Great Perfection: Religion and Ethnicity in a Chinese Millennial Kingdom 9780824840334

Table of contents :
Contents
Acknowledgments
Abbreviations
Introduction
PART I Ethnicity, Religion, and History
ONE Ethnicity and Identity
TWO Religion
THREE History
FOUR Sources of Cheng History
PART 2 Great Perfection: The Historical Record
Li Te
Li Liu
Li Xiang
Li Xiong
Li Ban
Li Qi
Li Shou
Li Shia
APPENDIX
Official Titles and Ranks Appearing in the Translation
Bibliography
Index

Citation preview

GREAT PERFECTION

Terry F. Kleeman

Great Perfection

RELIGION

AND

IN A

ETHNICITY

CHINESE

MILLENNIAL KINGDOM

UNIVERSITY OF HAWAl'l PRESS HONOLULU

© 1998 University of Hawai'i Press All rights reserved Printed in the United States of America 98

99

00

01

02

03

5 4 3 2 1

Library of Congress Cataloging-in-Publication Data Kleeman, Terry F., 1 9 5 5 Great Perfection = [Ta Ch' eng] : religion and ethnicity in a Chinese millennial kingdom / Terry F. Kleeman. p.

cm.

Parallel title in Chinese characters. Includes bibliographical references and index. ISBN 0 - 8 2 4 8 - 1 8 0 0 - 8 (alk. paper) 1 . China—History—Five Hu and the Sixteen kingdoms, 304-439. 2. Taoism—China.

3. Ethnicity—China.

DS748.45.K64 931'.04—dc2i

I. Title.

1998 97-25798 CIP

University of Hawai'i Press books are printed on acid-free paper and meet the guidelines for permanence and durability of the Council on Library Resources Jacket illustration: The image comes from a Western Zhou zheng-bell found in Ba Shu qingtongqi (1992). Designed by Cameron Poulter

Contents

Acknowledgments vii Abbreviations ix Introduction i PART ETHNICITY,

I

RELIGION,

AND

HISTORY

i . Ethnicity and Identity 1 1 2. Religion 61 3. History 87 4. Sources of Cheng History 108 PART GREAT THE

2

PERFECTION:

HISTORICAL

RECORD

LiTe 1 1 7 Li Liu 144 Li Xiang 149 LiXiong 1 5 1 Li Ban 1 8 1 Li Qi 1 8 5 LiShou 1 9 0 Li Shia 2.03 APPENDIX

Official Titles and Ranks Appearing in the Translation 2 1 1 Bibliography 2 1 7 Index 235

Acknowledgments

This book has been a long time in the making. I was first drawn to the Li family and the Cheng-Han state by comments in the classic article of the late Anna Seidel on Daoist messianism (1969-1970). At the University of British Columbia I wrote an M.A. thesis on the history and historiography of that state under the supervision of E. G. Pulleyblank. I profited at that time from extended discussions with Roberto Ong and from the patient advice and instruction of Chao Yeh Chia-ying, Leon Hurvitz, Dan Overmyer, and Ken-ichi Takashima. Des McMurchy was my computer maven and aided in the inputting. Leaving Vancouver, I devoted myself to the study of Daoism, first in Japan under Yasui Kozan, Makio Ryokai, Kusuyama Haruki, and Fukui Shigemasa, then at Berkeley under Michel Strickmann and Edward Schafer. During a year in Paris, I studied with Kristofer Schipper. These researches encouraged me to take up again the study of Cheng-Han with a clearer idea of the religious and intellectual milieu in which the state was founded. Moreover, new, annotated editions of the Record of the Land of Huayang by Ren Naiqiang and Liu Lin made possible a more exacting account of the history of the state at the same time that an explosion of research on Chinese historical ethnography shed much light on the ethnic background of the Lis. I began serious work on this book while teaching at the University of Pennsylvania, where I profited from the encouragement and advice of Victor Mair, Susan Naquin, and Nathan Sivin. Victor, Alan Berkowitz, and Stephen Bokenkamp all read the manuscript carefully and offered detailed suggestions for its improvement. Others offering valuable comments on some parts of the manuscript include Richard von Glahn, Li Fengmao, and Paul Katz. Any remaining errors are, of course, my own. During the course of this project I received financial and other support from the American Council of Learned Societies and the VLL

viii

ACKNOWLEDGMENTS

Institute of Literature and Philosophy of the Academia Sinica. Karl Kahler at the University of Pennsylvania and Zhou Yuan at the University of Minnesota were instrumental in securing primary and secondary sources necessary for this study. Finally, the editorial staff of the University of Hawai'i Press and David Goodrich of Birdtrack Press deserve much thanks for their professionalism and competence in putting out a complex and demanding book.

Abbreviations

HHS HHSJJ

HS HY

HYGZ

js jsjz

Liu REN

SGZ SJ SLGCQ

Hou Hanshu WMWi- By Fan Ye (398-445). Beijing: Zhonghua shuju, 1 9 7 1 . Hou Hanshu jijie ^kWM^MBy Fan Ye (398445). Ed. by Wang Xianqian Changsha, 192.3. Hanshu "/Hflr. By Ban Gu gf|l| (32-92). Beijing, Zhonghua shuju, 1962. Serial number of work in Daoist canon according to Weng Tu-chien. 1935. Combined Indices to the Authors and Titles of Books in Two Collections ofTaoist Literature. Harvard-Yenching Institute Sinological Index Series, no. 25. Beijing: Yenching University Press. Huayangguo zhi By Chang Qu (fl- 35°)Basic Sinological Series edn. Shanghai: Commercial Press, Jinshu i f H . By Fang Xuanling J f ^ l S (578-648). Beijing: Zhonghua shuju, 1974. Jinshu jiaozhu i f I t M i i - Ed. by Liu Chenggan and Wu Shijian ^ { i r l t . Taipei: Yiwen shuju reprint of Beijing, 1928. Huayangguo zhi jiaozhu^^^J^ifxiiBy Chang Qu. Ed. by Liu Lin Chengdu: Ba Shu shushe, 1984. Huayangguo zhi jiaobu tuzhu • By Chang Qu. Ed. by Ren Naiqiang f i J b ^ . Shanghai: Guji chubanshe, 1987. Sanguozhi By Chen Shou (233-297). Beijing: Zhonghua shuju, 1963. Shiji SELiB. By Sima Qian Beijing: Zhonghua shuju, 1962. Shiliu guo chunqiu ~ i ~ / \ B y Cui Hong S f i l (?ca. 525). Quoted in TPYL 123 and elsewhere. Reconstructed in Shiliu guo chunqiu jibu A S^f^HIM. By Tang Qiu 'iHrBJc. Basic Sinological Series edn. Beijing: Commercial Press, 1958. ix

X TPHYJ TPYL

ws ZZTJ

ABBREVIATIONS

Taiping huanyu ji i ; 2 ? 3 1 ^ 1 2 . By Yue Shi ^ (9301007). Taipei: Wenhai chubanshe, 1963. Taiping yulan ^ ^ ^ P K - Ed. by Li Fang et al. Beijing: Renmin wenxue chubanshe, 1959. Weishu H * . Ed. by Wei Shou j&Jfc (506-571). Beijing: Zhonghua shuju, 1973. Zizhi tongjian ^ t n M i i . By Sima Guang Beijing: Zhonghua shuju, 1956.

Introduction

Fragmentation, not unity, was the rule in ancient China. The early Zhou federation established around 1 0 5 0 B.C.E. had lost all but symbolic meaning after the fall of the Western Zhou in the early eighth century B.C.E. The Spring and Autumn period (722.-481 B.C.E.) was an unending series of battles as larger states swallowed up the smaller while new, powerful enemies were constantly appearing on the horizon. The Warring States ( 4 0 3 - 2 2 1 B.C.E.) was two centuries of near total war as vast, populous states devoted all of their resources to fielding huge armies that annihilated each other in mass battles resulting in hundreds of thousands of casualties. The victor, the state of Qin, maintained power for less than two decades before the empire again disintegrated into competing factions of feudal lords and newly risen peasant leaders. The Former Han empire that emerged from this confusion kept order through most of two centuries, though foreign threats by no means disappeared, but Wang Mang's usurpation in 8 C.E. led to major conflagrations among peasant rebels and local magnates. Latter Han rule was both shorter and more ephemeral. When all of China was convulsed by messianic uprisings in the 180s, warlords became dominant. Although they resolved into three major competing forces, unity was not regained until 280, only to be lost again in minority rebellions and civil war the following decade. Modern historians, looking back across the centuries of largely peaceful, united imperial rule in China, have tended to see the period treated in this book—the first half of the fourth century C.E.—as an era of exceptional strife and disorder. It was, to be sure, a turbulent period, yet to people of the day it was rather the two or three centuries of stable Han rule that was the exception, a golden age when imperial institutions actually functioned as designed. The Han constituted an ideal that charismatic religious movements tried to recreate again and again. The nascent Daoist religion was but one of these, a movement centered in Western China that offered a Celestial Master to

1

Z

INTRODUCTION

guide the w a y w a r d Han emperor back to the Han's cardinal virtues and through impending natural and human disasters to a future Utopia of Great Peace. When the Han empire proved unable to make use of their teachings, the Celestial Masters established an independent state that survived in the region around the headwaters of the Han River and Eastern Sichuan for some decades before submitting to the strongest warlord of the day. Although the state perished and its citizens scattered, the movement survived and spread throughout China, becoming the foundation of Daoism, China's indigenous higher religion. A powerful family from Eastern Sichuan surnamed Li was among the early followers of the Celestial Masters. They were transferred to the far northwest of China along with their entourage of some five hundred families but never lost sight of the Dao and their responsibilities as Daoists. When large-scale warfare followed by famine and epidemic disturbed them in their new home, they led their followers and other refugees, a group eventually numbering more than t w o hundred thousand individuals, back east, through the site of the old Celestial-Master state and south into the Chengdu plain. They were far from welcome. The entrenched elites of Sichuan sought directly and through their governmental representatives to have them forcibly returned to the devastated Northwest. Having endured the hardships of a mass migration once, they strove mightily to avoid this fate. The Li family and the other refugees found allies. The Daoist faith was still a vital force in the region, and it recommended them to others in the faith. Long-lived Fan, a Daoist recluse heading a community on a sacred mountain near Chengdu, was one; he supplied the refugees with grain at a strategic point during a famine. Moreover, the Li family name, with its connections to Laozi, was the subject of prophesy and messianic speculation. Ethnic ties were also important, for the Li family was not Chinese. It belonged to a branch of the Ba people, the indigenous inhabitants of Eastern Sichuan. M a n y Ba had followed the Lis to the Daoist community in Hanzhong, then out to the Northwest and back again amongst the refugees. M a n y others had remained in the Sichuan region and now provided support for their returning kinsmen. Caught between the government and hostile local elites on one side and the death and devastation of a return to the Northwest on the other, the Li family opted for political independence and the chance to realize its Utopian dreams. In 302, Li Te inaugurated the

INTRODUCTION

3

state of Perfection, Cheng Te died in battle, but his son, Li Xiong, was able to establish a stable state, making Long-lived Fan his Chancellor and spiritual guide. In spite of constant threats of warfare and invasion, he maintained rule over an extended area and a large population for three decades. There he put into practice Daoist doctrine, simplifying the legal code, regulating the marketplace, living frugally, and refraining from ostentatious display. After Xiong's death in 334, his nephews, sons, and cousins vied for the succession. The next thirteen years saw four rulers take the throne, the longest for five years, and the policies of Li Te and Li Xiong were largely abandoned. Even the name of the state was changed to Han */H- Meanwhile the Eastern Jin empire was consolidating its power; in 347 it was able to crush the last independent forces and reincorporate the region under Chinese rule. A last attempt to reestablish the Utopian state of old under the son of Long-lived Fan was soon crushed. This book is an exploration of the state of Cheng-Han and its significance for the study of Chinese and world history. It treats first the ethnic identity of the leaders of the state, then their ties to the Daoist faith. Finally, it gives an overview of the development of the state in the context of fourth-century history. Ethnic identity is a contentious topic even today in China. China is 95 percent ethnic Chinese, 1 and all aspects of culture are dominated by the Chinese tradition. Yet subsumed within the state are many ethnic groups, some granted official recognition and a degree of protection for their native ways, some not. Historically speaking, Chinese ethnic identity has evolved continuously as numerous originally non-Chinese peoples came to identify with Chinese culture, 1 . Chinese nationalists have sought to assert an overarching Chinese identity that subsumes all the peoples within the political borders of modern China. In this parlance the Chinese are called " H a n " after the dynasty that ruled China f o r four centuries and established the imperial system that held sway f o r the next t w o millennia. I eschew this usage f o r four reasons: First, much of the time I will be talking about ethnic groups before the establishment of the H a n dynasty, at which point the term is nonsensical; many of these peoples had become Chinese by the H a n . Second, although the H a n w a s the focal point of identity f o r most northern Chinese in late imperial China, the south, which w a s nonChinese during the H a n , looked instead to the Tang ( 6 1 8 - 9 0 6 ) and still call their overseas communities "Streets of the Tang People." Third, this usage disenfranchises the many ethnic Chinese w h o live outside of modern China's borders yet have maintained Chinese ethnic identity. Fourth, the use of this term is invidious in that it denies to non-Chinese peoples within the People's Republic of China true, independent ethnic identity and has been used as a tool of their oppression.

4

INTRODUCTION

adopt Chinese names and language, and eventually lose all links with their original ethnic group, but at the same time these sinicizing peoples have enriched the Chinese tradition through the incorporation of their lore, customs, language, religion, and genes into Chinese identity. The Li family that ruled the state of Cheng-Han was non-Chinese. Its ancestors were Ba, a general term for the indigenous inhabitants of eastern Sichuan and southwestern Hubei. These peoples shared a common founding ancestor called Lord of the Granaries, worshiped a tiger totem, were adept at hunting but skilled in the use of boats, and were cohesive enough to maintain a state or confederation for several centuries. The Lis hailed from a subgroup of the Ba called the Banshun, or Board-shield Man-barbarians, who inhabited the upper to middle reaches of the Jialing and Q u rivers. The Banshun, who were renowned as fierce warriors and repeatedly served the Chinese state as mercenaries, were also known for martial songs and dances, which became a staple of the official repertoire. By the fourth century some of the Banshun were well along the road toward Chinese identity. The Lis are identified as non-Chinese by some of the contemporary inhabitants of Sichuan and by all later histories but seem in other respects indistinguishable from the Chinese with whom they interacted. They had Chinese names, spoke, read, and wrote Chinese, adopted Chinese governmental institutions, and had served in standard governmental positions. The first chapter of this book takes up this question of ethnicity, exploring the origins and development of the Ba people, their relations to the Chinese state, and the nature of their ethnic identity in the long-sinicized world of fourth-century Sichuan. The Li family members were also converts of long standing to Celestial Master Daoism. Daoism as a religion arose out of the intellectual and religious ferment at the end of the Han dynasty, combining a Utopian vision of an egalitarian society with pervasive fears of demonic attack and a strong sense of guilt over lapses in personal conduct. The entry of Buddhism at around this time also provided models for new ritual forms and practices. The movement that arose in Sichuan during the mid-second century c.E. evolved a distinctive social organization that linked followers into communities under religious officiants called Libationers, who maintained rosters of the community, administered communal centers where food was provided to the needy, officiated at rituals of prayer and penance where sins were confessed and illnesses healed, and ordained new members.

INTRODUCTION

5

The millenarian kingdom that the Celestial Masters prophesied was open to all the faithful, and they gained many adherents among the Banshun and other non-Chinese ethnic groups of the region. When, in the confusion of the last years of the Han, Zhang Lu was able to establish a Daoist state in the Hanzhong region northeast of Sichuan, huge numbers of church members flocked to him. After he surrendered to forces of the central government in 2 1 5 , these followers were scattered, with many moved to the far Northwest. Among these transferees was a large group of Banshun Man led by Li Hu, the grandfather of the founder of the Cheng state. When Li Te and his family returned to Sichuan, their religious identity was important in gaining support from coreligionists and informed the conduct of their government. The second chapter describes the origins and nature of Celestial Master Daoism, examines the relationship of the Li family to that faith, and considers the influence their faith had on the administration of their state. The first half of the fourth century was a key period in Chinese history. The ruling family of the Jin dynasty (265-420) had sought to turn back the clock by rejecting the highly centralized, bureaucratic government of the preceding Wei and reinstituting aristocratic feudalism. The result, once the first strong ruler had passed from the scene, was unending plotting and internecine warfare that squandered the resources and energy of the government and allowed large parts of the empire to separate. The first to break off was Sichuan, under the direction of the Li family, but it was soon followed by the Xiongnu state of Liu Yuan in the north, and eventually states of every nationality established kingdoms on Chinese soil in the period known to history as the Five Barbarians and Sixteen Kingdoms. In 3 1 6 the Jin capital was overrun and North China was lost to Chinese rule until the seventh century, the first example of a split between a Chinese dynasty in the South and a non-Chinese dynasty in the North, which was to recur in the Southern Song ( 1 1 2 7 - 1 2 8 0 ) . Although the Jin never reconquered the North, they were able to regroup and bring the Sichuan region back into the Chinese polity in 347. The third chapter places the history of the Cheng state within the context of historical developments across China, demonstrating the role that population movements, religious faith, and political intrigue had on the period. The translation that follows these three chapters is the foundation upon which these studies were constructed. It presents as complete

6

INTRODUCTION

as possible a record of the state of Cheng through the conflation of all surviving sources for the history of the state, taking as its base the "Illegitimate Annals" record of the state in the Book of Jin H flj, an early Tang compilation. This is supplemented primarily by information from the Record of the Land of Huayang a local history of the Sichuan region by Chang Q u that is often said to be China's first regional gazetteer. It is an invaluable source because Chang had been an official of the Cheng state and hence was an eyewitness to many of the events described, with access to original documents from the state. Moreover, the Record of the Land of Huayang contains an abridged version of another lost work by Chang, referred to as the Book of the Lis of Shu H ^ * or the Book of the Han t H ^ l r , which was the ultimate source for all other accounts of the state. All textual material derived from sources other than the Book of Jin is set off in italics and its source is indicated immediately following the close of the passage. The Book of Jin material has been selected as the base, despite the primacy of the Record of the Land of Huayang as a source, because the narrative in the Book of Jin is continuous (except for short recapitulations of the previous exploits of each new leader when he assumes control), whereas material in the Record of the Land of Huayang is split between two chronologically overlapping chapters, and because the Book of Jin, as one of the set of standard dynastic histories, is the best-known and most widely accepted account of the state. The Cheng empire was remote in time and far from the center of Chinese civilization, but it was neither small nor inconsequential. The state at its greatest extent stretched over eight hundred kilometers east to west and over nine hundred kilometers north to south. 2 In this time of large-scale population movements and limited tax registration, it is difficult to estimate population with any accuracy, but it surely numbered more than a million. 3 Cheng was thus a sizable 2. This is a rough estimate based upon the map in Tan Q i x i a n g 1 9 8 2 - 1 9 8 7 , 4 : 7 - 8 . Historical boundaries are difficult to determine because sources record geographical units in terms of administrative centers rather than the extent of the territory they effectively control. Further, especially in the south, state control extended only to the urban areas, with mountainous regions remaining under the control of indigenous people. Still there can be little doubt that the sphere of influence of the C h e n g state w a s extensive. 3. Chinese population records for this period are difficult to assess. T h e y reflect not the population of the area but the number of households or individuals appearing on the t a x rolls. T h u s neither clients of great families nor non-Chinese peoples are recorded accurately, and Sichuan w a s at the time an

INTRODUCTION

7

state by European standards and ruled for more than four decades, a respectable period in the tumult of the day. For most of that period the C h e n g - H a n state w a s an island of peace and prosperity in a perilous, rapidly changing landscape. This is the story of that state and its rulers.

area with large numbers of non-Chinese households at various stages of integration into Chinese society. In 1 4 0 c.E. the registered population was 4.7 million, but in the census of 2.80 only some eight hundred thousand are recorded. H Y G Z gives partial population figures, presumably for ca. 3 4 7 , considerably higher than those for 280, but with great variance from place to place. Guanghan commandery, for example, had six times as many households as in 280, whereas Qianwei doubled and Shu commandery is only one-third larger. During the course of Cheng history sizable groups both immigrated and emigrated. The region was certainly underpopulated relative to its Han period population, but could still field several large armies numbering in the tens of thousands simultaneously. See Li Shiping 1 9 8 7 : 4 7 , 59-65.

