CLA 497: Senior Capstone Project

Sino-Roman
Trade
Relations
from Pre-
History to
the
Western
Roman
Empire
An evaluation of the development of the silk
road from an eastern and western historical
perspective

Audrey Higgins
 1

Introduction

The Silk Road, a name derived from the lucrative Chinese silk trade

carried out along the length of the highway, was one of the main reasons

that transcontinental exchange of ideas and goods was possible between the

Far East and West in ancient times. The route, which extended over 4,000

miles as far east as modern day Indonesia and as far west as modern day

Italy, served an important role in linking merchants, pilgrims, monks,

soldiers, nomads, and other folk across the Eurasian continent for a period of

nearly a thousand years. The Silk Roads name comes from the German

term, Seidenstraen, literally meaning the Silk Routes, coined by Ferdinand

von Richthofen, a German traveler, geographer, and scientist who made

seven expeditions to China between 1868 and 1872.1

The Mandate of Heaven: An Enduring Principle

The natural byproducts of prehistoric Chinese society created an ideal

environment for the Silk Road to originate. The modernization of shipping

technology in prehistoric China during the Neolithic Period, around 10,000 BC

a period most notable for the creation and standardization of the basic

wooden cart and then caravan increased the capacity of early people to

carry heavier loads over previously impossible distances. This, of course,

also necessitated that prehistoric traders domesticate their pack animals as

a means of facilitating this shipping technology, reaching a peak between

approximately 5,000 to 2,500 BC.2 As domestication of farmlands and other

 2

domesticated goods became more popular, so too did the complexity of the

economic and sociopolitical structure of the tribal nations that began to crop

up as a result of the settling of early Chinese people.

Arguably the most important product of this time, however, was the

development of the extremely complex system that could be simplified as

the Chinese Way. This perception revolved heavily around the ancient

Chinese belief in the Mandate of Heaven. This Mandate stipulates that a

ruler, who is chosen by god, Tian (,) is granted the right to rule based on

the Emperors effective capacity to justly govern the people and their lands.

Despotic rulers could as easily be removed by Tian, according to ancient

Chinese belief, as the fact that a ruler was overthrown was seen by itself to

be an indication that the prior ruler had fallen out of the grace of god, thus

losing the Mandate given to him by god. A complementary philosophical

concept, known as Tianxia, (,)i emerged around the same time,

suggesting that all of earth and the mortal realm belonged to the Son of

Heaven, titles synonymous for the most current ruler of the day, to whom

all of Earth belonged by divine right.

This Mandate of Heaven became increasingly significant as the tribal

nations developed into what the early Chinese referred to as city-states.

Of the earliest, there are several of particular note: Zhao, Wei, Han, Song, Qi,

Yan, Chu, Lu, and Zhou.3 Xia, Shang, Zhou, Qin, and Han emerged from these

early city-states with Emperors who, most peculiarly when compared to their
i Literally means: beneath heaven
 3

peers at that time in the world, required no legitimating circumstances for

rule. Dynastical rulers were often people of common birth, and the Mandate

of Heaven had no time limitations. Instead, the justice of each Chinese ruler

was judged conditionally by the Emperors (and of the Emperors heirs)

ability to perform.4 This meritocratic ideological approach to dynastic rule

endured in Chinese culture, even through the Warring States Period in

which the legendary Xia, Shang, Zhou, and Qin Dynasties all rose and fell

over a period of thousands of years.5

The Golden Age of Ancient China: The Han Dynasty

These principles must be kept in mind when considering the Golden

Age of Ancient China: the Hn Cho (, Han Dynasty.) The Han Dynasty,

which was preceded by the viciously infamous Qin Dynasty, endured for a

period of more than four hundred years, from 206 BC to 220 AD. This was

short-lived compared to the longevity of its predecessors. However, the Han

Dynasty, under the leadership of Liu Bang Ji (,) a rebel leader who was

posthumously and affectionately addressed as Emperor Gao Huangdi ii

became known in that short time as the age of prosperity for the ancient

Chinese in no small part due to the success of Huangdis own pragmatic

economic policies.

ii , literally means: Emperor Gao It was common for new emperors to assume
new temple names at the time of their ascension, especially for those of
common birth in this case, the name [Goz] was the name of the temple
that had allegedly shown Emperor Gao favor.
 4

During his reign, Huangdi promoted social peace and economic

prosperity. Efficiency and thoroughness fell under the demands of the

Mandate of Heaven, so it is no surprise to the modern historian that this

ancient Chinese principle permeated with a top-down philosophy in mind,

especially under the reign of such an economically-sensible emperor who

was born a commoner entrenched in poverty.6 In fact, it was likely due to

Huangdis economic reforms that the establishment of the Silk Road was

even possible.

In an article written by the Saylor Foundation, an academic

organization dedicated to providing education courses through instructors at

affiliated universities, Huangdi is said to have initiated significant change in

the Chinese empire. At the fall of the savagely notorious Qin Dynasty, the

states of Han and Chu both emerged as the super-powerful states that would

then go on to vie for control in a four-year long conflict known as the Han-

Chu Contention. In this, Liu Bang (prior to his ascension to Huangdi)

