Divination, Mythology and Monarchy in Han China by Michael Loewe

Chinese empires were established by force of arms, but sustained by religious rites and intellectual theory. The four centuries from 206 BC to AD 220 witnessed major changes in the state cults and the concepts of monarchy, while various techniques of divination were used to forecast the future or to solve immediate problems. Michael Loewe examines these changes and the links between religion and statecraft. While both mythology and the tradition nurtured by the learned affected the concept and practice of monarchy throughout the period, the political and social weaknesses of the last century of Han rule bring into question the success that was achieved by the imperial ideal. Nevertheless that ideal and its institutions were of prime importance for the understanding of Han times and for the influence they exercised on China's later dynasties.

University of Cambridge Oriental Publications 48 Divination, mythology and monarchy in Han China

A series list is shown at the back of the book

Divination, mythology and monarchy in Han China MICHAEL LOEWE Cambridge University

CAMBRIDGE UNIVERSITY PRESS

Published by the Press Syndicate of the University of Cambridge The Pitt Building, Trumpington Street, Cambridge CB2 lRP 40 West 20th Street, New York, NY 10011--4211, USA 10 Stamford Road, Oakleigh, Melbourne 3166, Australia © Faculty of Oriental Studies, University of Cambridge, 1994

First published 1994 Printed in Great Britain at the University Press, Cambridge A catalogue record for this book is available from the British Library Library of Congress cataloguing in publication data

Loewe, Michael. Divination, mythology and monarchy in Han China / Michael Loewe. p. cm. - (University of Cambridge oriental publications; 48) Includes bibliographical references and index. ISBN 0 521 45466 2 (hardback) I. Religion and state-China. 2. China-History-Han dynasty, 202 BC-220 AD I. Title. II. Series. BL65.S8L64 1994 299'.512177'09014-
VN

TO THE MEMORY OF TOON HULSEWE

(1910--93)

AND TO EDWARD SHI LS TWO FRIENDS AND TEACHERS IN DEEP GRATITUDE 1''0R THIRTY YEARS OF UNFAILING SUPPORT AND ENCOURAGEMENT

CONTENTS

List of figures Preface Acknowledgements List of abbreviations

page x1 xm xv xvi

Introduction: the history of the early empires 1 Man and beast: the hybrid in early Chinese art and literature 2 Water, earth and fire: the symbols of the Han dynasty 3 The Han view of comets 4 The authority of the emperors of Ch'in and Han 5 The term K'an-yii and the choice of the moment 6 Imperial sovereignty: Tung Chung-shu's contribution and his predecessors 7 The cult of the dragon and the invocation for rain 8 Divination by shells, bones and stalks during the Han period 9 The oracles of the clouds and the winds 10 The Almanacs (Jih-shu) from Shui-hu-ti: a preliminary survey 11 The Chiieh-ti games: a re-enactment of the battle between Ch'ih-yu and Hsiian-yiian? 12 The failure of the Confucian ethic in Later Han times 13 The imperial tombs of the Former Han dynasty and their shrines

1 38 55 61 85 112

List of Han emperors Glossary Bibliography Index

300 302 317 343

IX

121 142 160 191 214 236 249 267

FIGURES

2 3 4 5 6 7

8 9

10

11 13 14 15

16

Map of the Han empire 195 BC; reproduced from The Cambridge History of China, vol. I, p. 125. page Map of the Han empire AD 140; reproduced from The Cambridge History of China, vol. I, pp. 252-3. The silk manuscript from Ch'u; from Barnard (1972-3), vol. II, folded sheet in rear cover pocket. The twelve peripheral figures of the Ch'u silk manuscript; from Barnard (1972), p. 2. Examples of Tongue and Antler figures; from Barnard (1972), p.18. Decorative figures from the coffins of tomb no. 1, Ma-wang-tui; from KK 1973.4, p. 249, fig. 2. The Queen Mother of the West, with suppliants; reproduced from TOho gakuhO number 46 (Kyoto), March 1974, p. 63, fig.20. Pairs of birds and other animals in the art of Ch'u; from Barnard (1972), pp. 14-15. (i) J'he lacquered screen from Wang shan; from Barnard (1972), p. 17; (ii) Reliefs from I-nan, Shan-tung; from Finsterbusch (1966-71), table 95. Illustrations to the Classic of the Mountains and the Lakes; from an edition of 1893, which reproduces woodcuts of before 1667. and 12 Illustrations of comets, from the silk manuscript from Ma-wang-tui; from WW 1978.2, plates 2, 3. Figures seen in the clouds, from the silk manuscript from Ma-wang-tui (for source, see p. 192 note 2). Figures seen in the clouds, from Chan yiin ch'i shu (for source, seep. 198 note 25). Transcription of strips nos. 730-42, from Shui-hu-ti; transcribed by Dr Howard Goodman and reproduced from Asia Major, third series, vol.I, part II, 1988, p. 6. The chiieh-ti as portrayed in the San ts'ai t'u hui. xi

xviii x1x 43 44 47 48

50 51

53

54 63/4 194 199

219 239

xu

List offigures

17 Scene from a relief from a Han tomb in Nan-yang, interpreted as chiieh-ti; from WW 1973.6, 19 and 21, fig. 3. 18 The imperial tombs of the eleven Former Han Emperors; after Liu Ch'ing-shu and Li Yu-fang (1987), p. 2, fig. 1.

240

PREFACE

275

I am glad to express my thanks to the Publications' Committee of the Faculty of Oriental Studies, Cambridge, for the opportunity to reprint these articles. They concern three themes that recur in most aspects of China's early imperial history, and which drew the attention of many of the leading men of the day, i.e., the ever present call of mythology, the prevalence of divination in public and private life and V1e development of concepts of imperial sovereignty. To these I have added an introductory chapter which seeks to show how the study of this period of history has developed in the last few decades, and in doing so to acknowledge my deep debt to those scholars from Asia, America, Australia or Europe who have made such developments possible. It is a matter of satisfaction that a number of the articles that are reproduced here owed their origin to invitations to contribute to volumes published in honour of some of those colleagues. Tributes to Werner Eichhorn, Karl Bunger, Derk Bodde, Anthony Hulsewe and Tilemann Grimm are thus included here as chapters 2, 4, 7, 11 and 12. As each of the following chapters was written for publication independently, there is necessarily some degree of duplication, which has not been removed in the process of editing for inclusion in this volume. The chapters thus remain as separate studies; and while the later ones build on themes set out at earlier stages, they are not dependent on one another and may be read as individual items. New information or references that have become available since the original publication have usually been added to the notes within square brackets; on a few occasions extra information has been placed separately in an addendum to a chapter. As different conventions and methods of reference had been required for different publishing houses, it has been necessary for the sake of consistency to redraft all the footnotes, and to provide a complete bibliography. The following have kindly given permission to reprint from books or periodicals that they have published or edited: The Editor of Asia Major, Princeton Attempto Verlag, Tubingen E. J. Brill and the Editors of T'oung Pao, Leiden Xlll

xiv

Preface

The Editor of Early China, Chicago Gesellschaft fi.ir Natur-und Volkekunde Ostasiens, Hamburg Otto Harrassowitz, Wiesbaden Hong Kong University Press The Editor of Numen, Bremen Ostasiatiska Museet, Stockholm The School of Oriental and African Studies, London Where it is necessary to distinguish between homophones, letter references are appended t~ proper names ~nd terms, both in the text and the glossary. These are usually i~cluded at the first occurrence of a term in a chapter, but they are not necessanly repeated where ambiguity is unlikely; nor are they included for well-known expressions such as dynastic titles. The names and titles that are given in the bibliography are not repeated in the glossary.

ACKNOWLEDGEMENTS

The author thanks the editors and publishers of the following books and jol,lmals in which the articles collected in this volume have previously appeared: 1.

2.

3. 4. 5. 6. 7. 8. 9. ! .

10. 11.

12.

13.

Numen, vol. 25, fascicule 2 (1978), 97--117. Nachrichten der Gesellschaft fur Natur- und Volkerkunde Ostasiens/ Hamburg, vol. 125 (1979), 63-8 (this article was dedicated to Werner Eichhorn on his eightieth birthday). Bulletin of the Museum of Far Eastern Antiquities, vol. 52 (1980), 1-31 Dieter Eikemeier and Herbert Franke (eds.), State and law in east Asia; festschrift Karl Bunger (Wiesbaden, 1981), 80--111. Early China, vol. 9/10 (1983-5), 204-17. S. R. Schram (ed.), Foundations and limits of state power in China (London and Hong Kong, 1987), 33-57. Charles le Blanc and Susan Blader (eds.), Chinese ideas about nature and society: studies in honour of Derk Rodde (Hong Kong, 1987), 195-213 T'oung Pao, vol. 74 (1988), 81-118. Bulletin of the School of Oriental and African Studies, vol. 51, part 3 (1988), 500-20. Asia Major, 3rd series, vol. 1, part 2 (1988), 1--27. W. L. Idema and E. Zurcher (eds.), Thought and law in Qin and Han China: studies dedicated to Anthony Hulsewe on the occasion of his eightieth birthday (Leiden, 1990), 140-57. Peter Kuhfus (ed.), China Dimensionen der Geschichte: Festschrift fur Tilemann Grimm anliisslich seiner Emeritierung (Tiibingen, 1991 ), 179202. T'oung Pao, vol. 78 (1992), 302--40.

xv

List of abbreviations LSCC MH

ABBREVIATIONS

MSOS PHT SC

sec

The following abbreviations are used in the notes and bibliography AM BEFEO BIHP BMFEA BSOAS

cc

CCFL CFL CHOC CPAM CS CYYY EC FSCS GSR HFHD HHC HHS HHSCC HJAS HNT HS HSPC JAOS JRAS KGYWW KK KKHP LC LH

Asia Major Bulletin de !'Ecole Franr;aise de !'Extreme Orient Bulletin of the Institute of History and Philology Bulletin of the Museum of Far Eastern Antiquities Bulletin of the School of Oriental and African Studies Michael Loewe, Crisis and Conflict in Han China 104 BC to AD9 Ch 'un-ch 'iu fan-lu Ch 'ien-ju lun Cambridge History of China, vol. I Committee for the Preservation of Ancient Monuments Chin shu See BIHP Early China Fan Sheng-chih shu Bernhard Karlgren, Grammata Serica Recensa Homer H. Dubs, The History of the Former Han Dynasty Hou Han chi Hou Han shu Hou Han shu chi-chieh Harvard Journal of Asiatic Studies Huai-nan-tzu Han shu Han shu pu chu Journal of the American Oriental Society Journal of the Royal Asiatic Society Kaogu yu wenwu Kaogu K'ao ku hsueh pao Li chi Lun heng xvi

SHC SKC SMYL SPPY SPTK SS SSC

TCTC TP TPYL TSCC TSK WW YTL ZDMG

Lu shih eh 'un-ch 'iu Edouard Chavannes, Les memoires historiques de Se-ma Ts'ien Mitteilungen das Seminars fur Orientalische Sprachen Po hu t'ung Shih-chi Joseph Needham et al., Science and Civilisation in China Shan-hai ching San kuo chih Ssu min yueh ling Ssu pu pei yao Ssu pu ts'ung k'an Suishu Shih san ching chu shu Tzu-chih t 'ung-chien T'oung Pao T'ai-p'ing yu-lan Ts'ung shu chi ch'eng TOyoshi kenkyu Wen wu Yen-t'ieh lun Zeitschrift der Deutschen M orgenlandischen Gesellschaft

xvii

Figure 1 Map of the Han empire 195 BC.

Figure 2 Map of the Han empire AD 140.

Introduction The history of the early empires

The place and development of the subject Up to 1949, western sinologists had concentrated almost exclusively on two periods or aspects of Chinese civilisation, one very early and one almost contemporary. Beginning with the Jesuit scholars of the sixteenth and seventeenth centuries, pioneers in the subject had set themselves two tasks; they needed both to converse in the spoken language and to read China's classical texts. Only fluent command of the dialect of the officials and influential families of Peking would enable them to talk to their hosts on terms of equality; only a familiarity with their hosts' written tradition would demonstrate that the foreigners were men of culture. They therefore determined to learn how to read classical writings so that, in the course of learned conversation, they would demonstrate to their hosts the serious nature of their studies and their good faith in claiming an interest in the products of Chinese civilisation. The early missionaries thus embarked on the arduous study of the earliest stages of China's philosophy and religion for which information and instruction would be available, and in so doing they necessarily depended on the guidance provided by their Chinese teachers. These latter had been trained to a man so as to satisfy the demands of the imperial civil service; since boyhood they had been imbued with a deep respect for the China which, they had learnt, had preceded the establishment of the first of the empires in 221 BC. Following their teachers' examples, the early fathers directed their efforts to elucidating the texts of those early centuries; they strove to understand the precepts and ideas of China's first recorded thinkers, formulated up to two thousand years before their own time. Such a precedent laid its mark on the training in Chinese studies which the much more numerous and varied band of western visitors of the nineteenth century received. But by then major changes had taken place, in the growing frequency and complexity of contacts between the countries of the West and the Ch'ing empire, and in the emergence of new demands and new ambitions that the visitors harboured. A new type of foreigner, with different aims and needs, was settling in the missionary houses of the interior, the Legation Quarter of Peking, or the offices and godowns of the Treaty Ports. The 1

2

Divination, mythology and monarchy

newcomers were engaged in persuading local officials to allow them to preach the word of God; or they were acting out the niceties of international diplomacy at the capital city; or they were seeking the most favourable terms for the conduct of their business. As consuls or journalists they were also in duty bound to keep the West informed of the state of the country and its prospects. For such men and women a study of China and its culture was of a more practical nature than that which the earlier missionaries had espoused. Their interest lay in the way oflife that they saw practised around them, in the institutions and legal prescriptions of the existing government or the opportunities for trade that they espied in China's ports and markets. In such circumstances attention to the developments of the two thousand and more years that intervened between the Chou period (c. 1045-221 BC) and the days of the Dowager Empress (1835-1908) tended to be neglected. As a result western observers were largely oblivious of the greater part of China's imperial history, and the foreign policies adopted by their governments were sadly inhibited by such ignorance. Diplomats accepted the conditions they encountered in the latter decades of the nineteenth century as the norm; they took the apparent weakness of government to be usual, and they saw no reason to suppose that China would be capable of organising cohesive policies, of mustering strength to see them implemented or of acting in full confidence of the glories of the past. There can be little surprise that the emergence of a strong united China in 1949 startled the corridors of power of the western world; for they had not learnt of previous occasions when comparable developments had taken place. By then a fresh impetus had developed in Chinese studies. Although the greater part of the new effort was being devoted to an assessment of the contemporary scene of the mid-twentieth century, academic circles had at last woken up to the realisation of a basic truth; that if China's history was to be understood at all, the two thousand years of the empires demanded a detailed study and a systematic appreciation; and that without such an appreciation many of the motives and activities of the twentieth century could not be explained satisfactorily. For some fifty years a number of distinguished centres oflearning in the West have fostered a:r;i interest in such studies, and a review of their achievements is now due. The following pages will be concerned with the attention paid to the history of the Ch'in and Han dynasties, between 221 BC and AD 220, both by western scholars and their colleagues of East Asia. An attempt will be made to summarise their main work and to point to some of the problems that are now calling for research. The early efforts of the West

Fifty years ago textual and philological enquiries characterised Chinese studies in the West. The magnificent work of scholars such as Couvreur and Legge 1 in

History of the early empires

translating the classical texts had been followed by the young Arthur Waley, exceptional in that he turned his attention to translating poetry of the Han and rang periods, and sawsomeofhis work in print by 1918. 2 But even before then one of the earliest ventures of a western scholar to delve into the history of the early empires had begun and borne fruit. This was the work of Edouard Chavannes, whose prime interest had indeed been in the philosophy of the pre-imperial period. But in 1888 he had been persuaded that he would be well advised to turn his attention elsewhere, in view of the impact made on the western world by Legge's work in that subject. Chavannes' monumental translation of forty-seven chapters of the Shih-chi, fully annotated, followed with surprising speed between 1895 and 1905. 3 The output of a pioneer who was one of the exceptions of his time, these five volumes were completed in accordance with the highest professional standards; their treatment of the subject may be described as the West's first exercise in analytical criticism of a period of Chinese history. The introduction brought into question the authority or validity of the original work; the translation and notes presented the Shih-chi in a manner that would engage the attention and interest of the learned world of the day. Most members of that world had been trained in Greek and Roman philosophy, literature and history; their horizons were being widened by the archaeological discoveries of the Ancient Near East, Egypt and the Mediterranean lands; they were pondering the riches oflndia's cultural heritage. Thanks to Chavannes they were now able to catch a glimpse of China's Standard Histories. To reach the high standard of his Memoires historiques, Chavannes had been able to call on the fruits of nearly two thousand years of China's own scholarship. This was of particular value in those early days of the West's study of Ch'in and Han history, as it was the Shih-chi and the other two histories of the period (the Han shu and the Hou Han shu) that had inspired comments and annotation, beginning with Ying Shao (c. 140 to before 204) and extending in Chavannes' own time to Wang Hsien-ch'ien (1842-1918). The latter's awe-inspirjng work4 (published in 1900) was hardly available to Chavannes at the time when he was translating the Shih-chi; but Homer H. Dubs, whose annotated translation of certain chapters of the Han shu appeared between 1938 and 1955, did enjoy that advantage. 5 Without decrying the achievements of those two scholars, it may none the less be remarked that they could not have been expected to utilise such work to the full. For the Chinese commentators had been trained during the centuries of the imperial age and they had penned their notes for the benefit of readers who shared the same scholarly background. As yet westerners could hardly be expected to be sufficiently familiar with the whole Chinese tradition to evaluate that background, or to understand the inhibitions imposed on officially sponsored scholarship. 2 4

1

Couvreur (1913) and (1914); Legge (1861-72).

3

3 Chavannes (1895-1905). Waley (1918). See under Pan Ku and Fan Yeh, for Wang Hsien-ch'ien's annotated editions of the Han shu (1900) and Hou Han shu (1924). ' Dubs (1938-55).

4



Certain aids were beginning to appear, which would both clarify the attainments of the scholars of the Ch'ing period, and bring other material to bear on an understanding of the early empires. Japanese scholars had been far from dormant, producing a number of annotated editions of the early Chinese texts that historians needed to read; teachers at Japanese schools and universities were beginning to be able to call on a number of textbooks on the subject; and several Chinese and Japanese journals were soon to carry essays in historical criticism. 6 Meanwile Japanese adventures on the continent had stimulated work on a few archaeological sites of the Han period, and several illustrated monographs had appeared, for example, on Lo-lang (1930; in Korea) and Ying-ch'eng-tzu (1934; in Liao-ning). 7 Some of China's own scholars, freed from the duty of interpreting history so as to serve the needs of the imperial system, were publishing highly critical articles on textual, historical or philosophical questions in the Ku shih pien (1926-41). The Harvard-Yenching Institute's indexes of the three Standard Histories appeared in 1940, 1947 and 1949. The discovery of manuscripts

In the meantime the first accounts were to hand of the fragmentary manuscripts discovered by Sir Aurel Stein during his first two expeditions of 1900-1 and 1907--8. To the great credit of the author, the Trustees of the British Museum and the Clarendon Press, Chavannes' volume of photographs, transcriptions and translations of the thousand wooden strips from the military lines at Tun-huang was published in 1913; Wang Kuo-wei and Lo Chen-yii's work on the same documents appeared in 1914; but the learned world had to wait until 1953 for the posthumous publication of Maspero's work on the manuscripts that Stein had brought to light in his third expedition (_ of 1913-15. Maspero had himself perished in Buchenwald in 1945. 8 Two subsequent major developments, each bringing new evidence to bear on existing problems, stimulated new research in Ch'in and Han history, both in China and Japan and in the West. The first concerned the discovery of manuscript texts in far greater volume, with more varied contents and in far better condition than the fragments from Tun-huang; the second concerned the evidence of newly exacavated archaeological sites, particularly from 1950 onwards, and the wealth of artifacts that they contained. Exploring to the east of Tun-huang from 1927 to 1934, Sven Hedin had come across further remains of the Han lines of defences, at sites known as Chii-yen or Etsingol. Embedded in the walls, or abandoned in the rubbish • Kambun editions of the Shih chi may be found in Ni dai kanseki koku jikai (1919·-20), and Kambun taikei (1911 ); for general histories of China, see Ichimura (1939-50) and Wada ( 1950); critical essays appeared in the Ku shih pien from 1926, and in journals such as the T6y6 gakuh6 from 1911 and the T6h6 gakuh6 (both Tokyo and Kyoto series) from 1931. 7 Harada and Tazawa (1930); Ying-ch'eng-tzu (1934); Rakur6 (1934); Rakur6 (1935). • Chavannes (1913); Wang and Lo (1914); Maspero (1953).

5

pits, there survived extensive parts of the documents whereby the Han forces had been controlled and administered. The subject matter of this new material was of the same type as that found at Tun-huang; its form was identical; and the dates mentioned in the inscriptions covered approximately the same period, running from c. 100 BC to c. AD 100. As at Tun-huang the finds consisted of dismembered parts of documents that had been inscribed on foot long (Han feet: i.e., 23 cm) strips, mainly of tamarisk, but also of bamboo or other woods. Originally such strips had been fastened together by cords thus maintaining the documents in their integrity. When the cords became unloosed or broken, or when they had rotted, the component parts were dispersed, and many of them were snapped into pieces. Two features distinguished these finds from those that Sir Aurel Stein had come across at Tun-huang. In the first instance they were 'far more extensive, numbering some 10,000 rather than 1,000 pieces; secondly the new finds included two examples of documents which were still intact, with the cords that bound the strips together still fulfilling their function. Working in the most adverse conditions of war-stricken Ch'ungking, in 1943 Lao Kan published a set of mimeographed transcriptions of these fragments; a printed version followed in 1949, but it was only in 1957 that photographs of the originals became available for study, in publications from Taipei and shortly from Peking (1959). 9 In the meantime the documents themselves had suffered a strange experience, of the type that seems only too frequently to dog the footsteps of unique manuscripts. Early in the 1940s they had found their way to the United States of America, and for some thirty years they languished in the Library of Congress, whose custodians lacked the necessary authority to allow access to scholars. By about 1970 the strips and fragments had been returned to the care of Academia Sinica, Taipei, packed in the very same cases and wrappings in which they had left China some thirty, years previously; and at long last they were available for inspection and study') by approved scholars, on request. / In the meantime considerable work had been accomplished mainly by Japanese scholars including Fujieda Akira, Mori Shikazo, Nagata Hidemasa and Oba Osamu, to name but a few. 10 Working on the basis of the published photographs, they succeeded in correcting some of the readings that had been suggested and in solving a number of problems of interpretation, particularly of technical terms. As a result it became possible to start to build a convincing picture of the organisation of the Chinese forces at these remote parts of the Han empire between c. 100 BC and c. AD 100. It was also possible to suggest how some of the fragments could be assembled together as parts of one and the same original document, and to establish some of the routine procedures 9

'°

Lao Kan (1949), (1957), (1959) and (1960); Chii-yen Han chien chia pien ( 1959) and Chii-yen Han chien chia i pien (1980). Fujieda (1955); Mori (1975), Oba (1982) and Nagata (1989) include reprints or summaries of earlier studies.

6

whereby official documents were drafted, prepared for despatch and distributed.11 These fragments were shortly to be supplemented by even richer discoveries of texts written not only on wood or bamboo but in some cases on silk. It is difficult to overstate the significance of these finds for the history of the period. In the first place, they derived not only from sites in the north-west, such as Wu-wei (Kan-su), 12 but also from graves excavated in the interior of the Han empire, such as Ma-wang-tui (Hu-nan), Chiang-ling (Hu-pei), Shui-hu-ti (Hu-pei) and Yin-ch'i.ieh shan (Shan-tung); secondly, the subject matter of the newly found documents was often of an entirely different type from that of the strips from the north-west; and thirdly they were for the most part complete, if being sometimes in a rather poor state of preservation. In addition, further work at the site of Chii-yen (from 1972) had revealed even richer finds than those made by Sven Hedin, including a few more examples of multi-strip documents that were still intact. 13 Preliminary accounts of these discoveries soon appeared in the Chinese periodicals; and while a number of splendid monographs, with photographs tracings and transcriptions, have been published, 14 it has still not been possible to make all the texts available in this way. They include literary and philosophical works and historical annals; copies of the statutes and ordinances of the kingdom ofCh'in and the Han empire, and legal case-histories; almanacs, and documents that served the needs of divination. There are also manuals of medical practice and military strategy; tables drawn up by astronomers and a few copies of the calendar, the document that was indispensable for all aspects of administration and whose preparation and circulation was a closely guarded prerogative of imperial government. Some of these manuscripts are copies of literary works for which a received text, with voluminous commentaries, has long weighed down a librarian's shelves. By vindicating their accuracy to an astonishing degree, the manuscripts lend considerable strength to the authority of much of China's early literature. In some cases, such as the two copies of the Lao-tzu, where the manuscripts differ from the traditional versions in some important respects, considerable light has been shed on problems of textual transmission. 15 Sometimes the authenticity of a piece of writing that had been suspect has been proved. Of especial value are the copies of texts hitherto unknown to scholarship, such as the philosophical essays that precede or follow the Lao--tzu, and that are thought to derive from the Huang-Lao school. 16 Some of the almanacs which were written on wood included information set out in diagrammatic or tabular form. In addition to a few choice paintings on 11 14

16



12 Wu-wei Han chien. 13 Loewe (1986b). Loewe (1967), vol. I, chapter 2. Ch'ang-sha Ma-wang-tui i hao Han mu vol. 1, pp. 130--55, vol. 2, plates 270--92; Ma-wang-tui Han my po shu; Yin-eh 'iieh shan Han mu chu chien; Yiin-meng Shui-hu-ti Ch'in mu; Loewe (1977) 15 Henricks (1989). and (1981). Jan Yiin-hua (1977); for further references, see Loewe (1977), pp. 120.

7

religious themes, 17 the finds included the earliest examples of Chinese maps, on wooden boards (dated c. 239 BC), proto-paper (180--150 BC) and silk (c. BC).1s ,4-rchaeology

Up to 1939 archaeological work in China had been concentrated on pre-historical and pre-imperial periods. Together with Sinanthropus Pekinensis, for long reckoned to be the earliest of man's progenitors, there had been revealed a series of sites of the neolithic ages, distinguished as yet into the two principal groups or stages of Yang-shao and Lung-shan; and the series of eleven tombs at An-yang, with their hoard of magnificent bronzes, was being correctly identified as the cemetery of the Shang-Yin kings. As yet archaeological work had been largely organised without official participation, being sponsored in many cases by persons or organisations that lay outside China, and being led by European or Japanese specialists. In a few notable instances, Chinese palaeontologists and archaeologists such as Tung Tso-pin, Li Chi or P'ei Wen-chung had taken a major part in the work of the 1920s and 1930s. But apart from the illustrated catalogues printed by traditional Chinese collectors and antiquarians, little attention had so far been paid to sites and artifacts of the imperial ages. Bernhard Laufer's work on potteries (1909) and jades (1912), Wilma Fairbank's study of the Wu Liang shrines (from 1941) and Chavannes' investigation of sculpture and inscriptions (1893) formed the principal exceptions, together with the Japanese monographs on the sites which they had excavated. 19 Two major changes then intervened, the one concerning sponsorship of the work, the other regarding its extent. Resentful of the manner in which some of _ the rich treasures of jades, bronzes and ceramic wares had already been removed from China to adorn the galleries and museums of both the West and Japan, the new Chinese authorities of 1949 imposed controls to prevent such exports. Responsibility for excavation devolved on a series of committees and other organisations, established either at the capital city or in the provinces. In the early days a few Russian experts were called in to assist; but it was the Chinese authorities who allocated resources and organised the work. · At the same time the scope of archaeological investigation widened beyond expectation. Regional bodies began to undertake work in areas that had so far not been subject to investigation. It was realised that sites which dated from the long centuries after the kings of Chou were well worthy of study, and that the contents that they might yield could be of just as great a value in tracing the 17

Hsi Han po hua; Ch'ang-sha Ch'u mu po hua; for paintings of the Chan-kuo period see WW

1•

KK 1975.1.53; WW1975.2.35fand 43f; 1976.1, 18fand 24f; 1976.6.20f; 1989.2, 1-11, 12--22and

19

31, and plates III, IV. Chavannes (1893); Laufer (1909) and (1912); Fairbank, Wilma (1972); for the Japanese monographs, see note 7 above.

1989.10.53.

8

achievements of the people of China as those of the neolithic, Shang and Chou ages. The new impetus was in part due to reasons that were in no way academic. For as the work of national reconstruction gathered force, so were the builders and engineers, the miners and the farmers lighting more and more frequently on the material evidence of China's past. Faced with the slogan of 'Let the past serve the present', they were in duty bound to report such discoveries to the local committees, who would in turn alert the provincial or central authorities of the higher levels. As projects for laying down railway lines or establishing irrigation facilities moved on apace throughout the People's Republic, the number of finds that were reported and the sites that were investigated was little less than staggering. The bulldozer and the spade set to work with no considerations of stratigraphy; a high proportion of the evidence that they unearthed dated from the imperial ages, amounting, as it may be estimated, to well over 10,000 graves for Han times alone. Such were the results of what was basically rescue archaeology, and the ensuing embarras de richesse presented its own problems; there were not nearly enough specialists to examine the new discoveries fully; conservation of fragile materials, sometimes requiring control of temperature and humidity, could not always be assured; preparation of catalogues of the finds could involve specialist and skilled labour that simply did not exist (for example, the two royal tombs of Man-ch'eng, Ho-pei, included over a total of 4,200 items); 20 and publication of reports, with the necessary illustrations was costly. All such work was in any case limited by the financial shortages or other problems attendant on the growth of the People's Republic; at best it was subject to interruption or abandonment; at worst to the deliberate destruction of material evidence during the so-called cultural revolution. Regular reports of these discoveries began to appear in journals and monographs from 1950. As the years passed the inferior standard of the illustrations gave way to line-drawings and half-tones of greater clarity and quality, and eventually to colour plates. Reports were soon showing the results of applying modern techniques, such as radio carbon 14 tests and thermoluminescence, to the newly found artifacts. Quite soon news was forthcoming of graves and their furnishings that could be dated in the Ch'in or Han periods, and at times the occupant of a grave could be identified by name or date. Other work concerned newly found stone monuments and epitaph inscriptions that augmented those studied by antiquaries of the Sung period e.nd later; a few remains of city walls or buildings were identified. 21 \ Many of the graves which were now being revealed had been constructed ~fngly, or perhaps for a man and his wife; but in addition a number of sites 20 21



Man-ch'eng Han mufa-chiiehpao-kao, vol. I, p.450. Hotaling; Bielenstein (1976); for further reports on Ch'ang-an, see KK 1987.10, 937; 1989.1, 33; 1989.3, 261; 1989.4, 348; KGYWWl981.1, 123; for Lo-yang, see KK 1990.3, 268; for traces ofa city in Fukien, see KK 1990.12, 915 and 1990.12, 1107.

9

,,,,,:,,,,,,were found which included large numbers of graves, in a site that was

· doubtless chosen owing to the belief that it would convey numinous blessings -0n the deceased persons. A different type of cemetery, seen only rarely, consisted of graves laid out neatly in grid fashion, for convicts or criminals, ;with scant attention to the niceties usually provided for the obsequies of their superiors. 22 The style and type of graves varied considerably, both in place and in time. Some of the dead were buried in large timber chambers buried deep J,i.nderground in pits; others were placed in clefts in the rock, or in chambers fiewn out therein. Brick built chambers were probably the norm for officials or other leading individuals of the Later Han period, sometimes extending into several compartments and bearing decorations impressed before the brick had dried. From early days, Chinese archaeologists had realised the potential value of examining the assembled groups of such brick built graves. For from such evidence it became possible to draw up schemata which showed the sequences of different designs of the tombs on a secure basis. Thus the 225 Han graves at Shao-kou (Lo-yang) could be set out in six major periods, ranging from the middle of Former Han to the later part of Later Han; and the schemata thus established for the style of these tombs continue to serve as yardsticks for dating tombs found at other sites throughout the country. 23 \. Simultaneously the assemblies of large numbers of tombs at one and the r same site made it possible to draw up schemata for the artifacts buried with the j deceased persons, thus demonstrating the development of artistic and · religious motifs and changes in technological skills. Many of the tombs included valuables, of jade or bronze; vessels used for the sacred purposes of · prayer or purification; symbols of status that displayed the rank or function of j the deceased person; musical instruments to be played for entertainment; I equipment that might be needed to maintain a livelihood or ward off enemies; jars that held consumable supplies of food and drink; cases of raiment; and a .supply of coins. New criteria thus became available for dating objects of these types. Previously it had often been impossible to authenticate objects said to be of the Ch'in and Han periods, proudly exhibited though they were in the museums or in the collectors' catalogues. One of the more important differences to note is the new confidence with which newly reported discoveries can be accepted as being genuinely derived from an identifiable site. Of the large number of sites of the Ch'in and Han periods, some have been of little less than spectacular significance owing to the new types and the quantity of the evidence that they have yielded. They have included Ma-wang-tui (Hu-nan; c. 168 BC), known not only for the library offifty-two items but also for the successful preservation of the body of the Countess of Tai for 2000 years; Man-ch'eng (Ho-nan; c. 113 BC), whose cliffs contained the tombs of

, 1

I

22

KK 1974.2, 2, plates IV, V.

23

Lo-yang Shao-kou Han mu.

10

the King and Queen of Chung-shan, with the first known examples of jade suits used for the burial of the highest in the land; Shih-chai shan (Yiin-nan; c. 108 BC) whose highly decorated drum-heads have revealed something of the religious, musical and military activities of the non-assimilated peoples of that region; Holingol (Inner Mongolia c. 160--70), whose murals painted a vivid picture of official and military life at a somewhat remote distance from the capital city; and I-nan (Shan-tung; perhaps c. AD 250) whose subterranean tomb had been laid out in palatial style, with a rich profusion of carving that embellished the pillars. 24 Perhaps the best known and most widely publicised of all such sites is that of the tomb of the First Ch'in Emperor (died 210 BC). Here a series of trial pits that were opened up at the perimeter of the surrounding park disclosed the presence of the army of terra-cotta figures, several thousand strong. Neither that tomb nor those of any of the Han emperors, many of which have been identified, have been excavated fully. 25 Preliminary reports of these discoveries appeared in journals such as Wenwu, Kaogu and Kaogu xuebao which were published in Peking. Since 1979 English abstracts or translations of some of the articles have been published in Chinese Studies in Archaeology; and three regional journals have provided room for further discussion. 26 In due course fully documented and illustrated reports followed for the more important sites and finds. For readers who do not wish for detail, several separate volumes are devoted to giving short summaries of China's new archaeological work and discoveries, written in encyclopaedic style. 27 The support of other disciplines and the value of scholarly exchanges Along with the discovery of manuscripts and archaeological finds, progress achieved in other aspects of Chinese history and in other disciplines has had a marked effect in stimulating advance in the study of the Ch'in and Han periods. For the pre-historic period, work by scholars such as Cheng Te-k'un, Chang Kwang-chih and Yiian K'o in anthropology and mythology has shed a light on the background to which many aspects of Han religious practice must be related. 28 There has followed a deeper understanding of Han poetry, and mystical or religious literature, such as parts of the Ch'u tz'u, and 24

25

26 27

2•



Ch'ang-sha Ma-wang-tui i hao Han mu; Man-ch'eng Han mu fa-chueh pao-kao; Yun-nan Chin-ning Shih-chai-shan ku-mu-ch 'un fa-chueh pao-kao; Ho-lin-ko-erh Han mu pi-hua; Tseng Chao-yii (1956). Of the many reports on the First Ch'in emperor's tomb, see Lederose and Schlombs (1990); for Former Han imperial tombs, see Liu Ch'ing-chu and Li Yii-fang (1987). For a report of excavations carried out at the site of the tomb of Han Ching-ti, see WW 1992.4, lf. Jiang Han kaogu; Kaogu yu wenwu; Zhongyuan wenwu. Hsin Chung-kuo ti k'ao-ku fa-hsien ho yen-chiu; Wen-wu k'ao-ku kung-tso san-shih nien; Chung-kuo ta pai-k'o-ch 'uan-shu: k'ao-ku-hsiieh. For an analytical account of the artifacts, see Hayashi (1976). Cheng Te-k'un (1933); Chang K. C. (1983); Yiian K'o (1960) and (1985).

11

, ;bf the iconography chosen to decorate Han tombs. In so far as Ch'in and '.·:]Ian political institutions and procedures drew on precedent, examination of lbe states of the Ch'un-ch'iu and Chan-kuo (for example, by Hsu Cho-yun) 29 ,periods has been enlightening. In the same way the analysis that has been ,undertaken for some of the later, and better documented, periods of Chinese history (for example, T'ang, by Pulleyblank, and Twitchett)30 has been of similar value in framing a major chronological context within which the Han achievement should be placed. The great advances made in the study of Taoist and Buddhist religious practice (for example, by Demieville, Zurcher and others) 31 have raised questions about spiritual aspirations, beliefs in an .after-life and the trust placed in divination in Ch'in and Han times. Work in other fields of enquiry has likewise affected the study of the early ·empires. Bibliographical analysis (by van der Loon); 32 work on the relation;&hip between scholarship and political decisions (McMullen); 33 the meticulous attention paid to the post-Han material from Tun-huang (Maspero, posthumously, and Fujieda); 34 analysis of social structure (Ebrey); 35 and legal practice (Johnson, and Bodde and Morris) 36 have all played their part in clarifying much of Han history; for it is to the precedents of the Han age that many of · these developments may be traced, and in subsequent ages that the full effect of those precedents may be assessed. Furthermore the study of science and technology, by Needham and his collaborators, has opened up a new dimension in Ch'in and Han history, as it has for other periods, stimulating fresh approaches to age-old and well-savoured evidence, and forcing a new consideration within a new context. 37 Simultaneously work on philology and linguistics (Karlgren and Pulleyblank) 38 has ensured that attention must be paid to the fundamental questions that lie behind all scholarship. As in other aspects of Chinese studies, so with Han literature and history the publication of Morohashi Tetsuji's monumental Dai Kanwa jiten (preface dated 1955) had an immediate impact on research; the basic search for · evidence could be undertaken much more speedily and its results could be more comprehensive. Other research aids that have been of especial value have included the newly made and re-issued indexes and concordances of texts, in particular the index of the Hou Han shu, published by the Jimbun kagaku kenkyujo in 1960-2. The reprint of basic sources of Chinese history also had a marked effect on the subject. Publication of punctuated texts of the histories by the Chung-hua shu chii, of the Tzu-chih t'ung-chien by the Ku chi eh 'u-pan she, eased the task of Hsu Cho-yun (1965); Yang K'uan (1955). Pulleyblank (1955); Twitchett (1963). " Schipper (1982); van der Loon (1984); Barrett (1986); Demieville (1986); Lagerwey (1987). 32 van der Loon (1952). 33 McMullen (1988). 34 Maspero (1953); Fujieda (1955). " Ebrey (1974), (1978), (1983). 36 Bodde and Morris (1967); Johnson (1979). 37 Needham (1954). 38 Karlgren (1951), (1957); Pulleyblank (1984), (1991).

29

30

12


those embarking on these studies considerably and provided editions which scholars have been ready to cite and of which copies may be obtained easily. 39 Similarly, reprints from Taiwan and elsewhere of the standard edition of the Thirteen Classics, with Juan Yiian's notes, are now readily available. Some of the monographs written by modern Chinese scholars, for example on Han poetry or institutions, or their critical editions of texts such as the Yen-t 'ieh lun or the Ch'ien-fu lun have added significantly to the subject, as have the publications of collected articles, mainly by Japanese scholars. 40 The growth of Ch'in and Han studies also owes much to corporate work. The first meeting of the Junior Sinologues, which was held in Cambridge in 1948, gave promise that some measure of co-operation would be forthcoming among the small and gallant band of young scholars, embarking on research on various aspects of Chinese studies with the help oflibraries that were as yet stocked somewhat meagrely. These early meetings provided a welcome and perhaps essential venue for an exchange of ideas and preliminary reports on research plans, and for sharing information about library holdings. Thanks to the initiative and expert guidance of a few scholars (Balazs, Herbert Franke, Wolfgang Franke, Haloun, Prusek, Seuberlich, Simon and van der Loon) and the benevolent policies and grants of a few institutions, well-equipped collections, including reprints of ts'ung-shu, microfilms of unique documents or runs of periodicals, and Japanese works on subjects of sinology became available in most of the major centres of Chinese studies in Europe. The arrival of the Xerox machine left scholars with little excuse for failing to consult material relevant to their work; and as teachers they could now distribute copies of a text to a class, instead of obliging their students to make their own transcripts by hand. Further opportunities for the exchange of information, discussion of research plans and debate on major topics were soon forthcoming in the conferences that were being called in Europe, North America and Japan. Some of these concentrated on a major theme or subject that ran through the centuries of Chinese civilisation, such as that on historiography (School of Oriental and African Studies London, 1956); or the three that focussed on Chinese thought, sponsored by Fairbank, Wright and Twitchett and held in America from 1951 onwards. 41 Specialists in the early empires both contributed to the sum total that was achieved by these projects and deepened their own understanding of Ch'in and Han ideas and institutions, by seeing the place that they came to occupy in later developments. 39

40

41

These punctuated editions of the Shih-chi, Han shu and Hou Han shu were published in 1959, 1962 and 1965; the Tzu-chih t'ung-chien was produced in 1956. See under Ruan K'uan and Wang Fu, for critical editions of the Yen-I 'ieh fun and Ch 'ien-fu fun, by Wang Li-ch'i and P'eng Tuo; for collected articles, see, for example, Kanaya (1960), Kurihara (1960), Nishijima (1961) and (1966), Oba (1982), Hamaguchi (1966), Yoshinami (1978). See Fairbank (1957), Wright (1953) and (1960), Nivison and Wright (1959), Wright and Twitchett (1962).


13

Other conferences or workshops of a different type which were equally enriching focussed on particular aspects of early imperial history. Here scholars would examine a subject in the light of disciplines or techniques that were only recently being applied to Chinese studies, for example, palaeography at one end of the spectrum matched by sociology at the other. Han studies thus formed one of the subjects of the meeting held in Leiden in 1975, under the title The state, ideology andjustice. 42 The workshop held in the University of California, Berkeley in 1979, to consider the recent manuscript finds from Ma-wang-tui drew contributions from specialists in palaeography, religion, linguistics, philosophy, textual criticism and art history. A further instance, which was a far cry from the initial ventures of the 1950s and was possible thanks only to the developments of the intervening years, was the colloquium held in the University of Chicago in 1991, under the title of 'Moment and momentums in Han life'. This included papers on the place of the ju chia and Ii" in Han society; the concept of empire; disciplines required by hygiene, as seen in a Han manuscript; and the reflection of social structure in Han art. On a number of occasions these meetings were enriched by the attendance of colleagues from the People's Republic, Taiwan and Japan. In the meantime it had become regular practice for western scholars to spend long periods of sabbatical leave in East Asia, being engaged in field work or consultation with their opposite numbers in the centres oflearning of China, Taiwan, Hong Kong and Japan. Chinese language training on a new scale of intensity, that had not been feasible previously, was ensuring that newly emerging scholars, unlike some of their predecessors, would be capable of direct communication on scholarly and other matters with their Chinese colleagues. In addition, the new generation of western scholars possessed one advantage that had not been so easily available to their predecessors, in their ability to command written, and perhaps spoken, Japanese. Sinology had received a bonus, in the form of a by-product of the Second World War, when it had been necessary to train a large number of young persons to handle modern Japanese language. As a result, westerners were now able to contribute in a marked degree to conferences held in East Asia, while Chinese and Japanese visitors to the West were leaving their stamp on the scholarly projects of the West. In these ways, and for these reasons, it has been possible to develop a deeper and wider understanding of most aspects of the Ch'in and Han heritage, with a far greater degree of cohesion than had been possible previously. In the following pages it is possible to do no more than cite some of the principal names, works and achievements, chosen either because of their own paramount importance or as being representative of new scholarly endeavours in this field of learning.

42

The proceedings of this meeting were not published.

14

The literary, intellectual and religious background Textual studies and bibliography Attention to historiography 43 has been concerned with the sources from which the received texts of the Standard Histories were drawn and the manner in which they had been made up. It has shown the weaknesses to which the literary sources are prone, and the clear existence of omissions, inconsistencies or errors; it has also brought to attention any reason that there may be to doubt the authenticity of certain sections of these works. 44 At the same time a few - all too few - of the newly found manuscripts which carry passages of imperial decrees validate the accuracy of the Histories in this respect and thereby lend authority to their other parts. 45 Archaeology supports the credibility of the Histories in a further way. The rich finds of some of the major tombs bear out the textual descriptions, carried in the Han shu and the Yen-t'ieh lun, of the style of burial accorded to the highest in the land. 46 Material evidence likewise vindicates some of the allegations that a highly luxurious style of living was being practised by the rich; such statements were formerly suspect as being due to exaggeration, but they may now be regarded as acceptable. 47 Thus the careful arrangements to reconstitute the scene of a banquet, for example, in tomb no. 1 at Mawang-tui, and similar representations on stone or brick in the tombs of East China lend credence to some of the more fanciful statements of the sources. 48 Some of the sites have also served to elucidate the meaning of certain technical expressions, such as the Huang ch'ang, or barricade, style of burial, now available for inspection at the site of Ta-pao-t'ai. Studies of textual and bibliographical history49 have produced a clearer comprehension of the value of the catalogue that forms chapter 30 of the Han shu. Long conscious of the loss of77 per cent of the 677 items that are entered in that list, scholars have been ready- perhaps too ready - to identify some of the recently discovered manuscripts with the titles included there. In doing so they have come to re-assess the work achieved by Liu Hsianga (79-78 BC) and his son Liu Hsinb (?46 BC to AD 23), whose collation of existing documents and classification ofliterature served so long as a means of distinguishing the literary and philosophical categories of traditional China. It is now possible to 43

44 45

46

47 48



Chavannes (1895-1905) vol. I, (introduction: eh. l); Bielenstein (1954), pp. 9f; Hulsewe (1961). Hervouet (1974), Hulsewe (1975). Loewe (1967) vol. II, p. 230; for other decrees, see Wu-wei Han chien. See, for example, Han shu pu chu 68, l laff, for the tomb ordered for Huo Kuang (68 BC); for more general terms, see Yen-t'ieh lun 29 (Wang Li-ch'i ed. pp. 206·7); Ch'ien-fu lun 12 (P'eng Tuo ed. p. 134); for an example ofa 'barricade' style tomb, comparable with that prescribed for Huo Kuang, that was built at Ta-pao-t'ai, see WW 1977.6, 23f, 30f. Yen-t'ieh lun 29; Ch 'ien-fu lun 12. For example, see Pirazzoli-t'Serstevens (1991) for the evidence from Ma-wang-tui; and WW 1972.10, 62 for a representation ofa banquetting scene from tomb no. 1, Ta-hu-t'ing, c. AD 200 49 For example, van der Loon (1952). (Ho-nan province).

15

'1;ummarise the main textual developments for some sixty or more works of pre-Hano:. Han origin. 50 Writers such as Tjan Tjoe Som (1949-52), Kramers (1950), Fujikawa (1968), and Anne Cheng (1985) have analysed the growth of the different scholastic groups that arose from a concentration on the Confucian Classics and the part that those works played in academic or political controversy. 51 In the process of this work it has become apparent that the influence of scholarly pressure, as supported by the government of the day, was far stronger in Laterthanin Former Han. More may be said of the composition and content of some of the texts that include the key to Han thought. Karlgren's works on the authenticity of the Tso chuan and the language of the Lun-heng have been followed by studies such as that of the 'Ten wings' of the I ching, the Huai-n~n~tzu and the T'ai-hsuan ching. 52 As a result, there is now a deeper appreciation of the part played by those and other texts in the cumulative growth of ideas in the pre-Han and Han periods; and there is less tendency to give credence to the existence of separate discrete schools, unaffected by one another's thought, and unaffecting each other's development. ~tudy of the manuscripts has resulted in a much clearer picture of the way in which documents were prepared, drawn up and circulated, with the use of wood as the principal medium of writing. 53 Such information concerns not only the reports, orders and periodic returns that formed the stuff of central and provincial administration; it also concerns the way in which both literary texts and unofficial pieces of writing were drafted and copies were distributed. It is now far easier to understand how short passages of text could be lost or tra~sposed, and how the sections of a work could have been re-arranged dunng the process of transmission. Literature and historical writings A n~mber of works have led to a deeper appreciation of the development of poetic forms and the place of the Ju in Chinese literature. Hightower's monograph on the Han shih wai chuan (1952), Waley's translation of The Nine Songs (1955) and Hawkes' Ch'u tz'u: Songs of the South (1959) were among the early evaluations and critical studies of Han literature, to be followed shortly by Dieny's translation of the Nineteen Old Poems (1963). Later work included Knechtges' study of The Han Rhapsody (ju) of 1976 and Birrell's Popular Songs and ballads of Han China (1988). Selections of Han literature were also treated in translations of the Wen hsuan by von Zach (1927 and later) and Knechtges (1982-7). Literary studies were further advanced thanks to Hervouet's two volumes on Ssu-ma Hsiang-ju (1964 and 50

:~

See the contributions by a number of scholars in Loewe (1993) Tjan (1949-52); Kramers (1950); F~jikawa (1968); Cheng (198S). ~a;lgren (1926) and (1951); Yamashita (1961); Shchutskii (1980); Le Blanc (1985); Nylan and 53 Loewe (1967), vol. I, eh. 2. S1vm (1987); Roth (1992).

16

1972), of which the latter presented an annotated translation of a chapter of the Shih chi. In his supplementary volume to Memoires Historiques, Demieville (1969) included translations of chapters 48 to 52 of the Shih-chi which Chavannes had left in manuscript. Burton Watson's translation into English of fortyeight chapters of that work (1961) and his inclusion of parts of the Han shu in Courtier and Commoner (1974) have done much to introduce those histories to non-specialist readers, as had Watson's earlier biographical study of Ssu-ma Ch'ien (1958). De Crespigny's series of translations from the Tzu-chih t'ung-chien (1969 and later) provide a chronological account of dynastic history for the last decades of the Later Han period. 54 Other studies and translations of parts of the Standard Histories will be mentioned below in connection with specialist subjects. New, punctuated, editions, of1955and1976, of the Hsi Han hui-yao of1221 and the Tung Han hui-yao of 1226 provide a handy, but by no means complete, guide to the subjects treated in the Standard Histories. 55 Critical notes on the Shih-chi and Han shu by Yang Shu-ta (1955) and Ch'en Chih (1959; second edition 1979) have been acompanied by Wang Shu-rain's notes on the Shih-chi (1965-82) 56 and Mansvelt Beck's critical analysis of the treatises that have long been included as part of the Hou Han shu (1990). The intellectual framework and pattern of change

Thanks to the strength of the Chinese tradition, the deliberate message of Chinese political writers of the imperial age and the rudimentary state of knowledge in the West, there was for long a tendency to draw a clear-cut distinction between three major approaches to life or modes of thought, known respectively as 'Confucianism', 'Taoism' and 'Legalism'. Such a view was in part due to the needs of Liu Hsiang and Liu Hsin; for in compiling the lists of writings included in the imperial library at the end of the Former Han period they had no option but to formulate categories. But such general typologies cannot be regarded as satisfactory. For they fail to distinguish between the different principles included under these general and amorphous terms, and they imply that philosophical writings or political decisions rested exclusively on the teachings of one of these three schools. The attempts that have been made to place the Hsiin-tzu in a particular category illustrate the point. Such a simplification has given way to the acceptance that Chinese, no less than other thinkers, could draw eclectically on existing theories and contribute by formulating a synthesis of ideas to suit the times and circumstances in which they lived. A clear example may be seen by identifying the different elements in Tung Chung-shu's (c. 179 to c. 104 BC) own writings. It has been accepted by most historians now that imperial Han government 54

56



55 Hsii Tien-Jin. De Crespigny (1969) and (1989). Yang-Shu-ta (1955); Ch'en Chih (1979); Wang Shu-min (1983).

17

and its protagonists had little choice but to depend on a compromise of principles; some of these drew on the ethical and humane approach to humanity voiced by Confucius and his disciples; some rested on a recognition of the practical need for an impersonal discipline ascribed to the leaders of Ch'in. The description of the Han period, particularly of Wu ti's age (141to87 BC) as the 'Victory of Confucianism' requires modification. In such circumstances it has become possible to suggest a framework within which major changes came about in ideology, religion and imperial policies. 57 For Former Han such changes can be seen to have taken place in a highly consistent manner and it is possible to chart the chronological stages in which they developed. It may be seen that an initial period of some sixty years (c. 202 to c. 141 BC) was marked by consolidation, re-inforcement of the central government's power, retrenchment on expenditure and a negative policy vis-a-vis the potential enemies of the north. Such an initial stage gave way to a period (c. 140 to c. 90) of positive and constructive development which saw deliberate attempts to control the economy, an initiative in expanding the Chinese sphere of influence in Central Asia and the inauguration of state cults designed to augment the power of the dynasty. But the pace was too severe, and such efforts became too demanding to be sustained for long. The final century of Former Han saw a move to reject the forward-looking policies of the previous decades, to eliminate extravagant expenditure and to relax the controls that the government had imposed on parts of the population. A defensive foreign policy led to withdrawal from some of the recently penetrated territories, and the cults of state were directed to new ends. In such circumstances a major change had been taking place in ideological terms; from a view of the Han empire as the logical successor to Ch'in by right of conquest, to a claim that the Han emperors were the true heirs of the kings of Chou and their ideals. One of the achievements of Wang Mang, long vilified in the Chinese tradition as the usurper who had ousted the Han house of Liu, was to formulate the new ideal of empire that few dynasties who followed his own short-lived regime of Hsin (AD 9 to 23) could afford to jettison. 58 But pretension and practice were different matters. However eloquently the spokesmen of the Later Han period mouthed the precepts of the Confucian ethic or praised the glories of the house of Chou, such ideals failed by and large to promote politicaland social stability or to restrain ambition or rapacity. Public life was marked by the rise and fall of different families of imperial consorts and the growing influence of the eunuchs in the palace. Officials trying to implement the will of the central government saw the emergence of semi-independent estates in some of the provinces, amid a marked attention to the acquisition of wealth. Short victorious expeditions to the north-west, and a partly successful policy of dividing China's potential enemies into several 57

58

See Loewe (1974a) for some of these themes. For a vindication of Wang Mang, see Bielenstein (1954), pp. 82f, 154f; for his religious ideals, see HSPC 99b.4b.

18


camps, could not guarantee China's territorial integrity. The despair of some in high places is seen by their refusal of appointments to office; they were unable to reconcile the call of their own consciences with the compromises attendant on public service. In the final decades of the dynasty, critics were calling openly not for a restoration of Confucian ideals, but for the imposition of a political and social discipline that would restore a sense of unity and suppress corruption. 59 Religious belief and practice

A clear view now emerges of some of the elements that contributed to religious belief and practice. Traces of popular observance intrude in the Standard Histories, however reluctant the compilers may have been to acknowledge the existence of such cults. Many of these rested on the fears or hopes of the activities of local spirits of the mountains or the lakes, and there is reason to believe that the practices were at times of a crude or ignoble type. While the texts refer to human sacrifices offered to the Lord of the River (Ho po), the bronze drum heads that archaeology revealed from a site in Yiin-nan in 1956 carried vivid representations of some of the gruesome scenes that took place among the unassimilated peoples of the south-west. 60 In a more stylised way, and perhaps by way of entertainment, elements of mythology may perhaps be traced in the formal or ritual enactment of a contest between the two semi-divine heroes Huang ti and Ch'ih Yu. As Bodde shows, a complex series of festivals to which literature refers drew on popular belief, a reliance on the .§.liam~n. the practice Qf 0xorcism .~11

19

drawn up by officials of imperial government; they may be seen today in the calendars that adorn the walls of a bank in Taiwan or Hong Kong, or in some of the manuals for guidance printed in Japan. Initt(lHY the)mperial c.ults ofCh'i11 and J:fan had concentrated on the four, then the five, ti who were conceived as tutelary deities. within the cyclical system that controlled all activity. From perhaps 114 BC it was intended that the emperor should take a more regular part in these services than previously, and that he should also attend in person the services which were being inaugurated to two other objects of worship. These were T'ai i, first seen as a spirit of one of the constellations, and Hou t'u, Sovereign of the earth. With the increased attention that was being paid to the image of the kings of Chou and their practices, from c. 31 BC the imperial cults came to encompass services to T'ien, the god worshipped by Chou, who remained a cult figure until the end of the imperial age. 62 J:!11ang.!i_had duly taken his place among the four .and.then . the five. ti W_9f§QippegJrpmjlie (;h.'ih periods onwards. ·somewhat surprisingly, in Vtew ··;;f the attention that this figure was receiving at the time, his cult was not specifically re-inforced as part of the religious innovations of c. 115 BC. At much the same time !:.~.~~~.f~~!1:!fi!!g . (i.~.~po.ssible source or intermediary who ..~?~.l
and

f

To

62 64 65 66

63 Loewe (1979). Loewe (1974a), eh. 5. Ziircher (1959); Seidel (1969); Lagerwey (1987). Kaltenmark (1969); Ziircher (1980); Demieville (1986 ). Kaltenmark (1979); Mansvelt Beck (1980).

iiieanHffie"many

20


Intellectual developments

From earlier ages, Ch'in and Han had inherited concepts framed for the very different social and political conditions of the Warring States period. These included the ethical ideals formulated by Confucius and his immediate followers, or by Mo Ti; the mystical appeal to eternal values, as seen in the Lao-tzu and the Chuang-tzu; and the principles for strengthening political \, control of a population, as enunciated by Shang Yang and others. T11e._fu@~ ), ideas of Yin and Yang and tbe.. EiY.e..J.>hases..had..been.JinkecL.tage.tM~~~. !'m~g~~J:>Lewlainiug lhe,,ape.ration.Q.Ltb!LUni}'.er::;~ )n.. fY.-ctlicaJ~_s; the h~x~grams and fomiulae of the Chou i, largely incomprehensible by Han times, were being explained in terms of the ideas of staged change and development that were current in the fourth and third centuries BC; and such speculations had resulted in many of the texts now included in the Book of Changes. Recent analysis of these texts and their ideas (for example by Graham, Lau, Shchutskii and Hellmut Wilhelm) has formed a basis on which a study of the next stages of intellectual development took place; in the new imperial age these earlier concepts were subject to adoption, adaptation or rejection, to suit the newly emerging moral and political order of the day. Many of the ideas seen in Han times owed as much to a re-formulation of existing concepts as to innovation. Tlt£
Ames (1983); Le Blanc (1985).


21

emperors was ultimately due. When first established, the Ch'in and Han oynastie~ owed their existe~ce and recognition to the force of arms; but the

l

need to display that they enjoyed the support of both religious and intellectual f sanction had made itself felt quite soon. Documentation for this is seen most I clearly in Pan Piao's essay on kingship, in the series of documents whereby i Wang Mang asserted his claim to rule and in the procedure whereby the last od the Han emperors abdicated his throne in favour ofTs'ao P'i, first king of the Wei Dynasty. 68 From these and other developments it has become possible to discern the wide religious and intellectual differences that separated Former Han from Later Han. The change is apparent in the criticisms voiced, possibly by Ching Fang the Younger (executed 37 BC) and certainly by Yang Hsiung (53 BC to AD 18), who believed that the old system of sixty-four hexagrams was an inadequate means of explaining the perpetual state of change in the universe; Yang Hsiung evolved his own more subtle and complex system. 69 Expressing ideas which partook of both a naturalist and a rationalist point of view, Wang Ch'ung (AD 27 to c. 100) questioned the validity of contemporary beliefs and fears about a life after death. He expressed his doubts regarding the efficacy of divination and the concern that heaven was presumed to entertain on behalf of human activities and destinies. He affirmed his belief in the spontaneous nature of creation, as against the idea that the myriad objects of the seen world, organic and inorganic alike, had been manufactured purposefully by heaven. Wang Ch'ung was thus in no way to be classified with writers and thinkers of the orthodox school, and for long his work attracted little attention. Alfred Forke had indeed published his translation of the Lun-heng as early as 1907, and he deserves the very greatest credit for achieving this at so early a stage of western sinology, and without the aids that adorn a scholar's library today. More recent studies have made it possible to relate this text more closely than hitherto to the intellectual and political circumstances in which Wang Ch'ung was writing. Pokora (1975) has shown something of the antecedents and the part played by Ruan T'an (c. 43 BC to AD 28). 70 In special chapters the Standard Histories were reporting the occurrence of portents, but Wang Ch'ung for his part refused to believe that such events carried any message for the future of mankind; studies of these reports has suggested that on occasion they may have been manipulated, perhaps for political purposes. 71 •• For Wang Mang's pronouncements, see, for example HSPC 99A, 32a and 34a and 99B, 4bff, Dubs (193~55), vol. III, pp. 243f, 248f and 272f; for Pan Piao's essay (Han shu pu chu IOOA. Sa) se~ de Bary (1960), vol. I, pp. 1~6f; for the accession ofTs'ao P'i, see Leban (1978). For the changmg concepts of sovereignty, see Loewe in Twitchett and Loewe (1986), eh. 13. •• Nylan and Sivin (1987). '° For t~e atte~tion paid to Wang Ch'ung in China at times when Marxist views were prevalent, see T 1en Ch ang-wu (1958); for an analysis ofWang Ch'ung's thought, see Ch'en Kung (1968); for an attempt to place Wang Ch'ung's views in context, see Loewe (1982). 71 Bielenstein (1950) and (1984); Eberhard (1957).

22


For the Later Han period, examination of the so-called apocryphal texts 72 and the T'ai-p'ing ching has drawn attention to some of the heterodox ways of thought, mention of which is ignored or suppressed in official accounts of the period. Such work has been balanced by research in the growth of the Confucian schools and their traditions from the Warring States onwards and their effect on Han scholarship. 73 Dynastic administrative and political considerations

Dynastic instability Traditional appreciations of Han history had long recognised that the Later Han period had at times been rent by schism and rivalries, fought out largely between the families of imperial consorts. By contrast it was implied that Former Han had been a period of dynastic stability, thanks partly to the sustained and successful reign ofWu-ti (141-87 BC). But such an assumption requires modification. It is apparent that, between the Empress Lii's exercise of power (187-180 BC) and the establishment of Wang Mang's dynasty (AD 9), so far from holding a monolithic and unquestioned sway over a mighty empire, the house of Liu had perforce experienced a series of critical incidents, some of which almost spelt its demise. These had included the challenges that had preceded the accession of Wen-ti in 180 BC; the revolt of the seven kings (154 BC), put down by the central government's initiative; the rivalry of two families of imperial consorts, culminating in the outbreak of fighting in Ch'ang-an and the suicide of the Empress and the Heir Apparent (91 BC); the deposal of an emperor after a reign of twenty-seven days in 74 BC; and the bitter contentions of the consorts' families, and the difficulty of finding an imperial heir, that marked the reigns of Ch'eng-ti (33-7 BC) and Ai-ti (7-1 BC).14 A clear analysis of disputes of this type, which characterised much of Later Han history, has been completed by Bielenstein, who summarised the story with the terse observation that 'the political history of this period is in large measure a history of its factions'. 75 De Crespigny (1969 and 1989) has provided specialist studies of the later decades of the period. Possibly the year 184, which witnessed the outbreak of the revolt of the Yell ow Turbans, should be regarded as signifying the realistic end to the political and social cohesion of the Han empire, rather than 220, when Hsien-ti solemnly enacted the formalities of abdication. It may be added that this was a time when a marked decline is noticeable in the position and importance of the emperors; a number of these had been enthroned while they were still infants; in several cases an incumbent did not 12 73 74

75

Dull (1966). See note 51 above, and Ch'ien Mu (1958), Hsii Fu-kuan (1976). Twitchett and Loewe (1986), pp. 136f, 14lf, 177f, 184, 214, 218; Loewe (1974a), chs. 2 and 8. Twitchett and Loewe (1986), p. 277.


23

survive to enjoy his manhood in that august situation. A major change may in fact be traced in the function of the emperor over the four centuries of Ch'in and Han rule; from their assumption of power as leaders of victorious armies to their relegation as chief religious functionaries of the nation; from thei; personal delegation of authority to their trusted supporters, to the manipulation that they suffered at the hands of men and women of ambition; and from the exercise of political leadership, to the role of acting out constitutional forms. By 220 the person of the emperor had come to signify very little in terms of imperial power. Attention has also focussed on the contributions made by a few well-known individuals of the Ch'in and Han periods, both to the achievements of their own times and to the heritage bequeathed to later ages. Re-assessment of the . traditional view of the first Ch 'in Emperor and Li Ssu on the one hand, and of Wang Mang on the other suggests that, so far from being the villains that they have been depicted, it was largely to these men and their colleagues that due credit should be given for laying the foundations of successful imperial government. Later regimes owed far more to the insistence on discipline ascribed to Li Ssu and the adoption of Confucian models by Wang Mang than they would ever have cared to admit. These results are due to the work of Bodde and Bielenstein. 76 It has also been possible to assess the part played by Sang Hung-yang (executed 80 BC) and Huo Kuang (died 68 BC) in co-ordinating economic effort and stabilising political movement during the latter years of Wu-ti's reign and subsequently. 77 The part played by Hsiao Wang-chih (suicide 46 BC) and K'uang Heng (died c. 30 BC) in the reaction which set in against the intensive policies of Wu-ti's reign has also received greater recognition. 78 Balazs: s~ud~ of three prominent thinkers and critics of Later Han (i.e., Wang Fu, Ts m Shih and Chung-ch'ang T'ung) drew attention to the extent of the social imbalance and political instability of the last decades of Later Han. 79 Other such studies of individuals include a short monograph on Ch'ao Ts'o (exec~t~d 154 BC); 8° Ch'en Ch'i-yiin's two volumes on Hsiin Yiieh (148-209) and his ideology; and de Crespigny's assessment of Hsiang K'ai and his use of portents as an instrument for criticising the contemporary state of the empire in a famous memorial of 166. 81

The administration of the empire Wang Yii-ch'iian's article on the central governmnent of Former Han was first published in English in 1949, to be followed by Bielenstein's comprehensive study, which covered the organs of the provincial as well as the central administration. In addition to this analysis of official posts and their attendant 1•

77 79

Bodde (1938); Bielenstcin (1986). 78 Loewe (1974a), eh. 4. Kroll (1978); Wu Hui (1981); Loewe in Schram (1985), eh. 8. 8 ° Ch'ao Ts'o chi ch'i chu-tso. Balazs (1964). •1 De Crespigny (1976).

24



duties, a series of articles by Oba Osamu and others 82 set out to clarify some of the details and distinctions of the system of officials. Yen Keng-wang's major study (1961) of local administration covered Ch'in, and Former and Later Han; de Crespigny (1966) had been concerned over methods of recruitment and local officials of Later Han. Ebrey's close study (1978, 1980 and 1983) of epitaph inscriptions and the history of one of the clans of the day illustrates the relationship and hierarchies of the different strata of the civil service and the importance of growing patron-client links. The documents from Tun-huang and Chii-yen provided information about some of the lower-ranking officials that are not available in other sources. Research has shown the importance of Han's initial reliance on Ch'in's practice of government; this was before the needs of empire required an elaboration of the duties for some posts and a modification of others. It is also possible to trace how Han's major compromise with existing forms, i.e., the establishment of hereditary kingdoms committed mainly to the emperor's sons, worked out in practice. The process saw a change by stages from an initial situation in 202 BC, when these kingdoms occupied a good half of Han territory, to the point when they had been reduced to small enclaves nestling among the commanderies that lay directly under the control of the central government (AD 2). 83 Such moves signified the increasing strength of the Emperor's officials at Ch'ang-an. A further feature is seen in the attempt to prevent an undue concentration of power in the hands of a few individuals, as exemplified in the division of financial authority between separate offices of state. It has also been realised that the distinction drawn at one time between an inner and an outer court requires modification in the light of later analysis of political procedures. From the administrative documents ofTun-huang, Chii-yen and elsewhere it has been possible to reconstruct some of the procedures for inaugurating, handling and forwarding official documents. 84 These have included the texts of a few imperial decrees, known hitherto only from the edited summaries that were included in the Standard Histories. The same material has revealed professional aspects of the work of both the civil.and the military officials, working as they did according to their hierarchies. As in the services of other nations, so here officials and clerks were engaged in preparing accounts with meticulous accuracy, recording the receipt, issue or consumption of official stores and maintaining records of times when certain routine actions took place, or when an abnormal event required report to a senior authority. What is now known, or can be inferred, about the creation of these administrative documents has a wider bearing, in so far as it may be applied, with some reserve, to the composition ofliterary texts found at other sites, and the whole history of their transmission. The Statutes (liib) and Ordinances (ling") of the kingdom and later the 82

83

Kamada (1949) and (1962); Oba (1982). See maps 3~9 in Twitchett and Loewe (1986).

84

Loewe (1967).

25

empire of Ch'in had been drawn up as a means of maintaining security, suppressing crime and conscripting manpower to work the land or fill the ranks of the army. Some measures were intended to impose a measure of regularity in agricultural or other work. Despite the traditional claim that, immediately after its establishment, the founders of Han had simplified the system, reducing the extent of its rules and mitigating the severity of its punishments, it seems likely that the new masters of the empire introduced little practical change beyond adapting these institutions for their own use. Ch'in's administration had rested on the two complementary principles of rewards and punishments, and the application of these has been subject to consideration. The rewards for services that were likewise adopted in Han included a series of orders ofhonour 85 that signified a rise in social status and carried some material privileges, such as exemption from statutory obligations of conscript services, or reduction of punishments for those who ran foul of the laws. In some cases services were rewarded by a grant ofland, either on a personal basis or, less frequently, with hereditary tenure and the right to raise taxation within prescribed limits. In particular cases the Han emperors distributed bounties or compensated their subjects in other ways, if they had required excessive exertion, for example, to supply the needs of an imperial progress. Such bounties may also have acted as a means of validating an emperor's claim that he was fulfilling his mission of encouraging the human race to prosper. Han had perhaps developed here a somewhat new idea of rewards, as compared with the more direct aims advocated by Shang Yang (c. 385-338 BC). The wide range of punishments to which criminals were sentenced in the Han empire included the death penalty, carried out in various ways, mutilation of the body, flogging, enforced service at the frontier, confiscation of property or payment of fines. Such conclusions result from Hulsewe's meticulous study of legal treatises and the scant amount of archive material that has come to light in recent years. His interpretation of the treatise on law of the Han shu involved philological investigation, a familiarity with records of legal matters and a knowledge of the procedures of government; in these and other respects the work of Chinese scholars, particularly those of the Ch'ing period proved to be of immeasurable benefit. Reconstruction of parts of the text and scope of the Han Statutes and Ordinances depended initially on assembling short citations of those documents from the Standard Histories. Texts dating from the second century AD onwards, such as the remarks of commentators to the histories, or other works such as the Shuo wen, acted as corroborative or supplementary evidence. Further examples of these laws were found in the documents from Tun-huang and Chii-yen, together with some precious records of cases that had come up for administration. 86 But a decisive change occurred with the discovery of " Kamada (1949) eh. 2; Loewe (1960).

86

Hulsewe (1955) (1959) and (1979b).

26

complete copies of some of the legal documents, dating from the Ch'in period onwards. These derived principally from sites inside China (Shui-hu-ti and Chiang-ling, in Hu-pei), and full publication of the texts is still awaited. As a result a far more detailed assessment of the contents of these early imperiallaw codes became possible, as may be seen in Hulsewe's annotated translation (1985) of these enigmatic texts. In addition to information on the minutiae that were involved, the few case histories disclosed the way in which officials of central and provincial government set about implementing their orders. It has also been possible to distinguish different categories of crime to which some of the laws were directed and to learn something of the way in which disputes were settled or litigation handled. It has yet to be shown how far these laws included concepts of rights and obligations, apart from those of statutory service, or how far they may be regarded as an instrument for protection against official oppression. Economic and social history

Nancy Lee Swann's annotated translation of those chapters of the Shih-chi and Han shu that directly concern economic theory and practice (1950) opened a new vista for historians of early imperial China. The book showed the Ch'in and Han attitudes towards a number of aspects of production and the great issues that were engaging the minds of the statesmen of the day. Gale's translation of parts of the Yen-t'ieh lun (1931) had already alerted readers to some of the subjects of controversy. Once again the documents from the north-west provided further information; fragmentary as they were, they included some evidence of the ways in which the government's measures were operating. Major issues 87 concerned land tenure, some parties actively wishing for this to be as open as possible in the interests of increasing production and revenue, others seeking to restrict the extent of holdings in the interests of social equality. The basic point at stake here lay in the willingness, or right, of imperial government to control the activities of individuals, and the same issue arose in connection with other matters. These included a choice between allowing coin to be minted privately, without restriction, or insisting that it should be produced by the government's mints only, under official control. The same issue, of public as against private interests, arose over the establishment of state monopolies to control and exploit the production of salt, iron and liquor. In addition, the proper use of coin was itself sometimes brought into question. Taxation was raised partly in goods and partly in coin. Occasionally it was urged that the major financial transactions of the empire, such as the payment of officials, should be made in kind rather than in cash, and the 87



Gale (1931); for attempts to analyse the issues at stake and the arguments, see Loewe (1974a), eh. 3, Kroll (1978) and Loewe in Schram (1985), eh. 8.

27

records from Chii-yen illustrate how officers at the frontier would sometimes receive part of their pay in silken bales, and part in cash. Ingots of gold, to a nominal value of 10,000 cash coins each, are quoted in the texts in connection with major transactions, but it has yet to be determined how far they actually circulated, and why Wang Mang took steps to call in gold resources from throughout the empire. In an early article, Yang Lien-sheng (19 57) showed that, whereas the usual cry was for a reduction of public expenditure, there were occasionally those who urged the benefit of increasing the consumption of expendables, in order to stimulate production and the exchange of commodities. Opposing views were taken by Han statesmen regarding one other principle; whether the central government was entitled to take positive steps to co-ordinate productive effort, stabilise the price of necessities and organise their transport. The plea that by so doing a government could alleviate public suffering and eliminate profiteering in a time of shortage was met by resistance to a scheme that allowed officials to play the part of merchants. A number of Japanese scholars, including Kato Shigeshi (1952-3), Utsunomiya Kiyoyoshi (1955), Nishijima Sadao (1966) and Hiranaka Reiji chose to study these problems. Of the modern Chinese scholars, Li Chiennung (1957) set out his studies of different topics, such as agriculture, coinage or taxation; Ch' en Chih ( 1958) concentrated on a number of specialised issues, and Ho Ch'ang-ch'iin (1964) examined problems of land tenure. Documentary evidence has produced some tantalisingly inadequate information about the collection of tax; 88 archaeology has revealed the sites of some of the iron foundries, with the moulds in which goods were manufactured, and examples of certain key products such as crossbow bolts or ratchet wheels made to a notable degree of precision. 89 Hsu Cho-yun's valuable collection and translation of documents that refer to agriculture (1980), preceded by Amano Motonosuke's general history of the subject (1962), illustrates the working conditions under which the farmers of Ch'in and Han laboured and solved their problems. Meanwhile Bielenstein had been attending to some of the more fundamental conditions that could affect economic development. These included the vagaries of the Yellow River and the consequent effect on production, and the extent and distribution of the population, on which Lao Kan had worked previously. 9 °Corrected figures for the population may be studied alongside the scant information available for the area of the arable land and the scale of rations distributed to the armed force and their families. Such indications suggest that in Han times China could not have produced sufficient grain to Loewe (1967) vol. I, pp. 7lf, vol. II, pp. 295f; WW 1974.6, 44f. For traces of iron foundries see WW 1979.4, 77; KK 1989.2, 149; KGYWW 1983.4, 27; for moulds, goods and precision tools, see WW 1976.9, plate 8; KK 1983.3, 243, 320, 322; 1988.6, 576; KGYWW 1982.5, 68. •• Bielenstein (1947) and (1954); Lao Kan (1935a) and (1935b); Twitchett and Loewe (1986), maps 10 and 1L 88

89

28

feed the whole population satisfactorily, together with sufficient hemp for the textiles needed for general clothing. The figures for the population (for AD 2 and 140) bring out the truth that as yet imperial China and the force of its administration was largely concentrated north of the Yangtse River, where 90 per cent of the registered population were domiciled. By T'ang times this proportionate imbalance had been reduced to 75 per cent; and by Sung the move was well set whereby the south was achieving economic predominance. The same conclusion may be drawn by comparing the size and distribution of administrative units; the smaller, and more confined, commanderies of the north, mainly along the Yellow River valley, were clearly subject to a more rigorous degree of official control than those of the deep south or the farwest. 91 Marks of social distinction formed the subject of enquiry by a number of scholars such as Kamada Shigeo, whose early essay of 1938 concerned the orders of honour (chueh) of the Ch'in and Han systems. 92 At much the same time Yang Shu-ta (1933) was assembling the evidence for ritual occasions in the life cycle and the customs attendant on marriage or death. Clarence Martin Wilbur's monograph (1943) on slavery in Former Han included an early analysis of social structure that preceded his translations of all references to his subject. For Later Han, Yang Lien-sheng (1956) was showing how certain great families were achieving power and some measure of independence with the support of their own bodies of retainers. To Ebrey's study of one family and its extension into periods after Han, there should be added the attention paid to the eunuchs of the day. Bielenstein has corrected the criticism to which they have long been subject, by showing the key role that they played in maintaining the survival of the house of Liu; 93 in a special monograph Ulrike Jugel (1976) analysed political and social aspects of this group. Ch'ii T'ung-tsu's comprehensive collection (1972) of source material that concerns social distinctions is preceded by an introductory study of kinship, marriage, the position of women, social classes and powerful families. Relations with other peoples

Relations with the non-Chinese peoples of the north were of greater concern to Ch'in and Han officials than those with the southerners; for it was from the north that potential danger might arise. Early studies, by Hirth (1885 and 1917) and de Groot (1921-6) have now been supplemented by a new approach and degree of comprehension. It has been realised that more allowance must be given than formerly for the existence of a controlled and powerful confederacy of the Hsiung-nu, no longer to be identified for certain with the Huns. 94 For the Chinese side it is now appreciated that, so far from mounting 91 92 03 94



See Twitchett and Loewe (1986), maps 3, 5, 7, 8 and 9. Reprinted Kamada (1949), eh. 2. Bielenstein in Twitchett and Loewe (198fi), pp. 287f. For Chinese relations with the leaders and confederacies of the north, see Yii Ying-shih (1967) and Hulsewe (1979a).

29

a continuous show of strength that backed a forward policy of expansion, the Han empire could engage in no more than short campaigns into the recesses of Central Asia or elsewhere, led, for example, by Huo Ch'ii-ping (d. 116 BC), Wei Ch'ing (d. 106 BC), Pan Ch'ao (d. AD 102) or Ma Yiian (d. AD 49). The success of the imperial effort depended on the ebb and flow of both Chinese and non-Chinese strength, to a degree that had not been fully assessed. The line of united defences that Han had inherited from Ch'in was not strong enough to prevent incursion as far as the close vicinity of Ch'ang-an in 166 BC. The extension of the defence lines into Central Asia, which was accompanied by the establishment of four commanderies in the north-west (between 112 and 104 BC) allowed for the safer conduct of merchandise principally in the silk laden caravans that were wending their weary way to th~ West. It was also possible to exercise a more effective control over travellers and potential deserters wishing to move in or out of Chinese territory; patrols and observation of enemy activity could be maintained more regularly. These and other activities are testified in the newly found documents, which include a signals' code and signals' log, reports of patrols, and records of travellers and goods admitted through points of control. 95 Such material makes possible a new appreciation of the professional standards and procedures of the Han forces, between c. 100 BC and c. AD 100. The story of Chinese relations with the small units that were settled around the rim of the Taklamakan Desert has also come up for review. Hulsewe's annotated translation of the relevant chapters of the Han shu runs from the pioneer expeditions of Chang Ch'ien (c. 123 BC) to Chinese attempts to co-ordinate activities in these remote regions. The account concerns the establishment of the first Protector General of the north-west (59 BC) and the demise of that office (AD 23). Chinese records show various aspects of Chinese diplomacy at work, resting sometimes on a display of force, sometimes on a matrimonial alliance, sometimes on an exchange of hostages. On. occasion, particularly in Later Han, the Chinese were able to adopt a pohcy of divide et impera. One particular incident (36 BC) threw up the dangers that a local Chinese commander would incur if he chose to take military initiative without receiving full authority from the central government. In a few other, somewhat ugly, incidents a sense of honour was not too clearly apparent on the Chinese side. 96 Meanwhile a new situation was at times facing the Han government. The normal units of administration, i.e., commandery and prefecture, that satisfied conditions in the home areas could not operate effectively in lands where a different climate prevailed and where inhabitants of different ethnic origins were not engaged in the type of economic work that characterised the heart of the empire. To control the newly penetrated areas it was necessary to evolve new types of administration, such as the Dependent Kingdoms 05

96

Loewe (1967) vol. II, Documents MD 13, MD 17, UD 5, UD 7 and TD 8. For the in~ident ?f 36 BC, see Loewe (1967) vol. II, document UD 9; Loewe (1974a), eh. 7; for Han relations with some of the leaders of the north-west, see Hulsewe (1979a), pp. 39f.

30



(Shu-kuo). In such units some Chinese officials were posted to maintain a Chinese presence; by way of compromise, native leaders were free to exercise some measure of authority in their own terrain. The Chinese hope of retaining the support of such leaders is also seen in other ways, such as the conferment of imperial titles to those who had surrendered or made over to Chinese authority, and even by the accommodation of groups of immigrants within Chinese territory. A number of scholars97 have been engaged in examining the motives that lay behind a Chinese wish to expand its influence or maintain its prestige in these distant regions. Arguments have ranged over the priority given to defence or to trade, and the extent to which trade was conducted by private venturers or was subject to the sponsorship of the government. The principles behind two types of policy, categorised in general terms as one of appeasement and one as a tributary system, have been subject to discussion, and it has been shown that the latter, rather than increasing the resources of the empire, involved China in expenditure. The discovery of Chinese goods, for example, silks or bronze wares, in sites that lay within the Hsiung-nu sphere of influence support this conclusion. 98 Foreign relations of Later Han and their resultant military operations, strategy and tactics have been studied in depth by de Crespigny (1984). Dubs' speculation (1957) that Roman soldiers in flight from the Mediterranean world found themselves at large in those parts of Central Asia that are mentioned in the Han shu has not received support. The military and diplomatic ventures which engaged Chinese interest in the north-east have been studied by Gardiner and de Crespigny, whose case history of T'anshih-huai (1977) is of especial value. While the establishment of Chinese commanderies and outposts in Korea during Former Han, as attested by both literary accounts and archaeology, had as yet little effect on China's own history, it formed the first move towards forming the bridge that was to convey Chinese culture to Japan. The annotated translations of the Chinese literary sources for the growth of relations between China and Japan form an early example of co-operative work shared between an American and a Japanese scholar. 99 Despite the appeal evinced by the Ch'u tz'u, it was long part of the Chinese tradition to despise the lands below the Yangtse River as being uncivilised and their inhabitants as being uncouth. Archaeological discoveries, for.both the pre-imperial and the early imperial periods, have served to redress this imbalance by proving the existence of the flourishing culture of Ch'u, with its own characteristics that are seen in religion, folklore and art. The material remains of this culture, and of the presence of colonists and officials from

other parts of the Han empire, fill the pages of the special journal that treats that region (Jianghan kaogu); Barnard (1972 and 1974) and others have studied the anthropological and ethnic implications. Further west, sites such as Shih-chai shan, in Yun-nan, have yielded evidence of a way oflife that was very different from that of their neighbours of the Lower Yangtse valley. 100 This was the land of the cattle breeder, as well as the tiller of the soil; ox-heads and snakes took their place as totems in the grim religious rites; and the practice of agriculture lay some stages behind the advanced methods of China's heartland, resting as they did on centuries of experience. Art historians have identified the characteristics unique to the area and related others to the culture of Dong-son. Han governments were ready to recognise the existing powers of the local leaders, engaged as they might have been in fighting one another. The histories record that Han Wu ti presented a gold seal to the king of Tien in 109 BC; such an object, duly inscribed, appears in the photographs of the artifacts found there. 101 Science and technology

Many aspects of scientific and technological development have been examined by Needham and his collaborators, and by other scholars from China, Japan and elsewhere. Research has proceeded by raising theoretical and practical questions of a type that have not been put to the evidence previously. It has been asked how far the principles of physics, biology, chemistry and medical science were grasped in the Ch'in and Han periods, and what techniques China's farmers, craftsmen, engineers and artisans adopted to speed and ease their daily work. Much of this research work has concentrated on a re-examination of the literary evidence, and comparison with the recently found documents and the great wealth of artifacts from Ch 'in and Han tombs. Maspero's early work on astronomical instruments; Dubs' attempts to corroborate astronomical records; and reconstructions of the Han calendar have been confirmed, corrected or supplemented by manuscripts which carry charts of planetary movements or illustrate the varieties of comets. 102 Sivin's study (1969) of early computation and calendrical systems and the discovery of a number of calendars, or their fragments, that date from Han times have served to correct the tables drawn up by Pere Hoang (1910), Ch'en Yiian (1925) and Tung Tso-pin (1960). Among other work, Needham discriminated between three theories, all current in Han times, that sought to explain the relation of the earth to the heavens; 103 his work with Wang Ling clarified the achievements of early Chinese mathematicians, including the refined calcula'0

97

9s

99

Yii Ying-shih (1967); Hulsewe (1974); Rashke (1978); Daffina (1982). Rudenko (1969); for reports on various sites and finds, see WW 1979.4, 49; 1980.7, I, 11, 13; 1983.8, 67; KKl980.4, 333; 1984.4, 367; 1987.1, 33; KGYWWl988.3, 17; 1988.3, 111; 1990.2, 5. Tsunoda and Goodrich (1951).

31

° For reports on

101 102

103

Shih-chai-shan, see note 60 above; see also Wang Ning-sheng (1980). Yiin-nan Chin-ning Shih-chai-shan ku-mu chiinfa-chiieh pao-kao, p.113 and plate 107.3. Maspero (1939) and (1950); for records of eclipses see Dubs (1938-55), vol. I, pp. 165-6, 188--9 etc.; for planetary movements, see Loewe (1977), 122-3. Needham (1954-), vol. III, pp. 210f.

32


tion of n as 3.14159 by the third century. Cullen's annotated edition of a Han textbook of mathematics will provide an insight into pre-Han and Han attitudes to the Queen of the sciences. The history of medical science has been advanced considerably, and will doubtless reach higher levels once the texts of the newly found manuscripts have been published in full. Preliminary reports, that are often and regrettably marred by the use of simplified characters, indicate the wealth of this material and allow some conclusions to be drawn. Needham and Lu's monograph (1980) on acupuncture may now be supplemented by reports of markedly refined needles that were used for the purpose; Harper's preliminary conclusions from the medical manuscripts of Ma-wang-tui, Han-t'an-p'o (Kansu) and elsewhere suggest connections with the theory and practice of hygienic disciplines. The set of illustrations of exercises and postures recommended for this purpose that was among the silk manuscripts ofMa-wang-tui is itself now matched by texts from Chang-chia shan (Hu-pei) that prescribe these procedures. 104 From a different angle, Sivin's analysis of the various component parts of the Huang-ti nei ehing serves to distinguish the origins and dates of some medical concepts; 105 other work on medical science has been published by Unschuld (1985 and 1986) and Porkert (1977). Donald Wagner's work on the history of metallurgy will draw on the evidence of artifacts and traces of foundries. Miniature models of farmhouses, wells or other equipment found in tombs combine with examples of agricultural tools, a re-examination of textual evidence and information in legal documents to provide more exact details of the occupations in which the great majority of the Han people were engaged. The skills of those who nurtured Bombyx mori, spun his threads and wove silken cloth with its intricate polychrome patterns have been richly exemplified at Ma-wang-tui. Their working methods and the equipment such as the looms which they used appear on some of the reliefs that decorated Han tombs, and a few parts or fragments, for example of spinning whorls, have been identified. One of the drum heads from Yiin-nan illustrates graphically the Rroduction of textiles by a people as yet unassimilated to a Han way of life or influenced by Han culture. Kuhn's volume puts these achievemi;:nts and discoveries in their historical context. 106

Archaeology and art history Identified as some of them are, the tombs of the Ch'in, Fornier Han and Later Han emperors still await excavation. A few stones (known as huang ch'ang), 104

10•

For the manuscripts fromHan-t'an-p'o see WW1973.12, 18; for those from Chang-chia shan, see WW 1990.10, 82f, 87f; for the bodily exercises, see Tao yin t'u. See also a paper 'Hygeia in Han medicine: acupuncture's forgotten ancestress', presented by Donald J. Harper at a workshop held in the Department of East Asian Languages and Civilizations, the University of Chicago, in November 1991, under the title Moments and momentums in Han life. 10• Needham (1954-), vol. V, part 9. In Loewe (1993).


33

inscribed with the dates on which they were hewn and inspected and the numbers which indicated the positions that they were intended to take in the surrounding walls have long remained the sole surviving parts of the structures built for the Later Han emperors. A number of reports, which concern the sites of burial for those of Farmer Han and their consorts, disclose details of some of the artifacts found therein; explanations have been offered for the reasons that governed the choice of locality. The style of burial and selection of funerary furnishings, supported occasionally by an inscription or a seal, has made it possible to identify the tombs of a munber of the subordinate kings of the empire, as at the sites of Man-ch'eng (Ho-pei: the King and Queen of Chung-shan, died 113 and before 104 BC), Ta-pao-t'ai (Peking: either a king of Yen, who died in 80 BC ora king of Kuang-yang, who died in 45 BC) and Hsiang-kang shan (Kuang-tung: one of the kings of Nan Yiieh, who died 128-117 BC). 107 Such tombs were constructed for those who enjoyed some of the highest positions in the dynastic and social hierarchy, and appropriate distinctions marked the manner of their burial. An outstanding example ofa special type of structure, which may be termed 'barricade', may be seen at the re-constructed site of Ta-pao-t'ai; over 15,000 timbers, each a metre long, were used to build the imposing multi-chamber residence, capped with its tumulus. A few monographs, for example on the sites ofMa-wang-tui, Man-ch'eng, Shih-chai shan, Ho-lin-ko-erh (Holingol) and I-nan provide fully illustrated accounts of these discoveries. 108 Some of the material conditions of life stand revealed i~-!~~-mur~l_p_aigJ!!!&~. fro~ Hglin_ggl._wit~J:heir Qfilfil!I.uuul.1hcir scenes o~ ~~rsemanship, b.fil!~-µetting and the work of th('.:J?kh~.:.}fany o(___, these actlv1y_§..fooned tbe subjects chosen for.the decoratiy~_bricks baked £or flie tomb!.2.f§~"!!.:£1!:],an~QJ,§,ha!!~Yng..Ssu-ch'uan provides views of agricul~k, mining and hunting; Shan-tung shows the interior and exterior of gentlemen's residences. 109 Remains of grains, vegetable fibres and bones from Ma-wang-tui, combined with the reconstruction of how certain tombs were set out and furnished in the form of a banquet enable conclusions to be drawn about the dietary habits of the Han period. Many of the artifacts discovered in these sites may be found in Pirazzolit'Serstevens' beautifully produced account of these subjects (1982). Other finds include a few maps, either on silk or wood, from Ma-wang-tui and Fangma-t'an (Kansu); one of the tombs is dated at 239-238 BC, and the maps found there are the earliest examples known in China. 110 Studies and

-·

For a list of tombs of nineteen kings of Former Han, see WW 1992.2, 38; individual reports may be seen, for example, in KK 1984.3, 222f (for the king ofYiieh-nan), and in Man-ch'eng Han mu fa-chiieh pao-kao (for the king and queen of Chung-shan); for the royal tomb at Ta-pao-t'ai, now open for inspection, see WW 1977.6, 23f, and Hsin Chung-kuo ti k'ao-ku 108 See note 24 above. fa-hsien ho yen-chiu p. 445 and colour plate XII. 109 Finsterbusch (1966-71); Shan-tung Han hua hsiang shih hsiian-chi; and Ssu-ch'uan Han hua hsiang chuan hsiian-chi. 11 ° For the maps from Fang-ma-t'an, see WW 1989.2, 12-22, plates III-IV and figures 8, 9 and 11; 101

34


reconstructio.ns of the two capital cities of the Han empire have been based on the meagre material finds, information in later literature which is sometimes of a suspect nature and calculations of the dimensions of the walls. 111 Epitaph inscriptions, mainly of Later Han, have long drawn the interest of China's traditional scholars. More recently several series of facsimile publications have made these texts more readily available, usually with transcriptions and notes. A particularly valuable example is seen in Ma Heng's posthumous volume of the texts of the classical works engraved on stone in AD 175. 112 Chavannes' early work on stone reliefs from Shan-tung (1893) drew attention to the value and varieties of evidence from the artistic work of the period. This was followed by Wilma Fair bank's reconstruction (l 941) of the Wu Liang shrines of that area (AD 151) with their wealth of iconographic imagery. Later publications which illustrate the distinctions that may be drawn between the regional styles of Shan-tung, Ssu-ch'uan, Nan-yang and the old land of Ch'u include works by Rudolph and Wen (1951), and Finsterbusch. From China there have come a number of albums, including photographs, rubbings or line-drawings that illustrate the themes and features chosen by artists of, for example, Shan-tung and Ssu-ch'uan. 113 It may also be possible to isolate the output of a particular region, in the pre-Han kingdom of Chung-shan, (south-west of Peking) with its exquisite metallurgy that was produced both before and during the Han dynasty. Art historians such as Powers (1992) have concentrated on interpreting themes of Later Han art and explaining the political and social implications; in a number of cases it is possible to discriminate between work ordered for the palace, and executed by the Palace workshops (Shangfang), and that which was designed to satisfy the ambitions of other groups such as merchants or perhaps eunuchs. Jn a later study of one particular and perhaps exceptional example, that of the Wu • Liang shrines, Wu Hung (1989) has interpreted the rows of mythical and historical figures and the numerous representations of portents as a piece of . social and political criticism, in the form of a plea for a return to the ideals of • the Confucian ethic. The newly found wealth of material has shown how wares of bronze, pottery or lacquered wood served the needs of .both the sacred and the profane. Jn some cases the designs used in objects of one medium could be borrowed or imposed on those of another; such habits produced, for example, the simulation on pottery wares of the rings and handles that had had a practical function on vessels made in bronze; and shapes that had been ·. conceived for vessels in one medium, for example bronze, were adopted for ·those made in another, such as lacquered wood. Artists used the surfaces of the jars and wine holders for various themes or styles, whether geometrical or

112

113

for those from Ma-wang-tui, see KK 1975.1, 53; WW 1975.2, 35; WW 1975.2, 43; and WW 111 Bielenstein (1976) and Hotaling (1978). 1976.1, 18. Ma Heng (1957); the Japanese series of facsimiles include Shodo meihin taikei (ed. Iijima Inataro; Tokyo: Shogei bunkain) and Shoseki meihin sokan (Tokyo: Watanabe Takao). See note 109 above.


35

animal, treating their subjects in separate horizontal registers. The frequent recurrence of the same themes in the stone reliefs and ornamental bricks of Han tombs may perhaps give an impression of a type of shop work that was devoid of initiative or inspiration; but subtle differences in the manner in which sculptors or clay moulders fashioned their medium dispel so harsh a judgement; so also does the persistence of the exuberant motifs of artists working in the old tradition of Ch'u, as may be seen in the characteristic black / and scarlet designs of lacquer wares of the Yangtse valley. / Han art drew on mythology and folklore and served to express some of the religious beliefs that were grounded on such traditions. These influences are seen in the choice of the situation and the orientation of tombs; in the inclusion of material talismans to assist the dead and guide them into the next world; and in the profusion of symbols that appear on the structure of the tombs or their funerary furnishings. Some of this evidence has been shown to relate to assumptions and tales current during the pre-imperial period, as may be seen in the Shan-hai ching; some of it developed in a markedly new manner during the Han period. Such considerations, and the interest that the new materials have stimulated, have given rise to a number of specialist studies. Cheng Te-k'un explored the influence of Yin---Y ang and wu hsing as seen in certain bronze mirrors (1957); Bulling's monograph (1960) traces the sequence of different forms of mirror decoration throughout the period. Dubs' article (1959) on the mythological features seen in bronze 'hill' censers prepared the way for the interpretation of the splendid examples of these objects that were found at Man-ch'eng and the representation of the same themes on wine containers. In several studies, Schuyler Cammann ( 1987) sought to relate some of the Han artists' designs to the ideas of the magic squares of the day, studied in turn by Major (1984). The detailed work on artistic expressions of mythological themes by Hayashi (1974) and Kominami (1974) complements Yuan K'o's assembly of the basic source material for mythology and folklore . Reference has been made above to the continual developments that may be,. traced during the four centuries of Ch'in and Han rule. The changes in,, ideology, religious belief and intellectual outlook mark wide divergences between the character of Former and Later Han, and such cultural changes are seen alike in the art of the times. Some of those changes showed the influence of new ideas, and before long, Buddhism was to leave its mark on many expressions of Han culture. But other changes may reveal how a set of beliefs may in time lose its force. The work of some of the earlier artists and craftsmen of the Han period show their careful attention to symbols of the sacred, or their need to express religious hope. But their successors did not necessarily share the same motivation or the same understanding of these ideas. Later attempts to exhibit the same symbols, for example on bronze mirrors, are often incomplete or irregular, thereby disclosing that the artist was ignorant of their purpose. 114 114

For example, certain bronze mirrors described in Loewe (1979), pp.186-9 (type X).

36


Conclusions Work on the history of Ch'in and Han China has developed alon~side that of a number of other periods and disciplines, and it has been enn~hed by t~e willingness of scholars to take due account of their colleagues' achievements m other fields of study. The results have been cumulative, resting on the work of the philologist, the historian and the archaeologist, and calling o~ the contributions of specialists in religion, philosophy, anthropology, art hist?ry and social studies. The process of re-assessing the received texts, evaluatmg new manuscripts and appreciating recent discoveries has been depen~ent on the corporate results of work that has started from a number of ~1fferent approaches. At the same time, today's scholar~ of the West_ owe an 1~c~lcu lable debt to their predecessors; to the multitude of.

37

Much researc~ awaits specialists in this field oflearning. A full examination of the manuscnpts, with their religious, mantic, legal or medical content cannot b~ undertaken ~ntil the texts have been published in facsimile. Although 1t cannot be cla_imed that the archaeologists' work is spread evenly over the w~ole area, sufficient results are probably now available to justify and make possible~ more refined d~scrimination oflocal cults and patterns, and to assess the survival of ways of life of peoples that were not assimilated to H culture. Textual and linguistic analysis is urgently needed to detennine t~: exte?t of the _C~'un-ch'iufan-lu's authenticity. A further problem is that of tracmg th~ ?ngms _of ~he tables now included in the Shih-chi and the Han shu and examirung therr differences. Th~ career and contributions of Liu Hsianga (79-78 BC) could well ~orm the subject of a monograph, and a new study of ~he textual and academic controversies of his time and the succeeding decades ~s overdue. For Later Han, an attempt to relate leading personalities to i~tellectual change and political decision might well be rewarding. Economic h1s~ory wo~ld benefit from an examination of the problems of waterways, and socia~ studies from furt~er acounts of some of the major families of Later Han. Th~ time may also be npe for ~he co!11pilation of a biographical dictionary for Ch m ~nd Han, to rest on a library s shelves alongside the works of Franke, Goo?nch_and ~ummel for the Sung, Ming and Ch'ing periods. It is agamst this background that the articles which are collected below took shape. They derive from a conviction that it is not possible to treat individual aspects ofC~n_ese history in_isolation, and that developments such as dynastic sequence, po~tical changes, mtellectual growth or religious influences must be seen_ as affectmg one _another. Nor is it possible to fasten exclusively on one particular type of evidence, such as historical record, without reference to other sources such as those of literature, artistic symbolism or the material finds o~ a~chaeology. Similarly, research in the subject demands more than work_within the confines of historical method, and must take due account of theones evolved in other disciplines such as anthropology. The articles attempt to iden~fy the_ influences or ~ovements that were gathering or losing strength at a given time; to examme the controversies that gave rise to argument; or to place the practices of the time in their religious and intellectual context. At the same time attention is paid to evaluating the motives and part played by some ofth~ leading figures of the day, and to observe the perpetual mterplay between faith and reason, and between official duty and popular response.

