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Ideas of Hua and Yi in the works of Ma Zhiyuan and Bai Pu --- Two northern playwrights in the early Yuan

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Ideas of Hua and Yi in the works of Ma Zhiyuan and Bai Pu --- Two northern playwrights in the early Yuan

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IDEAS OF HUA AND YI IN THE WORKS OF
MA ZHIYUAN AND BAI PU—
TWO NORTHERN PLAYWRIGHTS IN THE EARLY YUAN
by
Xuemeng Huang

A Thesis Presented to the Faculty of East Asian Area Studies
UNIVERSITY OF SOUTHERN CALIFORNIA
In partial fulfillment of the
Requirements for the Degree
MASTER OF ARTS

December 2017

TABLE OF CONTENTS

Introduction ............................................................................................................................1
Chapter 1: The Ideas of Hua and Yi and the Northern Playwrights ................................8
The ideas of Hua and Yi ...............................................................................................4
The position of the residents of northern China ........................................................16
Yuan playwrights and Register of Ghosts .................................................................19
Biographies of Ma Zhiyuan and Bai Pu ......................................................................22
Chapter 2: Depictions of Hua and Yi in the two early Yuan dramas ...............................27
Historical drama in the Yuan ......................................................................................27
Analysis of Autumn in Han Palace by Ma Zhiyuan ..................................................29

Analysis of Rain on the Wutong Tree by Bai Pu .......................................................43

The implications of the two dramas in Yuan society .................................................48

Chapter 3: Depictions of the Mongol-Yuan in the poetic works of Ma and Bai ............53
The song-poem (sanqu) and ci-poem in the early Yuan ...........................................53
Khubilai and the Mongol-Yuan as Hua as shown in Ma’s song-poems ...................55
Khubilai and the Mongol-Yuan as Hua as shown in Bai’s ci-poems ........................61
Conclusion .............................................................................................................................72
Bibliography ...........................................................................................................................76

1
Introduction
The traditional ideas of Hua 華 and Yi 夷 first appeared in the Zhou dynasty (r.1046- 256
B.C.). These terms then appear in texts to convey notions of “civilization” versus a
“barbarian” or “Other” in various guises. Culture is a fundamental factor to differentiate Hua
from Yi, and some non-cultural factors such as the political and geographical factors can also
play a role. The dichotomy between Hua and Yi is popularly termed the “Hua-Yi distinction”
(hua yi zhi bian 華夷之辨), but under some certain conditions, the boundary can also be
blurred.
The Yuan dynasty (1271-1368) was founded by the Mongols, a nomadic people from the
northern steppes. How were the ideas of Hua and Yi manifested in writings of the early
Yuan? And, how do these suggest ideas of the legitimacy of the Mongol rulers? These are the
central questions I address in this thesis. In this research, I mainly focus on a special group
— the northern playwrights in the early Yuan, and I explore the Hua-Yi rhetoric in the
literary creations of two representative northern playwrights, Ma Zhiyuan 馬致遠 (1254?-
1320?) and Bai Pu 白樸 (1226- after 1307),
Chapter 1 serves as an overview of the important concepts involved in this thesis. This
chapter starts with the explanation of the key terms “Hua” and “Yi.” It looks back to the
origin and development of the ideas of Hua and Yi in history, revealing that culture, politics
and geography were influential factors in the Hua-Yi distinction. Then, it moves to discuss
the special position of the northern playwrights in the early Yuan and gives important
background information on Ma and Bai.
Chapter 2 examines the dramatic works of the two masters. Autumn in Han Palace
(Hangong Qiu 漢宮秋) by Ma Zhiyuan and Rain on the Wutong Tree (Wutong Yu 梧桐雨)

2
by Bai Pu. Autumn in Han Palace focuses on the northern nomads’ invasions in the Han
dynasty (202 B.C- 220 A.D.), and Rain on the Wutong Tree depicts the An Lushan Rebellion
during the Tang dynasty (618- 907 A.D.). Sharing similar themes, the two dramas clearly
reveal the dichotomy between Hua and Yi, indicating the superiority of the Central Plain
over the northern steppes, and the “civilized” over the “uncivilized.” In this case, the two
dramas seem to insinuate that the Mongols, as a typical northern steppe power, were not able
to claim to be legitimate rulers in China.
However, this assumption is proved to be problematic in Chapter 3. This chapter
focuses on two song-poems of Ma titled “The Universal Peace” (Huan hai qing yi 寰海清
夷) and “The Complete Rule of Hua and Yi” (Zhi zhi hua yi 至治華夷) as well as several ci-
poem of Bai represented by “Spring Comes from Heaven” (Chun cong tian shang lai 春從天
上來). The poetic works reveal the praise for Yuan rule by the two playwrights and the
recognition of the Mongol-Yuan as Hua. An important aspect in the identification of the
Yuan as Hua is the association of Emperor Khibilai with the Confucian sage emperors. The
poems also associate Khubilai with Confucian ethics and morality. Another aspect is the
Yuan’s advantaged geographic position occupying the Central Plain in the confrontation with
the Southern Song.
There are several findings that emerge in this thesis. First, I find out that the ideas of
Hua and Yi still exist in some of the early Yuan writings which had gain popularity. Then,
the Hua-Yi concept is manifested in different forms: the distinction between the two groups
shown in the dramas highlights the political, geographical and cultural factors, expressing the
negative attitudes towards the northern groups. The poetic works, on the other hand,
emphasize that Hua and Yi are far from fixed identities in the early Yuan. The song-poems

3
and ci-poems indicate an acceptance of Mongol rule and ascribe Hua attributes to the Yuan
rulers, suggesting that the Yuan rulers’ following of Confucian ethics and the Yuan’s
occupation of the Central Plain played an important part in this attribution. The textual
analysis in this study reveals the complexity of the ideas of Hua and Yi held by the early
Yuan northern playwrights. Of course, the influence of literary genre should also be taken
into consideration.

Before I start to explore the ideas of Hua and Yi, I’d like to first define a few key terms that
will frequently appear in this study.

Hua, Han, China/ Chinese
Hua 華 has a wide range of semantic meanings. It can be perceived in the senses of politics,
culture, geography, ethnicity, etc. Historically, it referred to the people living in the Central
Plain who were “civilized.” In the fourth century, Han 漢 emerged as an ethnic signifier for
the Central Plain people, and Hua remained to be used in a broader ethnocultural sense.
Noticeably, in some certain time periods after its emergence, Han was actually not used as
the most popular ethnonym. For instance, in the Tang dynasty (618-907), which is the time
background of the story of Rain on the Wutong Tree by Bai Pu, the Central States people
were still more used to identifying themselves as “Hua” instead of “Han.” Similar to Hua, the
term “China/ Chinese” also has rich connotations. In order to avoid the confusion, here in
this study, China is only used as a geographical referent, for instance, the northern and
southern China. And Chinese is used to refer to the Sinitic language and scripts.

4
Han, Hanren, Northern Playwrights
Another important category which needs to be explained in detail is the “early Yuan
northern playwrights” represented by Ma Zhiyuan and Bai Pu. They (or their ancestors)
were once the Central States dwellers in the former Jin dynasty (1115-1234), which occupied
the northern China. And in the Yuan, officially they belong to the Hanren 漢人 group. At
the end of the Yuan, the residents in northern and southern China reunited and eventually
formed the Han group which was close to today’s definition. Considering the complex
relationships among Han, Hanren, and the northern playwrights, it is necessary to have an
exploration of the evolution of the terms.
Today, the term “Han” in most cases is used as an ethnic signifier. However, the history
of the term suggests that in different time periods the connotation of Han varied. The concept
of Han we are familiar with today is largely a modern product.
“Ethnicity” itself is a term difficult to define. According to Mark C. Elliott,
ethnicity is fundamentally “a form of discourse arising from the social organization
and political assertion of culture- or descent- based difference.”
1
In other words, it is
a historical construction that develops with time and context, instead of something
unchanged and primordial. The modern concept of Han as an ethnic group is by no
means equal to that of the pre- modern era such as the Han dynasty (202 B.C.- 220
A.D.), the Tang dynasty (618- 907 A.D.), the Song dynasty (960- 1279 A.D.), the
Yuan dynasty (1271- 1368 A.D.), and so forth. The development of Han can be seen
in different phases of the history.

1
Elliott, The Manchu Way, 16.

5
According to Elliott, the development of the term Han can be divided into the
following stages. At the very beginning, the word “Han” 漢 appeared only as a
dynastic name for the Han dynasty (206 B.C.- 220 A.D.). And the term Hanren 漢人
referred to people living in the territory of the Han dynasty. Han was used as a
political referent, while Hua and Xia were more widely accepted as the name of
zhongguo ren (people of the Central States) in a cultural sense.
2
Han did not become
an ethnic signifier for the group which was once called Hua, Xia, or Huaxia until the
establishment of the Northern Wei dynasty (386- 557 A. D.). In order to claim the
“Hua” identity and to distinguish the Central Plain dwellers from the ruling minority
Särbi, the Northern Wei rulers employed the word “Han” to call those people of the
Central Plain living in the Northern Wei. As Elliott explains, this classification was
based upon “the original descent, language, dress, and customs.”
3

Then, during the years when the Liao (916- 1125 A.D.) occupied parts of the
north, the residents of northern China living under alien regimes were called by both
the Liao and the Song as Hanren 漢人 or Han’er 漢兒 (the Sinitic word “er” 兒
has a wide range of meanings such as “child,” “male,” “son,” “youth,” etc. But here it
does not imply anything condescending. “Han’er” was the synonym for “Hanren” in
the Liao).
4
The Hanren group in the Liao was mainly composed of the Central Plain
war prisoners and refugees at the end of the Tang dynasty (618- 907 A.D.).
5
In

2
Elliott, “Hushuo,” 180.
3
Elliott, “Hushuo,” 180.
4
Liu Pujiang, “Shuo Hanren,” 110.
5
Liu Pujiang,“Shi lun Liao chao de min zu zheng ce,” 37.

6
Cheng Yao lu 乘軺錄, the Song envoy Lu Zhen 路振 who was assigned to the Liao
recorded a story:
“Recently, there was a person (southerner) who was captured and taken to
the Liao escaped to the Yan 燕. Some Liao people in Yan offered him
money and helped him return to the Han region (the Song). They (the Liao
people) asked him: “Now you are able to return. If someday the southerners
come to recapture the You 幽 (the Yan region), please don’t kill us
Han’er.’”
6

出使辽朝的宋人路振记述过这样一个故事：“近有邊民，舊為虜所掠者，逃歸
至燕，民為斂資給導以入漢界，因謂曰：‘汝歸矣，他年南朝官家來收幽州，
慎無殺吾漢兒也。
7

The above case shows that the name of “Han’er” was also accepted by the Central
States people themselves.
After the Jurchens conquered the Liao in 1125 and founded the Jin dynasty
(1125- 1234 A.D.), the Hanren of the former Liao together with the Khitans (the
rulers of the Liao) were categorized as a new “Hanren” group by the Jin rulers.
8

When it came to the Yuan dynasty which replaced the Jin, things became even
more complex. The former Jin subjects, including not only the Han but also the
Jurchens and Khitans, were together called Hanren.
According to Elliott, expanding the term “Han” to include the southern China
residents did not come until the Ming replaced the Yuan. In order to overthrow
Mongol rule, the Ming rulers who rose up in the south needed to win broader support
and prove their legitimacy over the whole country. In this context, a new concept of
Han which was the closest to today’s interpretation was formed. In the Ming dynasty,

6
It is translated on my own.
7
Liu Pujiang, “Shuo Hanren,” 111.
8
Liu Pujiang, “Jin chao de min zu zheng ce yu min zu qi shi,” 59.

7
the term “Han” was applied to people in both the northern and southern China.
Meanwhile, the Khitans, Jurchens, and other groups were once again excluded from
the category of Han.
9

In this study, the term of the “northern playwrights” only refers to the residents
of the northern China in the early Yuan. It does not include the Jurchens and Khitans
who were also categorized as Hanren by the Yuan government.

9
Elliott, “Hushuo,” 188-9.

8
Chapter 1
The Ideas of Hua and Yi and the Northern Playwrights

The ideas of Hua and Yi
The idea of Hua and Yi first appeared in the Zhou dynasty 周 (ca. 1046- 256 B.C.).
As Nicola Di Cosmo concludes, Zhou texts “defined geographic space as a nested
succession of areas around a central seat of political and moral authority.”
10
In this
view, the Zhou polity was in the center surrounded by four non-Zhou groups called
Yi 夷, Rong 戎, Man 蠻, Di 狄 in the East, West, South and North. These four
groups of foreign “barbarians” were together called the si yi 四夷 (the four Yi
groups). The Zhou states, understood to occupy the central position, are referred to in the
textual tradition as zhongguo 中國, literally the “Central States.” They occupied an area
called zhongyuan 中原 “the Central Plain” (also called zhongtu 中土). Hua 華 (flowery)
was understood to mean “civilized” and was used to identify the Zhou people, that is to say,
zhongguo ren 中國人 (people of the Central States). Usually, “Hua” can also be
replaced by the words “Xia” 夏, “Huaxia” 華夏, or “Zhonghua” 中華. In contrast, Yi 夷
became the general term for the non-Zhou Others. It was generally synonymous with
“Hu” 胡, “Fan” 番, “Lu” 虜 and so forth.
11

A Sinocentric hierarchy was highlighted in the ideas of Hua and Yi. Hua was in
the center, more civilized and large in scale; in contrast, the Yi world was distant

10
Di Cosmo, Ancient China and its Enemies, 94.
11
Mark Elliott, “Hushuo” in Critical Han Studies: The History, Representation, and Identity
of China’s Majority, 178- 9.

9
from the center, small and undeveloped. In a word, Hua were in a superior position in
regard to the Yi.
12

Hua and Yi were concepts featured with fluidity. Hua can be distinguished from Yi
in various aspects, and different time periods had their own focuses.
13
Usually, Hua
signified civilization, fundamentally defined by cultural and moral criteria.
14

According to the classic Chun qiu zuo zhuan zhu shu春秋左傳註疏 (Commentary of
Zuo), “Zhongguo 中國 has the great rituals, so it is called Xia 夏 (the equivalence
of Hua); its people wear the clothes with beautiful patterns, so it is called Hua 華”
（中國有禮儀之大故稱夏，有服章之美謂之華）.
15
That is to say, Hua denoted
the “beautiful” and “civilized.” An important aspect of the Hua civilization was
Confucianism. More specifically, it referred to following the Zhou li 周禮 (The
rituals of Zhou). Hua were the group of people meeting the ritual and moral
requirements of the Zhou. Those who did not follow the Zhou rituals (li) were
categorized as Yi. The cultural factor made the Hua- Yi distinction negotiable, since a
previous Yi group could be redefined as a member of Hua, as long as it became a
follower of li. On the contrary, if a previous Hua group failed to meet the
requirements of li, its Hua identity could also be rejected.
16

The conversion between Hua and Yi is repeatedly demonstrated in the Chinese
textual tradition. In “Announcement on drawing the barbarians inward” (Nei yi xi 內

12
Yang Lien- sheng, Studies: The History, Representation, and Identity. The Chinese World
Order: Traditional Chinantatioeign Relations, 20.
13
Abramson, Ethnic Identity in Tang China, 180.
14
Di Cosmo, Ancient China and its Enemies, 94.
15
Du Yu, and Kong Yingda, Chun qiu zuo zhuan zheng yi, 976
16
Ge Zhaoguang, Zhai zi zhongguo, 46.

