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三國時代 The Three Kingdoms Adventures and Romance (Chapter 4 in Ebrey). Political and Cultural Legitimacy. What constitutes one’s legitimacy to rule: power, cleverness or other things? Water can carry a boat; but it can also capsize a boat; 水亦载舟,水亦覆舟。 (subjects vs. rulers)

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三國時代 The Three Kingdoms Adventures and Romance (Chapter 4 in Ebrey)


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    1. 三國時代 The Three KingdomsAdventures and Romance (Chapter 4 in Ebrey)

    2. Political and Cultural Legitimacy • What constitutes one’s legitimacy to rule: power, cleverness or other things? • Water can carry a boat; but it can also capsize a boat; 水亦载舟,水亦覆舟。(subjects vs. rulers) • Water refers to people; boat refers to the ruler;

    3. Xing Tai (Ju Lu Commandery 郡), Hebei Province. External Causes: famine, flood, locust, plague, Internal Causes: tax; insensitivity to people’s pains; incompetence and impotence in the royal rule; Zhang Jue 張角, known as the “General of Heaven,” cured many by his magic, a combination of traditional Chinese medicines, sorcery; He concluded that the period under the Yellow Emperor was most ideal. The Yellow Turban Rebellion(184 -205)

    4. Descendants of the Yellow Emperor (2696–2598 BC) • regarded as the initiator of Chinese civilization, and said to be the ancestor of all Huaxia Chinese • xia (夏)—which has the meaning of "grand"—was used to signify the ceremonial etiquette of China, while hua (華)—as it means "illustrious“ or “magnificent”—was used in reference to the beautiful clothing, hence the civilization.

    5. 12 Eunuchs controlled the court; The English word eunuch is from the Greekeune ("bed") and ekhein ("to keep"), effectively "bed keeper". During King Ling’s rule (156-189), the 11th Emperor of the Easten Han dynasty (206 B.C.–220 A.D.) Zhao Zhong, Zhang Rang, Xia Yun, Guo Sheng, Sun Zhang, Bi Lan, Li Song, Duan Gui, Gao Wang, Zhang Gong, Han Li and Song Dian. Inside the House of HanThe Emperor Became a Puppet

    6. The Trouble of Dong Zhuo董卓之乱 • Following the death of Emperor Ling in 189, General-in-Chief He Jin 何进 (with Yuan Shao袁绍,?-202, behind the scene) asked Dong Zhuo 董卓 to lead his troops into Luoyang to help him with eliminating the eunuch faction. • Before Dong's arrival, He Jin was assassinated by the eunuchs and the capital fell into a state of turmoil. The eunuchs took Emperor Shao hostage and fled from Luoyang. • Dong Zhuo's army intercepted the eunuchs and brought the emperor back to the palace.

    7. Dong Zhuo deposed Emperor Shao, Liu Bian, who was then 15 years old. Pressed by Dong Zhuo, the young emperor committed suicide. He was on the throne for 5 months, during which period, it was his mother and uncle He Jin who ran the court. Dong Zhuo董卓 (138 - 192)

    8. Dong rose to the position of Knight General, Longxi, Gansu Province; Ding Yuan丁原 (? – 189) was a minor warlord. In 189, both Ding Yuan and Dong Zhuo were summoned into the capital Luoyang. Recognizing Lü Bu’s吕布 talent and power, Dong Zhuo bought him over by a rare steed: Red Hare 赤兔马. Dong Zhuo (138-192)

    9. His famous “Sky Piercer” His famous steed “Red Hare” He was for adoption: going through three adoptive “fathers” Ding Yuan; Dong Zhuo and Wang Yun Lü Bu’s Role(?—198) City of BaotouInner Mongolia

    10. King Xian of Han 汉献帝 Liu Xie 刘协 (181-234) was then only 9 years old. Dong Zhuo declared himself as Chancellor and chased Yuan Shao away. Dong Zuo took any consorts and concubines he wanted. Dong Zhuo vs. the Young Emperor

    11. The Campaign against Dong Zhuo (190)

    12. Records of The Three Kingdoms 三国志 the official and authoritative historical text on the period of Three Kingdoms covering from 189 to 280, written by Chen Shou 陈寿(233—297) in the 3rd century (Western Jin). Two Versions of the Three Kingdoms

