2015/5/5 1 The Xiongnu Federation Barfield, Thomas, The Perilous Frontier,” Ch. 2, "The Xiongnu Empire", Ch. 3, “The collapse of Central Order,” Barfield,

112/04/18 1

The Xiongnu FederationThe Xiongnu Federation

Barfield, Thomas, Barfield, Thomas, The Perilous Frontier,” The Perilous Frontier,” Ch. 2, "The Xiongnu Ch. 2, "The Xiongnu Empire", Ch. 3, “The collapse of Central Order,”Empire", Ch. 3, “The collapse of Central Order,”

Sinor, Denis, Sinor, Denis, Cambridge History of Early AsiaCambridge History of Early Asia, Ch 5, pp 118-, Ch 5, pp 118-149; 149;

William Montgomery McGovern, William Montgomery McGovern, The Early Empires of The Early Empires of Central AsiaCentral Asia:, pp. 87-310.:, pp. 87-310.

Optional:Optional: Paper from former students – check course website.Paper from former students – check course website. Topic: Topic:

The The “Palace Living and Influence of Princess in Han Dynasty,” “Palace Living and Influence of Princess in Han Dynasty,” 2007.2007.

司馬遷司馬遷︰《︰《史記史記》》。北京。北京︰︰中華書局，中華書局， 19591959 年。年。 ((主要參考主要參考〈〈本紀本紀〉〉、、〈〈劉敬列劉敬列傳傳〉〉、、〈〈匈奴列傳匈奴列傳〉〉 ))

班固班固︰《︰《漢書漢書》》。北京。北京︰︰中華書局，中華書局， 19621962 年。年。 ((主要參考主要參考〈〈本紀本紀〉〉、、〈〈韓安國傳韓安國傳〉〉、、〈〈匈奴列傳匈奴列傳〉〉 ))

范曄范曄︰《︰《後漢書後漢書》》。北京。北京︰︰中華書局，中華書局， 19651965 年。年。 ((主要參考主要參考〈〈本紀本紀〉〉、、〈〈南匈奴列南匈奴列傳傳〉〉 ))

112/04/18 2

The Xiongnu The Xiongnu ConfederationConfederation

IntroductionIntroduction The Rise of Xiongnu PowerThe Rise of Xiongnu Power The Xiongnu and the HanThe Xiongnu and the Han Foreign RelationsForeign Relations The Xiongnu Frontier PolicyThe Xiongnu Frontier Policy The Chinese ResponseThe Chinese Response The Xiongnu Civil WarsThe Xiongnu Civil Wars The Xiongnu and the end of the HanThe Xiongnu and the end of the Han

112/04/18 3

IntroductionIntroduction

The Xiongnu The Xiongnu 匈奴匈奴 was a nomadic (and probably was a nomadic (and probably proto-Turkic) people of Central Asia, generally proto-Turkic) people of Central Asia, generally based in present day Mongolia.based in present day Mongolia.

From the 3From the 3rdrd century BCE, they controlled a large century BCE, they controlled a large steppe empire extending west as far as the steppe empire extending west as far as the Caucuses. Caucuses.

They were active in the areas of southern Siberia, They were active in the areas of southern Siberia, western Manchuria and the modern Chinese western Manchuria and the modern Chinese provinces of Inner Mongolia, Gansu and Xinjiang.provinces of Inner Mongolia, Gansu and Xinjiang.

112/04/18 4

Introduction (2)Introduction (2) According to Sima Qian (ca. 145-90BC) According to Sima Qian (ca. 145-90BC) 司馬遷司馬遷 , a , a

historian during the Han dynasty, the Xiongnu historian during the Han dynasty, the Xiongnu were descendants of Chunwei (were descendants of Chunwei ( 淳維淳維 ), possibly a ), possibly a son of the final ruler of the Xia Dynasty.son of the final ruler of the Xia Dynasty. There is no proof that this is true; there is also There is no proof that this is true; there is also

no evidence saying this is not true.no evidence saying this is not true. Ancient Chinese historians often credit, Ancient Chinese historians often credit,

without sufficient evidence, theories of origins without sufficient evidence, theories of origins for foreign nations that relate their ancestry for foreign nations that relate their ancestry back to ancient Chinese figures. back to ancient Chinese figures.

Archaeological findings confirmed that the Archaeological findings confirmed that the Xiongnu economy was based on trade, gifts and Xiongnu economy was based on trade, gifts and subsidies from China as well as on their own subsidies from China as well as on their own production.production.

112/04/18 5

Introduction (3)Introduction (3) Nomadic economy was very unstable as none of their Nomadic economy was very unstable as none of their

products could be stored but must be moved with them.products could be stored but must be moved with them. If they were to amass a large herd it could be wiped out If they were to amass a large herd it could be wiped out

by disease, bad weather, theft or raids by other tribes.by disease, bad weather, theft or raids by other tribes. They had to find a more stable source of income and so They had to find a more stable source of income and so

they gathered their military strength to extort goods and they gathered their military strength to extort goods and trade benefits from China.trade benefits from China. This did not mean that the nomads could not exist This did not mean that the nomads could not exist

without Chinese goods but it did mean that the without Chinese goods but it did mean that the quality of life would be much poorer.quality of life would be much poorer.

