Lecture notes: imperial international systems

What is an empire?

Diversity

A key to the stability and longevity of empires is their ability to handle diversity

• minority groups have to be given a recognized place and a chance to advance
• the imperial bureaucracy has to be seen as fair and neutral

Religious diversity

• while an empire might have an official religion, other religions must be tolerated

Examples

• Mongol Empire — Tengrists who worshiped the blue sky, but many leaders were also Christian or Muslim
• Qing dynasty China — Confucianism, but Buddhist and Daoist practices
• Mughal Empire — majority Hindu population — attempts at synchretism

Language policy

• Ottoman Empire — Ottoman Turkish — but with a lot of Arabic and Persian thrown in
• Chinese dynasties — used pictographs — which could be read with different pronunciations
• Mughal empire — used Persian — better to use a language that was neutral between local languages
• Arab caliphates — start by using Greek

Dhimmi system

Sharia law gives a protected status to the “peoples of the book” — Christians, Jews and Zoroastrians

• assured protection for their lives, property, and freedom of worship
• administer their internal community affairs with little interference.

Pay a special tax, jizya

• but they didn’t have to do military service
• and they didn’t have to pay zakat, religious tax

Not openly displaying religious symbols in public

• not building religious structures taller than nearby mosques
• not proselytizing among Muslims

Dress Codes

• some periods — had to adhere to specific dress codes

Legal Matters

• disputes between a Muslim and a dhimmi, Islamic courts were used
• internal disputes within the dhimmi community — use their own laws and courts

Non-Compulsion

• not forcibly convert to Islam

Cf. Iranian parliament still

• guaranteed representation for Jews, Christians and Zoroastrians

Millet system in the Ottoman Empire (Zarakol)

Repressions when …

1. state centralization
2. external actors with ties to internal groups
3. governing ideology that viewed heterogeneity as a threat

Two volatile periods:

• the long 16th century — the empire was “Sunnitized”
• the long 19th century — threat of European imperialism

The millet system

• institutionalized only in the 18th century
• never dealt well with the enormous diversity of the empire
• early Ottomans, very ad hoc in relation to different groups

Critique

• not always implemented
• cemented identities –cf. today’s Lebanon or ex-Yugoslavia

Center and periphery

The imperial center was never as powerful as the Westerners imagined

• different provinces always had a considerable degree of autonomy
• many of the empires sort of imploded — the center could not hold

The empire assured peace above all

• the various provinces rarely, if ever, fought each other
• when conflicts arose, the imperial center had the means to arbitrate between competing claims and restore order
• Cf. “pax” means “peace”— Pax Mongolica, Pax Ottomana, Pax Tokugawa, and so on

Empires as composite structures linked to a central power by indirect rule

• central power exercises some military and fiscal control in each major segment of its imperial domain
• separate institutional structures for the various provinces — imperial power is exercised indirectly
• provincial rulers enjoy a lot of independence in return for the delivery of compliance, tribute, and military collaboration with the center

Cf. many empires expanded as a result of military conquests

• successful generals establish themselves as governors
• they might turn on the center — better to give them their own province

Appointed by the central government

• responsible for the administration, defense, and collection of taxes in his region
• independence in governing their territories
• adapt to local conditions and respond to regional challenges in ways that were not always possible for a centralized government

Examples

Satrapies of the Parthian Empire, (247 BCE to 224 CE)

• Semi-autonomous regions, each ruled by a governor or satrap appointed by the central government
• made fun of by centralized empires like the Romans
• Parthian satrapies were often centers of cultural and economic development
• religious tolerance and diversity

Abbasid Caliphate

Ottoman Empire

Military weakness

• from 1850 — European military superiority
• they took advantage of the decentralized structure of the empires and made deals with regional rulers
• Cf. how the Ottoman Empire came to be looted of its archaeological artifacts
• Ottoman province turned into a Western colonies

Imperial international systems

Relations with political entities located outside of the empire’s own borders

• they are “asymmetric power structures” or “hegemonies”
• one power is vastly more powerful than all the others, which in turn are more or less equal to each other

A solar system

• the empire is the sun around which smaller states circulate in their respective orbits
• everyone turns towards the sun, and it is the sun that keeps the system together
• the empire imposes order, establishes rules and norms, and tells the others what’s what

More peaceful than nation-state systems

• no competitors except other empires
• emperors are not “sovereign”; they are the “sons of heaven” or “lords of the earth”

No problems of anarchy

• there is no power politics, no balances of power
• but a few independent states would typically remain
• vastly smaller in size and influence, they could still make plenty of trouble
• a policy was needed to deal with them

IR theory

• authors who wrote on these topics were theorists of imperial international systems, and there were many of them.