Man and beast

1 Man and beast: The hybrid in early Chinese art and literature 1

39

on bones and shells tell us something of the aspirations of early Chinese monarchs of the ShangYin period (c. 1700-c. 1045 BC), and of the processes for consulting divine powers; but they carry little information that bears on the specific nature of those beliefs. Although some of China's literature may date back to c. 1OOO BC, the versions which we possess today must be carefully examined; for we must sift the grain from the chaff, rejecting the results of the subsequent editing that suited the needs of the imperial dynasties founded from 221 BC onwards. Luckily, evidence of a less orthodox frame of mind survives elsewhere. despite the efforts of the officials of the north to deprecate its importance. derives from the once-thriving cultures of the south, and is seen in the art motifs and literature that emanated from the valley of the Yangtse River and beyond. These areas encompassed a terrain that was very different from that of the north, giving rise to the characteristic rice cultivation, and including large regions of swamp, forest and mountain. Such lairs lay beyond the reach of the Chinese official, who tended to regard them as the home of the untutored barbarian. It is from the artistic creations of such peoples, who were free of the northern mandarins' discipline, that we may learn something of China's early mythologies. The Chinese believed in the existence and powers of a number of deities. Tia, or Shang ti, or God on high, was venerated by the kings and possibly the peoples ofShang; he was conceived as a unity, probably in anthropomorphic terms; and he was thought to possess supreme powers over man and nature. The kings of Chou, who supplanted those of Shang from perhaps 1045 BC, believed in a different supreme deity, known as Tien, or Heaven. T'ien may also have been conceived in human terms; and along with the institutions and moral examples ascribed to the kings of Chou, T'ien was adopted as an object of veneration by the imperial dynasties, who worshipped him right up to 1910. Both tia and T'ien, it seems, existed on a higher plane than the shen", or holy spirits. These were conceived in multiplicity, often being attached to specific sites on earth. The holy spirits would respond to prayer, invocation or, if the occasion demanded, to exorcism. For they were capable of actions which could help or harm man; and they were conceived in animal, hybrid, semi-animal or semi-human form. Finally, account must be taken of the kueia, the demons who originated as manifestations of deceased human beings. They too were capable ofbenefitting or injuring man; they responded to prophylactic observances by man, and their presence could be invoked by specialist intermediaries. That the holy spirits and demons existed on an inferior plane , to that of tia or T'ien is shown by references in literature in which they follow , tia in order of precedence or carry out behests at his command. 2 A number of changes may be discerned in the concepts of these deities. In the earlier stages, of the Shang-Yin period, it was thought that the souls of the

It

Our knowledge of Chinese religion and mythology rests on the evidence of art, archaeology and literature, which may be considered very generally in two types. There is the evidence of a natural, romantic and free tradition, sometimes associated with the south, and that of a formal, classical and inhibited tradition, sometimes associated with the north. Of these two major traditions, that of the north came in time to predominate over that of the south. For it was in the north that China's political and dynastic authorities emerged, and from thence that they extended their sphere of influence to the east, and then to the centre and the south. While this extension may be seen most clearly in political terms, it also affected cultural developments. The regimes of the north required intellectual conformity and support; there set in a tendency whereby the temporal masters and officials of the north were wont to mould and exploit the independent arts and mythology of the south so as to satisfy their own immediate political needs; and in the course of such treatment some elements of the southern tradition became subject to scorn and even suppression. For students of Chinese mythology, this tendency has had the unfortunate result of overlaying some of the evidence of the natural urges of man with the purposeful creations of his intellect. From about the beginning of the Christian era, standardisation was affecting Chinese literature, both in the choice of the material that was sponsored for preservation and in the interpretations that were put on early writings in order to propagate orthodox beliefs. In studying early mythology, then, we must fasten on such evidence as preceded the move towards uniformity, and on that which survives from the live cultures of the south. We may consider the paintings made on neolithic potteries of perhaps the fourth millennium BC, and the far more elaborate patterns that adorn the bronzes of c. 1500 BC and later. The inscriptions made ' Of the many scholars who have written on this subject and associated topics, I am glad to single out three to whose writings I owe a special debt: Noel Barnard, of the Australian National University, Canberra; Chang Kwang-chih, of Cambridge Massachusetts; and Hayashi Minao, of the Jimbun Kagaku kenkyiijo, Kyoto. The account of hybrid forms which is presented here is intended only as a summary, from which all but the most important references have been excluded.

38

2

LSCC 9.3b; HNT 4.4b, 4.12b.

40


deceased ancestors of the kings shared the abode oftia, and that they acted as intermediaries between tia and the world of mankind. This office was also partly filled by mythological animals who served to link the two worlds. In later stages, i.e. during the early centuries of the first millenium BC, the importance of tia had declined; his replacement by T'ien bore a number of social implications; and the veneration for the holy spirits may have been growing stronger. In addition, whereas hitherto it had been the souls of the deceased ancestors who had acted as intermediaries, from now on contact with sacred powers was affected by specialists drawn from the human, living ,_ world, who may variously be described as priests or shamans. This development was accompanied by a change of treatment in Chinese art, as may be seen principally in the decoration of bronze vessels. In the initial stages, from perhaps 1600 to 950 BC animals are shown in full vigour, whom man treats with affection, reverence or awe. They are creatures whose powers are all too manifest, and there is little room for human beings beside them save in a minor, subordinate capacity. However, in the bronzes which may be dated from c. 900 BC, man is shown wielding strong powers with which he is capable of challenging, fighting and even conquering the animal world; for by now the animals are monsters which can harm man. 3 Similarly, in Chinese mythology, the all-powerful animals of the early stages yield place to the human hero, who is depicted possessing strength, courage and nobility with which to defeat the monsters who withstand him. Evidence for hybrid forms in Chinese art and mythology appears in objects and literature that date from the fifth or fourth centuries BC and later. Such evidence must be considered in full recognition that it had been preceded by earlier, formative stages of cultural growth, and that those stages had lasted for a millenium and longer. Two contradictory principles may possibly be discerned. The first was that of identification of man with the animal world. Tribal ancestries were traced to an animal; divination was conducted through the medium of animal bones and shells; and attempts were made to make a contact with the animal spirits of another worl
Man and beast

the location of those sites and of the rivers which lead us thither; of the abundance of flora and the mineral wealth to be found there; and of the animals known to populate such places, be they normal, freak or hybrid. Probably the .text had bee~ w~tten in the ~st instance to explain the features ) of a very ancient set of pamtmgs or drawmgs; and from this explanation we may learn not only of the bodily characteristics of these animals but also of their cries, squeals or roars, and the consequences of consuming part of the animal's flesh or donning part of its skin or fur. Thus:

I V

'-' The Shan-hai ching, or Classic of the Mountains and the Lakes, is a text which reflects the southern tradition. In those parts of the book that date from c. 400 BC, we find a didactic, descriptive guide to the holy places and sacred mountains of China. As would-be pilgrims or travellers we may learn here of 3 For the different stages in the treatment of animals, see Chang (1976), chs. 8 and 9. • I use the term euhemerisation in this sense, in common with writers on Chinese mythology; see Derk Bodde, 'Myths of Ancient China', rpt. in Le Blanc and Borei (1981), pp.48f.

41

370 leagues further east lie the mountains of Hsi-yang, with considerable supplies of copper on the south and silver on the north side. There is an animal there whose body is like that of a horse, with a white head, stripes like those of a tiger, a red tail and a cry like that of a human singer. The beast is named the Lu-shu; and wearing a piece of its skin will result in the birth of children and grandchildren (see Shan-hai ching, SPPY l.2a; Yuan, p. 3; Mathieu, p. 6)

1

Various results follow the consumption of flesh or wearing the fur of these and other animals who are to be encountered in the holy places. Fortunate consequences included a cure from disease, relief from fear or bewilderment; and in addition to personal blessings of the type just cited, the result could be no less than a general blessing of peace and stability. However, the results could sometimes be disastrous, such as the onset of floods or drought, mighty enough to strike down a whole province. Or else, incidents of state could ensue, such as would require a general call for military service, to the hardship of the population. On a few occasions such calamities could follow after no more than the sight of one of these strange creatures. These then are the beasts who may be encountered in the flesh on the holy mountains, and such are the results of assimilating to their persons. But our text also de§cribes the ~h(}rz".. or holy_spirits, known to reside in these sacred hills, and informs us how they may best be served and worshipped. Altogether there are some 400 spirits who are named and identified with particular sites, and a~l but some 80 are described in detail. In all cases they are hybrid i~ form, , combming for example the features of bird and dragon, or horse and dragon, or swine and snake. In a very large number of cases the holy spirits are endowed with a human face, surmounting an animal's body, be it dragon, horse or ox, sheep, snake, bird or pig. We may read in our guide book: In the third stage, south, there is a total of 14 Mountains, stretching for 6530 leagues, fro~ M~unt T'ien-yii to Mount Nan-yii. The spirits of those hills all have dragon's bodies with human faces; they may be worshipped with the sacrifice of a white dog and with prayer, and with rice used for the offering in grain (see Shan-hai ching, SPPY 1.1 la; Yiian, p. 15; Mathieu, p. 39)

or else: In the third stage, east, there is a total of9 mountains, stretching for 6900 leagues, from Mount Shih-hu to Mount Wu-kao. The holy spirits of those hills all have human bodies with ram's horns; they may be worshipped with the sacrifice of a ram and with

42


Man and beast

43

millet. Disaster brought about by wind, rain or flood follows the sight of this holy spirit (see Shan-hai ching, SPPY 4.7b; Yuan, p. 113; Mathieu, p. 234)

Jn evidence of this type it would seem that the Chinese were clothing in human garb those gods whom they first conceived in animal form. This process is paralleled by the euhemerisation of Chinese myth, and may perhaps be seen in the next subject to be considered. In 1934 grave-robbers who were active near Ch'ang-sha, south of the Yangtse River, lighted on the earliest piece of consecutive writing known in China other than inscriptions made on oracular bones, sacred bronze vessels or a few stone stele. The find was that of the famous silk manuscript of Ch'u•, which has suffered a somewhat chequered history since its discovery (see figure 3). As a result it is only in the last decade or so that the results of professional examination have become available. 5 The silk manuscript, which may be dated at c. 400 BC, is written and illustrated in polychrome, with two major blocks of writing that run in opposite directions. The text is partly defective; it is subject to grave difficulties of palaeography and interpretation, and hardly any sentence may be read in entirety. However, thanks to the efforts of a number of scholars, it may be concluded that the manuscript gives an account of the creation of the orders of heaven and earth and of the emergence of natural processes such as the sequence of the seasons. It mentions the participation of the holy spirits and other deities in these processes; at one point it reflects the influence of the theory of the Five Phases that governed the cycle of creation, decay and rebirth. 6 The manuscript text is surrounded by twelve peripheral figures, for whose reconstruction we are largely indebted to Professor Barnard (see figure 4). Each one of the twelve figures is accompanied by a short caption and a descriptive notice ofits character, powers and activities. No certain interpretation of the figures can yet be given. But from the considerations which follow it seems likely that they may represent twelve guardian gods or holy spirits, ' severally invested with powers of action for each of the twelve months. Alternatively they may represent twelve shamans or intermediaries, wearing masks and capable of communicating with such deities. Whatever the correct interpretation may be, it seems likely that the twelve figures form important evidence in the history of worship and exorcism in China. The descriptive notices of four of the figures (nos. 2, 5, 8 and 11) associate them specifically with the months or the seasons; and the forms of these strange creatures is such that they invite comparison with some of the hybrids who are mentioned in the Classic of the Mountains and the Lakes. Thus no. 7,

[] «0 ~· [) [

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Figure 3 The silk manuscript from Ch'u.

~·

I

with its human body and three heads, and no. 10, with its dragon head and bird's body, might easily fit the descriptions of spirits who are mentioned in that text. .No: s.with its square, human head surmounting a birdlike body, and no. 6, which is mterpreted as a snake consisting of two entwined bodies and a single ~~ad, may be compared with the book's description of strange animals. In add1t10n there are several possible, but not exact, comparisons which may be drawn between passages in the book and no. 9, with its bird's body, human face and antlers. 7 7

The manuscript is at present in the custody of the Metropolitan Museum, New York; the most detailed study published to date is that of Noel Barnard (1972-3). The term 'Ch'u' is the name of a state which controlled parts of the Yangtse River valley in the centuries before 221 BC. • I.e., the theory of the wu hsing, sometimes rendered 'Five Elements'; see SCC vol. II, pp. 232f. 5

0

For no. 5, see SHC, ..sppy 5.26a (Y_iian, p.153; Mathieu (1983), vol. I, p. 312); for no. 6, see SHC,.SPPY3.7a(Yuan,p. 78; Mathieu, p. 153); forno. 7, see SHC, SPPY5.23b (Yiian, p.150; Math~eu, p. 305); forno. 9, see SHC, SPPY l. !Ob, 2.5a, 5.6a, 5.27b (Yiian, pp. 18, 27, 124, 156; Mathieu, pp. 36, 53, 257, 317); for no. 10, see SHC, SP PY 1.4b, 5.44a (Y iian, pp. 8, 179· Mathieu, pp. 14, 369). '

44

Man and beast


A

4

~

J-bl Fr« \1 \; \!

I

f

I

jl)i

~~.~~

'

3

2

6

5

7

8

9

12

Figure 4 The twelve peripheral figures of the Ch'u silk manuscript.

45

Both from the text that is under consideration and the unique silk manuscript it is possible to trace features that are generally and almost universally associated with shamanistic practice; for example, assimilation with an animal's garb or guise; utterances made in the tongues of animals or birds; and dependence on trees for ascent to or descent from another world. This last feature may be seen clearly, and somewhat regularly, at the corners of the silk manuscript. In other literary passages we learn of the prevalence of shamanistic practice in south and central China, both for the period that is in question and for several centuries later. Of a number of shamans who are named in the Classic of the Mountains and the Lakes, one, called 'Hsienb', 'grasps a green snake in his right hand and a red snake in his left hand'. This is at the summit of Mount Teng-pao, where the host of shamans go up and down (see Shan-hai ching, SPPY7.3a; Yuan, p. 219; Mathieu, p. 402). In another text that derived from the south we have accounts of the shaman's work in restraining the souls of the deceased from leaving earth for ever, and in inducing them to return so as to enliven what is apparently a corpse; 8 and elsewhere we may read of the shaman's use of grain and straw to effect a cure or to expel evil. 9 The twelve figures of the silk manuscript, including some hybrids, may thus perhaps be taken to represent twelve spirits, or twelve shamans able to contact them and to drive away evil influences. The suggestion compels us to take a brief look at what may be said of the practice of exorcism in China. Probably the most clear evidence, albeit for some 500 years later than the time of the silk manuscript, is that of a description of a ceremony held at the imperial court; this was the Great Exorcism, practised for the emperors of the Later Han dynasty (AD 25-220), and probably stretching back to considerably earlier beginnings. 10 At this ceremony the chief exorcist of state performed the main rites. He was clothed in a bearskin which was furnished with four eyes, presumably to ensure that it could command all-round vision. The object of the ceremony is defined as being the expulsion of pestilence and evil demons from home, court and palace; and the climax of the ceremony was reached in an invocation to twelve named spirits, who were summoned to devour the 'ten baleful influences'. We therefore ask whether the twelve figures of the silk manuscript from Ch'ua may be symbols of those twelve spirits who are defined by name for the ceremony of the Later Han court; or whether they may be the intermediaries sent to summon them. It may also be asked whether the twelve figures are prototypes of other series or creatures which appear at other stages of Chinese thought; for example, the twelve divisions of the cosmos, the heavens or the day, who were later to be symbolised by twelve special animals; 11 or the twelve • See the Chao hun and Ta chao poems in Ch'u tz'u 9 and 10; Hawkes (1985), pp. 219f, 232f. 1° For this ceremony, see Bodde (1975), pp. 75f. • HNT 16.19a. 11 For the duodenary series, see SCC vol. III, pp. 402f. The animals are used in their correct sequence to designate years as, for example, 'the year of the dragon'. [For an early reference to the symbolic use of these animals, see LH p. 990, Forke (1907-11), vol. II, p. 398.]

\)

46


Man and beast

47

guardian spirits of heaven, who may possibly be seen on some early Chinese diviner's boards; or the twelve protective spirits of the household, invoked to procure domestic safety. 12 \,'

These are open, but, we hope, not idle questions. The possibility that the twelve peripheral creatures of the silk manuscript of Ch'ua, including some that are hybrid, represent twelve protector figures gains support from other considerations. In a number of graves that are situated in the same part of central China there have been found a whole series ofsingle hybrid figures carved in wood, and characterised by the corn bination of prominent antlers and a long, protruding tor1,gue (see figure 5). In the great variety of figures of this type, the one discovered at Ch'ang-t'ai-kuan is perhaps the most dramatic, being finished in a variety of colours, goggle-eyed, and with hands grasping a snake that is in process;0f being devoured. Further examples of these features are seen in the figures painted on the coffin lids at the famous grave no. 1, of Ma-wang-tui. 13 Among the multiplicity of elflike creatures, animals, birds and hybrids there are a number of examples of antlered human heads and snake-devouring monsters (see figure 6). These are symbols which recur both within the Chinese cultural area and elsewhere. Thus in the cave ofTrois Freres, the graves of Pazyryk and on the Gundestrup bowl we may see an antlered head combined with the features of animals other than deer, in portrayals of religious practice, shamanistic rite or funeral service. The protruding tongue is seen in Egypt, in figures of the god Bes, in Etruscan art and in India. 14 Of these features, the antler has been interpreted as a symbol of superhuman authority, capable of warding off evil spirits and guaranteeing everlasting life; and the tongue, which appears sometimes with spots or drops upon it, is explained as being protruded as an expression of hope and prayer for rain. The figure of the snake-devourer is seen at Ch'ang-t'ai-kuan and Mawang-tui, and it also appears in at least one literary context. This is in the poem 'The summons of the Soul', which forms part of the collection of the Songs of the South, and dates from perhaps the third century BC. The poet describes T'u po, 'Lord of the Earth' as being 'nine-coiled, with dreadful horns upon his forehead'. T'u po was known as the lord of the underworld, one of whose functions was to expel demons and to devour snakes, before they had a chance of consuming the body of a deceased person. 15 The suggestion that a connection may be traced between the practice of exorcism, the symbols of antler and tongue and the figure of the snakedevourer must remain speculative; and it may be considered in the light of no. 12

13

14 1'

For this series, see Bodde (1975), pp. 90f. This grave, which retained the incorrupt body of the countess of Tai, may be dated shortly after 168 BC [see Loewe (1979), eh. 2]. For a study of these symbols, see Salmony (1954). See Ch ·u tz'u 9.5a, Hawkes (1985), p. 225.

Figure 5 Examples of Tongue and Antler figures; the figure from Ch'ang-t'ai-kuan is on the right-hand side of the lower register.

2 of the peripheral figures of the silk manuscript from Ch'ua. The reconstruction and interpretation of this figure is subject to doubt; but it appears to carry a double crest or a pair of antlers; and it is described by some scholars as having a mouth with a divided tongue, by some as having a mouth that is engaged in devouring a serpent. Three other considerations or principles should be borne in mind in regard to the hybrid forms of early Chinese imagery: the belief in bodily transformation;,, the cults of immortality; and the composite figures of Chinese artists.

48

Man and beast


Figure 6 Decorative figures from the coffins of tomb no. l, Ma-wang-tui.

49

The belief that it is possible for one living creature to be transformed into V the shape of another is seen both in a grand way and in rationalist terms. In mythology we hear that Kun, father of Yii.8 the Great who saved mankind from flood, was transformed into a turtle; in a scientific context, Wang Ch'ung, who was writing during the first century AD, seriously cites examples of frogs being transformed into quails, or sparrows into clams. 16 While there is no knowing how prevalent such a belief may have been, it is possible that the basic idea of transformation may have been present in the minds of some of the artists .who fashioned hybrid creatures. The Chinese have entertained a number of notions of paradise and immortality. Many believed in the existence of the world of the hsiena, or immortal beings, who could fly and roam at will throughout the unfverse, and it was thought desirable to p_rovide deceased persons with the means of access to such a mode of existence. To undertake a journey through the empyrean and to achieve a life of eternity, a diet of jujubes or the juices distilled from jade was often prescribed; and talismans with particular features were usually buried with the dead. It is in such talismans that we may find a clue. Both the literary sources and the example of early art give us examples of hybrids who are equipped to escort the dead on their journey. The Cherubim or Seraphim, or the Icarus, of the Chinese world are seen in two forms; either as combinations of a bird's body and a human face; or as a human figure at whose back wings have started to sprout. The concept of transformation from one animal form to another and the v desiretoacquire immortality are possibly seen together in. one particular type\ of hybrid whose appearance is quite rare. ~s is the figure of a human heaV' and body, with a serpentine coil in place oflegs; 17 This appears at the apex of , the famou.~.Pl:!intingfrom Ma-wang-tui, possibly.representing the arTival of \/ tfi! soul~~tJ~~fy~t1,al d~stination in_paradi~he image is also seen in a stone rehef ofa later period; here there is a pai'r of suppliants who have apparent! received their draft of the elixir from the Queen Mother of the West and are l!!cewise being changed into immortal beings (see figure 7). So far as is known, the image of transformation into seri}entine forms as a means of achieving liiiiiiortality does not appear in other cultures. · ---The third principle to be borne in mind is that of the composite figure. In the v earliest stages of Chinese art that are examplified in the bronzes of the Shang-Yin period (c. 1700-c. 1045 BC) there are a number of instances where two or more animals are shown in close association, in their entirety. In the art of south or central China of c. 500 BC there are a number of beautiful combinations of pairs of birds and animals, often snakes; these are sometimes fashioned so as to form a drum-stand (see figure 8). But perhaps the most conspicuous example of all composites of this period is the lacquer screen 16

LH, pp. 54f; Forke (1907-11), vol.I, pp. 325f.

17

This is to be distinguished from the pair of figures, each with a serpentine body surmounted by a human head, which represent Fu Hsi and Nii Kua.

50


Man and beast

Figure 7 The Queen Mother of the West, with suppliants; from a stone relief'. Shan-tung.

from Wang shan, of c. 400 BC; the 51 animals on the screen include three paf of birds who are engaged in devouring snakes (see figure 9, 1). Composites of this type call to mind no. 3 of the peripheral figures of the manuscript from Ch'ua. Difficult as this flgure is to interpret for certain, it. been suggested that it is formed of a bird's body with a snake's head; an may be asked whether a hybrid of this type may have developed fr composite figures in which bird and snake are shown complete. I.t is possible to look forward in time to the composite snake-cum-tortoise w makes its appearance in Chinese art from perhaps 50 BC or so. This i bears a cosmological significance, being one of the four animals that sig four of the five directions, or four of the five phases of creation. snake-cum-tortoise symbolises the north, the extreme point of Yin, the c · of the wintry season. 18 The heyday of the hybrid in Chinese art and literature may be placed int fifth or fourth centuries BC; its home region seems to have been centred ou great kingdom of Ch'ua, that bestrode the valley of the Yangtse River. before long China became unified under Ch'in, the first of the imperiaf,c dynasties, which was founded in 221 BC. Uniformity and standardisat#."J~, •• An important clue to the origin of this symbol which has yet to be explained may perhaps found in a series of paintings of the recently excavated tomb of Pu Ch'ien-ch'iu, near Lo-y,. which may be dated between 86 and 49 BC. Three of the four animals appear in the fi which are well known in the following century and later, i.e., the dragon (for the east), the (for the south) and the tiger (for the west). The fourth figure, for the north, is a composite sheep's head, '!tiger's tail and wings, and this is accompanied by a further hybrid of a ?c.at's and body, wings and a single horn. See WW 1977, 6, pp. l!f-11 and plates 2 and 3; [and (1979), pp. 59, 134 note 13, 140 note 95, and figure 16].

Pairs of birds and other animals in the art of Ch'u.

51

52

\}


were promoted in art, literature and mythology. If the lively, vivid styles and the strange tales of the south were not entirely suppressed, there was a sufficiently strong impetus from the north to propagate other art forms; with the propagation of the 'Confucian' cosmology, shortly after 100 BC, the attention of Chinese artists was directed to other symbols, as befitted the new and orthodox modes of thought. The snake-cum-tortoise, to which reference has been briefly made above, derived from just such developments. The hybrid creature fell out of fashion. When we meet him again, he does not spring live from an artist's intuitive imagination; he is a creature of a secondary order. It has been observed above that the extant text of the Classic of the Mountains and the Lakes probably originated as explanations which were intended to accompany a series of ancient paintings. By the Later Han period (AD 25-220), those paintings had long since perished, although the explanatory text survived. We find that artists of the day were portraying creatures of fancy which may have been inspired by that text or which were intended to clarify it. Hybrids appeared once more, by now in stone relief's, carved deliberately to illustrate concepts which were known second-hand, from literary sources; they perhaps lack the immediate appeal to the sub-conscious that is carried in some of the hybrids of an earlier age. These secondary versions of hybrids are seen most conspicuously in the sculptures and reliefs ofl-nan, which are dated variously in the third century and later (see figure 9, 2). The ideas persist, in the human-faced bird, who is seen in the company of two-headed birds or two-headed deer; or in the nine-headed monster K'ai-ming, who guarded the holy axis mundi of K'un-lun. These figures are not identified by explanatory labels which relate them specifically to the animals or animal-spirits of the Classic of the, Mountains and the Lakes; but it is to such origins that they may be traced; and all credit is due to the contemporary Chinese artists who drew on such material at a time wh~n official efforts were being made to counteract its spirit. Some fifteen hundred years later, at a time of intensive literary and bibliographical activity, new editions were being prepared of that famous text. Artists provided a new set of illustrations; craftsmen cut the blocks, so that these could be printed for insertion with the text; and lest an ignorant reader should be perplexed, each one of the new illustrations bore its own descriptive caption, relating the illustration to the specific passage in the book. These were the vignettes of strange creatures and the groups of animals set within a landscape which were first cut in the seventeenth century and have been adopted by publishers ever since (see figure 10). For the wheel has come full circle; the original depictions of the holy spirits believed to be attached to some of China's mountains had perforce been replaced by literary descriptions. With the passage of time, Chinese artists sought to recapture the concept of those gods. Separated as they were by centuries from the original beliefs, they had little first-hand devotional experience on which they could call. They have none the less succeeded in presenting posterity with woodcuts that are graceful, imaginative and vigorous.

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2 Water, earth and fire: the symbols of the Han dynasty

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1

I

Between the inception of the Ch'inb empire in 221 BC and the restoration of the Han dynasty in AD 25, the concept of imperial sovereignty underwent considerable change; religious issues had entered into questions that had hitherto been largely subject to material considerations; and claims to rule with legitimacy had become dependent on establishing links with spiritual powers. In the initial stages, the right to govern a Chinese empire was claimed by virtue of practical success, which had been witnessed in the elimination of rivals and the establishment of an authority that was acknowledged throughout the land. By .the time of Wang Mang and the emperors of Later Han•, the claini to}~x~rcise legitim~t~ ru1~had heen linked. diEectly with the superhull1an ·ro"".er of Heaven and the bestowal of its order or Mandate; the theory that was to be invoked throughout China's imperial history had become accepted as orthodox. 1 This change of attitude was fully consistent with other religious and intellectual developments that affected policies of state and decisions of imperial governments. Simultaneously, philosophers and statesmen were paying considerable attention to the all-important question of the choice of symbol, or cosmic element, with which the dynasty's future was linked and to which it looked for protection. 2 Different elements were adopted by successive governments in Ch'inb and Han times; and as some confusion is evident in the minds of early Chinese writers, it is desirable to establish the sequence of symbols that were actually chosen. From the evidence which is summarised below, it appears that the symbol of Water was adopted by Ch'in and Former Han, until its replacement by Earth in 104 BC; that Wang Mang re-adopted Earth; and that the change to Fire took place after the accession of Kuang-wu-ti, first of the Later Han emperors. This change had already been suggested by some of the leading thinkers of the last decades of Former Han. At the same time a new principle had been recognised whereby the succession from one element to the next was governed. 1 2

For the stages whereby these changes came about, see chapter 4 below. I.e., one of the Five Elements, wu hsing, more correctly translated as Five Phases; see Major (1976).

55

56

\J


One of the earliest statements which links these symbols with a particular ruler or dispensation is seen in the Lii shih eh 'un-ch 'iu. 3 The passage assigns the protective powers of Earth, Wood, Metal and Fire to the Yell ow Emperor, the Hsiaa dynasty ofYiia, the Shang dynasty of T'ang and the Chou dynasty of Wen wang respectively. The text observes that Water will be the apportioned lot of the successor to Chou. It may be noted that the order in which the elements figure here is the one whereby each one overcomes or conquers its predecessor (hsiang shengr. 4 This order remained unquestioned in dynastic practice until the end of the Western Han dynasty. No less than four separate passages of the Shih-chi refer to the deliberate adoption of the element Water, shortly after the establishment of the Ch'in empire. 5 Although some doubts have been cast on the authenticity of the account the occurrence of four references, without inconsistency, argues against ~ theory that the incident was interpolated after the completion of the Shih-chi. The principal passage explains the choice of Water as following Chou's protection by Fire, and Chou's replacement by Ch'in. There is no direct statement in the histories to the effect that the Han dynasty deliberately adopted Water, but there are several reasons why this may be inferred. In 205 BC, before his establishment as emperor, the king of Han ordered the inauguration of worshi to a fifth a , to supplement the devotions that were already being paid to the other powers of ~p._, White and Red_The action m_a~ be taken as tanta~ount t~ the recognition of the Power of Water, although it is not stated that this was given preferential treatment over the other four elements, 6 either at this juncture or after the king of Han had accepted the title of emperor in 202 BC. However, it is clc::ar that Water had been adopted by the Han court, early in the dynasty, from the account of two suggestions that it should be replaced by Earth. One of these originated from Chia I, shortly after the accession ofWen-ti in 180 BC· 7 he is said to have rested his case on the plea that over twenty years had ela~sed since the foundation of the dynasty, whose state of harmony warranted a change of protocol. Presumably he felt that sufficient time had passed to show that the dynastic change was perman~nt, and that it would be right to show a symbolical recognition of that l\appy state of affairs. An identical suggestion which was made in 166 BC came from Kung-sun Ch'en a man of Lu who is not known to have held any office. Like the sugge~tion of Chia I it was rejected, but the appearance of Golden Dragons in 3 13.4a. • I.e., Wood, Metal, Fire, Water, Earth. For the various orders in which the elements were arranged, see SCC vol. II, pp. 253f. 5 SC6, p.23; SC 15, p.122; SC26,p. 9; andSC28, p.19 (MHvol.II, p.129, and vol. Ill, pp. 328 and 430). For doubts regarding the authenticity of the incident, see Kurihara (1960), pp. 45-91, and Kamada (1962), pp. 42f; [for acceptance of its authenticity, see Bodde (1986), p. 97] .. • SC 28, p. 36 (MH vol. III, p. 449); HSPC 25A.l 7a; Fujikawa (1968), p. 56 expresses the view that in the prevailing pre-occupation with settling the empire, the Han government was ready to accept existing protocol and practice. 1 SC 84, p.21; HSPC 48.lb.

Water, earth and fire

57

the following year lent some support to Kung-sun Ch'en's proposal. For, gold

m: yellow...is~the,L
V

58


account of this story, 11 Liu Pang once put a large serpent to death; at the time it was said that the s~rnent was the incarnation of the powe.r,ofWbite,, and that it was as an incarnation of the power of Red that Liu Pang had succeeded in killing it; and it is further related that when, some time after the incident, Liu Pang had risen to be king of Hanh, he made the point of according precedence .Jo.Red .\l,mo11g the colours.. . . . · .. ..... . . . .•. . ........• "" This association of Liu Pang and the protection of Red, the colour of Fire, is related in identical terms in the Shih-chi and "the Han shu. The s~le corroborative statement to suggest that Western Han paid any special attention to Red is seen, rather curiously, in the record of Kung-sun Ch'en's proposal of 166 BC. 12 Following the rejection ofhi.s proposal, the emperor made a progress to pay his respects to th'efiyeJ'owers (ti) at Yungc, and the colour Red was given precedence in the robes of the officiants at the ceremony. The absence of further corroboration has led some scholars to the conclusion that the story of Liu Pang's slaughter of the serpent was an invention of the first century BC. 13 In a somewhat strange incident of 5 BC the view was seriously put forward that the Han dynasty had reached the end of its allotted span and that its authority required renewal. The idea had indeed been propounded during the previous reign, of Ch'eng-ti (33-·7 BC), when the lack of an imperial heir had given rise to dynastic problems, political intrigues and religious controversy. The opinion which was voiced in 5 BC won acceptance to the point of persuading the emperor and his government of the need to effect certain changes, as a symbolical means of seeking a renewal of authority. A new regnal title was adopted, together with a new title with which the emperor was styled; and a formal change was made in the divisions of the day, for purposes of calculating time. It is evident that those who believed that they were witnessing the end of a dynastic cycle saw that cycle in cosmic terms, and it is perhaps surprising that no direct suggestion was made for adopting a new element as patron of the dynasty. There was, however, one allusion to the growing power of Fire; the revelation that the end of the cycle was approaching was ascribed to Ch'ih ching tzu, who is described as a mystic of a very advanced degree; 14 the term Ch'ih ching tzu may be rendered as 'The essential spirit of Red'. The documents and procedures that attended the accession of Wang Mang as emperor of the Hsin dynasty apparently assume that the elements succeed each other naturally rather than by conquest; and they accept that Han had existed under the patronage of Fire, which was due for displacement by Earth. One of Wang Mang's own statements (6 January AD 9) refers specifically to the incident of 5 BC and its prophecy of the need for dynastic renewal. B There 11

12 13

14

SC 8, p.12 (MH vol. II, p. 331); SC 26, p. 35 (MH vol. III, p.448); and HSPC 25A.17a. SC 10, p. 33 (MH vol. II, p. 480) and HSPC 25A.l 7b. See HFHD vol. III, p. 453, note 24. l, citing Ku Chieh-kang. HSPC 75.3lb and CC pp. 278f. The term chen )en is sometimes rendered 'perfected adept'.

Water, earth and.fire

59

is also a definite statement in the proclamation that was circulated throughout the empire in the autumn of AD 9, ' 6 seeking to prove how earth had already taken the place of Fire, and how the Mandate of the Han dynasty had thereby become exhausted. 11 Wang Mang's choice of Earth as his patron is specified in the proclamation issued immediately after his accession, on 10 January AD 9.18 The duty of adopting a patron element next fell on those who sought to found imperial regimes after Wang Mang's death, i.e., Kung-sun Shu and Liu Hsiu, the future Kuang-wu-ti. In both cases the theory of the natural succession of the elements was accepted without demur. Kung-sun Shu declared himself emperor on the strength of the possession of territories in west China, in AD 25; as he regarded himself as the natural successor to Wang Mang and his element Earth, he gave out that his dynasty would thrive under Metal, the element of the west. 19 Liu Hsiu, however, who chose his element in the year after his accession (i.e., in AD 26) based his decision on a somewhat different set of assumptions. By choosing Metal, Kung-sun Shu had accorded Wang Mang a rightful place in the sequence of dynastic authorities. When Liu Hsiu chose Fire, 20 he was resuming what he believed to be the appropriate element for the Han dynasty. In doing so he not only sought to unite his regime, in cosmic terms, with that of Former Han; he was also branding Wang Mang as an usurper who had never possessed a legitimate right to rule. In two key passages of the Han shu it is asserted that Han, i.e., Former Han, had served the tutelary element of Fire. One features in the historian's appreciation of Kao ti; here the statement is linked with the legitimate succession of Han from Yao•, who had also been blessed by Fire, and with the omen of Liu Pang's success, as seen in the story of his encounter with the serpent. 21 The second passage occurs in Pan Piao's all-important essay on the nature of kingship, 22 where the same points are made. Han is also assigned to the protection of Fire in another chapter of the Han shu, which is based on the writings of Liu Hsin. This is the treatise on measurements and astro-calendrical science; in accordance with the order of the natural succession of the elements, Fire is denoted as the element of Yen ti and of Yao, before the cycle had brought it round to Han. 23 An interesting statement is recorded for about AD 76 from Chia K'uei, who was a descendant of Chia I and an enthusiastic exponent of the Tso chuan. He pointed out that the Liu family's claim to be descended from Yao, and the Han dynasty's consequent devotion to Red, depended solely on passages in the Tso chuan, there being no support for such claims from the Five '' See Wang Mang's memorial to the Empress Dowager, of 6 January AD 9 (HSPC 99A.34b; HFHD vol. III, p. 251). 1• HSPC 99B.9aff, HFHD vol. III, pp. 288f. 17 HSPC 99B.9b, lOb, HFHD vol. III, pp. 290, 293. 1 • HSPC 99A.36a, b, HFHD vol. III, pp. 258-9. 19 HHSCC 13 (biog. 3), 16b. 20 HHSCC 1A.18b. 21 HSPC IB.26a, HFHD vol. l, p. 150. 22 HSPC !OOA.lOb; de Bary (1960), vol.I, p. 177. 2 ' HSPC 21B.46a, 47a, band 72b.

60


Scriptures. 24 In a somewhat exceptional passage of the Han shu, where the elements are arrayed in the order of conquest, the text is simply reiterating the view set out in the Lii shih ch'un-ch'iu, according to which Fire had been the tutelary element ofChou. 25 A belief that Fire had been the element for Former Han was accepted by the commentator Tsan, who is probably to be identified as Hsiieh Tsan (c. 350-90). 26 The evidence which is cited above indicates that it was a matter of no small importance to the emperors, philosophers and statesmen of Later Han to demonstrate that the element of Fire, thought to have watched over the fortunes of the Liu Pang and his dynasty, was likewise the element to which they themselves should look for protection; and it was equally important to establish a link with the blessed Yao. These questions are of some concern to the history of state cults and religions of China, to which Professor Eichhorn has made valuable contributions. I am grateful for the opportunity to include a small note in a volume which will permanently record the debt which friends and students owe to their colleague. 24

25 2•

HHSCC 36 (biog. 26).14b, 15a. HSPC 25A.9a; for the passage from LSCC, see note 3 above. See note to HSPC 1B.26a; Loewe (1960),p. 134 note2, which cites the view of Hu Shih. For the views of an earlier commentator (Ying Shao: c. 140 to before 204), see the note to SC 8, pp. 12-13 (MH vol. II, p. 331).

3 The Han view of comets

The three Han tombs of Ma-wang-tui will long rank among the most important archaeological discoveries of China in recent years. Quite apart from their value as examples of pit graves constructed in central China, their contents included source material of the first order of importance for students of Chinese religion and art, literature and science. The fortunate occurrence of an inscribed strip in tomb no. 3, of the year 168 BC, provides a precise indication of dating; tomb no. 1, which contained the incorrupt body of the Countess of Tai and the famous painting that was interred with her as a talisman, was constructed shortly afterwards. For students of Chinese palaeography, textual history and literature, the fifty-one items of manuscript text found in tomb no. 3 are of especial value. They include the first finds of texts written on silk, other than the single piece that derived from Ch'ua during the Chan-kuo period. Some of the texts from Ma-wang-tui are unique; others correspond partially with the received versions of works such as the Chan-kuo ts'e. Some are copies of well-known texts which were subsequently subjected to editing and standardisation, and thus suggest how the work of scholars and commentators such as Liu Hsianga (79-8 BC) or Wang Pi (226-49) may have affected the transmission of earlier versions. Above all the content of the 51 items is extremely rich and varied, ranging from philosophy and political theory to historical record. There are also manuals on mantic practices, handbooks on medical subjects and astronomy, and a few maps. In presenting a preliminary account of part of one manuscript, which concerns both science and divination, I am glad to acknowledge the encouragement and help of Professor Nathan Sivin. In the following pages I shall attempt to describe certain features of the manuscript and the terms which it uses to denote comets. These will be compared with literary usage, and particular attention will be paid to a comet known as the 'Banner ofCh'ih-yu'. After considering the Chinese view of the origin of comets, there will follow a general assessment of the value of the manuscript. 61

62


The silken manuscript now entitled T'ien-wen ch'i-hsiang tsa chan The manuscripts found at tomb no. 3 Ma-wang-tui included a large number of fragments of a silken document that had originally measured 150 by 48 centimetres.' Despite the destruction of some parts and the obliteration of all signs of writing in others, it has been possible to reconstruct the original form of the document, whose main part consisted of six horizontal bands or registers. Each one of these bands was subdivided vertically, in columns, with between 20 and 50 entries each, and the total number of entries on the manuscript, either complete or fragmentary, amounted to about 300. The entries comprised diagrams and text, inscribed in black or red, or in a combination of both colours. Below these six registers there was a further set of entries on the manuscript. These were arrayed in three bands, horizontally, each of 13 to 26 entries with text, but without diagrams. 57 entries survive from this part of the manuscript (see figures 11, 12). The text and diagrams are concerned with the identification of certain climatic and astronomical features and the prognostications that are appropriate to each one. The features under examination fall into four types which are generally, but not precisely, grouped together in different parts of the document. From the upper to the lower registers, the entries concern: (a) (b)

(c) (d)

clouds; various shapes of cloud are illustrated as animals, plants or artefacts vapours or emanations of energy; 2 these include mirages, 3 shown by diagrams of trees and some indefinable objects, and mists, which are shown in various configurations of circle or line without explanatory text; some of the entries are for rainbows. stars and constellations comets; there are altogether 29 entries (now designated as nos. 612-40), which all except one are complete (i.e., no. 632, which has a diagram but no text). This section has been described as the most complete and valuable part of the manuscript; it is the only part for which photographs and transcriptions have been published in full so far. [For photographs of a few other parts of the manuscripts, see chapter 9 below note 2]

The terminus ad quern for the manuscript can be taken at 168 BC, the date assigned to tomb no. 3 Ma-wang-tui. 4 Internal references in the text to the states of Hane Weib and Chao lead to the inference that it cannot have originated before 403 BC, when those states emerged at the dissolution of [For a list of the manuscript textual and illustrative items found at tomb no. 3 Ma-wang-tui, see Loewe (1981).] Chinese scholars now refer to the manuscript that is under study by the title T'ien-wen ch'i-hsiang tsa chan. See Ku T'ieh-fu (1978), translated by Donald J. Harper (1979). The scientific evidence is considered by Hsi Tse-tsung (1978). In terms of Han measurements, the dimensions of the manuscript are 6.6 by 2 feet. For facsimiles, see WW 1978.2, plates 2,3 2 I.e., ch'i'. (reproduced here on pp.63-4). 'Shend; see Ku T'ieh-fu (1978). • For the dating of the three Han tombs of Ma-wang-tui, see Loewe (1979), pp. 27f. 1

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Chin. The script of the manuscript is early, or proto, li-shu type, being similar to that of other manuscripts from the same tomb, and retaining some characteristics of seal writing. The appearance of the character pang in the text cannot necessarily be accepted as a reason for dating the manuscript before the reign of the first Han emperor (Liu Pang reigned 202--195 BC), as it appears in other divinatory texts that were certainly written during the Han dynasty. 5 Ma-wang-tui itselflies well within the territory of the pre-imperial kingdom of Ch'ua and the kingdom of Ch'ang-sha which was established at the outset of the Han empire. 6 Internal references treat the name Ch'u with a certain degree of prominence and many of the artifacts and the artistic motifs of the tomb's furnishings bear the characteristic imprint of the culture and mythology that is associated with that state and the Yangtse River valley. It may be suggested, tentatively, that the manuscript derived from that part of China, perhaps within a century or so before the foundation of the Ch'in empire in 221 BC.

626

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Figure 12 Illustrations of comets, from the silk manuscript from Ma-wang-tui.

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The place of the manuscript in Chinese astronomy and divination Apart from the forty diagrams of physical exercises or callisthenic postures of another manuscript,7 the document under study is the only record of the period found so far which includes illustrations of a nature that would now be regarded as scientific. That such diagrams not infrequently formed parts of early Chinese writings may be seen from the entries in the bibliographical list of the Hanshu, and in the references of much later catalogues to the survival of a text but the loss of its accompanying illustrations. 8 Whereas the diagrams of callisthenics include no more than a title or caption, the texts that accompany the illustrations of meteorological and related phenomena, of stars and of comets are considerably longer and more informative. The manuscript may be considered together with a further text found at Ma-wang-tui, also on silk, which reports the times and locations of the rising and setting of the planets over the years 246-177 BC. 9 The two documents constitute the earliest surviving original Chinese writings on astronomical matters; for the works that are ascribed to the two famous astronomers Kana and Shih0 , of the Chan-kuo period, have long since disappeared, except for the citations preserved in later writings. The basic evidence of the observations and calculations made by Han, or earlier astronomers may otherwise be found ' • ' '

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I.e., the mantic text from Mo-tsui-tzu, which is dated in the Ho-p'ing period (28-25 BC). For maps, see Loewe (1979), p. 10, and Twitchett and Loewe (1986), pp. 39, 125 . See WW 1975.6, 6f and figures 1-2 (pp. 8-9), and KK 1975.1 plate 9.1. For example, see HSPC 30.64a for a summary of the entries on military matters which included 43 scrolls of t'u"; and HSPC 30.68a for a single entry for a work on astronomy in 232 scrolls of silken diagrams (po t'u); for references in the T'ung chih etc., see WW 1978.2, 3. This manuscript was entitled Wu hsing chan; see WW 1974.11, 28f and 37f, and plate 4; and KK 1975.3, plates 2, 3.

66

in the lengthy treatises of ihe Standard Histories, and in a few diagrams painted on the walls or ceilings of tombs. 10 Both this document and the record of planetary movements must surely result from cumulative, steady and sustained observation and study; for it is not possible that a single observer could have seen and noted all the phenomena that are recorded so meticulously. The manuscript forms a powerful testimony to the capacity of Chinese observers in the centuries that preceded the imperial age and to the sophisticated nature of their records. It is difficult to believe that the manuscript under consideration was the first of its kind, compiled without the support of earlier diagrams or descriptive material. The suggestion that earlier documents of this type had existed previously is partly sustained by a few citations from lost texts that are cited in the Shih-chi or Han shu. 11 Records such as the Ch 'un-ch 'iu report the observation of comets from as early as 613 BC. 12 In addition to recording the results of systematic observation, the manuscript presents the prognostications appropriate to the phenomena that are described. In doing so it introduces a mantic element into the subject. Now, whereas a clear distinction may be drawn between science and divination at their extreme points, there remains a wide middle ground between the two wherein both activities merge and affect one another. This principle may be seen in the study of the major methods of divination practised in China, whether with bones or shells and fire, or by the manipulation of stalks and the I ching. In each case the intuitive presentiments of a seer become subjected to the intellectual processes of standardisation, regularisation and explanation. Similarly geomancy (jeng-shui) seems in its origin to have been based on two approaches; that of the seer who unconsciously divines the existence of the unperceived properties that inform a site, and that of the observer whose graticulated compass enables him to relate a site and its qualities to the measured rhythms and changes of the universe. The manuscript from Ma-wang-tui likewise takes account of both the intuitive and the intellectual approaches; for it presents the results of observation together with guidance with which to interpret the inherent meaning therein on grounds which we do not yet comprehend. It may also be remarked that the treatment of stars and 10

11

12



For the Standard Histories, see SC 27 ('T'ien kuan shu'), MH vol. III, pp. 339f; HSPC 26 and 27 ('T'ien-wen chih' and 'Wu hsing chih'); HHSCC (treatise) 10-12 ('T'ien-wen'); CS 11-13 ('T'ien-wen'), Ho Peng Yoke (1966). For secondary writings, see Eberhard (1933); Dubs (1958); SCCvol. III; Sivin (1969), 52f; Maeyama (1975). For the Hsing ching and its. d~tmg, see Maeyama (1977). For recently found manuscripts, see Loewe (1977), p. 123. To ~his 1t may he added that (i) constellations were included in the decoration of the t?mh o_f a Chmese migrant at Takamatsuzuka, Japan, dated in the seventh or eighth centunes; (n) the Twenty-eight Mansions were named on the cover of a lacquered box, found in a Chinese tomb dated shortly after 433 BC (see WW 1979.7, 40f). See SC 27, pp. 87, 93 (MH vol. III, pp. 404-9) and HSPC 26.l 9bff fo'. citations from ~he astronomers Kan• and Shih•; see HSPC 27C (2).19b, 20a, 20b for c1tat10ns from the Hsing chuan; and HSPC 27C(2).2la for citations from Shen Hsii [or Ju], also Ch'ien-fu fun 26 ('Wu lieh'), p. 304. SSC 19B.13b.

67

comets together with features of climate and atmosphere in the same text forms a valuable link in tracing the antecedents of feng-shui during the Han period. 13 Terms used to denote comets in (i) the manuscript and (ii) the Standard Histories ( i) In the manuscript

The text that accompanied 28 of the 29 diagrams of the comets 14 is in general of the same form, comprising the name and title of the particular type of comet that is displayed, short remarks about the duration of its appearance, and a general prognostication of the events likely to ensue. A number of the names are botanical terms. Perhaps somewhat surprisingly some of the names are used to define two or even three different types of comet; in these cases the prognostications, though phrased somewhat differently, are largely identical in purport. At least eight of the total number of 20 different names appear in literature. 15 A large proportion of the prognostications concern military fortunes, as do those for comets whose observation is recorded in Han literature. 16 It may also be remarked that, certainly at a later date, divination which depended on another type of natural feature (i.e., the behaviour of the winds:feng-chiao) was also largely linked with military matters. 17 Some of the prognostications of the manuscript are attributed to named masters or seers, i.e., Pei-kung or Yao; these are otherwise unknown. The names of the comets that are listed on the manuscript follow, overleaf (for a full transcription of the texts, see WW 1978.2, 5-6). (ii) In the Standard Histories

The compilers of the Standard Histories for the Han period noted the appearance of comets in two different ways. They feature in the chapters of Imperial Annals, along with accounts of other phenomena, in so far as they were thought to have a bearing on imperial destinies and dynastic continuity. The references in these chapters are terse, and they are not usually 13 14

15

1•

17

See pp. 19lff, and Ngo van Xuyet. The text for no. 632 is now unreadable. For the appearance of eight of these terms together in a work attributed to Ching Fang, see pp. 75fbelow; see also LSCC 6.IOa for the mention of five named comets, including some of those given in the manuscript. For example, HSPC 26.52a, for 134 BC; HSPC 26.53a for the Yiian-feng period 110 105 BC; HSPC 26.54b, for 77 BC; HHSCC (tr.) I l.2h, for AD 76. See chapter 9 below forfeng-chiao, a method of divination according to the direction and force of the winds and the times at which they arose. There is considerable evidence for its practice in both Former and Later Han, and one passage refers to this as part of the la ceremonies at the start of the year (see SC 27, pp. 78f, Ml!, vol. III, pp. 397f). The Hou Han shu mentions a number of named specialists at this type of divination; for its association with military matters, see Li Ch'iian, Shen chi chih ti T'ai-po yin ching (TSCC ed., pp. 235-6).

68



Figure

Name of comet (B signifies 'botanical')

GSR

Notes (M signifies a military prognostication)

612 613 614

Ch'ih kuan, red drops Po kuan, white drops Tien hsiao (shuo), the flute of Heaven Tien hsiao (shuo), the flute of Heaven Ch'ana, (magnolia?) Sui hsing, broom star

158f 158f l l 49e'

attributed to Pei-kung;M attributed to Pei-kung attributed to Yaoh

1149e'

attributed to Pei-kung

615 616B? 617 618 619 620B 621 B 622B 623B 624 625 626B 627B 628B 629B 630B 631 B 632 633B 634B?

635 636 637 638B 639

640

Po kuan, white drops Ch'ih kuan, red drops P'u sui, reed broom P'u sui hsing, reed broom star Kan sui, straw broom Kan sui, straw broom Chou sui, sweeper broom Li sui, whetstone-broom Chu sui, bamboo broom Chu sui, bamboo broom Hao sui, artemisia broom Hao sui, artemisia broom Chan sui, thatch broom Chan sui, thatch broom

612a 527a 158f 158f 102n' 102n'

see GSR 612h M (for the reading suia rather than hui, see GSR) M

139j 139j 1087a 340a 1019a 1019a, l 129q 1129q 618i 618i

M attributed to Pei-kung

618i

M; reading doubtful

658a

M. See GSR 658f, and p. 74 below; WW 1978.2, 26 identifies as mulberry pips; Morohashi 14082 as mushroom (in the Po-wu chih). M M M;see nos. 622, 623 attributed to Pei-kung

M

attributed to Pei-kung; M attributed to Pei-kung M

attributed to Pei-kung M

attributed to Pei-kung

accompanied by comment or prognostication. Comets are however treated more fully in the special chapters that concern the movements of the heavenly bodies or the strange phenomena of the universe. In those chapters the reports of comets' appearances are frequently followed by interpretation or comments submitted by notable or distinguished men of letters. Examples of reports are given in the appendix below. The observations that are reported for the Former Han period are not always dated precisely. Sometimes two or more references may pertain to one and the same incident. In some cases it is not always possible to determine whether observations which were separated by a short period were in fact concerned with the same event; and it is possible that some reports may have derived from purposeful fabrication that was undertaken for political motives. 18 For these reasons it is difficult to count the number of different appearances that were recorded, but it may he estimated that possibly as many as thirty separate incidents featured and were observed between 204 BC and AD 22. 19 One of the observations (for 12 BC) can be identified with confidence as Halley's comet, and the sighting of 87 BC was probably concerned with its immediately preceding occurrence. Two other cases (for 135 BC and 44 BC) may perhaps be linked with observations of comets recorded in other cultures, i.e., in one case for the comet said to have attended the birth of Mithridates, and in the other for the one that appeared close to the murder of Julius Caesar. A sighting of AD 13 may correspond to a report mentioned by Dio Cassius; one for AD 185 has been identified as a supernova. 20 A variety of terms, which will be considered immediately below, were used in the Standard Histories to denote these events. Whichever term is used, such For the Former Han period, the Han shu has a fuller set of records than the Shih-chi. In his notes to references to comets in the Imperial Annals, Dubs draws attention to the entries in Williams (1871) and to observations recorded in western sources. In addition to Williams' pioneer work, lists of comets recorded in Chinese sources for the period also appear in Ho Peng Yoke (1962). For consideration of the possible motives and ways of fabricating reports of strange phenomena, see Bielenstein (1950); HFHD vol. I, pp.165-6, 212, 287--8, and vol. III, p. 555; Eberhard (1957); and Sivin (1969), pp. 52f. [For a complete list of observations of astronomical ph,enomena of all types as reported in a variety of sources, see Chuang Wei-feng (1988). This work includes the categories of sui hsing, from the eleventh century BC to 1901 (pp. 381-574); /iu hsing yii, from the seventeenth or sixteenth century BC to 1911(pp.575--616); and liu hsingb from 651 BC to 1911 (pp. 617-1082).] 19 Williams lists forty-one incidents (nos. 15-55) and Ho lists forty-four incidents (nos. 23-66) including suspect novae. [For the years between 204 BC and AD 23, Chuang Wei-feng (1988) lists forty-two incidents under sui hsing (pp. 384--8); two under /iu hsing yii (p. 577); and fifteen under liu hsing (pp. 619-20).] 2 ° For correspondences with records from other sources, see the references in H1'1JD vol. II, pp. 34 (note4. l), 313 (note 5. 7) and 410 (note 13.6), and HFHD vol. III, p. 333 (note 22.2). For the incident of AD 185, see Clark and Stephenson (1977), eh. 5. For the comet sighted in 87 BC, see HSPC 7.lb (HFHD vol. II, p. 152) and Ho Peng Yoke (1962)), p.145. Other references to these incidents will be found in HSPC 44.9a, b and HSPC 27C(2).22b (for 135 BC); HSPC 26.56b (for 44 BC); HSPC 27C(2).23a and HSPC 36.30a (for 12 BC). Other sightings which have been tentatively identified as Halley's comet are for AD 66, 141, 218 (see Ho Peng Yoke (1962), pp. 150, 152 and 154). See also Kiang (1972), and Y. C. Chang (1979). 18

Chan (? sui), thatch broom Shen hsing

(Ch'iang) hsing (Na) hsing Kan sui, shield broom Chan sui hsing, thatch broom star Ch'ih-yu ch'i, the Banner of Ch'ih-yu Tid, pheasant

(727) (695) 139a 618i 793a 996a 952v l 124a

M; see pp. 77f below

M

69

details as are given in the record are of the same type, i.e., they concern the constellation in or near which the phenomenon was seen; its subsequent movements; its colour, and its size. This last detail is given either by measurement in feet, however that may be interpreted, or by comparison with material objects. How far the Chinese were able tp distinguish at this stage between comets, novae and supernovae must remain open to question; but the basic identification of the phenomena as comets can be accepted, by reason of the attendant details that are reported, the correspondence between some of the Chinese reports with those from elsewhere and the evidence of the manuscript from Ma-wang-tui. Six expressions are used in the Shih-chi, lIan shu and lIou Han shu to denote comets. As it is by no means certain, and indeed unlikely, that the Chinese authors of these works discriminated between the terms in direct correllation to differences of observed phenomena, it would be anachronistic to do so in order to satisfy the conclusions of modern astronomy. It would seem likely that the compilers or authors of the different chapters of the histories chose terms which suited contemporary usage, which may well have changed in the course of centuries. More expressions appear in the manuscript from Ma-wang-tui than in the Standard Histories, where some terms are used interchangeably and with a lesser degree of refinement. The terms used in the Shih-chi and Han shu are hsing po, ch'ang hsing p'eng hsing, sui"-, k'o hsing and liu hsingb; from the considerations which follow it may be concluded that the first five of these were used synonymously. Hsing po differs from the four other terms which include the character hsing. For in those expressions, hsingc is qualified by the modifiers eh 'ang, p'eng, k'o and liu. In hsing po, where the order is reversed, the character po fulfils a verbal function, and it has been suggested that the word designated the 'burst' in the heavens, from which comets were believed to have emerged. 21 Liu hsing is perhaps to be distinguished from the other terms, with which it is not interchanged. The indiscriminate use of some of these terms may be illustrated as follows: (1)

(2)

21

22

2'



70

The Ch'un-ch'iu records occasions of hsing po for the years 613, 525 and 482 BC. 22 This information is repeated in the Shih-chi, where, however, the term sui or sui hsing replaces hsing po. In the corresponding chapter of the Han shu the same incidents are described, and the comments that are cited thereto are couched in terms of both hsing po and sui. 23 The Kung yang commentary to the Ch'un-ch'iu defines the term hsing po as sui (for 613 BC). 24

For po, see GSR 49la, and Schafer (1977), p.107. For Han beliefs regarding the origin of comets, see pp. 74f, 79f below. SSC 19B.13b, 48. la and 59.6b There is a further reference in the supplementary part of the Tso chuan for 516 BC, where the expression sui is used (see Harvard-Yenching Index text p. 422). 24 SSC 14.8b. SC 27, p. 86 (MH vol. III, p.403); HSPC 27C(2).19b.20b.22a. .

71

Terms used to denote comet: examples of interchange

Date of Ch'unincident ch'iu

Kung yang chuan Shih-chi

Annals 613 BC hsing po sui 155 154 147 135

(4) (5) (6) (7) 25

2•

27

28

2•

Treatise

Biography Annals

Treatise

hsing po hsing po sui

sui, ch'ang hsing SUi

49 AD 39

(3)

sui

Hou Han Hsli llan shu chih

Han shu

hsing po sui hsing po ch'ang hsing hsing po k'o hsing

SUi

hsing po sui

The Shih-chi does not apparently use the term po. In contexts wherein it appears in the Han shu, the corresponding passage of the Shih-chi writes fud.2s There are occasions when the Shih-chi uses the terms sui and eh 'ang hsing in respect of the same incident. 26 Both the Han shu and the Hou Han shu use hsing po and sui in respect of the same incident. 27 The observation for 135 BC is recorded in three separate passages in the Han shu as hsing po, sui and ch'ang hsing respectively. 28 K' o hsing does not seem to appear in the Ch 'un-ch 'iu or the Shih-chi, 29 but

The Harvard-Yenching Index to the Shih-chi carries no reference to hsing po. The expression hsingfu occurs in SC 12, p. 39 and 28, p. 78 (MHvol. III, p. 504) for an observation of 110 BC, which is duly reported in HSPC 6.6b as hsing po. Similarly, Ssu-ma Ch'ien's comments to the chapter on astrology include the statement that comets (hsingfu) appeared at the destruction of Ch'ao-hsien in 108 BC, and when the Han armies attacked Ta Yuan (SC 27, p. 92; MHvol. lll, p. 408); HSPC 26.53a, 54a reports both these incidents as hsing po. For the use ofJu in other texts, see Yen tzu ch'un-ch'iu 7, p. 436 and Yang Hsiung, Ch'a Ch'in mei Hsin (Wen hsiian, SPTK ed., 48.12b). SC 27, p. 91 (MHvol. III, p.407) reports the incident of 154 BC assui; SC 11, p. 4 (MHvol. II, p. 498) as ch'ang hsing. The event is not reported in HSPC 5. For example, (a) HSPC 5.3b (HFHD vol. I, p. 312) and HSPC 26.50b report the same incident in 155 BC, once as hsing po and once as sui; (b) an incident of the ninth month of 147 BC is reported as hsingpo in HSPC 5.6b (HFHD vol. I, p. 321) and as suiinHSPC 26.5la and SC 11, p. lO(MHvol. Il,p. 504); and(c)HHSCC lB.llareportsahsingpofor AD 39; inHHSCC(tr.) 10.7a this is mentioned as sui. The observation for 135 BC is given as hsing po (HSPC 6.4a; HFHD vol. II, p. 34), as sui (HSPC 44.9a, b) and as ch'ang hsing (HSPC 27C(2).22b). The last passage includes in its prognostication an identification of the phenomenon as the Banner of Ch'ih-yu. The term sui hsing (seen in entry no. 617 of the manuscript) also appears in one of the medical texts from Ma-wang-tui, in a formula of exorcism designed to eliminate infantile convulsions (see WW 1975.9, p. 37, column 53 of the manuscript). The term is also used as a general expression in Huai-nan-tzu 3.3b. There are no references to the observation of a k'o hsing; the term appears in SC27, p. 96 (MH vol. II, p. 412 'etoile etrangere').

72

(8)



it is used in the Han shu interchangeably with hsing po, 30 or, sometimes.•, to describe certain sightings uniquely. 31 Perhaps the least common of all the terms is p'eng hsing, which does not appear to feature in the Shih-chi. Its two appearances in the Han shu probably refer to incidents that are decribed elsewhere as hsing po.n

While it may be accepted that k'o hsing is used in the Han shu to denote q, comet, the evidence for the use of liu hsing is far less certain. This expression does not appear in the Ch 'un-ch 'iu; in its three occurrences in the Shih-chi it 18 used as a means of general description rather than as a direct identification ofa particular phenomenon that can be defined as a comet. 33 Of the seven references in the Han shu, three 34 refer to an event which was observed in the ninth month of 32 BC. It is possible that this is to be identified with the sighting of the hsing po for the first month of that year, and the terms whereby the liU hsing is described are comparable with those that are used to describe a hsing po. Two of the other references could possibly concern comets; 35 one other is. ··' indecisive; 36 and in one context, where the liu hsing is described as being the : 2\ size of the moon and accompanied by a number of other heavenly bodies, flie:' term has been translated as 'meteor' and explained as a fireball. 37 The bibliographical list which is incorporated in the Han shu includes three items whose titles mention the expressions that are under study. 38 In one, k'q [hsing] and liu [hsing] are both specified; another mentions sui and k'o [hsing]r andin the third /iuhsingareisolated. The titlesofthefirsttwo of these works alsq include references to the five planets, and it is to be noted that the treatise astrology in the Hsu Han chih lists planetary movements together wit~ ..

on

30

31 ' 2

33

34 35

36 37

38

(a) HSPC 26.54a reports hsing po at the start of the T'ai ch'u period (104-101 BC); the textcifos an appropriate comment from the lost ( hsing) chuan on the subject, not of hsing po but of k]J" hsing. (b) HSPC 26.56a reports a k'o hsing for the third month of 49 BC; in HSPC 8.24b, (HFHD vol. II, p. 263) this is given as hsing po. (c) For the sixth month of69 BC, HSPC26.56a· :· writes k'o hsing, while HSPC 8.7a (HFHD vol. II, p. 215) and HSPC 27C(2).23a have hsirigpq .. for the first month. The implications are not clear in a passage of HHSCC (tr.) 12.2a whic.h . relates that a k'o hsing was transformed into a sui. See HSPC 26.52b, 54b and 56b for incidents in 134, 77, 48 and 47 BC. See HSPC 26.Slb, 54a and HSPC 5.6a (HFHD vol. I, p. 320) and HSPC 7.3b (HFHD vol:II; ; p. 157); the months mentioned in these corresponding passages for the years 148 and 84 BG at~:.·" not identical. SC 24, p. 6 (MH vol. III, p. 236) reports the regular presence of liu hsing above the altar,.wh~~; .·· an emperor was worshipping T'ai i (Grand Unity; [in origin probably a divinity associated With · one of the constellations]); in SC 27, (MHvol. III, p. 392) and SC28, p. 10 (MHvol. III, p.422} · the term is used to describe phenomena such as lights or effulgences due to occult powers. HSPC 10.3a (HFHD vol. II, p. 378); HSPC 26.56b; and HSPC 97B.4b. HSPC 26.55a and 59a for 73 (second month) and 8 BC (first month). HSPC 26.54b. HSPC 7.lOa (HFHD vol. II, p.174), for the second month of 74 BC. HSPC 30.65b, 66a. The titles are: (a) Chin tu yii-heng Han wu-hsing k'o liu ch'u-ju; (b) Han· wu-hsing sui k'o hsing-shih chan-yen; and (c) Han liu-hsing hsing-shih chan-yen. In a T'ang text which concerns military matters (Shen chi chih ti T'ai-po yin ching, ascribed to Li Ch'u:;u,1, preface dated 768) three chapters (nos. 7-9) concern various methods of divination for tactical purposes. One of these includes sections on liu hsing, k'o hsing andyao hsing, but not onsui ot_,, hsing po.

73

nomena that are denoted as sui, k 'o hsing or liuhsing. In general the inference these titles is inconclusive; it could possibly be argued that they support suggestion that for the Former Han period Chinese writers regarded k'o gas being in the same category as hsing po, eh 'ang hsing, p'eng hsing and sui, ileretaining liu hsing for something that may have been of a different nature . .The foregoing considerations tend to show that the writers and observers of ormer Han were not bound by the distinctions suggested by Wen Ying, who as writing towards the beginning of the third century AD. In commenting on "rt Han shu 's use of the expression eh 'ang hsing 39 for an observation of 172 :, Wen Ying discriminated between hsing po, sui and ch'ang hsing as being shy', 'broomlike' and 'long', according to the shape of the light-rays of the cts observed; but, as has been seen, it would be difficult to sustain this ·nction in the references that are made to comets for the Former Han 'od. or observations of the Later Han period, we find that p'eng hsing is arently not used, and there is only one reference to ch'ang hsing, which is in the treatise on astrology. 40 The chapters of imperial annals of the Hou shu use the term hsing po, but not sui; and there are twelve occasions of nts reported between AD 39 and 188 which the treatise describe as sui and imperial annals as hsing po. 41 The treatise uses the term hsing po for an ervation of AD 22, and for those that are dated between 193 and 218; for se final years it does not use sui. There are three cases wherein both the erial annals and the treatise describe the same event as k'o hsing: 42 and ilty-seven reports of liu hsing in the treatise are not mentioned in the erial annals. In two passages the biographies of the Hou Han shu include comments submitted by statesmen on the appearance of comets; they use . somewhat loose expression sui pei. 43 HSPC 4.13b (HFHD vol.I, p. 251-2). HSCC HHSCC Treatise Date

I0.7a I I.la

l l.2b l l.2b 11.3a l l.7b ll.12a 12.la 12.4a 12.4a 12.4b 12.5a

40

HHSCC (tr.) 11.lb for AD 65.

39 60 75 76 77 109 141 149 178 180 182 188

.. l!HSCC 3.14a and HHSCC (tr.) l l.3b for 85; HHSCC 6.6a and HHSCC (tr.) 11.IOb for 131; ·l;lnd HHSCC 6.7b and HHSCC (tr.) 11.1 la for 132. ,(i) _HHSCC. 64.12b, in a memorial of Lu Chih dated 178; and (ii) HHSCC 66.12a, where Shih-sun Jm argues in 192 that the appearance of sui pei indicates the need for speedy action.

74



Professor Schafer suggests 44 that a basic and early distinction between tailless comets (aphelial) and tailed comets (perihelia!) was reflected in the terms po and sui; how far this distinction can be verified in Han usage may perhaps remain open to question. At a much later stage of Chinese intellectual history, Ma Tuan-lin (1254-1325) arranged his chapters on astronomical phenomena in such a way that hsing po, sui hsing and ch'ang hsing are taken together, while liu hsing and k'o hsing are treated in a separate section. 45 In the manuscript from Ma-wang-tui, the term sui features not only in no. 617 (in the expression sui hsing), but also in a number of other entries, where it is modified by words that denote plants or shrubs (for example, entries nos. 620---31, 633, 637 and 638). It may be suggested that originally the term sui, with its vivid imagery, was used to denote a particular and recognisable type of comet; that it was subsequently modified, to allow for finer distinctions; and that it finally came to be used as an expression for comets in general. A number of the terms which designate comets on the manuscript (and, as will be seen, in literary passages) are botanical. This need occasion no surprise, in view of the obvious comparison between the diagrams of the manuscript and the shapes of the plants. Of the terms which have been encountered so far in literary passages.Ju is interpreted as meaning 'bushy', and p 'eng as the name of a plant. 46 The standard commentary to the Hsu Han chih, of Liu Chao (fl.510), carries an interesting citation that is ascribed to Han Yang, to the effect that 'the shapes of comets are like those of bamboo brooms, or the branches of trees, and there is no regular constancy in their size. Long ones last a long time and their damage is severe; short ones last a short time and their damage is more limited. ' 47 It will be seen above that a number of the terms of the manuscript have been identified with particular plants, i.e., ch'an as ?magnolia, p 'u as rush, reed or willow, kan as straw, haoc as artemisia, chan as thatch and chena (or shen) as mushroom. Similarly p'ou which, as will be seen immediately, appears in literary passages, has been identified as mistletoe. 48 The treatises on astrology in the Shih-chi and Han shu name several objects which came into being as a result of the aberrations of some of the planets.49 Thus, from the strange behaviour of Jupiter there emerge T'ien-p'ou, 44

Schafer (1977), p. 107.

4'

Liu hsing and k'o hsing are treated in chapter 281 of the Wen-hsien t'ung-k'ao together with other phenomena such as jui huang and yao hsing. Chapter 286, which is sub-titled po sui, is

46

47 48

I

49

concerned only with incidents that are described by one of these terms. See GSR 500k *p'imt/p'iu;Jt/fu shrubby, dense (Kuoyii); pimt/piu;Jt//fu clear away dense vegetation (Shih); and GSR l 197y b'ung/b;Jung p'eng name of a plant of uncertain species (Artemisia? Chrysanthemum coronarium? Conyza?) (Shih); luxuriant foliage (Shih). HHSCC (tr.) 10.4a, b. Han Yang is untraced. For these identifications see p. 68 above. For p'ou, see GSR 999x p';Jg/p';Ju/p'ou and b';,g/b';Ju/p'ou raised wooden platform, a look-out built of planks (Kungyang). SC 27, pp. 39, 57 and 59 (MHvol. III, pp. 362f, 378 and 380); HSPC 26.19b, 20b, 23a and 25b. These passages may be compared with parts of the text of the other manuscript from Ma-wang-tui which concerns astronomy (see note 9 above); for transcription of that text, see Chung-kuo t'ien-wen-hsiieh shih wen chi, 'Ma-wang-tui Han po-shu "Wu hsing chan" shih wen', pp. 2, 3 and 7 for columns 10, 11, 13, 17, 19 and 55 of the manuscript.

75

sui-hsing, T'ien-ch'an and T'ien-chiang; sui-hsing likewise emerge from the unaccountable behaviour of both Venus and Mercury. The manuscript from Ma-wang-tui confirms the conclusions reached by commentators that some of these objects are to be identified as comets. Thus, T'ien-ch'an can be identified with entry number 616, which is entitled ch'an; and when the Han shurecords, in a totally different passage, 50 that T'ien-ch'an appeared in 162 BC, we may suspect that the term denoted Halley's comet. In addition there are several references to Ch'an-chiang which apparently describes a single phenomenon. The expression is seen in the 'Ta jen fu' of Ssu-ma Hsiang-ju (c. 179-117 BC), where the seeker is envisaged as 'brandishing the comet eh 'an-chiang as a standard'. 51 It is also seen in the 'Kan-ch'iian fu' of Yang Hsiung (53 BC-AD 18), where it denotes one of the heavenly bodies. 52 In addition the term denotes a comet in the Hou Han shu; 53 and it duly appears in the Shuo yiian of Liu Hsiang (79-8 BC) as one of the objects produced by the aberration of the planets. 54 Elsewhere the expression T'ien-p'ou is used in an entirely different sense, to denote an area of the heavens. 55

The treatment of comets in the Standard Histories 56 When the chapters of the Shih-chi and the Han shu report the appearance of a comet, they note its position in the heavens and the direction in which it was moving; the length of time for which it was visible; its colour and its size, either in the general terms of 'extending over all or half the heavens', or, more precisely in terms of feet; such terms of measurement have yet to be fully explained. The treatises of the Han shu which concern astrology and strange phenomena include statements that are ascribed to famous figures such as Tung Chung-shu (c. 179 to c. 104 BC) Liu Hsiang, Liu Hsin (46 BC to AD 23) or Ku Yung (fl. c. 9 BC), as comments made on the appearance of a comet. Curiously enough no comments are included from Ching Fang in this connection. Elsewhere in the Han shu his views are frequently quoted in relation to other strange occurrences; and citations from his works in the Chin shu show that he had certainly not excluded comets from his investigation of natural phenomena. 57 Sometimes the Han shu simply relates a subsequent ' 0 HSPC 26.49b; see Ho Peng Yoke (1962), p. 143. " SC 117, p.81, Hervouet (1972), p.187; see GSR 703i. For the problems regarding the

composition of this Ju, see Hervouet (1964), pp. 288f.

" HSPC 87A.14a; Knechtges (1976), p.48. " HHSCC 52.4a. 4 ' For the reference in the Shuo-yiian, and the question of the emergence of comets from planets,

see note 58 and p. 79 below. " HHSCC (tr.) l l.3b.

•• For examples of passages, see the appendix. 1 Ching Fang's explanations of strange phenomena are cited in HSPC 27B(l ), HSPC 27B(2), HSPC 27C(l) and HSPC 27C(2), in connection with incidents such as the odd behaviour of rats, or unaccounted sprouting ofleaves in dead wood. For his remarks on comets, see Chin shu chi?o chu 12.12b. [For the distinction between Ching Fang the Elder (?c. 140 to c. 80 BC) and Ching Fang the Younger (79-37 BC), see A.F.P. Hulsewe, 'The two early Han I ching

'

76


historical event, leaving it to the reader to draw the obvious inference that the comet's appearance foreshadowed the incident in question, which was usually of a dynastic or political nature. 58 In addition the Han shu includes on at least three occasions a general statement to the effect that 'comets eliminate the old and inaugurate a new order'. 59 There are also a few tantalising citations from works that are now lost, such as the Hsing chuan, or the opinions of Shen Hsu [or Ju]. The question may naturally be raised whether such writings included material of the same form as that of the manuscript under study. 60 The treatise on astrology in the Hsii Han chih reports planetary movements and observations of phenomena such as the appearance of comets. The text notes the size of the comet, sometimes in graphic terms (for example, as large as a peach, a melon or an egg), or sometimes in terms of the measurement of the length or breadth of the tail (in feet). Occasionally it is stated that the comet's appearance was accompanied by a noise like that of thunder, and the comet is sometimes described in terms of colour (i.e., white, blue and yellow, red, green and white, red and yellow, blue and white, or yellow white). Sometimes it is said that a comet broke into several fragments. The text of the treatise states in which part of the heavens the comet was sighted and reports its movements; it relates the area of the heavens in question to the corresponding and appropriate region on earth. Such a relationship is sometimes restricted to the terms of a prognostication that is given, usually from unnamed sources, or to the subsequent verification in terms of political and dynastic change. The treatise includes the following general explanatory statement, following its report of the appearance of a comet in the eleventh month of AD 22: 61 Disrupting stars [po hsing] are the product of evil exhalations and give rise to disorder and violence, by which they disrupt [po] natural qualities of good [te]; a disruption of specialists called Ching Fang', TP 72 (1986), 161-2. See also note 80 below.] For example, see HSPC 27B(2).22b, 23a; after reporting the comet of 110 BC, the text adds 'Thereafter Chiang Ch'ung staged his revolt and the capital city was thrown into confusion' (for this incident, of 91-90 BC, see CC, eh. 2). See also Shuo-yiian 18.36 for credence in the connection between a comet and an historical event such as the accession of the First Ch'in Emperor. 59 HSPC 26.59b and HSPC 27C(2).20b, 2la. In Wen Ying's (ft. 196-220) note to HSPC 4.13b (HFHD vol. I, p. 251), this statement is ascribed to Ta fa. •° For citations from the Hsing chuan, see HSPC 27C(2).20a, b. No work with this single title appears in the large number of books on astronomy and astrology that are listed in HSPC 30.65aff. Shen Hsii, or Ju, was a prominent man in Lu, who features in incidents that are recorded in the Tvo chuan for 706, 694 and 680 BC (SSC 6.22b, 7.25b and 9.86); these do not correspond with the reference in HSPC 27C(2).2la. The incident recorded in the Tso chuan for 694 BC is also reported in the Kuan-tzu ('Ta k'uang') 18.2a, where Shen Hsii appears as Shen Yii (Rickett (1965), p. 48 and (1985), p. 287). It is also recorded in one of the historical documents found in Ma-wang-tui which is entitled now Ch 'un-ch 'iu shih-yii, but in this account neither Shen Hsii nor Shen Yii are mentioned; see WW 1977.1, 35 (incident no. 16). " HHSCC (tr.) 10.4a; for the observation, see HSPC 99C.19b (HFHD vol. III, p. 435), HHSCC 1A.2b; and Williams (1871) no. 55. The bracketed passage reads: ts'anjan pei yen ping chih lei yeh. 58


77

such qualities is a sign of violence, a manifestation of darkness [pu ming]. In addition [eight characters not understood] ... hence they are termed 'disrupters', an expression which implies that something has been injured and that something has been obstructed. Sometimes they are called 'broom-stars' [sui hsing], the means of eliminating corruption and inaugurating a new order.

Liu Chao's comment to this passage includes two interesting citations, of which one has been reported above. 62 The other is a note written by Sung Chun to a document entitled Kou ming chiieh; 63 he writes of the existence of five types of 'broom', distinguished according to the five symbolical colours of the wu hsing, i.e., green, red, yellow, white and black. The Banner of Ch'ih-yu

The diagram that forms part of entry number 639 of the manuscript is identified there as 'the Banner ofCh'ih-yu', and the prognostication that was appropriate to this particular type of comet reads: 'armies are without; they will return'. There is further information about this comet in literary sources. Ch'ih-yu himselffeatures as a hero, or a villain, of Chinese mythology who was involved in a number of escapades. Sometimes he is cited as a byword for the outbreak of violent conflict; sometimes he is described as one of the ministers who served Huang-ti, the Yellow Emperor; at a later stage he became accepted as the God of War. 64 The term 'Banner of Ch'ih-yu' is used to denote certain types of exhalation (ch'i) as well as a comet of a particular definable type. In the Lii shih eh 'un-ch 'iu 65 the term appears among a number of others that denote clouds or exhalations; but although the same passage refers to comets, the Banner of Ch'ih-yu does not feature in that connection. The T'ai-p-ing yii-lan 66 cites a passage from a work which is entitled Huang Ian; this recounts some of the consequences that followed the death ofCh'ih-yu at the hands of Huang ti and his subsequent burial. A form of popular worship grew up at his tomb, taking place in the tenth month of the year. In addition a red emanation which 62

63

64

65

See note 47 above. Re-collected fragments of the Hsiao-ching wei kou ming chiieh, with annotation by Sung Chiin, are included in the Yii-han-shan fang chi-i-shu eh. 58; for the full citation from which this passage is drawn, see f.8a. In that collection Sung Chiin is described as being of the Wei period, presumably third century AD. He is to be distinguished from the Sung Chiin of HHSCC 2.19a, whose pupils are stated to have offered advice regularly to Ming-ti (reigned 57-75), after inspecting comets. See also HHSCC 41.13b for a biography of Sung Chun, who died in AD 76. There is nothing in the biography to confirm the statement of HHSCC 2. l 9a, or to show that its subject possessed skills or specialised knowledge of comets. See also Wang Hsien-ch'ien's note to HHSCC 41.13b for the view that Sung Chiin is an error for Tsung Chiin. See SC 1, pp. 6, 8 (MH vol.I, pp. 27, 29) and SC 27, p. 60 (MH vol. III, p. 107), and Bodde (1975), p.120. A shrine to Ch'ih-yu was included among those places of worship which were abolished in 31 BC (HSPC25B.15a). In Yen-t'ieh lun 52, p. 328, Ch'in is criticised for believing itself to be impervious to damage, even by Ch'ih-yu. [For Ch'ih-yu's place in mythology, see chapter 11 below.] 66 TPYL 875.!0a; see also the note in SC 1, p. 8 by P'ei Yin. LSCC 6.9b.

78

appeared at the tomb and resembled a bolt of deep red silk was popularly called the 'Banner of Ch'ih-yu'. Elsewhere, in an incident which is reported for AD 254 an emanation that was white was identified by Wang Su (195-256) as the Ban~er; he added the prediction that its appearance meant trouble in the south-east. 67 At least three passages refer to the appearance of a comet in 135 BC. The shortest of these, in the imperial annals of the Han shu, 68 reports that in the eighth month 'a comet appeared [hsing po] in the eastern quarter; it was long, extending throughout the entire sky'. In the chapter on the wu hsing, 69 the information is somewhat fuller; there was a comet (hsing po) in the northern quarter in the sixth month, and another (eh' ang hsing) in the eastern quarter in the eighth month. The text includes a prognostication that was given for the second appearance; this identified the comet as the 'Banner of Ch'ih-yu', which would be followed by royal military expeditions in all directions. The third reference is by no means as precise as those that have been mentioned, but it may well concern the same incident. The Shih-chi10 alludes to two observations of Ch'ih-yu's Banner during the Yiian-kuang and Yiian-shou periods (i.e., 134-129 and 122-117 BC). The text adds that the length of the comet was such that it extended for half the sky. The next appearance of a comet which was identified as the Banner is dated for AD 191, and again there are two separate references. The short entry in t~e imperial annals 71 simply states that in the ninth month the comet appeared m the lunar mansions Chiaob and K'ang. The treatise, however, is more informative; 72 the comet is dated to the ninth month; it is described as being over ten foot long, and white, emerging from the south of Chiao and K'ang. The chapter includes a similar prognostication to the one seen in the treatise of the Han shu, i.e., that its appearance would be followed by military activity in all quarters. Finally, the Hou Han shu carries a passage in which a Liu hsing was described by Su Ching (ft. AD 10-20) as being like Ch'ih-yu's Banner. 73 For attempts to describe the phenomenon we must turn in the first instance to an earlier text. According to the passage of the Lii shih ch'un-ch'iu that has been cited above, 74 the Banner was yellow above and white below. Here the text concerns the appearance of an emanation rath,er than a comet. Nevertheless it was cited as an authority by Chin Cho (ft.c. AD 208), in a comment to the Han shu. 15 The text on which the comment is made carries part of a prognostication with which we are already familiar; 'the Banner ofCh'ih-yu, while being like a comet [sui1, is curled at the rear, in the shape of a flag; when it is seen, those who are kings will undertake military expeditions in all San kuo chih 13 (Wei), p. 418. For a further observation of the banner ofCh'ih-yu, in AD 501, 68 HSPC 6.4a (HFHD vol. II, p. 34). see Wen-hsien t'ung-k'ao 286, p. 2269B. 11 HHSCC 9.3a. 10 SC 27, p. 91 (MH vol. III, p. 408). 69 HSPC 27C(2).22b. 12 HHSCC (tr.).12.5b. ,. . . 13 HHSCC 30A.3b. The object was compared variously with the banner of Ch 1h-yu, With Ymg 74 t'ou or T'ien chiang (for T'ien chiang, see p. 75). LSCC 6.9b. " HSPC 26.37b; the passage occurs also in SC 27, p. 72 (MH vol. III, p. 392).

67



79

directions'. The same passage recurs in the treatise on astrology in the Chin shu, with some further elaboration regarding the shape and colour of the comet. 76 Chinese views of the origin of comets Reference has been made above to the statements of the Shih-chi and Han shu to the effect that certain named comets were produced thanks to the aberrations of the planets. 77 A similar concept is voiced by Liu Hsiang (79-8 BC), whose interpretations of comets and their significance in dynastic terms are included in the Han shu. In a separate work, the Shuo yiian, he describes some of the features of the heavens in connection with prognostication. He names five comets which he regards as being the product of the waxing and the waning of the five planets, but he does not relate individual comets to particular planets. We have already encountered two of the comets which he names, i.e., the Banner of Ch'ih-yu and Ch'an-chiang. 78 The treatise on astrology of the Chin shu19 carries a long citation that is ascribed to Ching Fang, a famous contemporary of Liu Hsiang who has good cause to be named among the foremost of Han scientific observers. 80 The passage refers to a number of comets by name, eight of which appear in the manuscript from Ma-wang-tui. 81 Ching Fang attributes their origins to the planets, and lists the Banner of Ch'ih-yu among the products of Mars. The same chapter of the Chin shu also carries a citation from a source which is named as Ho t'u. 82 Here the comets are said to originate from the dissipation (san) of the planets; it is also suggested that the essence (ching) of the planets may become comets; and the Banner of Ch'ih-yu is variously ascribed to Mars and Saturn. In a comment to the Han shu, Meng K'ang (ft.c. 180-260) likewise identified the Banner of Ch'ih-yu as the essence of Mars. 83 The same concept is repeated in two short citations in the T'ai-p'ing yii-lan, from a work which is entitled Ho t'u ch'i yao kou. 84 According to one of these passages the five planets produce the five comets by a process of dissipation; the other passage states that the Banner of Ch'ih-yu originated in this way from Mars. Chin shu chiao chu 12.9b; Ho Peng Yoke (1966), p.130. 78 Shuo yiian 18.26. See p.000 above, and SCC vol.111, pp.430f. " Chin shu chiao chu 12.12b; Ho Peng Yoke (1966), p.134. • 0 Of the two scholars named Ching Fang who were each specialists in the interpretation of the Chou i, the first had probably died before the reign ofHsiian-ti (73-49 BC). The second (79-37 BC), whose sayings are cited in the Chin shu, was the founder of one of the four chin wen schools of the I ching. Part of his intellectual effort was directed to reconciling the cycle of the sixty-four hexagrams with Yin-Yang and the Five Phases' cycle of change in nature. For his biography, see HSPC 75.5b. The most reliable fragments of his writings are probably to be found in citations in works such as the Han shu or Chin shu. 81 I.e., in entries nos. 613, 616, 617, 626, 628, 635; 639 and 640. 12 Chin shu chiao chu 12.12a. 83 See Meng K'ang's comment to HSPC 26.37b and SC 27, p. 72 (MH vol. III, p. 392). 84 TPYL 875.4a and lOa. 76

11

80



The value and purpose of the manuscript

The manuscript that is under study reflects both the progress of scientific observation and the Chinese concern with divination. Its implications have a bearing on three topics: the importance of linear patterns in divination; the Chinese attitude towards the ordinary and the extraordinary movements in the world of nature; and the form of the earliest parts of the Book of Changes. Finally it may be asked what the motives were for the compilation of the document. Comets are classified in the manuscript according to their linear shapes, and the prognostications follow suitably. An analogy is immediately suggested with the importance of the lines or patterns that were induced on turtles' shells or animals' bones, or the creation of a pattern of six lines by the cast of yarrow stalks. However, there is one difference between such patterns and those of the manuscript's diagrams. For whereas in the first two cases the patterns emerge only after purposeful human manipulation, the shapes of comet are provided by nature, for all to gaze at and admire. Other cases wherein Chinese divination takes account of natural rather than artificial lines may be seen in feng-shui, where the inherent patterns of the earth are regarded as the conductors of good or evil influences. Divination in China fastened on the features and phenomena of nature in two ways. Seers discerned a message in the normal patterns of regular occurrence, such as the direction of the winds or the shapes of clouds; they also saw abnormal, irregular events as the harbingers of the future. In both cases they relied on a philosophy that saw the universe as a whole, whose integral parts were subject to the same overriding rhythms. Linear patterns could show how those rhythms were working out in their normal, regular and expected course; they could also show the disturbances that had been wrought in the operation of those rhythms. Extreme examples may be quoted in two instances. The practice of feng-shui fastens on the permanent, static and regular features of a landscape; the attention paid to an eclipse or the extra-orbital movements of the heavenly bodies seeks to interpret violent and abnormal incidents. It must, however, remain open to question how far the Chinese consciously drew a distinction between these two types of inference. It is of some interest that the single document from Ma-wang-tui includes entries for both types of phenomenon, for example, the shapes of clouds, that are of regular occurrence, and the patterns of rarities such as comets. The text that accompanies the entries for the comets includes the name allocated to each pattern and the prognostication thought appropriate thereto. Comparison is immediately suggested with parts of the Chou i. In both cases the names of the linear patterns include material objects, as if they were chosen as mnemonics. Whereas in the Chou i the prognostications of the t'uan and the yaoc are couched in formulaic terms and give general indications, in the manuscript from Ma-wang-tui, which is dated several centuries later,

81

the predictions are more specific. It may be asked whether, in their earliest forms, some of the writings that we now know as the Chou i were not of a similar layout to that of the manuscript, i.e., a series of linear patterns, accompanied by the name whereby each one could be identified and remembered, and a suggested prognostication. 85 These considerations prompt the question of the prime motive for compiling the manuscript, and perhaps that of recording part of the Chou i in writing. It can hardly have derived from a seer's own needs; for a master whose pronouncements depend on intuitive processes would hardly require a record to stir his memory, or for its own sake. But possibly a less skilled disciple, whose claims to mantic powers were pretentious rather than genuine, would be anxious to possess precisely such a document as the one under study; for it could be used both as an authority from which his own statements could draw support and as an aide-memoire in times of difficulty. The inclusion on the manuscript of the names of certain masters as the sources may be relevant in this respect. The document may have emerged at a stage when divination in its real form, that depended on unconscious powers of vision, had given way to the next stage, when intellectual powers were being invoked, memories were being consulted or some form of instruction sought. T'ien-wen ch'i-hsiang tsa chan remains in the middle ground between science and divination, allowing scope both for the fruits of systematic observation and the intuitive messages of a seer. Appendix

The following passages from the Standard Histories may serve as examples of reports made in those works for the observation of comets or similar phenomena. (i) HSPC 10.13b (HFHD vol.II,p.410)

In the autumn, seventh month [i.e., August to September, 12 BC] there was a comet [ hsing po j in the constellation Tung-ching. This incident has been identified with the appearance of Halley's comet. It followed a solar eclipse which was reported for the first month, and unexplained claps of thunder and flashes oflight which appeared out of a clear sky in the fourth month. The events prompted the promulgation of an imperial edict, in which the emperor expressed his concern and anxiety at the state of the universe, and asked his principal counsellors to tender their advice regarding the prevailing situation. The constellation Tung-ching was one of the twenty-eight mansions (for identification, see SCC, vol. III, p. 237). 85

For the diversity of material that came to be included in the Chou i and its different origins, see Waley (1933), [and the entry for I ching by E. L. Shaughnessy, in Loewe (1994)].

82


The incident is also reported in HS 27C (2).23a, for a date corresponding with 26 August. The passage is translated by Dubs (HFHD vol. II, p. 410 note 13.6) as follows: . 'In Yuan-yen, I, vii, on hsin-wei, [Aug. 26], a comet appeared m [the constellation] Tung-shing [µ, v, y, ~,A., C 36, e Gem], and marched over the Five Nobles [8, z, -r, u, K Gem]. It rose north of the [two] Ho-sh~ [the same as the Nan and Po-ho, p, a, f3 Gem and e, {3, a C Min] and directed itself towards and traversed Hsien-yuan [35 Lyn; 10 U Ma; 38, a Lyn; 59, z, ~ Cnc; A, e, µ, ,, y, 17, a, o, 31 Leo] and T'ai-wei [6, 8, 1, a Leo; (3, 17, y, b, e Vir; a C~m]. It .daily progressed six degrees [of equatorial longitude] or more._ At ~awn 1t rose ~n the eastern quarter. On the thirteenth day [Sept. 7], at evenmg, it appeared m the western quarter. It invaded the Second Consort[' Ser (cf. SC27: .14 n~tes)], the Harem [another name for Wei 3 (c, µ, C 17, fJ, 1, K, A., v Ser) and Chi (y, i5, e, 11 Sgr; cf. HS 26: 8b, 9a)] the Bushel [C r, rr,

83

committed suicide. All members of the Ting and Fu families who had been allied by marriage to the imperial house were deprived of their offices and orders of rank and banished to Ho-p'u, or sent back to the commanderies of their origin. When P'ing-ti died without a direct heir, [Wang] Mang forthwith assumed unlawful control of the state. (ii) Hsu Han shu(tr.) 10.6a

On the day chi-hai of the twelfth month [of the IOth year of Chien-wu, i.e., 25 January AD 35] a large roaming star [liu hsingj such as a broadly shaped jar emerged from the south-west of the constellation Liub 86 and proceeded to enter Chen b. At the time when it was about to be destroyed, it split into ten or more fragments, with the appearance of embers; shortly there were sounds as loud as a clap of thunder. Liu corresponds with Chou, and Chen with Ch'in and Shu. That a large roaming star emerged from Liu and entered Chen corresponds with the penetration of a large expedition from Chou into Shu. At this time Kuang-Wu ti had sent Marshal Wu Han to mobilise 300 OOO conscript troops from Nan-yang, they were to be embarked on boats, ~ith orders to proceed upstream along the [Yangste] River, to take the offensive against Kung-sun Shu, Emperor of the White, of Shu. In addition he had ordered Generals Ma Wu, Liu Shang, Kuo Pa, Ts'en P'eng and Feng Chun to bring order to bear in Wu tu and Pa commandery. In the tenth month of the twelfth year, advanced troops of Han attacked Yung, Superintendent of the Guards and cousin of[Kung-sun] Shu; they advanced as far as Kuang-tu and put to death Shih Hsing, son-in-law of [Kung-sun] Shu. Feng Chun, the Wei-Ju general, took over Chiang chou and put to death [Kung-sun] Shu's general T'ien Jung. In addition, Wu Han attacked [Kung-sun] Shu's Marshal Hsieh Feng, putting over 5,000 men to death; Ts'ang Kung conquered Fu°, killing [Kung-sun] Shu's brother Hui, who was Ta ssu-k'ung. On the day ting-eh 'ou of the eleventh month [23 December AD 36] Kao Wu, General of the Han Reserve Army, stabbed [Kung-sun] Shu, piercing his breast. He died that night, and the next day Han [troops] entered the city of Shu; they butchered its inhabitants, putting to death [Kung-sun] Shu's generals of prime rank Kung-sun Huang, Yen Ts'en and others. Myriads of individuals were killed and over 10,000 members of the families related to Kung-sun Shu by marriage were exterminated. This was the response [to the comet], in the form of attack and slaughter by the generals of prime rank. The shooting movements of the smaller stars and the fragmentation of the comet into ten pieces or more, like embers, were signs that the generals of secondary rank would follow and join in the fight. The sounds like thunder were indications of armed conflict. •• For the identification of the constellations Liu and Chen, see S'CC, vol. III, p. 237.

84


(iii) Hsu Han chih (tr.) 11.la

On the day ting-mao, in the sixth month of the third year [ofYu~g-p'in,g'.i.e., 9 August AD 60], a comet [sui hsing] eme~ged from the n~rth ~fT 1en-ch, uan for a length of two feet, moving gradua_lly m a northe:ly direction to the south of K'ang; after being observed for thirty-five days 1t departed. T'ien-ch'uan signifies water, and that the comet emerged therefr?m indicated a great flood. In that year the rivers I° and Lo o.verflowe~, reach~ng the Chin-ch'eng gate, destroying the bridge over the I River and mundatmg thirty-two prefectures in seven commanderies. .. (The translation follows the text as emended in the pun~~uated ed1t1on of Chung huashu-chii, Peking 1965, p. 3229, as suggested ?Y Chien Ta-c~ao. ~he constellation Tien ch'uan is identified by Morohash1 (5833.932) with T ten Huang. For K'ang, see SCC, vol. III, p. 235).

4 The authority of the emperors of Ch'in and Han

Introductory remarks

A deep contrast may be drawn between the concepts of imperial sovereignty that were accepted in 221 BC and AD 220. At the outset of the Ch'in empire (221-207) the right to rule needed no greater defence or explanation than that of successful conquest, achieved by force of arms; by the end of the Han empire (202 BC -AD 220) a new dynasty was obliged to demonstrate that it had received Heaven's command to rule and Heaven's blessing on its undertakings. The first Ch'in emperor formulated and assumed his title by arbitrary action;' in AD 220 Ts'ao P'i (187-226) went through a form of reluctantly accepting nomination after receiving an instrument of abdication from his predecessor, the last of the Han emperors. 2 While the governors of Ch'in had been content to take material wealth and strength as the objective of their rule, by the third century AD it had become firmly established that a new dynasty could only claim support if it could show that its purpose lay in the unfolding of cosmic destiny. In these four centuries, political theory and constitutional practice had developed alongside a problem that was destined to recur throughout imperial times. This was the compelling need of a new dynastic house to justify its displacement of a predecessor (often by means of force) and yet to show good reason why it would be unjust for a rival group to seize power in its turn. It became necessary to conceive or formulate ideal qualifications for sovereignty that could be claimed without unduly manifest hypocrisy and which could be shown to have eluded a dispossessed or conquered rival. The problem grew in intensity, both as more and more contenders arose for supreme power, and as statesmen and historians were more frequently obliged to make a definite choice of those whom they would support in action or justify in writing. It was solved only by incorporating temporal authority within a transcendent system that embraced all activities and values of the universe. 1 2

SC 6, pp.19f; MH vol. II, pp.122f. This incident is summarised in San kuo chih 2 (Wei), p. 62, where the notes cite a number of accounts and documents. In particular, seep. 75 note 3, for a citation from the Hsien-ti chuan; for critical comments on these sources, sec de Crespigny (1970); see also Hou Han chi 30.l 7a and Liang Han chin shih chi 18.4b and 18.lOa, and Leban (1978).

85

86


The new view of imperial sovereignty should be considered within the context of the major change that overcame religious, intellectual, and political attitudes in these centuries, and which is sometimes described as the victory of Confucianism. 3 In addition the change in the concept of imperial sovereignty should be considered in relation to the role actually played by the emperor in affairs of state. For while the four centuries in question witnessed a growing insistence on the religious values and ethical considerations of empire, they also witnessed a number of occasions when the personal powers of the emperor were reduced to a point of disappearance, in favour of the control of government by other parties. Thus, from almost the outset of the Han dynasty there were occasions when infants or minors were installed as emperors, while an empress dowager, an imperial concubine, or her relatives moulded the decisions of state. There is also a further hint that the emperor's personal powers were not of a practical, immediate nature. Of all the emperors of Former Han (202 BC --- 8 AD), Wu-ti (141-87) is credited with the greatest vigour, personality and achievement; but on inspection it appears that the majority of actions in which he took a personal part were neither political nor military; they were concerned with religious cults. On the one hand, greater emphasis was being placed on the divine nature of imperial sovereignty and Heaven's part in ensuring dynastic continuity; on the other, those who exercised supreme power of government stood beyond an emperor's control rather than beneath his supervision. It appears that statesmen, however strong, who wished to fulfil their ambitions, could not dispense with the existence of a formally installed emperor; but only a relatively small number of emperors can be shown to have taken an active, personal part in controlling China's destinies. Whatever the later protestations may have been, in at least two instances Han statesmen recognised with some embarrassment that their dynasty had in fact been founded by force majeure, in the same manner as Ch'in. The first occasion is that of a discussion held between two men of learning before Ching-ti (157--141). The question had arisen of the morality of the action taken by T'ang and Wud in putting to death the last kings of the Hsia (trad. dates 2205-1767) and the Shang (c. 1700-c. 1045 BC) dynasties. Yuan Ku (third/second century BC) insisted that the action was defensible and even commendable, and that the extent of the popular support they had enjoyed showed that they had received a mandate for their actions. Mr Huang (Huang-sheng) replied that, in so far as they were of an inferior status to that of men who had been born kings, they had had no right to murder their superiors; to which Yuan Ku raised the question of the legality of Kao-ti's (202-195) action in replacing Ch'in, ifHuang's principles were to be accepted. It was at this point that Ching-ti saw fit to bring the discussion to an abrupt close; and according to one account of the incident, academics did not ' For this interpretation, see HFHD vol. II. pp. 34lf, and Hu Shih (1929). For the relation of the change to political manoeuvres, see CC.