PART

I

Ethnicity, Religion, and History

ONE

Ethnicity and Identity The Li family, we are told, w a s of the Ba G ethnicity, belonging to the subgroups known as the Z o n g J f and the Banshun WMi or Boardshield Man-barbarians. The exact significance of these designations is a complex question, to be discussed at length below, but it is clear that the ethnic identity of the Lis and their followers w a s a key factor in determining their reception when entering Sichuan, the establishment and development of their state, their interaction with other peoples of west and southwest China, and their ultimate treatment by Chinese historians. The historical record of the Lis, in turn, is an important source of information concerning the historical development of their ethnic group and the state of other ethnicities of the area in the fourth century C.E. This chapter examines the ethnic identity of the Lis against the diverse ethnological canvas of the Sichuan basin and surrounding areas. It treats both the prehistory of Sichuan and the historical ethnography of all the peoples who interacted with the Lis. We begin with a discussion of the special problems confronting modern scholars seeking to deal with the historical ethnography of ancient China. IDENTITY AND HISTORICAL

ETHNOGRAPHY

There are a number of pitfalls involved in even broaching the subject of ethnicity in premodern China. The first involves the construction of the Chinese ethnic identity. Historical sources identify three successive political entities, the X i a , Shang, and Z h o u dynasties, as ruling consecutively over a territory comprising the ancient Chinese heartland (essentially the drainage basin of the Yellow River and its tributaries) and sharing a common culture that w a s distinctively Chinese. Modern historiography confirms the existence of the Shang and Z h o u much as they were recorded, but the X i a remains controversial, with

II

1 2 . PART I : E T H N I C I T Y , R E L I G I O N , A N D

HISTORY

Chinese scholars readily identifying pre-Shang remains as Xia while non-Chinese scholars have been more skeptical. 1 Moreover, there are significant cultural breaks between the Shang and the Zhou. The Shang seem to have originated in the east (i.e., lower Yellow River valley and surrounding areas) and are most closely linked to the Neolithic Longshan culture of that region, whereas the Zhou came from the Wei River valley of Shaanxi province (and before that central Shaanxi) and are more directly derived from the Yangshao culture of that area. 2 In fact, early sources characterize the Zhou as being of the Western Barbarians and Pulleyblank has argued cogently that they were originally Tibeto-Burmans closely related to the Qiang and Rong ethnicities.3 In any case, Shang and Zhou do seem to have shared a common language, as evidenced by the oracle bone and bronze inscriptions of the Shang, which were written in a language identifiable both syntactically and lexically as Chinese. 4 A common dialect has been a unifying feature of the Chinese world since at least the sixth century B.C.E., when Confucius advocated the use of a shared "elegant" pronunciation (ya f§), an ideological if not linguistic ancestor to Mandarin, when intoning canonical texts. Confucius also differentiated Chinese from their neighbors in matters of dress, s and about this time we find the terms Xia (same as the dynasty) and Hua Ijl ("flowery") used to designate the Chinese states.6 It is difficult, however, to 1. There has been an international conference on Xia civilization, but Allan has argued in a number of articles (collected in Allan 1 9 9 1 ) that much of Xia "history" can be seen as mythological reflexes of Shang history and legend. 2. These archaeological cultures cannot easily be equated with historical groups. The Yangshao culture, for example, extends from the central Yellow River valley all the way into Gansu and Qinghai provinces, where Ren Naiqiang ( 1 9 8 4 ) has linked it to the Qiang ethnic group. Similarly, although Longshan was in some sense ancestral to the Shang, it undoubtedly comprised some members who would later become Yi-barbarians of the East, especially around the lower Huai River area. 3. Pulleyblank 1 9 8 3 : 4 2 . 0 - 4 2 2 . Cf. Mencius 30/4B/1. 4. It is possible, however, that the Zhou adopted the (perhaps related) language of the then dominant culture of the Shang. The present study, filled with members of explicitly non-Chinese ethnic groups who read, write, and speak Chinese fluently, might be seen as support for such a hypothesis. 5. Analects 1 4 . 1 7 , Lau 1 9 7 9 : 1 2 6 - 1 2 7 . 6. In an entry dated 5 5 9 B . C . E . in the Zuozhuan (278/Xiang 1 4 / 1 ) , a Rong representative says, "We Rongs are different from the Hua in eat, drink, and dress." Hua can be plural, referring to the Chinese states (Zuozhuan 258/ Xiang 4/fu 1 ; 4 3 1 / Z h a o 30/4), and is found in collocation with Xia (Zuozhuan 3 1 3 / X i a n g 26/fu 6). Cf. Lin Huixiang 1 9 3 6 : 4 5 - 4 9 .

ETHNICITY

AND

IDENTITY

13

specify the boundaries of this group, nor can we be sure of the cultural, linguistic, or historical standards employed in defining it. A second major problem involves the terminology used for nonChinese peoples. Although Chinese identity may at first have been somewhat nebulously defined, the ancient Chinese seem to have encountered no difficulty in distinguishing those people who were not Chinese. There is a rich vocabulary of names for these non-Chinese people. A common organizational scheme was to array them according to the directions, with Yi ^ in the east, Rong in the west, Di in the north, and Man ® in the south. Unfortunately, this neat geographical layout was little more than an ideological construct; Prusek ( 1 9 7 1 ) has shown that Rong and Di, for example, lived in mountainous regions throughout what was nominally Chinese territory and non-Chinese of the far southwest were regularly referred to as Yi. 7 Although Chinese at times allied themselves and intermarried with these non-Chinese peoples, they perceived a great cultural gap separating them from Chinese society. The characters used for the names of non-Chinese ethnic groups often contain elements identifying them with animals or insects and they are said to have "shrikes' tongues." 8 The imprecision with which terms for non-Chinese peoples were employed is a major source of confusion in analyzing the ethnography of premodern China. The four directionally oriented terms for nonChinese were often applied on the basis of physical location with no regard to cultural, linguistic, or historical identity.9 Similarly, there was a tendency, especially evident in the comparatively late material of the fourth century, to take the name of the dominant minority in a region as a general term for non-Chinese, often prefixing some other character to distinguish different ethnic groups. We will see that just such a practice has resulted in a serious misunderstanding of the ethnic filiations of the Li family. 10 Further, we often 7. As, for example, in the "Arrayed Traditions on the Southwest Y i " of the Shiji (chapter 1 1 6 ) . 8. Mengzi yinde Z1/3A/4. Cf. Zuozhuan 258/Xiang 4/fu 1, "The Rong are birds and beasts." 9. It is difficult to know, for example, whether the various peoples styled " M a n " were truly thought to be related or merely shared a geographical location south of Central China. 1 0 . I refer here to the interpretation of the designation Ba Di E f i that assumes from this that the Lis were in fact Di. As Zhang Guanying (1957:70) has pointed out, "The area around Lueyang was originally occupied by Di; since Di were the non-Chinese people that the Chinese were accustomed to

14

PART I : E T H N I C I T Y , R E L I G I O N , A N D

HISTORY

do not know if a given term is derived from a native word in that people's vocabulary or is simply a conventional term applied to them by Chinese neighbors.11 When the name can be shown to be of indigenous, non-Chinese origin, it often provides persuasive evidence linking that people to a modern ethnic group. A third problem lies in the thoroughness and reliability of historical sources. Because of the varying fortunes of the Chinese state, it was not able to extend consistent political control into non-Chinese areas. For this reason, accounts of many peoples are episodic and lacking in continuity, detailed for periods when Chinese influence and interest in the region was high, but silent for long stretches when communication was interrupted or the attention of the state was focused elsewhere. There are accounts of the indigenous inhabitants of Yunnan, Guizhou, and the Sichuan periphery in the chapters devoted to the Southwest Barbarians in the Account of the Historian (Shiji) and Book of Han (Hanshu), but no description of peoples living closer to the Chinese center in Sichuan or Hubei. The Book of Latter Han (Hou Hanshu), compiled in the fifth century, treats these closer figures, including the Ba people, who are the primary subject of this study; the Book of Jin (Jinshu) and Springs and Autumns of the Sixteen Kingdoms (Shiliuguo chunqiu) include biographies for those who established their own states during the period of disunion. Some of the closer peoples occur occasionally in belles lettres, but this is rare for those on the periphery.12 The reliability of these accounts is also open to question. We know that Sima Qian, author of the Account of the Historian, traveled as far as Xichang in southwestern Sichuan, so some of his records of the peoples of the southwest are based on personal observation, but for most works, we must suppose that we are dealing with second- and third-hand accounts deriving from official reports written by government representatives with varying degrees of experience in the region and with various intended purposes. Because it was the policy through most of early imperial history to select for administrators in seeing, the term 'Di' came to be the general term used by the Chinese of the region for non-Chinese." Terms like Ba Yi E H , applied to the indigenous inhabitants of Langzhong, w o u l d seem to function similarly. 1 1 . Wang Ming-ke ( 1 9 9 2 , 1 9 9 4 b ) argues that during Shang times the term " Q i a n g " f t w a s just such an e x o n y m that w a s applied categorically to all nonChinese peoples to the west of them. 1 2 . One important source is the " R h a p s o d y on the Shu C a p i t a l " 1 5 Ü S ® by Z u o Si ¿ E S (ca. 2 5 0 - 3 0 5 ) . See Knechtges 1 9 8 2 : 3 4 1 - 3 7 2 .

ETHNICITY

AND

IDENTITY

15

border regions long-time inhabitants of the region, either Chinese immigrants or highly sinicized locals, we can hope that reports from such men were based upon extensive knowledge of the area, its history, and its ethnic composition, but they also had vested interests in the region that might skew their portrayal of local events or individuals. The Record of the Land of Huayang (Huayangguo zhi) of Chang Qu, an important source for the Sichuan and Guizhou area, is a good example of this. Chang was a native of the region and must have written from firsthand experience, but he was also an ethnic Chinese from an elite family with a tradition of Confucian scholarship and this to some degree colors his accounts. A fourth problem involves the nature of ethnic identity and the ongoing process of sinicization that continually expanded the bounds of Chinese ethnicity. An important characteristic of ethnic groups of this region was their living in close proximity to and in constant contact with other groups. Although one ethnic group might clearly dominate a given region, there were often other groups living in the area, some related, some of totally different strains. In Chinese such groups are normally described as "living intermixed" (zaju Although individual cases may differ, for most of these peoples we can assume regular interaction with members of other ethnic groups and the complex of cultural borrowing, accommodation, and assimilation that such sustained contacts engender. The influence of Chinese culture must be singled out of this ethnic congeries. As the dominant prestige culture of East Asia, its impact was greater and more widespread than that of any other ethnic group. To be sure, the Chinese also adopted local habits, and some of these may have made their way back to the center. Nor can the role of native peoples of the southwest as transmitters of Indie culture and material civilization be dismissed.14 Still, we must acknowledge that a knowledge of Chinese and of Chinese forms of government was essential for advancing one's wealth or status. This gave a great impetus

1 3 . A t least in some locales this must have meant a situation such as obtains now in parts of northern Thailand, where a Lisu village may have a L a h u village as its nearest neighbor on one side, a Chinese settlement on the other, and a Karen village just d o w n the road. In 1 9 8 1 I encountered just such a grouping and met on the road many A k h a w h o must have lived nearby. A Chinese trader married to a Lisu w o m a n ran the only store in the area, in the Lisu village. 1 4 . The role of the "second silk r o a d " through the southwest has been the object of much recent interest in Sichuan, but demonstrated examples of cultural diffusion through this route are still largely lacking.

16

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to sinicization, the conscious adoption of Chinese dress, speech, culture, and worldview. We will see that most of the non-Chinese we encounter in accounts of the Cheng-Han state are highly sinicized; they are not only trained in Chinese language but possess the extensive knowledge of Chinese history and literature necessary to run a Chinesestyle bureaucratic state. Absent other evidence, we cannot assume that, because they belong to a given ethnic group, they maintain the cultural traits of that group as recorded in our earliest sources. But we should also be prepared to find a great deal of internal variation, with non-Chinese from urban or densely settled rural areas speaking, acting, and dressing essentially the same as their Chinese neighbors and more remote elements of a people maintaining traditional social organization and culture. Finally, recent anthropological scholarship on the nature of ethnic identity and its relationship to historical memory raises very basic questions about the significance of both exonymic appellations used by other ethnic groups and autonymic terms based on the group's name for itself. In brief, this scholarship holds that historical memory itself is a shifting and adaptive entity that is being continually reshaped to fit the needs and circumstances of the moment. 15 Since the accounts in Chinese historical sources are more or less accurate transcriptions of the historical memory of the peoples involved, both Chinese and non-Chinese, we must understand that the historical situation and the events leading up to it, as they are presented in these accounts, are themselves narratives created for specific purposes rather than objective representations of historical reality. For example, the account of Taibo son of the Zhou King Taiwang, fleeing to the far southeast, adopting the local customs, and establishing the state of Wu, has long been accepted as historical fact and has shaped our understanding of the archaeological record of that region. More recently, Wang Ming-ke has argued that this tale is in fact a narrative created by the Zhou and Wu peoples at a much later date to establish and strengthen relations between the two peoples; it provided a type of Active kinship that was instrumental in bringing the inhabitants of the southeast into the Chinese ethnic group. 16 1 5 . See Wang Ming-ke 1 9 9 4 a and 1 9 9 4 b . A good presentation of the theoretical arguments concerning ethnic identity and collective memory is found in the essays collected in Keyes 1 9 8 1 . 1 6 . See Wang Ming-ke n.d. W a n g points out that tombs containing Z h o u style bronzes are treated as the product of a different culture from living sites in the same area, which show no sign of Z h o u influence.

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Thus in evaluating such accounts, we must always keep in mind what function they might have played during the period of their creation and currency. With the preceding caveats, let us now look at the ethnic composition of the areas under discussion. We will first treat the primary occupants of the Sichuan basin, the Ba and Shu, beginning with prehistory and our first historical records. PREHISTORY

The last two decades have seen a dramatic shift in our understanding of Chinese prehistory. Prompted by a series of startling archaeological discoveries, a highly sinocentric model of prehistory seeing the traditional homeland of the Chinese people in the Yellow River drainage basin and the North China plain as the dominant culture and the source of all cultural innovation has given way to a new understanding of the East Asian Neolithic as composed of a number of equally advanced, competing cultures spread throughout the region. Sichuan has shared in this réévaluation of prehistory. Sichuan was inhabited in Paleolithic times, but so far remains are insufficient to give us a clear picture of the culture(s) involved and their dating. 1 7 Similarly, the early Neolithic in Sichuan remains shrouded in mystery. For the late Neolithic period, however, we are fortunate to have the finds around modern Guanghan, specifically, the site known as Sanxingdui H M i f t . There a cultural sequence in four stages spanning fourteen hundred years, from roughly 2500 B.C.E. to 875 B.C.E., has revealed a flourishing culture that developed independently yet actively interacted with both the Central Plain cultures and those of the Middle and Lower Yangzi. 18 It is the latest stratum of this site that holds the most interest for us. It corresponds to the period from the end of the Shang dynasty through the first half of the Western Zhou (roughly eleventh through ninth centuries B.C.E.) and is best known for two hoards of sacrificed objects discovered in 198 6. 19 These reveal a highly developed 1 7 . The following discussion is based primarily upon Sage 1 9 9 2 , the first major treatment of early Sichuan in a Western language. See also Meng et al. 1989:14-18. 1 8 . In this I follow Meng et al. 1 9 8 9 : 1 6 rather than Sage, who distinguishes only three major stages. 1 9 . The sacrificial purposes of these objects is indicated by the broken and burned condition of many of the objects. See Sage 1 9 9 2 : 2 5 and the articles in Wenwu 1 9 8 7 . 1 0 .

l8

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civilization with an independent bronze industry capable of casting pieces of great size and intricate design, an advanced jade-working industry, as well as experience in materials as diverse as gold, bone, and ivory. The richness of the find indicates a highly stratified society with an ample agricultural surplus and a governmental apparatus sophisticated enough to extract it for use by a king or other ruling group. Particularly striking is a life-size crowned bronze figure, large bronze masks (one 1 3 4 centimeters wide and 70 centimeters from chin to brow), and numerous bronze heads, all in a distinctive style sporting non-Chinese dress and ornamentation. Gold and gold-leaf masks as well as a gold-encased scepter that may have functioned as a symbol of authority also stand out. There is evidence of Sanxingduitype goods as far away as Yichang, Hubei, to the east, Hanzhong to the northeast, and Yaan to the south, but we cannot assume that the state at this time actually extended so far. A set of sandstone rings of various sizes, some as heavy as sixty-three kilograms, have been identified as balance weights, suggesting extensive trading relations, as do bronze and ceramic vessels of central China typology. 20 N o true continuation of the Sanxingdui culture has as yet been found, but there is an increasing amount of archaeological evidence for the succeeding centuries, and much of it seems derivative of Sanxingdui. A large ritual mound in Chengdu may have had its origins in the late stages of the Sanxingdui site; its size suggests a welldeveloped state organization, but we have yet to find the assemblages of luxury goods indicative of an aristocratic ruling class. One intriguing continuity with later sites is a bowl or ladle with a handle in the shape of a hook-billed bird, which is found beginning in the second layer of Sanxingdui. This bird, which has been identified as a cormorant, is among the most common of a small number of designs found on weapons and vessels from Spring and Autumn and Warring States sites throughout the Sichuan region. Examples of these vessels have been found as far away as the Yichang region of Hubei. Various scholars have sought to link this bird to the name Yufu a mythical ruler of Shu, and through this name to a number of similarly named sites over a wide area centering on the Yangzi gorges. 21 2.0. M e n g et al. 1 9 8 9 : 1 7 . 2 1 . These sites include: Y u f u 'SAIL west of Changsha (Yi Zhoushu jixun jiaoshi Y u f u ft J® city near M i a n y a n g , Hubei (TPHYJ 1 4 4 : 1 1 a ) ; Y u f u Ford & near N a n x i , Sichuan (cited as Yu ft Ford in T P H Y J 7 9 : 5 a ) ; the Y u f u ft M i f o r m e r l y Yuyi ft g j , that is n o w Fengjie, Sichuan (HS 8 A / 1 6 0 3 ) ;

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The discoveries at Sanxingdui are recent and surprising. The assessment of this culture and its relation to other early centers is ongoing, as is the process of archaeological discovery in Sichuan. We can confidently assert that Sichuan was home to an advanced, independent culture at an early date, but the relationship of this civilization to the later historical inhabitants of the region remains a topic of contention and speculation. We turn now to these successor states. SHU

Historical sources for the Sichuan area divide it into two major regions, Shu l i j in the west along the Min River and extending across the Chengdu plain and Ba E in the east. Since Shu was traditionally centered on the Chengdu area, it seems the logical historical correlate of the Sanxingdui culture and its successors. As we shall see, the historical record of Shu is far from clear. Our earliest historical source for ancient China is the terse divinatory statements recorded on turtle plastrons and bovine scapula that have come to be called "oracle bone inscriptions" (jiaguwen ^ if* 3^0-22 Among these inscriptions is found a character variously written cf, $ that has by some been identified with Shu. 23 The graph would appear to be an animal, with a large eye (often standing by principle of synecdoche for the head) atop a sinuous curling body. The eye/head is sometimes topped by antennae or feelers, and the body in some cases is depicted with a number of hairs, or perhaps legs, projecting from both sides of the length of the body. Chen Mengjia interpreted the graph as xuan %J. 24 The character xun ^bJ, meaning the cyclical ten-day week, has a curving body that matches the graph in question, with a simple cross at the head; the " e y e " § element that replaces " s u n " 0 in the middle of the later graph is then interpreted as a semantic radical. There is a site in Shanxi province known to have been an early Zhou fief by this name (usually written xun and it is assumed that this is the place referred to in the oracle bone inscriptions as well. 25 This interpretation requires Y u f u Ford near Pengshan, Sichuan ( H H S 1 8 : 6 8 1 ) ; and others. See M e n g et al. 1 9 8 9 : 1 7 . 2 2 . For a general overview of oracle bones, their discovery early this century, and the process of their interpretation, see Keightley 1 9 7 9 . 2 3 . Relevant inscriptions are collected in Shima 1 9 7 1 : 1 0 6 . 3 - 4 . 2 4 . Chen Mengjia 1 9 5 6 : 2 7 3 . This identification is accepted by Z h o n g Bosheng 1 9 7 2 : 6 1 and J a o 1 9 5 9 : 1 8 9 . 2 5 . For references to this place on Western Z h o u bronzes, see Shaughnessy 1 9 9 1 : 6 , 79.