overthrew the Chu contenders and reunified China by 202 B.C this marked

his true ascension to power as Emperor.7

Han Economic Reform and Record Keeping

Huangdis ascension to power was not as significant as the rise to

prominence of the radical social reforms that were presented by Huangdi and

his party. The coalition that the Emperor established among previously

warring states created a unity among the Chinese that had previously been
 5

unheard of among the economically disparate states. Huangdi also rewarded

his supporters with grants of land to be ruled as fiefs, but,

unfortunately, this caused civil unrest among these individual states, who

feared a big government as corrupt as the Qin, causing these states to rebel

and print their own money.8

To undo this, the Huangdi and his successors established a strong

centralized state, which was funded primarily by a poll taxiii (a set tax on

every individual) and land taxes (a portion of the harvest.) This meant that

the prosperity of the agricultural estates determined the prosperity of the

Han government, which created a critical link between the upper and lower

classes that had up to this point been only a rift of tension and mutual

disrespect between the two parties. The Saylor Foundation article goes on to

state that the Han were more interested in the lives of the Chinese masses,

[and] in the wellbeing of their subjects, going as far as promoting

Confucianism, which had been persecuted by the Qin, the articles author

states. This promoted a social hierarchy based on integrity, respect, and

honor, very similar to the Mandate of Heaven, a system referred to as the

Four Occupations.iv9

In descending order of importance, the Four Occupations, also known

as the Four Categories of the People, was a hierarchic social class

iii The meaning here is not to be confused with the poll taxes of the Greeks, who
collected taxes during voting. There was no voting in the ancient Han Dynasty.
Instead, poll tax here merely implies a tax levied upon every adult male without
consideration of wealth or other resources. Therefore, there was a base set of taxes
paid by every individual equally to the state, regardless of income.
 6

structuring categorized as follows: shi, (, aristocrats,) nong (, peasant

farmers,) gong (, artisans/craftsmen,) and last shang (,

merchants/traders.)10 It is important to note that the shang, which is the

most significant of the four classes with regard to the production and

establishment of the Silk Road, is also the lowest and most openly reviled by

the other three categories in the Four Occupations.v Therefore, merchants

and traders would likely have prospered outside of continental China, and

the argument could be made that this influenced many Chinese merchants

to go out and seek fortune for China but outside of China in regions where

their status and rank would be less detested.

As for the record keeping of the Han, it can be identified as nothing

short of meticulous. Thus, as the Han Dynasty grew to be more and more

prosperous due to these economic reforms, so too did their records become

more and more prolific, especially as the aristocratic class of scholars and

bookkeepers became renowned for its emphasis on merit rather than

iv , Sh nnggngshng, literally means: Segments of Society. The practice

and implementation of the Four Occupations was actually introduced to the
Chinese people during the Zhou Dynasty under the Fngjin ideology that
stipulated that the government should be decentralized (similar to European
feudalism); was likely known to the Chinese between 1046 256 BC but had fallen
out of favor due to the overthrowing of an inferior emperor (Fairbanks book)

v The shang were shunned in society, not for their emphasis on corruption or
aspirations to make money, as is the case in many other cultures, but rather for
their inability to produce anything of value in society. The logic was that they did not
make anything, just peddled what others sold to them, which would have been seen
by ancient Chinese as inherently corrupt. Efficiency and productivity is inherently
related to ones status in the meritocratic Han Dynasty (Ancient History, Saylors
Foundation article)
 7

birthright. Eventually, recordkeeping and histories, as they were called,

transcended all other Han literature, and courtly noblemen became

renowned for their pursuit of knowledge for the Emperor of the earthly

realm.11

The Han Dynasty: Zhang Qians Epic First Journey

 8

Among the many

duties stipulated in the

Mandate of Heaven, the

most pressing of the

current emperor pertains

to his ability to This map, obtained from The Early Chinese Empires: Qin and
Han, presents a map of the Xiongnu territory around the time of
stave off foreign Huangdis ascension.

invaders. For

Huangdi, this

meant staving off

the ancient nomadic people of Mongolia, a confederation of tribal states the

ancient Chinese called Xiongnu (.) While most of the Xiongnu culture

was lost due to a lack of records, it is postulated that the Chinese Xiongnu

are actually the Mongolian raiders that are recognized today as the

predecessors to the Huns.vi,12 The Xiongnu were recorded in the Hou Han

Shu,vii a recorded history of the Han Empire by Huangdis scholars, as bitter

rivals to the Hans.

In order to stop the Xiongnu advancement onto the Han Empire,

Huangdi had to expand his influence westward to rally allies in Central Asia.

vi Though, it is important to note that this evidence is controversial and consensus

fluctuates every few years.

vii, literally means: Book of the Later Han

 9

Resolving to do this, Emperor Gao Huangdi sent out imperial envoy Zhang

Qian (). So it is written in the Hou Han Shu:

At that time the Son of Heaven made inquiries among those

Xiongnu who had surrendered [as prisoners] and they all reported that

the Xiongnu had overcome the king of the Yue-chi [Chinese affiliated

state to the north of the Han Empire] and made a drinking-vessel out

of his skull. The Yue-chi had decamped and were hiding somewhere, all

the time scheming how to take revenge on the Xiongnu, but had no

ally to join them in striking a blow. The Chinese, wishing to declare war

on and wipe out the Tartars [the Xiongnu]desired to communicate

with the Yue-chi [Chinese affiliated tribe to the north].13

This journey led the ancient Chinese explorer Qian to embark on his fateful

journey.

He was intercepted by the Xiongnu and taken to the Shan-yu (,) the

king of the ancient Khans, who is written to have said, The Yue-chi are to

the north of us; how can China send ambassadors to them? If I wished to

send ambassadors to Yue [Kiangsi and Chokiang], would China be willing to

submit to us?14 Having obtained the mark of favor from Huangdi, Qian

remained loyal and was held a captive by the Xiongnu for a period of over

ten years, at which point he escaped, proceeding as originally planned to

Yue-chi. Here, he informed the Yue-chi of Chinas intentions to wage war

against the Xiongnu. However, despite travelling all through the land of Yue-
 10

chi all the way into Ta-hia, known to the west as Bactria, he found no

willingness to support a revenge campaign against the Xiongnu.