The authority of the emperors of Ch 'in and Han

87

subsequently presume to discuss such questions or to clarify these issues. 4 The second instance occurred about a century later, and the implication which had alarmed Ching-ti was voiced explicitly. In 46 BC, I Feng (jl. second half of the first century BC) was pleading for the removal of the seat of imperial government from Ch'ang-an to Lo-yang. He based his case on the need to return to the ideals of economy or parsimony that had been ascribed to Wen-ti (180---157) and to strive for the qualities postulated of the old kingdoms of Chou (c. 1045-256). He drew a blunt contrast between the ideals of those kings and contemporary Han practice, and even went so far as to state that Han had been founded on the basis of military strength and low cultural standards. This view was completely contrary to that of Pan Piao (3-54), who shortly afterwards stated his belief; he regarded it as a vulgar misapprehension to think that Kao-ti had established his empire by means of force alone. 5 From these passages it may be inferred that well after the foundation of the Han dynasty there were still some statesmen who could not accept that it had been fully backed by moral considerations from its time of origin. The development of the belief that sovereignty must rest on right as well as might and the steps that were taken to propagate that view may be traced in evidence of three types, documentary, procedural, and philosophical. The documents are the summaries of memorials and edicts that attended major occasions of dynastic change, such as the accession, deposal, or abdication of an emperor. The procedures and formalities of these occasions, as described in the histories, reveal the importance of certain symbolical acts; and both the histories and other sources preserve contemporary tracts which bear directly on the theoretical issues under discussion. In no case is the evidence complete, as the habits of Chinese historians and the accident of literary survival have denied posterity a full archive. Nevertheless the value of the evidence, particularly that of the documents, is strong. We may possess no more than a selection and summary of many of such pieces, but their very retention implies that they promote or defend the preferred opinion of those who practised imperial sovereignty, and that they served to support their claim for legitimacy. The principal occasions of dynastic change or controversy which gave rise to significant edicts, memorials, decisions, and procedures were the foundation of the Ch'in empire (221 BC); the accession of Liu Pang (248-195) as emperor of Han (202 BC); the effective control of state by the Empress Dowager Lua, at a time when two infants successively held the title of emperor (187-180 BC); 6 the elimination of the Lu family and the accession of Liu Heng (202-157), known as Wen-ti (from 180 BC). The death ofChao-ti (87-74) in 74 BC gave rise to a crisis in which Liu Ho's (d. 59 BC) accession was abruptly followed by his deposal twenty-seven days later7 and the accession of Liu 4 SC 121, pp. 16f; HSPC 88.18b. ' HSPC 75.20aff; for Pan Piao's views, see p. 109. • These are referred to as Shao-ti Kung (188-184) and Shao-ti Hung (184-180).

The authority of the emperors of Ch'in and Han


88

Ping-i (91-49) as Hsiian-ti (74-49). The basis of sovereignty was next brought into question in 5 BC by some who thought the survival of the dynasty to be in jeopardy and sought a means of dynastic renewal. 8 There followed the accession of Wang Mang (45 BC - 23 AD) in AD 9 as first and only emperor of the Hsin dynasty (9-23), and in AD 23 that of Liu Hsiu (6 BC- 57 AD) as first emperor of the restored Han dynasty (Hou Han, 25-220). By now the main changes in the view of imperial sovereignty had been effected; the documents and procedures which attended the abdication of the last of the Han emperors • (Hsien-ti, reigned from 189 onwards) in AD 220, and the accession of Ts 'ao P'i as emperor (Wen-ti, 220-6) of the new dynasty of Weib (220-65) elaborate and underline the principles that had by then become accepted. In addition there were a number of occasions marked by dynastic plot, or when there was no recognised and nominated heir apparent, which led to a consideration of rival claims to the title of emperor, and a definition of some of the principles of hereditary accession (i.e., in 80, 45, and 8 BC and AD 5). The issues at stake will be considered below under the three headings of (I) the links forged with a superhuman world; (II) the properties required of an individual emperor; and (III) the symbolical procedures which were deemed necessary at an emperor's succession. We will then briefly examine (IV) some of the theories put forward by writers such as Tung Chung-shu (c. 179-c. 104 BC), Pan Piao, Wang Ch'ung (27 - c. 100) and Wang ~u (c. 90-165).

0~~inks with a superhuman world

\

'Pfte Mandate of Heaven

The expression Mandate of Heaven (t'ien ming) appears some seven times in the Book of Songs (Shih ching), in the sense of the bidding given by Heaven to certain kings and their obedience thereto. In one passage9 we read of Heaven's orders to the Black Bird (Hsiian niao) to descend and give birth of Shang, and the poem continues with references to the continuity of the line of the kings of Shang. Other poems refer to Heaven's orders to the king of Shang and to King Wen of the next dynasty. 10 One of the most telling references to the Mandate of Heaven, part of which is cited in the Meng-tzu, is in praise of King Wen; 11 the poem mentions his debt to the Mandate of Heaven and the possibility that Heaven will bless his descendants. Above all the poem asserts the highly important thesis that the Mandate does not remain constantly with one incumbent, as may be shown in the transfer from the house of Yin ( = Shang) For details, see CC pp. 75f. ' See CC pp.278f. • Shih ching no. 303, SSC 20(3).l2a; Waley (1937), p. 275; Karlgen (1950a), pp. 262f. 10 Shih ching nos. 244, 305, SSC 16(5).lOb and 20(4).9b; Waley (1937), pp. 263, 279; Karlgren (1950a), pp. 198, 265-6. [Forother aspects of the Mandate at this early stage, se~ Allan (~984a); for example, p. 531, for the suggestion that the seeds of the Mandat~ theory lay m the fa~lure of Shang to maintain its monopoly for divination and Chou's assertion that, thanks to its own exercises in divination, their own cause was favoured by the supreme powers.] 11 Shih ching no. 235, SSC 16(1).la; Waley (1937), p. 250; Karlgren (1950a), pp. 185f.

89

to that of Chou. It was this key expression, t'ien ming mi ch'ang, that was selected for citation in the Meng-tzu, where there are surprisingly few occurrences of the term t'ien ming. 12 Four crucial passages in the Book of Documents (Shu-ching) allude to the belief that Heaven had transferred its mandate from Yin to Chou, or ordered a king to eliminate an unjust predecessor. 13 However this view does not appear to be re-iterated in the Tso chuan, whose references to the Mandate of Heaven are of a somewhat different type; 14 for here they involve the fate or behaviour of individuals only, without the majestic concern with the destiny of royal houses. Nor does such a concern form a central point of Confucius' teaching in the Analects (Lun-yii). 15 [In what has been described as one of the lost texts of Huang-Lao thought ('Liming', in Shih liu ching; see Ma-wang-tui Han mu po shu vol. I, p. 61) Huang-ti, the Yellow Lord, states that he received his charge (mingb) from Heaven, established his position on earth and created his reputation among mankind.] It has been suggested by one scholar 16 that, while it cannot be known when or how the doctrine of Heaven's mandate to kings originated, its formulation or propagation may possibly be traced to the Duke of Chou. The doctrine was doubtless of value to those who wished to exculpate the house of Chou from a charge that it had eliminated its predecessor unjustly, by force. In due course the doctrine became an integral part of the imperial creed of life; but it is of considerable importance to observe the absence of a direct continuity between the statements attributed to the Duke of Chou and the claims made by the empires. r;, In the first instance there was a long interval of time between the early Chou0 kings and the full invocation of the Mandate of Heaven in support of imperial government. The political circumstances of the Ch'un-ch'iu (722-481) and Chan-kuo (403-221) periods were hardly such that the leaders, protagonists or monarchs of the day could expect to call on the blessing of Heaven; and as will be shown below, after the establishment of imperial government over two centuries had still to elapse before an emperor would claim to be the recipient of the Mandate. ~ Secondly, there is a considerable difference in the principles whereby the._ 1

12

13

14

7

15

16

Karlgren (1950a), p. 186: 'Heaven's appointment is not for ever'; Legge, vol. II, p. 297; Meng-tzu, SSC 7a.10b; Lau (1970), p. 120: 'Because the Mandate of Heaven is not immutable'. SSC ('T'ang shih') 8.2aff; ('Ta kao') 13.15bff; ('K'ang kao,) 14.2bff; ('Chiin shih') 16.18aff; Karlgren (1950b), pp. 20, 37, 39 and 59. Tso chuan (SSC ed.) 39.22a, Couvreur (1914), vol. II, p. 541 for 544 BC; 41.25b, Couvreur, vol. III, p. 36 for 541 BC; 52.l 7b and 20b, Couvreur vol. III, pp. 424, 430 for 515 BC; 54.25b, Couvreur vol. III, p. 514 for 506 BC; and 59.2la, Couvreur vol. III, p. 707 (for 480 BC). The best-known reference to the Mandate of Heaven in that work is the famous statement that on r~aching the age of fifty, the Master 'understood the ordinances of Heaven'; see Lun-yu 2 ('Wei cheng') SSC 2.2a; see also Lun-yu 16 ('Chi shih') SSC 16.7b (Legge vol.I, pp. 146, 313). Creel (1970), pp. 82f; [for other views of the Mandate as seen in Western Chou see Hsu and Linduff (1988), pp. 101-6, 382-3. For King Wen's receipt of the Mandate, see' Shaughnessy (1991), pp.233, 227-8 and 246-7.]

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1

doctrine was applied. For the kings of Chou it served to explain the right of succession which followed the conquest of a predecessor. 17 By the time of Wang Mang it was linked with a theory of cosmic and dynastic change that derived not from conquest but from the natural processes of birth, death, and rebirth; the view that the doctrine survived without change from the time of the Duke of Chou throughout the imperial period perhaps needs some modification. 18 Some two centuries passed in the imperial age before it was recognised that the existence and successful survival of a dynasty was bound up with the bestowal of a specific trust or order. In the account of the first Ch'in emperor's adoption of his title, we read solely of his successful conquest of his enemies, 19 but by the time of Han Kao-ti there is a perceptible change. For it is acknowledged that such achievements depend on something more than human proficiency, and that the strength of the victor derived from Heaven. However, gratitude to Heaven for such gifts is still far removed from a belief that Heaven is the ultimate source of temporal authority; such a concept does not appear in the documents of accession until the time of Wang Mang. Several of Kao-ti's supporters argued that he owed his personal success to the strength drawn from Heaven. 20 On one occasion, the emperor himself acknowledged that he had achieved the foundation of the empire thanks to Heaven's spiritual power (lingb); 21 and as his life was drawing to a close he likewise recognised that the decree of Heaven, which had vouchsafed him strength earlier in his career, was inexorably bringing about his death. 22 In the same way the Empress Dowager Lu recognised that Heaven had decreed her own end; 23 and the accession of Liu Heng was accompanied by the assurance that the transfer of popular support from the family of Lu to the house of Liu was due to superhuman strength. 24 The only reference in these early days to Heaven's bestowal of a Mandate was not made in support of a Han emperor. It occurs in the arguments put forward by Lou Ching (jl. third/second century BC) for the establishment of the new imperial capital at Ch'ang-an rather than Lo-yang; Lou Ching took the opportunity to contrast the Chou dynasty, which had ruled by virtue of moral qualities and the Mandate of Heaven, with Han which had not been thus favoured. 25 Creel ( 1970), pp. 84f. " Creel (1970), p. 93, 'A new concept of the state, based upon the idea of the Mandate of Heaven, came into being. No alteration of this basic concept, of anything approaching comparable scope and depth, would again occur in China before the twentieth century. The doctrine of the Mandate of Heaven became the cornerstone of the Chinese Empire.' 19 SC 6, pp. l 9f; MH vol. JI, pp. 122f. 20 Such supporters included Chang Liang(d. 168 BC), Han Hsin (d. 196 BC), Li I-ch'i (d. 204 BC) and Lu Chia (c. 228 to c. 140 BC). For the former two, see SC 55, p. 7, and 92, p. 37, and LH 3 (Ming lu), p. 23; Forke (1907--11), part I, p. 148; for the other two, see SC 97, pp. 10, 13. 21 HSPC 1B.17b; HFHD, vol.I, p.131. 22 HSPC IB.22b; HH!Dvol. I, pp. 142-3; SC 8, p. 84; MHvol. II, p. 400; sec also LHas cited in 23 For her interpretation of portents. seep. 95 below. note 20 above. 24 HSPC 4.2a; HFHD vol. I, p. 224. 2 ' SC 55, p. 20 and SC 99, p. 2; HSPC 1B.7a; HFHD vol. I, p. 108; and HSPC 43, p. !Ob. 17

The authority of the emperors ()f Ch'in and Han


91

Reference will be made below to theories formulated by Tung Chung-shu and the place that he found for imperial sovereignty within his concept of the universe. In the record of political events and discussions, it seems that we must wait until c. 45 BC before we find a significant new departure. A new attitude is discernible in a memorial submitted by K'uang Heng (first century BC), a statesman who dissociated himself sharply from the realist and expansionist policies ofWu-ti and his predecessors, and strove to promote the ethical ideals of government that were ascribed to the kings of Ch(m. In writing about dynastic destinies, 26 he observed that the duty of a 'king who had received the mandate (shou ming chih wang) lay in transmitting his inheritance as a possession for ever'. In expanding his theme, K'uang Heng cited precedents from the kingdom of Chou and a passage from the Book of Songs to show that a sovereign's attention to correct principles merited the blessing of various types of deity, at whose head stood Heaven above. Shortly afterwards, in the reign of Ch'eng-ti (33-7) the somewhat revolutionary view was put forward by Kan Chung-k'o, a specialist in calendrical science, that the Han dynasty had run its course and stood in need of re-dedication. 27 This assertion included a crucial statement which referred to the Han dynasty's receipt of a mandate from Heaven: 'The Han dynasty has come to the final end of the cycle of Heaven and Earth, and stands ready once more to receive the Mandate from Heaven'. The view was repeated in 5 BC by a pupil of Kan Chung-k'o named Hsia Ho-liang; and he even went so far as to suggest that the failure of the previous emperor, i.e. Ch'eng-ti, to produce an heir had been due to his inability to respond to the Mandate of Heaven. 28 Attention has been paid above to the claims made on behalf of the. emperors of two 11ewly arisen ho11_~es ~o as to assert their exercise of authoritv. For the first emperor of Ch'in, the claim rested ~n the a~co~plished f~ct of the unification of China's rival kingdoms; on behalf of Liu Pang, it was alleged that his strength and success had been due to gifts bestowed by Heaven personally. As compared with these two cases, the accession of the first emperor of the next house, Hsin, was marked by a studied attempt to trace the ~Jilperor's claim and title to the transcendent will oTsuperhuman powers.-tl:le MQaSeS (WU h~ing); the operation of that cycle was plain to see.in the preliminary portents which were reported from many quarters of the t!mpire. The new dependence on the Mandate of Heaven as a meaiis· of conferring legitimate power is ifhistrated in the contrivances devised immediately before Wang Mang's assumption of the imperialtitle in AD 9. A bronze casket, which was found fortuitously and most opportunely in the memorial shrine dedicated to the founder of the Han dynasty had been secured and sealed in the usual manner, but it was the terms of the two inscriptions with which the fastening was made that were of prime interest. 29 2• 2•

21 See CC p. 279. HSPC 81.6a. HSPC 99A.35b; HFHD vol. III, p. 254.

2'

HSPC 75.3lb.

.f

92

For they permitted Wang Mang to claim that he was accepting the abdication of the Han house, and that his own descent could be traced to Huang-tih, the Yellow Emperor and Yu ti (Shun). In the rescript that he issued, Wang Mang wrote that Almighty Heaven and God on high had vouchsafed the clearest indications of their support, and enjoined upon him the responsibility for the welfare of all peoples of the world; he could not but accept the Mandate, in the deepest sense of reverence. By way of advertising the strength of his claims, Wang Mang had the banners and the devices of the new dynasty's officials inscribed in such a way that they would make clear that imperial authority rested on the awesome mandate of Almighty Heaven and God on high. In the civil wars which attended the downfall of Wang Mang and the restoration of the Han dynasty, a number of claims were made by rival contenders to show that they stood possessed of the Mandate of Heaven. One supporter of Liu Hsiu (Kuang-wu-ti 25-57) is reported as claiming that Wang Mang's usurpation constituted an offence against Heaven, whose Mandate really served to uphold Han. 30 In a despatch which was generally circulated throughout the empire, Wei Ao (d. AD 33) likewise accused Wang Mang of lodging an unsubstantiated claim to possess the Mandate, 31 and elsewhere claimed that he was the true recipient; Kung-sun Shu (d. 36), another pretender, acted in like fashion. 32 The claims of Liu Hsiu (Kuang-wu-ti) were made no less clearly in the documents which attended his accession, 33 where a new principle may be observed that was of no small importance. This was to the effect that, first, the Mandate of Heaven cannot be gainsaid; and secondly that it must have a repository. As has been seen, in its earliest forms the doctrine provided for the removal of the Mandate from one house to another. In the intervening centuries since the Book of Documents and the Book of Songs, the place of imperial sovereignty had become enshrined as an integral part of the cosmic system, thanks partly to the teachings of Tung Chung-shu. The new principle, that Heaven cannot brook an interruption of the Mandate and must ensure that it is vested in a recognised incumbent, follows as a logical necessity from those beliefs. It was a principle that was destined to be of profound importance in the subsequent stages of China's dynastic history and historiography. There were other occasions in the early part of the Later Han dynasty when statesmen or emperors referred to the Mandate. Feng I (d. 34) once re-assured Kuang-wu-ti that one of his dreams signified the manifestation of the Mandate on his behalf. 34 In the account of his final acceptance of the title, 35 Kuang-wu-ti referred to its bestowal as a gift from the powers of Heaven and Earth; and he avowed his faith that his successful conquest of his enemies : proved his conformity with the will of Heaven and his command of popular 30

33



This supporter was Wang Lang; HHSCC 12. lb. [For a reconsideration of the view of Wang Mang as an usurper, see Bielenstein (1954--79), vol.I, pp. 145f, and Bielenstein (1986), 32 HHSCC 13.14aff. 31 HHSCC 13.2a and 4b. pp. 223f.] 34 HHSCC !7.4b; HHSCC 22.lb. HHSCC !A.14b. " HHSCC (treatise) 7.lb.

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support. In a solemn declaration made towards the end of his life, in AD 56, in the shrine dedicated to Kao-ti, the same emperor referred to the seizure of power by the Empress Dowager Li.i and the elimination of the Li.i family after her death; 36 he epitomised the process as the fall of the Mandate, followed by the restoration of peace to a dynasty that had been in danger. The first edict of Kuang-wu-ti's successor, Ming-ti (57-75), referred to his predecessor's receipt of the Mandate. 37 Most significantly, on the next occasion when a new dynasty was established in place of a defunct regime, the king of Wei could write: 'It is not right to refuse or withstand the Mandate of Heaven; it is not right that the Sacred Instrument of power should long be left abandoned; it is not right that the whole body of servants of state should be without a master; it is not right that the manifold problems of state should be without control.' 38 The Five Phases 39

A well-known passage in the Lu shih ch'un-ch'iu40 declares that when a sovereign or king is about to arise, Heaven invariably takes the preliminary step of displaying tokens of his good fortune to mankind. The theme is illustrated in the case of four rulers, each of whom arose in his due season, preceded by the appearance of appropriate material signs. Thus, at the time of the Yellow Emperor, Heaven produced creatures of the earth, such as worms or crickets, whose presence suggested his association with the energy of Earth; his successors were likewise accompanied with symbols of their own particular phase, i.e. Wood (for Yi.ia, founder of Hsia), Metal (for T'ang, founder of Shang) and Fire (for King Wen, founder of Chou). The passage shows how, in pre-imperial days, a link had been forged between the power of a particular ruler or house and one of the Five Phases whereby the processes of nature unfold. There are two important points in the theory as first expressed. First, the scheme or rhythm was based on the belief that each phase was initiated after the conquest of its predecessor, i.e. by the,-, process of successive conquest (hsiang shenga); and secondly, the fifth phase of'.'-~ the process, which was symbolised by Water, was still unengaged, awaiting association with a temporal dispensation yet to come. It cannot be said how widely the belief in this theory was held at the time of Ch'in's unification. Although it would seem to have had little appeal to the highly realist statesmen of that regime, no less than four passages of the Shih-chi refer or allude to Ch'in's deliberate adoption of water as its patron symbol; and although some doubts have been cast on the authenticity of such 37 HHSCC 2.lb. " HHSCC IB.21b. 38 See the passage from the Hsien-ti-chuan, as cited in SKC 2 (Wei) p. 75, note 3. " For the adoption of patron symbols in the Ch'in and Han empires, see chapter 2 above. For the term 'Five Phases', see Major (1976). 40 LSCC 13.4a. Being an eclectic work, this book includes passages whose political thought is of varied types; see for example, 20.la, which may be compared with Hsun-tzu 9 ('Wang chih'), pp.109.

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an act, the statements can hardly be gainsaid. 41 It would appear that the early rulers of Han paid similar attention to the belief, by retaining Water as their symbol, although there is no specific statement of such a decision. However the importance attached to associating the dynastic rule of Han with one of the Five Phases became apparent quite soon. Shortly after the accession of Wen-ti, in 180 BC, Chia I (201--169 BC) suggested that the element should be changed to Earth, and the proposal was repeated by Kung-sun Ch'en (fl. first half of second century BC) in 166 BC. On both occasions the idea was rejected, and it was only in I 04 BC that it was adopted. The change to Earth in that year accompanied a number of new regulations for protocol which were designed to display the strength of the Han dynasty and the success of its expansionist policies. The adoption of Earth, the known conqueror of Water, symbolised Han's victory, not only over the enemies ofits own choosing, but also over its predecessor, Ch'in. The link between Han and Earth remained unquestioned until the end of the Former Han dynasty, when new ideas were beginning to circulate. It was now becoming accepted that the Five Phases succeeded each other not as a result of conquest but by way of natural production or creation (hsiang shengb), and this view was incorporated in some of the documents which accompanied Wang Mang's accession. 42 In addition those documents insisted that the Han dynasty had enjoyed the protection not, as had been maintained hitherto, of Earth, but of Fire; and as the natural successor to Fire was Earth, Wang Mang declared that his own dispensation was blessed by Earth. It may be noted that when the time came for the restored Han dynasty to choose or identify its patron, it accepted precisely the same premises. Kuang-wu-ti chose Fire, which he believed to have been the patron of his ancestors of Former Han and to be in the ascendant by virtue of natural succession rather than conquest. Kung-sun Shu, however, in his brief bid for power as emperor chose White or Metal. 43 He, too, followed the theory that the Phases followed one another naturally and not by conquest; but while Kuang-wu-ti ignored the claims of Wang Mang as being the acts of an illegitimate usurper, Kung-sun Shu accorded him recognition; for he chose the symbol of that phase which followed Wang Mang's symbol of Earth. 44

Portents At the time of Wang Mang's accession a new measure of emphasis had been imparted to two concepts, that of the Mandate of Heaven and that of the link between a temporal dispensation and the predominance of one of the Five 41

42

43



SC 6, p. 23; SC 15, p. 122; SC 26, p. 9; and SC 28, p. 19; MHvol. II, p. 129 and vol. III, pp. 328

and 430. For doubts regarding the authenticity of Ch'in's adoption of a patron symbol, see Kurihara (1960), pp. 45f, Kamada (1962), pp. 42f, [and Bodde(l986), p. 97 for a review of such doubts.] HSPC 99B.9b, lOb; HFHD vol. III, pp. 290, 293; see also HFHD vol. III, p. 259, note 36.5. 44 HHSCC 13.16b. HHSCC 13.15a; Biclenstein (1954-79) vol. II, p. 234.

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Phases of creation, death, and rebirth. In addition the treatment and interpretation of portents had undergone a change which was of no less importance, as far as the sources permit conclusions to be drawn. It is at times not possible to determine whether the histories include contemporary or retrospective interpretations of these events. The change was from a negative to a positive attitude. The passage from the Lu shih ch'un-ch'iu which is cited above asserts the principle that natural phenomena foretell the rise of certain individuals to their rightful position as leaders of the world. This positive principle seems to have been conspicuously absent at the beginning of the imperial age, but it appears from the time of Hsiian-ti (r. 74-49 BC). In the meantime a negative aspect of the principle had been formulated and propagated by thinkers such as Tung Chung-shu. This was to the effect that Heaven brings about strange or even unnatural portents as a warning to a badly disposed monarch in the hope that he will mend his ways; and in the last resort such phenomena, or miracles, may be interpreted as a prediction of the end of a monarch's period of rule. It was this view of portents which later attracted the sharp criticism of Wang Ch'ung. 45 On two occasions the Empress Lii is reported as interpreting events as portents of her own demise, i.e. an eclipse which took place in 181 BC, and the sight of a peculiar dog, who reared up and bit her in the side, in the following year. 46 However, there is a conspicuous absence of references to favourable portents in the pleas put before Liu Heng to assume the imperial title. 47 0n this occasion (180 BC) there had been an interruption in the imperial succession, and the counsellors of state were anxious to draw on all possible reasons to persuade Liu Heng to accede to their request. For this reason, perhaps more weight should be attached to the absence of such references than is usually warranted for an argumentum ex silentio. Similarly there is no reference to favourable portents in the documents that attended the accession ofHsiian-ti in 74 BC, again after a dynastic crisis. Portents of failure, or disaster, are reported for two incidents of an unsuccessful bid for imperial power. These were the strange events said to have presaged the king ofYen's 2 abortive plot to seize the throne in 80 BC, and the failure of Liu Ho to rule as emperor for more than twenty-seven days in 74 BC. 48 The development towards a positive attitude took place during the reign of Hsiian-ti. The first report of a superhuman activity to be associated with the rise of a monarch lies in a slightly different category from that of specific 45 46

47

48

LH 42 ('Ch'ien kao'), p.634; Forke (1907-11), vol.I, pp.119f. For the eclipseof4March181 BC, see SC9, pp. 18--19, MHvol. II, p.422; HSPC3.4b,HFHD vol. I, pp. 199, 211; for the sight of the dog, see SC 9, p. 21, MH vol. II, p. 425.

Portents are to be distinguished from divination, for which seep. 106 below. Portents reported for 80 BC included (i) an eclipse (20 September): HSPC 7.6a; HFHD vol. II, p. 164; HSPC 27C(2).14b; (ii) the strange behaviour of rats, birds and swine: HSPC 27B(l).14b; HSPC 27C(l).5b; HSPC 27B(2).8a and 20b; and (iii) the outbreak of fire: HSPC 27 A.13b. For 74 BC, darkness was prevalent by day and night, in the absence of the sun and the moon: HSPC 27C(l).11a; and a meteor was reported: HSPC 7. lOa; HFHD vol. II, p. 174; HSPC 26.55a.

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incidents witnessed in material form. Towards the end of Wu-ti's reign it was asserted that the 'invisible presence of the Son of Heaven' (t'ien tzu eh 'i) lay within the prisons of Ch'ang-an; as a precaution against treason or dissidence ~hat might arise therefrom, the government ordered the death of all those mcarcerated there, lest one of them should attempt to become emperor. One ?f ~he p~soners was Liu Ping-i, later to become emperor as Hsiian-ti. The mc1dent is related not as part of the significant actions ofWu-ti's reign, but as ~n indication that the imperial destiny of the future monarch, still in his mfancy, had been revealed by superhuman means. 49 It was during Hsuan-ti's reign that a change is noticeable in the official treatment of phenomena. Between 65 and 51 BC the imperial edicts which referred to strange phenomena fastened almost exclusively on the beneficent nature of certain portents. 50 The selection of terms such as Holy Bird (Shen-chiieh), Five Phoenixes (Wu-feng), Honeydew (Kan-lu), and Golden Dra~on (Huang-lung) as the regnal titles for the period 61 to 49 BC indicates the importance attached to omens of felicity at this time. As yet, however, there was no occasion of dynastic crisis wherein the concept of favourable omens could be invoked to resolve doubts regarding the imperial succession or to support the claims of a particular candidate. The principle appears, somew.hat obliquely, in 5 BC, in regard to the suggestions of Hsia Ho-liang for dynastic renewal or rededication. 51 Reference was duly made on this occasion to the warnings that Ch'eng-ti had received from Heaven for his failure to respond to his proper calling. But one of the reasons why Hsia Ho-liang's proposals were rejected is stated to be the absence of felicitous portents which would corroborate the advent of a new imperial era. It would seem that in 5 BC there were some circles in government who looked to a positive sign of Heaven's blessing before dynastic change could be contemplated. The case of Wang Mang marks the first definite instance in which attention ~as P.aid to the value of favourable portents in establishing a claim for imperial sovereignty. W_~gg_ M;:i11g_11~eg~qa}1Jhepro_of_thath~. c;911JQ!!l1!§1~i:Jo ~hq.w the l~gitim~c;y ofhis taJ<.~:o\/~I from th~ hpµ~e of I)i.:u~.Jlc!J;iis. fovnda,tion .cl.ane.w__dyrillsty. Reference has been made above to the inscriptions attached to the casket, whose discovery took place so opportunely before Wang Mang'.s accession; but this was only the final example of many incidents wherem Wang Mang showed his faith in felicitous omens. When his supporters bestowed upon him the honour of the Nine Distinctions in AD 5, 52 49 '

0

51 52



HSPC 8.2a, HFHD vol. II, p. 201; for a comparable example later, see HHSCC 5. la. Of th~ _edicts which concerned phenomena between 178 and 66 BC, eleven fastened on cal_am1ties as.n:a.tters of warning; seven, which reported happy events, were linked with Wu-ti's rehg1ou~ act1v1ties. Between 65 and 51 BC, there is a different pattern, with three edicts concernmg warnings and nine concerning happy phenomena. It may be noted that thereafter no edicts of Former Han concerned phenomena of happy augury. HSPC 11.Sa, HFHD vol. III, pp. 29f; HSPC 75.31 b. HSPC ~9A.2la, HFHD vol. III, pp. 204f; HSPC 99B.12a, HFHD vol. Ill, p. 288. The Nine Disti_nct10ns consisted of privileges and insignia which displayed and confirmed Wang Mang's dommant and favoured position in the empire.

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they referred to the appearance of something . more than 700 auspicious omens. Very soon after the death of P'ing-ti (1 BC--6 AD) Wang Marig's future entitlement was proclaimed by the discovery of a stone, inscribed with the message that Wang Mang should become emperor. 53 After Wang Mang's time, felicitous omens featured in the accessions of Kuang-wu-ti 54 and the first of the Wei emperors in 220. On that occasion, the rescript in which Hsien-ti announced his abdication justified his action in part on the appearance of 'auspicious omens sent down by the Almighty' (Huang-ling chiang jui). 55 Tli.e. foregoing consider11ti()nS_l1lay 1Je,. S1Jl1ll!lar:is,eci by o1Js.erv..i11g.. th::It.. the Q[igins qf thJee.Pdncipks or .concepts. may .be.Jraced.to. the pre-imperial p()rioci; these are.those of the Mandate of Heaven, the Five Phases and the s~g_!1,iQ~ance of po.rte11ts_;is harbi11gei:s.of 3: fe,licit.011s.n::ign. In the early days of imperial government they did not take a predominant place in political thought; but by the time of Wang Mang the three concepts had come to feature as cardinal points in an assertion of the right to sovereignty. In the initial stages of empire, it was sufficient to claim the right of replacing a predecessor by conquest; portents were interpreted as predicting the end of an unsuccessful rule; and Heaven was simply cited as a bestower of strength on a conquering hero. In the later stage, it was asserted that the replacement of an imperial predecessor followed as naturally as the growth of one phase of creation from the last; it had become essential to demonstrate that sovereignty was exercised thanks to the direct Mandate of Heaven; and portents were forthcoming to prove the valid authority of a newly arisen monarch. (/'ifl;'he properties required of an emperor

"y(c; rise and fall of the houses of Ch'in, Former Han, Hsin, Later Han and 1

Wei, and the circumstances in which some of the emperors were chosen to acced~ to t~e throne, witnessed 1.he..c.Q11.flict 9.U.WQ .PiillciPJe~; !b;:it_9ja_n_-;f;'· lJ~.re.<.iitary __i:ig}itJQ .~11c:.cee,<:i a,~ .. e111pe,ror.. a11d... t!ie..9.1la:!!fis;aJiC>t18-. i:!!.etiteq_ by P.ernQl!!!l ~cl;lieYet11J;nt_, .11lOJ.l!l _s_tre11.gtl:i.).9.EJe.l:l.cle!~l:iip. The conflict was by no means new to Chinese thought and practice, and recurs on a number of occasions and in a number of key statements of later imperial times. In the early monarchies of China the principle of patrilinear succession was by no means clear cut. In the kingdom of Shang, and in the system of kinship of Chou, the transmission of authority and seniority had been regulated by highly complex schemes that often superceded the direct right of a son to follow his father. 56 By the time of the Warring States, however, the principle " HSPC 99a.25a, HFHD vol. III, p. 218. For Wang Mang's attention to these matters after his assumption of the imperial title, see HFHD vol. III, pp. 288f. 54 HHSCC 1A.15a. 55 SKC 2 (Wei), p. 62. 56 See K. C. Chang (1976), pp. 72f.

V

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was generally accepted, particularly in the kingdom of Ch'in. Nevertheless it was subject to criticism by some writers such as the author of the Hsun-tzu, who believed that man is greater than his institutions, and that merit is of more significance than heredity in choosing a monarch. 57 It may be observed that in practice only a half or less of the titular emperors of Han acceded in a regular undisputed manner as sons of an immediately deceased predecessor. 58 However, the imperial houses theoretically accepted the principle of hereditary succession on a patrilinear basis, so long as certain conditions were fulfilled. The heir to the throne must be the son of the duly nominated empress, and not of one of the minor consorts. The emperor could choose which one of his sons he desired to nominate; but if he insisted on selecting a son by another woman, it would first be necessary to demote the existing empress and elevate that other woman in her place. In addition, from early on in Han a show was made of ensuring that an incumbent to the imperial throne stood possessed of the requisite moral qualities; by 74 BC this principle could be invoked to the point of demoting a monarch who demonstrably failed to reach the required standard. The empire of Ch'in had arisen by the extension of the domains and power of the kingdom of Ch 'in. Prince Chenga (259-210) had succeeded his father as king of Ch'in in 246 BC, and it was from that position that he assumed the new title of Huang-ti• in 221, so as to correspond with his new dignity and strength. In doing so he made it clear that the future succession would be hereditary, passing from the first to the second and eventually to the ten-thousandth emperor. Very soon it was shown that the right of nominating a successor lay with the emperor of the day, as may be shown from the manner in which the accession of the second emperor was presented to the public. 59 There is also one further circumstance which is worthy of consideration. The Shih-chi carries the allegation that, so far from being a true son of his royal father, prince Cheng had in fact been sired by Lii Pu-wei (d. 235 BC), but the statement is by no means proven. 60 The importance of the allegation, whether true or not, presumably lay in its implication. If he was in fact no true son of the king he had no right to succeed him, and thence become emperor. There could be no question of claiming an hereditary right for Han Kao-ti, but there is a somewhat uncertain allusion to the moral worth and wisdom 57 Hsiin-tzu 12 ('Chiin tao'), pp. 158f, and 17 ('Cheng lun'), pp. 234f. " I.e., for Former Han, Hui-ti (195-188), Ching-ti, Wu-ti, Yiian-ti (49--33) and Ch'eng-ti only, as against Kao-ti, the two infants enthroned under the Empress Lii, Liu Ho, Hsiian-ti, Ai-ti (7-1), P'ing-ti and Liu Ying (b. AD 4). While Chao-ti was indeed the son of his immediate predecessor, the circumstances of his nomination and accession were anything but regular. For Later Han, Ming-ti, Chang-ti (7588), Ho-ti (88-106), Shun-ti (125-44), Ch'ung-ti (144--5), and Hsien-ti, as against Kuang-wu-ti, Shang-ti (106), An-ti (106-25), Chih-ti (145--6), Huan-ti (146-68) and Ling-ti (168-89). 59 For the manipulation practised by Chao Kao (d. 207 BC) and others, and the need to forge imperial documents, see SC 6, pp. 66f, MH vol. II, pp.19lf and SC 87, pp.14f; and Bodde (1938), pp. 25f. 60 SC 6, p. 2, MH vol. II, p.100, and SC 85, p. 7.


99

(hsiend) that an emperor was expected to possess. According to the sources, when he was invited to assume the title of emperor, the king of Han protested that he could not claim such qualities. His supporters immediately sought to re-assure him; but the detailed report of the encouragement that they voiced emphasises Liu Pang's achievements in the field and the measure of his popularity rather than his claim to righteousness or wisdom. 61 Liu Ying (Hui-ti, 195-188) duly succeeded Kao-ti, being his son by the Empress Lii. On his death in 188 BC, no son had been born to his own empress, and his mother retained her position of dominance by contriving the succession to the throne of two infants. The legality of this procedure could be brought into question on two counts; first, that of enthroning a child who had not been born of an acknowledged empress; and second, the possibility that they had not been fathered by Hui-ti. 62 In the constitutional crisis which followed the elimination of the Lii family, the statesmen and generals of the Han empire were faced with the problem of enthroning an emperor who had not been nominated as heir apparent by his father. The choice of Liu Heng was supported by considerations of hereditary and personal qualities. As the older ofKao-ti's surviving sons, he was judged to have a prior claim both over his younger brother and a nephew, although the latter's father had in fact been a yet older son ofKao-ti. 63 In addition it was held that Liu Heng possessed a reputation for those personal qualities that had been sought by Kao-ti, i.e., moral worth and wisdom, together with a sense of duty and obligation towards mankind and to his parents. It was not until 87 BC that the next crisis arose concerning the imperial succession. The dramatic events of the last few years ofWu-ti's reign had left the empire without a nominated heir apparent, and with the deceased empress' family virtually extinct. In Wu-ti's final illness the formalities of state were duly observed, 64 when his infant son Fu-ling (94-74) was nominated as heir. At the time there was no established empress, and as Fu-ling's mother had already died, there could be no question of establishing her with that title. 65 Wu-ti died two days after Liu Fu-ling's nomination. His succession was challenged by Liu Tan, king of Yen and one of Wu-ti's sons by another consort. He staged two abortive attempts to seize the throne, 66 claiming that he held a prior right over Liu Fu-ling (Chao-ti), as the eldest surviving son of the late Wu-ti; and he even alleged that Chao-ti was no true son of his father. 67 The death of Chao-ti without a successor in 74 BC caused a further constitutional crisis, in which his immediate successor, Liu Ho, was deposed after twenty-seven days and replaced by Liu Ping-i (Hsiian-ti). While the political motives and implications of these changes are not of immediate 61 62

63 64 65 66

SC 8, p. 63, MH vol. II, p. 380, and HSPC 1B.3a, HFHD vol. I, pp. 99f. SC 10, p. 7, MH vol. II, p. II, p. 449; HSPC 3.8a and 4.3b, HFHD vol. I, pp. 209-10 and 227. I.e., Liu Hsiangb, whose father Fei had been king ofCh'i until his death in 188; see HSPC 14.6a. Sec CC p. 67. The title was in fact granted posthumously at a later date; see HSPC 97 A.17a, CC p. 54. 67 HSPC 63.!0a. CC pp. 57f, 74f.

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concern, 68 they necessarily involved discussion of suitable qualifications for the position of emperor. Strictly speaking, the candidate with the highest claim to succeed was Liu Hsu, only survivor ofWu-ti's sons, and his cause was espoused by a number of counsellors of state. 69 He was rejected on the grounds that his moral conduct did not measure up to the position of emperor and that he would thus be unsuited to receive charge of the imperial shrines. Historical precedent was cited from the days of Chou to show that in certain circumstances an older son could be rejected in favour of his younger brother. The choice actually fell on Liu Ho, grandson of Wu-ti by one of the minor consorts. He was summoned to Ch'ang-an to receive his charge and actually acceded to the throne. But before long it was being put about that his improper conduct, extravagance and lack of scruple made him totally unfit for the position. Detailed charges were levelled against Liu Ho; the need for a ruler to possess moral qualifications was shown by reference to the Book of Songs and the Spring and Autumn Annals (Ch 'un-ch 'iu ); 70 and a precedent was found for the deposal of a monarch who proveq to be unsuitable. The choice of Liu Ping-i as emperor was justified on the grounds that he was a great-grandson of Wu-ti, and that it was permissible to choose a candidate from a collateral line if a monarch died without a successor. 71 At the same time it was asserted that Liu Ping-i possessed the requisite qualities; he had been educated in the tradition of the Book of Songs, the Analects and the Book of Filial Piety (Hsiao ching); he practised thrift in his own behaviour; and he was of a kind and philanthropic disposition. The importance of choosing an imperial heir who was the son of the established empress features in the advice tendered to the throne by K'uang Heng, whose reference to the Mandate of Heaven has featured above (see p. 91). This occurred in c. 45 BC at a time when the reigning emperor (Yiian-ti) was showing marked favouritism towards a secondary consort and was contemplating naming her son as heir apparent. K'uang Heng insisted on the need to distinguish between the claims of the official empress and other consorts; he believed this to be an inherent provision of the conventions for propriety. 72 The problem of the succession arose shortly before the death of Ch'eng-ti, in 7 BC, with no son born to his name and still alive. The controversy centred around the rival claims made for a son and a grandson of Ch'eng-ti's father, neither of whom were descended from Ch'eng-ti's own mother. 73 The case for Liu Hsinga, Yuan-ti's son, rested on the grounds that the son of a previous 70 HSPC 68.9b. 69 HSPC 68.4b. " See CC pp. 75f and 119f. HSPC 68. lOb. Liu Ping-i was a great-grandson ofWu-ti by descent from his Empress Wei• and the heir apparent Liu Chii, who had been forced to commit suicide in 91 BC; he thus came from a line which was collateral with that ofChao-ti and Liu Ho; see CC table 2 (facing p. 64), [and Twitchett and Loewe (1986), table 6, pp. 174--5]. 72 HSPC 81.6b, and CC pp. 155.160. 73 HSPC 81.16a; CC table 4 (p. 156), [fwitchett and Loewe (1986), table 8, pp. 216-17].

101

emperor possessed a higher claim than a grandson; the supporters of Liu Hsin•, Yuan ti's grandson, argued that, as a nephew, he could claim a right that was comparable with that of a son of Ch'eng-ti. In the event it was Liu Hsin, grandson of Yuan ti and half-nephew of Ch'eng-ti, who was chosen to be the new emperor, in preference for Liu Hsing, Ch'eng ti's half-brother. Liu Hsin, or Ai-ti, died in his turn without a nominated successor in 1 BC, and he was followed by the son of Liu Hsing, i.e., Liu Chi-tzu (9 BC - 6 AD), or P'ing-ti. The problem arose once again when P'ing-ti died in AD 6 at the age of fourteen. By then all the descendants ofYiian-ti had died out, and the choice lay among the surviving descendants of his father, Hsiian-ti. Ifwe are to believe our sources, Wang Mang was able to ensure that an infant, whom he could manage, would succeed, and to eliminate the claims of any surviving adults; he did so by citing the principle that cousins should not succeed cousins of their own generation. 74 Wang Mang's assumption of the throne is perhaps the best documented act of accession for the period under review, apart from the welter of reports that refer to AD 220. 75 Wang Mang achieved the replacement of one dynastic house by another without bloodshed, and by a series of cumulative steps whereby he held the titles of Regent, Acting Emperor, and, finally, Emperor in his own right. 76 But despite the essential rupture in the line of hereditary succession Wang Mang was at pains to maintain some measure of continuity with the house of Liu, displaced as this had been from the supreme position of empire. Thus, the initial stages of the ceremonies which heralded Wang Mang's accession took place in the shrine dedicated to Han Kao-ti. In his final declaration to Liu Ying, the infant who had been named as heir apparent in AD 6, 77 Wang Mang referred to the Han dynasty in terms of respect and made provision for the continuation of services to its ancestral founders. In place of descent from Liu Pang, Wang Mang claimed that his line originated from the Yell ow Emperor and Shun. 78 Naturally enough Liu Hsiu could assert his valid claim to be a scion of the house of Liu which he was restoring to the throne. 79 At the same time his supporters genuinely allude to his personal achievements in bringing this about, in the same way as the personal successes of forging the unification, overcoming rivals and winning popular support had featured in the claims of the first emperor of Ch'in, Han Kao-ti and Han Wen-ti. 80 On a number of occasions in Later Han an emperor died without a nominated successor, often being no more than a child himself. The candidature of An-ti, who succeeded at the age of thirteen in AD 106, was supported on the grounds that he was the grandson of the previous emperor (Chang-ti),

71

75 See note 2 above. HSPC 99A.24b, HFHD vol. III, pp. 217-18. 77 HSPC 99A.35b, HH!D vol. III, p. 254. See HFHD vol. III, pp. 49f and 103f. " HSPC 99A .35b and 99B.lb, HFHD vol. III, pp. 255, 261. 79 Liu Hsiu (Kuang-wu-ti) was actually descended from Ching-ti; HHSCC !A.la; [Bielenstein so HHSCC 1A.13b. (1986), p.245.] 74

76


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there being no son available. It was added that he had been suitably educated and that he possessed the right qualities of character. Other cases in which a candidate was chosen on the grounds that he was descended from Chang-ti included Chih-ti, Huan-ti and Ling-ti. Shun-ti, whose accession had been thwarted by intrigue, was in fact a son of the previous emperor, An-ti. The memorial which preceded his enthronement used an important expression for later dynastic history. It observed that he was in the direct and correct line of succession (cheng-t'ung). 81 In the final case, when the first emperor of Wei acceded, there could be no question of asserting an hereditary right to the imperial throne, which had been won by personal exertions. The deed of abdication ofHsien-ti, the last of the Han emperors, draws attention to the moral qualities possessed by the new incumbent, and credits him with regaining the inheritance of the kings of Chou. 82 III. ,The formalities of accession, deposal and abdication \

;

·.. TM habits and accidents of historiography are such that the treatment of the various state occasions of the Ch'in, Han and Wei empires, and the extent of detail that is provided, vary considerably. While it is possible to observe the appearance of certain significant features, their development cannot necessarily be related to other changes of a religious or intellectual nature. We may consider (i) the part played by counsellors of state in the validation of accession or deposal; (ii) the reluctance displayed by a candidate before accepting the title of emperor; and (iii) the insistence on an act of abdication by a predecessor. Attention should also be paid to (iv) the importance of an Empress Dowager on these occasions, (v) the value of the imperial seal, and (vi) the religious ceremonies that accompanied an accession. (i) The counsellors of state

Occasions of dynastic change were frequently marked by a formal request submitted by senior counsellors to a dominant leader or chosen candidate, inviting him to accede to the imperial throne. In 221 BC the king of Ch'in sought the advice of senior officials concerning the title that he should adopt and other matters of symbolical procedure that would demonstrate his exercise of imperial power; 83 and the king himself only intervened when they failed to respond adequately to his ambitions. More certainly and effectively, the formalities of state were subsequently so ordered that it could be shown how the dynastic succession, when not hereditary, depended on the expressed 82 SKC 2 (Wei), p. 62. " HHSCC 6.lb. " SC 6, pp. 2lf, MH vol. II, pp. 124f. Other matters which were concerned included the correct terms for imperial commands and the expression used by the emperor when referring to himself.


103

will of noblemen, generals, and ministers of state. Of particular note, this procedure was followed in the dramatic events of74 BC; similarly the disputed accession of Shun-ti, in AD 125, followed the presentation of a memorial by a number of statesmen. 84 Finally, there was one circumstance of note in the ceremony wherein the king of Wei received the instrument of abdication in his favour from the last of the Han emperors. 85 This was delivered in the presence, and with the assent, of senior statesmen, nobles, and general officers; in addition the Shan-yii of the Hsiung-nu was present, together with a large number of visitors to court from foreign parts.

(ii) The show of reluctance In contrast with the eagerness whereby the first emperor ofCh'in assumed his title, some of the later emperors went through a form of expressing reluctance to accept the onerous charge that had been thrust upon them. This is first reported for Han Kao-ti; but curiously enough it is mentioned only in the Shih-chi, and not in the lengthier, more detailed account of the Han shu. 86 According to the Shih-chi, the king of Han thrice demurred from accepting the title, and only did so when it became clear that his refusal was not to be brooked. Precisely the same procedure was adopted in later cases, such as those of Wen-ti and Kuang-wu-ti. 87

(iii) The act of abdication Kao-ti's foundation of the Han dynasty in 206 BC, the elimination of the Lii family in 180 and the deposal of Liu Ho in 74 were contrived without recourse to a form of abdication by a displaced occupant of the throne. But the changes of the latter part of the Han dynasty were subject to significant influences of history and learning, owing partly to the propagation ofliterature that harked back to the pre-imperial age. Wang Mang in particular was anxious to pose as an exponent of traditional morality, and it is not surprising that he sought to draw a comparison with earlier examples, such as the resignation of Yao and Shun in favour of chosen successors. Wang Mang made a formal progress to the shrine that was dedicated to Kao-ti, and there accepted the 'act of abdication conveyed by the bronze casket'. 88 The importance of abdication also features in Pan Piao's treatise on the •• See SC8, p. 63, MHvol. II, p. 380; HSPC 1B.3a, HE'HDvol. I, p. 99 for Kao-ti; HSPC4.lbff, HFHD vol. I, p. 222 and HSPC 4.3aff, HFHD vol. I, p.226 for Wen-ti; HSPC 68.6bfffor the events of74 BC; HSPC 99A.32a, HE'HD vol. III, p. 243 for Wang Mang; HHSCC 1A.15a for Kuang-wu-ti; and HHSCC 6. la for Shun-ti. •s See SKC 2 (.yvei), p. 75, note 3 for a passage from the Hsien-ti chuan and de Crespigny (1970) for the value of that document. 86 SC 8, p. 63, MH vol. II, p. 380. 87 For Wen-ti, see HSPC 4.4a, HFHD vol. I, p. 229; for Kuang-wu-ti, see HHSCC (treatise) 7.3a. 88 For the metal casket and its attached inscription, see pp. 91f above; for the interpretation of the text, see Yen Shih-ku's (581-645) note to HSPC 99A.35b.

104



destiny of kings, which will be considered below. But it did not enter into the formalities of Kuang-wu-ti's accession, for the very good reason that in the official view Wang Mang was an interloper in the appointed cycle of rulers, and had no right either to rule or to abdicate. Perhaps the most conspicuous example of the procedure for abdication was that of the last Han emperor, whose instrument began by referring to the example of Yao and Shun in the remote past. 89 (iv) The part played by an Empress Dowager

We are not concerned here with the general manner in which an empress or empress dowager could predominate in matters of state, 90 but solely with the part that she played in determining the imperial succession, whether as a direct act of will on her part, as a formality wished upon her by senior statesmen, or as an essential part of constitutional procedure. The first instance is seen in the deliberate action of the Empress Dowager Lu, in enthroning two infants of her own choice, successively. It was on the initiative of the Empress Dowager Lu that, in the absence of a son born to Hui-ti and his empress, the child of another woman of the palace was nominated heir apparent; 91 on the death of Hui-ti he duly became emperor, young as he was. This arrangement enabled the Empress Dowager to take a leading part in affairs of state, and her position only came under threat some four years later, when the young emperor realised the circumstances of his birth and conceived a hatred for her. It was in response to her command that senior statesmen met to consider replacing him, and they obliged her by accepting the decision that this step was necessary. In such circumstances a second infant emperor was enthroned, in 184 BC; 92 it was in the belief that neither he nor his brothers were true sons of Hui-ti that senior officials of state felt entitled to take up arms to expel him and establish Liu Heng (Wen-ti). 93 One of the measures taken by Liu Heng before finally agreeing to accept the title of emperor was to inform his mother of the invitation proferred to him. 94 In the crisis of 74 BC it was through the agency of the Empress Dowager that crucial decisions were taken, and it can only be concluded that by then her position had acquired a recognised authority. Chao-ti's empress was a mere fifteen years old at the time of the emperor's death; by a command issued in her name senior officials were sent to summon Liu Ho to succeed to the imperial throne; and it was to the Empress Dowager that Huo Kuang (d. 68 BC) and his colleagues brought their plea that he should be deposed, in the 89 SKC 2 (Wei), p.62. 9 ° For this aspect of the subject, see Yang (1960). "' SC 9, p.15, MH vol. II, p. 418; HSPC 3.lb, IJFHD vol. I, p. 191. 92 HSPC 3.3b, HFHDvol. I, p. 197; for the murder of this boy after Wen-ti's accession, see SC9, 93 HSPC 3.8a and 4.3b, HFHD vol.I, pp. 209, 227. p. 37, MH vol. II, p. 441. 94 HSPC 4.2a, HFHD vol. I, p. 225.

105

interests of the dynasty. She had even been primed, as it would seem, to interject an expression of horror at one point when the charges were being laid against Liu Ho; it was by her command that both the final steps of deposal were taken and a further commission was sent out to summon Liu Ping-i to accede to the throne in his turn. 95 On the death of Ai-ti without a successor (1 BC), the Grand Empress Dowager issued the edicts which prepared the way for the accession of Liu Chi-tzu (P'ing ti). 96 Again, in AD 5, the edicts which entitled Wang Mang to style himself regent and then acting emperor originated from the same source. 97 A number of the Later Han emperors died without a successor sometimes while still in their infancy. In such circumstances the Empress Dowager was able to determine who would follow as emperor; it was her edicts which established him in his rightful position, while she herself retained a dominating influence at court. The accessions of An-ti (AD 106), Chih-ti (145), Huan-ti (146) and Ling-ti (167) were brought about in this way. In addition Ch'ung-ti, the infant son of Shun-ti, owed his accession and his short reign (144--5) to the intervention of an Empress Dowager. 98 ( v) The imperial seal

From early times, the imperial seal came to constitute a material symbol of authority which was lodged in the person of a rightly acclaimed emperor. To distinguish it from the seals used by nobles and officials in the conduct of their duties, the imperial seal was described as hsib rather than changb or yina. Its special character is revealed in the term sacred instrument (shen eh 'i), which is sometimes used in place of hsi. 99 The imperial seal featured in 180 BC in part of the ritual whereby the senior counsellors of state persuaded Liu Heng to accept the title of emperor. 100 With all due deference they presented him with the Son of Heaven's seal, and he finally agreed to accept the burden of empire. One of the charges brought against Liu Ho was misuse of this precious jewel. 101 When, in 74 BC, the Empress Dowager had approved the suggestion that Liu Ho should be 9' 97 98

99

100

96 HSPC 12.la, HFHD vol. III, p. 61; HSPC 97B.2lb. HSPC 68.9b, !Ob. HSPC 99A.25b and 29b, HFHD vol. III, pp. 219f and 233f. See HHSCC 5.lb (for An-ti); 6.14a (for Ch'ung-ti); 6.15a (for Chih-ti); 7.la (for Huan-ti) and 8. la (for Ling-ti). Thetermhsiis used for kings of the pre-imperial period (SC6, p. 20, MHvol. II, p. 123) and for kings of the Han period (HSPC 19A.26a). For institutional usage, see Tu tuan, A.3b, and Han chiu i (SPPYed.) A.la. For an example in which the term hsi features, see WW 1973.5, 26fand 1976.11, 8f, for ajade seal inscribed Huang-hou chih hsi and believed to have been the seal of the Empress Lii. [Exceptionally the privilege of referring to his seal as a hsiwas conferred by Wang Mang on a leader of the Hsiung-nu, only to be withdrawn at a later date; see H SPC 99B.1 lb and 13a; HFHD vol. III, pp. 295, 301. For an early reference to the term shen ch'i, see Tao-te ching 29.] 101 HSPC 68.7b. HSPC 4.3a-4a, HFHD vol. I, pp. 226-9.

106


deposed, Huo Kuang loosed the cord attached to his person, detached the seal and delivered it to the Empress Dowager; as a final act in the drama it was presented to Liu Ping-i. 102 As the first action to be taken after the proclamation of the Hsin dynasty in AD 9, Wang Mang, together with all senior officials of state, solemnly presented the Empress Dowager with a new seal, as a symbolical means of expunging the dynastic title Han. 103 The seal duly played its part when An-ti came to the throne in AD 106, and at the accession ofShun-ti (125) it was necessary to take possession of the seal by force. 104 Finally, in the declaration made before the great congregation of officials of state in 220, the king of Wei claimed that 'The Lord of Han has seen fit to bestow upon me the Sacred Instrument (shen ch'z)'; and at what was perhaps the climax of the ceremony of accession, he solemnly took delivery of the seal. 105 From one account of the dynastic upheavals of this time, 106 we learn that this had not been achieved without difficulty. When the king of Wei's envoys called to request the seal, the Han empress angrily refused to yield it. Finally she had the envoys admitted to her presence, roundly cursed them,, and flung the seal to the ground whence they could retrieve it. -·--

\·1

09eligious Ceremonies Newly acceded emperors paid attention to unseen powers in at least four ways, by (a) divination, (b) purification, (c) notification to deceased ancestors, and (d) the worship of Heaven and Earth. (a) On two occasions we hear of the practice of divination before a new incumbent agreed to accept the imperial charge. Still undecided whether he should do so, Liu Heng had specialists use the age-old method of heating bones and interpreting the resulting cracks; 107 and their answer proved to be satisfactory enough. When the king of Wei consulted occult sources in AD 220, he may have employed other methods as well, including that of the diviner's board; 108 once again the answer proved to be favourable. (b) Immediately after Wen-ti's accession, senior officials were ordered to purify the palace (ch'ing kung). 109 This action was explained by one early commentator, viz. Ying Shao (c. 140 to before 204), as a normal statl,ltory precaution against unexpected untoward incidents; but it is not mentioned again as part of the formalities of accession. Possibly it is to be interpreted as an act of ritual purification following the violence whereby the Lii family or the last puppet emperor had been eliminated. (c) The most noticeable and regular of the religious aspects of an accession 102 104 10• 108

109

10 ' HSPC 99B.la, HFHD vol. III, p. 260. HSPC 68.lOb. 10• SKC 2 (Wei), p. 75, note 3, citation from Hsien-ti chuan. HHSCC 5.2a and 6.2a. 101 HSPC 4.2a, HFHD vol. I, p. 225. HHSCC 10B.l3a. SKC2 (Wei), p. 75, citation from the Hsien-ti chuan. In the process of divining, the king of Wei is said to have 'retained the turtle' (shou kue1). This may refer to the indication of fortune on a diviner's board, where a man's destiny was foretold by the appearance of a particular animal. HSPC 4.4a, HFHD vol. I, p. 230.


107

were the services paid to the ancestors of the imperial house. This feature is of obvious importance, in view of the need to maintain and prove continuity on an hereditary basis. J.here a1~Jlo...recnrds.ti1.~hQ:wJh,::tt the f!rst9(the. ~li'in ~mperers took any ~ t~~JJ?.~R~£hl>ut t,he ses.Qn.c!.~!1.1.P~~g[gn,,ip,~c!iately,g~v~·0;:
108

According to one account of Liu Hsiu's accession, an earthen altar was constructed and a pyre laid. 120 The wood-smoke which in time ascended therefrom conveyed the notification to Heaven that Liu Hsiu had become emperor; and at the same time the message was sent to the six powers of the universe (liu tsung) 121 and the whole host of holy spirits (shenc). Little is recorded for the ceremonies which marked the accession of the subsequent emperors of Later Han, and it is possible that this elaborate procedure was performed solely in case of dynastic innovation. We next hear of it in AD 220. According to one account, 122 'an altar was made after Hsien-ti's declaration of abdication. The king of Wei mounted the altar and proceeded to his due place, with the officials of state drawn up in attendance on either side. When the ceremony was completed he descended from the altar; and when he had observed that the conflagration had completed the formalities he made his way back.' From a further record, in the lost biography of Hsien-ti, we may conclude that the ceremony in question had been that of accepting the deed of abdication, and that the fire was lit as an act of worship to Heaven and Earth, the Five Sacred Mountains and the Four Mighty Rivers. 123 IV. Statements of political theory In addition to the evidence of the documents which were presented at the time of an imperial accession and that of the formalities recorded for those occasions, there are a few statements of a theoretical nature which refer to the concept of imperial sovereignty. The writings of Tung Chung-shu, Pan Piao, Wang Ch'ung and Wang Fu fortunately span the four centuries in question and may be judged in the light of the changes already observed in the concept and practice of the institution. For Tung Chung-shu it seems advisable to restrict consideration to those writings which the Han shu incorporated and ascribed to his brush. 124 His views are expressed in an essay which is dated in the early part ofWu-ti's reign, at a time when the Han dynasty saw itselfas the successorofCh'in and did not seek its models in the kingdom of Chou. The monarch's duties were seen to comprise three basic principles. He must ensure a conformity with the ordinances of Heaven, so as to attain harmony between the three estates of Heaven, Earth, and Man; he must so order the ways of humanity that man's better nature is fulfilled; and he must establish the requisite social norms and distinctions that will restrain human greed. Tung wrote as follows: 120 121

122 12 •

The authority of the emperors of Ch 'in and Han


HHSCC 1A.15b and HHSCC (tr.) 7.lb. Identified, according to the commentary to HHSCC (tr.) 7.lb, as sun, moon, star, mountain, river and sea. For this question, see HSPC 25A.2a (notes), HSPC 25B.21a; HHSCC 1A.15b (notes); MH vol. I, p. 61 note l; Laufer (1912), p. 120 note 1. 12 ' Cited in note 3 to SKC 2 (Wei), p.62. SKC 2 (Wei), p.62. This decision is taken in view of the doubts which exist regarding the authenticity of parts of the Ch'un-ch 'iu fan-lu.

109

The ordinances (ling") of Heaven are termed destiny (mingb) which cannot be put into operation except by a man of holy qualities. The fundamental substance of man is termed human nature (hsingb), which cannot be brought to completion save by cultural example and precept. Human desires are termed emotion (ch'ing•) which cannot be restrained save by regulations. This is why a man who is a true king pays great attention on the one hand to receiving the intentions of Heaven so that he may conform with destiny; and on the other hand he strives to educate his people intelligently, so that their natures may be fulfilled; and he establishes the correct norms for their institutions, distinguishing between the upper and the lower orders of humanity, so as to preclude desire ... Man receives his destiny from Heaven and is thereby pre-eminently different from other creatures. 125 The same theme appears elsewhere in Tung's writings, 126 but there is no implication that the term t'ien ming refers to the appointment of a particular dynasty or person to rule over mankind. Similarly there is no specific reference to a Mandate of Heaven in the charges brought against Liu Ho in 74 BC. The closest reference there is to blame Liu Ho for failing to attend at the shrine of Kao-ti, thereby showing that he was unfit to 'receive the dispensation of Heaven' (eh 'eng t 'ien hsu). 127 For the first full theoretical statement of the doctrine of the Mandate of Heaven, we must turn to the famous essay of Pan Piao entitled On the Mandate [or Destiny] of Kings (Wang ming lun). As presented in the Han shu, 128 Pan Piao's essay is the work of a man of some twenty years of age who had witnessed the rise and fall of the Hsin dynasty and the recent restoration of Han, amid the claims of rival pretenders to power. The essay was allegedly compiled in the hope of disabusing those who, like the pretenders Wei Ao or Kung-sun Shu, could not see that ultimate dynastic success lay with the house of Liu. The essay sets out to re-affirm the cause of imperial unity; such unity had last been forged by Wang Mang, under the plea that he had been entrusted with the task by Heaven. It was therefore of no less importance to Kuang-wu-ti's government to show that he too could command universal loyalty throughout the empire in response to that divine cause. Pan Piao argues that true sovereignty is the portion of the man appointed thereto by Heaven, in the same way as other opportunities or functions are presented to other mortals. The rule of the true sovereign is marked by the blessing of suitable omens; it conforms with the cycle of the Five Phases, of which Fire was then dominant; and it depends on communion with divine powers. This principle remained identical, whatever the circumstances in which temporal power had been attained in the past, be they peaceful or violent; and continuity could be traced from Yao to members of the Liu family. Just because true sovereignty is acquired only by divine help, it was a vulgar misapprehension to believe that Kao-ti had seized it by force alone. 125 12 •

12 ' HSPC 68.9b. 12 • HSPC 56.4b. HSPC 56.15a. HSPC 100A.6aff, de Bary (1960), vol. I, pp.176f.

110

Divination, rnythology and monarchy

Only those who are capable of discharging the office appropriately can claim the true honour of sovereignty; for the right vessel must be used for the right task. While Pan Piao implies, but does not state, that Wang Mang was not a suitable vessel, he names five signs whereby it could be shown that Kao-ti had possessed the qualities that marked him out as being fit for the Mandate. Other interesting points in the essay are seen in the allusion to the abdication of Yao and Shun, and the place of the Sacred Instrument, or seal, as a symbol of imperial rule. While the essay draws on concepts which, as have been shown, originated long before the days of Pan Piao, its importance lies in its systematic formulation of a theory of imperial sovereignty and its specific dependence on the gift of Heaven. The tone and emphasis of the document complement the practical procedures and theoretical claims of Wang Mang. WangCh'unggrewup at a time when the dignity of the Han house had been restored and the imperial system was being vindicated. There was no conflict here with his belief in the natural force of reason, although his idea of fate, or destiny, is somewhat difficult to reconcile with some of his cardinal principles of spontaneous growth. On a number of occasions Wang Ch'ung alludes to the Mandate of Heaven, citing the views of Confucius and Mencius. He also refers to the concept in the two chapters 129 where he seeks to demonstrate that the achievements of the Han period had been in no way inferior to those of Chou. He argues that Han's superiority is clear on all counts, whether by virtue of the appearance of good omens, the growth of cultural standards, or the extension of territorial dominion. In describing the virtues and achievements of Han, Wang Ch'ung was ready to accept the statements of the scholastics Uua) that kings, and in particular Kao-ti and Kuang-wu-ti, had been in receipt of the Mandate. From other chapters 130 it seems that he understood the term mingb in a sense not wholly different from Pan Piao. He wrote that individuals are born with their own characteristics, or destiny, be it for glory or shame; but Wang Ch'ung could not accept that a mandate to rule was imparted to individuals after birth, by a deliberate act of Heavcn. 131 Finally attention should be paid to the views of Wang Fu, which may have been coloured by his own personal circumstances and contemporary political conditions. Coming from humble origins, Wang Fu wrote as a critic of the world he saw around him, at a time when sovereigns had been reduced to ineffectual positions and the Han government was under the domination of powerful families at court. Wang Fu' s criticisms were directed equally against the imperial house and other parts of society, and he protested that true leadership derives not from heredity but from individual qualities and conduct. He cites historical examples of kings, statesmen and generals to show 129

" 0

131

Lll 57 ('Hsiian Han') and 58 ('Hui kuo'), pp. 817f, 826f; Forke (1907-11), vol. II, pp. 192f, 20lf. Lll 12 (Ch'u ping'), pp.115f; Forke (1907--11), voL I, pp. 130f. For the idea that certain men are born with a natural ability to be monarchs and that it is their destiny to rule as such, see Lll 3 ('Ming lu'), pp. 21f, Forke, vol. I, pp. 146f; and 10 ('Ou hui'), p. 99, Forke, vol. II, pp. 7f.


111

either the successes achieved by those who did not have the benefit of hereditary succession, or the failure of those who had inherited such advantages. 132 At the times when Wang Fu and his predecessors were writing, the dynastic history of the Chinese empires was still in its infancy; the major battles for the continuity, interruption and restoration of unity had yet to be fought. From Wang Fu's distrust of the infallibility of hereditary succession, we may look forward to the more mature considerations of Chinese thinkers, grounded on the experience of several centuries; to Han Yu's (768-824) vindication of hereditary succession as against a system of choice; to the rejection by Ssu-ma Kuang (1019--86), Ou-yang Hsiu (1007-72) and others of the attempts to force the pattern of the correct line of succession (cheng t'ung) on historical incidents; and to the compromise reached in Chu Hsi's (1130.-200) reassessment of the place of dynasties and emperors. Professor Biinger's life-long studies and contributions have been directed to the root of these discussions, concerning as they do the basis of the state and its authority. It is with profound admiration of his work that the foregoing pages are offered to an esteemed colleague, with hearty congratulations on the attainment of his seventy-fifth birthday. 132

CFL 4 ('Lun jung'), pp. 32f, [Kamenarovic (1992), pp. 391].

The term K'an-yii and the choice of the moment

5 The term K'an-yii and the choice of the

moment

The term k'an-yu, which is seen in various texts from the Huai-nan-tzu (completed by 139 BC) onwards, has been subject to various attempts at explanation, and it is possible that its original meaning may have become forgotten at a comparatively early stage. It will be noted below that from the third or fourth century commentators were explaining k'an-yu as referring to heaven and earth, but apparently without a clear comprehension of the term. In much more recent times, k'an-yu-chia has been used as a synonym for feng-shui-chia, meaning, specifically, experts in geomancy whose aim lay in ensuring that a site on earth would be auspicious, either for occupation or for burial. 1 Consideration of the evidence that is set out below, however, leads to the conclusion that in its first occurrences k'an-yu was concerned with the choice of an auspicious time rather than an auspicious site, and that decisions taken by the k'an-yu-chia for this purpose involved the use of an instrument. In this connection, attention should be paid to the valuable suggestion made by Donald Harper that the term k'an-yu referred to two parts, 'canopy and carriage', of an instrument that was comparable with the cosmic board (shihc). From fragments and examples of these which have been studied, it may be seen that they were in all probability used to regulate human behaviour so that it would accord with the major situation prevailing in the cosmos, as measured in terms of the movements of the sun and the earth.2 There is no shortage of evidence to show that the importance attached in Shang-Yin times to the choice of a propitious time for embarking on major religious observances or initiating large-scale projects persisted well into imperial times. 3 It may be suggested now that, from denoting the two parts of 1

2

3

According to informants, in recent colloquial usage k'an-yii tends to be restricted to ~ducate.d o.r literary speakers. See also the preface (dated 1969) of Nan Huai-chin to a reprmt (Ta1pe1: Chen-shan-mei 1970) of Ti-Ii t'ien-chi hui-yiian (original preface 1614). For these instr~ments, see 'Fu-yang Shuang-ku-tui hsi Han Ju-yin hou mu fa-chiieh chien-pao' 15f, 19, figure 8; 25, figures 9-10; and plate III; Yen Tun-chieh (1978); Yin Ti-fei (1978);.Harpe~ (1978--9) and (1980--1); Cullen (1981); and Loewe (1979), pp. 75-80, 204-8 [and Kalmowskt (1983)]. For the association of the shih with hsiian chi yii heng, see Cullen (1980-1 ), p. 39 and Cullen and Farrer (1983). The importance of choosing auspicious occasions may be seen in documents such as the 'Yiieh ling' (as in the initial p'ien of the Lii shih ch'un-ch 'iu, chs. 1-12; Li-chi eh. 5; Huai-nan-tzu eh: 5); and in the later and more practical Ssu min yiieh ling. For criticism that was kvelled. agamst undue attention to the choice of a propitious time and against other mantle practices, see

112

113

an instrument of a particular type that was used for this purpose, k 'an-yu came to signify the instruments themselves, of various types. In an early occurrence, in the Shih-chi (see passage 2 below), k'an-yu-chiais believed to refer to experts in the use of these instruments, as distinct from specialists in other methods (for example, calendrical science, consultation of almanacs, or wu hsing theory), whose services were likewise invoked in order· to determine the auspicious nature of a particular moment in time. The following notes will attempt to review the early evidence for the use and meaning of the term k'an-yii. I Huai-nan-tzu 3.29a The passage is concerned with the movements of the heavenly bodies and their relation to the sequences of the months. Certain categories of days are specified as being suitable or unsuitable for activities, and the relevant part of the text reads: 00'. El /f~ iiJ t.J :f¥ ~ ~1'H#: h11H-J 1f -Jio J1$ . In view of the questions that have been raised regarding the validity of the text in the immediately preceding part of the work (see Wang Yin-chih's (1766--1834) note, cited by Liu Wen-tien), we may well be justified, as Harper suggests, in following a reading given in the commentary to the Wen-hsiian, 4 which omits the character yind. Harper's rendering of the passage reads: 'On the Canopy and the Chassis the masculine is slowly moved, thereby perceiving the feminine.' He explains the passage as meaning that the circular part of the k'an-yu instrument was being rotated, until it was properly aligned with the square board (i.e., the feminine part of the board). An alternative rendering, following the punctuation of Kusuyama reads: 'On yen days it is not suitable to undertake general activities. The k'an-yu moves slowly, the male thereby comprehending the female.' 5 The 'male' and the 'female' may well refer to parts of the instrument, as Harper suggests, but it is perhaps possible to interpret the action as that of a male piece or pin (hsiung) fitting into a female socket (tz'ub). Whatever the precise meaning and connotation of the passage may be, there is no doubt that its context is that of regulating activities in order to conform with the appropriate sequence of time.

s

Lun-heng as cited under passage VIII below, and in the followingp'ien of that work: 68 ('Ssu hui'), pp. 964f, Forke (1907-11), vol. II pp. 376f; 70 ('Chijih'), pp. 985f, Forke, vol. II pp. 393f; 71 ('Pu shih'), pp. 984f, Forke, vol. I pp. 182f; and 72 ('Pien sui') pp. 1004f, Forke, vol. I 4 See Harper (1978-9), p. 9 note 53; Wen-hsiian 7.2b. pp. 525f. ' Kusuyama, vol. I, pp. 190--1. In his note, Kusuyama suggests that the k'an-yii chia pronounced on questions of fortune after taking into account the movements of the heavenly bodies and the situation on earth, on the basis of the sexagenary cycle. See also the notes to the passage by Ch'ien T'ang (1735-90) (rpt. HNT, ed. Liu Wen-tien, 98aff). [No precise interpretation is offered here for the termyenjih (readyehjih according to Morohashi 3025.35 and 14330.15; see GSR 616c). In his note to the immediately preceding passage in HNT, Wang Yin-chih (1766--834), who believes the text to be corrupt, cites Chia Kung-yen's (jl. 650) sub-commentary to Cheng Hsiian's (127-200) note to Chou Ii, SSC 25. la. The term possibly refers to days when the moon is apparently engaged in retrograde movement; see SCC vol. III, pp. 214, 219.]

114


II Shih-chi 127.14 In this addendum to the chapter, Ch'u Shao-sun describes an incident in which Wu-ti consulted experts of a number of types in order to determine whether or not a particular day would be suitable for taking a wife. The specialists included masters of wu hsing, k'an-~ii, chien-~h'u (i._e., the use of almanacs), and ts'ung-ch'en, as well as experts m calendnc~l s~1ence, a~tro~ omy, and T'ai-i. 6 There can be no question th~t, in the t~c1d,ent ~h1ch is recounted in this passage, the purpose of consulting experts m k an-yu was to determine a suitable time, rather than a suitable place. ill Han shu 87A.9b

The term k'an-yii occurs in a somewhat difficult passage of Yang Hsiung's 'Rhapsody of the Sweet Springs' ('Kan ch'iian fu'). 7 This[u was presented by way ofcriticism to Ch'eng-ti (reigned33-7 B~) onan~ccas1on wh~nhewas~ue to perform religious services in hope of assunn~ t~e birth of an hetr'. ~~ese ~1t~~ were to be carried out at Kan-ch'iian and Fen-ym, mhonour of the de1t1es T al-1 and Hou-t'u, as had been the customary practice until 31 BC. In that year, however, they were discontinued in favourof the state cult.s that wer~ a~dressed to Heaven; 8 a reversion to the traditional objects of worship and their sites took place in 14 BC. It is to an occasion in these years, between 14 an? 7 BC that Yang Hsiung'sfu refers. The introductory passage relates how officials were ordered to determine a fortunate day for the ceremonies and to ensure that the conjunction of the heavenly bodies would be appropriate. The text continues: 'He summoned Chao-yao and T'ai-yin, he secretly stationed Kou-ch'en to oversee the arms [or armed men]; he charged k'an-yii with pi-lei.' C.h~o-ya~, T'ai-yin and Kou-ch'en may all be identified as stars or the spmts who controll~d them and some of these names recur below (see under passage VIII). While pi-lei ma; well be interpreted in a military sense, as it is by K~echtge.s, it is also possible that it may denote a con.stellation. 9 .As in the p~ssage ~ed1ately ·. cited, k'an-yii is again concerned with the choice of a ~u1table ttme. IV Han shu 30.70

The bibliographical list of the Han shu includes a class of writings ~nown as shu shu or studies of the occult, which is divided into six sub-categones. Each sub-ca{egory bears its own title, and there are 31 entries under wu hsing, • For Ch'u Shao-sun (second half of the first century BC), see MH vol. I, pp. cci---cci~, and Pokora (1981) who suggests the dates 104 to 30 BC for Ch'u's life. For the chien-ch'u ch1a, see chapter 10 bel~w. Ts'ung-ch'en and T'ai-i form part of the titles of works included in HSPC 30.65a, 70b and 71a. For the state cults addressed to T'ai-i, see CC p. 169. 7 Knechtges (1976), pp. 46, 128 note 21. • CC p. 178. .. • Knechtges 1976), p. 46 renders: 'He assigns K'an and Yii to. the ~amparts'. P11s ~he fourteenth ~f the 28 Lunar Lodges, sometimes known as Tung pi. Both m this p~sage a~d m Chang Heng s (78-139) 'Ssu hsiian fu' the term pi-lei seems to be used as an extenSion ofpz (HHSCC 59.23a).


115

amounting to a total of 652 chiian. 10 Some of these entries probably denote manuals for the use of instruments of various types, for example, Hsien men shih; 11 other entries are for works which were concerned with the regulation, apportionment, or calculation of time and its cosmic considerations. The list also includes an entry for K'an-yii chin k'uei in 14 chiian. In his comment to this sub-category ofwritings 12 the author of the treatise explains that they derive from calendrical science and considerations of the wu hsing cycle. He adds that there are those who make use of these works or their principles in order to determine the auspicious and the inauspicious, thereby giving rise to confusion. It may also be noted that the title of a book which probably concerned the choice of a propitious situation rather than an auspicious time (Kung-che ti-hsing in 20 chiian) is entered in a different sub-category of shu shu, i.e., hsing fa. 13

V K'an-yii shu A fragment of the Feng-su t'ung~i, preserved in the T'ai-p'ing yii-lan, 14 cites a short passage from a work that is entitled K'an-yii shu, in the context of entertainments and food. This reads: J:Y'!Jj~~~,IMJ~ (A quarrel will certainly break out if guests are assembled on the first day of [the earlier months, or the months specified above?]).

VI Chou Ii (SSC) 26.20aft"1 5 The duties of the Pao chang shih are specified as being concerned with noting the movements of the heavenly bodies, with a view to observing the changes that occur below the heavens and distinguishing that which is auspicious and inauspicious. This official was also responsible for drawing up territorial divisions that corresponded with the apportionment of the stars, thereby observing the incidence of calamity and good fortune. In commenting on the passage (26.21a), Cheng Hsiian (127-200) wrote that 'although the k'an-yii possesses measured provisions whereby commanderies and kingdoms ~~X be entered, these are not ancient calculations' ( !Rlfl"tm~M A/J'.~!Or!:lllc-& 1J: This comment can be interpreted as meaning that the k'an-yii instruments of Cheng Hsiian's time made provisions for adjustment, so as to fit the contemporary territorial administrative divisions of the Han empire. If this interpretation is correct, it implies that the instruments were designed so as to link astronomical phenomena directly with incidents that occurred in different regions on earth, and the association of time and place is of considerable 10

11 1 •

This figure is given in HSPC 30. 72b; the actual total of chilan listed is 654. 12 HSPC 30.73a. HSPC 30.72a. " HSPC 30.77b. TPYL 849.5B; Centre Franco-chinois d'etudes sinologiques, Index du Fong su t'ong yi (Peking, 1943), p. 85. Avoidance of holding assemblies on shang-shuo days is also mentioned in LH 72 ('Pien-sui'), p. 1010, Forke (1907-11), vol. I, p. 530. The expression is also seen on contempor" Biot (1851), vol. II, p. 114. ary calendars from Hong Kong.

116


importance. Cheng Hsiian's note of the difference with ancient practice may mean either that older instruments carried no such device; or that while they did make provision for territorial divisions, these were different from those that were valid for the days of the Han empire. In any case, the passage is perhaps the earliest reference to a connection that can be drawn between the term k'an-yu and considerations of place. VII Hou Han shu 76.6b Wang Ching is best known as an engineer who had specialised in problems of water control. His training had included a study of the Changes (we are not told which school), and he had acquired an interest in astronomy and occult matters (shu shu). His last appointment as governor of Lu-chiang commandery was dated in AD 83, and he died while holding that office. Wang Ching had noticed examples of confusion or discrepancy in the records of questions put to the turtle shells and the yarrow stalks found in the classical texts. He therefore set about consulting a wide range of documents that concerned the occult; or prohibitions imposed on the choice of the site of a residence or tomb; or works that belonged to k'an-yu and considerations of time (Jih hsiang). He collected those parts that applied to practical affairs in a book that was entitled Ta yen hsuan chi. It may be noted that a clear distinction is drawn in this passage between works that concerned a choice of place and those which, including k'an-yu, concerned time. VIII Lun-heng 70 ('Chi jib'), pp. 985f1 6 In his usual rationalist, scientific frame of mind, Wang Ch'ung addresses himself in several passages to exposing the fallacies inherent in the belief that certain days are fortunate and others unfortunate for certain activities. 17 He argues that such a belief and its subsequent implementation in practice rests on inconsistencies, for there is no reason why some activities only should be subject to such qualifications and others should be exempt. He observes that no causal connection can be traced in the choice of avoidance on certain days. He points out the absurdity of believing that, although human beings may have no reason to object to certain types of activity on particular days, they should refrain from such practices because superior beings or spirits object to them. It is within this context that Wang Ch'ung refers to K'an-yu Ii. He writes: As for the K'an-yii, the various holy spirits (shenc) that are upon this cycle are not uniform. The Sages do not mention them; our own body of teachers do not transmit accounts of them and they hardly possess any reality. The order of heaven is difficult to 1•

17

Forke (1907--11 ), vol. II, pp. 393f. In addition to the passage under reference, see LH 68 ('Ssu hui') and 72 ('Pien-sui'), Forke (1907---11), vol. II, pp. 376f and vol.I, pp. 525f.


117

understand; but were it to be granted that it does possess these spirits, what happiness would follow from avoiding actions on days which they use for activities, and what misfortune would follow from not avoiding such days? Those who are kings initiate actions on chia tzu days, and members of the civil population likewise make use of such days; but when those who are kings hear of this they do not punish them with the laws. Now, if those who are kings are not angry, if the civil population does not avoid days when they are themselves active, why should the holy spirits of heaven alone be ready to blame them for doing so?"

The passage suggests (p. 993) that the K'an-yu Ii, whether in the form of an instrument or a written calendar, marked days on which certain actions were to be avoided, with the appropriate deities being shown. Almost the same reasoning is put forward by Wang Fu (c. 90-165), again with critical intent, in a passage where some of the holy spirits of the stars are specified. 19 Two of these, T'ai yin and Kou ch'en also appear in the passage that is cited above from Yang Hsiung's 'Kan-ch'iian fu'. Wang Ch'ung's point that the spirits shown on the K'an-yii Ii are not mentioned in literature perhaps suggests that they were featured more on a popular than on an official level. IX Wei shu 91 (biog. 79) pp. 1955f. 20

Yin Shao, who enjoyed the study of Yin-Yang and the occult sciences (shu shu), rose to be an academician during the first half of the fifth century. In 458 he presented to the throne a work entitled Ssu hsii k'an-yii together with a long memorial. He recounted how he had met the great scholar Ch'eng-kung Hsing, who lived the life of a recluse, but later introduced him to the Sramana Shih-t'an Ying and a master named Fa Mu. These last two had explained the mysteries of mathematics to Yin Shao together with a number of other subjects. In addition, Fa Mu taught Yin Shao the fundamental principles of the universe and the rule ofYin--Yang, on the basis of a text entitled Huang-ti ssu hsu ching. This book had been annotated by Fa Mu's teacher Ho Kung. It comprised 324 sections (changb) in 36 chiian which were arranged in four parts of equal length, concerning respectively: (i) the pairing of Yin and Yang; (ii) seasonal energies, with their growth and decay, their fortune and misfortune; (iii) movements of the sun, moon, and heavenly bodies, and their conjunctions and relationships; and (iv) the rise and fall of fortune and misfortune, of reward and punishment in the cycles of time. Fa Mu gave this book to Yin Shao, who lived in seclusion for forty-five years, observing in turn the 'eight meetings of the contemporary popular k'an-yu' ( rl;'fm!\l~/\WJ ). In so long a period of time he could not possibly record in entirety all the errors of transmission or the bans imposed for considerations of good or bad fortune. Sometimes he had found that on " LH 70 ('Chi-jih'), pp. 993f, Forke (1907-11), vol. II, p. 401. CFL 25 ('Pu lieh'), p. 299. 2 ° For a shorter account, see Pei shih 91 (biog. 79), pp. 1955f. 1•

118


days regarded as good an evil occurrence had taken place; or that while good fortune had been expected, a calamity had occurred. Finally Yin Shao had selected the main points of the Ssu hsii ching together with actual experience of good and bad fortune, and he had assembled this information in one volume (chiian). This book was intended to apply to all levels of society, from emperor to commoner, irrespective of rank or status; and in due course it was presented to the throne. The Wei shu concludes the biography of Yin Shao by observing that thereafter his Ssu hsii k'an-yii circulated widely. 21 X Sui shu 34 pp. 1035-6f

A long section of the bibliographic treatise in the Sui shu is described under the general term wu hsing, with a total of 272 entries amounting to 1022 chiian. The entries include items that derive from a number of methods used in divination and the consultation of oracles, and some of these may be identified as manuals for the use of certain types of instrument or shih. 22 The work that is mentioned immediately above (i.e., the Ssu hsii k'an-yu by Yin Shao) takes its place among ten titles which include the term k'an-yii, written, however, with yiie in place of yii°. Possibly this change may be taken as an indication that by the time when the list was being compiled the significance of the term k'an-yii had been forgotten, with yiic being replaced by a homophone. 23 It has been suggested that some of the fragments of inscribed wood that were found a few years ago at Mo-tsui-tzu, Wu-wei (Kansu) derived from k'an-yii and its use, but this identification should now be revised. 24 Following the discovery of the fragments at Mo-tsui-tzu, a far larger cache of mantic documents has been found at Shui-hu-ti, Yiin-meng (Hupei), and some of these have shed considerable light on the chien-ch 'u system of consulting the oracle. In view of the similarity of certain features of the documents, it may now be suggested that the fragments from Mo-tsui-tzu formed part of a table or almanac that derived from chien-ch'u rather than from k'an-yii practice. In the notes to at least two passages of the Han shu and Hou Han shu, Hsii Shen (c. 55-c. 149) is cited as explaining k'an as the order of heaven (t'ien tao) andyii as the order of earth (ti tao). 25 In commenting on the termk'an-yii at its appearance in Yang Hsiung's 'Kan-chiian fu', Chang Yen (third or fourth century) wrote that it was a general designation for heaven and earth. Yen Shih-ku (581-645) expressed his agreement with this view. Meng K'ang (jl. 180--260), however, had departed from this type of explanation, identifying k'an-yii as the name of a holy spirit who had compiled maps and writings on 21 23 24

2'

22 See entries in SS 34 (tr. 29), pp. 1028, 1032. This work is no longer extant. See GSR pp. 40, 42 (821 and 89j), for the ancient reading two. Wu-wei Han chien, p. 139. HSPC 30.70a and HHSCC 76.7a; Shuo-wen 13B.22a.


119

topography. 26 In a recent statement, Nan Huai-chin has traced the attention to k'an-yii back to the Spring and Autumn period, and he observes the contemporary use of the expression to mean geomancy. 27 The conclusion that may be tentatively drawn from the evidence of the passages cited above and from a consideration of a few discoveries from Han tombs may be summarised as follows. By the time of the Huai-nan-tzu, the tenn k'an-yii was being used as a general term to denote a variety of instruments used to show the relationship of the earth and the heavenly bodies, and to prognosticate the good or bad results that would follow actions undertaken at a specified time. The term had started as a description of the two parts of a particular instrument, of which one represented the heavens (k'an: 'the canopy') and one the earth (yii: 'the chassis'). Of the instruments that were included under the general description of the term k'an-yii, the cosmic board (shihc) has already attracted considerable attention, and reference should now be made to some other types, of which examples have been found in tomb Ml at Shuang-ku-tui, Fu-yang (Anhui). 28 This has been identified as the tomb of the second marquis of Ju-yin, Hsia-hou Tsao, who died in 165 BC. 29 One of these instruments, which has been entitled Erh-shih-pa hsiu yiian p'an, is described as a circular board showing the 28 Lodges, with a series of apparently 365 sockets or grooves cut into the edge of the board, but without penetrating it completely. It may be asked whether those grooves had been prepared for the insertion of a pin or peg at successive positions round the circle; and whether it was such an action that was described as 'the k'an-yii moving slowly, the male thereby comprehending the female'. A second instrument, which has been entitled T'ai i chiu kung chan p'an consists, like the shih, of a square plate within which a second plate, that was circular and could rotate, had been fitted. The inscriptions on the two plates refer to the sequence of the seasons, the passage of days, and the likely outcome that would occur in certain circumstances. There is also a clear reference to the heavenly bodies, or their guiding spirits, as may be seen in the prominent position given to the characters Chao-yao. It is possible that Yang Hsiung's reference to the constellations, and to 'charging k'an-yu with pi-lei' may be understood with reference to an instrument that possessed these or similar features. In this way it seems that the k'an-yii, i.e., instruments that represented heaven and earth, and whose moving parts could be described as 'canopy and chassis', enabled an operator to consult the stars regarding the choice of a time for activity, and to prognosticate its probable outcome. In so far as the choice of time was intimately linked with considerations of space, it became necessary to take territorial arrangements into account; for this reason some 26 28

27 As cited in note 1 above. HSPC 87A.9b. See 'Fu-yang Shuang-ku-tui hsi Han Ju-yin hou mu fa-chiieh chien-pao', as cited in note 2 2 • HSPC 16.6a. above, and Chao T'ieh-hua (1980), plate 25.

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of the later instruments, which were known to Cheng Hsiian (127-200), were fitted with markings that showed the contemporary administrative divisions of the empire. . In the course of the centuries, these early instruments underwent considerable development, not least the incorporation of the magnetic needle, from perhaps the eleventh century on. 30 Possibly this development may have exercised a radical influence on the whole process of using the instruments for consulting the oracle. For the new device would tend to_ concent~ate ~he attention of both the inquirer and the operator on quest10ns of s1tuat10n rather than time, as the needle could be seen to be pointing in a recognisable direction on earth. But while the emphasis of feng-shui lay in the choice of place rather than time, it made use of an instrument tha_t was the _direct descendant of the k'an-yii of Han times, and that term persisted, despite the change of design, intention, and usage. For these reasons, the term k'an-yil chia continued to be used, and became synonymous with the term feng-shui chia. 30

Attention may perhaps be drawn to the vigorous criticism voiced by Ssu-ma ~uang (1019--~6) in 1084 against the funerary practices of his day, which included, to his_mmd, a~ excessive consideration of geomancy. It is tempting to speculate that the recent mtroduct10n of the magnetic needle into the instruments and their subsequent use to excess may have been one reason for Ssu-ma Kuang's outspoken views; see Ssu-ma Kuang 'Tsang lun'; also de Groot (1892-910), vol. III, pp. I 02 lf, and SCC vol. III, pp. 3 !0f. At a slightly e~rlier date, Chang Tsai (1020-77) had, in a single sentence, dismissedfeng-shui as bemg meamngless; see Chang tzu ch'iian shu 8.6a ('Sang chi').

6 Imperial sovereignty: Tung Chung-shu's contribution and his predecessors

Over four centuries separated the accession of the first Ch'in emperor, in 221 BC, and the abdication of Han Hsien-ti in favour of the king of Wei in AD 220. In the m~antime the concept of imperial sovereignty had changed fundamenta.lly Ill religious, intellectual and practical terms. Imperial rule based on might had given way to the need to support a claim to rule with intellectual sanctions. With the renewed worship ofT'ien, the old idea of the t'ien-ming, or Mandate of Heaven, had been revived with some force. While the early emperors of Han had been ready to adopt Ch'in's institutions, from -- the start of the Later Han period (AD 25) at least emperors and statesmen lOoked to the principles and practices of Chou as ideals that they should emulate. In the procedures whereby the succession of emperors was accomplished, a new stress was being laid on correct ceremony, on the formulation of documents and on the material symbols of majesty. 1 At the same time the importance of the emperor had also been subject to ~hange. It was apparent that the choice of incumbent for this position was hkely to be ofless significance than the compelling need to see that it was filled. \Y.~il~-t~e,t~~l'~_:al powers of the emperor had been reduced, his significance as a rehg10us furict!oiia·ry·nad beep e~hanced. While his existence as the "fouiitain:nead from wh-!Ch- ail · aut·h~rity devolved was essential to the operation of the empire, the powers that he had once exercised had fallen into other hands. In political terms, emperors could be reduced to nonentities; in

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For these developments, see chapter 4 above.

121

122


circumstances it would take an exceptionally strong emperor to assert his personality and influence events as forcibly as, for example, the first Ch'in emperor. All too often an infant or a weakling would sit enthroned at the head of the empire while major decisions were being taken elsewhere. The changes that took place in religious and intellectual terms are often attributed to the influence of Tung Chung-shu, and while it may in general be agreed that much of the achievement was his, it is proposed here to examine some of the antecedents to his work. In some respects Tung was an innovator; in others he may have been drawing on the work of his predecessors and lending it renewed force. 2 But wherever the precise credit for originality is due, the measure of those achievements is clear. !l:ia..~~.~.!~_T:iJ.P:&J.4§..!uriishment. Later he focuried the enmity of Kung-sun Hung, who came to hold the highest post in the imperial government (i.e., Ch'eng-hsiang) from 124 to 121. Tung Chungshu was relegated to be chancellor in the distant kingdom of Chiao-hsi (Shan-tung province) and died after retirement due to illness. 3 By contrast with the short biographical account that is included in the Shih-chi, the Han shu incorporates the text of three memorials which Tung submitted to the throne in response to imperial edicts. 4 These specifically

. . brough:t"up oil a.

iioi

For general assessments of Tung Chung-shu, see Fung Yu-Ian (1937-53), vol. IJ, pp. 7f; Chan Wing-tsit (1963), pp. 27lf; and Hsiao Kung-chuan (1979), pp. 484f. Specialist studies include Seufert (1922), Tain (1974) and Helliwell (1981). ' For the bare facts of Tung's life, see SC 121, p. 26, HSPC 56.la and 19a; for an attempted chronology, see Su Yii's edition of the Ch'un-ch'iufan·lu; for the record of the Fires in Kao-ti's shrines, see HSPC 6.3b, HFHD vol. II, p. 33. 2

Imperial sovereignty

123

requested advice on the nature of dynastic government and the means of ensuring a successful and prosperous dispensation on earth. The three memorials form the basic evidence for Tung Chung-shu's political philosophy, and they may be accepted as possessing a higher degree of authenticity than the more voluminous material that is collected in the Ch'un-ch'iufan-lu. 5 ~ls§.l\Th~i:~J:ht1.llmJ ~.ll.uJ:~i;gr !he biographies, _Tung di~c_c>11Jii}t]~Q'.~!i.J>i!!it!J!ii.!4c:s~gpi11\Qns after hi§ r_eprieyeJr9~ ~he.death .. P.~naI.ty, 6 .•..•

In submitting his answers to the questions raised by Wu-ti, Tung Chungshu was able to look back on over half a century in which the Han emperors had presided over the destinies of China; and his answers were of such a nature that they affected the ideas of imperial sovereignty for some centuries. In general it is difficult to answer the question of how far Tung's ideas were original. The nature and extent of the sources is such that they are more informative for the first than for the second century BC and in addition it is likely that political ideas were relatively unsophisticated before Tung's time. Certainly there were moments of dynastic history that could have been expected to raise the whole question of the appropriate form of government for China (for example, the crisis that accompanied the rise and fall of the The texts of the three edicts, requesting advice from officials, and ofTung's replies, are given in HSPC 56. lb, Sb and 13b. These are dated at 134 BC in Ch'ien Han chi 11.1 band at 140 BC in Tzu-chih t'ung-chien 17, pp. 549f; they may have been related to the orders given in 141and136 BC that concerned the qualifications required by candidates for office and the means of education. However, there may be reason to doubt whether the three edicts and memorials were composed at so early a date. The tone of the edicts hardly suits the sixteen-year-old newly acceded emperor and it does not reflect the opinion or optimism of the leading statesmen of the day. It is also possible that the criticism implied in the documents was more appropriate for the later days ofWu-ti's reign than for these early stages. There may be grounds for believing that the death of the Empress Dowager Tou, in the fifth month of 135 BC, allowed some consideration to be given to a change of policies and a re-assessment of political motives, as is invited in the edicts. In the second of the memorials (HSPC 56.l lb), there is a reference to the loyal submission of K'ang-chii and Yeh-lang; it was only in the reign of Ch'eng·ti (33-·7 BC), or possibly Yiian-ti (49·33 BC) that K'ang-chii first took formal steps to adhere to Han; see Hulsewe (1979a) pp. 123f, note 298, for consideration of the evidence and the reference to K'ang-chii hy Ssu-ma Hsiang-ju (c. 179· ll 7 BC). Yeh-lang made over to Han in 111 BC (HSPC 95.4b). ' The authenticity of all or parts of this work has been brought into question, on philological grounds. In addition, the content of some of the chapters is not entirely consistent with what is known of Tung from other references or with contemporary intellectual development; [see the entry for Ch'un-ch'iufan-lu in Loewe (1993)]. 6 See HSPC24aJ6a, Swann (1950), pp. 177ffor Tung's stand on the question ofland tenure. His performance of rites to induce or to prevent rainfall is mentioned in HSPC 56. l 9b; see also Ch'un-ch'iu fan-lu 74 ('Ch'iu yii') and 75 ('Chih yii'), and chapter 7 below. For Tung's interpretation of omens, see, for example, HSPC 27A.2a, 6a; for his refraining from such interpretation, see HSPC 56.20a. 4



124

Empress Lu), but documents which reflect arguments raised on this subject at that time do not survive. In the early decades of the Han dynasty, the idea and practice ofi_ll,!~e.Ei
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125

recorded in the histories derived more from the. practical needs of the

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had drawn on,..r]1.gi!].yIJ-!a[y,llletaphysics and on mythology to explain the growtlioThuman culture and the place of government within the cosmic . or'-d~J=:T';:Iiig-chun·g:shu- estabiisiledhis own cosmic syst~~- ~~
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need to show that there were greater re~~~:m_s_,, Q~. mornt.andjntellec.tual grounds, why Han had a better.charic;e t_hanjts predeq;:ss9r. l:faw.eY.er,.ih.e. establishment of such a claim involved some difficulty .or even contradiction. f(Tt was···10 fie siiown th~t, despite th.e recent' shortcomings a~ci m~m~~t;p( cri~is, an .imperial form ofgoveinment could be established for al.l time~-itmu~t also becle11rly explainec.fwh.y Ch'in had failed to acliieve this resuffa~n~"lYffY Han could. hope do so. . .. __12iffic_~~ wou~?-~ris~-~~~~.E~~-..!:~t'.. si~igi:ities .PJ1tF~~JLCh:in.and_Han were all too obvTuus. Han, no less than Ch'in, owe~!t~.rjg~ JQJ!w~ygc_e.ssfl!!.J!SL

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The principal changes in the administration concerned provincial government, with the institution of hereditary nobilities and kingdoms. For the provisions of Han law, see Hulsewe (1955). For the state cults of Ch'in and Han, see CC eh. 5 and Loewe (1982), eh. 12.

