1
Key Concept 1.2. Continuity and Innovation of State Forms and Their Interactions
Big Picture: State formation in this era demonstrated remarkable continuity, innovation and diversity in various
regions. In Afro-Eurasia, some states attempted, with differing degrees of success, to preserve or revive imperial
structures, while smaller, less centralized states continued to develop, such as trading city-states. The expansion of
Islam introduced a new concept — the Caliphate — to Afro-Eurasian statecraft. Pastoral peoples, such as the
Turks and the Mongols, in Eurasia built powerful and distinctive empires that integrated people and institutions
from both the pastoral and agrarian worlds. In the Americas, powerful states, mainly the Aztecs and the Incas,
developed in both Mesoamerica and the Andean region.
I. Empires collapsed (the classical empires, such as Rome, Han and Gupta) and were reconstituted (rebuilt in
the design of the classical foundations, but with new developments); in some regions new state forms emerged.
A. Following the collapse of empires, most reconstituted governments, including the Byzantine Empire and
the Chinese dynasties — Sui, Tang, and Song — combined traditional sources of power and legitimacy with
innovations better suited to their specific local context. Empires in the Post-Classical period continued many of the
Classical imperial designs and innovations, and developed new methods and combined these to create new forms of
administration and authority. Therefore, they are known as successor states. The Byzantine Empire developed out of the
Eastern Roman Empire. When the Western Roman Empire collapsed in the 5th century CE, the Eastern Roman Empire,
known as the Byzantine Empire continued for 1,000 more years until it collapsed in the 15th century by the Ottoman
Turks. The Chinese Empires, Sui, Tang and Song, continued the dynastic tradition established by the earlier Qin and Han
Dynasties.
Examples of traditional sources of power and legitimacy: By traditional sources of power, these are the social,
cultural, political and economic structures that have been reinforced by political institutions; however they are much
broader than simple institutional developments. These have persisted for thousands of years and continued to provide a
great deal of structure for most people’s lives.
• Patriarchy – Patriarchy, or male-dominated societies, has traditionally provided the center of social and political
power in government, in the home and in business. Filial Piety in China and Paterfamilias in Europe were more
formalized and articulated than most other societies, but patriarchy was pervasive in agricultural societies, with
very few exceptions.
• Religion – When used in conjunction with politics, religion provides a strong bond for the people and the rulers.
Rulers would use religion to justify or legitimize their rule over the people. Religion provides a great deal of
traditional structure for political authority and legitimacy. Confucian authority in East Asia, Hindu order in South
Asia, Christianity in Europe, and Islam in the Middle East all provided political authority and legitimacy to the
empires. Byzantine alignment with Eastern Orthodox Christianity, Tang China’s use of Confucian values and
ethics and the Caliphates theocratic rule all use religion specifically to provide greater power and authority as well
as legitimacy.
• Land-owning elites – Land has historically been the primary source of wealth, and since land and wealth is
typically passed down to the oldest male (primogeniture), this wealth became hereditary. This traditional social
order also provided a great deal of social order, as well was used to justify nobility, or noble blood. This provided
a distinction between the commoners/peasants and the elite classes and provided power and legitimacy to the
inequality in society and politics.
Examples of innovations:
• New methods of taxation – The Byzantine Empire developed a system of reward and taxation known as the
Theme System in which the central Byzantine government appointed a military governor over a province (theme).
These military generals were then in charge of recruiting armies from the local peasantry which strengthened the
peasantry, made them a more profitable and reliable source of labor and taxation, which greatly enhanced the
power of the Byzantine Empire. Early on in the Tang Dynasty in China, the government developed the equal-field
, 2
system as a way of equally distributing land and collecting taxation. Attempting to learn from the failures of the
collapsed Han Dynasty, the equal-field system tried to prevent land from passing down among families and
redistribute it to peasants and families as needed. This would allow for effective taxation systems, prevent
consolidation of too much wealth into family hands, and prevent rebellious peasants. It provided effective stability
and prosperity in the countryside.
