Great Perfection: Religion and Ethnicity in a Chinese Millennial Kingdom [Illustrated] 0824818008, 9780824818005

Table of contents :
Contents
Acknowledgments
Abbreviations
Introduction
Part 1: Ethnicity, Religion, and History
1. Ethnicity and Identity
2. Religion
3. History
4. 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 Shi[sup(a)]
Appendix: Official Titles and Ranks Appearing in the Translation
Bibliography
Index
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z

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Great Perfection

Religion and Ethnicity in a Chinese Millennial Kingdom Terry F Kleeman

Start of Citation[PU]University of Hawaii Press[/PU][DP]1998[/DP]End of Citation

Page iv

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., 1955Great Perfection = [Ta Ch' eng]: religion and ethnicity in a Chinese millennial kingdom/ Terry E Kleeman. p. cm. Parallel title in Chinese characters. Includes bibliographical references and index. ISBN o-8248-1800-8 (alk. paper) I. China—History—Five Hu and the Sixteen kingdoms, 304-439. 2. Taoism—China. 3. Ethnicity—China. I. Title. DS748.45.K64 Jacket illustration: The image comes from a Western Zhou zheng-bell found in Ba Shu qingtongqi (1992). Designed by Cameron Poulter Start of Citation[PU]University of Hawaii Press[/PU][DP]1998[/DP]End of Citation

Page v

CONTENTS Acknowledgments

vii

Abbreviations

ix

Introduction

1

Part 1 Ethnicity, Religion, and History

9

1. Ethnicity and Identity

11

2. Religion

61

3. History

87

4. Sources of Cheng History

108

Part 2 Great Perfection: The Historical Record

115

Li Te

117

Li Liu

144

Li Xiang

149

Li Xiong

151

Li Ban

181

Li Qi

185

Li Shou

190

Li Shi a

203

Appendix Official Titles and Ranks Appearing in the Translation

211

Bibliography

217

Index

235

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Page vii

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 (I969-1970). 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 ChengHan 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 Start of Citation[PU]University of Hawaii Press[/PU][DP]1998[/DP]End of Citation

Page viii

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. Start of Citation[PU]University of Hawaii Press[/PU][DP]1998[/DP]End of Citation

Abbreviations

HHS HHSjJ

HS HY

HYG Z

JS jSJZ

LI U

R EN

SGZ

SJ SLGCQ

Hou Hanshu ti tlHI. By Fan Ye ffia¥ (398-445 ). Beijing: Zhonghua shuju, 1971. Hou Hanshu jijie i&71:m~M. By Fan Ye ffilli (398445). Ed. by Wang Xianqian I.;t~l. Changsha, 1 92}. Hanshu lJ!t1f. By Ban Gu ffifiID (32-92). Beijing, Zhonghua shuju, 1962.. Serial number o f work in Daoist ca non according to Weng Tu-chien. 1935. Combined Indices to the Authors and Titles of Books in Two Collections of Taoist Literatllre. Ha rvard -Yench ing Institute Sinologica l Index Series, no. 25. Beijing: Yenching University Press. Hua yan;u:uo zhi ¥~II;e:. By Chang Qu m-~ (fl. 350) . Basic Si nological Series edn . Shanghai: Commercial Press. ji,lShu tt~. By Fang Xuanling m1r~ f"oples to the west of them. ll.. One important source is the" Rhapsody on the Shu Capital " !ilj f;'fIJIit by Zuo Si tr.~. (ca. l.5 0-305). Sec Knechtges 1981.: Ht- 37 1.·

ETHNICITY AND IDENTITY 15

borde r 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 Hua yang (Huayangguo zhi) of Chang Qu, an important source for the Sichuan and Guizhou area, is a good example of this. C hang was a native of the region and must have wrinen 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 ethn ieity. An important characteristic of ethnic groups of this region was their living in dose proximity to and in constant contact with other g roups. Although one ethnic group might clearly d ominate a given region, there were often other groups living in thc area, some related, some of totally different stra ins. In C hinese such groups are normally described as " living intermixed" (zaju ~15)Y Although individual cases may differ, for most of these peoplcs we can assume regu lar interaction with members of othe r ethnic groups and the complex of cultural borrowing, accommodation, and assimila liorl that suc h sustained contacts engender. The influence of Ch inese c ulture must be singled out of this ethnic conge ries. 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 Chi nese also adopted local habi ts, and some of these may ha ve made their way back CO the center. Nor can (he role of native peoples of the southwest as transmitters of lndie culture and material civil ization be dismissed . I. 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 I}. At least in some locales thi s must have meant a situa tion such as obtains now in parts of northern Thailand, where a Lisu village ma y have a Lahu village as its nearest neighbor on one side, a ChineSe settlement on the other, and a Karen village just down the road. In 1981 I encountered just such a grouping and met on the road many Akha who must have li ved nearby. A Chinese trader married to a Lisu woman ran the only store in the area, in the Lisu village. 14. The role of the "second silk road" 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.

J6

I'ART I: ETiINICITY, R~lIGION, ANO HI STO RY

sinicization, the conscious adoption of Chinese dress, speech, cu lture, and worldview. We wi lt see that most of the non-C hinese we encounter in accounts of the C heng-Han state a re highly sinicized; they are not only trained in Chinese language but possess the extensive knowledge of Chinese histo ry and literature necessa ry (0 run a Chinesestyle bureaucraric state. Absent othe r 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 se ttled rural areas speaking, acti ng, and dressing essentia lly the same as their C hinese neighbors and more remote elements of a people maintaining traditiona l socia l organiza tion a nd cu lture. Finall y, recent anthropologica l scholarship on the nature of ethnic ident ity and its relationship (0 historica l memory raises very basic questions about the significance o f both exonymic appellations used by other ethnic groups and autonymic terms based on the group's name for itse lf. In brief, this scho larship holds that historical memory itself is a sh ifting and adaptive entity that is being continua ll y reshaped to ht the needs and circumstances o f the moment . 1.1 Since the accounts in Chinese historica l sou rces are more or less accurate tra nscriptions of the historical memo ry of the peoples in volved, both Ch inese and non-Chinese, we must um1t:rstand that the histurica l situation and th e events lea ding up to it, as they are prese med in these accoums, are themselves narratives created fo r specific purposes rathe r than objective representations of historica l rea li ty. For example , the accoum of Taiba j,da. son of the Zhou King Taiwang, fleeing to the far southea st, adopting the loca l customs, and establi shing the state o f Wu , has long been accepted as historic al fan and ha s shaped our understanding o f the archaeologica l record of tha t region. More recently. Wang Ming-ke has argued that this ta le is in fact a narrativt! crea ted by the Zhou and Wu peoples at a much later date to estab lish and strengthen relations between the two peoples; it provided a type of ficti ve kinship that was instrumental in bringing the inh abitams of the southeast into the Chinese et hnic g roup . l~ (0

15. See Wang Ming-ke 1994a and 1994b. A good presentalion of thc theoretical arguments concerning ethnic identity and collective- memor)' is found in the essays collected in Ke-ye-s 198 1. 16. See Wang Ming- ke n.d. Wang points out that tombs containing Zhoustyle bro nzes are treated as the product of a differe-nt cultu re- from living sires in the same area, which show nO sign ()f Zh()u influence.

ETHNICITY AND IDE NT ITY 17

Thus ill evaluating such accounts, we must always keep in mind what function they might have played du ..ing the period of thei .. creation and cu ....ency. With the preceding caveats, let us now look at the ethnic composition of the areas unde .. discussion. We will fir st treat the p.. ima ..y occupants of the Sichuan basin , the Ba and Shu, beginmng with prehisto ..y and our first historical records. PREHISTORY

The last two decades have seen a dramatic shift in our unde ..standing of C hinese prehistory. Prompted by a series of startling archaeological discove ries, a highly sinocent ..ic 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 sou rce 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 reevaluation of prehistory. Sichuan was inhabited in Paleolithic times, but so far remains are insufficient to give us a clear picture of the cuJture(s) involved and their datingY Similarly, the earl y Neolithic in Sichuan remain s shrouded in mystery. For the late Neolithic period, however, we are fortunate to have the find s around modern Guanghan, specifica ll y, the site known as Sanxingdui '::' JRtt. There a cultural seq uen ce in four stages spanning fourteen hund .. ed years, from rough ly l. 500 S.C.E. to 875 S.C .E., has revealed a flour ishing culture that developed independently yet actively interacted with both the Central Plain cultures and those of the Middle and Lower YangziY It is the latest stratum of this site that holds the most interest for us. It corres ponds to the period from the end of [he Shang dynasty through the first half of the Western Zhou (rough ly eleventh through ninth centuries B.C.E.) and is best known for two hoards of sacrificed objects discovered in 1986." These reveal a highly developed '7. The following discussion is based primarily upon Sage 1991., the fim major treatment of urly Sichuan in a Western la nguage. See also Meng Ct al. 19 89: 14- 18 . 18. In this I foll ow Meng er al. 1989:16 ralher Ihan Sage, who distinguishes only three major stages. 19. The sacrificial purposes of these objects is indicaled by the broken and burned condition of many of the objects. See Sage 1991.:1.5 and the articles in Wenwu 1987. to.

18 PART 1 : ETHNICITY, RELIGION, AND HI STORY

civilization with an inde~ndent 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 stra tified society with an ample agricultural surplus and a governmental appa ratus sophisdcated enough to extract it for use by a king or other ruling group. Particularly striking is a life-size crowned bronze figu re , large bronze masks (one 134 centimeters wide and 70 centimeters from chin to brow), and numerous bronze heads, all in a diSlinctive style sporting non-Chinese dress and ornamentation. Gold and gold -leaf masks as well as a gold-encased scepte r 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 sa ndstone 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.lO No true continuation of the Sanxingdui cuhure has as yet been found , but there is an increasing amount o f arch aeological evidence fo r the succeeding centuries, and much o f it seems de rivative of Sanxingdui. A large rilual mound in C hengdu ma y have had its origins in the late stages of the Sa nxingdui site; its size suggests a welldeveloped state organization, but we have yet to find the assemblages of luxury goods indicative of an aristocra tic ruling class. One imriguing continuity with late r sites is a bowl or ladle with a handle in the shape of a hook-billed bird , which is fo und begi nning in the second layer of Sanxingdui. This bird, which has been identified as a (ormorant, is among the most com mon o f a small number of designs found on weapons and vessels from Spring and Autumn and Warring Stares sites through out the Sichuan region. Examples of these vessels have been found as far away as the Yich ang region o f Hubei. Various sc holars have sought [Q link this bird [Q [he name Yuiu #.I. ~, a mYfhical ruler of Shu, and through this name to a number of similarly named sites over a wide area centering on the Yangzi gorges.!1 lO. Menger al. 1989:17. 21. These sites include: Yufu ifgUl west of Changsha (Yi Zhoushu jixun jiaoshi 71196); Yufu #,I. ~ city near Mianyang. Hubei (TPHYJ 144: Ila ); Yufu near Nanxi. Sichuan (cited as Yu .~, Ford in TPHYJ 79;5a ); the Ford .~, Yufu fhJ l(, formerly Yuyi lh.&! , that is now Fengjie. Sichuan (HS 8AII6o J );

r.n·.f!:

ETHNICITY AND ID EN TITY 19

The discoveries at Sanxingdui a re recent and surprising. The asst:ssment of this culture and its relation to other early cente rs is ongoing, as is the process of archaeological discovery in Sichuan. We can can· fid ently assert that Sichuan was home to an advanced, independent culture at an early date. but the relationshi p o f this civilization to the later historica l inhabitants of the region remains a topic of can· tention and speculation. We turn now to these successor states. SH U

Historical sources for the Sichuan area divide it into two major regions. Shu JV in the west along the Min Rive r and extending across the Chengdu plain and Ba Eo in the east. Since Shu was traditionally centered on the Chengdu area, it seems the logical historica l carre· late of the Sanxi ngdui culture and its successors. As we shall see, the historical record of Shu is far from clear. O ur earliest histo rical source for anc ient Ch ina is the rerse divinatory statements recorded on turtle plastrons and bovine scapula that ha ve come to be ca lled "oracle bone inscript ions" (jiaguwen fJ3 'W' ::SO.ll Among these inscriptions is found a c haracter various ly written~.~, t1 that has by some been identified with Shu.B The graph wou ld appear to be an animal. with a large eye (often standing by principle o f synecdoche for the head) atop a sinuous cu rl ing bod y. The eye/head is someti mes topped by anten na e ur feders, and the body in some cases is depicted with a number of hai rs, or perhaps legs, projecting from bot h sides of the length of the body. C hen Mengj ia interpreted the gra ph as xltan -iij.H T he character XIHI iD. mean ing the cyclica l ten-day week, has a curving body that matches the graph in question, with a simple cross at th e head; the "eye" § element that replaces "sun" B in the middle of the later graph is then interpreted as a sema ntic radica l. There is a site in Shanxi province known to have been an early Zhou fief by this name (usually written xun aJli), and it is assumed that this is the place referred to in the oracle bone inscriptions as well Y This interpretation requ ires Yufu Ford i(I.]gi.lt n~a r Pengshan, Sichuan (HHS 18:68 1); and others. S~e r989: 17. 2.1. For a general ov~rview of oracle bones, their discovery early this century, and the process of their interpretation, see Keightley J 979. 1.3. Relevant inscriptions are collected in Shima 1971 : 106. 3-4. 14. Chen Mengjia 1956: 173. This identification is accepted by Zhong Bosheng 1971:61 and Jao 1959:189. 15. For references to this place on Wenern Zhou bronzes, see Shaughnessy 199 1 : 6 ,79. M~ ng etal.

20 PART I: ETHNI C ITY, RELIGION, AND HI STORY

that the original oracle bone graph be interpreted as a radica l-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 ha s been identified as Shu. Written !IJi, these cha racters are nearly identical to an "ancient orthography" form recorded in Shuowen, which defines Shu as "a silkworm within a musk mallow" (k uizhong can ~cpH) and specifies that the insect chong S:!. is the signific, the eye represent s the insect's head. and the rest of the character its body. 26 It would see m, 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 menti oned in the oracle bones is in fact the Shu of the C hengdu plain or even a state ancestral to that Shu and located farther north, perhaps in (he upper Han River valle y. Then: waS a Shu in ShanJong (west of modern Taian ) tha t was the site of an interstate meeting in 589 B.C.E ., and Shu Mountains in Shandong, Jiangsu, and Zhejiang provinces.!' The occurrence of the state in the Zhouyuan oracle bones, however, suggest s that it was in the general vicinity of the Zhou, to the west of the Shang rather than fa r to the east. Examining the in scriptions themselves, we find that Shu was at least at times an ally of the Shang, reflected in Sha ng divinations about Shu's harvcs t 28 that arc thought to indica te a commona lity of inrerest, 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 1i, a term reserved for o ften -hos tile states like Gui )U in the north and Yi ~ to the east. The Shang king once visited Shu and made divinations th ere.l~ The extensive divinations preceding the trip suggest that it 2.6. Shl.towen ;iez; zhu 13N35b. Th~ Qing commemary of Duan Yuca; nOl ~s that th~ Tang philologist Lu Deming's glosses to the Erya quotes Shuowen with mulberry (sang~) in place of musk mallow, but in spite of th~ frequ~n t association of silkworms with mulberry tre~s , this s~e m s an insuffici~m re-ason to eme-nd the- Sh uowen. For th~ musk mallow, se-e Stuart 191 1:2 56. 2.7. Zang 1936:1059.,,-1 060. 1; Chu nqiu ;ingzh uan yinde l.l.6/Cheng Z./9w.