Military measures

• the subordinate states had to be kept in their subordinate positions
• traditional military and diplomatic measures often served this purpose
• diplomats were dispatched from the imperial capital, and military campaigns were undertaken — military campaigns were costly

Civilizing missions

• better if the members of the system could be convinced to police themselves
• self-control
• spread the blessings of their civilization, including their language, religion, social practices, and legal system

Ritual integration

• cf. religious rituals

Rituals were established which required the subordinate states to show up at the imperial capital at regular intervals, bringing gifts and paying obeisance to the emperor. These diplomatic practices were enumerated in the manuals of court rituals, and they were described in great detail by imperial historians. Again, we are dealing with IR theory.

Cf. orthopraxic religions

• as a means of social control
• concrete ways of fulfilling their obligations; rituals define social classes and help maintain the hierarchical order of society
• as long as people participated in the officially prescribed motions, it did not matter what, if anything, that went on in their minds

Rituals have no opposites

• the same rituals can be associated with any number of diverging opinions
• even if people mean different things by the same actions ― or indeed, if they mean nothing at all ― they can still get on without conflict
• in a society that emphasizes rituals, there can be no political dissent, only bad manners or a lack of education

Tributary systems

A symbolic acknowledgments of superiority

• and mechanisms for economic and political exchange

Tribute systems, while varying in their specifics from empire to empire, typically served multiple purposes. They were symbols of dominance and acknowledgment of an empire’s central position. Economically, they facilitated trade and the movement of goods. Politically, they provided a framework for diplomacy, alliances, and sometimes protection.

Chinese Tribute System

From the Han Dynasty through the Qing Dynasty

• the “Middle Kingdom” — the cultural, economic, and political center of the East Asian world
• the idea of a solar system
• tributary states or envoys would come to the Chinese imperial court to offer gifts or tributes, symbolizing their respect and subordinate status.
• in return, the Chinese emperor would bestow gifts, often of greater value, upon the tributary state, solidifying a relationship of patronage
• the system was more about diplomacy and trade than subjugation. For many states, participation was voluntary, recognizing the benefits of trade and political alliance. Participating states included Korea, Vietnam, and several Central Asian kingdoms.

Mughal Empire

The Mughals in South Asia had a system where local rulers and chieftains acknowledged the Mughal Emperor’s sovereignty by paying tribute. This tribute often took the form of money, soldiers, and goods.
– In return, these rulers received protection, recognition, and sometimes autonomy in their internal affairs.

Khmer Empire

At its height, the Khmer Empire in Southeast Asia demanded tribute from neighboring states, reinforcing its political and economic dominance in the region.
– Tributes were collected from states in present-day Thailand, Laos, and parts of Vietnam. In return, they had access to the extensive trade networks and protection of the Khmer Empire.

Mongol Empire

The vast Mongol Empire instituted a tribute system for conquered territories. These regions were required to pay regular tributes in goods and manpower.
– In return, the territories under the Mongol domain enjoyed peace (known as the Pax Mongolica), freedom of movement, and access to extensive Eurasian trade networks.

Ottoman Empire — court ceremonies

The second depiction showcases the pivotal audience with the Grand Signior. Set in a grand audience chamber, the Grand Signior attentively listens from his ornate throne as the Ambassador, accompanied by key members of his delegation, conveys his message. This critical diplomatic event is observed by select Ottoman dignitaries, emphasizing its significance.

The first illustration offers a detailed view of the moment when the Ambassador and his entourage are presented with the ornate Vests in a beautifully adorned Ottoman chamber. The Ambassador, easily distinguishable in his European attire, is in the process of examining one of the Vests. The scene exudes an aura of cultural exchange and mutual respect.