In times of peace, the Shanyu (Supreme Chief) of the In times of peace, the Shanyu (Supreme Chief) of the Xiongnu was the only intermediary between China and Xiongnu was the only intermediary between China and the nomadic tribes bringing trade and subsidies that the nomadic tribes bringing trade and subsidies that could be redistributed throughout the different tribes could be redistributed throughout the different tribes under his command.under his command.

The Shanyu acted both as a negotiator and a war leader.The Shanyu acted both as a negotiator and a war leader.

112/04/18 6

Introduction (4)Introduction (4) When the Xiongnu was under a strong leader, it When the Xiongnu was under a strong leader, it

was well organized, autocratic and state-like in was well organized, autocratic and state-like in foreign affairs, but consultative and federally foreign affairs, but consultative and federally structured internally.structured internally. The power of the Shanyu was limited The power of the Shanyu was limited

internally by the indigenous tribal leaders.internally by the indigenous tribal leaders. The tribes were loyal to their own leader The tribes were loyal to their own leader

rather than to the Shanyu and so the link rather than to the Shanyu and so the link between the tribes and the imperial between the tribes and the imperial government was more federal than autocratic.government was more federal than autocratic.

112/04/18 7

Introduction (5)Introduction (5) If a tribe was not happy the leader would take If a tribe was not happy the leader would take

his people and move west (Yuezhi and Wusun) his people and move west (Yuezhi and Wusun) or they would move south for help from China. or they would move south for help from China.

Going to China would mean loss of Going to China would mean loss of autonomy so it was not the preferred autonomy so it was not the preferred method.method.

Tribal leaders would only rebel if the Tribal leaders would only rebel if the Shanyu tried to centralize his power as all Shanyu tried to centralize his power as all of them would then feel threatened.of them would then feel threatened.

112/04/18 8

Introduction (6)Introduction (6) The Xiongnu and all the other nomadic tribes The Xiongnu and all the other nomadic tribes

cultivated a violent reputation in order to have the cultivated a violent reputation in order to have the best bargaining position with China and other best bargaining position with China and other countries.countries. Example: the Mongols would kill everyone in the Example: the Mongols would kill everyone in the

city if it refused to surrender and so many did city if it refused to surrender and so many did surrender in fear of being slaughtered to the last surrender in fear of being slaughtered to the last man, woman and child.man, woman and child.

Western historical sources refer to all the different Western historical sources refer to all the different nomads from Central Asia who appeared in Europe in nomads from Central Asia who appeared in Europe in the 4the 4thth century as Huns so many scholars have century as Huns so many scholars have speculated that Attila the Hun was descended of the speculated that Attila the Hun was descended of the Xiongnu who had migrated westward.Xiongnu who had migrated westward. This theory remains at the level of speculation as This theory remains at the level of speculation as

DNA testing of Hun remains has not proven DNA testing of Hun remains has not proven conclusive in determining the origin of the Huns. conclusive in determining the origin of the Huns.

112/04/18 9

The Rise of Xiongnu PowerThe Rise of Xiongnu Power The Xiongnu had been raiding China since the The Xiongnu had been raiding China since the

Warring States Period.Warring States Period. The state of Zhao The state of Zhao 赵国赵国 , on the western border of , on the western border of

China, had to adopt nomadic clothing — trousers — China, had to adopt nomadic clothing — trousers — in order to battle the Xiongnu on horses. in order to battle the Xiongnu on horses.

Towards the end of the 4Towards the end of the 4thth Century BCE, foreign Century BCE, foreign clothing and cavalry was introduced for use in clothing and cavalry was introduced for use in China.China.

Qin Shihuangdi united the different city walls built Qin Shihuangdi united the different city walls built against them into the Great Wall.against them into the Great Wall.

At that time, a Xiongnu leader, Touman At that time, a Xiongnu leader, Touman 头曼头曼 , had , had withdrawn to the north when attacked by the Qin withdrawn to the north when attacked by the Qin Empire Empire 秦秦 ..

After the death of the first emperor of the Qin, Qin After the death of the first emperor of the Qin, Qin Shihuangdi, the Xiongnu returned.Shihuangdi, the Xiongnu returned.

Touman Touman 头曼头曼 was killed by his son,was killed by his son, Mao Dun ( Mao Dun ( 冒頓冒頓 ) ) (c.209-174 BCE).(c.209-174 BCE).

112/04/18 10

The Rise of Xiongnu The Rise of Xiongnu Power (2)Power (2)

Under Mao Dun’s Under Mao Dun’s leadership, he leadership, he brought the brought the Xiongnu and other Xiongnu and other nomadic tribes nomadic tribes together in a together in a powerful powerful confederacy.confederacy.

This new unity of This new unity of different ethnic different ethnic groups of Central groups of Central Asians made it Asians made it possible for Mao possible for Mao Dun to expand the Dun to expand the empire on all sides. empire on all sides.