2.8. Dong Zuo bin, 52.80, 64U; Guo Ruoyu ct a!. 1955:2.48. 2.9. Cha lfo nt and Brilton 1935:99}; 981. Th~ Zhouyuan inscriptions have

ET H N I CITY AND ID ENT ITY 2 1

wa s haza rdo us. Mt: nlion of the stale of Fou i£ in these inscripti ons indicates lha l the trip was genera lly westerly, since Fo u was suhjecr to attacks from the Qi ang. The record of divinations made d uring the trip has been ana lyzed by Shima Kun ia ( 19 58~3 78- 3 79), who o n this basis a rgues that the (fip took thirty to sixty days; he places the sta te of Shu south of the g reat bend of the Yellow River, in western Hena n . .lO h is not inconceivable that the sphe re of in flue nce o f a C hengdu-a rea Shu might extend far to the north ," bur it is usua lly ass umed th at whe n a Shang king is sa id to have visited a pla ce, he visited the ca pita l. An early historical source provides additional evidence. The "Oath at Shepherd 's Field" ("Mushi " t!;(W) chapter of the Book of Documents purpo rts to record a n a ddress by King Wu of Z ho u to his assembled troops precedin g th e attack o n th e Sha ng. It me ntio ns eight no n-Chinese tribes o r states, including Shu, who a re sa id to have joi ned Wilh the Z ho u in the ir attack on the Sha n g. -'~ The "Oath at Shepherd's Field " has been da ted to the Wa rring Sta tes period but may record trad itions of a n earlier era :u A chapter of the Lost ZhOll Documents ( Yi ZhOIi Shll ~f!H§:) , on the other hand, desc ribes an ex pedition againsl Shu by a subord inale of King Wu shortly a fter the conq uest Y Both sources agree that a state ca lled Shu was in contact with Zhou du ring the eleventh century B.C. E. Archat:o logy prov ides an intriguing confirma tio n of such Contact. Shu bronze ha lberd blades show clear influence (rom Central Pla ins models in the late Shang-ea rly Z hou period but then develop Zhou divining about attacking Shu. See Xu Xilai 1979:189 and Shaughnessy 1980-81:73 n 2.1. . 30. The relevant inscri ptions are Kufang 681 and 68) . Tht' thirty·day dale is basrcl upon raTher spt'culalive reconstructions of missing lexis. The sixt)··day date also makes assumptions abo ut the order and frequency of divi na tion as we1J as the speed of travel and overall geogr3phic31 extent o f the Shang state that arc open to challenge. )1. Sage 1992:Ujn4I. )2.. Shangshu zhf'ngyi Jlhp. The eight states are Yong l;tt, Shu, Qiang, Mao~, Wei t[(, Lu ra, Peng~ . and Pu jfl. All have been plausi bly located in the Wei River valley area, southern Henan, northe rn H ubei, or northern Sichuan. See Ik eda 1976:2.)7-2.38. 33. Ikeda 1976:1.34-1.35 has all excellent re\·iew of the various arguments fo r da ting this text to the Warri ng States, wh ich center on matters of vocabu· lary, symax, and offici31titles. See also Qu Wanli J969: 71 and the comments of Edward Shaugh nessy in Loewe 199):379. H. Shaughnessy 1980-81 : 58; Yi Zhou shu jirun jiaoshi 4/96. Sha ughnessy argues that this chapter is an authentic earl y Zhou text providing a comparatively rel iable account of the conq uest.

2.2.

PART 1 : ETHNICITY. RE LI GION, AND HISTORY

independently, with no appa rent 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 late r Zhou innovations .1l This archaeologica l 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.Jl> For most of the Zhau dynasty we have no reliable historical records concerning Shu. The Annals of the Kings of Shu (Shu wang benji Jij traditiona lly attributed to Yang Xiong milt (53 S.C.E.-I8 C.E.). survives only in quotationsY The Record of the Land of Huayang (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 tha t preconquest history is pure myth, consisting of wonder-working kings and their feats.)1 The first was said to be Ca ncong Kil . or "Silk worm-hush," who was later worshiped as the founder o f silkworm (:ultivation, a major Sichuanese industry. He was followed by Boguan ftI~'-, or "Cypress-irrigator";l'! little is known of this figure, hut he ma y be related to the lum ber industry. Next (:ame Yufu !h. ~. or "Cormorant. " All three are said ro have transformed into transcendants and flown away. They were followed by King Du yu fif, or "Cuckoo, " whodesccnded from the hea vens, married a woman who emerged fr om a well, taught the people agri cu lture, and transformed upon his death into the bird that was his namesake . He was followed by Bieling ~II, or "Turtle Spirit," who is said to ha ve floated up the Yangzi from Chu as a corpse, then

3:.**c),

35· Sage 1991:38-39. 36. Exceplions arc the Yi Zhol4 shu passage discussed above and a passage from the Zhushu ;;niQnlWang Guowd 19 I 7:111 4b) that records the presentation of jades by a representative of Shu in 864 S.C.E. Dates foll ow Shaughnessy 199 I . 37. These have twice been collected, by Hong Yixuan ~M:n! t 1763-?) and Wang Ren jun ~. C~ (1866-1913). Their reconmuctions are to be found in jingdian jitin ~1!f1! -*=.t-t: and in the Yuhan shan/ang jiyishu bubian To: Il;i Wlij-fti

fH11ili iii. 38. The following material is taken from HYGZ 31t 17-118 and from the Shuwang ben;;, quoted in TPYL 888hb-3b. 39 . Sh uwang benji gives Bohuo .f8i1 ("cypress drippings"?). The twO characters are graphically quite similar and easily confused. See TPYL 888hb.

ETHNICITY AND IDENTITY 2.3

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 Du yu abdicated out of shame, Bieling came to the throne as Kaiming 1ffl8A, or " Enlight_ ened. ".w He married a sex-changing fairy and was aided by the Five Stalwarts (wuding Ii TJ, heroic siblings who moved mono liths , built roads through impenetrable mountains, and were killed by a giant sna ke. All o f this material is presented by C hang Qu as history but with relatively few euhemerizing embellishments.41 In spite o f 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 o f course products of history and can perhaps be understood as representing different stages o f cultural development, but they do not record historical events per st>, and great care must be used in recon structing history on such a basis. In the case of the myths of central China , for example, we know, largel y from the work of the "doubting antiquit y" (y igll ~t5) movement of the t930s, that myths concerning the (purporred ly ) earliest figures were acrually the last (Q be created , as slIccessive amhors sought increasingly loftier (that is, more ancient) pedigrees for the mythical embodiments of thei r ideals. 4-1 40. Kaiming is the term used to describe Danzhu R*, the rightful heir to the ~ase Emperor Yao who was rejected by his bther as "obstinate and vicious." An ironic imerpretation of this name fiu wcll with his porlraral as a hedonistic adventurer who brought his state to ruin. See Sl1iji lilo . 41. Emperor Kaiming is described as having ~ lived for nine gcnt"rations" (jiush; you Koimil1gdi i l tlU:jMtI)J ~). which could b(' imerprctt"d as a succes~ sion of nine reigns, bUI he is said (Q have a son. He seems, in any case, more anthropomor phic than an y of his prrdecesson, who reign then pass away without forebears or issue. Again, there is mem ion 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 otigin~lted in the st:'lte of Qin (see Kleeman 1994b) and are fi ve in number rather (han eigh!. 4l. Chinese representatives of this trend are tOO I\umerous 10 list exhaustively. Some good examp!t"s are Tong Enlheng 1979; Meng Wemong 1981 :4l; Deng 198 J: I Hff. The primary Western exponent is Stc\'en Sage 1991. Compare the Ireatmcnt of Duyu in Birrell 199J:197-t98, where the tale is said to be "a singular expression of classical mythic motifs. " 4 3. These seminal disc ussions, which seem to have been forgon en by some modern Chinese scholars, are collected in Gu Jiegang's seven-volume Gush; bian tJ::e~,n ( 19l6-1941 ).

2.4 PART t: ETHNIClTY, RELIGION , A.ND HI STORY

We are on firmer ground when we reach the end of the fourth cen(Ury B. C. E. ~~ It was at this time that the state of Qin, centered in modern Shaa nxi province, began the expansion that would eventually It:ad to its conqut:st of all of China through a dt:cisivt: m ove toward the south . Qin was at the forefront of a wave of administrati ve and tactical innovation that was sweeping through the Zhou states. It actively promoted the cultivation of new land a nd administered this new territory directly through a system of commanderies and counties, then sought to gradually expand th is system to other parts of the state. Through application of universal legal codes, house hold registration, a nd a system of mutual responsibil ity, Qin red uced the power of subinfeudated local nobility and increased governmental contro l of the populace. It also standa rdized weights, measures, a nd axle widths and established a monopoly ove r iron production, both to promote commerce and to fac ilit ate taxation. Beginn ing with the reign of H uiwen in .3.37 B.C-E., and especia ll y after he assumed the roya l title o f King in 324 , Qin began to focu s on Sichua n as a possible a rea of ex pansion as well as a route through which Qin could directly attack its greatest rival, the sta te of Chu.'·\ In 3 16 B.C-E. Qin moved into Sichuan , at fir st all ying with 83 in the conquest of Shu and the death of its king, then turning on Ba and its northern neighbor Ju 1[. Soon Qin controlled all of Sichua n and the Hanzhong region as fa r east as Yong fllf (nea r modern Zhusha n, Hu bci).4t. The sun o f the fo rmer King o f Shu wa s e nfeu ffed as Marqu is, hut a Qin officia l was appointed his Prime Minister and a Warden (s h Oll g:) was also ap pointed to govern in Qin's nameY Th is -t-t. The following discussion is entirdy based upon accounts from sources I"xu:rnal 10 Sichu an. Local Sichuanesr history remains suffused wirh m),th , record ing an encounter betw~en the rulers of Shu and Qin in which Sh u's gifts rransform infO soi l and the construction of a road, presu mably rhe fam ed sca ffold road I;:handao flm ), from Shu to Qin by the Five Sta lwa rtS in order to fetc h five gold·defeca ting oxen. Sage (199 2: I I 2.) cha racteri7.es these events as being ""in a literary grey area set somewhere between history and legend. " 45 . The " Discou rse Faulting Qin" (Guo Qin fun ~~Ui) of )ia Yi 'WffI: (20 1-169 II.LF.• ) implies that Qin's annexation of Hanzhong and conquest of Sa and Shu were entrusted to King Huiwm by his predec~sso r, Duke Xiao. See Shij; 612.79. 46. Shiji 512.07; Sage 1992: I I 5. 47 . Following Shiji 70/2184, which states that the King of Sichuan's rank was reduced to that of a Marquis, and Sage 1991.:256n 1). HYGZ )J29, however,

clearly states that the Kaiming line was extinguished and that the new Marquis was the son of the Qin king. Ren 11.8n6 presents evidence that a son of this line fled to the far sOlllh , where he W3S killed by the King of Vue.

ETHNICITY AND IDENTITY

2.5

condomin ium government lasted only three decades, experiencing three revolts, before Qin assumed fina l direct control over the region . Following its conquest of the region , Qin immediatel y embarked upon an ambil ious program to COnvert Ba, Shu, a nd 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. Agricul[ural land was divided into regular. equal-sized plots and redistributed (perhaps primarily to Qin immigrants). In the third century, a major irriga tion system was created by the Qin Warden Li Bing -*P.k. Large numbers of people were marched into Shu in orderly groups and resettled. These trans ferred populations included crimin als and war captives from other parts of China as well as voluntary migrants a nd encompassed merchan ts and aristocrats as well as peasants.·' The preservation of a Shu Marquis during the early years of Qin occupation suggests that the traditional Sh u nobility was not immediately displaced, and graves clearl y reflect differences between natives and colonists. Still, from this time forward we hear no more in histo rical sources of the native population of Shu . Assimilation to a new Qin-Chinese identity must have proceeded rapid ly among most of the serr ied populace , while more res istant or remote groups were reclassified as " barbarian " minorities.

BA The eastern ponioo of the traditional Sichuan region is known as Sa ~. The area usually indicated by this term is the Yangzi valley from Fengjie up to Yibin , the middle and lower reaches of the Ji aling Ri ver n~iI that feed into it, and the tributaries of th e J ia ling, the Fu River l'EfrI. a nd the Qu River ~rI (the upper reaches of which a re known as the Ba River EJilJ). The term Ba is also used to refer to an ethn ic group, the Ba people , and to a state that was conquered by Qin in 3 I 6 R. C.E. As we shall see, the relationships between the geographical region, (he people, and the Stare arc by no mea ns simple. The evide nce for this entity called Ba differs from that fo r Shu in both date and type. The upper Yangzi was home to an early Neol ithic 48. An ~x ampl~ of the use of Shu as a plac~ of banishment is fou nd in the "Fengzhenshi" t1~ A d ocum~n t excavated from a Qin tomb in Hubei prov inc~. In a sample verdict meant to aL"t 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 Qinmu zhuj ian zhengli xiaozu 1990: "Fengzhenshi shiwen zhushi," t 55.

Fig.

2

Ba Chunyu U'T Bronze Drum (Western Han). Chinese Museum of History collection.

ETHNICITY AND IDENTITY 27

*-

culture, the Daxi ~ culture, which has been documented for a period from roughly 5500 8 .C.E. to 275 0 B.C.E.49 Daxi sites show evidence o f contact with the Qujialing culture of the Middle Yangzi and had some influence on sites in the Jialing Rive r basin . Yang Quanxi has identified a series of second millennium B. C. E. sites along the Yangzi in Western Hubei as '"'ea rly Ba culture, to and Zhang Xion g would extend this horizon to sites in Eastern Sichuan.5Q The inhabitants seem to have subsisted primarily on hunting and fishing, and their primary cu ltural artifact is a handmade, sandy gray pottery. Sa does not occur in the oracle bone inscriptions of the Shang, indicating either that there was no such sta te at that time or that it was so distant as to be out of touch with Shang;\! Sa is not mentioned in the "Oath at Shepherd's Field" among the states that aided the Zhou in their conquest of the Shang, but later there was such a tradition. 52 There is a fairly early tradition that the ruler of the Ba state .11 Given the wide had the surname of the Zhou royal house, J;

mm§

*-.

49· Sage 1992:4 7-50. 50. Zhang Xiong 1993:34. Zhang cites an article b)' Yang in Hlibeisheng kaogll xuehlli Ilin wenii lM ~ t!fi ~ i5~8' 8Qj:X:~, vol. 2, which I have been unable to consu lt . 5 I. Some Chinese amhors do indeed find reference to it in the cha racter 1:, which bea rs a superficial resemblance to the modern character Ba. The character in question designates a distant state (fang) that is in an adversa rial rel ationship to Shang. Although the interpretation of this graph is problematic, Ba is not a likely possibility. C hen Mengjia (1956: 284) intetpreted this graph as )"in Ell and placed the state of Yin in southern Shanxi. Li Xiaoding (196s: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 19 58:390-- 391 . All agree that the oracle bone character in question depicts a human fig ure, and such an analysis is never made for Ba. 52. HYGZ 1/}-4. Chang Qu records that the first H an emperor, Liu Bang, in ordering the adoption of the Ba songs into the state repertory, said, "These are the songs ro which King Wu (of Zhou) artacked Zholl (lasl king of the Shangl." Such a comment does not occur in ea rlier accounts of this music discussed below but may reflect an authentic tradi tion concerning Liu Bang's understanding of ancient history. By Chang'S lime, in any case, Ba's role in the expedition was a well-accepted fact . Ren I/ sn6 points out that the reference to the Zhou conquest saying that King Wu's troops "sa ng before (the battle) and danced after it" derives from the Latter Han Baihu tong, where there is no mention o f Ba peoples. Sec Baihu tong 1 }/6/ }. 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 cvcn greater antiquity. Sec also Dong Qixiang 1987 . 53. Zuozhuan }82iZhao I3 /fu I. This account concerning the events of S~9

28 PART I; ETiI NIC ITY, RE LI G ION, AND UI STORY

distribution of this surna me and its presence a mong non-Ch inese peoples, it is unce na in what sign ifica nce this has .s' T here is also a record from later Spring and Autumn or ea rl y Warring Sta tes that Ba had been part of Z hou territory after the conques[.S5 The best early evidence concern ing the Ba people derives from the Zttozhttan, a historical work compiled in the founh centu ry S. C.E. that preserves doc uments from a va riety of sources concerning the history of the Spring and Autumn period.S6 Ba makes an early appearance in this document. in an event that occurred in 703 B.C.E. ;.s7 The Baron of Sa dispatched Han Fu ~H~ to make an announcement to C hu 1l!. asking permission to establish frie ndl y rela tions to with Deng 00. The Baron of Chu dispatched Dao Shuo lea d the 8a visitor to offer presents to Deng. The You III people on the southern border of Deng attacked them a nd stole their woven goods, killing Dao Shuo and the ambassador from Ba . The Baron ofChu dispatched Wei Zhang ri~ to offer a reproach to Deng. The men of Deng would nor accept it. Summer. Chu dispatched Dou Lian MM leading troops together wit h Sa troops to besiege You . Yang Sheng and Nan Sheng IV'U'Y~ of

rnm

ttm

rewrds that King Gongof Chu (r. 590-560) had as consOrt a woman of Ba with th;:u surname. The source of the tall' 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 su re to be recorded and well remembered some thirty years later. The conson from Ba is an incidental figur e to the story, and even if key events were dunged to favor aile or the other aspirants of 529, her name is unlikely to havt been altered. 54. Ba is not among the twenty-five j i-surnameJ states listed at Zuozhuan 124/X i 2412. under the year 6}6 B.C.E. 55. Zu(}zh uun }701Zl.ao ':I/fu I, where we read, "Whe" Kill!>; Wu r.;uIIlJue red Sh;:lOg ... Ba, Pu /{l, Chu, and Deng fm were our southern lands. " This occurs in the context of a territorial dispute with the state of jin, hence we can expeCl the speaker to max imize Zhou claims. The list forms a curious group, including an old state o f the Man ~ su rname and Marquis rank, Deng, with two distant states of Baron rank that never pa rticipated in Zhou ritua l, Ba and Chu, plus the Pu, who seem to have had no state structure or fixed abode and were likel y still at a triballevd of organization. It is interesting testimony as to the degree 10 which these southern sta tes had been integrated into the Z hou worldview in 536 S.C.E., but poor evidence for events five hundred yea rs ea rlier. 56. On the dating of the Zuozhuan, see Karlgren 19;z.6; Kamala 196j. On the nature of the individual accounts in the Zuozhuan and their possible sources, see Egan 1977; j ohnson 1981 ; Wang 1977. 57. Zuozhuan 3 51Z hao 9/fu I; Yang Boiun 1981; 12 5; Chunqiu Zuozhllan zhengyi 71 sa-b. 58. I follow Du Yu's phonetic gloss in reading this surname, which is other-