The Five Phases

In perhaps the fourth or the third century BC an important advance had been made in Chinese thought by the combination of the theory of the Five Phases (wu hsing) with the concept of Yin-Yang. This theory was basically an attempt to explain the operation of the observed world of nature according to a cyclical scheme of stages. 8 As far as may be told, the first application of the theory to man-made institutions may be traced to a famous passage in the Spring and Autumn Annals of Mr Lu (Lu shih eh 'un-ch'iu) which was compiled some two to three decades before the establishment of the Ch'in empire in 221 BC. The passage is of the utmost significance to the growth of concepts of imperial sovereignty. By linking the theory of the Five Phases with the active participation of Heaven in human destinies and with the symbolic importance of omens, the writer was expressing ideas which do not seem to have been taken up again in earnest until the time of Tung Chung-shu. In accepting that human institutions are subject to universal laws of nature, the contributor to the Lu shih ch'un-ch'iu was suggesting a new context within which temporal power should be placed, and he was separating its rise and decline from the sole arbitration of human will-power and force. The passage runs as follows: Whenever a sovereign or king is about to rise to power, Heaven will certainly manifest a favourable sign to mankind in advance. At the time of the Yellow Emperor, Heaven had displayed creatures of the earth, such as worms, beforehand. The Yellow Emperor 8

For

WU

hsing and

Yin~ Yang,

see

sec vol. II, pp. 232f.

126

said that the energy of earth was in the ascendant; and in those circumstances he singled out yellow for prominence among the colours and modelled his actions on earth. In the time of Yu•, Heaven had displayed grasses and trees that were not killed off in autumn or winter. Yii said that the energy of wood was in the ascendant; and in those circumstances he singled out green for prominence among the colours and modelled his actions on wood. In the time of T'ang, Heaven had first shown how metal blades were produced from liquid. T'ang said that the energy of metal was in the ascendant; and in those circumstances he singled out white for prominence among the colours and modelled his actions on metal. In the time of king Wen, Heaven had displayed fire, with scarlet birds holding texts inscribed in red in their beaks, and assembling at the altars of Chou. King Wen said that the energy of fire was in the ascendant; and in these circumstances he singled out red for prominence among the colours and modelled his actions on fire. It will of course be the energy of water that must displace that of fire, and Heaven will make a display of water in advance, so that the energy of water will come into the ascendant. When that occurs, the ruler will single out black for prominence among the colours and model his action on water.9

Tung Chung-shu fastened especially on the relationship between Heaven and the cycle ofYin·Yang and its phases, as may be seen below; but the Han shu does not include any allusion to his deliberate association of either the Ch'in or the Han dynasty with the predominance of a particular phase in the cycle. In the meantime there is reason to believe that even the highly practical rulers and officials of Ch'in had paid some attention to the theory, by claiming that their power existed under the aegis of water. 10 During the Han period a more pronounced interest is evident, with definite attempts to claim that the emperors were exercising their authority in accordance with the pre-destined sequence of the Five Powers. During the second century BC there were several abortive attempts to persuade the emperors that their power was blessed no longer by the symbol of water, as had been inherited by Han, but by the next symbol or phase in the sequence, i.e., that of earth; in 104 BC the change was duly introduced. Considerable importance was laid on this aspect of imperial . authority at subsequent moments of dynastic change, for example by Wang Mang, who re-adopted earth in AD 9, and by Kuang-wu-ti who chose fire (AD 26). 11 The implications of this determined act of symbolism were far reaching. In declaring which element was its patron, a dynasty both claimed to exist as part of the pre-determined order of nature and defined its relationship to its 9

°

1

11



LSCC 13.4a. Yii and T'ang were the founders of the Hsia and Shang dynasties and king Wen was the effective founder of Chou. It may be noted that the order of succession of the phases is that of conquest and not of natural birth. The 'texts inscribed in red' were books thought to describe the ways of antiquity. King Wu of Chou had been informed that they included information regarding the Yellow Emperor and other mythological rulers and wished to consult them. Their description as 'red' implies that they were written in imperishable materials. For references, see chapter 2 above note 5. SC 12, p. 48, Mll vol. III, p. 515; HSPC 25B.23b; HSPC 99a.36a, b and 99B.9a, HFHD vol. III, pp. 258·-9, 290; HHSCC 1A.18b.

127

,;predecessor. B~ changing from water to earth in .1 ?4, Form~r Han was s~aking its claim to exist as the conqueror who had legitimately displaced Ch'm. By te-adopting earth, Wang Mang was deliberately claiming that his dispensation had come into being not by way of conquest but by way of natural processes. In addition, both Wang Mang and the first of the Later Han emperors, who declared that his dynasty existed under the protection of fire, were exhibiting their belief that they were the normal and legitimate successors rtot of the emperors of Ch'in but of the kings of Chou. Kuang-wu-ti was also ~randing Wang Mang as an illegitimate usurper.

'Urttil recently the expression Huang-Lao was little more than a term seen in a f'€W passages of the Standard Histories. That it was a mode of thought which ~ppealed to some of the most highly placed persons in the land was clear, but its implications were unstated. 12 The position has been changed by the discovery '"~fmanuscript copies of hitherto unknown texts at Ma-wang-tui, and the . ·1dentification of some of these as expressions of Huang-Lao thought. 13 ' One of these documents (Ching fa) appears to be a handbook of guidance for a ruler of mankind, with a description of some of the techniques required jfor his task. The government of man is justified on the grounds that it is part of , a universal order of being (tao). The book refers to Yin· Yang and to the belief that correspondences (kan-ying) exist between phenomena manifested in • tiifferent parts of the universe. But there are apparently no references to wu :ihsing. The essential point is that in this hitherto lost text temporal rule is seen :i\'spart of the cosmic order, and the concept of that order is very different from that which was adopted by Tung Chung-shu. The same principle is brought ;.'Dirt in two of the other documents found at the site. 14 ,. Huang·- Lao thought saw tao, which one is tempted to translate as 'ultimate .. ~.reality' as the origin of all things and the home to which all things return. The ' .authority of a sovereign derived from his responsibility for seeing that his :I~

Ts'ao Shen, who became chancellor of state in 193 BC, had been subject to the influence of an exponent ofHuang·-Lao thought named Kai Kung HSPC 39. l la (SC 54, p. 13, SC 130, p. 59). .., · Others recorded as having favoured or studied Huang Lao thought included T'ien Shu, governor of Yiin-chung commander during Wen-ti's reign (HSPC 37.4b) and the Empress Dowager Tou (consort ofWen-ti, mother of Ching-ti); after her death in 135 BC, T'ien Fen took steps to remove its influence from the court (HSPC 52.4b; HSPC 88.3b; HSPC 97 A.Sa). Ch'en P'ing, who took a leading part in ousting the Lii family and enthroning Wen-ti, had also favoured Huang··Lao thought (HSPC 40.12a). Subsequently, others included Chi Yen, who attained ministerial rank in Wu-ti's reign (HSPC 50.9a); Cheng Tang-shih, appointed Ta-nung-ling (superintendent of agriculture) in 130 BC (HSPC 50. l 5a); and Liu Te, who held the office of Tsung-cheng (superintendent of the imperial family) for a few months in 80 BC. [For others who are known in this connection, see Vervoorn (1990), p. 268 note 31.) ' "' .See the four texts which preceded copy B of the Lao-tzu, entitled 'Ching fa', 'Shih liu ching', 'Ch'eng 0 ' and 'Tao yiian'. These are transcribed in Ma-wang-tui Han mu po shu vol. I. See also . . Loewe (1981) and (1982), p. 209. }• 'Ch'eng' and 'Tao yiian'. ~

128


subjects' lives conformed with tao. For this purpose he must, by his issue of orders, establish suitable norms and patterns of behaviour. He must also practise the technique of observation (kuan) so as to acquire an insight into the inner workings of the universe and the relationship between man, heaven and earth. In so far as tao comprehends models that are to be imitated and their prescriptions, Huang-Lao thought provided a framework for laws that was utterly different from that of the tradition of Ch'in. The purpose of a sovereign's commands thus varies fundamentally from that of the rulers of Ch'in, whose orders were intended to achieve obedience to a human will and the attainment of man-made ambitions. Huang-Lao thought also varied from \ the view of man of the Chuang-tzu that saw no place for the organisation, let ! alone the compulsion, of mankind. These texts also include a view of human evolution and of the growth of civilisation that varies from the one traced to Confucius and his disciples and taken over by Tung Chung-shu. One document sets out a metaphysical framework that included the categories of wu (matter), hsinga (form) and min~ (name). According to another text, the four orders of chic (discipline), hsinga (form), shihd (seasonal distinction) and minga (name) had been created ' deliberately by the servants of Huang-tib, the Yellow Emperor, for the benefit and improvement of mankind. By these means man was enabled to achieve moral progress and to raise his state of existence from chaos to order. 1' These concepts and ideals vary considerably from those that grew up as a result of Confucius' teaching, and the idea that human amelioration i's achieved by attention to Ii" ,jen and z-e. The texts also call on a mythology that differs from that enshrined in the Confucian canon, where the paragon rulers are named as Yao and Shun. The Huang-Lao texts invoke the splendid victory ofHuang-ti over Ch'ih-yuat a crucial stage in the advance of mankind from barbarism to civilisation, from a state of anarchy to one of ordered and recognised government. Although the texts do include at least one reference to the t 'ien ming there is a conspicuous absence of reference to Confucius' ethical values or to his contribution as a teacher. The ideas of Huang-Lao thought were current in\. China before 168 BC. Although it cannot be told how widely they had b~n acclaimed, the influence exercised by one devotee, the Empress Dowager Tou, who died in 135, may have been significant. But however influential this mode of thought and its view of imperial sovereignty may have been in the early decades of the Han period, it was. due to be eclipsed by other ideas, for reasons which may be suggested, rather than proved, as follows. In 139 BC the Huai-nan-tzu was presented to the throne. The work derived from the speculations and discussions of a number of writers, and it set out to present a highly systematic explanation of the universe. As far as may be said, in the absence of full source material, the scheme of the Huai-nan-tzu was of a


more comprehensive and persuasive nature than the ideas of Huang-Lao thought, .and it is hardly surprising that subsequent interest in tao fastened on the Huai-nan-tzu rather than on other writings. When, several centuries later, a new thrust was given to 'Taoism' by religious motivation, it was Lao Tzu rather than Huang-ti who formed the ancestor to whom the new practices were ascribed. Thereafter there was little impetus to revive the texts of Huang-Lao thought. 16 A further reason for the eclipse of Huang-Lao thought may perhaps be seen in the change that was affecting the image of Huang-ti. Huang-Lao thought saw him as an ancestral figure from whom the government and organisation of man, among other things, derived. However, he features in a different capacity in the state cults of both Ch'in and Han, as one of four, and then five, powers (tz) to whom worship was seasonally due. A further change of emphasis may have taken place in 104 BC, when Huang-ti was invoked as an intermediary who could procure immoriality. 17 This cult probably did not last for long and it does not seem to have made much of an impact; but it may well have detracted from the image of Huang-ti as a forerunner of human sovereignty, at a time when other ideals were being propagated for this purpose. It is perhaps more likely that the replacement of Huang-Lao thought by other views was partly due to the growing ascendancy of ethical ideas, as espoused by Shu-sun T'ung, Lu Chia and Tung Chung-shu, and the place taken by these ideas in the training of officials. The principal steps to develop that training were taken in 141, 136 and 124 BC. Shu-sun T'ung and Lu Chia

Early in the Han period there were some who realised that a considerable difference lay between the successful seizure of imperial power by forceful means and the maintenance of effective leadership over an empire at a time of peace and stability. The Standard Histories record two instances in which the contrast was drawn in explicit terms to Kao-ti (reigned as emperor 202 to 195 BC) and two results followed. In c. 201 Shu-sun T'ung drew up a set of guide-lines for the correct procedures to be followed at court, with a view to characterising the new regime as one backed by attention to cultural refinement rather than by the crudities of a military way oflife. These conventions were intended to enhance the majesty and dignity of the imperial throne and to establish it as a patron of civilised values. These included a recognition of the correct relationship between the sovereign and his counsellors. 18 1

•

I

. " For example, see the transcriptions under reference in note 13, pp. 43, 53, 62, 66, 72, 81and87.

129

18

There is no separate category for books deriving from Huang-Lao thought in the bibliographical list incorporated in chapter 30 of the Han shu. Titles which include the term Huang-ti are to be found among the Tao chia; one item is described as being comparable with the Lao-tzu 17 HSPC 25A.3lb, 35a; CC p.184. (HSPC 30.36b, 37a). HSPC 43.15a; HFHD vol. I, p. 21; see also HSPC 22.3a and Hulsewe (1955), p. 433 .

130



In the second well-known instance, Lu Chia had pointed out the essential difference between the achievements of Ch'in and the maintenance of a stable empire. There followed the production of a set of essays in which Lu Chia explained the principles of government. This short text, entitled Hsin yii, attempts to demonstrate that ethical values distinguish a reputable government from others. It is the unsuccessful regimes which are bound only by material considerations and which take unduly oppressive measures; it is these that are eventually brought down by the force of popular pressures. 19 Possibly owing to the prominence attained by Tung Chung-shu, insufficient attention may have been paid to Lu Chia and his provision of intellectual support for an imperial regime. Lu Chia's brief, as ordered by the emperor, was not to expound a set of ethical concepts; it was to show the reasons for the success or failure of a particular regime. In the course of his writings, Lu Chia recognises the existence of a relationship between Heaven and Earth, and he points out the importance of phenomena and omens as a voice of warning. He stresses the value of moral virtues, as espoused by the sages, arguing that cultivation ofjen and ileads the way forward to ordered government (chihh). Lu Chia observes the failure of the Ch'in empire, following the exercise of punishments and other intensive activities. The arrogance and extravagance that had been involved forms a strong contrast with the ideal of achieving ordered government by taking as little an active part as possible. The Hsin yii notes that the best type of ruler should conform with the seasons ordained by Heaven, and so control his movements that they accord with the rhythm of Yin and Yang. Lu Chia deprecates eremetism as a form of escapism from public duties, and he stresses the need to recognise talent among human beings. In pleading for a consistent single-mindedness, he asks his ruler to concentrate on matters of principle and to avoid attention to material profit. In discussing the need for good faith and trustworthiness, he argues that the decline of a dynasty is due not to Heaven but to the faults and shortcomings of m.an. The book does not mention the t'ien ming. The Hsin yii carries citations from works such as the Book of Songs and the Book of Documents, and from sayings attributed to Confucius. Reference is also made to some of Confucius' actions, as examples of wise and uncompromising behaviour. There are three references to the Ch'un-ch'iu's record of historical fact, one citation from Lao Tzu and one reference to Mo Tzu. 20 Lu Chia's views carried with them deep implications that recur throughout imperial history, but they also raised one awkward question. If it were accepted that successful government rested on the practice of ethical prin-

ciples and on moral leadership rather than on force, how had Liu Pang been justified in winning his way to imperial eminence by military means? The question was openly voiced slightly later, in the presence of Ching-ti (reigned 157--141 BC) and the resulting discomfort led the emperor to bring the discussion to an abrupt close. The Han shu records a further occasion on which this question of principle was raised, in 46 BC. 21 The awful example of Ch'in The question of the success and failure of imperial regimes led inevitably to assessments of Ch'in, as may be seen in expressions of thought shortly after the time of Shu-sun T'ung and Lu Chia. These were the opinions of statesmen faced with the practical problems of administering the empire, but the political circumstances in which they were writing differed from those of the previous generation. Shu-sun T'ung and Lu Chia had been tendering their advice to a newly victorious emperor whose position was apparently unchallenged; their successors, of Wen-ti's reign (180-157), were writing after a period when the imperial succession had been subject to manipulation and the emperor's own place had been taken over by the empress Lii. When Chia I (201-169 BC) and others were advising Wen-ti on the principles of imperial government, they had in their minds the very recent experience of dynastic instability and the threat posed to the fabric of empire. Chia I and Chia Shan were two of those who addressed themselves to the question of why the mighty Ch'in had succumbed to a minor attack of rebels led by Ch'en She. 'Nailing the errors ofCh'in' was the title of a famous essay of Chia I that is incorporated in the Shih-chi and the Han shu. 22 By asking this question about Ch'in, Chia I and his contemporaries may, in addition to their main purpose, have set a pattern of criticism that lasted for two thousand years and more since their time. Questions were not, and are not put, regarding the quality, legitimacy or wisdom of an existing regime; by voicing them in respect of a comparable person or institution of the past it is possible to express criticism of the present, for the reader is expected to draw the obvious inference. In this way Chia I may well have been masking his criticism of his own masters. Chia I's essay should probably be interpreted as a warning directed against the improper operation of imperial government but not as a criticism of the imperial system as such. He described the errors of Ch'in in the hope that Han would avoid making the same mistakes, and he blamed the failure of Ch 'in to withstand the rebels on its excessive severities and penal sanctions. Chia I was 21 22

19 20

HSPC 43.6a. The authenticity of the Hsin yii was brought into question by the editors of the Ssu-k'u catalogue, but it has been accepted by a number of notable scholars including Sun 1-jang (1848--1908), Yi.i Chia-hsi (1883--1955), Hsi.i Fu-kuan (twentieth century) and Miyazaki Ichisada (b. 1901); [see the entry for the work in Loewe (1993)].

131

SC 121, p.16; HSPC 88.18b; HSPC 75.19a; see chapter 4 above, p.86. Chia I's essay 'Kuo Ch'in' divides into three sections, which appear variously as follows. It may be noted that the entire text is given in SC 6, where the order of the three sections is incorrect. For section I, see SC 6, pp. 91-9, MHvol. II, pp. 225-31; SC48, pp. 21-5; and HSPC 31.24b; for section 2, see SC 6, pp. 99-103; MH vol. II, pp. 231-6; for section 3, see SC 6, pp. 87-91, MH vol. II, pp. 219-24.

132

anxious to see the fabric of empire maintained and to avoid the fate that had overtaken Ch'in, or the dangers caused by the empress Lii and her family. For this reason he stressed the need for ethical values. By doing so he has earned the traditional classification among the ju chia or 'Confucians', but that classification is somewhat misleading. Chia I was more concerned with defending the idea and practice of imperial government in the face of possible danger than with preaching the virtues advocated by K'ung Tzu. He would better be regarded as a staunch adherent of empire as against other forms of government, and in this sense he is comparable with his contemporary Ch'ao Ts'o (executed 154 BC), who is classified among the fa chia or 'Legalists'. It may be of interest to recall that, during the campaign to 'Criticize Lin Piao and Confucius' that was raging in China in 1974, Chia I was assessed and praised as a statesman who served China with merit and without the taint of Confucianism. 23 It will be seen below that a new emphasis was given to the criticism of Ch'in on moral, rather than on practical, grounds, by Tung Chung-shu. Chia Shan, who was no relation of Chia I, was likewise drawn to explain how the defeat of Ch'in had come about. It is clear from his essay that he was writing byway of warning to his emperor, in the hope that he would not repeat some of the errors that had led to Ch'in's downfall. 24 Like Chia I, he was addressing Wen-ti. He blamed dynastic ruin on the excessive demands that Ch'in had imposed on the population, or on Ch'in's material extravagances and lack of scruple. Coupled with greed and ambition, and in the absence of restraint, these faults constituted an abuse of imperial sovereignty, to the extent that Heaven brought about the end of the regime. In making this statement, Chia Shan was possibly proceeding further forward than Chia I, and he advances even further in the next part of his submission. He reflects on the nature of Chou's clement rule as a paragon and in doing so he expresses a theme that is to be heard for ever afterwards. Chia Shan also took the opportunity to insist on the importance of offering remonstrance and criticism to the throne, and on the need of emperors to establish officials who were charged with this duty. He also made one other point, which was specifically directed at contemporary practice rather than the failings of Ch'in. He urged a reduction of material extravagances and of indulgence in pleasures such as hunting. This warning, apparently given somewhat late in Wen-ti's reign, perhaps seems odd in view of that emperor's reputation for parsimony and reluctance to tax the population unduly. Possibly his reputation for thrift was earned after due heed had been taken of Chia Shan's words, which were submitted in the interests of maintaining imperial sovereignty securely. 25 At very much of the same time, or perhaps slightly later, the contributors to 23 24 25



This assessment of Chia I was displayed on placards observed in Lo-yang in 1974. HSPC 51.la. For Wen-ti's reputation for frugality, see HSPC 4.2la, HFHD vol. I, p. 272.

133

the Huai-nan-tzu were re-iterating some of these arguments, but from a somewhat different point of view. Again, there is a recognition of Ch'in's material achievements and military success, and a corresponding contrast is drawn with the ease with which the empire had succumbed to the pressures of weak and poorly armed forces. The reasons are seen in Ch'in's excessive Concentration on military ventures, the extravagance of the regime and the failure to give a proper hearing to critics. 26 The conclusion is thus similar to that reached by Chia I and Chia Shan, but the reasons for doing so vary. Chia I and Chia Shan believed that it was the lack of respect for ethical considerations, in purely practical terms, that had brought about Ch'in's ruin. The writers of the Huai-nan-tzu, however, had other principles in mind; they criticised Ch'in's excesses not on the grounds that they were unjust to man, but because they conflicted with man's proper relation to the world of nature. The needs of empire

During Wu-ti's reign (141-87 BC) a new emphasis came to be placed on ethical values as the basis for imperial government rather than on materialist riches as ends in themselves. The change may have been due in part to the expressions of opinion that have already been noted, but the very needs of that government were partly responsible. Wu-ti's reign witnessed active efforts to expand the scope of the administration, to intensify its hold on the population and to co-ordinate the use of its material resources. To achieve these aims it was necessary to expand the civil service. Loyal and well-trained officials were needed in considerable numbers to staff the organs of government as they grew in size and complexity, and the government needed to take an active part in education and recruitment. These developments involved a paradox. For, by responding to the growing need for training candidates for office, the government came to engender a respect for values that ran counter to those of the prominent officials of the day and their policies. Those policies were directed towards achieving material enrichment; the texts with which candidates were trained looked to the moral improvement of man. The steps taken to train and recruit civil servants are known well enough. 27 By an edict of 141 BC, discrimination was to be shown against those candidates whose main claim to ability lay in their familiarity with the realist aspects of Chinese thought. The edict voiced a specific reaction against writers such as Shen Pu-hai (b. c. 400 BC), Shang Yang (c. 385-338 BC), Han Fei (280 to c. 233 BC), Su Ch'in and Chang I (Chan kuo period), i.e., some of those whose teaching and principles lay behind Ch'in's policies of expansion and enrichment. Possibly the promulgation of this edict owed something to the 26 27

HNT 12.24b, 13.llb, 15.8a, 18.23a and 20.15b, 25a. See HFHD vol. II, pp. 20f; Bielenstein (1980), pp. 132f; [and Twitchett and Loewe (1986),

pp. 463f].

134


pleas made by Tung Chung-shu in corresponding terms. The peroration of one of the memorials included in the Han shu ends with the suggestion that active discrimination should be practised against those who were not versed in the curriculum of the six approved subjects (liu i) and the methods of K'ung Tzu. 28 According to at least one scholar (Su Yii) this memorial preceded the issue of the edict, but the precise dating must remain a matter of controversy. Other steps that followed shortly carried the ideas of Shu-sun T'ung and Lu Chia further forward. 29 In 136 BC there was established a series of official posts for academicians (po-shih), who were specialists in named subjects or texts, including those that concerned protocol and approved behaviour (Ii); it was Shu-sun T'ung who had advocated the cultivation of these habits. Other academicians were to be specialists in documents that already possessed a high reputation for their moral values, which had been cited by Lu Chia. One of the academicians was to be a master of the Ch'un-ch'iu, compiled by Confucius and redolent with moral lessons that could be drawn from the past and applied to the present. In the very same memorial to which allusion has just been made, Tung Chung-shu emphasised the continuity of past and present and the value of the Ch'un-ch'iu; that text, he argued, showed both how events of the present could be matched with those of the past, and how human ideas relied on those of a superior body (t'ien). 30 Both the edict of 136 BC and Tung's memorial show an intention of incorporating ethical values and a respect for the past into the regular training of officials of the empire. A further significant move in this direction took place in 124 BC, with the deliberate increase in the number of those admitted for training. This measure derived from a suggestion of Kung-sun Hung, chancellor of the empire. 31 The many calls for recruitment, and the terms in which they were made, reflect the acceptance of ideas voiced by Tung Chung-shu and expounded by the academicians. Senior officials of the central government and the provinces were ordered to recommend candidates known to possess named qualities. These were those enshrined in the texts associated with Confucius and cited by Lu Chia. They included moral integrity, intellectual ability, conformity with conventional values, readiness to speak openly in criticism without fear of a superior and a sense of family responsibilities. 32 Tung Chung-sbu's contribution Tung Chung-shu is usually described as a syncretist and as the founder of Han Confucianism. While it may well be true that he drew on a number of ideas 2•

2•

31 '2

HSPC 56.19a. For the liu i(i.e., the Book ofMusic, Book of Songs, Book ofDocuments, Book of Changes, Compendium of Ii, and Spring and Autumn Annals), see HSPC 30.26b. 30 HSPC 56.14b. HSPC 6.3b, HFHD vol. II, p. 32. HSPC 6.1 lb, HFHD vol. II, pp. 24, 54. HSPC 6.4a and 8b, HFHD vol. II, pp. 34, 46; HSPC 65.lb; HSPC 85.lb and 19a.


135

that had already been expressed, and that in this sense he is less of an innovator than has sometimes been believed, he went considerably further than his predecessors in taking some of their ideas to a logical conclusion and in formulating a systematic view of the universe. In doing so he played a crucial role in reconciling ideas that were contradictory. Possibly he was aware of a conflict between faith and reason; between belief in the power of revelation through omens or by divination, and an explanation of the universe in rational terms according to the principles of the Five Phases. The three memorials that are included in the Han shu 33 were submitted in direct response to questions raised in imperial edicts. Those questions were concerned directly with the nature of imperial sovereignty. The first of the edicts took note of the way in which ideal methods of government had been practised in the past, to the general benefit of mankind, and proceeded to enquire on what basis such results had been achieved, with the blessing of Heaven. In his second edict the emperor enquired why the steps that he had been taking to govern China responsibly and appropriately had failed to produce adequate results. The third edict referred to the relationship between Heaven and man; it pointed out that the style and methods of government adopted by the ideal kings of the past were by no means identical, and sought the reasons for such obvious discrepancies. These questions provided ample scope for long replies. Attention will be restricted here to four major matters of principle to which Tung referred, i.e., (a) the cosmic view of the universe; (b) the role of Heaven, Yin-Yang and the Five Phases; (c) omens and their significance; and (d) the critique of Ch'in. (a) Towards the end of his third memorial, Tung wrote: 34 The grand co-ordinating unity (ta i t'ung) that is mentioned in the Spring and Autumn Annals is a thread which runs constantly through Heaven and Earth, and it forms the principles of action that have been generally accepted in past and present. At present our teachers propagate strange principles; our fellow human beings hold to unusual practices; the many schools of thought have idiosyncratic methods, and the conclusions to which they point are not identical. It is for these reasons that the upper reaches of society have no means with which to up-hold the co-ordinating unity; and as the models for behaviour and institutions have been frequently changed, the lower reaches of society do not comprehend what is being preserved. Elsewhere Tung re-iterates the same belief, in a single organised system which formed the constant everlasting principle of Heaven and Earth, of past and present alike. Within this scheme man was playing his part as but one of several elements in the system. Tung seems to have been in advance of his contemporaries in recognising a unitary system with a place for Heaven, Yin-Yang and the Five Phases, for the exercise of temporal government and for the maintenance of the approved ways of a cultured existence. 33

For references to these memorials, sec note 4 above.

34

HSPC 56.19a.

136

(b) The passage from the Lii shih ch'un-chi'iuwhich is cited above (pp. 125f) explains the incidents of dynastic succession in terms that involve three agents, i.e., Heaven, the symbols of the Five Phase and the occurrence of omens. It would seem that the passage is of unique importance in combining these three elements together at an early stage of Chinese thought, i.e., the middle of the third century BC. As far as may be told, we must wait until the time of Tung Chung-shu before this synthesis could be taken up and expanded, despite its inherent contradictions. It need hardly be recalled that t'ien had occupied a central place in the religion and political thought of the kings of Chou. Tien was a god to be worshipped and the fountain-head of authority. As the idea was propagated, so was the king of Chou styled the Son ofHeaven, 35 and recognised as the sole arbiter of human destinies. But with the emergence of the self-styled kings (wang) in different parts of China, the unique position ascribed to the kings of Chou became a fiction, respected in theoretical but hardly in practical terms. 36 As none of the kings of the Warring States could claim that their authority derived uniquely from Heaven, the concept of the 'Son of Heaven' became less and less meaningful and the worship of Heaven grew more and more tenuous as a means of uni ting temporal rule with the authority ofa supreme power. By the time that the Ch'in empire was founded, the official cults of state were being directed to other deities, which were likewise adopted by the new emperors of Han. Heaven took little or no place in the religious cults patronised by the Han emperors until c. 31 BC. 37 In the same way, the idea of the heavenly mandate, which had made its appearance in the Chou period 38 at least, could hardly be valid in the centuries of the Warring States. These were the years when several kings were exercising comparable powers of government simultaneously, on the basis of the principle that might is right. No single one of the rival kings could claim that his authority effectively drew on the blessing of Heaven. In addition there was a fundamental conflict between this concept and the

35

36

37 38



For early references to the term t'ien tzu, see I ching 'Ta yu', SSC 2.30a, Wilhelm (1951), p. 61; Shih ching 'Ts'ai shu', SSC 15(1).6a, Karlgren (1950a), p.176; Shang shu 'Hung fan', SSC 12.14b, Karlgren (1950), p.32 (item 15). The first ruler to claim the titleofwang, other than the king of Chou, was Ch'u Wu wangin 740 BC (SC 14, p. 36); by 230 BC the title had been adopted in seven states including Ch'in. CC eh. 5. For early references to t'ien ming, see, for example, Shih ching 'Hsiao yiian' SSC 12(3).lb, Karlgren (1950a), p.144; 'Wen wang' SSC 16(1).6a, Karlgren p.186; 'Ruan' SSC 19(4).18b, Karlgren p. 252; 'Lai' SSC 19(4).20b, Karlgren p. 253; and 'Yin wu' SSC 20(4).12a, Karlgren p. 265. Shang shu 'P'an keng' SSC 9.3a, Karlgren (1950b), p. 20, line 3; 'Ta kao' SSC 13.16a, 23b and 24a, Karlgren pp. 36, (line 1), 39, lines 13 and 15; 'Wu i' SSC 16.!0a, Karlgren p. 58, line 4; 'Chiin shih' SSC 16.18a, Karlgren p. 59 line 1; and 'Wen hou chih ming' SSC 20.2a, Karlgren p. 78 line 1. See also SC 127, p. 2 for a reference to the relationship between receipt of the Mandate, the prosperity of a regime and divination; Creel (1970), pp. 8lf; and chapter 4 above pp. 88f.

137

application of the Five Phases to political destinies. The one doctrine held that Heaven deliberately chose a person or a house for investiture with responsibility for the government of man; the choice depended on that person's or that house's possession of qualities that were adequate for the task of bearing temporal authority. But according to the theory of the Five Phases, there is a fundamental and inescapable rhythm which underlies all activities and movements and regulates change according to successive and predetermined stages. This theory provided for changes of temporal power to be brought about either by one regime's conquest of another, or by a process of natural succession. As has been seen, the writer of the Lu shih ch'un-ch'iu saw no difficulty in reconciling the part of Heaven with the predetermination of natural sequences. Tung Chung-shu accepts and re-inforces this compromise in a number of ways, and in doing so he is following earlier writings. The opening passage of the Hsin yii of Lu Chia cites a statement that attributes to Heaven the creation of all things. It proceeds therefrom to the regulation of Yin and Yang and the establishment of the Five Phases in their due order. 39 The same idea, that Heaven is responsible for the adjustment of Yin and Yang, appears in a splendid passage of a writer with a different point of view, in the Huai-nan-tzu. 40 Tung Chung-shu elaborates the idea as follows, in the first of the three memorials: 41 A major element of the order of Heaven lies in Yin-Yang, with Yang constituting bounties and Yin constituting punishments. While punishments control slaughter, bounties control living. For these reasons Yang constantly takes its place in the depths of winter, being concentrated in places that are void and of no practical application. We may thus observe that Heaven deputes its charge to bounties and not to punishments. Heaven commands Yang to appear without, and by spreading its benefits above, to bring about the successful completion of the year's work. Heaven causes Yin to go within, and by concealing itself below, to emerge at due seasons to assist Yang. For if Yang does not receive the help of Yin it cannot by itself complete the work of the year. Ultimately it is Yang that achieves renown by completing the work of the year. Such is the intention of Heaven.

The passage proceeds to draw the analogy between the role of Heaven and that of an earthly ruler. The same point, i.e., Heaven's creation of matter and its control of Yin--Y ang, is explained at considerable length in the third of Tung's memorials, with an elaboration in terms of the seasonal changes whereby the Five Phases are manifested. 42 Later in the third memorial Tung seeks to explain why there are apparent differences in the principles adopted by the sage kings of old. In doing so, he insists that throughout their regimes there was no deviation from basic 39 42

Hsin yii l.la. HSPC 56.14b.

40

HNT 20. la; Loewe (1982), p. 64.

41

HSPC 56.5a, b.

138



principle; it was only their application, by way of expedient, that varied, as required by circumstance. He stresses that it is from Heaven that the major principles of the world's order (tao) proceed: 'The main origin of tao comes from Heaven; Heaven does not change and tao likewise does not change.' 43 This view is at variance with a statement in one of the ancillary texts of the Book of Changes, to the effect that it was the holy men of old who 'in making the Changes sought to accord with the principles of nature and destiny, and for this reason established the order of Heaven, namely Yin and Yang, and established the order of earth, namely pliant and adamant'. 44 On several occasions Tung Chung-shu refers to the t 'ien ming, but in somewhat vague terms as compared with later passages that allude to this idea. 45 In imperial times it is necessary to wait for the time ofK'uang Heng (d. c. 30 BC) and Pan Piao (AD 3-j4) before the idea of t'ien ming can be seen to be making an impact on the ideas of imperial sovereignty. 46 Parallel with the concept oft 'ien ming is the view of the king who forms the essential link that binds the three estates of Heaven, Earth and Man together and acts as a channel for communication. This idea is set forth in a famous passage of the Ch 'un-ch'iufan-lu that explains the form of the character wang as symbolising the monarch's role; 47 the Han shu does not include a reference to this symbol. Ifit can be accepted that that part of the Ch'un-ch'iufan-lu stems from Tung chung-shu himself, it could also be accepted that further definition had been given to the concept of sovereignty in the second century BC. (c) The passage from the Lu shih ch'un-ch'iu that is cited above (pp. 125f) draws a specific association between the appearance of certain signs, which may be termed omens, and the succession of temporal powers. Here again, although omens are taken as indications of personal destinies, it is necessary to wait for some decades before they are linked with the fate of an imperial house. In personal terms, omens formed a salutary warning to the empress Lu, who recognized them as signals. An eclipse that was reported for 178 BC formed the mainspring of an edict in which the new emperor searched his conscience and tried to identify his errors. 48 Thereafter a number of edicts sought to explain untoward events in the light of the practices or malpractices of officials, or the material circumstances of the empire. Perhaps the first deliberate attempt to exploit an unexplained event as a means of arousing faith in the dynasty may be seen in the retrospective adoption of the regnal title Yiian-ting, for enumerating years from 116 BC onwards. In this instance the fortunate discovery of bronze tripods was

commemorated and exploited as a sign of the blessing that the house of Han had merited. 49 It was precisely at this time that Tung Chung-shu had been enunciating this view on omens, their association with dynastic destinies, and the value of the Spring and Autumn Annals in enabling a comprehensive view to be taken of events past and present. 50 His view that omens were warnings sent by Heaven to direct an earthly ruler to reconsider his policies and his treatment of man is certainly reflected in the edicts of the next few years that refer to such events. But perhaps the clearest examples of a deliberate attempt to exploit omens in a dynasty's favour, and thus to demonstrate that it was in receipt of the blessing of Heaven, are seen in the years 65 to 51 BC, when no less than nine edicts each singled out events such as the felicitous behaviour of birds or the fall of honeydew, and coupled them with announcements of bounteous acts. This series was followed by a similarly striking series of edicts which fastened on strange events that bore implications of the opposite type. From 48 to 42 BC nine edicts referred to disasters or events that had upset the balance of nature, thereby highlighting the inadequacy of the emperor and his dispensation. It would seem that from 65 BC onwards Tung Chung-shu's view of omens as a sign of Heaven's concern with the destiny of a dynasty, either for good or for ill, had received some measure of acceptance. (d) In the early part of Former Han a number of statesmen had criticised the regime of Ch'in. It has been shown above, for example, how Lu Chia, Chia I and Chia Shan attempted to explain Ch'in's dynastic failure in practical terms, on the grounds of excessive and self-defeating measures that had been imposed on the population; they had also made some allusion to the principles that were involved. The same style of criticism had been raised in the Huai-nan-tzu. With Tung Chung-shu a new type of criticism enters in with a far sharper emphasis on Ch'in's moral failings and on the measures taken to destroy the cultural basis of Chinese civilisation. Ch'in's practice of imperial sovereignty is not being examined in the hope of ascertaining where it had been at fault, as it was by Chia I. Tung sees Ch'in as an example of an unjust dispensation and of the unjustifiable use of temporal authority. Ch'in is accused of trying to eliminate the traditional virtues and values of the past. 51 It may be asked to what extent, if any, Tung's strictures were really being directed against the contemporary regime which he witnessed and with whose policies he was by no means entirely in sympathy. Ifhe did in fact choose this method of commenting on the government of his own day, he may have rendered a profound disservice to the study of Chinese history, by drawing 49

43 45 47

48

44 I ching ('Shuo kua') SSC 9.3a, Wilhelm (1951), p. 264. HSPC 56.16b. 46 See chapter 4 above, pp. 88f. HSPC 56.2a, 4b and 15a. CCFL 'Wang tao t'ung san' l 1.9a; de Bary (1960), vol. I, p. 163. SC 9, pp. 18-19, Mlfvol. II, p. 422; SJ 9, p. 21, Mlfvol. II, p.425; HSPC 4.9a, HFJID vol.l, p.242.

139

' 0

HSPC 6.l 7b, 19b, HFHD vol. II, pp. 71, 75. It has been suggested (HFHD vol. II, p. 121) that the adoption of the regnal title Yiian-kuang for 134 to 129 BC had already derived from the occurrence of an omen. However, the omen in question has been identified as the appearance of a comet, and it is by no means certain that comets were ever interpreted as signs of blessing worthy of commemoration. See chapter 3 above, pp. 75f. 51 HSPC 56.7a, !lb and 16b. JISPC 27A.lla; Loewe (1982), p.86.

140


attention away from the faults of Han and exaggerating those of Ch'in. But whatever Tung Churtg-shu's intentions may have been, he set new standards for judging the quality of dynastic achievement.

Summary and conclusions In the foregoing pages an attempt has been made to trace how ideas of sovereignty developed during the first century of the Former Han period. Some ideas of earlier origins, such as those of the Five Phases and the t'ien ming, were elaborated and formed into part of a cosmic system; some, such as the philosophy ofHuang-Lao, failed to mature in the face of competition; and a sense of purpose was lent to imperial rule by the claim that the emperors were following ethical guide-lines rather than relying solely on force. Within this framework, Tung Chung-shu both leant on some of the ideas of his predecessors and added his own characteristic emphasis. Comparison with Lu Chia adds force to Tung Chung-shu's contribution; for although no more than a few decades separated the two men and their writings, the difference in intellectual terms is striking. Tung Chung-shu stands out with a degree of sophistication, a power of sustained argument and a power of analysis that had hardly been seen previously. He shows a deeper sense of Heaven's personal part and its devotion to man's interests than Lu Chia; he expresses a clearer concept of Heaven's power of warning. He draws a subtle discrimination between human motives and qualities, while insisting on the pre-eminence of man over other creatures. Tung Chung-shu also demonstrates a more subtle view of the past, by distinguishing between the constant value of certain principles and the need to adopt expedients from time to time in order to preserve such principles. He points out that it is up to man to apply the correct tao to his behaviour and government; it is not tao that glorifies man. By contrast with Lu Chia's rather simple references to Ch'in and its demise, he argues on rational grounds why kings and emperors should refrain from exacting undue punishments and from indulging in other excesses. Tung Chung-shu also treats the Ch 'un-ch 'iu,\compiled by Confucius, with a new type ofrespect; he recognises that it may be! used as a source for the study of man and his relationship with Heaven; ailid he pays careful attention to the wording of the book, in the belief that its formulae conceal basic truths and moral lessons. Attention should be paid briefly to some of the developments that followed Tung's own time. At the close of his life he may have witnessed the symbolical changes that added dignity to the imperial structure and proclaimed that the -start of a new age was being envisaged. These changes were not limited to the adoption of earth in place of water as the symbol of the Five Phases. In addition, a new calendar was introduced as a means of ensuring that the regulation of mundane matters would accord more accurately with the major cycles of the universe, and the adoption of the new regnal title T'ai-ch'u (The


141

Grand Begi~ning~ from 1~4 BC stands as a public measure that was designed to enhance 1mpenal prestige at that juncture. 52 Some decades later there followed the introduction of the imperial cults to Heaven, finally accepted in the Later H~n dynasty, and the revival of the attention due to the Mandate of Heaven. Under Wang Mang's rule and that of the Later Han emperors, omens played a more significant part than hitherto in demonstrating the link between Heaven and the imperial dispensation. Tung Chung-shu' s encouragement of education as a means of training civil servants soon achieved noteworthy results; these were particularly impressive in the Later Han period. In one respect, however, Tung Chung-shu's influence is not so evident. The Yen-t'ieh lun is an account of the debate held at court in 81 BC, being compiled perhaps some two or three decades subsequently. The dialogue records a number of instances in which the regime of Ch'in was criticised and even cursed. 53 However, such strictures were by no means always acceptable. For the dialogue also includes occasions when spokesmen sprang to the defence of Ch'i~'s methods; or they may have praised the basic policies of Shang Yang, as ~e~ng the way that led forward to the successes of the Ch'in empire. In add1t10n, those who are shown as defending Ch'in in the debate attributed the fall of that dynasty to the failures of the individual officials or advisers who served the second emperor. Tung's arguments that Ch'in's ruin followed from ideological causes evidently did not command universal agreement. In later ages, Ch'in has been criticised for pursuing 'Legalist' theories and Han has been characterised as the champion of 'Confucianism'. As need hardly be stressed, the situation was in fact far more complex, with varying degrees of compromise being achieved between the extreme rigours ascribed to Ch'in and the idealistic ethical approach to government that is attributed to the Han Confucians. It was one of the achievements of the Han age to have operated ~mperial government within a framework that was acceptable to both parties and that was backed by religious and intellectual support. 52

53

CC eh. I. YTL 7,('Fei Yang'), p. 51, Gale(1931) pp. 42-3; 12 ('Yupien'), p. 91, Gale (1931), p. 79; 16 ('Ti ku~ng ),p.115, Gale (1931),p. 102; 19 ('Pao hsien'),pp. 136--7, Gale (1931),pp. 123f; 23 ('Tsun tao ), p. 168, (Gale (193~), p. 88; 24 ('Lun fei'), p. 172, Gale (1934), p. 91; 28 ('Kuo chi'), p. 192, Gale (1934), p. 105; 29( Sanpu tsu'),p. 208; 38 ('Peihu') p. 263- 41 ('Ch'iihsia') p 275· and43 ('Chieh ho'), p. 287. ' ' ' · '

Cult of the dragon and invocation for rain

7

143

origins of the legend

evidence for the invocation of dragons to procure rainfall comes from Buddhist China and may be traced back to the early centuries ofrecorded ry. 3 Nevertheless the subject may perhaps best be introduced by reference much later passage. This occurs in a famous essay of Han Yu (768-824), eat exponent of Confucian rectitude and antagonist of Buddhist belief. passage shows how, by the time of Han Yu, the belief in the dragon's ers had so far become encapsulated in the Chinese tradition that an yist could exploit it as an allegory so as to illustrate and add force to his

The cult of the dragon and the invocation for rain

~\

>'·

Chinese historical sources frequently mention the occurrence of drought ah'd . the measures that were adopted to relieve the population from such calamiti~: ' Some of the methods reflect the early belief in a connection between thl:l. appearance of dragons and the downfall of rain, and it is with this subject that the present chapter is concerned. For a variety of reasons the connection drawn between dragons and rainfall''. bears an intrinsic interest. First, it is an example of sympathetic magic of a~ ; imitative type, which seeks to bring about material results by a display of; phenomena similar to those that are desired. 1 Secondly, a blend of faith ani< reason may be observed in the practices which derived from this belief..'· Finally, both the theory and the practice demonstrate a process that is seeniti;;); other aspects of China's cultural development: a comparatively late rational,,-;, isation and standardisation, based on philosophical principle, becoll1i&" imposed on an original act of faith that could well have been of a very e ··· mythological origin. Fortunately, sources which spring from different intellectual attitud provide evidence for this study. In addition to a few straightforw~ statements of historical fact and records of formal institutions, there.· references in the writings of several types of philosophy. The subje6 mentioned in the Huai-nan-tzu, which was presented to the throne in 139 . and which sets out to describe the workings of the universe as a regular procest of nature. In the chapters of this collection the writers are highly sympathei!l~ to a belief that the appearance of dragons can bring about a fall of rai11L1a addition the rationalist critic Wang Ch'ung (AD 27 to c. 100) seems, despite his own principles, to have been unable to refute the existence of unexplained: phenomena within this context, as may be seen in the Lun-heng. Finally,&., detailed description of a whole ritual that was designed to bring about a fall o,£'> rain is included in the Ch'un-ch 'iu fan-lu. Traditionally this work has be~n~; ascribed to Tung Chung-shu (c. 179 to c. 104), but doubts have been raised"; regarding the authenticity of all or some parts of the text, which may possibl)", be dated up to four centuries or so after his time. 2 i' ' For the distinction between imitative and contagious magic, see Frazer (1911), vol. I, pp, 5~{ See Chang Hsin-ch'eng (1957), vol. I, pp. 475f, [and the entry for Ch'un-ch'iu fan-Ju in Loew~. (1993)].

2

142

''ffing out his breath with a roar, the dragon forms the clouds; and the clouds are of not possessed of greater spiritual power than the dragon. However, it is by ·ng his own breath that the dragon journeys to all corners of the empyrean. He close to the sun and the moon and he crouches within their effulgence. He gives thunder and to lightning; he brings about transformations of nature such that pours down upon the earth beneath, submerging the hills and the valleys. 4

· ,Writing this essay, Han Yii was putting forward the case of a disaped and disgraced official, who was anxious to point out that his talents scured and unrecognised. In his allegory, the dragon naturally enough for the sovereign, or the emperor, and the clouds for his servants and ials. Just as the dragon relies on the clouds to enact his purposes, so does .peror no less require officials to carry out his will. It would follow that a and saintly ruler would employ officials such as the writer, in order to his function adequately. The metaphysical, or even theological, problem ther an active agent or creator can only operate through the medium of n creations hardly enters into Han Yii's argument; he contents himself 'xpressing his surprise at the accomplished reality. mthis late and highly sophisticated allusion to the myth, we may revert ljer references, which are to be found in writings of a very different type a:s the I ching, the Tso chuan, and the Shan-hai ching. mgons appear in a number of contexts in the account of the lines of the .hexagram ch'ien3 , and the enigmatic expressions of the yao 0 have given to .a number of interpretations, including the elaboration of Han Yii that · i>t been cited. In particular, in one of the explanations of'nine in the fifth \ we read that clouds accompany the dragon and winds follow the tiger, of the universal rule that like things respond to like, be they sounds, .. ions of energy or material, or visible objects such as water. It should

et the date of the CCFL may be, it has yet to be shown that the text has been influenced way by Buddhism. For a general study of dragons in the East, see de Visser (1913); book ~5 and book II, eh. 3 refer specifically to the link between dragons and the rain in China and n•"fespectively. ·Yu; 'Tsa shuo ssu shou', in Ma T'ung-po, p. 19. For an early reference which links the Ii with the invisible energy of the clouds (yiin ch'i). see Kuan-tzu 'Shui ti' 39.2b.

144



perhaps be noted that this explanation of a highly difficult passage cannot be dated back to the earliest parts of the I ching. 5 The Ch'un-ch'iu records a performance of the Great Rain sacrifice (yiid) for the year 707 BC. In that part of the Tso chuan which is associated with the record of this incident, the writer is concerned with dating the sacrifice precisely, and in this connection he writes that 'the ceremony is conducted when the dragon appears' (lung chien erh yii). This expression has required explanation. It is understood by some commentators to refer to the fourth or the sixth month, indicating that the ceremony should be deferred until the right season of the year had been reached, when it would be most necessary. Another explanation, which perhaps carries greater conviction, is that the term 'dragon' denotes a constellation or possibly a planet. The text would then mean 'When the Dragon Star, or possibly Jupiter, rises, that is the time when the sacrifice of rain should be performed. ' 6 A passage in the Lun-yu shows the early association of a dance with the ceremony. 7 One of the later chapters of the Shan-hai ching, which was probably compiled in the fourth century AD, alludes to the origin of the myth. Late as this particular passage may be, it may with some confidence be taken to be based on considerably earlier material. 8 Ying lung [or Ying the winged dragon] was situated at the southern extremity of Mount Hsiung-li-t'u-ch'iu. He put to death Ch'ih-yu [god of fighting] and K'ua fu [a mythical animal] and had no means of climbing up the mountain again. As a result, down below there were many occasions of drought; and at times of drought, images of Ying the Dragon were fashioned and great showers of rain were procured.

It is to this story that Kuo P'u (276~324) traces the origin of the contemporary use of clay dragons to attract the rain. He also draws attention to the tale that a divine dragon helped Yiia the Great to control the waters, by marking on the ground with his tail those watercourses that required to be left unblocked. 9

The evidence for early practices

Two reasons may be suggested why there is an .absence of archaeological evidence for this practice, which is mentioned frequently enough in literature. In the first instance, there is a hint, to which reference will be made below, that

145

the clay dragons used for this purpose were deliberately abandoned after use as being valueless; and it is likely that if they had been made in a somewhat rudimentary way, without firing by artificial means, they would soon have disintegrated, particularly if they were exposed to the climatic elements which they had been made to induce. Secondly, the great bulk of archaeological evidence is derived from graves; these were hardly situations that called for a talisman that would bring about a downpour. Observance of the great ceremony of sacrifice and prayer for rain (yii or ta yu) is well evidenced both for the pre-imperial period and during the Han dynasty. The Tso chuan records a number of these occasions between the eighth and the fifth centuries BC. 10 In addition, the Hsiin-tzu discusses the matter and rejects the possibility of a connection between the ceremony itself and the incidence of rainfall. 11 In the Chou Ii the ceremony is coupled with dances that were performed by shamans. 12 For the Former Han period, there is a record of this specific ceremony for 81 BC. For two other occasions of drought (109 and 108 BC), prayers of a different type appear to have been offered, 13 but the yu is specified for a number of occasions in Later Han (AD 113, 132, 145, 158, 161 and 176). 14 As it is sometimes specified that the ceremony took place in the capital city and it is sometimes described as ta yu, it seems likely that it was regarded as one of the major imperial cults. [Passages (ii) (iv) and (v) in the addendum below refer to specific orders to pray which were given to officials, including some of high rank]. In none of these passages is the use of clay or earthenware dragons mentioned specifically as part of the rite. However, this appears in a number of passages of the Huai-nan-tzu, as part of the ceremony for praying for rain. A commentator's note ascribes the habit to T'ang, founder monarch of the Shang dynasty, who is said to have fashioned these imitative talismans in time of drought, in order that the clouds would accompany them and bring down the rain. Elsewhere the Huai-nan-tzu observes that the manufacture of these models was an act of the holy saints, which was comparable with their provision of storage tanks at the time of a downpour. 15 In several highly informative passages the Huai-nan-tzu links the use of clay dragons to procure rain with the fashioning of straw figures of dogs as a means of seeking good fortune and forfending all evil and errors. 16 These images -

° For the records of this ceremony on a number of occasions between 707 and 480 BC, see

1

' The passage occurs in the 'Wen-yen' elaboration of 'Nine in the Fifth'; I ching, SSC 1.15a; Wilhelm (1951), p. 382. 6 Ch'un-ch'iu SSC 6.8a and Tso chuan 6.,llb; Legge, vol. V, part I, pp. 45·-6; Couvreur (1914), vol. I, p. 84. For the dating of the yii see Huang Hui's note in LH 'Ming yii' 45, p. 671, Forke (1907--11), vol. II, pp. 335f. [See passage (i) in the addendum below.] 7 For the inclusion of a ritual dance, see Lun yu 'Hsien chin' SSC 11.lOb, Legge vol. I, p. 248; Chou li'Nii wu' SSC 26.lOb, Biot (1851), vol. II, p. 104; Li chi 'Yiiehling' SSC 16.3a, Couvreur vol. I, p. 361. ' SHC, SPPY 14.6a, Yiian p. 359, Mathieu (1983), vol.I, p. 544. 9 See Kuo P'u's (276--324)commentin SHC 14, p. 360; Ch'u tz'u 'T'ien wen' 3.5b, Hawkes (1985), pp. 128, 138-9.

Harvard-Yenching Institute Sinological Index Series (d), pp. 286, 1499. A few of these occasions attracted sufficient comment from Han writers to warrant inclusion in the Han shu's treatise on the Five Phases (wu hsing); see HSPC 27B(l).21aff. 11 Hsun-tzu 'Tien lun', p. 228. 12 Chou Ii 'Ssu wu' and 'Nii wu', SSC 26.7b and lOb, Biot, vol. II, pp. 102, 104. 13 HSPC7.5a,HFHDvol. II,p.161 (for81 BC); HSPC25A.38b(for 109 BC); HSPC25B.2b (for 108 BC). It is possible that this ceremony together with other methods featured in a lost work of 26 chuan whose title is entered in HSPC 30. 76a as Ch 'ing yu chih yu; see also CCFL 'Ching hua' 14 HHSCC 5.9b; 6.6b; 6.15b; 7.8b; 7.lOb; and 8.6a. 5.14aff. " HNT 4.8a, with note by Kao Yu (c. 168--212) and l 7.19b. 16 HNT ll.llb; see also HNT 16.13b and 17.la.

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and it seems that the text is referring both to the clay dragons and to the straw dogs - were decorated in green and yellow; they were bound in figured or embroidered silk and clothed in scarlet silk. Officials and prayer readers were dressed in black garments, and counsellors of state wearing their official headdress were in attendance as an escort for the figures. According to one version of the text, once used the figures were discarded as being valueless; possibly they were destroyed. 17 Philosophical or scientific considerations intrude into these matters in an historical reference to Tung Chung-shu; but it is noticeable that as yet he is not said to have made use of clay dragons. According to a passage in the Shih-chi and the Han shu,1 8 in praying for rain Tung Chung-shu 'closed up the openings which would admit the influence of Yang, the energy of the sun, and opened up those orifices which would allow the entry of Yin, the energy of the waters. To stop rainfall he took precisely the opposite steps.' The same principle is inherent in a well-known chapter of the Ch'un-ch'iufan-lu that is concerned with the subject of mutual attraction and thus involves the question of sympathetic magic. The argument seeks to show how like attracts like and repels unlike, in such a way that the Yin and the Yang forces that operate in heaven and on earth correspond with the activation of those Yin and Yang forces that are inherent in man: Anyone who understands this principle and hopes to bring about a fall of rain will therefore put Yin energies into action so as to stimulate Yin; and anyone who wishes to stop rain falling will put Yang energies into action so as to stimulate Yang; and we find that inducing a fall of rain is not due to the holy spirits (shen). 19

It will be shown below how this principle was elaborated. Two further references to clay dragons require attention first. From the Hsu Han chih we learn the following details of the ceremonial procedures of the court that accompanied religious festivals and seasonal changes: In times of drought the senior officials, drawn up in order of seniority, perform the Yii ceremony as a prayer for rain. The Yang openings are closed; the officiants don black silk and set up clay dragons. They erect two rows of earthep.ware figures of dancing youths, which are changed once every seven days in accordance with precedent. The altar of the soil is encircled with bands of scarlet rope and s~arlet drums are beaten. After prayers, they give thanks and sacrifice animals, in accordance with the prescribed rite. 20

From a fragment of the lost works of rationalist philosopher, Huan T'an (43 BC to AD 28), we learn that no less a person than Liu Hsinh (46 BC to AD 23) made use of clay dragons to attract the rain, together with a number of other devices. 21 Liu Hsin was one of the most highly advanced men ofletters of 11

19

21

See the notes to HNT l l .12a ~· SC 121, p. 26, HSPC 56.19b. CCFL 'T'ung lei' 57 .6a. [For a study of the idea of attraction or resonance in the Huai-nan-tzu, 20 HHSCC (tr.) 5.laff. see Le Blanc (1985).] See Pokora (1975), p. 121item129. Other devices mentioned include the use of pitch-pipes, for which see Bodde, 'The Chinese magic known as watching for the ethers', first published Egerod and Glahn (1959), pp. 14-35, 1959, rpt. Le Blanc and Borei (1981), pp. 351-72.


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the day, dying in AD 23, and his precepts and practices were of no small significance in the Chinese tradition. 'When dragons make their appearance', Liu Hsiu is said to have explained, 'winds and rain rise up to welcome and escort them; so clay dragons are made to simulate the phenomenon'. Contemporary opinion and criticism We may now consider two expressions of opinion regarding the use of clay dragons and other means of attracting the rain, first from Wang Ch'ung and secondly from Lang I (ff. AD 132). Usually in his discussions Wang Ch'ung presents a rationalist exposition of a systematic order of nature which is unaffected by personal decisions or the whims of a higher authority, and which is in no way subject to human manipulation. In this instance his reaction is somewhat unexpected. He mentions Tung Chung-shu's attempts to invoke rain on no fewer than seven occasions; in six of these he refers to Tung's use of clay dragons for the purpose, and it would seem that these are the earliest ascriptions of this particular practice to Tung, apart from the possibility that the Ch'un-ch'iufan-lu is earlier. 22 What is remarkable is that Wang Ch'ung on several occasions expresses the view that Tung Chung-shu was perfectly sincere in his belief, and he adds that there were distinct grounds for that belief. In one chapter, Wang Ch'ung adduces fifteen and a further four reasons to support Tung's thesis. The force of the arguments and the tone of the chapter are such that some scholars have called its authenticity into question, in view of the flagrant contradiction with the general principles that Wang Ch'ung enunciates so forcefully elsewhere in the book. However, the authenticity of this particular chapter has been defended by Huang Hui (1935). He suggests that it does not necessarily represent views which Wang Ch'ung held himself, and he credits Wang with including them in the interests of setting out the case fully. 23 Possibly Wang Ch'ung had himself witnessed an occasion when clay dragons had been displayed and a shower of rain had duly followed, and he felt obliged to record reasons for something which, in accordance with his own methods, could only be regarded as a successful experiment. It should perhaps be noted that Wang Ch'ung's account of Tung Chung-shu's practices does not include the details given in the Ch 'un-ch 'iu fan-lu and considered below. 24 Somewhat later than Wang Ch'ung's time, Lang I is reported to have 22

23

24

LH 'Lung hsu' 22, p. 283, Forke (1907-11), vol.I, pp. 356f; 'Luan Jung' 47, p. 691, Forke vol. II, p. 349; 'Kan lei' 55, pp. 787, 790, Forke vol. II, pp.17, 19; 'Ssu wei' 63, p. 889, Forke vol. I, p. 206; 'Ting hsien' 80, p. 1100, Forke vol. II, p. 132; 'An shu' 83 p. 1162, Forke vol. I, p. 465; 'Ming yu' 45, pp. 666, 676, 678, Forke vol. II, pp. 330, 336, 338. See LH 'Luan lung' 47, p. 691, with Huang Hui's note to the title; see also Forke's comment, vol. II, p. 349 note I. Wang Ch'ung does not refer to the elaborate wu hsing associations that are incorporated in CCFL 74; where he does refer to some of the practices that are mentioned here (for example, the burning of shamans: LH 'Ting kuei' 65, p. 942; Forke vol. I, p. 246), he does not ascribe them to Tung Chung-shu.

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mentioned the display of dragons that was practised at court along with other measures that were taken at times of seasonal imbalance. 25 Lang I was a well-known expert in making prognostications, and for noting oracular messages that were conveyed by climatic phenomena (i.e., by the processes known as feng-chiao ). 26 He rejects the measures that he mentions as being quite ineffective and powerless to bring about climatic change such as a shower of rain; forit is August Heaven (Huang t'ien) that controls the balance of the seasons and the changes of climate, which remain unaffected by human deceits, pretensions, or manipulations.

The major context of the practice

The use of earthenware dragons to induce rain to fall may be set in context in several ways. It must be considered along with other measures thought to procure this result, and with other ways in which dragons took part in prayers for rain. In addition the manufacture of clay dragons should be compared with that of other images used for other purposes by way of sympathetic magic. The use of clay dragons is mentioned in a small treatise entitled Tao-yii tsa-chi, compiled by Ch'ien Ch'i, with a prefatory note dated 1545. 27 The work includes an account of a number of incidents in which invocations were offered together with a whole host of other methods. The use of clay dragons is recorded here for as late as the eleventh century. Other devices included the offering of supplications to deities, often of a local type, and the performance of the religious or magical dance known as the 'Steps ofYii' ( Yii pu), as will be observed below. From some of the manuscripts found at Ma-wang-tui we know that the Yii pu took its part among incantations designed to exorcise evil influences that had caused illness. 28 As a means of inducing rainfall, it features in other texts as follows: Specialists from the western regions who are capable of uttering spells and incantations stand at the side of a deep pool and perform the Steps of Yu. As soon as they breathe out, a dragon emerges, floating on the water, measuring'several tens offeet in length. When the specialist breathes out again, the dragon promptly shrinks to a few inches, and it is then collected and placed inside a vessel. There may be as many as four or five and they are fed with water, sparingly. When there is news of an area that is afflicted by drought, the dragons are taken there to be sold, and a single one may fetch some tens of units of gold. When the vessel is opened, a dragon is let loose into a pool. The specialist 25

26 21

HHSCC 30B.14b. For Lang I, see de Crespigny (1976), pp. 98~9. HHSCC JOB. la. For Jeng chiao, see Ngo van Xuyet (1976), pp. 186f and chapter 9 below. The Tao-yii tsa-chi is most easily available in the TSCC reprint from Pai ling hsiieh shan, to which reference is made here. For an account of this evidence, with other means of inducing rainfall, see Cohen (1978). The author of the work, Ch'ien Ch'i, may possibly be identified as a 28 See Loewe (1981), p. 193. person who achieved his chin-shih degree in 1508.


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performs the Steps of Yu once more; as he breathes out, a dragon measuring several tens of feet in length emerges, and shortly the rainclouds rise up from all directions. 29

A further means of inducing the rain to fall was that of exposing a suppliant or shaman to the full heat of the sun, or to man-made fire. A reference to the practice is recorded in China for 639 BC. 30 At a time of severe drought the Duke of Lu proposed to burn a shaman and an emaciated person, but was dissuaded from doing so. Similar practices are cited by Frazer, who writes of the exposure of a deity named Lung Wang near Canton, in 1888, and of the Japanese custom of casting a guardian dog into an arid rice-field, with the exhortation that he should suffer the heat himself. 31 A number of explanations are offered for this practice. Yoshinami 32 suggests that it derived from the self-sacrifice that a ruler was ready to make, by way of propitiation, and that responsiblity for self-sacrifice in times of drought was transferred to a shaman. Elsewhere there is an instance of the same principle, where a local magistrate, being responsible for the welfare of his flock, is alleged to have been ready to make the supreme sacrifice by throwing himself upon a flaming pyre; in this way he would bring moral pressure to bear on a local god so that he would relent and provide rain. 33 The reference to this practice is in a text that is dated after the Han period, but it cannot be said how old the custom may have been or how prevalent it was in different parts of China. Possibly intermediaries were exposed to the heat of the sun, or of a man-made fire, in order to induce them to redouble their efforts at intercession, as a result of personal severe suffering. We shall revert to this practice later. Other methods of bringing pressure to bear on the gods are also recorded. As a first step, their titles were revoked as a means of showing them that they had forfeited the right to such symbols of power and dignity, and that they must take positive action so as to regain them. As a further step, threats could be uttered to damage the precincts of their shrines. If the local gods were still obdurate, their very images could be exposed; and, as a final and desperate step, these images could be smashed. 34 The translation follows the text given in Tao-yii tsa-chip. 8, with some corrections in view of the readings.given elsewhere, for example, TPYL l l.6a, 736.Sa and 929.7b. Possibly the earliest account 1s to be found m the Chin-lou tzu of Hsiao I (Liang Yiian-ti; born 508, reigned 552~5), TSCC ed. 5(10).93. I am mdebted to Mr Matthew Henderson for drawing these references to my attention. 30 See Tso chuan SSC 14.26b, Legge, p. 179, Couvreur (1914), vol. I, p. 327; see also Li chi, 'T'an kung' SSC 10.32a, Couvreur (1913), vol. I, p. 261. For practices during the Shang period see Ch'en Meng-chia (1936), Qin Xigui (1983) and Allan (l 984a), pp. 528f. For a study of expo~ure to heat as a means of invoking a fall of rain, see Schafer (1951). [For literary references to T'ang's willingness to present himself as a sacrifice in order to assuage a drought, see LSCC 9.3b, 4a and HNT 9.Sb, Ames (1983), p. 173.] " See Frazer (1911), vol.I, p. 299 (citing from E. Z. Simmons, 'Idols and Spirits'; Chinese Recorder and Missionary Journal 19, 1888, p.502); see also p.300 for reference to a similar 32 Yoshinami (1978), with reference to LSCC 9.3b. practice in Sicily. " TPYL 529.?a, b, citing from Ch'ang Ch'ii, Hua-yang kuo-chih. 34 Cohen (1978), pp. 247f. 29

150

If dragons were not used in the form of clay models, they sometimes featured as paintings. Wang Ch'ung refers to an early instance of this in the state of Ch'u. Much later, at a time of drought in the K'ai-yiian period (713-41), we hear of an official who had a single white dragon painted on the walls of his office; immediately a dragon arose from the lake and mounted the clouds, and the winds and the rain duly followed. 35 In addition, Frazer gives the following account of the use of an artificial dragon in Japan: 36 In Okunomura, a Japanese village not far from Tokio, when rain is wanted, an artificial dragon is made of straw, reeds and bamboo, and magnolia leaves. Preceded by a Shinto priest, attended by men carrying paper flags, and followed by others beating a big drum, the dragon is carried in procession from the Buddhist temple and finally thrown into a waterfall.

There is also a reference to the performance of a dance with dragons that is of some interest in view of the occurrence of this rite in the Ch 'un-ch 'iu fan-lu, as will be described below. There can be little means of assessing the antiquity of the allusion, and in so far as it ascribes a custom to the remote past, the reference may be suspect as being an anachronism. We read that no less a person than Shen Nung resorted to this device once, when he had suffered a drought that had lasted for nineteen days. In addition to ordering the manufacture of Yellow Dragons, he had an outsize dragon made with which dances were performed by fully grown men. 37 The use of clay dragons may also be compared with the use of images of other types. Reference will follow below to the use of earthenware suns, made as a means of preventing rainfall. We also hear of a stone bull that was used for inducing rainfall. This image stood within a pool to the south-east of the mountains ofYii-lin commandery, in south-west China. At times of drought, the inhabitants would slaughter a bull in order to pray for rain; the bull's blood would be mixed with mud, and the mixture was then daubed on to the back of the stone bull. When the prayers had been completed, the rain would start to fall, and then to pour down, ceasing only when the mud on the stone bull's back had been cleaned off. 38 The motive for this practice was presumably to induce the god to remove something which was both polluted and polluting. The mixture of blood and mud could be nothing but offensive to a deity, particularly if it was placed deliberately on a sacred image; and it could be hoped, or even expected, that 35 36

37

3s



LH 'Luan lung', p. 692, Forke (1907-11), vol. II, p. 349; Tao-yii Isa-chi pp. 7 and 12. Frazer (1911), vol. I, p. 297, on the basis ofR. Lange, 'Bitten um Regen in Japan' (Zeitschrift des Vereinsfiir Volkskunde, iii, 1893, 334f), and W. G. Aston, Shinto (The Way of the Gods), (London: Longmans, Green & Co., 1905), p. 153. Cited by Hui Tung (1697--1758), in a note to HHSCC 5.2b. Tao-yii tsa-chi p. 5; it is not possible to date this reference precisely; a commandery of Yii-lin was founded in Former Han and existed in Later Han.

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the god would take immediate steps to purify the spot. Once more there is a comparable rite in Japan, as quoted by Frazer: 39 Among the high mountains of Japan there is a district in which, ifrain has not fallen for a long time, a party of villagers goes in procession to the bed of a mountain torrent, headed by a priest, who leads a black dog. At the chosen spot they tether the beast to a stone, and make it a target for their bullets and arrows. When its life-blood bespatters the rocks, peasants throw down their weapons and lift up their voices in supplication to the dragon divinity of the stream, exhorting him to send down forthwith a shower to cleanse the spot from defilement.

Finally, the use of clay dragons may be compared with the use of clay bulls, which appear in Han times as a means of welcoming the spring and encouraging the new season of growth. According to a passage of the Huai-nan-tzu, 40 at the annual ceremony of the Great Exorcism, dogs and sheep were sacrificed in order to eliminate evil influence, and clay bulls were set up in order to inaugurate the season of ploughing. In one version of the text, the bulls were accompanied by clay images of ploughmen. Professor Bodde has suggested that this whole rite was a surviving element of a sacrifice of bulls rendered as a means of fructifying the earth. 41 The elaboration of the cult We may now consider the description of the rite for inducing rain that appears in p'ien 74 of the Ch'un-ch'iufan-lu, entitled 'Ch'iu yii'. It will be seen that the rite is set out in a schematic form, with signs of a considerable debt to philosophical principles hardly formalised in Tung Chung-shu's own life-time (c. 179 to c. 104). For this reason it may be supposed that, although the description may call on actual practice, it may have been composed anachronistically (some centuries later), at a time when considerable standardisation had set in. [An assumption that Tung Chung-shu had personally performed the rite is carried in passage (iv) of the addendum below.] The chapter describes the steps that should be taken to procure rain for each of the four seasons of the year and also for the fifth point of chi-hsia, the final part of summer. 42 For each of these five occasions the chapter sets out a list of items of procedure. While the purpose and type of activity is identical (for example, prayer or sacrifice), the details that are prescribed in each of the five cases vary according to the characteristics of the particular season for which 39

40 41

42

Frazer (1911), vol. I, p. 291, citing from W. Weston, Mountaineering and Exploration in the Japanese Alps, (London; John Murray, 1896), pp. 162f. HNT 5.16b, with Kao Yu's note for the specification of dogs and sheep. See Bodde (1975), pp. 20lf. For the manufacture of clay oxen in Later Han, see Cheng Chieh-hsiang (1963). For the need to find a fifth season, so as to accord with the wu hsing, and the solution of this problem, see Bodde (1975), p.192.

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provision is being made. In this way the prescriptions are made to accommodate the major view of the five stages or phases of the major process of birth, death, and rebirth. Thus, the colours of the robes that are worn, the number of the participants in the rite and their age, and the measurements of the dragons accord with the characteristic colours, numbers, and other details associated with each particular phase of the wu hsing. Similarly, certain activities are banned, so as to avoid running counter to the natural features of a particular phase; and the rites are carried out in the appropriate position or quarter of the site.43 The ceremony for spring is the fullest to be treated, including more items than those recorded for the other seasons. It is therefore taken as a basis for the following account of the principal features of the invocation for rain that is described in the Ch 'un-ch 'iu f an-lu. 44 Prayers are offered by the inhabitants of a locality to its deities, which may include the gods of the soil and the grain, and the lords of the mountains and the rivers. A ban is imposed on felling specially named or well-known trees, and on chopping timber from the mountains; this is matched in other seasons by other prohibitions, such as that on raising fire in the autumn. Next, a shaman (or shamaness) is exposed to the heat of the sun. Attention has been paid above to the possible motives for this practice, which attracted the attention of Wang Ch'ung. In one passage he suggests that it was due to the way in which shamans were imbued with Yang and the need to eliminate excess Yang at a time of drought. But Wang Ch'ung seems to question the efficacy of the action, and the explanation may be no more than an anachronistic rationalisation. 45 As the next step, altars were erected at an appropriate part of the site and prayers were offered to other deities of a more universal nature, such as Kung Kung in the spring (outside the east gate) and Ch'ih-yu in the summer (outside the south gate). On these occasions, offerings were made of fish, alcoholic spirits, or dried meat; a specially gifted shaman, distinguished for his or her purity, ability to speak, and powerful delivery, was chosen to recite the prayer of intercession. For three days the shaman would keep vigil and fast by way of preparation. Thereupon, clothed in the appropriately coloured robes for the season (for example, green for spring), he or she would make obeisances and kneel, praying as follows: Almighty Heaven that hath given growth to the five crops in order to sustain mankind, the withering of these crops by drought that we now suffer is such that they are unlikely to grow to their due fulfilment. W c reverently bring out offerings of pure wine and dried meats and twice prostrate ourselves in entreaty for the rain, praying that it may fall in abundance in its due season. For the correspondence of various categories so as to suit the wu hsing, see SCC vol. II, 44 CCFL 74.5bff. pp. 262f. ., LH 'Ming yu' 45, p. 664, Forke (1907--11) vol. II, p. 329, and LH 'Ting kuei' 65, p. 943, Forke vol.I, p. 247. 43


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The next part of the ceremony took the form of the dance of the dragons. These were fashioned in varying sizes, with one major dragon set up at the centre of the site and several minor ones being arrayed in one of the four quarters. The size, number, and colour of the dragons, and other details, were specified as follows for the five occasions of the year: Spring

Length of major dragon (feet) Number (length) of minor dragons

80

7 (40ft) Colour of major dragon green Position of minor dragons east Direction faced by major and minor dragons east Interval between minor dragons 8 ft

Summer

70

Midsummer

50

Autumn

90

Winter

60

6 (35 ft) red south

4 (25 ft) yellow south

8 (45 ft) white west

5 (30 ft) black north

south

south

west

north

7ft

5 ft

9ft

6 ft

It will be noted that for midsummer the position specified for the four acolytes of the yellow dragon was at the south of the site, and not, as might have been expected, at the centre. Possibly this detail may imply that the central part of the site was too confined to accommodate the dance, which was regulated by precise prescriptions. It was performed by eight youths in the spring, seven able-bodied men in the summer, five adults in midsummer, nine widowers in autumn and six elderly men in winter. Prior to the dance, all the performers would fast for three days, after which they would don robes of the appropriate colour for the season. Specially designated officials, such as the overseer of the fields (t'ien ssu-fu) were commissioned to set up the dragons for the purpose. As the dragons were presumably designed to play a mobile part in the dance, it is to be assumed that they were made ofa flexible frame, covered with a coloured fabric. One scholar, however, assumes that these large models were of earthenware, but this is unlikely. 46 In addition to the difficulty of manipulating such models in an active dance, the specific use of clay dragons is mentioned separately, later in the text of the Ch 'un-ch 'iu fan-tu. Moreover, as far as may be known, no surviving remnants have been found of models of dragons that could have been made to such a size for this purpose. [Very long dragons made of bamboo frames dressed in textiles and illuminated internally are skilfully and speedily manipulated in accompaniment with the dances of certain exorcist rites even now.] At the next stage of the rite holes are dug in the shrine dedicated to the soil so as to connect with watercourses that lie outside the gates of the village. 46

De Visser (1913), p. 115.

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Thereafter frogs are collected and deposited within the shrine dedicated to the spirit of the soil, being introduced into tanks that were prepared carefully, with due account of the numbers appropriate to the season. For spring, summer, and possibly winter, five frogs were collected. They were set in tanks made to measure for each season, being respectively eight, seven, five, and nine feet square for spring, summer, midsummer, and autumn; for the winter the text merely writes 'as in spring'. Each tank was to be one foot deep. Frazer draws attention to a widespread connection established between frogs or toads, and rainfall. 47 He suggests a number of explanations, to which may be added the generally held belief that croaking frogs foretell a shower of rain. This is found in a number of sources and cultures. For the Roman world, the belief is mentioned by Cicero, who writes to Atticus (44 BC) 'Besides, I am afraid that it is going to rain, if there is any truth in prognostication; for the frogs have been talking like orators.' He also alludes to the subject in a passage on divination, which was taken up by Edward Topsell in 1608: When Frogs do croak about their usuall custome, either more often, or more shrill than they were wont to do: they do foreshew raine and tempestuous weather. Wherefore Tully saith in his first book of Divination, who is it that can suspect, or once thinke that the little Frogge should know thus much, but there is in them an admirable understanding nature, constant and open to it selfe, but more secrets obscure to the knowledge of men; and therefore speaking to the Frogs he citeth these verses; Vos quoque signa videtis aquai dulcis alumnae, Cum clamore paratis inanes fundere voces; Absurdoque sono fontes et stagna cietis. In English thus:

And you 0 water-birds which dwell in streames so sweet, Do see the signes whereby the weather is foretold, Your crying voyces wherewith the waters are repleate, Vaine sounds, absurdly moving pooles and fountaines cold. 48 The same belief may be noted in other parts of the world, such as Africa; 49 and the connection between frogs and wet weather appears in a charming folk-tale from Korea, whose text is given in the appendix below. The rite proceeds with offerings, fasting, and prayers. For the spring ceremony, three year old cocks and three year old pigs are chosen and burnt at 47 48

49

Frazer (1911), vol. I, pp. 292f. Cicero, ad. Att. 15.16b 'equidem etiam pluvias metuo, si prognostica nostra vera sunt; ranae enim p11wpevo1Ju1v'; see Shackleton Bailey (1967), pp.104-5; Topsell (1608), p. 183; Cicero, de divinatione I. ix (translation by William Armisted Falconer, in the Loeb Classical library, XX, Cicero, 238-9). Virgil mentions the croaking offrogs as a sign of impending rain, along with the behaviour of cranes, who fly before it, heifers who gaze up to the skies in hopeful expectation, and swallows who flit round the pools of water (Virgil, Georgics I, 378 'et veterem in limo ranae cecinere querellam'); see also Pliny, Natural History XVIII, 87. For the belief in the frog's capacity to affect rainfall, as held in certain parts of Africa, see the entry 'Rain frog' in Burton and Burton (1969), vol. XIV, pp. 1905-

155

the shrines of the four quarters. Orders are given to close the southern gate of the settlement or village and water is placed outside; the northern gate is opened. One of the pigs is placed outside the northern gate and another in the market-place, and at the sound of the drum's beat their tails are set alight. The ceremony for summer was similar, but no prescriptions are given for midsummer, autumn, or winter. In the spring, unburied human bones are collected and buried. The belief here would seem to be that unburied bones suffer unduly from rainfall and are wont to complain so vociferously that the souls which once inhabited them intercede with higher authorities so as to prevent further showers. Burial of the bones would preclude such suffering and the need for intercession, and a possible cause of drought would be eliminated. 50 The final steps for the spring include opening the springs on the mountains and collecting firewood, which was then set alight. All obstructions to free passage at bridges are removed and blocked watercourses are freed. Ifby then the rain has happily begun to fall, further offerings are made of a pig, wine, salt and grain; and finally mats are woven of thatch: on no account should this be severed. The chapter of the Ch 'un-ch 'iu fan-lu ends by specifying two observances which were to be kept for each of the four seasons. On appropriate days, dragons were to be made from pure clay and exposed; and married couples, whether officials or commoners, were to mate together in sexual intercourse. This final injunction can readily be explained as a means of inducing natural harmony between Yin and Yang forces, and thus procuring the seasonal fall of rain. 51 It may be contrasted with injunctions found elsewhere to abstain from sexual intercourse at the vernal equinox and at the summer and winter solstices; these last two occasions were characterised as times when Yin and Yang were in active contention to achieve dominance. 52 Methods of preventing rainfall

Following the section whose content is summarised above, the Ch'un-ch'iu fan-lu includes a section which is entitled 'Chih yii' (no. 75), 'Stopping the rain'. In some editions of the book the text is in a defective state, and different passages have been inserted by various editors by way of reconstruction. The following account is based on the version which is printed in Su Yii's edition. 50 51

52

See de Groot (1892--1910), vol. III, pp. 918f. See Derk Bodde, 'Sexual Sympathetic Magic in Han China', first published 1964, rpt. Le Blanc and Borei (1981), pp. 373--80. The Ssu min yiieh ling provides that this should be avoided for five days before and five days after the vernal equmox, summer solstice and winter solstice; no proscription is included for the autumnal equinox. A n?te to the prohibition for the vernal equinox suggests that it was mt_ended to avmd the buth of deformed children. See Shih Sheng-han, Ssu min yiieh ling chzao-chu2: 5, 5:6and 11: 1(pp.220, 44and 71); translated in Hsu Cho-yun (1980), pp. 218, 222 and 226.

T 156


In cases when the rainfall is excessive, officials of the county or locality make earthenware suns with which they stop up the channels; they cut off the watercourses and cover over the wells. Women are forbidden to travel or to make their way to the markets, and the shrines dedicated to the soil are all cleansed. Officials of a rank and dignity suitable to each locality then fast for three days. They all don robes coloured appropriately for the season and make offerings of pigs, grain, salt, and wine to the shrine. The drums are beaten for three days, and prayers are then offered with suitable obeisances, ending with the following invocation: Heaven that has created the five crops to sustain mankind is now pouring down a surfeit of rain, such that the five crops are not in harmony. We reverently proffer our fattened animals and pure wine and thereby ask the divine powers of the shrine favourably to cause the rain to cease, that the people may be relieved of suffering. We ask that Yin be not allowed to destroy Yang, for if Yin destroys Yang, there remains no accord with Heaven; and it is the constant will of Heaven to bring benefit to man.

Intimation to the shrine of man's desire to bring the rain to a stop is accompanied by the drum but not by human song, and it is only when the procedures have been carried through to the end that they are brought to a close. 53 The Yang openings, i.e., the gates on the south side, are opened and the Yin openings are closed, so as to shut off the waters and admit the heat or fire. The shrine is surrounded with ten circlets of red silk, and [the officiant] wears red clothes and vermilion headgear. There may possibly be records of the use of red silk for this purpose by officials who were ordered to stop the rain by this means, during the reigns of Wu-ti (141--87 BC) and Ch'eng-ti (33--7 BC). 54 In addition, the chapter of the Ch 'un-ch 'iu fan-lu next includes a factual account of an attempt to stop the rain by the methods that have been described. This is dated precisely to a day corresponding with 10 November 134 BC, when we are told that [Tung] Chung-shu, chancellor of the kingdom of Chiang-tu, 55 notified some of his subordinates that rain had been falling to excess, with the consequent fear that the crops would be damaged. He therefore enjoined them to prevent the rain, by carrying out the ceremony of preventing Yin and arousing Yang. Written notification was duly sent to seventeen counties and eighty detached districts, and orders were given to forbid womenfolk from going to market. In the market, people were not to proceed to the wells, which were to be covered so as to prevent overflow. The procedure of beating drums and sacrifice was to follow, and the prayer whose text has been quoted above was to be recited.


I

Within five days the notification had been duly received at all the subordinate offices and immediate steps were taken to order the local officials to proceed to the shrine. They were to carry out these procedures ending only at the hour of hsia pu, 56 and after three days they were brought to a close. Before three days had passed the skies had cleared and the rain had stopped. The procedures laid down for stopping the rain were far less elaborate than those for inducing it to fall, and far less subject to the regularisation imposed by deference to the wu hsing frame of mind. In addition, the account of an incident, seemingly dated correctly, in which Tung Chung-shu was personally concerned, adds some degree of veracity to the authenticity of the text, whose defective state may be a further reason why it can be accepted as being free from later correction or amplification. Possibly it may be concluded that while this section has been free of later elaboration, the previous section, on inducing rainfall, includes material of a time later than Tung Chung-shu. Conclusion

The evidence that has been examined includes elements of early Chinese belief and mythology. In areas where the gift of seasonal rain, the danger of drought, and the calamity of flood were of paramount importance, it is hardly surprising that the subject features with such prominence, and that the dragon cult formed but one element in a variety of practices. It may also be seen how the elaborate procedures bear the imprint of a sophisticated mode of thought and a desire to conform with its principles. A similar process wherein the intellect has imposed its own categories on acts of faith or instinct may be observed in connection with divination. 57 Nevertheless, the evidence remains as a remarkable example of the practice of sympathetic magic in early China, whose continuity may be witnessed today. It may be seen, for example, in the dragon dances performed for theatrical purposes by actors from Ssu-chuan; in the annual ceremony that takes place in Nagasaki, as a survival of Chinese influence; and above all the Dragon Boat festivals that have been regularly enacted in south China. 58 Appendix 59

Once upon a time there lived a green frog who would never do what his mother told him. If she told him to go to the east he would go to the west. If she asked This was the ninth of the twelve hours into which the period of day and night was divided. See Loewe (1967), vol. II, p. 20. 57 See Loewe and Blacker (1981), pp.40f; and Loewe (1982), pp.91f. " See Schneider (1980), p. 148. In recent times actors from Ssu-ch'uan have performed the dragon dance as a finale to a theatrical display (for example, at the Dominion Theatre, London, in July 1981). 59 I am grateful to Routledge and Kegan Paul Ltd for permission to reprint this tale from Zong In-sob (1952), pp. 34-5. 56

" Alternative rendering: 'Only when the procedures have been carried through to the end does the rain stop'. 54 See passages (iv) and (v) that are cited in the addendum below, and Otto Franke (1920), Zweiter Tei/, pp. 268f. " See HSPC 14.14b for the succession of kings of Chiang-tu, which existed from 153 to 121 BC, and again from AD 2 for five years, under a different title. For Tung Chung-shu's appointment as chancellor, see HSPC 56.19a.

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him to go up the mountain he would run down to the river. Never, never would he obey his mother in anything. At last his mother grew very old, still worrying about her son's future. At last she fell ill, and realised that she was about to die. So she called her son to her bedside and said to him, 'My dear son, I shallnotlivemuchlonger. When I die do not bury me on the mountain. Do you hear? I want to be buried by the river.' She meant of course that she wanted to be buried on the mountain, for she well knew her son's perverse ways. Very soon afterwards she died. Then the green frog was very sad and wept bitterly. He repented of all his misdeeds in the past, and made up his mind that now at least he would do as his mother had asked. So he buried her by the riverside. And whenever it rained he worried lest her grave should be washed away. He used to sit and lament in a mournful voice. And to this day the green frog croaks whenever the weather is wet.

Addendum A few fragments of the Han chiu i, which is ascribed to Wei Hung (first century AD), lend corroboration to some of the suggestions that have been made above. The mention therein of some of the details that are included in the essays of the Ch 'un-ch 'iu fan-lu is of particular interest in view of the doubts regarding the authenticity of that text. The passages are assembled together in the short collection Han chiu i pu i B, in Han kuan liu chung (B 4a--5b) and Han kuan ch'i chung (B 6a-7b).

(i) Citedfrom T'ai-p'ing yii-lan but not found therein

159

(iii) Hou Han shu chi-chieh (tr.) 5.3a, note by Liu Chao

This passage, which appears to be defective, seems to refer to a drought or droughts which occurred during the Yiian-feng period (110-105 BC). These are recorded for the summer of the fourth year ( l 07 BC) and the autumn of the sixth year (105 BC); see HSPC 6.28b and 31a, HFHD vol. II, pp. 94, 98. The meaning is far from clear, except for the statement that prayers were not offered at certain seasons. (iv) T'ai-p'ing yii-lan 526.3a, with a slightly different text in Su Yii's note to CCFL 'Chih yii' 75.13a

The first two characters of the passage, for which no translation is offered, are regarded as being corrupt. ... first year, the scholars and professionals (ju shu) submitted a suggestion for the performance of Tung Chung-shu's request for rain. For the first time the chancellor and subordinate officials were ordered to pray for rain. There was a violent snowstorm south of the city wall. Dancing youths and girls prayed to Heaven, the holy spirits and the Five Powers. In the fifth year 60 orders were first given to all offices to [pray] for the rain to cease. Scarlet ropes were bound to encircle the shrine dedicated to the soil, the drums were beaten and it was struck. 61

( v) Hou Han shu chi-chieh 5 ( tr.) 3a note by Liu Chao

In the sixth month of the second year 62 of Ch'eng-ti, for the first time the various offices were charged with the duty of praying for rain to cease. Scarlet ropes were bound so as to encircle the shrine dedicated to the soil, the drums were beaten and it was struck. Thereafter water and drought were constantly out of balance.

It is in the summer, when the Dragon star (Lung hsing) is seen, that the yii

ceremony is first performed. The text continues with details of the Lung hsing, also termed Ling hsing, some of which are recorded in (i) The So-yin note ofSsu-ma Chen (early eighth century) to Shih-chi 11, p. 16; and (b) the Cheng-i note of Chang Shou-chieh (Ji. 737) to Shih-chi 12, p.43.

(ii) Hou Han shu chi-chieh (tr.) 5.lb, note by Liu Chao

(Ji. 502--20)

In the prayers for rain, the superintendent of ceremonial (T'ai-ch 'ang) prays to Heaven Earth the ancestral shrines, the shrines dedicated to the soil and the crops, the mo~ntains and the rivers to beseech blessings, in each case in a manner like the rite of the regular sacrifices. The text continues with prescriptions for the timing or repetition of the rite, from the fourth month onwards.

60

61 62

Su Yii suggests reading ch'eng nien rather than wu nien. Su Yii reads chub in place of kung•. This is given as the third year in T'ung tien 43 (Li 3), p. 249B, and in the Chung-hua shu chii punctuated text of the Hou Han shu, p. 3120. In his note to Liu Chao's commentary, Hui Tung (1697--1758) cites a north Sung version which reads fifth year. The order that is mentioned is not recorded in Han shu eh. 10. If the date is to be taken to refer to the years of Ch'eng-ti's reign, as enumerated from his accession and without specification of a nien hao, the year in question would have been 31, 30 or 28 BC. None of the nien hao that were adopted under Ch'eng-ti remained in force for more than four years, and the reading of the fifth year may perhaps be questioned. However, there is reason to show that on some occasions obsolete terms were still used, possibly because orders to adopt the new one had not been fully circulated; see Loewe (1959), 31 Sf, and ( 1967), vol. I, p. 136 note 27, and vol. II, p. 73 note 4.

Divination by shells, bones and stalks

8 Divination by shells, bones and stalks during the Han period

Sources of information

~ ' i

Our knowledge of divination by means of shells and bones (pu) during the Han period is bound by completely different considerations from those that affect earlier times. For the Shang-Yin and earlier ages, research depends almost exclusively on the material remains of the process .itself;. there is no s~pp~rt from contemporary documentary evidence compiled e1~her to. desc~1be its mysteries and forms, or to record in chronicle form inc1den~s m which the process played a part. For the Han period, while archaeologists have yet to identify examples of shells or bones actually use.d for the purpo~e and inscribed accordingly, it is possible to call on a considerable body of hte.rary evidence, dating from both pre-imperial and imperial times, and at times scattered among different texts. . . For sources that were compiled in their original form before the impenal period, attention focusses on the various compendia o~ Ii, w?i~h a.re concerned not only with the use of bones and shells, but also with d.iv!nat10n by stalks (shW); there arises the immediate difficulty of determmmg how far .the references in such books may be taken as having a bearing on ~he Han per10~. For while these texts purport to describe the practices o_fthe kings of Cho~, it is only too likely that at times they may ~~ referrmg to l~ter ~ractice, continuing even into the imperial age. In add1t10n, the respect m which such books were held during Han times was such that. they ma~ v.:en have constituted a framework within which much of official Han thmkmg took place. . fd' · · b When the compendia on li were being written, 1 the practice o 1vmat10n Y shells or bones was already at least a thousand years old, and the use of~arrow stalks was not much younger. Some measure of stylisation had long smce set in, with a rigorous set of procedures taking the place of the sp?nt_aneous actions and reactions of a seer. It may even be suggested that by this time the original motives for the practice had become outmoded, and that much of the 1

For authorship and history of the four principal texts, i.e., Chou Ii, I Ii, Li chi and Ta Tai Ii chi, see the entries in Loewe (1993); references given below for the first three of these texts are to SSC.

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procedure was being conducted without an understanding of its purposes. In such circumstances the force of a written set of rules for the ritual may well have acquired an overwhelming and disproportionately high influence, whatever the motive may have been for the compilation of such documents. Possibly the rules and procedures were set down in writing as a means of asserting the permanent nature of certain considerations that transcend the ephemeral lives and rule of individual men. Possibly the books on Ii were intended to form a defence of certain aspects of human behaviour, on intellectual grounds; possibly they were compiled as handbooks for consultation, or to ensure the maintenance of orthodox procedures and ceremonies. Whatever the dates may have been when the compendia on Ii were originally written or reached their present form, the terms of reference and the technicalities that they describe partake of the pre-imperial age, and it must remain open to question how far this may have been due to deliberate anachronism. We cannot tell how far these books were describing practices that had never been operated; or procedures that had long become obsolete; or rites that survived from the Chan-kuo period until Han times. It may however be concluded that they formed an integral part of the background to Han thought, perpetuating a tradition that affected the training and intellectual outlook of Han officials. Recognition of the importance of these texts is seen in their inclusion among the Five Classics, and the appointment of Academicians to specialise in their exposition (136 BC), and in the citations that appear from time to time in statements attributed to officials. 2 If an analogy may be risked, it may be asked whether the influence of these classical or scriptural texts was in any way parallel with that of the ritualistic portions of the Old Testament in Victorian England. Attitudes may well have varied from fundamentalist acceptance to criticial scepticism or rejection; but at each extreme, the texts bore great intellectual significance. Sources which date from the imperial period include two chapters of the Shih-chi, each with an appended supplement by Ch'u Shao-sun (?104-?30 BC). 3 Chapter 127 sets out to vindicate the profession of diviners and their standards of honesty. Chapter 128 gives a short historical note on the practice, followed by a considerable body of technical information concerning the qualities and properties of turtles, and a few anecdotes. The chapter also includes catalogues of the types of crack that appear on the shells during divination and the types of question that may be put to this source of occult wisdom. Records of actual incidents of divination, or of regular occasions for its performance, occur in the Shih-chi, Han shu and Hou Han shu. References to the officials whose duties were concerned with these practices and with the use of stalks are seen both in these works and in fragmentary texts such as the Han 2

3

For the relevance of these books to Han times, see Bodde (1975), pp. 7, 15, Tjan Tjoe Som (1949-52), vol. I, pp. 82f and Fujikawa (1968). For Ch'u Shao-sun, see Pokora (1981).

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kuan. 4 In addition, the extent of criticism, usually adverse, to which the practices gave rise suggests that they were matters of regular occurrence which thinking minds could not ignore. Such criticism is seen, for example, in the Huai-nan-tzu, Yen-t'ieh fun, Han shu (Chapter 30), Lun-heng and Ch 'ien-fu fun, and in the writings of Chung-ch'ang Tung (c. 180-220); they are thus spread in time from perhaps 150 BC to AD 200.

The powers of the turtle and the yarrow stalks: faith in the practice Some of the available evidence suggests the existence of a deep-rooted belief in Han times that divination by turtle shells 5 or stalks was an ancient traditional practice, and that it was the continuation of an age-old hallowed rite. In discussing the stress placed on various forms of religious observance, the Li-chi6 refers to the reliance that the kings of old had placed on divination~y these means, and there are similar references in the Shih-chi. In one passage tli,e latter text mentions that the holy kings of the past had always performed this. precautionary rite before establishing their regime, accepting their charge 1Q rule or initiating amajorproject. 7 At a later stage we hear of a senior official of government citing such examples by way of admonition. This was when Fu Chan, appointed minister of finance (Ta ssu-t'u) shortly after Kuang-wu-ti's accession (AD 25), was advising the new emperor of the dangers of personally leading a campaign against a rebel. Fu Chan drew specific attention to King Wen's example of divination by both methods in comparable circumstances. 8 In an important passage, the Li-chi refers to the powers of the shells imd the stalks as instruments which may communicate the will of the holy spirits of heaven and earth. 9 Elsewhere the same book refers specifically to the way in which the rise or fall of a state may stand revealed in these objects' signs; 10 as this passage occurs in the 'Chung-yung' chapter, its message found a prominent place in the regular curriculum of Chinese education during the imperial era. A reference in the Ta Tai li-chi 11 points out that the powers of prognostication that the turtle, the most refined of all creatures, possesses depend on the application of fire. In regulations for setting out items of equipment or other goods for banquets, or those brought as items of tribute, the turtle was sometimes given priority, owing, it 'was claimed, to its gift of prior knowledge. 12 In a completely different type of writing that may well date from pre..imperial times, turtles are cited as possessing prophylactic powers against deafness or curses. 13 • See the collections in Han kuan 'ch'i chung and Han kuan /iu chung. ' For the identification of kueib as turtle, see Keightley (1978), pp. 8f, 157f. • Li chi 22.16b, Couvreur (1913), vol.I, p. 525. 1 SC 128, p. 2; see also SC 127, p. 8. ' HHSCC 26.2a. •Li chi 54.26a; Couvreur (1913), vol. II, p.510. 10 Li chi 53.4a; Couvreur (1913), vol. II, p.462. " Ta Tai Ii chi 58 'Tseng tzu t'ien yiian', SPTK 5.8b. 12 Li chi 24.14a and 25.12a; Couvreur (1913), vol. I, pp. 568, 578. " SHC, SPPY 1.2b and 5.36b (Yuan, pp. 3, 168); Mathieu (1983), vol. I, pp. 7, 345.


163

A number of references may be found in Han writings to the belief that the turtles' ability to prophesy depends on their great age and their accumulated store of wisdom. A general statement in the Huai-nan-tzu explains that turtles are used for prognostication and that other types of bone are not used for this purpose, owing to the turtles' longevity; elsewhere in this book this is stated to extend to 3000 years. 14 In a note to the Li-chi, Liu Hsiang• (79-8 BC) is recorded as remarking on the age of turtles' utterances, and adding that thev acquire numinous powers (ling) after living for 1OOO years. 15 The same reaso; is cited in the Lun-heng, in an answer given by K'ung-tzu to Tzu lu, and again in the Po-hu t'ung. ' 6 The Shih-chi writes that turtles with divine (shen) powers are to be found in the w~ters of the Yangtse River. They are taken alive regularly each year in Lu-chiang commandery; as many as twenty specimens measure one foot and two inches, such a length being attained only after 1OOO years; while those of a ~ere seven or eight inches, when caught by the local inhabitants, are prized h1ghly. 17 Another passage adds that the inhabitants of the Yangtse region regularly breed turtles and consume them in the belief that they are able to induce the onset of vital energy (ch'i•), and that they are beneficial for problems of decrepitude and old age. 18 That considerable importance was attached to the acquisition of turtles may be seen in the injunction to fishermen to catch them, as specified for the last month of summer in the Ordinances of the Months ('Yiieh ling'). 19 Turtles, or creatures that resemble them, are credited with somewhat different forms of power in an early source which draws on folklore. Such references ~ill be found in the first and fifth chapters of the Shan-hai ching, pa~ts of which have been ascribed to the end of the fourth century BC, but which perhaps reached their present form towards the end of the Former Han period. Two passages mention a particular type of animal like a turtle which may be worn as a prophylactic against deafness and calluses; another creature may be used as a preventative against fire. 2 ° Consumption of parts of a special type of three-legged turtle will act as an antidote for major diseases and tumours; consumption of parts of another three-legged turtle, described as pieh, will provide protection against imprecation or disease. 21 In some of the passages that are cited above the divine powers of the yarrow plant are explained by the same reason as that given for the turtle, i.e., its age. 1• HNT 14.8b and 17.Sb. " Li chi 3.15b; Couvreur (1913), vol.I, p. 61; for the value of those turtles imbued with ling as against others, see HNT 16.12a; see also CCFL 'Feng pen' 9.lla. 16 L!f 'Pu shih', 71, p. 995; Forke (1907-·11), vol.I, p. 182; PHTB ('Shih kuei') 16b (6.4a, b); Tjan 17 SC 128, pp. 9, 10. 1s SC 128, p. 6. 19 TJ.°e .Som (1949-52), vol. II, p. 523. L1chi16.9a; Couvreur (1913), voLI, p. 367; LSCC 6.lb; HNT 5.Sb; see also Chou /i4.20a; Biot (1851 ), vol.I, p. 90. 20 SHC, SPPY l.2b, 5.15a and 5.43b (Yuan, pp. 3, 138 and 177)· Mathieu (1983) vol I pp 7 ' ' . , . ' 282, 367. 21

SHC: SPPY 5.19b and 36b (Yiian, pp. 144, 168); Mathieu (1983), vol.l, pp. 295, 345; for the practice of ku, see CC eh. 2.