10
夷檄), an essay of the Tang writer Cheng Yan 程晏 dating to around 900 A.D., there
is a detailed explanation:
There have long been diverse barbarian (siyi) peoples who have been
multilingual and have come to China (zhonghua). They admire the
humanity, righteousness, loyalty, and honesty of China. Although their
origins lie in alien regions, they are able speedily to direct their hearts
toward China (hua). Therefore, I don’t refer to them as barbarians (yi).
There are people of the Central Kingdom who have long stubbornly
resisted kingly transformation. They have forgotten humanity,
righteousness, loyalty, and honesty. Although their origins are in China,
their hearts skulk among the barbarians. Therefore, I don’t refer to them as
Chinese.
17

四夷之民長有重譯而至，慕中華之仁義忠信，雖身出異域，能馳心于華，吾不
謂之夷矣。中國之民長有倔強王化，忘棄仁義忠信，雖身出於華，反竄心於
夷，吾不謂之華矣。
18

In the English translation by Abramson, “Hua” is translated into “China” and
“Chinese.” But in this thesis, considering the flexibility of the words, I’d like to leave
“Hua” untranslated while reserving “China” and “Chinese” to denote the cultural and
geographical identity such as the “Chinese language” and “northern China.”
According to Cheng, morality was the one and only factor which distinguished
Hua from Yi. No matter what group one originally belonged to, as long as one
adhered to the ethics and morality required in Hua, one could be incorporated into the
Hua civilization; that is to say, one was eligible to be identified as a member of Hua.
At the same time, even when someone occupies the central states, a violation of the
rules jeopardizes the Hua identity.

17
Abramson, Ethnic Identity in Tang China, 181.
18
Cheng Yan, “Nei yi xi,” 8650- 1.

11
There were also non-cultural factors, for instance, politics was one of them. The
influence of political factors can be dated back to as early as the Zhou dynasty. The
Zhou states combined to form a Huaxia political community, and those outside of the
community were categorized as the “barbarians.” However, if some people in the
community violated the “socio-political code of conduct,” they would also be defined
as “Yi.” As Di Cosmo points out in Ancient China and Its Enemies, in the Zhou, “the
category (of Yi) could also be applied to states normally regarded as part of the Chou
(Zhou) political and cultural system. The states of Chin (Jin), Ch’u (Chu), and Wu
were all branded at one time or another as Yi-Ti (Di) because of their violation of
accepted norms”.
19
A typical case of that was the categorization of the state of Jin 晉.
Jin was once a member of the Zhou community, but it was then defined by Gu liang
zhuan 穀梁傳 as “barbarians” since it employed the troops of Yin Rong 陰戎 to
fight against the other states in the Central Plain.
20
In contrast, the foreign
“barbarian” people could also be allies or even members of the Hua when they were
of strategic importance to the Zhou.
Moreover, geography was of a certain importance. While Hua were regarded as
internal, Yi were external. The contrast between “internal” and “external” was a
reflection of the different geographic space of Hua and Yi. Early texts from the Zhou
period, such as Yu gong 禹貢 (Tribute of Yu) and Zhou li 周礼 (Rites of Zhou),
describe this geographic space in various ways. The Yu gong describes five nested

19
Di Cosmo, Ancient China and its Enemies, 100.
20
Di Cosmo, Ancient China and its Enemies, 124.

12
square territories, while the Zhou li records a division into nine zones.
21
The
innermost zone was the royal domain, the place where the king lived.
22
It was
surrounded by Zhuxia 諸夏 (various vassal states of Huaxia). And the outermost
was the zone of Fan 藩, which meant foreign and “barbarian.”
23
The center was the
Central Plain (zhongyuan 中原), which covered parts of the modern Henan, Hebei,
Shanxi, and Shaanxi (the four provinces in the middle reaches of Yellow River).
24

Therefore, the Central Plain was also the symbol of Hua civilization. In some certain
time periods, especially the period of fragmentation, those regimes which occupied
the Central Plain and established the capitals in the middle and lower reaches of the
Yellow River would gain an advantage in proving the legitimacy of their rule.
25

In fact, this geographical division was still associated with culture since the
“internal” and “external” were determined by the degree to which one was “civilized.”
In addition, in Li ji 禮記 (Book of Rites), there is the following record:
“People in the East are named Yi. Their hair is not tied up and they have
tattoos. Some Yi people don’t eat cooked food. Those in the South are
called Man. They have tattoos on their faces and sit cross- legged. Some of
them don’t eat cooked food. Those in the West are called Rong. They wear
furs with their hair down and don’t eat grain. People in the North are named
Di, living in the caves and wearing clothes made of feathers. They don’t eat
grain.”
26

21
Di Cosmo, Ancient China and its Enemies, 95.
22
Yang Lien- sheng, Historical Notes, 21.
23
Ge Zhaoguang, Zhai zi zhongguo: chongjian youguan zhongguo de lishi lunshu, 44.
24
Fan Yuzhou, Zhongyuan wenhua zai zhongguo wenming Jincheng zhong de diwei yu
zuoyong.” 88-90.
25
Fei Xiaotong, Zhonghua minzu duoyuan yiti geju, 230.

26
This is my own translation.

13
東方曰夷，被發文身，有不火食者矣；南方曰蠻，雕提交趾，有不火食者矣；
西方曰戎，被發衣皮，有不粒食者矣；北方曰狄，衣羽毛穴居，有不粒食者
矣。
27

The record shows the geographical definition of the Yi groups. However, at the same
time the customs in the four regions are emphasized. Actually, people in the four
directions were classified as Yi since they were culturally backward (or their cultures
were different from that of the Central States).
The above analysis suggests the flexibility of the conception of Hua and Yi.
However, in some certain time periods, there were also people who insisted that a Yi
group can never be converted to Hua even though it followed the Hua culture and
occupied the center of the Hua civilization. This point of view appeared, for instance,
among some Southern Song loyalists.
For those who intended to rule over the Central States, the identity as Hua was
significant. Traditionally, Yi were not accepted as legitimate rulers. Evidence can be
seen in the rhetoric of some Chinese classics. For instance, in the Zhou text, the Zuo
zhuan 左傳 (Commentary of Zuo), there was the argument: “The distant people
should not interfere in the domestic affairs of the Xia; the Yi groups should not be
permitted to bring chaos to Hua” (裔不謀夏，夷不亂華).
28
However, in later
times, there were some northern powers who tried to acquire the Hua identity in order
to gain legitimacy as rulers over the Central Plain. For instance, the Northern Wei
(386- 557 A.D.) rulers who were ethnic Särbi asserted that they belonged to Hua. In
order to prove that they were the legitimate heirs of the Hua group, they promoted

27
Dai Sheng, Li ji, 74.
28
Yang, Historical Notes, 26.

14
Hua culture, language, and intermarriages between the Särbi and the Central States
dwellers. Most importantly, they adopted the Zhou rituals (Zhou li 周禮) and
followed Confucian teachings.
29

Beginning with the end of the Tang dynasty (618- 907 A.D.), several northern
regimes controlled part or all of northern China (a geographical region, north of the
Qin Mountain-Huai River line. It usually refers to the northern part of China proper,
covering the Central Plain). The Liao dynasty was founded in the year 916 by
Khitans, a nomadic group from the north. It controlled lands in the northeast,
including present-day Mongolia, and sixteen prefectures around Beijing, called the
Yanyun 燕雲 region, that had belonged to the Tang. Its rule lasted for over two
hundred years and then, in the year 1125, it was conquered by the Jin (1125- 1234)
which was established by the Jurchens from the Manchurian Plain in the northeast.
Unlike the Liao, the Jin occupied all of northern China. The Jurchen rulers of the Jin
adopted Confucian teachings in governing and claimed the Hua identity.
Then the Yuan (1260-1368) became the first conquest dynasty to rule over both
northern and southern China (the Yuan occupied most of modern China). However,
the Yuan rulers seemed not to be so interested in gaining the Hua identity like the
Northern Wei rulers. The Mongols held a totally different understanding of the
question of legitimation. For the Mongols, not being part of Hua was not an obstacle
on their way to gaining “universal rulership.” As Herbert Franke describes, they saw

29
Elliott, “Hushuo,” 180- 1.

15
the Yuan as only a part of the Mongol world- empire and understood their right to
rule in military and religious terms from outside of the “Middle Kingdom.”
30

Nevertheless, evidence shows that the Yuan rulers still paid attention to the issue
of establishing legitimation. In the Yuan shi 元史, the official history of the Yuan
written by the Ming dynasty scholars, there is the record which shows that the Yuan
rulers could be officially recognized as Hua:
Shizu 世祖 (Khubilai) was very generous and open- minded. He knew his
people well and always put the right people in the right seats. He followed
the Confucian teachings in governing and transformed the Yi to Xia.
世祖度量弘廣，知人善任使，信用儒術，用能以夏變夷。
31

As the above records indicate, the Yuan rulers used Confucian teachings to send out a
signal that they were qualified for Hua (or Xia) identity.
However, for other groups, things could be different. Some southern residents
(former Southern Song subjects who were categorized as the “Southerners” in the
Yuan) were still sticking to the idea that there should be a clear boundary between the
Central States people and the Mongols. According to Jennifer W. Jay’s study of
loyalism in the thirteenth century, after the Mongol conquest of the Southern Song,
there emerged a group of former southern Song subjects who resisted the foreign rule
because of ethnic prejudices. Some southern scholars such as Zheng Sixiao 鄭思肖
(1241- 1318 A.D.) in their writings “referred to foreigners as swine, dogs and snakes.”
32
For instance, in Xin shi 心史, he expresses the following idea:

30
Herbert Franke, “From tribal chieftain to universal emperor and god: the legislation of the
Yuan Dynasty,” 7- 14.
31
Song Lian, et al., Yuan shi, 377. Translated by myself.
32
Jay, A Change in Dynasties, 250,

16
The sages are legitimate and from Zhongguo. Yi and Di are dogs and
sheep. They are non-human, illegitimate and do not belong to Zhongguo.
33

聖人也，為正統，為中國；彼夷狄，犬羊也，非人類，非正統，非中國。
34

In Xin shi, Yi and Di are directly described as “non-human.” For those people, the distinction
between Hua and Yi became a weapon for them to fight against the northern invaders.
As for the Central States inhabitants in the north (the former Jin subjects who were
categorized as “Hanren” by the Yuan government), in this case, they should be discussed
separately. Having lived under the northern regimes for generations, the Mongol conquest
just brought them from one foreign rule to another. It is reasonable to assume that they may
have held different ideas of the Hua-Yi issue and have a different depiction of the Mongol-
Yuan government.

The position of the residents of northern China
The Central States people in the north China had quite a special position in the 10th to
14th centuries. During the Liao, Jin and Yuan, they always appeared as a group
caught in-between. According to Liu Pujiang, the northern China residents in the Liao
can be divided into two types: the first type included those who were captured or
surrendered to the Liao in the early period; and the other type were mainly those
living in the sixteen prefectures in the Yanyun 燕雲 region around modern Beijing
that were once part of Tang territory but were seized by the Khitans in the year 938.
Although the population of the second type overwhelmed that of the first type, those
of the first type who became the Liao subjects in an earlier period still enjoyed higher

33
Zhuo Hongyan, Zheng Sixiao Xin shi yanjiu,7.
34
This is translated by myself.

17
political and social position. As for the Central States inhabitants who lived in the
Yanyun region, they were under more severe discrimination. For instance, in terms of
legislation, different law systems were applied to them and the other groups in the
Liao. From the perspective of economy, they were under a heavier tax burden.
35

Although, according to Liu, discrimination against the Central States people was
reduced to some degree in the later part of the Liao, it never completely disappeared.
The same thing also happened in the Jin dynasty. After the Jurchens conquered
the Liao, the former Liao subjects, including both those previously classified as
Hanren and the Khitans, were together given the title of Hanren. Song subjects who
were captured and taken north to the Jin, were called Nanren 南人 (southerners).
Nanren in the Jin, especially in the early Jin, suffered from the discrimination in
various aspects. But this situation was largely improved in the late Jin. Both in the
Liao and the Jin, the later conquered groups were faced with the toughest situation.
The northern China residents in both the Liao and the Jin were not fully
accepted. On the other hand, the hostility of the people in the southern China further
put them into an embarrassing situation: just like the Liao and the Jin, the Song
subjects did not recognize the northern residents as part of their group either. As Liu
Pujiang points out, the Southern Song people identified the Central States people in
the Jin as Han’er and made a clear distinction between Han’er and themselves.
36

35
Liu, “Shilun liaochao de minzu zhengce,” 35- 37.
36
Liu, “Shuo Hanren,” in Liao jin shi lun, 109- 112.

18
The ethnic policy of the Liao and the Jin was then followed by the Yuan.
According to The Cambridge History of China, there was a class system existing in
the Yuan society. The Mongols were the top class in the empire, enjoying privilege
and special treatment. Following were the Semu 色目 (Western or Central Asians)
who had important positions in Yuan society and government. Then there were the
former Jin subjects, including not only the Central States people but also the Jurchens
and Khitans. They formed the new Hanren group and became the third class. The
former Southern Song subjects were called Nanren 南人, the literal meaning of
which was “people from the south.” They were at the bottom of the hierarchy.
37
The
most important official positions in the Yuan were assigned to the Mongols. Semu
and Hanren were able to occupy the posts of secondary importance. As for the
southerners, they could rarely be high officials in the Yuan government. In the
military, the imperial guard of the Yuan rejected the Central States people in both the
north and south. The discrimination was also reflected in legislation. The laws of the
Yuan favored the Mongols and put both Hanren and Nanren in a disadvantaged
position. In addition, in imperial examinations, the Mongols and Semu also enjoyed
more favorable quotas.
38

Culturally, the northern China residents also developed their own characteristics.
Living under foreign northern regimes for years, some of them were believed to be
largely acculturated by the northerners. This phenomenon is called Huhua胡化, the
literal meaning of which is “to be assimilated by the Hu (the northern nomads).” As

37
Endicott- West, “The Yuan Government and Society,” 610.
38
Li Chong, A Research of the “Four Classes of People,” 34- 61.

19
Liu Pujiang points out, many Central States people living in the Liao, the Jin, and the
Yuan were good at riding and shooting; they were usually multi- lingual; and
marriages between different groups were frequently seen.
39
Nancy Shatzman
Steinhardt shows that in some early Yuan tomb paintings, the figures wearing
Mongol costumes, keeping Mongol hair styles and using Mongol names were actually
Central Plain inhabitants. According to Steinhardt, this finding proves that some of
them intended to change their ethnic identity in their afterlives. We should not ignore
the possibility that they could have dual identities. But there is one thing for sure in
Steinhardt’s study: the alien culture changed the way in which they portrayed
themselves.
40

Yuan Playwrights and Register of Ghosts
Compared with the previous dynasties such as the Tang and the Song, there are
relatively fewer materials about the literary figures in the Yuan. The small number of
official records, biographies and anecdotes makes it hard to have a portrayal of the
writers’ personalities and life stories. For this reason, the existence of the Register of
Ghosts (Lu gui bu 錄鬼簿) is extremely valuable.
According to J. I. Crump, the Register of Ghosts is “the sole contemporary
source of information on Yuan dynasty playwrights.”
41
The author of the book is
Zhong Sicheng 鐘嗣成, a scholar who lived in the middle to late Yuan (around the

39
Liu Pujiang, “Shuo Hanren,” 113- 120.
40
Steinhardt, “Yuan Period Tombs and Their Inscriptions: Changing Identities for the
Chinese Afterlife,” Ars Orient, (2009): 166.