ETHNICITY AND ID EN TITY 29

Deng led a force to the rescue o f You. Three times they drove off the Sa troops and You did not fal p9 Dou Lian a rrayed his force transversely (heng {tTl across the center of the Sa fo rces. When battle was joined, they turned their backs and fl ed. When the men of Deng pursued them, they turned their backs on the Ba force and we re attacked from both si des. The Deng force su ffered 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 Xiangfa n, Hubei. You was slightly to its south. Since the Ba and Chu forces pass by You on their way to De ng, they must be a pproach ing from the south. This gives an important indication of the location of the Chu and Sa capitals at this time, a point of some di spute, though it does not permit us to choose between two tradi ~ tional sites for the Chu capital o f Danyang ft ll;} at this time, in modern Zhijiang co unty or slightly further up the Yangzi near Zigui .60 Ba is a state accorded equa l status with Chu by the auth or o f the account (a northerner subscribing to the Zhou feuda l system). It is not impossible that [he Ba conceived of themsel ves as in some sense within the Chu sphe re of influence, bu t the term "v isitor" applied to Ba's representative in at least one case refers to the emissa ry of an tnt: m y statt.'1 Sa must ask ptrmissio n tu t stabl ish rdatiuns wit h Deng because it must transit C hu territory to get there. Pl acing Ba on the upper Yangzi, eith er at the close r site of Yu fu (modern Fengjie) or the traditional Sa at modern Chongqing, would accord we ll with this series of events. Sa is sophisticated enough to engage in the intricacies of interstate diplomacy and powe rfu l enough to dispatch an army into the central Yangzi and far up the Ha n Ri ver. wise pronounced Dan. h i ~ possible that Na n Sheng is to be linked to the place Nuochu }J!t!i di scuss~d below. The phonetic in Nan (on the right ) is a graph ic variant of the phonetic in Nuo (on the leh). Sheng means "'nepht"w,"' specifi. cally, th t" son o f a sister, and it may be that here it indicates the rda tionship of thest" tWO men to the Deng rul t" r rather tha n their persona l names. 59. The change of su bj ~cts in thi s sentence is confusi ng. D u Yu understands that it is Deng which, having th rice repdled the Ba , is undefeated. Yang Bojun, o n the other hand, paraphrases, "rDeng) thr~e times charged the Sa fo rce, but could not defeat them." The object of the Ba and Chu attack, however, was the city of You. When the Sa army could not defeat its Deng defe nders, Sa and Chu plotted to dra w the Deng a rm y into their midst. 60. H ere I reject the tentative conclusions of Blakeley 1988. There is no credible evidence that PUtS Chu anywhere but in the Yangzi va ll ~y at this lime. I am preparing a detailed refutation of Blakel~ y's a rgument. 61. Zu ozhuan 242.1Cheng 1617; Yang Boiun 1981 :887. Cf Yang Boiun and Xu Ti 1985 :453.

30 PART I: F.THN IC lTY, REtlGION, AND HI STORY

Since Sa was the aggrieved pany, it takes the lead in the ca mpaign against You and its protector, Deng, but the description of the battle suggests that the C hu forces are similar in size and power. It is nOt the entry o f Chu forces into tht: fray that turns the tide but the combination of Ba and Chu forces strategica ll y applied. Whatever the exact relations o f Chu and Sa at the time of the incident of 703, a quaner-century later Ba forces were again allies of the Chu, contributing troops to one of thei r expansionist campaigns. The second incident concerning the Ba occ urs in 676-675:62 King Wu of Chu ~i1t3:. (r. 740-690) conquered Quan fI.6l He dispatched Dou Min Mom to administer it. When Dou revolted from there, Chu besieged and killed him, then tra nsferred (the population of! Quan to Nuochu »IH~i&4 and dispatched Yan Ao rrn:1i2: to administer it . When King Wen XI. (r. 689- 677) succeeded [0 the throne, he, together with men from Ba , launched an anack on Shen EfJ.Io·1 He frighten ed their croops.(,(, The men of Ba revolted aga inst Chu and attacked Nuochu, capturing it. 61. . This acc;ount ends abruptly in the eighteenth year then wntinues into the nineteenth p:a r. See Zuo::huan 64/Zhuang 18/ fu 3-65lZhuang 19/fu I; Chu nqiu Zuo::huan zhengyi 9/ 16a, 17a; Yang Bojun 1981 :1.08-1. 10. 63. Du Yu identifies this Qua n with the walled city of Quan southeast of Dangyang. 64. Du Yu identifies Nuochu with Nuokou 000, a walled city southeast of Sian fQ (west o f Jingmen , Hubei) . Tan Qixiang 1981.-1987:1, 48 places both the original and relocated Q uan southl."ast of jingmcn with the new Q uan (i.e., Nuoch u) f'l." rhaps twelve kilometers furth er southeast. 65. Shen is modecn Nanya ng, Henan. This campaign against Shen took place in 684. See Chllnqill ZlIoziman ::hengyi 8/ub. There is no mention at that time of the participation of Ba troops. On the way to Shen, the C hu rukr SlOpS in Deng, where he is acclai med as paternal ne phew of the ruler of rhat St3te. Three officers of Deng, including the Ran Deng o f the previous encounter, urge the Marquis of Deng 10 kill the Baron of Chu, but he refuses. The foll owing rear, aft er conquering Shen, C hu obliterates Deng. These ('vents no doubt are relat~d 10 the enmity aroused by the events of 703 . some twenty yu rs earlier. 66. Du Yu and subsequent commentators unders tand by this passage that the C hu in some way frighten ed or sta rd ed the Ba army. GlIanzi l. :U- 1 extols the sHalt'gic value of dis plays of mi litary might in order to intimidate an opponent. Rieken ( 1985:)94) translates: ~No w whenever calcu lati ng [expense in· curred byJ rhe usc of armed forces, three Imobilizations! to wacn Irhe enemy) equal one expedition. The commentary to this passage reads: "Jing means to glorify your awesome might and display your ma n ial prowess (yaowei shiwlI r~Hi£ ff,JitI, which can startle (jing) your enemy and cause them to fear. Yang Boj un records the opinion of Tao Hongqing ~~ $! (hat it was Yan Ao who, th rough his mistreatment and insults, forced the Ba to revolt . H

H

ETHN I CITY AND IDENTITY 31

Consequently they attacked the gates of OIU. Yan Ao fled, swimming down the Yong River. The Baron of Chu killed him . His dan arose in rebellion. The men of Ba took advantage of this to attack Chu .... [Ninetccnth year] The Baron of Chu sought to repe l them and suffered a great defeat at Jin if-.67 This account is in severa l places ambiguous, and the narrati ve sequence is nOt completely dear. 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 cooflation with an account of non-Chu origin. The break between the two sou rces probabl y 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 loca tion of Ba on the upper Yangzi, with Chu, which by this time had moved its capital to Ying W, in the area a roundJiangling." Having assemb led in Chu. Chu 3nd Sa troops set out for Shen in the north. Either on the way there or on the way back (here is ;1. falling OLlt. Most probably chis 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 spoi ls. In any case, the Ba turned on their Chu allies and seized the city of Quan. thus affording them a path back to the Yangz i without traversing the Chu stronghold at Jiangling. Some years must have passed between Ba's seizure of Quanf 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 imo Chu territory. In any case, the direction of attack is clearl y from the west along the Yangzi. Ba enters history again in 61 I, at the time of a great famine and a general uprising of southern tribal peoples: ~Y 67 . Du Yu, after identifyingJin as a place in Chu territory, notes that according 10 one source there is a Jin township in Jiangling county. Takczoe 1911:3151. identifies it wit h aJin IOwnship three Ii west of Zhijiang county, ups tream from J iangling, and this is followed by Tan Qixiang 1981-1987:vol. 1. Yang Boiun suggests Jiangjin Outpost iT. i" rX. twemy Ii south of Jiangli ng. 68. On the location of Ying a[ this time, see Cheng Farcn 1967>):4-55. 69. ZuozhllQn I 7 ziWen 1616; Chllnqill ZllozhuQn ;:;hengyi l ohb--4b; Yang Boiun t 98J:617-6l0.

31. PART 1; ETHNICITY, RE LIGIO N, AND HI STORY

Chu was experiencing a great famine. The Rang attacked its southwest, reaching Mount Fu 1j!l1f; Chu set up a ca mp at Dalin * tf. 70 They also attacked fr om the southeast, reaching Yangqiu llJju a nd the reby invading Zizhi .&.71The men of Yon g led the many Man in rebellion aga inst Ch u. The men of Jun • •n leading the Hundred Pu, gathe red in Xuan ~ and were about to attack Chu .73 Thereupon they closed the northern gates to Shen and Xi .i4 The men of Chu planned to move to Bangao.1s Wei J ia said, "No. Anywhere we ca n go, the bandits can also go. Ie would be better to attack Yang. Jun and the Hundred Pu th ink we a re enfami shed and cannot form an army. That is why they attack us. If we field a n army, they will certainly be terrified and will return to their homes. The Hundred Pu live in sca n ered communit ies. Each will flee to his town. Who will have the spare time to plot against others ?" They proceeded to field a n army, and in fifteen days the Hundred Pu had ceased operations. From Lu iii. on, they opened the granaries and shared the food. Th ey made a stage at Jushi {j]tm. and dispatched Yi Li

is.

70. Moum Fu is 150 Ii south of Fangxian ~~, Hubei. Cheng Faren ( I967: 169 ) suggests that Mount Fu may refer IO a large mo umaino us area between Fangxian. Jingsnan f.lt.ll . and Sadong that is called Snennong's Table (5I1en n ong;;a ~.I5%!I. Yang cites the imperia l collation of 1669 (Qinding Chlmqill ~huanshuo z.ua"huj iKk Vi tk f"M£ .~) in identifying the Great Fo rest (Dalin ) with Ihe Long Forest (Changlin R:t,f;) northwest o f jingmen, Hubei. Cheng far en notes a quotation from the Jianglingji iT. t!t ~G of Wu Duanxiu fli~ ,* that a forest sixty·five Ii northwest of j ia ngling is the Dalin o f the present tale. Cheng prefers this loca tion becau se it acco rds better with an anack coming from the weSL 7 1. Cheng Faren . noting thaI both places musl be to the southeasl of C hu, suggests that Ya ngqiu must be a ro und modern Yueyang. Hunan . and identifies Z izhi with modern Zhij iang HUT. This was also the opinion of Shen Qinhan rJ..: iKl$ (1775 - 183 I). adopted by Yang Bojun. 72.. Cheng Faren ( 1967: t 66) cites two opinions purring jun in the nonh, nca r Yunxia n WIG. H ubei, and notes another opinion placi ng it near Baihe, JUSt over the border in Shaanxi, which is the location ado pted by Tan Qi xiang 198 2.- 1987:vol. I . But Cheng also quotes TPYL placing j un sixty Ii southeast o f Dangya ng. thcn a rgues that the j unchengeast of Yueyang must be wht're the people of j un were moved after their state was exterminated. 73. The 1669 H'liz.uan places Xuan on the southern border of Zhijiang count y. 74. Shen and Xi werr on the northern borders of the Ch u realm. As Du Yu remarks. this comment indicates Chu's fear of a further invasion from th e Central Plai ns states. 75. Du Yu says simply that it is a strategic locat ion in Chu.

ET HNI CITY AND ID ENTIT Y

33

m:~

o f lu to invade Yong. 76 When he reached the walled cit)' of Fang in Yong, men of Yong routed him , capturing his son Yang Chuang After three nights he escaped and reported, "The Yang troops are numerous. The many Man have gathered there. It wou ld be better [0 return to the main force, raise the royal troops, and advance only after uniting the fo rces." Shishu said, " No. For the moment we should continue engaging them in battle in order to make them overconfident. When they arc overconfident and we are angry, then they can be defeated. Th is is the way our for mer lord Fenmao!9 ~ conquered Xingxi ~.!l! ~." 77 They met again in battle seven times, and each time Chu was defeated. The men of Pi 1'$. You fl . and Yu f#. alone routed them. 78 The men of Yong sa id, "Ch u is not wort h fighting. " Conseq uentl y they did not make adequate preparations. The Baron of Chu. riding in post carts, met the army at Lin pin .79 He divided his army into tWO groups. Ziyue T~ led one through Shixi ::t] ij€, and Zibei T ~ led the other through Ren OJ in order to attack Yong. Men of Qin and men of Ba followed the Chu a rmy, and the many Man followed the Baron of Chu in concluding a covenant. then they exterminated Yong.

mw.

Here aga in some of rhe places mentioned cannot be located with any confidence; still , the overall shape of the campaign seems fairly clear. The Rang, who invade from the sou theast and southwest, arc 76. Lu was fift y Ii east o f modern Nanzhang county. Du Yu says onl y that Jushi was on the western border of Chu. Huilouan gives a location west o f modern JunlCian, Hu bei. See Cheng Farrn 1967: t68- 170. 77 . The location of Xingxi is also a problem. The name indicates a marshy area below a steep rOCK face . Cheng Faren 1967: I 70 proposes a place between Yidu and Yicheng, near Tigertooth Mountain r1t!'fIi! . Hu izuan suggests somc' place east of Jingmen Mounrain. 78. Yu was a state based at modern Fengj ie, Sichuan. The other two sites cannot be located. Cheng Faren suggests that they are Ma n cities between Fengj ie and Zhusha n. He furth er argues that Du Yu is incorrect in identifying these three places as Yong cities and that they are instead members of ~rnan r Man" then allied with Yong. Cheng Faren 196T 170. 7 9. Huizuan puts Linpin on the borders of Junxian . Cheng Faren, on the basis of a pt'rsonal investigation of the terrain , suggests that Linpin was at Caodian !,tJ;!i , thirty-five fi south of Junxian. From there two roads diverge, then converge on Zhushan. He identifies a road that pa sses by the foot o f Wudang Mou ntain and through Fangxian as the course described below as passing through Shixi Ett and om that foll ows along the Du River ~ * as that said to pass through Ren. See Cheng Faren 1967: 171.