    13. Luo Guanzhong 罗贯中 (1330—1400) Ming Dynasty Pioneered Chinese novel writing organized by chapters章回小说 Roberts, Moss, tr. Three Kingdoms: A Historical Novel (1991) University of California Press http://en.wikisource.org/wiki/Romance_of_the_Three_Kingdoms Romance of The Three Kingdoms 三国演义

    14. In the history book, Chen Shou treated Cao Cao in a more positive light; In the novel, Luo Guanzhong seems rather negative on Cao Cao, depicting him as a 奸雄【jiānxióng】 a person who achieves high position by unscrupulous scheming; Pros and Cons on Cao Cao

    15. Cao Cao (155~220) He was a low ranking military officer guarding the palace; When Wang Yun 王允 celebrated his 60th birthday, Cao Cao, uninvited, knocked on the door… Cao Cao’s Abortive Assassination of Dong Zhuo借刀杀人【jièdāoshārén】 murder someone with a borrowed knife - make use of another person to get rid of an adversary.

    16. Minister over the Masses (司徒) was one of the three most important official posts during the Han Dynasty, called the Three Excellencies. Director of Imperial Secre'tariat (尚书令) Wang Yun 王允(137 – 192 )

    17. The Three Excellencies 三公 • Or the Three Lords was the collective name for the three highest officials in ancient China. • Starting in the Zhou Dynasty, the top three were: Grand Secretary 太师; Grand Tutor太傅, and Grand Protector 太保. • In the Western Han Dynasty, the three positions were: the Chancellor (丞相), the Imperial Secretary (御史大夫), and the Grand Commandant (太尉) in the Western Han Dynasty; • in the Eastern Han Dynasty the names of the Three Excellencies were changed to Grand Commandant (司馬), Minister over the Masses (司徒), and Minister of Works (司空).

    18. Cao Cao wanted to borrow a knifeSeven-Star dagger 七星刀 • At the party, after Cao Cao openly denounced Dong Zhuo; Wang Yun threw him out in public but called him back in secret • 传家宝【chuánjiābǎo】 family heirloom • Wang Yun has a legendary knife that could cut through metal—seven-star dagger • In the study/library, Cao Cao saw a shielded dagger, but Wang Yun gave him another one; • Cao Cao reported that for the past six months, he won the trust from Dong Zhuo, but Dong has an inner shield on all night long for self protection.

    19. The Mirror saved Dong Zhuo’s life • When Cao Cao went to Dong Zhuo’s residence, he saw Lǚ Bu; • Dong asked Lǚ Bu to pick a steed for Cao Cao; • When Cao Cao walked Dong Zhuo to his bed, he got a chance to stab Dong Zhuo; • But Dong Zhuo saw him holding a dagger in the mirror; • Cao immediately claimed that he meant to give this legendary dagger to Dong Zhuo; • 借刀杀人【jièdāoshārén】 murder with a borrowed knife - make use of another person to get rid of an adversary.

    20. Cao Cao Ran Away • After excusing himself, Cao Cao went out; • Lǚ Bu just came back with a steed; • Cao Cao tried his new horse, and ran out of the city; • When Dong Zhuo presented his new treasure knife to Lǚ Bu, Lǚ mentioned that Wang Yun had such a dagger; • It suddenly dawned on Dong Zhuo that Cao Cao meant to kill him;

    21. Outraged, Dong Zhuo sent 5,000 soldiers to go after Cao Cao; The reward was extremely high; Cao Cao realized that it would not make any difference if he killed Dong Zhuo at the time; To fundamentally solve a problem, you should identify the root cause; Moral guidance holds the key otherwise there will be another Dong Zhuo—the system nurtures a tyrant with no separation of power. Why did Cao Cao fail his assassination? Why did he borrow a weapon from Wang Yun? Cao Cao studied The Art of War very thoroughly; He was the first one to do extensive annotations on this military treatise; With his unlimited access to Dong Zhuo, Cao Cao could have Dong killed at any moment; Cao Cao became famousovernight and raised his army