2.0 PART I :

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HISTORY

that the original oracle bone graph be interpreted as a radical-phonetic compound, with the eye element functioning as radical or signific and the body of the beast being phonetic, but the graph found on the oracle bones is almost certainly a pictograph. Among the inscriptions found on a horde of oracle bones unearthed at Zhouyuan, the predynastic Zhou capital, there are two occurrences of a character that has been identified as Shu. Written these characters are nearly identical to an "ancient orthography" form recorded in Shuowen, which defines Shu as "a silkworm within a musk mallow" (kuizhong can H ^ H ) and specifies that the insect chong ¿J is the signific, the eye represents the insect's head, and the rest of the character its body.26 It would seem, then, that the signific chong was added to the character after it had lost its obviously pictographic character. Thus the Zhouyuan oracle bone character and, through it, the earlier graphic form, can be confidently identified as shu. This does not, however, permit us to assume that the Shu mentioned in the oracle bones is in fact the Shu of the Chengdu plain or even a state ancestral to that Shu and located farther north, perhaps in the upper Han River valley. There was a Shu in Shandong (west of modern Taian) that was the site of an interstate meeting in 589 B . C . E . , and Shu Mountains in Shandong, Jiangsu, and Zhejiang provinces.27 The occurrence of the state in the Zhouyuan oracle bones, however, suggests that it was in the general vicinity of the Zhou, to the west of the Shang rather than far to the east. Examining the inscriptions themselves, we find that Shu was at least at times an ally of the Shang, reflected in Shang divinations about Shu's harvest28 that are thought to indicate a commonality of interest, in the absence of any record of hostile military action against Shu, and in the fact that Shu is never referred to as a fang J j , a term reserved for often-hostile states like Gui ^ in the north and Yi to the east. The Shang king once visited Shu and made divinations there.29 The extensive divinations preceding the trip suggest that it 26. Shuowen jiezi zhu 1 3 A / 3 5b. The Qing commentary of Duan Yucai notes that the Tang philologist Lu Deming's glosses to the Erya quotes Shuowen with mulberry (sang J g ) in place of musk mallow, but in spite of the frequent association of silkworms with mulberry trees, this seems an insufficient reason to emend the Shuowen. For the musk mallow, see Stuart 1 9 1 1 : 2 . 5 6 . 2 7 . Z a n g 1 9 3 6 : 1 0 5 9 . 4 - 1 0 6 0 . 1 ; Chunqiu

jingzhuan

yinde

226/Cheng 2 / 9 -

10. 28. Dong Zuobin, 5 2 8 0 , 6 4 2 2 ; G u o R u o y u et al. 1 9 5 5 : 2 4 8 . 29. Chalfont and Britton 1 9 3 5 : 9 9 3 ; 9 8 1 . The Z h o u y u a n inscriptions have

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was hazardous. Mention of the state of Fou ft in these inscriptions indicates that the trip was generally westerly, since Fou was subject to attacks from the Qiang. The record of divinations made during the trip has been analyzed by Shima Kunio (1958:378-379), who on this basis argues that the trip took thirty to sixty days; he places the state of Shu south of the great bend of the Yellow River, in western Henan.30 It is not inconceivable that the sphere of influence of a Chengdu-area Shu might extend far to the north,31 but it is usually assumed that when a Shang king is said to have visited a place, he visited the capital. An early historical source provides additional evidence. The "Oath at Shepherd's Field" ("Mushi" ft«) chapter of the Book of Documents purports to record an address by King Wu of Zhou to his assembled troops preceding the attack on the Shang. It mentions eight non-Chinese tribes or states, including Shu, who are said to have joined with the Zhou in their attack on the Shang.32 The "Oath at Shepherd's Field" has been dated to the Warring States period but may record traditions of an earlier era.33 A chapter of the Lost Zhou Documents (Yi Zhou shu j^JWH1), on the other hand, describes an expedition against Shu by a subordinate of King Wu shortly after the conquest.34 Both sources agree that a state called Shu was in contact with Zhou during the eleventh century B . C . E . Archaeology provides an intriguing confirmation of such contact. Shu bronze halberd blades show clear influence from Central Plains models in the late Shang-early Zhou period but then develop Z h o u divining about attacking Shu. See X u Xitai 1 9 7 9 : 1 8 9 and Shaughnessy i98o-8i:73n22. 30. The relevant inscriptions are Kufang 6 8 1 and 6 8 3 . The thirty-day date is based upon rather speculative reconstructions of missing texts. The sixty-day date also makes assumptions about the order and frequency of divination as well as the speed of travel and overall geographical extent of the Shang state that are open to challenge. 3 1 . Sage I 9 9 2 . : 2 2 . 5 n 4 i . 3 2 . Shangshu zhengyi 1 1 / 1 5 3 . The eight states are Yong jUf, Shu, Qiang, M a o j p , Wei Lu jj|, Peng a i , and Pu All have been plausibly located in the Wei River valley area, southern Henan, northern Hubei, or northern Sichuan. See Ikeda 1 9 7 6 : 2 3 7 - 2 3 8 . 3 3 . Ikeda ^ 7 6 : 2 3 4 - 2 3 5 has an excellent review of the various arguments for dating this text to the Warring States, which center on matters of vocabulary, syntax, and official titles. See also Qu Wanli 1 9 6 9 : 7 1 and the comments of E d w a r d Shaughnessy in L o e w e 1 9 9 ^ ^ 7 9 . 3 4 . Shaughnessy 1 9 8 0 - 8 1 : 5 8 ; Yi Zhou shu jixun jiaoshi 4/96. Shaughnessy argues that this chapter is an authentic early Z h o u text providing a comparatively reliable account of the conquest.

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independently, with no apparent further influence, as Central Plains styles were evolving into new forms. The famous "willow-leaf" sword blades characteristic of Spring and Autumn and Warring States Sichuanese tombs are also based on Shang models with little evidence of influence from later Zhou innovations.35 This archaeological situation is confirmed by the absence of Shu from almost all Zhou literature up until Qin began to plot its conquest at the end of the fourth century.36 For most of the Zhou dynasty we have no reliable historical records concerning Shu. The Annals of the Kings of Shu (Shuwang benji f g z E ^ j f i ) , traditionally attributed to Yang Xiong JUJit (53 B.c.E-18 37 C.E.), survives only in quotations. The Record of the Land ofHuayang (Huayangguo zhi), by Chang Qu, is the earliest surviving history of the Sichuan region. Chang made extensive use of the Annals of the Kings of Shu, and surviving quotations from the Annals suggest that it presented a similar picture of Sichuan's early history. In these sources we find that preconquest history is pure myth, consisting of wonder-working kings and their feats.38 The first was said to be Cancong K i t , or "Silkworm-bush," who was later worshiped as the founder of silkworm cultivation, a major Sichuanese industry. He was followed by Boguan or "Cypress-irrigator"; 39 little is known of this figure, but he may be related to the lumber industry. Next came Yufu ft or "Cormorant." All three are said to have transformed into transcendants and flown away. They were followed by King Duyu t f c ^ , or "Cuckoo," who descended from the heavens, married a woman who emerged from a well, taught the people agriculture, and transformed upon his death into the bird that was his namesake. He was followed by Bieling i f ? ! ! , or "Turtle Spirit," who is said to have floated up the Yangzi from Chu as a corpse, then 3 5 . Sage 1 9 9 2 : 3 8 - 3 9 . 36. Exceptions are the Yi Zhou shu passage discussed a b o v e and a passage from the Zhushu jinian (Wang Guowei 1917:2/141)) that records the presentation of jades by a representative of Shu in 864 b.c.e. Dates f o l l o w Shaughnessy 1 9 9 1 . 3 7 . These have twice been collected, by H o n g Yixuan i ^ S ^ H ( i 7 6 3 - ? ) and Wang Renjun H i C i l ? ( I 8 6 6 - I 9 I 3 ) . Their reconstructions are to be f o u n d in Jingdian jilin $gjfj.jj|;fvf; and in the Yuhan shanfang jiyishu bubiati 3 l t® |_[_|J5ffi 38. The f o l l o w i n g material is taken from H Y G Z 3 / 1 1 7 - 1 1 8 and from the Shuwang benji, quoted in TPYL 8 8 8 / z b - 3 b . 39. Shuwang benji gives B o h u o ("cypress drippings"?). The t w o characters are graphically quite similar and easily confused. See TPYL 888/2b.

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23

revived in Shu, where he became Prime Minister to Duyu and was cuckolded by him while off performing wondrous terraforming feats aimed at controlling the flood waters. When Duyu abdicated out of shame, Bieling came to the throne as Kaiming H , or "Enlightened."40 He married a sex-changing fairy and was aided by the Five Stalwarts (wuding S T ) , heroic siblings who moved monoliths, built roads through impenetrable mountains, and were killed by a giant snake. All of this material is presented by Chang Qu as history but with relatively few euhemerizing embellishments.41 In spite of the obviously fantastic elements in these accounts, they are accepted by nearly all Chinese historians of Sichuan, and even by some Western scholars, as true accounts of early history, with each mythic ruler representing a dynasty of unspecified length.42 Such myths are of course products of history and can perhaps be understood as representing different stages of cultural development, but they do not record historical events per se, and great care must be used in reconstructing history on such a basis. In the case of the myths of central China, for example, we know, largely from the work of the "doubting antiquity" (yigu movement of the 1930s, that myths concerning the (purportedly) earliest figures were actually the last to be created, as successive authors sought increasingly loftier (that is, more ancient) pedigrees for the mythical embodiments of their ideals.43 40. Kaiming is the term used to describe Danzhu fl-jfc, the rightful heir to the sage Emperor Yao who was rejected by his father as "obstinate and vicious." An ironic interpretation of this name fits well with his portrayal as a hedonistic adventurer who brought his state to ruin. See Shiji 1/20. 4 1 . Emperor Kaiming is described as having "lived for nine generations" (jiushi you Kaimingdi A t i WHfl W'), which could be interpreted as a succession of nine reigns, but he is said to have a son. He seems, in any case, more anthropomorphic than any of his predecessors, who reign then pass away without forebears or issue. Again, there is mention of his ancestral temples, but in fact these are temples to the Thearchs of the Five Directions, color-coded divinities of a Chinese cult that may have originated in the state of Qin (see Kleeman 1994b) and are five in number rather than eight. 42. Chinese representatives of this trend are too numerous to list exhaustively. Some good examples are Tong Enzheng 1979; Meng Wentong 1 9 8 1 : 4 2 ; Deng i 9 8 3 : i 3 5 f f . The primary Western exponent is Steven Sage 1992. Compare the treatment of Duyu in Birrell 1 9 9 3 : 1 9 7 - 1 9 8 , where the tale is said to be "a singular expression of classical mythic motifs." 43. These seminal discussions, which seem to have been forgotten by some modern Chinese scholars, are collected in Gu Jiegang's seven-volume Gushi bian (192-6-1941).

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We are on firmer ground when we reach the end of the fourth century B . C . E . 4 4 It was at this time that the state of Qin, centered in modern Shaanxi province, began the expansion that would eventually lead to its conquest of all of China through a decisive move toward the south. Qin was at the forefront of a wave of administrative and tactical innovation that was sweeping through the Zhou states. It actively promoted the cultivation of new land and administered this new territory directly through a system of commanderies and counties, then sought to gradually expand this system to other parts of the state. Through application of universal legal codes, household registration, and a system of mutual responsibility, Qin reduced the power of subinfeudated local nobility and increased governmental control of the populace. It also standardized weights, measures, and axle widths and established a monopoly over iron production, both to promote commerce and to facilitate taxation. Beginning with the reign of Huiwen in 337 B . C . E . , and especially after he assumed the royal title of King in 32.4, Qin began to focus on Sichuan as a possible area of expansion as well as a route through which Qin could directly attack its greatest rival, the state of Chu.45 In 3 1 6 B . C . E . Qin moved into Sichuan, at first allying with Ba in the conquest of Shu and the death of its king, then turning on Ba and its northern neighbor Ju Soon Qin controlled all of Sichuan and the Hanzhong region as far east as Yong J|f (near modern Zhushan, Hubei).46 The son of the former King of Shu was enfeoffed as Marquis, but a Qin official was appointed his Prime Minister and a Warden (shou ^ ) was also appointed to govern in Qin's name.47 This 4 4 . The following discussion is entirely based upon accounts from sources external to Sichuan. Local Sichuanese history remains suffused with myth, recording an encounter between the rulers of Shu and Qin in which Shu's gifts transform into soil and the construction of a road, presumably the famed scaffold road (zhandao from Shu to Qin by the Five Stalwarts in order to fetch five gold-defecating oxen. Sage ( 1 9 9 2 : 1 1 2 ) characterizes these events as being " i n a literary grey area set somewhere between history and legend." 4 5 . The "Discourse Faulting Q i n " ( G u o Qin lun i g ^ I m ) of Jia Y i M S ( 2 0 1 - 1 6 9 B.C.E.) implies that Qin's annexation of H a n z h o n g and conquest of Ba and Shu were entrusted to King H u i w e n by his predecessor, Duke X i a o . See

Shiji 61279.

4 6 . Shiji 5 / 2 0 7 ; Sage 1 9 9 2 : 1 1 5 . 4 7 . Following Shiji 7 0 / 2 2 8 4 , which states that the King of Sichuan's rank w a s reduced to that of a Marquis, and Sage 1 9 9 2 : 2 5 6 0 1 3 . H Y G Z 3 / 2 9 , however, clearly states that the Kaiming line w a s extinguished and that the new M a r q u i s w a s the son of the Qin king. Ren I 2 8 n 6 presents evidence that a son of this line fled to the far south, where he w a s killed by the King of Yue.

ETHNICITY AND IDENTITY

25

condominium government lasted only three decades, experiencing three revolts, before Qin assumed final direct control over the region. Following its conquest of the region, Qin immediately embarked upon an ambitious program to convert Ba, Shu, and Hanzhong into military strongholds and economic resources. The capital of Chengdu and two other cities were walled, and from the pits excavated for building materials giant fish-growing ponds were created. Agricultural land was divided into regular, equal-sized plots and redistributed (perhaps primarily to Qin immigrants). In the third century, a major irrigation system was created by the Qin Warden Li Bing Large numbers of people were marched into Shu in orderly groups and resettled. These transferred populations included criminals and war captives from other parts of China as well as voluntary migrants and encompassed merchants and aristocrats as well as peasants. 48 The preservation of a Shu Marquis during the early years of Qin occupation suggests that the traditional Shu nobility was not immediately displaced, and graves clearly reflect differences between natives and colonists. Still, from this time forward we hear no more in historical sources of the native population of Shu. Assimilation to a new Qin-Chinese identity must have proceeded rapidly among most of the settled populace, while more resistant or remote groups were reclassified as "barbarian" minorities. BA The eastern portion of the traditional Sichuan region is known as Ba E - The area usually indicated by this term is the Yangzi valley from Fengjie up to Yibin, the middle and lower reaches of the Jialing River ^ ^ t C that feed into it, and the tributaries of the Jialing, the Fu River ' / n i l , and the Qu River l^yX (the upper reaches of which are known as the Ba River E M ) - The term Ba is also used to refer to an ethnic group, the Ba people, and to a state that was conquered by Qin in 3 1 6 B.C.E. As we shall see, the relationships between the geographical region, the people, and the state are by no means simple. The evidence for this entity called Ba differs from that for Shu in both date and type. The upper Yangzi was home to an early Neolithic 4 8 . A n example of the use of Shu as a place of banishment is f o u n d in the "Fengzhenshi" i i l ^ j t document excavated from a Qin tomb in Hubei province. In a sample verdict meant to act as a precedent for future rulings, a father asks that an unfilial son have his feet cut off and be banished to a border county of Shu. See Shuihudi Q i n m u zhujian zhengli x i a o z u 1 9 9 0 : "Fengzhenshi shiwen zhushi,"

155.

Fig. 2 Ba Chunyu TF Bronze Drum (Western Han). Chinese Museum of History collection.

E T H N I C I T Y AND I D E N T I T Y culture, the D a x i

ZJ

culture, which has been documented for a

period f r o m roughly 5 5 0 0 B.C.E. to 2 7 5 0 B.C.E. 49 D a x i sites s h o w evidence of contact with the Qujialing culture of the Middle Yangzi and had some influence on sites in the Jialing River basin. Yang Q u a n x i tfktfiM- has identified a series of second millennium B.C.E. sites along the Yangzi in Western Hubei as "early Ba culture," and Z h a n g X i o n g w o u l d extend this horizon to sites in Eastern Sichuan. 5 0 T h e inhabitants seem to have subsisted primarily on hunting and fishing, and their primary cultural artifact is a handmade, sandy gray pottery. Ba does not occur in the oracle bone inscriptions of the Shang, indicating either that there w a s no such state at that time or that it w a s so distant as to be out of touch with Shang. 5 1 Ba is not mentioned in the " O a t h at Shepherd's Field" among the states that aided the Z h o u in their conquest of the Shang, but later there w a s such a tradition. 5 2 There is a fairly early tradition that the ruler of the Ba state had the surname of the Z h o u royal house, J i ® . 5 3 Given the wide 49. Sage i992.:47-50. 50. Zhang Xiong 1 9 9 3 : 3 4 . Zhang cites an article by Yang in Hubeishertg kaogu xuehui lunwenji ffl^t^^iTip^Im^ifi, vol. 2, which I have been unable to consult. 5 1 . Some Chinese authors do indeed find reference to it in the character P, which bears a superficial resemblance to the modern character Ba. The character in question designates a distant state (fang) that is in an adversarial relationship to Shang. Although the interpretation of this graph is problematic, Ba is not a likely possibility. Chen Mengjia (1956:2.84) interpreted this graph as yin £P and placed the state of Yin in southern Shanxi. Li Xiaoding (i96j:entry 2783) follows Guo Moruo in identifying the character as a variant form of yi H , hence referring to the well-known state in the southeast. Cf. Shima 1 9 5 8 : 3 9 0 - 3 9 1 . All agree that the oracle bone character in question depicts a human figure, and such an analysis is never made for Ba. 52. H Y G Z 1 / 3 - 4 . Chang Qu records that the first Han emperor, Liu Bang, in ordering the adoption of the Ba songs into the state repertory, said, "These are the songs to which King Wu (of Zhou) attacked Zhou (last king of the Shang)." Such a comment does not occur in earlier accounts of this music discussed below but may reflect an authentic tradition concerning Liu Bang's understanding of ancient history. By Chang's time, in any case, Ba's role in the expedition was a well-accepted fact. Ren i / j n 6 points out that the reference to the Zhou conquest saying that King Wu's troops "sang before (the battle) and danced after it" derives from the Latter Han Baihu tong, where there is no mention of Ba peoples. See Baihu tong 13/6/3. By Chang's time the Ba songs and dances had been part of state ceremony for more than five hundred years, and it is not surprising that legends developed concerning their even greater antiquity. See also Dong Qixiang 1 9 8 7 . 53. Zuozhuan 382/Zhao r3/fu 1 . This account concerning the events of 529

z 8 PART I : ETHNICITY, RELIGION, AND HISTORY distribution of this surname and its presence among non-Chinese peoples, it is uncertain w h a t significance this has. 5 4 There is also a record from later Spring and Autumn or early Warring States that Ba had been part of Z h o u territory after the conquest. 5 5 T h e best early evidence concerning the Ba people derives from the Zuozhuart,

a historical w o r k compiled in the fourth century B.C.E.

that preserves documents from a variety of sources concerning the history of the Spring and Autumn period. 56 Ba makes an early appearance in this document, in an event that occurred in 7 0 3 B.C.E.: 57 T h e Baron of Ba dispatched H a n Fu ment to C h u

to make an announce-

asking permission to establish friendly relations

with Deng f!|$. The Baron of C h u dispatched D a o Shuo lead the Ba visitor to offer presents to Deng. T h e Y o u

to people

on the southern border of Deng attacked them and stole their w o v e n goods, killing D a o Shuo and the ambassador from Ba. The Baron of Chu dispatched Wei Z h a n g H i p : to offer a reproach to Deng. T h e men of Deng w o u l d not accept it. Summer. C h u dispatched Dou Lian Hlfljt leading troops together with Ba troops to besiege You. Yang Sheng

and N a n Sheng A f t ^ 5 8 of

records that King Gong of Chu (r. 590-5 60) had as consort a woman of Ba with that surname. The source of the tale must be a Chu history, since it uses Chu titles, and in that it narrates a key event that determines the Chu succession, it was sure to be recorded and well remembered some thirty years later. The consort from Ba is an incidental figure to the story, and even if key events were changed to favor one or the other aspirants of 529, her name is unlikely to have been altered. 54. Ba is not among the twenty-five Ji-surnamed states listed at Zuozhuan 124/Xi 24/2 under the year 636 B.C.E. 5 5. Zuozhuan 3 70/Zhao 9/fu 1 , where we read, "When King Wu conquered Shang . . . Ba, Pu Chu, and Deng fffl were our southern lands." This occurs in the context of a territorial dispute with the state of Jin, hence we can expect the speaker to maximize Zhou claims. The list forms a curious group, including an old state of the Man j | surname and Marquis rank, Deng, with two distant states of Baron rank that never participated in Zhou ritual, Ba and Chu, plus the Pu, who seem to have had no state structure or fixed abode and were likely still at a tribal level of organization. It is interesting testimony as to the degree to which these southern states had been integrated into the Zhou worldview in 536 B.C.E., but poor evidence for events five hundred years earlier. 56. On the dating of the Zuozhuan, see Karlgren 1 9 2 6 ; Kamata 1 9 6 3 . On the nature of the individual accounts in the Zuozhuan and their possible sources, see Egan 1 9 7 7 ; Johnson 1 9 8 1 ; Wang 1 9 7 7 . 57. Zuozhuan 35/Zhao 9/fu 1 ; Yang Bojun 1 9 8 1 : 1 2 5 ; Chunqiu Zuozhuan zhengyi 7/ 5a-b. 5 8 . I follow Du Yu's phonetic gloss in reading this surname, which is other-

ETHNICITY

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29

Deng led a force to the rescue of You. Three times they drove off the Ba troops and You did not fall. 59 Dou Lian arrayed his force transversely (heng Hf) across the center of the Ba forces. When battle was joined, they turned their backs and fled. When the men of Deng pursued them, they turned their backs on the Ba force and were attacked from both sides. The Deng force suffered a great defeat. The men of You scattered into the night. Deng was a state with close ties to Chu on the Han River north of modern Xiangfan, Hubei. You was slightly to its south. Since the Ba and Chu forces pass by You on their way to Deng, they must be approaching from the south. This gives an important indication of the location of the Chu and Ba capitals at this time, a point of some dispute, though it does not permit us to choose between two traditional sites for the Chu capital of Danyang fj-Wo at this time, in modern Zhijiang county or slightly further up the Yangzi near Zigui.60 Ba is a state accorded equal status with Chu by the author of the account (a northerner subscribing to the Zhou feudal system). It is not impossible that the Ba conceived of themselves as in some sense within the Chu sphere of influence, but the term "visitor" applied to Ba's representative in at least one case refers to the emissary of an enemy state.61 Ba must ask permission to establish relations with Deng because it must transit Chu territory to get there. Placing Ba on the upper Yangzi, either at the closer site of Yufu (modern Fengjie) or the traditional Ba at modern Chongqing, would accord well with this series of events. Ba is sophisticated enough to engage in the intricacies of interstate diplomacy and powerful enough to dispatch an army into the central Yangzi and far up the Han River. wise pronounced Dan. It is possible that N a n Sheng is to be linked to the place Nuochu

discussed below. T h e phonetic in N a n (on the right) is a graphic

variant of the phonetic in N u o (on the left). Sheng means " n e p h e w , " specifically, the son of a sister, and it may be that here it indicates the relationship of these t w o men to the D e n g ruler rather than their personal names. 5 9 . T h e change of subjects in this sentence is confusing. D u Y u understands that it is Deng which, having thrice repelled the B a , is undefeated. Y a n g Bojun, on the other hand, paraphrases, " [ D e n g ] three times charged the Ba force, but could not defeat them." T h e object of the Ba and C h u attack, however, w a s the city of Y o u . W h e n the Ba army could not defeat its D e n g defenders, Ba and C h u plotted to d r a w the D e n g army into their midst. 60. Here I reject the tentative conclusions of Blakeley 1 9 8 8 . There is no credible evidence that puts C h u a n y w h e r e but in the Yangzi valley at this time. I am preparing a detailed refutation of Blakeley's argument.