34 PART I : ETHNI C ITY, RE LIGIO N, AND HI STORY

never identified and may even ha ve 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 o f Qin and Ba as well as some of the tribal peoples. The description o f these events is so uncertain that it is difficult to draw conclus ions as to whether Ba at this point joined th e Chu army through the Yangzi gorges and fought with it toward the north or ca me down the Han Rive r valley with Qin troops. If the latter, it would mean that Ba was al ready extending its power no rth .80 As noted above. King Gong of Chu (r. 590-560) had a fav ored consort who was Ba, presumably a daughter of the Ba ruler. This testifies to continuing dose ties with Chu, but a century later, relations had again deteriorated. In 477 a Ba force invaded Chu and besieged the city of YOU.II No reason is given for the attack on You. With its key loca tion 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 Na nya ng) in the northeast but also for a force moving down the Han toward the Chu capital, now at Yan .~y The invasion ended ill failure, bUl whatever the route taken, this marked a deep penetration into terri tory th at had been Chu's fo r two centuries. In 377 Shu invaded Chu and captured Zifang t!l.1J (modern Songzi, sout h of the Yangzi ). apparently crossing overland to the headwaters of the Qingjiang l~ ;I and down that va lley. Ba troOps may have participated in this campa ign. u If nor, Shu was able to transit Ba territory with impunity. 80. This may be su pported by an incident in 632, when Ba is said to have presented tribute to Qin. The claim occurs in thc midst of a ~OO\'ersation with Shang Yang extolling the accom plishments of the minister Baili Xi I~I.'R~, Tong's dating of th r im:ident to 631 is open to debate, but Baili was only in powcr "six or seven years," so it cannot be far off. The Shiji acCOunt is at earliest mid-fourth century II.C.E. and perhaps considerably laler. See Sh i# 68h1.)-4; Tong 19 79: 1.3 . 8 I. Zu ovmon 4961Ai 18lfu 1.. The poinl of this tale seems to be thc irrelevance of prognostication, but to be bdievable and persuasive. it mUSt have been constructed around true histOrical eV('nts. Sage (1991.:6}) inexplicably dates thi s event to 475. 81.. Near modern Yicheng. Ch u had moved its capital to Van in 504, where it came to be call('d Nort hern Ying. Cheng Farcn 1967:56-57 places this new capital on the west side of the Han, whC'!eas You was on the east, making the siege o f You less obvious an objective if the ultimate goal was this new Ying at Van. Src Zuozhuan 448/Ding 61fu I. 83. Tong 1979:1.5. Tong cites aSC'vidence TPHYJ quoting the Tang dy nasty

ETHNICITY AND IDE NTITY 35

C hu posed a constant threa t to Sa throughout thi s period. In 36 1, at the time of the access ion o f Duke Xia o of Qin, we arc told that Chu possessed both the Hanzhong region to Sa 's north and the originally Sa territor y of Qianzhong ~cp south of the Yangzi in south east Sich uan, northwest Hun an, and northea st Guizhou .·· The Sa capital was moved repeatedly. Chang Qu tells us that, " During the time of the Baron o f Ba, although the capital was atJ iangzhou (modern Chongqing), sometimes the administra tive center was in Di anjiang (Hechuanl, sometimes in Pingdu (Fengdu ); la ter it was in La ngzhong. Most o f the tombs of thei r fo rmer kings are in Zhi (Fuling). "IS This identification of Fuling as an ancient center of the Ba preced ing its capita l at Chongqing accord s well with wha t we have seen of Ba 's earl y contacts with Chu. One ime resting example of Chu participation in Ba affai rs, and its continuing desire for Sa territory, is the case of Manzi nT, a general o f Sa faced with rebellion sometime in the mid-Warring States period. 86 Manzi requested an army from C hu in order to quell the rebellion, promising in return to transfe r control of three walled cities to Chu. Once the Chu army had served its purpose, an emissary from Chu a ppea red demanding the promised cities. Manzi instead cut off his own hea d, saying, "By borrowing the sp iritual might of Ch u, we were able to forestall disaster. I did in t ruth promise t:iti es to the King of Chu . Take my head to repay him . You t:annor have Jingnonji JjlJrt ~c of Su Cheng .~, which explains the place-name Bafu E.n~ as referring to the re!Urn home of defeated Ba soldiers from the campaign , but it ~e ms much mo re: likely that {u here: refers to the tax exemption given the Ba people who once inhabited this region. 84. Shi;i Sh0 2. This would se:em to be: the bc:uer understanding of the phrase non ),O U Bo Qiol1zhong ~t:ll:~~.~ LfJ > which has also been interpreled 10 mean that Chu at this time possessed both Qianzhong and Sa . Cf. Sage 1992.:2.4 In 73 · 85. H YGZ 1/8.6. Sage unde rstands this as a slow re treat up the Yang7.i then up the J ialing River under the pressure of Chu . Ren (1984:28n 4) understands the direction of movement similarly but suggests that it was in response to Ba's expansion towa rd the north. We have no evidence of Chu intrusion into Sichuan, but its fo unh-century activities in the western Hunan -Guizhou arta may have caused some trepidation among the Sa rulers. Still. evidence for the motivation behind these: transfers of the: Ba administrative center is inconclusive. 86 . HYGZ 112.- 3, This event is attributed to " the end of the Zhou dynastyH but mUSt have antedated the Qi n invasion of 316 S.C.E. Tong Enzheng (1979:26) argues that this was a slave rebellion against 8a's Hreactionary slave system," but it seems more likely that some competing fa ction had gained control of the Sa 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 Sa, for his body. This would suggest that at the time of the event Ba remained a distinct political entity, possessing numerous waIJed cities and a historical identity and traditions sufficient to command the unswerving loya lty 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 it (modern jiameng), an area on the border of Sa territoryY ju established close relations with Ba, thus siding against Shu in the chronic warfare between Sa and Shu. ts When Shu launched a campaign against ju in 316, the ruler of ju fled to Sa, and Sa requested aid from Qin. After Sa, with the aid of Qin, had exterminated Shu, Qin (urned on its allies and conquered B3. This version of events differs conside rably from that presented by Qin, which concentrates on Qin's actions and gives Ba no role in the conquest of Shu other th an to provide a pretext for invas ion . We have little direct evidence for Sa culture and society at this time other than the resu lts of archaeological excavation. The economy seems to have centered on hunting and fishing, supplemented by simple agricultu re, practiced largely in river valleys. '9 There is no evidence of irrigation works o r of large-scale arc hitectural construction, probably because there was no cohesive central power to direct such projects. Society seems to have consisted primarily of loca l clans, largely independent but owing some sort of ultimate loya lty to higher authorities referred to in Chinese sources as "king" or " marquis." Warfa re was an important element of life, reflel:ted in the widespread usc of Ba mercenaries, the martial songs and dances disl:ussed below, and the prominem place of weapons among Sa grave goods. 87. HYGZ Ih.} affirms that Sa territory stretched north to Hanzhong; Langzhong, some sixty·five kilometers south of Jiamc:ng, was one of its later capitals. Ju's unbrotherly behavior toward its sibling state and the conflictS occasioned thereby remained a ponion of Sichuanese lore and resurface in the: Book of Transformations of Wenchang. a revealed twelfth-century scripture: from nonhern Sichuan. See Kleeman t994a:194-195. 88 . HYGZ says that Sa and Chu "fought fo r gene:rarions" t1tit~ , which would seee:m to contradict Tong Enzhe:ng's claim that Shu was now rule:d by a Sa ruling house. 89. The fo llowing synopsis of Warring States Ba culwre is bas Commu-;'ities similar to_that of (he Shuitian may well have formed in lowland areas with heavy Han settlement. At some point before the Tang the last vestiges of Sa identity disappeared; a Shuitian-type identity, fu lly assimilated to Ha'n language, culture, and society, must have preceded nnal merger of the Sa into Chinese identity in many communities. Note, however, that the Shuitian a re economica lly and socia lly disadva~taged; if and when they integrate into Chinese society, it will probably be as an underclass. The Lipuo model is most helpful in understanding Han-Sa interactions during this period. There significant H an immigration has led to a balanced assimilation of both Han and Yi to the other's cu lture. Like th e Lipuo's Libie, Ba language would have surv ived in tandem wilh Chinese in these communities, though Chinese writing must ha ve soon replaced the more limited Sa sc ripL That such bilingual communities _thrived in anc ient China can be r.:on firm ed by a medieva l ar.:count that most of the Oi (discussed below ) spoke C hinese from their intermingled residences. L37 In such a mixed community, Ch inese religion, with its impressive ceremonies and intricate cosmology, would have had an advantage over native beliefs, es pecially aft!::r usc of Ihe Han S(;ripl stripped traditional religious professionals of their historiographic function and introduced a system of thought founded on Chinese cosmolog ica l principles. The Lipuo adoption of Chinese gods and feslivals is paralleled by lhe Ba acceptance of early Daoism. 136. The Yi logographic script was in use by 1485. Literary remains in this script include philosophy, belles lemes, an, astronomy, medicine, agriculture, and rdigion. in addition to the genealogical records mentioned above. A numb: Mi ) and enfeoffed him as

mw).

l 3. j S originally ru d Wu it, which is regu larly substitUied in Tang texts for the tabootd Hu. The Liao and Gu Guanguang editions o f HY GZ (9!11 9. 11 ) read Hu, whereas later editions give Yo ng lIW, no doubt a graphic error fo r Hu. 14. In HYGZ the preced ing passage, describing the offi ces given his living relatives follo ws here, then co ntinues with the positions granted Yan Shi, Ya ng Bao , and o thers. 15. Ren (487n9 ) a rgues that when the surname is omiued, as in this case, it is because the name has already occurred, yet no one named Hong occurs in the text, and thell:fo re the character hong must be incorrect . He furthe r theo rizes that the figure in question is in fact Li Pu * i~ , who has occurred once before. It would seem, however, that the operating principle in the current passage is the omissio n of the surname when it is identical to that o f the preceding person mentioned in a list, and that must here mean Hong's surname is Yang. This interpretation is followed by Liu 664n7 and Taniguchi 1973: 8z. 16. jS originally read Taiwu. See above, note 11..

LI X I ONG 157

Marquis of Xishan, P exempting his followers from military conscription and granting him all their taxes.!' The Worthy's name was Changsheng. One source gives the name Yan;iu ~?.. as well as the name Jiuchong 11m. Another source says Zhi Ji., with the sobriquet Yuan ]t. He was a man of Danxing ftR in Fuling. IHYGZ 9/12.0.2-4 ] Winter. Luo Shang mOiled and encamped at Ba commandery. He dispatched an army to raid Shu, beheading Li Xiong's grand-uncle Ran fit and capturing Li Xiang-'s wife Madame Zan ~ and his sons Shou and others. !9 Twelfth month. Li Xiong 's Grand Commandant Li Li attacked Hanzh ong, killing the (Ch ief) Battle Leader Zhao Wen. (HYGZ 81 114·4-5] In the fi rst year of the Guangxi reign period (306) Xiong proclaimed himself emperor and changed the reign name to Yanpillg.

[HYGZ 9"'0.51 At the time, Li Xiong had just made a rough beginning in establishing the state, and since he had heretofore lacked a lega l code and ce remonies (fash, $X\), [he various commanders relied on personal favor in contesting for pos ition and rank . Hi s Prefect of the Imper ial Sec retariat Van Shi submitted a memorial say ing, " In establishing a state's burea ucrat ic system, it is always20 preferable to fo ll ow past precedents. Under Ihe old system of the H an and Jin dyna sties only (he Grand Commandant and the Grand Marsha l (dasima *BJ .~) commanded troops . The Grand Tutor and Grand Protector arc o ffi ces for those like a fathe r or elder brother, posi tions for the discussion of moral questions. The Minister over the Masses and the Minister of Works are in charge of the fi ve teachings a nd [he differentiation 17. HYGZ o riginally read "G reat Preceptor o f the Four Seasons, Eight Nodes and Heaven and Earth" (sish i bajie tiandi taishi PBllic !\&i 7( It!! :k..1il"). The first fou r characters have been omin ed from Ihe current H YGZ but were present in the eleventh ce ntur y at the lime of the composition of ZZTj. SeC' the (,ditoria) notes (kaoyi ~8H to ZZTJ 8612.711 . HYGZ 9f n o.} pbces thi s welcome of Fan Changshtng 10 C hcngdu in }04. after Xiong's assumpt io n o f the lil) t "king." WS 96/111 1 agrees with JS a nd ZZTJ in the maHer of daling but rttords the rank granted Fan as King of Xishan. 18. On exemptions from laXt5 and corvie during this period, see Tang Chang· ru 1990. 19. The text reads " Li Shou and his brother(s).'· This probably refers to Shou's younger brother Fu ~, but he a lso had an adopted half· brother You ~. Below we find them in the comrol of Qiao Dtng (HYGZ 9h 20.9- 10), and it was perhaps he who made this raid . l.o. Reading dong Ih for ,he graphically similar xun 111. Cf. JSJZ 12 1/}b.

158 PART 2.: THE HISTORI CA L RECORD

of the nine soils. 21 The Qin dynasty (22.1 - 206 8.C.E.) established the office of Chancellor to have overall control over the myriad affairs. Towa rd the end of the reign of Han Wudi (140-86 B.C.E.) the Great General was elevated above others to control the government. Now the state has just been founded and the various offices are not completely filled. The ranks of ministers of state and great commanders go up and down and all clamor for appointments. This is not in accord with classical precedents. It would be appropriate to establish regulations in order to provide a framework (for assigning positions)." Xiong followed this advice. First year of Yongjia 7k~ (307). Spring. Luo Shang established barriers and outposts (guanshu IHI r:XJ as far as Han 'an il3i- (modern Neijiang, on the To River) and Bodao ~i1! (mode rn Yibin, on the Min River). At the time, the people of Yi province had migrated to fing and Xiang ml provinces as well as Yuesui and Zangke (commanderies). Luo Shang established u commanderies and counties in their present loca tions and appointed a Military Advisor to each viI/age. Third month. The refugees from the Guanzhong region Deng Ding !JlljE, Hong Di 'l.I.5;;, and others rebelled, occupying Chenggu /lX\liI and plundering Dongchenshi* ~ ~ in Han zhong. B The Grand Warden of Baxi Zhang Yan-, leading the Commander of the SerratedFlag Gate Wu Zhao 1i.t¥ and the Vice-A dministrat or of Hanguo Commandery Xuan Ding :§.JE:, sent troops to besiege them. Hong Di sought rescue from Li Xiong. Summer. Fifth month. IHYGZ SIT T4· T-71 Li Xiong dispatched Li Guo and Li Yun to plunder Hanzhong. 2~ ll . The five relationships arc those obtaining between father and son, ruler and subject, husband and wife, elder and junior, and between friends. See M ~ncius 2.oI PJ4. The nine Iypes of soil, including hard dark ·orange, sa lty, dried marsh, and so fort h, are listed together with the type- of nighu oil appropriate to each in Z houli 16J7a-b. n. Fo llowing the Liao edition commentary in emending shu to shi Effi. l 3. The phrase ~occ up ying C henggu" is su pplied from ZZTj 86h 72.8 . It is not preserved in any extant edition of HYGZ but seems necessary to make sense ofthe siege below. Cf. Ren 473n8 . l4. HYGZ 8/1 14.7-8 records that Li Li, li Huang, li Yun , and Li Feng were ~ nt on this mission but makes no mention of li Guo. ZZTj 86h71.8 mentions only li li , Li Huang, and Li Yun but tells us that their army num bered twenty thousand . jS 57JI564 specifies that the city in which Deng Ding was besieged was Chenggu (eighleen Ii northwest of the modern Chenggu in Shaanxi). Dong· chenshi is otherwise unknown. Ren 473 n8 speculates that it is Liangzhou Mo un· tain ~ :ltIIli , tighty Ii east of Nanzheng. Ren, following HYGZ, believes that the besieged city was this Dongchenshi rather than Chenggu.

'*

LI XIONG 159

When Du Mengzhi heard of Li Li's arrival, he ordered Zhang Yan to release the siege and protect the provincial ca pital. Originally when Zhang Yan- had first attacked, Ding's troops were starving. and he pretended to surrender, presenting Yan with a gold vessel which Yan- accepted. Seven days later, Hmlg Di arrived and Deng Ding returned to Dongchenshi. Zhang Yan 4 advanced and besieged him, disregarding Du Mengzhi's instructions. When Li Li arrived, he first attacked the camp of Wu Zhao, defeating him. He next attacked Xuan Ding, also defeating him. Zhang Yan· was afraid to do battle and fled at the head of one hundred cavalry. Li and company inflicted a great defeat on the provincial army. The Commander of the Serrated-Flag Gate Cai Song ~fj} retreated and announced to Du Mengzhi, "The provincial army has already been defeated. The bandits are numerous; we cannot face them." Mengzhi was frightened. The Military Protector1 wanted to make a stand in the walled city. He said to Mengzhi, "Although the bandits come in great numbers, theirs is the common bravado of a visilorY That insignificant Li (Xiong) is pressed on the sOlltheast. He will certai'lly n ot divide his troo ps a,td statio1t them o utside his territory.