112/04/18 11

The Rise of Xiongnu The Rise of Xiongnu Power (3)Power (3)

Three years before the founding of the Han Dynasty Three years before the founding of the Han Dynasty (206BCE-220CE), Mao Dun had conquered: (206BCE-220CE), Mao Dun had conquered: The Dingling The Dingling 丁零丁零 of southern Siberia; of southern Siberia; The Dong-Hu The Dong-Hu 东胡东胡 of eastern Mongolia and Manchuria, of eastern Mongolia and Manchuria, The Yuezhi The Yuezhi 月氏月氏 in the Gansu in the Gansu 甘肃甘肃 corridorcorridor

The Han court decided that the Xiongnu were too The Han court decided that the Xiongnu were too powerful and could not be conquered so a treaty was powerful and could not be conquered so a treaty was signed, and a Han princess was married to Mao Dun. signed, and a Han princess was married to Mao Dun. Mao Dun died peacefully and left his huge empire to Mao Dun died peacefully and left his huge empire to his son who was also given a Han princess as a bride.his son who was also given a Han princess as a bride.

Before Mao Dun’s death, he had recovered all the Before Mao Dun’s death, he had recovered all the lands taken from the Xiongnu by the Qin lands taken from the Xiongnu by the Qin 秦秦 dynasty.dynasty.

For more than 300 years after Mao Dun the Xiongnu For more than 300 years after Mao Dun the Xiongnu dominated the steppe-lands north of China. dominated the steppe-lands north of China.

112/04/18 12

The Xiongnu and the The Xiongnu and the HanHan

In 201-200BCE, the Xiongnu, under Mao Dun, raided In 201-200BCE, the Xiongnu, under Mao Dun, raided the Chinese frontier and the ruler of the province the Chinese frontier and the ruler of the province surrendered.surrendered.

Fearing the impact this would have, the founder of the Fearing the impact this would have, the founder of the Han dynasty, Gaozu Han dynasty, Gaozu 高祖高祖 (r.206-195BCE), (r.206-195BCE), personally personally led his troops to punish them.led his troops to punish them.

He pursued the Xiongnu and fell into an ambush at He pursued the Xiongnu and fell into an ambush at Pingcheng Pingcheng 平城平城 where he was separated from the main where he was separated from the main army and was surrounded by the Xiongnu cavalry for 7 army and was surrounded by the Xiongnu cavalry for 7 days. days. He sent an envoy to Mao Dun’s wife and struck a secret He sent an envoy to Mao Dun’s wife and struck a secret

bargain with her to gain his release.bargain with her to gain his release. She convinced Mao Dun that the capture of Gaozu would not She convinced Mao Dun that the capture of Gaozu would not

be in his best interests because the nomads could not occupy be in his best interests because the nomads could not occupy and rule China.and rule China.

The Xiongnu then opened up a small hole to let Gaozu The Xiongnu then opened up a small hole to let Gaozu and his troops escaped.and his troops escaped.

112/04/18 13

Foreign RelationsForeign Relations Foreign relations with the Xiongnu began after Han Foreign relations with the Xiongnu began after Han

Gaozu’s escape in 200BC.Gaozu’s escape in 200BC. Han and the Xiongnu signed the Heqin Han and the Xiongnu signed the Heqin 和親和親 treaty* treaty*

which had four major provisions:which had four major provisions: The Chinese made fixed annual payments of silk, wine, The Chinese made fixed annual payments of silk, wine,

grain and other foodstuffs to the Xiongnu.grain and other foodstuffs to the Xiongnu. The Han gave a princess in marriage to the Mao Dun – The Han gave a princess in marriage to the Mao Dun –

their distant descendant established a Han state (304-their distant descendant established a Han state (304-318) during the Sixteen Kingdoms Period (300s CE), 318) during the Sixteen Kingdoms Period (300s CE), claiming his right as a descendant of the Han through claiming his right as a descendant of the Han through the royal princess.the royal princess.

The Xiongnu and the Han were ranked as equal states.The Xiongnu and the Han were ranked as equal states. The Great Wall was the official boundary between the The Great Wall was the official boundary between the

two states.two states.

112/04/18 14

Foreign Relations (2)Foreign Relations (2) Under the Heqin agreement, the Han subsidy, at its Under the Heqin agreement, the Han subsidy, at its

maximum, was less than 5,000 hu of grain, 10,000 shi of maximum, was less than 5,000 hu of grain, 10,000 shi of wine, and 10,000 pi of silk.wine, and 10,000 pi of silk. The grain subsidy only allowed the chief to entertain The grain subsidy only allowed the chief to entertain

his court in style but not enough to support a large his court in style but not enough to support a large part of the population.part of the population.

An annual wine subsidy of 10,000 shi (around 200,000 An annual wine subsidy of 10,000 shi (around 200,000 liters) enabled the chief to entertain his followers on a liters) enabled the chief to entertain his followers on a large scale.large scale.

There were also gifts of gold, suits of clothing, and There were also gifts of gold, suits of clothing, and other items.other items.