61. Zuozhuatt

X u Ti 1 9 8 5 : 4 5 3 .

2 4 2 / C h e n g 1 6 / 7 ; Y a n g Bojun 1 9 8 1 : 8 8 7 . C f Y a n g Bojun and

3 0 PART I : ETHNICITY, RELIGION, AND HISTORY Since Ba w a s the aggrieved party, it takes the lead in the campaign against Y o u and its protector, Deng, but the description of the battle suggests that the C h u forces are similar in size and power. It is not the entry of C h u forces into the fray that turns the tide but the combination of Ba and C h u forces strategically applied. Whatever the exact relations of C h u and Ba at the time of the incident of 7 0 3 , a quarter-century later Ba forces were again allies of the C h u , contributing troops to one of their expansionist campaigns. The second incident concerning the Ba occurs in 6 7 6 - 6 7 y . 6 2 King W u of C h u f t ^ E E (r. 7 4 0 - 6 9 0 ) conquered Q u a n

He

dispatched D o u M i n | i | f § to administer it. W h e n D o u revolted from there, C h u besieged and killed him, then transferred [the population of] Quan to N u o c h u M & 6 4 and dispatched Y a n A o |ti]§i[ to administer it. W h e n King Wen

(r. 6 8 9 - 6 7 7 ) suc-

ceeded to the throne, he, together with men from Ba, launched an attack on Shen

H e frightened their troops. 66 T h e men

of Ba revolted against C h u and attacked N u o c h u , capturing it.

62. This account ends abruptly in the eighteenth year then continues into the nineteenth year. See Zuozhuan 64/Zhuang 18/fu 3-65/Zhuang 19/fu 1 ; Chunqiu Zuozhuan zhengyi y/i6a, 1 7 a ; Yang Bojun 1 9 8 1 : 2 0 8 - 1 1 0 . 63. Du Yu identifies this Quan with the walled city of Quan southeast of Dangyang. 64. Du Yu identifies Nuochu with Nuokou a walled city southeast of Bian |f§ (west of Jingmen, Hubei). Tan Qixiang 1 9 8 2 - 1 9 8 7 : 1 , 28 places both the original and relocated Quan southeast of Jingmen with the new Quan (i.e., Nuochu) perhaps twelve kilometers further southeast. 65. Shen is modern Nanyang, Henan. This campaign against Shen took place in 684. See Chunqiu Zuozhuan zhengyi 8/12b. There is no mention at that time of the participation of Ba troops. On the way to Shen, the Chu ruler stops in Deng, where he is acclaimed as paternal nephew of the ruler of that state. Three officers of Deng, including the Ran Deng of the previous encounter, urge the Marquis of Deng to kill the Baron of Chu, but he refuses. The following year, after conquering Shen, Chu obliterates Deng. These events no doubt are related to the enmity aroused by the events of 7 0 3 , some twenty years earlier. 66. Du Yu and subsequent commentators understand by this passage that the Chu in some way frightened or startled the Ba army. Guanzi 2 : 2 2 - 1 extols the strategic value of displays of military might in order to intimidate an opponent. Rickett (1985:394) translates: " N o w whenever calculating [expense incurred by] the use of armed forces, three [mobilizations] to warn [the enemy] equal one expedition." The commentary to this passage reads: "Jing means to glorify your awesome might and display your martial prowess (yaowei shiwu Wit&TF'M), which can startle (jing) your enemy and cause them to fear." Yang Bojun records the opinion of Tao Hongqing that it was Yan Ao who, through his mistreatment and insults, forced the Ba to revolt.

ETHNICITY

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Consequently they attacked the gates of Chu. Yan Ao fled, swimming down the Yong River. The Baron of Chu killed him. His clan arose in rebellion. The men of Ba took advantage of this to attack Chu. . . . [Nineteenth year] The Baron of Chu sought to repel them and suffered a great defeat at Jin This account is in several places ambiguous, and the narrative sequence is not completely clear. The events described must have taken place over at least a twelve-year period. Further, whereas the opening elements derive from a Chu source that claims the title of King for the Chu ruler, the end of the tale refers to him as Baron, indicating conflation with an account of non-Chu origin. The break between the two sources probably follows the line, "Consequently they attacked the gates of Chu." We are never told the result of this attack, but soon there is a Ba force bearing down on the Chu capital. The events described are consistent with a location of Ba on the upper Yangzi, with Chu, which by this time had moved its capital to Ying ||5, in the area around Jiangling. 68 Having assembled in Chu, Chu and Ba troops set out for Shen in the north. Either on the way there or on the way back there is a falling out. Most probably this occurred on the return. Perhaps Chu's destruction of Deng, a state to which it was allied by marriage, was at the insistence of Ba and a dispute then arose over the spoils. In any case, the Ba turned on their Chu allies and seized the city of Quan, thus affording them a path back to the Yangzi without traversing the Chu stronghold at Jiangling. Some years must have passed between Ba's seizure of Quan/ Nuochu and the Ba expedition of 676. Perhaps Chu had by then eradicated the Ba force there and it was in retaliation for this action that troops again descended from Ba. Perhaps they had managed to survive and the Ba force was meant to reinforce this salient into Chu territory. In any case, the direction of attack is clearly from the west along the Yangzi. Ba enters history again in 6 1 1 , at the time of a great famine and a general uprising of southern tribal peoples:69 67. Du Yu, after identifying Jin as a place in Chu territory, notes that according to one source there is a Jin township in Jiangling county. Takezoe 1 9 1 1 : 3 / 5 2 identifies it with a Jin township three li west of Zhijiang county, upstream from Jiangling, and this is followed by Tan Qixiang 1 9 8 2 - 1 9 8 7 ^ 0 1 . 1. Yang Bojun suggests Jiangjin Outpost twenty li south of Jiangling. 68. On the location of Ying at this time, see Cheng Faren 1 9 6 7 : 5 4 - 5 5 . 69. Zuozhuan 172/Wen 16/6; Chunqiu Zuozhuan zhengyi 2o/2b-4b; Yang Bojun 1 9 8 1 : 6 1 7 - 6 2 0 .

32. PART I : ETHNICITY, RELIGION, AND HISTORY C h u w a s experiencing a great famine. T h e R o n g a t t a c k e d its southwest, reaching M o u n t F u Jfl.|ll; C h u set up a c a m p at Dalin *#.

7 0

They also a t t a c k e d from the southeast, reaching Yangqiu

R § J i and thereby invading Zizhi I f f e 7 1 T h e m e n o f Y o n g led the m a n y M a n in rebellion against Chu. T h e m e n o f J u n HI, 72 leading the H u n d r e d Pu, gathered in X u a n H and w e r e a b o u t t o a t t a c k C h u . 7 3 T h e r e u p o n they closed the n o r t h e r n gates t o Shen and X i . 7 4 T h e men o f C h u planned t o m o v e t o B a n g a o . 7 5 Wei J i a M M said, " N o . A n y w h e r e w e c a n go, the bandits c a n also go. It would be better t o attack Yong. Jun and the H u n d r e d Pu think we are enfamished and c a n n o t form an army. T h a t is w h y they a t t a c k us. If we field an army, they will certainly be terrified and will return t o their homes. T h e H u n d r e d Pu live in scattered communities. E a c h will flee t o his t o w n . W h o will have the spare time t o plot against o t h e r s ? " T h e y p r o c e e d e d t o field an army, and in fifteen days the H u n d r e d Pu h a d ceased operations. F r o m Lu ft on, they opened the granaries and shared the food. T h e y m a d e a stage at Jushi 'nJigj and dispatched Yi Li

70. Mount Fu is 150 li south of Fangxian J § H u b e i . Cheng Faren (1967:169) suggests that Mount Fu may refer to a large mountainous area between Fangxian, Jingshan J t l l j , and Badong that is called Shennong's Table (Shennongjia Yang cites the imperial collation of i 6 6 9 (Qinding Chunqiu zhuanshuo zuanhui in identifying the Great Forest (Dalin) with the Long Forest (Changlin ft^) northwest of Jingmen, Hubei. Cheng Faren notes a quotation from the Jianglingji 7 l 1 2 of Wu Duanxiu ihijfnPf. that a forest sixty-five li northwest of Jiangling is the Dalin of the present tale. Cheng prefers this location because it accords better with an attack coming from the west. 7 1 . Cheng Faren, noting that both places must be to the southeast of Chu, suggests that Yangqiu must be around modern Yueyang, Hunan, and identifies Zizhi with modern Zhijiang This was also the opinion of Shen Qinhan tfc ( 1 7 7 5 - 1 8 3 1 ) , adopted by Yang Bojun. 72. Cheng Faren ( 1 9 6 7 : 1 6 6 ) cites two opinions putting Jun in the north, near Yunxian Hubei, and notes another opinion placing it near Baihe, just over the border in Shaanxi, which is the location adopted by Tan Qixiang 1 9 8 2 . - 1 9 8 7 ^ 0 1 . 1. But Cheng also quotes TPYL placing Jun sixty li southeast of Dangyang, then argues that the Juncheng east of Yueyang must be where the people of Jun were moved after their state was exterminated. 73. The 1 6 6 9 Huizuan places Xuan on the southern border of Zhijiang county. 74. Shen and Xi were on the northern borders of the Chu realm. As Du Yu remarks, this comment indicates Chu's fear of a further invasion from the Central Plains states. 75. Du Yu says simply that it is a strategic location in Chu.

ETHNICITY

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33

ftScH of Lu to invade Yong.76 When he reached the walled city of Fang in Yong, men of Yong routed him, capturing his son Yang Chuang WoliS- After three nights he escaped and reported, "The Yong troops are numerous. The many Man have gathered there. It would be better to return to the main force, raise the royal troops, and advance only after uniting the forces." Shishu said, "No. For the moment we should continue engaging them in battle in order to make them overconfident. When they are overconfident and we are angry, then they can be defeated. This is the way our former lord Fenmao I 1 conquered Xingxi PM 77 I®." They met again in battle seven times, and each time Chu was defeated. The men of Pi W, You $1, and Yu alone routed them. 78 The men of Yong said, "Chu is not worth fighting." Consequently they did not make adequate preparations. The Baron of Chu, riding in post carts, met the army at Linpin. 79 He divided his army into two groups. Ziyue led one through Shixi and Zibei ^PM led the other through Ren {2J in order to attack Yong. Men of Qin and men of Ba followed the Chu army, and the many Man followed the Baron of Chu in concluding a covenant, then they exterminated Yong. Here again some of the places mentioned cannot be located with any confidence; still, the overall shape of the campaign seems fairly clear. The Rong, who invade from the southeast and southwest, are 76. Lu was fifty li east of modern Nanzhang county. Du Yu says only that Jushi was on the western border of Chu. Huizuan gives a location west of modern Junxian, Hubei. See Cheng Faren 1 9 6 7 : 1 6 8 - 1 7 0 . 7 7 . The location of Xingxi is also a problem. The name indicates a marshy area below a steep rock face. Cheng Faren 1 9 6 7 : 1 7 0 proposes a place between Yidu and Yicheng, near Tigertooth Mountain ¡MlfllJ- Huizuan suggests someplace east of Jingmen Mountain. 7 8 . Yu was a state based at modern Fengjie, Sichuan. The other two sites cannot be located. Cheng Faren suggests that they are M a n cities between Fengjie and Zhushan. He further argues that Du Yu is incorrect in identifying these three places as Yong cities and that they are instead members of "many M a n " then allied with Yong. Cheng Faren 1 9 6 7 : 1 7 0 . 79. Huizuan puts Linpin on the borders of Junxian. Cheng Faren, on the basis of a personal investigation of the terrain, suggests that Linpin was at Caodian J=pL /¡g, thirty-five li south of Junxian. From there two roads diverge, then converge on Zhushan. He identifies a road that passes by the foot of Wudang Mountain and through Fangxian as the course described below as passing through Shixi 5 iH and one that follows along the Du River i§7jc as that said to pass through Ren. See Cheng Faren 1 9 6 7 : 1 7 1 .

34

PART

I: ETHNICITY, RELIGION, AND

HISTORY

never identified and may even have represented mutually unrelated ethnic groups. At the same time there is a major uprising of tribal peoples to the west and northwest, led by older and more established states. Chu is able to put down this uprising only by enlisting the aid of the states of Qin and Ba as well as some of the tribal peoples. The description of these events is so uncertain that it is difficult to draw conclusions as to whether Ba at this point joined the Chu army through the Yangzi gorges and fought with it toward the north or came down the Han River valley with Qin troops. If the latter, it would mean that Ba was already extending its power north. 80 As noted above, King Gong of Chu (r. 590-560) had a favored consort who was Ba, presumably a daughter of the Ba ruler. This testifies to continuing close ties with Chu, but a century later, relations had again deteriorated. In 477 a Ba force invaded Chu and besieged the city of You. 81 N o reason is given for the attack on You. With its key location on the Han, it would be an important site for a force moving up the Han to the upper Han valley or toward Shen (modern Nanyang) in the northeast but also for a force moving down the Han toward the Chu capital, now at Yan i||L82 The invasion ended in failure, but whatever the route taken, this marked a deep penetration into territory that had been Chu's for two centuries. In 377 Shu invaded Chu and captured Zifang tk^J (modern Songzi, south of the Yangzi), apparently crossing overland to the headwaters of the Qingjiang "/iftL and down that valley. Ba troops may have participated in this campaign. 83 If not, Shu was able to transit Ba territory with impunity. 80. This may be supported by an incident in 632., when Ba is said to have presented tribute to Qin. The claim occurs in the midst of a conversation with Shang Yang extolling the accomplishments of the minister Baili Xi H S i S Tong's dating of the incident to 632 is open to debate, but Baili was only in power "six or seven years," so it cannot be far off. The Shiji account is at earliest mid-fourth century B . C . E . and perhaps considerably later. See Shiji 68/2234; Tong 1979:23. 81. Zuozhuan 496/Ai 18/fu 2. The point of this tale seems to be the irrelevance of prognostication, but to be believable and persuasive, it must have been constructed around true historical events. Sage (1992:63) inexplicably dates this event to 475. 82. Near modern Yicheng. Chu had moved its capital to Yan in 504, where it came to be called Northern Ying. Cheng Faren 1 9 6 7 : 5 6 - 5 7 places this new capital on the west side of the Han, whereas You was on the east, making the siege of You less obvious an objective if the ultimate goal was this new Ying at Yan. See Zuozhuan 448/Ding 6/fu 1 . 83. Tong 1979:25. Tong cites as evidence T P H Y J quoting the Tang dynasty

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Chu posed a constant threat to Ba throughout this period. In 3 6 1 , at the time of the accession of Duke Xiao of Qin, we are told that Chu possessed both the Hanzhong region to Ba's north and the originally Ba territory of Qianzhong 87 south of the Yangzi in southeast Sichuan, northwest Hunan, and northeast Guizhou. 84 The Ba capital was moved repeatedly. Chang Qu tells us that, "During the time of the Baron of Ba, although the capital was at Jiangzhou (modern Chongqing), sometimes the administrative center was in Dianjiang (Hechuan), sometimes in Pingdu (Fengdu); later it was in Langzhong. Most of the tombs of their former kings are in Zhi (Fuling)." 85 This identification of Fuling as an ancient center of the Ba preceding its capital at Chongqing accords well with what we have seen of Ba's early contacts with Chu. One interesting example of Chu participation in Ba affairs, and its continuing desire for Ba territory, is the case of Manzi a general of Ba faced with rebellion sometime in the mid-Warring States period. 86 Manzi requested an army from Chu in order to quell the rebellion, promising in return to transfer control of three walled cities to Chu. Once the Chu army had served its purpose, an emissary from Chu appeared demanding the promised cities. Manzi instead cut off his own head, saying, "By borrowing the spiritual might of Chu, we were able to forestall disaster. I did in truth promise cities to the King of Chu. Take my head to repay him. You cannot have

Jingnanji ffj j^J IS of Su Cheng MM., which explains the place-name Bafu E I S as referring to the return home of defeated Ba soldiers from the campaign, but it seems much more likely that fu here refers to the t a x exemption given the Ba people w h o once inhabited this region. 84. Shiji 5 / 2 0 2 . This would seem to be the better understanding of the phrase nan you Ba Qianzhong ^ W E I 7 cf3, which has also been interpreted to mean that Chu at this time possessed both Qianzhong and Ba. Cf. Sage

i992:24in73-

8 5 . H Y G Z 1/8.6. Sage understands this as a slow retreat up the Yangzi then up the Jialing River under the pressure of Chu. Ren ( i 9 8 4 : 2 8 n 4 ) understands the direction of movement similarly but suggests that it was in response to Ba's expansion toward the north. We have no evidence of Chu intrusion into Sichuan, but its fourth-century activities in the western Hunan-Guizhou area may have caused some trepidation among the Ba rulers. Still, evidence for the motivation behind these transfers of the Ba administrative center is inconclusive. 86. H Y G Z 1 / 2 - 3 . This event is attributed to " t h e end of the Z h o u dynasty" but must have antedated the Qin invasion of 3 1 6 B.C.E. Tong Enzheng ( 1 9 7 9 : 2 6 ) argues that this was a slave rebellion against Ba's "reactionary slave system," but it seems more likely that some competing faction had gained control of the Ba army.

36

PART i :

ETHNICITY, RELIGION, AND

HISTORY

the cities." Manzi received an honorable burial appropriate to a minister of state from both Chu, for his head, and Ba, for his body. This would suggest that at the time of the event Ba remained a distinct political entity, possessing numerous walled cities and a historical identity and traditions sufficient to command the unswerving loyalty of an elite warrior class. The Qin conquest of Sichuan was prompted by a dispute among the powers of Sichuan. The younger brother of the King of Shu (or perhaps the cadet line?) was enfeoffed at Ju M. (modern Jiameng), an area on the border of Ba territory. 87 J u established close relations with Ba, thus siding against Shu in the chronic warfare between Ba and Shu.88 When Shu launched a campaign against Ju in 3 1 6 , the ruler of J u fled to Ba, and Ba requested aid from Qin. After Ba, with the aid of Qin, had exterminated Shu, Qin turned on its allies and conquered Ba. This version of events differs considerably from that presented by Qin, which concentrates on Qin's actions and gives Ba no role in the conquest of Shu other than to provide a pretext for invasion. We have little direct evidence for Ba culture and society at this time other than the results of archaeological excavation. The economy seems to have centered on hunting and fishing, supplemented by simple agriculture, practiced largely in river valleys. 89 There is no evidence of irrigation works or of large-scale architectural construction, probably because there was no cohesive central power to direct such projects. Society seems to have consisted primarily of local clans, largely independent but owing some sort of ultimate loyalty to higher authorities referred to in Chinese sources as "king" or "marquis." Warfare was an important element of life, reflected in the widespread use of Ba mercenaries, the martial songs and dances discussed below, and the prominent place of weapons among Ba grave goods. 87. H Y G Z 1/2.3 affirms that Ba territory stretched north to Hanzhong; Langzhong, some sixty-five kilometers south of Jiameng, was one of its later capitals. Ju's unbrotherly behavior toward its sibling state and the conflicts occasioned thereby remained a portion of Sichuanese lore and resurface in the Book of Transformations of Wenchang, a revealed twelfth-century scripture from northern Sichuan. See Kleeman 1 9 9 4 3 : 1 9 4 - 1 9 5 . 88. H Y G Z says that Ba and Chu "fought for generations" which would seeem to contradict Tong Enzheng's claim that Shu was now ruled by a Ba ruling house. 89. The following synopsis of Warring States Ba culture is based primarily upon Huang Xiaodong and Zeng Fanmu 1 9 9 3 .