He only intends to rescue Deng Ding and Hong Di. " Du Mengzhi replied, "Not so. Li Xio,lg has dared to proc/aim himself emperor, hoping to gain control of the empire. Ha ving dispatched a large force, he will certainly take Hanzhong. Although we have a wellfortified city, the courage of the people has been broken. We cannot face the bandits with them . .. Du Mengzhi thell opened the city gates a'id withdrew. The Military Protector returned to the 'Iorth. Du Mengzhi e'ltered Great Mulberry Vaffey.17 With several thousand families and thousands of carts accompanying him, Du could ollly advance a fe w dozen Ii each night. Because his father had had a dispute with Dit Mengzhi, ling Zi of Zitong assembled his sons Dud brothers and pursued him, catching up to him at the mouth of the vaffey. Dtt fled, abandoning his son(s). ling Zi captured his son(s) as 15. Ren (473n1 o) maintains that this Military ProtectOr was in fact Zhang Yin , who was functioning as Governor of Liang Province in the abstnce of Ihe ftcalled Xu Xiong and is mt ntioned as Governor in th t ZZTJ account (851 1718) of these events. 16. This txpression is baSC'd upon Zuozhuon 4S I/Ding 813. which Legge ( 1861-1871:V, 769) translates, " All behave like visitors." Th t stnse is thai because they are not defending their home territo ry their courage is transitory. 17. Otherwise unknown. The biography of Zhang Guang em-,Jl killed Guo and surrendered Saxi to Luo Shang . O riginally Qiao Deng ll!.!l of Baxi had gone to request troops of the General Stabilizing the South. Th e General Stabilizing the South had no troops but memorialized recommending Deng for the positiofls of General Rousing Ardor (ya ngJie jiangjun mr.!l:!tf1f!) and Seneschal of Zitong so that he might recruit volunteers from the people of the Three Ba (co mmanderies), Shu, and Han(zho ng) in order to reconquer territory. He {irst launched an expedition against Dangqu, killing keep a promise of demency for Li Rui *fi, who had taken refuge among the barbarians_ Further, it is recorded that the ci ty did not fall, with Li Vi 's daughter Xiu ~ taking her father's place until her brother Zhao £[J arrived. The only mentIOn of LI Xiong in this account is to say th,lI his re voll prevenud reinforcements from arriving. HYGZ places Li Vi's death in the third mom h of }06. Ren (2.S6n9 ) seeks to reconcile these accoums by claiming thai it was Laixiang I:k~ (modern Quj ing, Yunnan), the seat of the Inspector-Genera l, thai fel l, and not Ihe provincial seat of Yunping jV2F' (east of modern Xiangyun, Yu nnan). Communications between the southwest and the capital at this time were extremely difficull, as is evident from the three years it took Li Zhao to tra vel there from the capital, and accounts of events there mUS t have been equally unreliable. The H YGZ version merits credence. Cf. JSJZ 12.l/4b. 31. HYGZ 8/1 15.4 also mentions Hong Qi 1fJIij of Tianshui. 32.. This title is added on the basis of ZZTJ 8612746 , which places these e"ems in the tenth momh. Ren (4 72.n I 5) inserts a character, qian ii, "to send, after Li Xiang"s name, reading, "The Gra nd Tutor Li Xiang' sent Li Yuan and Li Huang to attack Luo Yang. They were defeated and ki lled by him." This reading is dearer, but the emendation is not necessary to correctl y construe the text. }3. FoliowingJS and HYGZ 9/I.2.0. 10. HYGZ 81t '5.6 gives for his name the homophonous Shi E. H

162 PART 2: THE HISTORICAL RE CO RD

Li Xiong's Grand Warden for Baxi, Ma Tu o .~mt.14 He then with· drew and occupied Fu. The General Foiling the Charge Zhang Luo advanced and occupied Heshui in Qianwei commandery. The people of Ba and Shu made a saying which went: Qiao Deng is headquartered at Fucheng, Wen Shi is at Baxi. Zhang Luo protects Heshui. How can the Ba Di advance? {HYGZ 81I 15 .6-8] Xiong thereupon withdrew and dispatched his commander Zhang Bao to make a surprise attack on Zitong, capturing it. The younger brother Quan ~ of Xiong's commander Zhang Baals was in the midst of Hong Qi's troops. Li Xiong dispatched Zhang Boo to act as a double agent, promising to appoint him to Li Li's position. Baa was by nature fierce and brave. He first killed a man, then fled to Z itong. There he secretly linked up with his intimates . 16 Presently Llw Shang sent an emissary on a goodwill mission to Hong Qi. When Hong Qi and company left the city to see the emissary off, Zhang Baa closed the city gates behind them . Qi and company fled to Baxi. Having obtamed Zttong, Li X,ong appointed Zhang Boo Grand Commandant. Xiong personally led an attack ml Xiong Fen, who fled . Li Xiang' was dispatched to attack Qiao Detlg. Detlg had originally seized Xiong"'s son Shou, hoping to tempt Xiong' (to mrret,der). Now, WIder fierce attack with no relief ill sight, he reo turned Li Shou to Xiong'. IHYGZ 9/I20.7- IOj Shortly thereafter Luo Sha ng died and Ba commandery was in disorder.}' An imperial rescript appointed the Grand Warden of Changsha Pi Su &~ Governor of Yi PrOVince, holdhlg concurrently the offices of Colonel of the Western Barbarians and General Rousing Ardor H. Qiao Deng's fa ther had been kilkd by Ma Tuo and Li Xiong. ZZTJ 861 l746 makes no mention of Xiong, but perhaps Ma Tuo acted at his behest. ZZTJ largely follow s the account in Qi30 Deng's biography, HYGZ I l h o l . j 7. Both sources record that upon killing Ma Tuo, Qiao Deng ate hi s liver. H. Or "A ll the yo unger brot hers of Zhang B30 . ... " No Zhang Quan occurs in our sources. 36. ZZTJ 86h748 seems to have interpreted this line differentl y, for it reads MHong Qi and company trusted him and make him their intimate." 37. HYGZ Blr I j.8 - 9 adds a shorr biographical notice; " Shang'S sobriquet was Jingzhi /li Z. One source says his name was Zhong flf! and his sobriquet Jingzhen /li!lt. He was a man o f Xiangyang .aM. H e held the positions of Aide [0 the Imperial Secretary, Cou rt Gentleman, and Grand Warden for the commanderies of Wul ing and Ru'nan. He was tranSferred to liang province and died in offic e."

LI XIONG 163

with cOl1mlalld over vo/ullteer forces and the Quelling the West Army. He was to adlJance and take control of the Three Passes.3I At the time, Li Xiang' was making a vigorous assault on Qiao Deng. Pi Su encamped at Badong. The commanders of the Quelling the West Army,n Zhang Shun i&D: and Yang Xian mg, were ordered to rescue Qiao Deng. Luo Shang's son Yu was filled with hate and resentment and would not furnish Deng with supplies.4Q When Pi Su arrived in FU,41 he planned to set these officials in order and they were all frightened. Winter. Twelfth month. Pi Su arrived in Ba commandery. Zhao Pan Jm:S and Yan IAn rtUltJ ofTianshui, who had surrendered, killed Pi Su by night. Su, sobriquet Taihun ~i:i, was a man of Xiapi T ~. The Defender of jianping Bao Zhong ~ 111 killed Luo Yu and Zhao Pan. Ba commandery fell into disorder and in the end Qiao Deng was not rescued. Subsidiary officials of the three ministries~ 2 submitted the name of the Overseer of the Army for Badong and the General Cresting the Armies (guanjun jiangjun uJtI:ttf.JJ) Han Song fttj} of Nan yang m~ to be Governor ofYi ProlJince and Colonel of the Western Barbarians, with his seat of government at Badong. Fifth year (3 11). Spring. (HYGZ Bit 15.9-14J Li Xiang' attacked Fu, reducing the city and capturing the Grand Warden of Zitong, Qiao Deng. Riding on the tide of victory, he 38 . This term traditionally refers to Yangping Pass 1I1) '1 ~ IUl , northwest of modern Mian County in Shaanxi;Jiang Pass rIM. east of modern Fengj ie and today referred to as Qutangque fll!!IW! J; and Baishui Pass l;'pklUl , northwest of Zhaohua in nonhern Sichuan . See Zang 1936:40.~, 957·~, 319.1,347.3. These passes, however, are not within the bounds of Yi province. Liu (649n4) unders tands instead barriers as Bax!, Fu, and H eshui. 39. Following Ren (475n1o). As he points Out, Pi Su was given control of the army of the General Quelling the West but was appointed Gen~ ral Rousing Ardor, hence after Luo Shang's death there was no General Quelling the West. Zhang and Yang must therefore be commanders (;iang) and the character ;un Jl! must be excrescent, as is the character jiang in the pr~v io us reference to the Quelling the West Army. Cf. HYGZ IIhol. 10-11. 40. Qiao's biography in HYGZ ( llhOI) relates that his arrogance and bullying when demanding trOOpS from Shang to anack Cheng positions were responsible for a general distaste for him among Shang's aides. 4 I. Ren (475n11) has a d~tailed analysis of how Pi Su could not in fact have reached Fu before his death and recommends deleting the two characters zhi Fw ~jg , but no surviving edition omits these characters. Ir seems far simpler to follow Liu (649n6) in understanding this phrase in the future tense. 41. 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 HI STO RI CAL RECORD

advanced to attack Wen Shi, killing him .4 ) Xiong was delighted and proclaimed a general amnesty, changing the reign tide to Yuheng 3i ttT Uade Ba lance ). Jing and Xiang provinces fell into disorder.~ The Di Fu Cheng and Wei Wen ~ Jt created disorder in ¥idu Hfm (northwest of modern Yidu, Hubei). They moved up west to Badong.4s Li Xiong's force attacked Bodao, causing the Grand Warden of Qianwei Wei Ji a ~c to flee and killing the Grand Warde n of Jiangyang Ya o Xi ~U. Second month. The Di Wei Wen and others rebelled at Badong.46 Baa Zhong campaigned against them but did not defeat them, then killed the Governor Ha n Song. Song. sobriquet Gongshi 1lTci. was a man of Nanyang ffiMlr. He was the grandson of the Wei dyna sty Great Minister over the Masses Han Ji ~!i. Baa Zhong took personal control of the affairs of the three ministries. Third month. The civil and military officials of the three ministries and the subordinate officials of the Grand Warden of Badong together imprisoned Baa Zhong, his wife, and son(s) at Yidu, then killed them. 47 They then joined in recommending the Grand Warden of Ba Commmidery Zhang Luo to carry out the affa irs of the three minis tries. Zhang Lwu established his seat of government at Zhi tR iJ. HYGZ 9/110.10 says that Xiang' sent Li Shi leading Li Feng to atlack Wen Shi. See below. Qiao Deng's biography places his capt ure in the third year of Yongjia. that is. 309, but " three" is a common graphic error for "five," hence

3t

I.

44. This is the rebel lion of refugees from Sichuan that boke OUt in 3 I I, with Du Tao U~ its most promi nent leader. See ZZTj 86h]58ff. 45. The j in Annals place the Oi attack on Yidu in the eleventh month of 3 10. See jS 5112,1. The jS text at this point is either incorrect or corrupt. reading originally Wei Bofu ~ fa {.f. Ren 4 77n 3 argu ts on the basis of H YGZ that the text thrre should rrad "Wei Wen, Fu Cheng. " The relationship of Wei Wen TO Wei Bo is uncertain, but we hear no more of Wei Bo. Ren assumes plausibl y that Wei Bo is by now dead and that the leadership of hi s dan has fall en to Wen, presumably a son or yo unger brother. Cf. j S 138nI3. 46. Ren (477 n5 ) argues that Bao Zhong in fact had wanted to cO-Opt the Di warriors for his own benefit and only decla red them rebels and auacked them when they refu sed to ally with him. 47. It is curious that Bao Zhong should ~ killed at Yidu, q uile a ways downstream from Sadong (modern Fengjie). Ren (478n6) believes thi s was ~ca use the Oi were in fact in control and that i[ was only through their aid that Sao was defeated and ca ptured . But he also argues that they were advancing toward the west to ally with Li Xiong; Yidu wo uld be a significant retreat for them. Moreover. Ren argues that Yid u was in rebel hands continuousl y from 3 I I to 314. Perhaps the Oi still controlled Badong, but Yidu mUSt at this point in early 3 I I have still been under jin control.

LI XIONG 165

(modern Fuling). He personally campaigned against Wei Wen at Gongqi '8#T,~8 defeating him and obtaining his surrender. In a matter of weeks Wei Wen again rebelled, seizing the Grand Warden of Ba Commandery Huang Kan i'li A and setting him up as a puppet ruler. Huang Kan was at the end of his rope and wanted to commit suicide. The Recorder Yang Yu f&ffi sought to dissuade him, saying, "Wei Wen's previous evil-doings are known throughout the Sichuan and Yangzi River basin regions. When he kidnapped Your Excellem;y, who did not feel himself threatened? Who would believe the empty and false title (he has given you)? You should let General Zhang (Luo) know of your earnest sincerity. Why must you act rashly i" this manner?" Huang Kan replied, "The bandits have already cut off the highway. How do you propose to inform him of this?" Yang Yu then wrote a missive for Huang Kan and gave it to his younger brother, so that he might flee from the Di barbarians and present it to Zhang Luo. Luo said, "I was already aware that Zixuan T1i (presumably Huang Kan) exudes sincerity." When Wei Wen heard of this, he angrily imprisoned Hua ng Kan and, seizh'g Yang YII, questioned him conceming the circumstances surrounding the dispatch of the fetter. Huang Kan said, "I did not send it." Wei Wen then interrogated Yang Yu for a day and a night. but Yu did '101 speak. Wen wanted to kill Kan but Yu died under the cane. We", mOlled by Yu's loyalty, spared Kan. Zhang Luo sent an army to chastise him, which returned defeated. Zhang Luo personally led a campaign against him and, suffering a great defeat, himself perished. Luo, sobriquet Jingzhi -J;{W, was a man of Liang ~, in Henan. No o"e was feft in Ba .49 Wei Wen drove both clerks and comm oners to the west to surrender to Xiong. Li Xiong's commander Ren Hui captured the Grand Wardn, of Qianwei Wei Ji. Civil and military officials of the three ministries 48. This place-name is otherwise unknown. Ren (478n7 ) s~culates that it is a place along the Yangzi between modern Fuling and Fengjie. 49. Both Liu (651 nlO) and Ren (478n8) believe that this sentence should follow the next one relating their surrender to Xiong because it refers to Wei Wen's forced removal of the populace. Ren believes il s~c ifically refers 10 Di people, all o f whom accompanied Wei Wen to the west , but it is unlikely that there were any Di other than soldiers there, and they would not have to be driven (qulue ~~ ) . Another possibility would be to take it to refer to Jin offici als, but it mOSt likely refers to the propl e in general. It was not uncommon at this time to take the entire population of a locality and resettle them in a more securely controlled area.

166 PART

2.:

THI.' HISTORICAL RECORD

joined in recommending the Marshal of the Quelling the West Army Wang Yi ~,w to carry out the duties of the three ministries, also acting as the Grand Warden of Bo Commandery. The GOllernor of Liang Province Zhang Guang again established his seat of gOlleTtlment in Hanzhong. so Sixth year (J 12). The Dragon-Soaring General (1ongxiang jiangjun mlm~$) and Grand Warden of jiangyang Zhang Qi *-/[g: together with Luo Qi II~ of Guanghan killed Wang Yi. Yi, sabri· quet Yanming ~ajt was a man of Shu. Zhang Qi took charge of the affairs of the three ministries while Luo Qi assumed the post of Grand Warden of Ba Commandery. Zhang Qi died of ;[fness. Qi, sobriquet jinming :ijtBJJ, was a man of Qianwei. He was the grandson of the General of Chariots and Cavalry (juji jiangjun 1fi~~~) of the state of Shu-Han Zhang Yi ~K. The civil and military officials of the three ministries again joined together in recommending the Grand Warden of Fuling Xiang Chen icJit of Yiyang ft~ to fill the post of Colonel of the Western Barbarians. Leading officials and peasants, he entered Fuling to the south. First year of jianxing ~fI!. (313). Spring. Xiang Chen died. Many of the people of Fuling suffered from epidemic diseases. The Grand Warden of Shu Commandery Cheng Rong fllIE of jiangyang, the Grand Warden of Yidu Yang Fen m~ of Qianwei, the Marshal of the Western Barbarians Chang Xin '~ax of Ba commandery, and the Prefect of Du'an :fm3i: Chang Canghong ',l~tet~ jl of Shu commandery joined in recommending the Grand Warden of Minshan Lan Wei 1JiJ1m: of Fuling to be Colonel of the Western Barbarians. At the time, the Central Plain had already falle n into disorder, and there were troubles east of the Yangzi, he,,,e there was no place to look to for aid or relief. Che'lg Rang and others together led the officials and commoners to exit fro m Zhi tR to the north, hoping to jO. Allhough ZZTJ (8612.760) pomays reentry into Hanzhong as a signal accomplishment founded on many ytars of war, Ren (478nll) argut s that in fact Li Xiong had removtd the populace of tht region and abandont d it and that Zhang Guang's accomplishmenr lay in repopulating tht art3. 51. liao, Gu Guanqi, and Gu Guanguang all considtt the character chang 10 be excresctnt. Ren points out that thtre art many Changs and few Cangs in Sichuan at this time and that the two·character names are no! uncommon, but in the Chang dan single·character names seem to have been the rule. Ren (479nI3 ) further points out that the titles associated with these men are not currenr and that they did not at the time control the administrative units this attributes 10 them.