As a result, Qian, who had remained in and around Yue-chi for a full

year after his ten-year-long captivity in Xiongnu, sought to return to his

Emperor in China by means of the Nan-shan (River?)viii However, the Hou

Han Shu goes on to state,

He [Qian] wished to return through the country of the Kiang

[Tangutans,] but was again made prisoner by the Xiongnu, who

detained him for more than a year when the shan-yu died and the Luk-

li prince attacked the rightful heir and usurped the throne, thus

throwing the country into a state of confusion. At this time, Zhang

Qian, with his Tartar wife [whom he had obtained in his first captivity]

and Kan Fu [a slave he had befriended during that same time] finally

escaped and returned to China.15

The Chinese Pursuits Westward

Zhang Qians discovery of a new world was one of the most important

discoveries in the development of the Chinese economy around the turn of

the century. Upon his return in 126 B.C.,16 Qian delivered his report to the

Emperor, who reasoned that it was in Chinas best interest to establish

relations with these foreign nations wherever possible, especially as Qians

viii Reports of the Nan-shan only appear in the Hou Han Shu; further investigation
yields variable reports, and, therefore, it is suggested that the path centered around
an area that was generally unfamiliar with the Chinese.
 11

reports indicated that many of these foreign lands had weak armies, and

[placed] great value on the rich produce of China.17

It was not until the fall of Xiongnu that westward expansion was

possible, however.

Mark Edward Lewis, a

Kwoh-Ting Li

professor at the

Chinese Culture

Institute at Stanford

University goes on to

support this, asserting that Expansion into Central Asia began with the

surrender of a subordinate Xiongnu king in 120 B.C. The region he [the

Shan-yu] controlled lay between the Han and the Western Regions, so his

surrender opened a gateway to the west.18

Zhang Qian is said to have proposed this in the Hou Han Shu:

If we use this opportunity to send rich gifts to the Wusun,

persuade them to move This map, obtained from The Early Chinese Empires: Qin and
Han, details the expansion routes of both the Han and
east and occupy their Xiongnu at the peak of each civilization.

former territory, and send

them a princess as a wife,

then the Han could

conclude an alliance of brotherhood with them. Under the

 12

circumstances, they would surely obey us. If we make them obey us,

this would cut off the right arm of the Xiongnu. Once we have

established an alliance with the Wusun, then Daxia [Bactria] and the

other countries to the west could all be persuaded to come to our court

and acknowledge themselves our foreign vassals.19

Thus, all foreign expansion became a race to exert dominion over these

lands that the Xiongnu enemy had once prevented China from reaching.

However, the determination to expand was slow. The west had always

been seen by the Chinese to be a mythical realm and was mostly unknown to

the ancient Han due to geographic isolation. In reality, the farthest reaches

of China only went about as far north as the Gobi Desert and as far west as

the easternmost peaks of the modern-day Himalayas. This geographical

isolation made the west a very mysterious region that had, in truth, never

been explored before Zhang Qian made his epic journey through Xiongnu

territory.20

Macedonian Expansion East: Alexander the Greats Conquest of the

Persian Empire

Alexander III of Macedonia, more commonly known as Alexander the

Great ( , Alxandros ho Mgas) was instrumental in

allowing the Silk Road to traverse the Eurasian continent, playing his role

from the West while the Han Dynasty leadership played their role from the

East. He was a King (Basileus) and a member of the Argead Dynasty.

 13

Alexander the Great succeeded his father, Philip II, ascending the throne at

the very young age of 20 in 336 BC as a result of his fathers assassination.

During Alexanders rule, he campaigned through Asia and northeast Africa,

creating one of the largest contiguous empires in the history of the world,

stretching from modern-day Greece as far south as Egypt and stretching all

the way into northwestern regions of ancient India.21

At the time of his ascension, Alexanders sources indicated to him that

the Persians were likely to move against the Greeks, a fact which allegedly

outraged Alexander, who is recorded in the Historia Alexandri Magni saying,

Youths of the Pellaians and of the Macedonians and of the Greek

Amphictiony and of the Lakedaimonians and of the Corinthiansand of

all the Greek peoples, join your fellow-soldiers and entrust yourselves

to me, so that we can move against the barbarians and liberate

ourselves from the Persian bondage, for as Greeks we should not be

slaves to barbarians.22

Thus, Alexander chose to take the battle to the Persians as opposed to

waiting for the Persians to arrive on their own time.

As such, Alexanders armies crossed the Hellespont in 334 BC with

approximately 48,000 soldiers, 6,100 cavalry, and a fleet of 120 shipsix.

Among his armies, Alexander also had recruited a variety of mercenaries and

other feudally conscripted soldiers from regions in Thrace, Paionia, and

ix These numbers are generally variable, though the most commonly accepted
numbers are shown here.
 14

Illyria. Alexander was allegedly determined to overthrow the Persian Empire

in its entirety as a means of honoring the wishes of his father, even going as

far as to thrust a spear into the Asian soil when the armies crossed the

border, which Alexander told his officers signified that he [Alexander] had

accepted Asia Minor as a gift from the gods.23

Achaemenids in Asia Minor

One cannot evaluate Alexanders very successful campaigns eastward

without first establishing context in what was recognized then as Asia Minor,

however. Of particular note in the region was the Achaemenid Empire, the

earliest and one of the most famous Persian dynasties, which stretched as

far west as modern-day Egypt, threatening the borders of Macedonia to the

north, and as far east as northern India. At the time, the ruler of the

Achaemenid Empire was Artaxerxes III, sometimes recognized as Artaxerxes

Ochus of Persia, whose reign coincided with that of Philip II, Alexanders

father. As Great King, or Shah, of the Persian Empire, Artaxerxes III

established himself firmly in the politics of the region by committing a

massacre of his entire family to ensure his continuing rule on the throne.

Artaxerxes Ochus continued this tendency towards violence throughout his

reign, allegedly cracking down on rampant rebellion through terror tactics.24

Outside of his region, he attempted to overthrow Egypt twice. The first

time, in 351 BC, failed. The Livius Institute, an organization dedicated to

compiling ancient records of history, indicates that the Persian campaign was
 15

quelled by two mercenary leaders, Lamias of Sparta and Diophantes of

Athens. Evidently, the loss was devastating because Artaxerxes Ochus

withdrew to Babylon to amass a much larger army for a second wave.25 In

343 BC, the 31st Dynasty of Egypt was overthrown.26

Interestingly, Artaxerxes and his armies are generally thought to be

responsible for the burning of Sidon, a Greek-controlled city at the heart of

the Mediterranean sea-trade. However, this association, while perhaps

indirectly true, is fallacious. In fact, Artaxerxes Ochus, who had prepared to

attack Sidon by 346, received the king Tennes and Mentor, traitors to their

own city, who thought it best to surrender rather than to engage in a futile

conflict that was really between the political powers of Macedonia and Persia.

