Ts’ao P’i Transcendent Political Culture and Dynasty-Founding in China at the End of the Han 9780966630008, 0966630009

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TS A0 P’I TRANSCENTDENT

ROUTLEDGE

Routledge Taylor & Francis Group

LONDON AND NEW YORK

Ts'ao P'i Transcendent The Politica l Cultur e of Dynasty Foundin g in Chin a at the End of the Han

Howar d IkGoodma n

First published 1998 by Scripta Serica. Seattle. Washington This edition published 2016 by Routledge 2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN 711 Third Avenue, New York, NY10017, USA Routledge is on imprint ofthe Toylor & Fmncis Group, on informo business

© 1998. Scripta Serica Distributed Worldwide by Curzon Press. Ltd. 15 The Quadrant. Richmond Surrey TW9 I BP England All Rights Reserved. No part of this book may be used or reproduced in any manner whatsoever without written permission. No part of this book may be stored in a retrieval system or transmitted in any form or by any means including electronic. electrostatic. magnetic tape. mechanical. photocopying. recording. or otherwise without the prior permission in writing of the publisher. Text face is a modified Gil/Sans; display is Adobe VAG Rounded and Adobe Poppl-Laudatio; Chinese is Dynafont Xiante; and Japanese is Apple Honmincho. Production was done on a MAC work-station. running Apple language kits. Design. Layout. and Production by Multilingual Design Seattle. Washington ISBN 13: 978-0-9666300-0-8 (hbk) Dust-jacket art:

"Kuan pei t'u" III~ I] Attributed to Kuo Hsi ~~~~. Sung dynasty Collection of the National Palace Museum Taipei. Republic of China

Frontispiece:

Detail of extant rubbing of the Stele of 221 A.D. Reproduced from Kanda Kiichiro t-$ Brg - ~~ et a/.• eds., Shode zenshu ~ ~ ~ (Tokyo: Heibonsha. 1955-58), pl. 55 (See infra.: chap. II. p. 198; doc. 53)

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TABL E O F C O N T E N T

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INTRODUCTIO N T O STRATEG Y A N D SUBJEC T MATTE R / Writin g Strateg y 2 Th e Historica l Subjec t Matte r 3 PAR T I RULING AUTHORIT Y AN D LEGITIMAC Y BEFOR E TH E H A N - W E I T R A N S I T I O N

Chapte r One . TH E EARL Y CULTUR E O F AUTHORIT Y A N D LEGITIMATION A N D TH E C H I N A N D HA N MODEL S 15 Moder n Approache s t o th e Stud y o f Authorit y an d Legitimatio n 16 Development s i n th e Ancien t Period : Revelation , Divination , Philosoph y 18 Th e Cultur e o f Legitimatio n a s a Too l o f Dynasty-Foundin g 32 Chapte r Two . STEP S TOWARD S DYNASTY-FOUNDING : TS'A O A N D SSU-M A FAMILY , LOCAL , A N D NATIONA L POWE R 45 The Ts'a o an d Ssu-m a Families : Norther n Militar y Leader s 45 Settin g th e Stag e fo r a Ne w Authorit y an d Legitimac y 55 PAR T I I NOVEMBE R 1 9 T O DECEMBE R 1 1 1 A M E S S O F I N K

Chapte r Three . NOVEMBE R 19 : AN ANNOUNCEMEN T IN TH E HA N IMPERIA L CUL T 61 We i Chi' s Tex t o f th e Emperor' s Shrin e Speec h 63 A Schola r Specializin g in Antiqu e Script s an d an d Legitimatio n Text s 65 Chapte r Four . UNDATED : CELESTIAL-MASTE R TAOIST S DELIVER A PRO-TS'A O P' l ORACL E 7

/

"Hsien-t i chuan " 71 Chan g Lu an d th e Five-Peck , o r Celestial-Master , Taoist s 73 Ts'a o P' i Accept s th e Oracle-Tex t an d Its Predictio n 78 Chapte r Five . NOVEMBE R 20-22 : A COR E GROU P OF LEGITIMATIO N EXPERT S 88 Forme r Southerner s a t th e Ts'a o Cour t 89 Eminen t Northerner s an d th e Ying-ch'ua n Contingen t 92 Th e Cor e Grou p Explain s Oracle-Tex t 98 The Testimon y o f Crucia l Specialist s 100 Chapte r Six . NOVEMBE R 23-24 : SSU-M A I' S PHILOSOPH Y O F POLITICA L ACTIO N A N D TS'A O P'I' S HERO-REFUSER S / Lande d General , Loca l Defender , an d Militar y Ritualis t 116

//

Chapte r Seven . NOVEMBE R 25-29 : TS'A O PI S EMBLEM S O F TRANSCENDEN T RUL E \ The Ha n Empero r Make s a n Excus e 122 Ts'a o P' i Castigate s th e Cor e Grou p 125 A Chuang-tz u Emble m o f th e Transcendent-Refuse r 126 Ts'a o P' i Call s upo n Divin e Omen s 133 Collectin g an d Alluding: Literatur e a s Politica l Joustin g 139 Chapte r Eight . NOVEMBE R 3 0 - DECEMBE R 7 : RITUA L CHRONOLOG Y LINK S TH E TS'A O HOUS E W I TH C H U A N HS U A ND TH E YELLO W EMPERO R 145 Tun g Pa' s Theor y o f a Chua n Hs u Calenda r 146 A Yello w Empero r Genealog y 150 An l-ching Pep-Tal k 151 Chapte r Nine . DECEMBE R 7-10 : TH E HIGHES T OFFICIAL S A ND TH E COR E GROU P FACILITATE TH E ACCESSIO N 156 The Thre e Excellencie s 157 The Ethic s o f Politica l Sharin g 162 Philosophy , Soul s o f Decease d Rulers , an d Omen s 164 PAR T I I I REVERBERATION S

Chapte r Ten . DECEMBE R I I: TH E UNFOLDIN G O F TS'AO WE I COUR T RITUA L 167 Decembe r I I: Th e Ha n Emperor' s Invocatio n 168 Ts'a o P'i' s (Wen-ti's ) Ceremonie s an d Proposal s fo r Cour t Ritua l 170 Troubl e Ahea d for Wen-t i an d th e Dynast y 190 Chapte r Eleven . TH E STEL E O F 22 1 A.D. : TS'A O TS'AO' S GENERAL S SIG N O N T O TH E NE W DYNAST Y 193 The Stel e a t Fan-yan g 193 Translatio n an d Provenanc e o f th e Stel e Tex t 195 Ts'a o P'i' s Militar y Underpinnin g 209 Gestur e an d Historiograph y 215 CONCLUSIO N 219 Pioneer s i n th e Stud y o f Dynasti c Legitimatio n 224 APPENDIX : TH E RELIABILITY O F TH E SOURCE S 228 BIBLIOGRAPHY 235 INDEX 245 TABLES 250

22

Introductio n to Strateg y an d Subjec t Matte r

M

y first studie s i n th e histor y o f China' s early-medieva l period , tha t rangin g from abou t 20 0 A.D. to th e Tan g consolidatio n earl y in the 600s , gre w ou t of a n introductio n t o Chines e literatur e tha t I hear d in the lat e Hellmu t Wilhelm' s clas s an d hi s excitemen t fo r th e poetr y an d classica l scholarshi p tha t flourishe d durin g th e Ts'ao-We i dynast y — a fascinatin g time o f "myster y study " an d "neo Taoism. " I ende d u p writing a n M.A. thesi s o n Wan g Pi' s BEijiS third-centur y / ching U S commentary . Te n year s late r I produce d a Ph.D . tha t expande d th e earlie r subjec t to includ e al l commentator s o f th e l-ching fro m abou t 19 0 to 30 0 A.D., thei r interpretiv e strategies , an d the scholarl y horizon s o f an d interrelation s amon g thei r families . This al l represente d a pat h mor e social-historica l an d source critica l tha n tha t o f th e M.A., bu t it stil l lacke d som e sor t o f "take " o n th e politic s an d event s o f Ts'ao-We i history . I desire d suc h a take , becaus e I suspecte d tha t "myster y study " an d "neo-Taoism " ha d various , an d quit e specific , politica l an d cultura l resonance s fo r thinker s o f tha t time . I felt w e neede d a bette r pictur e o f wha t a schola r di d in his rea l world o f official an d family duties . Wha t di d h e d o t o prepar e fo r writin g abou t "mystery " o r th e "tao" ? Durin g early-medieva l China , as in ou r presen t tele-politica l world , di d influentia l speaker s allud e t o literary , artistic , an d eve n religiou s matter s b y mean s o f cue s an d gestures ? And di d suc h allusion s connec t dynamicall y t o th e politic s o f cultur e an d the politica l cultur e o f dynasty-founding , suc h tha t a stylis h ne w empero r woul d strai n jus t a s muc h t o exer t cultura l influenc e a s h e did bureaucrati c an d politica l control ? The boo k a t han d delve s thes e question s b y providin g a snapshot , a s it were , o f the politica l cultur e o f th e Ts'ao-We i dynasti c founding . I t i s no t onl y a shor t politica l narrativ e bu t als o a backgroun d for th e world o f early-medieva l scholars . The focu s is tight — jus t th e first tw o generation s o f leadin g families an d institu tions a t th e onse t o f th e early-medieva l period , which we cal l th e Han-We i / H i t transition . Th e genesi s o f th e boo k occurre d abou t si x year s ago , whe n I offere d a semina r introducin g Han-We i histor y an d historiography . M y ow n graduate schoo l mentor s ha d taugh t m e tha t th e standar d historie s nee d carefu l criticism , tha t the y al l diffe r i n make-u p an d ad hominen colorations , an d with a critica l approac h ca n yield muc h usefu l evidence . With tha t i n mind , I turne d t o San-kuo chih E iS an d its commentary , readin g the chronicle s o f jus t the openin g month s of th e ne w imperia l cour t o f 22 0 A.D. My semina r student s an d I reviewe d bot h the narrativ e chronology , sourc e criticis m (especiall y tha t o f late-Ch'in g philolo gists an d th e wor k o f L u P i i S K ) , an d biographica l materia l o n al l th e person s mentione d i n connectio n with th e dynasti c founding . We neve r di d ge t be yon d a smal l par t o f th e tex t becaus e w e becam e intereste d i n th e man y rivulets tha t le d from th e bar e narrativ e to th e wide r culture . Upo n examin ing closel y al l thos e persons , we sa w tha t the y wer e mostl y authoritativ e scholars , critics , master s o f art s an d practices , an d exegete s o f ritual . It wa s

n

TS'AO P' I AN D POLITICA L CULTUR E

a politica l worl d tha t reminde d m e o f th e medieva l Europ e describe d i n Erns t Kantorowicz' s The King's Two Bodies, simply in term s o f its richness . Th e tech nique s an d idea s of China' s large r cultur e ha d to b e see n a s majo r force s impellin g bot h th e politic s an d the fragile policie s o f th e Han-We i transition . WRITING STRATEG Y The two primar y technique s employe d in the presen t boo k ar e prosopograph y an d literary-historica l interpretation . Prosopograph y (literally , description s o f per sons ) i s a metho d o f socia l histor y tha t gather s personage s fro m a local e (fo r example , headstone s i n a graveyard , name s o n a town hal l record) , from institu tiona l setting s (generation s o f a n extende d family , staf f in relate d bureaus) , o r a s simply name d in a text. Th e historia n look s fo r actua l pattern s o f associatio n an d refine s th e grouping' s shap e an d functio n b y bot h interna l an d externa l evidence . The objec t is to brin g ou t socia l implication s for proposin g a histor y o f tha t locale , institution , o r literar y development . Here , m y prosopograph y derive s somewha t from regiona l groupings , bu t thos e ar e o n th e wea k side . Th e mor e direc t an d importan t group s ar e derive d from th e list s o f cour t adviser s tha t appea r i n sev era l texts , an d variou s institutiona l an d family relationship s a s well. The literary-historica l analysi s treat s tw o sources : the speeche s o f thes e cour t advisers , ofte n delivere d a s memorand a o r petition s fro m a grou p (o r give n b y Ts'a o P' i or th e Ha n empero r a s orders) , an d a stel e text . Almos t al l of the speeche s deriv e from P'e i Sung-chih' s H f f iZ (372-451 ) commentar y t o San-kuo chih titled San-kuo chih chu E i ^ / I, specificall y fro m severa l lon g quotation s o f a con temporaneou s annal , 4t Hsien-t i chuan " SJi'Sfil , tha t deal t with th e week s o f dy nasti c deliberation . The stel e text , onl y partl y quote d in the latter , is extan t in full throug h ancien t rubbing s an d epigraphica l studie s beginnin g in th e T'ang . The re sul t o f th e clos e contextua l analysi s is to b e abl e to recogniz e socia l an d intellec tua l motive s behin d th e word s an d idea s o f thes e men . Throug h wha t text s di d a n advise r com e u p with a certai n ide a or comple x o f ideas ? Who supporte d th e ne w empero r an d who resisted ? Wha t wa s th e "hook " o f th e comin g dynasti c era , as envisione d durin g thes e months ? Di d th e voice s o f th e ne w er a distor t traditio n an d ben d cultura l icons , an d if s o wa s it a cleve r an d appealin g distortio n o r jus t heavy-hande d propaganda ? Add t o thi s two-par t strateg y on e othe r elemen t — a backgroun d stud y o f th e ancien t trend s i n th e cultur e o f politica l power . I n moder n scholarshi p thi s ha s usuall y bee n calle d th e stud y o f legitimatio n o f dynastie s an d roya l authority . Th e background , in Par t I , offer s a n intellectua l histor y fo r th e advisers , who m w e mee t i n Part s 2 an d 3 . It ground s thei r idea s i n th e previou s thousan d year s o f genre s an d th e cultur e o f politics , an d thu s bolster s variou s interpretation s tha t I mak e regardin g thei r motive s an d implications . The Organization of

the Book

As mentioned , the presen t boo k i s divide d int o thre e parts . Th e first, in two chapters , set s a framewor k b y whic h th e idea s an d style s o f th e Han We i adviser s an d principal s ma y b e mor e easil y understood . Par t I , chapte r •

2

INTRODUCTIO N

I, start s wit h a n interpretiv e histor y o f ancien t approache s t o rulin g authority . The n it outline s th e precedent s fo r usin g the politica l cultur e o f legitimatio n prio r to an d durin g th e comple x o f event s surroundin g dynasti c foundings . Chapte r 2 introduce s th e tw o principa l familie s i n th e politica l struggle s o f th e Han-We i — th e Ts'ao s an d th e Ssu-ma s — an d give s a chronolog y o f th e agend a tha t pave d th e wa y fo r th e imperia l legitimac y o f th e Ts'aos . Par t 2 contain s seve n chapters , nos . 3-9 . The y contai n translation s o f th e ac count s o f th e Ts'ao-We i dynasti c discussions . I retai n in grea t par t P'e i Sung-chih' s chronolog y an d suppl y a keye d numbe r fo r eac h documentar y text . I als o explai n th e live s an d career s o f th e advisers . Fo r example , chapte r 3 translate s th e initia l speec h o f th e Ha n empero r bu t als o give s th e detail s o f th e life o f th e courtie r — an exper t i n ancien t calligraph y — wh o mos t likel y wrot e th e speech . An d chap te r 9 translate s a memorandu m o n ethic s b y th e court' s thre e highes t officials , complementin g thi s wit h a sketc h o f thei r live s an d thei r socia l an d institutiona l relation s wit h othe r advisers . Par t 3 consist s o f chapter s 1 0 an d I I, plu s th e Conclusion . Onl y on e o r tw o o f th e document s ar e fro m P'ei' s notes ; mos t ar e fro m th e mai n tex t o f San-kuo chih an d fro m epigraphi c transcriptions , especiall y th e wor k o f th e epigraphe r Hun g Kua / ^ j § , whos e stel e tex t i s treate d i n chapte r I I. Th e subjec t i s th e aftermat h of Ts'a o P'i' s searc h fo r legitimatio n an d authority : th e wa y i n whic h h e an d hi s fathe r wer e give n homag e in a stel e text , an d th e politica l debate s surroundin g th e ritual s an d metaphysica l system s se t in plac e b y th e ne w We i court . Beside s th e appendi x o n th e sources , I suppl y severa l tables . Numbe r I gather s togethe r th e adviser s name d in P'ei' s note s — categorizin g suc h thing s a s locales , offices , nobl e titles , an d skills ; no . 2 doe s th e sam e for thos e adviser s mentione d in th e stel e text . Tabl e 3 group s al l significan t citation s an d allusion s employe d i n th e document s b y th e typ e o f tex t fro m whic h the y came . In thi s wa y it is possibl e to se e somethin g lik e th e literar y styl e an d ton e employe d i n a give n document . Fo r translatio n o f officia l titles , I follow , wit h a few exceptions , thos e supplie d in Han s Bielenstein' s The Bureaucracy of Han Times. Th e Chines e an d Japanes e character s fo r author s an d title s o f Chines e an d Japanes e work s i n th e note s ar e to b e foun d i n th e Bibliography ; severa l citation s no t include d in th e Bibliography , however , hav e th e character s give n directl y in th e footnot e reference . All transla tion s an d summarie s o f th e origina l document s collate d in P'ei' s fifth-century work ar e denote d belo w wit h a "documen t number " i n th e margin : refe r t o tabl e 4 , whic h give s th e exac t sourc e (o r sources ) o f eac h one , with additiona l comments . Citation s o f San-kuo chih refe r t o th e mai n tex t o f Ch'e n Sho u onl y in th e absenc e of "cit. " (fo r "citing" ) o r a referenc e t o a P'e i commen t o r not e (whe n i t i s bot h th e mai n tex t an d th e chu I sa y "and") . With ever y "cit. " conventio n I giv e th e titl e of th e wor k bein g quote d b y P'ei ; refe r t o th e Bibliography , secon d part , fo r a complet e lis t o f thos e sources .

THE HISTORICA L SUBJEC T MATTE R o

Th e year s unde r investigatio n her e represen t a brie f momen t o f consoli datio n insid e a wide r tim e o f dislocation , politica l change , an d warfare . Th e

TS'AO P' I AN D POLITICA L CULTUR E

Han-We i transitio n bridge d th e politica l cultur e o f the Ha n to a late r time , chaoti c in its ow n right . I n th e 180 s A.D. th e Easter n Ha n cour t ha d grow n wea k fro m loca l rebellion s an d the dissolutio n o f its lineage . In 220 , the Ha n empero r gav e the thron e to hi s overseers , the Ts'a o If family , who name d thei r dynast y the We i H . The Han-We i transitio n ende d in abou t 250 , whe n th e Ssu-m a W ] ^ family' s con tro l o f Ts'a o emperor s becam e certain . In 280 , th e Ssu-m a Chi n W dynast y ef fecte d a wea k unificatio n o f territories , bu t this unravele d agai n beginnin g aroun d 310 , whe n norther n Chin a fel l t o non-Chines e warriors . Chin a remaine d frag mente d thereafte r fo r almos t thre e centuries. 1 As on e migh t expect , however , cultur e continued . Educate d peopl e mastere d tradition s an d create d genres . The y continue d t o inven t an d adap t funerar y prac tices , an d t o discus s thei r belief s abou t wha t wa s ethical , revealed , o r rituall y correct . Th e ne w We i dynast y reflecte d thi s surroundin g cultur e mos t impor tantl y throug h its advisers . Fo r severa l weeks , late in the fall of 220 , a hos t o f the m create d a n imperia l styl e an d a legitimac y fo r th e We i b y examinin g history , phi losophy , ritual s an d ritua l implements , oracles , an d th e spirit s o f th e deceased . The Social Background

of the Han-Wei Advisers

This boo k focuse s o n a forty-yea r portio n o f th e Han-We i transition , 200-240 . It deal s mostl y with th e establishmen t o f the first We i dynast , Ts'a o P' i H3 S (187 226 ; r . Wen-t i X ^ " , 220-26) , an d the weakenin g o f hi s politica l swa y ove r advis er s an d courtiers . It als o take s u p the underlyin g proces s o f dynasty-buildin g tha t ha d begu n in th e las t year s o f hi s father , Ts'a o Ts'a o I f t H (165-220) , an d woul d continu e in the reig n o f his so n Ts'a o Ju i | R (206-239 ; r. Ming-t i ^ S , 227-39). 2 In par t 2 , in addition , we encounte r ove r sevent y me n wh o live d aroun d th e tur n o f the thir d century . I n 22 0 A.D. the y debate d an d advise d th e thron e abou t th e Easter n Ha n emperor' s imminen t abdicatio n an d the legitimac y o f Ts'a o P'i' s ne w dynasty . Also we hav e th e two ruler s — th e las t Easter n Ha n empero r Li u Hsie h §\\]w (181-234 ; r. Hsien-t i f K S , 189-220 ) an d the We i king , emperor-to-b e Ts'a o P'i. Thousand s constitute d a wider politica l public , who participate d in the cultur e of th e imperia l court . Th e conceptio n o f a public ha s bee n argue d convincingl y b y Martin Power s i n relatio n t o th e classicis t tren d i n mortuar y ar t durin g th e East er n Han. 3 Imperia l court s provide d th e sam e kind o f forum . The y produce d ritua l ceremonie s an d use d ceremonia l object s an d texts . The cour t als o commissione d 1. A genera l accoun t i s in Wan g Chung-lo , Wei Chin Nan-Pei ch'ao shih (Shanghai : Jen-mi n ch'u pa n she , 1979) ; Okazak i Fumio , GiShin Nanboku cho tsushi (Kyoto: Kobundo , 1932) ; B.J . Mansvel t Beck , 'Th e Fal l o f Han, " chap . 5 . o f Joh n Fairban k an d Deni s Twitchett , gen . eds. , The Cambridge History of China (Cambridge : Cambridg e U.P. , 1986 , hereafte r CHQ, vol . I , ed . Michae l Loewe ; an d Raf e de Crespigny, "The Thre e Kingdom s an d Wester n Chin, " draf t chap. , CHC 2 , forthcom ing. O n a leadin g scholarl y family , se e Chi-yu n Ch'en , Hsun Yiieh and the Mind of Late Han China (Princeton : Princeto n U.P. , 1980) ; on th e situatio n o f non-Chinese , se e Pa n Yihong , "Earl y Chines e Settlemen t Policie s toward s th e Nomads, " AM 3 d ser . 5. 2 (1992) ; o n society , T'an g Ch'ang-ju' s essays , Wei Chin Nan-Pei ch'ao shih iun-ts'ung (n.p. : Hsin-hu a shu-tien , 1978) ; Tanigaw a Michio , Medieval Chinese Society and the Local "Community" trans . Joshu a Foge l (Berkeley : U . o f California P. , 1985) ; an d idem , "Prominen t Famil y Contro l in the Si x Dynasties, " Acta Asiatica 60(1991) . 2. O n Jui' s birt h year , se e vol . I o f Achille s Fang , trans. , The Chronicles of the Three Kingdoms (220-265): Chapters 69-78 from the Tzu Chih Tung Chien of Ssu-ma Kuang (1029-1086) (Cambridge , Mass. : Harvar d U.P. , 1952 ; hereafte r TCTC/F) y p . 624 . 3. Power s use s thre e sense s o f "public " i n th e politica l contex t o f Ha n art : I . a n intende d

4

INTRODUCTIO N

ar t fo r mortuar y an d othe r contexts , tablet s an d steles , an d o f cours e building s an d appurtenances . It is possibl e to hypothesiz e abou t th e makeu p o f th e politica l public o f Han-We i China ; it woul d hav e consiste d o f th e following : 1. the roya l family; 2. thei r consort s an d server s in the metropolita n palaces ; 3. a smal l numbe r o f families o f the administrativ e elit e (includin g thos e o f importan t militar y men ) centere d a t the capital ; 4. a large r tie r o f families within an d outsid e th e capita l who wer e respecte d for variou s mixture s o f scholarship , writing, politica l criticism , an d loca l — sometime s militar y — leadership ; 5. artisans , nonofficia l teacher-critics , a grea t numbe r o f educate d subelite , merchants , an d foreigner s in an d aroun d th e capital ; 6. assistant s to o r disciple s o f al l the above . Ou r sevent y o r s o adviser s wer e th e cor e o f th e politica l public. 4 The y an d perhap s hundreds , o r thousands , o f other s observe d th e goings-o n durin g th e week s o f politica l buildup , an d witnesse d th e accessio n ceremonie s o n Decembe r I I; the y hear d announcement s an d sa w symbol s o f authorit y an d legitimac y i n Ch'u-l i flfi, Hs u (late r name d Hsu-ch'ang ) IrFi H , an d Fan-yan g IS P i, neighbor ing locale s in centra l Ho-nan . A fe w o f th e adviser s wer e amon g the mos t politicall y powerfu l me n in north er n an d Centra l Plai n China . Som e wer e member s o f large , well-know n families , an d som e w e kno w little about . A numbe r o f thes e familie s ha d com e fro m th e wes t o r sout h to serv e Ts'a o Ts'ao . The y wer e prou d o f thei r hom e locales , an d use d loca l connection s t o garne r positio n an d fame . The adviser s ha d in commo n a hos t o f concern s abou t careers , receip t o f official posts , an d nobl e titles , a s well as the developmen t o f thei r ow n knowledg e an d skills . And becaus e man y o f thei r gains , bot h materia l an d intellectual , coul d b e inherited , the y wer e motivate d b y concern s an d problem s o f th e extende d family . With mino r exceptions , though , the live s o f th e adviser s hav e neve r bee n studie d o r conceive d a s a whole . Th e main exceptio n i s tha t o f th e Ts'ao s — dramatize d an d mythologize d throughou t Chines e histor y a s unrestraine d militar y men. 5 Th e Ssu-mas , amon g who m w e mee t Ssu-m a I ^]M% , becam e know n i n historica l criticis m a s cunnin g politi-*t- audienc e from outsid e a close d family networ k — a heterogenou s collectio n o f visitors ; 2 . idea s an d action s pertinen t t o governmen t an d citizen s a s oppose d to th e court , o r "kung '£; "; an d 3 . publi c opinion , o r individua l reputatio n ("shift' t^b) ; Art and Political Expression in Han China (Ne w Haven : Yale UP. , 1991) , pp . 28-30 , 34 , 93-95 . 4. U p unti l 189 , whe n the y wer e murdere d en masse, the imperia l eunuch s woul d hav e bee n included . O n th e concep t o f a political audience , se e Howar d Wechsler' s discussio n o f Davi d Easton , in Offerings of Jade and Silk: Ritual and Symbol in the Legitimation of the Tang Dynasty (Yal e U.P. , 1985) , pp . 35-36 . O n grou p response s t o politica l crise s i n th e lat e Han , se e Raf e d e Crespigny , "Politics an d Philosoph y unde r th e Cour t o f Empero r Huan, " TP 16.1- 3 (1980) . The existenc e o f a corporat e self-identit y amon g the elit e ha s bee n demonstrate d b y Yii Ying-shih , "Han Chi n chi h ch i shi h chi h hsi n tzu-chue h y u hsi n ssu-ch'ao, " Hsin Ya hsueh-pao 4. 1 (1959) ; rpt . i n idem , Chung-kuo chih-shih chieh-tseng shih lun (ku-tai p'ien) (Taipei : Lien-ching , 1980) . 5. Pau l W. Kroll, "Portrait s o f Ts'a o Ts'ao : Literar y Studie s on the Ma n an d the Myth," (Ph.D. , U. of Michigan , 1976) ; Andre w Plaks , The Four Masterworks of the Ming Novel: Ssu ta ch'i-shu (Princeton : Princeto n UP. , 1987) ; an d Andre w Lo , "'San-ku o chi h yen-i ' an d 'Shui-h u chuan ' in th e Contex t o f Historiography : An Interpretiv e Study " (Ph.D. , Princeto n U. , 1981) .

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cians . Suc h judgment s contai n importan t truths . On e ai m o f th e presen t study , however , is t o describ e th e socia l an d cultura l context s o f th e adviser s in orde r t o refin e th e kernel s o f myth . I argu e her e tha t th e Ts'ao-We i dynast y di d no t weake n merel y becaus e som e of Ts'a o Ts'ao' s descendant s faile d to continu e th e charisma , no r simpl y becaus e of th e Ssu-mas ' mor e intens e politica l cunning . Althoug h Ts'a o P' i masterfull y buil t up an unprecedente d imag e o f himsel f as a transcendent , Taoist-lik e sage-ruler , h e nonetheles s lacke d kee n instinct s a s regard s th e advisers ' an d th e politica l public' s toleranc e o f polic y change s an d gran d ideals . He strive d fo r bol d reform s i n cour t cultur e in par t b y rejectin g hi s father' s imperia l style . Thos e reform s encountere d stif f objectio n fro m ritua l traditionalist s an d Ts'a o Ts'a o loyalists . Th e Ssu-mas , wh o see m t o hav e prepare d bette r o r understoo d mor e abou t th e problem s o f ritual , cultivate d th e objection s an d espouse d Ts'a o Ts'ao-oriented , anti-Ts'a o P'i , idea s o f politica l culture . Thi s se t the m o n a directio n tha t woul d hel p prepar e the m t o gras p powe r fro m th e Ts'aos . Regions and Local Power Societ y a t th e en d o f th e Ha n wa s severel y burdene d b y loca l rebellions . Ther e wer e shift s in wealt h an d lan d holding , an d larg e movement s o f people , bot h Chi nes e an d non-Chinese . Fo r decades , th e administrativ e elit e (tha t is , culture d me n considere d a s socia l leader s an d potentia l talen t fo r governmen t service ) ha d de velope d land s an d estate s i n agricultura l an d urba n centers . Lande d elit e familie s wer e no t nuclea r units , bu t comple x extende d families , in som e sens e clans , tha t revere d a commo n ancesto r an d passe d alon g strategie s an d style s o f education . Befor e th e civi l war s suc h familie s ofte n live d surroundin g thei r estates . Thei r personnel , in som e case s numberin g in th e man y thousands , ofte n wer e soldier s an d farmin g familie s wh o sough t a have n fro m povert y an d stat e obligations . Som e wer e non-Chines e troop s place d int o servic e sinc e th e rebellion s i n th e 180 s o f th e Yello w Turbans , a mixtur e o f uproote d farmer s an d laborer s wh o subscribe d to a religiou s ideolog y an d organization. 6 Th e Easter n Ha n ruler s coul d no t contro l greate r China . Durin g th e reign s o f Huan-t i f l ^ (r . 147-67 ) an d Ling-t i S ^ (r . 168-89 ) thre e politica l group s a t th e capita l vie d wit h eac h othe r — th e eunuchs , wh o ha d grow n importan t i n th e functionin g o f palac e an d administrativ e offices ; next , th e empresse s an d thei r families , wh o frequentl y maintaine d militar y control ; and , finally , th e administra tiv e elite , wh o attempte d t o refor m th e thron e an d contro l appointment s t o offices . Grea t number s o f th e elit e ha d bee n expelle d fro m th e capita l an d perse cute d durin g Ling-ti' s reign . As th e Yello w Turban , an d other , disturbance s in creased , th e thron e recalle d abl e official s i n hope s o f thei r guidin g a large-scal e effor t t o defea t th e Turban s an d restor e a functionin g centra l government . Bu t a reviva l o f a stron g Ha n wa s no w ou t o f th e question , an d th e mos t powerfu l o f court-appointe d general s hel d o n t o thei r territorie s an d develope d loca l court s i n orde r t o rul e independently . The region s tha t would , b y th e lat e 190s , emerg e a s provincia l court s an d 6. Howar d Levy , "Yello w Turba n Religio n an d Rebellio n a t th e En d o f Han, " JAOS 76.1 (1956) .

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contendin g kingdom s ha d existe d fo r man y centuries , an d wer e sophisticate d in commerc e an d politics , a s wel l a s culture . Ha n Wu-t i S t S (r . 140-8 7 B.C. ) ha d attempte d t o cu t bac k o n suc h regiona l power , an d reine d i n th e politica l powe r of th e loca l elite . Territorie s wer e increasingl y returne d t o centra l bureaucrati c administration . Bu t b y th e beginnin g o f Easter n Ha n (basically , b y th e first centur y A.D.), man y powerfu l familie s wer e engagin g in loca l marketing , self-defense , ad ministrativ e affairs , an d manufactures . The y frequentl y challenge d th e authorit y o f centrally-appointe d governor s an d inspectors . At th e en d o f 18 4 (afte r th e Yello w Turba n battles ) a serie s o f large-scal e loca l rebellion s began . The first occurre d in Liang-cho u )R )M i n th e fa r west ; it wa s roote d i n th e court' s previou s attempt s t o pacif y th e so-calle d Ch'ian g % an d Ti %k non-Chines e peoples. 7 By th e 190 s impe ria l contro l ha d bee n devolve d t o th e general s appointe d t o quel l thes e uprisings . In 19 0 Lo-yan g /§P S , th e nationa l capita l situate d i n Ho-na n }oJi^ j commandery , wa s sacke d an d burne d b y th e mos t fractiou s an d dangerou s o f thes e generals , an d th e Ha n cour t wa s remove d briefl y t o Ch'ang-a n ft 5 . Centra l bureaucrati c contro l wa s effectivel y ended . Regiona l uprising s an d militar y response s t o the m eventuall y produce d a geo graphi c separatio n o f Chin a int o th e Thre e Kingdom s (San-ku o E i ) , a nam e b y whic h histor y ha s referre d t o bot h th e divide d Chin a an d th e tim e perio d corre spondin g roughl y t o tha t o f th e Han-We i transition . Ts'a o Ts'a o ha d alread y es tablishe d a foothol d in th e Centra l Plai n b y th e 190s , gainin g allie s an d troop s a s h e fough t th e Turban s an d others . Throug h a confusin g serie s o f events , h e als o gaine d contro l o f th e boy-empero r Ha n Hsien-t i an d in 19 6 se t hi m u p in a tempo rar y nationa l capita l in Hs u fr F .8 In th e centra l sout h in abou t 190 , Liu Pia o § l j | | (d . 208 ) establishe d a cour t an d a militar y presenc e a t Hsiang-yan g I t P i tha t collapse d wit h hi s death . In th e southeas t th e Su n famil y le d first by Su n Ts' e Mffc an d hi s younge r brothe r Su n Ch'ua n S , attackin g an d cooptin g lande d gentry , bega n rul e a s th e kingdo m o f Wu ^ . B y abou t 214 , Liu Pe i fljfft (161-223 ) estab lishe d a cour t i n wester n China , a n are a stron g i n agricultur e an d textil e an d lacque r products . Bu t Liu' s Sh u kingdo m H i face d Chan g Lu' s "Ki t Five-Pec k £ 4 T H M (o r Celestial-Maste r ^ C T M ) Taoists , a religiou s an d militar y organizatio n tha t rule d Han-chun g M^ commander y i n th e northeas t corne r o f Sh u unti l 216 . The elit e rallie d to suppor t on e o r anothe r o f th e rebel-fightin g generals . Thos e wh o allie d wit h Ts'a o Ts'a o me t hi m in suc h location s a s Ying-ch'ua n HJH , Hsu cho u f^ttl , an d Yeh §P . Familie s ar e know n t o hav e spli t ove r question s o f politi ca l loyalty , bu t the y wer e als o simpl y hedgin g thei r bets : n o matte r whic h genera l won , a t leas t hal f th e famil y woul d survive . Th e Hsun s ^ 5 o f Ying-ch'ua n wer e a famou s case : Hsii n Yue h t & oppose d Ts'a o Ts'ao' s imperia l designs , bu t hi s cousi n Yu ^ S le d numerou s o f Ts'ao' s campaigns. 9 Befor e th e 190 s th e family' s larg e 7. Gustav e Haloun , "Th e Liang-cho u Rebellio n 184-22 1 A.D., " AM ns . I. I (1949) ; Raf e de Crespigny , Northern Frontier: The Policies and Strategy of the Later Han Empire (Canberra : Australia n Natl . U M 1984) , p . 184 ; an d Margare t Scott , " A Stud y o f th e Ch'ian g wit h Specia l Referenc e t o Thei r Settlement s i n Chin a fro m th e Secon d to th e Fift h Centur y A.D. " (Ph.D. , U. o f Cam bridge , 1953) . 8. Beck , "Fal l o f Han, " pp . 344-52 . 9. The y hav e bee n studie d b y Ch'i-yu n Ch'en ; se e esp . his Hsun Yueh. Se e als o Wang , Wei Chin, pp . 146-47 .

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estat e in Ying-ch'ua n supplie d wealt h an d a way o f life, bu t afte r th e civil war s thi s would no t b e the case . Familie s like their s assume d powe r i n the Thre e Kingdom s an d early-Chi n period , bu t onl y rarel y beyon d that. 10 A larg e numbe r ende d u p in Lo-yan g afte r th e We i dynast y wa s founded , seekin g administrativ e positions . Ove r the lon g term , however , famil y wealt h an d number s frequentl y declined . Onl y a few familie s coul d maintai n strengt h in thei r hom e places . The large r militar y fami lies like th e Ts'ao s an d Ssu-ma s hel d o n t o thei r land s an d garnere d troop s an d productio n fro m them , increasin g thei r powe r i n ba d times . Leading Families and Other Social

Strata

In simpl e terms , Han-We i (o r Thre e Kingdoms ) Chin a wa s a three-leve l soci ety , simila r t o th e societ y o f previou s centuries . Th e imperia l family , in principl e the controller s o f al l lands , offices , an d stat e wealth , was a t th e top . Th e empero r ofe n share d wealt h an d privilege s with th e prince s o f th e blood , princesses , families o f consorts , and , until 190 , the eunuchs . In practice , though , attempt s b y th e empero r o r privilege d partie s to exercis e tota l contro l wer e limite d b y the state' s administrativ e official s an d thei r associates , wh o represente d th e secon d level . During th e Han , this leve l wa s a n extremel y smal l portio n o f al l household s i n China , bu t it ha d achieve d a legall y recognize d status . Male s receive d stat e salarie s an d tenure , a s well a s variou s rewards , whe n place d in office . The y ha d exemp tions fro m tax , corvee , an d variou s crimina l punishments . Th e thir d stratu m o f society , enormou s i n comparison , consiste d o f al l nonofficia l household s — farm ing, trading , military, an d artisan , whos e member s occasionall y gaine d lower-leve l offices . Mao Han-kuan g ^M^i ha s trace d the fluctuatin g makeu p o f wha t I hav e terme d her e th e administrativ e elite . He define s th e perio d from 196-22 0 A.D. a s the firs t "generation " o f medieva l Chines e society , whe n book-learne d an d culture d me n bega n to emerg e a s the rea l rulin g class . In Mao' s analysis , the y include d severa l types : grea t clans , mino r clan s from th e outlyin g provinces , an d low-bor n familie s from farming , trading , or militar y backgrounds . In tha t firs t generation , h e identi fies 13 1 ruling-clas s familie s — 3 8 (29% ) from grea t clans ; 1 9 (14.5% ) from mino r clans ; an d 7 4 (56.5% ) fro m low-born. 11 This smal l numbe r o f families bega n to focu s keenl y o n establishin g thei r future s as stat e functionaries . Th e genera l argumen t wa s mad e b y Miyazak i Ichisad a IS^pj TfT^ , who showe d tha t durin g th e Han-Wei , an d especiall y fro m Ts'a o P'i' s es tablishmen t a s empero r an d thereafte r fo r abou t fifty years , the moribun d syste m of Han-dynast y officia l selectio n an d appointmen t wa s coopte d an d revamped b y the Ts'ao s an d thei r allies. 12 Previously , loca l leaders , actin g independently , ha d 10. This generalizatio n depend s to som e exten t o n ho w on e measure s power . Se e Deni s Grafflin , "The Grea t Famil y in Medieva l China, " HJAS4\.\ (1981) , esp . pp . 68 , 73 ; als o Raf e d e Crespigny , Generals of the South: The Foundation and Early History of the Three Kingdoms State of Wu (Canberra : Australia n Natl . U. , 1990) , pp. 499-513 . 11. Ma o Han-kuang , Chung-kuo chung-ku she-hui shih-lun (Taipei : Lien-chin g ch'u-pa n shih yeh , 1988) , pp . 35-50 . 12. Miyazak i Ichisada , Kyuhin kanjin ho no kenkyu (Kyoto , 1956) ; als o Chen g Ch'in-jen , "Chiu-p'in kuan-je n fa liu-ch'a o te hsiian-chi i chih-tu, " in ide m an d Liu Tai, gen . eds. , Chungkuo wen-hua hsin-lun chih-tu (Taipei : Lien-chin g shih-ye h ch'u-pa n kung-ssu , 1982) .