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However, the multiplicity of stalks stemming from the single root together with the length of the stalks forms another reason why the plant is credited with special characteristics. Both the turtle and the yarrow feature in a passage which was added to the Shih-chi by Ch'u Shao-sun and wherein a considerable degree of folklore and tradition surround their mysteries. Ch'u Shao-sun reports 22 that among the records that he found in the office of the director of divination (T'ai pu) he came across the statement that 'below there is the pine-root (ju ling), 23 above there is the dodder (t 'u ssu); 24 above there are the massed yarrow stalks, below there is the holy turtle'. He explains the term fu ling as something lying below the dodder plant, being shaped in appearance like a bird in flight. When the new rain has ceased falling and the skies are clear and calm without winds, the dodder is cropped by night and removed. The area is forthwith illuminated with the use of a fire-basket, and at the moment when the flames of the fire-basket are extinguished the spot is marked and surrounded with forty feet of new cloth. At dawn the spot is immediately excavated to collect the/u ling. This is found after penetrating to a depth of four to seven feet, but it will not be found at a depth ofoverseven feet. Ch'u Shao-sun continues: The ju ling is the root of the thousand-year-old pine tree. Eat it and you will not die. I am informed that below those yarrow plants which produce their full hundred stalks there will inevitably be a holy turtle on guard. On top there will invariably be blue clouds as a cover. Traditionally it was said that when the world is at peace and the way of true sovereignty is being practised, the yarrow stalks grow to a length of ten feet, and the luxuriant plant will produce its full hundred stalks. But those who collect the plant nowadays are not able to attain the standard of the past. Those who cannot find plants with a hundred stalks ten foot long even find it difficult to get them with eighty stalks eight foot long. Members of the public who like to have recourse to the lines of the hexagrams collect plants with sixty stalks or more measuring six feet and find that they are fit to be used.

Ch'u Shao-sun quotes the saying that material wealth will fall to those who procure the named (or famous) turtles; their families will invariably grow to be very rich, to the extent of a fortune up to ten million. The names of the eight famous turtles are then given, following major elements of the universe that are usually seen in the heavens, i.e., the turtle of the north dipper, the south pole, the five stars, the eight winds, the twenty-eight lodges, the sun and moon, the nine regions, and finally the turtle of jade. 25 'In each case the turtle's pattern comprises written signs beneath the plastron; the message that the written signs convey gives the turtle its designation and I have simply summarised what is indicated without copying the pattern.' After citing examples of other objects of great value, the text proceeds: 'Whoever succeeds in finding the hundred stalk yarrow plant, and of acquiring it together with the turtle below, and uses these objects for purposes of divination will be correct in 22 25

23 Literally hidden or latent magic. SC 128, pp. 7f. SC 128, p. 9; in some texts this is given as king's jade.

24

Literally hare's silk.

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all his pronouncements such that he can determine good or bad fortune.' From these considerations it may be suggested that the value of the turtles ~nd their particular qualities was linked with the idea of permanency, as seen m the turtle's own age and the connection with the heavenly bodies, whose lives outlast those of generations of human beings. The source of truth, the vehicle for divination must be seen to transcend the brevity of human life, and it will be found in creatures believed to live longer than any others, named after the most permanent objects that man encounters. The turtle both _contains an accumulated store of knowledge and wisdom, and may be viewed as a timeless source of truth that stands above human transience. While there are hints of a hierarchy whereby divination by turtle-shells was regarded as being superior to that by yarrow-stalks, the evidence is somewhat conflicting. According to one passage, 26 while the Son of Heaven does not divine with stalks, the leaders of the states (Chu hou) do so; but they do not use the stalks when they are outside their own states, except when they are determining a place of residence. The statement that the Son of Heaven does n,g_tuse turtles to determine the situation of the ancestral shrine is explained on the grounds that he has already carried out divination by this means in order to establish the seat of his kingdom. From the foregoing references it would appear that divination by turtle had acquired a higher place than that of yarrow stalks. In the Chou Ii however we may read that 'for major decisions of state, divination should be done first by stalks and then by turtle shells'. 27 The I-Ii includes detailed prescriptions for divination by turtle to determine a suitable time for burial; there follow the rules laid down for the use of stalks to determine the appropriate place for burial. 28 Officials concerned with divination

In describing the needs and purposes of the religious observances of the kings of old, the Li-chi notes how those sovereigns would be preceded by the shamans, with officials responsible for astrology following behind; and they would be accompanied on all sides by diviners who operated with both shells and stalks, and by musicians and their supporters. In another passage, specialists with the use of shells are mentioned in the same category as specialists responsible for prayer, archery, riding and medical care. 29 The Chou li includes a regular establishment of officials or dignitaries whose duties were concerned with divination. They are set out in hierarchical manner alo~~ with other officials who \\'ere responsible for other types of religious act1v1ty (for example, music, sacrifices, funeral ceremonies), under the general 26 27

28 29

Li chi 54.27b; Couvreur (1913), vol. II, p. 512. Chou Ii 24.24a; Biot (1851), vol. II, p. 81. For the relative trust to be placed in the shells and the stalks, see Shang shu ('Hung fan') SSC 12.17aff., Karlgren (1950b), p. 33. I Ii 37.lSb, 17a; Steele (1917), vol. II, pp. 73, 75; Couvreur (1928), pp.474, 477. Li chi 13.7a, band 22.17a; Couvreur (1913), vol.I, pp.304, 526.



166

title of 'Offices of the Spring' .30 The director of divination (T'ai-pu) was supported by two counsellors (Ta-Ju), four masters of divination (Pu shih); eight diviners (Pujen) of middle rank and sixteen diviners of lowest rank; two store keepers (fub); two scribes (shiha); four assistants (lzsub) and forty attendants (t'ub). In addition there were two officials designated 'turtle men' (Kuei jen), supported by two store keepers, two scribes, four craftsmen (kungb), four assistants and forty attendants. There was also a comple~ent of two Chui Jen, with one scribe and eight attendants, who were responsible ~or burning the necessary materials, and eight prognosticators (Chan }en), with their supporting staff, who were concerned with divination and its results both by means of turtle shells and yarrow stalks. For the specific use of yarrow stalks, the text lists two specialists (Shihjen) supported by one store keeper, two scribes and eight attendants. There is no immediate or certain means of relating this highly idealised establishment to the actual practice of the centuries before the imperial era, but it can hardly be expected that the account is entirely realistic. While the passage may owe something to the Chinese addiction for hierarchical schemes for the organisation of man and his affairs, it may possibly also refl\:<;t_a rs:al characteristic of the arrangements that were sometimes made, i.e., a duplication of participants in the ceremonies, in order to prevent abuse or the exploitation of mantic practices for ignoble ends. . . A second passage in the Chou li31 is concerned with the duties of these officials. The T'ai-pu was responsible for the three methods of augury (s~n chao), depending on the resemblance of the cracks in the shells to the patterns of jade, pottery or the land. 32 He was also responsible for the three methods of the 'Changes' (i), i.e., Lien-shan, Kuei-tsang and Chou-i. The masters of divination were responsible for 'opening the four auguries of the turtles', i.e., fang chao, kung chao•, i chao and kung chaob. The turtle men were res~o~sib~e for the six varieties of turtle, each with its own distinct name. The specialists m yarrow were responsible for the three methods of the Changes, thereby discriminating between the names of the nine types of yarrow. . . . Information regarding the post of T'ai-pu or T'ai-pu ling durmg irnpenal times is not entirely clear, and the evidence is partly contradictory. In the list of officials that is given for Former Han, the T'ai-pu ling and his assistant (ch'eng) duly feature as subordinates of the T'ai-ch 'ang (superinten~ent of cerem~ nial), who had been known under the title of Feng-eh 'ang until 144 BC. In this list the director of divination is treated in precisely the same way as five other senior officials who were responsible for specialist tasks, i.e., the directors of music (T'aiyiieh ling), prayer(T'ai chuting), butchery (T'ai tsai ling), astrology (T'ai shih ling) and medical care (T'ai i ling). These officials were usually of the grade of 600 bushels (shW). 33 3

° Chou

31

33

Ii 17.12b; Biot (1851), vol.I, p. 409. Chou /i24.10a; Biot (1851), vol. II, pp.69f. HSPC 19A.6b; Bielenstein (1980), p. 19.

32

I.e., yii chao, wa chao and yiian chao.

167

Ac~ordin~ to the descriptive notice in this list the T'ai-pu was first established m 104 BC. 34 A passage in the Shih-chi 35 which refers to the establishment of the T'ai-pu from the beginning of Han was misinterpreted by some commentators to signify that the post had been established at the time of Wen-ti's accession in 180 BC. However, another passage of the Shih-chi refers to Han's inheritance of the office of T'ai-pu from Ch'in; 36 elsewhere we are told that the second Ch'in emperor once (207 BC) summoned the T'ai-pu to p,r~ctise divination wi_th the use of the hexagrams. 37 An unnamed Chiang-chun t az-pu was captured m one of the incidents whereby Kao-ti consolidated his c~nt_rol of the empire in c. 197 BC, but this man presumably did not hold h~s title fro_m the central imperial government. 38 The advice of the T'ai-pu and his subordmates was sought in 90 BC on the question of whether an attack on the Hsiung-nu would be auspicious, and in AD 3 in connection with the position °.r status that should be accorded to Wang Mang's daughter. 39 Acco_rdmg to the treatise on officials in the Hsu Han chih, 40 the T'ai puling (600 shzh grade) was later suppressed, at a date which is not specified, and the post was combined with that of director of astronomy (T'ai shih ling). A fragment of one of the lost treatises on officials of the Han empire includes three specialists on divination with turtles (kuei pu) among the subordinates of t~e. T'ai_ shih ling. 41 These posts and officials are, needless to say, to be d1stmgmshed from the occupation of professional diviner which was open to members of the public. 42

Early writings on divination A further indication of the attention paid to these types of divination by educated men of the day may be seen in the writings known to have existed on the subject at the close of the Former Han period. The bibliographical list that ~s i~clude~ in the Han shu_names a total of fifteen works ~nder the category of Shih kuei ; of these, five included the word kueib in the title. It may safely be assumed that they were concerned with divination by turtle, and they amounted altogether to 158 chuan. 43 One other item, which was entitled Shih 34 37

38

39

:~

42

43

36 SC 128, p. 3. HSPC 19A.7b. " SC 127, p. 2. SC 87, p. 43; Bodde (1938), pp. 52-3. For references to diviners who were apparently not part

of the official establ~shment, see Hulsewe (1985), pp.85, 176-7 (A 94 and D 173). SC ~5, P· 10; ID this somewhat doubtful passage, T'ai pu is taken by one commentator (fakigawa) as the name of a general see also HSPC 41.Sa. HSPC 96B.18b; Hulsewe (1979a), p. 171; HSPC 97B.23a. HHSCC (tr) 25.~a; Bielenstein (1980), pp. 19, 22 and 163 note 66. Jf_an kuan, cited ID HHSCC (tr.) 25.lb (note); Han kuan liu chung la; Ch'en Tso-lung lb· B1elenste1D (1980), p. 22. ' See for example, HHSCC 12.la and 48.4b for examples of individuals who acted aspu hsiang kung. HSPC 30-?3~ff.. The~orksHsted ~re (a) Kuei shu 52 chilan; (b) Hsia kuei26 chiian; (c) Nankuei shu 28 chuan, (d)_ Chu ku~1 36 _chuan; and (e) Tsa kuei 16 chiian. Shen Ch'in-han (1775 832) suggests that_ the mformahon c~ted by Ch'u Shao-sun in his addendum to SC 128 is a summary of the item listed here as Kuez shu, whose length is sometimes given as 53 clu"ian.


169


168

w~ich invol_v~c!.~!!1:!1:;al..Q!"Qhl~tn§_.~J!.cl pri1_1c;i£les; the diviner is ... quoted as explaining that SUCh matb;!rS lay beyond the scope of the turtle and the yarrow. 48 The Huai-nan-tzu refers to divination on a number of occasions, and as that text derived from a collection of a number of authors' writings, it is hardly surprising that the passages are not entirely consistent. The eighth chapter refers to the primaeval state of purity in which conformity with the order of nature assures the regular fulfilment of cosmic cycles. This was an era when the human intellect was not being used for deceitfulPJlIQOSes; there was no resoff fo-a'cnmceoraaysmafwoiil01Je'fortunai~- [;i a pr~p0s~
!_1!gi} nature,

Evaluation and criticism · · d"111g the validitv of divination may be A number of OP!!112}2:sr,e,g~r . practice ,,,.. · ··;and -~~··=:·~· · ~:··--·"· "-·~ ··· ., ..... ,............. d · f the Han nenod and 1mmedu1!e!Y:.Pf,~y1ously. found m hterature_.J!!HULr..
..

s~E.1~~~~-.!§£Q_n.c~m~.......~.-····--:--·",;.-.- ···--·--·"·"·~-·ailcfsi"aiks ~

nature of the.l!lt'.§.Sll..St;i~Jlu.1J.11l~.!!~JmPa,,i:.t~d fiUU:.sheU& . . . . . = i.. · · - .·~_l:>..s~~d.'iJ:i~iL
44

4s

Thefeng-[huang] and the [chz]-lin make their appearance; the yarrow stalks and the turtles bear their signs of augury; honey-dew falls; the bamboo seeds are fully formed; liu-huang jade is found; scarlet plants grow; there is no room for contrivances or deceit of heart and mind. 49

}'he passage wouJd

~~5'.J:rl.~qjgip!yJ):i~!.h~~~n

errorJies in the deliberate

iarrow stalksandtfiefortfes'

a!!_~!!fill!Qg.illgit sources of wisdom, such as the

~hens; when 1eft tqtliemse1~~s)!i~i~i'.i!!:s~()Jit~e~\l~1J'.~i;i-i4:1!9e~ili~fr_i•~ a!l~thc;:r.Q.assage 50

the Huai-nan-tzu describes the value and virtues of a world

·~~~!_neq .~CC.£~~i~i to t~~ 2!"~ii-,C!f ~-~!~!~:;R~e. . ().(2itiiq2~.~£!?.llii:Iv~ii~-~~r·

~competitivs: gr~~tli.,11!. ~E!E!i ..1! . ~~.~t~ of harmony i~ achieved. The passage then traces the 'fall' from the golden age of Huang-ti, itsel(inferior to the order imposed by Fu Hsi. When chaos set in, the balance of nature was restored by the efforts of Nii Kua. At this time all achievements were attained unconsciously and without.E!!~~' the order of nature takiggJhe ili>.filinant oy,~r human intelligence. The neitstage"was seen.in-the enormitie~ and abl:tses

place

i>~~~tj~~ b~~ki11g.Q(Hsi~i:Il.les,e-iesUited ill a~c)112p!§i~foss of harmony.

·an.~ bala119~~-~!lf!t!Jlattl.t~..Q~t:~!1 Mother of the,Wes.t -~tl!~rew her blessings ~ii t~~ c_osmos, by .!_IJ:e deliberate rupture ·of her symbolic headdress. It was iii fillsperiod that excesSTVeusehadbeen nuideofaivliiation~ With tlie result thaf it was gs~ii~,.the-turtles b~ing''sroilt by over use . inthe Huai-nan-tzu 51 refers to divination by turtles and A further stalks as one of a number of professional means of enquiring into the order of nature; the process is mentioned along with comprehension of the principles of Yin-Yang and the Five Phases, watching for the progress made by vital energy (ch'i) and awaiting the movements of the heavenly bodies. The subject

passage

•• Ch'u tz'u 6.la; Hawkes (1985), pp.203f. 49 HNT 8.1 b. For the auspicious nature of the bamboo's production of seeds, see Chin shu chiao chu 28.32a, which records such a rare event for AD 292. Liu huang is explained as jade in Kao Yu's commentary to HNT; elsewhere it is mentioned as a species of bamboo which was of sufficient rarity to warrant annual presentation as tribute (Hsi ching tsa chi, SPTK ed., 22.6a). For chu ts'ao as a plant of good omen, see Ta Tai Ii chi 67 'Ming t'ang' SPTK 9.1 la; HSPC 99A.7b, HFHDvol. III, p. 151; PHTB 'Fengshan' 2b, 3b (5.2b, 3b), Tjan Tjoe Som (1949-52), vol. I, pp. 241, 143, 335 note 330 and p. 341 note 358; and LH 'I hsii' 18, p. 209, Forke so HNT 6.9bff. si HNT 15.2la. (1907-11), vol. II, p. 165.

170

also occurs in the famous chapter of the same work which declares the glories of heaven to be an institution of the order of nature, in contrast with the limited power of human skills. The passage points out that the majesty and might of heaven and earth lie beyond measurement in human terms. It alludes to the invisible power of spiritual beings and forces, along with the practice of prayer and worship so as to seek good fortune, ~!l-~~~~e-~ to ~ri11:!t~bQ.1:!L
· 6&Uiatimt.bY~dls.11:nY

thej!,Ql)r,J
;;:son or ,da,y.(OJ~ .a!!. !!~tis:m.•.tl:l~i!.:EP.=q{!!J£~ri.WJ ~~:Y.f2!.!!:!1:~~~t!l~~~}!· of course carrv it out. 53 . . - _t;.J. _~,__.,.,- •-"''"""'""'""""''""'' • • • The diviners' profession is defended at considerable length man entertaming passage of the Shih-chi. 54 _!his begins by observing that from the remQte past an appeal had always been made to divination by turtles l!,J!.d stalks on the -c;~sions when monarchs rose-tOi)Ower. The practice occurred especially.
when

~

''~··~·'-''--.-,-,,

,e.,,.--.,.-_,-·.,~~,~-~-··'·-'--"'''-'',.,"".,.'"'·"'"'~°'''"'--·-

"by

HNT 20.3a; 'I', SSC 18(1).14a; Karlgren (1950a), p.218. • 3 Li chi 3.18b; Couvreur (1913), voLI, pp. 61-2. •• SC 127 .2a. Different views have been expressed regarding the authorship of this chapter of the Shih-chi (see the commentaries). ss HSPC 4.2a; HFHD vol. I, p. 225.

•2



171

his new visitors with the courtesies due to their position and continued his discourse, ranging from cosmology to astronomy, ethics and signs of auspicious and inauspicious events. The two visitors were somewhat taken aback to realise that they were in the presence of somebody who was worthy of deep respect, and they expressed their surprise at the humble way oflife that he practised. Ssu-ma Chih-chu then expostulated, asking his visitors where their real values lay. They replied by remarking on the low esteem in which diviners w~re generally liela, being believed. to stoop to anYfilmg bywayofflatt~cy-or ·aeceifiiforaer fo promore·111e1r-··0wiiTiiferestsTn'IITs aiiswer-ssu:ma~cii1:cHu . turned the tables. J:Ijt8;lke.d_()rlii,tegnty as a quality belon~~g to men of true worth who do no.!_S.91111?.~2!!!!§.t:: t~~~i valUes or lionour.for the sak~oftakfng ~~ce·~or1iig~~~a.~ing ~h~in.selves wtth i:ile'iillghty:--He beJ~.X~
~~~:vho h~~~~his vi~i.~5'£~'.;re~p~.C:!.'WeE_eJ!!j:~~~i:sgf.~~tti;:ry,a,nd.

~~:~~~~-gt.m&.titerest. J!l. !h!!l!_~~~~~!i. for honours or official stipends they ~~::.n.<:.> ~!!!~rent ftoII1: .~i:n,ed. ro,b hers, beiii£Jeiermfiied to "pursue their own

~.h.J~_<;ttye~_t2..t~~.,~~tE!m~!1LQf tli~. Pl1hlic interest: ·

· · ·· · After som~rther bitter criticisql. the inherent deceit and byJW,crisy oL public life, Ssu-ma Chi-chi turned to the case of the diviners. He said that of necessity i~~y \\feiii"concerne(f"W!th considerations··c,rc-osiiiology, cyclical -~ue~ces and ethical m~tte~~;_!!!.e.Y.1~.t:Q!!2!1nc~_cl,__9n -~~~--~~yantages 5>f a, s1~~t1on.,_~r._~h~f~~!~_ge_Wc.eJy to att.~i;i.d a, prnj~c;t, only aJter in_anipulating. -pi~1r ~I¥s an~-~~~~ ~J:l:~!.fl!ll1~P.ts. It hfl:!!.Jleen_~...fill<;ien!J2!];£tice_gJ kings.iQ consult the. tur~~e ~
of

QLQhgyJl.id

~~~~~~-~,~~!ki-~-~~-~x-~~~~;~E_~~.~~~~~~ifr1§est~-~I1:~. ~9~~~i_g!ltY

.t: n~~.~ ........L!:~QY\..ouJen model.

ng 0.1..Yueh,. :whotookking:Wen.:.~"~·trigrams as....his . . . ..." ..._._,._,.

-s~;-~a Chi-chu then referred to the respect that diviners had for due form. They would deliver their messag~-~!er pe:r,:f2~!!t.i1.1:~ an ~et of purific~tion· ' . an~. after due attention h~d been paid to setting their ceremQ'filiiIIlats·andbefis · ~tr.a~gnt2ff~:~~§l§tileycon1erre
!~;i:f!~:;~~:$.t.~~~~t:rl:~~!~~2 ~r_a.,~g~_!.t.() fiulf1o,!!~:clt~!fiagi~~~~.ffiiglirl5e"~franged. Contnvinghlessinus_ of such .types could qar,
· The_masterc~ntinued his defence of the profession ~~

172

imperfections in the world of nature which had been put right ~y_ the sp~ntaneous reactiOns ()f, for example, the stars; and he Ilotedthe co~t~nu~l rhythm of sun and moon. However, there was no assured permanency in the teachings of the kings of old; in such circumstances i!_}YQ_u,!c,l__§ur~Jy_J?~ misguided to expec~that diviner.s.'. l:ltt(!Jances would. (ll~a,ys l:le(i:~t! oido.uht,._ bntne-othef liandthosewho lived by their wits and their power.of~F_S.1:J:~ent lnptihii~ life ~ever hesitated to cite precedents from the past as ~ l:r1:C.3:!1:£(;[ bringing pressure to bear ontbeirp:ionarchs or. of seekin&to gratify~tb.eiLwiU;,. their road to success lay by way of exagge.i:aJi,on. ~_y~QJ!ln!§tdivirwrs ~~~yed as guides to th.e J>erplexed at1d mentors fortbe foolish, grad~~u-y str1~L~it&~I their sovereigris-·by cfarifying the rn:tture of Heaven, and with !lO..thm1ghtJ}f honours or fame. ·· · ·-······-···-·· One of the spokesmen whose views are set down in the Le.t!..~£i~/J)Jf!l., which was completed perhaps c. 60 BC, ~t_S()\VC.ll inclined fowars!§..Q.iyjna_tion. In the chapter :whichco!Ilpares past andpresent practice, topi~Jrr.J.o~ divination aswitnesse.djnJhe firstce11turyBCfares no better at t~~--~~_!}_ds of the critic than material aspects of daily life, which are castigated f()rl)~!~[.!.Q()~, extravagant. We read: 56 In ancient times virtuous conduct was practised in the search for happiness, and as a result generosity accompanied sacrifice and prayer; ethical ideals marked the search for good fortune, and as a result it was rare for divination to be performed by turtle or yarrow. 8-_ll_! ill.~~~-1?.Eevaili~~J~li.i!I.£(.C:C?!!~~Et !~d_3:.Y.!ti~. t
and

Similar tholJghis..are..expre.ss.e.d.in a comment that follows entries for books on divinatl;;in the Han sh11,_Divination by turtle and stalks was practised by the holy men of old, and citations from the Book of Documents and the Hsi-tz 'u chuan of the Book of Changes illustrate this statement~ 7 In the age of decline, however, 111.e.rev.r.e._r~_.!he>_~e._!Y...QQJ}:_e,g:t!~!!.lly res,orted to the.~~~ t11estalks wit.hou!tii.~!!!&P!()J>~r c_~re ()V~rere,c;aµti.onary_meas.lJres sucb,auhtl<... vl.giLAs a·r:e·s-uft there was no responseJrom theh()lY.§pirits; ar:dho\\'..e~ · C>fte-n question was repeated to the ya.r,r_()'Y.~.t-~..l~s, !10 message was fortli£9.nl:_ ing. ·.Elsewhere, however, the Han shu includes a defence of the profession that was putf;~~ar~~byone-of ifsservingmemoers:ThTs.wasYeffCliiin=j'5'mg~wli!~s. ~E~~

we'°iead,

a

a:

56 57

YTL 'San pu tsu', 29, p. 204. HSPC 30.74b; see Shang slzu, as cited in note 27 above; Hsi tz'u chuan, SSC, 7.27a.


173

questions 9f.~vil i~~~~t_i()~SQLi_1TlJ:Jr()p.(?r..a:c:J:!ot?:~".V~~e raised, they exploited the to recite.. tbe. adYaP~f:lg~s .or disa
slidfo and the. stalk~

§E~.!~c:(s!l1 . ~.e,c:.arn~.!l.1()Ie.Jlrg11ol1t?:C.eg.<:i~I"i~J~)he,.!-.l:l!~E.lil:ln.12~ri()<.i,.Jn AD 85 Chang-ti offered K'ung Hsi, a descendant of Confucius who had b(!en engaged in !he wOrk of collatiOri in the Tung kuan, an appointment as fuagistiaie of Lin-chin. Oneof his friend.s.cons11lted the stalks to see whether should accept the position andp~~noli~~ed that he should refuse to do so. lt'Uhg Hsi's reaction was indignant, as he insisted that good or bad fortune depend on th~.Lndividual and no.t gn divination 759 At much the same time Wiillg-·ch.Tng haci"been sti{i~k by th~ i~-~~~~i~.t~n~ies that were apparent in writings tlfat concerned the use of turtle shells and yarrow stalks; his interest at least shows that he thought the subject worthy of considered treatment. 60 Perhaps the most vociferous criticism of divination was expressed by Wang C_~~~y.~JAP_±L_!
ne

1:;

order, he also. believes that

th~ ~arlJl..~!~¥.e_~_-?!.~..-p_a.rtj_c_1:!!.~LPEC?~.~~s .. !11ay

!~en::s,elves be_s1g;11,s_of.t,~e.follg\V~!!Kgf:lg~.~t In this sense indications of good or bad fortune may be implicitly present in some features or phenomena of the natural world . This point is brought out in one passage which concerns the l¥~4i.G!iiU1.S..1lrnJ..ll!fil'.JJ~~l!l1:1l1~. ~L'Y!lh.is2'Q4Qr~~«ciJortune..pussess. ~~e~s!a,ndinga.11~ .t~el"~~<:1r~ s~~~e. thei~_arri v.a!. f,£E.!~~.!?~.11efit pf lm!Tian beings who are lOrtunate or unfortunate. ··· ····· · ·· . ...,..ThlsTscomparabie with the signs in the turtle shells or the numerical cast of the stalks. There are constantly elements of good or bad fortune in the signs and in the cast. Whel1 a_IE:.111~~()__i~!·ortunate divines by turtle or practises divination by the stalks he n.2a. ;, Hiisc·C:-79A..·1~~----~--11ilscc;76.~~~-·------·-

HsPc

62

LH 'Pien tung', 43, pp. 649f.; (1907-11), voL I, pp. 105f. LH 'Chih jui', 51, p. 749; Forke (107-11), voL II, pp. 313f.

·-······---·--...



174

falls in with signs that are fortunate; a man who is not fortunate faUs in W.~t~.si~~.!~~~ arc-unforfiinate; if !s.noftlie case that the Turne :shell~ ()r the yilHQ\>(stalb_ P?~~~- -·· di~i;;e or nu1ninousquafities such that they comprehend humanfonune or 111i~f~1:,~l1_ne an....w:ill:UN _premous exp~~i~~C~-~f(one character nOtll;nd(!fS!Sl()_~] may just the SalJ1.~•.i:ec:;ei:ve.~
fortune.

· s6::Fc- find that good or bad fortune exists constantly in the wor1_d5>r~~l;l::V~!1 an~L

e~rth, au"d the. advenfofobjecfsbearirig.signs oT &ooa· or bad fortune will of itself!'.3::~~1:-~ with human beings ofgooaor badfortu~e: ... The same points are brought out in some of Wang Ch'ung's most forceful chapters, 63 where he attacks the_ commonly held_~~li~.f,th!!:Ltmtle.shells...i:Uld yarrow .stallCs-form"iiisfiume~!~·-o(ma!
goacr;;rg-;~~i- r;~-~~~~sq;;~sr~!::ili~~=t?~illee~~-!.~~ --~~v:~i:s_e,.

· · ·-··· ·-······--· -

A famous near-contemporary ofWangCti'ung, however, evidently allowed that there was some value in divination. I~i~.\V'~~_gl:1.l1.!!Zff~!JJLG1:J]22.~1:1:9 drew a sharp distinction_b~t>Ve,e,!l;~lJ?.!;lIUl]~!5!JP~f!:~!!~e,-~1.i_~c;:l_l._l.~~P:g..~i?:.L1!~ilim.. ·······-··---······.,"' ·--·-··············.,··---·· · the pro.gnilll.U~~J1g11).~!~ · · rt t•.1:1!.e,•.{, rLh'...f!!L.i. b\ h. h ~Y :?.o.th n:ieth()ds, .~n
. . . Du_i:i!!g_tb~1lt:;.~211~_c:;~i:i!1:1D'..~.J2.. ~rit_i~_iS.1:1~ ..s~i-~~~~-~~~e,.\V'hat f[Qlll: __intell~c tual to practical grounds. This was a tim~~~~-Il-~~?~~~~~~?_le pr()!e,~.!~a§J2_e_1n._g volcedagaln-sr-meu!lsfaole.~c~ndlhons of Han. society_ anci tb_e,Jack of impartiality.in p~blic ..life.-Ifi" a·speCial chapter on the subject of divination, Wang Fu_ (90--1 ()2JJI3:~ed the h~~t_9r}'_Q.Ltli~ Qf<;l~~i?e.fr.?1::~~~X- ~-1;19_ !~~Ee

~:~s ~~~~~t~~~s~~~~~~~l~a~~~~f!\iirt_~[~~~§~~[~aft}~}~:~=~~

arhi!~~~Y.~~~~ls.~~ES.Ji~?i~f.~~f~~~i~~~~t~~~~9111:l;lge~~~t_s>f _h_\g~e~~O_!~~ sta11dards..~ 5 However, Wang Fu stressed that 1t was essential for div111at10n tQ

be .used for its proper purposes, and not for matters that were not reaJly subject to doubt:It was in tills respect that he castigated the contemporary abuse of turtle shells and yarrow stalks, and their use fQrimprnp~r.nwv..ose_s, _ for praying, as it were, to the wrong.deity~66 ~3:!1.S.Yl±:§..£~i!!~is1p_~_1:1gul
t For-~xample, ·p~ shih', 63

• 64 6'

66

71, pp.994f; F~~ke, (1907-11), vol.I, pp.182[.j

HHSCC 59.9b 14b. See also Po hu /·ung, as cited in note 16 above, for the view that the v~Jue of divination lay_ in its demonstration that decisions of state were not being taken to satisfy personal or arbitrary

motives. CFL 'Pu lieh', 25, pp. 29lf; [Kamenarovic, (1992) pp.169f].

fromd~~_a,i,ns. 67 l!_~-~~

175

again he was stressing the moral improvement that such practices could_~tlj_()i~_aiiathe inherenfCfangel=s excessive l:eifunce.or ITllSUSe. The cau_se was takeri"~p 1n an essaiaHiTbutecfio Cli'iing:w'"aiigT;iing (c. 180--220), If1 t~~~~l1~r~t~()t1 tha! ~()~15.>.".Y~d~ a_n~ Fu, th;it.concerns the way of ~~a yen. Chung-ch'ang T'ung emphasised theto pay· full -att~~ti~~ to liuma? values and achievements in dynastic matters, as against an excessive trust m ui:seen powers. 'J:~l:l~e .1".ho. clailn an .unfl~rsti:ni~ling ...Qfth~LW:~y.,.of tf.eaven w1thoqt a comprnhension of human values are comparable with ~}1am~ns,,physicians, diviners or prayer J11akers,they are low grade ~~n folly. Gli!!ng::_ch '_i_t!_l_g .!:1:111~. t.~~?J'.E.()_ceeds t?... ~.xt~n.~ )1is_ ple"1.for impartial

of

need

of

;~~;~~tiii£~if;0~:~~~~~~~~n.~~:~a~T~~~~~a~d~i1k~Ehft~i!~~~i*rs~·t~ii foEce, to_ the exCiusi~l1 ?fa~te~tio1"1 io pu6ilc illierests: wliafever step·s that he t~kes

Wlll

not Serveto averf ruin, ~O";'.~Ver auspicious the omens, however niay be with turtle shells or yarrow sfalks.~ 8 ··

htter~d his shrines

Forms, procedures and types of question

Reference has ben made above to the injunction that is included in one of the p~~~~ ?E.tli_e_c_~:u.:t.~,'u _to the effect. that divination-shoiikf;;_·~:£be i.{~~·d-fo;·

9::~~!~?.1:~.!~.a t. An~~ Iye~:Pri~~1p1~~ ·9'f~et~}cs~'~1laT~'ii1~~9:t(9,!1 :!~"f~~:Es.-p!:~£~:.i~-

tEe C()J?-!~xt9{ ':Vr1t~~~-t~~-!.1_s
specificafiy'f

cffwas . aue-r0·15e-rs-0nai-mofives·;· omf1n·tne 'first ca-se-·woliid ii b'~-~i ·t ~ ·-· ·· · ·· t · · --···-··.... -- 69 -·· ······· .. .... . .. . . . ···'"-""· • . .• . . glL.L . put.. h~. questI()n.

~Jsew]J.~re.:we.. ar~J;QlQ. .1h!!LQeither shells nor stalks should be

c~-~s-~!§!.~c:::.. than three times in connecti;~-;ith-the.sameprobie~J

d1~~~~t.1~~.1.5Y..~~~ ~~~~~~~!1~t~:~~e--a:~!~~~~~€a!i"~-~e~;l!~§::~~~~;:;p~r_ to

~EY .'Y!!h.. th,eother 1Ile!l1,<&, The Chou lz lists eight specffic types of question that concern matters of state and which may properly be put to the turtle shells, i.e., ~!.!~t_ary campaigns; the meaning of strange phenomena; the confermei;t_o.f -~!f:t~·.rrrajor-pl:lrn:S--ano'-po1icies;flle'cnances'"oY-a"veniiire's

su~cess;:t~e !i.k~{)Ub_gg_cf()f:ffi~·~n.ivaf orfexpe~!e£In9i\i[(JA'~J~r;JJ1fpossit5iffiy"of ·

ramfall; the hkehhood of sickness. 71 That the turtle shells are not

to . be

""-"~=~-----~·

67 69

10 11

CFL 'Wu li~,h', 26, pp. 301f; 'Hsiang lieh', 27, ~~enarov1~, (1992), pp. 177f, 18lf and 185f].

pp. 308f; and 'Meng lieh', 28, pp. 315f; 68 Ch'iin shu chih yao 45.26b- 28a. Lz c_hz 35.6a;_ Couvreur (1913), vol. II, p. 6; the passage is sometimes taken to be an injunction agamst puttmg the same question for a second time. Li chi 3J4b; Couvreur (1913), vol. I, p. 61. Chou li 24J3b; Biot (1851), vol. II, p. 72.



176

consulted over the timing of the major sacrifices to heaven and earth is explained lry_~l_i~ :e.as9,i1_~!1~! such _ci~y~~r.~_ f!!S.t::Q !~g_llJ~~!Y-!lJJh~.s1.JJl1~EE ~J!d winter solstices. 72 However, this may have been a late, somewhat standardised arrangemeiif"Elsewhere in the Li-chi we are told how the !~~JZ~~~k._in~s (1:1:~~-- wang) of the three dynasties alway~ p~!:,[c;>rw~d.ac.t~.919:b'!!!?.J.iqpj:>.s;f~rrn§~IYl<;;Y to thi'i)~wers ;{heaven and earth, ~rid ii:t !h~~~;ixtP.ey.a,~2,~cl.()Q ipf[.iJl&!!!Jt~~l prohibition timing. 73 The sanie passage states t!1:_a,!_!!1~-~-?.~-~L~e~;r.en ~_?es not consult thefortfo"shclls. for·aefefmfo1ngl1ie. si~~.Qf .the. JJJJ;J.j.QLaJl~~§1fl!l -~li~ine~. 14 ·· · " •. • ( · ·Th~ Lt-chi provides that those who are about to consult the turtle must take \ the preparatory steps of bathing and donning their ceremonial jades at t~e ) waist, presumably by way of purification and in order to mark the solemmty \ of the occasion. 75 The same work quotes a statement of the men of the south to \ the effect that those who lack constancy of character are not fit to act as ' diviners with shells or stalks. 76 In addition, the diviners' gifts ??:11~the.J1UL1J:L honestyse~.the. d~;ith. pep,a,UJ .b£fog.!~.&~!~~·~E.
of

·,. 1n.

.

posltroi1··0rraciiig.tT1e··;;~uth.-~}ie~li~~-~!h~--~.1.:~~~~-!~~ se~s!r~Ji~~~!!!L!:~~

'fuforl.ii f!:i.1s-·ca11liecflon··a:re.
tffti~n~~i!i~~i~;~~F~~~~?~~~0~flfi~~~~1~~~~=~~!~~]~~~~r~~~~~ ...... -..
signs. ---

-~~

72

73 74

75

76

..

........-- -~

-"

Li chi 5.24b; Couvreur (1913), vol.I, p. 105. Li chi 54.26a; Couvreur (1913), vol. II, p.510. Couvreur explains this as being due to regulations which provided that this must be placed to the left side of the palace. Li chi 10.2a; Couvreur (1913), vol. I, p. 225. Li chi 55. !8a; Couvreur (1913), vol. II, p. 532.

1~ _y_i.;_hJ.13.·2!1_;.£Q.1!Y.!e.1:!EJ191_21...Y.oLl.zJ?.}Q~ 78 Li chi 22.17a; Couvreur (1913), voLI, p. 526. 79 Li chi 48.15a; Couvreur (1913), vol. II, p. 314. .8~ LLcbi..29.lO
1f'

177

The Li-chi includes detailed prescriptions for the notification of deaths and/f

f~r.fun~ral~, varying for officials and dignitaries of different grades. When

i

d1vmat10n is performed to determine the place and time of burial for a ' counsellor of state (Ta-ju), the diviners must wear prescribed items of clothing; the officiant who pronounces the prognostication must wear a fur hat. Similar prescriptions provide for the correct way in which yarrow stalks are used for the purpose. The same passage provides that at the burial of a counsellor of state, the Ta tsung jen assists the master of the house in the , conduct o.f ~he ceremonies; the Hsiao tsung jen puts the charge to the turtle; and the d1vmer (Pu jen) carries out the act of divination. 81 When the shells or the stalks were consulted in order to determine the right date for a specific action, a distinction was drawn between those actions which followed from happy and unhappy events. Thus, for funerals the first enquiries were made to settle a date in the distant rather than in the immediate future (i.e., enquiries concerned a date beyond the current period often days)· but for actions that ensued from happy events the reverse procedure wa~ correct, and the first steps that were taken were to fix a day within the current ten-day period. In specifying this principle, the Li-chi cites the formulae that were to be used on these occasions: 'To determine the day, we rely on the constant truths invested in you, oh mighty turtle, oh mighty yarrow stalks.' 82 A distinction of terminology was also maintained when divining over the details of a funeral, depending on the relationship of the chief mourner and the deceased person. 83

pe~~~~~~-~~~~~~;a~i~i1 :!~~~~i~1a~~ ~f~b~;r~f 1;!nsitiQ!1 'Yht:nJbi.s.js .......... ---· ................ ........... J?Q .....12.-. ......... .JL ...........-................ _,................ __:;i,y_.Q~ ~Jq2ec.ted~ Jhe. text ~~s bee?. t~:. subject. ()f ~()~si~e:_a,~!~ .c~_rn!ll:~!!tJIRP?:. the time. of Cheng Hsua_ii p21-290) onwards, and a number (),fp.Qil1!~of infe'rpret:itfon· 81111 remam in d011bt. T,h~J<:JJ19:Wing_.SUrnrnaryj,sjy f!(;COrdance with mo~t of the Opfofons that havebeen expressed. 84 ··" ..... • ·· ···· · the officiaire~p·;~-sible for graves makes a survey of the land that may be selected for the purpose and for which enquiry is being made. The four corners are dug out, and the excavated earth is deposited outside the area while earth that is excavated from the centre is placed on the south side of th~ pl~t. When the morning ceremony of lamentation has been completed, the ch1~f mourners proceed to the south side of the site, facing north, and discard their hea~bands and. belts. The diviner who is charged with the duty of putting the ques~1on takes his place at the right hand side, that is the place of honour, of th~ chie~ mourners. The diviner faces east; he draws off the upper part of the case m which the yarrow stalks have been contained and holds both parts in

r

AS'··anrsfslep. .

81 82

83

84

Li chi 40.lla; Couvreur (1913), vol. II, pp.122f. Li chi 3.14a; Couvreur (1913), vol. I, pp. 60.-1; the same formula occurs in I Ii 47.3b; Steele (1917), vol. II, p, 159; Couvreur (1928), p. 582. Li chi 42.lOa; Couvreur (1913), vol. II, p.167. I li 37.15b; Steele (1917), vol. II, p. 73; Couvreur (1928), p.474 .

178


his hands. Facing south, he receives the charge, such as 'X who is in mourning for his father Y seeks by means of the stalks to find a suitable place of burial. He is contemplating the use of this dark spot as the place and wishes to know whether evil consequences will follow such a choice.' The diviner agrees to accept the charge but he does not enunciate it. Turning right about, he faces north and performs his act of divination pointing to the central plot, with the assistant who draws out the lines on his left. When an act of divination is completed, the pattern of lines is taken and shown to the diviner charged with the question; he receives it; inspects it; and returns it. The assistant who has drawn the lines faces east and the prognostication is made according to a number of methods. 85 He moves forward and announces this to the diviner charged with the question and to the chief mourner. If the prognostication signifies 'proceed', the chief mourners don their headbands and belts, and perform their act of lamentation. If the prognostication signifies the reverse, divination is performed to choose a site for burial according to the ceremony carried out in the first instance .. Ac~()!:<:E~gt,<:>.tl;g: [,i-chi, fqr . a .second ()r .· subseq l1en~. b,urial in . .~. B!~Y~ .wherein, a C()l]J,§.eJ:m~ aiieady been buried (for example~ for a spo µs(:) n,9 diyin,i;lt,i on is carriedol1t. RY stalks; presumably this was bec;ause the site had already been pro~llO§t!c;~!f:~d as favourable. 86 · The I-li also itrcludes a detailed description of the ceremony of divination for determining an appropriate day for burial. This was conducted with turtle shells, and much the same attention was paid to the niceties of the occasion and its procedures as in the case of consultation of the stalks to choose a suitable place. Considerable stress is laid on the positions adopted by the various participants and the way in which the turtle's plastron was handled. Again, should the answer be unfavourable, the ceremony was to be repeated. 87 A ceremony whose purpose was completely different, which is described in the opening passage of the I-li, concerned occasions when a young man was confirmed in his majority and put on adult headdress. But despite the differences in purpose, the ceremony had many features in common with that undertaken to choose the right situation for a grave, as has been described above. The yarrow stalks were first consulted to determine an auspicious day for the event. The stalks, mat and means of figuring out the hexagrams were laid out in the western portico; the diviner drew off the upper part of the case in which the stalks had been contained, and held both parts in his hands. When he had learnt what charge was to be put, he resumed his seat, facing west, with the assistant who drew out the lines on his left. When the act of divination had been completed, the drawn out hexagram was shown to the master of the 85 86 87

The commentators suggest that these included use of Lien-shan, Kuei-ts'ang and Chou i. Li chi 33.5b; Couvreur (1913), vol. I, p. 760. J /i 37.l 7a; Steele (1917), vol. II, pp. 75f; Couvreur (1928), pp. 477f; and Iii 41.8b; Steele (1917), vol. II, p. 101; Couvreur (1928), p. 509; and 44.2a; Steele (1917), vol. II, p. 127; Couvreur (1928), p. 541.


179

house. It was inspected by the diviner and his assistants, who would report if it should be regarded as being favourable. If it showed that the day would not be favourable, the stalks were consulted to see whether a day somewhat later would be appropriate. 88

.Q~-yi_t1_l;l_1:~2_f.l~!!h:Y
~~?--.~~21:!~~-~-~~ __1r,:~ll:1£~ -~~=1!i~ig~it:9I11.<2!!:<:>.1:i;f-111'e~r1~;;1zre-xp-ia1li8·-a;~t

d1vmat10n for both these purposes was a means of showing respect to the assumption of majority by the young man in question; demonstration of such respect was in itself a means of stressing the importance of /i. 89 ()tJ:ierxeggl;;iJi.nns~nsuredt.h~t.the i11struments of.divination were treated with ,ther~spec; .that wastlJeir dl,!t~,2Ll!.1~~we~_g£~fari.~~J~.PE~vent.misus~. m poss1qlepol!llt\QJ1. j\longwith a number of other objectsthat 'were l:is~d for ~ymbolic.al p~r17()se~:.!~!t!~.:~ne~!i'_a..~4~Yiri:9~:-si~1k~~'Y<=!~~()t t() 6e brought .1:1~? a pnri.~e'spalace. 90 _8,~_p_art of the respect due to a ruler--P-un!Shmeiitwas I?~~-~~i~~11 th~ir, s.i9t;: 91 This regulation presumably

:!~~,~~p!rl~~~:i2~§-~.h£!1. ~.n

of divination wasab?~!.~~~i~k,~~p1~~~~ilith~

Once, when Ch'ii Yuan is reported to have consulted the diviner Chan Yin without any success, the latter had started the procedure by setting his stalk~ straight and brushing the plastron. 92 We are also told that rapid movement m~st be a~oided when carrying the turtles or yarrow stalks. 93 When they were bemg earned, they were to be handled in the same way as a number of other ritualistic_ objects, i.e., with the left hand raised higher than the right hand.94 Ceremomal batons ·were to be discarded during acts of divination that concerned details of burial. 95 In addition, the insistence on strict procedures for religious ceremonies provided for the disposal of spoilt materials; robes and vessels or other equipment used in sacrifices, if spoilt, were to be burnt or bu:ied; spoilt plastr~ or stalks were also to be buried, along with sacrificial ammals who had died naturally before the sacrifice for which they were intended. 96 It has been seen above that in defending his profession Ssu-ma Chi-chu

r~forre.d_ta..thsu;:m::~-~nd attention paid by diviners to form and.b.ehallio11r.97

Ch 'u Shao-sun re-i tera'ted-ihe

·pa1ni:9s· ... · · · · ..... ---·-·c.· .... __,. ..

'.i

" I Lia; Steele (1917), vol. I, pp. lf; Couvreur (1928), pp. If. Lz chz 61.1 b; Couvreur (1913), vol. II, p. 637.

89 90

Li chi 4.9b; Couvreur (1913), vol.I, p. 76.

91

Li chi 4.9a; Couvreur (1913), vol. I, p. 76.

92

Ch'u tz'u 6.lb; Hawkes (1985), p.204. Li chi 35.12b; Couvreur (1913), vol. II, p. 13. Li chi 35.16b; Couvreur (1913), vol. II, p. 18. Li chi 44.14b; Couvreur (1913), vol. II, p. 216. Li chi 3.12a; Couvreur (1913), vol. I, p. 57. SC 127, pp. 2f, as cited above.

93 94 95 96 97

180



At the time when I was serving as a gentleman of the court I used to wander around Ch'ang-an to look at the sights. J.J:ll'()..
this belonged to the category of Yin, but odd for the yarrow stalks, which belonged to Yang. The number of diviners also varied according to the rank of the co~s~ltant, r_anging from nine for the Son of Heaven to three for shih. Of all vanet1es of withered stalks and dried bones, yarrow stalks and turtle shells were chosen for use because they are the most long-lasting objects in the world. When the stalks were consulted in order to choose a suitable day for the ceremony of assuming adulthood, the ceremony took place outside the ancestral ~hrine; bu~ i~ all cases it was apparently essential for the hexagrams to be_ delmeated w1thm the shrine, in so far as it was the ancestors who constitute~ the s~urce ~fwisdom. This latter principle does not appear to have been ment10~e? m earher texts, and is a somewhat noteworthy, and perhaps unusual, add1t10n to the subject. . ~he _Po-h~ t'un~ i~c~uded the prescription that the correct position for d1vmat10n with milfoil IS on the west side facing east. The reason for burying shells and stalks after use is to prevent pollution of something that is honourable. For reasons which are stated but which are by no means clear, the text also lays down that if divination by stalks fails to reveal whether an action or proposal will be fortunate or unfortunate, divination is tried again by means of turtle shells. 102

naiure.'

smlie. . .. .. ·-

In Han times there were evidently different views regarding the correct procedure for storing or disposing of materials used in divination. The Shih-chi99 includes the report that when it was desired to perform an act of divinationin t~e Hsia and Yin periods, stalks and turtles were collected for the puip-ose; and once the activfffwas over they were.disca_rcied. and ~elliCiY~~Tn· the bel1efthat·turtles· woula"fose ·theirrr1agic~1_pq\\'.iis.1f.theyh.a.d.be.e,tiJm?f ln· store arid tiiatYarrowsfaIKs;·1r kept.for-long, would no 1P:oi:e i:eh1}.ri..!Eeif spiritual virtue .. How~vei, .fll~§e ~.ff
constantly

a.more·

aeiiionsffatetFiai

98 101

were.

99 SC 128, p. 3. See his addendum to SC 128, pp. 12f. P HT B 16aff (6. 3bff); Tjan Tjoe Som, vol. II, pp. 522f.

100

SC 128, p. 10.

181

Th~ pr~cess of manipulating forty-nine out of a total of fifty stalks is d~scnbed m t~e ~si-t~ 'u chuan of the Book ofChanges, and the passage is cited

I

I

with some vanat10ns m the Lun-heng. The stalks are divided into two lots to symbolise heaven and earth; four lots are counted off to symbolise the f~ur ~easons, the r~mainder being retained between the fingers to symbolise an mtercalary penod or month. 103 A note to the Huai-nan-tzu that is ascribed to Kao Yu (c. 168-212) alludes to the same method of using forty-nine stalks.104 Operators wh~ grasp (ts'ao) the turtle and the yarrow are described as setting the stalks straight (tuan) so as to make enquiry of their numbers.1os Practice, incidents and occasions: the pre-imperial period

I~e~e i~~--~~'.1.!th__
105

106

Tjan Tjo~ Som rende_rs as follo~s: 'Th;;:-Ui"iiroil follows the way of yang; it has many per~u,tat10ns, and by its permutations [thmgs] come to completion' (vol. II, p. 525). Hsi tz u chua~, SSC, 7.20aff; LH 'Pu shih', 71, p. 997; Forke (1907--11), vol.I, p. 184. For a system used m connection with the 81 tetragrams of Yang Hsiung's scheme, sec HHSCC 59.lb, commentary [and Nylan and Sivin (1987), pp. 63f]. 10• HNT 8.lb, note. HN_T_ 117.3a. See also Ch 'u tz 'u 6.1 b, Hawkes (1985), p. 204, for the diviner who 'set out his d1vmn:~g.-stalks and dusted his .tu~tle-shell' (Hawkes' translation). In add1t1~m there are the many mc1dents reported in the Tso chuan, which merit consideration as a special study; they wo_uld be more likely to have been brought to attention in Later Han than m Former Han. I am mdebted to Professor Zurcher for pointing out that eight records of

182


concern religious activities, the human life-cycle, family affairs or the selection of individuals for particular purposes or duties. In some cases the references may be somewhat anachronistic. ~~~~~-~n~~-dynastie:_~nv!riable di~~ .1.ut!J~_QJ"~ialJc~h~P.~~orsh!J21~1.~~-!!~~Y!t.!Uill4.~~~ill;,:f9r.!~~~110!..~ar:'"!?, · __r:~
101 10 • 10 • 110 111

112 113 114

115 116

divination (pu) in the Ch 'un-ch'iu and Tso chuan, that are daled betw~en 629 and 494 BC, are concerned exclusively with the ritual purity of the bull chosen for sacrifice at the bounds of the city (chiao•), Li chi 54.26a; Couvreur (1913), vol. II, p. 510. Chou Ii 2.20a, b; Biot (1851), vol.I, pp. 37-8. Chou Ii 18.27b; Biot, vol.I, p.436; see also Chou Ii 19.18a, Biot, vol.I, p. 455. Li chi 36.5b; Couvreur (1913), vol. II, p. 32. Li chi 26.4a; Couvreur (1913), vol. I, p. 591; see also CCFL 'Chiao ssu' 69.6a for reference to divination on the occasions of the sacrifices at the boundary. Li chi 48.lb; Couvreur (1913), vol. II, p.293. I Ii 47.la; Steele (1917), vol. II, p.158, Couvreur (1928), pp.581f. I Ii 47.5a and 24.14b; Steele Vol. II, pp. 128, 159; Couvreur (1928), pp. 345 and 584; Li chi 33.9b; Couvreur (1913), vol. I, p. 764. I Ii 6.9a, b; Steele, vol.I, p. 21, Couvreur (1928), pp.49-50. Li chi 2.14a, and 51.25a; Couvreur (1913), vol.I, p.31, and vol. II, p.423.


183

When Shih Tai-chung died his principal consort had not born him an..heit..

~nd it ~~a~~~~~.~~~to c!ioose ~!!drg_11iJim~rl,g!l}~~Tx~son-;~;dbeen

~or1:1: .~f.2!her ~-°'~~.!!i r~~?_urse. was had to the shells for intq,li!Po§e~ Tm~ · incident is recorg~_Q.Jn ..!h~J./::<:hiip connectfon with the-ceremonial. that· ~as itlvolve~;~~~·i~'tl1~.f.it1l::h£1li~spart~qf liP. a~il1inent againsi
-------

__..,..--.._____: __. The master said: when a man ascribes what is good to others but assumes personal responsibility for what is bad, members of the public will yield to each other the credit for performing good deeds. The Book of Songs has it: 'It was the king who examined the cracks; he planned this city of Haoh; it was the turtle that set it right; it was Wu Wang who completed it. ' 122

The second reference is of a more general nature: 123 The master said: the [man tic] instruments used by great men are treated with awe and respect. In general the Son of Heaven does not make use of yarrow stalks; the nobility use yarrow stalks when in their own domains. When he is embarked on a journey, the Son of Heaven makes use of yarrow stalks; unless they are within their own state the nobility do not make use of yarrow stalks; they consult the turtle in respect of a choice of residence or chambers; the Son of Heaven does not consult the turtle in order to determine the site of the principal ancestral shrine. The master said: when the man of quality is showing respect he makes use of the sacrificial vessels. It is for this reason that [in paying visits to his superiors] he does not infringe the regulations that prescribe the day for doing so; nor does he go against the guidance of the shells and the stalks, for he thereby intends to show respect to his superiors. It is in this way that those of higher rank do not behave insultingly to those below and those below do not lack respect in relation with their superiors. 117 118

119 120 121

122

12 '

Li chi 10.1 b; Couvreur (1913), vol.I, p. 225; LH 'Pu shih' 71, p. 999; Forke, vol.I, p. 186. Li chi 51.21a; Couvreur (1913), vol. II, p. 419. Li chi 28.12a; Couvreur (1913), vol. I, p. 663. Li chi 48.2a; Couvreur (1913), vol. II, p.294. Li chi 51.1 Sa; Couvreur (1913), vol. II, p. 408. Shih. ching 'Wen wang yu sheng', SSC 16(5) 14a; Karlgren (1950a), p. 199; for the Li chi readmg tu, translated here as 'planned', the text of the Shih ching reads che 'resided in'. Li chi 54.28a; Couvreur (1913), vol. II, p. 512.

184

Practice, incidents and occasions: the Cb'in and Han period .rln describing the types of crack th~t are formed on turtl~ shells, the addendum to chapter 128 of the Shih-chi 124 lists twenty-three topics that may form the I subject of enquiry. These are illness and its outcome; the demonic nature of an \ illness· the possibility of the release of detained persons; the acquisition of wealth; success in the sale or purchase of slaves and livestock; the advisability of attacking robber bands; the advisability of undertaking journeys; the likelihood of encountering robbers either in an expedition to attack t~e_m or in one designed to find them; the reliability of reports of robber acbVIty; the advisability ofleaving official service on transfer; the advisability of remaining in office; the fortunate or unfortunate outcome of taking up a residence; prospects for the year's harvest; the chances of an outbreak of epidemic during the year; the likelihood of armed violence during the year; the results of an interview with highly placed persons; success in addressing requests to others; the chances of finding a lost person or persons; the results of fishing and hunting; the likelihood of meeting robbers when on a journey; the prospects of rain; the likelihood of rain ceasing. It is evident that these were the types of question that were likely to be put to divination on a popular level, and many of the topics recur in the subjects that are mentioned in the newly found almanacs, and in prognostications that derived from comets or clouds. In other literacy evidence the accounts of ip.ci<:!:~nts~ill!L
1\

~ J, ,,-~'"1i ~

·-,~

;,..J

iyc~

c6),., l!) . K

""



from the signs of the turtle shells and the yarrow stalks, so as to examine their good or evil fortune . Divination by turtle shells features in the famous anecdote in which the second Ch'in emperor (reigned 210-207 BC) was worsted by Chao Kao. Astonished at the general agreement that an animal that was palpably a deer was a horse, the emperor sought guidance from the stalks to see if he was suffering from delusions. The record simply reports how the director of divination blamed the em eror's stateoTm1nE~~s Gh'e.~~!~--~1E;E]!~J1LU!L_. ~ 30 Accordmg to the Huai-nan-tzu, 131 whenever a state faces an emergency, the ruler issues a summons to his general or generals with the command 'The 12 ' 12 • 12•

124 12•

125 Bodde (1975), p.16. SC 128, pp. 35f. . Li chi 17.lOb; Couvreur (1913), vol.I, pp.392f (reading t'ai-shih); LSCC 10.lb (readmg t'ai-pu); HNT 5.14a, b (reading t'ai chu).

185

130

SC 83, p. 43; Bodde (1938), pp. 52-3. SC 10, p. 4; MH vol. II, p. 446; HSPC 4.2a; HFHD, vol. I, p. 224. HSPC 74.8a; CC pp. 75-81. SC 128, p. 4. Takigawa notes that this incident refers to the case of the empress Ch'en and her daughter, and not, as had been suggested, to the major affair of91 BC. For the former case, see 131 HNT 15.22b. HSPC 59.2a; for the latter, see CC eh. 2.

186


destiny of Our hearth and home lies with you in person; Our state is facing an emergency and it is Our desire that you should take command and respond to the situation.' When he has received such a commission, a general gives orders to the officials responsible for prayer and to the director of divination to fast and keep vigil for three days; they should then proceed to the principal shrine, there to pierce the divinely inspired turtle so as to determine by divination a day that would be favourable for taking receipt of the drums and flags. An edict of 89 BC 132 referred to the ancient practice of divination by both methods on the part of ministers and counsellors of state, and their refusal to undertake a project if the guidance was unfavourable. On the occasion to which the edict referred, the stalks and the Chou-i had been consulted to reveal the meaning of a gesture whereby the Hsiung-nu had been tethering their horses close to the Han lines. The sign was duly interpreted as meaning that the Hsiung-nu would be defeated, and a whole variety of specialists who were consulted, including experts in the stalks and shells, pronounced that they themselves were satisfied. The turtle was then consulted for a second time, 133 to determine which of the generals should be put in command of the campaign; it was in these circumstances that Li Kuang-Ii was appointed Erb shih general. There are also references to diviners, or divination, during the civil wars that preceded the Han restoration, possibly on a more personal level. Specialists in both types were among those who interpreted a lady's dreams as an indication of an imminent armed uprising in AD 27. 134 In the following year, 'J''it::'.g J111!g, <2!1~. of .the self-established leaders who had arisen in those troubled times, is said to have consul.ted the turtle to decide wheth~r gr11ot he should surrender to Ts'en P'eng; as there was a split in the sign he did. J101 do so.13s

A few incidents may be cited in Han times wherein the shells or the stalks were consulted to solve problems of choice in a family. Specialists in these methods of divination are, it is true, conspicuously absent from mention among those whom Wu-ti consulted to fix an appropriate day for his wedding; 136 but a century or so later the force of tradition was re-asse_rt_~~-i!J_ the case of P'ing-ti's marriage toWang Mang's daughter. 137 This was shortly after his accession, at the age.of uin~ years; with the example ofHuo Kuang iii mind, 138 Wang Mang succeeded in having his daughter espoused fo the young 132 133 134 13 ' 136 137

HSPC 96B.18a; Hulsewe (1979a), p. 170. Le., with the reading pu in place of kua, as suggested by Wang Nien-sun (1744-1832). HHSCC 12.9b. HHSCC 117.14a; Bielenstein (1954-79), vol. II, pp.26f. SC 127, p.14; for this incident see Loewe (1982), p. 100. HSPC97B.22bff. It is of considerable interest to note thatin commenting on the latter passage Fu Ch'ien (c. 125-95) explains how the five different types of crack produced on the shells can be related to the material elements of the wu hsing.


187

emperor, in the teeth of some opposition. Some of the most senior officials of ·s-fafe-were present to take part in the formal ceremony of choosing the bride, and among them were forty-nine subordinates of the directors of divination and astrology. These were robed in the formal dress and headgear prescribed by the compendia on ceremonial, 139 and they conducted divination by shell and stalk according to the rules of Ii. For the remaining stages of the procedure, Wang Mangtook equal pains to ensure that due deference was paid to the tradit!Onai rites that these occasions demanded. In AD 128 Gang Na, daughter of Liang Shang, was introduced into the imperial women's quarters at the age of thirteen. 140 Liang Shang had conceived the ambition of marrying her to the emperor, doubtless as a means of enhancing his own position, and by way of acquiring a reward for the services which his ancestors had rendered to the Han house. When the specialist in physiognomy had pronounced on the exceptional qualities that the girl possessed for the august position that was intended, the shells were consulted, and they yielded a message that was highly encouraging. When the stalks were consulted they produced the hexagram k'un moving into pi• which was regarded as being just as auspicious. According to the Shih-chi it had been the practice to put the question before deciding whether a newly born infant should be reared. 141 This was presumably intended for cases where the health of a child was precarious, or if it had been born with some deformity. 142 Towards the beginning of Ling-ti's reign (168-189) we hear of one statesman citing the principle laid down for the Ch'un-ch'iu period that, in the absence of an heir, the eldest son of a collateral branch is chosen; if there are sons of equal age, the choice depends on their relative character; and in cases where such considerations are equal, !he c.)}2jg~i~_<;it)!.t)rmined bythe shells a11d the stalks. 143 As a further example o{dl~ination whi~h \Vas undeit~ke~ to s~ttle a personal question, there is a reference to the use of shells to fix a site for the burial of the emperor's mother (AD 194). 144 An anecdote that may be apocryphal refers to consultation of the turtle shells to determine the meaning of strange phenomena. This occurred after the birth of Liu Hsiu, destined to be the first of the Later Han emperors. On the night of the day chia tzu, in the twelfth month of the first year of Chien-p'ing (15 January 5 BC) the house was suffused with brilliant light. Insome a~t~!li~h:m@:tJh~ i11fant'sfi:ither .had a specialist in divination by- shells prognosticate the meaning of this strange event; it is hardly surprising to learn 138 139 140 141 142

144

For Huo Kuang's marriage of his grand-daughter to Chao-ti, see CC p. 115. HSPC 97B.23a, commentary; Li chi 26.5a and 31.7a; Couvreur (1913), vol. I, pp. 592, 731. HHSCC 6.6a, I0.2b and 44.8a, for Liang Na's admission as a kueijen and then as an empress. SC 127, p. 8. For the licence for infanticide in cases of certain types of illness or deformity, see Hulsewe 143 HHSCC 64. lla. (1985), p. 139 D 56. HHSCC JOB.lib.

188


that he interpreted it as a sign of the greatest possible good fortune. 145 Diviriafioii1s also mentioned in connection with the strange occurrences that took place shortly after Shun-ti's accession, when steps were being taken to re-instate Yang Chen posthumously (c. 126). Orders had been given for his reburial with full honours, and some ten days before this took place, a flock of huge birds had roosted in front of the coffin and sung a lament, flying away only when the ceremony was completed. 146 Liu Ch'ang, king of Liang• (acceded AD 79) frequ~ptly c_onsulted t11e. s,hylls o~ the stalks to find -~~!_the mt;aning of the night1~ares \Vith which he was affiicted.14r ·-On taking up his appointme11t in K'~a.i_-chi in AQ ~3, Ti-w_u Lun found th~L the population of the area was addicted to yin ssu, i:e., improper religigu,s pradices, and that there was a general love of divination by shells al!.d stalks. 148 Other evidence for the practice may be seen in the references to a few named diviners during Wang Mang's time or in Later Han. Wang K'uang, a specialist in the use of shells, was one of those who had plotted against Wang Mang in AD 21. 149 In AD 23 an apparition which appeared in the palace was identified as the ghost of Liu Hsinb who had just committed suicide; Wang Mang ordered Wang Hsi, who had won a fine reputation as a diviner with hexagrams, to cast the stalks in this connection. 150 In the same year a diviner named Wang Lang was falsely passed off as Ch'eng-ti's son Yii 0 and actually established as emperor. 151 Hsii Chun (style Chi-shan) ancestor ofHsii Man is decribed as being expert at prognostication with shells; very often his pronouncements were vindicated in a conspicuous manner, to the extent that his contemporaries compared him with Ching Fang. 152 Liu Wan, son of Liu Yii (ji. 165) is mentioned as being skilled at casting the stalks in connection with disaster and strange phenomena. 153 Attention should also be paid to the few references in Chinese sources to the practice of divination by non-Chinese peoples. The Shih-chi carries the general statement that although the Man, I, Ti and Ch'iang peoples have no ordered establishment of rulers and subjects, they 11()i:!e ~_Qe le~s 2ossess means .of divination to decide matters that are in doubt, either with metal and_ stone, m with wood and tree.s. 154 More specifically, we hear of the practice of the southern tribes, as reported by Yung Chih shortly after the successful campaigns fought against the Nan Yueh and Min Yueh in 111 BC. YungChih was a native of Nan Yiieh who is alleged to have discussed the religious habits of the Yueh peoples. Jn th~.JIQ:t!I.s.e.. QfJ1_i§ Jalk he mentioned thatlon_ge_vity attended those kings of the south who observed due reverence to the dell_1_?~.~-145 146 149 150 151 152

154

HHSCC !B.23a, b; LH 'Chi yen' 9, p. 88; Forkc (1907--11), vol. I, p. 180. 147 HHSCC 50.7a. 148 HHSCC 41.2b. HHSCC 54.7a. HSPC 99C.12a; HFHD, vol. III, p. 408. HSPC 99C.23b; HFHD, vol. III, p.452; identified as the son of Wang Kuang. HHSCC !A.Sb. HHSCC 82B.2b; Ngo van Xuyet (1976), p. 11; for the two specialists, each named Ching 153 HHSCC 57.14a. Fang, see Hulsewe (1986b). SC 128, p. 3.


189

(kuei); laxity in doing sg had however led to an early demise. Wu-ti was sufficiently well impressed to order the shamans from Yiieh to conduct their own forms of worship. In their prayers to the spirits of Heaven and other deities they practised divination by means of chicken bones. It was owing to the faith that Wu-ti placed in these rites that religious forms of Yueh and divination with chicken bones were introduced into China, 155 In commenting on this passage, Li Ch'i (c. 200) explained that the chicken bones were used in the same way as turtle shells. Chang Shou-chieh (ji. c. 737) was more explicit. He wrote that a chicken and a dog were taken, live, and prayers were uttered; thereafter the animals were killed and cooked, and sacrifice was offered. Two special bones alone were removed from the chicken; if they had a fissure or crack that resembled a human body, this was a sign of good fortune; but if the marks failed to show these signs, they were marks of bad fortune. Chang Shou-chieh concluded his note by observing that practices in Ling-nan were of this type in his own time. The Hou Han shu and the San kuo chih refer briefly to the man tic methods of other peoples. When the Fu-yii were concerned over questions of military matters, they sacrificed to Heaven; they slaughtered an ox and divined by means of the hooves: If these were uncurled, and loose, this signified good fortune; if they were closed up they meant bad luck. 156 For the Japanese Islands we are simply told that the peoples of Wo heated bones in order to divine, thereby discovering what their fortune would be likely to be. 157 Summary

From the foregoing it may be seen that many Chinese of the Han period retained a deep faith in the powers of divination. Deliberate attempts to search for guidance in this way possessed a significance and a validity that was no less forceful than that of other intellectual or religious activities undertaken in like manner to plumb the secrets of the universe. The act of divination depended on a belief in the ~!1~ta!:_Y_1!.'1:!u_i:_e_qf t!ie U!J.iverse.H sought communication with unseen powers through the medium o:f materiaI objects that were thought to be inspired with IHU}1ipo11s_ m.u1liti.es_. It could be used to ensure good fortune for the living and the dead; it could solve problems that affected human destiny on earth; it could serve as a means of ensuring that the holy spirits were being worshipped in an effective manner. _'!_'_~e_r,_e_p_e_tsistecL
157

SC 12, p. 40; SC 28, p. 80; MH vol. Ill, p. 507; HSPC 25B. la. HHSCC 85.4a; SKC 30, p. 841. SKC 30, p. 856; HHSCC 85.12a; Tsunoda and Goodrich (1951), p. 12.

190


a popular level with a view to obtaining assistance ove~ ~~rsonal m~tt.ers. _As the cenNries passed there grew up some measure of cntic1sm .that div1~at12.11 ~as being practised too frequently or for the wrong purpos~s; that ~t was ineffective and that it lacked an intellectual basis; or that 1t exercised a detrimental effect on moral standards.

9 The oracles of the clouds and the winds

The subject of oracles and divination usually calls to mind two topics, the shells and bones of the Shang-Yin period, and the cast of the yarrow stalks with a view to constructing the hexagrams. Attention may then fasten on the inscriptions of the shells and the bones, or on the Changes, and their respective places in linguistic, religious, historical or philosophical studies. However, it is by no means always recognised that divination and oracles continued to be matters of considerable importance in their many forms in later ages, playing a significant role alike in political decisions, religious practice and scientific enquiry. The discoveries of manuscripts and a few artifacts in recent years have called for a new assessment of the whole subject. It is beingr~ali~~ that inth~ im,pe!"ial age deli1J~i:;;it~ act~ Qfdivig(,ltion, in which takes positi:Ve steps t~ cause certain. signs to appear in material form, and the consultation of oracles, where mal1 seeks to interpreimessages that are inherent in natural phenomena, were still an important means of enquiry or search for information. In ·the early empires, for which this type of activity is well attested, Chinese literature was still by no means voluminous, and intellectual activity had not yet been entirely subjected to the imposition of an orthodoxy. Emperors themselves were at times involved in mantic processes, and the eslabflsiimeil1:"0r offid~is1n~l~ded.experts who were responsible f~r these arts and who were listed afongside other specialists, such as those of medicin.e or .other aspeCfsofieiigi ciri. Acts of divina tio11 _~ncJ. JhQ QQ DS..l!l tl!ti-911. gf o.rac;l~s i!J probabillty took place-at-aff l;;vels of ~ociety. Some of the practices were supported by men of distinguished iriteBectual powers; ~~~~~!e~.-~ham_ cri ticismf:r.Qi:!LSG~Ptic.s. -·· Divination and. oracles sometimes form a meeting place for philosophical or scientific enquiry, religious ritual and the irrational response to undefined urges of instinct or the call of myth. The ~l!!Jjectf'orm~ a good ex(:lmple of the n~-~~-to combine the approaches of different disciplines, such as intellectual history, archaeology and anthropology, and to take account of evidence of many different types. These include records of incidents; protests voiced by unbelievers; !Ilanusc;rir:it c;9pie~- <;>fmanuals_; instruments designeaToi~j)iactical and entries in bibliographical cataiogues. In addition, the study of oracles

man

all

use;

191

192


and divination illustrates the facility of some Chinese of the Ch'in and the Han periods both to concentrate on specialist practices and to fit them within a major context. For example, instruments made for mantic purposes demand the acceptance of some of the principles of astronomy and cosmology; at the same time, the interpretation of oracles may call for a trust in myth and for convictions that cannot be explained on rational grounds. Consideration has been given elsewhere to certain aspects of mantic practice which have been clarified by recently discovered archaeological evidence. These aspects include the use of almanacs Uih shu) and instruments (k'an-yii) and the interpretation placed on comets. Attention has also been paid to the practice of divination with turtle shells and yarrow stalks during the Han period. 1 The following pages will concern the oracles of the clouds and the winds and the ways in which they were thought to carry ~~_yi~~-Qr provide answer~)9__~qyg~~:__ --------f discovered manuscripts depict the clouds and the images that can be recognised therein, accompanied by short texts which interpret these signs and the activities that they were thought to foretell. Both the illustrations of the manuscripts and the texts of the captions bear remarkable affinities to references to the subject in the Shih-chi, Han shu, Chin shu and Sui shu. The '!:illlearagg~ of certain types of cloud was. explain~ci, perhaps by_way_of~ ratio,g
Oracles of the clouds and the winds

~eatures. of the heavens. Of a total of some 350 surviving items, which include 11lustrat10ns of .these pheno.mena, over 300 also bore texts that gave the phenomenon a title and provided an interpretation or prognostication of what ,·1ts result would be. Consi~erati.on has been given elsewhere to the entries on this manuscript for twen.ty~mne dtff~rent types of comet. It has been observed that many of the pred1ct1on.s ascnbed to the appearance of comets .\"~t:e_PL
wo recenffy

dog?.

One of the manuscripts found in tomb no. 3 Ma-wang-tui, which may be dated·~· at some time before 168 BC, takes the form of a large sheet of silk, measuring c. 48 by c. 150 cm. 2 The manuscript was divided into six horizontal registers, each one of which included a number of separate entries for phenomena or ' ' See chapters 3, 5 and 8 above and 10 below. The manuscript has been entitled by modern scholars T'ien-wen ch'i·hsiang tsa chan; see Ku T'ieh-fu (1978), translated Harper (1979). For illustrations of the clouds, see Chung-kuo po-wu-kuan, no. 2: Hu-nan sheng po-wu-kuan (Peking: Wen-wu, 1983), no. 138; Chung-kuo wen-wu no. 1, 1979; and J yiian toying no. 9. It is possible that material comparable with that of the manuscript may have been included in works entitled Yiin-ch'i t'u (see Hua-yang kuo chih, SPPY ed., !OA.Sa), and Hou yiin-ch'i (see Sui shu 34, p.1020).

2

.,,.

I

i

I

I

II I I ~

I

kt,

u:: If~

horse ff

of

The oracles of the clouds

193

J: /-z:' ' w. HF

ITT J:

/g1

OX

ff ffi J: \&

deer

ff ffi J: J{J{

·f h. 1 t 1s appears over the city wall it will not be taken if this appears over the army, the general will die if this appears over the army there will be a victory if this appears over the army there will be a defeat if this appears over the army it will take [or be taken]

Probably the earliest reference to this subject is to be found in the Tso chuan for _ t~~.t~8:~.§~~~S::~!EU?~~-to.lhe..llf~~~~H.Y~.i!lkeyi)~i~-ts~~Tih~ yea~, .t() _r_eco.t:ci:BUYnilngJIJ.~J)bj1<£JS ().[.~,~ inthe clollds (yiin wu)as a means of' ,~akmg pr~c.;a11!1.o,:isf9~ ~li&fl1t1!E~: Somewhat fafefllie Lu shih ch;un-ch 'iu refers to the different shapes of clouds as follows, in a famous passage that describes the attraction of like things for like: 4 Clouds from the mountains are [like] vegetation; clouds from the water are [like] fish-scales; clouds that derive from drought arc [like] smoke or fire; rain-clouds are [hke] the waves of water; in all cases they resemble that from which they originate as a demonstration to mankind. Attention sh~uld now be. paid to the expression yijn ch\JheyitaI energy of th~ clouds, .which occurs m passages that concern philosophy or natural

sc1~11ceand m some which draw on mythology. The expression is seen at least ' Tso chuan, SSC 12.18a; Couvreur (1914), voL I, pp. 247--8; Legge (1861 72), vol. v, part I, PP- 142-4; DeWoskin (1983), p. 8.

4

LSCC 'Ying t'ung' 13.4b.

194


Figure 13

Figures seen in the clouds, from the silk manuscript from Ma-wang-tui.

four times in the Chuang-tzu, where it has been interpreted as referring to natural phenomena in a _tJ:l_~!~tialist w~y.Jhe same interpretation has been applied in occurrences of the expression in the Lu shih eh 'un-ch 'iu, the Huai-nan-tzu and in one passage in the Kuan-tzu. However, in a second passage in the Kuan-tzu ('Nei yeh') the term is used according to one writer metaphorically, with a spiritual connotation. In addition, while the expression does not occur in thefii-oftheiisan~tzu,· the clouds are described there in terms that show how they transcend material dimensions or limitations and partake of spiritual powers. From these and other passages, and a much longer one from the Shih-chi which will be discussed below, Kuroda Genji traces a distinction between two views of yiin ch'i; one that was limited to natural phenomena, and one that was extended to the concept of the clouds as an instrument of prognostication, originating from military practice. 5 A much longer passage, which is the subject of a special study by Professor Hulsewe, may be found in the Shih-chi and Han shu. At the time when Hulsewe's article was published the manuscript from Ma-wang-tui was not available for study and it may now be possible to amplify our understanding of the passage. 6 The passage refers at the outset to observation of the vital energy that informs the clouds (fan wang yiin eh 'i). 7 It mentions the visible signs of such ' Kuroda Genji (1977), pp. 165-72, cites passages from Chuang-tzu 'Hsiao-yao yu' l.7a, Graham (1981), p.44; 'Ch'i wu Jun' 2.40b, Graham, p.58; 'Tsai yu' ll.34a; and 'Tien yiin', 14.47a; Hsiin-tzu 'Fu p'ien' 26.13a (SPTK), Liang ed. p. 358; Kuan-tzu 'Shui ti' 39.2b; 'Nei yeh' 49.5a, Rickett (1965), p. 167; LSCC 'Kuan piao' 20. l 7b; and HNT 3.30a. See also TP YL 6.4b for a citation from Ta hsiang lieh hsing t 'u which concerns the control exercised over various climatic phenomena including yiin ch'i. • SC 27, p. 72, MH vol. III, pp. 393f; HSPC 26.43a; Hulsewe (1979c). 7 Chavannes separates the two characters and renders 'observation des nees et des vapeurs'. The expression yiin eh 'i is also seen in Shui-hu-ti strip no. 852R (Jao Tseng-i and Tseng Hsien-t'ung (1982), plate 18). I am aware that many distinguished scholars prefer to leave 'ch'i' as it stands rather than attempt a translation. The term 'vital energy' that is used here is comparable with 'vital force', as once suggested by Bernhard Karlgren (see Day (1972), p. 15 note 1). In Han writings, eh'i had not been developed in the way that it appears later, principally in Neo-Confucian thought. It signified a life-giving force or vitality that may remain latent within certain natural substances or phenomena, or may become manifest in material form. In this way the unseen force could be seen to appear in the clouds. A further example of the concept of eh 'i


195

energy, for example, as 'animals situated on top of the energy of the clouds'. Types of vital energy are distinguished by appearance or colour (se); in addition, account is taken of the different topographical origins of the clouds, in terms of mountains such as Hua shan or Heng shan, rivers such as the San ho or regions such as that between the Yangtse and the Huai rivers. The text describes clouds in terms of artifacts such as spindles, axles or ladles, and the prognostications are often of a military nature. The text's statement that prognostication accords with the shape of the clouds is supported by examples of clouds whose ch'i resembles domestic animals, tents, ships or banners. There are only a few signs in the passage of attempts to draw a direct relationship between the clouds and their messages and the system of Yin- Yang wu hsing thought. 8 The way in which this passage depicts clouds and their imagery as animals or artifacts is remarkably similar to their treatment in the manuscript from Ma-wang-tui. Attention will be paid below to the even more striking identity between the terms of the manuscript and those that appear in the next relevant documentation of the Standard Histories, i.e., the Chin shu and Sui shu. Consideration should, however, first be given to further evidence for the practice of consulting the oracles of the clouds and the importance ascribed to yiin ch'i during the Han period. [Several passages allude to the way in which the vital energies of the clouds accompanied Liu Pang. Thi_s W1!-..~J~.ef2Le~g!sri..~e to become kil!g.,_~Pd.. then empe~()r;.~0111~.!Q. f!! (:l_I,!<:l£fi!~11i~!~~
196



supported by a statement in the Shih-chi and Han shu, to which reference will be made below, that the starting days of the four seasons were the appropriate times for making observations, but it should be noted that this statement is not put forward in immediate respect of observation of the clouds but in connection with predictions for the harvest. Nevertheless, in the immediately succeeding passage, 11 concerning observation of the winds with which the type of harvest was supposedly linked, due account is taken of the circumstances of the clouds. In addition, Professor Bodde cites a telling passage from the I-wei t'ung-kua yen 12 which shows the value placed on observation of the clouds at the winter solstice, in order to determine the fortune of the incoming year. It will be seen below that importance was likewise placed on carrying out the observation of the winds at a comparable point in the calendar. An incident in which a named observer of the vital energies, Su Po-e, was acting on behalf of Wang Mang may also be noted. 13 In addition, a passage of the Chou li has been explained by Cheng Chung (d. 83) and Cheng Hsiian (127-200) as meaning that the duties of the Shih chin included consideration of the messages of the clouds. 14 Several passages illustrate how attention to the vital energy of the clouds could sometimes be paid in material form. We are told that the famous intermediary Shao Weng once advised Wu-ti that if he wished to communicate with the holy spirits he had best order prep'!:r'!:tiQl1_()fJliG.t9l:i~lr~.rJ)§.(::nta, g()!!§_Jh.aLW.QJJld_b~.£Ql1dlJ£iYe~_e§_~J~111.lJ,fh~.~IB1l~IQih1:1~t~.£i:l.r..r.il:lE~J?.l.lilt on_ w_!i.ic:;h.th~yi.t9:\()!1~fg!c:s of th~. clouds were ~111Y painted. 15 In a second instance, 1-r'i one of the protests recorded in the Yen-t'ieh lun against the extravagance of the times, reputed! yin 81 BC, the man of learning ( wen-hsueh) cited the a!.t~-~E~5'.. fashion_ipg; 9.f.th~..vJ~aLe.n~rnie~ or. i,?e. cl()1l~s .l:l.s l:l11: e)(_a:npl~ ()fJh~WS!l~!:.JJi_ ·basic l'l!.l:lt.~tici!s"~'..~. Traces of a painting of yiin eh 'i in red on black lacquer have

incident, and the expression yiian ch'i, which does not appear to be used elsewhere, requires explanation. It may be noted that in the manuscript from Ma-wang-tui the characte~ yiin' (speech) is regularly used for yiinb (cloud), and it is possible that in HHSCC 2.4b an ongmal yiin' (speech) has been corrupted into yiian. The records of observation made by Chang-ti and Ho-ti (78 and 93) on days corresponding with 18 February and 25 February of those years both specify yiin wu. Consideration of the dating of these visits suggests that they may have taken place on the day ofSpring's Beginning, i.e., the seasonal New Year (see Bodde (1975), pp. 45f). For a further reference to the ruler's visit to the observatory to inspect these phenomena, see Chung fun B.15a, b. 11 SC 27, pp. 79f; HSPC 26.46a. 12 Bodde (1975), p. 168. A work of this title, in two chiian, edited by Cheng Hsiian (127-200) was known in Sung times, but it has long been lost. For collected fragments, see Shuo-fu 5, and Sun Chiieh, Ku wei shu, pp. 265--95. For the dubious nature of the text, see Wei shu t'ung k'ao, p.146. 13 HHSCC 1B.23b; LH'Chi yen' 9, p. 90 and 'Hui kuo' 58, p. 831 (Forke (1907-11), vol. I, p. 181, and vol. II, p. 206. 14 Chou Ii, SSC 25.4aff, Biot (1851), vol. II, p.84; Ho Peng Yoke and Ho Koon Piu (1985), pp. 25f; see also Chou Ji, SSC 26.20aff, Biot, vol. II, p. 115, for the duties of this type that were assigned to the Pao chang shih. 16 YTL Tung yu', 3, p. 22. 15 SC 28, p. 52, MH vol. III, p. 470; HSPC 25A.25a.

197

been identified in a Former Han tomb of c. 140--130. 17 Such paintings arc also said to have featured in the extravagant mansion built by the Liang• family in the suburbs of Lo-yang c. AD 150. 18 Paintings of this subject were also prescribed in the regulations for funerals; they were to be used to decorate the coffins of kings, princesses and certain grades of imperial consort. 19 For the next references to observation of the clouds and their oracles we must turn to the treatises on astronomical phenomena in the Chin shu and Sui shucompiled by Li Ch'un-feng (607-70). 20 The significantly different arrangement of the material in these chapters from that of the Shih-chi and the Han shu mayJ?_ossibly indicate a new approach to the subjectthfil conformed witli. develo.p111~~t~Tn-the-Concept and treatment ofch'( . ··- ... ... ..... .. ·· Bodde has suggestecfihat it may have been Ching Fang the second (79··37 BC) and Yang Hsiung (53 BC--AD 18) who had been concerned with formulating the theory and technique of watching the progress made by vital energy and measuring its passage in time by means of the twelve pitch-pipes. 21 Certainly it may be accepted that this technique was being practised during the latter part of the second century AD, when it was described by Ts'ai Yung (133-92). Jhes_e_d~.Y~IQJ'J11~U.t~_~rose from the idea that eh 'i played a_pqrtjp th~ .. cosmic process and that the timing of !ts miin.iJe~!a,iio11s ~as a matter of profoundstgnificaiice;Toriftfiesecouid be observed and charted it would be possible to uridersfa.ncfihe.movementsof the world of nature tO harmonise n.!11im~ci£~i£!{on.§.i£:'C()i:effogfr: oftlieprogress by vital energy had therefore become subject to a regularised procedure at court which was carried out with considerable attention to detail. The implicationsof. t.h.e. movements whicJ:t.were observed to take place subtly-inthe..pfich~pipes bore a distiiicfmessa~e for 'ther~i~r:ot_iheernpire and his ~ond~ct of the government of man. :Passi bly a ~~re sophisticated idea of eh 'i was emerging; as .compared with that which underlay earlier practices and their documentation. The passages of the Chin shu and the Sui shu referring to observation of the clouds and their eh 'i are largely identical, and it is possible that the difference in the arrangement of material there compared with that of the earlier histories reflects the new way of assessing the importance of vital energy. In addition to very short entries under the title yun eh 'i, 22 the two chapters include the greater part of their information about clouds as part of a major section entitled tsa eh 'i.

Ooservafion

17

1•

20 21

22

and

maae

See WWl979.3, lf, for an account of the tombofTs'ao Chuan near Ch'ang-sha (p. 3b includes 18 HHSCC 34.12b; Bielenstein (1976), p. 73. a reference to the painting). HHSCC (tr.) 6. lOb; see also HHSCC (tr_) 6. lla; 10.Sa and 29.13b. See Ho Peng Yoke (1966), p. 13. See Bodde (1959), p. 18. It is necessary to distinguish between two scholars, each named Ching Fang and each concerned with the Book of Changes; (a) Ching Fang the first, teacher of Liang-ch'iu Ho, at one time governor ofCh'i commandery, and known as a specialist in the I ching by the time ofHsiian-ti (reigned 73-49 BC); Hulsewe (1986b) suggests dates of c. 140 to c. 80; see HSPC 88.9a; and (b) Ching Fang the second, pupil ofChiao Yen-shou, native of Tung commandery, dates, as in Bodde, 79-·37 BC; see below in connection with prognostication from the winds; HSPC 75.9a and 88.lOb. CS 12.16a; Ho Peng Yoke (1966), p.138; SS 20 p. 576.

198



199

While interpretations of various manifestations of eh 'i are still largely couched in military terms, the lay-out of the chapter treats the whole subject in a wider context and in a more sophisticated way than hitherto. 23 The chapters of the Chin shu and the Sui shu include in a different order and arrangement much of the text that appears in the Shih-chi and the Han shu, as well as some details that are not in those chapters but which do appear in the manuscript from Ma-wang-tui. As in the earlier histories, so in the Chin shu and the Sui shu clouds are described as being shaped like artifacts, such as spindles, axles and ladles. 24 In addition, the clouds are classified in terms of the pre-imperial states and, as may be seen below, in many cases there is complete identity in this respect with the entries in the manuscript: Comparisons drawn in Illustration in the Classification by names manuscript Chin shu, Sui shu of states: manuscript, Chin shu and Sui shu cloth? cloth Hane ~ OX ox Chao lt11 sun sun Ch'u ~ horse? carriage Sung [not included] horse Lu ~· dog {ffj dog Weia [not included] carriage wheel Chou 1il traveller traveller Ch'in ~ bird rat Weib {(\! [not included] crimson clothing Cheng ~ [unidentified crimson clothing Ch'id ~[not included artifact] in the Chin shu] dragon dragon Yueh ~ circular granary circular granary Shu ll ox [not included] Chung-shan i:p LiJ tree [not included] Yenb ~ {unidentified] [not included] Jung* 7-x

*

*For entries in respect of the foreign peoples of the north and south, see SC 27. 75-fi and HS 26.44b

The manuscript from Ma-wang-tui and the evidence of the Standard Histories cited above may now be compared with that of a manuscript of a later date, found at Tun-huang. 25 This was a scroll of paper, measuring 31 cm 23

24 25

CS 12.19b; Ho Peng Yoke (1966), p.144; SS 21, p. 584. In expressing this view I may be differing somewhat from Professor Hulsewe; it does not seem to me that the text of the Shih-chi or the Han shu reads abruptly or that a lacuna should be suspected; see Hulsewe (1979c), p. 42. SC 27, p. 74; HSPC 26.44a; CS 12.23a; Ho Peng Yoke (1966), p.147; SS 21, p. 59. The most comprehensive study of this document will be found in Ho Peng Yoke and Ho Koon Piu (1985). Reference is made therein (introduction, pp. 2-3 and p. 134) to earlier studies by Hsiang Ta, Ch'en P'an and Hsia Nai, which concern both the document under consideration

Figure 14

Figures seen in the clouds, from Chan yi.in ch'i shu.

in height with a length that is given variously as 277 or 299.5 cm. The scroll consists of seven pieces that were gummed together, being damaged at both the beginning and the end. After discovery and retention in private hands since 1943, the scroll finally came under the custody of the Tunhuang County Museum (item 58). One side of the scroll carried the text of monetary accounts that date from the T'ien-pao period (742-56). On the other side there was written part of an astronomical chart which is distinct from the text that is under consideration now. This bears the title Chan yun ch'i shu; the text is further divided, by subtitle, into (a) Kuan yun chang and (b) Chan ch'i chang. On the basis of calligraphic evidence it has been suggested that this side is considerably later than the monetary register of the T'ien-pao period and that it dates from the second half of the tenth century. The text is by no means free of error and it is regarded as the work of a poor copyist rather than the author of the text, which may consequently have originated some time before the tenth century. Like the manuscript from Ma-wang-tui, the Chan yun ch'i shu includes illustrations of clouds with textual captions (see figure 14). In (a) Kuan yun chang there survive twenty-nine items, of which three consist of text only. Of the fifty-one items in (b) Chan ch'i chang, twenty-two have both illustrations and text; two have text only; twenty-seven consist of illustrations only. The text that is attached to the illustrations is mainly a set of prognostications here and the astronomical chart which precedes it. See also Ma Shih-ch'ang (1982), pp.477-508, and Ho Peng Yoke(1985), pp. 146f. Illustrations of parts of the document appear as follows: (a) the astronomical chart Chung-kuo ku-tai t'ien-wen wen-wu t'u-chi p. 121, colour plate 10 and plate63; and Ho Peng Yoke (1985) fig. 58 and endpapers; (b) Chanyiin ch'ishu; in colour, in Seki Kafuku and To Kengo (1978), pp. 170 1; and Chugoku Tonka ten no. 85; in black and white in China Pictorial 1980.3, p. 17. The illustrations of the clouds are also reproduced, individually alongside their text, in Ho Peng Yoke and Ho Koon Piu's monograph.

200



personal.iti?s below. Th~ .l1P2!i.~
based on the type, colour or shape of the clouds with particular reference to military fortunes, as may be seen in the following examples (interpretations follow the suggestions of Ho and Ho and their correction of the text on the basis of comparable passages from other sources which are mentioned below): Ho and Ho p.69, no. 8

p. 71, no. 10

p. 81, no. 21

ma tt~r~

s

r

Regarding the relation of this manuscript to other texts, Ho and Ho state (English summary, 2) that textual comparison shows that all the entries in the Chan yiin ch'i shu manuscript have their parallel items in the astronomical chapters of the Chin shu and the Sui shu. Indeed, the Chan yiin eh 'i shu, because it is less complete and developed, seems to be more rudimentary and could well have existed before the time of the chapters of the two Standard Histories (compiled by Li Ch'un-feng, early seventh century). Ho and Ho also raise the question of whether the Chan yiin eh 'i shu was perhaps related to the T'ien-wen chan yiin ch'i t'u, another lost text which is mentioned in the bibliographical chapter of the Sui shu, although they admit that this can only be a conjecture. It is in connection with this manuscript that Ho Peng Yoke explains augury by the clouds in terms of'a.s.s5:>,£!~~iy~JhJ.l!!cigg';j.e.,,JJ}"'~J''.:~t~~U.~
\voufa

·-·- ··· · ·· ···· ·

F'eng-chiao 'the corners of the winds', forms another example of oracles that were seen to exist in the normal phenomena of nature, if man would but take the trouble to look for them. In the Shih-chi and the Han shu the passages on t~e oracles of the clouds are followed by a section that concerns prognostication for the harvest, and it is in this connection that the oracles of the winds are ~iscussed. Together with the oracles of the clouds they are mentioned in the mtro.ductory passage to the biographies of specialists in the occult arts (fang s~u) m the Hou H~n shu, along with a host of other mantic techniques. 27 As will be seen,-~~~ is!~-~~~~~~ho~..!~~!.a,,!~~~!~.2~-~a~_b_eiP.K,.Paid .to this. ty12e. ~f?1:'.1cle before the Lat:!.!!~!!..J2~[i.2§, but it is only from theil.1Jiaith~te~m feng:c'liii:io''comesiiito ..prominence. In this connection publication is early awaited of a document written on fifty-one wooden pieces, found at tomb no. 1 Yin-ch'iieh shan Lin-i (Shantung province) and dated between 140 and 118 BC, the content of which is described as Jeng-chiao chan. 28 §ta_!~!:!!.e~<:?.1.1..!~~. !~~ory and practice ofccH1sul ting the or.acles of the winds

~i~~1is~i~~nd·s~~nt.~~~~~?~~~~~~~-~f !h.e11~E}fiii~~~fr;!~i~-~ii~qii~~4~ir:~~~r ........ ·······.····· --·:·--············ .P.,,"•... 12 ..•....... gg_ ....................P.£tff! .Qng!!l.ll:~~s! ...1.!l .a.

~~~~~~!~~E.R~UQQ, It may perhaps be asked whether a development took

place from an original type of naturalist prediction, based on observation of the direction, force and timing.oftne...w"lridS,toi'-combination of such ideas wit~ the theories of the cosmos and its operation which were being formulated durmg the Former Han period. By the eighth century the theory and practice had reached a highly. stylised form. 29 Q~_Ein1t_!'l_<:J:~, ...}!.. ~~~~.. .e£~~J?.tesLl!§ J:t;:~E~~.!,::,~~~-!?X ..1!1:en .w1tb . . SJJ.glJ. . . diy~r:§~. app.roai;:h~~ .19.J!fe .e~... Chang Heng (78·:-139) and Ts'ai Yung (133-92). · ·· ·· ·•··· ··•· ·· _

28

Ho Peng Yoke (1985), pp.146f.

.?.ne _a_sy~~~ 9f.tl:i.~. ~~b.i~£L.

The oracles of the winds (feng-chiao)

21

26

lSJY:~t

?.ther words which concerned augury by the clouds may be traced. Fujiwara Sukeyo's catalogue Nihon koku genzai sho mokuroku of 889 to 97 includes ~nentry for Yiin ch'i pingJa under section 33 (ping fa), together with a wo~k entitled T'ien mu ching annotated by Li Ch'un-feng. In addition, the subject features in Yu Chi-ts'ai (Northern Chou), Ling-t'ai pi yiian eh. 4· and in Ch'u-t'an Hsi-ta (fl. K'ai-yiian period 713 to 41), T'ang K'ai-yiian 'chan ching (chs. 94-7). Fi~all~, attention should be drawn to two other manuscripts fr.?m ~~n-huang .which it has not been possible to examine: one entitled Feng yun eh 1 hou chan m P. 3784; and P. 3794 Chan ch'i shu, whose contents include a work that concerns both the clouds and the winds.

~l:~~frn!l!~~PJi&U~J

If there are clouds like a carriage's canopy over the enemy he should not be attacked. ~ fl 1ti 1Jl'. l: ~ ~ ~a ~ ~~ !ffi ((J) (ttl) ~ ~ 1~ ~ •L' /F PJ • If on observation from a distance there are clouds like fighting cocks above an army [or a camp] with red and white colours intermingled, the army [camp] has obtained heaven's will and should not be attacked. ~~m~~~~~~M~z~~**~ If there is a clear sky in all directions with an isolated cloud rising, large forces of troops will arise in the area where it is seen.

201

29

-- -- - -•

!<;"<'"·'- •,' ;;-ill,.•,,~'""••·N;c•_,..·,.,_..~"'-'-r.~'

e 'cc"" ~·fl·

HHSCC 82A.lb; Ngo Van Xuyet, p. 74; DeWoskin (1983), p.43. WW 1974.2, pp. 18, 32 and 35. See Ngo Van Xuyet p. 188.

202



appropriate crop should be planted. It continues 'If the rain and snow on that day are icy, the harvest will be poor; if the day is bright and clear, the sound of the people of the cities is heard.' The type of harvest will be in accordance with the note of that sound, i.e.:

( i) Origins and theory

ConsultatiOn of the winds is mentioned in the Shih-chi and the Han shu immediately after the passage that concerns the oracles of the clouds. 30 The subject is introduced as being a matter of concern on all occasions when awaiting signs of the type of harvest that could be expected'fan hou sui mei e', and the use of the term hou may perhaps be significant; for wh~reas }1'.Jl11.g 'o~~.ili:m~i~..!I.§..ed.lli t!ie c~se 2-fi~-~~~W_?fthe clouds,~h_ou implies waiting. It was in the context of waiting for signs of the progress of eh 'i that the lwe!Vepitch-pipes were set up, and prognostication from the winds may perhaps best be understood in the same way, i.e., as predictions attendant upon signs of an expected development. 31 In the case of the clouds that development had already occurred. ~~ifi~~~~!IJ.~~..ill!X.~~! th!?~~Xt9~£!U!ld t~~!!~J!§QM.....~ type of progn.~ti9.ais.appt.o.priate. It was in such circumstances that Wei HSie~hose name was singled out as a specialist skilled in predictmg the harvest~:::~~-~~.l2. 9-2:of91!§!f.l~.~~l~~~~JO.~~~.~i:.~~!ai!§JJ0~~ ia'33~'and on the· first day of the first month, in order to determine the 1iri~Hcaffons eigiii"wll:icfii~··fhe~correctiJJ'.e. '' "'-

">'·~

·or 'tiie· ~ - -~

f '' , •. ~.--· · '"'

-~~'·-~ -'-"'"'•"~" "">!~-""'"'"-"'<-<'"'"'"'"''"'.,,~
Direction of wind's origin south south-west west north-west north north-east east south-east

·"'-

were.as"roTIOW-S:--

<.o.· •.

"~""'" ,;·_,,,_",~U:..:000!<",._.

Prediction major drought minor drought warfare ripening ofjung beans; slight rainfall; a levy to arms harvest of medium quality harvest of good quality major floods pestilence and poor harvest

~~lists the predictions attendant on winds blowing at various

peE~Qg§=qf!imt2ur~J'orI~~~~,w1~oso1owmifo!~marone of Uie twelve two-hour periods which starts at dawn will be followed m due course by a crop of hemp. Next, the text discusses how different combinations of_rain. cloud wind and sun during the day ~mitaprogiiostic~twn.Qf.the.qua.ntity-ef the h~rve§h_.asif.. the weather condition~f the~- in !}!!estion were a micrO'~...QfJhe...we.aih~t.fu!l.h.£.J.YQQle o(.!.~-Y..e.!!IJQ_COl!!~JU!.9 CQ_ulqJhus form a basi~. The passage then observes that prognostication rOii'O'Wsti:i:e colour or characteristics (se) of the clouds and notes that the 30 31 32 33

SC 27, p. 78; MH, vol. III, p. 397; HSPC 26.46a; Ngo Van Xuyet, p. 186; Bodde (1975), p. 45. LSCC 'Yin lii' 6.4b. SC 27, p. 93; MH vol. III, p. 409; Bodde (1975), p. 46 note 4. I.e., the People's New Year; see Bodde (1975), pp.49f.

203

kung" shang chih0 yiih chiaoh

indicates a good and fortunate harvest indicates that there will be warfare is a sign of drought is a sign of floods indicates a poor harvest

-

This final detail is the sole connection with the system of the wu hsing that is drawn in the passage. One of the .first.!!..!!!Jles to be mentioned in relation.ta,ihe..oracles ----~ ..... -··---~--··-··---........ ....... . . . . ..of the winds is I FeJ.!&,~ 4 Living in the middle of the first century BC, he was associated with opinions described elsewhere as Reformist; 35 i.e., he reacted against the principles and policies ofWu-ti's reign, in favour of the ideals ascribed to the house of Chou, in place of the realist, materialist outlook that characterised Ch'in and the first century of the Han empire. I Feng's attitude was shared by two fellow students with whom he had studied the Ch'i version of the Book of Songs, i.e., Hsiao Wang-chih and K'uang Heng, who both played a prominent part in public life. 36 ~Fe~gJ.l!~Q.!:.~<".~,Y,k!.W:!.ll!~lll;~£JL1!l.flrls.i:[email protected] i~.2lli!-l!S9i.Qm!i!l!L&,ll4Jh.t.t?!!Uh~L!h~J?Jfl:Y~c! as Heaven's warnings to the rulers of man. One of his memorials forms an excelleiitr6sulli'{O'fiiie''Vie--;sofTiiiig'Clliing""...shu (c. 179 to c. 104), whose ideas presaged those of the Reformist statesmen of Yiian-ti's reign (49-33). 37 In addition, I Feng supported the introduction of economies in imperial expenditure and suggested that the seat of imperial government should be moved east, to the site of the old capital of Chou. It was to I Feng that were ascribed the ideas that led to the religious reforms proposed and introduced by Kung Yii and K'uang Heng. 38 I Feng preferred to avoid serving in high office, and rose to be no more than an academician (po-shih) and advisory counsellor (Chien ta-ju). He is described in his biography as being an expert at prognostications of the calendar and Yin-Yang, and in the first of his memorials he sets out to explain the importance of the six emotions and twelve regulators (liu eh 'ing shih erh Iii) in the comprehension of human motives and desires. In doing so, I Feng discriminates between six directions (north, south, east, west, upper and lower) and correlates these with their characteristic activities. It is in this context that he sets down a classification of days, enumerated according to the 34 38

HSPC 75.11 bff. CC eh. 5.

'

35

See CC pp. llf.

'" CC pp. 147f, 154f.

37

'

'

HSPC 75.15a.

Oracles of the clouds and the winds Divination, mythology and monarchy

204

Twelve Branches, when certain activities are deemed either to be fortunate or to be avoided.39 An example follows:

north; haoa; greed; under the aegis of shenb and tzu east; nu; violence; under the aegis of hai and mao

1

two types of Yin activity, with the result that kings avoid tzu and mao days

h

I Feng illustratedhthis

· 1 t winds that had

tt~eotrhyebfirys~:~~~~eo~~~e ~:~~j:t passed (47 BC),

· from the sout -eas . Ym · mam1es ·c t d · ansen . . m . . d. f on of excessive e m and he interpreted their timmgbas. an ~ ~ag~t to bear upon the sovereign and the unseen influence that was emg ro d h. 40 those aroun . im. th L. h 'ingfieng chia who are mentioned 1 · - n o ,.,;1p.. n ..lo be OW to e lU C --·1·R efiere~~·~·~--·~·~"~-"~"'~'·'!'"~·,.·~y at east one • .~-~~~ 41 This t e of speciahsat10n is exp1ame m the Lun-heng. Yp d.f dated 1935) as deriving from I Feng. commentator ~Huan~ H;~.e .~ i~~d 1689)hadsuggestedthathereinlaythe Somewhat earlier Chen i-yua · t' t'on by the winds Possibly the . . fee of prognos ica 1 · ongm of the 1ater prac i . . . spect of I Feng in a few short . f th t fieng-chzao is seen m re . e~rli~st use o e erm . 1 d I shihfeng chiao. The earliest of these citations citat10ns from a work enttt e M n K'an (ft. 180-260) to the Han shu. One comes from the com~entary of e g ,;he winds are the proclamations of of the fragments carnes the statement t~at 1 f nkind' .42 a very heaven, the means of announcing warmngs to t~e ~u ers o43ma ' -n

state~~~· a;cri~e(~;~3 ~)a;h~ ~:s !sn:~;;:~~mporary

is ofl Feng, similar The secon mg an ' . .th the device of measuring the . ti ned in connect10n wi d b has alrea y .een men o means of the twelve pitch-pipes, and he is also the winds He had been a pupil of Chiao advance of vital energy concerned with prognosttc~tion ~~om t al ucc~ssor 44 Among other matters,

?Y .