A silk subsidy of 10,000 pi (92,400 meters) made it A silk subsidy of 10,000 pi (92,400 meters) made it possible for the chief to distribute to tribal leaders to possible for the chief to distribute to tribal leaders to trade for other goods as silk was in great demand on trade for other goods as silk was in great demand on the steppe and in the west.the steppe and in the west.

112/04/18 15

Foreign Relations (3)Foreign Relations (3) The subsidy helped to reward the elite but was The subsidy helped to reward the elite but was

not enough to meet the needs of the tribesmen. not enough to meet the needs of the tribesmen. Therefore once the Xiongnu got these Therefore once the Xiongnu got these

concessions they then demanded that the Han concessions they then demanded that the Han court permit them to trade at border markets.court permit them to trade at border markets.

It was important for the Xiongnu to press for It was important for the Xiongnu to press for the border markets so that the ordinary the border markets so that the ordinary nomads could also benefit by trading their nomads could also benefit by trading their products for Han goods.products for Han goods.

The Han court was opposed to border trade as The Han court was opposed to border trade as they wanted a clean frontier with as few links to they wanted a clean frontier with as few links to the nomads as possible.the nomads as possible. After repeated invasions by the Xiongnu, Han After repeated invasions by the Xiongnu, Han

Wendi (r.179-157BCE) finally gave in and Wendi (r.179-157BCE) finally gave in and signed a treaty permitting border trade.signed a treaty permitting border trade.

112/04/18 16

Foreign Relations (3)Foreign Relations (3) This first Heqin treaty set the pattern for relations This first Heqin treaty set the pattern for relations

between the Han and the Xiongnu for about 60 years. between the Han and the Xiongnu for about 60 years. Up to 135 BCE, the treaty was renewed nine times, Up to 135 BCE, the treaty was renewed nine times,

with an increase of "gifts" by the Han with each with an increase of "gifts" by the Han with each subsequent agreement. subsequent agreement. In 192 BCE, Mao Dun even asked for the hand of the In 192 BCE, Mao Dun even asked for the hand of the

widowed Empress Lü. widowed Empress Lü. Mao Dun’s son and successor, continued his father's Mao Dun’s son and successor, continued his father's

expansionist policies and succeeded in negotiating expansionist policies and succeeded in negotiating terms for a large-scale market system and the hand of terms for a large-scale market system and the hand of a princess in marriage.a princess in marriage. Han Dynasty Han Dynasty

200BCE-140BCE: 10 instances200BCE-140BCE: 10 instances 60BCE-33BCE: 2 instances60BCE-33BCE: 2 instances 60 CE 1 instance (not including marriages between 60 CE 1 instance (not including marriages between

Chinese warlords and SChinese warlords and Shanyu during the Civil Wars). during the Civil Wars).

112/04/18 17

Foreign Relations (4)Foreign Relations (4) It was to the Chinese advantage to continue this It was to the Chinese advantage to continue this

foreign relations with the Xiongnu so that they foreign relations with the Xiongnu so that they can use this to control both the Xiongnucan use this to control both the Xiongnu peoples peoples and have the Xiongnu be a buffer with regions and have the Xiongnu be a buffer with regions beyond China. beyond China.

It was to the Xiongnu advantage as well since it It was to the Xiongnu advantage as well since it meant that they can be the leader of the nomadic meant that they can be the leader of the nomadic tribes.tribes.

But, the Xiongnu did not take the peace treaty But, the Xiongnu did not take the peace treaty seriously as they continued to raid the borders of seriously as they continued to raid the borders of China.China.

112/04/18 18

The Xiongnu Frontier The Xiongnu Frontier PolicyPolicy

The strategy for the Han frontier was made by the The strategy for the Han frontier was made by the court and so the Xiongnu had to develop a frontier court and so the Xiongnu had to develop a frontier strategy that would force the Han court to negotiate.strategy that would force the Han court to negotiate.

Their strategy had three major elements:Their strategy had three major elements: Violent raiding deep into Han territory to terrify Violent raiding deep into Han territory to terrify

the Han court.the Han court. Alternate between war and peace to increase the Alternate between war and peace to increase the

amount of subsidies and trade privileges granted amount of subsidies and trade privileges granted by the Chinese.by the Chinese.

Refusal to occupy Chinese land even after great Refusal to occupy Chinese land even after great victories.victories.

After treaties were signed, the Xiongnu would attack After treaties were signed, the Xiongnu would attack again and extract more concessions out of the again and extract more concessions out of the Chinese tributary system.Chinese tributary system.

112/04/18 19

The Xiongnu Frontier The Xiongnu Frontier Policy (2)Policy (2)

For their strategy to succeed, the Xiongnu For their strategy to succeed, the Xiongnu needed:needed:

1.1. A prosperous and populous north ChinaA prosperous and populous north China2.2. An effective administrative system within An effective administrative system within

ChinaChina3.3. A government policy dominated by civilian A government policy dominated by civilian

Chinese bureaucrats.Chinese bureaucrats. These conditions were best met when China These conditions were best met when China

was united, internally at peace, and under was united, internally at peace, and under native Chinese rule.native Chinese rule.