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recommende d youn g me n to b e cade t officials . By abou t 22 3 th e proces s becam e centralize d i n name , an d i n functio n beginnin g i n 25 0 unde r Ssu-m a rule . Thi s insure d tha t son s o f hig h officials coul d regularl y expec t mid-ran k appointment s a s thei r initia l position, 13 far bette r tha n the expectation s o f leadin g families a t the en d of Easter n Han , families onc e accustome d t o gainin g hig h office . Thei r son s ofte n learne d th e classic s an d serve d a s persona l assistant s t o privat e teacher s o r loca l officials. Bu t thereafte r loca l servic e wa s frequentl y th e onl y avenu e for employment , especiall y afte r well-know n officials oppose d Ling-t i an d wer e force d to , o r decide d to , sta y awa y from servic e a t th e capital . Th e Han-We i transitio n witnesse d th e beginnin g o f a n aristocrac y o f officialdo m tha t reache d full flowe r b y th e Sui-T'an g period . Miyazak i ha s als o show n tha t th e interna l structur e o f th e bureaucrac y change d durin g th e Han-We i transition . N o longe r wer e th e high-ranke d "Excellencies " the principa l stat e functionarie s an d councillor s o f emperors . Fro m th e Ts'ao We i dynast y onward , the me n wh o controlle d th e writing office s — th e Master s of Writing, Imperia l Library , Gran d Maste r o f Ceremonial , an d th e like — bega n to desig n th e state' s selectio n an d appointmen t system , a s well a s to lea d cour t policy debates. 14 On e exampl e lat e in the 240 s is the cas e of Wan g S u II (195 256) . H e wa s th e so n o f a leadin g advise r t o Ts'a o P' i name d Wan g Lan g f$ , himsel f a n Excellenc y a t th e beginnin g o f th e ne w Ts'ao-We i dynasty . Wan g S u entere d officialdo m a s a cour t functionar y i n the 220 s an d ros e to Inspecto r o f th e Imperia l Library , whic h office h e urge d b e lef t attache d t o th e Ministers , an d no t to th e emperor' s Priv y Treasury . H e typified th e kin d o f schola r who , withou t a lande d bas e o f influence , coul d ris e t o powe r a t cour t purel y b y leadershi p i n ritua l an d classica l scholarship , a s well a s manipulatio n o f th e bureaucrati c system . He wa s a supporte r o f th e Ssu-mas , bu t di d no t ris e to an y of th e Thre e Excellen cies , a s his fathe r had . By his time it wa s n o longe r necessar y to d o s o in orde r t o exer t influence. 15 Familie s o f officialdo m helpe d on e anothe r an d b y doin g d o extende d thei r viability. Thos e in the sam e or neighborin g commanderie s frequentl y trade d teachin g duties , adopte d offsprin g i f a family's conditio n deteroriated , and , mos t impor tantly , intermarried . Ying-ch'ua n is a n exampl e o f loca l networks . Thre e influentia l families ther e wer e th e Hsiins , Chung s ffl, an d Ch'en s P|[ . A s mentioned , th e Hsiins ha d estate s an d raise d troop s i n suppor t o f Ts'a o Ts'ao . Hsiin Yii brough t Chun g Yu ffiil an d hi s ow n relativ e Hsii n Y u ^5{jft int o Ts'a o Ts'ao' s service . Chun g wome n marrie d Hsiins , an d youn g Hsii n an d Chun g me n ar e know n t o hav e associate d a s intellectua l peer s in th e 230 s an d 240s . In the 170s , Ch'e n Ch i Rl&fi, a famou s elde r o f th e Ch'e n family, ha d bee n a n associat e o f a Hsiin. His so n 13. Se e Miyazaki' s chart , Kanjin ho, pp . I 14-15 . 14. Ibid. , pp . 103-5 ; an d Mao , Chung-ku she-hui, p . 9. In abou t 21 7 Ts'a o Ts'a o ha d mad e th e lowe r position s in th e Librar y paralle l wit h th e Master s o f Writing . Th e increasin g acces s to th e empero r by suc h officer s ma y hav e occurre d partl y becaus e o f th e eliminatio n o f eunuc h influenc e in 190 : th e eunuc h Palac e Writer s durin g th e Ha n ha d roya l acces s in lie u o f Master s o f Writin g wher e entr y int o roya l quarter s wa s required ; se e Han s Bielenstein , The Bureaucracy of Han Times (Cambridge : Cambridg e U.P. , 1980) , pp . 48-49 . 7 15. Se e Howar d L Goodman , "Exegete s an d Exegese s o f th e Book of Changes in th e Thir d ' Centur y AD" (Ph.D. , Princeto n U. , 1985) , pp . 60-61 .

TS'AO P' I AN D POLITICA L CULTUR E

Ch'e n Ch'ii n P^S ¥ marrie d a Hsu n woman . Th e Ch'en s di d no t lea d troop s an d wer e no t renowne d militar y men , bu t othe r skill s place d Ch'e n Ch'ii n i n a n influential positio n a t th e Ts'a o court . We mee t hi m an d Chun g Yu in Par t 2 , bu t no t the Hsiins . A pro-Ha n stanc e in tha t famil y remaine d alive , an d non e o f them , as far a s we know , advise d Ts'a o P' i in the dynasti c debates . Later , the y le t slid e thei r relation s with th e Chungs , while thei r tie s with th e Ts'ao s brough t the m unde r a veil late r durin g Ssu-m a rule . Fo r non-official s w e unfortunatel y hav e few traditiona l o r discovere d text s t o tell u s abou t th e managemen t o f thei r home s an d thei r socia l network s durin g th e Han-We i period . We d o know , though , tha t th e centra l governmen t an d leadin g elite expende d considerabl e energ y in organizin g an d usin g successfull y th e labor s of loca l an d itineran t artisans , producers , an d fighting men . Fo r th e purpose s o f censu s an d corvee , th e stat e fostere d distinction s amon g th e variou s type s o f nonofficia l family , an d suc h distinction s ha d implication s fo r thei r statuses . Fo r instance , th e designatio n ''militar y household " (variousl y termed ) wa s se t apar t from tha t o f the "m/V? " K (literally , th e settle d populac e o f farmer s an d workers) . Ts'a o Ts'a o (an d others ) i n fac t use d th e service s o f so-calle d pu-ch'u SPf t , o r attache d personnel , an d frequentl y ha d the m categorize d a s military household s to b e mustere d int o servic e whe n th e situatio n arose . Anecdote s i n the standar d source s show , in fact , tha t o n campaign s troop s wer e ofte n treate d a s a persona l constituenc y b y commanders . Furthermore , a well-known economi c policy o f th e time , referre d t o a s garriso n farmin g (t'un-t'ien ^fiffl) , establishe d larg e number s of soldier s o n private , recovered , o r waste d lands , ofte n b y donatin g o r lendin g supplie s an d material s for farming . Durin g th e Ha n this ha d bee n trie d o n China' s borders , bu t Ts'a o Ts'a o place d suc h farm s directl y i n th e heartland , especiall y in Ho-nan , wher e fightin g ha d devastate d estates . H e staffe d thes e farm s with sur rendere d troop s supervise d b y militar y men ; an d th e syste m sprea d widel y an d bega n to tak e th e form o f civilian-militar y centralize d fiefs. 16 Regional Courts Competitio n amon g loca l court s helpe d to sprea d th e idea s an d trend s in politica l culture . Court s offere d opportunitie s t o adviser-expert s i n ritua l an d policy ; an d som e o f thos e expert s wer e formerl y associate d with th e Ha n imperia l cour t a t Lo-yang . Bu t i n 19 0 th e Ha n cour t wa s destroye d i n al l bu t name, 17 an d th e intention s o f loca l ruler s becam e nationa l in scop e and , by devisin g an d revisin g rituals an d policies , were increasingl y concerne d with establishin g imperia l legitimacy . 16. Se e Ho u Chia-chii , "We i Chi n Nan-pe i ch'a o chiin-h u k'ao, " Han-hsueh yen-chiu 8. 2 (1990) , pp . I I 1-15 . An exampl e o f charit y to soldier s concern s th e empres s Pien . "Whil e accompanyin g th e arm y i n its expeditions , wheneve r sh e foun d aged , white-heade d soldiers.. . woul d alway s summo n them.. . an d giv e the m gift s o f silk" ; Ch'e n Sho u (P'e i Sung-chih , annot.) , San kuo chin (Peking : Chung hua , 1959 ; hereafte r SKQ 5 , p . 157 , cit . "Wei-shu" ; trans . TCTC/F I , p . 124 ; als o below , chap . 2, re . Ts'a o P'i' s grant s o f gift s to veterans . O n garriso n farms , se e Willia m Crowell , "Governmen t Lan d Policie s an d System s i n Earl y Imperia l China " (Ph.D. , U. o f Washington , 1979) . Wei-dynast y t'unt'ien include d chun-t'un W^d (military ) an d min-t'un R^ E (wit h lo w rents , fre e tools , oxen , an d grain) ; ibid. , pp . 153-54 . Th e Ho-na n land s ha d bee n abandone d b y Yello w Turban s an d farmers ; bot h o f thes e group s wer e recruite d t o wor k t'un-t'ien. In ca . 220-2 7 t'un-t'ien declined , a s condition s i n th e nort h gre w mor e stable . Se e Hsi i Cho-yun , Han Agriculture (Seattle : U. o f Washingto n P. , 1980) , p . 140 .

10

17. Han s Bielenstein , "Lo-yan g in Late r Ha n Times, " BMFEA 4 8 (1976) .

INTRODUCTIO N

Ts'a o Ts'ao' s militar y headquarter s wer e i n th e cit y o f Yeh , bu t in 19 6 h e estab lishe d a ritua l cour t fo r th e Ha n empero r i n Hsu . By thi s tim e h e wa s facilitatin g all importan t Ha n imperia l appointments . H e commissione d scholar s t o stud y th e bureaucrati c an d crimina l codes , th e ritua l calendar , chronology , an d system s o f nobl e rank . I n addition , hi s adviser s justifie d hi s acceptin g greate r an d greate r roya l honor s fro m th e emperor . Som e expert s wer e narro w specialist s withou t connection s t o th e loca l o r cour t elite , an d other s wer e broadl y educate d me n o f leadin g familie s wh o becam e Ts'a o Ts'ao' s assistants . Afte r Ts'ao' s deat h i n 220 , th e proble m o f choosin g expert s an d makin g cour t polic y an d ritual s fell to Ts'a o P'i . Two area s trouble d th e Ha n cour t ru n b y Ts'a o Ts'a o an d the n Ts'a o P'i . On e wa s t o staf f office s wit h skille d me n an d thu s buil d a constituency . N o tas k wa s harde r i n Chines e politica l culture , sinc e th e familie s tha t wer e bot h powerfu l an d educate d though t o f themselve s a s no t merel y servant s o f th e empero r bu t als o a s upholder s o f themselve s an d thei r ow n families . To gran t stat e office s wit h inher ite d tenur e coul d lea d t o corruptio n an d entrenched , disloya l factions . Miyazak i ha s calle d th e Han-We i a revolutionar y tim e i n governmen t — drawing , a s it did , on Ts'a o Ts'ao' s charism a an d flexibility . Th e charism a wa s base d partl y o n intel lectua l skills : Ts'a o Ts'a o wrot e verse , edicts , an d commentarie s (w e hav e som e extan t fragment s o f hi s commentar y t o th e Art of War). Furthermore , h e insti tute d soun d policie s lik e tha t o f th e garriso n farms . Leadin g familie s kne w tha t h e was capabl e o f determining , appointing , an d leading , an d tha t the y coul d n o longe r expec t significan t benefit s fro m a tradition-boun d o r a timi d ruler . The y woul d hav e to trea t th e Ts'ao s cautiousl y unti l intention s concernin g power-sharin g wer e mad e known . The othe r are a requirin g cour t attentio n involve d religiou s an d cosmi c correct ness . Fo r instance , ami d controvers y ove r ritual s an d observances , Ts'a o Ts'a o clampe d dow n o n loca l cult s an d th e patronag e o f wonder-worker s an d adept s a t his court. 18 H e als o understoo d th e ne w genre s o f literatur e tha t ha d develope d in th e pas t fifty year s o r so , whe n privat e scholar s an d coterie s ha d bee n martyred . Suc h genre s no w neede d t o b e develope d fo r th e purpose s o f arguin g hi s poten tia l imperia l authorit y an d legitimacy . Thu s h e forme d a grou p o f courtiers , mainl y th e so-calle d Seve n Master s o f Chien-an , with who m h e coul d discours e an d self consciousl y compet e a s cultura l leader. 19 Finally , in 20 8 Ts'a o Ts'a o too k ove r th e Hsiang-yan g are a an d gaine d hi s mos t productiv e literar y an d cultura l cour t — th e forme r courtier s o f Liu Piao , wh o wer e widel y recognize d scholars . Th e cour t o f Liu Pia o ha d bee n establishe d i n Hsiang-yang , th e urba n cente r o f Ching-cho u M ')M (nort h o f th e confluenc e o f th e Ha n an d Yangtz e Rivers) , wher e 18. Tan g Ch'ang-ju' s "We i Chi n ch'i-chie n pei-fan g T'ien-shi h ta o t e ch'uan-po, " idem , Wei Chin Nan-pei ch'ao shih-lun shih-i (Peking : Chunghua , 1983 ; base d o n draft s penne d i n th e 1950 s an d 1960s) , pp . 218-32 , make s a remarkabl e cas e no t jus t fo r Ts'a o proscriptions , bu t fo r change s in Ts'ao-cour t polic y b y th e tim e o f Ming-t i in th e 230s . Also , Car l Leban , "Ts'a o Ts'a o an d th e Ris e o f th e Wei " (Ph.D . Columbi a U. , 1971) , pp . 120-21 , 191-92 ; an d Tsukamot o Zenry u (trans . Leo n Hurvitz) , A History of Early Chinese Buddhism (Tokyo : Kodansh a Intl . Ltd. , 1985 ) I , pp . 120-22 . O n th e Ts'aos ' attitude s towar d adept s an d fang-shih, se e Donal d Holzman , "Ts'a o Chi h an d th e Immortals, " AM 3d ser . I. I (1988) . 19. The Seve n Master s ar e treate d i n Ronal d Miao , "A Critica l Stud y o f th e Life an d Poetr y of Wan g Chung-hsiian " (Ph.D. , U. o f California , 1969) .

11

TS'AO P' I AN D POLITICA L CULTUR E

Liu wa s appointe d governo r i n 190 . Seein g tha t centra l governmen t affair s wer e beyon d hope , h e invite d well-know n expert s i n cour t ritua l an d scholarshi p t o advis e hi m there. 2 0 Som e o f th e Ching-cho u scholar s ultimatel y contribute d t o discussion s o f th e ne w Ts'ao-We i dynasty , bu t severa l di d no t surviv e politicall y an d ha d n o influenc e o r connection s i n th e Ts'ao-We i court . In the southeast , Su n Ch'iia n establishe d hi s cour t a t Chien-ye h £ft§ P (late r t o be name d Chien-k'an g JftjlK; nea r moder n Nanking ) a s a cente r o f powe r fo r th e W u state . To d o thi s h e an d hi s allie s conquere d man y o f th e indigenou s Yueh sha n SU- J peoples . Unlike in th e north , Su n deal t with familie s wh o fo r th e mos t par t maintaine d thei r estate s withou t majo r disruption . Familie s like th e Ku s E I , Chang s *K , Yiis )H , an d Lu s H ha d stemme d from Han-er a grea t clan s formerl y residin g nort h o f th e Yangtze . In W u , the y constitute d a n unusuall y close d an d culturall y solidifie d group ; the y practice d intermarriag e an d wer e abl e t o exer t wealt h an d military strengt h throughou t th e wa r years. 21 Fo r example , Yti Fa n jjl fl (164-233 ) rejecte d appointment s t o Han-dynast y offic e i n th e 180 s an d ob taine d permissio n t o retur n t o hi s estate s durin g the war s i n an d aroun d th e W u coast . H e serve d Su n Ch'iian' s cour t a s a scholar , physician , an d l-ching ^jJS. diviner , bu t wa s banishe d to th e dee p sout h an d reinstate d late r a t court . His son s an d grandson s continue d to us e thei r estate s a s a base . The Yus an d the Lu s share d intellectua l pursuits , drawin g o n traditiona l classica l text s an d the ne w Ching-cho u learning. 22 The Ch'eng-t u fiJcSP plain, in th e wester n are a traditionall y calle d Shu , was en riche d partl y b y a n ancien t dik e an d canal-works , an d b y heav y tradin g with bot h We i an d W u . Loca l people s an d indigenou s non-Chines e tribe s i n wha t i s no w souther n Szechwa n an d Yunna n — group s like th e I M an d So u H . — rule d land s sout h an d eas t o f Ch'eng-tu , an d fough t continuall y ove r loca l turf. I n 2 1 I Li u Pe i move d hi s troop s int o th e Ch'eng-t u are a from th e centra l south , wher e h e ha d bee n allie d off an d on with Liu Pia o an d Su n Ch'iia n lat e in the 190s . The previou s Han-cour t administrato r i n the Sh u are a ha d bee n weakene d b y loca l war s durin g the earl y 200s , a situatio n tha t provide d opportunit y fo r Chan g Lu' s Celestial Maste r Taois t followers . Whe n Chan g Lu wa s defeate d b y Ts'a o Ts'a o in 216 , Liu Pe i remaine d stron g wes t an d nort h o f Han-chung . Aide d b y th e militar y an d administrativ e geniu s o f Chu-k o Lian g %%M% (181-234), 23 th e Shu-Ha n regim e retaine d it s territorie s an d economi c healt h fo r a shor t while , unti l defeate d b y Ts'ao-We i general s in 264 . This wa s onl y severa l month s befor e th e Ssu-m a family overthre w th e Ts'ao s to foun d th e Chi n dynasty . By abou t 20 0 (afte r th e battl e o f Kuan-t u 1l/j f ) , Ts'a o Ts'a o an d hi s allie s an d relative s hel d military an d administrativ e contro l o f th e Centra l Plain . Becaus e th e Ts'a o cour t wa s th e prox y cour t o f th e youn g Ha n emperor , man y expecte d th e 20 . T'an g Yung-t'ung , trans . W. Liebenthal , "Wan g Pi' s Ne w Interpretatio n o f th e I Chin g an d Lu n YLi," HJAS 10. 1 (1947 ) (Chines e versio n pub . idem , Wei Chin hsiian-hsueh lun-kao [Peking , 1957]) ; Yoshikaw a Tadao , "Scholarshi p in Ching-cho u a t th e En d o f th e Late r Ha n Dynasty, " Acta Asiatica 60 (1991) , pp . 1-24 ; an d Miao , "Wan g Chung-hsuan. " 21 . Wang , Wei Chin, pp . 99 ff. 22 . Se e Goodman , "Exegete s an d Exegeses, " pp . 68-86 . 23 . Se e Wang , Wei Chin, pp . 78-90 ; an d Eri c Henry , "Chu-k o Lian g in th e Eye s o f Hi s Contemporaries, " HJAS 52. 2 (1992) , pp . 589-612 .

12

INTRODUCTION Ts'a o famil y t o foun d a ne w dynasty . At th e momen t o f impendin g dynasti c change , choice s aros e concernin

g politica l etho s an d philosophy

. Ts'a o Ts'a o ha d t o de -

cid e ho w an d whe n th e Ha n hous e wa s t o end . Th e precedent

s wer e rare : onl y

Liu Pan g flJ^ P (r . Kao-t i S S ; founde r o f th e Han ) an d Wan g Man g E E # (founde r o f th e brie f Hsi n J/f , a n interregnu ende d famil y line s o f successio

m betwee n Wester n an d Easter n Han ) ha d

n an d substitute

dynast y coul d pu t th e governmen

d thei r own . Becaus e a chang e i n

t ou t o f commission

, timin g wa s als o important .

An ethica l foru m wa s neede d fo r dynasti c transition . Th e Easter n Ha n empero r coul d b e mad e t o loo k ba d o r goo d — tha t is , a malig n an d incompeten o r a victi m o f circumstance his dynasty' s precedent

t las t rule r

. I f portraye d a s good , eve n ceremoniall y lauded , the n

s fo r ritua l power-transfe

r (fo r example , accessio n o f heirs -

apparent ) migh t b e use d b y a filial-seemin g Ts'ao . O n th e othe r hand , a Ts'a o founde r migh t hav e t o conside r ho w t o denigrat e th e Ha n ruler , o r els e ho w t o manipulat roya l perquisite

e

s an d title s fo r s o lon g an d wit h suc h subtlet y tha t a Ts'a o coul d

eas e himsel f int o th e imperia l sea t withou t coercio n o r scandal . A politica l transitio n woul d als o requir e a well-considere

d approac h t o author -

ity an d legitimacy . A wid e rang e o f politicall y astut e adviser s an d th e mai n bod y o f th e administrativ

e elit e neede d t o b e satisfie d tha t prope r form s o f ritua l an d

reverenc e wer e observed

. An y transfe r o f powe r traditionall y involve d a ritual ,

whic h i n tur n hinge d o n scholarl y debate , becaus e th e precedent jec t t o an y legall y o r theologicall

s wer e no t sub -

y bindin g code . Th e Ts'a o cour t woul d hav e t o

decid e whethe r t o choos e precedent

s fro m th e mos t recen t reign s o r reac h bac k

toward s older , eve n legendary , ones . Importan t notion s o f a n authoritativ e cour t involve d th e coordinatio metaphysics

n o f th e rule r wit h classica l technique s an d paradigm s o f

. Ancien t ritua l calendars

, mathematica

l astronomy

ca l an d harmoni c theor y require d skille d experts . Precedent

, an d numerologi

-

s o f rulin g authorit y

coul d involv e th e reveale d blessing s o f ancien t sage s throug h suc h medi a a s ditties , ominou s objects , an d textua l oracles . Coul d expert s i n metaphysica

l coordinates

o r i n reveale d texts , b e trusted ? Coul d an y b e foun d wh o wer e unquestionabl

, y

loya l t o th e Ts'ao s an d no t liabl e t o finess e thei r technica l finding s i n a n unfavor abl e wa y a t a late r moment ? Finally , transitio n concerne d choice s i n th e wa y th e thron e woul d buil d a work ing relationshi p wit h th e elite , wh o serve d i n offic e an d le d regiona l affairs . The y wer e th e dynasti c system' s basi s fo r endurin g power . Woul d th e elit e b e treate d by th e ne w dynast y a s loyalists , t o b e rewarde d i n perpetuit y fo r critica l service s involvin g militar y security ? O r woul d the y b e give n office s onl y b y mean s o f regu la r inductio n test s an d state d rules ? Whateve r th e decision , ho w migh t th e dy nast y mak e change s i n a bureaucrati c syste m tha t ha d becom e mor e civilian , i n fact , literar y an d factional , fo r quit e som e time ? I f it decide d to , ho w migh t i t und o tha t proces s an d promot e onl y it s militar y loyalist s t o office ? Som e amon g th e elit e tende d toward s eithe r militar y skill s an d service , o n on e hand , o r classica l educatio n an d th e worl d o f letter s an d polic y o n th e other . Som e fostere d bot h side s i n thei r careers . I n eithe r case , th e ne w dynast y woul d ris k alien atio n o f variou s constituents , an d possibl y th e elite' s gainin g tota l contro l o f th e officia l syste m an d th e court . Al l o f thes e matter s involve d th e wide r politica l culture , no t jus t member s o f th e rulin g famil y actin g a t will .

13

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PART I Rulin g Authorit y an d Legitimac y befor e th e Han-We i Transitio n We subjects have heard of serving a ruler by "proffering what is allowable" in order to remove [his] disallowal, and [we know of] the principle where, in serving one's superior (i.e., the emperor), one "runs up against [his] dragon-scales" in a tenacious struggle. On [the pain of] death, we subjects dare to request [proceeding with the rituals]. From a memorial in "Hsien-ti chuan," SA N KU O CHI H 2, p. 69.

Chapte r On e The Earl y Cultur e o f Authorit y an d Legitimatio n an d th e Ch'i n an d Han Model s

S

evera l term s use d elsewhere , bot h i n sociologica l an d historica l writin g abou t th e cultur e o f powe r an d it s legitimatin g processes , ar e use d i n thi s boo k a s well . The y should , however , b e clarified , merel y for convenience . "Rule " an d "ruler " will in som e contexts , below , refe r broadl y to th e powe r o f th e dynas t o r dynast y operatin g throug h th e imperia l family . In othe r context s thos e word s ma y impl y th e aw e surroundin g th e prerogative s an d appurtenance s o f th e thron e an d impe ria l family . Significantly , "rule " an d "ruler " ca n als o b e applie d t o th e bureaucrati c stat e centere d a t th e nationa l an d loca l capital s whos e resource s include d cult s an d rituals , office s an d buildings , an d institution s lik e examinations , ta x collection , an d census . Therefore , th e term s "rulin g group, " "rulin g court, " an d "th e court " do no t necessaril y refe r jus t to imperia l family-member s an d thei r staffs ; the y ma y refe r t o the m an d th e officia l adviser s a s a large r group . "Authority " refer s t o th e way s i n whic h ruler s mad e thei r will s know n an d accepted . In Chin a thi s wa s no t necessaril y o r alway s a one-wa y flow : th e rule r ofte n invite d th e opinion s an d technique s o f adviser s an d experts , treatin g suc h thing s a s ome n interpretations , o r ethica l value s rea d fro m th e classics , as indication s o f th e strengt h o f hi s authority . Ther e wa s frequend y a haz y are a r ^ of negotiatio n betwee n th e emperor' s will an d tha t o f hi s top courtier s o r othe r politica l interests .

TS'AO P' I AN D POLITICA L CULTUR E

"Legitimation " wa s th e wa y i n whic h ruler s interpreted an d accommodate d precedent s an d tradition s tha t pertaine d t o a right , a mandate , o r a correctnes s tha t wa s perceive d a s neede d in orde r t o reign . As a categor y o f historica l schol arship , it ha s bee n adapte d fruitfull y i n recen t studie s o f Chin a (se e m y "Conclu sion") . In th e cas e o f earl y Chin a legitimatio n wa s no t relate d t o China' s tradi tiona l la w codes , a s th e etymolog y o f "lex " implie s i n Latin , bu t t o a cultura l complex . Onl y som e o f th e precedent s wer e writte n down , an d the n onl y par tiall y an d in variou s genres . The y coul d als o b e simpl y an y successfu l o r otherwis e appealin g actio n o f a previou s ruler . Legitimatio n entaile d th e us e of , an d th e discussion s centere d around , nationa l cultura l memory . Althoug h conceptuall y authorit y an d legitimac y ma y overlap , stron g distinction s do exist . On e suc h distinctio n rest s i n simpl y ho w the y wer e transmitte d i n th e record . Moder n archaeolog y ca n no w documen t th e searc h b y archai c ruler s fo r authority , tha t is , thei r nee d t o mak e thei r wil l receive d a t court . Bu t then , onl y considerabl y later , di d th e Chines e moun t a philosophica l inquir y int o tha t au thority , a developmen t evidence d in bronz e epigraphy , in earl y Confucia n classic s like Shang-shu fn | # , late r i n suc h compilation s a s Kuo-yu HtH an d Tso-chuan 5 : {( , an d i n th e writing s o f th e Chou-er a philosophers. 1 Durin g th e late-Cho u (roughl y 400-20 0 B.C. ) Chin a wa s ren t b y inter-stat e war , an d ne w idea s o f legiti mac y wer e offere d fo r immediat e politica l use . Th e searc h fo r a correctnes s an d righ t t o rul e tha t wa s undertake n b y Ch'i n I S ruler s (beginnin g befor e thei r na tiona l ascen t i n 22 0 B.C. ) an d th e daw n o f dynastic-histor y compilatio n i n th e early-Ha n court s mad e legitimacy , pe r se , a newl y importan t politica l agenda , an d no t a mer e verba l commentar y o n action s take n t o promot e authority . T o sa y tha t i n th e late-Cho u era , an d especiall y i n th e Ch'i n approache s t o power , th e searc h fo r legitimac y replace d th e searc h fo r authorit y woul d b e to rea d bac k an unnecessar y category . Bu t I agre e wit h th e vie w tha t eve r sinc e th e Ch'in , with th e adven t o f a cour t cultur e tha t relie d o n advisers , texts , an d ritual , th e rulin g grou p seem s t o hav e becom e consciou s o f th e problem s o f legitimatio n tha t wer e im bedde d i n history , an d ruler s increasingl y pu t cultura l apologi a int o th e servic e o f power . Tha t is , th e cultur e o f idea s becam e jus t a s importan t a s the blun t exertio n of authority . I n som e sense , i t ha s com e t o defin e th e Chines e stat e dow n t o today , an d make s man y o f th e action s o f today' s ruler s see m cu t fro m th e sam e clot h a s thos e o f Ch'i n Shih-huang-ti. 2 M O D E R N APPROACHE S T O TH E STUD Y O F AUTHORIT Y A N D L E G I T I M A T I O N An influentia l framewor k fo r analyzin g th e institution s o f politica l authorit y an d 1. Se e Willia m E . Savage , "Archetypes , Mode l Emulation , an d th e Confucia n Gentleman, " Early China 17(1992) , pp . I -25 , esp . pp . I -2 (n . 2), o n th e reliabilit y o f Shang-shu an d othe r sources . 2. Wechsle r hel d tha t earl y ruler s perceive d withi n legitimatio n th e challeng e to mak e rea l fo r th e politica l publi c th e historicizin g elements . "Thu s ros e a tensio n betwee n politica l idea s an d politica l practic e tha t characterize d th e entir e traditiona l perio d o f Chines e his tory . It i s ou r contentio n tha t man y o f th e ritua l an d symboli c activitie s o f th e earl y T'an g emperor s wer e designe d to hel p resolv e thi s tension " (Jade and Silk, p . 13) . Fo r a n excellen t stud y of the cultur e o f politica l legitimatio n in contemporar y Peking , se e Wu Hung , "Tiananme n Square : A Politica l Histor y o f Monuments, " Representations 3 5 (1991) , pp . 84- 1 17.

16

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

legitimac y wa s se t u p b y Ma x Webe r i n th e earl y par t o f thi s century . Wher e Webe r discusse d non-Europea n societies , however , h e ha s becom e vulnerabl e t o considerabl e revision . Today' s historian s o f non-Europea n societie s ar e ofte n tal ente d philologist s an d historians . An d many , in addition , perfor m field-wor k i n th e culture s tha t the y study . As a result , som e of th e olde r assumption s nee d reexamina tion . Cliffor d Geertz , a leadin g exponen t o f th e ne w cultura l history , ha s helpe d fram e th e challenge : whe n Webe r spok e o f politica l legitimation , did h e mea n politi ca l appea l to a lega l cod e tha t stoo d abov e rulers ? Whe n h e use d charism a to explai n th e extensio n o f power , di d h e mea n th e culturall y constructe d attitud e towar d charisma , or merel y a d ho c attraction s betwee n leade r an d followers? 3 Thu s today' s cultura l historian s ma y follo w Weberia n paths , bu t the y d o u s a grea t servic e b y modifyin g th e Weberia n assumptions , an d b y arguin g fro m withi n th e loca l cultura l milieu. 4 Thoughtfu l criticis m o f Webe r i s valid , an d i t retain s usefu l olde r theme s a s a platfor m o f discussion . Thi s approac h i s see n in suc h studie s o f Chin a a s th e un publishe d paper s o f th e 197 5 Asilomar , California , conferenc e o n earl y Chines e legitimation, 5 an d Howar d Wechsler's , Offerings of Jade and Silk, publishe d i n 1985 . Wechsle r use d post-Weberia n studie s i n sociolog y an d anthropolog y i n orde r t o se t definition s fo r suc h concept s a s rites , symbols , an d rulin g authority . He als o critique d a n analyti c dichotom y first use d b y Chines e historian s to explai n legitimatio n o f Chines e dynastie s — th e "abdication-violence " model . In it , abdi catio n is considere d t o hav e bee n simpl y th e pom p an d superstitio n tha t softene d th e precedin g violence . Thi s ide a wa s first refine d b y Cha o I M H, wh o thought , however , tha t ruler s wh o use d th e pom p too k i t seriously. 6 Recastin g th e di chotomy , Wechsle r explaine d tha t abdicatio n was : ... a too l employe d b y th e aristocrac y i n orde r t o contro l variou s militar y contender s fo r th e thron e wh o desire d to cove r u p th e rea l fact s o f thei r ris e to power . In thei r nee d to gai n th e politica l legitimatio n tha t [abdication ] con ferred , militar y leader s becam e th e pawn s o f th e aristocracy , wh o ha d th e knowledg e an d experienc e successfull y t o manipulat e th e ritua l trapping s o f dynasti c transitions. 7 Th e "abdication/violence " analysi s wa s initiall y muc h inspire d b y th e histor y o f th e Han-We i an d Si x Dynastie s courts , an d thei r refinemen t o f th e ar t o f abdica 3. Cliffor d Geertz , "Centers , Kings , an d Charisma, " Sea n Wilentz , ed. , Rites of Power: Symbolism, Ritual, and Politics since the Middle Ages (Philadelphia : U. Penn . P. , 1985) , p. 13 . Se e th e overvie w o f Weber' s contribution s in Reinhar d Bendix , Max Weber: An Intellectual Portrait, ne w edn . (Berke ley : U. o f Californi a P. , 1977) ; als o Alett a Biersack , "Loca l Knowledge , Loca l History : Geert z an d Beyond, " Lyn n Hunt , ed. , The New Cultural History (Berkeley : U. Californi a P. , 1989) , on Geertz' s intellectua l stanc e vis-a-vi s Weber . 4. Fo r example , se e Ralp h Giesy , "Model s o f Rulershi p in Frenc h Roya l Ceremonial, " Wilentz , ed. , Rites of Power, pp . 51 -54 , explain s ho w renaissanc e humanis m transforme d th e show s of suppor t b y villager s toward s th e legitimatio n of th e ne w kin g int o depiction s of classica l antiquity . Anothe r stud y in th e sam e volume , b y Teofil o Ruiz , demonstrate s a shif t in Castilia n legitimatio n ritual s toward s knighthood , violence , an d bloo d inheritance ; "Unsacre d Monarchy : The King s of Castil e in th e Lat e Middl e Ages, " ibid. , pp . 109-36 . 5. Jac k Dull , ed. , "Conferenc e o n Legitimatio n o f Chines e Imperia l Regimes, " U. o f Wash ington , 1975 . 6. Se e Cha o I , Nien-erh shih cha-chi (rpt . Taipei : Shih-chieh , 1970 ) 7 , sect . "Shan tai " WR , p . 87 ; als o Wechsler , Jade and Silk, pp . 80-81 . 7. Wechsler , Jade and Silk, p . 97, summarizin g Miyakaw a Hisayuki ; also , Tanigawa , Medieval

17

TS'A O P' I AN D POLITICA L CULTUR E

tion . Late r writer s hav e frequentl y no t accepte d an y possibilit y tha t th e ritual s an d symbol s involve d presente d meanin g o f an y sort . Bu t Wechsler , t o hi s credit , di d no t resor t t o politica l reductionism , an d skillfull y reveale d th e persona l factor s operatin g i n early-T'an g cour t debate s ove r legitimation . We lear n tha t Tan g ruler s like d o r dislike d variou s meaning s an d appearance s o f self-aggrandizin g ritu als. 8 The y approache d th e proble m wit h seriousnes s an d desire d ver y muc h t o complet e a ritua l debat e tha t the y an d thei r adviser s fel t ha d bee n unresolve d sinc e th e Han-Wei . The y wante d th e Tan g t o b e know n a s a dynast y o f ritua l correctnes s an d improvement. 9 This poin t illustrate s th e Weberia n vulnerabilit y — hi s relativ e lac k o f an y loca l histor y an d text s tha t la y behin d th e mor e sweepin g assumption s abou t nonEuropea n society . Fo r Chines e politica l history , earl y o r late , we mus t seek , a s did th e 197 5 conferenc e writers , a s wel l a s Wechsle r an d Davi d McMullen , th e dee p contex t o f persona l scholarl y style s an d vanitie s tha t ma y hav e shape d polic y a t moments . Fo r example , th e mor e on e know s abou t Ha n Wu-ti' s Taois t passion s an d hi s persona l relationship s wit h general s an d advisers , th e mor e i s clea r abou t th e en d o f th e Wester n Han ; th e mor e w e kno w o f Min g Wu-tsung' s hun t fo r militar y self-identit y an d hi s relationshi p wit h eunuc h leaders , the n th e mor e w e kno w abou t late r standoff s agains t hi m b y militarize d official s an d th e depreda tion s o f freebooter s alon g th e coas t tha t weakene d th e dynasty . Th e Han-We i wa s a critica l poin t a t whic h th e cultur e o f scholarshi p emerge d as a majo r sourc e o f authorit y fo r courtier s an d advisers . In th e followin g chapter s an d sourc e documents , w e nee d t o bea r i n min d tha t th e me n involve d wer e verse d i n th e historica l recor d an d contemporar y trend s i n scholarship ; an d the y wer e committe d t o establishin g officia l career-path s an d institution s tha t woul d sav e an d codif y th e scholarl y culture . The institution s thu s create d laste d fo r man y centuries , an d impacte d th e importan t politica l proces s b y whic h ruler s exerte d authorit y an d declare d legitimacy , especiall y a t time s o f dynasti c founding . Thus , in assumin g th e importanc e o f loca l cultur e i n th e reconstructio n o f his tory , I asser t tha t th e me n o f th e earl y third-centur y A.D . wer e awar e o f th e importanc e o f th e receive d politica l cultur e an d wer e skille d reader s o f tha t tradi tion . We mus t no w tur n t o th e intellectua l backgroun d tha t influence d thei r idea s concernin g th e abdicatio n o f th e Easter n Ha n an d establishmen t o f th e Ts'ao-Wei . Wha t wa s th e politica l cultur e o f dynasty-foundin g tha t the y inherited ?