41
Crump, Chinese Theater in the Days of Kublai Khan, 5.

20
years 1279-1360). As a member of Yuan literary circles, he was able to collect rich
and convincing materials on the playwrights who were active in the field. Although
the Yuan literati recorded in the book were best- known for their identity as
playwrights, usually they were also good at writing poems, lyric songs, and essays.
In Register of Ghosts, Zhong Sicheng put all the 152 writers into six categories.
The early Yuan playwrights studied in this paper belonged to the second category,
which is “talents of the early generations whose plays are well- known today.” A
typical entry contains some basic information of the writer, for instance, the name,
place of origin, position in the government and major works.
Register of Ghosts reveals some important facts about the playwrights in the
Yuan. First, the Central States people made up the majority of the playwrights in the
early Yuan. Among the fifty- six figures, Li Zhifu 李直夫 was the only one who
was explicitly pointed out as a Jurchen, whose family name was Pucha 蒲察. The
entry of Li Zhifu reads:
Li Zhifu, Jurchen, lived in Dexing 德興. He was also called “the Fifth Son
of the Pucha Family.
42

李直夫，德興人。女直郎蒲察李五。

For the other fifty- five writers, Zhong Sicheng did not mention anything about their
ethnicity, which implies that they were probably residents of China.
Second, all of the playwrights were from the north. Among them, fourteen came
from Dadu 大都 and seven came from Zhending 真定. The two places were centers
of literary activity.

42
Zhong Sicheng, Lu gui bu, 28. The translation is my own.

21
Third, most of the writers were active in literary circles during the eras of
Yuanzhen 元貞 (1294- 1297 A.D.) and Dade 大德 (1297- 1307 A.D.). Only a few
of them such as Guan Hanqing 關漢卿 (1219- 1301A.D.) had their names circulated
in the pre- Khubilai period. The Register of Ghosts was written in chronological
order. Guan Hanqing, who was listed on top, was born in the reign of Emperor
Zhangzong of the Jin 金章宗 (1168- 1208 A.D.). The youngest generation at the
bottom of the list lived in the reign of Dade of the Yuan dynasty.
Last, those playwrights often kept close connections with the Yuan court. A
large proportion of the playwrights listed worked for the central or local government.
The official titles included the Myriarch of Wuchang, Chiliarch in the Department of
Metallurgy, Director of Qingquan Salt Field, student of the prefectural school, the
official of the Musicians and Entertainers Office, to name just a few. Ma Zhiyuan, the
playwright whose works are going to be analyzed in this thesis, as listed as a minor
official in the Jiangzhe Branch Secretariat (Jiangzhe Branch Secretariat covered parts
of modern Jiangsu, Zhejiang, Jiangxi, Anhui, and Fujian).
43
Some of the playwrights
were even given high positions. Bai Pu, the other playwright whose works are used as
the main source of this thesis, was once offered to be the Minister in Charge of the
Bureau of Protocol (Taichang liyi yuanqing 太常禮儀院卿), though evidence
suggests that he rejected the offer. For those who did not serve the government,
usually they had personal relationships with government officials. Various social
activities such as the writers’ guilds provided opportunities. One example shown in

43
West and Idema, Eleven Early Chinese Plays, 155.

22
Register of Ghosts was the Yuanzhen Writers’ Guild (Yuanzhen shu hui 元貞書會),
which was led by Ma Zhiyuan 馬致遠 and three other playwrights who did not have
any official titles.
44

Biographies of Ma Zhiyuan 馬致遠 and Bai Pu 白樸
Ranked the second and the fifth in Register of Ghosts, Bai Pu and Ma Zhiyuan,
together with Guan Hanqing and Zheng Guangzu 鄭光祖 (b. 1264 A.D.), were
called “the four great masters of Yuan drama.”
Ma Zhiyuan 馬致遠 (1254?- 1320?) was born into a well- off family in the
north. There are mainly two sources of information about Ma’s life story: one is the
Register of Ghosts, and the other is the Gazetteer of Dongguang County (Dongguang
xian zhi 東光縣志). Dongguang is located in modern Hebei Province, and according
to the gazetteer, it is the ancestral home of Ma Zhiyuan. In Register of Ghosts, the
entry for Ma Zhiyuan is given as the following:
Ma Zhiyuan [Born in Dadu. His literary name was Dongli (Eastern Fence).
He served as a clerical official in the Jiangzhe Branch Secretariat (jiangzhe
shengwu tiju).]
45

馬致遠，大都人，號東籬老。江浙省務提舉。
46

Amidst a cluster of ten thousand flowers, the divine immortal Ma:
After a hundred generations people will still talk of the writings of Zhiyuan
Because he is universally admired throughout the whole universe.
In the arena for literature the Top Graduate in song:
The renown of his name fills the Pear Garden.
Autumn over the Palace of Han, Tears on the Blue Gown,
Lady Qi and Meng Haoran—

44
Zhong Sicheng, Lu gui bu, 23.
45
My translation.
46
Zhong Sicheng, Lu gui bu, 12.

23
He was the equal of Yu, Bai, and Guan!
47

萬花叢里馬神仙，百世集中說致遠，四方海內皆談羨。戰文場，曲狀元。姓名
香，貫滿梨園。漢宮秋，青衫淚，戚夫人，孟浩然，共庾、白、關老齊肩。
48

The entry shows Ma’s outstanding achievements in drama writing and highlights his
renown. Besides, the phrase “the divine immortal Ma” reveals Ma’s affinity with
Daoism.
49
Though the entry does not mention the years of Ma Zhiyuan’s birth and
death, it points out that Ma was a local in Dadu who once held office in Jiangzhe
Branch Secretariat as a superintendent (jiangzhe sheng wu ti ju 江浙省務提舉).
Since the Jiangzhe Branch Secretariat 江浙行省 only appeared after the twenty-
second year of Zhiyuan 至元 (1285 A.D.), Ma Zhiyuan’s career as a government
official should start no earlier than that time.
50
Other evidence of Ma Zhiyuan’s
official connections can be found in Ma’s own works. He once wrote down the verse:
I used to present my poems in the Dragon Tower when I was young.
51

寫詩曾上龍樓。

According to Book of the Han (Han shu 漢書), the Dragon Tower refers to the
Dragon Tower Gate of the prince’s palace, and usually it is the symbol for a prince.
Here in the verse, the “prince” might refer to the prince Zhenjin 真金 (1243- 1285
A.D.), the son of Khubilai. During his lifetime, Zhenjin kept close ties with
Confucian scholars, and especially in his later years some scholars went to him for a

47
West and Idema, Eleven Early Chinese Plays, 155.
48
Zhong Sicheng, Lu gui bu, 12.
49
West and Idema, Eleven Early Chinese Plays, 156.
50
Deng, 耀 uanyu Ma Zhiyuan de Shengping, Kublai
51
Deng, “Guanyu Ma Zhiyuan de Shengping,” 175. The translation of the verse is my own.

24
position in the government. In the poem, Ma Zhiyuan implied that he met the prince
in his early years, thus it is reasonable to assume that he was born before 1260 A.D.
52

In conclusion, Ma was probably born in Dadu around the year 1254. He was
educated in the north during Khubilai’s reign. Then, in his twenties or thirties, Ma
was assigned to hold office in the south. There is little known about his later years,
but the considerable number of Ma’s works left behind suggest that he spent the rest
of his life in the south.
53

Similar to Ma Zhiyuan, Bai Pu (1226- 1307) was born in a well- off Han family
in the north as well. Bai Pu, also named Bai Renfu 白仁甫, was a native of Zhending
真定 (in modern Hebei Province). In the Register of Ghosts, the entry of Bai Pu
describes him as:
Bai Renfu [Son of Wen-chu. His given name was Pu and people called him
Master of Lan-ku. He was from Cheng-ting, was given the honorary rank of
a Chia-yi tai-fu and the office of Minister in Charge of the Bureau of
Protocol.]
54

白仁甫，文舉之子，人號蘭谷先生。贈嘉議大夫、太常卿、儀院太卿。
55

Tall cap and broad belt— Chamberlain of the Court of Ceremonies,
Proud horse and light gown— the feeling of a high official,
Plucking flowers and snapping off leaves— the essence of Feng- style
poetry.
He got a name as a ruthless cad in the green bowers,
And cleansed his inner thoughts by cutting and trimming snow and ice.
Finding intérêts in leisure,
And a scene outside of the objects themselves—
This was Mr. Thoroughwort Vale.
56

52
Deng Shaoji, “Guanyu Ma Zhiyuan de shengping,” 177.
53
Li Xiusheng, Bai Pu and Ma Zhiyuan, 54.
54
Crump, Chinese Theater in the Days of Khubilai Khan, 7.
55
Zhong Sicheng, Lu gui bu, 10.
56
West and Idema, Eleven Early Chinese Plays, 106-7.

25
峨冠博帶太常卿，嬌馬輕衫館閣情，拈花摘葉風詩性。得青樓，薄倖名。洗襟
懷，剪雪裁冰。閑中趣，物外景，蘭谷先生。
57

The entry shows Bai Pu’s distinguished family background as well as his casual and
romantic personality. The phrase “plucking flowers and snapping off leaves” implies
that Bai had a reputation in the houses of courtesans.
58

More information can be found in modern scholarship. Li Xiusheng’s research
shows that Bai Pu was born in a distinguished family in the late Jin. His father Bai
Hua 白華 was a respected scholar while also a high official serving in the Jin court.
In the year 1232, the Mongols launched the military campaign towards the southern
capital of the Jin. Bai Pu’s father Bai Hua, as a follower of the Jin emperor Aizong
金哀宗 (r. 1198- 1234 A.D.), fled to the south and left his family behind in the
besieged city. In the bloodshed after the Mongol conquest of the Jin, Bai Pu lost his
beloved mother. But fortunately, he was then saved by Yuan Haowen 元好問 (1190-
1257), a close friend of his father and also a famous Confucian scholar in the Yuan
dynasty. In the following four years, Bai lived under the protection of Yuan and he
was greatly influenced by the Confucian master. After the fall of the Jin, Bai Pu’s
father Bai Hua worked for the Southern Song for a very short time. Then he
surrendered to the Mongols and became an official in the government of Ôgödei
Khan (r. 1249-1246 A.D.). Bai Pu moved to Zhending in modern Hebei province and
settled down there with his father in 1237. In his thirties, Bai Pu rejected the

57
Zhong Sicheng, Lu gui bu, 10.
58
West and Idema, Eleven Early Chinese Plays, 107.

26
opportunity to become an official in the Mongol court . In the same year, he traveled
to the south and started a life of leisure.
59

In general, the life experiences of Bai Pu and Ma Zhiyuan share some important
similarities. For instance, both of them were northern China residents born in the
upper class of the society and influenced by Confucianism; moreover, in their early
years, both playwrights once had connections with the Yuan government. Then, in the
later years, they moved to the south and enjoyed the leisure life there. The life stories
of Bai and Ma actually offer a model for many of the northern playwrights who lived
in the early Yuan.

59
Li, Bai Pu and Ma Zhiyuan, 3- 17.

27
Chapter 2
Depictions of Hua and Yi in the two early Yuan dramas
This chapter examines two early Yuan plays, Autumn in Han Palace by Ma Zhiyuan and
Rain on the Wutong Tree by Bai Pu. These works suggest that the notion of the distinction
between Hua and Yi existed among the northern playwrights in the early Yuan. In the
dramas, this mainly manifests as the gaps between the Hua people in the Central Plain and
the Yi groups from the north. Both works demonstrate a prejudice towards the northerners.
Considering that the Mongols who ruled over the Yuan were also a northern steppe regime,
these two dramas can be potentially perceived as holding the negative attitudes towards the
Yuan rulers.

Historical Drama in the Yuan
Drama was one of the most widely-used art forms throughout the Yuan (1271- 1368 A.D.).
During centuries of separation since the end of the Tang, literature in the north and south had
developed and was presented in different forms. For example, drama in the Yuan can be
divided into two main types: zaju 雜劇 (variety play) and nanxi 南戲 (southern drama).
Especially in the early Yuan, nanxi circulated only in the southeastern coastal areas. In
comparison, zaju, which developed in the north was more popular throughout the country.
60

The two Yuan dramas discussed in this thesis belong to zaju.
Zaju has unique characteristics in both the form and content. It is comprised of four acts
and one wedge, with each act made up of several lyrical songs and dialogues. The term for

60
Huang, Yuandai xiqu shigao, 303.

28
“Act” in Yuan drama is zhe 折 . These four acts combined to express a complete story.
61

Usually, Act 1 is presented as the opening, Act 2 serves as the development of the plot, Act 3
is the climax, and Act 4 provides the conclusion to the drama. The “wedge” (xie zi 楔子) has
the function of introducing the drama. It generally appears at the very beginning, playing the
role of the prelude. In the wedge, all of the main characters are introduced while the
relationships among them are explained. Another feature of the zaju form is the rule that only
one character can sing during an act. This essential factor distinguishes zaju from nanxi.
As for the content, the widely- seen themes of zaju include “great historical sagas,
virtuous bandits, love stories from Tang tales, detective stories featuring the canny and
virtuous Judge Bao, and some lively stories of urban life.”
62
Among all of the themes, the
Yuan playwrights especially paid attentions to the historical figures and events. Therefore, a
large number of historical dramas appeared during the Yuan dynasty. Here, the term
“historical drama" refers to the drama of which the main plots and characters are derived
from historical texts.
63

For a historical drama, the historical texts serve as a framework upon which concerns
about current affairs can be built. As scholar Yao Shuyi observes, “using the anecdotes of the
past to allude to the present (jie gu yu jin 借古喻今)” is one of the most outstanding
features of the historical dramas in the Yuan.
64
In other words, through a reinterpretation of
the figures and events recorded in historical texts, the historical drama is able to express ideas
on what is happening during the playwright’s own era.

61
Owen, An Anthology of Chinese Literature, 744.
62
Owen, An Anthology of Chinese Literature, 744.
63
Ding, Yuan zaju lishi ju qianlun, 5.
64
Yao, Yuanren zaju yu yuandai shehui, 63.

29
Autumn in Han Palace by Ma Zhiyuan and Rain on the Wutong Tree by Bai Pu are two
historical dramas that focus on Emperor Yuandi of the Han dynasty (74- 33 B.C.) and
Emperor Xuanzong of the Tang dynasty (685- 762 A.D.), respectively. This chapter looks at
the specific ideas reflected in both dramas.

Analysis of Autumn in Han Palace by Ma Zhiyuan
The ideas of Hua and Yi are vividly manifested in the drama created by Ma Zhiyuan. In
Autumn in Han Palace, the Han (dynasty) people living in the Central Plain and the Xiongnu
of the northern steppes are depicted as two completely different groups. More importantly,
the discrimination against the Xiongnu is revealed in this work.
As an early Yuan romantic drama, this story is based upon the historical records of a
peace- making marriage between the Han and the Xiongnu during the reign of Emperor
Yuandi of the Han dynasty 漢元帝 (74- 33 B.C.). Historically, the Xiongnu were a nomadic
power that rose up in the northern steppes around 200 B.C. They were a strong force that
emerged on the northern borders and had always been viewed as a threat by people of the
Han (202 B.C.- 220 A.D.).
65
For a long time, the Han and the Xiongnu led a bipolar world
order, and the diplomatic marriage was one of the important ways they maintained the
relationship.
66
This type of diplomatic marriage was given the name of heqin 和親 (the
peace- making marriage). By marrying their female royal members to the Xiongnu, the Han,
which were weaker militarily, were able to ensure peace and establish a relation of kinship
with the Xiongnu.
67
In 33 B.C., Emperor Yuandi of the Han (74- 33 B.C.) married one of his

65
Di Cosmo, Ancient China and its Enemies, 161- 166.
66
Di Cosmo, Ancient China and its Enemies, 205.
67
Di Cosmo, Ancient China and its Enemies, 193.