112/04/18 20


1.1. A prosperous and populous north ChinaA prosperous and populous north China By raiding the northern border or by By raiding the northern border or by

exploiting the tributary system, the nomads exploiting the tributary system, the nomads extracted wealth to support their empires. extracted wealth to support their empires.

If the economic base of north China was If the economic base of north China was destroyed and its population greatly reduced, destroyed and its population greatly reduced, the goods would not be produced by the the goods would not be produced by the farmers and artisans. farmers and artisans.

There was little to extort from a region of There was little to extort from a region of abandoned villages or from a population abandoned villages or from a population suffering from famine.suffering from famine.

112/04/18 21


2.2. An effective administrative system in ChinaAn effective administrative system in China The nomads depended on China to organize The nomads depended on China to organize

the production of needed goods. the production of needed goods. When the empire broke down and unable to When the empire broke down and unable to

support the frontier areas, the wealth dried support the frontier areas, the wealth dried up and raids could not accomplish anything.up and raids could not accomplish anything.

If the Government did not provide aid to the If the Government did not provide aid to the invaded territories there would not be invaded territories there would not be enough to support annual attacks. enough to support annual attacks.

They could not occupy Chinese land as it They could not occupy Chinese land as it would expose the weakness of their numbers would expose the weakness of their numbers (1 million versus 54 million Chinese).(1 million versus 54 million Chinese).

112/04/18 22


3.3. A Government dominated by civilian A Government dominated by civilian Chinese Chinese

bureaucratsbureaucrats The Chinese government had to prefer The Chinese government had to prefer

providing nomads with their needs than providing nomads with their needs than going to war against them.going to war against them.

The Confucian officials were generally The Confucian officials were generally opposed to offensive military schemes as opposed to offensive military schemes as they disrupted the state and created they disrupted the state and created opportunities for the advancement of opportunities for the advancement of merchants and soldiers.merchants and soldiers.

112/04/18 23

The Chinese ResponseThe Chinese Response Early Han rulers were were interested in:Early Han rulers were were interested in:

Establishing the dynastyEstablishing the dynasty Relieving the society of harsh laws, wars, and Relieving the society of harsh laws, wars, and

conditions.conditions. Minimizing external threats from the nomads.Minimizing external threats from the nomads.

This policy of the government reduced their role over This policy of the government reduced their role over civilian lives (civilian lives ( 與民休息與民休息 ) to start a period of stability.) to start a period of stability.

The Han court feared that violence would lead to The Han court feared that violence would lead to disruption of their rule.disruption of their rule.

The court also did not want war as it was very The court also did not want war as it was very expensive so they developed a policy referred to as the expensive so they developed a policy referred to as the “Five Baits”:“Five Baits”: Elaborate clothes and carriages to corrupt their Elaborate clothes and carriages to corrupt their

eyes.eyes. Fine food to corrupt their mouths.Fine food to corrupt their mouths. Music to corrupt their ears.Music to corrupt their ears. Lofty buildings, granaries and slaves to corrupt their Lofty buildings, granaries and slaves to corrupt their

stomachs.stomachs. Gifts and favors for those who surrendered.Gifts and favors for those who surrendered.

112/04/18 24

The Chinese Response The Chinese Response (2)(2)

The Han court thought that the Shanyu would The Han court thought that the Shanyu would keep all the gifts and his people would become keep all the gifts and his people would become jealous and rebel.jealous and rebel.

They did not realize that the Shanyu depended They did not realize that the Shanyu depended on the gifts from the Chinese for power as he on the gifts from the Chinese for power as he redistributed them to his the tribal leaders.redistributed them to his the tribal leaders.

Under Wudi (r.140-87BCE) the Han court Under Wudi (r.140-87BCE) the Han court decided on an aggressive war policy against the decided on an aggressive war policy against the Xiongnu (133-90BCE).Xiongnu (133-90BCE).

112/04/18 25

The Chinese Response The Chinese Response (3)(3) Han Wudi had four objectives:Han Wudi had four objectives:

To push the Han frontier to the old Qin dynasty To push the Han frontier to the old Qin dynasty borders and to station conscripts (often convicts) at borders and to station conscripts (often convicts) at the frontiers – these conscripts were to be partially the frontiers – these conscripts were to be partially self-supporting by establishing farming colonies.self-supporting by establishing farming colonies.

To create alliances with Xiongnu’s nomadic neighbors To create alliances with Xiongnu’s nomadic neighbors some of whom were willing to accept a loose alliance some of whom were willing to accept a loose alliance sealed by the marriage to a Han princess and sealed by the marriage to a Han princess and occasionally helping Han to attack the Xiongnu from occasionally helping Han to attack the Xiongnu from the west.the west.

To move the Han troops into the Tarim Basin to cut To move the Han troops into the Tarim Basin to cut off the right arm of the Xiongnu, to prevent them off the right arm of the Xiongnu, to prevent them from linking up with the Qiang from linking up with the Qiang 羌羌 in the Tibetan in the Tibetan borderland and to stop the revenue the Xiongnu borderland and to stop the revenue the Xiongnu received from Turkistan.received from Turkistan.