1.1 XIONG

J67

descend to Badong. They were consequently defeated and captured by Li Xiong's commanders Li Gong *~ and Fei Hei .~. Fifth month. The GOllernor of Liang Prollince Zhang Guang of Filling, a member of launched a campaign against Li Yun 51 Wang Ru's .:E.~D clique. Wang ]ian x l! of Baxi was erecting a mountain at Panshebian Ittt{J! and (Zhang) suspected that he was going to rebel. Li Yun and Wang ]ian (led, taking refuge in Gou Mountain .ftJ1lJ.HZhang Cuang dispatched an army to attack and defeat them, killing them. 5~ Wang lian's son-in-law Yang Hu fgdE. rebelled, taking refuge in Huang;;n Mountain 'Vi:1il W. Zhang Cuang launched a campaign against him. Yang Hu abandoned his camp by night and hurried back to the E Riller m>'ts and felt threatened by Feng's achievements . First year of Taixing :t: !J!!. (J rS). Li Feng rebelled at Baxi." Li Xiang" was sent on an expedition against him but tarried long at Zitong, not daring to advance. 6? Li Xiong himself arrived in Fu , and Xiang" consequently beheaded Li Feng. Li Shou was named to replace Li Feng and given authority (or a((airs in the north of Liang province. Second year (3 r9) · [HYGZ 9ft 2.0·5-71 Xiong dispatched Li Xiang' on an expedition against Yuesui. Third year (3 z.o). The Grand Warden Li Zhao *j.lJ surrendered. Xiang' advanced through Xiaohui IJ\* and attacked the Governor of Ning Province , Wang Xun IJI.6I Wang sent his commander Yao Vue Mtli at the head of a force to repel him. Xiang"s army was not successful and further encoumered protracted rain. Xiang' withdrew his army, losing many of his troops and officers in trying to cross the Lu River d7.l< .69

*.m

64. ZZTJ 91.1:z.9I8 r~cords under the year P3 Yang Nandi's flight to Hanzhong aher he learned that Liu Yao had killed Chen An. Th~ chronological framework of this section seems to be confused. 65· That is, Jiameng. See above, Li Te, note 93. 66. Reo (493n1 ) placcs r~sponsi bil ity for this rebellion squarely at the feet of Li Zhi, who h~ claims was jealo us of Feng's success. Feng, unabl~ to match Zhi's familial relations, first avoided him by moving to Baxi then was forc~d into open rebellion . We have insufficient evidence to confirm or deny this interpretarion of evr.nrs. 6,. Convinced that 2hi was at fault in Feng's rebellion, Ren (.. 93n l. ) then assumes th~ characterization of Li Xiang"s actions here is mista ken and that he did not advanc~ because- he knew of Zhi's ultimate responsibility for the rebellion. Ren would drop the cha racter gan i'i'l as excrescent solely on the basis of this interpretation. He thus assumes that HYGZ is a true record of events and that any d~viation from th~ truth (as Ren und~rstands it ) is the result of textual corruption. This position is untenable. What~verthe reality, HYGZ here dearly attributes guilt to Li Feng and co wardi c~ to Li Xiang·. 68. HYGZ specifies that this attack occurred in the summer of po and further gives the place of the decisive battle as Tanglang ~i!. 69. The chronol ogy here is confused in both JS and HYGZ. There were (wo expeditions against Ning province, one in 319-31.0, the second in 31.3 . Li Zhao was captured in 32.0 and sent to Chengdu but escaped and was reappointed Grand Warden of Yuesui. He and Wang Zai xm: w~re again ddeat~d by Xiang'

172 P A RT 2: THE HI STORI CA L RECORD

Whcn Zhao arrivcd in Chcngdu. Li Xiong treatcd him very gencrously. Coun ceremony and mourning ritual were all decided by Z hao .7'O When Yang Nandi fled to Jiameng (i.e., jinshou) Xiong's General Pacifying the North (anbei jiang;un :9:~t:ltf1fI.) Li Zhi had sought to comfon him through generous treatment and had permitted him to return to Wudu with his brothers. 71 There, relying on his strategic position, he committed many illegal acts .n li Zhi requested permis· sion to attack him. Xiong sent the Capital Captain (zhongling;un tpPJiIJi) Li Han $Ei73 and the generals Yue Ci ~::X. Fei To, and Li Qian *fZ to attack Xiabian Tm,'( proceeding from Baishui Bridge B while the General of the Eastern Expedition (zhengdong jiangjun tiDJt:ttflfi) Li Shou led Han 's younger brother Wu ¥F in attacking Yinping. Nandi dispatched an army to block him, and Shou was unable to advance, whereas Han and Z hi made a long forced march to Wujie :iK;ttJ (east of Didao, Ga nsu). Nandi sent some men to cut off their return route and attacked them from all four sides, ca pturing Han and Zhi. The dead numbered in the thou· sands.7.! Han and Z hi we re the sons of Xiong's elder brother Da ng and Xiong was sorely grieved by their fate. ' 6 He did not eat for several da ys and every rime he spoke he would break into tears, severely castigating himself for his role in the affa ir. Later Xiong intcnded to esta blish Li Dang's son as Heir Apparent. n

*.fit.

in 32.3 and surrendered before Xiang' went on to defeat at Tanglang. HYGZ 91 111 mentions only the exp(dition of }10 and mistakenly places the bank of Tanglang in the (h ird month of (hat yur. )S s~e m s to refer only to the second expedition. See ZZTJ 91.12.91 I; JS 6/195 , 81hl10; HYGZ 4'54.1-4 . 70. In HYGZ I 1h98.9 w~ a r~ tOld that Li Zhao was heir to a fami ly (cadition of lea rning. 71. HYGZ 91I2. I. 9 and ZZT) 92.11.915 agree in repon ing that Li Zhi accepted a bribe in return for thi ~ favo r. ZZT} places these events in the lancr half of 313 . Huang 1975: 186 states that HYGZ . Previo usly he had sent Fu Ying P!f.ijt to request the right to transit Shu in order to submit memorials to the capital, which Xiong did not permit. Now Jun sent the Retainer Administering the Palace Zhang Chun 5N:l.Ji: to declare allegiance to Shu, entrusting to him the task of obuining the right of transit. Xiong was delighted and said to Chun, " Your ruler's heroic reputation is known throughout the world. His location is strategic and his troops strong . Why does he not declare himself Emperor of one region?" ')!) 87. J5 o riginall y read anshi Btl:i:, "darkened room, " a common metaphor for a place where one cannot be observed and hence can perform evil acts with only one's conscience as one's guide. Here I foll ow HYGZ 9/ 12.3 . 2., reading zhi ~ for shi. 88. After the overthrow of the Qin dynasty, Xiang Yu, who had proclaimed himself King of Chu, and Liu Bang, then King of Han, joined in raising King Huan of Chu fO the im~rial throne, with the title Yidi, or ~ Righteous Emperor." The next year this Emperor was killed by Xiang Yu. He was in fa ct never more than Yu's puppet. This strange allusion makes one wonder if Xiong is nOI thereby expressing certain do ubts about the Jin Emperor. See Shij; 7/ ) I 5. 89. J5 reads Jin Emperor Mu, who did not come to the throne until HS, over a decade after Xiong's death. The passage seems taken from Weishu 961 2.1 I 1.4, where it is notJin Em~ror Mu but Toba Qilu nJl!H:JrJ (?-) 16 l,later canonized as Emperor Mu of Wei, to whom reference is made. The comment is in any case placed incorrectly withinJ5. 5ee J5 12.1/)oson6. 90. JS 86h1.36.rS reads, "Why does he not declare himself Emperor and amuse himself with one region?" This ponion of Zhang Jun's biography gives the background for Chun's speech. Arriving in Cheng, Chun first suggested

176 PART 2; THE HISTORICAL RECORI)

Chun replied , "Because, although my ruler's ancestors for generation after generation had loyal and meritorious achievements, they were not able to wipe out the empire's disgrace nor save the masses from from their imperiled state. For this reason, my ruler forgets to eat as the sun sets and, pillowing his head on a halberd, awaits the dawn. Since the King of Langye was able to restore the dynasty east of the Yangzi, my ruler lends his support over a distance of ten thousand Ii. When he is on the verge of completing the achievement of a Huan tg or a Wen :>C. how can you mention his taking it for himself?"'" With a mortified expression Xiong said, «My fath er and grandfather were also officials of the Jin. In the past when I took refuge in this place with the people of the Six Commanderies, I was pushed forward by my confederates to be ruler; if the King of Langye can restore the Great Jin dynasty in central China (zhongguo ..-p !f,ll, I also should lead my troops to his aid." Chun returned and submined a memorial to the capita l, which pleased the emperor. At this time Li Xiang' died. Third year {J28}. Winter. Li Xiang" died. He was posthumously awarded the rank of Minister of State (x iangguo .f'ElIl) and was cattonized King Xian of Hall ll! ilt 3:. Li ShOtt returned for the funeral. Li Wu was appointed Great General of the Northern Expedition and Governor of Liang Province to replace Shou. Li Ban was ordered to fill the position of General Assuaging the Army (fujull jiangjull ~lEJjtfm) alld repair the military colony at }inshou. fifth year (jJo}. IHYGZ 91r 2.2.·:z.-31 Xiang"s son Shou was made Great Genem l and Colonel of the Western Barbarians. n At the head of the Genera l of the Southern Expedition (zhenK'lan ;ianK;un tiEj~Hltf·.il!) Fei Hei and the General that Cheng ally with Zhang Jun to attack the Oi. This angered Xiong, who phllmtd to havt Zhaug ChuLI waylaid 0 1\ the road. C1llu\ di s.:ovtf(:d these plalH and confronted Xiong. Xiong then tritd to persuade Chun to stay and enttr his service. The speech in OUf (ext is Xiong's final address a s Chun is about 10 leavt. 91. Dukt Huan of Qi and Duke Wen o f Jin were twO of the five Hegemons (ba ~ ) of Iht Spring and Autumn period. They acted as bulwarks of the Zhou royal houst, rallying Iht Olhtr feudal lords around tht king when he was unable to dtftnd himstlf and staving off thrtats from non·Chinese peoples. It is such a role that Zhang Chun claims htrt for Zhang Jun. 92.. HYGZ 9/12.2..)-4 records the positions given Shou at this timt as; " Insptctor-Gtntral of Inttrnal and External Armies, Great General. Capital Protector, Colontl of the Wtstern Barbarians, OvtfSttf of tht Imperial S« rt· lariat (lu shang5hu U#;}a), in overall command as Xiang' had ~en."

LI XIONG

177

of the Eastern Expedition Ren Shao ffM8.'3 he attacked and reduced Badong. The Grand Warden Yang Qian m~ retreated and fortified Jianping (modern Wushan).'" Shou separately dispa tched Fei Hci to plunder Jianping. The Jin Overseer of the Army Guanqiu Ao fi.!l retreated and fort ified Yidu. Sixth year (;31). Spring. Li Shou returned. Ren Shao was dispatched to encamp at Ba . Li Xiong apPointed his son Yue General of Chariots and Cavalry, stationing him at Guanghan. Autumn. Li Shou marched on Yinping. 9-1 Winter. Fu was walled.96 Seventh year (33 2). Autumn. [HYGZ 911 2.2..5-6J Xiong sent Li Sholl to attack Shushi, taking Fei Hei and Shao Pan BB . 97 as his vangua rd . He also sent the General Stabilizing the South (zhennan jiang;un Mifj~jJi) Ren Hui on an expedition against the Muluo *~ in order to divide the aid and supplies from Ning province.98 Winter. Tenth month. Li Shou and Fei Hei arrived at Shushi. The Grand Warden ofShushi Dong Bing 1l~ sealed the city. The Governor ofNing Province Yin Feng jt~ dispatched the Grand Warden of ]ianning Huo Biao 1t!fi1, the aristocrat Ctlan Shen tl i?f.. and others to aid Dong Bing. At the time, Li Shou had already besieged the city and wished to resist this force. Fe; He; said, "l expect that withi" the walled city they are short of foodstores. Although Hila Biao and company have arrived, they halle not brought much food. You should allow them to enter the city so that they may aid in consuming the

m

9}. jS givts for Rt n's personal name tie, which Ihe moonn edilors claim is a graphic varian! of zhao w.3 - Rtn (49 sn I}) cites this passage wilh the namt Rtn Hui ff@l,bu titisundtafwhateditionofjSthisis drawnfrom. In any case, aU surviving editions of HYGZ agrte on Ren Shao and this fuding sttms prderable. 94 . j S 7/ 177 .1 0 lists this tvtnt undt r the ttnlh momh of 3}0. 95. ZZTj 941192.7 goes on 10 l(cord (hat Yang Nandi surrendered 10 Shou. 96. Tnt liao edition of HYGZgives Fuling, a mistake for Fuxian (Fu coumy). SCOt Rt n 495fl16; Liu 673n2.. 97. Following HYGZ, quoted lxlow. jS originally had Ang Pan rO$. 98. Ren (495nI7 ), noting thai thtre are no known places named Muluo. argu~s that this is Ih~ name of a tribe of Si-sou located in the northw~st of th~ Yutsui commandery and Ihat thty wer~ the Si-sou who had rebell ed in 32.3 and bten subdut d in } 2.6. HYGZ s~cifi~s that Fei H ~ i was acting as Marshal to Li Shou and that they entered from Nanguang (southwtsl of Gong county. ZZTj 8711984 givts Guanghan). HYGZ also sp«ifits that it was Ren Hui's son Tiao ff 1tIII who was stnt out from Yu~s ui.

nt

178 PART 2.: THE HISTORICAL RECORD

city's grain. I only regret that they are so few. Why should we resist them?" Huo Biao and company all entered the city. But the city held out for a long time, and Shou wished to launch an a/l~out assault on it. Fe; Hei remonstrated, "The road to the south-central region is perilous and its people fond of rebellion. We must wait until both their schemes and courage are exhausted. We need only restrain them for a protracted period, and we will gain victory with our army intact to seek for m ore. Why get upset over penned-up animals? " Li Shou could not be dissuaded from doing battle, and in the end he did not gain the advantage. Afterward he entrusted all military affairs to Fe; Hei. Eighth year (333). Spring. First Month . Dong Bing, Huo Biao, and others emerged and surrendered. Our awe resounded through the thirteen commanderies. (HYGZ 9/12.2..6-11] The Governor of Ning Province Yin Feng surrendered, and Xiong consequently possessed the south-central region. Third month. Governor Yin Feng surrendered the province and sent hostages. He was transferred to Shu. Li Shou was given control of Ning province. When the southern barbarians had first been pacified, the members of his force were under strict discipline, but later they turned to oppressing and robbing the populace. [HYGZ 91 12.2.11-12.]

Xiong thereupon declared a general amnesty and sent Li Ban to attac k and pacify the ba rbarians (yi) of Ning prov ince, at the same time naming Ban General Assuaging the Army. Autumn. Commoners of the province of lianning Ma o Yon Iii and Luo Tun H ~ rebelled, killing the Grand Warden Shoo Pan . The Grand Warden ofZangke Xie Shu Df~ declared his commandery for jin. Li Shou chastised and crushed him, Ninth year (334). Spring. A portion of Ning province was cut off to fo rm jiao :;: province. Huo Biao was made Governor of Ning Province and Cuan Shen of jianning was appointed Governor of jiao Province. Li Shou was enfeoffed King of jianning. {HYGZ 91

::e

12.2.12- 1 31'9

Third month. Li Shou returned. [HYGZ 91r 23.3J 99 . At this point HYGZ in~rts th~ nrst of th~ two dialogs between Li Xiong and r~pre5("nta tiv es of Zhang Jun. The dating and proper o rdering of these passages is problematic. Although the current passage occurs first in jS, it seems logically to follow the other two. Ren -496n2.) arguu on th~ basis of Zhang Jun's JS biography US 86) that there wer~ two missions from Jun, the first, headed by Fu Ying, req u~sting the right to send messagu through Cheng to Jin, th~ second, headed by Zhang Chun, actually obtained Xiong's agr~em~nt.