~~~~~h~~~;~:se~:r:;~ ~= :~s ~~~=~:ti:ns 1~a;t~~~~;~~~~;!~s~~~ :~

heat, ahnd for c.ol-ordfinaabti~;~~~t~t~~h;!~~~~iao shu, and it is possible, even also t e compi er o . · h ·esfromthatascribedto The assignment of the emotions to the directi':~ th~t i:,~~e{s~~)a~. lA. Tung Chung-shu; s.ee !fSPC 7f5th.6a nh?te~ ~~ cy:ie :as evidently concerned with the timing of 4-0 HSPC75.13b. Themctdenceo ec zen c u the winds; for chien-ch'u, see chapter 10 below. . 41 LH 'Pien tung' ~3, p.651. . HSPC 75.13a, and the note of Chin Cho (ft. ~08~ m •2 See Meng K'ang s (ft. 180-260) notes m HHSCC 60B lOa and 65.9a carries the cttation HSPC 25B.16b. The T'ang co~ent~ry tf. t d. SS 34 ~p 1020 1027 under the titles Feng translated above. I Feng's ~o~kis p~ssibly :~~·~an hsft' 19: p. 220, Forke (1907-11), vol. II, shih chanfeng and Feng sh1h mao eh ~1d[~er fthat winds are the orders of Heaven and Earth.] 44 HSPC 75 6a p 173 for a reference to a generally e e ie •3 HHSCC 30B.15a; and HHSCC 60BJ0a. · · ·

39

I

I

205

likely, that this highly original thinker introduced a number of his own ideas into the subject. 45 (ii) Practical considerations

From the Chou li we learn that it was part of the responsibility of the Pao chang shih to 'examine the harmonious balance of heaven and earth by means of the twelve winds'. 46 It must, however, remain open to question how far this statement derives from an ideal rather than a practical view of institutions, and to what date it should be attributed. Nor can we be any more certain of the extent to which Wei Hsienb's practice of co-ordinating the evidence noted on two significant days near the start of the year was adopted as a regular official or imperial routine during the Han period or later. It is, however, evident that the practice was being maintained by imperial astrologers of the Ch'ing period, at least up to 1877, 47 and it may be assumed that this followed long imperial custom. This must, needless to say, be distinguished from the cult of worshipping the lord of the winds (Feng po), which may be dated to pre-imperial and early imperial times. 48 During the Later Han period the staff of forty-two men awaiting appointment who were attached to the observatory included three who were specially .t~~J>.Pnsffi1erorwi~fClling!§!..1Jie~iiiCf~?"Ariirtller hint that,.~ffiCiaTli.oticecwa~s taken of the need to do so may be seen in Chang Heng' s construction of equipment designed not only as a seismograph but also as a wind-watcher (Hou Jeng ti tung z).5° Four examples may be chosen from the many records of incidents in which prognostication of events was successfully based on watching the behaviour of the winds. (a) 51 In the time of Ai-ti (7-1 BC) it was rumoured that the governor of Yiieh-sui commandery was about to revolt. Jen Wen-kung, whose father Jen Wen-sun is described as being well versed in the secrets of astronomy and feng-chiao, was sent with some colleagues by the anxious regional inspector to spy out and investigate whether there was any basis for the rumour. Fortunately, the son had followed in his father's footsteps. While the party •• CS 12.12b; SS 34, p. 1027 includes an entry for Feng-chiao yao chan in three chiian, stated in the note to be by Ching Fang. For the statement that eight of the names of comets that appear on the manuscript from Ma-wang-tui correspond with the names in Ching Fang's work, see WW 1978.2, 6b. 47 See Feuchtwang (1974), .p. 139. •• Chou Ii. SSC, 26.20a; Biot (1851), vol. II, p. 115. 48 HSPC 25A.15b; HSPC 25B.22a; HHSCC 40B.4a; HHSCC (tr.) 7.4a; HHSCC (tr.) 8.6a; HHSCC (tr.) 9.12a. For tlte establishment ofa shrine to Feng po at Yung in pre-imperial times, see SC 28, p.31, MHvol. III, p.444. 49 HHSCC (tr.) 25.2a note, which cites a statement from the lost Han kuan. • 0 HHSCC 6.7a and HHSCC 59.8a. For the possible construction of similar equipment somewhat later, by Hsin-tu Fang, see Wei shu 91, p.1955; Pei Ch'i shu 49, p. 675 does not include a reference to the winds; see SCC, vol. III, pp. 632f. " HHSCC 82A.3a; Ngo Van Xuyet (1976), p. 80; DeWoskin (1983), p. 46.

206


was staying at one of the official posting stations, a violent wind suddenly sprang up. Jen Wen-kung immediately urged his compa~ons to make good their escape in the face of the imminent danger of rebellion. In the event he alone of the party was able to get away safely. (b) 52 Lang Tsung who had studied Ching Fang's interpretation of the Changes, was an expert at prognostication by the winds and several other techniques. His skill was such that he could watch for the incidence of .~tal energy and predict good or bad fortune, and he would regularly make a ~vmg by taking fees for his services at prediction. An-ti (reigned 107-26) appomted him prefect of Wu. On one occasion a violent wind suddenly arose and Lang Tsung predicted that large-scale fires would break out in the capital city. The time of the prediction was duly recorded, and when messengers were sent to investigate what had occurred his prophecy was duly verified. (c) 53 The talents ascribed to Cheng Hsiian (127-200) included proficienc~ at astronomy and/eng-chiao. At the age of seventeen he noted that a strong wmd was blowing and reported to the county office that a fire would break out at a time which he specified. In due course his prediction was verified. (d)54 From the occurrence of a sudden squall, Wang Tsao, who was conversant with a number of arts and particularly skilled at feng-chiao, correctly predicted the arrival of mounted men to arrest him. He had seen the trees shaken by the winds and took this to signify the outbreak of an emergency 1OOO li away. He said that at the hour ofjih chung55 two horses, one grey and one chestnut, would arrive from the south-west to take him in charge, and in due course his prophecy was fulfilled exactly. This incident is recorded for the time of T'ai-wu-ti of Wei (reigned 424-53). The chapter of the Hou Han shu, which includes biographies of those versed in the occult arts, names a number of specialists in prognostication by means of the winds. In addition to those already mentioned, these included Hsieh I-wu, a contemporary of Ti-wu Lun who became Minister of Works (ssu k'ung) in AD 75, 56 and Li Nan. The latter surprised a number of his fellow officials by congratulating the governor of Tan-yang after he had been brought up on a charge, some time between 89 and 104:Li Nan explained that his faith in the governor's safety from punishment1was due to an interpretation of the winds. In time Li Nan's gift was passed on to his daughter, who claimed that it was transmitted within the family on an hereditary basis. 57 The chapter also mentions Tuan I, who was well versed in the I ching; Liao Fu, son of the governor of Pei-ti commandery who died in prison (107-13); and Fan Ying, who was appointed to be an academician at the beginning of An-ti's reign (i.e., c. 107), after demonstrating the accuracy of his powers of " HHSCC 30B.la; de Crespigny (1976), pp. 98-9. 54 " Shih shuo hsin yii A(2) 'Wen hsiieh' 9a, commentary. Wei shu 91! p. 1957. . . 5 5 I.e., the seventh of the twelve two-hourly periods into which the day and mght were d1v1ded. •• HHSCC 82A.6b; Ngo Van Xuyet (1976), p. 87; DeWoskin (1983), p. 53. " HHSCC 82A.9a; Ngo Van Xuyet (1976), p. 94; DeWoskin (1983), p. 57.


207

prognostication. 59 The eunuch Wu K'ang is also credited with these same sk~lls (c. 184), 59 and four other adepts, who are named by Hsieh Ch' eng in his History of Later Han, are variously described as students of the Ou-yang schoo~ of the Bo~k ofDocuments, Ching Fang's interpretation of the Changes, the Fi~e Classics or astronomy. 60 References to experts in subsequent dyna~tles may also be seen, for example, during the Chin and Wei periods.61 Mention should als? be made of Tai Yang of the Chin period, who fell ill at the age of twelve and died five days later, only to be restored to life when about to visit P' eng-lai, K'un-lun and other such places; in due course he became skilled at feng-chiao. 62 The o~urrence of winds was sometimes associated with the proclamation o~ amnesties. I_n a passage which links the movements of the heavenly bodies with the exercise of rule by the Green, Red, Yellow and White emperors or p~wers o~ antiquity, the final section of chapter 27 of the Shih-chi states: 'when wi~d~ spnng u~ from th~ north-west they will of course do so on days keng and hszn; if th~y anse ~ve times during a single autumn, there will be a major amne~t~; if they anse three times there will be a minor amnesty.' 63 Such an ~ssoc1ation, ho.wev_er, may not always have been an unmixed blessing. In the time .ofHuan-b (reig~ed 146-68) Chang Ch'eng used his skills atfeng-chiao to predict when am?estles wo~ld be proclaimed, thereby encouraging several persons to commit murder, m the expectation that they would benefit from these acts of grace. 64 The T'ai'ping yii-lan carries a reference to this case and to anot.her incide~t in which a~nc~sties were concerned. 65 Another instance may be cited wherein prognostication by the winds revealed the presence of a sage. 66 As wi~h t~e clouds, so with the winds military subjects recur in the prognostications. Thus an early military treatise of uncertain date refers to 'awaiting the winds and predicting the right op~ortunity and da/ 6 7 In 532 Wang Ch'un successfully foretold a victorious outcome at the battle of J:Ian-ling. It was said that in his youth he had been an expert in prognostication. by means .of the Changes and in the arts of feng-chiao, but it is not specified on which of the two types of skill he relied to achieve his successful •• HHSCC 82A. lla.1 lb a~d 12b; Ngo Van Xuyet (1976), pp. 98, 101; DeWoskin (1983), pp. 60, 59 HHSCC 78.18b. 61 and 63; see als_o T':"1tchett and Loew~ (1986), p. 307. 60 Th~se four we~e Lm ~ uan (c. 119-85); Shih yen (T'ai:wei: Supreme Commander 133-35); Hsi ~h (Ji. 160), and L1 Ku, first known for his memonal following the earthquake of 133 (see Twitchett and Loewe (1986), pp.307-11). See notes to HHSCC 25.llb; 46.lla; 53.5b and 6~. la. F~r the Hou Han shu of Hsieh Ch'eng (ft. 222-77), of which eight chiian survive see ' B1elenstem (1954-79), vol. I, p. 12. 61 For e]l:ample, see CS 95.lb and 52a; Wei shu 91 p.1958· Pei Ch'i shu 49 pp 676 680 62 CS 95.3a. ' ' ' . ' · :: I.e., in the historian's appr_eciat~on; SC 2~, p. 95, MH vol. III, p. 411. HHSCC_ 67.3b._The quota.tio~ c1ted_by Hm Tung (1697-1758) which associates the behaviour ?f th~ wm~s with ~estles is ascnbed to one Hsii Chien; there is no immediate reason to identify this man with the Hsii Chien whose biography appears in Chiu T'ang shu 102 pp. 3175-6. , •• TPYL 28.7b and 652.9a., •• TPYL 872.6a. •7 Liu t'ao 4.37b.


208

result. 68 Somewhat later, the subject offeng-chiao is treated in some detail in a manual on military matters entitled Shen-chi chih ti T'ai-po yin ching. 69 The system of feng-chiao is described as depending on an estimate of the distance from which the winds arise; the winds themselves may be classified in terms of the five musical notes, and a correspondence is drawn with the Twelve Branches. Prognostication is said to depend on the degree of violence of the winds. (iii) Intellectual implications Two passages in the Standard Histories may be singled out to show that the practice of divination and the consultation of oracles were accepted as being respectable or even commendable. In a positive way, one of the chapters of the Shih-chi sets out to vindicate the profession and its integrity in the face of scepticism and criticism that is put into the mouth of no less a personage than Chia I.7° In a negative way, snes;j9Ji~ts.j1L dLv.:inaiiQJJ...;:i,n~L~gxai;li«s...ar.~ -~""-·-···-···"·····-·--········---······- .. . d b .... K Ye. conspic"uous by their absence in.'! !istofgh?rla~a11~r@11<:UY.ar:ra1gg~"-~Y. YungillCl:i'eng~h's reign (33~7 BC), on the grounds that they\Vere &l1i1~¥_of gross deception. 71 ··· ··· • · · ·· · · rt is iii tbese circumstances that several highly respected thinkers, representing different outlooks, expressed their faith in the value of prognostication from the winds. T~eJ'.~~~1.~.~9 ~.E:}99}, \VE<:?~-~:~~!_el,l~~!ual efforts were usually_Qin~cted.tQ~~_rg~t]J~~L~.9:ii;:_<;tti9.i:L9f.Po.p111aoms.ap.prnhen;. sions aii[coiifusion and_ ~hang.Heng, whose technological achievements went hancLin hand ~ff1; hi~· belief in the~~istence o:f '1llystei-lous trutils .fl1at could. not be d~~onstrated in)~~!~fo:a.'clsfiti()~ Ts'a.l Yung;72 be~t k~~§Ji'for his devotion to Confucian learning amt§µ,pppxt 9f the established tr.~ct.~ti.OJ:l,· ~oiced me -vrew thatthe winds act as messages sen1fr.9JriliiiaY~n_..Jn doing so, Ts'ai Y~niwas l.n"sharJi coiifliCCwith\v'aniCh'ung who, whil~..a!.sY:i11g

aga~~ij~~t s~~h-~-~;~;:· n~~~ t.h~ki~~~Re.~~~;:oilenf!i~Ji~Itfif.~1.1!J~f~~11ds,

tnafeveiits .c.ouicfbe fqi~~h.a.
chapters-wherehe-ta~i~~tQiJ~S-~§Jen~L;:i_g_a,!.!l§l Im:ig_Glrn,v.g:§.bJJ~§.P.!i.!l~iE.~.~:

Arguing ·agaillsefung's

supposition that the actions of human beings or animals may induce a positive reaction from heaven, such as the outbreak of a storm, Wang Ch'ung cites cases of natural events, such as rainfall or winds, 68 6'

70

71 72

Pei Ch'i shu 49, p.674. , .. By Li Ch'iian, preface dated 768; see eh. 8 (TSCC ed., pp. 185f). Much of the text recurs m Hsu Tung, Hu-chien ching dated 1004 (TSCC ed., p. 180). SC 127, pp. 2f. HSPC25B.16a;DeWoskin(l983), p. 38; for Ku Yung, seeHSPC85.la; CC, pp.242, 247,299. For Ts'ai Yung's view, see HHSCC 60B.10a.


209

"".hich in fact sti~u~ate activity in the animal world. He cites with approval the v.1ew of the specrnhsts known to him as Liu eh 'ing Jeng chia that when winds ns~ up ro bb~rs_are prompted to st~rt their nefarious activities. It is not true, he wntes, that 1t rs the ess.ence or v1t~l energy of the criminals which prompts heaven to cause the w1~~s ~o spnng up. W°§:!lB (::h'1:1:ng_<1.lS()_e)(_presses his a?proval of Ssu~ma. Ch ien s account o_f how the winds that blow from· different quarters on New Year's days may be taken to predici·fi;~d, drought, \V~rr~~~, or_t?e ~!ague. ~3 TI:te.re.}s a m
J~l!:~~~~~ -?-~t~ee11 s11am11n{~gi·~ii~ :aiv1natio~:·a~d~~Jects the~i~i~~ ~f~p;~~y-

.rh;i! ~gtu:ig~..- ~hang _Heng vmd1cates the claims of various types of enquiry such as calendncal science and feng-chiao; he points out that these methods had been .ve~ified frequ~ntly enough in the past. 75 Finally, Chang Huan, k~own. prmc1pally for his effective military exploits and successful negotiat10ns m the north-west, and for his involvement in domestic policies, was .C:~l!e.~.,~,o. ~~IJ:l_IJ:lent on the str;ii:ige phenomena and storms that had be~; rep2E~~.f?!;~~~1:~~~·r_?!~!§~: He"re:echoed views expr~s~~d ·~uch earlier by I Fen~, stating tliat wmds were proclamations which activated objects and were m contact with vital energy. 76 .-!~-~h~1:!_1~_.be .~?~~~-Qi._
210



•of the terms has been drawn up by Dr Major. 79 The most simple statement is that of the Liishih ch'un-ch'iu, which gives the names as follows, starting from the north-east80 (the most commonly seen variants are given in brackets): north-east east south-east south south-west west north-west north

>r

yen8 t'ao hsiin chii ch'ic liao lia hana

(t'iao) (ming-shu) (ch'ing-ming) (ching3 ) (liangb) (ch'ang-ho) (pu-chou) (kuang-mo)

The same order and starting point is maintained in the following passages, except that in (a) the list begins in the north-west: (a) Shih-chi25.9 (MH, vol. III, p. 301). Of all the passages concerned, this is perhaps the most informative, specifying the characteristics of the various winds; their power of life and death; their relationship to the twenty-eight lunar lodges and to the phases of the Yin-Yang cycle; their correspondence to the months of the year and the Twelve Branches; their significance in musical terms. (b) Huai-nan-tzu 4.2a (Major, p. 36). As in the Lu shih ch'un-ch'iu, the eight winds take their place as one of the constituent features of the ordered universe, along with the Nine Mountains and other items or divisions. The order of the universe as described in this passage is more elaborate than that of the Lu shih ch'un-ch'iu. (c) Huai-nan-tzu 4.15b (Major, p. 78). The passage names the mythical creatures or gods to whom each of the winds gave rise. (d) Huai-nan-tzu 3.8b. The eight winds are named and the sequence of their arrival is spaced at intervals of 45 days in calendar terms; the cycle begins at a point set 45 days after the winter solstice, and it thus covers the whole of the 360-day period. The text specifies the activities that fLCCompany or should accompany the arrival of each of the winds. (e) Po-hu-t'ung 6.7b (SPTK ed.; Tjan, vol. II, 53:4). this passage includes much of the information given in (d) above; in addition it characterises the winds expressly as symbols of the eight trigrams, and links them with natural developments such as the growth of vegetation. Explicit connections are drawn with the sequences of the Yin-Yang cycle. Reference has been made above to the writings onfeng-chiao ascribed to I Feng and Ching Fang, and to the few surviving fragments. A number of other references testify to the literature to which the subject gave rise. The Hou Han shu's account of the scholastics (Ju !in) includes the names of at least two 7•

Major (1973), pp. llOf. For references to paJeng in connection with music and dancing, see for example, Tso chuan, SSC, 3.36a, 39.l6a, 49.18b and 5l.12b; Couvreur (1914), vol.I, p. 34, 80 LSCC 13.2b. vol. Il, p. 534 and vol. II, pp. 327 and 380.

211

master~ wh~ ~ere known both for their contributions to classical learning and for their wntmgs onfeng-chiao. 81 At a later stage, we hear of a collection of ma~uals and illustrations of various technical devices and subjects such as anmllary spheres, hydrostatic vessels, earthquakes, bronze crow water clocks and wind-waiting that was compiled by Hsin-tu Fang (530-60). 82 It is also possible that three 'items (one of illustrations) that were included in the bibliographical list of Han shu chapter 30 may have been concerned with the s~bject. 83 In the n~xt list available, the termfeng-chiao appears in twenty-one tltles, none of which have survived. 84 In addition to those works that are a~cribe~.in the list to I Feng and Ching Fang, some were apparently associated with miht~ry .matte~s. Thirty-two items are seen under a special sub-heading offeng-chzao m the list of the T'ung chih, which likewise includes some that are ascribed to I Feng and Ching Fang. Some of the titles allude to matters of military strategy, the five musical notes, the six emotions, earthquakes, observation of vital energy and thunder. 85 From th~ foregoing cons~derations it is clear that while attention to augury from the winds was known m Former Han, greater activity and the emergence of the term feng-chiao may be traced from Later Han onwards and there is considerable evidence of the occasions when this source of inf~rmation was tapped for practical purposes, and for guidance over military matters. A n~mber of men of distinguished intellect saw reason to believe in the efficacy of ~s process, o!1 somewhat differing grounds. The scheme of the eight winds, highly formahsed, came to be associated with major elements of Chinese thought such as the eight trigrams.

Addendum

A few references to vital energies, presumably of the clouds, occur in fragments of the Han kuan i: (i) B.JOb (Han kuan liu chung); B.15b (Han kuan ch'i chung)

The future empress Lii's recognition of Liu Pang's whereabouts was due to the purple emanation (ch'l) which hovered over the position where he was situated. 86 81 82

83 84

85

See HHSCC 79B.3b for Ching Luan, and 12a for the New Text scholar Ho Hsiu (fjan Tjoe Som 0.949-52) vol. I, pp. 38, 41 et passim); see also Cheng Anne (1985), especially eh. 3. ForHs1~-tuFang,s~e Wei shu9l,p.1955;Pei Ch'ishu49,p. 675 does not mention winds in this connection. For Hsm-tu Fang and the various devices mentioned see sec vol. III pp 313f ' 339f and 632f. ' ' · See entries in HSPC 30.7la, for titles such as Feng hou, Feng ku. SS 34, pp.1026-7; two other items, in which the termfeng-chiao does not appear, may also be concerned. T'~ng chih, 68, .P· 803. The list includes several copies of some items and should not be taken as ~VIden~e for thirty-two separate works. Feng-chiao also appears in the titles of books under the 1mmediately following sub-heading Niao ch'ing.

212


(ii) B.Jb (Han kuan liu chung); B.5a (Han kuan ch'i chung)

The passage, which is cited from Ma Ti-po's Feng shan i (see HHSCC (tr.) 7.1 la, note), records that during Kuang-wu-ti's progress to T'ai shan, in AD 56, the energies of the clouds 'formed the shape of the towers at the gateway of a palace', as seen by all officials. Two days later there was a white emanation. These phenomena are mentioned neither in HHSCC 1B.2la nor in the account of Kuang-wu-ti's visit in HHSCC (tr.) 7.6aff; see Chavannes (1910), pp. 158f. (iii) B.4b (Han kuan liu chung); B.6b (Han kuan ch'i chung)

This passage apparently refers to the same occasion, ofKuang-wu-ti's ascent of Mount T'ai in AD 56: 'The many attendant subjects cried "Wan sui", and the shout reverberated in the mountains and valleys. There was a green/blue [eh 'ingb] emanation attached to the sky so that if the mountain was observed from a distance the summit was not seen. Those who were at the summit within the emanation were unaware of it.' The passage may be compared with a long fragment from Ma Ti-po's Feng shan i, cited in the note to HHSCC (tr.) 7.8aff. A second, immediately following, fragment of the Han kuan i refers to the appearance of a white emanation. Hou Han chi 8.14a reports that on the day when Kuang-wu-ti made the ascent of Mount Tai (AD 56), the vital energies of the clouds were visible to all, in the form of the towers that flanked the entrance to a palace. (iv) B.JOb (Han kuan liu chung); B.15b (Han kuan ch'i chung)

'On the day hsin-wei in the eighth month of the Hsi-p'ing year, of Hsiao Ling, there was a white emanation like a bolt of silk, facing the fourth star of the Dipper, in the form of a large animal. In the following year Tsang Min, Regional Inspector ofYang chou, attacked the criminal bandits, so that those executed numbered a thousand.' No numbered year is specified in this fragment of text. According to the reconstructed calendar, a day in the eighth month, with the notation hsin-wei, occurred in the sixth year only of the Hsi-p'ing period (172-8), corresponding with 28 September 177. If the reconstruction were to be adjusted to the extent of one day (by assuming a different assignment of twenty-nine or thirty days to some of the months of the year), hsin-wei could have occurred in the eighth month of the third year, corresponding with 14 October 174. HHSCC 8.4b and 5b records the despatch of Tsang Min against rebels in the eleventh month of the first year (172) and his defeat of them in the eleventh month of the third year (174). In HHSCC (tr.) 12.3b the phenomenon is dated 86

For other references to this, see note 9 above.


213

~t hsin~wei in the eighth month of the second year (173), a date which is

imposs1b~e", T~e text explains it as the sign of a major battle, and refers to

T~ang Mm s victory in the.followin.g year (174). The most probable compromise can be reached by (1) acceptmg a slight change in the reconstructed calendar; and (ii) assuming that in this passage 'second' was an error for 'third'.

The Almanacs (Jih-shu) from Shui-hu-ti

Discovery, form, and content of the material

10

! awards th~ end of 1975 _excavation began on a site at Shui-hu-ti, Yiin-meng,

The almanacs (Jih-shu) from Shui-hu-ti: a preliminary survey

From a wealth and variety of literary evidence it is now recognised that divination and the consultation of oracles played a far greater part in Ch'in ~~
1

2

215

For this practice see chapter 8 above. See Bodde (1959) and Hulsewe (1979c).

214

I~

the p~ovmc~ of Hupei. As has happened frequently in the case of major d1scovenes, this followed the accidental find of the remains of a tomb· subsequently it appeared that there were no less than twelve tombs at the site.~ All of these included artifacts or possessed characteristics of interest but attention has fastened mainly on no. 11, which is one of the seven t~mbs orientated in an east-west direction. The rich store of material found in tomb no. 11 included a total of 1,155 complete bamboo strips carrying a manuscript text, as well as 80 fragments of such material. 4 The strips derived from documents prepared and rolled up in the manner that may now be termed standard, before being placed at various points within the coffin. 5 Because the cords t~at had held the strips together had all rotted, archaeologists were faced with the usual problem of fitting together in the correct order the many el_en:ient~ that had formed complete documents. It has been possible to d1stmgmsh a total of ten groups of strips, which carried historical records, legal material, and mantic texts. The mantic texts, which form the subject of this study, were found in two of the ten groups and are referred to below as groups A and B. From the ~ist_orical material it is possible to identify the deceased person who was buned m tomb no. 11 as a man named Hsia. He was born in 262 BC6 and lived to hold a number of official posts in the kingdom of Ch'in and then under the First Emperor (reigned 221--210 BC). The final date to be mentioned in one of the historical documents is 217 BC, and at that time Hsi would have been about forty-five; the skeletal remains in the tomb are believed to be those of a forty- to fifty-year-old male. For these reasons, 217 BC may be accepted as the year in which the tomb was sealed. Originally the area had formed part of the territory of Ch'u, but following t~e campaign started in 279, it had been incorporated within the expanding kmgdom, and later the empire, of Ch'in. In some of the documents other than the mantic texts, care was taken to avoid infringing the taboos placed on Chengb, given name of the king of Ch'in from 246, and First Emperor from 221. No such care was taken to avoid the ban on writing the name of the first of the Han emperors. It may be concluded that such of the documents as were of a type where the taboos were observed were written during the second half of the third century BC; it is likely that the mantic texts, which are of a popular The discovery was made in the course of work on drainage installations and excavation was c?nducted ..by local aut~oriti~s w~th the help ofHu~ei provincial Museum'. For a report on this sit~, see Yun-m~ng ~huz-hu-tz Ch zn mu (hereafter cited as Report). For preliminary articles on this site, see Chi Hsun (1976) and 'Hu-pei Yiin-meng Shui-hu-ti shih-i-hao Ch'in mu fa-chiieh chien-pao'; see also Hulsewe (1978). : Rep?rt pp.n,__ ?J-102 (catalogue of. stdps) and 103 (fragments). ' Reportp.13,fig. 15. See Hu-pe1 Yun~,mei;ig S~m-hu-ti shih+hao Ch'in mu fa-chiieh chien-pao' pp. 6 and 12 for the statement of Hsi s blfth m the forty-fifth year of Chao-hsiang, king of Ch'in. 3

216



type of writing wherein the taboos were not necessarily observed, date from the same period. The discovery of these strips is of major importance, constituting as it does the first find of written material of the Ch'in period. Transcriptions of many of the strips have already been published, and scholarly effort has hitherto been devoted mainly to the legal texts, of which a full-scale study has been published by A. F. P. Hulsewe. 7 Complete transcriptions and photographs of the two groups ofmantic texts are included in the report on Shui-hu-ti, 8 along with full archaeological details of the site. In addition, these strips are treated in a special monograph, with the support of introductory essays by Jao Tsung-i and Tseng Hsien-t'ung. 9 Considerable evidence now exists to demonstrate the regular methods of using wooden stationery. 1° For lengthy documents, the wood or bamboo was cut to form thin narrow strips of even size, and, as in group B of the material that is considered here, the text was written on one surface only. The strips were then fastened together by means of tapes which passed alternately over and under them successively. Sometimes serial numbers were added at the foot of the strips, to ensure that they could be assembled in the correct order. As the whole document, which could carry text set out in tabular form, was flexible, it could then be rolled up as a scroll, or volume, or chiian. Alternatively, stationery of a different type could be used. Three or more surfaces of a comparatively thick rod were planed smooth, so that each one could accommodate one, or perhaps two columns, of writing. The texts on each surface could then be taken in succession, and a hole could be drilled at the head of the rod to attach it to others; possibly this type of stationery was originally known as a p'ien, or fascicle. For special purposes, wood could be cut to other sizes or shapes (for example with broader widths), to carry the six or so parallel columns that formed a complete document; or to form a ledger, to whose headings individual entries could be added as required. The Report designates the two groups of mantic strips as Jih-shu chia and Jih-shu i; this study retains that distinction in the form of group A and group B respectively. Group A consists of 166 strips which were placed on the right side of the skull. They are slightly longer than the usual, measuring 25 cm as against the more usual 23 cm of the Han period (i.e., one foot in Han measurement). However, some of the legal documents from this site are on even longer strips, measuring 27 cm. Somewhat unusually, and possibly uniquely, both sides of the strips of this group carry inscriptions. Group B consists of257 strips, measuring 23 cm in length, which were placed at the feet For transcription, see 'Yiin-meng Ch'in chien shih-wen'. For an annotation translation, see . Hulsewe (1985). ' See note 3 above. • See Report, plates L--CLXVIII for photographs and transcriptions, the man tic texts appearmg on plates CXVI--CLXVI. These plates are reproduced in Jao and Tseng (1982), where they are to be read from right to left and are thus easier to handle than in the Report. [For a recent examination of one of the technical points raised by the strips, see Liu Lo-hsien (1993).] 10 See Loewe (1967), vol.l, p. 26, vol. II, pp. 418f; and Loewe (1986b).

217

of the corpse. Only one side of these strips is inscribed, except for one which is believed to be the penultimate strip of the whole document. This carries the short inscription Jih-shu, which may be identified as the title of the work although the expression is not seen elsewhere at this time. 11 In the published transcriptions of the whole corpus of material from Shui-hu-ti, group A appears as nos. 730--895, and group B as 896-1155. There is also a supplementary series (numbered 1-12) for the fragmentary material, which is not considered here. Reference below is made to strips by these numbers, with the reverse sides of group A being numbered 895R to 730R. The Chinese editors of the Report state that in general the writing on the strips is 'very clear', 12 and there are indeed very few passages where transcription has not been attempted. As is not uncommon with the use of narrow wooden strips made to be rolled together to form a complete document, small triangular grooves or notches were cut at regular intervals at the sides, to hold the binding cords in position; provision was made here for three such cords. 13 Each strip carries a single column of writing, which is often to be read consecutively from head to foot. In some cases, however, successive strips were divided into several horizontal bands, or registers; in each register the strips are read in consecutive columns, before those of the next register are taken, in the same manner. On some occasions the text is divided in this way into as many as six registers (for example, nos. 869-78). Sometimes a table or diagram has been incorporated on successive strips (for example, nos. 776-86, 843-55, 813R-806R). Punctuation marks are included in the text somewhat sparingly. The script is of early form of li shu, sometimes termed 'proto-li shu'. Even from the blurred images of the published photographs it is possible to discern differ~nces in the handwriting of the strips, and these are only to be expected, as neither group A nor group B should be regarded as a unitary document. Each group includes a number of independent texts which may have been, or almost certainly were, written at different times. Some of these texts were short enough to be carried on one or two strips, but in most cases more were necessary, and some texts extend to twenty or more strips (as in nos. 922-41, 1052-75, 1096-1132). It is not always certain where one unit of text ends and another begins. It has been suggested that the strips of group Bare somewhat earlier than those of group A. 14 The texts of group A and B were compiled for the same purpose, that of 11

For a further example of the inscription of the title on the reverse side ofa strip, see copies of the 1-li found at Mo-tsui-tzu, where the titles and names of chapters are treated in this way· see

7

12

13

14

Wu-wei Han chien, plates I, II and IVff. ' Report, p. 12. This. statement derives from Report p. 12; the grooves are only rarely discernible in the published photographs (for example, see strips 831, 833); [for other examples, see the mantic strips from Fang-ma-t'an described in the addendum below, and Loewe (1967), vol. I, p. 131 note 40.] This opinion has been expressed verbally by Professor Li Hsiieh-ch'in.

218


prescribing appropriate times for taking certain actions and specifying those actions that are inauspicious for certain times. For some of the texts, particularly those that are not set out in tabular form and which are to be read from one strip to another consecutively, a title stands at the head of a column identifying such subjects as dreams, robbers, journeys, and building projects. In some cases this title appears at the head of the second rather than the initial strip of a text. ' 5 Much of the material consists of almanacs (Jih-shu) proper that are set out in tabular form, with explanatory information appearing in a lower register, as in nos. 730-42 (see figure 15). The use of tabulation, which is clearly the most suitable and economic form for setting out lists of dies fasti et nefasti, is hardly surprising. Tables are known from other manuscript material and some have been preserved throughout centuries of textual history, being incorporated in the Shih-chi and Han shu. ' 6 The finds from Shui-hu-ti, however, constitute the only complete examples of this type of document to appear in popular literature that dates from the third century BC. Many of the tables that are found in the material from Shui-hui-ti take the form of a set of strips for each month (for example, nos. 743ff); or for the twelve earthly branches (nos. 731 ff); or for other series of terms that are discussed below. In the case of those sets of strips that are made out for the months, provision was regularly made for twelve months only; there does not appear to be an example of a table that allows for a thirteenth, or intercalary, month. Sometimes a strip placed at the extreme right, that is at the beginning, of the table provides the necessary guidance that a reader may need. 11 Until the end of the Former Han period, at least, days were usually denoted and known according to the two-character terms of the sexagenary cycle, and not by a numbered series. However, as the tables found at Shui-hu-ti do not usually designate particular days in the calendar, they do not refer to days by the complete two-character terms. Entries in the table specify only one of the two characters, either from the Ten Stems or from the Twelve Branches; and this single character thus applies to up to three days in a given month. The text that follows on the lower part of the strips may describe the virtues or qualities of the days that are specified, together with their suitability for certain activities, or the inherent dangers that attend other activities undertaken on those days. Days on which specified activities are to be avoided are in general termed chi•, whereas the term used to denote thoroughly auspicious days is yuan". 18 In many cases the virtues or qualities of days are defined by a character that forms one ofa series of twelve, or less usually eight, terms, and a See, for example, nos. 943, 1134, 1145 and 1149, in the series 942--7, 1133-43, 1144-7 and 1148-54 respectively. 1• In addition to calendars (see note 28 below) see Loewe (1967), plates 5, 40; for chapters in tabular form in the Standard Histories, see Shih-chi 13-22 and Han shu 13--20. 17 For example, no. 730 lists the twelve months and indicates how the entries in nos. 731-42 should be read so as to apply to each one in succession. " HSPC 99B.25bff; HFHD vol. Ill, p. 346; HNT 5.3a; Ssu-min yueh ling p. 6 (sect. 1.2).

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number of variations may be noticed in one such series of terms, which runs as follows: ~~~2P-5E¥tlf.Bl{[f;J1,\G!&~M. 19 It is shown below that the first two characters of this series, chien-ch'u, are used as a term to define a specific type of oracular practice and means of designating days as fortunate or unfortunate. Nos. 730~42, the first series of strips in group A, may be taken as an example of one of these tables (see figure 15). A guide strip on the right (no. 730) shows how the twelve entries in the upper register of each strip apply to successive months. A character at the head of each strip, which is taken from a series of twelve, denotes the category within which all days designated on that strip fall. In the lower register the quality of those days is further identified by an expression taken from a similar series, and further information is then specified. A glance at the strips will show how these categories proceed by means of a regular cycle, as may be seen in the following examples: Strip 742 yunga falls on

Strip 741 eh 'engb falls on

day hai tzu ch'ou yinb mao ch'en ssu

day hsii hai tzu ch'ou yinb mao ch'en ssu wu 0 weic shenb yu

wuc wei" shenb yu• hsu

month 11 12 1 2 3 4 5 6 7 8

9 10

The lower register gives the further information in respect of days in category ch'eng (no. 741; rendering tentative): Their quality is chileh kang. These days are advantageous for climbing heights, drinking, eating, hunting. Beyond the wilds, in all directions, for those abiding there will be a fixed residence, for those journeying there will be achievement; if the days are taken for the procreation of children, whether male or female they will beyond doubt be beautiful.

A great proportion of the material in groups A and Bis repetitive, but it does not seem that duplicate copies of the same text are included. The following are examples of the subjects and activities with which the strips are concerned: 19

For variations, see table 1 columns (a) to (e).

221

1.

Religious activities Sacrifice to holy spirits (nos. 732, 1015); divination by shells or stalks (nos. 830, 1021); demons, and exorcism with peachwood (no. 872R). 2. Human destinies Procreation of children (nos. 869-78; l 133ff); marriage (nos. 884, 895R, 1012); illness (no. 1083); dreams (nos. 883R, 1085); removal, encoffining, and burial of the dead (nos. 759, 1096). 3. Behaviour, projects, and events Regulation of clothing (no. 777R); attendance by officials at audience (no. 886); assemblies (no. 860); slaughter of animals (no. 794R); hunting (no. 737); incidence of robberies (nos. 827R, 1148); journeys in particular directions, through particular gates (nos. 856, 789R-88R, 1037, 1052); construction of earthworks (nos. 831, 833, 836, 839, 767R, 1005); gates and their suitability for various uses (nos. 844, 753R, 1091); agricultural works (nos. 746, 747, 753).

The chien-ch'u system of oracles The term chien-ch'u does not appear in the titles of any of the works on mantic subjects that are listed in chapter 30 of the Han shu, and it is absent from a list of oracular methods that is given in one passage of the Hou Han shu. 20 However, there is at least one reference in Han literature that supports the conclusion that chien-ch 'u was the name of a recognised and specific method of consulting oracles. This occurs in the supplementary passages added to chapter 127 of the Shih-chi by Ch'u Shao-sun, towards the beginning of the Christian era. 21 The text relates how Wu-ti wished to ascertain whether a particular day would be suitable for taking a wife, and how advice of various sorts was proffered by the representatives of various schools. Among these, the expert in chien-ch 'u pronounced that the day would not be fortunate: this verdict agreed with that of the master of k'an-yu, but it was in opposition to that of the specialist in wu hsing, who advised that the proposed action would be appropriate. History does not relate the outcome of this exercise in oracular consultation. The following is submitted as a tentative explanation of the chien-ch 'u system as it is believed to have operated in Han times, in the absence of a detailed explanation that dates from the time. The evidence upon which these suggestions are based is presented below. The chien-ch'u system depended on the belief that different qualities, powers, or virtues pertain to successive periods of time, which are enumerated 20

21

HSPC 30.65aff; HHSCC 82A.1 b. (For an allusion to the appearance of the term chien in calendrical usage in antiquity, see SC 26, p. 2, MH, vol. III, p. 320, as based on a passage from the Ta Tai Ii chi.] SC 127, p.14; Ch'u Shao-sun's dates of ?104-30 BC are suggested by Pokora (1981).

222



Table 1. Variant Terms Used in the Chien-ch'u Series Nos:

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Note: This table shows the variants that appear in the different versions of the_ chier~-ch 'u seri~s found in the documents. It will be seen that although there 1s no c?mplete _identity, there is sufficient correspondence to establish the relationship of the vanous senes, prov1~ed that they ~re set to start at the appropriate position in the cycle of the T_welve Bran~hes. In th1~ tabl~ the senes hien ch'u is set to start with yin mao, as in HNT3.24b;1u 1s set agamst tzu, as m stnp no. ~31. ~cco~ding to the T'ang commentator's note to HHSCC 25.8b i~ Hsia usage c~ien was set agamst yin; in Yin usage it was set against ch'ou; an~ in Chou ~sag_e 1t was set .agamst _tzu. In column (a) the HNThas the following vanants: for ymg" 1t ~eads man (to avoid the personal name of Han Hui-ti); for pib it reads p'o. See also Kahnowsk1 (1986), pp. 197ff

in a major cycle of twelve years and a minor cycle of twelve d~ys. Each member of the cycle is classified or defined by means of a te_nn that is ~n~ of a series of twelve characters, beginning chien, ch'ub. It is possible that ongm~ll_y a number of different series of characters was in use for this purpose; a~? it is perhaps conceivable that different series "":ere used to de~ote the quah~1es o~ the years and the days. However, by the time that the st:1ps from Shm-hu-t1 were being inscribed, such distinctions, if they_ had ~x1sted, seem to have become blurred. The different versions that were muse m these documents are set out below (see table 1, columns a and b). .. While the characters in the series just mentioned define the position of the year or day in the cycle of twelve, the qualities and virtues of each o~e may_ be further spelled out by means of a different, but partly corresponding senes. Such series comprised twelve terms (see table 1, columns c-e). . . The system depended on the existence of a complete almanac, which earned

223

entries for every day of the year. 22 In theory it would be possible to draw up a very large number of such almanacs, and it was therefore necessary to choose one of many, so as to conform with the particular circumstances of the individual concerned. The almanac indicated the type of year in question, the circumstances pertaining to its months, and the qualities of each day in the month. The documents from Shui-hui-ti include several ways of setting out this information, and it is possible that not all details are necessarily included in all the examples of tables to be found in the corpus of material discovered. Strips 730-42 seem to provide all the necessary information, as follows (see figure 15): 1. 2.

3.

4.

The year is defined as the eh 'ub year in the series of twelve (no. 730). Each month is defined in terms of its position in the Twenty-eight Lodges (no. 730). Each day of the month, as enumerated in the Twelve Earthly Branches, is classified in the terms of the series ju\ yingb, and so on (nos. 731-42 in figure 15; see also table 1, column c). The qualities attendant on days specified as ju, ying, etc., are identified by means of a further series chieha, yang, chiaoa, etc., and details are given of the actions that are auspicious or inauspicious for those particular days (nos. 731-42).

Examples of almanacs where the year is classified by one of these terms may be seen in nos. 730--42 (ch'u); 743-54 (Ch'in ch'u); and 921-32 (hsiJ.a). A somewhat different term is used for the series beginning with no. 755 (chi eh 'en); nos. 942-7 are entitled Ch'in. It would seem that nos. 730-42 form an almanac for the ch'u year according to the calendar of Ch'u, starting in the eleventh month, and nos. 743-54 are an almanac for the eh 'u year according to the Ch'in calendar, beginning with the first (chengb) month. It may be suggested, by way of hypothesis, that tables for the ch'u year were included in the material buried in tomb no. 11, Shui-hu-ti, as they were of direct application to the deceased person, Hsi, probably because he was born, but possibly because he died, in a ch'u year. In this way the statements of the chien-ch'u system were related specifically to the individual circumstances of the man concerned. It could well be that these were the very tables whereby he had guided the choices and decisions of his life and that for this reason they were buried with him. If such were the case, the tables for the eh 'u year would have been those that fitted the circumstances of his birth. The definition of the twelve months in no. 730 according to the appropriate position of the Twenty-eight Lodges is of interest and importance. The months are defined according to the same system, and usually according to the same constellations, in the two extant versions of the 'Yueh ling', and a similar system is adopted in the corresponding passages of the Huai-nan-tzu. 23 The importance lies in the linkage that is effected between the passage of time and its 22

Entries are given for a total of 144 days (the 12 days notated tzu, ch'ou etc. for each of the 12 23 LSCC l.la; Li-chi 14.4b (SSC); HNT 5.la. months).

224



appropriate activities and the march of the heavenly bodies in their cycles. Later mantic practice suggests that a system ofhoroscopy must take account of three situations - those of the heavens, of earth, and of the individual himself. It would seem that the chien-ch 'u system provided for these three considerations. The evidence on which the foregoing suggestions are based may be summarised as follows. (1) Ch'ien T'ang (see item 8, below) has suggested that the earliest allusions to some of the terms of the chien-ch'u series can be found in the Liu t'ao and Yueh-chiieh shu. (2) The most informative statement for Ch'in and Han times is to be found in the Huai-nan-tzu's chapter on astronomy. 24 The passage sets out the twelve terms in sequence, linking chien with yinb (third of the Twelve Earthly Branches), and adding a brief note on their qualities as follows: TERM

DESCRIBED AS

chien, ch'u, man, p'ing ting, chih '.@tll. p'o lit wei ft eh 'eng )$(; shou J& k'ai . 00 pi M

rtl~~zp:

±it ±~3 i:~

±:¥; ±9''~ ;±::k~

±:k~ i::k~

It may be noted that in this description, the twelve members are distributed unevenly, being assigned to a total of eight categories. [Chang Shou-chieh's (ft. 737) note in Shih-chi l, p. 33 cites a statement of Cheng Hsiian (127-200) which credits Yao and Shun with regulating the calendar in such a way that chien was linked with ch'ou and tzu respectively.] (3) In the Han shu there are at least two references to the system and the evident faith that it evoked, both in connection with Wang Mang: 25 \

(a)

(b)

The arrival of the stone ox from Pa, one of the oniens that was taken as a portent for Wang Mang's rule, was dated bn 'the day jen tzu of the eleventh month, on which chien fell, being the winter solstice; Wang Mang stated his intention of donning the imperial hat and assuming the substantive position of Son of Heaven 'on the day mou ch'en on which tingb falls';

225

of natural processes as against a determinate interpretation of events, Wang Ch'ung cites the operation of the chien-ch 'u system, mentioning the terms chien and p'o. 26 (5) It is stated that when Wei Wen-ti received the instrument of abdication . ' that 1s, the twenty-ninth day of the tenth month (220), on which ch'engb fell, this was regarded as an auspicious day. 27 (6) Some of the terms of the chien-ch'u series appear on parts of Han calendars found at Tun-huang and Chii-yen. Perhaps the best example may be seen in nos. 9-24 of Chavannes' edition of the material from Tun-huang, which derived from a calendar for the year 63 BC. 28 Here the entries are set out in tabular fashion, with one strip assigned to each of the thirty days of the month. The number of the day in question is inscribed at the head of the strip, and the sexagenary signs of that numbered day in each one of the months follow regularly down the strip. Had it survived in toto, the document would have included, in order, the sexagenary signs for all the days of the year. On some of the surviving pieces of the calendar the character chien is inserted at intervals of twelve days, to indicate the point at which the chien-ch 'u cycle was commencing. This feature does not appear on strips 25-35 in the same collection, which may together be identified as parts of a calendar for 59 BC. But on strip no. 537, which derives from a calendar for AD 94 Chavannes' reading of chien in two entries may now be supplemented by recognition of the terms eh 'u, p 'ing, ting, and chih in their appropriate positions. In the material from Chii-yen, chien may be seen on the following fragments of calendars: 111.6, 176.53, 309.15, and 506.18. (7) For the Ch'ing period, considerable attention is given to the chien-ch'u system in Ch 'in-ting hsieh-chi pien-fang shu. 29 The twelve terms are set out with their various connotations and correspondences, together with a series of diagrams and citations from a number of sources. (8) In commenting on the passage from Huai-nan-tzu 3, mentioned in item 2, above, Ch'ien T'ang (1735-90) notes the references in the Shih-chi and Han shu, and the two short passages in the Liu t'ao and Yueh-chiieh shu. He includes the statement, 'It appears that there were two systems of chien-ch'u; the Yiieh-chiieh shu follows the enumeration of the year (sui); the Huai-nan-tzu and the Han shu follow the count of the moon. Only that of the moon was used later. ' 30 (9) It will be seen below that criticism was voiced in Han times against the inconsistencies involved in certain mantic practices and beliefs; possibly these

(4) In one of the many passages where he argues the case for the spontaneity 2

24 25

HNT 3.24aff. HSPC99A.34b, and 36b (HFHD, vol. III, pp. 250 and 255-6). See also Sui shu 16, p.411, for the presentation to the throne in 500--3 of an inscribed weight carrying a similar reference to a day on which ting fell, and believed to date from the period of Wang Mang. Other references to the chien-ch'u system will be found in HSPC 75.13b and l 7a, and 99B.22a.

•

21 29

36

LH 'Ou-hui' 10, p. 94; Forke (1907-11), vol. II, p. 3; and 'Lan shih' 69, p. 978; Forke, vol. II, p.387. 2 • Chavannes (1913), pp. 10--14. HSPC 99A.36a; see Ch'ien Ta-chao's note. Compiled by Chuang Ch'in and Wang Yiin-lu, preface 1741; see 4.la, 10.17a, 20.2a and subsequent chapters for each of the months. Huai-nan t'ien-wen-hsiin pu-chu (preface 1788) B.35b; further references to the system appear on 48b--50a. See also Ch'un-ch'iufan-lu 7.lOb.

226


were of concern in chien-ch 'u interpretation, but there is no evidence to support such a suggestion. 31 According to a source named k 'ao-yiian, cited in Hsieh-chi pien-fang shu, 32 days on which ch'u, wei, ting, chih, ch'eng, and k'ai fall are fortunate, while chien, p 'o, p 'ing, shou, man, and pi are unfortunate. In a comment to the Han shu, 33 Chou Shou-ch'ang (1814--84) observed that the operation of the chien-ch'u system of the lfuai-nan-tzu varied from that of his own time. He stated that eh 'u, wei, ting, and chih are fortunate; chien, man, p'ing, and shou are next; ch'eng and k'ai are likewise fortunate; and pi and p'o are unfortunate. (10) It may be remarked that the chien-ch'u terms appear today in some contemporary almanacs published in Hong Kong, Taiwan and Japan, with a specification of activities that are regarded as appropriate or not for each term of the cycle. Principles of the almanacs and their place in mantic practice and literature The almanacs take their place among a number of methods and formulations designed to ensure that human decisions would be in accord with the universal sequence of astro-calendrical science. However, there is no means of ascertaining the criteria whereby particular activities and their auspicious or inauspicious natures were related to specific days in the cycle. In effect, the tabulated presentation of the necessary guidance amounted to a set of dogmatic and irrefutable statements, and in this way the almanacs constituted an established authority. They are by no means the only case where prescriptive rules may have displaced the utterances of a seer as part of a mantic process; other examples are seen in the scriptural interpretations of the hexagrams, or the Shih-chi's definitive interpretations of cracks formed on turtle shells. 34 It has been suggested, above, how a connection may have been forged between the established advice of the almanacs and the circumstances of the individual consultant. The matters for which advice was sought may be classified as concerning religious activities, human destinies and behaviour and projects. These same subjects feature in other types of documents that may or may not derive from man tic considerations, and that form the context in which the almanacs should be considered. While the termjih-shu forms the title of one of the rolls of strips found at Shui-hu-ti, it does not appear in the bibliographical treatise (chapter 30) of the Han shu. However, that chapter includes considerable reference to material that is of a comparable type, listed under six categories. Entries appear as follows (:figures in parentheses are from the supplementary lists of Yao Chen-tsung, 1842-1906): .s " LH 'Chi jih' 70, pp. 985f; Forke (1907--11), volII, pp. 393f. 32 4.4b. 33 HSPC 99A.36a. 34 Sec SC 128. " HSPC 30.65a to 78b; Yao's supplement is reprinted in Erh-shih-wu shih pu-pien 2, pp.1499f.

The Almanacs ( Jih-shu) from Shui-hu-ti CATEGORY OF TEXT

NUMBER OF AUTHORS

NUMBER OF CHUAN

t'ien-wen li-p'u wu-hsing shih kuei tsa chan hsing fa

21 18 31 15 18 6

445 606 652 401

(11) (16) ( 2) ( 8) ( 5) (20)

227

(11) (16) ( 3) (16)

313 ( 8)

122 (20)

Collectively, these categories are known as shu-shu, and at the outset of the treatise we are informed that Yin Hsien, the t'ai-shih ling, had been ordered to collate this material. Other references speak of the interest that Tan, king of Yen, and Ts'ai Yung entertained for these texts. 36 In describing the second category of writings included in shu-shu, that is, li-p'u, the Han shu notes their concern with the heavenly bodies and with the calculation of time, and observes that the means of ascertaining the catastrophes of ill fortune and the joys of good fortune derive therefrom. The titles of a number of works that the Han shu includes under li-p'u suggest that they may have been calendars of many varieties, with which the almanacs of Shui-hu-ti would readily :fit. 37 Extant examples of texts or fragments that may be compared with the material from Shui-hu-ti are as follows. (i) Ta Tai Ii-chi 47 'Hsia hsiao cheng'

Derk Bodde has expressed the view that 'this text may just possibly belong to the fifth or early fourth century BC, which would make it by far the earliest example of its genre'. 38 The text in fact does not entirely take the form of consecutive prose, much of it being set out in the form of a comment or explanation of select words or phrases; many of these occur in identical or near identical form in the Yiieh-ling. For example

~~tm!I

~ ll!P fil ald¥lHit~

EH Ni\\1.t:f.'!ii i:

·~~ ~A "flW:f.'liiAA ~~l.A"f?ft:f.'lii~

Ta Tai Ii-chi Lu shih eh 'un-ch 'iu Li-chi (SSC) 2.3a 'Chi tung' 12.la 17.20b 2.3b, 4a 'Meng ch'un' 1.1 b 14. l4a 2.6b 'Chi ch'un' 3.la 15.lOa 2.8a 'Chi hsia' 6.la 16.8b 2.9b 'Chi ch'iu' 9. la 17.lb 2.lOa 'Meng tung' 10.lb 17.9b

Huai-nantzu 5.16b 5.lb 5.4a 5.8b 5.12b 5.14a

The chapter also includes material that cannot be traced in this way, but it is possible that much of the Hsia hsiao cheng should be regarded as a series of notes intended to explain difficulties in a text that no longer survives, but 36

'7

HSPC 30.lb and 63.Sb for Tan; for Ts'ai Yung, see HHSCC 60B.lb; for Wang Ching's compendium on these matters, see HHSCC 76.7a. 38 Bodde (1975), p. 15. HSPC 30.66b-<59b.

226

The Almanacs ( Jih-shu) from Shui-hu-ti


were of concern in chien-ch 'u interpretation, but there is no evidence to support such a suggestion. 31 According to a source named k 'ao-yiian, cited in Hsieh-chi pien-fang shu. 32 days on which ch'u, wei, ting, chih, ch'eng, and k'ai fall are fortunate, while chien, p 'o, p'ing, shou, man, and pi are unfortunate. In a comment to the Han shu, 33 Chou Shou-ch'ang (1814-84) observed that the operation of the chien-ch 'u system of the Huai-nan-tzu varied from that of his own time. He stated that ch'u, wei, ting, and chih are fortunate; chien, man, p'ing, and shou are next; ch'eng and k'ai are likewise fortunate; and pi and p'o are unfortunate. (10) It may be remarked that the chien-ch'u terms appear today in some contemporary almanacs published in Hong Kong, Taiwan and Japan, with a specification of activities that are regarded as appropriate or not for each term of the cycle. Principles of the almanacs and their place in mantic practice and literature The almanacs take their place among a number of methods and formulations designed to ensure that human decisions would be in accord with the universal sequence of astro-calendrical science. However, there is no means of ascertaining the criteria whereby particular activities and their auspicious or inauspicious natures were related to specific days in the cycle. In effect, the tabulated presentation of the necessary guidance amounted to a set of dogmatic and irrefutable statements, and in this way the almanacs constituted an established authority. They are by no means the only case where prescriptive rules may have displaced the utterances of a seer as part of a mantic process; other examples are seen in the scriptural interpretations of the hexagrams, or the Shih-chi's definitive interpretations of cracks formed on turtle shells. 34 It has been suggested, above, how a connection may have been forged between the established advice of the almanacs and the circumstances of the individual consultant. The matters for which advice was sought may be classified as concerning religious activities, human destinies and behaviour and projects. These same subjects feature in other types of documents that may or may not derive from mantic considerations, and that form the context in which the almanacs should be considered. While the termjih-shu forms the title of one of the rolls of strips found at Shui-hu-ti, it does not appear in the bibliographical treatise (chapter 30) of the Han shu. However, that chapter includes considerable reference to material that is of a comparable type, listed under six categories. Entries appear as follows (figures in parentheses are from the supplementary lists of Yao Chen-tsung, 1842-1906): 35 " LH 'Chi jih' 70, pp. 985f; Forke (1907--11 ), volII, pp. 393f. 33 HSPC 99A.36a. 32 4.4b. 3 • See SC 128. " HSPC 30.65a to 78b; Yao's supplement is reprinted in Erh-shih-wu shih pu-pien 2, pp. 1499f.

CATEGORY OF TEXT

NUMBER OF AUTHORS

NUMBER OF CHUAN

t'ien-wen li-p'u wu-hsing shih kuei tsa chan hsing fa

21 (11) 18 (16)

445 606 652 401 313 122

31 ( 2) 15 ( 8) 18 ( 5)

6 (20)

227

(11) (16) ( 3) (16) ( 8) (20)

Collectively, these categories are known as shu-shu, and at the outset of the treatise we are informed that Yin Hsien, the t'ai-shih ling, had been ordered to collate this material. Other references speak of the interest that Tan, king of Yen, and Ts'ai Yung entertained for these texts. 36 In describing the second category of writings included in shu-shu, that is, li-p'u, the Han shu notes their concern with the heavenly bodies and with the calculation of time, and observes that the means of ascertaining the catastrophes of ill fortune and the joys of good fortune derive therefrom. The titles of a number of works that the Han shu includes under li-p'u suggest that they may have been calendars of many varieties, with which the almanacs of Shui-hu-ti would readily fit. 37 Extant examples of texts or fragments that may be compared with the material from Shui-hu-ti are as follows. (i) Ta Tai Ii-chi 47 'Hsia hsiao cheng'

Derk Bodde has expressed the view that 'this text may just possibly belong to the fifth or early fourth century BC, which would make it by far the earliest example of its genre'. 38 The text in fact does not entirely take the form of consecutive prose, much of it being set out in the form of a comment or explanation of select words or phrases; many of these occur in identical or near identical form in the Yiieh-ling. For example

lm~t~B

~J~~?t~~~ fflffia{t~~

J.UUil~

1ii A.f #l'J ~ ~ ~ ~tLA "f ?it lHl

Ta Tai Ii-chi Lu shih eh 'un-ch 'iu Li-chi (SSC) 2.3a 'Chi tung' 12.la 17.20b 2.3b, 4a 'Meng ch'un' 1.1 b 14.14a 2.6b 'Chi ch'un' 3.la 15.lOa 2.8a 'Chi hsia' 6.la 16.8b 2.9b 'Chi ch'iu' 9. la 17.lb 2.lOa 'Meng tung' 10.lb 17.9b

Huai-nantzu 5.16b 5.lb 5.4a 5.8b 5.12b 5.14a

The chapter also includes material that cannot be traced in this way, but it is possible that much of the Hsia hsiao cheng should be regarded as a series of notes intended to explain difficulties in a text that no longer survives, but 36

' 7

HSPC 30.lb and 63.8b for Tan; for Ts'ai Yung, see HHSCC 60B.lb; for Wang Ching's compendium on these matters, see HHSCC 76.7a. 38 Bodde (1975), p. 15. HSPC 30.661r-69b.

228


which may well have been comparable with the 'Yueh ling' for our three extant versions, or even a source from which they were drawn. 39 (ii) The 'Yueh ling'

The 'Yiieh-ling' of the Lu-shih ch'un-ch'iu and the Li-chi may be regarded as authentic pre-Han texts. 40 The chapters are based on the wu-hsing, or Five Phases theory of being, and it is of considerable importance to observe how far the process of standardisation and regularisation had reached by the time that the 'Yueh ling' was compiled. Much of the text is duplicated again, in the fifth chapter of the Huai-nan-tzu ('Shih tse hsiin'), where some details are omitted and others are inserted. On the whole, the text of the Huai-nan-tzu may fit imperial Han times slightly better than that of the other two versions. The 'Yiieh ling' sets out the characteristics of each of the twelve months in terms of the movements of the heavenly bodies and the position of the months in the Five Phases cycle. 41 Details are specified of their appropriate or characteristic features in terms of such things as musical notes, the reactions of the pitch-pipes, number, taste, or smell. There is a description of the natural phenomena that can be expected to occur during the month among the flora and fauna of earth, including the transformation of living creatures from one type to another. The chapter also prescribes the correct behaviour for the ruler of man, the types of orders that should be given so as to correspond with the seasons, and the working tasks that are appropriate thereto. Finally, the chapter lays down the dire consequences that may be expected if, notwithstanding the provisions that are specified, orders that suit the other seasons of the year are implemented. Such consequences may take the form of peculiarities of climate, disturbances such as flood, drought, famine, crop failure, or plague, or the incidence of robbers, or insecurity at the borders. (iii) Fan Sheng-chih shu

This work, which was probably compiled toward the end of the first century BC, is set out in the form of instructions for the regulation of agricultural work. 42 Insofar as its outlook and purpose are strictly practical, the text may be compared with the Ssu min yueh ling, and it is for this reason that it is brought to attention here, although it does not take the form of an almanac. In at least one section the Fan Sheng-chih-shu carries instructions that are somewhat out of character with the rest of the work and which are reminiscent of the strips from Shui-hu-ti. These instructions advise against planting crops 39 40

41

42

See Chatley (1938), Bodde (1975), p. 16. The 'Yueh-ling' appear as the initial p'ien of the sections of the Lii shih ch'un-ch'iu. In the Li-chi these passages are assembled as 14-17. In LSCC and Li-chi the position is given in terms of the Twenty-eight Lodges; in HNT 5 as the region to which the star Chao-yao (see note 77 below) points. For an English translation of this text, see Hsu Cho-yun (1980), pp. 280f.

The Almanacs (Jih-shu) ft·om Shui-hu-ti

229

on particular days in the cycle of twelve; for example, for lesser beans, avoid mao days, for rice and hemp, avoid ch'en days. This instruction ends, 'All the nine types of field crop have their days of avoidance; if they are planted without avoiding such days, there will be considerable damage and failure.' The instruction that follows actually specifies that days on which ch'u falls, in the chien-ch 'u cycle, are not suitable for planting. 43 (iv) Ssu min yueh ling

The Ssu-min yueh-ling of Ts'ui Shih (c. 110 to c. 170) consists of a set of monthly ordinances that are of a very different type from those of the Lu shih ch'un-ch'iu, Li-chi, and Huai-nan-tzu. The text concentrates on the practical and realistic problems faced in maintaining the working life of the countryside. In addition, it is a guide for the religious rites and dues deemed necessary for a successful life on the farm. In at least one passage the book refers to the chien-ch'u system. 44 There are also a few injunctions to rely on divination, by means of yarrow stalks, in order to choose days that are suitable for certain activities. Whereas thejih-shu from Shui-hu-ti identify with great care the days that are or are not suitable for marriage, 45 the Ssu min yueh ling states, much more simply, that 'the eighth month is suitable'. 46 By contrast with the references to certain days in the cycle of earthly branches that are included in the Fan Sheng-chih shu, the Ssu min yueh ling simply states that planting of a whole variety of crops (which are named) may be undertaken from a date in the first month until the end of the second month. 47 ( v) Manuscript material with a mantic content

This has been identified as follows at sites other than that of Shui-hu-ti. (a) Tomb no. 6, Mo-tsui-tzu (Wu-wei), which may be dated in the period of Wang Mang, included six complete strips and several fragments that are of interest to the subject under discussion. Some of the texts are of much the same type as those from Shui-hu-ti, being prescriptions for and prohibitions against activities on days denoted by the terms of the sexagenary cycle. 48 (b) Chavannes' edition of the strips from Tun-huang includes one piece (no. 59) that comments on the results of obtaining the hexagram lii 0 • No. 448 recounts the likely destiny of children, in accordance with the direction in which their heads face at the time of birth. The surviving three characters on no. 638 foretell a happy outcome, from circumstances that cannot now be ascertained. 43 44 45 47

48

FSCS pp. 9-10 (sect. 2.1 2); Hsu (1980), p. 282. SMYL p. 8 (sect. 1.4); Hsu (1980), p. 216. For the Ssu-min yiieh-ling, see Ebrey (1974). 46 SMYL p. 61 (sect. 8.4); Hsu (1980), p. 224. See, for example, nos. 895R--884R. SMYL p. 13 (sect. 11.8); Hsu (1980), p.217. See Wu-wei Han chien, plate 21; figs. 22-3 for tracings; pp.136f for transcription and interpretative comment.

230



(c) Maspero identifies five fragments from Tun-huang (nos. 20-4) as deriving from mantic material; their text is comparable with that on some of the material from Shui-hu-ti. 49 (d) Tomb no. 1, Yin-ch'iieh shan, Lin-i (Shan-tung) is best known as the site that included manuscript copies of military texts, including some that had not been seen previously. There were also four groups of mantic material, identified as: Ts'ao shih yin-yang shu (24 pieces), Feng-chiao chan (51 pieces), Tsai-i chan (53 pieces), and unclassified (82 pieces). This tomb may be dated between 140 and 118 BC, and when the finds were first reported in 1974 it was stated that much of the text had yet to be interpreted. However, it was possible to note the presence of references to military subjects, and it was suggested that the texts may have derived from military writings that were concerned with divination.so (e) Several items among the rich hoard of manuscripts from tomb no. 3, Ma-wang-tui (c. 168 BC), bear titles which suggest that they were concerned with divination or oracles; details will doubtless be forthcoming when the texts are published. These documents include Wu hsing chan, Mu jen chan, and T'ien-wen eh 'i-hsiang tsa chan. Part of the last document, which depicts diagrams of no less than twenty-nine types of comet, includes notes of the events that they were believed to foretell. Another part is concerned with predictions from the shapes of clouds.s 1 It may thus be seen that there is a considerable difference in the forms and aims of all these documents. They range from the tabulated provisions of Shui-hu-ti to the schematic statements, almost of scientific or philosophical theory, of the 'Yiieh ling', and the highly practical instructions assembled by Ts'ui Shih. Nevertheless, there is a certain amount of overlap in the subjects treated by the various sources, as may be seen in a few examples. For the last of the three months of summer (chi hsia), the 'Yueh ling' states that orders are given for the observance of a whole host of religious rites and services. 52 ln addition, according to the version in the Huai-nan-tzu, acts of deliberate kindness are performed; condolences are proffered for the loss of the dead, and inquiries are made regarding the health or state of well-being of the elderly and sick. There is also a negative ii;ijunction for the month:

231

of summer. 53 On Shui-hu-ti strip no. 838 we are instructed, 'On wei0 days do not chop down large trees; there will undoubtedly be a great calamity. ' 54 Strips 833-5, which are entitled t'u chi (Days on which earthworks are to be avoided), name days on which 'it is not suitable to perform earthwork projects'. According to nos. 756R-55R, if advice to refrain from building a house is ignored, 'there will be great misfortune and undoubtedly a case of death'. Cutting down bamboo and trees is banned by the Ssu min yiieh ling during the first month for purely practical reasons, to avoid breeding insects. There is no connection stated with the wu hsing cycle. Elsewhere the same text permits felling bamboo and timber during the eleventh month. 55 The Huai-nan-tzu's interest in the care of the needy and their welfare is paralleled by the injunction of the Ssu min yiieh ling for the ninth month.s 6 That text also bans sexual activity at times during the fifth and eleventh months, that is, before and after the summer and winter solstices, owing to the prevailing struggle between Yin and Yang. 57 It imposes the same prohibition for the second month, at the midpoint of spring, during the season when thunder is about to be heard. The Huai-nan-tzu carries precisely the same warning, again for the second month, when attempts to procreate children will incur disaster. 58 However, the same precaution is not ordered by the Huai-nan-tzu at the other reference to the thundery season, in the eighth month. 59 The subject is treated somewhat differently in the material from Shui-hu-ti, which includes statements of the destiny or character of children procreated on each one of the sixty days of the cycle60 A further example wherein different types of text refer to the same subject concerns schooling, for which the Huai-nan-tzu provides in the ninth month. 61 The Ssu min yiieh ling allows schooling in the first, eighth, tenth, and eleventh months, 62 for highly practical reasons. For it is timed to occur before the onset of agricultural work (first month), when the heat of summer is abating (eighth month), or when work has been completed (tenth month). For the eleventh month, 'when water on the inkstones freezes, young boys are ordered to read the Hsiao ching and the Lun-yii and to enter the elementary schools'. References to schooling have yet to be found in the strips from Shui-hu-ti. Finally, the reference to auspicious days for climbing mountains in strip no. 741 may be compared with similar references in the Huai-nan-tzu. At a

It is in this month that trees are in a flourishing state; do not dare to cut them down. It is not suitable to assemble the leaders of the land or to initiate earth works. If large

numbers of persons are mobilised or armed men are raised, undoubtedly there will be a calamity of heaven.

" HNT 5.6b. For the inclusion of a ban on unseasonal tree felling in the Ch'in statutes, see 54 I.e., ta [?yang]; cf HNT 5.9a t'ien yang. Hulsewe (1985), p. 22 (item A 2). " SMYL p. 17 (sect. 1.12) and p. 72 (sect. ll.4).

Similar injunctions may be observed elsewhere. The Huai-nan-tzu itself imposes a further ban on felling trees and initiating building in the first month

" " " "

49 50

51

52

Maspero (1953), pp. 21-2. WW 1974.2, pp. 118, 32, 35. See also WW1983.2, p. 23; and WW1985.l, p. 14 for references to fragments of comparable value from Fu-yang and Chiang-ling. See chapters 3 and 9 above. Cf. LSCC 'Chi hsia' 6.la; Li-chi (SSC) 16.8a et seq.; HNT 5.8a.

'

0

61 62

SMYL p. 65 (sect. 9.1). SMYL p. 44 (sect. 5.6) and p. 71 (sect. 11.2). SMYL p. 20 (sect. 2.5); HNT 5.3a; LSCC 'Chung ch'un' 2.2a; Li-chi 15.5a. HNT 5.12a; LSCC 'Chung ch'iu' 8.2a; Li-chi 16.22a. N os. 869-78 and 1133-43. The term sheng tzu, taken here to mean procreation, occurs also in HNT 5.3a, with apparently the same meaning. For the importance attached to the timing of a child's conception, see Needham, Wang Ling and de Solla Price, pp. 170-2. HNT 5.13a; LSCC 'Chi ch'iu' 9. lb; Li-chi l 7.3a. SMYL pp. 9, 60, 68, 71 (sect. 1.5, 8.2, 10.3, 11.3).

232


somewhat later period, the Pao-p 'u-tzu included a general admonition to the effect that those intending to climb mountains, for mystical reasons or as part of a pilgrimage, should take good care to select an appropriate day. 63 It is also worth noting that a number of the subjects mentioned in the Jih-shu fragments may be seen in a much later document. 64 Contemporary criticism

A number of early writings criticise the principle of the almanacs and protest against the faith that was placed in a choice of the right day before embarking on a project. Such references suggest that the strength of these beliefs was not necessarily limited to popular levels and that they attracted attention in the higher reaches of society. This conclusion is supported by the establishment of officials who were concerned with the consultation of oracles, as the identification of auspicious and inauspicious days was included among the duties of the director of astrology (Tai shih ling) or his subordinates. 65 The subject is mentioned in general terms in a chapter of the Han-fei-tzu that specifies the conditions and practices that can lead to the ruin of a state. 66 Such conditions include 'attention to seasons [or hours] and days, service to spirits and holy beings, trust in divination by shell and stalk, devotion to prayer and sacrifice'. Belief in the efficacy of choosing days also features in the long and detailed protest against contemporary practices that forms the twenty-ninth p 'ien of the Yen-t 'ieh lun. The writer contrasts past practice, that is, the care and attention paid to moral conduct and the sparing resort to divination, with the recent irresponsible habit of neglecting ethical ideals and simply trusting to the luck of the day. 67 Perhaps the most direct and forthright critique of mantic practice is to be · found in books of the Later Han period, principally those of Wang Ch'ung (c. 27--100) and Wang Fu (c. 90--165). 68 Both these writers voiced protests against the way of life that they saw around them, but their approach and motives were somewhat different. Wang Ch'ung had lived through the restoration of the Han empire and had witnessed the consolidation and extension of its power and the success of some of its achievements. His protests were levelled against the easy intellectual assumptions of the day and the false reasoning and self-deception that were all too evident. In rejecting theories, such as those 63

64

65

68

HNT 5.8a; Pao-p'u-tzu ('Nei p'ien') 17.1 a. According to this text the third and the ninth months are those when the mountains are open; a fortunate day and an auspicious hour should be· chosen therein. These are seen in fragments of a Mongol translation of a Chinese calendar datable probably t6 1324; see Herbert Franke (1964). HHSCC (tr.).25. lb; Han kuan la (Han kuan liu chung, and Han kuan ch'i chung); Bielenstein 66 'Wang cheng' 15, p.113. 67 YTL 'San pu tsu' 29, p.204. (1980), p. 19. '· LH 'Ssu hui' 68, pp. 964f, 'Chi jih' 70, pp. 985f, 'Pu shih' 71, pp. 994f, 'Pien sui' 72, pp. 1004f, and 'Nan sui' 73, pp. 1012f; Forke (1907-11), vol. II, pp. 376f, 393f; vol. I, pp. 182f, 525f; and vol. II, pp. 402f; CFL 'Pu lieh' 25, pp. 29 lf; 'Wu lieh' 26, PP- 30lf; 'Hsiang lieh' 27, pp. 308f, and 'Meng lieh' 28, pp. 315f; [Kamenarovic (1992), pp. 169f, l 77f, 18lf and 185f].


233

'.nfheavenly warnings, the force of portents, or the efficacy of divination, he ~as striving to demonstrate their weakness on intellectual grounds. ~~ Wang Fu, however, lived at a time when the conduct of imperial govern~ent was by no means as successful as might have been hoped or as ,,;praiseworthy as some might have claimed. It was a time when the political and ··~ial scene was marked by injustice, corruption, and the abuse of power. )Vang Fu's protests were directed against such a decline and its causes, in the ~;Jlvpe that the standards of public life could be restored to a higher plane with a ~''deeper moral tone. Thus, in his discussion of such subjects as fate and ;divination, he is anxious to expose the weakness of evading responsibility or ;~king decisions owing to a belief that mantic methods form a substitute for ~~oral scruple and judgement. ;'.,,It has been shown above that Wang Ch'ung was ready to refer to some of '$~e terms of the chien-ch'u system in the course of his arguments regarding '~eation or the spontaneity of natural processes. In one chapter ('Pu shih') c;Jie attacks the general principle of divination by means of shells and stalks. '.~;j:t;another ('Chi jih') he rejects the choice of days or temporal conjunctions · the grounds that such measures cannot in fact ensure successful results, d that the principle was being applied inconsistently. As examples worthy criticism, he singles out a number of activities that were subject to the idance of particular days, and some of these duly feature in the material m Shui-hu-ti. These included regulation of days for burial; sacrifice to the t::i" and choice of days for shedding blood for sacrificial purposes; tailoring thes; and building projects. 69 Other activities Wang Ch'ung mentions, eh as the effects of washing the head on tzu or mao days, do not apparently i),ccur in the almanacs, but some of the subjects recur elsewhere in other :,~arts of the Lun-heng, 70 such as the p'ien entitled Pien sui and Nan sui. 1~~'1ne passages mention technical terms for the categories or qualities of . tain days that are comparable with terms seen in the almanacs from i-hu-ti. 71 In the four principal chapters that concern the subject, Wang Fu directs tention to the need to attain moral or spiritual improvement regardless of ·.ination, the intermediacy of shamans, or dependence on hsiang (assessing · .· ·action by reference to the bodily features of the individual concerned); and ~~~distinguishes ten types of dream, with their different subjects and relations ·~o the world around us. As he mentions a number of activities and types of .- ision that form subjects of the almanacs, 72 it is evident that he had much For burial, see strip no. 759; for kuei and other sacrifices, see nos. 732, 827R, 1010; for clothes, see no. 777R; for building see variously throughout. ·LH 'Chi jih' 70, p. 986 for burial; p. 988 for sacrifice and shedding of blood; p. 990 for washing .the ~ead; J?· 991 for tailoring clothes; p. 992 for building projects. For mention of travelling (Shu1-hu-tJ stnps 860f), see LH 'Nan sui' 73, pp. 1012f. See LH 'Nan sui' pp. 1010--13 for references to Wang-wang, Kuei-chi, Sui-p'o and Chih-fu. .For example, in CFL 'Pu lieh' 25, p. 296; see also 'Aijih' 18, p. 221 for mention of the avoidance ·of certain actions on account of the principle ofjan-chih (strips 743R, 742R); forfan-chih, see

234

the same beliefs in mind; but he does not apparently refer specifically to the principle of chia. Select points of interest Several problems and technical matters that arise from the strips are considered in detail in the highly valuable contribution of Jao Tsung-i and Tseng Hsien-t'ung. 73 In the following pages attention is drawn to a few points whose implications lie far beyond the almanacs and their concerns. (a) The identification and calculation of time: as has been noticed, some of the documents begin a calendar with the eleventh and some with the first (cheng) month; in one case at least, a series of strips starts with the tenth month (nos. 776ff). From this and other evidence considerable information is now available for the reconstruction of these early calendars and their relationship, and for determining the names that were assigned to the months in the pre-imperial kingdom of Ch'u. 74 Days are defined in the almanacs in terms of the Twelve Branches or the Ten Stems, and sometimes by their combination as terms of the sexagenary cycle. On some occasions, days are identified by enumeration, for example, as 'seven days from the beginning of the month' (see no. 836). On at least one strip (no. 789R) days are denoted by number. There are not many examples of referring to the days of the month in this way before Later Han. 75 In no. 1003, tzu, mao, yin, and yu days are defined as male; wu, wei, shen, eh 'ou, and hai days as female. In no. 759 the assignment is not quite identical. The appearance of names for ten, out ofa total of twelve, hours (no. 1051) testifies to the early use of a system of twelve hours at a popular level. The assignment of twelve animals to the twelve earthly branches (see the series beginning no. 827R) is probably the earliest reference to animals in this way; they are next seen, with a slightly different selection, in the Lun-heng. 76 (b) Wu hsing: there are a num her of references to the wu hsing cycle in the strips, but there is by no means the same degree of emphasis on the theory as there is in the 'Yiieh ling'. The clearest references may be seen in nos. 813R to 804R, which include a tabular presentation of the relationship of the Five Phases with each other. Both here and in nos. 97~82 the assumption is that the phases succeed one another by conquest and not in the order of mutual production. (c) Astronomy: considerable attention is placed on the movements and behaviour of the heavenly bodies, whose names sometimes occur as the headings or titles of a series of strips (for example, nos. 776-92, 793-6, 797-824). The series 776--92, which includes a diagram on the lowest register, sets out the twelve months, beginning with the tenth. Each one is identified in 74 76



73 See note 9 above. Jao and Tseng (1982), pp. 17-18. See Yii Hao-liang (1981). " See Loewe (1959), pp.308f. For these terms, see Jao and Tseng (1982), pp. 33f, and strips 961f.

235

terms of the Twenty-eight Lodges, and each entry includes a note of the position in the heavens 'struck' by the stars Chao-yao and Hsiian-ko. 77 The positions that are 'struck' are defined in one case by one of the Twelve Branches, and in the other by one of the Twenty-eight Lodges. The same system appears in the 'Y iieh ling', where the positions of the twelve months are likewise defined in terms of the lodges to which Chao-yao 'points'. Nos. 797-824 and 975--1002 are headed by the names of the twenty-eight in succession; in the latter case a direct identification is drawn with the months. (d) Mythology: at least two strips (nos. 884 and 893R) refer to a subject that recurs in mythology, that is, the wedding or meeting of the two constellations . Ch'ien-niu (herd boy) and Chih-nii (weaving maid). (e) Hungry ghosts: the expression o kuei, hungry ghost, is seen in strip no. 834R, and this is probably its earliest known occurrence. Later it appears in a Buddhist context as a rendering of the Sanskrit Preta, meaning either a deceased person or the form taken by a deceased person as a revenant.

Addendum The 460 strips found in tomb no. 1 (Ch'in), Fang-ma-t'an, Kansu, which may be dated at c. 238 BC, include material of a comparable nature to that found at Shui-hu-ti. Each of two groups of strips which are identified as Jih-shu, (A) of 73 and (B) 379 pieces, includes documents which have now been entitled (i) Yiieh ehien and (ii) Chien-eh 'u. For group (A), see Ch 'in Han chien-tu lun-wen chi, pp. 1--28. In group (A) (i) the key linkage of chien to yin days is fixed to the first (chengb) month of the calendar, as it is in the table from Shui-hu-ti which is entitled 'Ch'in ch'u' (see no. 743). The subjects and type of activities specified in (ii) are in general similar to those mentioned in the material from Shui-hu-ti, with particular stress on matters of social or political consequence for certain categories of days. Ho Shuang-ch'iian's account of this material includes descriptions of the various documents together with a few transcriptions and photographs. A subsequent article, by Teng Wen-k'uan, criticises his choice of the term yi.ieh chien to denote two of the documents, partly on the grounds of punctuation of the text and in view of the implications on interpretation. Liu Hsin-fang's article, which is largely concerned with other questions, suggests that the documents now entitled yi.ieh chien and ehien ch'u should in fact be taken and read together. 77

For the identification of Chao-yao as y Bootis, sec SCC vol. III, p. 250; and Jao and Tseng, pp. 13f. In the strips, the characters Chao-yao are written with mu and not with shou.

The Chiieh-ti games

public pe~forman~e, which was attended by the inhabitants of the capital city, was hel~ m the P mg-lo Lodge, of the Shang-lin Park, in the summer of 105 BC. This w~s ~year of ce~ebration and renewal, marked by the emperor's visit to mount Tm, the adoption of the regnal title 'Grand Beginning' (T'ai-ch'u) and the replacement of the patron element Water by Earth. 5 . Elsewhere there _is the suggestion that, so far from remaining as a static set piece, the repertoire of the chiieh-ti players was open to expansion and renew~l. 6 The empe~or himself graced the entertainment with his presence when it ;was staged m 64 BC, again in the P'ing-lo Lodge; as a gesture of ~ar~well the envoys of the Hsiung-nu and leaders of the outer states had been mv1ted. to atte~d the performance' w!'llch was accompanied by a musical enterta1~ent. In 44 BC orders were given for the suspension of the chiieh-ti, along ~th a number of other measures which were designed to reduce public expenditure. 8 There seems to be no reference to a formal re-introduction of the games after the suspension in 44 BC, but there are several references to their performance in Later Han. In AD 136 the king of the Fu-yii paid a visit to the court and doubtless rendered homage; Shun-ti ordered performances by the drummers and pipers of the Yellow Gates and an enactment of the chiieh-ti. 9 The chiieh-tiwere again performed in 142, as part of the gifts bestowed on the newly acceded Shan-yii. 10 They also formed part of the final banquet given to guardsmen to _mark the close of their service. 11 In decrying the extent of contemporary mdulgence and the decline of mores, Chung-ch'ang T'ung (c. 180-220) alluded to 'eyes that are exhausted by the spectacle of the chiieh-ti and ear.~ tha~ are exhausted by the sound of the music of Cheng 0 and Weia•.12 ~he chueh-tz also feature among the entertainments of the palace that were listed by Chang Heng (78-139). 13

11 The chiieh-ti games: a re-enactment of the battle between Ch'ih-yu and Hsiian-yiian?

In his masterly and detailed notes to the two chapters of the Han shu that concern relations with the peoples of the Western Regions, 1 Professor Hulsewe drew attention to the philological implications of the term chiieh-ti, which is sometimes taken to mean a ballet, or entertainment, and is rendered variously as 'competitive games', 'contests of strength' or 'the bull game'. In expressing his deep admiration for the work of this nature to which Professor Hulsewe has devoted himself over the decades, the disciple who writes now proposes to consider certain other aspects of the term and the suggestion probably not substantiated - of a link with China's mythology. Chiieh-ti is seen in form (a) (as given in the glossary below) in a passage which concerns Li Ssu (?280-208 BC). Hoping to be received in audience by the Second Emperor, c. 209, Li Ssu was unable to do so, as the emperor was otherwise engaged; for he was occupied with two forms of entertainment, the chiieh-ti and the yu-p 'ai, or display by actors or possibly puppets. 2 In a passage which refers to a slightly later period, the term appears as ku-ti. This occurs in the Hsin shu's long version of Chia I's (201-169 BC) famous memorial on the 'Five Baits' as a means of luring the Hsiung-nu from their homeland and softening their hardiness and character. The chiieh-ti are mentioned, in a passage that is by no means free of corruption, presumably as one of the spectacles that could be used for this purpose. If the text is authentic, it would have been composed at some time between 180 and, 169 BC. 3 The chUeh-ti entertainment was put on in the spring of 108 BC. At that time, Former Han had reached the fullest extent of its expansion, and the spectacle was part of a programme which included displays by the Pa-yii [dancers], the [ballet of the] Man-yen monster and that of the fishes and the dragon; we are told that the spectacle attracted an audience drawn from 300 li. 4 A further Hulsewe (1979a); see especially p. 153, note 439, and p. 201, note 744. SC 87, p. 36. For a model of an entertainment that included musical performances and tumbling, that was found in a tomb in Shan-tung, see WW 1972.1, 70--86, KK 1972.1, 29-42, WW 1975.5, 19-23, and Boltz (1975). ' Hsin shu 4.4b; see Yii Ying-shih (1967), pp. 36--7; [for the authenticity of the Hsin shu and its relation to other texts, see the item by Michael Nylan in Loewe (1993)]. • HSPC 6.27b, HFHD vol. II, pp. 92, 129-32. See also HSPC 96B.38a, Hulsewe (1979a), p. 201 for an account of the extravagances and of other types of entertainment with which Wu-ti hoped to impress his foreign visitors. 1

2

236

237

,.

We 1:11-ay now turn to the interpretations that have been put on the expression ch~eh-ti: seen in its various forms (see glossary). In commenting on the n~tes ofh1~ predecessors, Yen Shih-ku (581-645) explained the word ti as mean.mg t~ng, 1.e., to confront or face, and specifically not as ti-ch 'uo, to butt or stnke with horns. In making this comment, Yen was specifically supporting ' HSPC 6.3la, HFHDvol. II, p. 98; CC, pp. 30f. The P'ing-lo Lodge was part of the Shang-lin complex of palace and imperial pleasure grounds that lay to the west of Ch'ang-an city ' HSPC 61.8b, SC 123, p. 30. . ' HSPC_ 96B.6~, Hulsewe (1979a), p. 153. Use of the chiieh-ti entertainment as a means of attractmg the.mterest and loyalty of non-assimilated peoples is criticised in the account of the , debates held Ill 81 BC; see YTL 'Chung Ii', 37, p. 257. HSPC9.6a, HFHD vol. 11, p. 314;_HSPC23.9a, Hulsewe (1955), p. 329; HSPC24A.20a; Swann , (1950), p. 198. For measures d~~~ed to reduce state expenditure, see CC pp. 200f. HHSCC 85.4b. For the poss1b1hty that the drummers and pipers of the Yellow Gates (Huang-men ku-ch'u1) were eunuchs, see Bielenstein (1980) pp 29 66 10 HHSCC 89.17b. ' . ' . 11 HHSCC (tr.) 5.1 lb. 12 HHSCC 49.13a. Excessive indulgence in entertainments of this type is cited by way ofcriticism ;:~:~.court of Northern Chou for c. 578; see Chou shu 7, p.125; Pei shih 10, p. 380; Sui shu 14, 13

See Wen hsiian 2.30b for Chang Heng's 'Hsi ching fu'; Knechtges (1982-7), vol. I, p.229.

238


The Chiieh-ti games

the view taken by Wen Ying (jl. 196-220), and by implication he was rejecting that of Ying Shao (c. 140 to before 204). 14 The T'ang commentary to the Hou Han shu notes that the chueh-ti are of the same type as the Yu-lung and chiieh-ma performances; pairs confront one another and oppose each other by butting with their horns, and the chiieh-ti can therefore be compared with the tou-p'engof the commentator's own time. 15 Wang Hsien-ch'ien (1842-1918) 16 identifies chueh-ti with the contemporary kuan-ch 'iao, i.e., wrestling and other types of sport practised in Hsin-chiang and Mongolia. According to some scholars the chUeh-ti involved a dance in which the performers used a mask which was adorned with bulls' horns; and it has been suggested that the act may have derived from contests that were staged between live bulls. 17 In reviewing the evidence for this, Professor Dieny comes to the conclusion that the chi.ieh-ti had developed from being an act of simple fighting to become a theatrical spectacle, so that the term eventually referred to competitive games in general (see figure I 6). 18 A passage in the Han shu 19 throws an interesting light on the origin of the term and of the practices it denotes. The chapter reviews the methods that had been used in pre-imperial days for instilling military discipline, such as inspections, drills and training. The text refers to the prevalence of warfare after the Spring and Autumn period, when there took place 'something of an increase in the conventional methods or patterns (i.e., Ii) for military reviews. They became used for competitive games and musical performances, in which the participants showed off one to another. Under Ch'in, the name of the performances was changed to chiieh-ti, and the conventional methods of the earlier kings were supplanted by music of a lascivious type'. The treatise on music that is included in the Nan Ch'i shu (compiled by Hsiao Tzu-hsien 489-537) includes the somewhat general statement that the chiieh-ti had been passed on from one generation to another; that details of the additions or abridgements that had been made to the original form were not to be known; and in all probability their origin was to be found in the fu on the Western Capital, by Chang Heng of the Han dynasty. 20 In citing the passage from Han shu 23, 21 Ch'ien Ta-chao (1744--1813) adds his own comment, that the chueh-ti were in fact an ancient practice which had now (i.e., in 108 BC) been revived. Ch'ien's contemporary Shen Ch'in-han (1775-1832) quotes part of a passage from the Han Wu ku shih to the effect that the chiieh-ti had been evolved in the time of the Six Kingdoms and that they had been enlarged at the See notes to HSPC 6.27b, SC 87, p. 36. Ying Shao explains chueh-ti as chueh chi; Wen Ying's comment is by no means easy to interpret. He explains chueh-ti as 'A medley of skills and music', of the same category as the Pa-yii act, or the Yu-lung or the Man-yen. He adds that Han later changed the name to the 'P'ing-lo spectacle'. 15 HHSCC 89.17b. The reading tou-p 'eng follows the suggestion made by Liu Pin (1022--89). 17 See Bodde (1975), p. 206. " Note to HSPC 6.27b. 1 ' Rudolph (1960); Dieny (1968) pp. 58f calls on citations from Huang I-cheng, Shih-wu kan chu 16. !Sb, and the San ts"ai t'u hui (see 'Jen shih' 10.4la, b). 19 HSPC 23.Sb; Hulsewe (1955), p. 325. 20 Nan Ch'i shu 11, p. 195. 21 Note to HSPC 6.27b. 14

Figure 16 The chi.ieh-ti as portrayed in the San ts'ai t'u hui (see note 18).

239

The Chueh-ti games

241

hen Ch'in had formed the united empire; despite suspension at the time oundation of Han, the chiieh-ti were not entirely abolished, and when eror reviewed them, he combined them with music of non-Chinese mewhat different origin is ascribed to the chueh-ti in the Shu-i chi, probably took its present form in the middle of the T'ang period or s slightly later. 23 IJsiian-yiian was first established there lived Ch'ih-yu and his family, with his ·tWo brethren older and younger. They had copper heads with iron brows and off iron and stone. Hsiian-yiian fought and punished them in the wilds of . Ch'ih-yu was able to make clouds and fogs; Chuo-lu is situated in what is now u. There is a myth about Ch'ih-yu, according to which he had a human body, es, four eyes and six hands. Today, when the people of Chi-chou are digging nd, and they find skull-bones like copper and iron, they identify these as the Ch'ih-yu. Nowadays they possess Ch'ih-yu's teeth, two inches long and so ;.lt they cannot be broken. g Ch'in and Han times, it was said that Ch'ih-yu's ears and facial hair were like or halberds, and that there were horns on his head. In the fight with ·yiian, the horns were used for butting, and none could withstand them. e is a musical performance in Chi-chou today called 'The act of Ch'ih-yu'. bulls' horns on their heads, the people butt one another two by two or three by hen Han created the chueh-ti it was in fact a revival of this practice.

ewhat dry comment to this citation, Wang Hsien-ch'ien observes that ount given in the Shu i chi is nothing more than exaggeration due to 24

passage invites consideration of the myth of the battle that took place cHsiian-yiian, later identified as Huang-ti, and Ch'ih-yu, as seen in a of sources. From such references it is possible to suggest or even to · a number of outstanding themes or characteristics. Possibly the battle origin to a fundamental conflict that may have obtruded on the mind; i.e., that between a fear of drought due to the absence of rain, dread of excessive water that could lead to floods. Possibly there are I an antagonism between the evolution of agriculture and that of rgy, and there may be suggestions that dynastic considerations became ed to the myth, in the form of a contest between rival monarchs. There lso be an implication that these battles are unending and that they can be
242


may have played a part in the fight. The evidence concerns Ch'ih-yu's attributes as the forger of weapons and the maker of fogs; the tactics employed in the battle; the dynastic associations; religious repercussions; and the connection with drought. The battle is described as follows in a passage from the Shan-hai ching: 25 There was a person wearing green--blue clothes who was called Huang's-ti's daughter Pac. 2 • Ch'ih-yu was making his weapons and attacking Huang-ti. Huang-ti then ordered Ying-lung to attack him in the wilds of Chi-chou. Ying-lung had retained the waters. So Ch'ih-yu asked the Lord of the Winds and the Leader of the Rain to release the mighty winds and the rain; whereupon Huang-ti sent down his heavenly daughter Pac; and when the rains ceased he promptly slew Ch'ih-yu. Pa was not able to climb back and wherever she lived the rain stopped falling. Shu Chiin spoke of this to god (ti"), and thereafter she was settled north of the Red river; and Shu Chiin became ancestor of the sown fields (t'ien-tsu). But there were times when Pa escaped and those who wished to chase her away would order her with the words 'Go north, you spirit'. Before this they had cleared the waterways and cut them through to allow the passage of water through the ducts. The T'ai-p'ing yu-lan includes the following citation from the Lung-yu hot 'u2 1 : Before Huang-ti had assumed the rule of the land, there lived Ch'ih-yu with his brethren, eighty-one men in all. He combined the bodily features of a beast with the speech of man, with a copper head and iron brow; and he fed off sand and pebbles. He manufactured arms, staves, swords, halberds and large-size bows, and held all under the skies in fear of his might. He inflicted death without scruple, with no human feelings or compassion, and all the multitude of the people of the earth hoped that Huang-ti would perform the functions of the Son of Heaven. Huang-ti was a man of human feelings and a sense of what is right. Unable to prevent Ch'ih-yu's activities, he did not oppose him; and with his eyes raised to Heaven he sighed. Heaven sent its Black Daughter (hsiian-nu) down to bestow on Huang-ti tokens that promised military success (ping-hsin shen~fu); he brought Ch'ih-yu under control and thereby pacified all eight divisions of the world. Once Ch'ih-yu died, troubles broke out in the world once again without respite. So Huang-ti had paintings made of Ch'ih-yu, to bring authority to bear upon the world. Throughout the world it was said that Ch'ih-yu had not died; and it was for this reason that the many states in the eight divisions submitted.