• Tributary systems – Tributary systems are “taxes” levied on subject peoples by a group that has conquered them.
While the tribute paid could be in the form of money, it was typically in the form of goods, slaves, or luxury
items. This tribute was paid to show allegiance to the central authority and pay to maintain some level of local
autonomy or simply prevent further military conquest. The Aztec Empire in Mesoamerica, the Chinese conquests
of Korea and Vietnam, and the Mongol Empire across Eurasia effectively used tribute systems to impose their rule
and furnish their central governments with goods from across their territories.
• Adaptation of religious institutions – The Byzantine Empire effectively aligned the Eastern Orthodox Church
with the imperial government. The notion of caesaropapism provided cultural and political power to the
Byzantine Emperor. Just as Roman Emperors in the Classical Period had absolute political authority, so too did
Byzantine Emperors. Additionally, however, Byzantine rulers had power over the Orthodox Church, and were able
to make decisions over church doctrines, teachings and ceremonies. The Song Dynasty had to deal with the
growing popularity of Buddhism. The Song Dynasty continued to use Confucian ideas and the printing press to
disseminate Confucian writings as well as the promotion of the civil service exam based on Confucian Classics to
develop bureaucrats. The syncretic Neo-Confucianism also enjoyed official sanction under the Song Dynasty
until the 20th century.
B. In some places, new forms of governance emerged; including those developed in various Islamic states,
the Mongol Khanates, city-states, and decentralized government (feudalism) in Europe and Japan.
Examples of Islamic states:
• Abbasids – The Abbasid Caliphate that developed around Baghdad in the Middle East was a new political
development due to its theocratic nature. The ruling caliph not only had absolute political and military authority,
but was also the chief judge and religious leader. The use of religious officials in local administration and the use
of the Quran and Sharia law created a solidly theocratic state that also allowed the following of other religions,
namely “Peoples of the Book” (Christians and Jews) as long as they paid the jizya tax.
• Muslim Iberia – In Al-Andalus, or Muslim Spain, Muslim rulers (Umayyad) refused to recognize the authority of
the Abbasid Caliphate. These rulers, because of the diversity of their population, were much religiously tolerant of
the Jewish and Christian population, which led to a cultural flourishing of Ancient Greek, Roman, early Christian,
Arab, Islamic and Persian influences. These small, decentralized states were a bridge between the cultural
developments in the Islamic world and the feudal societies of Europe.
• Delhi Sultanates – Turkish conquers into Northern India established the sultanate of Delhi based on Islamic faith.
However, because India was a predominately Hindu state, Muslim rule consistently met with Hindu resistance.
With very little bureaucratic or administrative institutions, the Delhi Sultans relied on the allegiance of the local
Hindu kings and princes. As with most of Indian history, Hinduism kept India decentralized although it was
relatively stable because of the rigid caste system that provided social, economic and political order.
Mongol Khanates – The Mongols were ruled by a khan. With the conquest of Eurasia by the Mongols led by
Chinggis (Genghis) Khan in the 12th century, the Mongols established a massive land empire (largest in world
history). With the death of Chinggis Khan, the Mongol Empire was divided into 4 Khanates; each khanate was ruled
by a lesser khan, while maintaining allegiance to the ultimate khan. The four khanates were the Golden Horde in
Russia, the Il-khanate in Persia, the Yuan Dynasty in China and the Chagatai khanate in Central Asia. This loosely
unified empire used administrators, bureaucrats and advisors from across Eurasia to help administer the empire. The
khanates were almost entirely autonomous, each with very different governing styles, most of them adopted from
local traditions. For instance, in China, the Mongols (called the Yuan Dynasty) adopted the Chinese dynastic system
mainly under the leadership of Kublai Khan. The Mongols initially rejected the Chinese Confucian order and civil
service exam to select bureaucrats in favor of a diverse group of advisors, mainly Buddhists, Muslims, Christians and
Daoists.