Tennes was promptly executed, but Mentor was spared. In the confusion,

Sidonians set fire to their own city through a series of riots, resulting in the

near total destruction of the sea-trading hub. However, the modern historian

should not be surprised that the Greeks, who eventually emerged as the

victors in their conflict with the Persians, tell the story much differently,

alleging that Artaxerxes in a bloodthirsty fit of rage razed the city due to a

maniacal bloodlust.27 This was the story that was necessary for Alexander to

tell in order to motivate his men to move forward, and therefore that was the

story that was told.

Bagoas Betrayal and the Ascension of Darius III

 16

Though Artaxerxes had become very powerful through social reforms

and a thorough centralization of government via assassination of rivals, by

338 BC, Artaxerxes Ochus was very unpopular with his own people due to his

harsh policies. Diodorus Siculus writes in his World History: While Philip

[Alexanders father] was still king, Ochus [Artaxerxes III] ruled the Persians

and oppressed his subjects cruelly and harshly.28

This led to high tensions among Artaxerxes provincial governors, of

which the vizier Bagoas was in charge. Bagoas was a clever underling, a

eunuch in physical fact but a militant rogue in disposition wrote Plutarch

in his work Parallel Lives. Plutarch goes on to state that Bagoas was very

popular in his relations with foreign nations.29 He eventually gained so much

power that Bagoas was considered by the Persians to be the real master of

all of Persia near the end of Artaxerxes Ochus reign.30

Bagoas, consequently, lost no time in asserting himself as the true

ruler when Artaxerxes began to hear of the powerful eunuchs influential

position, and Bagoas eventually assassinated the Great King in 338 BC.31

Diodorus describes this event in his World Histories: Since his [Artaxerxes

Ochus] savage disposition made him hated, the chiliarchx Bagoaskilled him

by poison administered by a certain physician and placed upon the throne

the youngest of his [Artaxerxes Ochus] sons, Arses. Arses was allegedly

disgusted by the ruthless behavior of the vizier and was open with his

x The term chiliarch is thought to be synonymous with the modern-day term

vizier.
 17

displeasure. Diodorus continues his account of the situation, stating,

Bagoas anticipated his [Arses] intentions [to remove Bagoas from power]

and killed Arses and his children alsoxi while he was still in the third year of

his reign. The royal house was thus extinguished, and there was no one in

the direct line of descent to claim the throne.32 At this point, a very distant

relative was sought out, and Bagoas was left with the distant cousin to

Artaxerxes III, Artashata, more commonly known as Darius III, last Great King

of Persia during the Achaemenid Dynasty.

Darius III, (born Artashata and known as Codommanusxii to the Greeks,)

was the last remaining relative of Artaxerxes III by the time he was chosen by

Bagoas to assume the puppet-role of Great King of the Achaemenid Empire

in 336 BC.xiii Diodorus went on to describe Darius III in his World Histories,

stating,

Darius selection for the throne was based on his known bravery, in

which quality he far surpassed that of the other Persians. Once when

King Artaxerxes was campaigning against the Cadusians, one of them

with a wide reputation for strength and courage challenged a volunteer

among the Persians to fight in single combat with him. No other dared
xi It is significant that the translation reads also here because Bagoas was also
responsible for the assassination of every single one of Arses brothers. The
reasoning is allegedly as follows: in order that the young man [Arses] might be
isolated and tractable to his [Bagoas] control.

xii Is thought to mean war-minded, though direct etymological origin of the title is
actually vague. Perhaps of Cadusian origin, a region in modern-day northwestern
Iran, as he took the surname after subduing revolts of the Cadusii people (see Livius
Institute.)
 18

accept, but Darius alone entered the contest and slew the challenger,

being honored in consequence by the king with rich gifts, while among

the Persians he was acknowledged as possessing the most prowess; it

was because of this prowess that he was thought worthy to take over

the kingship. This happened about the same time as Philip died and

Alexander became king.33

Alexanders Hegemony and Darius IIIs Resistance to Alexanders

Expansion

By the time Darius reign had been solidified,xiii Alexander, like his

father before him, had been declared the Hegemon of Greece by the League

of Corinth.xiv According to Arrian,xv author of the Anabasis,xvi one of historys

most precious resources on Alexanders reign, Alexander, being then

about twenty years of age, marched into Peloponnesus as soon as he had

secured the regal power. There he assembled all the Greeks who were within

the limits of Peloponnesus and asked from them the supreme command of

xiii It was necessary for Darius III to quell a variety of revolts and rebellions, and,
according to Diodorus, was recognized throughout his reign as a kind of usurper due
to the removal of all of the rest of his family by Bagoas.

xiv Recognized at the time as the Hellenic League; created by Alexanders father,
Philip, as a means of unifying Greece against Persian aggression, and its creation
signified the first time that all of Greece, with the exception of Sparta, was unified
against a common enemy.

xv Lucius Flavius Arrianus was his full name, and he was born in Nicomedia, a Greek
town under Roman control between 85 and 90 AD.