    22. “Separation of Powers” 1750Montesquieu's tripartite systemMontesquieu--The Spirit of the Laws • When Henry VIII declared his break away from Rome (1533), he became the supreme head of both the church (religion) and the state (politics) — this is called Caesaropapism or Constantinism 政教合一 • Danger in absolutism or Absolute monarchy

    23. Château de la BrèdeBirthplace of Montesquieu

    24. At County of Zhong Mou 中牟县, Cao Cao was caught by Chen Gong; but he talked himself out of the trouble; The county magistrate Chen Gong 陈宫 escaped together with him, but his head was only worth fifty gold pieces; Chen left Cao after the bloodshed, Cao took Chen to Lǚ Boshe’s 吕伯奢 residence, his father’s old friend, Chen later heard the sound of knife- sharpening, mistaking that for potential murders; as a matter of fact, the folks were preparing a dinner for these two guests; Out of fear, the two slaughtered the whole family; On the way out, they ran into the old man who just returned with wine; Cao Cao killed the old man with no hesitation… Cao Cao: Caught and Released 捉放曹One needs to make another mistake to cover up a previous one!

    25. Four Beauties in Ancient ChinaHyperbole/personification • Xi Shi in the Spring and Autumn Period--Sinking the Fish (who forgot about swimming) • Wang Zhaojun or Wang Qiang in the Western Han Dynasty--making the Wild Geese fall (Emperor Yuan of Han/Mao Yanshou, court artist) • Dao Chan in late Eastern Han & the Three Kingdoms period--Eclipsing the Moon • Yang Guifei (Precious Lady) or Yang Yuhuan in the Tang Dynasty--Embarrassing the Flowers

    26. Four Ancient BeautiesXi Shi/Wang Zhaojun/Dao Chan/Yang Yuhuan

    27. Dong has the whole city of Luoyang burned down (Jian An Poetry 建安 portrayed this), On the way to Chang’an长安 for “eternal peace”, the western capital, there was an ambush; Lǚ Bu saved Diao Chan’s life (fictive detail in a new TV series), When Wang Yun found out the romance, he got an idea; Wang Yun finally persuaded Diao Chan, his adoptive daughter, to play a role that would sow a seed of discord between Dong Zhuo and Lǚ Bu… Dong Zhuo Moved the Capital

    28. Dong Zhuo Seized Diao Chan • Wang Yun invited Dong Zhuo to his residence, pretending to make peace with him; • As if accidentally, Diao Chan showed up; • Dong Zhuo proposed to name Diao Chan as the emperor’s Precious Lady or gui fei--贵妃【guìfēi】 highest-ranking imperial concubine; a title only next to the queen; • But the emperor was only 9 years old!

    29. Dong Zhuo (played by Li Po) and Diao Chan (played by Chen Hong, film director Chen Kaige’s wife) as depicted in the TV series Romance of the Three Kingdoms Dong Zhuo & Diao Chan

    30. Dong Zhuo’s advisor suggested he should give Diao Chan back to Lǚ Bu, Dong agreed to that; Diao Chan on the other hand pretended she would prefer to spend her life with Dong Zhuo; When with Lǚ Bu, she said she loved Lǚ Bu; Diao Chan Played her Role Well

    31. He was caught in a dilemma: Dong was his adoptive father; Wang Yun, another father to Lǚ Bu (father-in-law figure), pointed out that Dong had violated everything under the heaven… Lǚ Bu was heartbroken

    32. Wang Yun announced that the emperor decided to yield his throne to Dong Zhuo; Dong Zhuo was about to perform a grand sacrificial ceremony, the Feng Ceremony, to heaven; All of a sudden, Wang Yun announced another imperial edict, denouncing Dong Zhuo for all his crimes; Lǚ Bu pierced Dong Zhuo right through his heart; Two Imperial Edicts

    33. Wang Yun became arrogant after this victory; Wang Yun refused to pardon the other three generals Li Jue, Guo Si and Fan Chou, who used to serve Dong Zhuo; This turned out to be a fatal mistake; These three had no choice but to rebel; They still boated about 100,000 troops; Wang Yun’s DeathWang Yun jumped off the city wall