To destroy the Xiongnu’s power on the steppe.To destroy the Xiongnu’s power on the steppe. By 119 BCE, the Han pushed the Xiongnu across the By 119 BCE, the Han pushed the Xiongnu across the

Gobi desert but 20 years later the Xiongnu were back Gobi desert but 20 years later the Xiongnu were back again at China’s borders. again at China’s borders.

112/04/18 26

The Xiongnu Civil WarsThe Xiongnu Civil Wars The Xiongnu domination of the steppes ended The Xiongnu domination of the steppes ended

due to internal problems due to succession fights due to internal problems due to succession fights and economic disasters that led to two civil wars.and economic disasters that led to two civil wars.

There are two forms of succession: lineal and There are two forms of succession: lineal and fraternal/lateral.fraternal/lateral. In lineal successions, the son succeeded the In lineal successions, the son succeeded the

father and the father’s younger brother could father and the father’s younger brother could not take the throne as long as a son still lived.not take the throne as long as a son still lived.

At times, the uncles murdered nephews who At times, the uncles murdered nephews who stood between them and the throne.stood between them and the throne.

In fraternal/lateral successions the brothers In fraternal/lateral successions the brothers succeeded each other after the death of the succeeded each other after the death of the previous one with the ruler-ship returning to previous one with the ruler-ship returning to the son of the eldest brother.the son of the eldest brother.

Problems occur when the youngest brother Problems occur when the youngest brother decides to make his own son the heir and decides to make his own son the heir and not his nephew.not his nephew.

112/04/18 27

The Xiongnu Civil Wars The Xiongnu Civil Wars (2)(2)

Lineal successions avoided multiple heirs from Lineal successions avoided multiple heirs from different lineages but created tension between different lineages but created tension between a ruler and his brothers.a ruler and his brothers.

Fraternal succession created many lines of Fraternal succession created many lines of succession as each son of a former chief succession as each son of a former chief could lay some claim to the office.could lay some claim to the office.

Succession problems led to two civil wars; the Succession problems led to two civil wars; the second eventually ended the Xiongnu domination second eventually ended the Xiongnu domination of the steppes.of the steppes.

The Xiongnu had practiced lineal succession, The Xiongnu had practiced lineal succession, from father to son unless the heir was too young from father to son unless the heir was too young – then the leadership would be fraternal – from – then the leadership would be fraternal – from elder brother to younger brother then back to elder brother to younger brother then back to the heir.the heir.

112/04/18 28


In 68 BCE the Xiongnu suffered from a famine In 68 BCE the Xiongnu suffered from a famine and the death of a chief in the same year.and the death of a chief in the same year.

In 60 BCE, another chief died and the tribal In 60 BCE, another chief died and the tribal leaders were divided over which of the two leaders were divided over which of the two powerful lineages should inherit (previous powerful lineages should inherit (previous disputes dealt with whether a brother or a son disputes dealt with whether a brother or a son should inherit).should inherit).

This led to the first civil war that divided the This led to the first civil war that divided the Xiongnu into two different camps: the Northern Xiongnu into two different camps: the Northern and the Southern Xiongnu.and the Southern Xiongnu.

This division lasted for 15 years.This division lasted for 15 years.

112/04/18 29

The Xiongnu Civil Wars The Xiongnu Civil Wars (3) (3)

The Northern Xiongnu expanded westward.The Northern Xiongnu expanded westward. They successfully took over land held by the They successfully took over land held by the

Kyrghiz and the Dingling (northeastern Kyrghiz and the Dingling (northeastern Turkistan and southwestern Siberia).Turkistan and southwestern Siberia).

They abandoned their headquarters in northern They abandoned their headquarters in northern Mongolia and created a new capital in Mongolia and created a new capital in Northwestern Turkistan which was previously Northwestern Turkistan which was previously predominantly Iranian -- now it was Turkish.predominantly Iranian -- now it was Turkish.

By 46-73 CE, the center of the Xiongnu Empire By 46-73 CE, the center of the Xiongnu Empire had shifted over 1,000 miles toward Europe had shifted over 1,000 miles toward Europe leading to the later invasions of Europe.leading to the later invasions of Europe.

The Southern Xiongnu fled to China for protection The Southern Xiongnu fled to China for protection and were settled within the upper loop of the and were settled within the upper loop of the Yellow River and were used by China to defend its Yellow River and were used by China to defend its northern borders.northern borders.

112/04/18 30


The Chinese gave them what they needed but The Chinese gave them what they needed but could not grow so the Southern Xiongnu grew could not grow so the Southern Xiongnu grew prosperousprosperous

When the game in the area could no longer When the game in the area could no longer support the large population they looked for ways support the large population they looked for ways to expand their territory.to expand their territory.