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IDENTITY

37

Ba had an advanced bronze industry that specialized in distinctive willow-leaf-shaped swords and halberds, as well as musical instruments, vessels, and tools. Ba bronzes are softer than contemporary Central Plains products and the weapons do not take as sharp an edge, indicating a technologically less developed industry, but they have won praise for their elegance and simplicity. Ba bronze vessels show relatively little influence from Central China and for the most part are distinct from Shu examples, which exhibit much greater Central Plains influence.90 Still, "Warring States archaeological sites often reflect a melding of east and west as well as influences from outside the region. Thus we find Ba-style halberds and even one example of the famous Ba chunyu bronze drums in Shu areas.91 Beginning in 1954, boat burials have been discovered in the Sichuan region. Best documented are the two initial discoveries, one near Chongqing and the other on the upper reaches of the Jialing River, near modern Zhaohua. 92 At both sites, in burials dating between the fourth and second centuries B.C.E., actual boats placed in shaft graves gradually gave way to coffins placed within boats, then just coffins. There is a similar progression at these sites from grave assemblages consisting solely of Ba-Shu relics to assemblages closely resembling those of the Central Plains. More recently, boat burials have also been found in the Chengdu region, and some are as early as or earlier than the earliest discovered boat burials in Eastern Sichuan. These tombs contain a variety of implements and vessels, reflecting trade or influence from Ba and Chu.93 Unique among all early non-Chinese cultures of East Asia, Sichuan developed two scripts. The first is a pictographic script with a limited repertoire of symbols. Prominent among them is the tiger and a compound symbol of a crooked arm with open hand and a flower bud (see Fig. 3). This script, closely associated with Ba, has been found primarily on bronze weapons and drums, leading to speculation that an important function of this script was to impart magical efficacy to articles on which it was inscribed.94 The second is more diverse and seems to be more functional; the small number of symbols 90. Huang Xiaodongand Zeng Fanmu 1 9 9 3 : 5 6 . 9 1 . Sage 1 9 9 2 : 6 6 - 6 7 . Whereas Shu halberds maintained the triangular shape inherited from early Zhou models, Ba developed a scythe-like curved blade similar to later Central Plains models. 9 2 . Sichuansheng bowuguan i 9 6 0 . 93. Described in Sage 1 9 9 2 : 6 7 - 7 0 . Sage does not refer to the earlier finds. 94. Huang Xiaodong and Zeng Fanmu 1 9 9 3 : 5 6 .

3

^ J ) 5 . * , fr"*

HiltMl

Fig. 3 Examples of the Ba script. Reprinted from Xu Zhongshu, ed., Ba Shu Kaogu luniven ji (Beijing, 1987), p. 90.

ETHNICITY

AND

IDENTITY

39

has led some to speculate that it is phonetic in character. Neither has been deciphered, but their use on seals confirms their status as writing. There is as yet no evidence of a literature written in either script. 95 We hear little of the former rulers of the state of Ba following the Qin conquest. The Qin are said to have treated the Ba clan as leaders of the non-Chinese peoples and repeatedly provided them with wives.96 In the early third century c.E. there is a record of a King of the Ba Barbarians G ^ l i E , but he seems to be the leader of a much smaller subgroup.97 For the most part we find records of individual members of Ba tribes and occasionally of the leaders of these tribes, often designated kings, but there is no evidence of large-scale organization that would encompass all of the region formerly identified with Ba. Prominent among early records of the region are accounts of signal acts by Ba tribesmen that win for their people special treatment from their foreign rulers, especially with regard to taxation. The earliest of these tales involves the Qin state before its unification of China: 98 During the time of King Zhaoxiang of Qin ijlBo J|3i. (r. 3 0 6 251), a white tiger was wreaking havoc. From Qin 99 through Shu, Ba, and Han, it was a danger. The King of Qin accordingly offered to anyone in his state who could kill the tiger a hefty reward, an appanage of ten thousand households, and a corresponding amount of gold and silk. Thereupon the barbarians Liao Zhong and Yao He IjlfSJ of Quren and the tigershooter Qin Jing ijlfjf 1 0 0 made a crossbow from white bamboo 9 5 . Li Xueqin 1 9 8 5 : 2 . 1 5 - 2 1 6 . Sage 1 9 9 2 : 5 8 - 5 9 mentions a third type represented so far on only one vessel. On the relationship of these two scripts, see Sun Hua 1 9 8 7 , Li Fuhua and Wang Jiayou 1 9 8 7 , and Qian Yuzhi 1 9 9 3 . 96. H H S 8 6 / 2 8 4 1 . 9 7 . Wenxuati 4 4 / 1 3 b . The King was subsequently made Grand Warden of Badong; he must have been highly sinicized to fulfill the duties of this office. 98. H Y G Z 1 / 3 . 6 - 1 0 . A similar passage is found in H H S 8 6 / 2 8 4 2 ; major differences are noted in the annotation below. H H S 8 6 / 2 8 4 1 records a tax exemption granted the followers of the Ba ruler by this same Qin king with no justification for the exemption and different payment figures: the ruler is to pay 2 , 1 1 6 cash annually and 1 , 8 0 0 cash once every three years whereas commoners pay eighty-two feet of cloth and an amount of chicken feathers. 99. Ren I 5 n 2 argues on the basis of the following reference to "four commanderies" that this Qin is a mistake for Qian(zhong) 87 cf31 0 0 . Here I follow the interpretation of Ren Naiqiang I 5 n 2 . H H S (86/2842) lists only one hunter, a nameless "barbarian from Langzhong." Ren assumes that this barbarian was Qin Jing and that shehu iKfffe was a sort of epithet. This

40

PART i :

ETHNICITY, RELIGION, AND

HISTORY

and shot the tiger from atop a high tower. They struck him in the head, the arrow penetrating three nodes deep. The white tiger always had a pack of tigers following him. In his anger he mauled all of them to death then, with a great roar, died. The Qin king praised them: "The white tiger traversed four commanderies and killed one thousand two hundred people. Now in one day the problem is eliminated. No achievement could be greater than this!" The king wanted to observe the terms of his promise, but he despised them for being barbarians. So he had inscribed in stone the essentials of a covenant: the barbarians would pay no land tax for one qing of land, up to ten wives would be exempted [from tax]; those who injure others would receive a reduced sentence; those who kill others could redeem the death through payment of tan cash. The covenant said, "If Qin transgresses against the barbarians, it will pay with a pair of yellow dragons.101 If the barbarians transgress against Qin, they will pay a barrel of pure wine." 102 The barbarians were comfortable with this arrangement. This is a teleological myth intended to justify a modus vivendi between the bureaucratic Qin state, with its complex system of universal population registration and mutual responsibility, and tribal peoples who possessed neither the economic power to pay standard taxes nor the social organization necessary for a bureaucratically administered community. A number of non-Chinese peoples had similar myths to explain their relationship to the Chinese. The Man of the Hunan region and the later Yao told of a dog who fetched the head of an enemy general then, denied the proper reward because of his nonhuman identity, fled to the south with his promised princess where his descendants became the Man or Yao. 103 The broken is perhaps the best sense we can make of the existing text, but I suspect that in fact some characters have dropped out of the text. If so, it was before the Song. Funaki 1 9 7 4 : 4 2 ^ 5 suggests that shehu may be excrescent. The Tang commentary to H H S 86Z2842.nl quotes H Y G Z reading simply, " T h e Ba barbarians Liao Zhong et al. shot and killed it," but this quotation may paraphrase the original text rather than accurately reproduce it. t o i . Ren I 5 n 3 , following Deng Shaoqin, argues that long f | , "dragon," stands for long ifll, meaning a circular jade with a dragon carved on it. 102.. A "barrel," literally, a "bell" (zhong M ) , is variously reported as six hu M four dou if- (approx. 1 2 8 liters), eight hu ( 1 6 0 liters), and ten hu (200 liters). Values are for the Han dynasty. Dubs 1938-1955:!, 2 7 9 . 1 0 3 . Eberhard 1 9 8 2 : 8 1 , translating H H S 1 1 6 . For other examples, see the stories of the M i a o in Eberhard 1 9 8 2 ^ 2 5 - 1 2 7 .

ETHNICITY AND IDENTITY

41

promise motif common to these stories represents resistance on the part of the subjugated non-Chinese to the Chinese historical narrative of their defeat. The Zong myth rationalizes acquiescence in Chinese rule as a willing act of friendship rather than a humiliating surrender but expresses discontent with the resulting relationship by claiming that the Zong are in fact deserving of better treatment. Whether this tale is based on some historical tiger slayer or created from whole cloth to legitimize an existing modus vivendi between Qin and Ba, its value as a narrative of real historical events is at best slight. But precisely because it was created or adopted to justify real practice, its value in determining the historical situation during the time the myth was current is great. Thus we can be sure that there were marauding tigers in the Eastern Sichuan region and probably the occasional ferocious white tiger. Similarly, we can assume that the indigenous people of this region had a reputation as hunters and sometimes killed even tigers with crossbows. That the Qin ruler reneged on his initial promise because of the hunters' ethnic identity reflects a real or perceived disdain on the part of the Qin Chinese for their subject minorities, and since this story must have circulated among the natives as well to be effective, it probably reflects a resentment on their part at this treatment. Finally, the accommodations promised the non-Chinese with regard to taxation and penal law must also have reflected a historical situation at some time, though we cannot be sure when that was or if these provisions were still in effect at the time the tale was initially recorded, much less at the time of our source, the fourth-century c.E. Record of the Land of Huayang. A similar deal was struck with the Han but this time in recompense for a much greater contribution to the state.104 After the rise of the Han they followed Gaozu (Liu Bang) in putting down rebellions, thereby attaining achievements. Gaozu therefore exempted them, making them responsible solely for shooting white tigers.105 Each household would yearly 1 0 4 . H Y G Z 1/ 3 . 1 0 - 1 1 . 1 0 5 . T h e L i a o collation, followed by Ren, suggests that the " w h i t e " here is excrescent. Ren 1 5 - 1 6 1 1 4 explains that the white tiger w a s an unusual occurrence during the reign of K i n g Z h a o x i a n g and that if the " w h i t e " is not excrescent, then it must refer to the W h i t e Tiger barbarians. Here Ren establishes a false dichotomy between tribes worshiping the white tiger and those w h o kill them. A s for the Banshun's responsibility to kill tigers, white or otherwise, this is a ceremonial role meant to explain their excusal f r o m corvée duties and does not depend on the prevalence of tigers. " W h i t e " occurs in every surviving edition and should not be excised.

42

PART I : E T H N I C I T Y , R E L I G I O N , A N D

HISTORY

pay zong f t cash, forty per person. For this reason men of the day called them the White Tiger Exempted Barbarians. One source calls them the Board Shield Man-barbarians (Banshun Man They are the ones we call the Hard-headed Tiger Cubs (Jiangtou huzi ^SMf^-F). Ying Shao, writing around zoo C.E., gives a different version of this event:106 In Ba there are Zong people who are valiant and brave. When Gaozu was King of Han, Fan Mu § of Langzhong persuaded him to recruit Zong people to quell ^ the Three Qins. He enfeoffed Mu as Marquis of Langzhong Cifu District [KJ ^ ^ A He also granted a tax remission to the seven clans of Zong people whom Mu had sent, the Lu JH, Pu Ta E Du i X i and Xi H : they need not contribute taxes The Book of the Latter Han, composed a century later than the Record of the Land of Huayang, records that the clans of the seven shield-leaders, Luo M, Pu, Du U , E, Du, Xi, and Gong I I , were wholly exempted from land taxes while other clans had to pay the token forty zong cash. The Record of the Land of Huayang states that Fan Mu, having rejected a marquisate in Chang'an and the one in Langzhong mentioned above, was finally made Marquis of Dumian Mv^- 107 Fan Mu then goes on to exempt seven clans from taxes, the Luo, Pu, Zan E, Du, Xi, and Gong.108 Absent other corroboration, differences in the names of clans are difficult to resolve, but Chang Qu's list seems preferable.109 Ying Shao's account, indicating that only seven clans fought for Liu Bang, seems less credible than accounts (such as Hou Hanshu) naming them only as battle leaders. Chang Qu's version leaves open the question of on what authority Fan Mu was able to absolve these clans of their responsibilities. The Book of Jin account translated below attributes 1 0 6 . This passage is from a lost portion of the Fengsu tongyi but is preserved in the commentary to Wenxuan 4 / 1 8 a . 1 0 7 . H Y G Z originally had Dumian County, but there is no county by this name. C f . Ren 1 4 . 108. H Y G Z 1/3.14. 1 0 9 . Lu and L u o may be different renderings of the same native name, but Ta/Du and Xi/Gong would seem to be graphic errors. H Y G Z has a number of Gongs from the Langzhong area, but no X i s , hence G o n g must be correct here. There are both Lus and Luos, however. Neither Ta nor Du occurs as a surname, but Z a n occurs among the refugees; both Li X i a n g a and Li Z h i married w o m e n of the Z a n family. See Taniguchi 1973:81.

ETHNICITY

AND

IDENTITY

43

the imposition of the Zong tax to the Qin and follows Ying Shao in referring to their task as "quelling the Three Qin" but says only that Liu Bang exempted them from taxes, with no mention of specific clans and no distinction between leaders and followers. Luo Kaiyu (1991) has made a detailed analysis of all the surnames mentioned in these accounts. Luo argues that each leader (qushuai represents a "tribal alliance" of groups sharing the same surname and hence a putative common ancestor. He then proceeds to trace each of the eleven surnames mentioned, finding their antecedents in states that existed in areas from northwestern Sichuan to Hubei, including some that purportedly participated in the Zhou conquest, or if no likely candidates exist, to cite later examples of individuals with that surname in Sichuanese regions.110 If Luo is correct, then Ba in the early Han was an extremely cosmopolitan place and the Zong were an unusually diverse ethnic group, the result of the merger of several distinct, unrelated tribal alliances. There is, however, as yet no compelling evidence demonstrating the identity of any of the surname groups mentioned by Luo to those in the Ba lists. 111 Moreover, Luo does not try to reconcile clear graphic variants in the surname lists (e.g., Du, Zan, and Ta or Xi and Gong) but rather treats all as members of the Ba people. We can assume from this evidence that the Ba did not constitute a coherent, monolithic group, but rather was composed of a number of subgroups.112 This is evident also from historical and epigraphical 1 1 0 . For the Du surname, for example, Luo ( 1 9 9 1 : 1 3 7 ) can find no individual earlier than the Ming. h i . Luo assumes that all references to a given surname indicate branches of one tribal alliance, but by late Warring States China encompassed tens of millions of people, and we know that the same surname sometimes occurred among different ethnic groups, as in the case of the royal Ji surname's occurring among the Qiang and the Ba. 1 1 2 . The "Record of Ba" chapter in the Record of the Land ofHuayang lists the following varieties of Man-barbarians within the Ba region: Pu Zong Jst, Ju H , Gong i t , Nu Rang H , Yi H , and Dan I f . It is unclear whether these terms refer to distinct ethnic groups, subgroupings within a larger Ba ethnicity, remnants of former political entities, or clan associations. We have discussed the Zong, and the Dan, who are said to have lived on water, will occur in the following section. The Pu are an ancient and far-flung group, appearing in the seventh century B.c.E. and recorded over a vast area stretching from Henan though Hubei, Hunan, Eastern Sichuan, and Guizhou. Because of the many variations within the group and the lack of political cohesion, they are often referred to as the "Hundred Pu." It is uncertain if the term actually refers to a single ethnic group or is a more general term for non-Chinese like Man. You Zhong ( 1 9 7 9 : 1 5 ) argues that they are the ancestors of the later Mon-Khmer peoples of Southwest China. Ju was a state in north central Sichuan, with

44

PART I :

E T H N I C I T Y , R E L I G I O N , AND

HISTORY

records of subinfeudated statelets scattered across Sichuan. 113 The exact relationship of these smaller states or tribes to the larger entities of Ba and Shu is difficult to assess and, in any case, probably varied considerably through time as the power of the larger states w a x e d and waned. That the different surnames were treated as a group by their dominant neighbors (the Qin kingdom and the Qin and Han empires) does imply a certain degree of cultural similarity and perhaps a self-cognizant common ethnic identity. Ba men were prized as mercenaries throughout their history. We have seen that Chu used them in its eastern campaigns. One version of Sima Cuo's speech advocating a Qin invasion of Sichuan points out the value of the "valorous troops of Ba" in attacking Chu. 1 1 4 After their important role in Liu Bang's victory over Xiang Yu, they continued to serve the Han. During the Latter Han, they were instrumental in repelling repeated Qiang invasions. 115 M e n from a particularly backward and bellicose region of Ba, near Fuling 'in W.,

cultural ties t o Ba but ruled b y a cadet branch of the Shu r o y a l house. G o n g is p r o b a b l y t o be identified w i t h the h o m o p h o n o u s G o n g H , one of the seven surnames of the Banshun M a n . R e n cites a number of prominent m e n f r o m the l o w e r reaches of the Jialing River w h o were surnamed G o n g J t during the H a n . N u literally means " s l a v e , " and there has been some speculation that this g r o u p w a s o f t e n the victim of slavers. R e n suggests that N u m a y be an alternate writing for Lu ¡ft, a g r o u p that occurs in the Warring States era " O a t h at Shepherd's Field" chapter of the Book of Documents (see note 32 a b o v e ) . R e n notes that there w a s a w a l l e d city of L u in the D a n g q u area. A n o t h e r possibility, n o t mentioned in any previous scholarship k n o w n to me, is that N u is an alternate w r i t i n g of nu § or " c r o s s b o w . " W h a t e v e r the ultimate origin of the c r o s s b o w (India has also been p r o p o s e d ) , it occurs early in the S o u t h w e s t , the Ba were f a m e d f o r its use, and w o r d s with pronunciations similar t o nu (*na) are f o u n d in m a n y languages of the region ( N o r m a n and M e i 1 9 7 6 : 2 9 2 - 2 9 3 ) . R a n g (also written L a n g ® ) were located in the southeastern p o r t i o n of Ba and were f a m o u s for cliff burials. R e n uses this name t o associate them w i t h the early state of Y e l a n g ^ J i P i n G u i z h o u . Y i is a general term f o r n o n - C h i n e s e , originally of the East, but already applied t o the Southwest by Sima Q i a n . In H Y G Z it o f t e n occurs in c o l l o c a t i o n w i t h other terms f o r ethnic g r o u p s and it is possible that here it should be read as R a n g - Y i or even Y i - D a n . See R e n 9 ioni2. 1 1 3 . M e n g W e n t o n g r 9 8 1 : 2 7 - 3 5 u s e s a miscellany of historical and literary sources spanning over a millennium (including the surname lists discussed above) t o enumerate dozens of these statelets. M e n g ' s m e t h o d o l o g y is o p e n t o severe criticism, but there are still quite a f e w feudal lords w h o s e existence at this time can be considered adequately demonstrated, and w e c a n assume that o n l y a p o r t i o n of the total c o m p l e m e n t of m i n o r nobility has been preserved. 1 1 4 . H Y G Z 3/29.7. r i j . H H S 76/2843, 87/2889.

ETHNICITY AND IDENTITY 4 5 were recruited for a H a n elite force called the Red Armor Army. 116 Zhuge Liang l i i H ^ , master strategist of the Shu-Han state, also trained three thousand of them to fire volleys of crossbow bolts, then stationed them at the strategic crossroads of Hanzhong. 1 1 7 T h e centrality of warfare to their culture is reflected in the fact that some Ba place-names refer to different types of shields (e.g., the Lis' native Dangqu, or "curved shield"), as does the name of the Banshun or Board-shield M a n . T h e Ba people were also famous for their musical abilities. They gave to the Chinese a distinctive dance style and music that proved popular among the Chinese and other peoples for centuries. It was Liu Bang w h o brought them to national prominence: 1 1 8 When Emperor Gaozu of Han was preparing to subdue the Three Q i n s region (southern S h a a n x i ) f r o m his base in Shu and Han(zhong) provinces, Fan M u ffi @ 1 1 9 of Langzhong brought Z o n g men to follow him and they formed his vanguard. After the Qin area had been subdued, Gaozu enfeoffed M u as the Marquis of Langzhong and remitted [the taxes and corvée of] the seven clans. Their customs included a delight in dancing. Gaozu enjoyed their fierce, keen spirit and frequently went to see their dances. Later he had his musicians learn them. T h e Yu River flows through Langzhong and the dances are named for their residence; hence they are called the Ba Yu dances. Among the dance-songs H f S ] are: " T h e Yu Song of the L a n c e " ^ v i i ì ^ 3 K f t , " T h e Yu Song of the C r o s s b o w " ^ i f « ® , 1 2 0 " T h e Song of the Peaceful Pavilion" ^ J r ^ l K t ì , and " T h e Song of the Parting W o r d s " Ì T S Ì ^ f ^ t ì , four pieces in all. Because their language was ancient, no one could parse them. At the beginning of the Wei dynasty, the Libationer for Military Planning Wang Can was ordered to remake their lyrics. Can would ask Li Guan ^ ^ and Zhong Yu f^HI, the leaders of the Ba Yu, the meaning of the songs, then have them 1 1 6 . "Red armor" here would seem to mean bare-breasted. There is a mountain near Fuling called Red Shoulder (chijia / f f f ) where the red rocks on its slopes are said to resemble a man with bare shoulders. It seems likely that the Han troop was made up of men from around Red Shoulder Mountain. See Ren 37~38n6. 1 1 7 . H Y G Z 1 / 1 1 . 7 - 8 sub Fuling commandery; Sage 1992:169. 1 1 8 . Jinshu 12/693-694; see also Fengsu tongyi tongjian 4 9 1 , Tongdian 145/759L ^ 1 1 9 . Here I follow the reading in H Y G Z 1/3. JS originally had Fan Yin in accordance with JS i2/695ni2. 120. Omitting an

4 6 PART i : ETHNICITY, RELIGION, AND HISTORY try to sing [the n e w lyrics], listen to them, and compare them to the melody. H e changed the song titles to " T h e Y u N e w Blessings Song of the L a n c e " ^ r i f f f / l l l X ® , " T h e Y u N e w Blessings Song of the C r o s s b o w " 8 f r f u i / f i l l R f f l , " T h e Y u N e w Blessings Song of the Peaceful Pavilion" ^ S v H i f f f f i f i f l , and " T h e Y u N e w Blessings Song of the Parting W o r d s " f T i l f f t f S t e f f i - In " T h e Parting W o r d s " he extolled the virtue of the Wei. In the third year of Huangchu (2.2.2) the name of the Ba Y u dances w a s changed to the Z h a o w u

("Illuminating the M a r t i a l " )

dances. 1 2 1 These large-scale performances involving the brandishing of various weapons occurred to the accompaniment of drums and songs in Ba language. T o w a r d the end of the Former H a n there were thirty-six drummers and twenty-four singers performing these pieces at court, and they were also performed in the wealthy households of the capital. 1 2 2 W a n g Can's rewriting of the song lyrics, preserved in the Book of Song (Songshu

7 ^ 1 1 ) , maintains the martial air of the original,

but the lyrics have been modified to celebrate the founding of the Wei dynasty. 1 2 3 The dances remained popular through the Tang and spread as far as Central Asia. 1 2 4 1 2 1 . The account goes on to mention that in the early Jin dynasty the dances were renamed Xuanwu I f ; ® ; , "Disseminating the Martial" (no doubt because of a taboo on the name of Sima Zhao W] ,HBo), and paired with "Disseminating the Civil" dances. In 275 their performance was discontinued, but they were revived around the middle of the fourth century and continued in use until the Sui. During the mid-Tang, the lyrics to these dances (presumably Wang Can's rewritten version) were among the few to have survived the disruptions at the founding of the dynasty. See Tongdian 146/7618; Dong Qixiang 1 9 8 7 : 1 7 4 . 1 2 2 . HS 22/1073. Yantielun jianzhu but no surviving edition omits these characters. It seems far simpler to follow Liu (649n6) in understanding this phrase in the future tense. 4 2 . These are the headquarters of the three offices held by Luo Shang: Governor of Yi Province, Colonel of the Western Barbarians, and General Quelling the West.