    34. Cao Cao “Kidnapped” the Emperor • While others were busy expanding their territories, Cao Cao got the young emperor back and moved him to Xu Chang--许昌【Xǔchāng】 in Henan (河南省).; • Cao Cao declared himself as chancellor, controlling the court (court rituals and rites: shoes/sword); • He treated the young emperor nicely, with respect, but with strict surveillance (Panopticon, a prison designed by Jeremy Bentham in 1785) as if he put the emperor under house arrest; • Cao Cao’s treatment of the young emperor seemed opposite to what Dong Zhuo did, but both tried to control the young emperor as a puppet 木偶;傀儡;受他人操纵的人.

    35. The Panopticon is a type of prison building designed by English philosopher and social theorist Jeremy Bentham in 1785. The concept of the design is to allow an observer to observe (-opticon) all (pan-) prisoners. Prisoners could not tell whether they are being watched or not, thereby conveying what one architect has called the "sentiment of an invisible omniscience." Bentham himself described the Panopticon as "a new mode of obtaining power of mind over mind… The Panopticon

    36. Cao Cao United the NorthWhy did Cao Cao Fight Yuan Shao?The issue of legitimacy: Yuan Shao’s brother Yuan Shu claimed Emperor himself! • The Battle of Guandu (官渡之戰今河南中牟東北 ) was a prelude to the Three Kingdoms period. It took place at the Yellow River in 200. • It was a crucial victory for the warlord Cao Cao (155-220) who defended his territories against his rival warlord Yuan Shao (154-202). • The battle was a turning point in the war between Cao Cao and Yuan Shao, and marked the beginning of Cao Cao's gradual reunification of northern China, which made the establishment of the Cao Wei state possible. • https://www.youtube.com/watch?v=pD-0-HH_4as

    37. Yuan Shao, after taking over four provinces, aimed at snatching back the emperor; thus putting himself directly in conflict with Cao Cao; Yuan Shao boasted about 700,000 soldiers; The secret for his success: supplies for his army always remained strong. Yuan Shu袁术 (?-199) got the imperial jade seal and declared himself as emperor in 197; So in history there were two emperors for a while; yet nobody would accept Yuan Shu’s claim anyway—what constitutes political and cultural legitimacy? Yuan Shao & Yuan Shu

    38. The raid on Wuchao乌巢糧倉【liángcāng】 granary; barnhttp://www.youtube.com/watch?v=lYO_0EFszI4 • In the tenth month, Yuan Shao's general Chunyu Qiong 淳于瓊 returned with an army of 10,000 from Hebei escorting large reserves of food supplies. • Yuan Shao 袁紹 ordered Chunyu to escort the supplies to Wuchao (烏巢; in modern Yanjin, Henan), a place 40 li (20 kilometers) away from Guandu near Gushi 固始 , and placed him in charge of guarding the supplies there. • Yuan Shao's advisor Ju Shou 沮授 argued that Wuchao, being their important supply depot, was too lightly guarded and insisted that Yuan Shao should send the general Jiang Qi (蔣奇) to Chunyu Qiong to prevent any potential raids. Yuan Shao, again, did not heed Ju Shou's advice.

    39. Xu You’s RoleLet’s do a roleplay • Yuan Shao's advisor Xu You 許攸, an old friend of Cao Cao, harbored a long-term dissatisfaction against Yuan Shao for not using his plans; • Xu’s wife was arrested for some minor transgression, • At midnight, Xu You came to Cao Cao’s camp; Cao Cao rushed out to meet him barefooted with open arms; • Cao Cao led 5,000 cavalrymen to attack Wuchao by using Yuan Shao’s banners; • At the headquarter, Cao’s army prepared an ambush;

    40. Yuan Shao only sent a small number of soldiers to rescue Wuchao; The main army attacked Cao’s headquarter; But they were ambushed; Cao Cao stormed Yuan Shao’s camp; Within Yuan’s troops, once they learned what happened to their provisions and supplies, the army split and soldiers scattered; As a result, Yuan Shao led about 800 men back to Hebei province; Upon Seeing the fire