DEVELOPMENT S I N TH E ANCIEN T PERIOD : REVELATION, DIVINATION, PHILOSOPH Y Th e ancien t Chines e sough t tempora l authorit y throug h th e revelatio n o f th e -^ Chinese Society, an d Charle s Holcombe , "Th e Exempla r State : Ideology , Self-Cultivation , an d Powe r in Fourth-Centur y China, " H//AS49. I (1989) , pp . 93-139 . 8. Wechsler , Jade and Silk, p . 97 ; als o Chao , Cha-chi 7 (vol . I), p . 88. 9. Wechsler , Jade and Silk, p . 13 . Davi d McMulle n ha s examine d th e integratio n o f ritua l scholarshi p int o th e Tan g bureaucrac y a s a whole , an d it s effec t upo n it . His argument s convinc e u s of th e dept h o f institutiona l commitmen t o n th e par t o f scholars , an d th e politi ca l public' s interes t in thei r enterprise . McMullen , "Bureaucrat s an d Cosmology : The Ritua l Cod e o f T'an g China, " Davi d Cannadin e an d Simo n Price , eds. , Rituals of Royalty: Power and

18

ONE : TH E EARL Y CULTUR E O F LEGITIMATION god s — ancestor

s wh o existe d unsee n i n a hig h place an d possesse

d enormou

s

power . Suc h authority , whic h occurre d alongsid e coercio n an d blood-lin e succes sion , wa s addresse

d t o a smal l an d privilege d politica l public . Beginnin g sometim e

in Shan g an d continuin g forward , court s use d material s an d expert s i n divinatio n in orde r t o effec t th e neede d revelations

. Later , dialogi c reasonin

g abou t wha t

constitute s th e goo d an d th e ba d i n politica l rul e becam e recorde d an d discusse

d

amon g th e adherant s t o variou s line s o f thought . Thes e thre e areas — revelation

,

divination , an d philosoph y — wer e interwoven bot h employe d signs . Sign s neede d explanation

. Divinatio n sough t revelation , an d , thu s leadin g t o advance s i n lan -

guag e an d writin g media . Finally , a s argue d below , whe n philosophica its technique s wer e alread y advanced

l writin g an d

, variou s current s i n th e cultur e opene d

agai n toward s th e possibilit y o f revelation . The Authority

of

the High-Gods

Record s concernin

and

the Later

Philosophic

Turn

g th e authorit y o f rulin g king s an d thei r familie s durin g th e

late r par t o f Shan g M (thu s 1400-105 0 B.C. ) an d Wester n Cho u ffiS exis t eithe r a s fragment s discovere th e earl y classics

d throug h archaeolog

(1050-750

. Th e cultur e o f tha t searc h fo r authorit y i s reconstructe

tenuously . Newl y discovere

)

y o r th e fe w mention s i n d ver y

d divinator y writin g — record s o f statement s mad e t o

th e god s — differ s fro m th e writin g i n suc h classic s a s Shang-shu

fp ] # (th e oldes t

passage s havin g take n shap e i n abou t 70 0 B.C.) , whic h narrate s event s a t th e court s o f th e legendar y firs t dynastie s an d make s prescription

s fo r futur e rule .

Archaeology , however , ha s no w brough t forwar d a roug h sketc h o f ho w au thorit y evolved . Base d o n th e Shan g divination s inscribe d o n bone s an d shells , scholar s i n th e pas t sevent y year s hav e show n tha t ritua l divinatio n wa s ofte n a religiou s revelation , an d wa s th e chie f metho d use d fo r justifyin g th e action s an d decision s o f Shan g rulers. 1 0 Ritua l divinatio n attempte d t o influenc e bot h natura l phenomen a an d th e outcom e o f scheduled , futur e events . It s languag e an d techni ca l syste m place d th e rule r himsel f i n a positio n t o receiv e approva l fro m th e "hig h gods " S . 1 1 Th e god s woul d giv e yes-n o reaction s t o diviners ' charge s (o r predic tions ) abou t phenomen a an d events . Thus , a Shan g rule r gaine d authorit y when eve r h e wa s judge d t o hav e bee n makin g decision s alread y agree d upo n b y th e gods . W e hav e n o contemporar y theorie s o r discussion s abou t ho w thi s revela tio n worked , o r wh y i t shoul d have . We kno w tha t i t wa s enacte d frequentl y an d in variou s contexts , helpin g t o establis h authorit y fo r th e kin g an d hi s cour t a s the y traveled , prayed , an d sacrificed. 12 -^Ceremonial in Traditional Societies (Cambridge : Cambridg e U.P. , 1987) , pp . 181-236 . 10. Se e the analytica l tabl e o f stat e function s i n Davi d Keightley , "The Shan g State : When , Where , an d What? " i n Keightley , ed. , The Origins of Chinese Civilization (Berkeley : U . o f Californi a P. , 1983) , p . 529 . I I. Davi d Keightley , "Legitimatio n i n Shan g China, " unpub . pape r for Conferenc e o n th e Legitima tion o f Chines e Imperia l Regimes , Asilomar , California , 1975 , esp . pp . 25-31 , o n genealog y a s valida tion , rite o f passage , an d worship ; an d idem , "The Religiou s Commitment : Shan g Theolog y an d th e Genesi s of Chines e Politica l Culture, " History of Religions 17.3- 4 (1978) , pp . 21 I -24 . The high god s wer e no t see n necessaril y a s origina l ancestor s o f a specifi c Shan g lineage . The y coul d approv e o r disapprov e rulers , no matte r to whic h family o r branc h the y belonged . The y coul d in fact contro l certai n natura l phenomena . Suc h power s an d relation s with ruler s resulte d neithe r in object s o f worshi p no r mer e negotiatin g point s in sacrificia l contract s with humans . 12. Keightley , "Shan g State, " p . 552 .

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TS'A O P' I AN D POLITICA L CULTUR E

Shan g divinatio n an d its form s affecte d th e practic e o f astrolog y an d portentology , whos e operation s cam e t o b e textuall y compile d beginnin g in late-Cho u times . Late r cour t practic e tende d t o deduc e heavenl y approva l o r disapprova l o f em peror s b y interpretin g frequencie s o f natura l disaster s — a n inductiv e for m o f revelation . Th e art s o f writte n languag e develope d rapidly , a s di d specialize d niche s fo r cour t experts . Chines e court s subsequentl y concentrate d o n th e technique s an d material s o f divinatio n i n orde r t o establis h rulin g authority . Althoug h th e archai c high-god s stil l anointe d an d approve d rulers , the y cam e t o d o s o onl y throug h specia l experts . Concomitantly , th e conten t o f th e divinatio n text s becam e mor e an d mor e routinize d an d addresse d trivia l concerns . Thi s shif t awa y fro m direc t revelatio n toward s th e recordin g an d discussio n o f it s material s an d explanation s was crucial . Revelatio n di d no t disappea r i n subsequen t eras , bu t becam e circum scribe d an d altere d b y specialists . Ritua l divinatio n becam e elaborate d b y bronz e inscriptions , tom b arrangements , calendars , philosophy , historiography , an d ne w divinities. 13 Th e so-calle d Confucia n classics , edite d befor e Confuciu s beginnin g i n abou t 70 0 B.C. , an d late r b y hi m an d hi s followers , giv e merel y disconnecte d evidence s of actua l Shan g an d early-Cho u politica l culture . Wha t w e d o kno w i s tha t thes e classic s inspire d ne w politica l thinking . Th e earl y classic s refe r t o th e high-god s as dynasti c authorizers , ye t th e inten t o f th e Book of Odes an d th e Book of Documents in mentionin g suc h thing s wa s to discus s th e wa y charismati c leader s wer e responsibl e fo r thei r politica l acts , no t necessaril y t o revea l th e thought s o f th e gods . The Odes pin s politica l mandate , in fact , squarel y o n huma n character : "Th e Mandat e o f Heaven / Ho w beautifu l an d unceasing! / Oh , ho w glorious / Wa s th e purit y o f Kin g Wen' s virtue." 14 Documents ofte n use s th e person a o f th e Duk e o f Cho u t o argu e fo r th e im portanc e o f formin g one' s ow n destiny , guide d by , bu t no t passivel y subjec t to , heave n (tlen 7^) , whic h wa s thu s differentiate d fro m th e olde r Shan g meanin g o f "high-god, " althoug h heave n stil l wa s connecte d wit h natura l an d metaphysica l forces . Th e Duk e describe d heaven' s sendin g dow n misfortun e previousl y o n th e Shang , an d thei r los s o f heaven' s mandate . The n h e adds : "We , th e Chou , hav e receive d it . Bu t I dar e no t sa y wit h certaint y tha t ou r heritag e wil l foreve r trul y remai n o n th e sid e o f fortun e [o r en d i n misfortune].. . Yo u hav e said , Princ e [Shih] , 'It depend s o n ourselves.'" 15 Thus , dynastie s ha d to reinforc e themselve s throug h intellect , vigor , an d correc t actions . The ide a o f heaven' s grantin g o f authorit y cause d self-reflection : a ruler' s gras p on authorit y coul d sli p awa y withou t sincer e politica l effort . Also , th e mandat e fro m heave n coul d shif t fro m perso n to person , or dynast y to dynasty . Th e Duk e of Cho u wa s suppose d t o hav e said , "Heave n i s no t t o b e truste d (tha t is , relie d upo n foreve r a s one' s authorizer) . My wa y is simpl y to continu e an d exten d 13. Keightley , "Legitimatio n in Shan g China, " pp . 49-52 . 14. Ma o 267 : "Wei t'ie n chi h min g Mk3^^Lap "; trans . Wing-tsi t Chan , A Source Book in Chinese Philosophy (Princeton : Princeto n U.P. , 1963) , p. 6. 15. Shang-shu, "Princ e Shi h H ^ I ," trans , ibid., p . 6.

20

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

th e virtu e o f ou r peace-establishin g king.. . ." 16 Thi s human-centere d notio n wa s supporte d an d extende d i n late r times , especiall y i n Tun g Chung-shu' s H i ^ S (ca . 17 9 - ca . 10 4 B.C. ) descriptio n o f th e duke . Tung' s exegesi s o f th e classi c Spring and Autumn Annals a t on e poin t ha s th e duk e respon d to a happ y interpre tatio n o f natura l prodigie s signalin g roya l authority . "[Th e duk e said ] 'mak e greate r effort . Heave n show s thi s in orde r t o exhor t us. ' The duk e wa s afrai d tha t peopl e depende d o n [Heaven' s signs]." 17 Moreover , Odes support s th e ide a tha t man dat e i s no t a n absolut e contract . I t mention s tha t ".. . heaven' s mandat e i s no t constant. " Confucius , accordin g to th e Analects attribute d t o hi m an d hi s followers , use d th e ide a an d th e terminolog y o f a mandat e o f heave n to engag e in mora l philoso phy . He onc e claime d tha t h e himsel f understood , an d thu s other s coul d under stand , th e "mandat e o f heaven " at th e ag e o f fifty, a turnin g poin t in a self-realize d life. 18 H e als o claime d tha t th e mandat e o f heave n wa s on e o f thos e rar e thing s tha t deman d o f a ma n o f wort h tota l awe. 19 Confuciu s thu s propose s tha t a supe rio r perso n (tha t is , a rule r or , mor e appropriately , a n adviser ) shoul d valu e highl y th e cor e o f hi s life a s wel l a s hi s rulin g authorit y no t b y revelatio n o r theoretics , bu t b y sincerity . The idea s o f th e earlies t Confucian s flowe d int o th e view s take n b y Menciu s J E •?- (371-289 ? B.C.) . Menciu s talke d no t onl y o f th e cosmologica l connection s be twee n human s an d nature , bu t abou t inheren t goodnes s an d humaneness . H e insiste d tha t ruler s gai n thei r authorit y throug h th e assen t o f th e so-calle d com mo n people . This wa s a majo r step , an d it ofte n involve d Mencius ' us e o f evidenc e fro m Documents an d fragment s o f legends. 20 The Mencia n mora l tur n i n th e phi losoph y o f rulershi p is importan t fo r tha t ver y engagemen t wit h myt h an d history . In th e tex t o f Mencius, th e philosopher-teache r frequentl y appear s a s a gues t o f kings , instructin g o n rulin g authorit y throug h a n adulatio n o f hig h antiquity . In suc h context s h e choose s th e thre e legendar y ruler s mos t ofte n considere d b y writer s of th e late-Cho u er a a s paragon s o f politica l moralit y — Ya o %, Shu n S , an d Yu S i . Th e relationshi p o f Ya o an d Shu n wa s becomin g th e mos t cite d mode l fo r proper , nonviolen t abdication . In th e Yao-Shu n stor y a rule r passe s ove r hi s ow n descendants ; th e rule r seek s opinion s concernin g hi s successor ; an d h e identifie s th e potentia l rule r b y meri t an d tests , makin g ethica l an d cosmologica l plea s in hi s favor . Mencius' s poin t wa s tha t fo r Ya o an d th e other s heave n coul d authoriz e politica l decision s throug h prodigie s an d ceremonia l objects , bu t thi s wa s no t th e essentia l aspec t o f rule . Menciu s especiall y emphasize d tha t th e earl y ruler s wer e me n o f meri t wh o un derstoo d th e connectio n betwee n humanit y an d heaven. 21 In effect , Menciu s steppe d 16. Ibid , p . 7. 17. Chan , Source Book, p . 284 , cit . ch. 5 7 o f Ch'un-ch'iu fan-lu, which , as Cha n explains , internall y cite s th e 3d-c . B.C . "Grea t Commentar y o n The Classic of Documents." 18. Lun-yu, sectio n 2 , no . 4. 19 . Lun-yu, sectio n 16 . 20 . Se e Hsia o Kung-chuan , A History of Chinese Political Thought, trans . F . W. Mot e (Princeton : Princeto n U.P. , 1979) , pp . 158-6 1 (an d n . 40). 21 . Thi s is see n in Meng-tzu, "Wan-chang " A; se e Hsiao , Political Thought, p . 158 . Mencius ' full evocatio n o f th e Yao-Shu n mode l i s presente d an d interprete d i n Fun g Yu-lan , trans . D. Bodde , A History of Chinese Philosophy, 2 d edn . (Princeton : Princeto n U.P. , 1952 ) I ,

m

TS'AO P' I AN D POLITICA L CULTUR E

beyon d contemporar y discussion s tha t revolve d aroun d kinshi p loyalty , oath s o f fealt y an d alliance , an d militar y might . He chos e instea d th e share d cultur e o f oral textua l legen d — storie s whos e image s an d emblem s coul d impl y a negotiate d an d humanisti c process , an d whic h appeale d t o notion s o f a pristin e past . In th e late-Cho u age , fro m abou t 50 0 t o 25 0 B.C. , a tren d i n politica l thought , an d especiall y in th e are a o f rulin g authority , hel d tha t thre e thing s — might , law , an d technique s — wer e th e essential s o f rule . It furthermor e promote d a n atti tud e o f aw e an d submissio n toward s th e ruler . Adviser s o f thi s tren d becam e know n a s legalist s ( a ter m tha t I distinguis h fro m legist , o r exper t i n code s an d procedures) . Legalist s varie d considerably , accordin g to whic h o f th e abov e thre e the y emphasized : th e well-know n Kuan-tz u i f - p , fo r example , stresse d la w an d might , givin g an unstate d rol e in thes e to th e peopl e — th e ruled . Othe r influentia l legalist s gav e n o credenc e whatsoeve r t o th e people , bu t treate d the m a s materia l resource s fo r th e ruler , wh o i n essenc e becam e purel y a power-holder . Sinc e Confucia n idea s abou t rul e leane d towar d a determinativ e rol e fo r th e peopl e an d thei r abilit y to asses s politica l morals , th e legalist s o f th e latte r typ e thu s pose d a shar p divergence. 22 On e o f th e mos t importan t o f legalis t development s wa s th e separatio n o f mo ralit y fro m politica l might . Thi s create d a n endurin g influenc e upo n th e politic s o f authorit y an d legitimacy , an d cour t cultur e a s well . Han-Fei-tz u ^$!N~ P (d . 23 3 B.C. ) i s considere d to hav e sophisticate d thi s process . He hel d tha t a ruler' s powe r shoul d deriv e fro m hi s us e o f statu s an d hi s employmen t o f objectiv e an d effica ciou s laws : powe r shoul d hav e n o relationshi p wit h sagelines s o r wit h mora l teach ings. 23 Thinker s lik e Han-Fei-tz u fel t tha t rul e woul d thu s b e a norma l an d codifie d routine , no t a ques t base d o n charism a o r reveale d authority . Legalis m als o helpe d mak e th e cultur e o f adviser s an d cour t official s int o a buffe r betwee n th e politica l aspiration s o f th e peopl e an d th e egoistic , politica l personalit y o f th e emperor . Throug h th e executio n o f rule s an d regulations , an d th e all-importan t cour t ritu als (in som e sens e th e techniques) , adviser s could , an d di d s o increasingly , exhibi t aw e an d respec t towar d th e rule r a s wel l a s ministe r t o thos e below . Bu t thi s bureaucrati c win g o f governmen t als o becam e th e d e fact o creator s an d execu tor s o f stat e policy , wit h a few historica l exception s involvin g extremel y activ e emperors . The existenc e o f th e categor y "legalism " doe s no t mea n tha t onl y legalist s deal t wit h law , th e rite s (an d techniques) , an d th e us e o f power . Th e earl y Confucia n schoo l wa s profoundl y concerne d wit h th e preservatio n o f th e ruler' s statu s an d th e executio n o f regula r dutie s b y loya l officials . Moreover , late-Cho u an d Ch'in Han Taois t writing s sometime s referre d t o a s Huang-La o though t (distinguishe d fro m later , philosophicall y oriente d Taoism) , stresse d th e powe r o f th e rule r an d th e rol e o f metaphysica l law s in th e establishmen t o f tha t power . Thus , it woul d appea r tha t legalist s wer e influence d b y bot h earl y Confucianis m an d Taoism. 24

-H-pp . I 15-17 . In Fung' s interpretation , Menciu s believe d tha t ruler s shoul d b e sages , sinc e onl y sage s ca n understan d th e mysteriou s inten t o f heaven . 22 . Hsiao , Political Thought, pp . 322-23 , 330-33 . 23 . Ibid. , pp . 384-87 . 24 . Ibid. , pp . 370-71 .

22

ONE : TH E EARL Y CULTUR E O F LEGITIMATION

In thi s brie f backgroun d o f roya l authorit y an d legitimation , it i s importan t t o dwel l fo r a momen t o n th e profoun d effec t o f legalis t ideas . As we see , below , th e intellectua l construction s use d b y foundin g dynast s an d thei r court s move d in creasingly , especiall y in th e Ch'in-Ha n period , toward s metaphysica l theorie s an d th e creatio n o f a hig h religio n surroundin g th e dynasti c an d othe r cults . This bear s th e distinc t imprin t o f th e legalis t urg e toward s elevatio n o f th e rule r an d a theo retical , metaphysica l approac h t o legitimac y an d governance . Th e metaphysic s o f th e essenc e o f rule , wit h it s matrica l mod e o f thinkin g an d it s appea l t o gran d cycles , pu t th e determinatio n o f th e righ t t o rul e i n th e hand s o f specialists , wh o regularized , in fac t mechanized , tha t quest . Bu t legalism , pe r se , whil e enormousl y successfu l in th e wa y jus t described , coul d no t exis t a s a dominan t cour t styl e in onl y it s purest , Han-Fei-tz u form . It woul d continuall y incorporat e an d interpre t th e idea s o f Confucianism , Taoism , historica l precedent s an d legends , an d reli gion s — includin g revelator y an d soteriologica l politics , an d cults . In sum , legalis m of th e late-Cho u ag e helpe d creat e a cour t cultur e wit h a bot h eclecti c an d tradi tiona l intellectua l bas e an d whic h emphasize d imperia l power . The writing s o f Hsun-tz u ^ - p (fl . 298-23 8 B.C. ) wer e a crucia l ste p toward s a n ideolog y o f authorit y an d legitimacy . Hsun-tzu' s essay s mixe d legalist , Confucian , an d metaphysica l idea s to creat e somethin g o f a psychologica l approac h to rul e — a theor y o f rulin g charism a an d ritualize d power . H e believe d tha t heave n wa s no t a too l use d simpl y t o establis h rulin g authority , bu t wa s a life-givin g forc e an d cosmi c axiom . Huma n being s bor e th e majo r rol e i n determinin g rulers. 25 Thi s wa s a voic e o f reaso n limitin g th e politica l use s o f th e nonrationa l an d th e meta physica l a s source s o f authority . Hsun-tz u als o asserte d th e rol e o f ethic s an d sageliness : a rule r shoul d emulate , o r approach , th e ideal s o f a sage . The bes t rule r was on e wh o kne w abou t th e natura l processe s require d fo r agricultura l success , th e bes t way s i n commerce , an d th e existenc e (o r not ) o f qualifie d adviser s an d heir s t o th e throne . Suc h a rule r wa s absolut e i n hi s power . Bu t i n Hsun-tzu' s writing s ther e i s no clea r metho d o f findin g an d authorizing , o r legitimizing , suc h a ruler . Ther e remaine d a larg e are a i n whic h th e us e o f matrices , cycle s o f forces , an d oracle s coul d continue. 26 The notio n o f // W. provide s a bridg e fro m Hsun-tzu' s religiou s an d nonrationa l rule r t o hi s ethica l sage . Accordin g t o context , / / mean s courtesies , ceremonies , rites , ritua l programs , o r propriety. 27 Th e Confucia n schoo l referre d t o // ' bu t usuall y no t outsid e o f th e spher e o f individua l developmen t an d th e ethic s o f th e community . Politica l notion s abou t //are , however , foun d in a variet y o f canonica l texts . Documents aver s t o th e importanc e o f ceremonie s mean t t o authoriz e a ruler' s capita l an d hi s court . A sectio n o f tha t classic , 'Th e Announcemen t o f th e Duk e o f Shao, " call s for th e divinin g of cit y plan s b y mean s o f th e oracula r tortois e shells , sacrific e o f animals , an d issuanc e o f investmen t text s t o loya l helpers . Suc h 25. Se e hi s essa y "O n Heaven" ; trans . Chan , Source Book, p . 116 . 26 . Se e Hsiao , Political Thought, pp . 209-13 ; Fung , Chinese Philosophy, pp . 298-302 . 27 . Fo r th e post-Weberia n sociolog y o f rite s an d symbols , se e Wechsler , Jade and Silk, pp . 22-29 . Th e anthropologica l vie w o f Emil y Marti n Ahern , Chinese Ritual and Politics (Cam bridge : Cambridg e U.P . 1981) , hold s tha t ritua l (especiall y th e magica l componen t i n divina tion ) helpe d premoder n Chines e dea l with a bureaucrati c socia l environmen t (pp . 15 , 30, 96105) , an d warn s agains t claim s tha t ritua l an d religio n benefite d onl y thos e in powe r (p . 106) .

23

TS'AO P' I AN D POLITICA L CULTUR E

action s wer e sai d to indicat e tha t "Heaven , th e Lord-on-High , ha s change d hi s principa l so n [tha t is , the ruler ] an d thi s grea t stat e Yin' s mandate." 2 8 Her e a mandat e to rul e exist s in a dynast y (in this cas e it is clearl y th e family o f th e Cho u — th e youn g king Ch'en g an d his uncles ) b y the evidenc e o f its ability t o organiz e an d remoun t a traditiona l ritua l cultur e base d heavil y o n divination , specia l archi tecture , an d texts . Thi s i s no t abou t ethics , theorie s o f natura l history , o r th e tensio n betwee n heaven' s will an d mankind' s talents . Th e action s instea d consti tut e a ritua l progra m fo r a dynasty . Anothe r sectio n o f Documents propose s a specifi c ritua l orderin g afte r a regim e ha d gaine d military victorie s i n orde r t o giv e it authorit y i n governance . In this passag e heave n offer s theorie s o f categor y fo r all cosmi c an d socia l activit y tha t ste m fro m Fiv e Phase s S f T metaphysics : five huma n conducts , eigh t governmenta l offices , arrangement s o f time an d calendars , categorie s o f critic an d censor , an d eve n a rule o f probabilisti c logi c to determin e wha t percentage , an d which types , o f divine r t o follow. 2 9 By Hsiin-tzu' s time , rite s wer e thu s a n importan t are a o f intellectua l culture , an d thei r practic e wa s bein g rethough t an d codified . Hsiin-tzu' s essays , an d othe r source s like Li-chi ?SI B (Record of Rites), utilized th e concep t o f / / in idea s abou t ruling authorit y an d charisma . An individua l engage d in rite s fo r hi s ow n better ment , an d a rule r enacte d ritua l program s a t cour t a s th e tru e wa y t o govern . Hsun-tz u too k th e politica l contex t o f thi s a ste p further : ritua l program s o f th e cour t wer e to b e distinguishe d from th e rite s o f the commo n people . A tru e rule r would kno w tha t th e disciplin e inheren t in ritual s create d order : nonexpert s wh o witnesse d the m wer e place d in awe . Indeed , the commo n peopl e woul d se e ritu als a s simpl y religiou s worship . Hsiin-tz u writes : The sag e (who in Hsiin-tzu' s contex t is the ruler ) [alone ] plainl y understand s [tha t ritua l practic e represent s a completio n o f the huma n psyche] ; the schola r an d Superio r Ma n accordingl y perfor m it ; the officia l observe s it; an d amon g the peopl e it become s a n establishe d custom . Among Superio r Me n it is con sidere d to b e a huma n practice ; amon g the commo n peopl e it is considere d t o be a servin g of th e spirits.. . . 3 0 The Rise of Metaphysics

and

Matrical Thinking

Early i n th e Ch'in-Ha n er a (beginnin g from abou t 27 5 B.C. , with preimperia l Ch'in) , court s bega n to utiliz e theorie s o f numerical , natural , an d cosmi c corre spondence . Amon g suc h theorie s wer e th e tria d o f heaven-earth-man , th e dual ism o f yin an d yang , an d th e stimulus-respons e theor y o f portents , al l base d o n earlie r ideas . The histori c tur n i n Ch'in-Ha n time s wa s th e us e o f thes e idea s in politica l context s b y centris t court s i n thei r discussio n abou t politica l authorit y an d legitimacy. 31 I t is als o tru e tha t metaphysics , especiall y numerica l categories , increase d i n popularit y an d sophisticatio n becaus e the y coul d brin g unde r on e syste m a hos t o f disparat e notions . Fo r example , Tso u Yen' s popula r teaching s 28 . William T . d e Bar y e t al. , eds. , Sources of Chinese Tradition (Ne w York : Columbi a UP. , I960 ; hereafte r SCT), pp . 10- 1 I. 29 . Fro m "Th e Grea t Plan, " though t t o b e late r tha n mos t othe r sections , perhap s writte n a t Hsiin-tzu' s time ; Chan , Source Book, pp . 8-10 . 30 . Trans . Bodd e [Fung] , Chinese Philosophy, p . 351 , cit. Hsiin-tzu , "On Rites. " 31 . Hsiao , Political Thought, pp . 484-85 .

24

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

tie d geography , natura l philosophy on numbe r categories. 32

, an d histor y t o a theoreti c syste m tha t relie d

Th e tabl e belo w distill s th e earl y trend s i n metaphysica l theory . It draw s upo n suc h source s a s Tun g Chung-sh u (wha t ha s usuall y bee n though t to b e hi s school' s writings) , Huai-nan-tzu, th e Book of Changes "Appendices, " an d others . Althoug h illustrate d catalog s an d collate d table s o f omen s existe d in th e Ha n era , a diagra m suc h a s th e on e belo w woul d no t hav e bee n draw n u p as par t o f a recorde d essa y o r cour t debate . Bu t recen t studie s o f Han-er a ar t sho w tha t audience s hel d in commo n variou s schemati c o r matrica l perception s whe n the y viewe d o r dis cusse d emblems , cartouches , an d symbol s arraye d o n tom b an d shrin e walls , divi natio n table s an d figures , an d representation s o n ceremonia l an d dail y objects . Thus , whe n w e encounte r purel y verba l expressio n i n debat e an d essay , we mus t conside r tha t th e speake r an d listene r imagine d mor e texture d things . Matrica l an d schemati c concept s remaine d importan t throughou t Chines e history , mor e so whe n printe d book s in th e Sung , an d especiall y th e Ming , develope d ne w way s to illustrat e abstrac t ideas . Ritual/Omen Categories W O O D FIR SEASON S sprin DIVINITIES T

Correlated

E EART

g summe ao-ha o Yen-t

ORGAN S splee

n lun

g hear

NUMBERS eigh

t seve

n fiv

cn

TONE S chue DIRECTIONS eas DIRECTIONAL gree

' a / ' ping/tin h chi

n

OMENS drago PLANET S jupite MINISTERS agricultur

g wu/ch

H bir d y re

n r mar

e wa

a D,r a

t hem t live

drago

s satur r work

R

e nin

o Chuan-hsi p mille

y x

n jen/kue gy

r wes whit n

i t

e si

i keng/hsi

e,lo w

r

r kidne

g shan

h cente

re

i Shao-ha

s ^mHle

h kun

t sout

L WATE n winte

i Huang-t

t bean

TAIFNTIAR

H META

r autum

GRAINS whea

33

with the Five Phases

w m t

n venu s interio

u

t nort

h

e tige r e tlge

i

r

b,ac

k

tortois

e

s mercur r justic

y e

With suc h matrices , an advise r migh t schematiz e rulin g authorit y throug h prop erl y aligne d ritua l elements . Hi s pla n woul d caus e th e rule r t o appea r i n posses -

m

32 . Se e Chan , Source Book, p . 248 ; Hsiao , Political Thought, p . 485 . Fun g felt tha t yin-yan g correlativ e idea s wer e " a religiou s sor t o f thinking " goin g bac k to th e concep t o f heaven , an d a huma n urg e fo r scientifi c explanation ; Fung , Chinese Philosophy!, pp . 8, 94-102 , 131-32 . 1 33 . Adapte d fro m SCT, p . 199 .

TS'AO P' I AN D POLITICA L CULTUR E

sio n o f heaven-sen t indications , th e kin d commonl y though t t o hav e bee n trans mitte d sinc e mythi c antiquit y fro m rule r t o ruler . If a specifi c advise r wer e name d as th e autho r o f suc h plans , ther e migh t b e claim s tha t h e receive d i t fro m a mysteriou s source . Furthermore , matrica l thinkin g promote d experimentation . An advise r migh t appl y th e Fiv e Phases , Fou r Seasons , o r l-ching trigrams , fo r example , t o recen t omens , o r t o a cycl e o f legendar y dynasties , o r eve n ethica l categories . On e ca n se e tha t phenomen a woul d hav e bee n though t t o exis t withi n a n un endin g cycl e o f five stages . Othe r metaphysica l construct s wer e a s compellin g as tha t o f Fiv e Phases . Expert s i n calendri c an d astrologi c thinkin g offere d way s t o correlat e China' s traditiona l geographica l region s wit h astra l regions . Int o tha t the y introduce d a syste m o f prognosticatio n base d o n stella r an d meteorologica l occurrence s observe d withi n th e regions . Th e text s o f th e classic s wer e als o linke d wit h metaphysica l theories . A famou s exampl e i s tha t o f Chin g Fan g ^ M (d. 3 0 B.C.) , wh o warne d abou t variou s imperia l action s usin g th e Book of Changes to predic t dail y an d hourl y outcomes. 34 Finally , th e concep t o f chang e itsel f be cam e a subjec t o f speculation . Throug h it , politica l idea s o f authorit y an d legiti mac y coul d b e place d int o temporall y predictabl e cycle s an d matrices , thu s pro ducin g stil l othe r kind s o f oracle . In sum , th e ide a o f cycli c chang e coul d appl y t o chang e o f ruler , t o dynasties , o r eve n t o history . Metaphysica l politica l theorie s wer e foun d i n a variet y o f writing s — fo r ex ample , Lu-shih ch'un-ch'iu S K # ^ (ca . 3d c . B.C.) , Huai-nan-tzu /ftj^j- p (ca.120 100 B.C.) , Tun g Chung-shu' s Ch'un-ch'iu fan-lu #K J t B , an d Pa n Piao' s i)IM (3-5 4 A.D. ) "O n th e Mandate s o f Kings. " Thes e associate d rul e wit h cycli c force s — i n som e case s nature , o r i n other s heaven , stil l other s th e master y o f change . Tun g Chung-sh u assume d tha t heave n wa s th e highes t authorit y an d coul d b e correlate d t o rulership . Therefore , h e wh o act s a s th e rule r o f me n imitate s Heaven' s way , withi n hidin g himsel f far fro m th e worl d s o tha t h e ma y be holy , an d abroa d observin g widel y tha t h e ma y b e enlightened. 35 Elsewhere , discussin g th e writte n characte r fo r "king " 3E , h e said : ... Occupyin g th e cente r o f heaven , earth , an d man , passin g throug h an d join ing all thre e — i f h e is no t a king , wh o ca n d o this ? Thu s th e kin g is bu t th e executo r o f heaven. 36 Usin g th e concep t o f chang e a s a cycle , o r matrix , expert s o f th e Ch'in-Ha n er a 34. Jac k Dull , " A Historica l Introductio n t o th e Apocrypha l (ch'an-wei) Text s o f th e Ha n Dynasty " (Ph.D. , U. Washington , 1966) , pp . 84-89 . 35 . SCT I , p . 158 , cit . Ch'un-ch'iu fan-lu, sect . 18 . Se e Gar y Arbuckle , "Cosmolog y an d th e Ha n Mandate : Don g Zhongshu' s Theor y o f Historica l Cycles " (unpub . paper , 1992) , fo r evidenc e tha t Ch'un-ch'iu fan-lu is a garble d attemp t t o edi t th e idea s o f Tun g an d hi s chie f student ; an d a summar y of thi s i n idem , "Som e Remark s o n a Ne w Translatio n o f Chunqiu Fanlu" Early China 1 7 (1992) , pp . 215-38 , esp . 218-26 . 36 . SCT I , p . 163 , cit . Ch'un-ch'iu fan-lu, sect . 43 . O n Tung' s idea s o f sovereignt y an d th e state , se e Michae l Loewe , "Imperia l Sovereignty : Don g Zhongshu' s Contributio n an d Hi s Predecessors, " S . R. Schram , ed. , Foundations and Limits of State Power in China (London : Schoo l o f Orienta l an d Africa n Studies , U. o f London , 1987) , pp . 53-55 .

26

ONE : TH E EARL Y CULTUR E O F LEGITIMATION

urge d ruler s t o b e awar e o f th e declin e o f dynastie s an d institution s an d t o hav e th e cour t adjust . Th e theoretica

l portion s o f Huai-nan-tzu

reflec

t this :

[UJnde r th e rul e o f a sag e th e law s chang e wit h th e time s an d th e rite s ar e adapte d t o popula r usage.. . ther e i s nothin g condemnabl e abou t modifyin g ancien t ways... . A dynast y periodicall y change s it s master ; a stat e ofte n change s its ruler... . H e wh o accord s wit h th e situatio n o f th e times , follow s th e prin ciple s o f huma n nature , an d harmonize s wit h heaven , earth , an d th e spirits , ma y thereb y achiev e a jus t rule. 3 7 Ch'un-ch'iu schematize

fan-lu,

d historica

part s o f whic h ma y b e attributabl

e t o Tun g Chung-shu

,

l cycles . I n it , th e cycle s wer e no t a patter n merel y t o pre -

dic t th e time s o f dynasti c ris e an d fall , bu t containe d th e ide a tha t heave n deliver s a mandat e t o th e correc t potentia l ruler , an d offer s guide s fo r clarifyin g ceremonials

,

offices , an d chromati c an d musica l symbols . Tun g wa s no t th e firs t o r onl y write r t o enunciat

e suc h correlations

, bu t h e wa s certainl y on e o f th e mos t thoroug

h

an d influential . On e become s a kin g onl y afte r h e ha s receive d th e Mandat e o f Heaven . As th e king , h e will determin e whic h da y is to b e th e firs t da y o f th e year.. . chang e th e colo r o f clothe s wor n a t court , institut e system s o f ceremonie s an d music. . ,3 8 Recen t researc t w o three-par

h argue s tha t Tun g actuall y believe d tha t histor y proceede

din

t cycles . Th e firs t par t starte d wit h th e Thre e Sage s wh o passe

alon g powe r peacefull

d

y — Ya o t o Shun , Shu n t o Yu , an d s o forth . Th e secon d

starte d historicall y wit h th e Thre e Dynastie s (Hsia , Shang , an d Chou) , whic h too k powe r throug h force , reflectin g th e ver y earl y origi n o f th e "abdication/violence paradigm . Seriou s debate s i n Tung' s tim e concerne cycl e woul d begi n again.

"

d jus t ho w an d whe n th e Ya o

39

Theoretica l scheme s attempte d t o answe r suc h question s as , for example , whic h color-forc e ha d bee n th e Shan g founder's , o r whic h on e o f th e Fiv e Phase s wa s appropriat e t o th e Han . Bu t b y thei r natur e thes e ideologie s coul d no t remai n unchange d o r unchallenge metaphysica

d fro m er a t o era . A s politica l ideology , o r a s oracle ,

l theorie s wer e vulnerabl e t o accretion

wa y th e ideologica

polemic s an d scholastics. Neo-Revelatory

s an d interpretations

. I n thi s

l too l los t powe r ove r th e lon g ter m an d ofte n wa s drowne d i n

Thinking

40

and

Related

Texts

A t th e en d o f Wester n Han , severa l genre s tha t ar e frequentl y calle d b y th e singl e ter m "apocrypha

" mad e thei r first historica l impact . I n m y Appendix , ' T h e

37 . SCT I, pp . 159-60 , cit . Huai-nan-tzu 13, pp . 3a-4b . Th e tex t o f Huai-nan contain s muc h abou t politic s tha t is no t theoretical , bu t analogica l an d discursive . See , e.g. , th e sectio n entitle d "Th e Art of Rulership" ; Roge r Ames , trans , an d annot. , The Art of Rulership: A Study in Ancient Chinese Political Thought (Honolulu : U. o f Hawai i P. , 1983) , esp . th e trans. , pp . 165-210 . Her e th e Huai-nan tex t concern s th e psychologica l characteristic s o f a rulin g persona . 38 . Chan , Source Book, p . 287 , cit. Ch'un-ch'iu fan-lu (SPT K edn. ) 7, pp . 3b-6a . Arbuckle , "Cosmology, " p . 2, claim s tha t assertion s in Fan-lu abou t Yao an d Shu n foretellin g would-b e dynast s ar e characteristi c o f apocryph a an d eve n "earl y Buddhist-Taois t polemics. " 39 . Ibid . •* 40 . Ibid. , pp . 5-8, show s tha t misreading s o f tex t an d cour t ritua l cas t int o disorde r wha t wa s onc e a n integra l bod y o f "Tung " thought .