xvi Literally means: journey up north of Alexander

 19

the expedition against the Persians, an office which they had already

conferred upon Philip.34 On top of this, Alexander had sworn vengeance for

the destruction of the temples in Athens by the Persians in earlier wars.xvii

Arrian goes on to write that Alexander crossed the Hellespont (now

the Dardanelles) and, as head of an allied Greek army, undertook the war on

Persia that his father had been planning. The march he had begun was to be

one of the greatest in history. For the first time, the Persian Empire was

required to face the full force of the united Macedonian armies, and Darius III

was easily defeated at Granicus River. From there, Alexander reduced

Miletus and Halicarnassus before moving south to Egypt, at which point he

was offered no resistance.35

From here, Alexander moved further northeast again, this time delving

much deeper into Mesopotamia, meeting Darius a second time at

Gaugamela where Darius was utterly defeated. Darius, who was now on the

run, fled to Bactria, where Darius cousin, Bessus, was the governor. Eager

to once again meet the worthy foe, Alexander was distraught when he

learned that Bessus had assassinated Darius III in an effort to become king

himself. However, Alexanders quest for vengeance against Bessus did not

take long: Bessus was captured and executed for his crimes after the

sacking of Bactria. From here, Alexanders armies met little other significant

resistance in their march eastward.36

xvii Xerxes had destroyed Athens in 480 BC in prior wars, which the Greeks used to
fuel their desire to wage war on the Persians.
 20

Alexandria Eschate: A Staging Ground for Contact

The results of this march eastward led to the establishment of

Alexandria Eschatexviii in Fergana Valley, founded in August of 329 BC.

Located in what is modern day Tajikistan,37 this was possibly the first

significant exchange of syncretized Hellenistic culture to the Far East,38 and

this was especially true when Greco-Bactrian Euthydemus I extended his

reign into Sogdiana (what is today modern-day Iran). With Euthydemuss

Macedonian upbringing, having been raised in a Persia that had capitulated

to Macedonia, his governing practices were likely very close to those of other

satraps (governors of provinces in Asia Minor, including Median and

Achaemenid.)39

Consequently, the city of Alexandria Eschate was less than 300 miles

from where the Yue-chi people were established, right at the mouth of the

Tarim Basin. The Greek presence there marked Alexanders eagerness to

spread his panhellenic views to the world he was conquering. For Alexandria

Eschate, this was especially true when considering the vague new world of

the Seres people (lit. People of the Silk.) Strabo, who composed a history

of his journeys in his text entitled Geographia, wrote that the Greeks

extended their empire even as far as the Seres and the Phryni, which leads

modern historians to assume that at the time the Serica people were at least

in some ways marginally known to the Greeks.xix40

xviii Literally means, Alexandria the Furthest; also, is modern day Khojand
 21

Sino-Roman Relations

Despite the shortening distances between the far eastern and western

empires, the Greeks and the Chinese never made direct contact. While it is

very likely that perhaps traders, merchants, and other agriculturists made

contact in Alexandria Eschate, contact was never made in an official

capacity.xx In fact, Alexanders conquest to the east yielded few tangible

results for historians to consider when evaluating the relations between each

civilization.

xix Many historians argue that the descendants of those who founded Alexandria
Eschate make up the Chinese Dayuan (, Dyun; lit. Great Ionians)

xx Many scholars considering the dwindling Persian Empire attribute this lack of
attention externally to the corruption that was rampant among the satrapy in
Persian Provinces. Thus, it is likely that a corrupt satrap at Alexandria Eschate was
appointed and then forgotten by the larger Macedonian Empire, especially
considering that the city itself fell so far outside of the realm of the main portion
of the Empire.
 22

Instead, it was not until the Roman Empire came to prominence that

the ancient Han Dynasty, now divided into the Eastern and Western Han

Dynasties, became more clearly known to the Romans. However, this

emergence did not result from endeavors to establish relations, as previously

discussed in this essay, but rather as a result of a sort of general confusion of

This map has been digitally rendered for the public domain and can be found online through
any search engine.

the region they only knew as Great Qin, (, Dqn.)41 It was the Han

Dynastys desire to create a fiefdom of these other civilizations.

These other nations were so mysterious to the Han that Professor

Lewis writes, [Daqin] was a mythic realm of fantastic plants and animals
 23

[to the Chinese people]42 Edwin E. Pulleyblank, a world renowned

Sinologist and professor emeritus of the Department of Asian Studies at the

University of British Columbia, even goes so far as to state in his article, The

Roman Empire as known to Han China: the Chinese conception of Da

Qin was confused from the outset with ancient mythological notions about

the far west.43 Rome, too, was aware of the Seres, but unsure of their

regional, political, and geographical boundaries. In fact, Ptolemys map,

(seen previous page,) reconstituted from his Geographia, Romes clear

uncertainty about Chinas location is self-evident. While all or most other

regions of the world are accounted for with very strict adherence to

geographical landmarks, Serica simply exists on the page somewhere off

to the far right of the map, and the land extends in the original map that way

endlessly.

In either case, direct contact between the two civilizations would have

been hindered by this confusion and lack of understanding on both sides.

Thus, direct contact between the civilizations that were worlds apart took

many hundreds of years, despite active Chinese endeavors in that direction.

Embassies and Envoys

One of the very first alleged arrivals of Seres envoys was recorded by

Florus (d. 130 AD,) a Roman historian who lived during the time of Trajan and

Hadrian. In his compilation of Roman histories, a panegyric of Rome entitled,

Epitome of Roman History, Florus states:

 24

Even the rest of the nations of the world which were not subject to the

imperial sway [of Rome] were sensible to its grandeur, and looked with

reverence to the Roman people, the great conqueror of nations. Thus,

even Scythians and Sarmatians sent envoys to seek the friendship of

Rome. Nay, the Seres came likewisebringing presents of precious

stones and pearls and elephants.44

These envoys, according to Florus, were paying their respects to the Roman

Emperor Augustus, whose reign endured from 27 BC to 14 AD. While Florus

does not name specific locations for these envoy arrivals, it is assumed by

modern historians that the emissaries would likely have arrived at Roman

controlled cities on the very outskirts of the Eastern provincial territories

where the Seres people had been living.45

However, it was not until 97 AD that the Chinese general Ban Chao

attempted to send an envoy to Rome on behalf of the Western Han Dynasty

that the two civilizations finally encountered one another in a direct, political

capacity. Ban Chao, who sent his envoy Gan Ying, was sent on a mission to

bring gifts to Da Qin, but the envoy was turned back before reaching Rome.