30
palace maids, Wang Zhaojun 王昭君 (also named Wang Qiang 王嬙) to the Khan
Huhanye 呼韓邪 (58- 31 B.C.). Wang spent the rest of her life with the Xiongnu and
became an important person in the Han- Xiongnu diplomatic relations.
68

In the play Autumn in Han Palace, however, the story of Wang differs from the
recorded version in historical texts. In Ma’s adaptation, Wang first appears as a palace maid
of the Han. Refusing to bribe the painter Mao Yanshou 毛延壽, she is framed by Mao and
loses the chance to be known by the emperor. However, very luckily, she is later discovered
and appreciated by Emperor Yuandi. The Han emperor elevates her from the position of a
maid to the status of a consort and gives the order to have the treacherous painter Mao
beheaded. Then Mao flees to the Xiongnu where he plans to destroy the relationship between
the two empires. At that point, the Xiongnu’s request for a Han princess as a bride for Khan
Huhanye is turned down by the Han emperor. Misled by Mao Yanshou’s words and
enchanted by Wang Zhaojun’s beauty, however, Huhanye demands to marry Wang Zhaojun
in exchange for peace. Threatened by a possible military invasion, the Han emperor has to
accept the peace- making marriage and sacrifice Wang. Eventually, on the journey to the
north, Wang ends her life in the Black Dragon River, which is the border between the two
empires.
In the drama, the Xiongnu are labeled as Yi, as exemplified in Act 2. After making the
decision to sacrifice Wang, Emperor Yuandi of the Han requests to provide his beloved
consort with a farewell cup. However, this request is rejected by his chancellor. In the
chancellor’s response, he directly identifies the Xiongnu as Yi when he says:

68
West and Idema, Eleven Early Chinese Plays, 157.

31
I’m afraid that this can’t be! You will be laughed at by the foreign
vandals!
69

只怕使不的，惹外夷恥笑。
70

Here, the term “foreign vandals” is a translation for the Chinese word wai yi 外夷. Wai 外 is
used as an adjective equivalent to “outside” or “foreign.” Wai yi here refers to the Xiongnu
ambassadors who escort Wang to the north.
In addition, throughout the entire drama, the Xiongnu are also recognized as “Hu” and
“Fan.” For instance, in the drama, the Xiongnu state is termed fan jia 番家 (barbarian
nation), the Xiongnu leader is referred to as fan wang 番王 (barbarian king),
71
and the
Xiongnu ambassador is called fan shi 番使 (barbarian ambassador),
72
and even the
Xiongnu music is mentioned as hu yue 胡樂 (barbarian music).
73
Correspondingly, the Han
subjects who oppose the Yi should be associated with Hua.
The distinction between the people of the Han dynasty and the Xiongnu is reflected
mainly in four aspects, namely, the political confrontation, the differences in natural
environment, the cultural gaps, and the plot changes.

A. The distinction between Hua and Yi as seen in the political confrontation.
The Han and the Xiongnu are depicted as enemies in Autumn in Han Palace. As the drama
suggests, they have experienced this confrontational relationship for an extended period of
time, and the conflict further intensifies during the reign of Yuandi of the Han dynasty (74-

69
West and Idema, Eleven Early Chinese Plays, 180.
70
Ma Zhiyuan, Han gong qiu, 11.
71
West and Idema, Eleven Early Chinese Plays, 161.
72
West and Idema, Eleven Early Chinese Plays, 178.
73
West and Idema, Eleven Early Chinese Plays, 182.

32
33 B.C.). Although the Xiongnu have stronger military power, they are viewed politically as
in a lower status.
According to the drama, there is the long- term hostility between the Han dynasty and
the Xiongnu. This is evidenced in Huhanye’s self- introduction:
I am the Khan Huhanye. Let us speak of our house’s descent: We have long
lived in these septentrional steppes and we alone dominate the northern
regions. We lived by shooting and hunting and carve out our enterprise
through campaigns and attacks. King Wen once upon a time migrated east
to avoid us, and Wei Jiang made peace with us out of fear. Xunyu or
Xianyu- we change our name with every dynasty. Shanyu or khan- we
adopt a royal title in tune with the times. When the Qin and Han were
locked in battle, the Central Plain was troubled by war while our state was
strong and prosperous. With a million of armored bowmen my ancestor the
shanyu, Maodun, besieged the High Emperor of the Han for seven days in
Baideng. Thanks to the scheme of Lou Jing the two countries made peace,
and a princess was married off to our state. After Emperor Hui and
Empress Lü, each reign followed that precedent and sent a daughter of the
imperial clan to make her home in our barbarian nation.
74

某乃呼韓邪單于是也。若論俺家世，久居朔漠，獨霸北方。以射獵為生，攻伐
為事。文王曾避俺東徙，魏絳曾怕俺講和。獯鬻猃狁，逐代易名；單于可汗，
隨時稱號。當秦漢交兵之時，中原有事；俺國強盛，有控弦甲兵百萬。俺祖公
公冒頓單于，圍漢高帝于白登七日。用婁敬之謀，兩國講和，以公主嫁俺國
中。至惠帝、呂后以來，每代必循故事，以宗女歸俺番家。
75

Here Huhanye’s words suggest that the confrontation between the Xiongnu and the Central
Plain can be dated back to as early as the Zhou (1046- 256 B.C.). “King Wen” (Wen wang 文
王 ) refers to the well- known emperor of the Zhou known as Ji Chang 姬昌 (ca. 1152- 1056
B.C.). Ji Chang was the father of Ji Fa 姬發 ( ？ - 1043 B.C.), King Wu, who overthrew the
Shang dynasty (ca 1600- 1046 B.C.) and established the Zhou dynasty. King Wen has been
recognized as the creator of the Zhou rituals (Zhou li 周禮) as well as one of the most
respected sage kings in history. In the drama, according to Huhanye, there was once a

74
West and Idema, Eleven Early Chinese Plays, 161.
75
Ma Zhiyuan, Han gong qiu, 1-2.

33
conflict between the Xiongnu ancestors and the Zhou people, with the Zhou at a military
disadvantage.
Then, the conflict also appeared in the Spring and Autumn period 春秋 (770- 476
B.C.). “Wei Jiang” 魏絳 (572- 559 B.C.) refers to the official of the state of Jin 晉 (11th
century- 349 B.C.) in the Spring and Autumn period. In history, Wei Jiang was once a
diplomat to the Rong 戎 which was a non- Zhou nomadic group.
76
According to Khan
Huhanye’s narrations in the drama, like the Zhou, the Jin was also threatened by the
Xiongnu’s strong force, and Wei Jiang, as the ambassador, tried to maintain a peaceful
relationship between the two powers.
The drama also emphasizes the wars between the Xiongnu and the Central Plain in the
early Han period (202 B.C.- 220 A.D.). For instance, Huhanye’s narrations highlight the
siege of Baideng 白登 . “High Emperor of the Han” refers to Liu Bang 劉邦 (256- 195 B.C.),
the founder of the Han Dynasty. “Maodun” refers to Khan Maodun (234- 174 B.C.), an
outstanding ruler of the Xiongnu empire. According to the drama, the Xiongnu rose up again
during the early Han and became a strong enemy of the Central Plain. The Han emperor was
even besieged and nearly killed in the battle with the Xiongnu. For hundreds of years from
the early Zhou to the early Han, the Han and the Xiongnu maintained a confrontational
relationship.
Then, the drama reveals that the conflict between the two regimes is further intensified
during the reign of Yuandi of the Han. This is mainly addressed by the heqin policy, or more
specifically speaking, the Han consort Wang’s marriage to the Xiongnu. The peace- making
marriage is a compromise unwillingly made by Emperor Yuandi of the Han under the threat

76
Di Cosmo, Ancient China and its Enemies, 120.

34
of a military invasion of the Xiongnu. For instance, in Act 2, an important detail
demonstrates that it is actually a forced marriage. As Huhanye says:
I shall send an envoy at once to the Emperor of Han with a letter
demanding the hand of Wang Zhaojun in marriage. If he refuses I shall
send an army southwards without delay and he will be hard put to it to
defend his kingdom.
77

如今就差一番官率領部從，寫書與漢天子求索王昭君與俺和親，若不肯與，不
日南侵，江山莫保。
78

This dialogue reveals that Huhanye is motivated and has the ability to be a fatal threat to the
Han. In addition, the Han people in the drama also believe that the peace- making marriage
has the potential to trigger a war that can bring them tremendous disaster. For instance, still
in Act 2, the Han Chancellor and Emperor Yuandi discuss the situation they are facing. The
Chancellor shows great concern for the future of the Han as he explains that once the war
starts, something in his country would probably “go amiss.”
79
The attitudes of both sides in
the drama indicate that the two empires are in a sharp confrontation and the war can break
out at any moment.
However, although the Xiongnu are depicted in the drama as having an overwhelming
advantage in military power, they are actually regarded as having a lower political or
diplomatic status in the confrontation. This is mainly reflected in two aspects. First, in
Autumn in Han Palace, the Xiongnu empire is defined as a vassal state of the Han. This is
evidenced in the very beginning of the Wedge of the drama. In Huhanye’s first appearance
on stage, he cites a poem to introduce himself:
Of a million men who draw the bow, I am lord and leader,

77
West and Idema, Eleven Early Chinese Plays, 172.
78
Ma Zhiyuan, Han gong qiu, 7.
79
West and Idema, Eleven Early Chinese Plays, 177.

35
Knocking at the passes I declare myself vassal to the house of Han.
80

控弦百萬為君長，款塞稱藩屬漢家。
81

The drama implies that as a vassal state, the Xiongnu empire is subordinate to the dominant
state of Han. Although Huhanye, the Khan of the Xiongnu, is the leader “of a million men
who draw the bow,” he is still in a lower hierarchy than the Han emperor.
Second, in the drama, Huhanye is described as the nephew of the Han emperor Yuandi.
Still in the Wedge, Huhanye says:
Now the tribes have raised me as their khan Huhanye. In fact, I am an
affinal nephew of the Han court.
82

今部落立我為呼韓邪單于，實為漢朝外甥。
83

Considering the tradition of the heqin policy explained in the previous section of the drama,
Huhanye’s self- identification as “an affinal nephew of the Han emperor” makes sense.
However, here the problem is that the inferior position in kinship indicates a disadvantaged
position in the political relationship. By making Huhanye, the leader of the Xiongnu, a
nephew of the Han emperor, Autumn in Han Palace actually places the Xiongnu empire in a
lower political status.

B. The distinction between Hua and Yi as seen in the different natural environments.
The distinction between the Han and the Xiongnu is also manifested in the drama’s
descriptions of the natural environment. While the Han people of the Central Plain are

80
West and Idema, Eleven Early Chinese Plays, 161.
81
Ma Zhiyuan, Han gong qiu, 1.
82
West and Idema, Eleven Early Chinese Plays, 162.
83
Ma Zhiyuan, Han gong qiu, 1.

36
regarded as enjoying better climate conditions and natural resources, the Xiongnu empire in
the northern steppes is viewed as a wild and inhospitable region.
The climate condition is one of the important aspects that shows the differences between
the north and the south. In Autumn in Han Palace, the north is depicted as a cold and snowy
place all year round. For instance, lamenting Wang’s departure and worrying for her future,
the Han emperor complains to his minister that his beloved consort will have to “sleep in
snow and frost.”
84

For the Han emperor, the harsh climate in the north is one of the most essential reasons
why he is so unwilling to send Wang Zhaojun to the Xiongnu. The north is believed to be a
place which features the “snow and frost.” Similar narrations also appear in Wang’s words. In
the beginning of Act 3, hearing that she will soon be sent to the Xiongnu, Wang cries:
How will I be able to stand the wind and frost of those foreign parts?
85

胡地風霜，怎生消受也。
86

“The wind and frost” are closely related to the Xiongnu. And more importantly, they
apparently pose a challenge for those who come from the south.
In sharp contrast, the climate in the Han is mild and pleasant. It is described as:
Through the four seasons, rain and dew spread in due portion,
Making ten thousand miles of rivers and mountains splendid.
87

四時雨露勻，萬里江山秀。
88

84
West and Idema, Eleven Early Chinese Plays, 186.
85
West and Idema, Eleven Early Chinese Plays, 182.
86
Ma Zhiyuan, Han gong qiu, 12.
87
West and Idema, Eleven Early Chinese Plays, 172.
88
Ma Zhiyuan, Han gong qiu, 8.

37
“Rain and dew spread in due portion” means that there is no extreme weather in the Han. In
other words, the “snow and frost” common in the north are not seen in the south. Instead of
the bitter cold, the south has more favorable conditions.
Besides the climate conditions, the separation between the north and south can also be
found in the portrayal of natural scenery. Generally speaking, the Han is related to refinement
and serenity, while the Xiongnu is labeled as wild and desolate. Clear evidence is seen in the
image of the “moonlit night,” which appears completely different in the descriptions of the
Han and the Xiongnu. In the Han, it is portrayed as:
The cart crushes the fallen blossoms,
The jade one, beneath the moon, plays her lute, then stops.
89

車碾殘花，玉人月下吹簫罷。
90

The image of “the beauty plays the lute beneath the moon” comes from a well- known Tang
poem by Du Mu 杜牧 (803- 852 A.D.) with the title To Han Chuo, Magistrate of Yangzhou
(Ji Yangzhou Hanchuo pan guan 寄揚州韓綽判官). Du wrote the poem for his friend Han
Chuo 韓綽 (around 830 A.D.) who lived in Yangzhou 揚州, a southern Chinese city. In the
poem, Du highlights the beautiful scenery of the south, especially the moonlit autumn night.
The most famous line of the poem is: “The moon has lit up the twenty- four bridges in the
town. Where is the sweet girl who played the flute for you?” (二十四橋明月夜，玉人何處
教吹簫)
91
In Autumn in Han Palace, this image is borrowed to describe the long and serene
night at the Han palace.

89
West and Idema, Eleven Early Chinese Plays, 165.
90
Ma Zhiyuan, Han gong qiu, 4.
91
Xu Yuanchong, 300 Tang Poems, 317.

38
In contrast, descriptions of the night in the Xiongnu creates an atmosphere that is rather
bleak and desolate:
The felt tents lost among the perennial grasses in the autumn wind,
We listen in our yurt to mournful flutes on moonlit nights.
92

氈帳秋風迷宿草，穹廬夜月聽悲茄。
93

The adjective “mournful” is used here to set a negative tone for the image. “Perennial
grasses” (su cao 宿草) refers to the grasses that have been growing for years. In Chinese
literary tradition, perennial grasses often grow around the graves, thus they are related to
death, separation, and the passage of time.
94
Here in the drama the perennial grasses
highlight the wildness of the northern steppes.

C. The distinction between Hua and Yi as seen in the different lifestyles.
A distinction not only exists in the political relationship and the natural environment, it is
also embodied in everyday life such as the diet, clothing, and accommodations. Generally
speaking, according to Autumn in Han Palace, the Han upper class leads a quite luxurious
life. In Act 2, Emperor Yuandi provides a vivid description of the life of the Han officials:
You sleep beneath thick quilts,
Eat from rows of tripods,
Ride lusty horses,
Dress in light furs.
95

您臥重裀，食列鼎，乘肥馬，衣輕裘。
96

92
West and Idema, Eleven Early Chinese Plays, 161.
93
Ma Zhiyuan, Han gong qiu, 1.
94
Li Fang, Tai ping yu lan, 2648.
95
West and Idema, Eleven Early Chinese Plays, 177.
96
Ma Zhiyuan, Han gong qiu, 9.