The second representation provides a glimpse into the opulent Audience chamber of the Ottoman Sultan. The Ambassador and his team, after being introduced, bow before the Grand Signior’s majestic throne, flanked by the chief Vizier. The chamber’s grandeur, from the gold-studded ball to the elaborate carpet, exemplifies the magnificence of the Ottoman court.

The first illustration captures the scene post-banquet. The Ambassador and his entourage, donning ornate Vests, are led closer to the Grand Signior’s presence by the Champertous and two Capigibashees. In the background, the Ambassador’s gifts are prominently displayed, and disciplined Janizaries maintain order in the outer courts.

Paul Rycault, The Present State of the Ottoman Empire, 1670

• After the banquet, the Capigibashees, or chief of the Pursuivants, leads the Ambassador, along with some of his entourage, to a secluded area. There, they are presented with several ornate vests, or long garments made of silk decorated with various patterns. This is a token of the Grand Signor’s favor. The Ambassador first dons one, followed by others in his group, numbering between 10 and 19. Accompanied by two Capigibashees, or chief porters—well-regarded figures at the court with silver staves in hand—they approach closer to the Grand Signor’s presence.Following them are the gifts brought by the Ambassador, displayed to their best advantage, handed over to designated officers.
• The outer courts teem with Janissaries, among whom profound silence reigns. As the Janissaries salute their superior officers in passing, they simultaneously bow, displaying both martial prowess and courtly manners, indicative of strict discipline and obedience.The Ambassador is then led to a grand gate near the Audience chamber. Its porch is crowded with white Eunuchs in silken attire and cloth of gold. Beyond this point, only select individuals like the secretary, interpreter, and a few of the highest-ranking members can proceed.
• Deep silence pervades the entrance to the Audience chamber, punctuated only by the soft murmur of a nearby fountain. A solitary white Eunuch stands guard. This silent ambiance amplifies the sense of awe and reverence. Access to Eastern monarchs was always more restricted compared to Roman practices or contemporary Western norms, where seeing the king is considered both his pride and the people’s privilege.
• Inside the chamber, the Grand Signor’s throne, slightly elevated from the ground, stands supported by four gold-plated pillars. The chamber’s opulence is evident from the gold-studded ball hanging at the entrance, festooned with chains of pearls. The floor is carpeted in crimson velvet embroidered with gold, studded in places with seed pearls. The Signor’s seat and adjacent cushions are lavishly decorated with gold and jewels. Only the chief Vizier is present, standing to the Signor’s right, exuding respect and modesty.As the Ambassador is introduced to the Grand Signor, he’s ushered in by the aforementioned Capigibashees, who guide him in bowing deeply before the throne.
• During the audience, the Ambassador remains standing, conveying through his interpreter his master’s messages and reasons for his visit. These are first inscribed in writing, which, along with the letter of credence, is handed over to the chief Vizier, the point of contact for further discussions.

Of the Mutes and Dwarfs

• … there is a type of attendants that make up the Ottoman Court, known as “Bizebani” or Mutes. These are men who are naturally deaf and, consequently, due to their inability to hear sounds of words, are mute. There are about 40 of them. At night, they lodge with the Pages in two chambers, but during the day, they station themselves outside the Mosque belonging to the Pages. Here, they learn and master the language of the Mutes, which consists of various signs. Through these signs, they can converse and fully express themselves, be it for everyday questions, recounting stories, understanding the tales of their religion, comprehending the laws and teachings of the Alchoran, uttering the name of Mahomet, and everything else that can be expressed verbally.
• The eldest among them, numbering around eight or nine, are termed the “Favorite Mutes”. They have the privilege of serving in the “Hazar”, primarily acting as jesters for the Grand Signor. Their roles include being playfully kicked by the Grand Signor, being thrown into cisterns of water, or being made to spar like the famous duel between Clinias and Dametas. However, the sign language of the Mutes is so popular at the Ottoman Court that nearly everyone is proficient in it. This language is particularly useful to those in the presence of the Grand Signor, as it’s deemed disrespectful to even whisper in his presence.
• Dwarfs in the court are referred to as “Giuge”. They also stay with the Pages in the two chambers until they have been appropriately trained to stand respectfully in front of the Grand Signor. If a Dwarf happens to be both mute and later becomes an eunuch due to certain procedures, he is held in much higher regard than if he were a perfect specimen. One such individual was gifted by a Pasha to the Grand Signor. This individual was so cherished by both the Grand Signor and the Queen Mother that he was immediately dressed in Cloth of Gold and was granted unrestricted access to all the gates of the Seraglio.