TS'A O P' I AN D POLITICA L CULTUR E

Reliabilit y o f th e Sources, " I ter m the m "neo-revelator y texts " an d describ e th e proces s b y whic h som e passage s an d work s hav e com e t o b e extant . Her e w e examin e briefl y th e characteristic s an d content s o f thos e texts . Neo-revelator y writing s aros e partl y a s a resul t o f th e richnes s o f metaphysica l theory , partl y fro m th e Easter n Ha n renaissanc e i n privat e scholarshi p an d re covere d texts , an d partl y fro m th e impac t o f newl y popularize d Taois t an d Bud dhis t ideas . This translate d ove r int o th e politica l arena . In th e tim e o f sever e crisi s tha t existe d afte r 180 , th e holder s o f coerciv e powe r — th e Han-cour t general s an d leader s o f loca l court s an d regime s — instinctivel y sough t ou t scholar s an d ideas . Thus , whe n reassertin g th e historica l foundation s o f authorit y an d legiti macy , ruler s an d adviser s foun d answer s i n th e neo-revelator y genres , in whic h high-god s an d transcenden t sage s coul d legitimiz e regimes . Neo-revelator y thinkin g fit closel y wit h wha t ha d gon e before . We se e thi s in thre e ways . First , revelation , whethe r direc t o r indirect , shaman-produce dor textual , wa s a deus ex machina. Th e alread y highl y sophisticate d tren d o f matrica l though t predicte d chang e base d o n th e assumptio n tha t a greater , controlling , forc e drov e th e system . Yet expert s in metaphysic s di d no t provid e fo r an y direc t communicatio n wit h tha t controllin g aspec t (whethe r heaven , th e tao, yin an d yang , or change) . By Han times , sign s an d omen s wer e codifie d an d manipulate d in a multitud e o f way s an d involve d man y arts . Thu s attempt s t o indicat e wha t migh t be approva l o r disapprova l fro m a n ultimat e forc e wer e numerou s an d sophisti cated , an d too k th e for m o f politicall y negotiate d criticisms . Th e newer , ostensibl y mor e direct , avenu e t o authorit y an d legitimac y ha d th e potentia l o f bypassin g entrenche d expert s an d thei r scholasti c debates , bu t fo r th e mos t par t i t picke d u p an d reuse d part s o f metaphysica l theorie s an d em ploye d traditiona l manti c arts . Ideally , its proponent s believe d tha t reveale d word s o r sign s prove d tha t specifi c politica l actio n wa s required . Further , rathe r tha n eliminat e th e existin g scholarl y framewor k an d college s o f experts , neo-revela tory idea s coul d tak e shap e outsid e th e ambi t o f th e court , o r els e propos e settin g up ne w kind s o f expertis e a t court . In effect , it offere d a differen t entre e t o poli tics , a s wel l a s influenc e fo r a ne w bran d o f expert . Change s in style s an d trend s mos t ofte n rel y o n a continuit y wit h th e old . As we se e in par t 2 o f thi s book , th e revelation s cite d in 22 0 di d no t merel y sa y that , fo r example , a Celestia l Rule r kne w an d authorize d a n event . The y couche d th e re veale d messag e in Fiv e Phase s categories , astrologica l systems , archaizin g script s an d word-puns , an d manti c reckoning . Not onl y did thi s us e the art s alread y known , bu t continue d a n importan t face t o f metaphysica l theor y — th e penchan t t o de live r rationalize d predictions . Neo-revelatio n offere d thi s in a mor e forcefu l way , however . Metaphysic s ha d supplie d a general , or perhap s to o commonplace , pre dictability : ever y cycl e arrive d a t a reckone d momen t an d ther e wa s neve r a momen t withou t it s residen t element . Neo-revelator y thinkin g offere d a d hoc , direc t predictions , an d withou t guarante e o f whe n o r wher e th e nex t revelatio n migh t occur . It is possibl e to discer n five type s o f neo-revelator tim e o f th e Han-Wei :

y materia l i n us e b y th e

28

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

1. gnosti c type s o f classicis t pros e an d literar y exegis; 2. soteriologica

41

l an d liturgica l editing ;

3. politica l oracle-text ; 4. graphi c an d plasti c credenda ; an d 5. manti c arts . With th e exceptio n probabl y o f numbe r tw o — th e writing s o f religiou s com munities , whos e effec t a t court s wa s onl y beginnin g to b e felt — thes e categories , eac h wit h it s relevan t genres , wer e know n an d applie d b y a wid e rang e o f people , fro m artisan s an d diviner s t o th e mos t educate d an d culture d o f officials . Thi s is especiall y tru e i n regar d t o numbe r five , whic h doe s no t warran t an y separat e descriptio n here . Th e manti c art s wer e th e commo n stoc k o f tool s b y whic h revelation s operated , stemmin g fro m a basi c powe r t o foretel l o r t o tel l wha t is hidden . Particula r manti c art s ar e frequentl y spelle d ou t i n survivin g passage s o f neo-revelator y writing . Gnosti c classicis m i n Chin a (numbe r one , above ) too k shap e fro m th e firs t centur y B.C . t o th e firs t centur y A.D . On e ma y defin e i t a s th e writing s o f educate d scholar s tha t addresse d th e classic s an d use d classica l genre s an d style s i n orde r t o discus s certai n idea s outsid e th e curren t o f court-spon sore d scholarship , l-ching studie s wer e a majo r forum : scholar s demonstrate d tha t a controllin g forc e la y behin d al l movemen t an d change . Thus , Fe i Chi h It J| [ (d . ca . 1 0 A.D. ) an d Chin g Fan g move d awa y fro m court-sponsore d scholasti c editin g an d philolog y an d se t u p thei r ow n chuan { (, o r exegetica l schools , o f l-ching. The y showe d tha t chang e dominate d th e working s o f th e natura l an d huma n world s an d coul d b e rationalized. 42 Influence d b y th e ap pea l o f th e Te n Wing s appendice s t o th e l-ching text, a s wel l a s Tun g Chung shu' s exegese s o f The Spring and Autumn Annals, whic h perceive d hidde n (bu t revealable ) messages , writer s bega n t o d o th e sam e fo r th e othe r Con fucia n classics . Probabl y th e mos t talente d o f gnosti c writer s wa s Yan g Hsiun g t#if t (5 3 B.C . - 1 8 A.D.) , wh o worke d i n a wid e variet y o f genres . Fo r ex ample , h e di d no t us e accepte d style s o f exegesi s t o explicat e l-ching, instea d rewritin g i t wit h ne w axiom s abou t divinatio n an d metaphysics. 43 41 . I d o no t refe r t o Manichea n gnosticism , whos e source s includ e som e Chines e Turfa n frag ments , o r t o th e dualis m o f late-antiqu e Egyptia n an d Persia n Manichaeism , Hermeticism , o r t o Ne w Testamen t apocrypha . Se e Han s Jonas , The Gnostic Religion: The Message of the Alien God and the Beginnings of Christianity, 2 d rev . edn . (Boston : Beaco n Press , 1963) , pp . 34-42. 1 a m suggestin g th e existenc e in late-Ha n Chin a o f a typ e o f study , or knowledge , tha t purporte d t o offe r transcendenc e throug h specifi c text s an d thei r exegesis . Notion s o f transcendenc e throug h a tao, hsuan, o r unit y plac e man y Han-We i thinker s i n suc h a category , an d furthermor e I categoriz e the m a s differen t fro m soteriologica l an d liturgica l editor s (se e no . 2 , above) , wh o deal t wit h divinities , demons , an d hermeti c healing . 42 . O n Fe i (esp . hi s l-ching-based astrology ) an d Ching , se e Ka o Huai-min , Liang Han l-hsueh shih (Taipei , 1970) , esp . pp . 128-162 , 167-74 ; Tang , "Wan g Pi' s Ne w Interpretation" ; Dull , "Apocrypha l Texts, " pp . 80-89 ; Goodman , "Exegete s an d Exegeses, " chap . 6; an d Pau l G. Fondosjr. , "Fe i Chin' s Plac e in th e Developmen t o f l-chin g Studies " (Ph.D. , U. o f Wisconsin , 1988) . The essa y o n /ching studie s containe d in Wei Chen g e t al. , Sui shu (Peking : Chung-hua , 1973 ; hereafter , S5 ) 32 , "Treatis e o n Literature , par t I, " pp . 912-13 , emphasize s th e fac t tha t th e privat e teach ing s o f Chin g an d Fe i wer e mor e viabl e tha n tha t o f th e Imperia l Academy . 43 . Hellmu t Wilhelm , "Th e Interactio n o f Heaven , Earth,an d Man, " in hi s Heaven, Earth, and Man in the Book of Changes (Seattle : U. o f Washingto n P. , 1977) ; an d Natha n Sivi n an d

29

TS'AO P' I AN D POLITICA L CULTUR E

Classicis t writing s tha t identifie d a perfec t unit y o r superna l forc e wer e no t usuall y apocrypha l i n th e sens e o f hidde n an d heterodox ; in thi s perio d the y wer e compose d b y influentia l me n an d i n fac t inspire d thei r ow n late r tradition s o f S K # K , wer e writte n commentar y an d study. 44 Some , like Lu-shih ch'un-ch'iu befor e Ha n bu t afte r sufferin g textua l disruptio n wer e restore d an d circulate d in th e Ha n a s prize d collections . Th e latte r tex t frequentl y expresse d neo-revela tor y ideas : Wheneve r a n empero r o r kin g is abou t to rise , Heave n will alway s firs t mani fes t som e goo d ome n to th e commo n people . In th e tim e o f th e Yello w Em peror , Heave n mad e a larg e numbe r o f earthworm s an d mol e cricket s appear . The Yello w Empero r said , "Th e forc e o f Eart h is dominant.. . h e chos e yello w as his color.. . Whe n i t cam e to th e tim e o f Yu, Heave n firs t mad e gras s an d tree s appea r whic h di d no t di e in th e autum n an d winter.. . [H e sai d that ] th e forc e o f Woo d i s dominant.. . h e chos e green." 45 By th e en d o f Easter n Han , exegese s bega n to b e writte n no t onl y fo r th e well know n classics , bu t o n th e we/ , o r "woof, " classics , which , lik e th e Te n Wings , wer e gnosti c attempt s t o brin g ou t ne w meaning , an d o n th e Taois t classics . Sev era l o f th e mos t famou s early-third-centur y commentaries , writing s tha t schol ar s refe r t o a s "neo-Taoist, " ca n b e analyze d effectivel y a s neo-revelator y classi cis t works , a goo d exampl e bein g Wan g Pi' s 3EK S (226-249 ) explanatio n o f th e Lao-tzu. 46 Th e worl d o f classicis t writer s — scion s o f importan t familie s an d transmitter s of eruditio n an d literar y art s — intersecte d onl y slightl y wit h th e text s an d editin g of religiou s movements . Religiou s practitioner s (fang-shih, shamans , diviners , heal ers ) frequentl y operate d outsid e o f th e usua l politica l an d socia l hierarchies . Re cen t scholar s hav e suggeste d tha t i n thi s stratu m ar e t o b e foun d variou s o f th e author s o f neo-revelator y writing. 47 Bu t tha t i s far fro m bein g proved . Example s of soteriologica l writin g ar e T'ai-p'ing ching, an d th e Ho-shang-kun g an d Hsiang er h commentarie s t o Lao-tzu 4Q A them e mos t concurren t wit h th e ide a o f neo revelatio n wa s tha t o f politica l exhortation s t o curren t regimes , in whic h sage s -^Michae l Nylan , "Th e Firs t Neo-Confucianism : An Introductio n t o Yan g Hsiung' s 'Cano n o f Suprem e Mystery ' (T'ai-hsuan ching, c . 4 B.C.), " i n Susa n Blade r an d Charle s L e Blanc , eds. , Chinese Ideas about Nature and Society: Studies in Honour ofDerk Bodde (Hon g Kong : Hon g Kon g U.P. , 1987) , pp . 41-99 . 44 . O n th e historica l meanin g o f "apocrypha " bot h eas t an d west , se e Rober t E . Buswell , Jr. , "Prolegomeno n t o th e Stud y o f Buddhis t Apocrypha l Scriptures, " in Buswell , ed. , Chinese Buddhist Apocrypha (Honolulu : U. Hawai i P. , 1990) , pp . I -30 . 45 . Chan , Source Book, p . 250 , cit . Lu-shih ch'un-ch'iu 13 , p . 4a . 46 . Rudol f Wagner , "Wan g Bi : Th e Structur e o f Laozi' s Pointers ' (Laozi weizhi lilue)," TP 7 2 (1986) , pp . 100-1 . O n late-E . Ha n commentarie s t o wei-shu, se e Suzuk i Yoshijir o I ^ ^ ^ / ^ ^ P , Kan'eki kenkyu M^^^L (Tokyo , 1963) , pp . I 149-50 ; an d Dull , "Apocrypha l Texts, " pp . 395-99 . 47 . Nakamur a Shohach i an d Yasu i Kozan , Isho no kisoteki kenkyu (Tokyo : Kokusho , 1976) , pp . 123-26 , se e oracle-text s a s havin g carrie d historicist , politica l criticism s an d stemmin g fro m anti stat e communitie s influence d b y religiou s practitioners . Ng o Van Xuyet , Divination, magie et politique dans la Chine ancienne: Essai suivi de la traduction des "Biographies des magiciens" tirees de I' "Histoire des Han posterieurs" Bibliothequ e d e I'Ecol e de s Haute s Etudes , Sectio n de s Science s Religieuse s 7 3 (Paris : P.U . d e France , 1976) , pp . 63-66 , propose s a n anti-hierarchic , "hidden, " socia l bas e o f fang-shih, who m h e associate s wit h th e productio n o f oracle-texts , bu t no t directl y a s authors . 48 . Se e chap . 7, below , sect . "Collectin g an d Alluding, " for discussio n o f sacre d editing . Se e

30

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

like Lor d Lao , Confucius , o r eve n force s suc h a s th e Way , wer e see n a s authoriz ing or savin g a regime . By far th e mos t importan t categor y o f neo-revelator y thinkin g durin g th e Han We i transitio n an d in th e discussion s amon g adviser s concernin g We i legitimac y wa s tha t o f politica l oracle-text . Th e majorit y o f title s use d a basi c styl e tha t usuall y bega n wit h th e nam e o f a Confucia n classic . Th e oracle-tex t thu s pur porte d t o b e a n addendu m t o th e particula r classic . Traditiona l commentator s hav e calle d the m th e "woo f (wel) classics , an d i n som e sens e the y wer e o f a classicis t type . Bu t th e writing s ( a majorit y mos t likel y havin g originate d outsid e scholarl y o r administrativ e circles ) ma y hav e bee n revamped , an d give n a classiciz ing ton e durin g court-sponsore d editin g program s o f th e firs t centur y A.D. An exampl e o f a n early-Easter n Ha n oracle-tex t i s th e followin g fragment : The Rive r Char t is the regulato r o f th e mandate . It chart s th e period s o f th e beginnin g an d en d o f Heave n an d Eart h an d th e ris e an d declin e o f th e emper or s an d kings ; it record s th e rule s o f th e dynasties. 49 Othe r suc h text s gav e name s o f deitie s wh o dispense d protectio n t o potentia l rulers , an d some , lik e th e followin g fro m a n anonymou s addendu m t o th e classi c Ch'un-ch'iu, simpl y tol d th e future : "Th e on e to tak e th e plac e o f re d is the so n o f th e duk e o f Wei." 5 0 I n anothe r case , an oracle-tex t base d o n th e Classic of Filial Piety (Hsiao-ching # &! ) , spok e o f a ruler' s virtue , o r power , a s elicitin g goo d omens : "Whe n th e ruler' s te IS extend s t o th e animals , the n th e unicor n (or , variously , whit e tiger , phoenix , whit e steed , etc. ) i s seen." 51 Thus , oracle-text s wer e usuall y no t classica l commentar y o r essay , bu t ters e slogans , sometime s soteriological , an d ofte n i n th e for m o f vers e o r puns , o r employin g manti c arts . Anothe r categor y o f neo-revelator y thinkin g tha t w e se e operatin g i n th e dis cussion s o f 22 0 A.D. consiste d o f nontextua l message s carrie d i n th e design s an d configuration s o n object s lik e stones , bronzes , an d jades . Som e o f thes e design s wer e charts , tha t is , pattern s o f numerica l o r cosmi c significance , an d som e car rie d antiqu e calligraph y th e meanin g o f whic h coul d b e atteste d b y calligraph y experts. 52 Severa l time s in th e document s o f th e Han-We i transfe r o f power , w e rea d abou t order s give n to sho w th e jad e wri t neede d fo r abdicatio n — presum -4*-Ann a Seidel , "Th e Imag e o f th e Perfec t Rule r i n Earl y Taois t Messianism : Lao-tz u an d L i Hung, " History of Religions 9.2- 3 (1969-70) , wh o place s th e root s o f Taois t canonica l literatur e (collecte d mainl y fro m late-T'an g to th e Sung ) in th e late-E . Ha n soteriologica l writin g o f rebelliou s cult s an d communities . 49 . Trans . Ann a Seidel , "Dynasti c Treasure s an d Taois t lu Registers" ; pape r submitte d t o th e Conferenc e o n th e Legitimatio n of Chines e Imperia l Regimes . Asilomar , Jun e 1975 , p . 30 (se e n . 107 , p. 55 , whic h describe s th e wor k o f Ch'e n P'a n an d Yasu i an d Nakamura) . 50 . Thi s wa s use d to legitimat e Ts'a o P' i (chap . 5, doc . 7 , below) . Seidel , "Taois t Sacraments, " p. 322 , says , "Som e ch 'an- wei texts.. . ar e ful l of list s namin g supernatura l beings . The name s of th e Fiv e Sacre d Peak s are given : 4lf you cal l them , the y will guar d yo u fro m sickness' " (cit . Nakamur a Shohach i an d Yasu i Kozan , comps . Isho shusei [Tokyo : Ka n G i bunk a kenkyukai , 1959-64 ; hereafte r Isho] 6, pp . 91 -92) . Sh e als o describe s th e o f us e o f th e name s o f th e seve n sta r gods , an d god s o f huma n bodil y features . 51 . Isho 5 , sect . "Hsiao-chin g yiian-she n ch' i ^M.W.^ , " p . 28 . 52 . Se e Ann a Seidel , "Imperia l Treasure s an d Taois t Sacraments : Taois t Root s in th e Apoc rypha, " Miche l Strickmann , ed. , Tantric and Taoist Studies: In Honour ofR. A Stein, Melange s

31

TS'A O P' I AN D POLITICA L CULTUR E

ably a ritua l objec t kep t b y th e Ha n hous e an d controlle d b y Hsien-ti' s people . Furthermore , the advise r who wrot e Hsien-ti' s first conciliator y speec h wa s know n for hi s skil l i n antiqu e calligraph y an d for hi s belongin g to a whole grou p o f suc h experts. 5 3 I n 235 , discovere d object s bearin g chart s an d illustration s o f omen animal s wer e interprete d a s sign s o f th e Wei' s correc t relationshi p with th e man date , an d store d i n th e Easter n Hal l j f l ff . 5 4 Th e origin s o f this categor y o f neo revelator y thinkin g wen t fa r back , an d suc h object s remaine d a mainsta y o f court s into moder n time s becaus e o f th e powerfu l visua l an d antiquaria n appea l the y offere d eve n to thos e no t dispose d to a belie f in revelatio n pe r se .

THE CULTUR E O F LEGITIMATION A S A TOO L OF DYNASTY-FOUNDING Throughou t th e imperia l perio d dow n t o Ts'a o P'i' s time , ruler s create d legiti mac y basicall y i n fou r ways : I . gestura l emulatio n o f legendar y sage-rulers , wh o provide d th e model s fo r transfe r o f rule ; 2 . enactmen t o f ritualize d preaccessio n an d accessio n ceremonies ; 3 . sponsorshi p o f a scholarl y debat e ove r cour t polic y an d ritual s tha t woul d ensur e th e ne w dynasty' s correctness ; an d 4 . gesture s o f rewar d an d liberalit y toward s supporter s an d the populac e a t large . Only i n rar e case s (Wan g Mang' s bein g th e mos t wel l known ) di d a rule r at temp t t o unif y al l thes e area s unde r on e them e o r principle . Suc h grandness , however , coul d b e considere d b y th e administrativ e elit e a s a n impositio n o n thei r politica l role . Furthermore , in mos t case s o f th e searc h for dynasti c legiti macy , contradiction s an d change s in precedent , o r confusio n amon g th e fou r ar eas , occurred . Fo r example , a propose d legendar y genealog y migh t no t fit wit h a specifi c preceden t fo r interpretin g th e Fiv e Phase s matrix ; o r a n accessio n cer emon y ma y hav e honore d a ruler' s ancesto r i n suc h a wa y a s to requir e a late r adjustmen t i n imperia l worship . It wa s eas y for a ruler , withou t a supportiv e col lege o f advisers , to fal l pre y to politica l criticism . The searc h for legitimacy , oper atin g a t s o man y levels , coul d actuall y ske w a ne w dynasty' s politica l purposes. 55 In th e genera l scholarshi p concernin g traditiona l China , emulatio n an d acces sio n ceremonie s (th e firs t two , above ) ar e th e leas t ofte n analyzed , ye t the y ar e crucia l to understandin g th e natur e o f dynasti c legitimation . It will b e worthwhil e to pu t the m int o focus . Emulation of Legendary Sages Gestura l emulatio n wa s legitimatio n throug h expressio n o f a prope r etho s abou t -*vchinoi s e t bouddhique s 2 1 (Brussels : Institu t Beig e de s Haute s Etude s Chinoises , 1983 ) 2 , p . 301 ; Lii-shih ch'un-ch'iu, ch. 16 , give s instruction s abou t th e natur e o f oracle-text s an d indentifie s regis ter s an d object s intende d fo r ritua l transfe r of politica l authority ; ibid. , p. 33. Se e als o Steve n Bokenkamp , "Source s o f th e Ling-pa o Scriptures, " Strickmann , ed. , Tantricand Taoist Studies 2 , pp . 434-86 , o n th e histor y o f "tadpole " script . 53 . Se e chap . 3, below . 54. Se e TCTC/F I , p . 503 ; SKC I I, p . 361 , citin g the oracle-tex t "Shang-sh u ku-min g p'ien " in] ^Eln n H fo r informatio n abou t th e Easter n Hal l a s storag e plac e for revelator y objects . 55 . McMullen , "Bureaucrat s an d Cosmology, " p. 187 , note s tha t difficultie s aros e from the nee d to satisf y an "'archaic ' belie f syste m administere d by a learne d an d highl y structure d bureaucracy. "

32

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

a legend-figure . Th e emulato r uttere d word s an d effecte d attitude s know n in clas sica l passage s an d o n a large r scal e throug h legen d anthologies , templ e iconogra phy , an d belles lettres. Emulatio n no t onl y establishe d a style , bu t advertise d i n simple , ofte n i n visua l an d declamator y styles , ho w a rule r migh t resolv e th e built in tension s surroundin g th e chang e o f dynasty . Ho w woul d h e trea t th e las t em pero r o f th e ol d regime , ho w woul d h e brin g abou t ne w cultur e an d greatness , an d wha t kin d o f dynast y woul d h e se t up ? A philosoph y o f rulin g charism a o r o f heaven' s mandat e coul d b e fashione d aroun d thes e models , a s wa s ofte n accomplishe d i n late-Cho u writing . Variet y in th e detail s an d philosophi c position s wa s th e ke y to emulation . Emulatio n o f sag e ruler s dre w upo n a vas t amoun t o f source s outsid e o f th e traditiona l textua l passages . Furthermore , a politica l leade r coul d avai l himsel f o f a bloc k o f tim e in whic h to hon e hi s approach , callin g on a larg e numbe r o f scholar s an d texts . Sinc e thes e idea s wer e draw n fro m a larg e poo l o f recognizabl e gestures , an d serve d as modula r tools , the n w e ma y thin k o f th e en d resul t a s a n emble m featurin g th e ruler , cartoone d an d captione d s o a s to projec t hi s mora l stanc e an d style. 56 An emble m coul d simpl y b e a referenc e t o th e name s o f on e o r mor e sag e ruler s wh o ha d becom e characterize d i n legend , th e text s o r storyline s o f whic h wer e t o b e foun d i n a variet y o f source s an d media , eve n i n th e canonic , Confu cia n an d Taois t classics . Ofte n a n emble m wa s nothin g mor e tha n a skeleta l sketch . Legen d cycle s an d thei r variation s wer e know n t o th e politica l publi c an d con taine d famou s politica l event s an d culture-heros . Subject s migh t include , fo r ex ample , cour t realignmen t o r takeover , a clan' s o r court' s grea t defeat , a dramati c plo y i n battl e o r politics , o r a famou s decisio n tha t change d th e fat e o f a roya l famil y an d th e state . Furthermore , throug h suc h legends , an emble m migh t emerg e containin g a variet y o f topoi : martyrdom , hidde n mastery , eremiti c purity , o r un requite d loyalty . Th e creato r o f a n emble m wa s expecte d t o mak e somethin g recognizabl e fro m a palle t o f element s tha t coul d sugges t a principl e o r cours e o f action . To sho w hi s skil l an d eruditio n h e migh t alte r th e name s o f legen d charac ters , th e narrative s themselves , o r th e topoi . Mor e important , h e wa s abl e t o affec t a n audienc e quickl y an d artistically. 57 Grouping s an d set s wer e a n importan t featur e o f emblem s o f sag e rule , an d the y frequentl y wer e base d o n th e example s o f th e five earlies t dynasti c founders : Yao , Shun , Yu S , Tan g /# , an d Cho u Wen-wan g X3 E an d Wu-wan g i t l take n 56 . Th e Wu Lian g famil y templ e fro m th e 150 s A.D. include s illustration s o f th e ancien t sag e ruler s in thre e emblem-set s — Thre e Augusts , Fiv e t/ , an d Thre e Dynasts . Eac h feature d a superio r figure : Fu Hsi , Huang-ti , an d Yu , respectively . Se e Wu Hung , The Wu Liang Shrine: The Ideology of Early Chinese Pictorial Art (Stanford : Stanfor d UP. , 1989) , pp . 157-60 . On emblem s a s a topo s in art , se e Charle s Lachman , "Wh y Di d th e Patriarc h Cros s th e River ? Th e Rushlea f Bodhidharm a Reconsid ered, " AM 3 d ser . 6. 2 (1993) . 57 . Th e practic e starte d i n late-Cho u wit h th e ris e o f orator s an d persuader s a t regiona l courts , an d wa s late r formalize d i n Ssu-m a Ch'ien' s W ] ^ j ^ (d . ca . 95 B.C. ) Shih-chi £ ! B biographies . Se e Jen s Ostergar d Petersen , "What' s i n a Name ? O n th e Source s concernin g Su n Wu," AM 3 d ser . 5. 1 (1992) , pp . I -32, o n th e wa y topo i (m y terminology ) overtoo k veracit y in th e constructio n o f biography . O n th e ancien t emulatio n o f Wen-wang , se e Savage , "Archetypes, " pp . 8-9 . A n exampl e fro m E . Ha n i s Wan g Fu' s "Ch'ien-f u lun, " whic h present s a n emblem-se t o f th e teacher s o f th e sage s (sect . "Praisin g Study") ; se e Ann e Behnk e Kinney , The Art of the Han Essay: Wang Fu's Ch'ien-fu lun (Tempe , Ariz. : Ctr . fo r Asia n Studies , Arizon a Stat e U. , 1990) , p . 91.

33.

TS'AO P' I AN D POLITICA L CULTUR E

together . Chou - an d Han-er a literatur e furthermor e introduce d debat e an d modi ficatio n o f thes e fiv e cycle s alon g suc h theme s an d tension s a s th e following: 58 1. Yao , Shun , an d Yu stoo d fo r mora l statecraf t in th e sense s of rituall y declinin g (jang M ) , rituall y abdicatin g (shan # ) , an d devolvin g M (bestowin g S ) power . In contrast , th e founder s o f bot h Shan g an d Cho u too k powe r throug h violen t coercion . The y "struggle d with, " "defeated, " o r "killed " th e previou s ruler. 59 2. Bu t Han-Fei-tzu an d othe r text s criticize d Ya o a s havin g los t powe r i n his late r years : he wa s force d ou t b y Shu n (Shu n "imprisons " o r "usurps " him) . This se t th e mode l fo r frequen t argument s no t jus t abou t th e exemplary , bu t als o th e dubious , leadershi p etho s o f stat e founders. 60 3. Th e narrative s o f dynasty-foundin g b y Yao , Shun , Yu , Tang , an d Cho u Wu wan g all ha d th e followin g elements : legitimat e son s wh o wer e rebellious ; eremiti c worthie s t o who m th e thron e wa s offere d unsuccessfully ; minister s wh o helpe d guid e th e stat e (som e o f who m becam e successors) ; an d regents . Also , for example , th e establishe d topo i o f Cho u Wen-wan g were : loyalt y to hi s dynasty , saintl y refusa l o f power , filial piety, militanc e withou t coercion , an d sharin g of power . Topo i becam e modular , s o a write r o r speake r coul d mak e hi s point s throug h mixin g an d matching . Thu s a legalis t write r coul d thro w barb s a t reverentia l no tion s of , fo r example , Yao , i n orde r t o mak e a poin t abou t politica l power , an d Taoisticall y incline d writer s coul d introduc e mysterious , eremiti c assistant s int o an extan t narrativ e abou t a sage-ruler . In thi s way , basi c ethica l principle s o f politi ca l legitimac y wer e raise d fo r discussion . Philosophi c point s regardin g talen t an d meri t versu s blood-lin e turne d to th e legendar y precedent s fo r transfe r o f power : Shu n wa s criticize d fo r no t choosin g hi s rebelliou s so n Tan Ch u ^ 7 ^ . Also , filiality as a principl e becam e problemati c whe n th e narrativ e concerne d a dynast' s treat men t o f hi s wicke d father : Shun' s fathe r Ku n wa s stil l aliv e whe n Shu n wa s ap pointe d ruler , an d h e ha d to b e deal t wit h i n som e way. 61 Accession

Ceremonies

and

Rites

Accessio n ceremonial s an d ritua l procedure s wer e th e sites , times , materials , writs , an d sacrifice s considere d t o hav e bee n mandate d i n precedent s o f success ful dynasti c chang e o r accessio n o f heirs . Howar d Wechsler' s lis t o f the m bear s repeating. 62 1. Tim e o f enthronemen t (Wester n Ha n favore d accessio n afte r th e da y of th e emperor' s death ; Easter n Ha n usuall y th e sam e day) . 2. Plac e o f enthronemen t (beginnin g in Easter n Ha n thi s ceremon y wa s acte d in fron t o f th e deceased' s coffi n instea d o f th e ancestra l temple) . 58 . Se e Sara h Allan , The Heir and the Sage: Dynastic Legend in Early China (Sa n Francisco : Chines e Material s Ctr. , 1981) . 59 . Ther e wer e othe r opinion s abou t thes e mora l distinctions , e.g. , Hsiin-tzu , wh o though t tha t Yao an d Shu n coul d no t possibl y hav e wante d to abdicate . "The y ha d n o enemie s o n earth.. . ther e wer e n o eremiti c sage s o r neglecte d goo d men.. . ho w coul d the y abdicat e th e em pire " (ibid. , p . 28 , cit . Hsiin-tzu 12 , p. I Ob) . 60 . Ibid. , pp . 30-31 , takin g shan no t a s "to abdicate " bu t a s a referenc e merel y t o th e ritua l performance . 61 . Ibid. , pp . 35-40 , 56 . 62 . Se e Wechsler , Jade and Silk pp . 83-91 .

34

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

3. Readin g of th e will (wit h precedent s in th e sectio n o f Shang-shu calle d 'Testamentar y Charge" ; th e Wei-Chi n perio d hel d thi s to b e particularl y important) . 4. Th e ne w dynast' s gainin g officia l an d nobl e title s in th e prope r sequenc e jus t prio r t o th e founding . (He neede d to loo k uninterested , or , a s with th e founde r o f Han , arisin g from lo w in officialdom. ) 5. Transfe r o f imperia l seal s an d tassel-chord Easter n Ha n times) . 6. Announcement

s t o heave n (strengthene

s (importan t particularl y b y d i n Ts'ao-We i an d Chin) .

7. Adoptio n o f a n era-nam e (Liu Pei' s Shu-Ha n cour t i n th e 220 s initiate d th e practic e whereb y same-surnam e successor s waite d unti l th e nex t yea r to institut e a ne w era-name) . 8. Choosin g a Fiv e Phase s matrix . 9. Genera l amnesty , o r ac t o f grace . 10. Grantin g rewards . I I. Visi t to th e ancestra

l temple .

Th e settin g u p o f cour t polic y an d ritual s reache d bac k t o th e late-Cho u an d Ch'in-Ha n periods . It typicall y include d suc h area s a s harmonics , sacrifices , archi tecture , costumes , calendar , an d lega l codes . All th e specia l adjustment s wer e late r recorde d an d entere d a s essay s in th e dynasty' s cour t history , o r a s privat e es says . To advis e an d propos e change s ofte n require d technica l o r literar y erudi tion , eve n mathematica l knowledg e in th e cas e o f harmonic s an d astronomy . Suc h program s o f ritua l an d polic y wer e usuall y se t u p jus t afte r th e dynasti c foundin g an d continue d t o b e argue d i n late r reigns . Th e genera l styl e o f th e dynast y a t it s inceptio n wa s thu s o f considerabl e importance , sinc e th e adviser s wh o sa w to th e initia l progra m ha d goo d reaso n for thei r proposals , an d fough t subsequen t attempt s to modif y them . Struggle s o f cours e occurre d an d becam e intensel y political . Historical , a s oppose d t o legendary , incident s o f dynasti c chang e numbere d onl y fou r b y 22 0 A.D. : Ch'i n Shih-huang-t i U t e M ^ (commonl y calle d th e Firs t Empero r o f China ) complete d hi s family' s lon g militar y struggle s agains t neighbor ing state s an d se t u p China' s firs t imperia l dynast y in 22 1 B.C. ; Liu Pan g defeate d th e Ch'i n i n th e civi l war s o f 210-19 5 B.C. ; Wan g Man g ende d th e Liu' s Ha n dynast y i n 9 A.D. , no t wit h warfar e bu t b y murde r an d manipulatio n o f cour t power ; an d th e latter' s Hsi n dynast y ende d in 25 A.D., afte r a protracte d serie s o f wars , wit h th e reinstallmen t o f th e Li u famil y (th e Kuang-w u empero r 7* 6 St S ) . Eac h on e o f thes e containe d uniqu e circumstances , an d eac h dynas t trie d a uniqu e amalga m o f approache s t o legitimacy . At th e momen t befor e Ha n Hsien-ti' s abdicatio n i n 220 , th e Ts'ao-We i regim e wa s neithe r a bloo d inherito r o f th e Ha n no r a unifie r o f al l it s territories . Th e Ts'a o famil y ha d use d thei r hol d o n Ha n militar y resource s partl y i n orde r to serv e th e Ha n an d protec t it s powerles s court . Th e war s conducte d b y Ts'a o Ts'a o ha d take n plac e nominall y t o restor e unit y t o Ha n territories . 35 Bu t especiall y afte r th e successfu l campaig n agains t Chan g L u in 216 , th e suppressio n o f We i Feng' s rebellio n i n 219 , an d th e stalemate s wit h Li u Pe i

T S ' A O P' I A N D POLITICA L CULTUR E

an d Su n Ch'iian , th e Ts'a o famil y prepare d it s ow n legitimac y i n th e manne r know n sinc e Ch'i n Shih-huan g ti. Ye t anothe r bod y o f idea s la y befor e the m — th e predynasti c an d earl y dynasti c step s take n b y previou s founders , a s recorde d no t jus t i n cour t ritua l an d historiographi

c scholarship

, bu t i n cultura l memory .

Chin Precedents Th e Firs t Emperor , kin g Ghen g o f Ch'in , ha d rule d a centuries-ol tiv e stat e i n th e fa r west , on e tha t eventuall y conquere

d administra

-

d it s neighbor s throug h

protracte d warfare . H e rituall y founde d hi s dynasty , bringin g th e Cho u t o a n end , in 22 1 B.C. , an d hel d titl e unti l hi s deat h i n 210 . Hi s mos t famou s self-authoriza tio n wa s th e us e o f th e ter m huang-ti

-

§= ^n (literally , augus t high-god ) fo r th e ne w

statu s o f emperor . Bu t tha t titl e wa s merel y on e o f a whol e serie s o f religiou s justification s fo r th e ne w mod e o f rule . Th e Ch'i n establishe cour t worship ; the y apotheosize

d specifi c deitie s fo r

d th e empero r himself ; an d broadcas

vation s b y mean s o f stele s an d pronouncement

s connecte

t thes e inno -

d t o sacre d sites .

In conjunctio n wit h hi s ne w title , th e Ch'i n empero r (probabl y i n concer t wit h official s an d scholars ) establishe d correlate s t o hi s reign : on e matrica l theor y pro pose d tha t Cho u ha d receive d th e fir e force , therefor e Ch'i n rule d throug h th e wate r forc e an d th e correlate d element s o f winter , black , an d th e numbe r six . Althoug h individua l element s ma y hav e ha d religiou s significance , th e whol e ma tri x functione d a s a templat e o f cour t ritua l programs . Th e Ch'i n also mad e it s mar k o n late r dynastie s b y assertin g institutiona l standards . Roads , architecture , calligraphy , lega l codes , weights , an d measure s wer e brough t int o unifie d usag e an d form. 6 3 Later , th e Ch'i n wa s vilifie d fo r havin g undertake n centralizin g policie s withou t concer n fo r human e ideal s an d th e cultur e o f th e educate d elite . Thu s t o eras e Ch'in' s historica l significance , late r cour t reformer s an d foundin g dynasts , especiall y Wan g Man g i n 9 A.D. , emphasize d th e Cho u era , whic h i n legen d an d philosoph y wa s though t t o hav e bee n culturall y correct , no t antischolarl y o r au thoritarian . A tensio n evolve d fro m this , on e tha t showe d itsel f late r a t time s o f dynasty-founding : th e nee d fo r cour t program s t o enric h th e politica l cultur e an d concurrentl y t o balanc e th e metaphysic s o f th e cour t agains t th e need s o f admin istrativ e orde r (lega l codes , system s o f titles , an d th e like) . Th e Firs t Empero r le d a serie s o f five progresse s (220 , 219 , 218 , 215 , 2 1 I B.C.) , coverin g route s mostl y alon g th e eas t coast . O n fou r o f thes e h e ha d ston e stel e tablet s wit h pronouncemen t text s erected . Althoug h Ssu-m a Ch'ien' s ^\MM (d . ca . 9 5 B.C. ) Shih-chi i f f i record s relativel y littl e o n cour t polic y debates , i t doe s recor d nearl y al l o f thes e stel e texts , whic h constitute d i n som e sens e a nationa l liturgy. 6 4 Passage s fro m tw o o f th e recorde d stel e text s sa y suc h thing s as : "Hi s wa y o f filial piet y wa s manifestl y brilliant . Accordingly , h e offere d a grea t achieve men t an d ther e the n descende d a specia l grace.. . . " "H e ha s throw n a brillian t

63 . Fo r a discussio n o f thes e administrativ e actions , se e Der k Bodde , "Th e Stat e an d Em pir e o f Ch'in, " i n CHC I , pp . 72-78 . 64 . Dul l see s th e stele s as text s o f a politica l theology ; Dull , "Th e Legitimatio n o f th e Ch'in " (unpub . typescript) , idem , ed. , "Conferenc e o n th e Legitimatio n o f Chines e Imperia l Re - ^ gimes, " p . 21 . The text s ar e translate d in Edouar d Chavannes , Les memoires historiques de Se-ma Tsien (rpt . Leiden : Brill , 1967 ) 2 , pp . 140-67 , passim. , an d pp . 551-53 .

H

36

ONE : TH E EARL Y CULTUR E O F LEGITIMATION

ligh t o n hi s ancestra l temple . H e embodie s th e Ta o an d practice s virtu e (re)." 65 Othe r stel e text s lau d suc h thing s as ritua l 11 , women' s responsibilit y to b e chaste , an d men' s dutie s to b e loya l in marriage. 66 Moreover , the y advertise d th e emperor' s virtues : hi s pityin g th e masse s an d actin g wit h goo d fait h f t , 6 7 Othe r aspect s o f th e Ch'in' s legitimizin g theolog y were:

68

1. worshi p o f th e lor d o f th e yan g forc e an d th e lor d o f th e fou r seasons ; a t th e cour t leve l th e lor d o f th e sun , an d a t th e loca l leve l lord s o f asterisms , seasons , crops , rivers , an d mountains ; 2. performanc e o f th e feng-shan divin e legitimation ;

HW ceremony

, specificall y oriente d toward s

3. concerte d observatio n o f astra l phenomena , an d a tabo o o f th e worshi p o f Venus , whic h wa s associate d wit h th e west , th e military , an d killing ; 4. honorin g (sometime s wit h sacrifices ) th e tw o founder s o f Chines e polity , Yao an d Shun ; 5. worshi p o f th e spirit s o f th e Ch'i n emperor' s ancestor s (on e o f th e stele s emphasize d concordanc e betwee n al l father s an d sons) ; 6. pronouncemen

t o f human e value s an d mora l ethos .