Key Concept 1.2. Continuity and Innovation of State Forms and Their Interactions
Big Picture: State formation in this era demonstrated remarkable continuity, innovation and diversity in various
regions. In Afro-Eurasia, some states attempted, with differing degrees of success, to preserve or revive imperial
structures, while smaller, less centralized states continued to develop, such as trading city-states. The expansion of
Islam introduced a new concept — the Caliphate — to Afro-Eurasian statecraft. Pastoral peoples, such as the
Turks and the Mongols, in Eurasia built powerful and distinctive empires that integrated people and institutions
from both the pastoral and agrarian worlds. In the Americas, powerful states, mainly the Aztecs and the Incas,
developed in both Mesoamerica and the Andean region.
I. Empires collapsed (the classical empires, such as Rome, Han and Gupta) and were reconstituted (rebuilt in
the design of the classical foundations, but with new developments); in some regions new state forms emerged.
A. Following the collapse of empires, most reconstituted governments, including the Byzantine Empire and
the Chinese dynasties — Sui, Tang, and Song — combined traditional sources of power and legitimacy with
innovations better suited to their specific local context. Empires in the Post-Classical period continued many of the
Classical imperial designs and innovations, and developed new methods and combined these to create new forms of
administration and authority. Therefore, they are known as successor states. The Byzantine Empire developed out of the
Eastern Roman Empire. When the Western Roman Empire collapsed in the 5th century CE, the Eastern Roman Empire,
known as the Byzantine Empire continued for 1,000 more years until it collapsed in the 15th century by the Ottoman
Turks. The Chinese Empires, Sui, Tang and Song, continued the dynastic tradition established by the earlier Qin and Han
Dynasties.
Examples of traditional sources of power and legitimacy: By traditional sources of power, these are the social,
cultural, political and economic structures that have been reinforced by political institutions; however they are much
broader than simple institutional developments. These have persisted for thousands of years and continued to provide a
great deal of structure for most people’s lives.
• Patriarchy – Patriarchy, or male-dominated societies, has traditionally provided the center of social and political
power in government, in the home and in business. Filial Piety in China and Paterfamilias in Europe were more
formalized and articulated than most other societies, but patriarchy was pervasive in agricultural societies, with
very few exceptions.
• Religion – When used in conjunction with politics, religion provides a strong bond for the people and the rulers.
Rulers would use religion to justify or legitimize their rule over the people. Religion provides a great deal of
traditional structure for political authority and legitimacy. Confucian authority in East Asia, Hindu order in South
Asia, Christianity in Europe, and Islam in the Middle East all provided political authority and legitimacy to the
empires. Byzantine alignment with Eastern Orthodox Christianity, Tang China’s use of Confucian values and
ethics and the Caliphates theocratic rule all use religion specifically to provide greater power and authority as well
as legitimacy.
• Land-owning elites – Land has historically been the primary source of wealth, and since land and wealth is
typically passed down to the oldest male (primogeniture), this wealth became hereditary. This traditional social
order also provided a great deal of social order, as well was used to justify nobility, or noble blood. This provided
a distinction between the commoners/peasants and the elite classes and provided power and legitimacy to the
inequality in society and politics.
Examples of innovations:
• New methods of taxation – The Byzantine Empire developed a system of reward and taxation known as the
Theme System in which the central Byzantine government appointed a military governor over a province (theme).
These military generals were then in charge of recruiting armies from the local peasantry which strengthened the
peasantry, made them a more profitable and reliable source of labor and taxation, which greatly enhanced the
power of the Byzantine Empire. Early on in the Tang Dynasty in China, the government developed the equal-field
, 2
system as a way of equally distributing land and collecting taxation. Attempting to learn from the failures of the
collapsed Han Dynasty, the equal-field system tried to prevent land from passing down among families and
redistribute it to peasants and families as needed. This would allow for effective taxation systems, prevent
consolidation of too much wealth into family hands, and prevent rebellious peasants. It provided effective stability
and prosperity in the countryside.