Chinese empire — court ceremonies

The first illustration portrays the grandeur of the imperial garden with ornate pavilions. Chinese Mandarins and officials are shown in their ceremonial attire, prostrating in reverence. In contrast, George Macartney and his entourage observe the ceremonies with curiosity and respect.

The second image captures Macartney’s encounter amidst the vast courtyard of the palace. The Emperor’s presence is symbolized by an opulent screen, while Chinese officials show deep veneration. Macartney and his delegation stand amidst the scene, their expressions reflecting a mix of fascination and restraint.

Illustration showcasing the grandeur of the Chinese imperial court during George Macartney’s visit in 1793. The scene unfolds within an expansive palace hall, adorned with intricate carvings and golden embellishments. Luminous lanterns hang from the ceiling, casting a soft glow over the assembly. The Emperor, though not visible, exudes an aura of majesty from behind an elaborately decorated screen. Rows of Mandarins and high officials display their obeisance by bowing deeply. At the center, George Macartney and his delegation are depicted, their Western attire contrasting sharply with the traditional Chinese garments around them. The atmosphere is thick with ceremony, reverence, and the harmonious notes of traditional Chinese music.

Historical representation of George Macartney’s audience with the Chinese Emperor in 1793. Set in a lavish throne room, ornate columns and exquisite artworks set the backdrop. A large imperial throne stands elevated, with the Emperor’s presence subtly hinted at by the shadowy silhouette behind a silk screen. On either side, Mandarins and courtiers in their finest robes pay their respects, their postures reflecting utmost devotion. In the midst of this grand assembly, Macartney and his British entourage stand out, their expressions a mix of awe and diplomatic composure. The scene encapsulates a moment where two distinct worlds, Eastern and Western, come face-to-face in a setting of unparalleled opulence.

Macartney in China, 1793

• This day being the Emperor’s birthday, we set out for the Court at 3 o’clock a.m., conducted by Van-ta-gin, Chou-ta-gin, and our usual attendants. 1 We reposed ourselves for above two hours in a large saloon at the entrance of the palace enclosure, where fruit, tea, warm milk, and other refreshments were brought to us. At last notice was given that the festival was going to begin, and we immediately descended the stairs into the garden, where we found all the great men and Mandarins in their robes of state, drawn up before the Imperial pavilion. The Emperor did not show himself, but remained behind a screen, from whence, I presume, he could see and enjoy the ceremonies without inconvenience or interruption. All eyes were turned towards the place where His Majesty was imagined to be enthroned, and seemed to express an impatience to begin the devotions of the day. Slow, solemn music, muffled drums, and deep-toned bells were heard at a distance. On a sudden the sound ceased, and all was still; again it was renewed, and then intermitted with short pauses, during which several persons passed backwards and forwards, in the proscenium or foreground of the tent, as if engaged in preparing some grand, coup de theatre. At length the great band struck up with all their powers of harmony, and instantly the whole Court fell flat upon their faces before this invisible Nebuchadnezzar. “He in his cloudy tabernacle sojourned the while.” The music was a sort of birthday ode or State anthem, the burden of which was c Bow down your heads, all ye dwellers upon earth; bow down your heads before the great Kien-long, the great mien-long? And then all the dwellers upon China earth there present, except ourselves, bowed down their heads, and prostrated themselves upon the ground at every renewal of the chorus. Indeed, in no religion, ancient or modern, has the Divinity ever been addressed, I believe, with stronger exterior marks of worship and adoration than [p. 314] were this morning paid to the phantom of his Chinese Majesty. Such is the mode of celebrating the Emperor’s anniversary, according to the Court ritual.