Th e Ch'in-dynasty' s religiou s syste m i s no t completel y understood , howeve r futur e archaeologica l studie s o f th e Firs t Emperor' s tom b wil l n o doub t revea l hi s belie f in an awaitin g postmorte m apotheosis : in fac t in life h e equate d himsel f wit h th e "perfecte d men " (chen-jen H A ). T o prepare , h e worshipe d lineage , local , an d universa l deities . On th e othe r hand , his legitimatio n include d ethica l prepara tio n — appea l to Ya o an d Shun , promotio n o f nationa l filia l piety , an d expression s of non-violen t ethic s surroundin g th e grea t peac e h e ha d effected . Th e Firs t Emperor' s legitimatio n di d no t pursu e ethic s o r humanit y alon g th e philosophica l line s se t b y late-Cho u writers . Althoug h containin g som e elemen t o f metaphysica l theor y (th e tabooe d association s o f violenc e an d th e wes t wit h th e plane t Venus) , it wa s no t pron e t o matrica l reasoning . To summarize , thi s firs t imperia l court foundin g wa s o n th e cus p betwee n th e remnant s o f ancien t cour t liturg y an d oracula r revelation , an d th e theoretica l an d textua l approache s tha t devolve d t o specialist s a t court s beginnin g in th e Han . Western Han

Precedents

Liu Pang' s flJ^ P defea t o f th e Ch'i n was , ironically , a victor y fo r th e Ch'in' s socia l an d politica l programs . Thei r vas t territorie s an d man y o f thei r administra tive solution s an d stat e institution s wer e maintaine d a s Ha n features . Bu t th e method s b y whic h th e Ha n founde r claime d a righ t t o rul e wer e significantl y dif ferent . Li u Pan g wa s no t incline d toward s performanc e o f religiou s ceremonie s an d di d no t pursu e self-apotheosis . Hi s dynasti c foundin g approache d legitimac y in a n a d ho c manner , an d wa s constraine d fro m continuin g man y Ch'i n practice s

37

65 . Dull , "Legitimatio n o f Ch'in, " p . 31 , cit . Chavannes , Les memoires historiques, pp . 55 2 an d 151 , respectively . 66 . Dull , "Legitimatio n o f Ch'in, " p . 37 . 67 . Ibid. , p . 46 . 68 . Th e followin g draw s o n ibid. , pp . 26-40 .

TS'AO P' I AN D POLITICA L CULTUR E

becaus e o f thei r negativ e associations . Furthermore , change s an d contradiction s wer e appearin g i n th e intellectua l base s o f metaphysica l theory . Jac k Dul l ha s characterize d Li u Pang' s us e o f religio n thus : "[H] e fel t th e nee d t o assur e th e continuatio n o f earlie r religiou s practices , but.. . fel t n o compulsio n t o participat e directl y i n religiou s observances." 69 In wha t follows , som e point s an d event s ar e though t t o reflec t th e editoria l manipulatio n o f th e first-century A.D. write r Pa n Ku Iff El : 1. Liu Pan g ma y hav e identifie d himsel f as a descendan t o f Yao , orderin g shaman s to overse e sacrifice s to hi s ancestors. 70 2. Liu , accordin g to Pa n Ku , retaine d blac k a s the Fiv e Phase s correlat e o f th e Han dynasty . Reference s in Han-shu plac e inordinat e emphasi s o n th e Han' s adoptio n o f red . Bu t for severa l decade s late r discussion s a t th e cour t pursue d th e questio n o f th e colo r yello w (an d its eart h correlate). 71 3. Liu Pan g initiall y decline d offer s to becom e emperor . H e pleade d lac k of virtue , an d tha t h e simpl y wa s bein g pushe d b y comrades-in-arms . Thu s ther e wa s no t a structure d o r protracte d philosophica l discussio n abou t imperia l ethos . Liu' s chie f concern , base d o n othe r analyses , seem s to hav e bee n tha t hi s accessio n brin g respec t an d hono r t o hi s pee r group. 72 4. Discussio n wa s spen t o n heaven' s recognitio n o f Liu Pang . A spuriou s figur e was reporte d t o hav e earlie r preache d tha t Liu woul d b e chose n b y heaven , an d in 20 4 B.C . Liu' s arm y wa s describe d a s havin g attribute s o f heavenl y strength. 73 5. Th e ne w Ha n empero r playe d dow n ritua l architectur e an d wante d t o establis h a roug h an d read y capita l in Lo-yang . In 200 , however , th e firs t palace s wer e complete d in Ch'ang-an , an d thos e wer e lavish , followin g ritua l precedents. 74 6. At th e onse t o f hi s campaig n agains t Ch'in , Liu Pan g mad e sacrifice s to th e alta r o f th e soi l in Feng , an d upo n seizin g contro l o f P'e i h e sacrifice d to th e legendar y go d o f wa r Ch'ih-y u ikJL 7 s Later , a s emperor , h e woul d orde r th e additio n o f a fifth hig h go d to th e Ch'i n dynasty' s four , includin g loca l altar s to Ch'i n Shih-huang-ti. 76 7. Th e ne w emperor , i n a discussio n wit h Lu Chi a PM H , ordere d a compilatio n of histor y an d literatur e tha t woul d b e o f servic e to th e empero r an d th e state . Th e resul t wa s Lu' s compendiu m title d Hsin-yu $/f| p . It include d admonition s to practic e benevolence , understan d th e cultur e tha t ha d produce d th e classics , an d begi n politica l orde r wit h self-cultivatio n an d the n natur e will respon d wit h goo d omens. 77 69 . Se e Dull , "Kao-tsu' s Foundin g an d Wan g Mang' s Failure : Studie s in Ha n Time Legitimation, " in Dull , ed. , "Conferenc e o n th e Legitimatio n o f Chines e Imperia l Regimes, " p . 29 . Th e followin g is draw n o n it . 70 . Trans , of th e biograph y in Home r H . Dubs , The History of the Former Han Dynasty by Pan Ku (Baltimore : Waverl y Press , 1938 ) I , pp . 149-50 . 71 . Dull , "Ha n Legitimation, " p . 5. 72 . Se e A.F.P . Hulsewe , "Foundin g Father s an d Yet Forgotte n Men : A Close r Loo k a t th e Table s o f th e Nobilit y i n th e Shih Chi an d th e Han Shu" TP 75 (1989) . 73 . Dull , "Ha n Legitimation, " pp . 15-16 . 74. Dubs , History I , p . 118 , cit . Kao-tsu' s biography . 75 . Ibid. , p . 40 . 76 . Ibid. , pp . 74 , 81 , 97-9 8 140 . 77 . Ibid. , p . 34 . O n Lu , se e Loewe , "Imperia l Sovereignty, " pp . 43-45 .

38

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

Othe r tha n avoidanc e o f Ch'i n theme s an d ideas , th e Ha n founder' s agend a ma y hav e resulte d fro m th e court' s lac k o f preparatio b e concerne

n an d perhap s unwillingnes

s to

d wit h religiou s culture . Worshi p o f loca l an d nationa l deitie s contin -

ued , bu t onl y som e tim e afte r th e dynasty' s founding , an d withou t a progra m t o apotheosiz

e th e emperor . Ya o wa s treate d a s lineag e ascendan

syste m o f ancesto r worship , an d Fiv e Phase s metaphysica an d soo n changed militar y supporters

. Li u Pan g remaine d consciou

t withi n a broade r

l element s wer e trie d

s o f th e problem s o f rewardin g

, an d thi s ma y explai n a ne w par t o f legitimatio n procedure

her e — th e solemnit y give n t o ceremonia

s

l refusal s t o accep t th e throne .

Hsin Precedents Wan g Mang' s regime , name d th e Hsi n if] (9-2 5 A.D.) , wa s base d directl y o n a n earlie r Wester n Ha n progra m o f reforms . Wang' s cour t a s a resul t becam e a n inefficien t hybri d — neithe r a ne w cour t wit h ne w institution s no r a full y commite d continuatio n o f pas t reforms . By th e las t decade s o f th e millennium , Ha n regime s wer e sufferin g natura l ca lamities , lac k o f matur e imperia l heirs , wanderin g population an d a ris e i n privat e wealt h an d entrepreneurship

s an d religiou s cults ,

. Actin g a s cour t advise r i n 8

B.C. , Wan g Man g institute d a shif t t o Chou-er a idealize d offic e name s an d titles . Thi s wa s abandone admininstrativ

d an d re-institute

e changeove

d of f an d on , almos t a s a preparatio n fo r th e

r t o Cho u form s tha t Wan g woul d mak e whe n h e be -

cam e emperor . Alon g wit h th e ris e i n theoretic s an d neo-revelator

y thinking , jus t

a t Wang' s tim e th e cour t hear d propheti c criticism s b y person s representin

g oracle -

texts . Becaus e th e Wester n Ha n ha d previously , afte r muc h debate , decide d upo n th e forc e o f red/fir e fo r it s ritua l authority , th e cour t no w becam e anxiou s abou t an y matrical , o r oracular , powe r base d o n yellow/earth . Th e cour t wa s i n crisis , thu s Wan g Man g bega n i n abou t I A . D . t o formulat e justification s fo r th e politica l chang e tha t h e planned.

78

1. H e arrange d fo r non-Chines e borde r people s t o presen t a whit e pheasant , i n replicatio n o f a legendar y ac t concernin g th e Duk e o f Chou . Wan g the n accepte d a n unusua l nobl e titl e equivalen t t o tha t hel d b y th e Duk e o f Chou . Thi s actio n cas t Wan g Mang' s regenc y (a n importan t elemen t i n legen d cycles ) a s a n emulatio n o f th e ancien t duke' s regency . 2. I n I A.D . h e dispense d kingship s an d marquisate s t o famil y member s an d descendant s o f th e Ha n empero r Hsiian . H e thu s strengthene d himsel f b y bolsterin g th e supposedl y pur e line s o f th e Han . 3. I n 4 A.D . Wan g wa s mad e "rulin g governor, " a fusio n o f word s tha t referre d t o bot h th e regenc y o f th e Duk e o f Cho u an d th e ministershi p o f I Yin, wh o accordin g t o legend s guide d th e Shan g dynast y fo r Tang . Wan g Man g als o converte d a potentiall y damagin g situatio n o f mora l debasemen t (th e arrange d executio n o f hi s son ) t o on e o f mora l etho s b y discussin g Yao' s correctnes s i n havin g punishe d a wicke d son . 4. Wan g institute d i n th e sam e yea r ne w posthumou (tha t is , Liu Pang) .

s honor s fo r Ha n Kao-t i

39 78 . Th e followin g is base d o n Dull , "Ha n Legitimation, " pp . 40-58 .

TS'A O P' I AN D POLITICA L CULTUR E

5. In 5 A.D., afte r th e completio n o f the ritua l hal l Ming-t'an g 0 ^ ^ , he stage d a ceremon y o f reward s in rank , money , an d silk to nearl y a thousan d Liufamily nobles . Ther e is furthe r evidenc e tha t this wa s par t o f a large r progra m to reviv e a n idealize d Chou-styl e nobility . 6. In 5 A.D. h e accepte d th e Nin e Distinction s — variou s material s an d gifts o f honor . This elevate d his statu s to on e o f superiorit y ove r al l the Liu-family prince s o f th e blood . 7. A serie s o f portent s an d omen s wer e reveale d an d interprete d a s heaven authore d revelations. 79 8. Wan g linke d his genealog y to th e Yellow Emperor , wh o b y legen d precede d eve n Yao an d Shun . This link bestowe d th e forc e o f yello w ont o him . In sum , Wan g Man g planne d to conver t Ha n institution s int o thos e o f Chou , as interprete d b y hi m an d hi s scholar-advisers . H e use d oracle-texts , an d identifie d closel y wit h th e Duk e o f Cho u durin g th e tim e whe n h e wa s regent . O n th e throne , Wan g Man g identifie d himsel f with bot h th e Yello w Empero r an d Shun , bu t h e did no t ceas e to utiliz e th e idealize d Cho u ritual s a s model s o f Hsi n admin istration . Thi s represente d a sophisticate d us e o f mor e tha n on e leve l o f tradi tiona l rulin g legitimatio n — on e to brin g abou t mora l ethos , on e to effec t a gene alogy , on e to prov e filiality t o th e Han , one to determin e th e ne w dynasty' s plac e in th e Fiv e Phase s matrix , an d on e to structur e a n administration . Ye t suc h com plexity oversteppe d th e exten t o f ritual , symboli c powe r tolerate d b y his politica l public, 80 an d thu s contribute d t o hi s downfall . Eastern Han Precedents Wan g Mang' s regim e fell ami d a welte r o f counter-regime s an d rebellion s tha t laste d for abou t te n years . Liu Hsi u f l j^ founde d th e Easter n Ha n in 2 5 A.D., bu t was no t abl e to brin g complet e pacificatio n for ye t anothe r te n years . Any outlin e of hi s politica l use s o f roya l authorit y durin g the foundin g no t onl y lack s complet e records , bu t mus t includ e mention s o f rivalin g courts . The short-live d reig n o f th e Ha n Keng-shi h JO p empero r included , in 2 3 A.D., a reviva l o f th e highes t position s a t court , th e Thre e Duke s an d Nine Ministers , a t this poin t i n time certainl y a ritua l act. 81 Soo n afterwards , th e Keng-shi h empero r dispense d reward s t o militar y supporters , includin g hi s fast-risin g aid e Liu Hsiu . Mos t o f thes e wer e nobl e title s conferre d upo n general s — title s wit h cultura l slogan s like "Attache s t o Virtue, " rathe r tha n fief names . In the ver y nex t yea r h e ordere d a t leas t partl y for ritua l purpose s th e transfe r o f th e capita l to Ch'ang-an , which turne d ou t t o b e a disastrou s policy. 82 Pretender s t o th e Ha n lineag e wer e se t u p b y variou s parties . In Marc h o f 2 5 A.D. opponent s o f th e Keng-shi h empero r installe d Liu Ying §lJ S a s a riva l em pero r (th e sam e Liu Ying wh o ha d bee n installe d a s puppet-empero r b y Wan g 79 . Se e Dull , "Apocrypha l Texts, " an d Han s Bielenstein,777 e Restoration nasty (Stockholm : Museu m o f Fa r Easter n Antiquities ) 2 , pp . 235-38 . 80 . Thi s i s a majo r poin t in Wan g Pao-hsuan , Cheng-shih hsuan-hsueh 1987) , pp . 69-80 . 81 . Bielenstein , Restoration 2 , pp . 16-19 . 82 . Ibid. , pp . 21-23,49,58 .

of the Han Dy(Ch'i-L u shu-she ,

40

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

Man g In 6 A.D. an d the n demoted) . Th e Re d Eyebro w rebe l arm y promote d a n empero r who m the y chos e afte r makin g sacrifice s o n a n alta r t o a certai n Li u ascendant. 83 Suc h pretender s wer e many , an d no t al l claime d Liu lineage ; moreove r the y consistentl y ra n th e ris k o f arres t an d murder . Thu s i n thes e year s lineage descen t argument s a s base s for imperia l legitimatio n wer e alread y dubious. 84 Afte r assumin g th e thron e i n 25 , Li u Hsiu , no w th e Kuang-w u emperor , dis pense d specia l reward s t o eleve n generals-in-chie f an d thirty-fiv e generals , imitat ing th e reward s an d title s use d b y th e Keng-shi h empero r previously . Th e title s wer e wel l larde d wit h culturall y laden , powerfu l name s intende d t o legitimat e th e newl y enthrone d Liu. 85 The source s o n th e civi l war s an d th e succes s o f Liu Hsi u emphasiz e th e us e o f oracle-tex t o n al l sides . Liu Hsi u an d hi s riva l in th e west , Kung-su n Sh u S J ^ M , ar e know n t o hav e pursue d textua l an d linguisti c aspect s tha t ha d no t existe d whe n oracle s wer e introduce d twent y year s previousl y unde r Wan g Mang . Liu Hsi u issue d order s o n severa l occasion s t o captur e th e archive s o f hi s rival s an d hav e document s o f thi s typ e scrutinized. 86 H e neede d t o ferre t ou t enem y net work s an d examin e ritua l instrument s lik e seal s an d writs , bu t h e als o wishe d t o investigat e th e existenc e o f unknow n an d potentiall y dangerou s oracles . 1. February , 26 A.D.: Liu Hsi u adopte d th e re d forc e a s tha t o f hi s restore d Han dynasty . Thi s o f cours e denie d legitimacy , eve n historicity , to th e rul e of Wan g Mang . Kung-su n Sh u claime d th e whit e forc e a s his own , thu s openl y acceptin g Wan g Mang' s reig n o f yellow . 2. 26-27 : Variou s rebel s agains t Liu Hsi u quote d oracle-text s t o th e effec t tha t the y woul d succee d hi m a s rulers. 87 3. 36 : Kung-su n Sh u "consulte d a divinatio n befor e makin g his fata l sorti e fro m Ch'eng-tu ; it read , 'th e caitiff s will di e belo w th e cit y wall.' " Whe n Li u Hsi u ha d ascende d th e throne , earlier , h e use d manti c word-analysi s an d omen s to conside r th e kind s o f appointmen t to b e made. 88 4. Circ a 40s : Liu Hsi u ha d oracle-text s collate d an d edited ; subsequentl wer e circulate d fo r study. 89

y the y

5. Numerou s storie s a t th e tim e claime d tha t re d aura s wer e associate Liu Hsiu' s birth , nativ e place , an d dreams .

d wit h

In thi s chronolog y o f event s w e se e a n agend a tha t denie d th e historica l signifi canc e o f Wan g Mang' s ritua l reforms , an d concomitantl y man y o f hi s form s o f legitimacy . Increasin g us e wa s mad e o f th e scholasti c finding s in matrica l thinkin g — th e Fiv e Phase s especially , an d abov e al l oracula r revelation . A ne w tensio n wa s created , tha t betwee n emulatio n o f th e Chou , whic h ha d bee n stresse d b y Wan g Mang , an d worshi p o f Han-dynast y predecessor s a s lineag e ancestors , a mov e tha t woul d saddl e th e res t o f Easter n Ha n wit h a far-reachin g an d expensiv e syste m o f altar s an d service s i n man y part s o f th e empire . Thi s wa s a reformis t court , on e tha t reinstate d th e Ha n hous e i n it s Fiv e Phase s colo r forc e an d place d it s

41

83 . Ibid. , pp . 95-96 . 84 . Se e Bielenstein' s lis t o f these , ibid. , pp . 228-29 . 85 . Ibid. , pp . 200-3 . 86 . Ibid. , pp . 77 , 184 . 87 88 . Ibid. , p . 237 . 89 . Ibid. , p . 238 .

. Ibid. , p . 235 .

TS'AO P' I AN D POLITICA L CULTUR E

origina l founder , Kao-ti , in th e statu s o f spirit-progenitor

.

Conclusion Rulin g authorit y o n th e par t o f th e Shan g king s wa s forme d o n a religiou s basis : th e high-god , o r god s (t/ , shang-ti), personall y communicate d t o ruler s thei r ac ceptanc e o r rejectio n o f cour t action . Divinator y specialist s mediate d thes e com munications , thu s initiatin g a bureaucrati c functio n tha t becam e fixe d in th e West er n Ha n — cour t institution s o f writing , editing , an d analysi s o f gathere d ome n reports . Th e breakdow n o f Cho u polit y coincide d wit h th e literatur e o f learnin g an d cultur e an d a plethor a o f writer s an d speaker s a t courts . Whe n Cho u philosoph y touche d o n authorit y an d legitimacy , it insiste d tha t althoug h mandate s cam e fro m "heaven " the y di d no t wor k b y themselves . The y require d tha t recipient s — po tentia l ruler s — recogniz e an d interpre t them . Th e rule r i n additio n ha d to recog niz e th e mora l requirement s an d th e mandate' s changeabl e nature . Thu s th e gods ' direc t voic e wa s replace d b y huma n intellectio n an d discussion s o f th e socia l good . Menciu s wen t a s far a s to sa y tha t th e ruler' s legitimac y actuall y reste d wit h th e people , no t wit h heaven , an d tha t model s fo r thi s kin d o f enlightene d rul e wer e t o be foun d i n th e sage-ruler s o f antiquity . Thi s i n effec t mad e legitimac y accessibl e to anyon e responsiv e t o socia l need s an d wh o emulate d th e pas t wit h sincerity . Eve n so , th e underlyin g contex t o f th e Chou-er a development s ma y b e see n a s forme d i n grea t par t b y th e state' s religiou s practices . Cho u thinkers , especiall y th e legalists , simpl y emphasize d th e involvemen t o f clerks , diviners , an d technica l experts . Th e Cho u philosophica l tur n canno t b e credite d fo r havin g invente d th e relevan t cultura l term s ab initio: thinker s o f tha t tim e simpl y responde d to a n ancien t tensio n betwee n secula r an d revelator y politics . Hsun-tz u himsel f sa w th e rule r a s a performe r o f rites , helpe d b y exegete s wh o assiste d in formulatin g ritua l observance s tha t appeale d to th e belie f system s o f passiv e viewer s — th e politica l public . Th e Ch'in-Ha n er a o f rites-focuse d bureaucrati c court s witnesse d no t jus t fur the r us e of diviners , bu t in fac t th e transformatio n o f thei r intellectua l cultur e int o a highl y competitiv e scholasti c world . Take n a s a whole , expert s propose d a uni vers e o f cyclica l an d matrica l chang e th e regularit y an d predictabilit y o f whic h provide d a secula r for m o f prophecy . Neo-revelator y thinking , I believe , gre w partl y a s a respons e t o thi s crowdin g ou t o f th e formerl y direc t avenue s t o reli giou s truth . Th e resultan t er a o f oracula r genre s an d materia l remaine d stron g in politic s an d politica l criticis m dow n to Ts'a o P'i' s time ; and , as we soo n see , Ts'a o P'i' s dynasti c foundin g focuse d nationa l attentio n o n neo-revelator y thinking . In late-Easter n Han , a tim e o f politica l collaps e an d th e persecutio n o f th e dissi den t administrativ e elite , th e mos t appealin g tren d in learnin g wa s terme d ku-wen "S" X ("ol d text") , tha t is , scholarshi p aimed , throug h essay , historica l explanation , an d attitude s o f literar y transcendence , a t restorin g ancien t script s an d rein statin g ancien t intention s a s derive d fro m th e classics. 90 Th e riva l styl e o f educate d expressio n — chin-wen ^ X ("ne w text" ) — ha d alread y show n

42 90 . Se e Ch'ie n Mu i t H, Liang Han ching-hsueh chin-ku-wen p'ing-i MMf^^^^XW-

li.

ONE : TH E EARL Y CULTUR E O F LEGITIMATIO N

tha t it s focu s o n Ha n metaphysic s an d omenolog y a s method s o f controllin g th e cour t wa s subjec t to deflectio n an d cooptatio n b y th e thron e itself. 91 Adviser s to Ts'a o P' i foun d politica l oracle-text s availabl e fo r stud y becaus e th e liter ar y tension s wer e fresh , hardl y a generatio n past . Chen g Hsiia n S$]f e (127-200 ) ha d use d gnosti c exegesi s (considere d b y man y t o b e "ne w text " i n intent ) a s source s fo r hi s ow n commentarie s t o th e Confucia n classics . He use d neo-revela tor y texts , bu t no t th e subgenr e tha t I cal l politica l oracle-text . Instea d o f proph ecy , Chen g Hsiia n searche d fo r evidentia l key s to ancien t metaphysics , philology , an d mythology . Anothe r reaso n wh y neo-revelator y oracle s wer e importan t fo r Ts'a o P' i an d his adviser s wa s thei r us e fro m abou t 19 0 to 22 0 a t othe r courts . Lat e in th e 190s , as Ts'a o Ts'a o struggle d wit h bot h Li u Pe i an d Yua n Sh u S f l j , wor d analysi s an d oracula r dittie s ofte n announce d would-b e dynasts . Fo r example , th e oracle-tex t phras e "hig h o n th e road, " whic h ha d bee n cite d b y Easter n Ha n Kuang-w u t i in abou t 2 5 A.D. , wa s reuse d b y Yua n Shu , who interprete d th e word s a s authoriz ing his imperia l aim s in 19 7 an d produce d "mandate s throug h tallies " delivere d b y an obscur e figure. 92 Ts'a o Ts'ao' s wester n rival s ha d use d politica l oracle s fo r quit e som e time . An advise r t o th e governmen t administrato r i n Han-chun g lat e in th e 180 s wa s well know n fo r hi s immersio n i n th e neo-revelator y genres , terme d i n thi s cas e t'uch'an H H .9 3 I n th e year s prio r t o announcin g hi s imperia l intention s i n 221 , Liu Pe i no t onl y use d oracle-tex t bu t als o th e classi c l-ching. Moreover , h e discusse d th e ritua l importanc e o f dragon s an d drago n sightings , astrology , an d Confucius ' histori c rol e i n th e traditio n o f oracle-texts ; h e name d an d quote d five neo-reve lator y writings. 94 Jus t afte r Ts'a o P' i founde d th e We i i n 220 , rumor s circulate d in Sh u tha t Ha n Hsien-t i ha d bee n killed . Official s bega n t o spea k o f oracles . The y cite d a n oracle-tex t tha t ha d bee n talke d abou t a grea t dea l in 57 A.D. b y Kuang wu , whe n h e ha d considere d performin g th e feng-shan HW sacrifice . Li u Pei' s cour t official s said : "We hav e hear d tha t th e diagram s o f th e Yello w River , th e writin g o f th e L o Rive r an d th e apocrypha l text s o f th e fiv e classic s wer e thos e whic h hav e bee n molde d b y Confucius.. . . We hav e carefull y note d tha t th e Loshu chenyao tu }§#1SBSJ S says , The re d will b e three ; th e virtu e o f th e su n will flourish . Th e nint h generatio n wil l b e in conjunctio n wit h [Liu ] Pei . The y wil l joi n at th e [astrologic ] junctur e fo r [ a new ] emperor.'" 95 In th e fal l o f 222 , afte r Ts'a o P' i ha d becom e emperor , Su n Ch'ua n in th e south eas t helpe d prepar e hi s ow n wa y t o eventua l emperorship . Stil l maintainin g th e - ^ Fo r ku-wen i n th e histor y o f exegesis , se e Steve n Va n Zoeren , Poetry and Personality: Reading, Exegesis, and Hermeneutics in Traditional China (Stanford : Stanfor d UP. , 1991) , pp. 116-20 . 91 . Se e Tjan Tjo e Som , Po Hu Tung: The 'Comprehensive Discussions in the White Tiger Hair (Leiden : Brill, 1949-52) . Fo r Wei-Chi n aspect s o f th e debates , se e Kan o Naoki , Gi Shin gakujutsu ko (Tokyo , 1968) . 92 . Cf. Dull, "Apocrypha l Texts, " pp . 302-4 . 93 . S/CC3I , p . 866 , cit. Ch'e n Shou' s "l-pu ch' i chiu-chuan. " 94 . SKC 3 2 [ch. 2 o f th e "Record s o f Shu"] , pp . 887-90 . 95 . Also cite d wa s Lo-shupao-hao ming / § i R ? | n p (fo r whic h ther e ar e n o earlie r refer ences) . Par t o f it says : "Heave n calculate d th e wa y o f emperors ; [Liu] Pe i is terme d Augus t [Emperor]... " Trans . Dull, "Aprocypha l Texts, " pp . 314-16 , cit. Sung shu an d SKC 32 , p. 887 .

43

T S ' A O P' I A N D POLITICA L CULTUR E

titl e king , h e create d a ne w reign-era , bu t mad e n o us e o f oracl e texts . H e did , however , a s Li u Pang' s biographer

s an d supporter

s ha d don e centurie s before ,

effec t legitimatio n b y referenc e t o th e unusua l dream s o f hi s mother.

96

It i s importan t t o remembe r tha t Ts'a o PT s approac h t o legitimac y woul d als o mak e us e o f ethica l philosophy

, no t jus t oracles , astrology , an d ritua l exegesis

Severa l ethica l question s presente ria l succession

d themselves

.

: W h e r e wa s th e tru e lin e o f impe -

? Wa s th e correc t cour t Ts'ao' s cour t o r Li u Pei' s i n th e west ? Ha d

Ts'a o P' i receive d th e tru e mandat e a t all ; an d i f so , wa s h e t o than k th e Ha n fo r i t o r Wan g Mang ? Wa s th e histor y o f dynastie s a mora l histor y o r merel y a huntin g expeditio n t o captur e th e mos t appealin g blood-heir ? A s w e se e i n Par t 2 , Ts'a o eventuall y woul d tak e hi s ethica l stance s b y a n ingeniou s emulatio n o f sages . Hi s ethicall y correc t playin g ou t o f th e Yao-Shun-Yi i legend s feature d a n unprecedente

d

referenc e t o th e Chuang-tz u typ e o f refuse r o f power . I argu e tha t thi s innovatio n o f Ts'a o P' i wa s see n a s a gestur e awa y fro m bot h th e Ha n an d hi s father . Certai n ke y adviser s resiste d th e notion , causin g repercussion followin g Ts'a o P'i' s enthronement

s i n th e severa l decade

s

.

Befor e beginnin g a n excursio n int o five week s o f politica l powe r an d th e cultur e o f dynasti c legitimation , an d befor e w e examin e th e individual s an d group s in volved , on e mor e ste p shoul d b e take n i n formin g a backgroun d t o th e imperia l moment . I n th e nex t chapte r w e examin e th e politica l trajectorie s o f tw o o f th e mos t importan t familie s involve d i n th e shapin g o f dynastie s fro m 200-280 . One , th e Ts'aos , too k th e thron e fro m th e Easter n Ha n empero r an d becam e th e impe ria l famil y o f th e W e i . Belo w I argu e tha t the y maintaine d a distinctio n betwee n tw o type s o f thei r famil y member s — th e fightin g Ts'ao s an d th e administrative politica l Ts'aos . Thi s distinctio n wa s see n i n bot h rea l an d symboli c term s throug h th e family' s test s o f leadership . Th e othe r family , th e Ssu-mas , orchestrate d a resistanc e t o th e Ts'ao s tha t began , a s mentione d above , i n thei r resistanc e t o Ts'a o P'i' s styl e o f politica l cultur e — hi s styl e o f legitimatio n an d authorit y fo r th e ne w dynasty . Althoug h th e scop e her e doe s no t includ e a histor y o f th e ris e o f th e Ssu-ma s an d th e politica l cultur e o f thei r ow n legitimatio n an d earl y governance , w e se e i n th e nex t chapte r tha t althoug h havin g overlappe d wit h th e Ts'ao s i n som e element s o f it s earl y powe r bas e an d style , th e Ssu-m a famil y wa s neverthe les s fro m 200-24 0 embarke d o n a politica l directio n tha t wa s aske w o f thei r competitor's .

44 96 . Dull , "Aprocypha l Texts, " p . 316 .

Chapte r Tw o Step s toward s Dynasty-Founding

: Ts'a o an d Ssu-m a

Family , Local , an d Nationa l Powe r

A

n Importan t concer n o f leadin g familie s wa s to maintai n network s o f suppor t an d alliance . Fo r familie s o f broad-reachin g powe r lik e th e Ts'ao s an d Ssu ma s thi s involve d no t jus t intermarriage , bu t als o th e developmen t o f a cor e o f reliabl e militar y power . Anothe r concer n wa s to maintai n a locale , no t necessaril y th e "hom e estates, " an d us e it a s materia l suppor t an d a strategi c an d musterin g site . I n othe r words , fo r th e mos t powerfu l families , long-ter m plan s centere d aroun d th e militar y bas e an d loca l sustenanc e tha t eac h ha d take n decade s t o carv e out . Thi s chapte r studie s th e backgroun d o f th e tw o families , focusin g in som e detai l o n Ts'a o P' i an d Ssu-m a I. THE TS'A O A N D SSU-M A FAMILIES : NORTHER N MILITAR Y LEADER S Th e Ts'a o family' s homelan d wa s Ch'ia o t t , i n th e principalit y o f P'e i (present da y Anhwei , P o 4 county , sout h o f P'eng-ch'en g S£M) . Ts'a o Ts'ao' s grandfathe r wa s Ts'a o T'en g flS , a Regula r Palac e Attendan t eunuc h wh o guarantee d hi s lin eag e b y adoptin g Ts'a o Sun g mi , perhap s a relativ e fro m withi n hi s extende d famil y o r a so n o f a Hsia-ho u W& woman. 1 The Hsia-ho u connectio n i s significan t sinc e the y wer e fro m Ch'ia o an d wer e associate d ver y earl y wit h th e Ts'aos . Fo r example , Hsia-ho u Tu n U (d . 220) , know n i n hi s yout h a s prou d an d vengeful , becam e a cavalr y majo r fo r Ts'a o Ts'a o a t th e beginnin g o f Ts'ao' s rise . H e wa s wounde d i n battl e bu t stil l continue d t o g o o n campaign s an d receive d nobl e title s an d offices . Hi s cousi n Hsia-ho u Yua n /Jf t als o le d Ts'a o armies. 2 Yuan' s nephe w Shan g fn ) (d . 226 ; tabl e 2 , no . 13 ) serve d Ts'a o Ts'a o a s troo p leader , an d marrie d a Ts'a o princess. 3 Durin g th e Ha n court' s tw o prolonge d banishment s an d proscription s o f "pur e officials " fro m 168-189 , instigate d b y th e eunuc h clique , Ts'a o Sun g ros e to minis teria l positions . Ts'ao-famil y me n subsequentl y bega n to obtai n marquisates , hon orar y generalships , an d position s i n th e mor e literar y office s o f th e bureaucracy .

1. Beyon d thes e facts , "no on e ca n determin e the origin s o f the Ts'a o family"; Wang , Wei Chin, p . 30. 2. SKC9, pp . 267-68 . Whe n h e wa s thirtee n Tu n murdere d a ma n who ha d insulte d his teacher ; h e die d jus t befor e Ts'a o P' i becam e emperor ; P' i posthumousl y increase d hi s rank s an d in come-households , an d rewarde d hi s seve n son s an d two grandson s with honorar y title s a s hou. Tun' s so n Ma o represente d th e famil y a s a signe r of the 22 1 stel e (tabl e 2, no. 28). 3. SKC9, pp . 293-94 ; h e als o signe d th e 22 1 stele . Fo r hi s wife, se e Fan g Hsuan-lin g e t al. , Chin-shu (Peking : Chung-hu a shu-chii , 1974 ; hereafter , CS) 31 , p. 949 ; thei r daughte r be • cam e a consor t o f a Ssu-m a emperor .

45

TS'AO P' I AN D POLITICA L CULTUR E

Fo r example , in 18 7 Sun g purchase d th e positio n o f Gran d Commandant . T'eng' s younge r brothe r becam e a Gran d Commandan t o f Ying-ch'uan , an d hi s so n re ceive d th e militar y rewar d o f Colone l o f th e Ch'an g Rive r Regimen t an d th e titl e marqui s o f Ch'e n PIHS . The famil y wa s spreadin g its office s an d holding s through ou t numerou s locale s an d region s o f China . Ts'a o Ts'a o (155-220 ) wa s th e oldes t so n o f Ts'a o Sung . At twent y h e wa s recommende d a s hsiao-lien an d becam e a Palac e Gentleman . H e wa s appointe d Commandan t o f th e norther n regio n o f Lo-yan g (Lo-yang pei-pu wei ib§P§ j ) , perhap s o n th e recommendatio n o f Ssu-m a F u (o n whom , se e below) , an d the n wa s transferre d t o b e Mayo r (mor e accuratel y understoo d a s "prefect" ) o f Tun ch'i u $!£ £ .I n 17 9 h e too k a s wife a woma n surname d Pie n ~ F , wh o als o haile d fro m Ch'iao . In th e 180 s Ts'a o Ts'a o wa s rewarde d fo r hi s campaign s agains t th e Yello w Turbans , in whic h h e wa s mentione d i n associatio n wit h suc h warrior s a s Huang fu Sun g I S t , a scio n o f th e famou s Ch'iang-fightin g wester n warrior s o f An tin g SCAE . Ts'a o Ts'a o mad e man y association s o f thi s typ e wit h general s an d loca l officials . Th e moder n historia n Wan g Chung-l o I f ^ 1 ^ claim s tha t hi s network s wer e cynicall y planned , a criticis m tha t reflect s th e intellectua l situatio n i n whic h Wan g wrote , whe n man y Chines e historian s wer e reactin g to a propagand a cam paig n b y th e Communist s t o lioniz e Ts'a o Ts'a o a s a mode l o f gifte d leadershi p arisin g fro m humbl e origins . Puttin g asid e moder n cultura l struggles , itsel f an are a of separat e study , we ca n sa y simpl y tha t Ts'a o Ts'a o acte d withi n th e nor m o f hi s time , whe n career s hinge d directl y o n persona l servic e an d loyalties , a fac t ac knowledge d an d practise d b y bot h rough-and-read y militar y me n an d court-ori ente d "pure " officials. 4 Writin g in th e 1950s , unde r th e pressur e o f Marxis t though t an d it s clai m o f perfectl y rationalize d politica l power , Wan g ma y no t hav e felt fre e to trea t openl y th e quit e normativ e rol e o f persona l loyalt y in th e configuratio n o f powe r throughou t Chines e history . In th e sprin g o f 19 6 Ts'a o Ts'a o transferre d th e Easter n Ha n boy-empero r Hsien-t i t o Hsu , an d fo r th e nex t twenty-fiv e year s th e Ts'a o famil y coordinate d thei r militar y an d politica l goal s a s de fact o ruler s o f China . Th e cousin s an d neph ew s — Ts'a o Hung , Ts'a o Chen , Ts'a o Jen , an d Ts'a o Hsi u (se e tabl e 2 ) — wer e especiall y valuabl e to Ts'a o Ts'a o a s musterer s o f troop s an d supplier s o f wealth , as wel l a s discipline d campaig n leaders . Th e plac e occupie d b y Ts'a o Ts'ao' s son s P'i an d Chi h tt (192-232 ) i n hi s overal l politica l plans , however , wa s different . In orde r t o understan d Ts'a o P'i' s roa d to dynasty-founding , we mus t plac e hi m withi n hi s family . We mus t establis h hi s caree r i n relatio n t o othe r Ts'aos . Ts'a o P'i (187-226 ) (style d Tzu-hua n -p^H ) wa s th e so n o f Ts'a o Ts'a o b y hi s consor t Pien. 5 Ts'a o P' i ha d twenty-fiv e brother s (includin g thre e ful l brother s b y Pien , an d twenty-tw o half-brothers) . Onl y hi s full-brothe r Chi h becam e wel l know n i n his tory . A half-brother , Ka n I t , 6 a s wel l a s severa l cousin-adoptees , men 4. Wang , Wei Chin, p. 30-38 . On th e Ts'aos , se e als o Leban , "Ts'a o Ts'ao, " pp . 45-59 . 5. Ts'a o P' i biog . SKC 2, pp . 57-90 ; quote d remark s refe r there , unles s otherwis e stated . On hi s mother , se e SKC 20, p . 597 . 6. Ts'a o Ka n los t hi s mothe r an d wa s raise d b y Ts'a o Ts'ao' s Lad y Wan g Chao- i 3 E Hp fH .