According to some accounts by Gan Ying, the envoy made it as far as the

modern-day Persian Gulf before being discouraged from continuing by the

Parthian Empire, who falsely informed Gan Ying that the trip to Rome was

treacherous and would take as many as two years.46

 25

Upon his dejected return to Ban Chao, Gan Ying recounted his

secondary experiences with the Roman Empire through the sailors in the

ports that Gan Ying visited. The Hou Han Shu identifies the sea in question,

the one which the Parthians informed Gan Ying would be too dangerous to

traverse, as the Haixixxi. Gan Ying goes on to describe the accounts of those

he spoke with in his travels, stating:

Their [the Romans] kings are not permanent. They select and

appoint the most worthy man. If there are unexpected calamities in

the kingdom, such as frequent extraordinary winds or rains, he is

unceremoniously rejected and replaced. The one who has been

dismissed quietly accepts his demotion, and is not angry. The people

of this country are honest. They resemble the Chinese, and that is why

the country is called Da QinThe soil produced lots of gold, silver, and

rare jewels, including the jewel which shines at night.xxii47

The Hou Han Shu goes on to accurately identify Rome as the main, central

economic resource for the western regions of Eurasia, stating, It is from this

country that all the various marvelous and rare objects of foreign states

come.48

xxi This literally means west of the sea, which is thought to be modern-day Egypt.

xxii According to further research, the jewel that shines at night/jewel of

nocturnal luminosity are generally accepted as being various precious stones that
the Chinese would not have encountered before they established relations with the
Romans in this case namely diamonds or pearls, which, consequently, shares the
same word in modern Chinese today: (Zhnzh.) (25)
 26

Roman Tribute to China

Offers of gifts were not limited from China to Rome. On many occasions,

especially after Gan Ying made his journey into the west, a journey that is

recorded in the Hou Han Shu to have been the furthest journey of any

generation, Rome returned the favor. In fact, it was the perception of the

Chinese, at least, that the Romans were, indeed, returning the offers of gifts

from their lands with tribute from Rome. The Hou Han Shu reads: After this

[Gan Yings journey,] distant kingdoms [such as] Menqi and Doule [Talas] all

came to submit, and sent envoys offering tribute.49

The first direct instance of this was recorded in 166 AD when a party of

emissaries and ambassadors arrived in China for Emperor Huan. The Hou

Han Shu states that the group had been sent by , Andun, who the

Chinese recognized as the king of Da Qin.50 The Xiyu Juan, a text found

within the larger tome of the Hou Han Shu, focuses specifically on the

regions outside of China, specifically to the west, and on this exchange

between Andun and the Han, the Xiyu Juan can be quoted as stating:

In the ninth yanxi year [166 AD] during the reign of Emperor Huan,

the king of Da Qin, Andun sent envoys from beyond the frontiers

through Rinanxxiii to offer elephant tusks, rhinoceros horn, and turtle

shell. This was the very first time there was [direct] communication

[between the two countries.] The tribute brought was neither precious

xxiii This is generally thought of as being the prefecture of the central Vietnamese
coast.
 27

nor rare, raising suspicion that the accounts [of the envoys of their

native country] might be exaggerated.51

Modern historians recognize Andun as Antoninus Pius, and, despite his

death before the arrival of the envoy, and the subsequent ascension of

Marcus Aurelius while the envoy was en-route, it is generally accepted that

the initial mission was commissioned by Antoninus Pius himself. There is

also a general consensus that the tribute that was brought by the Romans

was likely obtained on their trip through Southeastern Asia, which explains

the Hans familiarity with it and their skepticism of Romes power and

wealth.52

Trade Relations between the Han and Romans

After contact had been established between the two governments, the

Han began to chronicle a civilization that they understood, in reality, far less

than they thought they did. The Xiyu Juan goes on to state that to the

west of this kingdom is Ruoshuixxiv and Liushaxxv, which are close to the place

where Xi Wangmuxxvi lives, which go almost as far as the place where the sun

sets.xxvii53,54 While the modern historian cannot rely on mythological

evidence to understand the knowledge of the ancient Han of western

peoples, it is obvious that contemporary science does not support a

disappearing sun, and no geographical or archaeological evidence has

uncovered a realm that resembles the abode of the legendary Xi Wangmu.

xxiv Literally means Weak River

 28

This supports prior supposition that the ancient Han, while very intelligent,

had a fundamentally skewed perspective of the west and all the regions that

stemmed from it.

However, despite this misunderstanding, it was not long before the

Chinese sought many of the high-quality goods that had previously been

unavailable in China, especially when many of these goods would have likely

been revered for having come from a mystical other realm like the west

was to the Han.55 The Xiyu Juan paints a detailed picture of plenty when

describing Romes abundant resources:

This country produces plenty of gold, silver, and precious jewels,

luminous jade, bright moon pearls, fighting cocks, rhinoceroses, coral,

yellow amber, opaque glass, whitish chalcedony, red cinnabar, green

gemstones, drawn gold-threaded and multi-colored embroideries,

xxv Literally means Shifting Sands; this region, and that of Ruoshui, is told in
ancient folklore to be the entryway into Xi Wangmus legendary region and is
entirely mythical in nature. However, there is surprisingly little information on either
place. The most information uncovered that contains both regions together is in
Friedrich Hirths The Ancient History of China to the End of the Chou Dynasty,
which reads, Near her [Xi Wangmus] abode were the Liu-sha, or Shifting Sands:
and this may have been any part of the Tarim desert, even to the east of Lake Lob-
nor, since the Liu-sha is said by Chinese geographers to begin about eighty li west
of Sha-chou. Another name which also occurs in the Shu-king (Book of Historical
Documents that chronicles the first legendary dynasties of China) is the Jo-shui
[Ruoshui,] or Weak Water, to the west of which the Western Kings mother held
court. As previously stated though, in modern times, there is general consensus
that both locations are mythical in nature.

xxvi See footnote on page 10 for information on Xi Wangmu.