Byzantine diplomacy

• Establishing and maintaining diplomatic relations with barbarian leaders, including negotiating treaties and alliances, exchanging gifts, and arranging marriages between Byzantine nobles and barbarian leaders.

example 1:

• Byzantine practice of offering subsidies and gifts to frontier peoples in exchange for their cooperation in defending their shared borders and providing military assistance when needed. This approach allowed the Byzantine Empire to maintain a level of control and influence over its border regions without the need for direct military intervention or occupation.

example 2:

• Dissatisfied pretenders, defeated candidates for kingship, were welcomed at Constantinople. Thus there were generally some princes, thoroughly under Byzantine influence, who at a favourable opportunity could be imposed on their compatriots. Throughout Justinian’s reign there was a constant influx of foreign potentates to Constantinople, and he overwhelmed them with attentions, pompous ceremonies and valuable presents.

Divide and rule:

• Exploiting rivalries and tensions among barbarian groups to prevent them from uniting against the Byzantine Empire. This often involved supporting one faction against another, thus keeping the barbarian groups weakened and dependent on Byzantine support.

example:

• By supporting the Lombards against the Gepidae, Justinian prevented the Gepidae from becoming too powerful and threatening the Byzantine Empire’s interests.
• Justinian I used the Avars to counterbalance the Huns’ influence in the region, preventing either group from becoming a significant threat to the Byzantine Empire.

Military power:

• Demonstrating Byzantine military strength to deter barbarian aggression and secure borders. This could involve military campaigns, border fortifications, or stationing troops in strategic locations.

Cultural influence:

• Encouraging the adoption of Byzantine culture, religion (Christianity), and political practices among barbarian groups. This helped to foster a sense of shared identity and common values, making it easier for the Byzantine Empire to exert its influence over these groups.

This is how it worked:

• In the land which he undertakes to convert, the missionary endeavors to gain the confidence of the king and influential persons, and makes it a special object to enlist the sympathies of the women. If the king hesitates, it is suggested that he should visit New Rome. The attraction of this idea is irresistible, and when he comes to the capital, the pomp of his reception, the honors shown him by the emperor, and the splendor of the religious ceremonies overcome his last scruples. Thenceforward imperial influence is predominant in his dominion; priests become his advisers; a bishop is consecrated, dependent on the patriarch of Constantinople; and the barbarians are transformed by the penetration of Byzantine ideas.

Example:

By the application of these various means, Justinian established Roman influence in Nubia, Ethiopia and South Arabia, in the Caucasian regions, and on the coast of the Euxine. The conversion of the Lazi (of Colchis) was specially notable, and that of the Sabiri, who were politically important because they commanded the eastern pass of the Caucasus known as the Caspian Gates. It will be observed that the great prestige of the Empire was one of the conditions of the success of this policy.

Assimilation:

• Incorporating barbarian warriors and leaders into the Byzantine military and political structure. This helped to secure the loyalty of these individuals and their followers, while also benefiting the empire through their military prowess and local knowledge.

Example 1:

• More important potentates were invested with a costlier dress. In these investitures precedence was carefully observed. The chiefs thus received a definite position in the Empire, and the rich robes, with the ceremony, appealed to their vanity. In some cases they were admitted to posts in the official hierarchy,—being created Patricians, Masters of soldiers, &c.

Example 2:

• Another mode of Winning influence was to marry barbarian princes to Roman wives, and rear their sons in the luxury of the palace.

Japan — sankin kotai system

• How Japan cut itself off and formed its own international system. How the Tokugawa shogunate held it all together. Sankin kotai. More detailed about the Chinese tributary system. Similar stories about coming to the Byzantine Empire.

The **sankin-kōtai** system, translated as “alternate attendance,” was a policy instituted by the Tokugawa shogunate in 17th-century Japan during the Edo period. The primary purposes of this system were to strengthen central control over the daimyōs (feudal lords) and to indirectly finance the administration of the Tokugawa government.

Here’s how the sankin-kōtai system worked and its implications:

1. **Residence Requirement**:
– Each daimyō was required to maintain residences in both their home domain and in Edo (modern-day Tokyo, the seat of the Tokugawa shogunate).
– Daimyōs were mandated to spend every other year in Edo. During their absence from Edo, their families were required to remain there as virtual hostages, ensuring the daimyōs’ loyalty to the shogunate.