46

TWO : STEP S TOWARD S DYNASTY-FOUNDIN G

tione d below , constitute d a circl e o f clos e sibling s in additio n t o Chih . Whe n P' i wa s abou t seventee n h e too k a s hi s consor t th e Lad y Che n IE , wh o ha d bee n th e consor t o f Yua n Hs i S l ! ^ , Ts'a o Ts'ao' s militar y riva l in th e north , bu t wa s foun d b y P' i in pitifu l circumstance s whe n hi s fathe r conquere d th e Yuans ' stronghol d a t Ye h i n 204. 7 Ts'ao-Family

Tests

of Leadership

Earl y in hi s publi c caree r Ts'a o P' i wa s chose n a s a mao-ts'ai official-in-waiting , bu t coul d no t accep t becaus e th e appointmen t ha d bee n mad e int o a politica l controvers y b y hi s father , wh o wa s ben t o n displayin g impartiality. 8 I n 20 7 h e was mad e a low-ranke d officia l %, b y hi s father, 9 an d give n a highe r quasi-militar y offic e i n 21 I — tha t o f Genera l o f th e Gentleme n o f Househol d fo r All Purpose s (wu-kuan chung-lang chiang^.^ + 6PT] § ). 1 0 In thi s capacit y h e ma y hav e serve d onl y nominall y a s a troo p commander , usin g th e pos t instea d t o for m a proto typ e o f a n heir-apparent' s staff , althoug h hi s fathe r wa s no t ye t eve n a duk e o r kin g in nobl e rank . Severa l detail s concernin g Ts'a o P'i' s generalshi p o f th e Gentleme n o f House hol d fo r Al l Purpose s giv e ou r firs t clu e t o hi s styl e o f leadership . O n on e hand , th e pos t wa s a wa y fo r Ts'a o Ts'a o t o tes t hi s so n b y trainin g hi m a s a militar y administrator . O n th e other , h e wa s offerin g hi s so n th e mean s to for m a literar y court. 11 Ts'a o P' i di d mak e militar y administrativ e decision s i n hi s ne w office : h e appointe d Ku o Hua i $P/f t a s "chie f o f polic e a t th e gate " (men-hsia tsei ts'ao P^ T M i l ), 12 and , a s we se e below , supervise d a broad-rangin g militar y inquest . Bu t -H-P' i wa s fon d o f Kan ; SKC 20 , p . 586 , cit . "Wei-liieh " an d P'ei' s notes . 7. Fa n Yeh , Hou-Han shu (Peking : Chung-hua , 1965 ; hereafter , HHS) 70 , pp . 2271-72 ; an d Liu Ich'ing , Shih-shuo hsin-yii (Yan g Yung , annot. , Shih-shuo hsin-yu chiao-chien [Hon g Kong : Ta-chun g shu-chii , 1969] ; hereafter , SSHY) X X X V / I. Se e Rober t Jo e Cutter , "Th e Deat h o f Empres s Zhen : Fictio n an d Historiograph y in Earl y Medieva l China, " JAOS I 12. 4 (1992) , pp . 577-83 . 8. SK C 2, p . 57 , cit . "Wei-shu. " 9. HHS 27 , p . 950 ; yuan wa s a generi c term , like //' 3£ , for th e wid e stratu m o f lowe r personnel . 10. Se e d e Crespigny , Northern Frontier, pp . 45-53 , fo r th e translatio n o f thi s officia l title . Mos t cour t militar y powe r i n E. Ha n reside d with th e Norther n Arm y statione d in Lo-yan g (se e HHS, pp . 2612-13) , comprise d o f five 800-ma n regiments . The colonel s o f th e regiment s wer e ofte n imperia l clansmen , o r late r in E. Han th e distaf f relatives . On th e othe r hand , th e Gentleme n o f Househol d in Five Unit s comprise d a differen t body . Its personne l wer e commande d b y I ) a Genera l (Ts'a o PT s titl e i n 2 1 I), 2-3 ) General s o f th e lef t an d right , 4) a Rapid-as-Tiger s General , an d 5 ) Feathere d Fores t General . Nos . I -3 wer e chose n locall y b y recommendation , an d tende d t o hav e civilia n missions . The troop s wer e largel y ceremonial , engagin g in palac e security , offices , park s an d tombs , etc. , an d staffe d b y youn g me n awaitin g first appointmen t to civi l offic e wh o coul d ac t as gat e keeper s an d escort s o f th e imperia l family . The conscript s wer e subordinat e to th e Commandan t o f Guard s (on e o f th e Nin e Ministers ) (se e HHS, pp . 3579-81) . I I. Se e SSHY 11/10 ; trans . Richar d Mather , Shih-shuo Hsin-yu: New Account of Tales of the World: Shih-shuo Hsin-yii by Liu l-ch'ing, with Commentary by Liu Chiin (Minneapolis : U. Minnesot a P. , 1976 ; hereafter , SSHY/M), p . 34 , whic h quote s "Tie n liieh " to th e effec t tha t Ts'a o Ts'a o considere d formatio n o f a literar y colleg e as on e reaso n to hav e mad e hi s so n Genera l of th e Gentlemen . In fact , Su Lin (chap . 6, below) , wa s mad e Literatu s X ^ o f th e wu-kuan chiang in mid-Chien-an , conceiv abl y post-2 1 I (SKC 21 , p . 621 , cit . "Wei-liieh") . As heir-apparent , sometim e afte r 21 7 (th e mentio n of th e "plague " is a terminus) , Ts'a o P' i wa s grief-stricke n ove r th e death s o f severa l o f his literar y friend s an d suggeste d th e compilatio n o f "Tien-lun. " We lear n als o o f symposium s tha t Ts'a o P' i convene d amon g his scholar s (SKC 2, p . 88 , cit . "Wei-shu") . 12. Ku o wa s transferre d t o Forema n Cler k i n th e Chancellor' s Burea u o f Arms ; h e wa s sen t o n th e campaig n of 21 6 agains t Chan g Lu. SKC 26, p . 733 . He neve r ros e pas t th e ran k 1 o f "major " (ssu-ma &} P i ) an d seem s no t to hav e bee n a militar y commander .

47

TS'A O P' I AN D POLITICA L CULTUR E

militar y matter s wer e onl y a smal l par t o f Ts'a o P'i' s agenda . Ts'a o PT s compositio

n o n literatur e title d "Tien-lun " ftfra (writte n abou t 217)

13

say s a t on e point , " I learne d archer y a t fiv e an d a t si x I mastere d it ; an d the y als o taugh t m e riding . At eigh t I wa s abl e t o shoo t fro m horseback." item s ar e standar

d trope s i n socia l biography

14

Althoug h suc h

, w e d o no t hav e t o rul e ou t th e

claims : h e probabl y di d lear n ho w t o rid e an d shoo t whe n h e wa s a boy . Bu t literar y activitie s wer e jus t a s important . H e an d hi s brother s wer e ordere d b y Ts'a o Ts'a o t o hono r Tsun g Shih-li n ^ t ^ W a s thei r scholarl y master, wen t o n t o writ e abou t belles

lettres,

sponso

15

an d P' i

r literar y activity , an d compos e hi s

ow n verses , a s hi s fathe r ha d done . H e ostentatiousl

y admire d others ' writin g

skills , an d onc e issue d a directiv e t o rewar d anyon e wh o woul d sen d t o th e cour t an exampl e o f K'un g Jung' s JLra i writing.

16

Later , Ts'a o P'i' s speeche

inventiv e an d skille d i n thei r literar y references

s woul d b e

, drawin g i n par t o n hi s ow n read -

ing s o f classica l text s an d allusions , a s wel l a s upo n newl y fashionabl

e texts .

Befor e 22 0 Ts'a o P' i seem s no t t o hav e bee n involve d i n militar y campaigns ma y b e tha t h e wa s no t considere

enough : th e source s d o no t explain . H e wa s dissuade t o punis h [allie s o f th e rebel s T'ie n Yin g an d S u Po]."

d fro m "goin g ou t i n perso n 17

Furthermore

, i n abou t 204 -

05 an d agai n i n abou t 217-1 9 h e wa s lef t a t Ts'a o Ts'ao' s headquarter supervisio n o f a n olde r general. o f heirs-apparen

18

. It

d skille d enough , or , befor e abou t 210 , ol d

s unde r th e

Thi s ma y hav e bee n a traditiona l sor t o f postin g

t a t th e hom e bas e durin g thei r fathers ' militar y expeditions

. But ,

movin g t o a late r tim e i n hi s life , w e se e tha t earl y i n 222 , a s emperor , Ts'a o P' i "sen t [troops ] o n a n easter n campaig n (agains t W u ) , " ye t apparentl wit h them . I n th e winte r o f 222-2 3 h e campaigne

d southwar

stoppin g a t W a n , i n sout h centra l Chin a (Ju-na n commandery)

y di d no t g o

d fro m Hsu-ch'ang

,

. Bu t th e nex t mont h

h e issue d fro m W a n a n edic t deplorin g th e number s o f wa r dead , an d wit h "grie f in mournin g [fo r Ts'a o Ts'ao]. " H e the n ha d a "platfor m t o commemorat souther n campaign

" erecte d there."

ceremonie s a t th e Hsu-ch'an sonall y commande

19

O n a late r "campaign

e th e

" Wen-t i stoppe d fo r

g palace s and , havin g reache d a souther n point , "per -

d a war-jun k fo r th e benefi t o f th e navy " an d mad e large-scal

pardon s i n th e area s h e visited.

20

e

I n 223 , h e sen t ou t hi s general s t o defea t th e

rebe l T'an g Tz u 0 T § . 2 1 It wa s commo n i n earl y Chin a fo r militar y campaign

s t o b e imbue d wit h rituals .

Ts'a o P' i seem s t o hav e bee n wel l verse d i n the m an d committe d t o thei r perfor 13. Se e chap . 7 , n . 68 . 14. Lu Pi, San kuo chih chi-chieh (rpt . Taipei : Hsin-we n feng , 1975 ; hereafter , SKCCC) 2 , p. lb , cit . "Tien-lun " pref . 15. SSHYV/ 1. 16. HHS 70, p . 1279 . He als o attende d th e funera l o f Wan g Ts'an , a famou s literar y functionar y in th e mobil e cour t o f Ts'a o Ts'ao ; Wan g wa s a musician , poet , correcto r o f offic e ritual s an d regula tions , legist , an d exper t in cour t song s an d dance s (SSHY XVIi/1). Se e Miao , "Wan g Chung-hsuan. " 17. Spoke n b y Ch'an g Lin ^ ^ i n the contex t o f militar y strateg y (SKC 23 , p . 659) . 18. "Whe n Tai-ts u (Ts'a o Ts'ao ) attacke d Ping-cho u h e lef t [Ts'a o Chih' s wife' s uncle ] Ts'u i Ye n Hlj £ t o suppor t Wen-t i (P'i ) a t Yeh . Whe n th e Ts'a o me n starte d t o g o ou t hunting , an d change d al l thei r equipage.. . Ts'u i criticize d them..." ; SKC 12 , p. 368 . Fo r th e late r event , se e SKC 14 , p. 429 , cit . "Wei-shu. " Ts'u i wen t o n to b e a supporte r o f Ts'a o P'i' s clai m fo r th e heir-apparenc y to th e kingship . 19. SKC 2, p . 82 . 20 . SKC 2, p . 8 4 21 . SKC 28 , p . 774 .

48

TWO : STEP S TOWARD S DYNASTY-FOUNDIN G

mance . I n mid-summe

r o f 220 , jus t befor e th e discussion

began , h e directe d th e hua-kai

¥ M ritua

s o f dynasty-foundin

l a t th e Easter n Subur b sit e i n Lo-yang.

He continue d i t wit h a tour , feastin g i n Ch'iao , an d dispensin veterans ' families . O n anothe r occasion

g mortuar y gift s t o

, "jus t a s th e grea t [bod y of ] troop s wa s

se t t o mov e out , [th e empero r Ts'a o P'i ] sen t th e Gran d Maste r o f Ceremonial t o mak e a n announcement-sacrific

g 22

e a t th e Suburba n Templ e wit h a specia l ox."

s 23

Thi s evidenc e abou t Ts'a o PT s militar y activitie s suggest s tha t hi s chie f concer n wa s wit h th e publi c ritual s relate d t o battl e an d th e military . Suc h a n interpreta tio n i s onl y suggestive

-

. Othe r facts , however , also fi t th e pattern . W h e n Ts'a o

Ts'a o wa s mad e kin g o f W e i i n th e summe r o f 21 6 h e hesitate d unti l th e winte r o f 21 7 t o decid e o n hi s heir-apparent

. Th e source s sho w tha t h e initiall y ma y hav e

preferre d Ts'a o Chih , wh o cultivate d loya l friend s amon g th e mos t abl e general s an d eve n proclaime d hi s ow n martia l zeal . Chi h di d no t shrin k fro m test s o f valor . Thi s i s see n i n th e inciden t a t th e Major' s Gat e (date d perhap s t o 217 , presumabl befor e th e decisio n o n th e heir-apparent)

. Thi s wa s a n opportunit

y

y fo r Ts'a o

Ts'a o t o tes t hi s tw o sons . H e ordere d eac h o f the m t o g o ou t o f Ye h throug h th e appropriat e militar y gate s bu t secretl y ha d th e gate s barre d beforehand

. Chi h

fough t hi s wa y through , bu t P' i pulle d u p shor t an d returned . Ts'a o Ts'a o late r use d Chih' s abus e o f powe r i n tha t incident , an d othe r matters , i n orde r t o rejec t hi m a s successor.

24

Th e inciden t thu s seem s t o hav e bee n a tes t o f prope r obedi -

enc e t o militar y regulation

s a s oppose d t o militar y brashness

.

Anothe r fac t concern s W e i Feng' s I IM plo t o f 21 9 agains t Ts'a o Ts'ao.

25

Whe n

Wei' s cliqu e planne d t o tak e powe r i n Yeh , Ts'a o Ts'a o crushe d the m perempto rily . H e the n ha d Ts'a o P' i orde r numerou

s executions

-

, seekin g ou t eve n thos e

associate d b y implication . Th e victim s include d son s o f belove d writer s an d cour t figures . Chi h an d hi s friend s cam e unde r a politica l clou d afte r th e W e i revolt , bu t P' i had , o n th e contrary , passe d a difficul t tes t i n militar y justice . Suc h test s reflecte d a cultura l tensio n betwee n fightin g an d refinement . Ts'a o Ts'a o ha d bee n th e mos t charismati c figur e i n th e north . H e wa s victoriou s i n numerou s battles , bu t als o share d belles lettres an d idea s wit h th e literar y win g o f th e falle n cour t o f Ching-chou . Th e militar y Ts'ao-famil y nephew s an d cousin s ar e no t know n t o hav e take n u p literatur e an d ideas . I t fel l upo n on e o f th e principa l son s t o b e al l thing s t o al l people , a s Ts'a o Ts'a o ha d been . Bot h son s ha d militar y supporter s an d allies, 26 bu t neithe r ha d take n charg e o f armie s i n Ts'ao' s lifetime . Chi h ha d transgresse d th e militar y cod e i n 21 7 an d faile d t o tak e o n a certai n 22 . O n thes e rites , se e chapte r 6 , n . 38 . 23 . SKC 2 , p . 83 , cit . "Wei-shu" ; P'ei' s comment s her e giv e evidenc e o f We i militar y culture : "Fro m a memoria l concernin g We i suburba n sacrifices , [we rea d that ] maste r o f writin g Lu Yii jSif i gav e opinion s abou t sacrifice s [t o war d off ] disastrou s events : 'Prepar e th e sacrificia l animal s an d th e utensils , like th e announcemen t ceremonie s fo r va n an d rea r troo p departures.'Judgin g fro m this , it woul d see m tha t whe n th e We i hous e sen t ou t it s armie s the y woul d mak e announcement-sacrific e [at th e Suburba n Temple]. " 24 . Se e Rober t Jo e Cutter , "Th e Inciden t a t th e Gate : Ca o Zhi , th e Succession , an d Liter ar y Fame, " TP7 I (1985) , pp . 228-62 . 25 . Se e n . 68 , below . 26 . Ts'a o P' i ha d als o bee n a clos e frien d o f Hsia-ho u Shan g (SKC 9, p . 293 , an d cit . "Wei shu, " p . 294 ) an d Hsia-ho u Tun , whos e funera l a t th e E . Wal l Gat e o f Ye h h e attende d i n coars e garb .

49

TS'AO P' I AN D POLITICA L CULTUR E

militar y missio n in 2I9, 2 7 wherea s P' i wa s a goo d militar y administrator , dispense r of justic e a t hi s father' s orders , an d a leade r o f ritual . Mos t important , P' i ha d mad e grea t stride s a s a write r an d hea d o f a literar y court . Also , a s w e se e in followin g chapters , Ts'a o P'i' s inventiv e emulation s o f Yao an d Shun , an d hi s imag e as transcenden t refuser , fit th e classica l notio n o f th e sage-empero r a s bein g un suite d to th e violenc e o f th e battlefield . Thus , Ts'a o P'i' s lac k o f comman d experi enc e an d hi s involvemen t wit h ritua l administratio n ma y hav e simpl y bee n par t o f his long-planne d imperia l legitimacy . Ts'a o Ts'ao' s son s wer e bein g traine d t o succee d in authority , valor , an d politi ca l an d intellectua l cultur e b y a fathe r wh o ha d le d i n thos e areas . Thi s wa s a difficul t assignment . Ts'a o P' i wo n th e test , ye t continue d t o advertis e hi s ow n martia l valo r an d co w hi s militar y critics , a s we se e in th e document s o f Part s 2 an d 3 . On e suc h critic , o f course , wa s Ts'a o Chih , som e o f whos e work s ca n b e rea d a s ridicul e o f hi s brother' s lac k o f martia l spirit . Hi s voice , however , wa s nowher e apparen t durin g th e dynasti c discussion s o f 220. 28 The Fighting

Contingent

of the Ts'aos

Th e Ts'a o cousin s an d nephew s wer e generall y roug h an d read y fighters . A numbe r o f the m wer e adoptee s an d treate d wel l i n term s o f militar y office s an d titles . Ts'a o Je n t (168-223 ; se e tabl e 2, no . 4) appear s to hav e bee n th e eldes t — a cousi n o f Ts'a o Ts'ao . His grandfathe r wa s Ts'a o Pa o 31 , a Gran d Administrato r of Ying-ch'uan , an d hi s fathe r wa s Ts'a o Chi h JH , onc e a Palac e Serve r an d Com mandan t o f Ch'ang-shui , whic h wa s a regimenta l uni t (Ch'ang-shu i ying fl:7K1f) a t Lo-yan g an d par t o f th e centra l militar y syste m o f Easter n Han . Je n fough t along sid e numerou s fighter s whos e name s w e se e late r a s signer s o f th e Ts'ao-We i dynasti c stele , an d his ow n so n Ts'a o T'a i i§ fough t with hi m in battl e agains t Wu. 2 9 Ther e i s n o indicatio n tha t Ts'a o Je n himsel f serve d i n Lo-yan g in an y kin d o f palac e capacity , o r i n office s o f ritual , documents , o r censorshi p an d policy . Men tio n o f hi s on e pos t a s Gran d Administrato r yield s n o details ; h e ha d n o othe r loca l posts , no r hig h inner-cour t posts . He fough t i n campaign s wit h severa l me n whos e name s we encounte r i n th e dynasty-foundin g documents . Ts'a o Ch'u n j$L (170-7 2 t o 210) , Ts'a o Jen' s younge r brother , live d separatel y fro m Je n afte r thei r father' s deat h an d care d fo r th e family' s ric h an d powerfu l estate . Althoug h Je n is no t mentione d i n th e contex t o f scholarship , Ch'u n wa s know n t o hav e attracte d t o hi s local e a numbe r o f scholar s an d wa s himsel f ap pointe d Gentlema n a t th e Yello w Gate , a civilia n cade t post . Whe n Ch'u n wa s twent y h e wen t wit h Ts'a o Ts'a o o n campaig n in Hsiang- i I E , an d wa s o n man y other s thereafter . H e wa s ennoble d an d recognize d fo r militar y merit , especiall y victorie s ove r th e Hsiung-n u an d Liu Pei . He returne d t o Ch'iao , an d die d ther e shortl y afterwards .

27 . SKC 19 , pp . 558 , 56 1 (cit . "Wei-shi h ch'un-ch'iu") ; TCTC/F I , p . 23 ; an d Cutter , "Inci dent, " pp . 234-38 . 28 . Ibid . 29 . Se e TCTC/F I , pp . 135-36 ; hi s biog . is at SKC 9, pp . 274-77 . Se e below , chap . I I, fo r detail s o f hi s militar y career .

50

TWO: STEP S TOWARD S DYNASTY-FOUNDIN G

Ts'a o Jen' s branc h o f th e famil y wa s wealth y an d i n charg e o f "hundred s o f servant s an d guests, " whic h woul d hav e include d privat e troop s (pu-ch'u). Con nection s t o th e Ying-ch'ua n regio n mos t likel y existe d throug h Ts'a o Pao , th e grandfather. 30 Bu t i t wa s th e Ts'a o home-regio n tha t remaine d a resource : Je n "wen t bac k t o th e P'e i locale " afte r a militar y campaign . Bot h Je n an d Ch'u n re ceive d nobl e title s an d rewards , tw o o f Jen' s comin g befor e 220 ; an d thei r son s an d grandson s inherite d these . Ts'a o Je n in particula r wa s mad e hei r to hi s father' s posthumou s nobl e title , an d h e wa s give n th e righ t t o "te n familie s fo r tumulu s maintenance." 31 He wa s on e o f th e grou p tha t exhorte d Ts'a o Ts'a o in 21 3 t o tak e th e dukeshi p an d wa s give n posthumou s service s in Ts'a o Ts'ao' s templ e i n 233. 32 Anothe r cousi n o f Ts'a o Ts'a o wa s Ts'a o Hun g /£ (d . 232) , whos e uncl e Ts'a o Ting £k ha d bee n hea d o f th e Master s o f Writin g an d personall y appointe d Hun g as headma n o f Ch'an-ch'u n j ^ # . 3 3 Hung' s househol d wa s considere d wealthy , an d elicite d env y fro m Ts'a o P' i in particular, 34 wh o i n 22 6 ha d Hun g incarcerate d fo r eventua l execution . Bu t Hun g wa s spare d b y th e empress , an d Ts'a o P' i merel y "strippe d hi m o f titl e an d lands." 35 Ts'a o Hsi u fr (d . 228 ) wa s a n adopte d nephew. 36 Hi s grandfathe r ha d bee n a Gran d Commandan t o f Wu commandery . Thi s seem s to hav e helpe d Hsiu' s late r career , sinc e hi s militar y campaign s an d office s wer e almos t al l oriente d towar d th e south . Hsi u wa s orphane d a t abou t th e ag e o f eleven , an d Ts'a o Ts'a o too k him in to liv e wit h Ts'a o P'i , "treatin g [him ] a s a son. " Hsi u wa s late r considere d a Ts'ao-famil y membe r an d a recipien t o f thei r privileges. 37 A s a yout h h e is sai d to hav e ha d prowes s i n huntin g an d wa s sen t b y Ts'a o Ts'a o t o b e Chie f Comman dan t o f Cavalr y (chi tu-wei I f t P M ) t o assis t Ts'a o Hun g i n a campaign . Thi s signal s th e beginnin g o f hi s militar y caree r a s campaig n general , and , lik e othe r Ts'aos , ofte n wa s associate d o n thos e campaign s wit h general s whos e names , a s we see , ar e relevan t t o Ts'a o P'i' s accessio n an d legitimation . Th e cres t o f Ts'a o Hsiu' s politica l caree r seem s t o hav e occurre d jus t befor e his death , beginnin g a t th e tim e o f Ts'a o P'i' s fina l illnes s in th e sprin g o f 226 . H e wa s asked , alon g wit h Ch'e n Ch'iin , Ts'a o Chen , an d Ssu-m a I , t o receiv e th e emperor' s deathbe d instructions , and , with th e others , wa s grante d privilege s t o develo p loca l administration s (k'ai fu fpfljft). 38 Ming-t i (Ts'a o Jui) , upo n accessio n in 226 , awarde d hi m th e nobl e titl e Ch'ang-p'in g hou ft T i lt an d later , in Januar y 227 , h e advance d Hsiu' s fie f t o 2,50 0 income-households . Th e nex t yea r Ts'a o Hsi u wa s sen t ou t wit h Ssu-m a I to campaig n agains t Su n Ch'uan . At thi s tim e h e wa s advance d t o b e General-in-Chief , i n comman d o f join t armies . H e ha d no t bee n amon g th e exhorter s o f Ts'a o Ts'a o i n 213 , bu t i n 24 3 h e wa s honore d posthumousl y i n Ts'a o Ts'ao' s templ e alon g wit h Ts'ao-famil y general s an d thei r 30 . Se e Wang , Wei Chin, p. 30 . 31 . SKC 9, p . 276 . 32 . SKC I , p . 99 . 33 . SKC 9, p . 278 , cit . "Wei-shu" ; biog . at SKC 9, pp . 277-78 . Se e als o chap . I I. 34 . Se e biog. ; als o TCTC/F I , pp . 210-11 . 35 . Biog. ; als o TCTC/F I , pp . 200-1 . 36 . Biog . SKC 9, pp . 279-80 . Se e als o chap . 11 . 37. Se e th e cour t disput e wit h Chi a K'uei , whe n Hsi u wa s give n a typ e o f waive r fro m lega l charge s becaus e "h e wa s a n importan t representativ e o f th e roya l house" ; SKC 15 , p . 483 , cit . "We i lueh " an d "We i shu" ; als o TCTC/F I , pp . 282-83 . 38 . SKC 2, p . 86 ; 22 , p . 635 .

51

TS'AO P' I AN D POLITICA L CULTUR E

allie s (fo r example , Hsia-ho u Shang , Hua n Chieh , Ch'e n Ch'iin , Chun g Yu , an d other s who m w e mee t late r on). 39 Ts'a o Hsiu' s elde r so n Inherite d hi s titles. 40 As a youn g orphan , Ts'a o Che n H (d . 231) , anothe r adopte d nephe w o f Ts'a o Ts'ao , wa s brough t to liv e wit h Ts'a o P'i. 41 He wa s a militar y man , associate d wit h suc h general s a s Hsia-ho u Shan g an d Ssu-m a I. H e wa s know n fo r empath y to ward s militar y subordinates : he supplemente d thei r reward s ou t o f hi s own pocket , an d share d campaig n livin g conditions . Onl y towar d th e en d o f hi s life di d Ts'a o Che n receiv e on e o r tw o civilian-typ e offices , seemingl y ceremonial , a s wel l a s relativel y highe r nobl e ranks . Thi s lesser-know n Ts'ao , a ma n wit h littl e t o spea k of i n th e wa y o f career , fathere d th e dynasty' s onl y figur e stron g enoug h t o at temp t oppositio n t o Ssu-m a I — hi s sixt h so n Ts'a o Shuan g ^ (d . 249) . As a youn g ma n Ts'a o Shuan g ha d bee n a favorit e in th e extende d family : h e wa s a clos e frien d o f P'i' s so n Ts'a o Ju i jR , wh o becam e th e empero r Min g in 226. 42 Shuang' s caree r wa s mostl y o f a militar y type , bu t w e kno w nothin g abou t i t befor e th e late-230s . I n 23 8 h e an d severa l Ts'a o an d Hsia-ho u me n wer e ap pointe d t o overse e th e thron e b y th e ailin g Ming-ti. 43 I n 24 0 h e an d tw o o f hi s brother s forme d a cliqu e unde r th e umbrell a o f th e throne , bu t essentiall y i n oppositio n t o Ssu-m a I . I n tha t yea r Ts'a o Shuan g wa s mad e General-in-chief , Investigato r o f Join t Capita l Armies , an d oversa w th e Master s o f Writing . Thi s wa s th e beginnin g o f a proces s o f interna l militar y takeover . A t som e poin t h e appropriate d specia l weapon s fro m th e imperia l store s an d in 243-4 4 le d a majo r campaig n agains t Shu , accompanyin g th e driv e a t leas t a s far a s Ch'ang-an . Thre e o f hi s brother s wer e give n hig h militar y office s whe n Shuan g bega n hi s rise . Othe r brother s wer e give n militar y title s o f nobility , alon g with thei r relativ e Hsia-ho u Hsua n ] £ . 4 4 Ts'a o Shuan g wa s execute d afte r a violen t confrontatio n with Ssu-m a I in th e fal l o f 249 , a n even t muc h recounte d i n Chines e history . Mos t likel y h e wa s to o youn g to hav e figure d in th e 22 0 A.D. discussion s o f dynasti c found ing : becaus e h e wa s clos e to Ts'a o P'i' s son , he wa s probabl y bor n aroun d 210 . The Ssu-mas:

A Moment of Withdrawal

Ssu-m a I (179-251 ) i s usuall y mentione d a s th e progenito r o f th e Chi n dynast y (266-419) , th e firs t monarc h o f whic h wa s hi s grandso n Ssu-m a Ye n ik (236 290). 4 5 Bu t w e hav e othe r fact s tha t allo w u s to characteriz e th e family' s earl y strategie s an d career s mor e closely . Ssu-m a I wa s th e secon d o f th e eigh t son s o f Ssu-m a Fan g ffi (149-219) . I n abou t 188 , Fan g wa s Inspectin g Censo r i n Charg e o f Document s unde r Tun g Ch o i f - ^ , an d wa s a t differen t time s Mayo r o f Lo-yan g an d Ching-cha o (th e wester n 39 . SK C 4, p . 12 0 40 . SKC 9, p . 280 ; an d als o cit . "Wen-shi h chuan, " o n Hsiu' s grandson . 41 . Biog . SKC 9, pp . 280-82 . His fathe r ha d protecte d Ts'a o Ts'ao , an d th e orphan' s surnam e Ch'i n $X wa s changed . 42 . Biog . SKC 2 , pp . 282-92 . 43 . SKC 3, pp . I 13 (cit . "Ha n Chi n ch'un-ch'iu") , 114 , I 17 ; an d TCTC/F I , pp . 582-83 . 44 . SKC 9, p . 295 ; 9, p . 273 , cit . "Wei-lueh. " 45 . Se e tabl e I , no . 20 ; Ssu-m a I biog . in CS I, pp . I -22 ; quote d remark s refe r there , unles s otherwis e stated .

52

TWO : STEP S TOWARD S DYNASTY-FOUNDIN G

imperia l capita l o f Ch'ang-an) . Toward s th e en d o f hi s caree r h e wa s a n aid e t o Ts'a o Ts'a o i n battle, 46 an d wa s appointe d Chie f Commandan t o f Cavalry. 47 Ssu ma I's elde r brothe r Lan g $ft (171-217 ) wa s mentione d a s bein g amon g th e smal l numbe r o f me n wh o coul d b e calle d upo n t o serv e a s hig h official s i n th e newl y establishe d Hsu-ch'an g capital. 48 Lan g campaigne d wit h Hsia-ho u Tu n an d Ts'an g Pa (tabl e 2 , no . 14) , an d wa s sai d to hav e administere d medica l car e t o disease ridde n troops. 49 Late r on , hi s so n I }fi wa s ennoble d Ch'ang-w u H S t t'ing-hou unde r Ming-ti , a title inherite d b y hi s nephe w Wang . Fro m extan t remarks , we kno w tha t th e Ssu-m a forbear s ha d bee n leader s in an d aroun d thei r nativ e are a o f Ho-ne i /RTI^ ] commandery , jus t nort h o f Ho-na n an d Ying-ch'uan . A descendant , Ssu-m a Pia o M , mentione d i n hi s accoun t o f th e famil y tha t thei r member s hel d th e pos t o f Ying-ch'ua n Gran d Commandant. 50 Moreover , Ssu-m a Fan g an d Lan g ar e sai d t o hav e recoupe d thei r family' s re source s in Ho-ne i durin g Tun g Cho' s regime , a s wel l a s durin g Ts'a o Ts'ao' s cam paig n ther e agains t Lu Pu. 51 If we pu t asid e th e legitimizin g genealog y invente d afte r th e Ssu-ma s becam e th e Chi n imperia l family , the n w e clearl y ar e dealin g wit h loca l magnate s wh o ha d com e int o stat e servic e durin g th e Ha n a s gran d administrators , mayors , an d gen erals . The y apparentl y ha d no t bee n critica l militar y figure s o r famou s scholar official s o f th e "pure " clique s — thos e anti-eunuc h literar y me n wh o wer e martyre d durin g th e tang-ku proscriptions . Th e famil y wa s grante d land s in Ho-nei , Wen hsie n S H , purportedl y a t th e ver y beginnin g o f Han , bu t whethe r o r no t tha t datin g is correct , w e kno w tha t throughou t th e las t severa l decade s o f Easter n Han the y base d thei r hom e ther e an d derive d powe r b y raisin g troop s an d main tainin g alliances . The y establishe d marriag e tie s wit h severa l powerfu l norther n families , for example , th e Ying-ch'ua n Hsuns , som e o f who m late r woul d refus e to tende r loyalt y t o Ts'a o Ts'ao , a stanc e in paralle l wit h tha t o f th e Ssu-mas. 52 In 22 0 Ssu-m a I wa s b y n o mean s th e mos t powerfu l figur e in nationa l politics . A laye r o f Ts'a o me n an d thei r allies , particularl y th e Hsia-hous , cam e betwee n hi m an d th e highes t post s an d counsels . Th e politica l ris e o f Ssu-m a I occurre d mostl y afte r 240 , an d at th e tim e o f hi s successfu l cou p in 24 9 h e woul d alread y b e regen t to th e throne , wit h contro l o f imperia l troops , supplies , an d garrisons . In 22 0 h e did , however , posses s militar y skill s an d coul d clai m militar y successes . He i s men tione d i n connectio n wit h a grea t numbe r o f campaigns , specificall y a s havin g ac companie d troop s an d inmplemente d strateg y an d techniques . H e sa w actio n in , fo r example , Yeh , Hsu , Wan 5 5 (th e urba n cente r o f Nan-yan g Wi^ ) , Liao-tun g M S i n th e fa r northeast , Shou-ch'u n M #, an d Ch'ang-an . He helpe d Ts'a o Ts'a o in on e o f th e anti-Chan g L u campaigns 53 — th e onl y evidenc e o f hi s rol e i n a court-sponsore d campaig n prio r t o 220 . An d finally , h e wa s a nava l tacticia n an d

53

46 . SKC I, p . 49, cit . "Ts'ao-ma n chuan. " 47 . SKC 15 , p. 466 . 48 . HHS 80B , p . 2653 . 49 . Ibid . 50 . SKC 15 , p. 466 , cit . Piao' s "Hsii-chuan. " 51 . SKC 15 , p . 467 . 52 . Hsii n K'a i ^ 5 ts wa s Ssu-m a I's materna l grandson ; SKC 27 , p . 742 , cit . "Chi n shu. " Se e Wang , Wei Chin, pp . 134-35 . 53 . Se e CS I, p . 2 (unclea r whethe r th e 21 0 o r 215-1 6 campaign) . On campaigns , se e als o CS 13 , p . 362 , 389 ; an d SKC 9, p . 282 .

TS'AO P' I AN D POLITICA L CULTUR E

strategi c engineer.

54

Like th e militar y sid e o f hi s career , Ssu-m a I' s bureaucrati c appointment s an d nobl e reward s becam e remarkabl e onl y afte r Ts'a o P' i wa s mad e emperor , bu t especiall y afte r Ts'a o P'i' s deat h an d durin g th e reig n o f Ming-ti . Hi s firs t officia l pos t wa s a s a cler k in Ts'a o Ts'ao' s armies , probabl y betwee n abou t 20 5 an d 208 , whe n i n fac t Ts'a o P' i wa s a similarl y place d clerk. 55 I n abou t 21 4 h e wa s pro mote d t o Ts'a o PT s persona l staf f afte r Ts'a o Ts'a o ha d bee n mad e duk e o f Wei . Whe n Ts'a o P' i becam e kin g in 220 , h e wa s promote d an d ennoble d a s Ho-chi n }pj}$ t'ing-hou. Whe n Ts'a o P' i becam e We i Wen-ti , Ssu-m a I wa s give n impor tan t military-civi l post s an d wa s raise d in nobl e ran k t o An-ku o S H hsiang-hou; thes e title s wer e advance d in 22 5 an d 237 , an d increase s mad e in th e numbe r o f 56 income-households. I n 22 6 th e dyin g Ts'a o P' i mad e Ssu-m a regen t alon g wit h tw o Ts'ao-famil y general s an d Ch'e n Ch'iin , an d durin g Ming-ti' s reig n Ssu-m a I accomplishe d hi s majo r militar y victories. 57 B y th e 240s , h e wa s caugh t in a bitte r struggl e wit h co-regen t Ts'a o Shuang . In 24 9 Ssu-m a I triumphe d ove r Shuang' s politica l grou p throug h carefu l militar y deployment s an d strategies. 58 Hi s statu s becam e s o weight y unde r late r Ts'a o rulers , ove r who m h e an d hi s son s wer e exercisin g increasin g authority , tha t i n 25 0 h e wa s proffere d th e Nin e Gift s o f dukeshi p (se e th e preaccessio n steps , below) , whic h h e ceremoniousl y refused. 59 He wa s canonize d in th e Chi n dynasty' s pantheon : as Chi n Hsuan-t i 4 ^ , a s coad juto r o f heave n (t'ieri) in th e imperia l temple , an d in 27 6 a s Chi n Kao-ts u SSlfi . Th e politica l strategie s o f th e Ts'a o an d Ssu-m a families , a t firs t joined , wer e late r divergent . Th e Ho-nei , Ying-ch'uan , an d Ch'ia o locale s wov e th e Ts'ao s an d

54. Thi s is base d o n fact s fro m hi s post-22 0 career . In 22 8 an d 23 1 h e directe d Ha n Rive r opera tion s agains t Wu (SKC 17 , p. 526 ; TCTC/F I , p . 287) . He commande d th e strategi c Lo-yan g floatin g bridg e durin g hi s cou p d'eta t i n 24 9 (SKC 9, p . 286 , an d 291 , cit . P'ei' s notes) . In 23 8 h e undertoo k a campaig n vs . Kung-su n Yua n in Liao-tung , wher e h e ha d artificia l hills , tunnels , an d militar y equip men t mad e (TCTC/F I , p . 574) , an d wa s give n contro l o f militar y personne l an d supplie s in Lo-yan g in 24 0 (SKC 9 , p . 286 , an d 287 , cit . "Shih-yu" ; an d 9 , p . 288 , cit . "We i m o chuan") . He onc e peti tione d th e thron e t o transfe r household s to wester n area s in orde r t o improv e militar y supplie s (CS 16, p.785) . 55 . I n 20 8 Ssu-m a wa s mad e wen-hsueh yuan, tha t is , a drafte r an d discussan t o f a variet y o f document s (letters , orders) ; se e d e Crespigny , trans. , The Last of the Han: Being the Chronicle of the Years 181-220 A.D. as Recorded in Chapters 58-64 of the Tzu-chih t'ung-chien of Ssu-ma Kuang, Centr e o f Orienta l Studie s 9 (Canberra : Australia n Natl . U. , 1969 ; hereafter , TCTC/deQ, p . 254 . Nex t h e wa s promote d t o gentlema n o f th e Yello w Gate , a commo n honorar y pos t fo r youn g me n o f eminen t families . 56. Se e S/CCCC2 , p . 21 a [84a] , for problem s concernin g th e chronolog y o f hi s officia l titles . Tha t of Palac e Assistan t Secretary-Investigatin g th e Army , a s give n in documen t I I (se e chap . 6), is prob abl y incorrect ; it wa s probabl y awarde d afte r th e We i founding . In 22 1 h e wa s mad e Palac e Atten dan t an d Superviso r o f th e Righ t o f Master s o f Writing , bu t fro m abou t 22 4 t o 24 0 h e wa s invariabl y awarde d wit h militar y post s (se e als o CS 24, p . 729) . E.g. , whe n Ts'a o Che n (tabl e 2 , no . I I) die d in 231 , h e too k ove r a s General-in-chief , Pacifie r o f th e Armies , an d wa s mad e Gran d Commandan t in 235 . In 240 , a s co-regen t h e wa s give n th e hig h honorifi c o f Gran d Tutor . I n 249 , afte r th e coup , h e decline d Chancellorshi p (se e als o C S I, p . 18 , an d TCTC/F 2, p . 60) . 57 . In 23 4 h e petitione d th e unwillin g Wei cour t to figh t Chu-k o Liang , an d Hsi n P' i (se e tabl e I , no . 9) wa s sen t to hol d hi m in check ; SKC 3, p . 103 , cit . "Hsien-t i chuan" ; CS I, p . 8. Cf. SSHY/M V/5,p . 149 . 58 . A precis e accoun t is give n in Car l Leban , "Accessio n o f Ssu-m a Yen , A.D. 265 : Legitima tion b y Ritua l Replication, " unpub . paper , i n Dull , ed. , "Legitimatio n o f Chines e Imperia l Regimes. " 59 . TCTC/F2, p . 38 ; CS I, p . 19 .