164

PART 2 : THE HISTORICAL

RECORD

advanced to attack Wen Shi, killing him. 4 3 X i o n g w a s delighted and proclaimed a general amnesty, changing the reign title to Yuheng

5

Hi (Jade Balance). Jing and Xiang

provinces

and Wei Wen Yidu, Hubei).

The Di Fu

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created disorder in Yidu JlIjP (northwest of modern They

attacked Bodao,

moved

up west to Badong.45

causing the Grand

to flee and killing the Grand Second month. Bao Zhong

fell into disorder.44

Li Xiong's

Warden of Qianwei

Warden of Jiangyang

Yao

i&g2

Xi Badong.46

The Di Wei Wen and others rebelled at

campaigned

force

Weiji

against them but did not defeat them,

then

killed the Governor

Han Song. Song, sobriquet

Gongshi

a man of Nanyang

j^f^i. He was the grandson

of the Wei

dynasty

Bao Zhong took

personal

Great Minister over the Masses Han Ji control of the affairs of the three Third month.

together imprisoned killed them

47

Zhang

Zhang

Warden of

minisBadong

his wife, and son(s) at Yidu,

They then joined in recommending

of Ba Commandery ministries.

officials of the three

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Bao Zhong,

was

ministries.

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then

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Luo to carry out the affairs of the three

Luo established

his seat of government

at Zhi

43. H Y G Z 9 / 1 2 0 . 1 0 says that Xiang® sent Li Shi leading Li Feng to attack Wen Shi. See below. Qiao Deng's biography places his capture in the third year of Yongjia, that is, 309, but "three" is a common graphic error for "five," hence 44. This is the rebellion of refugees from Sichuan that boke out in 3 1 1 , with Du Tao its most prominent leader. See Z Z T J 86/27j8ff. 45. The Jin Annals place the Di attack on Yidu in the eleventh month of 3 1 0 . See JS 5 / 1 2 1 . The JS text at this point is either incorrect or corrupt, reading originally Wei Bofu Ren 4 7 7 ^ argues on the basis of H Y G Z that the text there should read "Wei Wen, Fu Cheng." The relationship of Wei Wen to Wei Bo is uncertain, but we hear no more of Wei Bo. Ren assumes plausibly that Wei Bo is by now dead and that the leadership of his clan has fallen to Wen, presumably a son or younger brother. Cf. JS 1 3 8 m 3 . 46. Ren edited by Xu Zhongshu f ^ ' Î ê f j 1 0 1 - 1 1 2 . Beijing: Wenwu chubanshe. Li Shaoming Lin Xiang and Xu Nanzhou eds. 1 9 9 1 . Ba Shu lishi, minzu, kaogu, wenhua EHjJ9j jfe • K M • ^ S " • X i t - Chengdu: Ba Shu shushe. Li Shaoming Lin Xiang # [ p ] , and Zhao Dianzeng eds. 1993. Sanxingdui yu Ba Shu wenhua ElijlSi'ibChengdu: Ba Shu shushe. Li Shiping ^"tË 2 ?- 1987. Sichuan renkou shi Chengdu: Sichuan daxue chubanshe. Li Xueqin ^^Wl- 1959. Yindai dili jianlun Beijing: Kexue chubanshe. . 1985. Eastern Zhou and Qin Civilizations. Translated by — K. C. Chang. New Haven: Yale University Press. . 1 9 9 1 . "Chu Bronzes and Chu Culture." New Perspectives on Chu Culture during the Eastern Zhou Period, edited by Thomas Lawton, 1 - 2 2 . Princeton: Princeton University Press. Liang Zhaotao ^ f i j f g , Chen Qixin P&JgFff, and Yang Heshu ^ . 1985. Zhongguo minzuxue gaikuang tpWl&Wi^Wi Kunming: Yunnan renmin chubanshe. Lin Huixiang 1936. Zhongguo minzu shi c f 3 I S j f e Reprint, Taipei: Commercial Press, 1978. Liu Jiusheng M t l Q i - 1986. "Ba Zong jianguo de zongjiao beijing" EîïiÈIIJlHJ^HSfcTNfJcShaanxi shida xuebao (zhexue shehui kexue) l ^ f f i D ^ M 1986.1:94-101. Loewe, Michael. 1982. Chinese Ideas of Life and Death: Faith, Myth, and Reason in the Han Period. London: George Allen &c Unwin.

BIBLIOGRAPHY

227

. 1979. Ways to Paradise: The Chinese Quest for Immortality. London: Allen 8c Unwin. , ed. 1993. Early Chinese Texts: A Bibliographical Guide. Early China Special Monograph Series, No. 2. Berkeley: Society for the Study of Early China and the Institute of East Asian Studies, University of California. 1 9 9 1 . "Banshun 'qixing' yu Zongren" Luo Kaiyu ^ j S A - In Ba Shu lishi, minzu, kaogu, wenhua BUj • RWi • # # • ¿ C i t , edited by Li Shaoming ^ Î S W , Lin Xiang^pfcfp], and Xu Nanzhouf^j^îfHj 132.-143- Chengdu: Ba Shu shushe. Maruyama, Hiroshi 1986. "Shöitsu dökyö no jöshö girei ni tsuite—'chöshöshö' o chüshin to shite" -h^Ä fcißiK t ^ ' b t LT. Töhö shükyö 68 (Nov. I986):44~64. Maspero, Henri. 1927. China in Antiquity. Translated by Frank A. Kierman. Amherst: University of Massachusetts Press, 1978. Mather, Richard B. 1959. Biography of Lu Kuang. Chinese dynastic histories translations, no. 7. Berkeley: University of California Press. . 1976. Shih-shuo Hsin-yü: A New Account of Tales of the World. Minneapolis: University of Minnesota Press. Meng Mo Liu Lin Tang Guangpei JUt^'/ifi, Hu Zhaoxi fi^HpBfl, and Ke Jianzhong MiÜ'-f 3 Sichuan gudai shigao EÏÏJIliÉj'f^jfeÎH- Chengdu: Sichuan renmin chubanshe. Meng Wentong M- 1 9 8 1 . Ba Shu gushi lunshu Chengdu: Sichuan renmin chubanshe. Mollier, Christine. 1990. Une apocalypse taoïste du Ve siècle. Le Livre des Incantations divines des Grottes abyssales. Mémoires de l'Institut des Hautes Études Chinoises. Paris: College de France, Institut des Hautes Études Chinoises. Morohashi Tetsuji I ^ M Î É ^ - 1 9 5 7 - 1 9 6 0 . Dai Kan-Wa jiten j^'M fPfjf A . 13 vols. Tokyo: Taishükan shoten. Needham, Joseph. 1959. Science and Civilisation in China. Volume 3: Mathematics and the Sciences of the Heavens and the Earth. Cambridge: Cambridge University Press. Ngo, Van Xuyet. 1976. Divination, Magie, et Politique dans la Chine ancienne. Paris: Presses Universitaires de France. Norman, Jerry, and Tsu-lin Mei. 1976. "The Austroasiatics in Ancient South China: Some Lexical Evidence." Monumenta Serica 3 2 : 2 7 4 - 3 0 1 .

1Z8

BIBLIOGRAPHY

Ofuchi Ninji 1 9 9 1 . Shoki no Dokyo it Oriental Studies Library, No. 38. Tokyo: Sobunsha. Prusek, Jaroslav. 1 9 7 1 . Chinese Statelets and the Northern Barbarians, 1400-300 B.C. Dordrecht, Holland: Riedel. Pulley blank, E. G. 1983. "The Chinese and Their Neighbors in Prehistoric and Early Historic Times." In The Origins of Chinese Civilization, edited by David N. Keightley, 4 1 1 - 4 6 6 . Berkeley: University of California Press. Qi Qingfu IP ffc U . 1990. Xi'nanyi H l f l M - Changchun: Jilin jiaoyu chubanshe. Qian Yuzhi f£3ijji;- 1993. "Bazu yu Shuzu wenhua kaobian" 160 Baishui Pass S7j 176, 186 capping, 72 Cavalier Attendant-in-ordinary iScfi ^ 160, 199, 206, 207 Cavalry Inspector I f 1 3 0 Cavalry Inspector of the Central Army i * « » , 149 Cavern-Heaven, 83, 147 caves, 1 1 7 , 1 1 9 Celestial Master, 1, 84; title claimed by Chen Rui, 80 Celestial Master Daoism, 4-5, 64, 66, 78, 82, 88-89; territorial diffusion, 77 Censor 1 3 1 , 198 Censor-in-Chief 122 Chancellor 84, 97, 98, 156, 158, 180 Chancellor of the Right i J z S t i l , 186 Chang Canghong n U t t , 166 Chang Chang 125 Chang Jun 129,144

INDEX Chang Kuan ^ H , 108, n o Chang Mei 129 Chang Qu S i i (ca. 2 9 1 - 3 6 1 ) , 6, i j , 22, 23, 8 1 , 85, 104, 1 0 8 - 1 1 0 , 1 1 4 , 206, 207; attitude toward Daoism, 85 Chang Shen 145, 146 Chang Xin ^gfc, 166 Chang'an, 100, 103, 104 charity, 61 Chen A n | ? t $ , 1 7 0 - 1 7 1 Chen Mengjia, 19 Chen Rui 79, 84 Chen Shou |5jf;#p (233-297), 66 C h e n T u ^ H , 147 Chen Xun ISi'NU, 1 2 4 - 1 2 6 Chen Zhun |5fiijS, 90 Chen Zong PjH§g, 125 cheng 7R. See Vice-Administrator Cheng establishment, 3; significance of name, 84 Cheng Aihuangdi (Li Ban), 184 Cheng Emperor Jing H ^ (Li Te), 143, 156 Cheng King Jing S I , 143 Cheng Rong f l g t , 166 Cheng Shizu inipl (First Patriarch), 143 Cheng state: population, 6; size, 6 Cheng Taizong yfc jk (GrandExemplar), 179 Cheng Wudi j S ^ (Martial Emperor), 179 Cheng Yougong (Li Qi), 189 Chengdu, 93, 107, 129, 1 3 5 , 144, 152, 1 5 3 , 1 8 8 , 1 9 2 ; as archaeological site, 18; plundered, 1 4 0 - 1 4 1 ; under the Qin, 25 chengxiang yRJ-fi. See Chancellor Chief Battle Leader iPSSlll, 154, 1 5 7 Chinese: language, 1 2 Chinese identity: assimilation to under Qin, 25 Chizu ^¡¡H, 145 Chouchi fAite, 59, 9 1 Chu conquest of Ba territory, 35; early capital, 29; early contacts with Ba, 28-34; intermarriage with Ba, 28, 34; invaded by Ba, 34; invaded by Shu, 34; King Gong of (r. 590560), 28, 34; King Wen of (r. 689677). 3 ° ; King W u of (r. 740-690), 30; use of Ba mercenaries, 44

INDEX Chu Suiliang í f j S J I . (596-667), 113 chunyu |fí-p bronze drums, 37 cinnabar, 119 cliff burials, 44 "Code of Great Perfection" 71 Colonel K i f , 124 Colonel of Skilled Officers M U f ô i f , 155 Colonel of the Eastern Qiang i f , 144, 186, 193 Colonel of the Reserve Army íüW-tíí i f , 155, 188 Colonel of the Southern Barbarians j^J ^ K i f , 95, !4°> l 6 o > ! 7 ° , *94 Colonel of the Southern Man i f , 170 Colonel of the Western Barbarians ffi^ t £ i f , 93. " 4 . I 3 ° . x 36, i 37> i 6 i . 163, 166, 176, 186, 193 Commander, 140 Commander of the Serrated-Flag Gate i z 6 , 128, 130, 134, 137, 145, 153, 158, 159 commanders JféfÉlfi, 136 Commentary to the Classic of Streams T k l l î i , 110 Commissioner Bearing Credentials f ^ í f f í , 93, 136 Community Drinking ceremony, 72 Comprehensive Mirror to Aid in Government íS"/n3¡SÍ¡l, 114 confession, 70 Confucius, 169, 173 congshi f í É ^ . See Retainer Connecting Master J^Sfi (Zhang Lu), 84 contests for rulership, 117-119 Continued. Book of Han $3/MU, 113 Controller of Determinations t>I$í, 78 cormorant figure, 18 corporal punishment, 61 Court Conference, 122 Court Gentleman, 162 covenant, 195 covenants: with non-Chinese peoples, 40 cremation, 56 Cuan Liang i l , 170 Cuan Shen 177-178 Cui Hong (d. 525), 112 Da Cheng Da Qin ^^,

9» 146

237 dachangqiu ^ J l f t . See Director of the Palace Domestic Service dadudu ^ " S i i f l . See Great InspectorGeneral Dai Mao ft/3;, 125 dajiangjun Jk^W-- See Great General Dan I f : ethnic group in Eastern Sichuan, 43, 47 Dangqu U ^ l , 117 Danyang 29 Daoism, 61; founding of, 1 - 2 , 67; political role of, 8 5 Daoist magician, 151 Dapeng 196 dasima ^ WJ^. See Grand Marshal Dawu ^C® reign period, 155 Daxi AiH culture, 27 daxing See great surnames Defender i f , 130, 134, 163 Defender Commanding Troops }f§;S-li|i If, J34 Defender of Cavalry I f I K i f , 160 Defender of Chariots i^t lift i f , 160 Demon Soldier of the Celestial Elder ^ 69 Demon Soldiers j^Lft, 75 Demon Troopers 69, 75 demons: in Celestial Master Daoism, 75 Deng Spring and Autumn era state, 28-30 Deng Ai §P3c (197-264), 121, 197 Deng Ding 158, 159, 170, 207 Determiner of Pneumas fliM» 78 Di ik (ancient ethnic designation), 13 Di (ethnic group), 58-60, 9 1 , 9 4 , 96, 102, 121, 146, 164, 167, 168, 170, 176; attitudes toward, 60; economic conditions, 59-60 Di high god(s), 62 Di Sou (people), 122, 133 Dian 71J culture, 46 Dianjiang fi'/I, 139, I45 diaspora of Daoist community, 77 Director of the Palace Domestic Service ^ f t l k 122 Disorders of the Eight Kings AzE^-ifL, 89-90 divination, 192 Dong Bing Ijrffi, 177, 178 dong duhu JpEHf "iM- See ProtectorGeneral of the East Dong Jiao ifflg, 193, 204 dong Qiang du • See Inspector of the Eastern Qiang

238

dottg Qiang xtaowei Mfttfiffri- See Colonel of the Eastern Qiang Dong Rong i f Hi, 1 8 1 dongqiang liejiang J f E ^ ® ^ . See Eastern Qiang Hunting Commander D o u R o n g H i t ( 1 6 B.C.E-C.E. 62) 1 3 5 ,

136 dragons, 40 Dragon-Soaring General MfflV&M, 166, 184 drought, 91 Du A t t l M , 145 Du Gong no Du GuangtingttgfjH (850-933), 1 4 7 Du Mengzhi t f c j £ i S , 1 5 4 , 159 Du S h u t t ® , 1 2 6 - 1 2 8 Du Tao ft®, 102, 108, 1 3 2 , 1 3 5 , 164, 170 Du Xi t ± H , 202 duhu 'If ¡¡H. See Protector-General Duke Huan of Ba Commandery E S P (Li Hu), 1 5 6 _ Duke Huan of Qi 176, 1 9 1 , 196 Duke of Fufeng (Li Shou), 190 Duke of Henan (Jing Qian), 188 Duke of Qiongdu County (Li Qi), 188 Duke of Wuling (Li Zai), 187 Duke Wen of Jin f r X f i - , 176, 1 9 1 , 196 Duke Xuan of Song 173 Duke Zhuangwen of Guanghan (¡Sr/H (Li Dang), 1 5 6 duwei See Defender duyou imPIS. See Investigator Duyu t i ^ , King of Shu, 22 duzbansbuai ©;&]]. See Chief Battle Leader Earl-Father of the East, 67 Earthly Office i f e U , 70 Eastern Qiang Hunting Commander jf[ 121 Eclectics 63 egalitarianism, 61, 74, 146 emperor: claiming title, 84, 93, 104 Emperor Wu of Jin f f ® ^ (r. 2 6 5 290). See Sima Yan Emperor Wu of Wei M & W (r. 2 2 0 226). See Cao Pi Empress, 1 7 0 , 1 8 6 , 1 9 3 , 203; Dowager, 193, Empress Jia Wfa, 9*~93

INDEX epidemics, 91 ethnic groups: distrust of non-Chinese, 93; in Eastern Sichuan, 43-44 ethnic identity, 1 1 - 1 5 , 50-54, 1 2 7 ; Chinese, 3; terminology, 3, 1 3 , 1 6 ethnicity. See ethnic identity etymology, 19 euhemerization, 23 eunuchs, 186 Fa Zheng ?£IE, 1 9 7 faith healing, 65 "Family Commands and Precepts of the Great Dao" 78 family soldiers ^ ^ , 8 8 famine, 9 1 , 1 2 1 , 1 5 3 , 194, 205 Fan Ben J l , 85, 1 0 3 , 107, 207 Fan Changsheng i S f t i f e , 2, 82-85, 9 7 98, 103, 1 4 7 , 1 5 4 - 1 5 7 Fan clan, 1 1 7 Fan Mu 42, 45 Fan Ye I S ® ! (398-445). 1 1 0 Fan Yin j'E.S. See Fan Mu Fang Xuanling J § £ ® b (579-648), "3 Fei Hei 167, 174, 1 7 6 - 1 7 8 , 186 Fei Li ( r ±L, 1 2 7 Fei Shu 129 Fei To S r f S , 1 2 7 , 136, 1 7 2 Fei Yuan H f j a , 126, 129, 1 3 5 Feng and Shan sacrifices, 63 Feng Fu i f 206 Feng Gai i l l S , 1 3 1 - 1 3 2 fenwei jiangjun ^Sjf^iffiW-- See General of Aroused Intimidation Filial and Pure 149 filial piety, 182 Five Officials E l i , 138 Five Stalwarts S T , 23-24 Five Streams EtIS region, 49 Flowering and Talented award, 1 3 2 Fractious Heir Apparent Jx Y~ (Li Ban), 184 Fu Cheng ttrfU (Di leader), 58, 60, 102, 1 2 7 , 146, 164, 170, 179 Fu River j g j l , 25 Fu Ying f f H , 1 7 4 - 1 7 5 Fuling 44, 1 0 3 , 1 4 5 , 1 5 4 fuzheng ¡ ¡ I f ® . See Regent Gan Ji T rf. See Yu Ji T cf Gan Zhongke tfiiB Rj, 64 Ge Hong (ca. 283-343), 66 General Arousing Ardor