The Chiieh-ti games

mankind, and it will be seen below that he was in due course to be treated as a cult hero to whom worship was rendered. A passage of the Shih tzu expressly identifies the smelter of metals as Ch'ih-yu, 28 and his skill at this type of work and atmaking weapons is seen in a number of passages, for example, from the Kuan-tzu and Shih-pen. 29 Elsewhere, however, this is brought into question. 3 ° Ch'ih-yu's ability to produce clouds and fog, as seen in the passages from the Shan-hai ching and the Shu-i chi that are cited above, also appears elsewhere, sometimes with specific references to the tactical purposes for which these skills were invoked. The T'ai-p 'ing yii-lan cites the following passage from the Chih-lin of Yu Hsi (Ji. 330 ): 31 When Huang-ti was fighting with Ch'ih-yu in the wilds of Chuo-Ju, Ch 'ih-yu contrived to make a great fog which lasted for three days, and the soldiers were all bewildered. Huang-ti thereupon ordered the Lord of the Winds to make a south pointing carriage, in imitation of the handle of the Dipper, as a means of distinguishing the four directions; and he thereupon captured Ch'ih-yu. The only specific reference to Ch'ih-yu's possession of horns would seem to be in the passage from the Shu-i chi that is cited above. A somewhat different aspect of the story is to be found in a discussion of the origin of musical instruments in the Chin shu, 32 with direct respect to the use of horns: Those who tell tales say that when Ch'ih-yu was leading his goblins in his fight with Huang-ti at Chuo-lu, [Huang-]ti gave orders that for the first time horns should be blown to make a dragon's roar as a means of defence. In the Yen-t'ieh lun 33 the battle is described as being fought by Hsiian-yiian who became 'Emperor' (i.e., Ti) on slaying Liang-i and Ch'ih-yu. This was at Chuo-Ju, the site that has been mentioned already in other passages. Elsewhere the fight is said to have taken place at Pan-ch'iian; 34 or at Hsiung-li t'u-ch'iu, where it was Ying-lung who put to death both Ch'ih-yu and K'ua-fu; 35 or at K'un-wu; 36 or in central Chi. 37 It will be recalled that the Shu-i chi identifies Chuo-lu as the contemporary Chi-chou and places performances of the act of Ch'ih-yu there. TPYL 833Ja; Shih tzu B.13b. Kuan-tzu 'Ti shu' 23. lb; Shih pen, p. 10. 30 LSCC 'T'ang Ping' 7.3a; Ta Tai Ii-chi 'Yung ping' l l.3b. 32 Chin shu (tr.) !3.26a. n TPYL 15.9a. For Yii Hsi, see Chin shu 91.4b. 33 YTL 'Chieh-ho', 43, p. 286; seep. 288 note 15 for suggestions that Liang I is a textual error for Yii shih or I hsin. 34 SC 11, p. 7; for translation of this passage see below. The formfan shan chih yiian occurs on strip no. 1172 verso of a copy of the Sun-tzu ping fa found at Yin-ch'iieh shan, in a section of the text entitled 'Huang-ti fa Ch'ih-ti'; see Yin-ch'iieh shan Han mu chu chien, vol. I, p. 32; for the reading pan, see Ta Tai Ii-chi 'Wu ti te' 7.lb. " SHC 14, SPPY 6a, Yiian, p. 359; Mathieu, vol. I, p. 544. For the name Hsiung-li t'u-ch'iu, or 36 Wang Chia, Shih i chi, 10, p. 232. Mount Hsiung-li, see notes by Hao 1-hsing. 37 Shih tzu B. l 4a; cf. the reference to Chi-chou in the passage from Shan-hai ching 17 that is cited above. 2• 2•

These two passages bring out significant themes in the story. Control of water plays an all-important part, possibly at the cost of the need to restrain the mistress who can command drought. The promotion of agriculture is also involved. Ch'ih-yu is seen perhaps as a demi-god, capable of oppressing 25

26

27

SHC 17, SPPY 4b, Yiian, p.430; Mathieu (1983), vol.I, p. 612. This is given in two forms (see TPYL 79.2b). For the further detail that Pa was bald, see Hao I-hsing's (17 57-1825) note to the text. TPYL 79.3b; the passage is also quoted in Chang Shou-chieh's (jl. 737) note to SC 1, p. 6; for the Lung-yu ho t'u, see Sun Chiieh, Ku wei shu, p. 34.

243

244


A number of other details and elaborations occur in the various accounts of the battle. According to one fragment of the Kuei-tsang, 38 Ch'ih-yu emerged from Yang-shui, with eight arms, eight feet and a [?bifurcated] hcad; 39 he climbed Chiu-nao to attack K'ung-sang; 40 Huang-tzu killed him at Ch'ingch'iu and composed the ten stanzas of the song of the maple drum ifeng ku). In another fragment of the Kuei-tsang, 41 Ch'ih-yu attacked K'ung-sang 'the place where Ti resides'. The following passage is cited by the T'ai-p'ing yu-lan from a text that is named the Huang-ti hsuan-nii chan-fa: 42 Huang-ti fought nine battles with Ch'ih-yu and nine times he did not win. Huang-ti returned to T'ai-shan; for three days and three nights there was fog and murky gloom. There was a woman, with human head and bird's body .43 Huang-ti prostrated his head, bowed down twice and did not dare to rise. The woman said: 'I am the Woman of the Dark (hsilan-ni.i); what do you wish to ask?' Huang-ti replied: 'I would like to win ten thousand victories ifl fight ten thousand times'; and that is how he forthwith acquired the art of warfare. 44

The Chiieh-ti games

245

Shen Kua (1030--94) writes of a salt lake, reddish in colour, which never overflowed in times of heavy rain or dried up in times of drought, and which was popularly called 'Ch'in-yu's blood'; this was situated close to the spring of Pan-ch'iian. 49 Elsewhere we read that the blood and bone ofCh'ih-yu and of a whole host of other creatures or goblins whom Huang-ti eliminated were transformed into deep lakes and lofty hillocks. In time the blood congealed into rock, the bones were bleached like ash and the fat ran out to become springs. 50 The belief that emanations could make themselves felt during a battle and affect its outcome has also left its mark on the story ofHuang-ti and Ch'ih-yu. One such emanation, which duly appeared in the course of the battle, took the form of a polychrome eh'[• of the clouds, with branches of gold and leaves of jade, which came to roost over Huang-ti. Its appearance was that of blossoming flowers, and it was on this basis that Huang-ti constructed his decorated canopy (hua kai). 51 Ch'ih-yu figures as an object of worship both at the level of popular religion and in the state cults. Unofficial services were held at the site of his grave, in Shou-chang, during the tenth month. 52 According to the Shan-hai ching, 53 the fetters and manacles that he had discarded were transformed into a grove of maple trees; another version reports that this had happened to his weapons. 54 The Shu i chi55 remarks on the existence of the 'Demon of the maples' (feng-tzu-kuei), an old maple tree in human guise also termed ling Jeng. Elsewhere 56 there are accounts of how excrescences grow on old maple trees. If there is a violent wind or heavy rain, they may develop to a length of three or five feet in a single night; and they take human fonn with mouths and eyes. Termed the 'maple men' in southern regions (for example, Yueh), they are worshipped as gods; or else the local shamans collect them as instruments with which to perform their techniques and to make successful contacts with the gods. The passage from the Shu i chi which links the chueh-ti with the battle between the two contenders concludes as follows: 57

Two references to the fight in the Chiao shih i-lin 45 carry different mythological allusions. The fight is said to have been between a white dragon and a red tiger, or between a white dragon and a black tiger. In what is perhaps the most elaborate account of the battle, cited from a text named the Hsiian-nu ping fa, 46 Huang-ti spent three years trying in vain to reduce the fortified city in which Ch'ih-yu lay, and was finally advised how to do so successfully by Wu Hsu. The strategy that he suggested followed the principles of the wu hsing most carefully, so as to co-ordinate the attacks of five separate forces, each one being so ordered that its timing and direction, and the symbols worn by its commander, were in correct harmony; and as a result the city fell within three days. In yet another version 47 no less a personage than Hsi Wang Mu played a part. After failing to beat his rival, Huang-ti fell asleep; he dreamt that that goddess had sent him a devotee to the tao, dressed in black fox fur, who was to convey to him a tally, with an inscription that promised victory. Together with one of the specialists whom he consulted, he built an altar by the waterside and offered a sacrifice, of no mean proportions; whereupon a black turtle clambered out of the water, clasping a tally in his jaws, which he deposited on the altar. Huang-ti recognised it as the tally which he had seen in his dream; and thus fortified he proceeded to the attack and captured Ch'ih-yu that very day. Ch'ih-yu lent his name both to a spring close to Pan-ch'iian and to a city. 48

It would perhaps be too fanciful to draw a connection between the diseases of

" Kuei-tsang 14a (Yii-han-shan fang chi-i shu). 39 shu shou. 41 Kuei-tsang 14a. '° For K'ung sang, see Allan (1984a), 529. 42 TPYL 15.9b. 43 For the motif in iconography ofa bird's body surmounted by a human head, see Loewe (1979), 44 For Hsuan nu as a Shang totem, see Allan (1981), and (1984b). p. 42. 46 Cited in TPYL 328.8A. " Chiao shih i-lin I, pp. 7, 17. 47 Cited from a source named as theHuang-ti ch'u chun ehiieh in I-wen lei-chii 99, p. 1717; see also Yiin eh 'i eh 'i eh 'ien 100. l 6b.

Shui ching chu 13.22a; T'ai-p'ing huan-yii chi 46.21a; and Hsu J-ehien ehih 4, p. 69. Meng ch'i pi-t'an 3, p. 40. so Shih i chi I, p. 19. " Ku chin chu A.7b. For the ch'i of the clouds and for a comet which was named 'The Banner of Ch'ih-yu', see chapters 9 and 3 above, pp. 196 and 77f. s2 Huang-Ian p. 3 (see notes); Shih san ehou chih, p. 20. 53 SHC 15, SPPY 3b, Yiian, p. 373, Mathieu, p. 557. " Yiin ch'i ch'i ch'ien 100.J Sb. ss B.lOb. " Erh-ya i 11, p.125; Nan-fang ts'ao-mu chuang B, p. 7. s1 A.2b.

In t~e village settlements of T'ai-yiian worship is paid to the spirit of Ch'ih-yu, without sacrifice of cattle. Nowadays there is the Ch'ih-yu river in Chi-chou, which is in the wilds ofChuo-lu. In the time of Han Wu-ti, there were occasions when Ch'ih-yu's spirit made its appearance in daytime, with turtlelike feet and serpent's head; when people suffer diseases of the head the custom is to initiate worship without delay.

48

49

246


the head and the horns with which Ch'ih-yu's head was said to have been crowned. On official and imperial levels, the worship of Ch'ih-yu was included among the services rendered to eight spirits by the First Ch'in Emperor during the course of his imperial progresses, and the object of the cult is described as ping chu. 58 Early in his career as Duke of P'ei, Liu Pang worshipped Ch'ih-yu, at P'ei; 59 after his accession as emperor, he gave orders for such services to take place at Ch'ang-an. •0 In 61 BC, worship was instituted on imperial orders at Shou-liang, along with that to a number of other deities, but it was discontinued in 31 BC; 61 we read also of the situation of this shrine on the Ch'ih river. 62 An interesting feature of these services is their maintenance without feeling of contradiction, along with the attention that was paid from time to time to the occult powers of Huang-ti. 63 In the Shan-hai ching's account of the battle that is cited above, 64 Huang-ti ordered Ying-lung to attack Ch'ih-yu; while it was Ying-lung who held back the waters, Ch'ih-yu was none the less able to contrive their release, and Huang-ti was able to win the day only by invoking the help of the goddess of drought. A somewhat different version appears elsewhere in the Shan-hai ching65 : ... there is the mountain named Hsiung-li t'u-ch'iu. Ying-lung was settled at the southern extremity; he slew Ch'ih-yu with K'ua-fu, and had no means of climbing back. As a result down below there were many occasions of drought; and at times of drought, it was only when images of Ying-lung were made that a heavy fall ofrain was obtained. 66

Elsewhere it is Ch'ih-yu who is addressed as the power who can bring about a fall of rain, as may be seen in the Ch'un-ch 'iu fan-lu's description of the elaborate rites designed for this purpose. 67 By this time considerable intellectual influences had entered into the conduct of these ceremonies; the transfer of the prayers for rain from Huang-ti's ally to his opponent is of considerable interest. The association of the battle with the elimination of drought and the sponsorship of agriculture recurs in a much later source than most of those texts quoted hitherto, with implications that bear on the question of the origin and authority of dynastic rule. In the opening passage of the Pei shih, the Toba 58 59 60

61

62 63

64 65

66

67

SC 28, p. 22; MH vol. III, p. 434. SC 28, p.35; MHvol.III, p.448; HSPC 25A.17b. SC 28, p. 36; MH vol. III, p.450; HSPC 25A.18a. HSPC 2SB.9a and HSPC 2SB.14b, !Sa; for the suspension of religious services, see CC

pp. 170f. In Tung chiin; HSPC 28A(l).79a. For the worship of Huang-ti, see CC p. 184. SHC 17, SPPY 4b, Yuan, p. 430; Mathieu (1983), p. 612. SHC 14, SPPY 6a, Yiian, p. 359; Mathieu (1983), p. 544. In his note to this passage Kuo P'u (276-324) traces the origin of the practice of exposing clay dragons, in the hope of obtaining rain, to this incident. CCFL 16.9a; see chapter 7 above, pp. lSlf.

The Chiieh-ti games

247

Wei family is traced back to Huang-ti Hsiian-yiian; the text adds that his descendant, Shih Chun who was serving Yao, expelled Nii-pa to the Jo river; the men of the north relied on his achievements, and Shun commissioned him to be founder of fieldwork (t'ien-tsu). By contrast the house of Northern Chou traced its descent to Y en-ti. 68 The theme of dynastic rivalry obtrudes in a number of passages, albeit late, in so far as Ch'ih-yu is perhaps to be identified as a descendant of Yen-ti, Huang-ti's rival. 69 The Shang shu 10 includes an account of Ch'ih-yu's oppressive treatment of the inhabitants of the earth, and the Lun-heng11 interprets part of the passage as referring to the protest and complaint which they made to Heaven above. But it is in the opening chapter of the Shih-chi, which juxtaposes elements of a number of accounts, that the characters of Ch'ih-yu, Yen-ti and Huang-ti are brought together. 72 The passage starts by recording the genealogy of Huang-ti, son of Shao-tien, of the clan of Kung-sun, with the given name Hsiian-yiian. After describing his qualities and powers the text continues: During the time of Hsiian-yiian, the clan of Shen-nung [i.e., Yen-ti] fell into decline. While the leaders of the land were seizing each other's territories, attacking one another and oppressing the inhabitants, Shen-nung's clan was unable to punish them. At that time Hsiian-yiian was accustomed to the use of weapons of war as a means of punishing those who did not submit. However, when the leaders all came to express their compliance, Ch'ih-yu was the most oppressive of them all, and none was able to overcome him. Yen-ti was hoping to seize control of the leaders of the lands, who all made over in loyalty to Hsiian-yiian. Hsiian-yiian thereupon put his own powers in order and arrayed his troops; he brought the five sources of energy [i.e., ch'z] under control, planted seeds of the five types of crop, cared for the many inhabitants, and measured out the lands of the four regions. He trained the bears, leopards, panthers and tigers, and with their help gave battle to Yen-ti in the wilds of Pan-ch'iian; and it was only after three months of fighting that he reached his objective. Ch'ih-yu wrought disorder, taking no account of the orders of Ti. At this point Huang-ti assembled and took command of the leaders of the land, and he did battle with Ch'ih-yu in the wilds of Chuo-lu. Thereafter, it was when he had captured and slain Ch'ih-yu, that the leaders of the land all paid honour to Hsiian-yiian, as the Son of Heaven, to take the place of the clan of Shcn-nung; this was Huang-ti.

A further insight into the incorporation of a dynastic theme into the story appears in the arguments adduced by Chang Heng (78-139) to show up the 68

69

70 71

72

Pei shih 1 ('Wei pen chi'), p. 1 and 9 ('Chou pen-chi, shang), p. 311. See Tun-chia k'ai shan t'u 4a, cited in Han Hsiieh, I shu k'ao. For the possible identification of Yen-ti and Shen-nung, see SC 1, pp. 5, 7 notes. 'Lii hsing', SC 19.17b, Karlgren (1950b), p. 74. LH 'Pien-tung' 43, p. 658; Forke (1907-11), vol. I, p.114. SC 1, pp. 3f.; MHvol. I, p. 25. [It is to be borne in mind that the author of the initial chapter of the Sh!h-chi deliberately chose to start his account of mankind with the ruler Huang-ti, to the exclus10n of others, such as Fu-hsi, Shen-nung, Yen-ti, who occur in other texts as rulers who had preceded him. References to Shen-nung in the chapter do not specify his kingship.]

248


discrepancies or contradictions in some of the prognostication literature. 73 He wrote that, while in general such writings tell that Huang-ti attacked Ch'ih-yu, the Shih ch'an uniquely takes the view that it was only after Ch'ih-yu had been defeated that Yao received the Mandate. It is unlikely that we shall ever know for certain what type of entertainment was comprised in the chiieh-ti, when this spectacle was put on to impress the foreign visitors to Ch'ang-an or Lo-yang; nor were the commentators of the second century agreed on what had been involved. We can at least note the persistence of a tradition for holding the games during the Han period, and the· emergence, or perhaps re-emergence, at the time when the Shu-i chi was written of the idea that the chiieh-ti owed their origin to the battle in which Huang~ti overcame Ch'ih-yu. Dare it be suggested that the original chiieh-ti arose as a mythical drama that re-enacted a fight between contending forces, due, for example, to the conflicting types of fears of the waters, the rivalries of monarchs and the differences between an agricultural way of life and occupations that depended on the skills of the worker in metals? Probably we would be wrong to reach such a conclusion without further evidence. That the chiieh-ti were a game need hardly be doubted, and there may be some reason to trace their origin to fights staged between men and animals such as bulls, as portrayed in some stone reliefs. 74 Nor is there any doubt that the chiieh-ti developed into a type of entertainment that would delight monarchs and impress alien visitors with the riches and grandeur of a Chinese way oflife. The suggestion of the Shu i chi that the games re-enacted the fight between Huang-ti and Ch'ih-yu is interesting enough, in view of the mythological implications of the story. Unfortunately there is insufficient evidence to support or validate the suggestion. For nearly thirty years this writer has enjoyed the great advantage of being able to submit drafts to Toon Hulsewe, to benefit from his eagle eye and fruitful suggestions and to a void errors whether of omission or commission; but on this occasion no such help has been available. In offering this small token of deep esteem and long-lasting friendship, I can only ask Toon to bear with the errors that he will doubtless find; I also ask for his help in the preparation of an emended version to be published in honour of his ninetieth birthday. 1'

74

HHSCC 59. !0b. An account of the reliefs at Nan-yang identifies one scene as that of the chiieh-ti (see WW 1973.6, 19 and 21 figure 3). For other examples of the motif of bull fighting, see Finsterbusch (1966--71), II, nos. 896f and 918f; see also Eberhard (1942), I, pp. 142-3 and 380-1; and Rudolph (1960).

12 The failure of the Confucian ethic in Later Han times

The Han dynasty is sometimes described, in somewhat simplistic terms, as presiding over one of China's greatest ages. In political terms Han is regarded and interpreted as a single period of four centuries that was subject to a few years' interruption by Wang Mang, just after the beginning of the Christian era; and Wang Mang is shown off to be a 'usurper' from whose wrongful deeds China was rescued by the founder of the Later Han dynasty in AD 25. The impression that we are intended to gather from the Standard Histories is that in general Han witnessed stable government and the advance of civilisation, together with freedom from injustice, oppression or corruption. The age was marked, we are given to understand, by the fostering of Confucian ideals; the practice of clemency and frugality in high places; the willing partnership and mutual trust enjoyed by emperors and their officials; and by the paramount position of the Son of Heaven and his reputation as a moral exemplar. Unfortunately the truth is by no means as simple, and the facts that lie embedded in the Standard Histories for those who care to examine them can\ hardly corroborate so optimistic a picture. A whole series of incidents that , disturbed the peace or threatened the survival of the dynasty may be traced in . succeeding decades of the Former Han period. 1 While the institutions of imperial government became more highly developed and more complex there were occasions when power lay in the hands of those who were not properly entitled to control the major decisions of state. At the close of Former Han, when effective power had come into the hands of Wang Mang, the latter was to be denigrated by official historians and denied the credit that was his due, tha!.~L!~.~':'}~g (;~ii:tCJ. with a heritage of Confucian learning and a respect for the Confucian ethic. . ' · · · · -· Thfr~"'f~Tf;;~d··;~·· involved tale of civil warfare in which a number challengers for power took part before the restoration of the house of Liu under the ruler known to history as Kuang-wu-ti (reigned 25-57). For a few decades, under his dispensation and that of his immediate successors, the authority of the central government was restored and as time proceeded 1

For example, the domination of the Empress Lii 188--80; the dynastic struggles of 92--90; and the conflict over the succession in 74 BC; see CHOC pp. 135f and CC eh. 2.

249

250

The failure of the Confucian ethic


Chinese strength was re-asserted in the north-west. Until perhaps 88, under Kuang-wu-ti, Ming-ti (reigned 57-75) and Chang-ti (reigned 75-88) the imperial house retained the respect of its servants and officials, despite the growing powers of a few families of imperial consorts. However, to those who had eyes to see and who had a memory for past history, a pattern was developing which had already been experienced in Former Han. Such families were acquiring a more highly pronounced strength thanks to the positions held by some of their male members in high offices of state, while their female members were taking their place at court as Empresses or Empresses Dowager. Under Ming-tithe situation remained more or less under control, despite some efforts by the Ma family; it remained so even for a short time of the regency of the Empress Tou, following the accession of a ten-year-old infant, known as Ho-ti (reigned 88-106). Severe trouble started from 92 onwards with the fall of that family. There began a long series of rivalries between the Teng and the Yen° families. There were continuous squabbles among those who wished to ensure the succession to the throne of a candidate whose predilections for a particular family and its fortunes would be dependable. Infant emperors, subject to the domination of their seniors, were thrust upon the throne, while eunuchs were achieving opportunities to control palace and government office. Most notorious of all, in the eyes of the historians, was the house of Liang\ whose members were consorts of Shun-ti (reigned 125-44) and Huan-ti (reigned 146-68). Simultaneously rival statesmen of factions were accusing each other of dishonest behaviour or of tolerating corruption and oppression on the part of officials. There were growing signs that the emperor's position could no longer command the respect and prestige that had been its due; the years were marked by growing dissidence, the breakdown of law and order and the central government's loss of authority. In 108 we hear of the recognition of popular hardship and distress following a series of droughts and floods. 2 A little later (120) Chai P'u, a specialist in astronomy who had at one time been banished to the deep south for involvement in a vendetta, was complaining that the imperial throne had been reduced to a cipher owing to the indulgence in favouritism. 3 Three months after his death in 144 Shun-ti's tomb was subjected to desecration and pillage. 4 At much the same time rebel bands were occupying cities in central China, 5 while the Hsien-pi tribes were making successful incursions in the north-east. 6 In the centre of the sub-continent there arose a champion of liberties, the self-styled 'Black Emperor' who attacked and killed the governor of Chiu-chiang commandery. 7 The government quelled this outburst, putting 4,000 rebels to death in the process. These incidents were by no means isolated. Just ten years later (154) a rebellion broke out in the Shan-tung peninsula. It was estimated that 30,000 4 HHSCC 6.14b. HHSCC 32.7aff. ' HHSCC 48.4b. ' HHSCC 6.14b; Ho-fei is mentioned. • HHSCC 6.16b and 7.7b.

2

7

HHSCC 6.16b.

251

persons, mainly those who were suffering material want through displacement, were involved before it was crushed. 8 In 157 the non-Chinese tribes of the deep south (Chiu-chen commandery) rose in revolt against imperial authority. 9 Similar troubles were reported, again in Shan-tung (160-5) and towards the centre, near Ch'ang-sha or beyond. 10 Finally there occurred the best known of all insurrections of the Later Han period. In 184 the Yellow Turban movement unleashed disruptive elements of extensive strength and infiuence. 11 Although a member of the Liu family remained enthroned as Han emperor until 220, the effective end of Han imperial government and dynastic power is sometimes ascribed to 184. It has thus been judged that, according to our sources, political activities of the Later Han period came to be characterised by the rivalries and jealousies of individuals, and by the struggles for mastery in which contending families engaged. 12 In estimating the importance of these quarrels due allowance must necessarily be made for the bias that weighted the historians' pen against particular factions. None the less the tale of active disruption and dissidence· cannot be ignored, and the charges levelled against certain individuals cannot be dismissed entirely on the grounds of historians' prejudice. As compared with Former Han, major changes had taken place in religious practice and intellectual outlook. The imperial cults of state were now firmly addressed to th~ \Vorship of Heaven rather than to the deities revered by Ch'in and the first emperors Han. Thanks partly to K'uang Heng, Pan Piao a?d Wang Mang, it" h~~ finally, ~~~5?,1;1::~,,ac.;~.~J?t~?.tha~.tp~)e_g;itiJ:I1~te

ofFormer

:~0~~f~(~:mfh~~~J~~~1~F~~~{e~:1 ~et~!0e~1~~1r;~~~;f4~f~~~.~~fit~~

go~e;ri;~iit at t~~y;ng r;th~~r t!la'n clii~rng-an symbolised the claim that the rulers of Later Han looked to the kings and institutions of Chou as their models rather than to the practices and might of the first Ch'in emperor. The explanation of the universe in terms of the cycle of the Five Phases had become far more widely accepted than previously, as was being expressed in literature and portrayed in art. The emergence of new types of instruments had made the observation of the heavens more accurate, with consequent adjustments to the calendar. 14 In Former Han times the road to paradise was thought to lie to the east by way of the Blessed Isles such as P'eng-lai, and the talismans buried with the dead responded to this belief. By the time of Kuang-wu-ti and Ming-ti different sets of symbols were intended to place the deceased person in conditions of eternal felicity as conceived within the universal order. By the time of An-ti (reigned 106-25) and Shun-ti attention was being directed to yet a different end, that of conveying the dead to a life of bliss in the paradise of the west. 15 9 HHSCC 7.7b. 10 HHSCC 7.lOa, Ila. ' HHSCC 7.7a and 65.12b. 12 See Bielenstein (1986), p. 277. See Mansvelt Beck (1986), pp. 334f. 13 See CHOC pp. 735f, and chapter 4 above. 14 See Sivin (1969). " For the different approaches to the hereafter, see Loewe (1979). 11

252


A new faith, some of whose elements were to cut right across the traditional Chinese concepts of service to the state and of position in society, was making its gradual way into town and countryside. Popular cults had arisen which looked to salvation from a leader blessed with magical powers; such movements were in time to be followed by the emergence of Taoist religion, with its scriptures, priests and communities, with its religious devotions, its bodily disciplines and its physical exercises. It was on such enthusiasms that the leaders of the Yellow Turbans were to rest their powers. 16 Of equal importance, contemporarily with these developments, considerable stress was being laid on intellectual activities, education and scholarship. Academicians had been striving to explain the meaning of the Five Classical Texts with greater clarity and to show their relevance to current modes of thought. The compilation of the catalogue of the imperial library by Liu Hsianga (79--8 BC) and Liu Hsin (46 BC to AD 23) had established categories of literature and philosophy that were to be of abiding influence. Simultaneously in Later Han the controversies of two major schools of interpretation were being played out, with their implications for political ideas as well as for academic scholarship. These were the chin wen and the ku wen schools, with their two attitudes to scholastic tradition, the one fastening on aspects of the mysterious and the other on the importance of demonstrable proof. 11 It was in Later Han that formal differences of interpreting the texts of classical literature came to be defined, with the realisation of the need to establish officially sponsored versions with their orthodox amplifications. The permanent heritage left to Chinese civilisation by such developments may be exemplified simply by the names of Ma Jung (79--166), Cheng Hsiian ( 127-200) or Ts'ai Yung (133-92) and the engraving of classical texts on stone tablets in 175. If we may believe our sources, the Academy (T'ai hsueh), situated on the south side of Lo-yang city beyond the walls, had been exerting an increasingly great influence; by 146 the number of its students is said to have risen to 30,000.' 8 At the same time there is no reason to doubt that where religious functions, procedures at court and social relations were concerned, full attention was being paid to observing the forms and conventions laid down by li and hallowed by association with the Confucian ethic. During the second century AD there was no lack ofinjunction to respect the ideals ascribed to Confucius and his school. Early in Former Han, Lu Chia 19 and others had been stressing the importance of his teachings. The first official steps to give prominence to the texts with ~hich his name and teaching were linked occurred in 136 BC; 20 at about this time Tung Chung-shu (c. 179 to 104) was pleading for greater attention to those ideals. 21 But by about AD 100 a 16

17 18 19 20 21

For the Yellow Turbans, see Mansvelt Beck (1986), pp. 325f and Demieville (1986), pp. 815f Ch'ien Mu (1958), pp. 760f HHSCC 67_3a and 79.2b, see Bielenstein (1976), pp. 68f CHOC pp. 73lf; see also chapter 6 above. HSPC 6.3b; HFHD voUI, p. 32; Ch'en Ch'i-yun (1986), p. 769_ HSPC 56.14aff.


253

marked change had taken place; whereas during Former Han these ideas had yet to gain full recognition as a framework for political and social conduct, by Later Han they had become far more definitely established as an orthodox norm. With a ready made set of ethical precepts and prescriptions for government Later Han possessed advantages that its predecessor had lacked. In addition, emperors, statesmen and officials of Later Han could look back on two or three centuries of imperial government with its successes and failures, its moments of triumph and crisis, its occasions of glory and of shame. There was no shortage of examples of incidents when imperial government had been manipulated or dynastic unity threatened from which they could take due note and warning. It might therefore have been expected that with the benefit of a more sophisticated intellectual tradition and acquaintance with the lessons of the past the leaders of state and society in Later Han would have been alive to the inherent dangers of the empire and able to take steps to avert some of the more obvious dangers. By contrast we find, if comparison is possible, that the dynasty was subject to more continuous crisis than previously, and that the ethical and practical lessons of the past counted for little in determining the fate of the nation. In these circumstances it is perhaps worthwhile to examine in greater detail some indications of the trends of the times and of the issues that were at stake. The conduct of government Our sources mention a number of occasions when charges of oppression, injustice or favouritism were levelled against some of the highest in the land. In 75 (or 77) Ti-wu Lun, minister of works (Ssu-k'ung) dared to remind the emperor (Ming-ti) that his father had conducted his government in a strict or even a ferocious style. 22 Such methods could be excused so far as Kuang-wu-ti was concerned; for he had inherited the aftermath of a long period of disruption and severity, and the prime need in those early years was to restore a sense of discipline and unity. Unfortunately, however, the example of Kuang-wu-ti and his advisers had been followed by their successors, with the result that severity had become the norm in the conduct of government. Ti-wu Lun, who was bold enough to express these views, is described in the histories in glowing terms. 23 He is said to have been an official who refused to recommend persons to junior appointments solely in order to satisfy personal friendships; and he is praised for the scrupulous way in which he avoided exploiting his own position so as to further his own interests. As often the reader is left with the problem of assessment, of determining whether the sources are recording a situation that was normal, or, alternatively, one marked by exceptional circumstances. The overwhelming impression in this 22

HHSCC 4L4b.

23

HHSCC 4L5b.

254


instance is that Ti-wu Lun is being held up as an abnormal rather than as a normal type of senior official. The cry that government was oppressive was raised again in 126. In a memorial submitted shortly after his appointment as colonel for internal security (Ssu-li hsiao-wei colonel director of retainers), Y ii Hsii referred to the stipulations of the laws as a means of keeping behaviour under control and to the punishments of state as the bit and reins whereby the freedom of the population was kept under restraint. 24 In a rare example of outspoken views Yii Hsii attempted to impeach some of those who had been involved in the dynastic disputes of the time or who were seeking to exercise a monopoly of power. His remarkable courage earned him accusations from rivals and a real danger of severe punishment. In 142 there were signs that the government itself was aware that officials were not performing their duties satisfactorily with sufficient attention to justice. The establishment of the posts of regional inspector (Tz 'u shih) as early as 106 BC had been intended both to ensure that the central govrnment was retaining a firm control of the provinces and to bring to the fore cases of dereliction of duty, corruption or oppression. Later the title of these officials had been changed to regional commissioner (Chou mu shepherd), thereby possibly implying a somewhat different concept of the duty of government that was more in line with the Confucian ethic than with the ideal of a strict and effective administration of the empire. 25 In 142 it was apparently necessary to take further steps to examine how government was being conducted in the provinces, and a commission of eight officials was appointed to set out on a tour of inspection. 26 However Chang Kang, a comparatively young and junior official who had been nominated to serve, refused to embark on the journey. He believed that the first battle against corruption should-be fought in Lo-yang itself within the orbit of the palace and the central government; the powers of favouritism that the Liang family exploited, their greed and their self-indulgence should be the first matters to be considered. It is hardly surprising that the commission's work met with general failure. A partially successful attempt to eliminate oppression and corruption took place under the sponsorship of Huang Ch'iung who had been appointed supreme commander ( T'ai-wei grand commandant) in 159 after the fall of the Liang family. 27 At this time it was far from easy to ensure that a charge of misconduct could be pressed home. Thanks to the propagandist efforts of rival factions the motives that lay behind any protests that were raised were open to misinterpretation. They could well be shown off as being due to no more than personal prejudices, and it was only if they were mounted by men who had earned the deep respect of the public that they could be sure of a 2• 2'

2•

HHSCC 58.4b. HSPC 6.30a; HFHD vol. II, p. 96; HSPC 19A.28a; CC p. 263; Bielenstein (1986), p. 506. 27 HHSCC 61.17a. HHSCC 56.3a.


255

hearing. In such circumstances the actions of two highly venerated individuals merit mention. Ch'en Fan is frequently named as an example of a statesman of Later Han who was distinguished by his high moral outlook and his freedom from corruption. 28 Shortly before 159 he refused overtures from the all powerful regent Liang Chi. At one time, when the court was faced with the news of banditry in the central part of the empire (Ling-ling and Kuei-yang commanderies) Ch'en Fan expressed the view that the cause lay in the oppression practised by officials, whose faults should be exposed prior to their replacement by men of integrity. Such unpalatable advice was followed by his own removal from Lo-yang, where he was serving as a member of the secretariat (Shang shu masters of writing), to be governor ( T'ai shou grand administrator) of Yii-chang commandery. Ch'en Fan behaved in a somewhat aloof manner, thereby earning the fear and respect of his contemporaries. He was shortly recalled to the central government as director of the secretariat (Shang shu ling prefect of the masters of writing), shortly to be promoted superintendent of state visits (Ta hung-tu Grand herald); but he was soon removed from that position owing to the protests that he raised over a matter which concerned a single individual. Li Yiin, magistrate (ling prefect) of Po-ma county (hsien prefecture) had incurred Huan-ti's anger owing to the remonstrations that he had tried to offer, and had been threatened with the death penalty. Ch'en Fan submitted a case for saving Li Yiin from such punishment. Nevertheless Ch'en Fan was soon back in a position of prominence as superintendent of the palace (Kuanglu-hsiin superintendent of the imperial household). This was in 159 and it was in this capacity that he launched a direct protest to the emperor on the dangers of conferring marquisates as a means of rewarding favourites rather than in order to encourage services to the empire. His complaints that too many womenfolk were being maintained in the palaces were not entirely ignored, as some 500 women were dismissed; but the plea that he made for economy went unheeded. He rose to be supreme commander from 165 to 166 and finally held one of the most highly respected places in Lo-yang as grand tutor (T'ai-fu). It was as such that he met a violent end in 168, in an abortive attempt to oust the eunuchs from their position of dominance. 29 The second case, of Hsiang K'ai, requires only brief mention here in view of its treatment at length by Dr de Crespigny. 30 In 166 Hsiang K'ai took the opportunity presented by the occurrence of several strange phenomena to express strong views; and he did so in a private capacity without the authority conferred by an office of state. In one of the sharpest rebukes addressed to an emperor of the Han dynasty he criticised certain aspects of misconduct that had been ascribed not only to the eunuchs within the court but even to the emperor (Huan-ti) himself. 2 • '0

2 • HHSCC 7.13aff and 8.lbff; for Li Yiin, see HHSCC 61.18b. HHSCC 66.laff. HHSCC 30B.15b; de Crespigny (1976).

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Imperial extravagance The improper use of imperial monies forms a recurrent theme in a succession of protests that were voiced by statesmen throughout Han history. 3 ' The issues however were not quite as simple as they might appear or may have been shown to be. A case for economy could often be made on the grounds that it would be right to curb the luxuries enjoyed in high places in face of the popular hardship suffered in many parts of the land. But it is possible that some officials saw the issue as a choice between different basic policies. On the one hand it could be thought right to make a deliberate display of the might and wealth of the imperial throne as a means of ensuring a loyal following and of impressing the leaders of the non-Chinese world who came to visit Ch'ang-an or Lo-yang.' 2 Such expenditures had been one of the marks of imperial government as practised under the first Ch'in emperor and by Wu-ti' s (reigned 141--87) modernist statesmen. Alternatively it could be maintained that it was incumbent to restrict imperial and public expenditure to a minimum, thus demonstrating the ideals of a benevolent unselfish government. This mode of thinking was associated with the Confucian ethic and espoused by the reformist statesmen who served Yiian-ti (reigned 49-33 BC) and Ch'eng-ti (reigned 33--7). From c. 50 BC onwards several measures were introduced in order to reduce the expenditure on extravagances in the palace. 33 Sometimes the example of Wen-ti was cited as a precedent for economies. A further issue had also been raised in Former Han, that of the value of large scale public expenditure for imperial projects. Attitudes tended to become polarised, with modernist statesmen being ready to collect resources for the purpose, while reformists were anxious to save the populace from hardships that might be involved and which they regarded as unnecessary or indefensible. 34 By Later Han a somewhat different characteristic attached to the protests that were raised against heavy expenditure. They fastened on indulgences which were designed to gratify personal pleasures, and it is not always possible to determine whether these protests were directed against a political proposal or the particular person of the emperor or member of his consorts' families. In 60 Chung-Ii I who held a post in the secretariat protested against the excessive use of Jabour in building the northern palace in Lo-yang, and as a result work on some projects that were now deemed to be unnecessary was suspended. 35 Ming-ti, the emperor to whom these protests were addressed, is described as a narrow-minded man. 36 He later received further protests from 32 HSPC 96B.38a; Hulsewe (1979a), p. 201. Loewe (1985), pp. 247f. For example, reduction of the expenses of the Bureau of Music and of holding certain religious cults; see CC pp. l 79f, 201 f; for the suspension of the chiieh-ti games, for the same purpose, see chapter 11, above, p.237. 34 For this theme, see the arguments and counter-arguments expressed in the Yen-t'ieh lun. " HHSCC 41.l la; Bielenstein (1976), p. 33. 36 HHSCC 41.12a.

31

33

The failure of the Confi1cian ethic

257

Chung-Ii I which were directed against the oppressive attitude of the government and the severity of the punishments that were ordered. In a posthumous edict Ming-ti seems to have taken some of Chung-li's advice to heart; he may also have been trying to establish for himself a good reputation for a generous dispensation, as was ascribed to some of his predecessors. He left instructions that he should be buried in a most restrained manner so as to avoid undue expenditure, and his motive for doing so may well have been to evoke the memory ofWen-ti (reigned 180-157). 37 Ming-ti may well have taken heed of the extravagant funerary habits of the days, as may be appreciated from recent excavations. Two years after Ming-ti's death his consort the Empress Dowager Ma followed his example by expressing her distaste for an extravagant way of life. 38 Possibly she was hoping to deflect criticism away from the ostentatious displays of wealth that some members of her family were allegedly making and thereby incurring envy. Be this as it may, such avowals did not serve to save the family when the wheel of political and dynastic fortune turned. Occasionally some measures were taken to reduce the style of imperial living, in the face of popular hardship that could not be denied. It had been the practice to have fresh fruit brought to imperial banquets directly from the south by means of express courier. On several occasions the messengers charged with this duty had died under the strain of the journey and its demand for speed, and in 105 the service was suspended. 39 In the following year further measures were taken to reduce the extent of the delicacies consumed at the imperial table. At the same time public or imperial entertainments, principally performances of the ballet, were cut; the complement of musicians maintained among the guards of the palace was likewise reduced. In addition economies were effected, somewhat arbitrarily, by halving the allowance of horse-feed for some of the mounts in the imperial stables; and the manufacture ofluxury goods for the pleasures and beautification of the palace was stopped. 40 Subsequently however we hear only of protests against the extravagant life-style of the imperial house. In 134 Chou Chu, who had served as regional inspector of Chi-chou and had just joined the secretariat, was taking Shun-ti to task; his luxuries were said to be the cause of the droughts that were being suffered in Ho-nan and the three commanderies of the old metropolitan area around Ch'ang-an. Such reasoning could be sustained in contemporary terms on the grounds that imperial practice was too heavily loaded on the Yin side and that nature had responded accordingly; Chou Chi.i therefore asked for a reduction in the establishment of ladies of the palace and of the expenses needed for their maintenance. 41 The theme was in no way new to the records of Han history. It recurs when, surely loaded with bias, they recount the splendid style of life enjoyed in the " HHSCC 2.18a; for references to Wen-ti's thrift, see HSPC 36.20a; HHSCC 30B.6a; and CFL 39 HHSCC 4.15b. 'Fu ch'ih', 12, p.130. " HHSCC IOA.9b. 40 HHSCC 5.2b; 5.3b; 10A.17b; 10A.18b. 41 HHSCC 61.8b.

258


luxurious villa of the Liang family. This had been built outside the walls of Lo-yang, on the west side, with its series of connected chambers, carved pillars and walls. A rich decor had been executed by carvers, bronzesmiths and lacquer artists to display themes and symbols that would attract good fortune. The carefully landscaped park in which the mansion stood included artificial hillocks, bridges and waterways. Gold, jades and other rarities from strange parts of the world filled the treasury. The protests that these luxuries drew were doubtless generated by envy and greed, lasting until the downfall of the Liang family in 159. At that time Liang Chi's property was confiscated and some parts of his belongings were sold for the benefit of the poor. 42 The conditions of public service Throughout the centuries of imperial China it was the hope that the public service would attract the talents of the most able men of the day and that their intellectual ability would be matched by their natural integrity. How far this ideal could ever be achieved may well be subject to question, but it may well be that the Han dynasty was regarded as having succeeded reasonably well in this respect. The persistence of a distinction between theory and practice may be traced in several ways; a few examples are taken here in chronological sequence. Service as an official carried a number of privileges with it, including freedom from certain types of punishment. However, privileged treatment by the law could not necessarily be taken for granted during the Later Han period. Between 70 and 77 charges of treason were brought against Liu Yingh, a member of the imperial family best known for his early acceptance of Buddhism in China. 43 We are told that several thousands were implicated in the case and that some half of the five hundred officials who were imprisoned died as a result of the treatment that they received and endured. The principle of whether officials should be liable to severe punishment was brought up again in 133. On this occasion Liu Chuh, superintendent of agriculture (Ta ssu-nung grand minister of agriculture), was sentenced to flogging, after being reprimanded for dereliction of duty. Only when Tso Hsiung, director of the secretariat, protested that such severe punishment was inappropriate for a dignitary of Liu Chii's seniority was he reprieved. 44 Recruitment to the public service was a somewhat complex matter, involving several routes to office. A few events or decisions give some indication of what conditions may have been like. As with the case of the punishment of officials we have no means measuring how far these conditions were regular or exceptional. In 101 special measures were instituted to recruit more candidates for office


from the north, north-east and north-west. 45 Such a move may have been intended to lessen the influence of families who were well established in the centre. In the following year46 Hsii Fang, minister of works (Ssu-k 'ung), called attention to the type of training that students were receiving in the Academy and expressed his dissatisfaction with some of its methods. He called for teaching which was based on the literal meaning of the classical texts; he was disturbed by the way in which these were being used as a vehicle for disseminating heterodox ideas and he asked for a return to orthodoxy in the place of other tendencies. There was also talk ( 106) of the laziness of the scholars and teachers of the Academy, and it was alleged that the decline of traditional learning was one reason for the oppression practised by some officials. 47 Some ten years later (119) the Empress Dowager Teng tried to improve the situation, but here again there may have been an ulterior motive at work. 48 Special provision was made to educate some forty members of the imperial Liu family and thirty of her own kinsmen, aged five or more. It was claimed that these measures were directed to raise cultural standards and to enhance the influence that could be brought to bear on public life by the masters of ancient learning or by those equipped with a knowledge of the moral behaviour and standards of the past. A measure of a somewhat different type which was taken in 132 can perhaps be explained as an attempt to prevent nepotism of a sort from taking place. Of those candidates for office who came from the provinces, only those aged forty years or more would be acceptable; and all would be subject to examination. 49 In this way it was hoped that officials would be prevented from promoting the interests of their own children who were attending at the Academy. At much the same time the complaint was heard that officials who had attained promotion, able though they might be, could hardly be judged to stand possessed of moral integrity. It was in such circumstances that the means of selecting officials was being criticised. In about 130 Lang I protested against the lack of rigour enforced during the processes of selection. Lang I never served in an official position. He was an expert in the occult arts and the memorials that he submitted on public affairs frequently drew on the evidence of strange phenomena as indications of imperial or official failings. 50 Another instance is seen in the case of Li Ku whose final appointment was that of supreme commander, in 144, but who died, disgraced, in prison in 147. Early in his career (c. 133) Li Ku was protesting against the growing habit of giving permanent appointments without taking the precaution of stipulating a preliminary period of probation. 51 A telling comment on the declining standards and value of service in public life is seen in the unwillingness or even refusal of some men to take part. In a HHSCC 4.12b; for the recruitment of civil servants, see de Crespigny (1966) and Bielenstein 46 HHSCC 44.4b. 47 HHSCC 32.5ff. (1980), eh. 6. 48 HHSCC 10A.2la. 49 HHSCC 6.7a, b. 50 HHSCC 30B.lb. " HHSCC 6.14a; 7.3a; 63.3a, with commentary. 45

42

43 44

HHSCC 34.12b; Bielenstein (1976), p. 73. HHSCC 2. l4a; 42.5aff; 8l.13a; Ziircher (1959), vol.I, pp. 26- 7; Bielenstein (1986), p. 281. HHSCC 61.6b.

259

260


number of notable cases the motives that lay behind such decisions can only be described as honourable. They arose from a determination to keep at a distance from a way of life marked by malpractice and open to temptation, and from a recognition of the near impossibility of embarking on an official career without incurring involvement. Integrity of this type shows in the case of Fan Ying, c. 127, a scholar and specialist in the occult arts, fully capable of maintaining his own independence ofmind.52 Later, in 159, five men who had been recommended for office by no less a statesman than Ch'en Fan refused to take up the offer. This instance is particularly significant in view of the brave attempts made by Ch'en Fan to retain high standards in examining candidates, and the stand that he took over a number of moral issues. 53 In one further example Wei Ruan, who was frequently urged to accept the chance of appointment, repeatedly refused to do so. He believed that, were he to accept, he would still be unable to influence the style of public life or to correct some of its abuses, such as the extravagance of keeping well-stocked stables for the palace, or the monopoly of power enjoyed by those near the throne. 54 The seat of authority

A number of different component elements were active in the political arena, each with its own interests and ambitions. Sometimes these were mutually antagonistic, with the result that conflict was certain to break out; at times different elements depended on one another for support or survival, in so far as each was backed by its own source of power but subject to its own limitations. At times conditions were far removed from the ideal in which the emperor acted as the parent of his people and ministers of proven ability and integrity served their prince in loyalty. The emperor was indeed duly acknowledged as the head of state and society and his position as such was underlined, or even defined, by the prescriptions that regulated his daily life and exhibited its hierarchies. But his chief duties were of a religious and symbolical nature rather than those of an active participant in the government of the empire; at times he could more accurately be described as the victim of dynastic intrigue than as the beneficiary of the empire's most highly elevated position. That that position must be filled was essential for the well-being of all those who were engaged in political or dynastic activities. The enthronement of an infant or a youngster, for which examples exist in Former Han, illustrates at once the relative insignificance of the incumbent's personality, the value of filling the position with a nonentity who could be managed and the need to maintain a titular supreme authority from whom others derived their powers. 55 HHSCC 82A.13a. HHSCC 53.6a, with commentary; Tzu-chih t'ung-chien 54, p. 1748. 54 HHSCC 53.2a. " Two infants were nominated as 'emperors' during the time of the Empress Lii. Of the Former 52 53


261

Such control was exercised most easily by those who were in immediate and personal contact with the emperor, and who could claim the right of seniority of a mother or a grand-mother. In Former Han there had been precedents when an Empress Dowager had taken responsibility for decisions of state or had acted as an instrument for proclaiming at the highest level a decision that had in fact been wished upon her. Such moments occurred in both Former and Later Han when an emperor was incapacitated, or at times of dynastic crisis and rivalry following the demise of the crown. In such circumstances it could be claimed that an Empress Dowager was exercising due authority in the interests of preserving dynastic continuity or maintaining the safety of the empire. 56 There were times, then, when it was recognised that supreme dynastic authority lay not in the hands of an emperor but in those of his female relatives. It requires but little imagination to appreciate the weaknesses inherent in such a situation when the provisions of state permitted or even encouraged the co-existence of a number of consorts and their families. One family, with its interests, could easily give place to another if a consort failed to give birth to an heir; or if the emperor's affections were stimulated to the point of conferring favouritism and privileges to a consort's relatives. The situation could change speedily and dramatically. The civil service formed another element in whose hands power could be vested or shared. By the middle of Later Han officials were in theory respected for the talents that they were assumed to possess. They enjoyed the reputation of being men of learning who had undergone considerable training; and emperors, their consorts and mothers and their kinsfolk depended alike in the last resort on their training. For it was the civil servant, as the administrator of the provinces or the tax collector, on whom the maintenance of order and the viable government of the land ultimately rested. The chief difficulty)ay in ensuring that senior civil servants could be trusted to deploy the resources at their disposal without endangering the security of the realm; for at times a combination of loyalty and efficiency may not always have been taken for granted. A further difficulty sprang from the growth of rivalries among the officials themselves. High-ranking officials who raised a protest against contemporary abuses were open to the charge that so far from acting from disinterested motives they were simply seizing opportunities to further their personal ambitions, and that they had no real wish to purify public life from corruption. 57 There may also have been cause for friction between different Han emper?rs, Wu-.ti, Chao-ti, Hsiian-ti, Ch'eng-ti, Ai-ti and P'ing-ti were under age at the t1.me of theJr access10n. In Later Han, only Kuang-wu-ti, Ming-ti and Chang-ti were aged eighteen or more when they were enthroned. For the significance of the emperor, see Mansvelt Beck (1981) and (1986), pp. 357f, CHOC pp. 740f and chapter 4 above. " HSPC 68B.8b, 9b; for examples in Later Han, see Bielenstein (1986), pp. 283-4, 286. 57 For a case of charge and counter-charge, see HHSCC 58.4bff; Tzu-chih t'ung-chien 51, pp. 1642-4.

262

groups, i.e., those who had risen through the hierarchical stages of the service to attain high office thanks to their own merits, and those who had been born great or had had greatness thrust upon them thanks to the favouritism that their families enjoyed. Sometimes this rivalry or antagonism could be seen in a sharp divide between officials who served in the regular establishment and those who held positions of trust in the secretariat. Finally the eunuchs constituted a force that could be friendly, hostile or neutral. Enjoying a specially advantageous position thanks to their presence inside the palaces they were free to ally themselves with whichever one of the families of consorts would best suit their interests. In this way they are recorded as playing leading parts in the manipulation of the imperial succession. In their defence it has been claimed that but for eunuchs continuity in the imperial monarchy would have been disrupted long before the end of the dynasty. In the meantime they had suffered persecution or even elimination in 166. 58 The loss of ethical ideals and the failure of government

From the foregoing considerations it may be seen that despite the stress which was laid on education in the institutions of government; despite the claim that imperial government and its officials were setting out to foster the ethical ideals of Confucius and his school; and despite the marked attention paid by scholars to the interpretation and propagation of the texts of traditional literature; for all this the second century witnessed the failure of the Confucian ethic. The aims of imperial sovereignty were honoured more often in the breach than in the observance, and the ideal partnership whereby emperor and minister played complementary roles was rarely, if ever, achieved. A few emperors, such as Kuang-wu-ti, exercised a strong influence on events; others, such as infants, were completely powerless. Men ofletters who were versed in the tradition, or those who were given to contemplation rather than action, would look in vain for an emperor whose strength rested on his position but who took no personal part in government, leaving his trusted ministers to preserve the peace, security and prosperity of his heritage. Towards the end of the dynasty we hear of a critic who questioned the value of the hereditary principle of rulership. 59 Certainly the preceding decades had hardly demonstrated how the transcendent authority of an emperor who had been born but was not trained to carry the mandate could resist the pressures of those who stood around him. The standard of public morality was open to question. According to one critic there were men of prominence who would not hesitate to exploit their opportunities for personal gain at the expense of the public. 60 Nor was the 58 •0



See Bielenstein (1986), pp. 287f. See Lang I, in HHSCC 30B.4a.

59

CFL 'Lun jung', 4, pp. 32f.

263

ide~l

set of social relationships necessarily inviolate, and it could hardly be claimed that li took the place of laws and attracted universal respect. Similarly however vociferous the appeal that had been made for ethical values by Confucius, Mencius and those who taught their lessons in the imperial age, such calls had fallen largely on deaf ears. By the end of the dynasty contemporary critics were drawing attention to the social and political instability of the times. But they did not call for a return to the standards ofjen and i; they called for the imposition of a more disciplined way of life, often associated with teachers classified as fa chia. 61 Despite the development of the Academy and the large number of its attendant students there was a marked failure to produce officials whose probity and loyalty could be guaranteed; and there was no certainty that those men who were most blessed with talents would always be ready to place them at the service of the empire. The administration itself was not sufficiently strong to preclude the occurrence of internal disorders or uprisings. Reference has been made above to the extreme case of the desecration ofShun-ti's tomb in 144. From 184 onwards the face of the land was open to the outbreak of civil disturbance, and the open rivalry of contending factions militated against the effective maintenance of stability. The optimistic hope that the beneficent administration of the true Son of Heaven would attract the loyalty of those unfortunate peoples placed beyond the pale was hardly borne out in fact. Certainly some groups of the Hsiung-nu had been settled within Han commanderies; 62 such arrangements had been approved partly in an attempt to establish a defensive buffer against more powerful and dangerous threats from further afield but they can hardly be regarded as being successful. Possibly the inclusion of alien leader and communities in the north was to pave the way for the eventual breakdown of the central government's hold. In any event Chinese territory was frequently beset in these decades by the incursions of the unassimilated groups of, for example, the Hsien-pi in the north-east; and one of the controversial issues of Han politics lay in the value placed on diverting resources so as to maintain an imperial hold on the north-west (i.e., Liang-chou, modern Kansu). 63 A few moments of protest

In commenting on the instability of the Wu tai period (906-60), Ou-yang Hsiu (1007-72) was to raise the question of what had happened to the men of integrity at that time and why their voices had been stilled. 64 The same 61

62 63

See Balazs (1964), ch.13, for Wang Fu, Ts'ui Shih and Chung-ch'ang T'ung. See Yii Ying-shih (1986), pp.40lf. HHSCC 8.2aff; for T'an-shih-huai's leadership, see Gardiner and de Crespigny (1977) and Yii Ymg-shlh (1986), p. 444. For the year 140, HHSCC 6.1 laff records rebellion by the southern Hsiung-nu; incursions by Ch'iang tribes into the old metropolitan area of the west and to Wu-tu con:man.dery; the withdrawal of the seats of provincial authority from the perimeter; and mcurs1ons mto Shang chiin.

264


questions may be posed in respect of the second century, but no certain answer can be provided. Possibly some of those dominant personalities who were capable of influencing the spirit of their times for good rather than for evil were living in retirement in their libraries, surrounded by texts written on wood or the newly evolved substance of pro to-paper. Or, towards the end of the second century, they were busily engaged in taking ink squeezes from the newly engraved tablets of the classical writings. Some may have been seeking refuge from the turmoils of this world in the Buddhist establishments that were emerging; or they may have been pondering the mysteries of what were somewhat rare writings, the Chinese translations from the Sanskrit or the Prakrits of Central Asia. More adventuresome and robust leaders, but not those who had been trained to serve their emperor on the basis of Confucian teaching, were perhaps to be found among the newly arising movements that sought salvation and whose elements were to be incorporated under the auspices of Taoist religion. 65 Whatever the inclinations of the more educated men may have been, the Standard Histories record a number of instances of statesmen who risked a great deal to bring the principles of imperial government into question or to seek an explanation of why it was failing to achieve its objectives; a few even ventured to rebuke their emperor directly. Three occasions may be cited here when critics were able to seize an opportunity, sometimes occasioned by natural calamity, and exploit it as a means of expressing a protest. 66 The reign of An-ti had been marked by excessive favouritism that had been accorded to privileged individuals. These had included Wang Po-jung, daughter of the emperor's foster-mother Wang Sheng, and such signal marks of favour had been followed by behaviour which invited description as arbitrary or insatiable. In 121 Yang Chen, minister of finance ( Ssu-t 'u minister over the masses), wrote of the need to eliminate both mother and daughter from the palace in view of the example that they gave. 67 In a somewhat high-flown memorial Chai P'u, of the secretariat, referred to the duty of th~ emperor to bring about an era of universal peace (t'ai-p'ing). He warned against a recurrence of the mockery that had been made,of imperial power in the past by the Tou and the Teng families and their exploitation of their privileges. 68 Ch'en Chung, director of the secretariat, was even bold enough to go further. He questioned the extreme deference paid to Wang Po-jung when she had been travelling in the provinces to render service to the tombs of An-ti's parents. 69 It was only too apparent that her authority had outstripped that of the emperor, who, let it be recalled, had acceded to the throne at the age of about twelve. 64 See Ou-yang Hsiu's essay ·r hsing hsii Jun'. " See Demieville (1986), pp. 820f, for the introduction of Buddhism, and pp. 815f for popular Taoism; for messianic movements, see Loewe (1979), pp. 98f. 66 For a further instance, in which Hsiang K'ai expressed strong views, see de Crespigny (1976). 67 HHSCC 54.2b; CHOC p. 304. 0 ' HHSCC 48.4b. " HHSCC 46.14a.


265

Protests of a similar nature were raised following an earthquake that was felt in Lo-yang in 133 and the emperor's call for advice. 70 At the time he was about eighteen years old and his appeal was answered by three prominent men of somewhat different backgrounds and characters. Li Ku, of whom we have already heard, was as yet not embarked on his official career, but he was already well known in Lo-yang as a teacher. He was now writing at a time when the Liang family had reached a position of considerable strength such that the privileges which it enjoyed exceeded those bestowed on their predecessors ofMing-ti's reign. Li Ku called attention11 to the dangers of the situation and called for measures which would restore authority to the dynastic house rather than the families of the consorts, and that would strengthen the established civil service at a time when the secretariat had attained so crucial and dominating a position. Chang Heng (78--139) who also expressed views on this occasion is best known as a pioneer of technology and a mystic whose writings such as the 'Ssu hsiianfu' may be found in the Hou Han shu. Seeing the way in which the seat of power had been moved to somewhat inferior places, he likewise hoped that the young emperor would be able to assert his personal authority to the full. 72 A third memorialist, Ma Jung, is best known for the part that he played in scholastic matters in connection with the chin wen and ku wen controversy. On this occasion he contented himself with remarking on the current state of imbalance between Yin and Yang, the severity of the punishments that were being ordered by provincial authorities and the failure to maintain the regular seasonal work of the fields and the mulberry orchards. 73 The third example to which attention may be drawn took place during the reign of Huan-ti, who acceded to the throne in 146 at the age of about fourteen. In 151 Ts'ui Shih, who had refused an opportunity to serve as an official, submitted a long essay known under the title of 'Cheng Lun'; and here we may note a clear reaction against the belief or hope that an empire can be governed in peace and concord by sole reliance on the ethical ideals of the moralist philosophers. 74 Ts'ui Shih called for the rigorous application of the laws of the land and their prescribed punishments as the only effective remedy for the cumulative effects of degeneration. Perhaps this outspoken recognition of the virtues of a way of government that was pejoratively ascribed to the regime of Ch'in was somewhat exceptional. Four years later a student at the Academy took a rather different line which was perhaps more orthodox. Liu T'ao stressed the essential relationship of the emperor and his hold on temporal affairs to the operation of the universal order of being. He was here echoing the system of imperial '0

72 73

74

71 HHSCC 63.lb. HHSCC 6.8a. HHSCC 59.8b; for Chang Heng's 'Ssu hsiian fu', see HHSCC 59.llb. HHSCC 63.lb, where the commentary includes a summary of Ma Jung's views; HHSCC 30B.4a; Tzu-chih t'ung-chien 51, p.1661. HHSCC 52.!4bfi; Balazs (1964), pp. 207f; Ch'en Ch'i-yiin (1986), p. 788.

266


government that had been enunciated some two and a half centuries previously by Tung Chung-shu. He was also courageous enough to rebuke Huan-ti for living in a detached manner, removed by a safe distance from the toils and tribulations of the world and oblivious of the acts of oppression practised by his officials. 75 The foregoing examples serve as a reminder of the protests that were b¥i.ng voiced at various times during the second century by those who witnessed the contemporary decline of mores. Finally we may consider a summary of the recent past that was made towards the very end of dynasty by Chung-ch'ang T'ung. 76 Born in about 180 he lived through the final decades of the Han dynasty, seeing for himself the outbreak of the Yellow Turbans' revolt and the growth of separatism under rival contenders for power. Set in motion just before his birth, the Great Proscription (tang ku)17 had shown how hollow was the claim that prominence in court, and political power, were the just rewards of a scholarly training and of meritorious service to the empire .. Although he probably did not outlive 220, the year which saw the abdication of the last Han emperor, Chung-ch'ang T'ung was in a sense writing with the advantage of hindsight. Having agreed to serve the cause of Ts'ao Ts'ao he had thereby demonstrated that his loyalties to the Han house were severed, and in his writings he endeavoured to find the cause of the dynastic failure that he witnessed. Courageously he traced this right back to the restoration of the Han dynasty and to no less a person than Kuang-wu-ti. Angered by the powers that were being exercised by the senior duly established officials, i.e., the san kung, Kuang-wu-ti had called on the services of the secretariat and relied on its members to take decisions. By so doing he was to allow access to the corridors of power by the families of imperial consorts. In the last resort it was due to such steps that in time the senior posts of the civil service were filled not by men of proven integrity and merit but by mediocrities, whose sole virtue lay in their willingness to countenance the decisions that were taken in their names. 75

7• 77

HHSCC 57.3bff; CHOC p. 312; for Tung Chung-shu's three men\iorials, see HSPC 56.3aff. HHSCC 49.19a; Balazs (1964), p. 213. . Mansvelt Beck (1986), p. 327.

13 The imperial tombs of the Former Han dynasty and their shrines 1 c )

A pattern of development that is revealed in the Han period and which is in many ways consistent may be seen in respect of political attitudes, ideological or intellectual change and religious beliefs. In political terms, an initial period of sixty years of consolidation preceded intensive attempts to co-ordinate imperial government and economic effort and to extend Han strength. When the force of this movement began to ebb, c. 90 BC, a reaction set in to husband China's resources and to relax the controls that had been imposed on the population. The short-lived attempts of Later Han to re-assert Chinese prestige and to tighten imperial power were on the whole subject to a weakening of social discipline and the decay of centralised unity. At the outset of the dynasty it had been sufficient to claim that the right to exercise imperial rule rested on superior force; by the end of Later Han it was necessary to show that this was backed by religious and intellectual sanctions. In terms of scholarship and intellectual outlook, the somewhat uninhibited attitude of Former Han to pre-imperial texts gave place to a deliberate attempt to impose an approved type of exposition. Accompanying this change, more formalised systems were introduced to attract and recruit candidates needed to serve as officials. In religious terms, from c. 31 BC a distinct change took place in the imperial cults, which were now to be directed to T'ien rather than to the Ti8 ; and while in Former Han attention was focussed on seeking eternal felicity by way of the paradise of the East, in Later Han this was seen to come by way of the West. These changes are sometimes, but by no means wholly accurately, described as the victory of Confucianism; and it is certainly true that from the later decades of Former Han deliberate steps were being taken to demonstrate that imperial government rested on the examplt::s of the kings of Chou, the precepts of K'ung Tzu and the teachings of the texts adopted as the canon. But the process of change was perhaps somewhat more complex than has always been realised and it was by no means free of controversy. The subject and discussions which are described below illustrate the type of arguments that ' The principal secondary writings in which this subject and its issues are discussed are Adachi (1933), Fujikawa (1968), Kamada (1962), Liu Ch'ing-chu and Li Yii-fang (1987), Yang K'uan (1985), Yang Shu-ta (1933), and Yoshinami (1978).

267

Imperial tombs of the Former Han dynasty


268

were being put forward in the course of just such controversies, and they took place at a time when the choices had yet to be taken in political, intellectual and religious issues. The years of Yiian-ti's reign (49-33 BC) were in many ways a turning point in which the attitudes that were to mould later practice took shape; the decisions taken in respect of the burial arrangements for the emperors were consistent with other steps that marked the conscious attempt to imitate the practices and ideals of Chou. '

Yiian-ti and his advisers Liu Shih, better known as Han Yiian-ti, acceded as eighth emperor of the Former Han dynasty on a day corresponding with 29 January 49 BC.2 He had been born in 74 as a son of the empress Hsiic, who was later brutally murdere<:J1 at the instigation of Huo Hsien, wife of Huo Kuang. In 67 he had bee'n nominated Heir Apparent, and was aged twenty-six at the time of his acces&ion. 3 One of the first duties which faced Liu Shih, both as the enthroned emperor and as the son of a recently deceased father, known as Hsiian•ti, was to order suitable arrangements for the funeral. This was put in hand immediately, and it was completed by 6 February at the site that had been duly chosen. Somewhat exceptionally this lay on the south-east side of Ch'ang-an city, where only one of the preceding Han emperors had been buried. This was Wen-ti (reigned 180-157) who, over a century later, was still being regarded as one of the really great rulers that the dynasty had known. In particular he was praised4 for his elimination of corruption, his reduction of the severity of punishments, his personal thrift, his extension of material comforts to the needy, his generosity and his universal philanthropy. In addition, it was Wen-ti who had stipulated in a posthumous rescript that when his own time came, his funerary arrangements were to be of the simplest type and style, involving a minimum of expenditure. 5 The reasons why sites south of the city were chosen for both Wen-ti and Hsiian-ti may perhaps never be known for certain; some suggestions are made below. In any event, the style and expense of funerary arrangements and the upkeep of the shrines dedicated to the services of deceased emperors were questions that were due to feature with some importance, and to engender some degree of controversy during Yiian-ti's reign. At the beginning of the reign, a number of the men who were prominent in office and court may be described as reformist; i.e., they were reacting against the forward-looking and expansionist policies that had marked the early decades of Wu-ti's reign; they preferred to promote the individual's interests rather than to strengthen the part played by government in daily life; they I.e., omitting the two infants who were enthroned during the period of domirtan~e of the Empress Lii (187-80 BC), and Liu Ho, and reigned as emperor for twenty-seven days m 74 BC. 3 HSPC 9. la and 97A.23bff; for the question of dating Yiian-ti's birth, see HFHD vol. II, p. 299. • HSPC 73.13aff. ' HSPC 4.19aff; HFHD vol. I, pp.266f.

2

269

advoca_ted. a po~icy of withdrawal and containment rather than one of expans10.n into distant regions; and they hoped to reduce public expenditure o~ luxunes. Of these nren, Hsiao Wang-chih, Shih Kao, Ch'en Wan-nien, Yii Ting~kuo, Kung Yii, K'uang Heng and Wei Hsiian-ch'eng deserve brief mention. In his scholarly activities, Hsiao Wang-chih had studied the Ch'id version of the Bo~k _of Songs, and ~arts of the codes of li; and he had played a part in tra~sm~ttmg t~e Lu version of the Lun-yil. 6 Appointed imperial counsellor ( Yu_-shih ta-fu) m 59, he had been demoted in 56, to become senior tutor to the Heir Apparent (_T'ai-tzu t'ai-fu). In 49 he was given the title of general of the van; one year later he was appointed to the ministerial post of superintendent of the palace (Kuang-lu~hsun), to be dismissed after a short time. 7 His public ca~eer had run on anythmg but a smooth course, owing largely to the rivalry of Shih :c<-a~ and the ~nmity _of ~ome of the eunuchs who were now exerting a growmg influence m ~ubhc life. In 47, Yiian-ti issued an edict praising his former tutor for the gutdance that he had given him, and rewarding him by the conferment of a Kuan-nei marquisate. It may be suggested, but it cannot be proved, tha~ the reason why he was given this minor nobility in place of the ~sual hereditary honour of a full marquisate was due to the pressure of his rivals.~ In any event, Hsiao Wang-chih was very shortly driven to suicide, f~llowing slanderous ~ccusations levelled by two eunuchs, Hung Kung, director of the secretariat (Shang-shu ling), and Shih Hsien. Among other activities, Hsiao W ang-chih had promoted the cause of K'uan? Heng who rose to prominence shortly after Yiian-ti's accession, and who will figure below_. He h~d ~lso given his backing to Liu Hsianga (79-8 BC), w_ho was to play a highly sigmficant part in China's literary and intellectual history. 9 His political attitude are seen in respect of foreign affairs and the control of the economy. In 64 he had argued against further involvement with W~-sun, on the grounds that its distance from Ch'ang-an would preclude the mamtenance of advantageous relations. At much the same time he had suc_cessfully prevented the conferment of high rewards on Feng Feng-shih. T~s officer had ~aken strong action to uphold Han prestige in Central Asia; Hsiao Wang:chih was alarmed lest rewarding him should be taken as a precedent which would encourage others to spend Chinese resources in such a way. 10.In regard to the economy, Hsiao Wang-chih had been bitterly opposed to.the ideas.?fK~ng Sh~u-ch'ang. Keng had endeared himself to the practical mmded.Hsuan-tI, as b~mg a man who was capable of planning for material pr?spe~1ty .and suggesting schemes whereby the government might promote this o bJective. 11 ~

HSPC 78. la, b; for Hsiao Wang-chih's attitudes and views see CC pp 147f 158f and 223f HSPC 19B.34b, 36b. ' . ' · ' See HSPC 9.4a, b; for the antagonism between Hsiao Wang-chih and others such as Shih Kao see HFHD vol. II, pp. 294f. • HSPC 36. 7a. ' 10 HSPC 96B.6a; Hulsewe (1979a), p. 152; CC p. 233. 11 HSPC 24A.19aff; CC p. 160. 7

270

Shih Kao was one of several men who had wished to promote the cause of the Ku Liang chuan, in preference to that of the Kung yang chuan. He was related to Yiian-ti, on the distaff side, being his senior by two generations. 12 The citation for the ennoblement that he received in 66 gave as the reasons first the privileges due to him as a member of the Shih family, and secondly the part that he had played in giving warning of the wicked nature of the Huo family. The Shih family had provided the consort of Liu Chu, Heir Apparent ofWu-ti who had been forced to commit suicide in 91; she was thus also Hsiian-ti's grand-mother. The Huo family had come to grief thanks to dynastic intrigues two years after the death of Huo Kuang (68), who had served the Han empire with distinction over several decades. During Hsiian-ti's last illness, Hsiao Wangchih, Shih Kao and Chou K'an had been charged by the dying emperor with the awesome responsibilities of accepting his posthumous rescript, supporting the government of the empire, and leading the secretariat. Almost immediately Shih Kao was accorded the title of Ta ssu-ma, marshal of state; at his own request he retired from public life in 43. u Ch'en Wan-nien had served as metropolitan superintendent of the right (Yu fufeng) and risen to ministerial rank as superintendent of transport (T'ai-p'u) in 56; he became imperial counsellor in 51, dying in office in 44. 14 He had taken pains to ingratiate himself with the Hsu and Shih families, impoverishing himself in the process; and he had been especially careful to put his services at the disposal of Shih Kao. 15 A prominent member of the Hsu family, by name Hsu Chia, will feature below. In his youth Yu Ting-kuo 16 had learnt something of the workings of the Han laws from his father, who was well known for his just administration of legal matters. He served as clerk (shiha) to the superintendent of trials (T'ing-wei) and assistant to the imperial counsellor. Thanks to the part that he played in the protest raised against the behaviour of Liu Ho, who reigned as emperor for twenty-seven days in 74, he was promoted, rising to become superintendent of trials in 69. His conservative frame of mind is illustrated by his study of the Ch 'un-ch'iu, the attention that he paid to proper deportment and behaviour towards others and his kindnesses to those in need. It is also reported that he had a capacity for hard drinking~ Eighteen years later (52) Yii was appointed imperial counsellor, and the next year he succeeded Huang Pa as chancellor (Ch 'eng-hsiang). 11 In the early years after his accession, Yuan-ti was glad to accept his advice, recognising the 12

13

16



Wu-ti's son and Heir Apparent Liu Chii, who had been forced to commit suicide in 91, had taken as one of his consorts ShihLiang-ti; her son, Shih Huang sun (also known as Tao Hu~ng K'ao) was Hsiian-ti's father and Yiian-ti's grandfather. Shih Kao was ~ nephew of Shih Liang-ti, being a son ofone of her brothers, and was thus of the same generat10n as Shih Huang sun; see HSPC 82.Sa and 97A.19a. See HSPC 18.15b; l9B.36b and 38b; 68.l 7a; 78.9a; 82.Sa and 88.23b. For the fortunes of the Hua family, see CC pp. !Bf. There is no separate biography for Shih Kao; for his son Shih 15 HSPC 66.14a. 14 HSPC 198.35a, 36a. Tan•, see HSPC 82.4b. 17 For Huang Pa, see HSPC 89.3bff. HSPC 71.Saff.

271

value of his experience. But a change came about in 44, when he issued a strongly worded protest that was addressed to both Yi.i Ting-kuo and Kung Yii, who had become imperial counsellor on 4 August of that year. 18 Ch'en Wan-nien and Yii Ting-kuo had expressed opposing views over the question of the Han presence and influence in Hainan Island. In 110, at the time when Han expansion was at its highest point, two commanderies had been established in the island, under the names of Tan-erh and Chu-ai. But Han control had been far from certain, and a number of incidents of unrest or revolt had taken place. In 82 Tan-erh had been merged with Chu-ai, but a spate of further rebellions occurred from 59 onwards. A series that started in 48 prompted a discussion of the problem, some advising that the rebels should be attacked, some that the commandery should be retained; and some that it should be abandoned. While Ch'en Wan-nien had advocated bringing the rebels to heel by force, Yu Ting-kuo had been true to reformist principles in arguing for the abandonment of the island; and in 46 the commandery was abolished. 19 Kung Yu was one of a number of men who were noted for their transmission of the Gh'i version of the Lun-yu, 20 and after an unsuccessful career in the provinces, he was summoned to become advisory counsellor (Chien ta-ju). This was shortly after Yiian-ti's accession (48 BC), in a year which had been marked by a poor harvest, and his immediate step was to submit a forceful memorial, backed by citations from the Lun-yu and the Book of Songs, and calling for a sharp reduction in expenditure. In particular he criticised expenses that were involved in the provision of clothing, gold and silver ware, horses, highly decorated table-ware and the complement of women kept for the emperor's delectation. There followed (in 44) a reduction of the feed allowed to horses in the imperial stables; some parkland was made over to the indigent; and the Chueh-ti games were suspended, along with three agencies in Ch'i which were responsible for providing imperial robes; Kung Yu was promoted counsellor of the palace (Kuang-tu ta-fu). 21 A somewhat pathetic plea to be allowed to retire, which Kung Yii made at the age of eighty-one, was refused, and he was promoted imperial counsellor (4 August 44). His next memorial pointed to the hardships occasioned by the poll-tax which had been introduced in Wu-ti's time, and affected children in particular. Next, he identified the dependence on the cash coin as being responsible for a number of evils and weaknesses; too much labour was being put into mining the materials and minting the coin, at the cost of effort which should be devoted to agriculture; popular hardship and inability to pay the statutory taxes had resulted. He proposed that as a means of stimulating a return to agriculture tax should be collected in kind, i.e., hemp or silk cloth or grain. 18 20

21

19 HSPC 9.4b and 64B.15aff. HSPC 19B.38a. HSPC 30.20b; for Kung Yii's career and memorials, see HSPC 72.9bff. HSPC 9.6a; for the Chiieh-ti games, see chapter 11 above.

272

Kung Yu also requested the reduction of the complement of guards at the imperial palaces; the assignment of slaves in official service to garrison duties at the frontier, in place of their idle occupations at the capital city; and a ban to prevent certain officials from engaging in trade. He pointed to the decline in standards that had followed the expansionist policies of Wu-ti, to the point that wealth, connections or forcefulness counted for more in public life than adherence to ethical principles or political wisdom. As causes of this state of affairs, he blamed the provision which allowed criminals to ransom themselves from punishment by payment, and the consequent failure to appoint men of integrity to office. He asked for steps to betaken to improve the current moral standards, by insisting on a choice of better men to hold senior appointments. As a result of Kung Yii's protests, the complement of guards was duly reduced at some of the palaces, and the rate of the poll tax levied on children was lowered. He died in office after a few months' tenure, on 17 January 43. Yiian-ti's edict of 44, which was addressed to Yii Ting-kuo and Kung Yu, referred to the prevalence of crime, the failure to apprehend the real criminals and the consequent injustices. He also criticised the poor choice of junior officials, many of whom were incapable of performing their duties; he added that the current unrest and distress had been accentuated by a series of poor harvests and the outbreak of disease. 22 Yu Ting-kuo accepted the blame for this state of affairs, and in the following year (43) he was upbraided yet further by Yiian-ti, who thought that the central government was denying him full information about the state of the empire. It was in such circumstances that Yii Ting-kuo sought leave to resign his office, and he was duly allowed to do so with honour. Of all the statesmen and senior officials of the time, it was perhaps K'uang Heng who expressed his views and principles most clearly. He was a well-known scholar who had made a speciality of expounding the Book ofSongs and took a leading part in transmitting the Ch'id version. His learning was evidently better appreciated by Yiian-ti than by his father, and the. Han shu mentions his scholarly qualities, along with those of Kung Yii and Wei Hsiian-ch'eng, in connection with Yiian-ti's own academic leanings. He had enjoyed the support and recommendation of Hsiao Wang-chih and Shih Kao. 23 Early in Yiian-ti's reign, K'uang Heng added his voice to those that were protesting against the current state of lawlessness and official oppression. in other memorials he emphasised the importance oflegality in choosing the heir to the throne from the sons of a duly nominated empress, and he saw the dangers of excessive female influence at court and in government. In his view of imperial sovereignty he harked back to the ideals ascribed to the kings of Chou of old, and he was one of the first of Han statesmen to invoke the concept of the t 'ien ming. Towards the end of Yiian-ti' s reign he rose to high 22 2'



HSPC 71.6bff. HSPC 81.la, 2a; HSPC 88.19b; HSPC 25B.l la; CC pp. 158f.

273

~ank, .being appointed superintendent of the palace (Kuang-lu-hsun) in 38, impenal counsellor in 37 and chancellor in 36; he held that post until his dismissal in 30, during Ch'eng-ti's reign. 24 In the meantime his reformist views had been expressed again in the stand that he took against rewarding two officers who had independently taken the initiative to suppress the foreign leader Chih Chih; he objected both on the grounds that they had acted without express authority from the central government, and that their actions savoured of expansion rather than retrenchment. It was in the next reign that K'uang Heng took a leading part in the moves to reform the state cults and to abolish those services that were addressed to minor deities and were of an unorthodox nature. 25 . Wei Hsien• of Lu, 26 father of Wei Hsiian-ch'eng, had served as Chancellor from 71 to 67, when he successfully sought honourable retirement on the grounds of age. Hsiian-ch'eng, who was the youngest of his four sons, was introduced into public service thanks to his father's position and soon became advisory counsellor. Of all officials who have been mentioned so far Wei Hsiian-ch'eng is the most likely to have understood something of the ~rob lems of the imperial shrines, for two reasons. As assistant to the superintendent of ceremonial, his brother Hung had been responsible for their upkeep and for administering the estates attached to the imperial tombs. Owing to errors that had come about in observing the complex regulations, he was brought up on a charge and detained in prison. Secondly, on a rainy day in 52 that had left the roads somewhat muddy, Wei Hsiian-ch'eng had himself been on duty at Hui-ti's shrine. This was in his capacity as a marquis; for he had been unable to avoid succeeding his father in this respect, reluctant as he had been to do so and feigning madness with that aim in mind. On this occasion he had ridden to the shrine on horseback, rather than proceed by carriage; brought up on a charge in consequence, he was degraded to the rank of Kuan-nei hou. Wei Hsuan-ch'eng had succeeded to his father's marquisate in 61. In 56 he was appointed superintendent of ceremonial (T'ai-ch 'ang); in 51 he took part with Hsiao Wang-chih and other scholars in the academic discussions of the Stone Conduit chamber; and it was thanks partly to him that the Wei school of the Lu version of the Songs came into being. Thereafter he held the office of superintendent of the lesser treasury (Shao-ju) from 48; senior tutor to the Heir Apparent from 46; imperial counsellor from 43; and chancellor from 42. At his last appointment he was restored to the marquisate that he had forfeited in 52.

24

25

26

HSPC 19B.39a to 4la; for his dismissal, see CC p. 176; for his allusion to the Tien ming, see HSPC 81.6a, and chapter 4 above. For K'uang Heng and the action ofCh'en T'ang and Kan Yen-shou, see HSPC 70.lOb and 14a, CC pp. 238, 242; for his memorials regarding the state cults, see HSPC25.l la and 13a, CC pp. l 70f, 174f; see also his proposal to alter the wording in two of the state hymns (HSPC 22.24a, 25b). For Wei Hsiian-ch'eng, see HSPC 73.Sbff; also HSPC 18.14a· 75.lla· 79.3a· 81.14a· and 88.16b. ' , , .

274


Such were some of the men who enjoyed a high measure of prestige and held senior offices of state during the early years of Yiian-ti's reign; others will be mentioned below. Yiian-ti himself, if we believe our sources, was of a very different frame of mind from that of his father. Gifted with an interest in and love of learning, he had reacted against the reliance placed on punishments which he believed had been too severe during his father's reign. In reply to a protest which he is said to have made to his father on this account, Hsiian-ti angrily defended his government, which, he claimed, had been operated by means of the dynasty's own institutions combined with the ways of the old-style overlords (pab). Hsiian-ti had gone as far as to reject the value of the ways of Chou, and he criticised the men oflearning for their failure to come to terms with the realities of their own times. He is even reported to have considered changing the succession, in order to prevent Liu Shih from following him on the throne and thus prejudicing the future of the dynasty. 27 Yiian-ti's reign witnessed a number of significant changes of policy that have been mentioned, such as the withdrawal from Hainan Island and the reduction of some of the extravagances of the court. In addition, the reaction that had set in firmly against some of the ideas and measures ofWu-ti's time or later had prompted the abolition of the monopolies of salt and iron for a short time (from 44). At the same time the granaries set up at the suggestion ofKeng Shou-ch'ang between 57 and 54 to stabilise the price of grain were discontinued; shortly afterwards imperial banquets were shorn of some of their delights and the complement of the office of music was cut down (48). 28 Furthermore ·there was one matter in which political and dynastic attitudes, economic and financial restrictions and intellectual and religious issues were alike involved. This centered round the maintenance of the services due to the shrines dedicated to the imperial ancestors.

The situation of the imperial tombs and their shrines (see figure 18)

At the time ofYiian-ti's accession in 48, and following the burial of his father, imperial tombs had been established as follows: 29 21

28

29

See HSPC9. la, band 13b; HFHDvol. II, pp. 299fand 336f; see also HFHDvol. II, pp. 277ffor the authorship of this chapter of the Han shu. HSPC 9.2b; for the Office of Music (Yiieh-fu), see CC pp. 193f, and Birrell (1988), pp. 5-6; for Keng Shou-ch'ang's action, see HSPC 24A.19aff, and Nishijima (1986), p. 605. These tombs are named in the records of the burial of the emperors in the Han shu (for example, HSPC 1B.24b). For the erection of walls round Kao-ti's tomb in 182 BC, see HSPC 3.4b. The most comprehensive account of what is known, both from the literary and the archaeological evidence, will be found in Liu and Li (1987), and in the same authors' article in KGYWW 1985.5, 102f; for a summary, see KGYWW 1988 5/6, 90f. For the situation of the tombs, see KGYWW 1980.1, 29f. Detailed reports on particular tombs or their aspects have appeared as follows: (i) In KGYWW1984.2, 32f, 1987.1, 99; and 1987.5, 102f, for Kao-ti's tomb; 1980.1, 34f, for Ching-ti's tomb; 1989.6, 86f, for Wu-ti's tomb; 1982.4, 45 for Chao-ti's tomb; 1980.1, 38f, for Yiian-ti's tomb; 1982.4, 39f, for the tomb ofYiian-ti's empress; and 1982.4, 39f, for the tomb of


0

0

0

0

0

"

D '"

275

D

0

N

t 1 2 3 4

Ch'ang-ling' (Kao-ti) An-ling (Hui-ti) Pa-ling (Wen-ti) Yang-ling (Ching-ti)

0 5 6 7 8

Mao-ling (Wu-ti) P'ing-ling (Chao-ti) Tu-ling (Hsuan-ti) Wei-ling (Yuan-ti)

9 Yen-ling (Ch'eng-ti) 10 I-ling (Ai-ti) 11 K'ang-ling (P'ing-ti)

Figure 18 The imperial tombs of the eleven Former Han Emperors.

(a) Emperors, north of Ch'ang-an: Kao-ti at Ch'ang-linga; Hui-ti at An-ling; Ching-ti at Yang-ling; Wu-ti at Mao-ling; Chao-ti at P'ing-ling. Note: these do not include tombs for the two minors who were titular emperors during the domination of the Empress Lu, or for Liu Ho, who reigned for twenty-seven days in 74. (b) Emperors, south of Ch'ang-an: Wen-ti at Pa-ling; Hsuan-ti at Tu-ling. Note: empresses and other imperial consorts were buried in separate tombs close to the tombs of Kao-ti (Lu hou); Hui-ti (Empress Chang); Wen-ti (Empress Tou); Ching-ti (Empress Wang); Wu-ti (Li Fu-jen; at a site known as Ying-ling); Chao-ti (Empress Shang-kuan); Hsiian-ti's Empress Hsu was buried in a tomb thirteen li distant from Tu-ling; his empress Wang, who died in 16 BC was buried close to Tu-ling. (c) !~mediate relatives ofKao-ti: 30 Tai shang (father); Chao ling (mother); Wu A1 wang (elder brother); Chao Ai hou (elder sister). Chao-ti's mother. (ii) In KK 1981.5, 422 for Hui-ti's tomb; 1984.10, 897 for Hsiian-ti's tomb. Three ~ther studies are worth noting: Hsu P'ing-fang (1981 ); Huang Chan-yiieh (1981 ); and Ts~~g Ch mg (1987). [For general aspects of the subject, see various studies in Adachi (1933), Fui1kawa (1968), Kamada (1962), Yang K'uan (1985), Yang Shu-ta (1933) and Yoshinami 30 HSPC 9.!2b and 73.lOa, notes. · (1978).]

276

(d) Wen-ti's mother, the lesser consort Po, later entitled Po T'ai-hou; buried at Nan ling (south of Wen-ti's tomb at Pa-ling). (e) Wu-ti's Wei• empress, Ssu, and the Lib Heir Apparent; these had been forced to their deaths in 91, and it was on the orders ofHsiian-ti that they had been restored from disgrace and reburied. 31 (f) Hsiian-ti's father: Shih Huang sun (Tao Huang k'ao). (g) Other female relatives: Shih Liang-ti, posthumously entitled Lib hou, consort of the Lib Heir Apparent. Chao-ti's mother, Chao Chieh-yii at Yiin-ling. Four tombs were subsequently constructed for Yiian-ti and his three successors: (1) (2) (3) (4)

Yiian-ti at Wei-ling; that of Empress Wang to the west; Ch'eng-ti at Yen-ling; Ai-ti at I-ling; P'ing-ti at K'ang-ling.

A passage in the Shui ching chu traces the course of the Ch'eng-kuo channel, running in an easterly direction from Wu-ti's tomb, at the extreme west end of a line which passes by the tombs ofChao-ti, Ch'eng- ti, P'ing-ti, Yiian-ti, Ai-ti, Hui-ti, Kao-ti and Ching-ti. The statement is consistent with passages in the San-ju huang-t'u and the Yuan-ho chun-hsien chih, and the course of the Ch'eng-kuo channel may still be traced. 32 Attempts to identify the imperial tombs with some of the many turnuli which may still be seen are to be found in the notes included in Han-shupu-chu. At the time of writing, no reports have yet appeared of the full-scale excavation of any one, but a number of significant artifacts have been discovered. These include the jade seal of the Empress Lu 33 and a number of tile-ends whose inscription designates the buildings over which they stood. Such finds have made it possible to correct some of the identifications suggested by Pi Yiian ( 1730--97) who had had stone tablets erected beside some of the sites. At first sight the situation and distribution of the eleven imperial tombs would appear to have been chosen at random. Howevet some, but not all, of the principles that were involved become clear when due consideration is given to the system known as Chao-mu. This system is ascribed to the practice of the 31 32

33



HSPC 97a.12b; for Wen-ti's mother, sec HSPC 97A.5bff. Shui ching chu 19.2laff; San-Ju huang t'u 5, pp. 40f; Yuan ho chiin hsien chih, l.16b. [Following the initial construction ofCh'eng-ti's tomb (Yen-ling) in 31 BC. (HSPC 10.3b. HFHD vol. II, p. 379), in 20 BC a proposal was made for the construction of a tomb for Ch'eng-ti, to be termed Ch'ang-lingh; work was duly put in hand, to the extent of bringing in soil from elsewhere in order to make up the necessary levels; but it was suspended after four years, when it was seen that the cost was proving prohibitively high (HSPC 10.8b and Ila, HFHD vol. II, pp. 394, 401--2).] For the jade seal, see WW 1973.5, 26f. A preliminary announcement concerning work carried out at the tomb of Ching-ti appeared in the New York Times International for 26 August 1990. [For a report on the excavation of some of the auxiliary pits to the southofChing-ti's tomb, see WW 1992.4, 1-13; for excavations at the site of Hsiian-ti's tomb, see KK 1991.12, 1071-83.]

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early kings of Chou, but it cannot be said how far it was actually implemented. It probably applied, in the first instance, to the arrangements that were made for siting the shrines wherein the services were rendered to the deceased monarchs. As will be seen below, in those times the shrines were separated from the kings' graves, but by Han imperial times they were being constructed in the same localities as the tombs with their surmounting tumuli. The term Chao-mu signifies the positions that were adopted in sequence for the construction of the shrines. 34 According to ancient practice, once constructed, the shrine of the founder of a line, known perhaps as T'ai-tsu, acted as the central point around which those of his successors were placed; those of his successors of the second, fourth and sixth generations were situated in sequence at the left, being characterised as chao; those of the third, fifth and seventh generations were ranged at the right, also in sequence, and being characterised as mu. Owing to an overall limitation to the number of shrines that could be properly maintained, with the passage of time the earliest one, except for that of the founder, would be dismantled and even destroyed, thus permitting the erection of a new shrine for an immediately deceased descendant of the line. On such occasions, the material symbol of the dead king whose shrine was being destroyed, which was known as the chua or wooden tablet, was either removed into the shrine of his predecessor, or reverently buried in the vicinity. 35 The Chao-mu system can perhaps be explained as an institutional or ritual device intended to maintain correct relationships and the payment of due respects between different generations. It provided for such respects to be paid in perpetuity; it also allowed for the changes needed by the passage of time. In the first instance a son, by virtue of the position of his shrine, was shown to be paying the respects due to his father; at the later stage, when one of the older shrines had been dismantled, his position in the hierarchy underwent a symbolical change, so that it was his shrine which received the rites now due to him as a father from his own successor. The system thus acted as a framework, seen in spatial relationships, whereby one generation duly followed its predecessor and the ritual acts that ensured continuity were being maintained. The duty of paying respect, as a son, was followed in its due time by the honour and right of receiving respects as a father. The term Chao-mu follows from the titles of the sixth and seventh kings of Chou, whose reigns may now be dated at 977 (or 975) to 957, and 956 to 918 respectively. 36 Whether or not the elaboration of this system may be 34

35

36

Li chi 'Wang chih' 12.13b; Chou li 'Hsiao tsung po' 19.2b; 'Chung jen' 22.la; 'Hsiao shih' 26.16b (as cited in SS 32, p. 904); Kuo yii 'Ch'u hsia' 18. lb; see also Li Yii-fang (1989). For the removal and preservation of the chu when a shrine was dismantled, see HSPC 73.11 b and HHSCC (tr.) 9.2b; for burial of the tablet, see HSPC 73.14a. [Han chiu i pu i B.6b (Han kuan liu chung) B.9b (Han kuan ch'i chung) states that the tablet for Kao-ti was made of chestnut wood, measuring eight inches in length, and being square at the front and round at the back, with a girth of one foot.] For these dates, see Shaughnessy (1991), p. xix.

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connected with one which provided for the succession of monarchs to swing from one collateral line to another can only remain a matter of speculation. 37 An explanation of the term itself, which is given in the Cheng tzu t'ung, may perhaps result from a later rationalisation. Chao is taken to signify 'bright' (ming 0 ) and mu to signify 'obedience' (shunb); to the senior ancestor, facing south, is ascribed the quality of chao; to his junior, facing north, belongs the duty of mu.' 8 At Kao-ti's death in 195, the newly acceded Hui-ti had confessed that there was nobody at court who was familiar with the arrangements for the parks, tombs and shrines of previous rulers. He had therefore transferred Shu-sun T'ung to be superintendent of ceremonies (Feng-eh 'ang), and it is he who was responsible for establishing the institutions for the Han imperial shrines. 39 In the past he had been only too ready to provide the first of the Han emperors with advice regarding the correct deportment for upholding the dignity of the throne. In the present instance we are not told whether Shu-sun T'ung referred to the Chao-mu system. It will at least be seen below that considerable attention was paid later to its requirement in connection with the shrines. It may also be suggested that it affected the choice of the sites of some of the imperial tombs. There was however one complication, which may have governed the determination of which side was to be regarded as chao and which as mu, and which therefore concerned the classification of the tombs. In Chou times, it had been customary to assign priority and precedence to the left rather than to the right. As he faced south, the honoured side was therefore on the east; the less honoured side was on the west; chao therefore lay to the east and mu to the west. By the Han period, however, the right side had come to take precedence over the left, as is evident from a number of passages and usages of protocol; 40 and it was the descendants of the first, third and fifth generations who were buried on the right, i.e., west, and theoretically the mu, side of the founder, and those of the second, fourth and sixth generations who were placed on the left, i.e., east, and theoretically the r;hao side. It is possible that the arrangement that was adopted in Han times reflects a compromise, whereby: (a) The left side of the founder was still characterised as chao and the 37

38

39

40



See K. C. Chang (1976), pp. 79f for this early practice of Shang. For chao facing south and mu facing north see HHSCC (tr.) 9.3a; authorship of the Cheng tzu t 'ung is ascribed to Chang Tzu-lieh (Ming period) and Liao Wen-ying, whose preface is dated 1669. For Shu-sun T'ung, see HSPC 43.17a. The title Feng-ch'ang was changed to T'ai-chang in 144 BC (HSPC 19A.6b). For the changes in giving precedence to right or left, see CCFL 'T'ien pien tsai jen' 46.15a, b, notes. Following the statement that Shang gave precedence to the right, evidence is assembled to show how Chou's precedence to the left continued in the Ch'un-ch'iu and Chan-kuo periods, despite some early discussion of honouring the right. The Han practice of giving precedence to the right was followed by T'ang, but Ming changed the Yiian system, thereby honouring the left; such practice continued during the Ch'ing period. [For a different type of evaluation, see Tao-te ching 31.]

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right side as mu, in accordance with the tradition of Chou. (b) The founder's immediate successor, Hui-ti, was buried in the Han place of honour, i.e., on his father's right. This set the precedent that was followed subsequently. Whatever the explanation may be, the situation of the eleven Han imperial graves was as follows: (a) Kao-ti's tomb was placed directly north of Ch'ang-an city and almost centrally between the limits of the northern wall; Hui-ti's tomb lay to the west (mu); Ching-ti's tomb to the east (chao). Properly speaking, the tomb ofWen-ti should have been accorded a higher place of honour than that of his son and successor, Ching-ti. However, it has been suggested that the reason why he was not buried in the first of the mu positions that would follow the sites chosen for Kao ti and Hui-ti's tombs was to preserve the proper relationships of kinship. In terms of succession his generation was the same as that ofHui-ti, his half-brother; there was therefore something of a conflict, between the respect due to Wen-ti as the son ofKao-ti, and the need to show that, as successor monarch to Hui-ti, he should not be placed on the same level. 4 ' Similar considerations may have affected the choice of the site for the tomb of Hsuan-ti. (b) It could perhaps be explained that the position chosen for Wu-ti's tomb accorded with the Chao-mu principle as practised in Han, in so far as it lay on the right hand side of Kao-ti's tomb. In such a case, if the principle was still being maintained, Chao-ti's tomb should have been placed further east, i.e., beyond the site of Ching-ti's tomb. Similarly, if a new start had been made for Wu-ti, and he was being treated as the originator of a new series, in accordance with the Chao-mu system Chao-ti should have been buried to his west rather than to his east. (c) Whatever the reasons may have been for choosing a site south of Ch'ang-an for Hsiian-ti, and proceeding with his burial without delay, a full reversion to the Chao-mu system may be seen in the case ofYuan-ti and his succesors. Yuan-ti's tomb lay at a central point between the tombs of Kao-ti and Wu-ti: his successors of the second and fourth generations lay to his west; those of the third generation lay to his east. Professor Wu Hung has traced the development of the arrangements for burying a king or emperor and for providing the halls that were needed for maintaining the necessary offerings to his soul. 42 He shows how, during the early days of the kings of Shang and Western Chou, it had been the practice to concentrate provision for these rites at a major temple or shrine that was built within the city; this served as a symbol of the central point, or unity, of the clan and constituted the city's heart; the monarch however was buried elsewhere in a grave that lay isolated in the fields. By Eastern Chou a change had taken 41

42

Tu tuan B.4b points out the anomaly. As Wen-ti succeeded to his brother, and Hsiian-ti to his great uncle, it was not possible to regard them as successors of an immediately preceding generation; see Li Yii-fang (1989), and note 62 below. Wu Hung (1988).

280


place in the practice of some of the co-existent kingdoms, for example, Chung-shan, whereby those graves were being sunnounted by tumuli, of ever growing height, and memorial halls were being erected at the summit. Such structures, with their increasingly great size, were designed to display the importance of the individual leader who lay buried beneath; and the culmination of this process could be seen in the case of the tomb and imposing tumulus of the First Ch'in emperor. 43 At a later stage, the hall became detached from the tomb and its mound, being built alongside, and by the time of the Han emperors a further degree of complexity and formality was entering in. The imperial tombs were being designed as a complex, which comprised not only the elaborate, and perhaps multi-chambered structure for the coffin, and the surmounting tumulus, but also a set of buildings which fulfilled different functions, being erected in appropriate and corresponding situations. These included the miao, or shrine; the ch'ina, which has been rendered as 'retiring chamber', or perhaps 'sleeping chamber'; and the pien tien or side apartments. [The term ch'in tien may be seen today as an identification of one of the buildings of the Ming and Ch'ing chai kung, in the complex of the Altar and Temple of Heaven, Peking. In the following pages ch'in will be translated as 'chamber of rest'; pien tien as 'chamber of ease'.] Whatever the exact arrangements that were made these buildings were at first situated outside an enclosed park, bounded in the early examples by a set of double moats, later to be replaced by a set of double walls. To provide for the necessary upkeep, for the performance of the ceremonies and for security, a settlement (l) was founded; land was made over to allow the settlers to win their own livelihood therefrom; and in some cases a magistrate (linga) was appointed to be responsible for the necessary administration of the area, which could rank as a county (hsienc). 44 As will be seen, these changes had not all become regular by the time that the first few of the Han emperors were being buried. Attention may also be drawn to a subsequent change that set in from early in the Later Han period; whereas in Former Han the buildings that have been mentioned formed the central nucleus for the performance of the 43 44

[For the structure that surmounted that tomb see KK 1991.2, 157-8]. [Kamada (1962), pp. 52lfdiscusses the establishment of these settlements, with their counties; the accompanying measures for moving part of the population to live there; the political motives for such migrations; and the reasons for a change of policy under Yii anti, where by the settlements were moved from the care of the T'ai-ch'ang to that of the Sanfi;, governors ofthe three metropolitan areas (40 BC). The subject is also discussed in Fujikawa (1968), pp. l 73f.] A passage in HSPC 3.4a is interpreted as meaning that the stipend of the magistrate of Ch'ang-ling was upgraded in 182 BC to 2000 shih<. Other references include the names of those who served as magistrates at Ch'ang-ling, Pa-ling (including Wei Hsiang, who rose to be chancellor 66--59), Mao-ling, P'ing-ling (including Chu Po, chancellor in 5 BC) and Tu-ling. For the full complement of officials of the shrines, the chambers ofrest and the parks, and the counties formed at the tombs, see HSPC 19A. 7a, b. In 115 BC a superintendent of ceremonial was dismissed on the grounds of disrespect (]!u-ching), as the alcoholic spirits served at the shrine were sour; see HSPC 19B.19b and 42.4b; Hulsewe (1955), p.184.