54

TWO : STEP S TOWARD S DYNASTY-FOUNDIN G

Ssu-ma s together ; an d th e Ssu-ma s ha d bee n associate d wit h numerou s Ts'a o allies . Also , bot h familie s ha d ha d ancestor s i n th e offic e o f Ying-ch'ua n Gran d Commandant , an d fro m abou t 20 5 t o 20 8 bot h Ssu-m a I an d Ts'a o P' i ma y hav e bee n colleague s o n Ts'a o Ts'ao' s staff . Bu t Ssu-m a I's caree r subside d durin g th e tim e o f th e Ts'ao-We i founding . Althoug h Ssu-m a I wa s olde r tha n Ts'a o P'i , an d fro m a famil y wit h equall y powerfu l underpinnings , h e an d hi s famil y di d no t com pet e fo r nationa l leadershi p fro m 21 6 t o 220 . B y 214 Ssu-m a I wa s subordinat e t o Ts'a o P' i a t court . H e receive d expecte d nobl e title s onl y whe n Ts'a o P' i becam e king , an d the n emperor , whil e Ts'a o P' i use d hi m in carefull y controlle d an d con fine d circumstances . It i s possibl e tha t anothe r fact , brough t ou t above , contribute d t o Ssu-m a en mity . Th e Ts'a o famil y openl y playe d ou t interna l famil y tension s tha t ha d nationa l repercussions . Moreover , th e me n o f thei r fightin g collatera l branche s ofte n wer e groome d an d encourage d b y Ts'a o Ts'ao , whil e thos e o f th e mai n lineag e — Ts'a o Ts'ao' s — ha d to prov e themselves . Suc h fractiousnes s becam e a n importan t poin t of Ssu-m a politica l attac k late r i n th e dynasty . To th e Ssu-mas , then , th e Ts'ao s wer e no t jus t o f dubiou s origi n an d association , bu t als o politicall y crude .

SETTING TH E STAG E FO R A NE W AUTHORIT Y AND LEGITIMAC Y Th e militar y an d politica l situatio n o f th e Ts'a o famil y gre w mor e stabl e i n th e severa l year s befor e Ts'a o Ts'ao' s death . Ts'a o Ts'a o an d Ts'a o P' i too k upo n themselve s increasin g honor s an d engage d i n dynasti c thinking . Sinc e 211 , th e Ts'ao s ha d manage d appointment s t o highe r an d highe r Han-cour t offic e an d ob taine d nobl e title s formall y associate d wit h th e ancien t feuda l entit y know n a s th e We i kingdom . A brie f chronolog y show s th e wa y a n agend a o f imperia l statu s wa s execute d b y Ts'a o Ts'ao . (Reference s fo r I an d 7 wer e give n above , concernin g Ts'a o P'i' s career ; fo r 3 , 4, an d 5 , se e chapte r 10. ) The Preaccession

Steps

towards

Ts'ao

Legitimacy

1. 21 I: Ts'a o Ts'a o ha d hi s so n P' i mad e Genera l o f th e Gentleme n o f Househol d fo r All Purposes . This in effec t se t u p a proto-cour t fo r a potentia l heir-apparent . 2. Jun e 16 , 213 : Ts'a o Ts'a o becam e duk e o f Wei an d received , afte r th e ceremonia l thre e refusals , th e Nin e Distinctions , namely : a grea t carriag e an d wa r carriag e wit h tw o blac k stallions ; clothe s an d hat s with re d slippers ; hangin g musica l instrument s an d a dancin g troupe ; a vermilio n door ; inne r staircases ; the Rapid-as-tiger s bodyguar d wit h 30 0 men ; ceremonial - an d battle-axes ; a scarle t bo w wit h 10 0 arrows ; 1 0 blac k bow s wit h 100 0 blac k arrows ; an d a goble t o f blac k mille t wit h a jad e cup. 60 Th e instatemen t wa s accompanie d b y a pronouncemen t fro m th e Ha n thron e tha t wa s writte n by a schola r wh o ha d studie d wit h Chen g Hsuan. 61 3. 213 : A grou p o f eminen t adviser s to Ts'a o Ts'a o exhorte d hi m to accep t

55

60 . Se e SKC I , pp . 37-42 ; TCTC/de C , p . 297 . 61

. SKC I , p . 39 , cit . Hs u Han-shu .

TS'AO P' I AN D POLITICA L CULTUR E

dukeship . (Man y o f the m late r o n wer e amon g th e adviser s regardin g Ts'a o PTs legitimatio n o f th e ne w Wei ; se e table s I an d 2.) 4. 213 : Ts'a o Ts'a o change d th e administrativ e name s o f China' s region s to reflec t th e traditiona l syste m o f th e "Nin e Province s o f Grea t Yu." 5.215 , fall : Ts'a o Ts'a o revise d th e syste m o f hereditar y nobl e reward s fo r militar y service . 6. 216 , summer : Ts'a o Ts'a o too k th e "kin g of Wei" titl e a s an unusua l step , sinc e h e wa s no t a n imperia l Liu family member . H e als o receive d award s an d prerogative s grante d b y th e Ha n court . 7. 217 , winter : Ts'a o P' i wa s mad e heir-apparent

.

8. 219 : Ts'a o Ts'a o considere d tha t h e wa s potentiall y a (Chou ) Wen-wan g typ e o f ruler. 62 9. 220 , fall: Ts'a o P' i receive d tribut e fro m Wu an d Sh u jus t befor e hi s foundin g th e dynasty . Thes e honor s brough t th e famil y extraordinar y gift s an d rewards , addin g t o thei r extan t estate s an d wealth . Anothe r facto r i n th e family' s secur e positio n wa s Ts'a o Ts'ao' s garriso n farms , whic h settle d a larg e numbe r o f Wu-hua n an d south er n Hsiung-n u fightin g tribesme n int o centra l China. 63 Loca l uprisings , whic h coul d shak e wea k regime s (a s the y ha d don e t o Han-dynast y court s throughou t th e latte r par t o f th e secon d century) , see m to hav e bee n infrequen t fro m abou t 21 5 to 250 , if we judg e merel y b y the number s o f the m reporte d in standar d sources. 64 Specifi c economi c successe s an d a les s agitate d countryside , however , di d no t necessaril y indicat e demilitarization . Campaign s continue d t o b e mounted , an d diplomati c axe s shifte d bac k an d forth . A majo r campaig n undertake n b y the Ts'aos , extendin g fro m th e fal l o f 21 5 t o th e sprin g o f 216 , quelle d th e militar y threa t o f Chan g Lu' s armie s in th e west. 65 Bu t althoug h Chan g Lu ha d bee n defeate d an d his remnant s appeased , Liu Pei , th e mos t powerfu l militar y ma n in th e west , force d Ts'a o Ts'a o int o stalemate s an d retreat s in tha t region . Su n Ch'iia n an d hi s allie s in th e southeast , althoug h fairl y united , remaine d a t ba y becaus e o f th e barrie r im pose d b y th e Hua i Rive r valle y garriso n farms. 66 Thi s mad e th e Sun-rule d stat e o f Wu les s of a problem . Durin g thes e year s Ts'a o Ts'a o too k himsel f an d hi s mobil e 62 . SKC I, p . 53 , cit . "Wei-shi h ch'un-ch'iu" : "Hsia-ho u Tu n W&W- sai d to th e kin g [Ts'a o Ts'ao] , 'Everyon e know s tha t th e Ha n thron e i s alread y defunc t an d tha t a ne w er a is abou t t o arise . Fro m antiquit y to now , thos e wh o hav e bee n capabl e o f eliminatin g har m to th e peopl e ar e thos e to who m th e peopl e turn , an d the y becom e th e lord s o f th e people . Toda y you r highnes s ha s bee n a militar y [protector ] fo r ove r thirt y years , an d you r achievement s an d persona l powe r ar e manifes t t o th e commoners . Th e whol e worl d depend s o n you , an d yo u respon d t o heave n an d accor d wit h th e people . Wh y doub t i t an y more? ' Th e kin g said , "'[Merely ] t o b e abl e t o displa y [power ] t o thos e wh o posses s th e stat e is to b e th e operato r o f th e state. ' Bu t if th e mandat e i s lodge d [in ] me , the n I a m Wen-wang. " Thi s is date d to lat e in 21 9 b y Ch'e n Sho u — a tim e whe n Ts'a o P' i wa s alread y his heir-apparent . Th e elde r Ts'a o wa s probabl y thinkin g abou t wh o woul d b e analogize d to Wu-wang , an d wh o t o Chou-kung . Se e Chao , Cha chi 7 ("Sha n tai") , p . 87 . 63 . Wang , Wei Chin, pp . 41-43 , 123-25 ; an d Och i Shigeaki , "G i Shi n Nanch o n o tunten, " Shigaku zass/7/70. 3 (1961) , pp . 1-24 . 64 . Se e Chan g Tse-hsie n an d Ch u Ta-wei , Wei Chin Nan-Pei ch'ao nung-min chan-cheng shih-liao hui-pien (Peking : Chung-hua , 1980) . Suc h a relativ e decreas e ma y in additio n reflec t rando m surviva l o f data , o r change s in historiographi c style . 65 . Wang , Wei Chin, pp . 60-64 ; se e chap . 4, below . 66 . Se e d e Crespigny , Generals of the South, pp . 313-18 .

54

TWO : STEP S TOWARD S DYNASTY-FOUNDIN G

cour t bac k an d forth betwee n Ha n Hsien-ti' s provisiona l capita l a t Hs u an d th e ancien t walle d cit y o f Ye h tha t wa s Ts'a o militar y headquarter s — du e nort h o f Hsu. 67 Ts'a o Ts'ao' s wa r mobilization s too k hi m mostl y eithe r westwar d — Han chun g via Ch'ang-an , or throug h Lo-yan g a s a strategi c poin t from whic h t o com man d troop s southwar d toward s Wu . In th e year s following 216 , the yea r Ts'a o Ts'a o wa s ennoble d a s king o f Wei , Ts'a o Ts'a o an d Ts'a o P' i wer e concerne d heavil y with Han-We i cour t politics . Yet a s thei r movement s betwee n capital s an d military headquarter s partiall y indi cate , the y als o wer e layin g the groun d for action s to enhanc e thei r nationa l image . The elde r Ts'a o teste d hi s dynasti c plans : shoul d h e himsel f begi n preparin g for a comin g abdication ? Althoug h it wa s b y no w clea r tha t n o bloo d relativ e o f th e Ha n roya l family wa s bein g sough t in the nort h to replac e Hsien-t i an d moun t a dynasti c reform , stil l Ts'a o Ts'a o wondere d wha t styl e o f rul e a Ts'a o shoul d assum e — which legendar y sag e would b e the model , or woul d th e styl e o f Ha n b e continued ? The Ts'ao s als o worrie d abou t allie s wh o ha d turned , o r wh o migh t stil l turn , agains t him . An exampl e o f a brea k in th e rank s ha d bee n We i Feng' s plo t i n 21 9 to captur e Ts'a o headquarters , a s mentione d above . Sometim e afte r th e purges , P'i, mor e entrenche d a s sucessor , mad e apologie s an d issue d token s o f apprecia tion t o som e o f th e mor e eminen t o f th e survivors. 68 Thi s wa s astut e politics , an d fit Ts'a o P'i' s aspiration s t o lea d a literar y court . Ts'a o Ts'a o die d o n Marc h 15 , 220 . Ts'a o P' i wa s instantl y raise d to hi s father' s statu s a s kin g — a troublin g statu s i n tha t i t wa s tangentia l t o tha t o f th e Ha n emperor . Strugglin g to maintai n hi s authorit y a s the ne w kin g o f We i (an d facin g sibling grumbling) , Ts'a o P' i bega n to dea l with othe r problems . Ts'a o P' i understoo d tha t martia l activitie s (plannin g campaigns , hunting , an d military tours ) wer e matche d in importanc e b y the need s o f politica l culture . Th e stat e required , for example , ne w capita l building s (Lo-yan g ha d bee n burn t i n I90), 6 9 a smoothl y runnin g syste m o f bureaucrati c an d nobl e titles , an d ritua l program s tha t woul d b e judge d authentic . Thes e coul d contribut e a s muc h to hi s ruling authorit y an d legitimac y a s obtainin g a sho w o f loyaltie s an d buildin g a concensu s amon g thos e wh o stoo d to gai n from a Ts'ao-famil y dynasty . The over all styl e o f th e dynast y woul d hav e to convinc e influentia l peopl e i n region s fa r away , bu t als o neede d to begi n clos e a t hand , with th e educate d an d abl e advisers , who wer e use d to sharin g power . Som e would subtl y oppos e a chang e o f dynasty ;

67 . Ye h i s o n th e Chan g Rive r /$7 ^ , nea r moder n Lin-chan g El/ $ , Honan . L i Chi-fu , Yiian-ho chun-hsien t'u-chih (Peking : Chung-hu a shu-chii , 1983 ; hereafte r YHCHTQ 1 6 (vol . I) , pp . 452-53 , claim s tha t whe n Ts'a o P' i becam e empero r h e calle d it th e "Ye h Capital. " 68 . Se e SKC I , p . 52 ; 28 , p . 796 , cit . "Po-w u chi " an d "Wei-shi h ch'un-ch'iu" ; TCTC/deC , p . 343 , for Ts'a o P'i' s rol e in th e We i Fen g purges ; SKC42, p . 1026 , cit . "Wei-liieh, " fo r th e purge' s effec t o n Sun g Chun g "%& , th e T'ai-hsuan commentator , an d Ts'a o P'i' s equivoca l feeling s abou t hi s rol e a s executioner . Miao , "Wan g Chung-hsuan, " esp . pp . 118-21 , discusse s th e impac t on the extende d famil y o f Wan g Ts'an . Ts'a n ha d die d in 217 , bu t becaus e hi s tw o son s wer e execute d i n th e purges , Ts'a o P' i seve n year s late r mad e Wan g P iB E 55 5 (226-249 ; Ts'an' s cousi n twic e removed ) posthumou s heir . Thi s actio n ma y hav e bee n initiate d b y thought s o f hi s father , wh o earlie r vowe d tha t Wan g Ts'a n shoul d no t b e withou t hei r (SKC 21 , p . 599 , cit . "Wen-chan g chih") . 69 . Bielenstein , "Lo-yang" ; als o Wan g Zhongshu , Han Civilization, trans . K. C . Chan g e t al. (Ne w Haven : Yale U.P. , 1982) .

57

TS'A O P' I AN D POLITICA L CULTUR E

an d som e would wan t to join in negotiatin g its politica l symbols . Ts'a o P' i probabl y bega n to wor k o n th e agend a o f legitimatio n i n 219 . Jus t befor e hi s deat h Ts'a o Ts'a o ha d bee n on th e move . In the fall of 21 8 h e was in Ch'ang-an . In th e sprin g of 21 9 h e wen t t o Han-chun g o n a military expeditio n afte r th e th e defea t o f Hsia-ho u Yua n an d returne d t o Ch'ang-an . Lat e in th e fal l he wa s i n Lo-yan g with hi s mai n army , movin g southwar d fro m ther e t o ac t a s back-u p i n th e effor t agains t Kua n Yii. He wen t bac k t o Lo-yan g an d die d there . Ts'a o P'i' s movements , however , ar e no t a s well know n from mid-21 9 to th e tim e of hi s assumptio n o f th e kingshi p in April o f 220 . All w e kno w wa s tha t h e wa s in Hs u in th e summe r o f 21 9 for th e tria l o f We i Feng' s associates . Ts'a o P' i mostl y supervise d affair s i n Hs u an d Ye h i n hi s father' s absences , an d thu s wa s i n Ye h whe n Ts'a o Ts'a o died . Ts'a o Ts'ao' s bod y wa s take n to Ye h an d burie d ther e o n April I I. Sometim e in August , 220 , Ts'a o P'i , no w a n orphan , with th e man y spe cial requirement s o f mourning , wen t with hi s troop s o n a n inspectio n tou r o f th e south , an d the n stoppe d fo r militar y feastin g an d famil y sacrifice s i n hi s nativ e Ch'iao . It is a t this poin t tha t th e discussion s o f Ts'a o P'i' s impendin g ne w dynast y too k place , lastin g from Novembe r 1 9 to Decembe r I I. Conclusion It i s possibl e t o mak e a periodizatio n o f Ts'ao-famil y step s toward s dynasty founding . A majo r featur e o f th e periodizatio n woul d b e the junctur e betwee n th e perio d 210-21 9 an d th e subsequen t shor t spa n from 21 9 unti l th e imperia l cer emonie s o f Decembe r 220 . In the former , longer , perio d tw o matter s dominate d Ts'a o interests . On e wa s Ts'a o Ts'ao' s drawn-ou t respons e t o th e threat s repre sente d b y Chan g Lu an d Liu Pe i in th e west . To chi p awa y a t this problem , Ts'a o Ts'a o in essenc e create d a political-military networ k o f western-campaig n generals . Association s sprun g u p amon g adviser-general s wh o wer e dispatche d o n th e west er n campaign s o f 210- 1 I an d 215-16 , me n like th e Ying-ch'ua n Chung s an d Hsins , the warrio r Ts'ao s (namely , Hun g an d Jen) , the Hsia-hous , an d general s previousl y successfu l i n dealin g with wester n non-Chines e rebels , suc h a s th e Huang-fus . Many o f thei r name s woul d appea r o n th e nationa l stel e o f 22 1 (documen t 53) . However , mos t o f the m di d not , a s far a s we know , orat e o r writ e memorial s concernin g Ts'a o P'i' s ne w dynasty . The y see m t o hav e bee n a n a d ho c grou p representin g Ts'a o Ts'ao' s las t militar y passio n — th e tamin g o f th e west . Thi s ha d compelle d Ts'a o Ts'a o to th e exten t tha t in the fall o f 219 , just month s befor e his deat h an d probabl y alread y ill, he wa s o n th e roa d agai n to battl e Liu Pei. 70 The secon d overarchin g matte r i n th e 2 1 1-21 9 perio d wa s th e resolutio n o f struggle s ove r jus t ho w th e son s o f Ts'a o Ts'a o woul d b e allowe d t o pursu e power . I n 2 1 I Ts'a o P' i becam e a "literary" heir-apparent : hi s Gentleme n o f th e Househol d fo r All Purpose s serve d a s hi s scholarl y court . The n i n 21 7 P' i pre vailed ove r Ts'a o Chi h in a tes t o f leadershi p — th e "inciden t a t th e Major' s Gate. " Ts'a o P' i ma y hav e bee n kep t awa y fro m campaig n comman d i n favo r o f hi s fighting cousin s an d Ts'a o Chih , who ha d wide suppor t amon g

58 58

70. TCTC/deC, pp . 334-35 .

TWO : STEP S TOWARD S DYNASTY-FOUNDIN G

courtier s an d wa s Ts'a o PT s riva l fo r th e patrimony . Ts'a o P' i pursue d th e cul tur e o f leadershi p — literature , institutions , an d rites . Furthermore , h e astutel y cultivate d potentia l allies . The shorte r period , fro m th e tim e o f Ts'a o PT s handlin g of th e purge s unti l th e beginnin g o f 221 , wa s on e in whic h Ts'a o P' i bega n to us e hi s cultura l skill s in th e pursui t o f dynasti c legitimacy . Ts'a o Ts'ao' s deat h ha d a seriou s impac t o n thi s pursuit . Firs t o f all , Ts'a o Ts'ao' s postmorte m spirit , accordin g t o Chines e reli giou s notions , wa s considere d t o b e i n a poten t limina l state . W e se e thi s i n severa l o f th e followin g documents , wher e appeal s ar e mad e t o hi s presumabl y still-consciou s soul , a sou l uncomfortabl e ove r Ts'a o PT s hesitatio n to accep t th e throne . Moreover , th e decease d Ts'a o Ts'a o i s mentione d a s th e motiv e forc e behin d th e natura l omen s interprete d a s supportin g Ts'a o PT s politica l move . Second , Ts'a o P' i stil l neede d to demonstrat e t o gathere d adviser s th e exten t an d sincerit y o f hi s filial piety , partl y becaus e o f th e earlie r struggle s in th e family. 71 In th e winte r o f 220 , th e politica l publi c ma y hav e bee n unsur e o f exactl y ho w Ts'a o P' i intende d t o trea t hi s charismati c father , wh o ha d bee n sever e in prepar ing hi s tw o potentia l heirs . To se t th e ton e o f filialit y an d ethica l correctness , Ts'a o P' i an d hi s adviser s woul d choos e to promot e legendar y emblem s o f th e life of Shun . On e ca n onl y sugges t tha t a t a mor e subtl e leve l suc h emblem s reveale d Ts'a o P'i' s tru e feelings : in legend , Shun' s fathe r Ku n wa s s o wicke d tha t hi s so n wa s prompte d t o exten d filia l devotio n towar d th e rule r Yao , thu s becomin g Shun' s father-figure . Th e Ku n par t o f thi s legen d wa s no t mentione d i n th e follow ing discussion s o f legitimation , bu t surel y cam e to people' s minds . Wh y woul d th e politica l publi c hav e bee n intereste d i n emblem s o f father-so n propriet y an d impropriety ? A s w e hav e jus t seen , Ts'a o Ts'a o seem s t o hav e cordone d of f hi s son s P' i an d Chi h a s potentia l heirs , an d unlik e th e experience d fighter s i n th e extende d clan , teste d the m fo r a n abilit y t o gras p militar y code , administration , an d ritua l — no t battl e leadership . Indeed , a s we se e in chapte r I I, th e mos t experience d warrio r amon g th e Ts'ao s wa s no t give n nobl e title s a t th e leve l o f Ts'a o P' i an d Ts'a o Chih , no r place d in th e positio n o f a potentia l heir . Thus , Ts'a o P'i' s skil l a t militar y gestur e an d ritual , an d hi s ver y lac k o f battl e experience , see m t o hav e serve d hi s imperia l self-legitimatio n well . Thes e trait s sho w a soli d understandin g an d darin g us e o f politica l culture . And , alon g with th e Ts'aos ' low-bor n statu s an d tendenc y t o choos e wome n o f lo w rank , suc h trait s marke d the m a s differen t fro m th e Ssu-ma s — th e Ts'a o parvenu s a s bol d reform er s o f th e polit y an d th e Ssu-ma s as stai d an d les s fractiou s descendant s o f Easter n Han nobility . Ts'a o P'i' s projectio n o f a n imperia l styl e i n th e comin g month s fit th e paradig m an d marke d of f politica l battle-line s wit h th e Ssu-ma s an d thei r sup porters . We se e a fascinatin g "modernity " i n th e politica l toil s o f thes e third centur y families : th e politica l publi c wov e story-line s an d buil t legend s eve n a s event s unfolded . Th e give-and-tak e involve d i n th e proces s o f legitimation , th e accretio n an d analysi s o f competin g legend s abou t competin g rulers , wa s no t a n insignifican t aspec t o f dynasty-founding .

59 71 . P' i wa s excoriate d b y the 4th-c . Su n Shen g fo r havin g feaste d at thi s time ; TCTC/F I , pp . 8-9.

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PART II Novembe r 1 9 to Decembe r 11 : A Mes s o f Ink [Ch'en Shou's work] is really a park for wandering in and looking around: an enjoyable history of recent times. .. Whenever Shou did not record something, if the matter ought to have been kept in the records, I did not fail to supplement his lacunae.. . I took a long time but accomplished nothing; [my commentary] is merely a mess of ink. P'ei Sung-chih: memorial presenting his commentary to the Liu-Sung emperor Wen; in standard editions or"San-ku o chi h since the Sung.

Chapte r Thre e Novembe r 19 : An Announcemen

t in th e Ha n Imperia l Cul t

O

ur firs t document s offe r a vie w o f cour t religion . Th e initia l ceremonie s o f th e transfe r o f rul e wer e locate d withi n th e precinct s o f th e imperia l cult , bu t thei r particular s wer e no t fa r fro m genera l religiou s concern s — writ s an d expression s reserve d fo r us e b y th e roya l cul t an d it s experts , veneratio n o f an cestor s an d sages , an d attentio n t o th e recentl y dead .

An announcement-tex t o f th e Ha n imperia l cul t is preserve d fo r us ; its contex t is a ceremon y directe d toward s th e highes t decease d o f th e Liu rulin g clan . Ances tra l announcement s an d ceremonie s wer e traditiona l a t Ha n courts ; Liu famil y member s usuall y performe d the m with th e assistanc e of ritua l specialist s an d learne d officials , wh o debate d precedent s an d mad e corrections . All o f thi s insure d mad e imperia l worshi p a changin g an d viabl e liturgy . Th e shrin e ceremon y tha t w e en counte r wa s a t leas t partiall y public : th e emperor' s task , i n fron t o f a n attentiv e cluste r o f officials , wa s t o describ e th e dynasty' s situatio n t o th e decease d Li u Pan g (Ha n Kao-t i M'B', r . 202-19 5 B.C.) , founde r o f th e Han . Bu t th e speec h wa s fashione d als o to hel p Hsien-ti' s abdicatio n procee d an d b e acceptabl e to Ts'a o P' i an d hi s advisers .

61

In additio n t o translatin g th e relevan t documents , chapte r 3 delve s link s betwee n religiou s performanc e an d text , o n on e hand , an d th e intellectua l worl d o f scholar s an d expert s o n th e other . We lear n tha t a cour t schola r name d We i Ch i IliS I compose d an d mos t likel y als o calligraphe d th e an -

TS'AO P' I AN D POLITICA L CULTUR E

nouncement-text . Variou s detail s o f Wei' s life sho w th e relationshi p betwee n calligraph y an d cour t mirand a — i n othe r words , th e perceptio n a t cour t tha t antiqu e calligraphi c example s wer e importan t appurtenance s o f authorit y an d le gitimacy . W e remembe r tha t Ts'a o P' i ha d stoppe d a t a local e while tourin g jus t afte r hi s father' s death . It wa s a t this ver y momen t tha t h e an d th e Ha n empero r initiate d the chang e o f dynasty . Th e plac e wa s Ch'u-l i flli , nea r Hsu. 1 Ch'ii-li wa s lade n with significance : i t was , alon g with dozen s o f others , hom e t o a Ha n Kao-t i shrine . The first "Ka o miao " MM, o r Shrin e o f the Foundin g Empero r o f Ha n ha d bee n establishe d in Ch'ang-a n afte r Kao-ti' s deat h in 19 5 B.C. , an d the n wa s duplicate d i n outlyin g locale s b y orde r o f hi s son , Ha n Hui-t i M^ (r . 195-18 8 B.C.) , wh o visite d on e upo n hi s ow n accession . Th e numbe r o f thes e shrine s ros e t o almos t 170 , makin g the m int o a cumbersom e syste m whos e maintenanc e wa s expensive . Durin g Yiian-ti's T L S reig n (49-3 3 B.C.) , criticis m cause d a wholesal e reductio n o f service s a t thes e shrines. 2 O n th e occasio n o f 22 0 A.D., Ha n Hsien ti eithe r wen t t o a "Kao miao " nea r Hs u o r els e wa s with Ts'a o P'i' s trai n o n arriva l a t Ch'u-l i an d wen t t o on e there . This easil y assume s tha t origina l "Ka o miao " site s wer e stil l use d in 220 . Man y o f the m i n fac t existe d physicall y in som e form o r anothe r dow n to th e Ch'in g era , bu t scholarshi p ha s no t identifie d a Ch'u li site. 3 Ts'a o P' i stoppe d in Ch'u-l i mos t likely in orde r t o induc e Ha n Hsien-t i t o tak e ceremonia l step s towar d abdication . On th e da y ping-wu J^j^p (fourt h da y of the tent h luna r month ; Novembe r 19 , 220) 4 th e progres s [o f th e kin g of We i Ts'a o P'i ] reache d Ch'ii-li. The Ha n empero r Hsie n wa s [then ] considerin g tha t th e hop e o f the multitud e ™ 5 [o f his officials] reste d with Wei ; thereupo n h e summone d the grouping s o f Excel lencie s an d Minister s §¥£!®Pib 6 an d mad e announcement s [t o hi s ancestors ] a t a ceremon y a t the Shrin e [of th e Ha n Emperor ] Kao-[ti] . The whol e are a mos t likely wa s awas h in activity in anticipatio n o f the upcomin g 1. In Ying-ch'uan , Ying-yi n I I (^ , northwes t Honan ; se e SKCCC2, p . 13a . 2. Se e CHC I , pp . 130-31,208-9 . 3. Se e Wu , Wu Liang Shrine, pp . 210-13 , wh o argue s tha t th e Ha n house' s duplicatio n o f thes e shrine s in th e province s serve d t o sprea d th e imperia l religion . 4. TCTC/F I , p . 37 , cite s th e evidenc e use d b y Ssu-m a Kuan g to emen d th e dat e to Novembe r 25 , relyin g o n th e dat e give n in doc . 1 3 (se e chap . 6). Bu t th e fac t merel y tha t Chan g Yin i n bot h case s wa s sen t somewher e i s no t enoug h t o mak e th e event s i n thos e case s contemporaneous . Her e Chan g is sen t to fetc h th e seal s fro m th e Ha n empress , an d in doc . 1 3 h e take s the m t o Ts'a o P'i . I follo w th e traditiona l emendatio n o f SKCs "elevent h luna r month " t o "tenth. " Beck , Treatises, p . 78 , show s tha t in E. Ha n contro l o f ritua l object s fo r accessio n ceremonie s ha d devolve d t o empres s families . 5. Th e "multitude " wer e no t th e "populace " o r "masses, " bu t a variet y o f hig h official s — th e crea m o f th e politica l public . Th e wor d i s use d similarl y in HHS, sometime s contraste d wit h "court iers " (th e intimate s o f th e ruler) ; e.g . HHS 56 : "Huan-t i receive d th e memoria l bu t di d no t accep t it . No on e eithe r amon g courtier s o r th e group s o f official s faile d t o b e angere d ove r it. " Car l Leban , "Managin g Heaven' s Mandate : Code d Communicatio n i n th e Accessio n o f Ts'a o P'ei, " Davi d Ro y an d T. H . Tsien , eds. , Ancient China: Studies in Early Civilization (Hon g Kong : Chines e U.P. , 1978) , p . 324 , consider s tha t chung mean s "th e masses" ; bu t cf . renderin g give n in TCTC/F I , p . 37 . 6. Leban , "Heaven' s Mandate, " p . 324 : "summone d th e man y duke s an d ministers. " Bu t th e tex t refer s t o specifi c title s — th e Thre e Excellencie s (san kung H £ ) an d th e Nin e Minis -

62

THREE : ANNOUNCEMEN T I N TH E HA N CUL T

ceremonies . Idea s abou t abdicatio n an d abou t th e ne w We i cour t wer e ex change d throug h memorial s o f th e highes t officials an d amon g the public . Hun dred s o f officials wer e read y to profes s art s an d specia l skills : the y ascertaine d seal s an d antiqu e script , interprete d th e etho s o f legendar y sages , verifie d calendri c an d astrologica l cycles , an d prognosticated. 7 Also takin g plac e wer e military gathering s an d rituals. 8 On e imagine s tha t th e troop s an d retinue s o f the variou s commander s wer e curiou s abou t futur e elevation s i n statu s o r anxiou s abou t ne w campaigns . Larg e group s o f suc h me n wer e presen t i n Ch'u-li . Althoug h th e adviser s mostl y memorialize d i n two s an d threes , on e exceptiona l cluste r wa s sai d to hav e numbere d 120 , an d a grou p o f forty-si x — includin g powerfu l western-campaig n general s — signe d a stel e announce ment . It is possibl e tha t ther e wer e upward s o f on e o r tw o thousan d present , base d o n evidenc e associate d with th e nex t chang e o f dynast y i n 266. 9 WEI CHI' S TEX T O F TH E EMPEROR' S SHRIN E SPEEC H The empero r no w reporte d t o hi s ancesto r abou t th e las t moment s o f th e dynasty . Th e speec h referre d t o reckone d cycle s o f fate , spirit s o f th e dead , an d th e legendar y sage s wh o chos e me n o f talen t a s successors , rathe r tha n rely o n thei r sons . The tex t wa s prepare d b y We i Chi . "Yuan Hung' s ^ S (320-376 ) [Hou] Han chi[ik] /H& g ha s recorde d th e edic t [giving the Ha n emperor' s announcement ] thus:" 10 We hav e bee n o n th e thron e for thirty-tw o year s an d hav e encountere d the overturnin g of the world. Fortunately , We hav e relied on the [numinous ] magi c o f [our ] cla n progenito r t f i Z l J 1 an d althoug h i n precariou s [straits] , hav e remaine d alive . And s o "gazin g up " ffl^Jt a t th e "sign s o f heaven " ^ X an d "lookin g dow n t o examine " fjfr^ th e heart s o f th e people, 12 [W e kno w that ] th e number-reckonin g o f th e transformativ e -H- ter s (chiu-ch'ing A P ) ; se e Bielenstein , Bureaucracy, pp . 7-23 . Se e als o SKC 13 , p. 421 , citin g "We i liieh" ; trans . TCTC/Fl.p . 171 . 7. Se e San-kuo chih yen-i\ trans . C. H. Brewitt-Taylor , Romance of the Three Kingdoms: "San Kuo Chih Yen-i" (Rutland , Vt. : Tuttle , 1959 ) 2 , chap . 79 . Se e esp . p . 202 , wher e th e me n I cal l th e "advisers " ar e place d upo n th e stag e a s "two-scor e officials. " 8. Se e Mar k Edwar d Lewis , Sanctioned Violence in Early China (Albany , N.Y. : Stat e U . Pres s o f N.Y., 1990) , wh o describe s th e comple x openin g ritual s fo r pre-Ha n militar y campaigns . At temple s th e commander s announce d t o spirit s o f forme r rulers . Religiou s insigni a wer e brough t ou t an d commander s receive d charge s an d feasted , th e activitie s endin g wit h divination , clearin g camp , an d oaths , al l a s sanction s o f th e ensuin g violenc e (ibid. , p . 23) . 9. CS 3, p . 50 . 10. P'e i Sung-chih' s collatio n metho d suggest s tha t documen t 2 is th e actua l "announcement " tha t wa s mad e b y Hsien-ti , perhap s privately , t o hi s cla n ancesto r an d the n repeate d t o "group s o f Excellencie s an d Ministers" ; se e above , n . 6. Thi s documen t i s wha t Leban , "Heaven' s Mandate, " p . 325 , enumerate d a s th e firs t o f "forty-tw o discret e documents " formin g P'e i Sung-chih' s historio graphica l "file " o n th e accessio n o f Ts'a o P'i . I hav e followe d Leban' s perceptio n o f a documentar y file, addin g man y othe r document s an d reorderin g the m (se e tabl e 4). I I. Hou Han chi (SPT K edn. ) 30 , p . 17b , ha s ^ H . Bu t Hsien-t i point s t o hi s relianc e specificall y o n th e powe r o f Kao-ti . 12. Thes e thre e phrase s allud e t o l-ching ("Hsi-tz'u " ^ l ¥ sect.) : "[Pa o Hsi ] looke d up ward s an d contemplate d th e image s i n th e heavens ; h e looke d downward s an d contem 1 plate d th e pattern s o n earth" ; trans . R. Wilhel m [trans . Car y F . Baynes] , The l-ching or Book

m

TS'AO P' I AN D POLITICA L CULTUR E

essenc e of fire i ^ f t z i^ ha s reache d its end . The movin g cycle s hav e com e to resid e in the Ts'a o surname . Becaus e the forme r kin g (Ts'a o Ts'ao ) establishe d accomplishment s a s a "spirit-warrior" I ^ S U 3 today' s kin g respond s to thes e [moving cycles ] with "illumine d virtue " Bfit* J 4 We indee d believ e tha t th e clea r illustration s o f calendri c reckonin g Ht&BqB£ | ca n b e known. 15 I n th e conduc t o f th e grea t wa y A s l Z f j , 16 the world i s [treate d as ] public , an d worthie s ar e selecte d from amon g the capable . It is for thi s reaso n tha t T'ang Yao I S ft di d no t ac t from persona l [attachment ] t o hi s ow n son , an d [thu s his] reputatio n sprea d forth limitlessly . We truly admir e him Hffn § Z . 1 7 Today , would tha t [We ] trac e bac k to th e institute s o f Yao an d relinquis h th e thron e to th e king of Wei. "[The empero r then ] dispatche d concurren t Grande e Secretar y Chan g Yin W H (whos e regula r offic e wa s tha t o f Gran d Maste r o f Ceremonies ) t o tak e th e stav e an d receiv e th e jad e seal s an d tassel s }#S p 0W%§i [for] cedin g the throne." 1 8 This tex t contain s severa l clue s abou t th e cultur e fro m whic h ruler s create d authorit y an d legitimacy . Th e first i s tha t a specia l ar t o f computatio n la y behin d specialists ' prediction s o f exactl y whe n th e moribun d Ha n woul d expir e an d wh o its successo r woul d be . The empero r tells hi s ancestor , an d in effec t a large r politica l public , tha t th e ar t ca n b e known , tha t it ca n b e operate d an d relie d on . How ever , the empero r give s n o clea r detail s a s to wha t h e believe s ar e th e mechanics . Much o f this is mundane , an d a traditiona l par t o f cour t debat e an d philosophi -4vo f Changes, 3 d rev . edn . (Princeton : Princeto n U.P. , 1967) , p. 328 ; als o p . 294 . l-ching refer s ofte n t o th e myria d peopl e an d specificall y to examinin g th e people , whic h is the allusio n here . Adaptatio n o f l-ching phraseology , esp . tha t o f "Hsi-tz'u, " "Wen-ye n X ~% ," an d "Hsiang-chua n J ^ fH " wa s prac tise d widely ; se e a statistica l not e o n thi s practis e in th e 3 d c . in Goodman , "Exegete s an d Exegeses, " pp . 214-31 . Thi s i s als o born e ou t i n tabl e 3 , below . Example s ar e als o foun d throughou t HHS an d SKC; Hou Han chi 30 , p . 17b , reverse s th e tw o character s o f th e phras e "gazin g up. " 13. Se e "Hsi-tz'u" ; A Concordance to Yi Ching, Harvard-Yenchin g Sinol . Inde x Ser. , Suppl . 1 0 (rpt . Taipei : Chines e Material s & Researc h Aids , 1966) , Hsi-tz' u A , sect . 10 , p . 43 , rt . I d o no t follo w Wilhelm , Book of Changes, p . 317 , wh o says : "[th e ancients' ] unremittin g divin e power. " Willar d Peterson , "Makin g Connections : 'Commentar y o n th e Attache d Verbalizations ' of the Book of Change," HJAS42. 1 (1982) , p . 109 , translate s a s "numinou s an d martial, " a cleare r rendering . Doc . 2 refer s t o a distinc t qualit y o r state , thu s m y nou n "spirit. " A preceden t fo r thi s contex t wa s Pa n Piao' s H ) ^ (3-5 4 A.D. ) "Treatis e o n th e Mandate s o f Ruler s I ^ M , " a s recorde d i n HS I00 A ("Hsi i chuan " ££ fH ). H e say s tha t on e o f th e fiv e sign s indicatin g Li u Pang' s imminen t rul e wa s tha t "fo r spirit . 42 1 I). SCT I , p . 179 , has : warrior s ther e ar e evidence s [tha t arise ] i n response " W^^WLM (p "ther e wer e omen s testifyin g to hi s divinel y inspire d conquest. " Bu t th e tex t doe s no t allo w "con quest. " Furthermore , sinc e on e o f th e five sign s is describe d wit h differen t grammatica l form , paral lelis m doe s no t apply . Th e tex t i s simpl y sayin g is tha t th e qualit y o f a spirit-warrio r inhere d i n Liu Pang' s person , an d tha t i t the n stimulate d ome n responses . 14. Amon g man y loci is tha t i n Li-chi, th e beginnin g o f th e "Ta-hsueh " sect. : "Wha t th e Grea t Learnin g teaches , is — t o illustrat e illustriou s virtu e B^B^fi! " (trans . Jame s Legge , Confucius: Confucian Analects, The Great Learning, and The Doctrine of the Mean, 2d rev . edn . [rpt . Ne w York : Dover , 1971] , p . 356) . A mor e direc t context , however , i s in Shang-shu ("Chih-ts'ai " ^ $ t ) : th e king s o f Chou ar e instructe d t o ac t i n th e manne r o f th e forme r kings , wh o ha d use d "illustriou s virtue " to attrac t prince s wh o woul d the n redoubl e wit h thei r ow n "illustriou s virtue" ; Jame s Legge , The Shoo King, or The Book of Historical Documents, vol . 3 o f idem , The Chinese Classics (rpt . Hon g Kong : Hon g Kon g U.P . I960) , par t 5 , p . 417 . Hou Han chi 30, p . 17b , ha s "ampleness " %¥&. 15. Hou Han chi 30 , p . 17b , doe s no t hav e th e wor d "believe " (o r "truly") , bu t in plac e o f it th e particl e "also " if r . 16. Hou Han chi 30 , p . 17b , ha s ^ A £ f 7 . 17. I follo w ibid , fo r inclusio n o f Z . Reason s fo r doin g s o emerg e whe n th e adviser s discus s Ts'a o P'i' s emulatio n o f th e etho s o f Shun . 18. Ther e ar e n o othe r record s concernin g Chan g Yin . Fo r deduction s abou t hi s offic e titles , se e TCTC/F I , p . 37 . ^

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ca l prose . In thi s cas e th e empero r woul d no t hav e bee n thinkin g o f calculate d ephemerise s o r prognostication s base d o n asterism s — highl y exactin g things , ofte n involvin g mathematics . I t wa s simpl y a typ e o f matrica l thinkin g tha t followe d tw o intellectua l paths . On e wa s th e gnosti c approac h t o Fiv e Phases , yin-yang , an d ritua l calendar s tha t consume d Ha n court s fo r tw o hundre d years , an d upo n whic h majo r trend s i n scholarshi p an d thinkin g drew . Th e othe r concerne d contemporar y notion s abou t th e calculatin g o f fate d days , especiall y deat h days . Man y Han-er a Chines e believe d tha t celestia l keeper s o f lifespan s calculated , listed , an d ordere d deat h dates , individua l b y individual , an d tha t a perso n skille d in th e mysteriou s way s o f numerica l reckonin g coul d deriv e th e da y tha t th e keeper s ha d determined . Althoug h th e imperia l mortu ar y cul t differe d fro m tha t o f th e lowe r tier s o f societ y b y bot h it s lavishnes s an d th e conservative , archaizin g natur e o f cour t ritual , it i s possibl e tha t th e reckonin g o f individua l lifespan s an d dynasti c span s cam e fro m commo n ritua l an d textua l sources. 19 Hsien-ti' s announcemen t als o hint s a t a numinou s virtue , o r power . Th e empero r informe d hi s auditor s tha t th e Ha n hous e — h e in particula r — ha d survive d partl y becaus e of th e numinou s protectio n o f its progenito r Kao-ti . The religiou s aspec t o f th e imperia l cul t too k i n a constellatio n o f appurtenance s an d beliefs . When , fo r example , th e Wester n Ha n empres s Yua n 7L/j=r , year s before , ha d objecte d t o th e disestablishmen t o f he r husband' s persona l shrin e becaus e o f th e har m tha t thi s woul d brin g to th e Han' s "numinou s magic," 20 sh e wa s articulatin g basi c Chines e attitude s abou t th e powe r o f th e dead , a s wel l a s cul t politics . Th e Ha n emperor , furthermore , ha s raise d her e th e initia l criteri a fo r ges tura l emulation , suggestin g als o wha t Ts'a o P'i' s rol e i n i t migh t be . H e an nounce d th e them e o f Ya o an d Shun , a s wel l a s th e players . Ha n Hsien-t i woul d emulat e Ya o an d "trac e bac k t o th e institutes " o f Yao . Thi s se t int o motio n Ts'a o P'i' s expecte d emulatio n o f Shun . As w e see , however , i n late r documents , thi s wa s no t don e entirel y simpl y o r directly .