39
As for the shelter, they “sleep beneath thick quilts.” Meanwhile, for food they “eat from rows
of tripods,” for transportation they “ride lusty horses,” and for clothes they “dress in light
furs.”
97
The above shows that the Han enjoy sufficient resources and maintain a high
standard of living.
Comparatively, the lifestyle of the Xiongnu upper class is portrayed as considerably
more frugal. First, from the perspective of accommodation, as mentioned previously, the
Xiongnu people live in the “felt tents”
98
and “sleep in snow and frost.”
99
Further, as for
eating, the drama shows that the Xiongnu has a very limited choice of food. This is seen as
the Han emperor tells his beloved consort in the farewell party:
When my lady is hungry take a little of their tasteless salt meat,
When thirsty take a dipperful of their sour milk or gruel.
100

覺饑時吃一塊淡淡鹽燒肉，害渴時喝一勺兒酪和粥。
101

Here, the adjectives “tasteless,” “little,” and “dipperful” emphasize the hard life and lack of
resources of the Xiongnu.

D. The distinction between Hua and Yi as seen in plot changes
Autumn in Han Palace is built within the framework of historical records, but meanwhile it
still has some new developments. According to the features of historical dramas, the
deviations from the historical narrative can be seen as an expression of the playwright’s new
ideas. In Ma’s drama, “leaving behind the Han palace clothes” and “the death of Zhaojun”

97
West and Idema, Eleven Early Chinese Plays, 177.
98
West and Idema, Eleven Early Chinese Plays, 161.
99
West and Idema, Eleven Early Chinese Plays, 168.
100
West and Idema, Eleven Early Chinese Plays, 182.
101
Ma Zhiyuan, Han gong qiu, 12.

40
are the two most impressive plot changes. By emphasizing Wang’s loyalty to the Han,
changes in the plot draw a clear line between the Han and the Xiongnu.
The origin of Autumn in Han Palace can be found in the Book of the Later Han (Hou
Han shu 後漢書), a book recording the history of the Eastern Han 東漢 (25- 220 A.D.) and
edited by Fan Ye 范曄 (398- 445 A.D.). My translation of the records of Wang Zhaojun are
as follows:
Zhaojun (昭君), whose given name was Qiang (嬙), was born in Nanjun
Prefecture. She stayed in the Han palace as a maid during Emperor
Yuandi’s rule. Once the Han emperor decided to give five palace maids to
Huhanye, the leader of Xiongnu. Zhaojun, disappointed by the fact that she
may never have the chance to be elevated to a higher position, volunteered
to marry to the Xiongnu. In the farewell party, Emperor Yuandi met
Zhaojun and was unsurprisingly attracted by her stunning beauty. However,
he had no choice but to let her go. Zhaojun then gave birth to two sons in
the Xiongnu Empire. After Huhanye died, the new Xiongnu emperor took
power and asked Zhaojun to be his wife. Zhaoju wrote to the Han Emperor
Chengdi 成帝 (51- 7 B.C.) asking for a return to the Han, however, her
requirement was turned down. Thus, she was forced to stay in the Xiongnu
and marry the new Xiongnu emperor.
102

昭君字嫱，南郡人也。初，元帝時以良家子選入掖庭。時呼韓邪來朝，帝敕以
宮女五人賜之。昭君入宮數月，不得見御，積悲怨，乃請掖庭令求行。呼韓邪
臨辭大會，帝召五女以示之。昭君豐容盛飾，光明漢宮，顧影裴徊，竦動左
右。帝見大驚，意欲留之，而難於失信，遂與匈奴。生二子，及呼韓邪死，其
前閼氏子代立，欲妻之。昭君上書求歸，成帝敕令從胡俗，遂復為后單于閼
氏。
103_

One of the biggest differences between the historical records and the drama is Wang’s
death. In Book of the Later Han, Wang volunteers to go to the Xiongnu and then marries and
gives birth to two sons. This shows that she has no trouble living in the Xiongnu. The text
even implies that she lives a happy life among the “northern barbarians.” However, in the

102
Translated by myself.
103
Fan Ye, Hou Han shu, 294.

41
drama, Wang ends her life by drowning in the Black Dragon River, which is located at the
border of the two empires. As the Xiongnu emperor Huhanye describes:
Now Zhaojun was unwilling to submit to the barbarians and she died by
jumping into the river.
104

昭君不肯順番，投江而死。
105

Wang’s death has a very strong symbolic meaning: it emphasizes Zhaojun’s fidelity to
her husband and country. More specifically, throughout her life, Wang never steps foot on
the land of the Xiongnu or betrays her native soil in any sense. Even after her death, as the
drama depicts, Wang’s spirit returns to the Han. This is shown in Act 4 of the drama during
the dream of the Han emperor as the spirit of Wang flees back to the Han.
106
The return of
Wang’s spirit implies that her willingness is so strong that even death cannot stop her from
returning to the homeland.
Another plot change that carries a similar implied meaning occurs when Wang leaves
behind her Han palace clothes before marrying the Xiongnu leader. According to Wang
Zhaojun’s own words:
Your Majesty! Once gone, will I ever see Your Majesty again? I will leave
my clothes from the house of Han here behind! Indeed:
Could I bear to wear the gown and skirt I wore for my lord,
To act the spring beauty for another.
107

妾這一去，再何時得見陛下？把我漢家衣服都留下者。「詩云」正是：今日漢
宮人，明朝胡地妾；忍著主衣裳，為人作春色！
108

104
West and Idema, Eleven Early Chinese Plays, 189.
105
Ma Zhiyuan, Han gong qiu, 15.
106
West and Idema, Eleven Early Chinese Plays, 190.
107
West and Idema, Eleven Early Chinese Plays, 184
108
Ma Zhiyuan, Han gong qiu, 13.

42
Here, the Han palace clothes function as a symbol of the Han identity. Leaving behind the
clothes in the Han palace insinuates that Wang also leaves behind the most important proof
of her identity as a Han palace woman. It further implies that although she physically leaves,
she remains loyal to her husband and native soil. This description of Wang Zhaojun’s loyalty
highlights the gaps between the Xiongnu and the Han. By deviating from the original
historical records, Autumn in Han Palace shows a clear idea that the boundary between the
two powers can by no means be blurred.

The above analysis clearly shows that in Ma Zhiyuan’s work, Hua and Yi are treated as
two distinctive groups. The differences were mainly embodied in the political relationships,
natural environments, lifestyles and the plot changes. More importantly, Autumn in Han
Palace emphasizes the superiority of Hua. As mentioned in the previous section, hierarchy is
the focus of the Hua- Yi relation. According to Ma’s drama, the Hua people enjoy a higher
position in the diplomatic relationship; they live in the center and have better living
conditions. Moreover, they have a more advanced culture and lifestyle. The same attitudes
can also be found in the drama The Autumn Nights of the Lustrous Emperor of Tang: Rain on
the Wutong Tree, written by Bai Pu.

43
Analysis of Rain on the Wutong Tree by Bai Pu
Just like the Han and the Xiongnu in Autumn in Han Palace, the Tang 唐 and the Hu 胡 in
Rain on the Wutong Tree are also depicted as two distinct groups. The inferiority of the Hu is
especially emphasized.
According to the modern scholar, Yao Shuyi’s research, the main plot of Rain on the
Wutong Tree comes from the traditional history texts Zi zhi tong jian 資治通鑒
(Comprehensive Mirror in Aid of Governance), Xin Tang shu 新唐書 (The New Book of
Tang) and Jiu Tang shu 舊唐書 (The Old Book of Tang).
109
The romance between Emperor
Xuanzong of the Tang 唐玄宗 (r. 685- 762 A.D.) and Yang Guifei 楊貴妃 (Precious
Consort Yang) (719- 756 A.D.) is one main focus of the drama. Another focus is on the An
Lushan Rebellion 安史之亂 (755- 763 A.D.). Historically, An Lushan (703- 757 A.D.) was
the regional military officer of the Tang who had a Sogdian- Turkic ancestry and grew up in
Yingzhou 營州 (it is in modern Liaoning province, northeast China. In the Tang dynasty,
Yingzhou was an important garrison town on the northeast frontier). An Lushan is also
referred to in English as An Rokshan, using his Sogdian name. He was appreciated by
Emperor Xuanzong and even became the adopted son of Yang Guifei. Some historical texts
such as Zi zhi tong jian 資治通鑒 suggests that there was a love affair between An and
Yang.
110
In the year 755 A.D., An began a rebellion from the northern border to the Tang
capital, Chang’an 長安. Usually this is seen as a result of the long- term feud between An
Lushan and Yang Guozhong 楊國忠, the cousin of Yang Guifei.
111
During the rebellion,

109
Yao, Yuanren zaju yu yuandai shehui, 145.
110
Sima Guang, Zi zhi tong jian, 6903.
111
West and Idema, Eleven Early Chinese Plays, 109.

44
Emperor Xuanzong of the Tang was forced to leave the capital Chang’an and seek shelter in
the southwest. During the escape, troops mutinied and forced the Tang emperor to have his
beloved consort Yang Guifei and her cousin Yang Guozhong executed.
In the drama, the Tang and the Sogdian-Turkic general An Lushan are labeled as Hua
and Yi respectively. For instance, the An Lushan Rebellion in the Tang is viewed as the
“chaos in the Central Flowery realm.”
112
Here, “flowery” in Chinese means hua 華, and the
“Central Flowery realm” refers to Zhonghua 中華. That is to say, the Tang is perceived as
Hua.
Although An as the border general has a close connection with the Tang court, his Yi
identity is still emphasized in Rain on the Wutong Tree. Throughout the whole play, An is
called “Hu” or “Fan.” The two words mean “foreign,” “foreigner,” or “barbarian,” and in the
drama, they are used in a rather negative context. For instance, An is called “wild barbarian”
(kuang hu 狂胡)
113
and “recalcitrant barbarian” (ni hu 逆胡).
114
Even before the rebellion,
An Lushan is regarded as unreliable by the Tang officials due to his Hu identity. For
instance, to persuade Emperor Xuanzong not to give An Lushan a high position in the
government, Yang Guozhong 楊國忠, the Prime Minister of the Tang, says to the emperor:
He is a barbarian with the untamed heart of a wolf. He simply cannot be kept
among your close attendants.
115

況胡人狼子野心，不可留居左右。
116

112
West and Idema, Eleven Early Chinese Plays, 138.
113
West and Idema, Eleven Early Chinese Plays, 134.
114
West and Idema, Eleven Early Chinese Plays, 135.
115
West and Idema, Eleven Early Chinese Plays, 118.
116
Bai Pu, Wutong yu, 6.

45
According to Yang, the barbarians are labeled as brutal and greedy, with “the untamed heart
of a wolf.”
117
Their identity as “barbarians” becomes an obstacle to their entrance into the
core political circle of the Tang.
The boundary between Hua and Yi is more clearly shown in the roles assigned in Rain
on the Wutong Tree. In the drama, the role of the Tang emperor has a more important
position in the narration as well as a more positive image compared with the An, the Hu
leader.
According to studies of the existing Yuan dramas, characters can be divided into three
main role types: mo 末 (male character), dan 旦 (female character), and jing chou 凈丑
(male role with a painted face, or the clown). In Rain on the Wutong Tree, An, the Hu leader,
is assigned to the role of Jing 凈 or chou 丑 (in different editions of the drama), while the
Tang emperor Xuanzong is assigned to the role of zhengmo 正末, which means the first
male lead.
As a zhengmo, the Tang emperor is the primary narrator of the drama. Yuan drama is
well- known for its “one leading singer” (yi ren zhu chang 一人主唱 ) system in which
throughout the four acts there is only one character responsible for the singing part. Usually,
the character is assigned to the role of zhengmo 正末 (leading male) or zhengdan 正旦
(leading female). Rain on the Wutong Tree is a typical mo ben xi 末本戲, that has the
zhengmo (the male lead) as the only singer of the four acts. Inevitably, great importance is
attached to the Tang emperor and the whole drama is developed from his perspective.

117
West and Idema, Eleven Early Chinese Plays, 118.

46
In comparison, jing and chou only appear in supporting roles, usually as the funny
clowns whose main function is to entertain the audiences.
118
Evidence of this can be seen in
the descriptions of An in Rain on the Wutong Tree:
(Clown, costumed as An Rokshan:)
I’m big as a massive tree, my gall and strength are virile,
And I’m fluent in all languages of the six foreign zones.
119

凈扮安祿山上云：軀幹魁梧膽力雄，六蕃文字頗皆通。
120

(Comic, costumed as An Rokshan, leads a group of generals and enters:)
I am An Rokshan.
121

凈扮安祿山引眾將上云：某安祿山是也。
122

(An Rokshan rises and gives thanks:)
Many thanks for my master’s grace in sparing me. (Act out dancing)
(Xuanzong:)
And what’s this?
(An Rokshan:)
This is the whirling barbarian dance.”
123

凈起謝云：謝主公不殺之恩。凈跳舞科。
正云：這是甚麼。
凈云：這是胡旋舞。
124

The stage directions in parentheses are noteworthy here. Although today little is known about
the exact costumes, types of makeups, and actual performances of the jing and chou, it is
reasonable to assume that they were unique enough for the audiences to distinguish the jing
and chou from other more significant characters. For instance, in all the above three
examples, An is described as the “clown.” And the second example especially emphaizes the
“comic” effect of An’s costume and behavior. According to J. I. Crump’s work, Chinese

118
Du, Yuan zaju jiaose tizhi yanjiu, 56- 60.
119
West and Idema, Eleven Early Chinese Plays, 114.
120
Bai Pu, Wutong yu, 1.
121
West and Idema, Eleven Early Chinese Plays, 126.
122
Bai Pu, Wutong yu, 12.
123
West and Idema, Eleven Early Chinese Plays, 117- 118.
124
Bai Pu, Wutong yu, 4.

47
Theater in the Days of Kublai Khan, in Chinese theater various kinds of talents can be found,
including jugglers, contortionists, dancers, and singers. Dance, especially, is a type of
acrobatic that is often used in Yuan drama.
125
Here, according to the drama, An acts out the
whirling barbarian dance. The actor who plays the role of An probably performed the dance
on stage. However, this was not performed for “Emperor Xuanzong of the Tang” in the
drama but for the audiences in front of the stage. Therefore, the purpose of this comedic
performance was to entertain the audiences, and it reinforces the inferior and comic image of
An Lushan.
In addition, as a highly stylized art form, the role assignment is a way to demonstrate the
character’s identity, social status, and personality. Zhengmo (the role assigned to Xuanzong)
is always taken by the male character with a relatively high social position and stronger
personality, such as the emperor, scholar, and general. Meanwhile, jing and chou (the roles
assigned to An) are regarded as characters with rather negative images. According to the
modern scholar Du Yufu, the roles of jing and chou are customarily taken by the negative
characters such as the officials who abuse power for personal gains, the criminals and rogues,
and other people who display vulgar behavior. Usually they appear as humorous and
ridiculous, but sometimes they can also be violent and brutal.
126
In Rain on the Wutong Tree,
the image of the Hu general, An, is shaped in this way.