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services and sacrifices, in Later Han the tombs themselves were adopted as the site where these took place. Of all the shrines that were set up to serve the Han emperors, it was the one that was dedicated to the founder that attracted the greatest attention and was the most significant in dynastic terms. It was here that the king of Tai, ultimately known as Wen-ti, was received after his enthronement as emperor. It was here that Chao-ti, Hsiian-ti, Yiian-yi, Ch'eng-ti, Ai-ti and P'ing-ti paid their respects after their accession; the emperors of Later Han likewise maintained their services to the shrine on their visits to Ch:ang-an. 45 In the meantime (74 BC) the bill of indictment against Liu Ho included the statement that he had not been received in the shrine, thereby implying that his title to the throne was not valid; and the officials who were faced with the constitutional task of removing him from the imperial throne sought permission to report his 'deposal' at Kao-ti's shrine. 46 Shortly after his assumption of the imperial title in AD 9, Wang Mang renamed the shrine as Wen tsu rniao; 47 but in 21 he is said to have given orders for vandalism to take place in the shrine (still termed Kao miao) and possibly for the exorcism of evil spirits who, he feared, were troubling him, and for its use for lay purposes. 48 According to a statement in the Han shu shrines for all emperors from Kao-ti to Hsiian-ti, and for Kao-ti's father and Hsiian-ti's father, were built within the capital city. However, Liu Ch'ing-chu and Li Yu-fang have shown that whereas this wa,s true for Kao-ti and Hui-ti, Wen-ti's shrine was built in the suburbs; and subsequently, from Ching-ti onwards, the shrines were built beside the tombs. In addition, to maintain the sanctity of some of the roads of the shrine during the monthly ceremony of the parade of the robes and head-dress (see below), a second shrine was built for Kao-ti, north of the Wei River; this was entitled the Yiianb miao. 49 Ju Shun (jl. 221-65) names the shrines as follows: 50 for for for for for for

Ching-ti Wu-ti Chao-ti Hsiian-ti Yiian-ti Ch'eng-ti

Te-yang Lung-yiian P'ai-hui Lo-yu Ch'ang-shou Yang-ch'ih

Liu and Li also show that Ch'ang-shou was in fact the name of the shrine, not for Yiian-ti, but for his empress Wang. Material remains have made it possible to identify the sites where the shrines for Ching-ti and Yiian-ti actually lay. 51 " HSPC4.5a; 7.la, b; 8.3a; 9.lb, 2a; 10.2a; ll.2a; and 12.lb; HHSCC 5.19a for An-ti's progress to Ch'ang-an in 124, with sacrifices at Kao-ti's shrine and services at the eleven tombs. 46 HSPC 68.9b. 48 HSPC 99C.13b. •1 HSPC 99B.6b. 49 HSPC 43.17b notes; for the Yuan miao, see note 88 below. ' 0 HSPC 4.12b note. " See KGYWW 1980.1, 37 and 40, and Liu and Li (1987), pp.43 and 109 for the tombs of Ching-ti and Yiian-ti. For other references, see note 33 above.

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283

The complex of buildings that were erected near the graves included the shrine (miao), the chamber ofrest (eh 'in) and the chamber of ease (pien tien). Although they presumably had been built for different purposes and functions, the distinction is by no means certain. In the second century, Ts'ai Yung (133-92) wrote:

Four offerings of food daily at the ch'in; Twenty-five festivals, with offerings of jade and silk, but not of animals (tz 'ua), at the miao; Four such services (tz'u) annually at the pien tien; One monthly journey with the robe and head-dress. 56

For the institution of the ancestral shrines, ancient learning took the view that in the residence of the ruler of mankind there was the audience hall (ch'ao) at the front and the chamber of rest (ch'in) at the rear; when his life came to an end, the miao was instituted at the front, to symbolise the audience hall, and the ch'in was instituted at the rear to symbolise his sleeping chamber. The miao was used to store the tablets and set up the chao-mu order; the eh 'in contained the robes, hats, arm-rests and staffs to symbolise the equipment used while living; it was termed the 'palace' (kung'). 52

The provision of four offerings of food daily at the ch'in perhaps lends support to the idea that symbolically, the corpse was still regarded as being situated there. Similarly, the monthly parade of the robes and head-dress, which were conveyed from the ch'in to the miao, may not be irrelevant in this connection. The expression yu i kuan has been subject to different interpretations, and the commentators have been anything but unanimous in explaining whence the robes and head-dress were conveyed or what their destination was. 57 Probably Yen Shih-ku's view can be accepted, when he states that the robes and head-dress were removed from the eh 'in at the graveside and delivered to the shrine, the ceremony being undertaken once monthly. Yen Shih-ku firmly believes that the other commentators went badly astray, being ignorant of the institutions of the Han court. In support of Yen Shih-ku, Shen Ch'in-han (1775-1832) cites a passage which refers to the strange behaviour of the robes at the ch'in of Ai-ti. 58 The Hsu Han chih adds the item that together with the robes and head-dress, arm-rests and staffs were stored in the ch'in. 59 The conduct of the ceremony attracted attention and criticism. Hui-ti's construction of a special road so as to ease his visits to the Ch'ang-lo Palace had provoked a rebuke from Shu-sun T'ung, lately appointed superintendent of ceremonial (Feng-ch'ang); he argued that the new road would involve improper use of the roadways in Kao-ti's shrine; and it was for this reason that the second shrine had been built for Kao-ti, outside the city. Later some of the critics of Yuan-ti's time complained that the large number of carriages and horse who took part in the ceremony wrecked the quiet and spoilt the purity that the occasion demanded. 60 In the meantime, on one occasion in 126 BC a bridge on the road used for the journey of the robes and head-dress had been destroyed; as a result of this instance of presumed negligence the superintendent for ceremonial had been dismissed. 61 Presumably the purpose for the conveyance of the imperial clothes was to symbolise a journey that was being undertaken by the emperor to a place where he would receive honours; i.e., from the ch'in, where he received four meals daily, to the miao, where he was entertained with the more special

Archaeological evidence has yet to show how far the spatial relationships of the miao and the ch'in actually corresponded with these ideas. 53 A further suggestion may perhaps be tentatively offered to explain the use of the term ch'in and the need to maintain a separate building under that name. The Li chi 54 includes the provision that after seven days had passed a deceased Son of Heaven was placed in his coffin and that after seven months had passed he was interred. How far this provision was implemented in the pre-imperial period may perhaps not be known for certain; but if it was ever envisaged that a corpse should be retained for seven months before burial, the question would arise of where it was to be housed with least offence to any scruples of sanctity or interruption of daily life. It may therefore be asked whether a special hall was erected for the purpose, and named, euphemistically, the 'chamber of rest'. However this may be, records of the dates of death and burial for Han emperors are duly included in the two histories. For Former Han, the shortest intervals between the two events were for Wen-ti (7 days) and Ching-ti ( 10 days); the longest intervals were those of 55 and 54 days for Yiian-ti and Ch'eng-ti, and 105 days for Ai-ti. It remains open to question how the problem was handled on such occasions. 55 The services that were rendered at these sites included: A daily act of worship, with offerings (chib), at the ch'in; A monthly act of worship, with offerings (chi), at the miao; A seasonal act of worship, with offerings (chi), at the pien tien; Tu tuan B.5a· see also JIHSCC (tr.) 9.8aff, and the note by Ho Ch'o (1661-1772) to llSPC 73.9b. [Somc,furthcr indication of the objects that were stored in the shrine may .be seen in a passage cited from the Tung kuan Han chi; this includes a reference to the re~e1pt m AD 26 of the robes, seals (yin') and sashes that had been stolen from the shrme ofWu-t1; HHSCC 22.1 b, note).] . . . . " For the situation of the eh 'in see Liu and Li (1985), 106 whICh refers to the 1dentJficat10n of that 54 Li chi 'Wang chih' 12.lOb. site at Tu-ling. 55 For Wen-ti (died on a day corresponding with 6 July 157, buried on 12 July) see HSPC 4.l 9a, 2la, HFHD vol. I, pp. 266,272; for Ching-ti (10 March and 18 March, 141), see HSPC 5.IOb, HFHD vol. I, p. 332; for Yiian-ti (8 July and 31 August 33), see HSPC 9.13a, HFHD vol. II, p. 336; for Ai-ti (15 August and 27 November 1 BC). seeHSPC ll.8a, b, HFHD vol. III, p. 38. 52

56

HSPC 73.9b, lOa; Han kuan i B.5b (Han kuan liu chung) B.8a (Han kuan ch'i chung); for the significance of these terms and the arrangements for offerings and sacrifices, see Liu and Li (1985), 106-7, HSPC 73.lOa notes. See also Li chi 'Yiieh ling' 15.1 la for offerings to the ch in and miao in the last month of the spring. HSPC 43.17b and 73.!0a. 59 HHSCC (tr.) 9.8b. 60 HSPC 73.14a. HSPC 12.3b. My thanks are due to Professor Hulsewe for pointing this out; seeHSPC 16. l 7a and 19.16a, b. 0

57 58 61

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offering that was presented only once monthly. It would perhaps be consistent to provide four offerings daily at the ch'in, while the emperor's body still lay unburied and was thought to require daily needs, while restricting the offerings at the miao to once monthly, as befitted an emperor in his subsequent place of entombment. A number of principles are mentioned in the arguments that were put forward in Yi.ian-ti's time, as part of a general review of the need to maintain the imperial shrines, expensive as they had become. As has been seen, it was inherent in the Chao-mu system that in all arrangements that concerned kinship and its degrees of precedence, a clear separation should be kept and seen between the different generations and their honours. It was, for example, not possible so to dispose of a son's body, or to set up services to his remembrance, in a way that would carry seniority over those provided for his father. The principle may also have required special care in preventing brothers sharing a degree of precedence in common. However, it is not clear what principles governed the choice of the sites for the tombs of Wu-ti and Chao-ti (see above). Possibly some of the memorialists of Yuan-ti's time and later had such anomalies in mind, when they observed, as will be seen below, that the principles of Chao-mu had been abandoned. It has been noted that the site chosen for Hsuan-ti's tomb, south of Ch'ang-an, was exceptional, being paralleled only in the case ofWen-ti. Three reasons have been suggested for this. 62 Possibly it was because Hsuan-ti was a member of a generation that was two degrees lower than that of Chao-ti; or else, the site may have been chosen so as to be close to the habitat that the emperor had enjoyed in his earlier days, when he was being brought up out of reach of the rough and tumble of dynastic politics. A third reason that has been suggested is that the site was chosen deliberately, so as to be close to the last resting places of his own immediate relatives, who had been victims of the incidents of 91, and buried with reconstituted honours at Hsuan-ti's command.63 For certain emperors, exceptional steps were taken to confer honorific titles that carried special privileges or obligations with them. Thus, Hui-ti had honoured his father by assigning the title T'ai-tsu miao to his shrine; Ching-ti honoured Wen-ti's shrine with the title of T'ai-tsung miao; and in 72 Hsuan-ti, for his part, had entitled Wu-ti's shrine Shih-tsung miao. Accompanying these titles there went the provision that offerings were to be maintained at such shrines in perpetuity, rather than for a limited number of generations. 64 For those who were not singled out for such honours, the practice was for 62 63

64

See Tu Pao-jen (1980), 30 and Li Yu-fang (1989), 29, and note 41 above. See note 31 above. HSPC 1B.24b; 5.2b; 8.5b; 73.9b. As one of the steps taken while he was still An-Han kung, in AD 4 Wang Mang conferred the titles of Chung-tsung and Kao-tsung on Hsiian-ti and Yiian-ti respectively (HSPC 12.8a; HFHD vol. III, p. 80). [On the death of P'ing-ti (AD 6), Wang Mang had the titles of T'ung-tsung and Yiian-tsung conferred on Ch'eng-ti and P'ing-ti HSPC 99A.24b (HFHD vol. III, p. 217).]


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offerings to be continued for a specified number of generations, which is given sometimes as four and sometimes as five. As and when the time came to establish a new shrine for a newly deceased descendant of the line, the services that had been held at the shrine of one of the earlier ancestors were discontinued. Thereafter the shrines were, in their turn, destroyed, or dismantled (tieh lud). One passage refers to the procedure when this took place. The wooden tablet of the deceased person whose shrine was being destroyed was either buried, or removed and placed within the shrine of the founder. For this reason, the procedure is sometimes described as eh 'ienb, i.e., removal, or transfer to a more dignified position. 65 It may perhaps be suggested that the choice of a site for Wu-ti's tomb may have been due to these considerations. At the time of his death, there already existed tombs and shrines for five of his predecessors, being members of four generations; i.e., Kao-ti's father, Kao-ti, Hui-ti, Wen-ti and Ching-ti; it may therefore have been felt appropriate to make a new start to an arrangement under the Chao-mu system; but if this were so the position chosen for Chao-ti's tomb would still require explanation. As has been seen, the system was later applied correctly for Yuan-ti and his three successors; in this instance Yuan-ti was taken as the originator of the new series, after the interruption in the cases of Chao-ti and Hsiian-ti. There are a number of references in the memorials submitted in Yuan-ti's time to a limitation on the number of shrines that could be maintained for the ancestors of the enthroned Son of Heaven. Some of those who took part in the arguments that arose invoked such traditions as a means of supporting their case, either for the destruction, or for the retention of some of the shrines. The difficulty lay in the existence of two traditions; one allowed for seven such shrines; one for five. 66 In addition to the shrines that were erected first in the capital city and then beside the tombs of the emperors, orders had also been given to establish shrines to Kao-ti and Wen-ti in those commanderies and kingdoms which they had personally visited; and in Hsuan-ti's time similar orders had been given to honour Wu-ti in the same way, wherever he had conducted an inspection. 67 As a result, by the start ofYuan-ti's reign there were no less than 167 such shrines, with their attached eh 'in and pien tien, constructed in 68 commanderies and kingdoms; when those at the capital were included, the total reached 176. It was estimated that the total annual cost of maintaining the services amounted to 24,455 offerings, under the guardianship of 45, 129 servicemen, and with the assistance or participation of 12, 147 prayer-reciters, cooks and musicians; servicemen deputed to rear the sacrificial animals were not included in these figures. Their precision suggests that they derived from 65

66 67

HSPC 73.11 bff; ch'ienb is used regularly to denote transfer of an official to a higher position, i.e., for promotions only; for the disposal of the tablets, see note 35 above. This is brought out in the discussions that are considered below; see also Shih-chi 6, p. 70. HSPC 2.3b; 5.2a, b; 8.5b; 73.9b.

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an official count and that they need not be suspected of exaggeration, as round figures might be. It need be oflittle surprise to find that the extent of the effort required to maintain these services was called into question just at a time when other economies were being practised. It is also possible that another crucial issue was present in the minds ofYuan-ti's advisers at the outset of his reign. This was the need to choose a site for his own tomb; for the work on making the necessary preparations was due to start in the year following his . 68 accession. The retention or abandonment of the shrines: the issues at stake Starting with the plea of Kung Yii, shortly after Yiian-ti's accession, a host of memorials and arguments were voiced by leading officials of the day on the subject of the services due to the shrines. That the issue was highly sensitive is shown in several ways. As early as the time of the empress Lii (187--180) a ban had been imposed on unauthorised discussion of these matters; and execution in public was the penalty for failure to obey the order. In the time ofYuan-ti the order was revoked; but it was re-imposed in 28, when Ch'eng-ti's inability to produce an heir was occasioning considerable misgivings. Failure to maintain the services at all the shrines was regarded as a possible reason for this lack of promise for the future, and any steps that might jeopardise such hopes were banned. Permission to discuss the question was allowed once more after Ch'eng-ti's death. 69 Secondly it would appear that individual officials may have been somewhat fearful of expressing their views without the certainty of some support. Kung Yii, imperial counsellor at the time, was apparently bold enough to put forward his ideas for the destruction of some of the shrines in his own name. Possibly he felt able to do so as he had at one time held the title of advisory counsellor (Chien ta-fu), whose duties lay in offering remonstrance to the throne. Subsequent suggestions, however, were made in the names of a number of officials who were ready to support a chief protagonist. 70 Precautions of this type were exceptional rather than normal; a conspicuous example is seen in the procedures and documents that preceded the deposal of the twenty-seven-day emperor in 74. 7 ' The controversial nature of the issue is also seen in the recurrence of proposals, counter proposals and second thoughts on the matter. Arguments 68

69 7

°

71



See the citation from Han chiu iin the note to HHSCC(tr.) 6.4b. This is an abbreviation from a source that is termed Chu ti shou ling, given sometimes as Ch 'ien Han chu ti shou ling (Hou Han shu: Peking: Chung-hua shu-chu, 1965, p. 3144). For the differing times when the tombs were actually constructed, see Kamada (1962), p. 520 and WW 1992.4, p.13. HSPC 73.16b, 17a. For example, see accounts below where these cases were drawn up in the names of70, 44, 29, 18, 53 or 147 officials. HSPC 68.6bff; CC pp. 77f; see also pp. l 72f, for the submission made by fifty officials, led by K'uang Heng, in respect of the state cults.

I .

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ranged round the titles and consequent honours due to figures no less dignified than Wen-ti and Wu-ti, as well as some of the less important members of the imperial family. Practical implications, such as the illness or dream of an emperor could enter in. At times there appears to have been a clear conflict between a desire to economise on imperial expenditure and the obligation to follow the traditional procedures that had been hallowed in earlier writings. The propriety of erecting shrines in the provinces had in fact come into question some time earlier, at the outset of Wu-ti's reign. 72 On a day corresponding with 9 March 135 BC a conflagration had taken place in the shrine dedicated to Kao-ti in Liao-tung; on 25 May fires had broken out in the ancillary chambers at his tomb. In a lengthy comment to the two incidents, Tung Chung-shu cited earlier examples of comparable events. He wrote; 'In the present instance, a shrine to Kao-ti ought not to be situated in Liao-tung; the chambers of Kao-ti's park ought not to be situated beside the tomb; according to the provisions of proper conduct (Ii) they should indeed not be erected; and the case is comparable with the conflagration of Lu'. Tung Chung-shu interpreted the events as warnings to Wu-ti to eliminate from his immediate entourage and service some of both his close and his distant kinsfolk, and some members of the nobility whose sense of justice was unreliable. Kung Yii's initial proposal for the abolition of some of the shrines rested on two simple statements. He cited ancient practice which allowed for the seven shrines at which the Son of Heaven paid his respects; in the case ofHui-ti and Ching-ti the generations had passed, and they now lay beyond the point at which they should be included; it was therefore appropriate to destroy their shrines. It may be noted that the same consideration applied to the shrines of Kao-ti and Wen-ti, but the privileged status that they enjoyed, under the titles ofT'ai-tsu and T'ai-tsung, evidently protected them from inclusion in Kung Yu's proposal. The seven shrines that Kung Yu presumably thought it right to retain were thus those dedicated to Kao-ti's father, Kao-ti, Wen-ti, Wu-ti, Chao-ti, Hsiian-ti's father and Hsiian-ti. His proposal carried the unstated implication that previous attempts to follow the Chao-mu system would be rendered null and void. Kung Yii's second statement pointed out that maintenance of the shrines in the provinces did not accord with ancient prescriptions for proper conduct, and they should be regularised. At much the same time (i.e., after 46) I Feng was making the point that failure to destroy the chambers of rest and shrines at the right time, i.e., when the generations had reached their appropriate number, was in conflict with such prescriptions, and involved considerable expenditure and popular hardship. 73 In discussing the matter one scholar draws a distinction of principle; between those who " HSPC 27 A.I la; the dates given here follow those of the short account of these events in HSPC 6.3b. See also H SPC 56.20a, for the statement that Tung Chung-shu had made a draft record of his views but had not presented them, and that it was only after the forceful intervention of 73 HSPC 73.lOa, and 75.19a for I Feng. Chu-fu Yen that they were submitted.

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believed that the highest honours should be accorded in proportion to services rendered and merits achieved; and those who believed that the call of kinship was sufficiently strong to overide all such considerations. 74 Yuan-ti approved Kung Yu's suggestion, but before it had been implemented the latter died, at the advanced age of eighty-one. Four years later (40) the emperor ordered that the whole matter should be reviewed by a large number of senior officials. The decree in which he did so made the point that circumstances were somewhat different from what they had been in the early days of the dynasty, when the establishment of shrines in the provinces had been designed in part to bring home the presence of the newly founded authority to the more remote regions of the empire. The considered reply was presented in the names of seventy senior officials, headed by Wei Hsiian-ch'eng, the chancellor. They included Cheng Hung, Imperial Counsellor from 42.until 3?7 5 ; Yen P'eng-tsu one of the Kung-yang chuan academicians, who had been metropolitan superintendent of the left (Tso p'ing i) from 44 to 42, when he became senior tutor of the Heir Apparent (T'ai-tzu t'ai-fu); Ou-yang Ti-yii, appointed Superintendent of the Lesser Treasury (Shao-Ju) in 43, who died in office in 38; and Yin Keng-shih, advisory counsellor (Chien ta-ju). Yin Keng-shih had been known as a protagonist of the Ku-liang chuan during its revival in the reign ofHsuan-ti, and had later been trained in the Tso chuan tradition. 76 They stressed the importance of the personal part that should be played in the services to the shrines, in so far as these were the duty of the next of kin; and they emphasised the need to maintain the correct hierarchies and positions of rank. They therefore advised that the shrines of the provinces should not be kept in a fit state for operation. With the approval of their submission, there followed the suspension of shrines dedicated to some of the lesser members of the imperial family, i.e., Kao-ti's mother, elder brother and elder sister; and Wu-ti's Wei empress and the Li Heir Apparent; at the same time the complement of attendant officials and conscript servicemen was reduced. 11 About a month after the suppression of the provincial shrines Yuan-ti issued a further decree, asking for advice over other aspects of the matter, which had clearly become subject to controversy. He referred to the old precedent for the establishment of four shrines to the ancestors, with that of the founder surviving in perpetuity, without destruction. His command was answered by a memorial that was submitted by forty-four officials, headed again by Wei Hsilan-ch'eng. They pointed out that propriety and its rules provided that the founders of a line of kings should always be entitled T'ai-tsu; that for those monarchs who followed, the shrines should be destroyed in turn, once they numbered five; the memorial tablets (chu) of such shrines would be preserved in the shrine of the founder (T'ai-tsu); and two grand 74 1•



Fujikawa (1968), pp.125f. " For Cheng Hung, see HSPC 66.16a. For the dates of these appointments, see HSPC 19B.37b to 38b; for Yin Keng-shih, see HSPC 77 HSPC 73. JI b. 88.23bff, and 25b.

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offerings (yin chi: one tic and one hsiab) were held every five years in collective honour of all who were commemorated therein. At such ceremonies the memorial tablets both from those shrines which had been destroyed and from those that had not yet been dismantled received their due offerings in unison at the founder's shrine; the father being characterised as chao, the son as mu, and the grandson as chao once more; such was the correct procedure of old. 78 In a text which may be corrupt, these memorialists referred to the construction of shrines to four ancestors, and the destruction when the line passed beyond the specified number of generations, thus marking a closure. They argued that the provision of seven shrines for the old kings of Chou had depended solely on the foundation of the line by Hou Chi and the receipt of the charge (mingb) that had entitled Wen Wang and Wu Wang to exercise their rule. It was for these exceptional reasons that those three shrines had not been destroyed; their survival, together with those of the four generations ofChou's kin, amounted to seven. Without exceptional circumstances of that type, shrines should all be destroyed as the generations succeeded one another and the earlier ones passed beyond the specified limit. For this reason, and in spite of his great achievements, no shrine had survived for Ch'eng Wang of Chou, his actions being deemed a sufficient memorial. Wei Hsuan-ch'eng and his colleagues then expressed the view that, as the founder, Kao-ti was entitled to a shrine in perpetuity, under the title of T'ai-tsu; for his successors, it was only right that with the passing of time they should be destroyed. They pointed out how the shrines were now situated in somewhat odd places and that the Chao-mu sequence had not been retained in its due order; it was right to bring the tablets into the shrine of the founder and to restore the Chao-mu order in accordance with Ii; but the shrines ofKao-ti's father, Hui-ti, Wen-ti and Ching-ti should all be destroyed; that ofHsuan-ti's father, which had not yet passed beyond the allotted number of generations, should be retained as hitherto. This proposal would have left five surviving shrines intact, i.e., for Kao-ti, Wu-ti, Chao-ti, Hsiian-ti's father and Hsiian-ti; and it provoked criticism from twenty-nine officials, including Hsu Chia. Hsu Chia was the nephew ofHsii Kuang-han, father of that very consort of Hsuan-ti who had been Yilan-ti's mother and had fallen a victim to the ambitions of the Huo family. He could therefore speak to the emperor with the authority of a grandfather. Yuan-ti himself was evidently conscious of the demands of filial piety. The marquisate which Hsu Kuang-han had received in 67 had lapsed seven years later, when he had died without issue. 79 In 48 Yiian-ti recreated it by conferring this honour on Hsu Kuang-han's nephew; 78

HSPC 73.llb. For the performance of the hsiab at the Ming t'ang, under Wang Mang's direction in AD 5, see HSPC 12.8b, HFHD vol. III, p. 81. See also Tu tuan B.7a for the statement that it was not Han practice to use the terms ti" and hsia;h [for performance of the hsia every three years, with specific reference to Chao mu precedence, see Han chiu i pu i B.3b (Han 79 HSPC 18.14b. kuan liu chung), B.4a (Han kuan ch'i chung)].

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this was Hsii Chia, whose daughter was chosen to be the consort of the Heir Apparent, the future Ch'eng-ti. Hsu Chia carried the title of Marshal of State (Tassu-ma) from41, being followed in due course by Wang Feng (33). In42he had been one of the senior men whose views had been sought at a time when some of the Ch'iang tribes had risen in revolt, just when China was suffering from a shortage of food. He had also recommended Kan Yen-shou for service, one of the two officers who took the initiative against Chih Chih in 36; and in 33 he was chosen to convey an imperial message to the Shan-yii of the Hsiung-nu, to the effect that Han had no intention of reducing its defences on the borders. In Ch'eng-ti's time Hsii Chia, now the emperor's greatgrandfather, expressed his views on religious matters; he was one of eight senior officials who opposed K'uang Heng's suggestion for the major changes in the state cults, whereby the sites of worship were to be moved to the vicinity of Ch'ang-an and changes effected in the objects of worship. 80 At the time when he was criticising Wei Hsiian-ch'eng's proposals, Hsu Chia carried the titles of marshal of state and general of chariots and cavalry (Chii-chi chiang-chun).

On this occasion 81 Hsii Chia and his colleagues insisted that Wen-ti's character and achievements had been such that his memory should be maintained in a shrine dedicated under the title of T'ai-tsung. 82 Yin Chung took the view that Wu-ti merited similar treatment, as Shih-tsung; for he had taken steps such as the reform of the calendar so as to accommodate the dynasty to the cosmic order; and he had successfully withstood the threat of the foreigners. Yin Chung is described on this occasion as superintendent of trials (T'ing-wei); he had served as superintendent of the guards (Wei-wei) from 60 to 58, and was due to be appointed imperial counsellor in 30; he committed suicide in 29, being blamed for failure to take effective action at the time when the Yellow River burst its banks. 83 Along with these views, eighteen officials, led by Yin Keng-shih, advisory counsellor, argued that the shrine of Hsiian-ti's father should be destroyed, as it did not accord with the Chao-mu order. Yiian-ti is said to have been left in a state of indecision for about a year, before calling for a further consultation. In his reply to this order, Wei Hsiian-ch'eng met most of the points that the emperor had raised. He proposed that the shrines of Kao-ti and Wen-ti should be retained in perpetuity, being designated, as formerly, as those ofT'ai-tsu and T'ai-tsung; Ching-ti was to be treated as Chao, Wu-ti as mu, and both Chao-ti and Hsiian-ti as chao. He also pointed out that while the rule of the receding generations did not apply to Hsiian-ti's father, it did concern Kao-ti's father and Hui-ti. Their shrines should therefore be destroyed; the tablet for Kao-ti's father should be buried in the funerary park, presumably the one surrounding Kao-ti's shrine; Hui-ti should be 80

82

HSPC 9.2a; 19.38b; 25B.12a; 70.Sa; 79.3a; 94B.8a; 97A.2lb; 97B.la; and CC pp. 172, 21 lf and 235. " HSPC 73.13a. '' HSPC 19B.34a, 4la, b; CC p.191. These views are summarised on p. 268 above.


291

treated as mu and his tablet transferred to the shrine of the founder (T'ai-tsu); the chambers of rest and the surrounding parks were not to be kept in a state of repair. 84 This proposal was approved; the destruction of the chambers of rest, shrines and parks for Kao-ti's father and for Hui-ti is recorded for 29 January 38 BC, 85 There remained the shrines for Kao-ti and Wen-ti, which survived with their special honours, and those for five ancestors, i.e., Ching-ti, Wu-ti, Chao-ti, Hsiian-ti's father and Hsiian-ti. Wu-ti, however, would be denied his special place of honour, being characterised as mu; such was the situation of his tomb in relation to that of Kao-ti. It was at this juncture that some of the advisers to the throne were complaining about the hubbub that accompanied the monthly parade and conveyance of the imperial robes and head-dress. They pleaded for a return to the old system of four seasonal offerings at the shrines, with a discontinuance of the daily and monthly offerings at the chambers of rest and the parks, but Yuan-ti all the same made no change. In the following year Wei Hsiian-ch'eng made the further suggestion, which was accepted, that honours and services paid to the mothers of Wen-ti and Chao-ti should be discontinued; they were in fact suspended in 38. 86 Yiian-ti had already shown signs of vacillation over the question of the shrines and their upkeep. Lying ill, he dreamt that his forebears were scolding him for the abolition of the provincial shrines, and his younger brother was afflicted with dreams of a similar nature. 87 In the meantime K'uang Heng had succeeded Wei Hsuan-ch'eng as Chancellor, on the latter's death in office in 36. But when, as might be expected, the emperor ordered K'uang Heng to consider the restoration of the shrines, the latter insisted that it would not be right to do so. However, Yuan-ti's prolonged illness alarmed K'uang Heng, to the extent that he sought relief from his anxieties by prayer at the shrines of Kao-ti, Wen-ti and Wu-ti. He acknowledged the need for communication with spiritual beings (shenc) so as to conform with the principles of the holy ones of old (ku sheng chih ching); he took note of the view expressed formerly that the reason for founding shrines in those places that had been favoured by an imperial progress had been to strengthen popular loyalties, and not to re-affirm ties of ancestral kinship. In view of the united state of the empire, he continued, he believed that it was right to retain a single shrine at the capital city, where the emperor himself would worship, and to suspend those of the provinces without upkeep. 84 86

87

HSPC 73.14a. "HSPC9.10b, HFHD vol. II, p.329. HSPC 9.lOb, I la, HFHDvol. II, p. 329; according to Tu tuan B.5a, bK'uangHeng and Kung Yii had the parade suspended. HSPC 73.14b; for Yiian-ti's younger brother, king ofCh'u, see HSPC 8.2la (HFHD vol. II, p.255), 14.22a and 80.5a. [See HSPC ll.7b, HFHD vol. III, p.37 for an example of an unexplained phenomenon of the type that was regarded as a portent of misfortune. It is reported that in 2 BC sounds were heard from the bronze ring holders, shaped as turtles or serpents, in one of the halls of the shrine of Yiian-ti.]

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K'uang Heng acknowledged that the force of the emperor's illness and dreams had induced him to request the restoration of those shrines that had been abolished; but he re-affirmed the old principle whereby monarchs were personally responsible for rendering the necessary services, without delegation to others; and he did not think that the low-ranking officials of the commanderies and kingdoms were fit to be given sole and independent charge of such rites. Finally he referred to the recent series of poor harvests and the consequent popular distress that had made it impossible to keep the provincial shrines in a proper state of repair. In such circumstances he would not himself dare to undertake the work of restoration; should he have thereby offended the imperial ancestors, he was ready to accept the consequences personally; and it would be for Kao-ti, Wen-ti and Wu-ti to restore Yiian-ti to health and to provide for the long-term blessing of the dynasty. It is perhaps possible to detect a note of practical thinking in K'uang Heng's mind, and even of a disbelief in the value of the services. The Han shu includes 88 a second statement of his views, in the form ofa note ofexplanation which he addressed to the shrines that had been destroyed. He alluded to the general restriction of all ancestral services (ti") to five; to the precedent whereby, although a founder's shrine is never allowed to fall into disuse, in the case of subsequent monarchs a transfer (eh 'ienb) takes place after the passing of the fifth generation of ancestors. As Kao-ti's father had not received a charge to found a dynasty; and as his generation had now receded beyond the established limit, it was right that his tablet should be transferred elsewhere. K'uang Heng then observed that the prescribed rites did not permit the same degree of mourning for a mother as for a father, and he thought it right that in such cases the daily services at the chambers of rest and the offerings in such shrines should be suspended; and he suggested that a measure of removal would accord with the intentions of Kao-ti the founder. It was for these reasons that the chambers of rest of Kao-ti's father, Hui-ti, Wen-ti's empress and Chao-ti's Empress Dowager were being abolished, in the interests of securing eternal felicity for the reigning house. Again, K'uang Heng refused to approve the restoration of the shrines, as the sick Yiian-ti wanted; and he accepted full responsibility and the consequences, if the failure to do so did not accord with the intention of Kao-ti, Hui-ti, Wen-ti, Wu-ti, Chao-ti, Hsiian-ti, Kao-ti's father, Wen-ti's Empress and Chao-ti's Empress Dowager. It may be asked why Ching-ti's name was omitted from the list. K'uang Heng's notification included his blunt refusal to draw up the documents needed for the restoration that the emperor had requested. But as the years passed, and his illness showed no signs of recovery, many of the chambers of rest, shrines and parks that had been abandoned were in fact brought back into service, except for those in the provinces. Of even greater significance, perhaps, was the restoration of the original shrine to Kao-ti that '' HSPC 73.lSa.


293

had been erected in the city ofCh'ang-an itself. At the same time confirmation was given to Wu-ti's entitlement as Shih-tsung. 89 Scarcely had Yiian-ti died, however, when K'uang Heng pointed out that the restoration of the shrines had had no effect in prolonging his life, and he put in a proposal for the destruction of those that were in question. Those for Wu-ti's Wei Empress, the Li Heir Apparent and the latter's consort, who were still within the requisite number of generations, were not included in the new order, which concerned the shrines of Kao-ti's father, Wen-ti, Chao-ti's Dowager Empress, and Kao-ti's mother, sister and brother. At the same time, the old prohibition of unauthorised discussion of these matters, on pain of public execution, was rescinded. The speed with which these steps were taken is remarkable. They are placed in the record between Yiian-ti's death on 8 July, 33 BC, and his burial on 31 August. 90 A reversion, however, took place during the reign of Ch'eng-ti, who had produced no direct heir to continue the dynastic line. In 28 the shrines were once more restored for Kao-ti's father and arrangements were made for services to his other three relatives to take place in his own shrine as formerly; and the ban on unauthorised discussion of these matters was re-introduced. 91 The restoration of the shrines on this occasion followe~!ea made by P'ing Tang, who had earned himself a reputation thanks to the com.rrients and interpretations with which he explained the occurrence of unusual phenomena. It was said that although his literary style fell short of that of Hsiao Wang-chih or K'uang Heng, the purpose of his remarks was largely identical. On this occasion he cited from the Lun-yii, the Hsiao ching and the Shang shu to make the point that continued service to the shrine ofKao-ti's father would be in conformity with the established precedents and ideals ofK'ung tzu and the kings of Chou; it was only right to provide such service if the claims of filial duty were to be answered. P'ing Tang later rose to be Imperial Counsellor and Chancellor (5), dying in office in 4 BC. 92 When Ch'eng-ti died (13 September 8 BC) he was succeeded by Liu Hsin, better known under his title of Ai-ti, and a grandson ofYiian-ti. It was a time of considerable instability, with the families of three rival imperial consorts, Tinga, Fua and Wangh, jostling for position; and some new figures, including Ho Wu and K'ung Kuang were rising to prominence in public life. Ho Wu had become Imperial Counsellor in 8, and had been responsible for the adoption of the titles of the San kung for the highest officials of government. In the same •• See HSPC 9.12b and 13a (HFHD vol. II, pp. 334--6) for the restoration of shrines to Kao-ti, his father, brother and sister, and the Li Heir Apparent, on 11 August and 20 September 34; and Hui-ti, Wen-ti and Chao-ti's Dowager Empress on 30 April 33. HSPC 9.12b refers to the Yiian miao, as seen above(note49); the term was taken by Wen Ying (196--220), supported by Wang Hsien-ch'ien, to designate the second shrine to Kao-ti, built north of the Wei river. Use of the term in this passage is taken by Chin Cho (ff. 208) to refer to the basic, i.e., the first, shrine, which had been built within the city's walls. "'HSPC 9.13a, HFHD vol.11, p.336. " HSPC 110.Sb, HFHD vol. II, p. 385; HSPC 73.16b. • 2 HSPC 19B.49a, b; 71.9bff.

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spirit, i.e., that of seeking to re-activate ancient practice that was associated with the regime of Chou, he had suggested that the title Tz'u-shih, regional inspector, with the implications that the term carried, should be replaced by that of Mub, regional commissioner, literally 'shepherd'. He had himself been appointed Ta ssu-k'ung in 7. Meanwhile K'ung Kuang, who had held the position of imperial counsellor since 15, had become Chancellor, a post which he held from 7 to 5. He was a man known to have had an extreme sense of discretion. In his time he had sponsored the cause of Liu Hsinga as a successor to Ch'eng-ti, rather than that of Liu Hsin, but such preference does not appear to have damaged his prospects of a career in public life. Both he and Ho Wu had been consulted about Shih Tan'sb proposal to restrict the size ofland-holdings and they were evidently ready to approve of such measures. Their chief political antagonist was Chu Po, who followed K'ung Kuang as Chancellor in 5. 93 It was perhaps in line with their views on these other matters that, very shortly after Ai-ti's accession, K'ung Kuang the Chancellor and Ho Wu the Ta ssu-k'ung put forward a proposal about the shrines. 94 They pointed to the special titles that had been re-affirmed for Kao-ti and Wen-ti in 39 and for Wu-ti in 34. They thought that decisions regarding the retention or the abolition of the shrines should be determined from time to time in accordance with prevailing circumstances, and that discussion of the matter should not be subject to prohibition. Their request was duly accepted, and fifty-three officials proposed a reversion, once again, to former practice; the shrines for successors to those honoured with the title tsu or tsung should be destroyed in turn, with the passage of the fifth generation. They argued that however great the achievements of an emperor might be, he should not merit treatment that was in parallel with that of the founders; and however much his descendants might wish to hold him up to praise, the holy spirits would not accept the sacrifices which would be thus offered. Wu-ti's merits had been outstanding; but he had passed beyond the limit of the generations and it was only proper that his shrine should be destroyed. The fifty-three officials included P'eng Hsiian, Man Ch'ang and Tso Hsien. P'eng Hsiian held the post of superintendent of the palace (Kuang-lu-hsiin) for a few months in 7; he had been trained in the I ching by Chang Yii, and served as imperial counsellor and Ta ssu-k'ung. 95 Man Ch'ang had been a student of the Book of Songs and was serving as supervisor of the household (Chan shih); Tso Hsien was an academician who had been concerned with the Spring and Autumn Annals; he served as superintendent of agriculture (Ta ssu-nung) in 6, and as superintendent of state visits (Ta hung lu) from 1 BC to AD 2. 96 This proposal drew a sharp and lengthy rejoinder from two men who were later to play a leading part in supporting Wang Mang. 'One of these, Wang 93

94

CC pp. 252f. Early in his career Chu Po had held the ~osts of assistant to the marquisate of An-ling and of magistrate of P'ing-ling; HSPC. S3!9b. 9 ' HSPC 19B.48b and 71.12a. HSPC 73.16b. •• HSPC 19B.49a, Sla.


295

Shun, was a member of the same family, being the son of Wang Yin, who held the title of Ta ssu-ma from 22 to 15. Wang Shun was himself appointed Superintendent of Transport (T'ai-p'u) in 8. The date of birth of Liu Hsinb, who is best known for his contribution to Chinese bibliography and scholarship, is probably 46 BC; he died by his own hand in AD 23. 97 Their encomium on Wu-ti started with a comparison between the Hsienyiin, the strongest of the foreigners to attack the weakened kingdom of Chou, and the Hsiung-nu, whose threats had confronted the Han dynasty. They cited98 the praise lavished by the Book of Songs, the Spring and Autumn Annals and by K'ung tzu himself for the ways in which the earlier kings of Chou, and even an unhallowed ruler such as Duke Ruan of Ch'i, had conquered these enemies; for had those enemies been successful they would have inflicted severe damage on China's civilisation. The two men then looked at the history of these matters during the Han period, noting that Wen-ti's policy of appeasement had had no results. It had left China in a desperate situation in which no end could be seen to the threat of violence; there had been no stop to the need to mobilise the armed forces aµ.d to the popular distress that had been involved. And so the situation had remained; until Wu-ti's unparalleled success in throwing back China's enemies or potential enemies in north, south, east and west, in extending Han territory and bringing peace to the empire and the population. At the same time, Wu-ti had made equally valuable contributions in his domestic policies, summoning the most able men in the land for their advice, and attending to matters such as the adjustment of the calendar, the services to Heaven and Earth and the performance of the Jeng and shan ceremonies. The results of his reign were quite without parallel. The two officials then turned to the immediate question at issue, i.e., the provision of the appropriate number of shrines. They observed that Kao-ti, Wen-ti and Wu-ti had been accorded the titles of T'ai-tsu, T'ai-tsung and Shih-tsung respectively. They then called on the Li chi and the Ku Liang chuan for evidence to show that the entitlement of the Son of Heaven was that of seven shrines, three being characterised as chao and three as mu, making, with that of the original founder, a total of seven. 99 This marked him apart; for according to the same system, it was the chu hou who were entitled to a mere five shrines, and those oflower ranks to three, or two. They also cited from the Tso chuan, thereby being the first memorialists to do so; the passage which they quoted stated that 'when title and status differ, the rules of Ii, for their part, make a distinction of number'. 100 Wang Shun and Liu Hsin also made the point that there was no fixed quota to the number of monarchs who could be honoured, thanks to their merit, with a title that incorporated the term tsung. If the present case were to be determined in the light of the existing precedents for seven shrines, there 97 For Wang Shun's appointment, see HSPC 19B.47b; for Liu Hsin, see HSPC 36.3laff. •• HSPC 73.l 7a. 100 Tso chuan 9.15a. 99 Li chi 'Wang chih' 12.13b; and Ku Liang chuan 8.12b.

296



would be no call to demolish the one that was dedicated to Wu-ti; and if the case were to be argued on the grounds of the merit that deserved the title tsung, Wu-ti could not be described as lacking achievement. He qualified for services and offerings under the separate counts listed by the Li chi, i.e., of bringing service to the aid of his people, stabilising his dynasty and bringing relief from natural disasters. Wang and Liu then proceeded to rebut, on textual grounds, the proposals that had been put forward from Kung Yu onwards. They wrote that they had seen no literary evidence (wen) to support a statement that there are five shrines for the Son of Heaven. They continued: Moreover those who mouth expressions such as Chung tsung or Kao tsung destroy the shrines of those in question while adopting their exemplary ways as their ancestral models. Such differences between word and deed have in no sense demonstrated the respect due to quality or the honour due to achievement ... The correct rite whereby shrines are in turn destroyed bears its own model that is of perpetual value, without reference to exceptional achievement or outstanding quality; the process depends fundamentally on the demands of relative kinship. With regard to the precedence due to tsu and tsung, and the question of a quota for such titles, there is no clear text, either in the classics (ching) or the additional commentaries (chuan); for cases of the greatest degrees of respect or honour, it is difficult to take decisions on the basis of text that is suspect or opinions that lack substance. The memorial closed with the plea that, in view of Wu-ti's exceptional achievements and Hsuan-ti's order for his elevation, it would be improper to have his shrine destroyed. After pondering the advice Ai-ti gave his approval, and the necessary edict followed. Chapter 7 3 of the Han shu includes a further expression of opinion by Liu Hsiu, to the effect that the abandonment of the parks and shrines for Hui-ti, Ching-ti and Kao-ti's father signified a distinct loss of li. It closes 101 with an account of a memorial submitted by Wang Mang, acting as Ta ssu-ma, right at the close of P'ing-ti's reign, in AD 5. He wrote that the establishment of a shrine for Hsiian-ti's father under the title of Huang K'ao and with a settlement of 300 families (later increased to 1600) was incorrect, and that it was improper for this shrine to receive service from one generation to another. Wang Mang therefore asked for its abandonment. He also referred to the sites of Nan-ling and Yun-ling, which had been subject to privileged treatment; for they included the tombs of the empress mothers of Wen-ti and Chao-ti. Wang Mang's request that the upkeep of the shrine in question should be suspended, and that the two regions should be administered as normal counties was accepted. Itis of interest that even at this stage ofhis ascendancy, Wang Mang found it necessary to make it clear that his proposals' followed consultation with others; he claimed that he had done so with no less than 147 senior

officials and colleagues, including P'ing Yen, who carried the title of Ta ssu-t'u. Chapter 73 is one of the five chapters of the Han shu in which the closing comment is attributed specifically to Pan Piao. 102 He notes the change and change about that had been apparent in matters such as Kung Yii's destruction of the shrines, K'uang Heng's reform of the state cult and Ho Wu's designation of the San kung; and he explained the confusion as being due to the lack of written Li and the differences between ancient and modern institutions. 103 In so far as there was a school for each, it was no easy matter to reach a definite conclusion; but inspection of the arguments of the many scholars showed that, thanks to their comprehensive nature, the views of Liu Hsin were to be trusted. We may add a further episode, from Later Han times, in the story of the shrines that were established for the emperors of Former Han. According to Ts'ai Yung, after the restoration of the dynasty and the adoption of Lo-yang as the capital, orders were given for a single shrine to be set up for the eleven emperors, from Kao-ti to P'ing-ti, and for their eleven tablets to be preserved therein. 104 It may also be noted that the problems that were involved in the maintenance of the shrines recurred long after Han times. This may be seen, for example, in Han Yii (768-824)'s essay 'Ti hsia i'; he argues that it would be perfectly in order to alter the existing rites and to abolish the sacrifices to the remote ancestors of the first T'ang emperor. Some major implications The issues raised in the debates about the shrines bear wider implications in three respects: the reputation of Han Wu-ti, the policies of the last decades of the Former Han period and the intellectual attitudes of the day. That no reservations obtrude in Wang Shun and Liu Hsin's praise of Han Wu-ti is perhaps remarkable, in view of criticism that had been levelled against his policies and his reign, for example, by Ssu-ma Ch'ien and in the Yen-t'ieh lun. 105 Indeed, the last few years of the reign had shown only too clearly that the expense of those policies could not be upheld indefinitely, and that the strength of China's economic progress and military might could not be taken for granted. A few writers such as Tung Chung-shu had openly declared their distrust of the methods and objectives of the government of the day. 106 Much later, in popular estimation Han Wu-ti came to be regarded as one of China's greatest emperors, whose reign was marked by vigour and crowned with 102 103 104

10 ' 101

HSPC 73.20a.

297

The other chapters are nos.

9, 10, 84 and 98. Li wen chiieh wei ku chin i chih. Tu tuan B.Sb; the note to HHSCC 1A.18b, with reference to AD 26, cites Han Ii chih tu as the

authority. See Watson (1958), pp. 33f, and the arguments put forward by the critics in the 10 • CHOC, p. 163 and Nishijima (1986), pp. 556f. (CC pp. 9lf).

Yen-I 'ieh lun

298


victories; but on inspection it is difficult to sustain the thesis that the emperor himself had played much of a part in the decisions that were taken or in the feats of arms that had brought success to some of China's policies. A distinction is therefore necessary between the successful achievements of those years and the part that the emperor played in person. As against such a background, Liu Hsin's statement may well have acted as a reaction against some elements of contemporary opinion. The reputation that he came to acquire as a man of letters may possibly have served to invest his praise of Wu-ti with a measure of authority, that was to be of considerable significance in later historical thought. Attention has been paid above to some of the circumstances in which the moves to curtail the shrines and their services had taken place. They accompanied proposals and decisions to reduce public expenditure and to adopt a policy of retrenchment rather than expansion in foreign affairs. It was a time when those who were prominent at court and in office were seeking models for behaviour and government in the old kingdom of Chou rather than in the more recent practice of empire under Ch'in and the early Han rulers. In religious and symbolic terms these attitudes were seen in the reform of the state cults, whereby the worship of the Five Ti gave way to that of Heaven; in the elimination of a number of types of worship that were not approved; and in the emphasis on traditional and classical forms of music rather than on those of a more exciting type. 107 The evocation of the old kingdom of Chou was seen in the worship of Heaven and in the renewed claim that authority to govern rested on Heaven's charge; it was symbolised in the adoption of titles of officials that corresponded with those thought to have been in use under the Chou kings. Similarly, the emphasis that was being placed in the time of Yiian-ti and later on the Chao-mu system of alternation immediately called to mind the practices of those kings. In addition, the debate alluded to an explicit contrast; between the need and desire of the early Han monarchs to show the flag and proclaim their rule as widely a possible, and the contemporary belief or hope that the peace and integrity of the empire had been secured. A noticeable feature of the debates is seen in the references made either to earlier writings or to the lack of such evidence to support a particular point of view; and in this connection it is worth bearing in mind that the debates were framed before the work of Liu Hsianga (79-8 BC) and Liu Hsin in assembling texts from all quarters of the empire, and before efforts had been made to establish an orthodox or standard set of interpretations. In a number of instances Liu Hsin, Pan Piao and others referred to 'ancient practice'; they cited from works such as the Ku Liang chuan or the newly resurrected Tso chuan that are usually associated with the Ku-wen rather than the Chin-wen frame of mind; and they referred to the absence of trustworthy written authority, or of any authority at all, to support some of the proposals that had 107

See CC pp. 170f, for the state cults; p. 175 for the suppression of certain other cults; and pp. l 93f for the elimination of certain types of music.


299

been suggested. How far a distinction should be drawn at this time between the two attitudes later to be described as Ku-wen and Chin-wen may perhaps not be known; but it is perhaps not too much to suggest that the problem of retaining or destroying some of the imperial shrines provoked reactions that were later characterised as those of a school, or of schools, termed Ku-wen. It remains to be shown whether there was a definite association between those who proposed the abandonment of some of the shrines and some of the specialist schools of leaming. 108 10 •

A high proportion of those who were involved in the debate originated from East China known for its significance as a home of scholarship (for example, Shih Kao and Wei Hsien' father of Wei Hsiian-ch'eng, came from Lu; Hsiao Wang-chih, Yii Ting-kuo and K'uan~ Heng from Tung-hai; Kung Yii from Lang-yeh). Hsiao Wang-chih and K'uang Heng were known for their interests in the Ch'i version of the Book of Songs, and Wei Hsiian-ch'eng for tha!in one of the ~chools of the Lu version. Study of the Ku Liang chuan is described as being basically the learrung of Lu, and that of the Kung Yang chuan as that of Ch'i, and by the time of Hsiian-ti the Ku Liang chuan was reaching an ascendancy over the Kung Yang chuan. Protagonists of the Kung Yang chuan included Yen P'eng-tsu; those of the Ku Liang chuan include~ Shi_h Kao and Yin Keng-shih, both Yen P'eng-tsu and Yin Keng-shih being also tramed m the Tso chuan; see HSPC 88.23aff, and Wang Hsien-ch'ien's note to HSPC 73.19a, b.

List of Han emperors

HAN EMPERORS

Former Han

Hsin dynasty

Personal name Dynastic title Reigned Liu Pang Kao-ti 202BC* to 195 Liu Ying Hui-ti 195 to 188 Domination by Empress Lii: 188 to 180, with infant emperors: Shao-ti Kung 187 to 184 Shao-ti Hung 184 to 180 Liu Heng Wen-ti 180 to 157 Liu Ch'i Ching-ti 157 to 141 Liu Ch'e Wu-ti 141 to 87 Liu Fu-ling Chao-ti 87 to 74 Liu Ho 74 to 74 [deposed after 27 days] Liu Ping-i (also named Hsun) Hsuan-ti 74 to 49 Liu Shih Yuan-ti 49 to 33 Liu Ao Ch'eng-ti 33 to 7 Liu Hsin Ai-ti 7 to 1 BC Liu Chi-tzu P'ing-ti 1 BC to AD 6

Wang Mang

*King of Han from 206 BC; assumed title Huang ti 202

300

9

to 23

25

to 57

Later Han Liu Hsiu Liu Yang (also named Chuang) Liu Ta Liu Chao Liu Lung Liu Yu (also named Hu) Liu I Liu Pao Liu Ping Liu Tsuan Liu Chih Liu Hung Liu Pien Liu Hsieh

Kuang-wu-ti Ming-ti Chang-ti Ho-ti Shang-ti

57 75 88 106

to to to to

An-ti Shao-ti Shun-ti Ch'ung-ti Chih-ti Huan-ti Ling-ti Shao-ti Hsien-ti

106 125 125 144 145 146 168 189 189

to 125 to 125 to 144 to 145 to 146 to 168 to 189 to 189 to 220

75 88 106 106

301

Glossary

GLOSSARY

'Ai jih' '!f. l1 Ai-ti ]t','lf r.7-1 BC

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*

r

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BIBLIOGRAPHY

(a) The following list includes books and titles which are basic contributions to the subject of this book and which are cited repeatedly in the notes. Details of works which are cited less frequently are given there. (b) Chinese works are entered under the author, where known, with crossreferences under the title and the editor of the edition that is cited here (for example, see the main entry for Huan K'uan, with cross-references for Yen-t'ieh lun and Wang Li-ch'i). Where the author is not identified, entries are for the title of the work (for example, Shan hai ching). For pre-modem works, dates are included either for the author, or for the preface or a year specified for completion. The abbreviations that are used in the notes are given in square brackets. (c) In cases when the author is not named on the title page, or at the head of an article, archaeological reports are usually entered by title (for example, Wu-wei Han chien). (d) Secondary works written by two or more authors are entered under the name of the first, with cross-references included for the others. (e) Characters are not included for Chinese or Japanese names or titles that appear solely in romanised form (for example, Tain Tzey-yueh). (f) Wade-Giles romanisation is used except where a printed title is in Pinyin (for example, Jiang Han kaogu), or where an author chooses his own preferred form (for example, see Tjan Tjoe Som). Cross-references are included where these are desirable. Adachi Kiroku >E:ft Jf p; (1933), Cho-an shiseki no kenkyu ~'ft:'t'_i'A'.O)litf ~;Tokyo: Toyo bunko. Allan, Sarah (1981), 'Sons of suns: myth and totemism in early China'; BSOAS 44, 290-326. (1984a), 'Drought, human sacrifice and the mandate of heaven in a lost text from the Shang shu'; BSOAS 47, 523-39. (1984b), 'The myth of the Xia dynasty'; JRAS, 242-56. Amano Motonosuke :K!f7tz)!;JJ (1962), Chugoku nogyoshi kenkyu i:f:lt@M!:~3t: jjff ~; Tokyo: Nogyo Sogo Kenkyiijo. Ames, Roger T. (1983), The art of rulership: a study in ancient Chinese political thought; Honolulu: University of Hawaii Press. Balazs, Etienne (1964), Chinese civilization and bureaucracy: variations on a theme; translated by H.M. Wright, ed. Arthur F. Wright; New Haven and London: Yale University Press.

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Addendum The following items were published while the foregoing pages were in the press: Major, John S. (1993), Heaven and earth in early Han thought: chapters Three, Four and Five of the 'Huainanzi '; Albany: State University of New York Press. Nylan, Michael (1993), The Canon of Supreme Mystery, by Yang Hsiung; a translation with commentary of the 'T'ai hsiian ching'; Albany: State University of New York Press. van Ess, Hans (1993), Po/itik und Gelehrsamkeit in der Zeit der Han (202 v. Chr.-220 n. Chr.): die Alttext/Neutext-Kontroversie; Wiesbaden: Harrassowitz Verlag.

INDEX

abdication, of emperor 22, 36, 88, 92, 97, 102f, 107f, 225 Academia Sinica, Taipei 5 Academicians 134, 161, 252 Academy 252, 259, 263, 265 accession, rites of l 07f accountancy 24 administration, of empire 23, 28 Africa, rites for rain in 154 agencies, for imperial clothing 271 agriculture 31, 241 almanacs 113, 114, 184, 192, 209, 214f altars, in rites for rain 152 Amano, Motonosuke 27 amnesties 207 An-yang 7 Analects, The 89, 231, 269, 271, 293 ancestors, services to, shrines 40, 101, 107 'ancient practice' 298 animals, in clouds 194, 195; in mythology 40f; of Twelve Branches 234 antler and tongue 46 appeasement 30; under Wen-ti 295 archaeology 7f, 30, 32, 37 archery 165, 168 armillary sphere 211 art styles 32, 34 astro-calendrical science 226 astrology 165, 166, 176, 184 astronomy 61, 65, 171, 192, 199, 205f, 234, 250; instruments of 251 auspiCious time l 12f authenticity, of Ch 'un-ch 'iu fan-tu 123; of works on Ii 160 authority, seat of 260 Balazs, E. 12 bamboo, manuscripts on 6; seeds of 169 ban, on discussion of shrines 286, 293; on sexual intercourse 231 Banner of Ch'ih-yu 61, 77f banquetting scenes 33 Barnard, N. 31, 38 barricade style tombs 33 Bes, the god 46

bibliographical history 14; list in Han shu 72, 114, 129, 162, 167, 211, 226; in Sui shu 200 Bielenstein, H. 22, 23, 27, 28 Birrell, A. 15 Black Bird 88 Bodde, D. 11, 23, 151, 155, 227 bones, burial of human 155; in divination 106, 160f; disposal of 180 bounties, imperial 25 bronze 34; casket 71, 103, 107; tripods 138 Buddhism, 19, 36, 258, 264 building projects 218 Bulling, A. 35 bulls, images of 151 burial, divination for time, place l 77f; style of 14 calendars 18, 31, 113, 140, 225, 251, 290 calligraphy 168 Cammann, S. 35 capital cities 34, 87 cattle breeding 31 Central Asia 29 central government, authority of 273 Chai P'u 250, 264 Chan ch'i chang 199 Chan Yin 179 Chan yiin eh 'i shu 199 chanb 174 Chang Ch'eng 207 Chang-chia shan 32 Chang Ch'ien 29 Chang Heng 105, 174, 201, 208, 209, 237, 238, 246, 265 Chang Huan 209 Chang, I. 133 Chang Kang 254 Chang Kwang-chih JO, 38 Chang Tsai 120 Chang Yen 118 Chang Yii 294 Chang Shou-chieh 158, 189, 224 Ch'ang-an, in danger 29 Ch'ang-sha kingdom 65

343

344

Index

Index

Ch'ang-t'ai-kuan 46, 47 Chao Kao 185 Chao-mu system 276f, 284f, 289 Chao-ti, tomb of 279 Chao-yao 114, 119, 235 Ch'ao Ts'o 23, 132 Chavannes, E. 3, 7, 16, 34, 194, 225 chenjen 58 Ch'en Ch'i-yiian 204 Ch'en Ch'i-yiin, 23 Ch'en Chih 16, 27 Ch'en Chung 264 Ch'en Fan 255, 260 Ch'en Wan-nien 270, 271 Ch'en Yuan 31 Cheng, Anne 15 Cheng Chung 196 Cheng Hsuan 115, 116, 120, 177, 196, and calendar 224; and classical texts 252; and feng-chiao 206 'Cheng lun' 265 Cheng Te-k'un 10, 35 cheng-t'ung 102, 111 Ch'eng-kung Hsing 117 eh 'i" 163, 169, 192, 245; of clouds 196 Ch'id, Duke Huan of 295; version of texts 269 chi-/in 169 Chia I 56, 94, 131, 170, 208 Chia K'uei 59 Chia Kung-yen 113 Chia Shan 131, 132 chia-tzu days 117 Chiang-ling 6, 26 Chiang-tu 122 Ch'iang tribes 290 chiao' 182 Chiao-hsi 122 Chiao Yen-shou 204 chicken bones, in divination 189 chien-ch'u series 114, 118, 204, 220f Ch'ien Ch'i 148 Ch'ien-fu fun 12, 162 Ch'ien Ta-chao 84, 238 Ch'ien T'ang 113, 224, 225 Chih chih 272, 290 Chih-lin 243 Ch'ih ching tzu 58 Ch'ih Yu 18, 128, 144, 152; battle with Hsuan-yiian 236f children, procreation of 221 Chin Cho 78 Chin shu 197, 198, 243 Chin wen 252, 265, 298, 299 ch'in' 280, 282 Ch'inb, expansion of 133; failure of 130f, 139; First emperor 10, 23, 85, 90, 246; Second emperor 167, 185, 236; survival of 124; tomb of First emperor 280

Ch'in-ting hsieh-chi pien-fang shu 225 Ching/a 127 Ching Fang, the Younger 21, 75, 79, 197, 204, 206, 211; Elder and Younger 79 Ching-ti, tomb of 279 Ch'ing period, chien-ch 'u in 225 Chou Chii 257 Chou dynasty, period 2, 17, 56, 124; ideals of 121; Wen wang 171 Chou i 20, 80, 166 Chou K'an 270 Chou li 145, 165, 166, 175, 195, 205 Chou Kung 89 Chou mu 254 Chou Shou-ch'ang 226 ehu" (wooden tablet) 277, 285 Chu-ai 271 Chu hou, divination by 165 Chu Hsi 111 Chu Po 294 Chuang Tzu 171 Chuang-tzu 20, 128 Chung-ch'ang Tung 23, 162, 175, 237, 266 Chung-Ii I 256, 257 Chung-shan, king's tomb 10; kingdom 33, 34; pre-imperial kingdom 280 'Chung yung' 162 Ch'u•, culture 30, 34; kingdom 65, 136, land of 215 Ch'u Shao-sun 114, 161, 164, 179, 180, 221 Ch'u tz'u 10, 15, 36, 46, 168, 179 Ch'un-ch'iu 100, 130, 134, 135, 139, 144, 187, 270, 294, 295 Ch'un-ch'iufan-lu 37, 123, 138, 246; authenticity of 142; and rites for rain 146, 147, 151f Chii-yen 4, 6, 25, 27; calendars 225 chiian 216 chiieh-ti games 236f, 271 Ch'ii T'ung-tsu 28 Ch'u Yuan 168, 179 Cicero 154 clay, bulls 151; dragons 146, 246 clothing, regulation of 221, 233 clouds, in divination 184, oracles 19lf; shapes of 62, 80; see also yun eh 'i, yun wu coin, use of 271 comets 6lf; observation of 69; terms for 69f; as omens 139, 184 composite figures 49 Confucian classics 15; cosmology 52; ethic 17, 34, 143, 249f Confucianism 16, 89, 110 Confucius 17, 20, 267, 293, 295; teachings of 122, 128, 130, 132, 134, 173, 174, 252, 262, 263 conscript services 25 consorts, imperial 121, 261

constitutional crisis, procedure 85, 99 control points 29 convicts, graves of 9 corpse, impersonation of 182 cosmic board 112; change 90; cycles 169; system 122, 135 cosmology 45, 52, 58, 171, 192 counsellors, of state 102 Couvreur, S. 2 creation 21 crime 26, 272 criticism, of divination 162, 168f Cullen, C. 32 cults, imperial 251 dance, of dragons 150, 153, 157; of youths and others 146, 148, 153, 159 days, choice of 218, 232; designation of 218; qualities of 220f de Crespigny, R. 16, 21, 22, 24, 30, 255 de Groot, J. 28 death penalty 25 Demieville, P. 11, 16 dependent kingdoms 29 deposal, of emperor 22, 103 desecration of imperial tomb 250, 263 destiny 109 Dieny, J.-P. 15, 238 Dio Cassius 69 divide et impera 29 divination 18, 40, 61, 65, 66, 80, 160f; before accession 106, 185; for burial 177; by chicken bones 189; by Chu hou 165; from dreams 175; for an heir 187; incidents of 184; instruments of 179; in Japan 189; by kings 162; for marriage 182, 186; by physiognomy 174, 233; professional 170f; qualifications for 176; questions put 175, 184; by Son of Heaven 165; writings on 167 divisions, of Han empire 115, 120 Documents, Book of see Shu ching documents, handling of 24 Dong-son culture 31 Dowager Empress, Ch'ing 2; Han 250, 261; power of 104; see Lii, Ma, Teng, Tou, Yen dragons, Boat Festival 157; of clay 146, 155, 246; and clouds 143; cult of 142f; emerging from water 148; of flexible frames 153; Star 158 dreams, of emperor 287, 292; messages of 218, 221; types of 233 drought 142, 149, 241, 246, 250 drums, in rite for rain 156 Dubs, H. 3, 30, 31, 35, 82 dynastic change, crisis 87, 90; intrigue 260; renewal 58; stability 22

345

earth, fructification of 151; as patron element 55f, 94, 126 Ebrey, P. 11, 24, 28 eclipse 95 economic practice, theory 26, 37 economy, need for 256 edicts, on phenomena 96; of Hsiian-ti 139; of Wu-ti 123 Eichhorn, W. 60 elements, the five 55f emotion 109 emperors, function of 23, 121; powers of 86, 250, 260, 262; properties of 97 empress dowager see Dowager Empress entertainment, at court 236, 248, 257 epitaph inscriptions 24, 34 Erh-shih-pa hsiu yiian p 'an 119 ethical principles 130, 133, 134, 262 Etruscan art 46 Etsingol see Chu-yen euhemerisation 40 eunuchs 28, 237, 250, 255, 262, 269 exorcism 42, 45, 221 expansion, policy of 29, 91, 272 expenditure, public 27 exposure, of shaman 149 extravagance, public 256 fa chia 263 Fa Mu 117 Fairbank, J. 12 Fairbank, W. 7, 34 faith, and reason 135, 142 fall, from golden age 169 Fan Sheng-chih shu 228 Fan Ying 206, 260 Fang-ma-t'an 33, 235 fang-shih 18 favouritism 250, 253-·5 Fen-yin 114 feng services 29 5 feng-chiao 67, 148, 201f Feng-ehiao chan 230 Feng-ehiao niao eh 'ing 204 Feng-ehiao shu 204 Feng-ehiao yao chan 205 Feng Feng-shih 269 feng-huang 169 Feng I 92 feng-ku 244 Feng po 205 feng-shui 66, 67, 80, 112, 120 Feng-su t'ung-i 115 feng-tzu kuei 245 financial authority 24 Finsterbusch, K. 34 fire, as patron element 55f, 94, 109, 126 First Ch'in Emperor 10, 23, 85; title of 90

346

Index

'Five Baits' 236 Five Classics 161, 168, 207, 252 Five Phases 20, 122, !25f; symbols of 55[; see wu hsing Five Sacred Mountains 108 flesh, of animals 41 flogging, of officials 258 floods 241, 250 folklore 35 folktale, Korean 154, 157 foreign peoples, and divination 188 formalisation see standardisation Four Mighty Rivers 108 Franke, H. 12, 37 Franke, W. 12 Frazer, Sir J. 150, 151 frogs, in rite for rain 154 Fu' family 293 .fu• 15 Fu Chan 162 Fu Hsi 169, 171 .fu ling 164 Fu Wu-chi 168 Fu-yii 189, 237 Fujieda, Akira 5, 11 Fujikawa, Masakazu 15 Fujiwara Sukeyo 201 fur, of animals 41 Gale, E. 26 Gardiner, K. 30 geomancy see Jeng-shut gods, pressure on 149 Goodrich, L. C. 37 government, conduct of 253f; failure of 262f Graham, A. 20 grain 27 graves, contents of 8; number of 8; types of

8 great families 28 Great Proscription 266 grooves, on strips 217 guardian gods 42 guards, reduction of 272 Hainan Island 271, 274 Halley's comet 69, 75, 81 Han, survival of 124 Han chiu i 158 Han Confucianism 20, 134 Han Fei 133 Han-.fei-tzu 168, 232 Han kuan 121 Han shih wai chuan 15 Han shu 3, 14, 16, 37 Han-t'an-p'o 32 Han Yang 74 Han Yii 111, 143, 297

Index harmony, of universe 108 Harper, D. 32, 112, 113 Hawkes, D. 15 Hayashi Minao 35, 38 head washing 233 Heaven, and dynastic rule 85f; and Earth 182; warnings of 203; see Tien Hedin, S. 6 hereditary kingdoms 24; succession 97f, 262 heritage, left by Han 36 Hervouet, Y. 15 heterodoxy 259 hexagrams 181, 204, 229 hierarchies of man 166; of officials 165 Hightower, J. 15 hill censers 35 Hiranaka Reiji 27 Hirth, F. 28 histories, texts of 11, 61 historiography 14 Ho Ch'ang-ch'iin 27 Ho Kung 117 Ho Peng Yoke 198f Ho po 18 Ho Shuang-ch'iian 235 Ho Wu 294 Hoang, Pere 31 Holingol 10, 33 holy places 40f honey-dew 169 horns, in chiieh-ti games 237, 239, 241 horsemanship 33 Hou Chi 289 Hou Han shu 3, 16 Hou t'u 19, 114 Hsi", buried at Shui-hu-ti 215 Hsi Han hui-yao 16 Hsi tz'u chuan 168, 172, 181 hsiah 289 Hsia• dynasty 56 Hsia Ho-liang 91, 96 'Hsia hsiao cheng' 221 Hsiang K'ai 23, 255 Hsiang-kang shan 33 hsiang sheng• 56, 93 hsiang shengb 57, 94 Hsiao ching 100, 231, 293 Hsiao Wang-chih 23, 203, 269, 272, 293 Hsieh Ch'eng 207 Hsieh 1-wu 206 hsien• 49 hsienb 45 hsiend 99 Hsien men shih 115 Hsien-pi 250 Hsien-ti chuan 85 Hsien-yiin 295 Hsin dynasty 17

Hsin shu 236 Hsiu-tu Fang 211 Hsin yii 130, 137 Hsiang-nu 28, 30, 103, 167, 186, 290, 295; envoys, 237; settled in China 263 Hsii Chia 289 Hsii Chien 207 Hsii Cho-yun 11, 27 Hsii Chiin 188 Hsii Fang 259 Hsii Han chih 283 Hsii Kuang-han 289 Hsii Shen 118 Hsiian-ko 235 hsiian-nii 242, 244 Hsiian-ti, character of 274; tomb of 279, 284 Hsiian-yiian, battle with Ch'ih-yu 236f Hsiin-tzu 16, 98, 145, 194 Hsiin Yiieh 23 hau kai 245 Huai-nan-tzu 15, 20, 128, 133, 137, 139, 162, 163, 169, 185, 194, 209, 210; and astronomy 224; and 'Yiieh ling' 233f, 228f Huan, Duke of Ch'i 295 Huan T'an 21, 146 Huang, Mr 86 huang ch'ang 14, 32 Huang Ching 168 Huang Ch'iung 254 Huang Hui 147 Huang--Lao school 6, 89, 125, 127f, 140 Huang Pa 270 Huang-tz• 90, 98 Huang tih (Yellow Emperor) 18, 19, 77, 92, 128, 169; and immortality 129; (Yellow Lord) 89 HulI!lg-ti hsiian-nii chan fa 244 Huang-ti nei ching 32 Huang-ti ssu hsii ching 117 Hui-ti, tomb of 279 Hui Tung 159 Hulsewe, A 25, 26, 29, 194, 216, 236, 248 human nature 109 Hummel, A 37 Hung Kung 269 hungry ghosts 235 Huns 28 Huo Ch'ii-ping 29 Huo family 270; Hsien 268; Kuang 23, 104, 106, 186, 268, 270 hybrid forms 38f, 241

i 1 280 I ching 15, 66, 80, 116, 136, 143, 294; see Chou i I Feng 87, 203, 204, 209, 211, 287 'I hsing hsii Jun' 264 1-li 165, 177, 178

347

I-nan JO, 33, 53 I shih feng-chiao 204 I-wei t'ung-kua yen 196 iconography 11 illness, in divination 221; of emperor 287, 292 illustrations, in manuscript 192 immortality 19, 49, 129 imperial cults 251; decrees 24; extravagance 256--7; heir 58; seal 105t; shrines 267f; sovereignty 85f, 121f; tombs 267f, 275f incidents, of divination, prediction 184, 205f infant emperors 86f, 99, 101, 104f, 122, 250, 260 injustice 253 inscriptions, oracular 37 instruments, mantic 113, 119; see k'an-yii integrity, of officials 259 intellectual developments 20 intercalary month 218 iron foundries 27 jade seal 27 6 Jao Tsung-i 216, 234 Japan 30; almanacs in 226; divination in 189; and rites for rain l 49f Japanese scholars 4 Jen Wen-kung 205 Jesuit scholars I, 36 Jih hsiang 116 jih shu see almanacs Johnson, W. S. 11 joint action, by memorialists 286 journals, technical 10 journeys, days for 218, 221 ju' llO ju chia 132 Ju Shun 281 Juan Yiian 12 Jugel, U. 28 Julius Caesar 69 Junior Sinologues 12 justice 254 K'ai-ming 52 Kamada Shigeo 28 Kan', the astronomer 65 Kan-ch'iian 114 'Kan-ch'iian fu' 114, 117, 118 Kan Chung-k'o 91 Kan Yen-shou 290 kan-ying 20, 127 k'an-yii 18, 112f, 192, 209 K'an-yil chin k'uei 115 K'an-yil li 117 K'an-yil shu 115 K'ang-chii 123 K'ang Yu-wei 36

348

Index

Kao-ti, second shrine 283; shrine 281; tomb of 279 Kao Yu 181 Karlgren, B. 11, 15, 194 Kato Shigeshi 27 Keng Shou-ch'ang 269 kingship, nature of 59 kinship 284 Knechtges, D. 15, 114 Kominami, lchir6 35 Korean folktale 154, 157 Kou Ch'en 114, 117 Kou Ch'ien 171 Korea 30 Kramers, R. 15 ku 185 Ku Liang chuan 270, 288, 295, 298 Ku shih pien 4 ku wen 252, 265, 298, 299 Ku Yung 75, 82 kuan 128 Kuan-tzu 194, 243 Kuan yiin chang 199 Kuang-wu-ti, and choice of element 57, 59; faults of 266 Kuang-yang kingdom 33 K'uang Heng 23, 91, 100, 138, 203, 251; and shrines 272, 291f kuei" 39 Kuei-tsang 166, 244 Kuhn, D. 32 Kun49 K'un-lun 19, 52 Kung-che ti-hsing 115 Kung Kung 152 Kung-sun Ch'en 56, 57, 94 Kung-sun Hung 122, 134 Kung-sun Shu 57, 59, 83, 92, 94, 109 Kung yang chuan 270 Kung Yii 203, 271, 272, 287, 296 K'ung Hsi 173 K'ung Kuang 294 'Kuo Ch'in' 131 Kuo P'u 144 Kuroda Genji 194 Kusuyama Haruki 13 lacquer 34 land-tenure 26, 27, 123 Lang I 147-8, 204, 259 Lang Tsung 206 Lao Kan 5, 27 Lao Tzu 129, 130, 171 Lao-tzu 6, 20 Lau, D.C. 20 Laufer, B. 7 leadership, qualities of 97 left, priority of 278

Index legal documents 26 'Legalism' 16 Legge, J. 2 legitimacy, of rule 55 Ii" 252, 263; compendia of 160f; written 297 Li Chi 7 Li-chi 165, J70f, 183--4, 295, 296; 'Yueh ling' 228 Li Ch'i 189 Li Chien-nung 27 Li Ch'un-feng 197, 201 Li Ku 259, 265 Li Kuang-Ii 186 Ii shu 65, 217 Li Ssu 236 Li Yiin 255 Liang Chi 255, 258 Liang' family 197, 250, 254, 265; fall of 254, 258; villa of 258 Liang Na 187 Liang Shang 187 Liang-ch'iu Ho 197 Liao-,f'u 206 Liao-tung 287 Library of Congress 5 Lien-shan 166 ling Jeng 245 Ling-t'ai pi yiian 201 literature 14, 15; classification of 252 litigation 26 Liu Ch'ang 188 Liu Chao 74, 75, 159 Liu ch'ing Jeng chia 204, 209 Liu Chub 258 Liu Ho 87, 99f, 107, 185, 270, 280 Liu Hsiang• 14, 16, 37, 57, 61, 75, 79, 82, 163, 252, 269 Liu Hsin' 101 Liu Hsinb 14, 16, 57, 59, 75, 146, 252, 293, 295, 297; suicide of 188 Liu Hsin-fang 235 Liu Hsing• 100, 294 liu hsingb 169 liu-huang 169 liu i 134 Liu Pang, destiny of 195, 211; and serpent 57; worship of Ch'ih-yu 246 Liu Ping-i 185 Liu T'ao 265 Liu t'ao 225 liu /sung 108 Liu Wan 188 Liu Yingb 258 Lo Chen-yii 4 Lo-Jang 4 Lodges, the Twenty-eight 223, 235 longevity, of turtle 165 Lou Ching 90

Lo-yang, northern palace 256; as symbol 251 Lu Chia 125, 129f, 134, 137, 140, 252 Lu-chiang 163 Lu Gwei-Djen 32 Lii", Empress, family 22, 87, 90, 93f, 104, 132, 138; empress' seal 276 Lii Pu-wei 98 Lii shih ch'un-ch'iu 56, 60, 77, 93, 95, 125, 136-8, 184, 193, 194, 209--11; and 'Yiieh ling' 228, 229 Lun-heng 15, 21, 116, 162, 163, 181, 247 Lun-yii see Analects Lung-shan 7 Lung wang 149 Lung-yii ho t'u 242 Ma, Dowager Empress 257; family 250 Ma Heng 34 Ma Jung 252, 265 Ma Tuan-,lin.74,- ·- , ·.·· ';:Ma':Wilng-tui 6, 9, u, 14, 32, 33, 46, 48, 49, 'L 61, 192, 198" 230 NraY'iial1 29 Major, J. 35, 210 majority, rite of 178 Man Ch'ang 294 Man-ch'eng 8, 9, 33, 35 Man-yen monster 235, 238 mandate, for rule 55f, 88, 109, 121, 136 Mansvelt Beck, B. 16 manuscripts, value of 4, 15, 37, 6lf maps 7, 33, 61, 118 Maspero, H. 4, 11, 31, 230 mathematics 32, 168 McMullen, D. 11 medical care, science 32, 61, 165, 166, 168 Mencius 110, 263 Meng K'ang, 79, 118, 204 Meng-tzu 88, 89 metal, as patron element 94, 126 metallurgy 32, 241 miao 280, 282 military fortunes 67, 77, 193, 207, 230 Ming-ti, character of 256 ming wang 176 minting of coin 26 Mithradates 69 Mo Ti 20, 130 Mo-tsui-tzu 118, 229 modernist statesmen 256 monopolies 26, 274 moral qualities, of emperor 97f Mori Shikazo 5 Morohashi Tetsuji 11, 113 Morris, C. 11 mountains, ascent of 231 mourning, degrees of 292

349

mub 294 Mu jen chan 230 music, musicians 165, 257; complement of 274; of Cheng, Wei 237; notes 203, 211; performances 236 mutilation, as punishment 25 mythical drama 248 mythology 18, 35, 38f, 65, 125, 142, 192, 193, 235

Nagasaki 157 Nagata Hidemasa 5 Nan Ch'i shu 238 Nan Huai-chin 119 Nan-yang 34, 240 Nan Yueh kingdom 33 nature, world of 133 Needham, J. 11, 31, 32 Neo-Confucian thought 194 neolithic art 38 nien hao 96, 159 Nine Distinctions, of Wang Mang 96; Mountains 210 Nishijima Sadao 27 non-Chinese peoples 28 north, tradition of 38 Nii Kua 169 Nii-pa 247 numinous powers, of turtles 163 Oba Osamu 5, 24 observatory, in Lo-yang 195, 205 occult arts see shu shu offerings, in rain rite 152; at shrines 285 officials, in divination 165; hierarchies of 165; need of 133; position of 261; recruitment of 133, 141, 272 omens 136, 138, 141 oppression, by officials 253-4, 272 oracles 18, of clouds and winds 19lf orders of honour 25, 28 Ordinances 24, 25; of Heaven 108 orthodoxy 259 Ou-yang Hsiu 111, 263 Ou-yang Ti-yii 288 ox-heads, as totem 31 Pa', daughter of Huang-ti 242 Pa-yii dancers 236, 238 painting, of dragon 150 pairs, of creatures 51 palaeography 13 Pan Ch'ao 29 Pan Piao 21, 87, 103, 108f, 138, 251, 297 pang, use of character 65 Pao chang shih 115, 196, 205 Pao-p'u-tzu 232 parade of imperial robes 281, 291

350

Index

patrilinear succession 97f patrols, military 29 patron-dient links 24 payment, of officials 26 Pazyryk 46 peachwood 221 Pei shih 246 P'ei Wen-chung 7 P'eng Hsiian 294 P'eng-lai 19, 251 philosophical texts 61 physiognomy, divination by 233 pi-lei 114 Pi Yiian 276 pien tien 280, 282 p'ien 216 Ping Chi 185 P'ing Tang 293 P'ing Yen 297 Pirazzoli-t'Serstevens, M. 33 pitch-pipes 204 planets 65, 72, 76 Po-hu-t'ung 209, 210 Pokora, T. 21 political theory, 85, 108; texts of 61 poll-tax 271 pollution 181 population 27, 28 Porkert, M. 32 portents 94f pottery 34 Powers, M. 34 prayers, for rain 152 predictions, ad rem 193 prices, stabilisation of 274 privileges, of officials 258 probation, for service 259 Protector General 29, 36 protest, in Later Han 263 proto-paper 7 provincial shrines 285 Pu Ch'ien-ch'iu 50 public service 258 Pulleyblank, E. 11 punishments 25, 254, 258 purificati,on, of palace 106 purity, primaeval 169 Queen Mother of the West 19, 49, 50, 169, 244 questions, for divination 175 radio-carbon tests 8 rain, prayers for 142f; prevention of 155f; rites for 123 ransom from punishment 272 reason, and faith 135, 142 rebellion 250

Index rebukes, of throne 255 recruitment, of officials 24, 258 re-dedication, of Han 91, 96 reduction, of expenditure 271 reformist attitude 203, 273; statesmen 256 refusal, to serve in office 259 regnal titles 96, 159 reluctance, to reign 103 remonstrances, to throne 132 rewards, for service 25 right, priority of 278 rituals, for rain 142 rivalry, of monarchs 241 Rudolph, R. 34 Russian scholars 7 sacred instrument 93, 105f sacrifices, days for 233 San-Ju huang-t'u 276 San kung titles 29 3 Sang Hung-yang 23 Schafer, E. 74 scholarly exchanges 10 schooling, of imperial family 259; time for 231 science 31, 61, 66 self sacrifice, of king, shaman 149 services, at shrines 282 Seven kings, revolt of 22 sexual intercourse 155, ban on 231 shamans 40, 42, 45, 165, 174, 176, 189, 209, 233; exposure of 149, 152; prayers of 152 shan 295 Shan-hai ching 35, 40f, 143, 144, 163, 242--6 Shan-tung, tombs 33, 34 Shang fang 34 Shang shu see Shu ching Shang ti 39 Shang Yang 20, 25, 133, 141 Shang-Yin kings, kingdom 7, 56 Shao-kou 9 Shao Weng 196 Shchutskii, I. 20 shells, in divination 160f shen' 39, 41, 116, 146, 162, 163 Shen-chi chih ti T'ai-po yin ching 208 shen clz'i 93, 105f Shen Ch'in-han 238, 283 Shen Kua 245 Shen Nung 150, 247 Shen Pu-hai 133 shih' 112, 118, 119 Shih•, the astronomer 65 Shih-chai shan 10, 33 Shih ch'an 248 Shih-chi 3, 16, 37; on divination 161, 170, 188, 210 Shih ching 91, 92, 100, 130, 136, 170, 183,

203, 207, 269, 271, 272, 273, 294, 295 Shih Chun 247 Shih Hsien 269 Shih Kao 269, 270, 272 Shih pen 243 Shih Tai-chung 183 Shih Tanh 294 Shih-t'an Ying 117 Shih-tsung, as title 293, 295 Shih-tsung miao 284 Shih tzu 243 shrines, destruction of 277, 285; imperial 101, 107, 267f; in Later Han 297; limitation of 285; offerings at 285; position of 281; provincial 122, 285 Shu ching 89, 92, 130, 136, 172, 207, 247, 293 Shu Chiin 242 Shu-i chi 241, 243, 245 Shu-kuo 30 shu shu 18, l l 4f, 259 Shu-sun T'ung 125, 129, 134, 278, 283 Shuang-ku-tui 119 Shui ching chu 276 Shui-hu-ti 6, 26, 118; almanacs from 214f; excavation at 215 Shun 92, 103 Shun-ti, desecration of tomb 250, 263 Shuo wen 25 Shuo yiian 75 signals' code 29 silk 30, 32; manuscripts on 6, 7; manuscript of Ch'u 42f; in rain ritual 146, 156 Sivin, N. 31, 61 six directions 203; emotions 203 slaves, official 271 snakes, as totems 31; cum tortoise 50 social norms 108 sociology 13 Son of Heaven 136; divination by 165 Songs, Book of see Shih ching south, tradition of 38 sovereignty 20, 55f spiritual improvement 233 Ssu-ch'uan, tombs 33, 34 Ssu hsii ching 118 Ssu hsii k'an-yii 117, 118 'Ssu hsiian fu' 174, 265 Ssu-ma Chen 158 Ssu-ma Chi-chu 170, 171, 179 Ssu-ma Ch'ien 16, 57, 209, 297 Ssu-ma Hsiang-ju 15, 75 Ssu-ma Kuang 111, 120 Ssu min yiieh ling 228f stalks, in divination 160f; manipulation of 181 Standard Histories 14, 16, 18, 21, 24 standardisation 50, 142, 201, 228

351

stars 62, 113 state cults 60 Statutes 24, 25 Stein, Sir M. 4 Steps of Yii 148 stone, auspicious 97, 224 stone classics 34 Stone Conduit Chamber, discussions 273 straw, figures of 145 Su Ch'in 133 Su Ching 78 Su Po-e 196 Su Yii 134 succession, imperial 97f, 121; of kings 278 Sui shu 197, 198 suicide, of Empress, Heir Apparent 22 Sung Chung 170 Sung Chiin 77 Swann, N. 26 symbols, of the sacred 35; of dynastic power 55[ sympathetic magic 142, 146, 155, 157 ta i-t'ung 135 Ta-pao-t'ai 14, 33 Ta Tai Ii-chi 162, 227 Ta yen hsiian chi 116 tablet, ancestral 277, 290 tabulation, on strips 218 Tai Yang 207 T'ai, Mount 212, 237 T'ai-ch'ang 166 T'ai-ch'u 140, 237 T' ai hsiian ching 15 T'ai-hsiieh see Academy T'ai i 19, 114 T'ai i chiu kung chan p 'an 119 T'ai-p'ing 264 T'ai p'ing ching 19, 22 T'ai-p 'ing yii-/an 207 T'ai-pu 166, 167 T'ai-shih ling 167, 232 T'ai-tsu, as title 277, 289, 295 T'ai-tsu miao 284 T'ai-tsung, as title 290, 295 T'ai-tsung miao 284 T'ai-yin 114, 117 Takamatsuzuka 66 talismans 49 Taklamakan Desert 29 Tan-erh 271 tang ku 266 T'ang 86 T'ang K'ai-yilan chan ching 201 T'ang Wen-k'uan 235 Tao 127, 128 'Taoism' 16; as religion 129, 252; sects 19 Tao-yii tsa chi 148

352

Index

taxation 26; in kind 271 technology 31 Ten stems 218, 234 Teng, Dowager empress 259; family 250, 264

textiles 32 textual history 14 thermoluminescence 8 ti"', 39; the five 19 ti' 289, 292 'Ti hsia i' 297 ti tao 118 Ti-wu Lun 188, 206, 253 Tien, king of 31 Tien 19f, 39, 57, 122f, 136 T'ien Jung 186 T'ien ming 20, 136, 138, 272 t'ien tao 118 T'ien-wen chan yiin ch'i t'u 200 T'ien-wen ch'i-hsiang tsa chan 230 time, calculation of 234; choice of 112f, 214 Ting• family 293 Tjan Tjoe Som 15 tombs, imperial 267f Topsell, E. 154 totems 31 Tou, Dowager Express 123, 127-8; family 250, 264 transformation, of living creatures 49, 228 trees, ban on felling 230; of shamans 45 tribal ancestry 40 Trigrams, the eight 210, 211 tripods, discovery of 138 Trois freres cave 46 Tsai i chan 230 Ts'ai Yung 197, 201, 204, 208, 227, 252, 282, 297 Tsang Min 212 Ts'ao P'i 21, 85, 88 Ts'ao shih yin-yang shu 230 Ts'ao Ts'ao 266 Ts'en P'eng 186 Tseng hsien-t'ung 216, 234 Tso chuan 15, 59, 89, 143, 144, 193, 288, 295, 298 Tso Hsien 294 Tso Hsiung 258 tsu, in titles 294 f Ts'ui Shih 23, 229, 230, 265 /sung, in titles 294f ts'ung-ch'en 114 T'u po 46 t'u ssu 164 Tuan I 206 Tun-huang 4f, 25; calendars from 225; paper document from 198; strips from 229, 230 Tung Chung-shu 16, 20, 36, 57, 75, 91, 92, 95, 108, 121f, 203, 208, 252, 266; as critic

Index of Ch'in 139; memorials of 122; and prayers for rain 142f, 151f; on shrines 287; as syncretist 134; on T'ien ming 138; on Wu-ti's policies 297; on Yin-Yang 137 Tung Han hui-yao 16 Tung Tso-pin 7, 31 T'ung-chih 211 turtles, age of 163; shells 162, 192; size 180; three-legged 163; wisdom of 162; from Yangtse region 163 Twelve, Branches 204, 208, 218, 234; pitch-pipes 204 Twitchett, D. 11, 12 Tzu-chih t'ung-chien 16 Tz'u-shih 254, 294 Unschuld, P. 32 Ursa major 212 Utsunomiya Kiyoyoshi 27 van der Loon, P. 11 vapours, shapes of 62 vendetta 250 'Victory of Confucianism' 17, 57, 86, 267 vital energy see eh 't• von Zach, E. 15 Wagner, D. 32 Waley, A. 3, 15 wangb, self-styled 136 Wangb family 293 Wang Ching 173 Wang Ch'un 207 Wang Ch'ung 21, 36, 49, 95, 108, 110; on auspicious days 116, 117; on chien-ch 'u 225; circumstances of his life 225; on divination, 173f; onfeng-chia0208; on rite for rain 147 Z. 3~. Wang Feng 290 Wang Fu 23, 108f, 117, 174; circumstances of his life 233 Wang Hsien-ch'ien 3, 238 Wang K'uang 188 Wang Kuo-wei 4 Wang Lang 188 Wang Ling 31 Wang Mang 17, 2lf, 27; accession of 91, 101; and choice of element 57, 58; daughter of 186; as interloper 104, 127, 249; and shrines 296 Wang ming fun 109 Wang Pi 61 Wang Po-jung 264 Wang shan 50, 53 Wang Shu-min 16 Wang Shun 294, 297 Wang Su 78 Wang Tsao 206

Wang Yin 295 Wang Yin-chih 113 Wang Yii-ch'uan 23 warnings, of heaven 203 water, as patron element 55f, 93, 126 Watson, B. 16 wealth, disparity of 123 Wd dynasty, kingdom 88, 93, 102 Wei Ao 92, 109 Wei Ch'ing 29 Wei Hsien• 273 Wei Hsienb 202, 205 Wei Hsuan-ch'eng 272, 288f, 291 Wei Huan 260 Wei Hung• 158 Wei shu 117, 118 welfare, of needy 231 Wen Fong 34 Wen hsiian 15 Wen-ti 22; character of 268, 290; reputation of 268; tomb of 268, 279; thrift of 257, 268 Wen-tsu miao 281 Wen Ying 73, 238 western sinology 2f Wilbur, C. 28 Wilhelm, H. 20 winds, as oracles 67, 80, 191f, 201f womenfolk, influence at court 255, 257, 272 wood, as patron element 126 wood, manuscripts on 6, 7; use of 216 Wright, A. 12 wu hsing 35, 91, 93f, 109, 113, 114, 152, 169; spread of theory 251; and strategy 244 Wu hsing chan 230 Wu Hung 34, 279 Wu K'ang 207 Wu Liang shrines 7, 34 Wu-sun 269 Wu-ti praise of 295; reputation of 297f; tomb of 279; wedding day 186, 221 Wu-wei 6 Yang Chen 188, 264 Yang Hsiung 21, 75, 114, 119, 197 Yang Lien-sheng 27, 28 Yang-shao 7 Yang Shu-ta 16, 28 Yangtse Valley 30, 31, 35, 39, 65 Yao' 59, 103, 109 Yao Chen-tsung 226

353

yarrow stalks 160, 192; disposal of 180; number of 164 year, fortune for 196 Yeh-Jang 123 Yellow emperor 56; see Huang-tib Yell ow River 27, 28, 290 Yellow Turbans 22, 251, 252, 266 Yenc family 250 Yenb, king of95, 99, 227; kingdom 33 Yen Chiin-p'ing 172 Yen Keng-wang 24 Yen P'eng-tsu 288 Yen Shih-ku 118, 237 Yen-ti 59, 247 Yen-t'ieh fun 12, 14, 141, 162, 172, 196, 232, 243, 297 yin chi 289 Yin-ch'iieh shan 6, 201, 230 Yin Chung 290 Yin Hsien 227 Yin Keng-shih 288, 290 Yin Shao 117 yin ssu 188 Yin-Yang 20, 35, 127, 130, 135, 137, 146, 152, 155, 156, 169, 170, 176, 203 Ying-ch'eng-tzu 4 Ying lung 144, 242, 246 Ying Shao 3, 60, 106, 238 Y oshinami Takashi 149 yu i kuan 283 Yung' 58 Yung Chih 188 Yu•, The Great 49, 144 yu-d 144-6 Yii Chi-ts'ai 201 Yii Hsu 254 Yii-lung 238 Yiipu 148 Yii Ting-kuo 270f Yiian-ho chiin-hsien chih 276 Yiian K'o 10, 35 Yiian Ku 86 Yiian miao 281 Yiian-ti, advisers of 268f; character of 274 Yiieh, religion of 189 Yiieh-chiieh shu 225 'Yiieh ling' 163, 184, 223, 228f yiin-ch'i 193, 196 yiin-wu 193 Zurcher, E. 11, 19

25 UNIVERSITY OF CAMBRIDGE ORIENTAL PUBLICATIONS PUBLISHED FOR THE FACULTY OF ORIENTAL STUDIES

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Averroes' commentary on Plato's Republic, edited and translated by E. I. J. Rosenthal FitzGerald's 'Salaman and Absal', edited by A. J. Arberry /hara Saikaku: the Japanese family storehouse, translated and edited by G. W. Sargent . The Avestan Hymn to Mithra, edited and translated by Ilya Gershev1tch The Fu$iil al-Madan! of al-Fiiriibi, edited and translated by D. M. Dunlop (out of print) Dun Karm, Poet of Malta, texts chosen and translated by A. J. Ar berry; introduction, notes and glossary by P. Grech The political writings of Ogyii Sarai, by J. R. McEwan . Financial administration under the T'ang Dynasty, by D. C. Tw1tchett Neolithic cattle-keepers of South India: a study of the Deccan Ashmounds, by F. R. Allchin The Japanese enlightenment: a study of writings of Fukuzawa Yukichi, by Carmen Blacker Records of Han administration. Vol. I Historical assessment, by M. Loewe Records of Han administration. Vol. 11 Documents, by M. Loewe The language of Jndrajit of Orchii: a study of early Braj Bhii$ii prose, by R. S. McGregor Japan's first general election, 1890, by R.H. P. Mason A collection of tales from Uji: a study and translation of'Uji Shiii M onogatari', by D.E. Mills Studia Sr.>mitica, Vol. I Jewish themes, by E. I. J. Rosenthal Studia Semitica, Vol. II Islamic themes, by. E. I. J. Rosenthal A Nestorian collection of Christological texts. Vol. I Syriac text, by Luise Abramowski and Alan E. Goodman A Nestorian collection of Christological texts. Vol. II Introduction, translation, . indexes, by Luise Abramowski and Alan E. Goodman . The Syriac version of the Pseudo-Nonnos mythological Schoba, by Sebastian Brock Water rights and irrigation practices in LaM, by A. M.A. Maktari The commentary of Rabbi David Kimf:zi on Psalms cxx-cl, edited and translated by Joshua Baker and Ernest W. Nicholson Ja/al al-din al-Suyufi. Vol. 1 Biography and background, by E. M. Sartain Ja/al al-din al-Suyiiff. Vol. 2 "Al-Tahadduth bini'mat alliih", Arabic text, by E. M. Sartain

Origen and the Jews: studies in Jewish-Christian relations in third-century Palestine, by N. R. M. de Lange 26 The 'Vfsa.ladevariisa': a restoration of the text, by John D. Smith 27 Shabbethai Sofer and his prayer-book, by Stefan C. Reif 28 Mori Ogai and the modernization of Japanese culture, by Richard John Bowring 29 The rebel lands: an investigation into the origins of early Mesopotamian mythology, by J. V. Kinnier Wilson 30 Saladin: the politics of the Holy War, by Malcolm C. Lyons and David Jackson 31 Khotanese Buddhist texts (revised edition), edited by H. W. Bailey 32 Interpreting the Hebrew Bible: essays in honour of E. I. J. Rosenthal, edited by J. A. Emerton and Stefan C. Reif 33 The traditional interpretation of the Apocalypse of St John in the Ethiopian Orthodox Church, by Roger W. Cowley 34 South Asian archaeology 1981: proceedings of the sixth international conference of South Asian archaeologists in Western Europe, edited by Bridget Allchin (with assistance from Raymond Allchin and Miriam Sidell) 35 God's conflict with the dragon and the sea: echoes of a Canaanite myth in the Old Testament, by John Day 36 Land and sovereignty in India: agrarian society and politics under the eighteenthcentury Maratha Svariijya, by Andre Wink 37 God's caliph: religious authority in the first centuries of Islam, by Patricia Crone and Martin Hinds 38 Ethiopian Biblical interpretation: a study in exegetical tradition and hermeneutics, by Roger W. Cowley 39 Monk and mason on the Tigris frontier: the early history of'[ur 'Abdin, by Andrew Palmer 40 Early Japanese books in Cambridge University Library: a catalogue of the Aston, Satow and Von Siebold collections, by Nozomu Hayashi and Peter Kornicki 41 Molech: a God of human sacrifice in the Old Testament, by John Day 42 Arabian Studies, edited by R. B. Serjeant and R. L. Bidwell 43 Naukar, Rajput and Sepoy: the ethnohistory of the military labour market in Hindustan, 1450-1850, by Dirk H.A. Kolff 44 The Epic of Pabiifi: a study, transcription and translation, by John D. Smith 45 Anti-Christian polemic in Early Islam: Abii 'lsii al-Warraq's 'Against the Trinity', by David Thomas 46 Devotional literature in South Asia: current research, 1985--8. Papers of the fourth conference on devotional literature in New Indo-Aryan Languages, edited by R. S. McGregor 47 Genizah research after ninety years: the case of Judaeo-Arabic. Papers read at the third congress of the Society for Judaeo-Arabic Studies, edited by Joshua Blau and Stefan C. Reif

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