130

INDEX General Assuaging the Army jfej|i)j§ j | 1 7 6 , 178 General Cresting the Armies MW-ffeW 163 General Directing the Army f l ! ( [ ) $ J|E 183 General Establishing Intimidation ffiW-, I55> 187 General Foiling the Charge i i " . i55> l 6 z General Intimidating Bandits J j|L, 1 2 6 - 1 2 7 , I 5 ° General of Aroused Intimidation J j M HZM, 1 3 1 , 1 4 4 General of Chariots and Cavalry 166,177 General of Doughty Cavalry WWti&W-, 1 3 6, 1 8 6 General of Martial Intimidation j^gSi US*, i36 General of Spirited Cavalry t&W-, 1 3 6 , 148 General of the Eastern Expedition |jE MffiM, 172-. 177» x9o General of the Guards WsV&W-, 186 General of the Reserve Army tt$W-r& W, 2.03 General of the Right iJjjffjiL, 198 General of the Southern Expedition fiE ffiffiW, 1 7 4 , 1 7 ^ 1 8 6 General of the Van 1 3 6 , 148, 1 5 2 , 190 General of the Western Expedition f]E 140,184,188 General Pacifying the North gcJb WtW-, 1 7 2 , 188 General Pacifying the West ^ H S f f i W , 107» 147 General Quelling the South 181 General Quelling the West zpHij^iti, 93» 1 3 2 General Rousing Ardor tiz^'lffiM, 161-162 General Stabilizing the Army 5,136 General Stabilizing the East 1 3 5 , 144, 194, 198, 207 General Stabilizing the North ftt^t}^ M , 193 General Stabilizing the South } M , 1 5 6 . l 6 l > x 77> 194 General Stabilizing the West j 192, 193

239 General Supporting the State ü General Who Spreads Intimidation m. mñW.,131 Generational Origins t l t ^ , 47, 1 1 3 Geng Teng I k ® , 8 1 , 93, 1 2 2 - 1 2 5 Genius of Shu Ü J Í , 83. See also Fan Changsheng f g f t £ goddess: of river, 1 1 8 ; of salt, 1 1 8 Gong i t : ethnic group in Eastern Sichuan, 43 Gong Hui H # c , 1 5 * Gong Ni H J g , 1 2 6 Gong Zhuang 38H±, 191» I 9 3 ~ I 9 4 , 199-200, 202 gongcao (shi) Ijj~ 1 7 7 - 1 7 8 , 194. 19 8 Governor of Yi Province, 93, 1 2 2 , 156, 1 6 2 - 1 6 3 , 201 Governor of Yu Province, 99 Grand Commandant 155, 157, 162 Grand Marshal ^ W] 1 5 7 , 205 Grand Preceptor ^CÉÍ, 1 9 3 , 205 Grand Preceptor of Heaven and Earth 156 Grand Preceptor of the Four Seasons, Eight Nodes, and Heaven and Earth A f f i a t e : * ; « , 84 Grand Protector 106, 1 5 5 , 1 5 7 Grand Steward 155 Grand Tutor ^ i t f , 1 5 5 , 1 5 7 , 1 6 1 Grand Warden 1 2 3 , 1 4 5 , 146, 149, IS 1 » 1 7 I > i74> i 8 4 . i o 4 Grand Warden of Ba Commandery E 164, 165, 166 Grand Warden of Badong G H , 164, 177 Grand Warden of Baxi B S , 1 5 4 , 1 5 8 , 162

2 4 O INDEX Great Minister over the Masses Grand Warden of Changsha 162 Grand Warden of Deyang 139 164 Grand Warden of Fuling 166 Great One —, god of the Way of Grand Warden of Guanghan IXM, Great Peace, 65 1 26, 1 3 0 , 1 3 5 , 1 3 7 , 1 9 3 , 194 Great Peace ^ ¿ p , 2, 74, 78, 84 Grand Warden of Hanjia M M , 194 Great Perfection ^frSc, 98 Grand Warden of Jiangyang tL|5§, 164, great surnames 88 166 Great Worthy and Good Master J z W Grand Warden of Jianning 177, &ÊÏM4 178, 198 Green Castle Mountain W i S U j , 83, Grand Warden of Jianping ÍÉ^F, 1 4 z 147 Grand Warden of Jincheng á í ® , 160 Green Sou Hf§| (people), 1 2 2 Grand Warden of Minshan V$|_L|, 124, ff ( 1 7 7 0 - 1 8 3 9 ) , h i Gu Guangqi 1 2 7 , 1 4 7 , 166, 186 Gu Huaisan in Grand Warden of Qianwei ftÜQ, 124, Guan Yu M l f t (?-zi9>, 1 5 0 126, 129, 1 5 3 , 164, 165 Guanghan HÎH, 1 3 5 Grand Warden of Shiping J é 2 ? , 168 guanjun jiangjun MW-fêtW- See GenGrand Warden of Shu Commandery Hj eral Cresting the Armies 1|5, 1 3 0 , 1 4 0 , 1 4 1 , 166 Guanqiu Ao { & J i H , 1 7 7 Grand Warden of Shushi í f e t l , 1 7 7 guest (qiao counties, 1 0 1 Grand Warden of the Han Kingdom M guidao i S . See Way of Demons H , 154 Guiji # i f , 196 Grand Warden of Xiyang iSMs, 201 Guizhou, 95 Grand Warden of Yidu g f ß , 166 Gujin yishi 'Ëj'^iiÈÎÈ, m Grand Warden of Yinping ö 2 ? , 1 3 8 , guoshi [H6fi. See Preceptor of State 172 z halberd blades j c , 2 1 Grand Warden of Zangke 7&> Han (Cheng) Emperor Xian J i f i ^ , 193 200 Han (Cheng) Shizu ÎMÎniffi. (Li Grand Warden of Zitong 130, Xianga), 202 1 3 1 , 138, 163 Han (Cheng) Zhaowendi 201 Grandee Remonstrant 134 Han (Cheng) Zhongzong 4 1 201 Great Cheng 1 5 5 . See also Cheng Han Bao 183 Great General 9 3 - 1 0 7 , 126, Han dynasty: religion, 61-66 139. 1 4 5 , 152-. i5 8 » 176. I 9 ° ) 2.00, Han Emperor Huan tHÊ'Sf (r. 1 4 7 204 168), 65, 84 Great General of the Eastern Expedition Han Fei, 169 iiEmxföM, 170,186 Han Gaozu /ISriffl. See Liu Bang Great General of the Northern ExpediHan Hao 203 tion fäjtxmw., 1 7 6 Great General of the Western Expedition H a n j i ^ g , 164 Han M province, 201 138.170 Great General Quelling the West zpgS Han Song 163-164 m •Xi&W-, 90Han Wei congshu MMtS.1t, Han Yue W f à , 183 Great General Stabilizing the East fj|3K Hanhai 111 XföW, 2.00 Hanjia M M , 103, 169; barbarians, 1 7 0 Great General Stabilizing the North fit Hanshu Mit- See Book of Han I t ^ f é * , 94. 1 3 4 . 1 3 6 Hanxing ¡HP!} (Rise of the Han) reign Great General Stabilizing the South íü name, 193 l ^ ^ i f ? * , 170. 186 Great General Stabilizing the West $ t Hanzhong M 4 1 : Celestial Master community, 2, 5, 6 1 , 74, 76-77, 80, 120; Great Inspector-General ^ I f ß l f , 93, participation of local magnates, 89; 94-95. 96, 1 1 6 , 1 3 6 , 1 3 9 , 1 4 5 , 1 5 2 , Cheng expansion into, 100; destina186, 190 tion for refugees, 92; incorporated

INDEX into Cheng state, 1 0 2 ; inhabitants transferred to Sichuan, 1 6 0 ; Liang provincial capital reestablished, 1 6 6 ; rebels against Jin rule, 1 5 8 ; refugees reach, 1 2 2 haozu See aristocratic clans Hard-headed Tiger Cubs ^ Ü J 4 2 Harrell, Steven, 50 He Chong {BJftJ, 1 4 5 He D i a n H I Ä , 1 8 1 - 1 8 2 He Duyuan ® l S 7 t ; , 9 1 He J u j n f E , 1 2 2 He Pan H P , 1 4 4 He San fflSifc, 90 He Yunzhong i p J j t cf3 > 1 1 1 He Z h u o (1661-1722), h i Heart (xiti 1 5 1 » !5 6 > x 73> 1 9 1 . 202, 204, 2 1 0 Li Tiaoyuan $|H¡7t; ( I 7 6 3 jinshi), i n Li Weidu 198 L i W u ^ I f , 1 7 2 , 176, 1 8 3 - 1 8 4 , 1 8 5 , 191 L i w u a $ a , 134 Li Xi 188 Li Xi" 188 Li Xiang 8 1 , 93, 1 2 2 , 124, 1 2 6 128, 144, 1 4 9 - 1 5 0 , 1 5 6 Li Xiang 3 93, 95, 97-98, 1 0 1 , 1 0 3 , 1 3 0 , 1 3 3 , 1 3 6 , 1 3 8 , 140, 1 4 5 146, 148, 149, 1 5 2 , 1 5 5 , 1 5 7 , 1 6 1 164, 1 6 8 - 1 7 1 , 1 7 3 , 176, 190, 1 9 3 194, 202, 204 Li Xiong 3, 96-98, 100, 1 0 2 1 0 3 , 106, 1 3 6 , 1 3 8 , 1 4 1 , 143, 1 4 5 148, 1 5 1 - 1 8 0 , 1 8 3 , 1 8 5 , 190, 200, 202, 204, 208 Li Xiu daughter of Li Yi, 1 6 1 Li Yan $ § 6 , 192, 198 Li Yan 3 3=51, 1 8 7 Li Yan b 199, 202

243 Li Yi 95, 1 3 7 , 140, 160, 198 Li Yi J 106, 188, 1 9 2 - 1 9 3 , 198, 200, 204 Li Yi b 201 Li Yong 184 Li Y o u ^ f f l , 1 5 7 , 184, 187 Li You 3 188 Li Yuan 122, 134, 136, 142, 161 Li Yue 106, 1 7 7 , 1 8 2 - 1 8 3 , 1 8 5 186, 188, 1 9 1 - 1 9 2 , 202 Li Yun 155, 158, 1 6 1 , 167 Li Zai 187 Li Zhao 103-104, 161, 1 7 1 172, 181 Li Zhi 171-172 Liang 3 ® province, 1 7 0 Liang Shuang 153 Liang Tong 135 liangjiang See Worthy Commander Liao Yin JjSjii ( 1 7 5 2 - 1 8 2 5 ) , i n liaoshu {ff Ü . See bureaucrats Libationers 4, 68-70, 72, 80 Lieutenant Governor, 1 3 2 lingjue iijr¿&- See Controller of Determinations lingjun jiangjun vHW-t&W-- See General Directing the Army Linjun S i f t , 48, 1 1 7 . See also Lord of the Granaries Linwei Em?f, 1 1 7 Lipuo people, 5 0 - 5 1 literacy: among Celestial Master Daoists, 70; in ancient Ba, 37; in Chinese language, 16 Liu Bang 27, 4 1 , 44, 1 1 9 , 1 7 5 Liu Bei §gljH, 89, 99, 196, 1 9 7 , 208 Liu B i n g f l M , 1 3 4 Liu Chen §flj¿fc, 95, 140 Liu Cong MW, 1 0 3 - 1 0 4 Liu Dachang glj j z H , h i Liu HuaflJ-fb, 1 5 1 Liu Ni ffljm, 97 Liu Shan §|lji|iip (207-271), 99, 1 2 1 , 209 Liu Xiang $¡[a¡ (77-6 b.c.e.), 1 9 1 Liu Xiu i f l j ^ , Emperor Guangwu (r. 2-5-57), 63 Liu Yan S!| j j , 76 Liu Yao S B S , 60, 1 0 3 - 1 0 4 , 1 7 1 Liu Yuan 5, 9 9 - 1 0 0 , 103 Liu Zhang g l j i f , 64, 76, 197 Liu Zhiji ( 6 6 1 - 7 2 1 ) , 109 lodges of righteousness f i ' i r , 69

244 Long-lived Fan. See Fan Changsheng Longshan culture, 12 longxiang jiangjun See Dragon-Soaring General Longyou region (Gansu), 170 Lord of the Granaries MM, 4, 4 7 - 4 9 , 75» " 3 . " 7 Lost Zhou Documents jUMUt, n Lu Dafang g A K i , n o lu shangshu Hcfpillr. See Overseer of the Imperial Secretariat lu shangshu shi i ^ f n j l j i l i . See Overseer of the Affairs of the Imperial Secretariat Lueyang lg|S§, 58, 117, 120, 132, 192 luo j g "village," 47 Luo An M S , 114 Luo Heng H f i , 192-193, 198 Luo Kai jH0l, 185 Luo Kaiyu, 43 Luo Qi 166 Luo Shang Hf£}, 82-83, 93, 98, 101, n o , 130-138, 140-142, 145J 47> I 5 2 - I 5 4 > I 5 7 - I 5 8 . l 6 o > l 6 i , 208 Luo Tun I I 4 i , 178 Luo Yan H S i , 172, 186-187 Luo Yang U|ft, 161 Luo Yanshou SiJEjlp, 160 Luo Yu H i , 160, 163 Luo Zhun 139 Luoyang, 103, 149, 154 Liishi chunqiu. See Springs and Autumns of Master Lit Ma Dang M S , 193, 199, 204 Ma Tuo 162 Ma Xiang Hffi, 66 Ma Xiu ii-f^, 132 Madame Li ^ J J ; (wife of Li Shi"), 203 Madame Luo M R (mother of Li Ban), 187 Madame Luo M R (mother of Li Xiong), 146, 151, 156, 168 Madame Ren f i J3; (wife of Li Xiong), 170, 172, 183, 185, 188 Madame Yan H.K (wife of Li Qi), 186 Madame Yan HfliS, (wife of Li Shou), 193, 203 Madame Zan (wife of Li Xiang 3 ), 157. 193 Madame Zan ^ R (wife of Li Zhi), 187

index magnates, 88-89 Man 3 i (ethnic designation), 13, 32, 40, 43. 97 Man §t surname, 28 Manzi I f - p , general of Ba, 35 Mao Fu 138 Mao Yan 178 Mao Zhi 138 marketplaces: regulation of, 84 Marquis {H, 131, 150 Marquis of Changle Township H ^ ® (LiTe), 131 Marquis of Linqiong (Li Guang), 204 Marquis of Wuyang S^Rif^ (Li Liu), 131 Marquis of Xishan ffi |±|{j| (Fan Changshen), 157 Marquis of Yangquan Post fcSjft^iH (Li Xiang), 150 Marquis of Yiling 91 Utile (Luo Shang), 160 Marquis Returning to Duty f^i!i{il(Li Shi3), 207 Marquis Xiang of Jin # S l f e 169 marriage: in Celestial Master church, 73 Mars (planet), 203 Marshal 126, 139, 145, 166, 177, Marshal of the Western Barbarians, 5^10,If 12 6, 166 Master BTfJ, 84 Master of Counsels H i , 136, 193 Mencius, 182 Meng Ben T&M, *44 Meng Guan i£lW., 91 Meng Shao matt, 137 Meng Xian MM, 170 Meng Yan jf?, 198 mercenaries: Ba troops as, 44 Merit Officer itjW, 114, 153, 160 Mianzhu 93, * z 9 , i3 2 > M4 Miao eh (people), 40, 75 migrants, 80-81 Military Advisor # j | l , 101, 126, 137, J 4 7 , ! 5 8 , 167, 207 Military Protector M.W-, 154. 159 Military Protector of the Western Barbarians ffi^lS^, 129 militias 88 millenarian belief, 73, 76 minions /R3f, 136 Minister of State +§11], 93, 176, 186, 188, 193, 204

INDEX

Minister of Works 155,157, 161, 168 Minister over the Masses WJÌÈ, 155, 157, 161, 173, 182, 186 miraculous birth, 151 Mon-Khmer peoples, 43 "Monthly Ordinances" 71 Mounted Escort SO^, 126 mourning, 168, 169, 182 mouzhu mi. See Master of Counsels Mozi, 56, 70 mu ft. See Pastor Muluo 177 Mysterious Palace, 'H, 196 myth, 40, 47-49; of Lord of the Granaries, 1 1 7 - i 1 9 tteisbi 1^3St- See Seneschal Neolithic era, 17, 25 Newly Emerged Correct and Unitary Dao of Covenanted Awe, 67 Ning province, 177 Northern Wei Emperor Mu 175 Nu ethnic group in Eastern Sichuan, 43 Nuochu M M , 29-31 Nuosu, or Black Yi, 50 oracle bone inscriptions, 19, 2.7, 55, 62 ordination, 72-73 outpost J3Jc, 167 Overseer of the Affairs of the Imperial Secretariat fa} ( f f l i , 182, 186, 190, 200 Overseer of the Army i s ? ! , 95, 128, 140, 163, 177 Overseer of the Imperial Secretariat fotti, 92-, 176 Palace Attendant {^^f3. 93, I 4°> I 56, 172, 188, 190, 192, 204, 206 Palace Attendant-in-Ordinary ^ ^ f ^ f , 188, 199 Palace of the Mysterious Warrior S S g , 196 Palace Squire 129 Paleolithic era, 17 Parish-Heading Great Libationer ?'n EM xmm, 69 parishes 69, 78-79 Pastor ft, 126 Pastor of Yi Province & j t l f t , 93, 96, 126, 135, 139, 145, 152, 192 Pei 66

245

Pei Songzhi (372-451), n o Pei Wei m M , 92 penal law: compared to Celestial Master rules, 71; exemptions from, 40-41; harsh under Li Shia, 205; harshness under Li Shou, 200; liberalism under Cheng rule, 170; simplification of, 84 penance, 70 pestilence, 194 physiognomy, 151 Pi&M, 152 Pi Su 101, 162, 163 piaoji jiangjun H i t iff See General of Doughty Cavalry pingnan jiangjun zpj^jlfif i|E. See General Quelling the South population movements, 88, 120, 165 population roster J f , 72 portents, 183, 187, 191, 194, 195, 203-204, 205, 210; of Li Xiong's greatness, 151; white rainbow, 132 Preceptor of State 10®, 84 precepts, 73 Prefect Prefect Prefect Prefect Prefect Prefect Prefect Prefect Prefect

of Chencang 134 of Chengdu f S U l ^ , 127 of Du'an 166 of Jiangyuan '/IJ^^, 126 of Linqiong BSsIFS^p, 126 of Mianzhu 135 of Shanggui _hi|$Ti, 134 of Shichang ¿¡•H^p, 134 of the Grand Astrologer's Office

183, Prefect of the Grand Provisioner ^"g" 180 Prefect of the Imperial Secretariat fSjU 97, i 5 6 , z 5 7 , 182, 186, 188, 193,199 Prefect of the Palace Secretariat 4 ' l i 180 Prefect of Wuyang S G i i ^ , 126 Prefect of Yinping , 129, 134 prehistory, 17 prophesies: about Laozi, 82; about Li family, 97; about Li Te, 85; about restoration of the Han, 97; concerning Li family, 155; messianic, 2, 5; of migration, 151; political, 123, 133 Protector (bo f6), 54 Protector-General 129, 134, 137, 145 Protector-General of the East US, 144

246

INDEX

Provost of the Army W- 5], 1 5 4 Pu ?H, ancient ethnic group, 2.8, 43, 208 PuTai iji Pulley blank, E. G., vii, 55 puye f . See Archer-in-Waiting

Regent 182,190 registers Hi of Daoist office, 7 2 reign name, 1 3 9 Ren Cang ftj®c, 1 3 4 , 1 3 6 , 1 4 5 R e n D a o f t j S , 139 Ren Hui ft®, 1 2 2 , 1 2 7 , 1 3 6 , 1 4 0 ,

Qi » , 1 5 3 Qi B a o f t l i , 1 3 5 Qi Wannian 58, 9 1 , 1 2 1 Qian Gu i " qiati jiangjun HUjt^liL See General of the Van Qiang ft (people) 1 2 , 1 4 , 54-58, 8 1 , 9 1 , 146; deprecatory remarks concerning, 1 3 5 ; of Malan ^ j f f l Mountain, 1 2 1 ; rebellion, 1 5 0 Qianwei 102, 125, 152 Qiao Deng S t § , 1 5 7 , 1 6 1 , 1 6 2 , 1 6 3 Qiao Zhou H J f | ( 2 0 1 - 2 7 0 ) , 1 9 6 Qin ifi: administrative reforms, 24; conquest of Ba, 36; expansion into Sichuan, 2 4 - 2 5 , 36, 44; joining Chu and Ba in battle, 3 3 ; King Zhaoxiang of (r. 3 0 6 - 2 5 1 ) , 39 Qingchengshan See Green Castle Mountain Qingjiang fm '/I, 49; route of Shu invasion of Chu, 34 Qu River Hfirl, 2-5, Qu X i n ^ l g f t , 1 3 6 Queen Mother Z E ^ J n , 1 5 6 Queen Mother of the West E i S , 64,

I 2-I 5 53> i65, 1 7 ° . *74, *77 Ren Ming íí^M, 1 4 1 Ren Rui ftfí, 1 4 1 , 1 4 2 Ren Shao ft®, 1 7 7 Ren Tiao ftp, 1 7 7 , 1 9 2 , 1 9 3 Ren Yan ft I S , 198 Renwu soldiers, 96 Retainer $ ^ , 1 3 1 Retainer Administering the Palace )p 4-1