LI XIONG 179

tn the ninth yea r of the Xianhe reign period (334)100 ulcers formed on Li Xiong's head and he died in the sixth month . lo l At the time he was sixty-one sui (i.e. , fift y-nine or sixty years old ) a nd had been on the throne for thirty years . I02 He was given the posthumous tide of Martial Emperor (Wudi :l1t~) and the temple name Grand Exemplar (Taizong :t:*). His tomb was called Tumulus of the Peaceful Metropol is (Anduling 3(~~).I 03 Xiong was by nature generous and sincere . He reduced punishments and simplified the legal code and thus achieved great renown. The Di leaders Fu C heng and Wei Wen rebe lled after ha ving surrendered and with their own hands wounded Xiong's mother, but when they came to submit, Xiong pardoned all their crimes and accorded them favorable treatment . For this reason both Chinese and barba rian were contented and his majesty resounded th rough the weste rn lands. At the time, the entire world within the seas was in great disorde r, and Shu alone was without troubles; therefore people submitted to him one afte r another. Xiong established schools on the commandery and county levels (xuex iao ~~) and appointed official histo rians. In his moments of respite from the hearing of aud iences and the perusa l of memorials, he was never found without :1 book in his hand. His taxes were three hu of grain per adu lt male pe r year, with adu lt femal es paying half this amount ; the household ta x was no more th an a few zhmlg of silk a nd a few liang of cotton. Wars were few, corvee labor infrequent, and the com mon people prospered. The vill age ga tes were nO[ dosed, and the people did not rob 100. Following HYGZ 91I 1.3.4- 4, SlGCQ in TPYl ll3'7b, and J S 7/1 7 8 in amending "eighth" to "ninth" yea r. H YGZ gives the exact date as August 7, 334, wherea s SlGCQ gives August t I. Songshu 1-3/963 places Xiong's death in the eighth month. Since the illness as described here and at the beginning of Ihe biography of Li Ban, which immed iatd y foll ows, docs not seem an acute development, it may be that The illness came upon him late in the eighth year, btcoming seriou s enough to merit the recall of l i Shou in the third month, and finished with an accumulation of liquid in Xiong's head wound, after wh ich dealh foll owed in only si x days. 1 0 1. Reading yue iL "month," fo r ri a, "day." Alternately, it might be supposed that the fina l stage of this illness lasted six days, as mentioned in the preceding note. 101.. In accordance with our determination that Xiong's death occurred in 334, the modern JS editors btlieve that this figure should be emended to thirtyonto This takes Ihe assumption of the title of Great General in 30} as itS starting point. HYGZ 9/113.l also reads thirry, but Gu Guangqi believes that li Ji emended tht text on the basis of JS. 103. The location of this tumulus is unknown . Ren (497nl7 ) suggests that it may have been destroyed after the Jin reconquest of Sichuan .

180 PART

2, ;

THE HISTORICAL RE CO RD

one another. 104 However, Xiong's mind was fixed on effecting the submission of distant lands, and for this, state funds were insufficient. For this reason, when military commanders presented gold, silver, or prec ious jewels, they usually received office in recompense. The Chancellor Yang Bao 105 remonstrated, saying, "Your Majesty is the ruler of the empire and should embrace and control all within the Four Seas. How can you purchase gold with offices ?" Xiong dismissed him with an evasive answer. On a later occasion, Xiong got drunk , pushed the Prefect of the Palace Secretariat (zhongshuling cp 84'i) , and orde red the Prefect of the Grand Provisioner (taiguanling ;t'§eft of Tianshui to be among his retainers and friends. He would often say to Dong Rong and the others, "When I consider King Jing of Zhau's Heir Apparent Jin ~ 4 or the Heir Apparent of the state of Wei (Cao) Pi / or [he Heir Apparent of the state of Wu, Sun Deng L%H/ all of 1. H YGZ 9ft l}.6 adds, " He was Li Dang's fourth son and W;'IS adopted by l i Xiung wilen young." 2-. HYGZ lists this event under the winter of 3U, whereas ZZTJ records it under 32-4 . See HYGZ 9/1 H. I ; ZZTJ 93h9U. ). I have found no record of Wang Gu, Dong Rang, or Wen Kui other than their occurrences in connection with the Cheng state. The YitlY; phonetic gIOSSl'S 10 this chapter maintain that Wang's personal name should be read Jia rather than Gu. 4. Ban seems 10 have made a mistake here. Jin was the Heir Apparent to King ling of Zhou Ir. 57 I-54 j B.C.E.); Jing fflI:S::F. (r. 544-52-1) was Jin's younger brother Gui J}t'. Jin died before coming to the throne. Ying Shao records that Jin was a precocious yo uth and at age fifte en had a conversation With the master musician 5hi Kuang Miill. in which Jin p r edicu~ d his own death. I have found no reference to imperial patronage of worthy literati, which seems to be the point of these allusions. See Fengsu tongy; l-f 12- j Qian{ufun 911 sb-16a. j. Pi, the later Emperor Wen o f Wei ~3t~, was himself a famous author, although only fragments survive of his most important work, the Dian/un ~ ~. SGZ :1./88 records that he sponsored the compilation of an em:yc1opedia called the Huang/an in more than one thousand chapters. 6. Sun Deng was the Heir Apparent to Sun Quan, the founde r of Three Kingdoms state of Wu . Deng died in 2-41 before coming to the throne. He had a reputation for learning. See SGZ 59/1)6 3-1}66.

2..

18 1. PART 2.: T H E H ISTOR I CAL RECORD

them surpassingly exce llent in their appreciation and knowledge of literature, I never fail to fee l ashamed. How lofty and enlightened were the worthies of antiquity, how unatta inable are their achievements to posterity!'" By nature kind to all, in everything Ba n aJhereJ to the correct path . At the time, the various sons and brothers of the l i family were all fond of extravagance, and Ban often warned and rebuked them . Every time the court held a great conference, Xiong wou ld inva riably o rder Ban to participate. It was Ban's opinion that, " In amiqu ity, when land was brought unde r cult ivation, it was divided equally and both rich a nd poor obtained their proper place.H Today the nobility is occupying uncult ivated land on a gra nd sca le, the poor have no land on whic h to plant a nd grow cro ps, a nd the wealthy sell their surplus. How could this be the princ iple of the king's great impartiality!" Xiong accepted this criticism. When Xiong was bedridden with illness, Ban wa ited upon him day and night. Now as his illness became severe, his sca rs all bega n suppurating and bursting. Xiong's sons Yue and the ot hers all th ought this disgusting and avoided him , but Ban would suck the pus off, with no expression of distaste . Every time he tasted medicine (for Xiong) he would cry but did not doff his o ffi cial robes and cap.~ Such was his filial piety and since rity, When Xiong died, Ban succeeded to the usurper's th rone and made Li Sho u Oversee r of the Affairs of the Impe rial Secreta riat (III shangshll shi ~f~!fm:) and Regent (f"zhe1lg fitif{). Ban remained in the palace observing the mourning ritual wh ilc the affairs of govern ment wc re all entrusted to Shou and the Minister over the Masses He Dian and the Prefect o f the Imperial Secretaria t Wang Cui ':Efl. 7. H YGZ 9/ ( 1} .8-9 has in place of the preceding quotation the unmarked quotation, " How unartainable are those men of old." The text conti nues, "He was proper in manner and deportment, diligent in making inquiries. He was, however, given to frivolous actions, and his failing was (an attachment to) hunting. 8. This is a reference to the so-ca lled well-field system of la nd tenure, which Chinese since the time of Mencius (late thi rd century S.C.E. ) have believed was practiced du ring the eady Zhou. Under Ihis system a section o f land was divided into nine pIOIS, eight of which were allocated to farme rs and worked individually while the ccmral plot was farmed communally. This theory had a profound influence in this period of local magnates possessing huge estates and infl uenced land reform under the Nort hern Wei, Sui, and Tang dynasties. See Hori 1985. 9. The Record of Rites prescribes this activity for loyal min isters and filial sons: "When a ruler is ill, and has to drink medicine. the minister first tastes it. The same is true for a son and his ailing parent. ~ See Liji z.bengyi 5/1 sa; l egge, 1885=1, t14· H

LI BAN 183

At the time, Li Yue was sta tioned in Jiangyang. Because Ban was not a direct descendant of Xiong, Yue thought it most un just (that Ban should succeed to the throne). Now Yue, hav ing returned for the fun eral, secret ly ploned with his younger brother Qi WI about the matter. Li Wu exhorted Ban to send Vue back to Jiangya ng and to appoint Qi Governor of Liang Province, stationed in Jiameng. Beca use Xiong had not yet been buried, Ban could not bring hi mself [0 send them away. Trusting o f others and dwelling in liberality, his heart was without the slightest pettiness. At th at t ime two paths of white ethe r (q i ~) appeared, girding the heavens. The Prefect of the Grand Astrologer's Offi ce (taishiling ~ ~ %) Ha n Bao ~ f:Jl0 memorialized, " In the palace there a re ethers o f secret plots and weapons . Beware of someone among your relatives." Ban's eyes were not opened. In the ninth yea r of the Xianhe reign pe riod (334), while Ban was crying in the hall where Xiong's body la y in state, Vue killed him . At the time he was forry-seven sui and had been on the throne one year. 11 Xiong's son Qi was chosen to in herit the throne from him . Winter. Tenth mamh, guihai day (December 5, 334). Li Q i and Li Ylle killed Ban while he was grieving for the dead (Iinci ~~). Th ey also killed Ban 's second eldest brother, the General Directing the Army (lingjun jiangjun ~Ji!lrttf!l1) Li Du ~:W. His younger brother WII fled to the Jin. Qi falsely canoniud Li Ban as Fractious Heir 10 . HY(jZ 9/11.3 . 14 gives H an Yue d:f..J. The JS read ing is no doubt the result of graphic confusion. I I . Ren (498nl ) a rgues that this age must be incorrect benuse it would mean that Ban was only thirteen years you nger than Xi ong, his adopted fathe r. H e suggests that Ban should be thirty-seven at the time of his death , but this can be no more than conjecture (Ren is also inexplicably off one year in many of his calculations). There is cl earl y a problem in the Slatement made in HYGZ (9' 122.1) that Ban was sixteen at the time he was appointed H eir Apparent in 321. This would put his birt h in 307, three years after his father Li Dang's dea th in 304; moreover, Ban has a younger brother, Wu . It is less clear that there is a ny problem with the statement made here. Li Xiong's wife, Madame Ren , was childless and probably took in Ban, igno ring Dang's other fou r sons, only after tryi ng many years to produce a child o f her own, perhaps as an attempt to " Iead in a son. Ban would thus have been sixteen sui at the time of his fath er's death, nOt an inconceivable age for ado ption, and X iong would have been thirty. Madame Re n, as Xiong's primary wife, could very easily have been older than him and app roaching the end of her childbearing years. This still leaves unexplained, however, the comment concerning Ban's age at the time of appointment as Heir Apparent. According to this calculation. he would have been thirty-five (Ihitty-three if we accept the date of 314 given in JS), a figure not easily confused with sixteen. R

184 PART ;t; THE HISTORICAL RECORD

Apparent (Ii[aizi ~::t-T). Li Shou posthumously canonized him as the Sorrowful Emperor (A ihuangdi ~li!~l His sons You ~ and Yong I'li were killed by Li Qi. Ban and his four brothers all met violent deaths. Four of them left 110 descendants. Li Wu under the jin administration held successively the posts of Grand Warden of Ba, Xiangyang, and Yidu commanderies and Dragon-Soaring General. In the third year of the Yonghe;;j(~ reign period (347), in the force of the General of the Western Expedition (i.e., Huan Wen), he died in battle at Shanyang ll.JMb. (HYGZ I2.3. Io- I2.)

Li Qi

Li Q i $M, sobriquet Shiyun tltil. was (he fo urth son of Li Xiong. Discerning, wise, and fond of lea rning, by the time of his capping he was competem at composilion . He did not esteem wealth but was fond of distributing his bounty and humbl y solicited a nd accepted advice. When Qi had first been named Genera l Establishing Intim idation, Li Xiong o rd ered his sons as well as the sons and younger brothers of the royal house to each assemble a force, relying on their past beneficence and sincerity. The others were able to gat her a few hundred at most ; Qi alone reached more than a thousand men. ! Most of the people he recommended by memoria l Xio ng accepted. so tha t many of the senior administrative officials of the va rious bureaus had advanced through his patronage. Ha ving killed Li Ban, they wished to establish Li Vue as ruler, but beca use Qi had been reared by the wife of li Xiong, M adame Ren,! a nd because of his many ta lents, Vue yielded the throne (0 him. He thereupon usurpingly assumed the posicion of Empero r a nd, proclaiming a ge neral amnesty, changed the reign name to Yuheng ] i Uade-like Consta ncy). H e executed Ban's brother Du 3 and sent li Shou to attack Du's younger brother Wu ac Fu . Abandoning the cicy, Wu su rrendered to Jin .~ Qi enfeoffed ShOll as King of Han and

m

H YGZ 9112.}. J} adds at this point, " H~ was appointe-d Ge-ne-ral Pacifyi ng East " ta ndong iianglun ~!4l:#fJll). 1 . HYGZ 9fI 13 . 12. ~xpl ains that Madame- Ren adopted Q i becau ~ hi s binn mother, Madame Ran Pl, was of mean birth. HYGZ and SLGCQ make- it d e-ar that it was Yue who com mitted or, at least, ordtrtd th t muedtr, tht n put Qi on tht throne. Set Rtn 04-99n7. }. 1S rtftrs to Du here as Ban's younger brother, but in fact he was oldtr than Ban, bting the second of fi ve brothers, and was so cha ractt rized in the previous section. 4· HYGZ 9/ 12.4.5 records that his commanders Jiao Kuai w.1I8' and Luo Kai 11M also surr t nd t rt d with him. I.

th~

186 PART 2: THE HISTORICAL RECORD

appoimcd him Govc rnor of Liang Province, Colonel of the Eastern Qiang, Capital Protector, and Overseer of the Affairs of the Imperial Secretariat.5 He enfeoffed his elder brother Vue as King of Jianning, appointing him Minister of State and Overseer of the Affairs of the Imperial Secretariat. He established his wife, Madame Van fRI. as Empress. Qi's second eldest brother, Ba It. was made Capital Captain and Great General Stabilizing the South. His younger brother Baa ~ was named Great General Stabilizing the West, Colonel of the Western Barbarians. and Grand Warden of Minshan. His senior uncle~ Shi was named Great General of the Eastern Expedition, replacing Vue. [HYGZ 911 24. 1-21 He appointed the General of the Gua rds (weijiangjun fti~lII) Yin Feng to the posts of Chancellor of the Right (you chengxiang tiZf:: .tfH and General of Doughty Cavalry. The Prefect of the Imperial Secretariat Wang Cui was appointed Minister over the Masses. 1 Autumn. The (Colonel) Director of Retainers jing Qian~. was named Prefect of the Imperial Secretariat, the General of the Southern Expedition Fei Hei was named Colonel Director of Retainers, and Li Bun 's maternalllncle. Luo Yan. was named Archer-in- Waiting. IHYGZ 9/"4.3-41 Considering that he had persona lly planned the "great affair " (i.e ., usurpation ) and had brought it to fruition, Qi slighted all the former officials. Outside the palace, he trusfed and employed the Prefect of the Imperial Secretarial Jing Qian, and the Imperial Secretaries Yao Hua 9!~ and Tian Bao m~ . Bao had no other talems, but during Xiong's reign he had advocated the establishment of Qi as Heir Apparent, and for {his reason he was favored most highly. Within the court, Qi truSled the eunuch Xu Fu ~lfrg. and company. The affairs of the administration of the state were seldom again referred to major officials; both rewards and punishments were decided by a mere handfu l of people. Thus Ihe guidiog ropes of government became enta ngled. s 5. HYGZ 9/11.4. 1adds that Shou was also appointed Great Inspector-General. 6. HYGZ originally had "dder cousin" (congx iong tt£), but Shi was Li Xiong'sdder brorhu and henu Li Qi's unde. Cf. Liu 680n3; Ren 499n8. 7. The modern JS mispunctuates this sentence, laking Prc:fect of the Imperial Secretariat to be one of the posts received by Yin Feng rather than the previous post of Wang Gui. Cf. j5 11.1/304 LU . 8. HYGZ 9/U4.6 reads, " He spurned and ignored the high officials of his father's time. The administration and penal system fell inlo disorder."