125
Crump, Chinese Theater, 105.
126
Du, Yuan zaju jiaose tizhi yanjiu, 56- 60.

48
The implications of the two dramas in Yuan society
The distinction between Hua and Yi appears in the two works written by Ma and Bai. Both
works suggest that Hua is superior to Yi. More specifically, it reveals the bias held by the
Central Plain dwellers towards the northern groups. As Mark Elliott observes in The Manchu
Way, ideas of cultural difference are key elements in distinguishing ethnic identity.
127
In the
two dramas, the cultural differences between the Hua and the Yi are highlighted. For
instance, in Autumn in Han Palace, the pastoral features of the Xiongnu are foregrounded,
including their unique costumes, eating habits, living conditions and accommodations. Even
the symbolic meaning of the clothes become a crucial point of the drama. In Rain on the
Wutong Tree, the Hu leader, An is even made to act out the barbarian dance in a funny way
in order to entertain the audience. All of the above can be perceived as evidence showing the
ethnic consciousness of the Central Plain people that were called “Hua” in the dramas.
In the dramas, this discrimination is not merely against one or two certain groups such
as the Xiongnu and the Hu. In fact, Huhanye and An Lushan are the representatives of the
grand northern regions. In Autumn in Han Palace and Rain on the Wutong Tree, the two
share the same image as the “uncivilized” people.
Considering the nature of historical dramas, the depictions of Hua and Yi in the two
early Yuan works should have some implications for the playwrights’ own era. Obviously,
the two playwrights, Ma and Bai, did not live during the days when the Han and the Xiongnu
were in conflict, nor did they live in the period of the An Lushan Rebellion during the middle
and late Tang. However, the situation they were facing was similar to what occurred in
Autumn in Han Palace and Rain on the Wutong Tree. The transition period between the Jin

127
Elliott, The Manchu Way, 16.

49
(1115- 1234 A.D.) and the Yuan (1271- 1368) was a period of turbulence. The Jin was
conquered by the Mongols in 1234, and about forty years later, the Mongols conquered the
Southern Song and reunited the north and south. Similar to the Xiongnu in Autumn in Han
Palace and the Hu in Rain on the Wutong Tree, the Mongols were also from the Northern
Zone. The difference was that the Mongols were the first northern power that occupied both
northern and southern China. For a long time, the relationship between the Jin and the
Mongols had been in a “center- north” mode. Just like the Han and the Xiongnu, and the
Tang and the Hu, the Jin occupied large parts of the Central Plain, while the Mongols
dominated the northern steppes encroaching on the south.
According to the biographies of Bai and Ma, both playwrights had deep connections
with the Jin, so they should be familiar with the confrontation between the two regimes. Bai
Pu was born in the late Jin, and he had experienced the bloodshed in the Mongol conquest of
the Jin capital. Ma himself was born after the fall of the Jin, yet his family members were
once the victims of the war. In addition, he was a witness to the Mongols’ overwhelming
military power in the pacification of the Southern Song. Considering the historical
backgrounds and the two playwrights’ personal experiences, it is reasonable to assume that
the Mongols’ invasion was an important inspiration for Ma’s and Bai’s dramatic creations. In
other words, according to the two authors, the Mongols from the north may have been
regarded as Yi, similar to the Xiongnu and the Hu in the dramas. And naturally, the Jin
should be recognized as Hua.
There is other evidence supporting the above assumption. Noticeably, historical records
reveal that the Jin was indeed sometimes identified as Hua. An example occurs in the
discussion of the posthumous name of Emperor Xizong of the Jin 金熙宗 (r. 1119- 1150),

50
the Jin officials insisted on using the word wei 威 , which means “dignity” or “majestic.” As
they explained, “the one who made the Yi subordinate should be called wei.”
128
It suggests
that the Jin people regarded themselves as Hua and the other groups as Yi. In addition, the
well- known Confucian master Yuan Haowen 元好问 (1190- 1257 A.D.) in the Jin also
once advocated that the Jin should be called the “Central State” (zhong zhou 中州). The
official Zhao Bingwen 趙秉文 (1159- 1232 A.D.) shared the same point of view with Yuan
Haowen, and his argument was that “in the Spring and Autumn period, if any feudatory state
adopted the li (rituals) of Yi, it would be regarded as Yi; but if any Yi tribe occupied the
Central Plain and followed the li of Hua, then it would be seen as part of Hua” (諸侯用夷禮
則夷之，進于中國則中國之).
129
Since the two scholars were influential in the Jin, and
Yuan Haowen was even Ma’s mentor, it is reasonable to believe that the two playwrights, Ma
and Bai, would be influenced by this idea.
Besides the personal experience of the two playwrights, there was another factor which
would largely influence Ma’s and Bai’s writing of Hua and Yi that should not be overlooked-
- the audiences’ aesthetic demand. The Yuan drama was an audience- oriented literary genre,
which means that the popular taste can, to a large degree, determine the drama involving the
theme, language, characterization, and etc.
The Yuan drama developed with the thriving urban economy. It had been featured with
entertainment and profitability since its emergence. There were many big cities in the Yuan
stretching from the north to the south of the empire such as Dadu (modern Beijing),
Zhending (in modern Hebei province), Hangzhou (in modern Zhejiang province), and

128
Zhang, “Jindai tongzhizhe yu hua yi zhi bian guan,” 69.
129
Zhang, “Jindai tongzhizhe yu hua yi zhi bian guan,” 69.

51
Quanzhou (in modern Fujian province). Most of those cities had pleasure quarters which
were called “gou lan 勾欄” or “wa she 瓦舍.” Theatres located in the pleasure quarters
developed the drama as a popular entertainment.
130
In the Yuan, dramas were popularized
mainly through stage performance, and very few people read the scripts as a type of
literature. Thus, the image of the playwrights was always vague and sometimes even
invisible. In addition, it was also common in the Yuan that a play was not the independent
creation of a certain playwright but the product of the collective wisdom. The writers’ guild
(shu hui 書會) was an organization of playwrights for whom drama creation was always a
commercial product. Ma Zhiyuan was once the leader of Yuanzhen Writers’ Guild (Yuanzhen
shu hui 元貞書會), and Bai Pu was a member of Yujing Writers’ Guild （Yujing shu hui
玉京書會）.
131
Usually, the Yuan playwrights sold the scripts to the troupes or they worked
in the troupes. If the scripts were attractive, the dramas can achieve higher box office. Driven
by visible financial profits, playwrights would write the dramas to appeal to the audiences. In
other words, they would give more considerations to what the audiences hoped to see on the
stage.
The audiences of Yuan dramas were primarily comprised of urban residents involving
traders, craftsmen, soldiers, scholars, migrant farmers and also some people of higher social
class. A large proportion of the urban residents in the transition period of the early Yuan
were the residents in northern and southern China who had experienced (or whose family had
experienced) the Mongols’ conquest of the Jin and the Southern Song. Just like the two

130
Fuller and Lin, “North and South: the twelfth and thirteenth centuries,” 540.
131
Kang, Cong guanzhong jieshou kan yuan zaju chuangzuo de li ta xing, 56.

52
playwrights, they may probably be haunted by the wartime shadow.
132
In this case, it was
understandable for Autumn in Han Palace and Rain on the Wutong Tree to recreate and highlight
the conflict between the north and the Central Plain in the dramas. By describing the
northerners as violent, “uncivilized,” and inferior, the two dramas could arouse the audiences’
wartime memory and evoke a sympathetic response.

132
Liu Liping, Yuan zaju guanzhong yanjiu tanwei, 76-7.

53
Chapter 3
Depictions of the Mongol-Yuan in the Poetic Works of Ma and Bai
The analysis of Autumn in Han Palace by Ma Zhiyuan and Rain on the Wutong Tree by Bai
Pu reveals an apparently impassable boundary between Hua and Yi and the possible negative
attitudes towards the Yuan rulers. However, an examination of the two northern playwrights’
portrayal of the Yuan and Emperor Khubilai in their poetic works offers a contradictory point
of view: a previous Yi group can also be identified as Hua and acquire the legitimacy to hold
the Mandate of Heaven.

The song-poem (sanqu) and ci-poem in the early Yuan.
Although Ma and Bai were most famous for their talents in drama creation, they were, at the
same time, also known as outstanding poets in the early Yuan. Dongli yue fu 東籬樂府
(Complete Works of Master Dongli’s Lyric Songs) by Ma and Tianlai ji 天籟集 (Sound of
Nature Collection) by Bai are the two poetry collections that they wrote. These were widely
circulated.
Dongli yue fu by Ma is a collection of independent song-poems. Song-poetry (qu曲)
was a popular art form in the Yuan dynasty, which obtained high artistic achievement. It was
mainly developed from Northern Song dynasty melodies but had new themes, tones and
vocabulary.
133
The song-poems, together with the spoken dialogue and stage directions,
were the primary components of the Yuan drama. Those song-poems that were not used in
drama, were given the name of “independent song-poems” (sanqu 散曲). They could appear

133
Owen, An Anthology of Chinese Literature, 728.

54
as single short lyrics as well as in sets or suites.
134
In the Yuan, yue fu 樂府 (lyric song) was
another name for independent song- poems.
A sanqu, or song-poem, was based on something called a “musical matrix” (qu pai 曲
牌), of which there were hundreds of options. The musical matrix provided the rhyme and
rhythm of the song-poem and set the limitation for the number of words and verses used.
Besides the musical matrix, a song-poem also needed a fixed pitch (gong diao 宮調詞) and,
in most cases, a song title. For instance, below is the full title of one of Ma’s song-poems:
Ma Zhiyuan, in the Zhong Lü Mode, to the Tune “Pink Butterfly” (fen die er),
The Universal Peace

馬致遠,「中呂」粉蝶兒·寰海清夷
135

Here, “Pink Butterfly” is the musical matrix, while Zhong lü 中呂 is the pitch. “The
Universal Peace” is the title which indicates the topic and content of the song-poem.
Compared with the song-poems, the ci-poems (詞) in the Yuan dynasty have been, to
some degree, overlooked. Ci-poems emerged in the Tang dynasty (618- 907 A.D.) and
reached their peak in the Song dynasty (960- 1279 A.D.). Although the Yuan poets also
wrote some good pieces in the form of ci, they have not drawn much attention from scholars.
Similar to song-poems, a ci-poem also had uneven lines and a musical matrix. Usually, the
musical matrix title was followed by a line to tell the topic of the ci-poem or where and when
it was written.
136
Tianlai ji is the ci-poem collection of Bai. It includes about two hundred ci-
poems written by Bai during his entire lifetime.

134
Owen, An Anthology of Chinese Literature, 728.
135
Ma Zhiyuan, Dongli yue fu, 105.
136
Owen, An Anthology of Chinese Literature, 559.

55
This thesis will mainly look at two sets of song-poems selected from Dongli yue fu by
Ma and several ci- poems from Tianlai ji by Bai.

Khubilai and the Mongol-Yuan as Hua as shown in Ma’s song-poems
Among the over one hundred existing independent song-poems of Ma Zhiyuan, there are two
pieces closely associated with the rhetoric of Hua and Yi. Sharing the same musical matrix of
the “Pink Butterfly,” one is titled “The Universal Peace” (Huan hai qing yi 寰海清夷), and
the other is “The Complete Rule of Hua and Yi” (Zhi zhi hua yi 至治華夷). In contrast to
Ma’s dramatic works, what presents in these two works is the playwrights’ recognition of the
Yuan’s legitimacy as well as the Mongol-Yuan’s identity as Hua.
“The Complete Rule of Hua and Yi” (Zhi zhi hua yi 至治華夷) was written around
1271, which was the beginning year of the founding of the Yuan dynasty.
137
It is an
unfinished song-poem suite (tao shu 套數), which is comprised of three short songs. It fully
exhibits the author’s admiration for Yuan rule over All- Under- Heaven.
The other song-poem “The Universal Peace” (Huan hai qing yi 寰海清夷) was written
around 1285 to celebrate the birthday of Khubilai, Emperor Shizu of the Yuan 元世祖 (r.
1260- 1294 A.D.).
138
The birthday of the emperor, which was also called Tian shou jie 天壽
節 (Anniversary of the Grand Khan’s Nativity), was one of the most important festivals in
the Yuan. The Official History of the Yuan (Yuan shi 元史) has a detailed record of it.
139

137
Ma Zhiyuan, Dongli yue fu, 105.
138
Ma Zhiyuan, Dongli yue fu, 105.
139
Song Lian, et al., Yuan shi, 1665- 6.

56
Vivid descriptions of this grand festival can even be found in the well- known world traveler
Marco Polo’s travelogue.
140
This piece by Ma is a suite which consists of five short songs.
My translations of the two song-poem suites are as follows:
Ma Zhiyuan, in the Zhong Lü Mode, to “Pink Butterfly” (fen die er),
The Complete Rule of Hua and Yi

馬致遠,「中呂」粉蝶兒·至治華夷
141

I. to “Pink Butterfly”
Having the complete rule of the Hua- Yi, the great Yuan is righteous and
dignified. It is like a dragon flying in the sky, as what is shown in the Fifth
9 of the hexagram Qian in the Book of Changes. Wish the Yuan which rises
in the ancient Yan would last for ten thousand years and pacify the All-
Under- Heaven. Bathing in the sunshine and moonlit, the whole empire is
filled with peace and pleasure.
「粉蝶兒」至治華夷，正堂堂大元朝世。應乾元九五龍飛。斯萬年，平天下，
古燕雄地。日月光輝，喜氤氳一團和氣。

II. to “Drunk in the Peace”
All the small foreign states come to pay tribute to the Great Yuan, and in
return the Yuan offers them protection. His Majesty is as worthy as Yao in
ancient times. His wise governance brings the harvest and peace to all the
four directions.
「醉太平」小國土盡來朝，大福蔭護助里。賢、賢，文武宰堯天。喜、喜，五穀
豐登，萬民樂業，四方寧治。

III. to “The Woodpecker”
His Majesty is good at teaching and transforming his people to be moral.
In the era of peace, elites come to gather around the sage emperor. The
great Yuan is blessed by Heaven.
「啄木兒煞」善教他，歸厚德，太平時龍虎風雲會，聖明皇帝，大元洪福與天
齊。

140
Polo, The Travels of Marco Polo: the Venetian, 197- 199.

57

Ma Zhiyuan, in the Zhong Lü Mode, to “Pink Butterfly” (fen die er),
The Universal Peace.
馬致遠,「中呂」粉蝶兒 · 寰海清夷
142

I. to “Pink Butterfly”
It is peaceful All- Under- Heaven. In the auspicious breeze, we sing for
the emperor who is as benevolent as Yao, the ancient sage king. We are
endowed with a good year of harvest. Heaven shows His Majesty the
auspicious sign. The rule of the Yuan will last for ten thousand generations,
with all the talents and elites gathering in the court.
「粉蝶兒」寰海清夷，扇祥風太平朝世，贊堯仁洪福天齊。樂時豐，逢歲稔，天
開祥瑞。萬世皇基，股肱良廟堂之器。

II. to “Greeting the Heavenly Guests”
The God of Longevity is holding a jade wine cup. The Queen Mother of
the West is coming down from the Jasper Pool. In the music, all the
immortals descend to the earth, celebrating the birthday of His Majesty. All
the six directions and the other eight states are enjoying the peace. A
dragon is flying in the sky, as is described in the Fifth 9 of the hexagram
Qian in Book of Change. All the four seas are entering a harmonious and
prosperous era.
「迎仙客」壽星捧玉杯，王母下瑤池，樂聲齊眾仙來慶喜。六合清，八輔美，九
五龍飛，四海升平日。

III. to “Spring Comes”
So warm is the water in the Phoenix Pool, and so gorgeous is the robe
with the patterns of the sun and moon. The grand palace is surrounded by
the colorful clouds, while the Hua- Yi is surrounded by the talents and
elites.
「喜春來」鳳凰池暖風光麗，日月袍新扇影低。雕欄玉砌彩雲飛，才萬里，錦繡
簇華夷。