• Tributary systems – Tributary systems are “taxes” levied on subject peoples by a group that has conquered them.
While the tribute paid could be in the form of money, it was typically in the form of goods, slaves, or luxury
items. This tribute was paid to show allegiance to the central authority and pay to maintain some level of local
autonomy or simply prevent further military conquest. The Aztec Empire in Mesoamerica, the Chinese conquests
of Korea and Vietnam, and the Mongol Empire across Eurasia effectively used tribute systems to impose their rule
and furnish their central governments with goods from across their territories.
• Adaptation of religious institutions – The Byzantine Empire effectively aligned the Eastern Orthodox Church
with the imperial government. The notion of caesaropapism provided cultural and political power to the
Byzantine Emperor. Just as Roman Emperors in the Classical Period had absolute political authority, so too did
Byzantine Emperors. Additionally, however, Byzantine rulers had power over the Orthodox Church, and were able
to make decisions over church doctrines, teachings and ceremonies. The Song Dynasty had to deal with the
growing popularity of Buddhism. The Song Dynasty continued to use Confucian ideas and the printing press to
disseminate Confucian writings as well as the promotion of the civil service exam based on Confucian Classics to
develop bureaucrats. The syncretic Neo-Confucianism also enjoyed official sanction under the Song Dynasty
until the 20th century.
B. In some places, new forms of governance emerged; including those developed in various Islamic states,
the Mongol Khanates, city-states, and decentralized government (feudalism) in Europe and Japan.
Examples of Islamic states:
• Abbasids – The Abbasid Caliphate that developed around Baghdad in the Middle East was a new political
development due to its theocratic nature. The ruling caliph not only had absolute political and military authority,
but was also the chief judge and religious leader. The use of religious officials in local administration and the use
of the Quran and Sharia law created a solidly theocratic state that also allowed the following of other religions,
namely “Peoples of the Book” (Christians and Jews) as long as they paid the jizya tax.
• Muslim Iberia – In Al-Andalus, or Muslim Spain, Muslim rulers (Umayyad) refused to recognize the authority of
the Abbasid Caliphate. These rulers, because of the diversity of their population, were much religiously tolerant of
the Jewish and Christian population, which led to a cultural flourishing of Ancient Greek, Roman, early Christian,
Arab, Islamic and Persian influences. These small, decentralized states were a bridge between the cultural
developments in the Islamic world and the feudal societies of Europe.
• Delhi Sultanates – Turkish conquers into Northern India established the sultanate of Delhi based on Islamic faith.
However, because India was a predominately Hindu state, Muslim rule consistently met with Hindu resistance.
With very little bureaucratic or administrative institutions, the Delhi Sultans relied on the allegiance of the local
Hindu kings and princes. As with most of Indian history, Hinduism kept India decentralized although it was
relatively stable because of the rigid caste system that provided social, economic and political order.
Mongol Khanates – The Mongols were ruled by a khan. With the conquest of Eurasia by the Mongols led by
Chinggis (Genghis) Khan in the 12th century, the Mongols established a massive land empire (largest in world
history). With the death of Chinggis Khan, the Mongol Empire was divided into 4 Khanates; each khanate was ruled
by a lesser khan, while maintaining allegiance to the ultimate khan. The four khanates were the Golden Horde in
Russia, the Il-khanate in Persia, the Yuan Dynasty in China and the Chagatai khanate in Central Asia. This loosely
unified empire used administrators, bureaucrats and advisors from across Eurasia to help administer the empire. The
khanates were almost entirely autonomous, each with very different governing styles, most of them adopted from
local traditions. For instance, in China, the Mongols (called the Yuan Dynasty) adopted the Chinese dynastic system
mainly under the leadership of Kublai Khan. The Mongols initially rejected the Chinese Confucian order and civil
service exam to select bureaucrats in favor of a diverse group of advisors, mainly Buddhists, Muslims, Christians and
Daoists.