67 Quiet Rooms,

70

Rang i ® : ethnic group in Eastern Sichuan, 43 rebellions: ethnic, 74, 8 1 , 99, 100; messianic, 65, 82, 85, 97, 99 recluse, 1 5 4 Record of Rites ijifllB, 7 1 , 1 8 2 , 189 Record of the Land of Huayang Ij!^ 6, 1 5 , 22, 109; circumstances of publication, 85; transmission, 110-112 Record of the Three Kingdoms 66, 1 1 0 Recorder 1 * 5 , 149, i 6 5 Red Eyebrows, 64, 68 refugees, 88, 92, 1 0 2 ; enter Sichuan, 1 2 2 ; forced repatriation, 1 3 2 ; from Hanzhong, 1 7 0 ; from Sichuan, 1 5 8 , 164; province distributes grain to, 123

ÍÍÉV. Iiz> 1 7 5 Retainer of Yi Province, 1 4 1 Revenue Section ^ W , 1 2 2 river goddess, 1 1 8 Rong (ethnic designation), 1 2 - 1 3 , 3 1 , 55, 57 sacrifice, 62, 68, 72, 80, 1 9 5 , 206 Sage, Stephen E , 1 7 , 23 salt, 48, 1 1 9 salt goddess, 1 1 8 sanji changshi I f t l f See Cavalier Attendant-in-Ordinary Sanshiguo chunqiu H + S s l ^ f Ä , 1 3 4 Sanxingdui H ä t S U 1 7 - 1 9 Sanyuan H j n . See Three Primes schools, 84, 1 7 9 Scripture of Great Peace ^ C 2 ! 1 ! ! , 63-64 Scripture of the Transformations of Laozi 65 scriptures, 69, 7 2 seed people f i g , 7 3 - 7 4 Seidel, Anna, vii, 65 self-cultivation practices, 63 Seneschal 93; of Shunyang, 160; of Zitong, 1 6 1 Senior Aide ¿ I s t , 1 2 6 , 1 2 7 , 1 2 9 , 1 9 2 shamanism, 75 shamans, 85, 1 2 0 Shang dynasty, 1 2 ; relations with Qiang, 54; relations with Shu, 20; religion, 62 Shang Yang pjlfc, 188 Shangguan Dan ±T¡T}®f, 1 8 7 Shangguan Dun _hHPl¥, 1 3 6 , 1 4 5 , 169 Shangguan Jing _ h 1 í ¡ f a , 1 2 7 , 1 3 6 Shangguan Qi i l T S í n f , 1 3 6 Shangshu to}® 1 . See Book of Documents shangshu f n j l t . See Imperial Secretary

INDEX shangshu ling fcíH TÍ". See Prefect of the Imperial Secretariat Shanyu IpL^p, 99 Shao Pan 1 7 7 , 178 Shaughnessy, Edward L., 2 1 Shen Spring and Autumn era state, 30 Shenxian zhuan See Biographies of Divine Transcendents Shi Ding 5 Jg, 146 Shi Hu Sj5?g (295-349), I 0 4> 106, 199 Shi Jishe ± c í t í , 188 Shi Kuang S M , x8i Shi Le E l i (274-333), 1 0 3 - 1 0 4 , 175 Shi Wei 196 Sbiben See Generational Origins shichijie {Üí^tfí. See Commissioner Bearing Credentials Shiji S^lB- See Account of the Historian Shiliuguo chunqiu + /ÑÍs¡#|J(, 1 1 7 . See also Springs and Autumns of the Sixteen Kingdoms shizhong f^f 4a. See Palace Attendant Shu Hj, 19-25; ancient forms of graph, 19-20; as place of banishment, 25; in oracle bone inscriptions, 19-20; invades Chu, 34; mythology, 22-23; relations with Ju and Ba, 36 Shu Han shu SOÜtUí • See Book of Han in Shu Shu hou zhi §§ . See Later Record of Shu Shu Li shu Iiy^ilf, 1 5 1 Shu-Han state, 82 Shuijing zhu See Commentary to the Classic of Streams Shuitian people, 51 Shushi 103, 170, 1 7 7 Shuwang benji See Annals of the Kings of Shu sikong See Minister of Works sima W] F^. See Marshal Sima Biao W | , Ü ( 2 4 0 - 3 0 6 ) , 1 1 3 Sima Jiong, King of Qi ^ I W ] E£ [S], 89, 92, 94 Sima Liang, King of Runan í í c S H 5] Ü Ä , 89 Sima Lun, King of Zhao i£S3íWJII{ffií, 81, 89, 90, 92, 123 Sima Qian WJUxS, T 4 Sima Rui W]JHF, 1 0 3 - 1 0 4 Sima Tong , King of Liang 90 Sima Wei, King of Chu ® £ s] Ef I f , 89

2.47 Sima Xin WJUSc, 96 Sima Xun WJM.lKj, 187 Sima Yan W]Ji jfc, 89 Sima Ye WlUSt, 103 Sima Yi, King of Changsha H'{'}/ 3 i SJ J § X , 89,96-97 Sima Yia WJMSS (179-2.51), 89 Sima Yi b W[iiig, 126 Sima Ying, King of Chengdu fr!clilS3E.WJ MW, 89, 94, 96-97, 99-100 Sima Yong, King of Hejian M FbJ EE 5] H S i , 89, 95, 97, 99-100, 140 Sima Yue, King of Donghai jf['ii§3i Wj U S , 89,97,99-100,103 sin, 70, 83 sinicization, 4, 1 5 , 16, 39; of Ba people, j 2-60; of Shu under Qin rule, 25 sinocentrism, 1 7 Si-sou (people), 104, 174, 1 7 7 slavery, 60 social organization, 18, 88 Son of Heaven, 1 9 2 - 1 9 3 , 196 Song Dai 1 4 1 , 145, 146, 147 Song Du 174 Song Ning 125 Sou §! (people), 94, 1 3 3 , 140, 146 Sovereign Earth 70 spirit generals, 72-73 spirit mediums, 78, 81, 168 Spring and Autumn Annals, 175 Springs and Autumns of Master Lit, 71 Springs and Autumns of the Sixteen Kingdoms + 14,112,114 Stein, R. A., 85, 146, 168 stones, sacred, 1 1 8 succession, 1 7 2 - 1 7 4 , 209 Sun Ce (175-200), 173 Sun D e n g ^ g , 1 8 1 S u n E n J ^ H , (d. 4 0 2 C.E.), 6 9

Sun Fu J&Jfi, 96, 142, 145, 146 Sun Quan (182-252), 89, 173, 1 8 1 Sun Xingyan J^SLfii ( 1 7 5 3 - 1 8 1 8 ) , 1 1 1 Sun Xiu J ^ J f , 81, 93-94 Supervisor of the Palace Secretariat ^ IrSgi, 206, 207 Supreme Lord Lao ^ J r ^ H , 67. See also Laozi Sword G a t e ^ J H , 82, 208 Sword Pavilion JrIJI®, 1 2 1 , 1 2 2 , 208 swords: in magical contest, 1 1 8 taboos, 168 taibao See Grand Protector

248 Taibo son of Zhou King Taiwang, 16, S3 taidi See Imperial Brother-Heir taiguanling tj-. See Prefect of the Grand Provisioner Taihe (Great Harmony) reign name, 203 Taiping Dao ^ z p i E . See Way of Great Peace Taiping qingling shu fill. See Book of Great Peace with Green Border taizai See Grand Steward talismans, 75 Tang Emperor Taizong (r. 6 2 7 -

649), 1 1 3 Tao Hongjing (452-536), 77 Tao Kan pSJiffi, 1 0 3 taro, 1 5 3 taxes: reduction of, 84; special dispensations regarding, 3 9 - 4 3 ; under Li Xiong, 1 7 9 , 208 Temple of Great Perfection ^ i S ® , 202 Temple of the Primordial Ancestor of the Han ¡HiSifDiil, 202 Three Offices H l f , 70 Three Primes H.7G, 7 2 Tian ^ (Heaven), 62 Tian Bao 03 jg, 1 8 6 , 188 Tian Zuo EBfe, 1 3 4 , 1 3 5 Tianxin thunder rites, 73 Tibeto-Burman languages, 54 Tibeto-Burmans, 1 2 tigers, 7 5 ; on Ba weapons, 49; white tiger, 3 9 - 4 1 , 47, 1 1 9 ting {f-. See hostels Toba Qilu J B B t f t l t (?~316), 1 7 5 tokens of faith fg, 155 totem, 49 Tradition of Zuo ¿E'PS, 1 2 7 transcendents: terrestrial, 74 translation: principles, 6 treason, 1 2 8 , 188 tree worship, 76 Tujia people: possible descendents of Ba, 49; religious beliefs, 7 5

INDEX Wang Dun I E ® , 1 0 4 - 1 0 5 , 1 3 0 Wang Gu 31i$J, 1 8 1 , 1 9 9 , 200, 204,

206

Wang Wang Wang Wang Wang Wang Wang

Guang IE I t , 1 9 9 Gui 182, 186 H u a i í ' É , 136 Jian I E ® , 1 6 7 Jiao 130 Li IE ill, 1 2 4 , 1 9 2 Mang 31 f f (45 b.c.e.-c.e. 23),

63-64

Wang Ming-ke, 1 4 , 1 6 , 55 Wang M o 31111 ( 1 7 7 7 jinsbi), i n Wang Ningzhi 3 í Í i ¿ , 69 Wang Ru 31£n, 1 0 2 , 1 6 7 Wang Shi i f f , 207 wang taihou EEyfc/a. See Queen Mother Wang Xin 3 1 ^ , 139 Wang Xun 3121, 171, 200 Wang Yi 31J!|, 1 6 6 Wang You 3UÜJ, 2 0 7 Wang Yu IE i f f , 207 Wang Zai I E © , 1 7 1 wanted posters, 1 3 1 - 1 3 4 Water Office ^ f f , 70 Way of Demons $Lüi, 7 5 , 80 Way of Great Peace ^ z p j l , 65 Wei Bo (Di leader), 58, 1 2 7 , 1 4 6 , 151. 153 Wei Emperor Wen M X W (Cao Pi), 1 8 1 Weijigyg, 164-165 Wei of C h u ^ É , 209 Wei Shou (506-572), 1 1 2 Wei Wen g t X (Di leader) 1 0 2 , 1 6 4 -

165, 170, 179, 207

weijiangjun Jp. See General of the Guards weikou jiangjun See General Intimidating Bandits Weishu g&tf- See Book of Wei well-field system, 1 8 2 Wen Ang *49 Wen K u i X S , 1 8 1 Wen Shi XfiS, 1 6 1 , 1 6 2 , 1 6 4 White tiger [tax-]exempted barbarians

49 universal priesthood, 7 2 Utopian beliefs, 2 - 3 , 82, 8 4 - 8 5 , 1 4 6 Vice-Administrator

138,158

Wang Can 3 1 ^ ( 1 7 7 - 2 1 7 ) , 45 Wang Da 3131, 1 3 6 , 1 5 6 , 1 7 3

wine, 40 Worthy Commander 149 Worthy Commander of the Eastern Qiang 127 Worthy Fan ^ b J ? , 1 5 6 . See also Fan Changsheng ftijk^L W u G u a n ^ i g , 111

INDEX W u H a n ^ ? H , 206 Wu Jian MM, 160 Wu region, 196 Wu Zhao 158,159 Wudan ZEIÉ, 47 Wudu 59 wuguatt E ' g i • See Five Officials Wuhuan ft® (people), 99 Wuluozhongli Mountain, 117 wuwei jiangjun M.I^^W- See General of Martial Intimidation Wuxiang 117-119 Wuyi Yuanjian fc^S^J, Qiang chieftain, 56 Xi Bin 136 Xi Wei J S H , 140 Xia Kuang JE|e, 137 Xia Yu M W , 144 Xiabian 171 Xiahou Yuan Xf^tìfjìl, 59 Xianbei t^-Sp- (people), 9 9 - 1 0 0 Xiang Chen [p]^, i 6 6 Xiang clan 117 Xiang Da, i n Xiang Fen [ p 1 6 1 , 162 Xiang Yu J 5 ( 2 3 2 - 2 0 2 ) , 175 Xiang Zhen ¿ i i ^ , 138 xiangguo filili. See Minister of State xiaoji jiangjun See General of Spirited Cavalry Xie Shu i t ® , 178, 200 Xie Siming 192, I93, I98, 199, 202, 204 xin {g. See tokens of faith Xin Bao 154 Xin Ran 93, 130, 132, 133, 134, 135, 136, 151 Xincbu zhengyi mengwei zhi dao, $ff IE — S l J i E i ì i - See Newly Emerged Correct and Unitary Dao of Covenanted Awe Xinfan ^ff®, 142 Xiongnu feJÌX, 5, 59, 99 "Xirong lun" '{Sk^mi- See "Argument for the Transfer of the Barbarians" Xishan ¡S|JL|, 154, 156 xiyi hujun ®HIS^See Military Protector of the Western Barbarians xiyi xiaowei ¡ 5 J I R l i . See Colonel of the Western Barbarians Xu F u f i ® , 186, 188 Xu Hanshu U i U l r . See Continued Book of the Han

249 Xu Jian 130, 141 Xu Jingzong fFÉScg? (591-672), 113 Xu Xiong ffttjk, 138, 140, 154 Xu Yan 126, 128 X u Y u ^ « , 147,156 Xuan Ding 158, 159 xuanwei jiangjun Wg^íj^íiE. See General Who Spreads Intimidation Xuanwu ]|[IS dances, 46 Xun Yin f j H , 188 Ya Bo fnjM, 95, 137-138 Yan Cheng g £ g , 136 Yan Lan Mffi, 163 Yan Pu M i l , 76 Yan Shi 101, 121, 132, 134-136, 156, 1 5 7 , ^ 6 1 Yang Bao 134, 136, 156, 180 Yang Bin fáffl, 127 Yang Fa 156 Yang Fen 166 Yang Gui H g , 136, 156 Yang Hong W f c , 156 Yang Hu 167-168, 170 Yang Huan 153 Yang Maosou 59, 9 i ~ 9 2 , ioz103, 167-168, 170 Yang Nandi $§ Ig ffi! 59-60, 104, 167, 168, 171, 172, 177 Yang Qian f l Ü , 177 Yang Quanxi f§tH||, 27 Yang Xian 163 Yang Xiong £§£§(53-18), 22 Yang Yu ffiffl, 165 yanglie jiangjun MZHMW- See General Arousing Ardor Yangping Pass HfZpH, 163 Yangshao culture, 12 Yanping Je 2 ] 1 (Joyful Peace) reign name, 156 Yanyang U p l , 118 Yao Hua$fclji, 186, 188 Yao % (people), 40; as practicing Daoists, 73 Yao Shen ^Lftfl, 145-146 Yao Xi ft», 164 Yao Yue ¡ É S , 171 Ye J5: center of Cao family power, 77; Later Zhao capital, 200 Yelang 44 Yellow Prognostication of the Stars of Zhao ® Mitt ¿5, 113 Yellow Springs j t ^ , 63 Yellow Turbans j f r f J , 64, 84

25O Yi

13; ethnic group in Eastern Sichuan, 43 Yi Bp, clan 117 Yi fi (Lolo) people, 50-52 Yi River H7JC, 118 Yi Xin tggfc, 130 Yi Zhou shu ìiljfj U . See Lost Zhou Documents Yidu g f S , 164 yijuti jiangjun j|L See General of the Reserve Army Yin Feng 177, 178, 186 Ying HP, later capital of Chu, 31 Ying Qu flBM (190-2.5^), i o * yishe ü See lodges of righteousness You IP, Spring and Autumn state, 2 8 30; besieged by Ba, 34 you chengxiang tSTÉtfñ- See Chancellor of the Right Yu Fan MM (167-233). 83 Yu Gong ^pfi-, 194 Yu Ji 64 Yu jf!j River, 120 Yuan Qia liria', 129 Y u e C i ^ , 172 Yufu ft mythical ruler of Shu, 18, 22 Yufu Ford ft j g j ^ , 125 Yuheng 3íílr (Jade Balance) reign name, 164 Yuheng 3E® (Jade-like Constancy) reign name, 185 Yunnan, 95, 161 Yunping ® zp, 161 yushi See Censor zaiji See illegitimate annals Zan Jian # H , 205 Zangke J)¥M> 2 0 0 Zeng Yuan 134, 135 Zhang Bao ìMSf, 162 Zhang Cai 191 Zhang Can 3HÍI, 126, 127, 128 Zhang Chang 35 ü , 97. 98, 131 Zhang Chun 31Í?, 174-175, 178 Zhang Cun 3HÍF, 139 Zhang Daoling É ì S I S t , 66-68 Zhang Fang 3 S Í ) , 160 Zhang Fei üfPI, 150 Zhang Guang Mft, 60, 159-160, 166, 167, 168 Zhang Gui 3111, 95, 126, 137, 138, 145, 170 Zhang Heng 3S$J, 66, 129

INDEX Zhang Hua 90 Zhang Ji 3 I K , 77 Zhang Jiao3H^j, 65, 84 Zhang Jiayin 3 1 ® III (1517-1588), 111 Zhang Jin'gou 161 Zhang Jun 31|g, 170, 174, 176, 178 Zhang Lie 192 Zhang Ling 3§H?. See Zhang Daoling Zhang Lu 3 8 5 , 61, 66, 76-79; descendants, 77 Zhang Luo 3111, 153. i 6 2 , 164, 165 Zhang Mai 3131, 168 Zhang Mengchang 3 I j £ : K , 167-168 Zhang Qi 3 5 ^ , 166 Zhang Quan 35 162 Zhang Shun 3IIIi, 163 Zhang Xian 168 Zhang Xian 134 Zhang Xing 3SM, 140 Zhang Xiu mm, 66, 76 Zhang Yan 3Sifi, 131, 138 Zhang Yana 31 PrE, 154, 158, 159 Zhang Yi 31 PS, 166 Zhang Yin § f t g 1 5 4 , 159, 160 Zhang Zheng WHk, 95. I 2 7> i 2 9 , 137. 139, 140 zhangshi See Senior Aide Zhao |§ (state), 104 Zhao Mo M i l , 125 Zhao Pan ffi^, 163 Zhao Su i i ® , 122, 168 Zhao Wen fflii, 154, 157 Zhao Xin j|§®;, 58, 77, 80-82, 93, n o , 122-129, 13 1 , I44, 150 zhechong jiangjun ffftSji^M- See General Foiling the Charge zhenbei dajiangjun Mlk^ffiMSee Great General Stabilizing the North zhendong jiangjun i&iflj&W-- See General Stabilizing the East Zheng HP clan, 117 Zheng Xuan HflS (127-200), 83 zhengbei dajiangjun AJflf JjL See Great General of the Western Expedition zhengdong dajiangjun 'iJEMJki&W-- See Great General of the Eastern Expedition zhengnan jiangjun 'ilEffiiffiW- See General of the Southern Expedition Zhengyi fawen Tianshi jiaojie kejing IE - t e t t m m m m , 7 S zhenjun jiangjun flSMr&M- See General Stabilizing the Army

INDEX zhennan dajiangjun H S See Great General Stabilizing the South zhennan jiangjun WiWOfitM- See General Stabilizing the South Zhi 164 zhitou dajijiu ill• See ParishHeading Great Libationer zhizbong congshi 41 See Retainer Administering the Palace zhong changshi See Palace Attendant-in-Ordinary Zhong Hui S t # , 197 zhonghujun ^PbSW-- See Capital Protector zhongjun duji 4 1 I p E ® ! ? . See Cavalry Inspector of the Central Army zhonglang ^fift. See Palace Squire zhonglingjun cf3 pS j|E- See Capital Captain zhongmin . See seed people zhongshuling c ^ U tT- See Prefect of the Palace Secretariat

251 Zhou I f : conquest of Shang, 2 1 , 27, 120 Zhou Bo 195 Zhou Chu iHjS, 9 1 Zhou Dai J f ^ , 209 Zhou Fu JHH, 201 Zhou Yiliang, 1 1 2 Zhu Fan fif^, 1 7 3 Zhu Zhu 129 Zhuan Zhu KjHf, 1 7 3 zhuaya /I\5p. See minions zhubu See Recorder Zhuge Liang f t S - S ; ( 1 8 1 - 2 3 4 ) , 45 Zitong 1 0 1 , 1 6 1 , 162 Zixia r p j l - See Bu Shang Zizhi tongjian sir/niSHi, 1 1 4 . See also Comprehensive Mirror to Aid in Government Zong S (people), n , 42, 1 1 7 , 1 1 9 zong H tax, 42 Zuo Fan S i f f i , 145, 146 Zuo Xiong 1x.%I, 1 2 5 Zuozhuan ÌEfU, 28-34

ABOUT

THE

AUTHOR

Terry F. Kleeman is assistant professor of East Asian Religions at the College of William and Mary. After graduating from the University of Miami, he earned an M.A. in Asian Studies at the University of British Columbia and a Ph.D. in Oriental Languages at the University of California at Berkeley. He studied at National Taiwan University, Taishó University in Tokyo, and the Ecole Practique des Hautes Etudes, Sorbonne, Paris. He was a visiting researcher at the Institute of Oriental Culture, University of Tokyo, during 1989. He is the author of A God's Own Tale: The Book of the Transformations of Wenchang, the Divine Lord ofZitang (Albany: SUNY Press, 1994) and numerous articles in Journal of the American Oriental Society, Asia Major, Tóhó Shükyó, and elsewhere.