ethnos in a limited initial stage. The ethnic
formation of a group could fail, and the group disappear. Success or failure are
just descriptive terms; the methodology is to attempt a reconstruction of the
ethnic processes, political contexts, and perception in the sources. The analysis
of origin legends and ethnic discourse is just a tool in what is a bricolage,
trying to bring together a variety of elements.10
For example, Charles R. Bowlus, in his article on “ethnogenesis” also in
Gillett’s volume, reviews recent studies and speaks of “misleading
concepts.”11 Such terms as “Goths” or “Franks” referred to peoples, or tribes,
of diverse origins, languages, and cultures, who had coalesced into larger
confederations. According to Bowlus, the ethnogenetic theory is best seen as
probes into the makeup of these confederations, and he holds that such a core
was basically a confederation of groups of warriors each with its own leaders,
and that they are best seen as an army, not a people on the move. At the center
was an elite military band whose language, culture, and traditions came to be
adopted by the confederation as a whole, leading to acceptance of an identity of
common descent. He also points out that ethnogenesis models share
a common sequence of events, including a primordial deed, such as crossing
a sea or mighty river or victory over odds, and throughout the process there
must be an ancestral enemy whose existence holds the Grossstamm or confed-
eration together. Bowlus concludes that the ethnogenesis construct is
a paradigm that may be suited only to handling data in modern research but
of little utility in dealing with the scant sources of the past. As Walter Pohl
says, “Whether invented or only partly invented, such traditions could play an
analogous role: the world in which the barbarians had settled on Roman soil

9
Reinhard Wenskus, Stammesbildung und Verfassung: Das Werden der frühmittelalterlichen gentes (Cologne,
1961; reprint, 2016), pp. 75 ff.; see also Walter Goffart, “Does the distant past impinge on the invasion
age Germans?” in On barbarian identity, ed. Gillett, p. 31.
10
Walter Pohl, “Ethnicity, theory, and the tradition: A response,” in On barbarian identity, ed. Gillett,
p. 239. See also his “Conceptions of ethnicity in early medieval studies,” in Debating the Middle Ages: Issues
and readings, ed. Lester K. Little and Barbara H. Rosenwein (Oxford, 1998), pp. 13–24.
11
Charles R. Bowlus, “Ethnogenesis: The tyranny of a concept,” in On barbarian identity, ed. Gillett, pp.
241–256.

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 6 introduction

presented high risks, challenges, and problems of adaptation; narratives could

give a meaning to this difficult situation.”12 The same might be said of those
who, mutatis mutandis, pressed on to Chinese soil.
Despite some uncertainty, and even misgivings concerning how the ethno-
genesis construct may be utilized for historical research in the European case,
it does seem to offer insight into that of the East Asian area. The similarity
with the Tuoba legend is striking. In the case of the Tuoba, as Pearce points
out in his chapter on the Northern Wei, the Weishu records the reaction of
Emperor Taiwu, not that long after the fact, when he was presented with the
opportunity to lay claim to evidence of that arduous trek, as tenuous as that
evidence might have been, and to send envoys to authenticate it, thus using
the opportunity to strengthen the ties that held his compatriots together.
Wang Junjie has written an important article which bears on this very
question: how the Xianbei, originally the name of a small tribe, came to be
that of a powerful confederation and, indeed, joined to the identity of those
who dwelled in the Northern Wei state.13 He traces the earliest mention of the
Xianbei to some tribesmen located on the far northeastern Liaodong borders in
the pre-Han and Han periods. They moved into the area abandoned by the
flight of the Xiongnu after these latter were defeated by Han forces in 89 ce.
Various other groups who had been subordinate to the Xiongnu but who had
remained in the area then took on the Xianbei name, which from that time
came to be a potent umbrella designation for those joining the confederation
while retaining their original identity. Among the various other components
were the Murong in Liaodong, the Duan in Liaoxi, the Yuwen to the north, the
Tuoba even further north, the Qifu at Longxi, and the Toufa at Hexi, each
dominant in their separate areas. The Tuoba emerged as the victorious
aggregate among others and established their state. They then began, perhaps
driven by a sense of necessity, to create an ancestry that legitimated their
primary claim to the Xianbei name, one which continued to be the traditional
mantle incorporating all the conquered groups, diverse as they were in
customs, language, and so forth. Thus, as the Weishu recounted, the Tuoba
claimed to be descended from the Yellow Emperor and had been allotted the
northern regions, where they took their name from the Xianbei mountain
there. As Wang Junjie points out, that legend is recorded in the Weishu, which
itself was compiled after the fall of the dynasty, but there is contemporary
evidence of the acceptance earlier by the Northern Wei subjects of their being
Xianbei and the self-referential use of the term “Xianbei.” In 450, during

12
Walter Pohl, “Ethnicity, theory, and tradition: A response,” in On barbarian identity, ed. Gillett, p. 233.
13
Wang Junjie, “Wei Jin Nanbeichao de Xianbei shibushi yige minzu,” Xibei shifan xuebao (shehui kexue
bao) 1985.3, pp. 63–72.

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