2. **Economic Impact**:
– The system was costly for the daimyōs. They had to maintain and travel between two residences, fund large processions to and from Edo, and sustain their households in the capital. This significant financial burden ensured that the daimyōs had limited resources to challenge the central authority or wage wars.
– The regular travel of daimyō entourages to and from Edo also stimulated road maintenance, inn construction, and other infrastructure-related industries, boosting the economy of regions they passed through.

3. **Control and Surveillance**:
– By requiring the presence of daimyōs in Edo on a rotational basis, the shogunate could keep a closer watch on them, making it harder for them to plot against the central government.
– The system also facilitated a more regular and direct interaction between the shogunate and the daimyōs, ensuring smoother governance and better communication.

4. **Cultural Impact**:
– With the regular movement of daimyōs and their retinues, there was a cultural exchange between provinces and the capital. This led to a certain level of cultural homogenization across Japan.
– Edo flourished as a cultural, economic, and political center, with many daimyōs contributing to the city’s cultural institutions, such as theaters and schools.

5. **Decline of the System**:
– As the Edo period progressed, the financial strains of the sankin-kōtai system became evident, and some daimyōs faced significant economic challenges. The shogunate occasionally made exceptions or adjustments in response.
– The system came to an end with the Meiji Restoration in the late 19th century, which dismantled the feudal structure of Japan.

In essence, the sankin-kōtai was a masterstroke of political control by the Tokugawa shogunate, ensuring its dominance over the daimyōs and maintaining peace throughout the realm for over two centuries.

Japan had an emperor too but during the Tokugawa period he was entirely sidelined and it was instead the shogun in Edo who held political power, but as we saw above the shogun’s power was severely circumscribed. Like the Chinese emperor the shogun held audience at his court and the format, copied from China, was as ritualistic as the original. In Edo too the visitors were asked to “move on their hands and feet humbly and silently” towards shogunal throne, and Engelbert Kaempfer, a German naturalist who accompanied a Dutch mission to Edo in 1691, calls the proceeding “very awful and majestic.” However, the ceremony lacked the cosmic significance of its Chinese counterpart. Every second year when the daimyos appeared in Edo they paid a visit to the shogun following the prescribed protocol, and the occasional foreign visitor did the same, but the atmosphere was clearly more relaxed than in Beijing. The shogun, Kaempfer reported, ordered the Dutchmen to “to walk, to stand still, to compliment each other, to dance, to jump, to play the drunkard, to speak broken Japanese, to read Dutch, to paint, to sing, to put our cloaks on and off.” In this way, said Kaempfer, “we must suffer ourselves to contribute to the Emperor’s and the Court’s diversion” for two whole hours.

Instead it was the annual trips of the 250 plus daimyos to and from Edo which was the focus of public attention. These grand affairs took the shape of long processions which in case of the larger daimyo could include up to 2,500 people, and which for distant regions might take up to fifty days to complete. Worried about a build-up of military forces in Edo, and concerned about the costs involved, the shoguns periodically sought to restrict the number of soldiers a daimyo could bring, but the restrictions had little effect. For the han it was a matter of prestige to send as many men as possible and often they would hire temporary laborers to swell the ranks just as the procession entered Edo or the home capital. This, the spectators were supposed to conclude, is a particularly powerful daimyo hailing from a particularly distinguished region.

Clearly the processions were a spectacle no one wanted to miss. When entering a new han the traveling delegation was met by local officials who “offered us everything which could be useful to us during our voyage,” and who accompanied them until they entered the next han where the representatives of that prince came to offer the same services. The roads were swept clean — or, in the summer, watered to keep the dust down — and decorative sand was piled up along the sides. In villages and towns along the way the processions were greeted by large crowds and ushers commanded people to get down on their knees as a sign of respect. Aware of the attention they attracted the daimyo and their retainers did their best to put on a good show. The soldiers would crouch together and walk in synchronized goose steps, and at particular points along the way they would look sideways at the people in an impressively intimidating fashion. The lance-bearers were particularly admired and the tallest and most handsome men were usually picked for this task. And, when they passed the capital of some local daimyo, the poor, occasional, Europeans were often asked to dance and perform various other apish tricks.