IV. to “Courtyard Full of Flowers”
The sweetest wine is reserved in the royal cellar. Curtains flutter in the
wind like violet smoke, and fragrance wafts up from the lion incense
burner. Facing the palace, all people bow down and worship the emperor.
His Majesty governs the empire by doing nothing against the nature.
Dragon and snake dance in the shadow of the royal flags, swallow and
sparrow sit on the roof against the wind. This is a world featured with
moral virtue. We seem to return to the golden days of the Emperor Yao and
Emperor Shun. The country is protected by the most intelligent civil
officials and the bravest military generals.
「滿庭芳」皇封酒美，簾開紫霧，香噴金猊，望楓宸八拜丹墀內。袞龍衣垂拱無
為，龍蛇動旌旗影里，燕雀高宮殿風微。道德天地，堯天舜日，看文武兩班齊。

142
Ma Zhiyuan, Dongli yue fu, 105.

58

V. to “End”
Long live the Emperor, who is in charge of the one hundred million
miles of our country. People from all eight directions come today to
celebrate the Anniversary of the Grand Khan’s Nativity. Wish his rule to be
stable and long- lasting.
「尾」祝吾皇萬萬年，鎮家邦萬萬里，八方齊賀當今帝，穩坐盤龍亢金椅。

The recognition of the Yuan is clearly revealed in the above song-poems. The first thing
which should be noticed is that the act of composing poetry for Khubilai’s birthday itself is a
strong signal sent out by Ma. The song-poem suggests that Ma never resisted taking part in
this big event of the new dynasty.
Then, in the two song-poems, the Yuan emperor Khubilai is explicitly identified as Hua.
A remarkable manifestation is that the two song-poems compare Khubilai to Yao 堯 and
Shun 舜, the legendary Confucian sage kings, and emphasize the virtues and morality of the
Yuan emperor. For instance:
We sing for the emperor who is as benevolent as Yao, the ancient sage
king.
(in “The Universal Peace”)

This is a world featured with moral virtue. We seem to return to the golden
days of the Emperor Yao and Emperor Shun.
(in “The Universal Peace”)

His Majesty is as worthy as Yao in ancient times.
(in “The Complete Rule of Hua and Yi”)

Yao and Shun have always been viewed as exemplars of Confucian ideology and the models
for Hua rulers to emulate. They were known for their good governing, their respect for ritual
and music, and their adherence to benevolence, justice and other important virtues. In
Confucian thought, they represented the “Golden Age of Antiquity.” In the two pieces of

59
song-poems, Emperor Khubilai is compared to Yao and Shun, which means his position and
governing are recognized as corresponding to the highest Confucian values. Moreover, the
important Confucian virtues such as “benevolence” (ren 仁), “morality” (daode 道德), and
“worthiness” (xian 賢) are also highlighted as main traits of Khubilai’s personality. In
addition, Khubilai not only devotes himself to the moral cultivation, but he also makes great
efforts to “teach and transform” (jiaohua 教化) his people and make the Yuan a “moral”
world by promoting Confucian teachings. For instance, in “The Complete Rule of Hua and
Yi,” there is the example:
His Majesty is good at teaching and transforming his people to be moral. In
the era of peace, elites come to gather around the sage emperor.

In the above verse, Khubilai is also described as the “sage,” since he promotes Confucian
ethics among his people.
Besides the comparison between Khubilai and Yao and Shun, there are also other
allusions in the two pieces of song-poems which indicate Khubilai’s identity as a Confucian
emperor. For instance, in “The Complete Rule of Hua and Yi,” an allusion from the
Confucian classic the Yi jing 易經 (Book of Changes) is employed:
It is like a dragon flying in the sky, as what is shown in the Fifth 9 of the
hexagram Qian in the Book of Changes.

“A dragon flying in the sky” comes from the hexagram of Qian 乾 (Heaven) in the Book of
Changes. The complete line should be, “A dragon flying in the sky. It will be beneficial to

60
see a great person” (飛龍在天，利見大人).
143
Here in the song-poem, the “great person”
obviously refers to Khubilai, the emperor of the Yuan.
In addition, in “The Universal Peace,” there is a reference to Khubilai occupying the
central position. The verse reads:
All the six directions and the other eight states are enjoying the peace.

While the “six directions” (liu he 六合) is the alternative for All-Under-Heaven, the term
“eight states” (ba fu 八輔) implies that the Yuan ruler is in the central position of the
world.
144
According to another important Confucian classic the Zhou li 周禮 (The Zhou
Rituals), the territory of Zhongguo 中国 (the Central States) was divided into nine states (jiu
zhou 九州).
145
Tong jian wai ji 通鑒外紀 (A Supplement to Comprehensive Mirror in Aid
of Governance), from the Song dynasty, further suggests that “the emperor stays in
Zhongzhou 中州 (the central state) ruling over the ba fu 八輔 (the other eight states).”
146

Here in the song- poem, the “emperor” apparently refers to the Yuan emperor Khubilai. And
it suggests that Khubilai stays in the center and rules over the Hua world wisely. In other
words, Khubilai is regarded as the Hua emperor, and the Mongol-Yuan is the Hua.
Remarkably, both the two song-poem pieces suggest that the relationship between Hua
and Yi is different from that shown in the two dramas. In Autumn in Han Palace and Rain on
the Wutong Tree, the two groups appear as in a hostile relation. However, in the song poems,
the situation is reversed: Hua and Yi are depicted as in great harmony, unified under the rule

143
Christensen, Book of Change: The Original Core of the I Ching, 77.
144
Ma Zhiyuan, Dongli yue fu, 106.
145
Di Cosmo, Ancient China and its Enemies, 94.
146
Liu Shu, Tong jian wai ji, 3

61
of Emperor Khubilai. The direct evidence is that in both the two poems, “Hua” and “Yi” are
combined together into one term that is “Hua- Yi”, which refers to the All-Under-Heaven.
147

For instance:
Having the complete rule of the Hua-Yi, the great Yuan is righteous and
dignified. (In “The Complete Rule of Hua and Yi”)

The grand palace is surrounded by the colorful clouds, while the Hua- Yi is
surrounded by the talents and elites. (In “The Universal Peace”)

However, a peaceful relationship does not mean that there is no longer the hierarchy
between Hua and Yi. In these song-poems, the Yuan is depicted as the one in a central
position, that is, the Hua. Evidence can easily be found. For instance, in “The Complete Rule
of Hua and Yi”, there is the portrayal of the tributary system:
All the small foreign states come to pay tributes to the Great Yuan, and in
return the Yuan offers them protection.

In the traditional tributary relation, Hua is considered to be in the center, accepting the
tributes of the “barbarian” groups located in the surrounding regions. Here in the song- poem,
the Yuan is described as in the center, that is, in the position of Hua, and the “small foreign
states” that come to pay tribute are categorized as Yi. The contrast between the “great” and
“small” further highlights the hierarchy.

Khubilai and the Mongol-Yuan as Hua as shown in Bai’s ci- poems.
The positive attitudes towards the Yuan are also shown in Bai Pu’s ci-poem collection
Tianlai ji. “Spring Comes from Heaven” is one of the representative pieces which is closely

147
Ma, Dongli yue fu, 163.

62
associated with the ideas of Hua and Yi. Just like “The Universal Peace” by Ma, “Spring
Comes from Heaven” by Bai is also written for the celebration of Tianshou jie. the birthday
of Khubilai. In the fourth year of Zhiyuan 至元 (1267 A.D.), Bai Pu was invited to compose
a ci-poem for the celebration of Emperor Khubilai’s fifty- third birthday. The person who
invited him was Jia Wenbei 賈文備, the chief of Zhending 真定 (modern Hebei province),
who was also a friend of Bai’s family.
148
I have translated the ci- poem as follows:

Bai Pu, to “Spring Comes from Heaven” (Chun cong tian shang lai)
149

白樸, 春從天上來

In the fourth year of Zhiyuan (1267 A.D.), on the anniversary of His
Majesty’s birth, I am invited by the Zhending government to write this ci-
poem as a celebration.
至元四年，恭遇圣節，真定總府請作壽詞。

The star of Shu is surrounded by the lightning. A man appears like a
dragon flying in the sky, as is described in the Fifth 9 of the hexagram Qian
in Book of Changes. People from all over the world, dressed in hats and
belts, are civilized and educated without distinction. The majestic Yan is
blessed by the Heaven. Secrete fragrance of the autumn lotus floats in the
moonlit. In front of the Dragon Tower, morning dews are rolling in the
golden plate, with vapor and smoke wafting up from the jade tripod.
樞光電旋。應乾元九五龍飛，大造登乾。萬國冠帶，一氣陶甄。天眷自古雄
燕。喜光臨彌月，香浮動、太液秋蓮。鳳樓前，看金盤承露，玉鼎霏煙。

The best musicians are selected to join the Royal Music Academy.
Tigers bow down and lions propose a toast. Herons and phoenixes line up
to worship the emperor. Performing the music of Yu Shao nine times,
chanting “long live the emperor” three times, there is no longer the
necessity for His Majesty to look for the elixir on the sea. His Majesty
enjoys the leisure time walking on the high corridor of the palace, and the
royal family sees a never- ending secession of the imperial lineage. Wish
the rule lasts for ten thousand years. All subjects of the Yuan sing together
the songs of Kang qu and Ji rang gratefully, pledging loyalty to Emperor
Khubilai who is as wise as Emperor Yao.
梨園太平妙選，贊虎拜猊觴，鷺序鹓聯。九奏虞韶，三呼嵩岳，何用海上求
仙。但巖廊高拱，瓜瓞衍、皇祚綿綿。斯萬年。快康衢擊壤，同戴堯天。

148
Bai, Tianlai ji bian nian jiao zhu, 14.
149
Bai, Tianlai ji bian nian jiao zhu, 13.

63

Very similar to “The Universal Peace” by Ma Zhiyuan, this birthday- congratulation ci-
poem by Bai Pu also expresses the same wish for a stable and long- lasting rule of the Yuan
dynasty. In “Spring Comes from Heaven,” a considerable number of allusions to Chinese
classics are employed to show that Khubilai is the legitimate heir of Hua. In the ci-poem,
Khubilai is, once again, compared to the Confucian sage kings. The stories about Yao and
Shun are still the most frequently seen. For instance, in the second half of the ci-poem, there
are the verses:
Performing the music of Yu Shao nine times, chanting “long live the
emperor” three times, there is no longer the necessity for His Majesty to
look for the elixir across the sea.

The music of Shao 韶, also called Yu Shao 虞韶, was reputed to be the ritual music during
the reign of the Confucian sage Emperor Shun. In The Analects, the classic Confucian text,
Confucius describes the Shao music as “perfectly beautiful and perfectly good” (子謂
《韶》:“盡美矣，又盡善也”).
150
Then, in the end of the ci-poem, there are the verses:
All subjects of the Yuan sing together the songs of Kang qu and Ji rang
gratefully, pledging loyalty to Emperor Khubilai who is as wise as Emperor
Yao.

Kang qu 康衢 and Ji rang 击壤 are two songs that originate from the era of Yao, the
predecessor of Shun. The story of Ji rang tells that once Yao traveled in disguise and
encountered an old peasant on the road. The man was playing the game of “Ji rang” (a game
in which players toss small pieces of clods or rocks) while singing the song, and this

150
Liu, trans.,The Analects, 27.

64
demonstrated the peace and prosperity during Yao’s reign.
151
The song of Kang qu had
almost the same origin. From then on, the two songs were viewed as the symbol of the wise
rule of Yao.
In addition to Yao and Shun, the allusion to Huangdi 黃帝 (the Yellow Emperor) is
also used in the ci- poem to prove the Hua identity of Khubilai. In mythology, Huangdi is
regarded as the fountainhead of the Hua civilization.
152
In the beginning of “Spring Comes
from Heaven,” there is an allusion concerning this legendary emperor which is “the star of
Shu樞.” As recorded in the first century Chinese classic Shi ji 史記, one day in the Waste of
Qi, Huangdi’s mother Fu Bao 附寶 saw that the star of Shu, the first star in the Big Dipper,
was surrounded by lightning. After she returned, Fubao got pregnant and then gave birth to
Huangdi in twenty- four months.
153
Here in the ci- poem, “the star of Shu” is a metaphor that
indicates that a great figure like Huangdi has emerged, and it apparently refers to Emperor
Khubilai.
Apart from Huangdi and the two emperors Yao and Shun of the Golden Age of
Antiquity, Emperor Wu of the Han dynasty 漢武帝 (156- 87 B.C.) also appears in
the ci- poem as a predecessor of Khubilai. In “Spring Comes from Heaven,”
Emperor Wu of the Han is mentioned twice. One is “chanting ‘long live the
emperor’ three times” appearing in the latter part of the ci- poem. According to the
classic history Shi ji, Emperor Wu once paid a visit to Songshan Mountain 嵩山.
When he was offering sacrifices to the god, all his followers heard the chanting of

151
Wang, Lun heng, 19.
152
Birrell, Chinese Mythology, 130.
153
Sima Qian, Shi ji, 1.

65
“long live the emperor” which echoed in the mountains and was repeated three
times.
154
Another allusion related to Emperor Wu of the Han is “the golden plate
collecting the morning dew” in the first stanza. Emperor Wu of the Han was known
for his pursuit of immortality, and tradition has it that he erected a huge golden plate
in front of his palace to collect the morning dew which was regarded as of magic
power to achieve immortality.
155
Thus, the golden plate became a symbol of the
long- lasting imperial power which was bestowed by Heaven.
Huangdi, Yao, Shun, and Emperor Wu of the Han, the four figures were well-
known for their administrative and military achievements as the Hua rulers. Huangdi
was believed to be the ancestor of Huaxia. Yao and Shun were respected for their
good government and virtues as Confucian sage kings. As for Emperor Wu of the
Han, undeniably, he was a controversial figure in history. On one hand, he was
known for his efforts in expanding the Han empire and bringing stability; in the
cultural sphere, he promoted Confucianism. On the other hand, Sima Qian in Shi ji
criticizes his using of cruel officials, engaging in wars and military exploits, and his
pursuit of immortality.
156
The adoption of the examples of Emperor Wu reveals that
the writer Bai Pu may probably notice the controversial traits of Khubilai’s
governing. But generally speaking, here in the ci-poem, the image of Emperor Wu
of the Han appears in a positive way.

154
Sima Qian, Shi ji, 474.
155
Sima Qian, Shi ji, 459.
156
He Meiqin, Cong shi ji kan sima qian dui han wu di de tai du, 24-7.

66
In the eyes of the two northern playwrights Ma and Bai, all of the above images
combined to form the figure of Khubilai. Thus, his authority as the ruler of Hua was
not to be challenged.
Just like in “The Complete Rule of Hua and Yi,” Khubilai’s teaching and transforming
of his people with Confucianism is also a point emphasized in “Spring come from Heaven.”
For instance, the ci-poem has the descriptions:
People from all over the world, dressed in hats and belts, are civilized and
educated without distinction.