When the ruler of the Northern Xiongnu died, the When the ruler of the Northern Xiongnu died, the head of the Southern Xiongnu unified the tribes; head of the Southern Xiongnu unified the tribes; he was given a Chinese bride.he was given a Chinese bride.

In 31 CE, when a Shanyu, Huhanye, was close to In 31 CE, when a Shanyu, Huhanye, was close to death he wanted to pass the ruler-ship to his favorite death he wanted to pass the ruler-ship to his favorite son, who was only the third eldest.son, who was only the third eldest.

The mother of the son advised him to have his eldest The mother of the son advised him to have his eldest son succeed him but that afterwards, succession be son succeed him but that afterwards, succession be passed from elder to younger brother.passed from elder to younger brother. Succession then changed from lineal to fraternal.Succession then changed from lineal to fraternal.

112/04/18 31


Succession then passed through his six sons but the Succession then passed through his six sons but the sixth son, Yu (r.19-47), wanted his own son to rule sixth son, Yu (r.19-47), wanted his own son to rule instead of his younger brother.instead of his younger brother. He killed his younger brother but one of the He killed his younger brother but one of the

nephews, Bi, claimed that as the eldest son of nephews, Bi, claimed that as the eldest son of Huhanye’s eldest son it was his turn to succeed. Huhanye’s eldest son it was his turn to succeed.

Bi had control over the area close to the Chinese Bi had control over the area close to the Chinese border and began secret negotiations with the border and began secret negotiations with the Chinese for support. Chinese for support.

When the Shanyu learned of this he tried to arrest When the Shanyu learned of this he tried to arrest Bi but Bi was warned by his brother and was able Bi but Bi was warned by his brother and was able to defeat the repeated efforts made by the Shanyu.to defeat the repeated efforts made by the Shanyu.

Bi went to China and offered to guard the frontier Bi went to China and offered to guard the frontier and China accepted him.and China accepted him. He moved south of the Great Wall into Han He moved south of the Great Wall into Han

territory which had been abandoned by the territory which had been abandoned by the Chinese and blocked Chinese trade from reaching Chinese and blocked Chinese trade from reaching his rival and maintained exclusive control of the his rival and maintained exclusive control of the tributary system. tributary system.

112/04/18 32


Bi got Han to provide military aid to fight against the Bi got Han to provide military aid to fight against the Northern Xiongnu. Northern Xiongnu. Since neither group could conquer the other, the Since neither group could conquer the other, the

Xiongnu again split into two forces, the Kingdom of Xiongnu again split into two forces, the Kingdom of the North and the Kingdom of the South.the North and the Kingdom of the South.

With the support of China, the Southern Xiongnu With the support of China, the Southern Xiongnu eventually forced the Northern Xiongnu to withdraw eventually forced the Northern Xiongnu to withdraw from the east and again expand west and southwest.from the east and again expand west and southwest. While the Northern and Southern Xiongnu were While the Northern and Southern Xiongnu were

attacking each other, attacking each other, other nomadic groups — the other nomadic groups — the Xianbei from the east, the Dingling in the north and Xianbei from the east, the Dingling in the north and tribes from the Turkistan area from the west tribes from the Turkistan area from the west (46CE) (46CE) attacked the Northern Xiongnu.attacked the Northern Xiongnu.

112/04/18 33

The Xiongnu Civil Wars (7)The Xiongnu Civil Wars (7) In 48, the Shanyu of the Northern Xiongnu died and In 48, the Shanyu of the Northern Xiongnu died and

there was another struggle over succession to the there was another struggle over succession to the throne.throne.

As the Xiongnu was having internal problems, the As the Xiongnu was having internal problems, the Xianbei attacked from the east, and many Northern Xianbei attacked from the east, and many Northern Xiongnu tribes defected to the south while 58 Xiongnu tribes defected to the south while 58 Northern Xiongnu tribes defected to the Xianbei.Northern Xiongnu tribes defected to the Xianbei.

In 87, the Xianbei beheaded the last Northern In 87, the Xianbei beheaded the last Northern Shanyu and cut off 1,000 heads and brought them Shanyu and cut off 1,000 heads and brought them to the Chinese court and was given rich presents.to the Chinese court and was given rich presents. The Xianbei then went into the head hunting The Xianbei then went into the head hunting

business and were paid by the Chinese per head.business and were paid by the Chinese per head.

112/04/18 34


In 88, the Southern Xiongnu sent a memorial to the In 88, the Southern Xiongnu sent a memorial to the Han emperor pointing out the weakness of the Han emperor pointing out the weakness of the Northern Xiongnu and urged that it be destroyed Northern Xiongnu and urged that it be destroyed and “its territories and its inhabitants given over to and “its territories and its inhabitants given over to the Southern Xiongnu who have consistently shown the Southern Xiongnu who have consistently shown themselves devoted subject”. In so doing, China themselves devoted subject”. In so doing, China would never have to worry about defending her would never have to worry about defending her northern frontier.northern frontier.