    41. Yuan Shao was arrogant It is the worthy bird that chooses a worthy tree (to perch on); how could a tree choose its birds? Chapter 3 in Romance of the Three Kingdoms Commentary of Zuo--on The Spring and Autumn Annals Cao Cao treasured all talents; It may not be a coincidence that Cao Cao got Xu You’s help; To succeed, one needs three factors/conditions: Timing (Heavenly opportunity) 天时 Geographical 地利advantages; Harmony among 人和human relationships; How to Treat (Talented) PeopleIt is always a bird that chooses a roost/tree, not the other around

    42. The Battle of Guandu marked the most glorious moment for Cao Cao; Defeating many by a few—a golden rule in military affairs The battle at Red Cliff (208/209 AD) turned out to be Cao Cao’s “Waterloo” Does anyone knows when to stop? “Cross the Rubicon”—Julius Caesar How about timing? How about geographical advantages? How about harmony among human relationships? The Battle of Guandu 200 vs. The battle at Red Cliff 208-209 AD

    43. "Crossing the Rubicon" is a popular idiom meaning to pass a point of no return. The river was considered to mark the boundary between the Roman province of Ci’salpine ‘Gaul to the north and Italy proper to the south; the law thus protected the republic from internal military threat. It refers to Julius Caesar's 49 BC crossing of the river, which was considered an act of war. Caesar was stabbed 32 times by senators; When to Stop?Tragedy of Julia Saesar

    44. To prevent his soldiers from getting seasick, Cao Cao ordered to have his fleet (boats) bound together; this turned out to be a fatal mistake; Huang Gai faked a surrender to Cao Cao; but all his boats were loaded with fuel; Zhou Yu, an expert on warfare on water finally used fire to wipe out Cao Cao’s fleet; Cao Cao’s troops got exhausted while his rivals are at rest—it is their hometown; Northerners are not used to warfare on water; Plague of Schistosoꞌmiasis 血吸虫病 caused by blood flukes 血吸虫; Most important of all, the local people don’t welcome Cao Cao’s intrusion/invasion… Cao Cao’s DisadvantagesCao Cao’s Intention for unification

    45. Zhou Yu, the commander-in-chief and Huang Gai pretended they disagreed over something; Zhou first ordered to have Huang Gai exucted; This is all for show; Cai Mao/Zhang Yun reported this to Cao Cao 苦肉计【kǔròujì】 the ruse of inflicting an injury on oneself to win the confidence of the enemy.

    46. The Battle of Red Cliff赤壁之戰 • Cao Cao’s only setback was in December of 208, when his army was defeated in the famous Battle of the Red Cliff • 赤壁之战 • (modern Jiayu, Hubei), most dramatized in many art forms. • Romance of the Three Kingdoms by Luo Guanzhong

    47. 說曹操,曹操到【shuōcáocāo, cáocāodào】 Talk of the devil and he comes. This refers to the speed Cao Cao’s troops; 兵贵神速【bīngguìshénsù】 speed is precious in war. 望梅止渴 【wàngméizhǐkě】 quench one's thirst by thinking of plums - console oneself with false hopes; feed on fancies. Some Idioms associated with Cao Cao

    48. An artist impression of Zhuge Liang holding his trademark feather fan. • 空城計【kōngchéngjì】 empty-city/fort stratagem (bluffing the enemy by opening the gates of a weakly defended city); presenting a bold front to conceal a weak defense. • Sima Yi 司马懿, a general from Wei under Cao Cao, attacked Shu; • Zhuge Liang 诸葛亮 had no trooped stationed; he ordered to have all the gates wide open and he played a musical instrument on the city wall;

    49. 草船借箭 film: Red Cliff Straw Boats Borrowing Arrows • Zhou Yu 周瑜 challenged Zhuge Liang to have 100,000 made within ten days. Zhuge Liang successfully borrowed all the arrows from the enemy side on a foggy morning. • Roberts, Moss, tr. Three Kingdoms: A Historical Novel (1991) University of California Press • See the movie Red Cliff

    50. Liu Bei recruiting Zhuge Liang. Ming Dynasty painting • 三顾茅庐 • 【sāngùmáolú】 make three calls at the thatched cottage - repeatedly request sb. to take up a responsible post. • To show sincerity in order to win somebody over