“Hats and belts” (guan dai 冠帶) originally refer to the costumes required in the Confucian
classic Zhou li. Usually, it is seen as the symbol of Li, and by extension, sometimes it can
also be taken as the symbol of Hua.
157
Here in the ci-poem, it implies that Khubilai intends
to promote the Confucian ethics and morality in not only the Yuan empire but also the
surrounding states.
“Spring Comes from Heaven” shows that the Yuan ruler Khubilai was recognized as
Hua, and Bai Pu’s other ci works that focus on the Yuan’s relationship with the Southern
Song (1127- 1279 A.D.) provide more supporting evidence for the Mongol-Yuan’s Hua
identity. Tianlai ji has recorded three ci-poems by Bai Pu written from 1267 to 1278 A.D.,
when the Yuan and the Southern Song were at war. In January of 1276, the Mongols
conquered the Southern Song capital of Hangzhou. Some Song loyalists fled to the south and
rebuilt the regime in the southeast coastal areas. The resistance against the Mongols lasted

157
Wang, ed, Xin yu jiao zhu, 225.

67
for several years, and eventually in 1279, the Song was completely destroyed by the Mongols
with the death of the Song child emperor in the last battle at sea.
158

The first ci-poem is “Dragon Howling in the Water” (Shui long yin 水龍吟) written in
1267, the same year when “Spring Comes from Heaven” was created. It is a farewell ci-poem
written for Shi Shu 史樞 (1221- 1287 A.D.) who was a military general assigned to pacify
Sichuan by Emperor Khubilai.
159
The second one is also a farewell ci-poem which is called
“Moon shining over the Western River” (Xi jiang yue 西江月). In 1278, the eve of the last
battle between the Yuan and the Southern Song in Guangdong, Bai Pu’s friend Li Yuanrang
李元讓 was assigned to command the troops in Guangdong. In the farewell party, Bai Pu
presented the ci-poem to Li.
160
The last work shares the same musical matrix as “Dragon
Howling in the Water.” This piece of work was written in 1278 for the celebration of the
birthday of Yang Wenqing 楊文卿 (ca. 1287 A.D.), the director-general of Jiangzhou
Circuit who was once a follower of the Yuan general Bayan (1236- 1295 A.D.) in the
pacification of the Southern Song.
161
In the three ci-poems, the image of the Southern Song
is associated with Yi:
As a military genius like Zhuge Liang, he (Shi Shu) can capture the nan yi
(southern barbarians) seven times and shock them with his overwhelming
power.
八陣名成，七擒功就，南夷膽破。
162

(in “Dragon Howling in the Water”)

He (Li Yuanrang) would soon capture the king of the Southern Yue with a
long robe, dispersing the smoke of the Man (southern barbarian) and
stopping the miasmatic rain.

158
Rossabi, Khubilai Khan: his life and times, 91- 4.
159
Bai, Tianlai ji bian nian jiao zhu, 15
160
Bai, Tianlai ji bian nian jiao zhu, 35.
161
Bai, Tianlai ji bian nian jiao zhu, 38.
162
Bai, Tianlai ji bian nian jiao zhu, 16

68
長纓系越在須臾，看掃蠻煙瘴雨。
163

(in “Moon Shining over the Western River”)

A hero from the north, he would be recorded in history for his great
contribution in the pacification of the Wu.
雁門天下英雄，策勛宜在平吳后。
164

(in “Dragon Howling in the Water”)

In the above verses, the Southern Song is called the nan yi 南夷, Man 蠻, Wu 吳 and
Yue 越 in a rather scornful way. “Capturing the nan yi seven times” in “Dragon Howling in
the Water” alludes to the battles between the Shu Han 蜀漢 (221- 263 A.D.) and the
southern non-Han tribes. According to the classic history of the third century San guo zhi 三
國志 (Records of the Three Kingdoms), in order to pacify the south, Zhuge Liang 諸葛亮,
the grand councilor of Shu Han, managed to subjugate the tribe leader by capturing and
releasing him seven times.
165
In the famous Yuan work Nan cun chuo geng lu 南村輟耕錄
(Notes of Nancun During Respites from the Plow), Shu Han is compared to the Han dynasty
and the Tang dynasty.
166
In other words, Shu Han is viewed as the legitimate regime. Here in
the ci-poem, Shu Han refers to the Yuan, that is to say, the Yuan is also recognized as a
legitimate regime. In opposition to the Yuan, the Southern Song is compared to the southern
barbarian tribes, which are the Yi groups.
An allusion which bears the same implication can also be seen in the second ci-poem
“Moon Shining over the Western River.” In this work, “capturing the king of the Southern
Yue with a long robe” is an allusion that comes from the Han Shu, about the Han dynasty’s

163
Bai, Tianlai ji bian nian jiao zhu, 36.
164
Bai, Tianlai ji bian nian jiao zhu, 37.
165
Bai, Tianlai ji bian nian jiao zhu, 17.
166
Tao, Nan cun chuo geng lu, 34-6.

69
conquest of the Southern Yue 南越 (204- 112 B.C.), an ancient kingdom in southern China
that also covered parts of northern Vietnam. According to the Han shu, during the reign of
Emperor Wu of the Han, the Han diplomat Zhongjun 終軍 (ca. 133- 112 B.C.) volunteered
to go to the Southern Yue to induce the King of the Southern Yue to capitulate. The ultimate
purpose was to make the Southern Yue a vassal state of the Han. Zhongjun asked Emperor
Wu for a long robe, with which he could capture the King and send him to the Han court.
167

Here in the ci-poem, this story is employed to show that the Yuan is just like the Han.
Meanwhile, the Southern Song is compared to the Southern Yue, which is regarded as a
place filled with the “smoke of Man” and the “miasmatic rain.”
While nan yi and Man directly refer to the “southern barbarians,” Wu and Yue
mentioned in the poems, which were the names for several southern regimes, also have a
history of being categorized as Yi. As recorded in the ancient classic Gu liang zhuan 穀梁
傳, “The state of Wu is Yi-Ti. Its people shave their hair and tattoo their bodies” (吳，夷狄
之國也，祝發文身).
168
According to the narrations of Bai’s ci-poem, since the Southern
Song is associated with the state of Wu, the conquest of it is completely justified.
Noticeably, the above verses suggest that apart from the Confucian ideologies,
geographic position also has an important function in the identification of the Yuan and the
Southern Song. This is mainly demonstrated in Bai’s three ci works which deal with the
relationship between the Yuan and the Southern Song. By naming the Southern Song as nan
yi, Man, Wu and Yue, Bai Pu’s ci-poems not only label the Song as Yi, but they also
highlight the Song’s nature as a “southern” regime. The special attention paid to the “south”

167
Ban Gu, Han shu, 2821.
168
Di Cosmo, Ancient China and its Enemies, 102.

70
shows that geographic position is a sensitive factor in the bilateral relationship. The Southern
Song which is driven to the southeast corner of China is considered as Yi, while the Yuan, a
former northern steppe power who occupies China (especially the Central Plain) by force,
acquires the Hua identity. The ci-poems seem to insinuate that once one leaves the
geographical center of Hua, one would lose the Hua identity. And in contrast, those who
occupy the Central Plain are more eligible to inherit the rulership.

The analysis of the song- poems and ci- poems of the two early Yuan playwrights reveals an
idea that is quite different from the one shown in the dramas. The Mongols, a previous Yi
group from the northern steppes, become part of Hua in the poetry. Emperor Khubilai is seen
as a great leader, like the Confucian sage emperors Yao and Shun, plus Huangdi and Wudi of
the Han. The poetic works also highlight his following of Confucian ethics and his promotion
of Confucianism within and outside of the Yuan Empire. In addition, the Mongol-Yuan
occupied the geographical center of the Hua civilization. The Southern Song, however, is
looked down upon as a place of the “southern barbarians” since it lost the rule of the Central
Plain.
Undeniably, the creation of the song-poems and ci-poems were, to some extent, driven
by pragmatic motives. If a main target of the dramatic creation was to entertain the
audiences, then the poetic works discussed in this thesis also had the “audiences” they
intended to please. Most of the song-poems and ci-poems analyzed above belong to two
categories: the birthday-congratulation poetry and the farewell poetry. “The Universal Peace”
by Ma and “Spring Comes from Heaven” by Bai, as two works written for the Yuan
emperor’s birthday, their target reader was Emperor Khubilai (although Khubilai may

71
probably not indeed read the poems himself). The three farewell ci-poems represented by
“Dragon Howling in the Water” were written for Shi Shu, Li Yuanrang, and Yang Wenqing,
the three Yuan officials who had played important roles in the Yuan’s pacification of the
Southern Song. The poetic works may be used as a vehicle for political promotion. For
instance, when writing “The Universal Peace” and “The Complete Rule of Hua and Yi,” Ma
Zhiyuan was still a youth who was passionate for politics. And in Ma’s later life, he also
acknowledged his pursuit of political career by saying that “I used to present my poems in
the Dragon Tower when I was young.”
169
In addition, the poetic works may also partly
function as a form of social interaction. For instance, “Spring Comes from Heaven” was
created as a response to the invitation of Jia Wenbei, the chief of Zhending. Jia was a
subordinate of Zhang Rou 張柔, whose friend was Yuan Haowen. Yuan Haowen and Bai
Pu, as it was explained in the previous section, had close connections. In this case, it is
reasonable to assume that Bai and Jia also had some personal interactions.
170
Moreover, as
the chief of the local government, it was also normal for Jia to have contact with the Bai
family, a distinguished clan in Zhending. Whether to seek the opportunity for promotion or to
do a favor for friends, the poetic works were mainly written for the Yuan’s ruling class. In
this context, it is reasonable that the song-poems and ci-poems acknowledge the Yuan’s
position as Hua and highly praise its rule. And the exaggerations and clichés used in the
works can be understood as well.

169
Deng, “Guanyu Ma Zhiyuan de Shengping,” 175. The translation of the verse is my own.
170
Bai Pu, Tianlai ji bian nian jiao zhu, 14.

72
Conclusion

As an important ideology which first appeared in the Zhou dynasty, the Hua-Yi rhetoric has
drawn much attention and has had profound influence in history. The dichotomy between the
“civilized” and “uncivilized” is the focus of the ideas of Hua and Yi. While Hua regarded
themselves as superior and more “civilized,” Yi were regarded as inferior and “barbarian.”
The manifestations of the clear distinction as well as the conversion between the two groups
can be found in textual tradition.
We can see how Hua are differentiated from Yi in the two early Yuan historical dramas
Autumn in Han Palace by Ma Zhiyuan and Rain on the Wutong Tree by Bai Pu. The
distinction and hierarchical relationship between the two groups are demonstrated in many
aspects. In Autumn in Han Palace by Ma, the Han are representative of Hua while the
Xiongnu are labeled as Yi. This drama suggests that the Han as Hua are in a higher political
position, enjoy more favorable weather and natural resources, and have a more delicate
lifestyle. To emphasize the boundary between the two groups, Autumn in Han Palace
deviates from the historical narrative. In the drama, the heroine Wang Zhaojun leaves her
Han palace clothes to the Han emperor and commits suicide in the Black Dragon River,
which is considered the geographical boundary between the Han and the Xiongnu. She thus
does not set foot in the territory of the Xiongnu. The plot changes highlight Wang’s loyalty
to the Han and further deepen the conceptual gap between Hua and Yi.
The case of the Han and the Xiongnu are followed by the Tang and the Hu in Rain on
the Wutong Tree. In this drama written by Bai Pu, the Tang is seen as Hua, and the Hu leader
An Lushan is depicted as a barbarian general from the north. Discrimination against the Yi
group is still salient. It is seen in the language used to refer to An Lushan and in the role

73
assignments for the drama. While the Tang emperor takes the leading role, the Hu leader An
Lushan only functions as a clown, entertaining the audiences with his comical appearance
and performance. Both dramas highlight the conflict between Hua and Yi. Moreover, the
northerners are labeled as Yi, depicted as barbarian, inferior, and uncivilized, who would
pose a threat to “China.”
During the time of Ma and Bai, a northern steppe power, the Mongols, invaded and
ruled over all of the north and south. Considering the rather negative attitudes the two
playwrights held towards the northerners shown through the dramas, it is reasonable to
assume that they would also have these attitudes towards the Mongols and would associate
the Mongols with the notion of Yi. However, the song-poems and ci-poems of Ma and Bai
show otherwise. The poetic works recognize the Mongols’ identity as Hua and give high
praise to Yuan rule. In the two pieces created for the celebration of Khubilai’s birthday (“The
Universal Peace” by Ma and “Spring Comes from Heaven” by Bai) and one written to
celebrate the establishing of the Yuan (“The Complete Rule of Hua and Yi” by Ma), the
Mongol-Yuan appears as Hua in many places. The song-poems and ci-poems compare
Emperor Khubilai to the well-known Confucian sage kings Yao and Shun, and emphasize the
virtue and morality of the Yuan ruler. In the poetry, Khubilai appears not only as a Confucian
sage emperor but also a sage who makes efforts to “civilize” others with Confucian
teachings. The above presents a view opposite of the Hua-Yi distinction. It suggests that Hua
identity can be acquired by following Confucian ethics and morality.
In addition, the three farewell ci-poems written by Bai for the Yuan officials who are
going off to war with the Southern Song reveal that geographic position also plays a role in
the Mongol-Yuan’s acquiring of the Hua identity. When the two regimes are in

74
confrontation, the Mongols’ occupation of the Central Plain, which is seen as the
geographical center of Hua civilization, becomes evidence proving that the Mongol-Yuan is
Hua, thus, a legitimate regime. This further indicates that the identities of Hua and Yi are
changeable.
So far, we can see that the ideas of Hua and Yi as presented in the literary creations of
Ma and Bai have several important characteristics. First of all, the Hua-Yi rhetoric broadly
exists in the works of the two early Yuan northern playwrights. The dramas directly point out
that Hua and Yi belong to two distinct groups and the former are superior to the latter. Then,
the poetic works further associate the Hua identity with the legitimacy of the regime.
Regarding that Ma and Bai had a considerable number of readers, the ideas of Hua and Yi
conveyed in their works might be influential in the early Yuan.
Second, the ideas of Hua and Yi are multi-faceted. Sometimes the boundary between
Hua and Yi is clear and impassable, but in other occasions it can also be blurred. The dramas
emphasize the distinction between Hua and Yi and highlight the conflict between the Central
Plain and the north. The ideas of Hua and Yi here present in the form of group
consciousness. However, in the poems, the Mongols, the so-called “Yi” group from the
north, become identified as Hua. And in contrast, the Southern Song, which was once a Hua
regime, can also be defined as “barbarian.” This demonstrates that Hua is not an exclusive
term for any certain group. Instead, it can be acquired as well as rejected.
Third, there are several essential factors that contribute to a previous Yi group’s
conversion to Hua, for instance, the following of Confucian teachings and the territorial
occupation of the Central Plain. Confucianism is extremely important. The poetic works
imply that to be incorporated into the Hua civilization, one should first be “civilized.” In

75
other words, if a Yi group wants to be recognized as Hua, they need to be transformed by
Confucianism. It requires the obeying of Confucian ethics and morality.
Last but not least, literary genre can have a certain impact on the Hua-Yi rhetoric shown
in the writings. Ma’s and Bai’s dramatic and poetic works were created for different target
groups, in different contexts, and for different purposes. These all together contribute to the
expression of the ideas in the two early Yuan northern playwrights’ literary creations.

76
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Asset Metadata

Creator Huang, Xuemeng (author)

Core Title Ideas of Hua and Yi in the works of Ma Zhiyuan and Bai Pu --- Two northern playwrights in the early Yuan

School College of Letters, Arts and Sciences

Degree Master of Arts

Degree Program East Asian Area Studies

Publication Date 09/15/2017

Defense Date 07/20/2017

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag Han,Hua-Yi distinction,northern playwrights,OAI-PMH Harvest,Yuan drama

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Sheehan, Brett (committee chair), Bernards, Brian (committee member), Goldstein, Josh (committee member)

Creator Email xuemengh@usc.edu,xuemengh19930115@gmail.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-427592

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Legacy Identifier etd-HuangXueme-5722.pdf

Dmrecord 427592

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Rights Huang, Xuemeng

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

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