xxvii To the Chinese, this literally meant that the sun would disappear before
reappearing back in the east where it ought to be a deviation of the theory of
world-flatness from ancient and medieval times.
 29

woven gold-threated net, delicate polychrome silks painted with gold,

and asbestos clothxxviii.56

The text, interestingly, goes on to correct an alleged Roman misconception

reported by Gan Ying from his time with locals. Gan Ying reported in the Hou

Han Shu that the locals he encountered spoke of a fine cloth, which some

people [Romans] say is made from the down of water sheep, but which is

made, in fact, from the cocoons of wild silkworms.57

Roman and Chinese Perceptions of Silk

It is significant to note that the use of the term water-sheep comes up only

once in the Hou Han Shu, twice overall in the whole of ancient Chinese

literature, the second time in the Weilue,58 which will be addressed shortly,

and consensus on which animal or creature this might be referring to has not

been reached. The first reference to this can be found in the Hou Han Shu,

the chronicle of the Later Han Dynasty that has been cited numerous times

throughout this project, which covers the years 25 BC to 220 AD. It is

thought to be a compendium of knowledge obtained by others, and compiled

by Fan Ye (d. 445 AD,) an ancient historian. Most of the information found

from the Hou Han Shu, at least describing the events of Zhang Qian, Gan

Ying, and Ban Chao are written hundreds of years after the events allegedly

xxviii Literally: fire-washed cloth; believed to have been the fur/skin of the
salamander-rat (the Chinese equivalent to the phoenix,) which could be cleaned
and renewed by washing it with fire.
 30

occurred, whereas many of the chronicles of the Romans and other western

regions were being written contemporaneously.59

As such, it is peculiar that the term water sheep only comes up once

when discussing what the Romans consider to be the origin of silk. Some

historians posit that this is because Romans simply did not grasp the

scientific intricacies of the process while the Chinese had been producing silk

since before recorded history, so the descriptions of the Roman

misconceptions are mentioned with a sort of inferred acceptance of Roman

ignorance. Daniel McKinley, author of an article in Ars Textrina, a journal on

ancient textiles, observes: A certain unreality in it may have been tacitly

understood by all parties, just as one knows now that a sea-horse has few

attributes of the land animal.60

It is also suggested that the Romans simply relied on other, external

experts to produce the cloth, and therefore paid no attention to the

production process due to a lack of necessity.61 Yet another suggestion by

Friedrich Hirth in his book, The Ancient History of China to the End of the

Chou Dynasty, accounts for these water sheep: perhaps Byssus, a

cloth-stuff woven up to the present time by the Mediterranean coast,

especially in Southern Italy, from the thread-like excrescences of several sea-

shells, especially Pinna squamosa.62

In any event, it is made abundantly clear in the Hou Han Shu, which

seems to be the most popularly accepted of the theories for water sheep,
 31

that the Chinese reject the water sheep concept. Instead, as indicated

above, the Chinese seem to believe that the Romans are attempting to

describe what is actually wild silk. McKinley, among others, suggest that this

is because in the whole of Chinese literature, there is only one mention of

the shui-yang (water sheep,) than that found in the Weilue, in the middle of

the 3rd cent.63

Despite these suppositions, it is blatantly obvious in Plinys (d. 79 AD)

Natural History, if Pliny the Elder is representative of the knowledge of the

Romans, that educated Romans could find information on how silk is made.

Fairly accurately, Pliny writes, There is another class also of these insects

produced in quite a different manner. These last spring from a grub of larger

size, with two horns of very peculiar appearance. The larva then becomes a

caterpillar, after which it assumes the state in which it is known as bombylis,

then that called necy-dalus, and, after that, in six months, it becomes a silk-

worm.64 This account, while somewhat general, paints a marginally

representative picture of the production process of cultivating wild silk, and

this is why the reference to the water sheep is so peculiar.

From a commercial perspective, silkworms were generally killed before

the pupae emerged by dipping the larvae into boiling water. They were

sometimes also killed with a needle, which allowed the cocoon to be

effectively unraveled into one continuous thread.65 However, the silk

threads being produced in the Mediterranean would likely have been a

harsher thread, due to the undomesticated nature of the worms. In China,

 32

for many thousands of years, silk worms had been domesticated, the sole

difference between the two that the wild silkworms would have chewed

through part of the thread at the time of their harvest, as this is the natural

thing for budding silkworms to do in nature, yielding a weaker thread. Such

was likely the case in Cos in the Mediterranean, where wild silkworms were

just beginning to be harvested. Domesticated silkworms, like those in China,

would have been collected and cultivated in a controlled environment, so

their harvesting would have yielded a finer, firmer, and smoother thread that

would have been considerably more appealing to the Romans.66

Chinese Silk in the Roman Empire

Trade with the Roman Empire was solidified as the Romans discovered the

vastly improved quality between their wildly-obtained silks from Cos and that

of their domestically-obtained silks from China. This was to become the

main export of China in the ancient world.67 Although the modern historians

do not know much about the initial trading due to a seeming lack of record

keeping on the part of the Romans, the modern historian can look to Pliny

the Elder for the most thorough account of the Chinese Silks. Pliny writes,

The Seres are famous for the woolen substance obtained from their forests;

after soaking in water they comb off the white down of the leavesso

manifold is the labor employed, and so distant is the region of the globe

drawn upon, to enable the Roman maiden to flaunt transparent clothing in

public. In fact, Pliny goes on to emphasize the huge demand for silks

among the wealthy Roman women, stating later in his Natural History: By
 33

the lowest reckoning, India, Seres, and the Arabian peninsula take from our

Empire 100 million sesterces every year: that is how much our luxuries and

women cost us.68

The silk of the Chinese, no longer the Han but now split into the Three

Kingdoms with three separate Emperors bidding for the throne, was in fact

so popular that the Senate issued several edicts limiting the importation of

silk. To discourage women in particular from purchasing the fabric, the

Senate then went on to prohibit the wearing of silk in all public areas on

moral grounds. Seneca the Younger (d. 65 AD) issued this proclamation

through the Senate: I can see clothes of silk, if materials that do not hide

the body, nor even ones decency, can be called clotheswretched flocks of

maids labor so that the adulteress may be visible through her thin dress, so

that her husband has no more acquaintance than any outsider or foreigner

with his wifes body.69

The Three Kingdoms Perceptions of Roman Exports and Maritime

Trade

The Weiluexxix, () a third century Chinese account written by Yu

Huan (d. unknown,) that was thought to be composed sometime between

239 and 265 AD, describes an undiminishing hub of resources when

discussing Sino-Roman trade relations. It reads quite similarly to that of the

Hou Han Shu, but only becomes significant when the modern historian

xxix Literally means The Peoples of the West

 34

considers that the Weilue was composed hundreds of years after the

completed publishing of the Hou Han Shu and the fall of the Han Dynasty.