LI QI 187

Li Ban's matemal unde Luo Yan plotted with the Minister to the King of Han Shangguan Dan 1:. 'B' it of Tianshui to take Qi by surprise and enthrone Ban 's son You. Word of the plot leaked out, and Luo Yan and Shangguan Dan were killed. Ban 's mother, Madame Luo, Li Han's SOn Yan a fA, and Li Zhi's wife, Madame Zan, were also executed. [HYGZ 91t24.4-s1 The Archer-in-Waiting of the Imperial Secretariat (shangsh u puye f;l;l!HJU-t) and Duke of Wuling Li Zai *~ was falsel y accused of plotting to rebel, imprisoned, and executed. 9 Earlier the Jin Genera l Establishing Intimidation Sima Xun a] .~ III had encamped at Hanzhong .'o Qi dispatched Li Shou to attack and reduce his position. Consequently a Warden ll was appointed and Nanzheng was garrisoned. Li Xiong's sons Ba and Bao both died suddenl y, with no sy mptoms of illncss.1l Everyone said that Qi had poisoned them. At th is, the grea t officials were all secretly fearful and the people uneasy} l A great fish, ye llow in color, rained down from Heaven into the midst of the palace compound. Further, pigs and dogs mated in the pa lace. 14 Qi executed many, confiscating their wives, daughters, and possessions to fill his inner quarters. Both within and without, the people were filled with fear and on the roads and highways commun icated their distress with ve iled 100ksY Remonstrators were charged with crimes, and the people were intent on avoiding misfortune by any expedient. 9. HYGZ 9/124 .5 places the execution of li Z li in }3 6, lfrer Luo Yln 's rebellion. 10. The jin Annals US 7IISO.12 ) record the di spatch of Sima Xun 10 Hanzhong in the deventh month of 336. I T. JS uses the term shOlllai indicating a continuing uncertainty as 10 whether Hanzhong should be treated as a commandery with a Grand Warden (taishou) or a kingdom, specifica lly the Han Kingdom that was Li Shou's fid, wilh an appropriale Mi nister (xiang), Chancellor (wi), or Seneschal (neishi). Il. HYGZ 9/1l4.4 simply says Ihat they died of sudden illnesses. 13. HYGZ 9/124.4 reads. " The great o fficials began to doubt their continued safety and blood relatives became estranged." JS perhaps infers from this the statement about poisoning. 14. Cf. HYGZ 9/u8.3, where it is also recorded that trees blossomed in winter. All of these anomalies were portents indicating Heaven's d ispleasure withQi. 15. This phrase (daolu yi mu 3lJi3J:J.13) was first used to describe the reaction of the people o f the early Zhou state after the evil King Li.3: had passed a law banning all protest as calumny (ca. 84l S.C.E.). See Shiji 4/ 141-14%.; Chavannes 189Fi, %.70.

"T*.

188 PART 2: THE HI STORICAL RECORD

Qi also poisoned his General Pacifying the Nonh Li You· *'~. You was Li Shou's adopted younger brother. Qi then plotted with Li Yue,ling Qian, Tian Bao, and YolO Hua to make a surprise attack on Li Shou, using the burning of the Market Bridge mti1l (four Ii east of Chengdu) as a pretense to send out troops. Qi also repeatedly sent the Palace Attendant~in~Ordinary (zhong changshi cpmi~) Xu Fu to Shou's headquarters to spy on his activities. When Qi killed Li You, Shou was greatly alarmed and also became suspicious o f Xu Fu's frequent comings and goings. He consequently marched on Chengdu from Fu at the head of ten thousand infantry, memorializing that ling Qian and Tian Bao were throwing the gov~ ernment into disorder and saying that he (Shou ) was raising the " troops of Jinyang"16 in order to remove the evil at the ruler's side. l1 He made Li Yi" *~ his vanguard. When Shou arrived at Chengdu, Qi and Vue had not anticipated his coming and had made no preparations. Sh ou consequently took the walled city and camped his troops right up to the gates (of the palace). It Qi dispatched a Palace Auendant 19 to convey to Shou his respects . Shou memorialized that the Minister of State, King Yue of lianning, the Prefect of the Imperia l Secretariat and Duke of Henan Jing Qian, the Imperial Secretaries Tian Bao and Yao Hua, the Palace Attendant-in-Ordinary Xu Fu, the General of the Western Expedition Li Xia $Jl!. and the Gt:m:ral Li Xi *i§", all ha ving harbo red treacherous plans to disrupt the government and overturn the altars of state, were guilty of treason and that their crimes merited extermination. Qi, foll owing this advice, thereupon killed Yue, Qian, and the others. Shou counterfeited a command from Madame Ren to depose Qi, making him Duke of Qiongdu County !WfflI'-t0 and secl uding him in a subsidiary pal16. Th~ G~liangzh~an (Chunqiu jingzh ~Qn yinde 4601Ding 13/7) records that Shang Yang raised trOOpS ((Om the Jiuya'}g g.~ (Taiyua,}. Shanxi) region in order to elimi na te th~ influence of Xun Yin iijJii and Shi Ji s h~ ±ili!tt on the rulC'f of W~i. This incident was later o ft~n usC'd as justification for what wC'rC' in fact rebellions. 17. HYGZ 9/114.6-7. which places this event in the fou rth monrh of 3)8, says that Shou announcC'd his purpos~ as the punishment of Li YUC' and Jing Qian and that Qi reiC'ned a requ~st from Yu~ to purchas~ mercenaries for their defens~.

18 . Here I follow

th~

"palac~ gates," as well as Shi' *~, the Colonel of

Japanese Tokugawa-era edition ( 1l.l /9b) , which has ZZTJ 96/3°17. ZZTJ also records that Shou's son, Li the Re se rv~ Army, was inside th~ city and op~ned the

gales for him. 19. Thi s was, presumably, a

~ unuch

serving under Xu fu.

LI QI r89

ace. Sigh ing, Qi said, "That the ruler of the empire should be reduced to the duke of a small county. It would be better (0 die. " In the fourth year of the Xiangkang reign period (338) Qi hanged himself.2DAt the time, he was twenty-five sui of age 21 and had been on the throne five years. 22 He was given the posthumous title Benighted Duke (Yougong ~i}). When he was buried, he was granted a phoenix carriage with nine tassels,u everything else following the etiquette appropriate for a king. All of Xiong's sons were killed by Li Shou. H Fifth year (339). L; Qi's wife and sons were transferred to Yuesu;. Li Sh~ *~ then sent a man to Yuesui to execute his sons. [HYGZ 9/ 12 4· 8 J

ws

.1.0 . 96/ull.7-8 agrees withJS in stating that Qi killed himsC'lf. How· C'ver, HYGZ 9/114.7-8 and thC' Jillshu Annals (7/ ,81.4) agreC' Ihal Shou killed him. HYGZ also notC's that Shou at this time killed Li 5hi. Thr J5 Annals placC' Qi's death in the fourth month, but HYGZ says the fifth. 1.1. HYGZ 9/11.4.8 gives twC'my-four . .1.1.. J5 originally read "Ihree," but Qi occupiC'd the thronC' from} 3 3 to 338 . .I.}. The Record of Rites (Li;i zhengyi 38/ISb) says that ninr tassets were appropriate for the banner of the Son of HC'avC'n, hC'nce this is a concession to his former impcoriat rank. 1.4. HYGZ 911 1.-4.8 tdls us that morC' than ten of Qi's brothC'rs wC're killC'd at this timr. At onC' point, Li Xiong had fifteen sons.

LiShou

*•.

li Shou sobriquet Wukao :li\~, was the son of Li Xiang·. H e was clever and fond of learning, broad in his refinement and capacity. When young, he esteemed proper demeanor, in this way differing from the other sons of the Li clan. Li Xiong considered his talent remarkable and thought him capable of bearing heavy responsibilities. He appointed Shou General of the Van, giving him cha rge of the military affairs of Baxi, then promoted him to General of (he Eastern Expedition. At the time Shou was nineteen sui of age. He recruited the recluse Qiao Xiu ~, ~ to he his retainer so as to get the full benefit of his counsel. Shou's majesty and graciousness achieved renown in Baxi. When Li Xiang> died, Li Shou was promoted to Great General, Great Inspector-General, and Palace Anendant, was enfeoffed as Duke of Fufcng, and was made Overseer of the Affairs of the Imperial Secretari at.

From the time when he replaced his father as commander, his fixed ambitiml was to achieve merit mId fa me. Therefore, whether 0" atl expedition against the east or marching 011 the sOllth, he always achieved results. (HYGZ 9ft 2+9 J On an expedition against Ning province, by assau lting and besicging for morc than a hundred days he completely pacified the various co mmanderies. Li Xiong was ext remely pleased and cnfeoffed Shoo as King o f Jianning. When Li Xiong died, it was his dying wis h that Li ShOll act as regent. l When Li Qi ascended the throne, ShOll'S tide was changed to King of Han, he was granted the revenues of the five commanderies of Liang province fo r his living expenses, and was named Governor of Liang Province. I. HYGZ 9/11+9-10 records that when Li Xiong fell ill, Shou waited in altendance upon him and that Xiong en!rusted affairs (iituo ?,f :f:) to Shou but makes no explicit mention of a regency.

LI SHOU 191

When Li Qi killed Li Ban, Li Shi originally wanted to ally himself to Shou and plot together to chastise Qi. Shou did not dare to do this. Li Shi then angrily sought to persuade Li Qi to seize Shou. Qi feared Li Wu in the north and wished to make use of Shall to chastise him; for this reason, he would not permit it. Ha ving been enfeoffed with Han, Shou marched north on Wu. Shou set out for WI4 the benefits of leaving and offered him safe passage. Li Wu was thus able to descend the Yangzi eastward to Wu (i.e., Eastern jin). [HYGZ 91124 ·10-11 J

Li Shou's awesome reputation was felt afar. Li Vue, Jing Qian, and others deeply feared him, which caused Shou great worry. He replaced Li Wu in occupying Fu. Whenever he was due to attend court , he would announce that there was a threat of inc ursions and the border could not be left unguarded; thus he would avoid anending. 2 Noting that Li Qi, Li Vue, and their brothers, more than ten men in all, were all just at the peak of their manhood and that, moreover, they all cont rolled strong contingents of troops, Li Shou feared for his own safety. He repeatedly ca lled upon and made respectful overtures to Gong Zhuang ,.~± of Baxi. Although Gong did nOt respond to these offers of employment,) he did pay severa l calls on Shou . At the time, Mount Min had collapsed and the waters of the Yangzi had dried up. Li Shou considered these evil signs4 and would always ask Cong Zhuang about methods whereby to secure his own sa fety. Because Li Te had killed his fat her and uncle, Gong Zhuang wanted to borrow the hand of another to avenge them but had not yet had the opportunifY. Consequemly he counseled ShOll , saying, " If Your Exce llency is able to discard the sma ll in order to pursue the great, to trade safety for danger, then you may found a state and carve out a territory. You could have a long rule as a feudal lord , your fame would be greater than the Dukes Huan or Wen, and your reputat ion 1.

HYGZ ')/1 1.3. J 1. refers to these required court appearances as chao;in ~

ft, which designates the ceremonial visits of a vassal upon his lord in the spring and autumn, respectively. See Zho u/i dlengyi 18/ 1 u-b. This HYGZ passage also provides more information concerni ng Shou's excuse, saying that he would "fabricate an urgem missive from the commander in charge of the prOiection of Hanzhong, Zhang Cai 5J,.\:·f, reporting an alarm concerning bandits from foreign lands. " 3. HYGZ 9/123.12 adds here, ..... he feared he wo uld be harmed and,lell with no choice, .... " 4. HYGZ 9111+ 14 specifies that Shou's opinion of these signs was founded in a pronouncement by Uu Xiang (77-6 B.C. E.), but I have been unable to discover exactly what was intended .

19 2 PART 2: TH E HISTORICAL R ECORD

would be transmined for a hundred generations. " Shou, following his advice. secretly joined with the Senior Aide Luo Heng W1BP of Lueyang and Xie Siming M~,BJI of Baxi in plotting [Q occupy Chengdu and decla re allegiance to Jin.' Presently Shou 's adopted son returned from Chengdu ill and died on the way. Shou then claimed that Li Ylfe had poisoned him. In order to delude his fawn} followers, he fo rged a letter from Ren Tiao saying that Li Qi and Li YI~ e should depose Shou. They belielled him. [HY GZ 9II25.2-31 Shou then swore his followers, mi litary and civi l, to an oath of allegia nce. 7 Ha ving obtained seve ral thousa nd men, he fell upon C hengdu , ca pturing the cit y. His son Shf' acted as his agent within the cit}" opening the gates. Shou thus captured Li Qi and Li Yue and executed more tha n ten of their relatilles. (HYGZ 9II 25.4) Shou allowed his troops to take prisoners and plunder. They went so far as to viola te the daughter(s) of Li Xiong and the wives of the vario us members of the Li family. The casualties were many, and the plundering ceased only after severa l days.x Luo Heng and Xie Siming, together with Li Yi', Wang Li .3.: flj. and others urged Shou to proclaim himse lf General Stabiliz ing the West, Pastor of Yi Province, and King of Chcngdu , thus announcing his allegiance to Jin .~ However, Ren T iao together with the Marshal Cai Xing ~lJlt, the Palace Attenda nt Li Van *-~, and Z hang Lie ~M?~~ urged him to declare his independence . Li Shall ordered that the matter be submitted to milfoil divination. T he diviner sai d, "You may be Son of Heaven for a few years." Ren Tiao said happi ly, "One 5. The Bon3 edition II I tJ63 j 3nd the Tokug3w3 edition ( llI/I03) both r(3d Luo Huan tn:. HYGZ has Heng. Sec jS 12.l/3052.nI 4. 6. Li u 683n6, citing Song geographical and biographical sources, argu(s that Xie should in fact be Xian !f.. Clea rl y some Song sou rce had Xian, but al( I."xtant versions of HYGZ and j S read Xie. T here is enough graphic similarity between the twO charaCiers to suspect that a more cursive form of one of the characters could be mista ken for the other. Xie is certainly the more common surna me. Xian as a si ngle surname dc it, IllEEWl 0) ~~. Tokyo: Kadokawa Shoren. Allan, Sarah. 199 I. The Shape of the Turtle: Myth, Art, and Cosmos in Early China. Albany: State University of New York Press. Beaudair, Inez de. 1970. Tribal Cultures of Southwest China. Taipei: Orient Cultural Service. Beck, 8. J. Mansveh. 1980. " The Date of the TaipingJing." T'oung Pao 66:149- 181.. Benn, Charles D. 199 I. The Cavern-Mystery Transmission: A Taoist Ordination Rite of A.D. 711. Honolulu: University of Hawai' i Press. Bielenstein, Hans. 1959. " The Restoration of the Han, Part Il." Bulletin of the Museum of Far Eastern Antiquities 3 I. - - -. 1980. The Bureaucracy of Han Times. Cambridge: Cambridge University Press. Bilsky, Lester James. 1975. The State Religion of Ancient China. Asian Folklore and Social Life Monographs, 7 1 . 2. vols . Taipei: Orien t Publishing. Birrell, Anne. 1993 . Chinese Mythology. Baltimo re: Johns Hopkins Unive rsity Press. Blakeley, Barry B. 1988. " In Search of Danya ng. I: Historical Geography and Archaeological Sites." Early China 13:JI6-Ip. Bokenkamp, Stephen. 1994 . "Time after Time: Ta oist Apocalyptic History and the Founding of the rang Dynasty." Asia Major, 3ed se ries, 7.1:59-88. - - - . 199 7. Early Daoist Scriptures. Berkeley: University of C:a lifornia Press . Bo hz, Judith M. 1987. A Survey of Taoist Literature Tenth to Sevenreemh Centuries. Berkeley: Institute of East Asian Studies. Boltz, William G. 1982.. " The Religious and Philosophical Significance of the 'Hsiang erh' Lao tzu ~T!~H:aff: in the Light of the Ma-wang-tui Silk Manuscripts." Bulletin of the School of Oriental and African Studies 45.1:95-117. Ca hill, Suzanne E. 1993 . Transcendence and Divine Passion: The Queen Mother of the West in Medieval China. Stanford : Stanford University Press. Chalfant , Frank H. (Fang Falian), and Roswell S. Britton (80 Ruihua). 1935. The Couling-Chalfant Collection of fnscribed Oracle Bone . Shanghai: Commercial Press.

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