In 89, the brother of the Han dynasty regent, In 89, the brother of the Han dynasty regent, Empress Dowager Dou, together with 8,000 Chinese Empress Dowager Dou, together with 8,000 Chinese and 30,000 southern Xiongnu successfully invaded and 30,000 southern Xiongnu successfully invaded northern Mongolia and the Northern Shanyu fled.northern Mongolia and the Northern Shanyu fled.

112/04/18 35

The End of Xiongnu The End of Xiongnu PowerPower

The Han court wanted to keep the Xiongnu weak The Han court wanted to keep the Xiongnu weak and so did not support the Southern Xiongnu’s and so did not support the Southern Xiongnu’s control of Northern Mongolia.control of Northern Mongolia.

Instead, it was agreed that Southern Mongolia Instead, it was agreed that Southern Mongolia would be in the hands of the Southern Xiongnu would be in the hands of the Southern Xiongnu and Northern Mongolia was would be in the hands and Northern Mongolia was would be in the hands of the Xianbei.of the Xianbei. The Xianbei which had originally been confined The Xianbei which had originally been confined

to Northeastern Mongolia and Western to Northeastern Mongolia and Western Manchuria now became a great power.Manchuria now became a great power.

This ended the Xiongnu domination on the steppe.This ended the Xiongnu domination on the steppe. The Xiongnu wereThe Xiongnu were no longer a power although no longer a power although

they continued to be mentioned in Chinese they continued to be mentioned in Chinese records until 155.records until 155.

112/04/18 36

The End of Xiongnu Power (2)The End of Xiongnu Power (2) Towards the end of the Eastern Han (188) the Han court Towards the end of the Eastern Han (188) the Han court

asked the Shanyu of the Southern Xiongnu for support to asked the Shanyu of the Southern Xiongnu for support to suppress the rebellions.suppress the rebellions.

The Shanyu agreed but was murdered by some of his own The Shanyu agreed but was murdered by some of his own subjects as many of the Xiongnu feared that it would set a subjects as many of the Xiongnu feared that it would set a precedent for unending military service to the Han court. precedent for unending military service to the Han court.

The murdered Shanyu’s son succeeded him, but was soon The murdered Shanyu’s son succeeded him, but was soon overthrown by the same faction in 189. overthrown by the same faction in 189.

The son went to the Han capital to ask for help from the The son went to the Han capital to ask for help from the Han court, but the Han court was unable to help as it was Han court, but the Han court was unable to help as it was caught in a clash between the military and the eunuchs.caught in a clash between the military and the eunuchs.

The Shanyu’s son and his followers had no choice but to The Shanyu’s son and his followers had no choice but to settle down with his followers in Shanxi; he died in 195 settle down with his followers in Shanxi; he died in 195 and was succeeded by his brother.and was succeeded by his brother.

112/04/18 37

The Xiongnu at the End of the HanThe Xiongnu at the End of the Han

During the battle of the warlords for power, many of the During the battle of the warlords for power, many of the

Xiongnu supported one faction (Yuan Shao Xiongnu supported one faction (Yuan Shao 袁绍袁绍 ).). In 216, Cao Cao In 216, Cao Cao 曹操曹操 (155-220) was victorious over most (155-220) was victorious over most

of the other warlords and detained the new Xiongnu of the other warlords and detained the new Xiongnu Shanyu in the city of Ye, and divided his followers in Shanyu in the city of Ye, and divided his followers in Shanxi into five divisions to prevent them from rebelling Shanxi into five divisions to prevent them from rebelling and Cao Cao used the Xiongnu in his cavalry. and Cao Cao used the Xiongnu in his cavalry.

Eventually, the Xiongnu aristocracy in Shanxi changed Eventually, the Xiongnu aristocracy in Shanxi changed their surname to Liu claiming that they were related to their surname to Liu claiming that they were related to the Han imperial clan through the old intermarriage the Han imperial clan through the old intermarriage policy (Heqin treaty).policy (Heqin treaty).

Their descendents would establish kingdoms in northern Their descendents would establish kingdoms in northern China during the Sixteen Kingdoms Period (304-439).China during the Sixteen Kingdoms Period (304-439).

112/04/18 38

Next ReadingNext Reading

Barfield, Thomas, “The Xiongnu Confederacy: Barfield, Thomas, “The Xiongnu Confederacy: Organization and Foreign Policy”, Organization and Foreign Policy”, Journal of Journal of Asian StudiesAsian Studies, Vol 41, No. 1, Nov, 1981, pp 45-, Vol 41, No. 1, Nov, 1981, pp 45-61; 61; OROR

Eberhard, Wolfram, Eberhard, Wolfram, Conquerors and RulersConquerors and Rulers, Ch. , Ch. 5: Problems of Nomadic rule. 5: Problems of Nomadic rule. OR.OR.

William Montgomery McGovern, William Montgomery McGovern, The Early The Early Empires of Central Asia:,Empires of Central Asia:, pp. 311-355. pp. 311-355.

Chinese texts.Chinese texts.

Documents

2015/5/5 1 The Xiongnu Federation Barfield, Thomas, The Perilous Frontier,” Ch. 2, "The Xiongnu Empire", Ch. 3, “The collapse of Central Order,” Barfield,