This long-lasting establishment of trade is remarkable in history, considering

that the Han Dynastys collapse marked the beginning of the time period

known to sinologists as the Period of Disunity.70

Notably, the Weilue focuses less on the resources of Rome and more

on the economic value Rome possesses. For example, the Weilue reads,

This country produces fine linen. They make gold and silver coins. One gold

coin is equal to ten silver coins. The Weilue also paints a far less fanciful

view of the trade relations between the two countries, stating, Furthermore,

they regularly make a profit by obtaining Chinese silk, unravelling it, and

making fine hu (Western) silk damasks. That is why this country trades with

Anxi (Parthia) across the middle of the sea. The seawater is bitter and

unable to be drunk, which is why it is rare for those who try to make contact

to reach China.71

The Weilue goes on to suggest that the Romans and Chinese had

established a sea trade with one another, stating, As well as the overland

route from Da Qin through Haibei,xxx one can also follow the sea south along

the seven commanderies of Jiaozhi,xxxi which are in contact with foreign

xxx Literally means: North of the Sea; generally thought of as being the lands
between Egypt and Parthia.

xxxi The region along the Vietnamese coast

 35

countries. Nearby is a waterway,xxxii which leads to Yongchang in Yizhou.xxxiii

Thats why rare items come from Yongchang. In early times, only the

maritime routes [to Da Qin] were discussed because they didnt know there

were overland routes.72

The last sentence is generally accepted as truth and not happenstance

of the author. The Chinese were likely aware of the possibility of maritime

routes to Rome far before they became aware of the overland routes. This

was likely for a variety of reasons, not the least of which was the Chinese

misconception and mystification of the west in general. By the time the

Weilue was published, these mythological nuances would likely have been

less emphasized in Chinese culture.73

Conclusions

In short, Sino-Roman relations throughout the long histories of each

empire were largely indirect, and the few sources history does yield offer up

only fragmentary, vague, and potentially inaccurate pictures by which

contemporary historians can reach a consensus. The authenticity of the

sources, while at times cited repeatedly in contemporary literature, often

was brought into question in the very literature that had assisted in their

translation. Inconsistent dating scheming is also problematic to the modern

historian. That information which modern historians do have

xxxii Accepted by historians to mean the Red River

xxxiii A commandery in modern-day Yunnan

 36

is often dated with a range of possible dates, less so exact times for events.

On top of this, there are spans of time, sometimes hundreds of years,

in which historians have little or no information about the relations between

the two civilizations. While the Chinese were meticulous in their record

keeping, it is important to keep in mind that the dwindling resources

documenting the time period are likely a result of time. The two civilizations

existed thousands of years ago.

As for the inaccuracy of primary source accounts, that was likely

influenced by the geographical isolation of the two great empires, which

might have led to some of the fabulous stories each had about the other. In

light of these problems, however, it is important to recognize the remarkably

detailed accounts that the modern historian does have concerning the two

civilizations in question. The sources provide information, fragmentary

information, but information nonetheless, that offers up real-time, detailed

accounts of the complex regions with which each was, prior to their contact,

largely, or some posit completely, unfamiliar.

 37

END NOTES
 38

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3 Hollihan-Elliot, 46.

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6 See Han Dynasty, Schaefer.

7 HIST101: ANCIENT CIVILIZATIONS OF THE WORLD. The Han Dynasty. Saylor Foundation,
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8 See HIST101: ANCIENT CIV.

9 See HIST101: ANCIENT CIV.

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11 Sheila Hollihan-Elliot, 65.

12 See Han Dynasty, Schaefer.

13 Ye Fan, et al., Hou Han Shu (Beijing: Zhonghua Shu Ju, 1965) n. pag.

14 Fan, et al., n. pag.

15 Fan, et al., n. pag.

16 Lewis, 135.

17 Fan, et al., n. pag.

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19 Fan, et al., n. pag.

20 Lihui Yang, et al., Handbook of Chinese Mythology (New York: Oxford University Press,
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24 Diodorus Siculus, C. Bradford Welles, trans., "Book XVII.", The Library of History, Vol.
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25 "Nectanebo II," 2002, Livius.org, 1 Dec. 2014.

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27 See Nectanabo II.

28 Diodorus Siculus, 134.

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30 Naucratia Athenaeus, Deipnosophistae, Vol. VII (N.p.: Loeb, 1919) 601-06.

31 Plutarch, 419.

32 Diodorus, 137.

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36 Plutarch, 419.

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38 Jerry H. Bentley, Old World Encounters: Cross-Cultural Contacts and Exchanges in Pre-
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39 "Satrap - Definition and More from the Free Merriam-Webster Dictionary," 25 October
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40 Strabo, Geographia, Vol. VII (N.p.: Loeb, 1932) 9-43.

41 Lewis, 133.

42 Lewis, 138.

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55 Hill, Fan, 27.

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60 Daniel L. McKinley, "Pinna Wool, Aquatic Sheep, and Mermaid Fleece," Ars Textrina: A
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63 McKinley, 12.

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66 McKinley, 14.

67 Hill, Fan, 27.

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73 Hill, Fan, 29.