A SCHOLA R SPECIALIZIN G I N ANTIQU E SCRIPT S AN D LEGITIMATIO N TEXT S We i Ch i (fl . 200-240 ; se e tabl e I , no . I), 2 1 wa s on e o f abou t eleve n o f th e 19. A perso n coul d refigur e hi s fate d numbers ; e.g . S/CC63 , pp . 1424-25 . Fo r numbe r divination , se e Marc Kalinowski , "L a transmissio n du Dispositi f de s Neu f Palai s sou s les Six-Dynasties, " Strickmann , ed. , Tantric and Taoist Studies 3 , pp . 779 , 807-10 . Neo-revelator y scripture s wer e th e firs t type s o f writin g t o discus s th e powe r o f th e postmorte m recor d keeper s t o increas e o r diminis h huma n lifespan s (Seidel , 'Taois t Sacraments, " p . 327) . Seide l studie d th e Ha n tom b text s collecte d b y Iked a : On >• &E9 /m ,showin g tha t durin g th e 2 d c . A.D. anxiet y bega n to b e expresse d abou t th e keepers ' no t havin g separate d correctl y th e register s o f th e livin g fro m thos e o f th e dead . On e tex t fro m th e tom b o f a youn g woma n wh o die d in 14 7 A.D. says : "Comput e you r register s o f names.. . compar e an d rechec k th e da y o f death" ; Ann a Seidel , "Trace s o f Ha n Religio n i n Funera l Text s Foun d i n Tombs, " Akitsuk i Kan'e i # R IIIB&, ed. , Dokyo to shukyo bunka M$k t vRlfcXit (Tokyo : Hirakaw a shuppansha , 1987) , pp . 33-34 . Se e als o Benjami n Penny , "A Syste m o f Fat e Calcu latio n in Taipingjing" Papers on Far Eastern History 41(1990) , pp . 3-4 , esp . th e text' s sect . "Instruction s o n th e Fat e an d Fortun e o f th e Me n Wh o Posses s Virtue " an d its metho d fo r determinin g fate d dates . 1 20 . HS 98, p . 4034 . 21 . Biog . SKC 21, pp . 610-12 ; discussion , unles s noted , refer s there .

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Han-We i adviser s wh o wer e fro m norther n China . The relativel y larg e num be r o f scriba l position s afforde d opportunit y t o scholar s like hi m wh o wer e legists , drafter s o f documents , o r expert s i n ritual . Th e We i famil y i n We i Chi's generatio n wa s no t nearl y a s powerfu l as , for example , the Ying-ch'ua n Ch'en s (tabl e I , no . 13) , th e Ying-ch'ua n Hsiins, 2 2 o r th e Tung-ha i Wang s (tabl e I , no . 28) . Th e Wei s haile d from Ho-tun g fi\M (i n present-da y south er n Shansi , northeas t o f the T'un g passes) . No dat a abou t cla n antecedent s ar e given in th e sources , no r i s ther e recor d o f thei r havin g bee n a hao-tsu U S , tha t is , a n extende d famil y exertin g loca l power . Wei' s caree r consiste d o f civilian posts . H e wa s know n fo r educationa l an d lega l polic y speeches, 23 an d late r becam e a trenchan t criti c o f th e Ts'ao-We i imperia l lifestyle. 24 Ts'a o Ts'a o too k We i Ch i int o hi s administratio n probabl y betwee n 19 5 an d 200 . H e wa s mad e Palac e Attendan t whe n Ts'a o becam e kin g o f We i i n 216 , the n a Gentlema n i n Attendanc e t o Ha n Hsien-ti . H e ende d hi s officia l caree r with th e title Maste r o f Writing, an d in additio n h e receive d nobl e title s upo n bot h Ts'a o P'i' s an d Ts'a o Jui' s accessions . Throughou t hi s servic e t o Ts'a o Ts'a o a t th e Ha n provisiona l capita l o f Hsu , We i Ch i researche d an d helpe d reestablis h Han-dynast y precedents , official codes , an d ceremonials . In 21 6 We i Ch i an d Wan g Ts'a n 3E1 R wer e formall y commissione d t o edi t an d compil e thos e statute s an d precedents. 25 Later , We i wa s aske d t o d o th e sam e for crimina l codes , an d h e eventuall y petitione d fo r th e establishmen t o f a po-shih M ± o f la w a t th e onl y recentl y (an d somewha t weakly ) revive d Imperia l Academ y a t Lo-yang. 26 His wor k wa s transmitte d unde r th e title Wei

kuan i II It it , 27

22 . We i Ch i conferre d wit h Hsii n Yii o n politica l decision s a t th e behes t o f Ts'a o Ts'a o (SKC 21 , p. 6 1 I, cit . "We i shu") . On th e Hsiins , se e Goodman , "Exegete s an d Exegeses, " pp . 35-45 ; Ch'en , Hsun Yiieh, pp . 166-72 ; an d Wang , Wei Chin, pp . 146-47 . In abou t 21 4 We i advise d agains t lettin g Chun g Yu gathe r troop s fo r a n assaul t o n Chan g Lu. 23 . "Earl y in th e Chien-a n period , ove r 100,00 0 household s o f th e peopl e fle d fro m Kuan-chun g to Ching-chou . Later , whe n the y hear d tha t thei r nativ e place s ha d becom e peacefu l an d quiet , the y al l hope d t o return , bu t coul d fin d n o occupatio n fo r themselves . The n We i Ch i offere d hi s opinio n tha t sal t wa s a treasur e o f th e state . It ha s becom e scattere d sinc e th e har d time s se t in . No w official s shoul d b e appointe d t o supervis e it s sale... " The pla n wa s pu t int o effec t b y Ts'a o Ts'a o an d wa s successfu l i n keepin g vagran t household s i n Kuan-chung . Se e CS 26, p . 784 ; trans . Lien-shen g Yang , "Note s o n th e Economi c Histor y o f th e Chi n Dynasty, " HJAS 9.2 (1946) , p . 152 . Cf. SKC2I , p. 610 . 24. In 23 7 We i Ch i memorialize d t o We i Ming-t i (Ts'a o Jui ) to sto p wastin g tim e an d mone y o n th e practic e o f seekin g sylph s (wh o wer e though t t o purve y recipe s an d drug s o f longevity) ; SKC 21 , p . 612 , trans . TCTC/F I , p . 528 . An d in th e sam e yea r h e memorialized : "Accordin g to th e Rites , th e vessel s use d b y th e So n o f Heave n wer e alway s decorate d wit h gol d an d jade , an d fo r foo d h e ha d th e Eigh t Delicacie s lai d befor e him ; bu t in time s o f ba d harvest , h e woul d decreas e th e numbe r o f dishes.. . lavis h o r fruga l standard s depende d o n th e abundanc y o r scarcit y o f th e time.. . A s fo r presen t duty , Sovereig n an d subjects , hig h an d low , shoul d us e th e calculatin g stick s an d chec k th e treasur y an d storehouses.. . th e amoun t o f golde n an d silve r ware s manufacture d i n th e Shang-fan g (Palac e Workshop ) increase s mor e an d more.. . th e palac e treasur y reserv e i s dail y diminishin g (SKC 21 , p . 612 ; trans . TCTC/F I , pp . 527-28) . 25 . Se e She n Yuen , Sung shu (Peking : Chung-hua , 1974 ; hereafter , SgS) ("Treatis e o n Rites " A) 4 , p. 327 . Fo r Wan g Ts'a n (177-217) , se e S/CC2I , pp . 596-600 ; Miao , "Wan g Chung-hsuan" ; an d Goodman , "Exegete s an d Exegeses, " pp . I 16-50 . 26 . Se e als o CS 30, p . 923 . Fo r discussion s abou t th e weaknes s o f th e Lo-yan g Academ y in th e earl y 220s , se e Tod a Toyosaburo , Ekikyu chushaku shiko (Tokyo : Kazama , 1968) , pp . 257-61 ; SKC 13 , pp . 420-21 ; 25 , p . 718 ; an d TCTC/F I , pp . 170-71 . 2 7 . S K C 2 l , p . 6 l 2 . *&

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We i probabl y wrote , o r a t leas t firs t drafted , th e well-know n wor k entitle d "Ssu-t' i shu-shih " H9t!f|! ^ ("Calligraphi c Dynamic s i n th e Fou r Styles") , whic h wa s edite d int o it s extan t for m b y hi s grandson. 28 Th e treatis e summarize s his toricall y variou s style s o f ku-wen "4~ X , li-shu J ! # , an d ts'ao-shu M-H . A frag men t o f it s prefac e allow s a glimps e int o th e technique s tha t Wei' s ar t entailed: 29 [Ancien t scrip t ha d becom e a los t ar t in th e Ha n era. ] At th e beginnin g of We i th e transmissio n o f ancien t scrip t "4" X aros e throug h [th e wor k of ] Han-ta n Ch'u n #P¥P) $ . Wei Ch i wrot e ou t a Ch'un-styl e [ku-wen versio n of ] Shangshu, an d whe n h e late r showe d i t t o Ch'un , Ch'u n coul d no t fin d an y differ ence s [fro m hi s own] . By mid-Cheng-shi h IE# p (thus , ca . 245) , whe n th e classic s wer e [inscribe d in] ston e i n thre e [parallel ] script s an d se t u p (a t th e academ y i n Lo-yang) , Ch'un' s mode l ha d becom e neglecte d somehow . Bu t base d on [th e fac t tha t it] was terme d "tadpol e script " f^4 - (th e nam e give n to th e curv y ku-wen scrip t of book s discovere d in th e ruin s of Confucius ' house) , we ca n infe r it s method . In 280 , robber s in th e Hsi-hsie n /RS^are a discovere d th e tom b o f [th e War rin g State s noble ] We i Hsiang-wan g K3E an d retrieve d ove r a hundre d thou san d word s o f texts . Accordin g t o wha t We i Ch i wrote , [thos e texts ] stil l maintaine d th e [tadpole-script ] shape s We i Ta n $ M studie d wit h Ch'u n bu t wa s no t a s good . In mi d T'ai-h o A f t (ca . 230 ) Ta n wa s Gran d Comman dan t o f Wu-t u Stf P an d wa s mad e assistan t Palac e Attendan t becaus e o f his abilit y a t calligraphy . All th e inscriptio n text s o n th e treasur e object s o f th e We i roya l hous e wer e don e b y him . The transmissio n o f "tadpol e script " ku-wen an d th e wor k require d fo r inscrib ing dynasti c object s involve d scholar s lik e We i Ch i i n cour t ceremonie s an d ritu als , som e o f whic h occasionall y involve d th e appraisa l o f ominou s graphic s an d figurations , an d oracle-texts , whic h frequentl y base d thei r authorit y o n graphi c analysis . Som e moder n scholar s hav e eve n suggeste d tha t on e elemen t generall y in th e backgroun d o f oracle-tex t wa s th e "talismanic " us e o f "mysteriou s mark ing s an d arcan e inscriptions." 30 Th e calligrapher s mentione d here , plu s suc h other s a s P'a n Hs u }#E) an d Wan g Hsian g 3 E %,, wer e regarde d b y contemporarie s a s a specia l grou p o f experts. 31 Th e expertis e wa s no t simpl y tha t o f scribe , bu t o f curato r — me n traine d i n kuwen, abl e t o cop y ku-wen ont o palac e objects , an d verif y graphic s an d linguisti c

28 . Se e SS ("Treatis e o n Literature" ) 32 , p . 945 . Fo r a moder n annotate d an d punctuate d version , se e Nakat a Yujiro , Chugoku shoron taikei (Tokyo : Nigensha , 1977 ) I , pp . 81 -137 . Anothe r talente d calligraphe r wa s amon g th e adviser s — Chun g Yu (ca . 165-230 ; tabl e 2 , no . 25 ; se e chap . I I, below , an d Wei' s "Ssu-t'i " (quote d i n CS 36, p . 1065) . On e o f th e Chungs ' specia l art s (hande d dow n ove r generations ) wa s forensi c calligraphy ; se e Kan o Naosad a ^ I f i i E M , "'Shi n Gu n den ' shiron " $tf $ {H t$,tm , Toyoshi kenkyu ISA (1967) , pp . 10 1 -6, fo r a lin k betwee n me n o f Ying-ch'ua n an d foren sics . O n th e Chun g family , se e Goodman , "Exegete s an d Exegeses, " pp . 45-56 , an d idem , "Th e Calligraphe r Chun g Yu (ca . 16 3 - 230 ) an d th e Demographic s o f a Myth, " JAOS 114.4(1994) , pp . 555-71 . 29 . SK C 21 , p . 621 , citin g "Wen-chan g hsii-lu" ; cf. CS 36, pp . 1061-66 . 30 . Seidel , "Taois t Sacraments, " pp . 300-1 . Fo r a visua l sens e o f th e "tadpole"-scrip t talis ma n text s o f th e fourt h centur y A.D . (o r a t leas t 5th-c . reconstructions) , se e Bokenkamp , "Ling-Pa o Scriptures, " pp . 455-63 . Late r Taois t scripture s ofte n concerne d authorizatio n o f ruler s b y mean s o f archai c script s an d jad e writs ; se e ibid. , pp . 437-42 , 46 5 (n . 105 , whic h discusse s recen t studie s o f talismani c text s base d o n th e Ma-wang-tu i P i l i # finds). 31 . SKC 21 , pp . 612-13 , an d 621 , cit . "Wen-chan g hsii-lu. "

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analyse s tha t cam e alon g wit h oracle s an d ominou s findings . Throug h thi s rol e the y supplie d especiall y solem n text s tha t appeale d t o numinou s dynasti c author ity. P'a n compose d th e speeche s an d communique s o f Ts'a o Ts'a o i n 21 3 whe n Ts'a o accepte d th e titl e o f duk e o f We i afte r th e ritua l refusa l o f th e Nin e Gifts. 32 Evidenc e suggest s tha t We i compose d no t onl y documen t 2 , bu t i n fac t al l o f thos e issue d b y Ha n Hsien-t i i n th e week s o f transition: 33 Whe n We i wa s establishe d a s a kingdom , [We i Chi ] wa s appointe d a s Palac e Attendan t an d togethe r wit h Wan g Ts'a n mad e a n [official ] compilatio n o f stat e institution s H ft] Jit . Whe n Wen-t i (Ts'a o P'i ) ascende d to th e statu s o f kin g (Apri l 220) , We i wa s transferre d t o [th e offic e of ] Maste r o f Writing . Shortl y thereafte r h e wa s returne d t o th e Ha n cour t a s Gentlema n i n Atten danc e an d exhorte d [Hsien-ti ] t o ced e hi s throne ; h e mad e th e polishe d draf t of th e edict(s) . Whe n Wen-t i too k th e thron e [Wei ] wa s restore d t o th e offic e o f Maste r o f Writin g an d wa s ennoble d as Yang-ch i t'ing-hou Pf j l ^ ^ f e Th e live s o f Wei , Han-tan , P'an , an d th e other s ar e littl e note d i n th e historica l source s o f th e period , suggestin g tha t the y wer e o f somewha t lowe r socia l o r politica l positio n tha n th e estate-holdin g leader s fro m Ying-ch'uan , Ch'iao , an d Ho-nei . Assumin g tha t lac k o f notic e in th e source s is jus t suc h a criterion , the n it is usefu l to contras t th e We i famil y wit h th e powerfu l elit e wh o wer e influentia l in th e dynasti c founding . Men lik e Wan g Lan g I § fl (tabl e 2 , no . 3) an d Tun g Yu H M (tabl e I , no . 15 ) asserte d nationa l ideals . The y wrot e classica l exegese s an d taugh t th e classic s wit h th e ai m o f swayin g large r debates . Furthermore , thei r opinion s wer e solicite d regardin g th e authenticit y o f oracle-texts . Th e We i Ch i grou p o f calligraph y master s woul d als o hav e know n th e classic s an d classica l exegeses : suc h knowledg e wa s o f th e firs t orde r fo r aspirant s t o leadershi p an d status . Yet , We i an d th e other s see m t o hav e bee n "exegetes " mor e i n th e ancien t Gree k sens e o f th e wor d — interpreter s o f technica l formula e an d rite s in religio-politi ca l settings. 34 Ther e i s no recor d o f Wei' s havin g know n othe r advisers . He ma y hav e know n Ch'e n Chia o $t£ S (tabl e I , no . 12) , wh o wa s th e Prefec t o f Master s o f Writin g a t aroun d th e tim e tha t We i wa s a maste r i n tha t office . I t seem s tha t whateve r militar y an d politica l powe r th e We i famil y ha d cam e onl y i n We i Chi' s son' s generation. 35 Ye t th e Han-We i er a i s recognize d a s on e i n whic h importan t ca 32 . Se e SKC I , pp . 39-42 . Pan' s famil y member s al l wer e cite d fo r expertis e i n writin g (SKC 21 , p . 613 , cit . "Wen-chan g chin") , an d P'a n compose d a funerar y tex t W X fo r Hsii n Yu (SKC 10 , p. 312 , cit . P'ei. ) 33 . SKC 21 , p . 6 1 I. SKCCC 2 , p . 13b , base d o n th e phras e "mad e th e polishe d draf t o f th e edict(s), " claims , plausibly , tha t We i wrot e al l o f Ha n Hsien-ti' s edict s an d document s i n th e matte r of th e abdication . 34 . Th e discussion s an d formulation s concernin g Ts'a o Ts'ao' s dukeshi p i n 21 3 ma y hav e offere d precedent s fo r Ts'a o PT s accession . In 21 3 Ha n Hsien-ti' s lon g announcemen t wa s compose d b y a forme r studen t o f th e influentia l exeget e Chen g Hsua n name d Ch'i h L u fPiS . Classical , exegetical , an d non-canoni c text s wer e cited . E.g. : Kung-yang (wit h exegesi s b y H o Hsi u fnjtf c ), an d a wor k calle d "We n ho u chi h ming " X f l iZ OP . Man y o f th e cite d exegese s wer e b y Cheng , an d thi s show s tha t th e Chen g Hsiia n schoo l o f canoni c interpretatio n wa s importan t t o Ts'a o Ts'a o in 213 , bu t no t fo r hi s so n in 220 . Se e SKC I, pp . 39-40 , cit . "Hs u Han-shu " an d P'ei' s annot. , fo r th e 21 3 A.D . documents . Fo r debate s abou t Chen g Hsiia n i n th e T'ang , se e Wechsler , Jade and Silk pp . 10- 1 1, 46-47 , 115-17 ; an d Kano , Gi Shin. 35. Se e Goodman , "Exegete s an d Exegeses, " pp . 104-6 , fo r a descriptio n o f th e lives , edu -

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reer s wer e bein g mad e b y me n whos e familie s produce d hig h official s o f a purel y literar y type , familie s tha t typicall y instructe d thei r ow n in classica l learnin g an d allie d arts . The career s o f Wei Ch i an d hi s descendant s — literar y me n — thu s wer e affecte d positivel y b y hi s rol e i n th e Han-We i debates . At thi s beginnin g momen t o f th e disucssions , anothe r advise r move s o n an d off th e stage . He i s Chan g Yin (tabl e I , no . 2) , wh o wa s ordere d t o hol d th e stav e o f roya l commissio n fo r th e purpos e o f retrievin g th e ritua l objects . Althoug h n o othe r notice s exist , h e wa s probabl y th e unname d envo y who , a s relate d i n Hou Han shu f^/Hlr , wa s barre d fro m enterin g th e apartment s o f Hsien-ti' s empres s a t thi s tim e fo r th e purpos e o f fetchin g jade s an d tassels . Thu s documen t 2 probabl y record s hi s departin g fo r th e empress' s apart ments. 36 Th e Hou Han shu anecdot e claim s tha t th e empres s becam e angry , an d in tear s tosse d thes e mirand a underneat h a railin g for th e envo y (assume d to b e Chang ) t o pic k up. 37 Chan g wa s a specialist-schola r wh o wa s give n th e prestigiou s offic e o f Gran d Maste r o f Ceremonia l fo r hi s curatoria l skills , an d perhap s onl y temporarily , sinc e tha t offic e an d other s o f th e Nin e Minister s wer e fille d onl y erraticall y in th e Han-We i transition. 38 H e probabl y ha d n o nationa l o r regiona l influence , no r a n influentia l family . His particula r skil l concerne d th e object s o f th e impe ria l religio n tha t wer e carefull y sequestere d an d sough t a t turnin g point s in dynasti c life . Conclusion This chapte r ha s offere d evidenc e o f tw o importan t aspect s o f th e politica l cultur e surroundin g th e Han-We i transition . First , th e cour t provide d a n insti tutiona l plac e fo r th e necessar y expert s in mirand a an d specia l texts , as see n in th e rol e occupie d b y We i Chi . Me n lik e We i an d Chan g Yin represente d a particula r stratu m o f scholar s whos e relativel y lo w o r mid-leve l standin g mad e the m suite d t o overse e sensitiv e ceremonie s an d ritua l materials . A stron g censoria l rol e fo r suc h low-ranking , ofte n hereditary , scribe s an d technica l expert s continue d o n a t Chines e court s wel l int o th e premoder n period . Second , th e openin g scenari o o f th e Han-We i changeove r prompt s u s to thin k o f Chines e religion s a s havin g lon g an d lastin g roots . Beside s th e usua l -H- cation , an d literar y backgroun d o f We i Ch i an d hi s so n Wei Kua n I I. Kua n wa s dispatche d b y Ssu ma Cha o ^1 HBp in 26 3 t o b e a militar y proconsu l o n Chun g Hui' s H# expeditio n agains t Shu . (He ultimatel y stave d of f Chung' s attemp t to tur n th e expeditio n int o a rebellio n agains t th e We i throne. ) Kua n attaine d hig h posts , risin g fro m Maste r o f Writing , to Gran d Tutor , an d Ministe r o f Work s (i n 280) . H e ha d exactl y th e sam e skill s a s hi s fathe r — cour t prose , la w an d lega l compendia , an d calligraph y (C S 36 , p . 1057 ; TCTC/F2, p . 422 ; an d Fang' s not e 3.3) . We i Kuan' s statur e continue d int o th e nex t generation : on e o f hi s son s marrie d th e Chi n empero r Wu' s daughte r (CS 36 , pp . 1055 , 1057) . 36 . HHS I OB , "Biog . of Empres s Ts'ao, " p . 455 . 37 . In earl y historiograph y a variet y o f term s wa s use d t o refe r t o th e court' s treasure objects . TCT C 69 , "K'ao-i, " p . 2182 , denie s th e anecdote' s validit y becaus e evidenc e i n HS 98 , "Biog . o f Empres s Yuan, " pp . 4032-33 , indicate s tha t seal s wer e no t usuall y kep t i n th e empresses ' apartment s (n . 4, above) . Fo r th e roya l appointment s conferre d o n Hsien-ti' s empress , se e SKC I , pp . 42, 45 . 38 . O n th e staffin g o f th e Nin e Ministers , se e chap . 11 .

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discussion s o f Chines e religion s tha t emphasiz e th e scriptura l canon s an d priest lineage s o f Taois m an d Buddhism , we mus t als o discus s a primary , ancien t Chi nes e religio n o f ancesto r worship , funerar y rite s an d liturgies , an d postmorte m worlds . Th e court' s us e o f antique , power-lade n script s connect s culturall y bot h backwar d in tim e — t o th e script s o n pre-Ha n an d Ha n tom b object s an d text s — an d forwar d t o th e earlies t Buddho-Taois t talismani c writing s an d fortune-tellin g device s tha t eventuall y wer e edite d an d printed .

70

Chapte r Fou r Undated : Celestial-Maste

r Taoist s Delive r a Pro-Ts'a o P' i Oracl e

D

ocumen t 3 (translate d below) , th e firs t o f tw o i n thi s chapter , contain s a memoria l take n fro m a reliable , early-third-centur y anna l title d "Hsien-t i chuan " i J l ^ r f l l, "An Accoun t o f [th e Reig n o f Ha n Emperor ] Hsien-ti. " Portion s of i t surviv e solel y throug h th e editin g two centurie s late r o f P'e i Sung-chih , as discusse d in th e Introduction . Citin g an d quotin g document s wa s a t th e hear t o f P'ei' s craft , motivate d n o doub t b y a desir e simpl y t o introduc e al l th e pertinen t evidence s fo r resolvin g textua l problems . In fact , h e wa s criticize d fo r goin g to o far i n tha t regard . Bu t hi s inclusivenes s als o contribute d t o reconstruction s o f scenario s an d a n earlie r culture . Thus , a t this poin t in the flow o f documents , jus t afte r th e Ha n emperor' s shrin e announcement , P'e i calle d o n a legendar y anec dot e fro m "An Accoun t o f Hsien-ti. "

The legen d concern s a n oracl e supposedl y havin g originated , o r a t leas t havin g bee n promoted , in Sh u § 0 sometim e betwee n 21 3 an d 216 . It wa s memorialize d to Ts'a o P' i onl y i n 220 . As i s frequentl y th e cas e with legend s i n earl y China , it exhibit s veraciou s element s i n th e "oute r story, " a s Gle n Dudbridg e ha s aptl y terme d th e publi c piece s o f a myt h o r legend. 1 Below , b y carefull y puttin g to gethe r smal l item s o f Sh u loca l history , we sketc h tha t oute r story . Yet, th e "inne r story " ha s its ow n utility. It conveye d importan t emotion s surroundin g th e Ts'ao family's struggl e t o se t a style an d authorit y fo r thei r dynasty . I t als o supplie d a Taois t legitimatio n o f Ts'a o P' i an d a pro-Ts'a o P' i topo s o f a "dark " o r "mysteri ous " predicter . Thes e wer e perhap s th e firs t instance s i n wha t woul d b e a lon g traditio n (wit h significan t impac t i n th e T'ang ) o f priestl y authorizer s an d magica l advisers .

"HSIEN-T I CHUAN" P'e i Sung-chih' s collatio n ha s the advantag e of bein g the earlies t chronologizatio n of th e Han-We i dossier , and , mos t important , i t reflect s th e editor' s ow n judg ment s abou t sources . I f we accep t hi s datin g o f th e events , the n w e mus t see k significanc e i n hi s orderin g an d arrangement . Previously , to supplemen t Ch'e n Shou' s mai n text , P'e i culle d th e Easter n Ha n emperor' s shrin e announcemen t fro m a cour t histor y b y Yua n Hun g titled Han chi, o r Hou Han chi f£/H&fi (Records of the Later Han), compile d i n th e tw o decade s befor e 376 . His quotin g th e announcemen t fleshe d ou t th e spars e San kuo chih, bu t wa s als o meant , I believe , to suppl y archiva l detail s o f a norma tive Ha n ritua l — announcement s t o th e dynasty' s founde r — tha t ha d th e

m

I. Se e Gle n Dudbridge , "Yu-ch'i h Chiun g at An-yang : An Eighth-Centur y Cul t an d Its Myths, " AM3dser.4. l (1990) , p . 43 .

TS'A O P' I AN D POLITICA L CULTUR E

adde d significanc e o f sanctionin g Ts'a o P'i' s accession . Havin g exhauste d Han chi for tha t purpose , P'e i Sung-chi h gathere d item s tha t woul d fram e th e openin g of th e discussion s amon g Ts'a o an d hi s adviser s a s a respons e to tha t ritualize d sanction . In fron t o f P'e i Sung-chi h wer e numerou s entrie s fro m "A n Accoun t o f Hsien ti." Thi s source-compilatio n wa s th e wor k o f Liu Ai S'JJ t (ca . 16 0 - ca . 220+) , wh o kne w abou t th e Ch'ang-a n are a unde r Tun g Ch o (190-92 ) an d th e movement s o f th e las t tw o Ha n emperors . Li u als o wrot e annal s o f Ling-ti' s reign. 2 W e kno w littl e abou t Liu — eithe r family , activities , o r career . Hi s office s were : I) Prefec t o f Sha n K (i n Hung-nun g commandery); 3 2 ) Directo r o f th e Imperia l Cla n T^ ; IE; 4 3 ) Gentlema n i n Regula r Attendanc e - f t i , seemingl y als o sometim e in th e 190 s unde r Tun g Cho; 5 an d 4) i n 21 6 a specia l emissar y holdin g a n imperia l tall y wit h th e ran k o f Grande e Secretar y f ^ ^ S p n f P i A ^ . 6 I n variou s o f thes e contexts , Li u i s see n t o convers e wit h a n astrologe r an d t o hav e possesse d a curatoria l specialt y regardin g seals . In th e mid-190 s h e i s reporte d t o hav e hel d th e honorar y title s Ministe r o f P'eng-ch'en g l^ttff l an d lieh-hou ?IJ1 ^ ("ranke d marquis") . Finally , h e ma y hav e know n abou t event s in Shu , sinc e hi s Ling-t i annal s contai n detail s abou t th e ver y firs t Han-chun g leade r o f th e Five-Pecks-of-Ric e Taoist s — Chan g Hsi u 'Kf ^ J Suc h a broa d acquaintanc e wit h nationa l affair s correspond s t o th e historio graphica l genr e tha t Li u Ai use d — tha t o f cour t annal s o r accounts . We shoul d not , however , thin k o f suc h genre s a s tightl y confine d o r universall y practised . A singl e genr e nam e — th e wor d o r word s in a title tha t tende d to identif y authoria l scop e an d to a lesse r exten t motiv e — coul d operat e unde r severa l categories . Fo r example , th e genr e name s IB, \M , an d # f ^ appea r i n boo k title s i n mos t o f th e categorie s o f historiograph y give n in th e seventh-centur y i n Si//-s/?iv. 8 An d in th e Han-We i perio d scholarl y writer s ar e know n t o hav e experimente d wit h an d change d genres . The y increase d th e rol e an d siz e o f commentativ e notes ; thei r ku-wen exegese s include d wholesal e rearrangement s o f th e classics ; an d ne w in terests , suc h as phonolog y an d lexicology , an d exemplification s an d genera l mean ing s becam e popula r a s genre s an d genr e names. 9 2. Fo r a stud y o f Liu Ai an d th e veracit y o f "Hsien-t i chuan, " se e Howar d L Goodman , "Celestial Maste r Taois m an d th e Foundin g of th e Ts'ao-We i Dynasty : The L i Fu Document, " AM 3 d ser . 7. 1 (1994) , pp . 5-33 , esp . p. 14 , wher e evidenc e is adduce d to suppor t a post-22 0 deat h dat e o f Liu Ai . Raf e d e Crespigny , The Records of the Three Kingdoms, Occasiona l Pape r 9 ( Canberra : Australia n Nationa l U. , 1970) , p . 60 , surmise s tha t Li u ma y no t hav e live d pas t 21 6 an d tha t hi s wor k wa s finishe d b y others . All earl y view s o n th e authorshi p o f "Hsien-t i chuan " wer e collate d in th e Ch'in g era , in Yao Chen-tsung , Sui-shu ching-chichih kao-cheng, ch. I I, i n Erh-shih-wu shih pu-pien. 3. SKC 6, p . 186 , cit . Liu' s ow n "Hsien-t i chi. " 4. Mentione d abou t 195 , an d agai n in 214 ; se e SKC I, p 13 , cit. "Ha n chi" ; an d I , p . 43, ci t "Hsien ti ch'i-chi i chu, " respectively . 5. SKC 46, p . 1098 , cit . "Shan-yan g kun g tsai-chi. " 6 . SKC I, p. 48, cit Liu' s ow n "Hsien-t i chuan. " 7. Se e HHS8 , p . 349 . Ja o Tsung-i , Lao-tzu Hsiang-erh chu chiao-cheng (Shanghai : Shang-ha i ku-chi , 1991) , p . 152 , call s this a veraciou s repor t o n activitie s in Shu , becaus e Liu wa s a contemporary . 8. Se e Goodman , "Li F u Document. " 9. Th e historica l development s in pros e genre s in thi s tim e perio d ar e touche d upo n in Jame s Hightower , Topics in Chinese Literature: Outlines and Bibliographies, Harvard-Yenchin g Inst . Studies , 3 (Cambridge , Mass. : Harvar d UP. , 1950) ; bu t covere d mor e full y in essay s by Crai g Fis k an d Willia m Nienhauser , Jr. , i n Nienhauser , comp. , The Indiana Companion to Traditional Chinese Literature (Bloomington : Indian a U.P. , 1986) , pp . 49-58 , an d 93-120 ,

72

FOUR : CELESTIAL-MASTE R TAOIST S

In historiography , a "ch'un-ch'iu" account , fo r example , ma y hav e discusse d chronologicall y th e event s o f a leadin g family , o r a court , bu t i t wa s no t boun d onl y t o giv e date s an d procee d onl y forward . Thus , Li u Ai migh t no t hav e fel t constricted ; h e coul d occasionall y writ e a s a diaris t o f imperia l activit y an d repos e (know n a s "ch'hchu chu" jEJUi/E) , a s show n in th e othe r document s o f th e Han We i discussions , wher e w e lear n memorializers ' names , th e date s o f thei r submis sions , an d variou s allusion s an d title s o f work s tha t the y cited. 10 Th e forma t no t jus t o f documen t 3 , bu t th e other s fro m Li u Ai's compendiu m (se e tabl e 4) , i s reportorial : Ts'a o P' i listen s t o speeche s o f advisers , communi cate s bac k an d forth , an d engage s the m a n exchang e o f courtesie s wit h Ha n Hsien ti abou t th e correctnes s an d logistic s o f hi s takin g th e throne . Li u Ai's tex t no t onl y recounte d Hsien-ti' s coming s an d goings , bu t Ts'ao' s a s well ; no t onl y pertinen t speeche s an d memorials , bu t order s an d pronouncement s o f bot h th e em pero r an d th e kin g o f Wei . In summary , then , we hav e ever y reaso n to accep t "A n Accoun t o f Hsien-ti" : its autho r Li u Ai specialize d i n cour t historiography , wa s familia r wit h th e activitie s an d movement s o f Ling-t i an d Hsien-ti , especiall y thei r peregrination s unde r Tun g Ch o i n Ch'ang-an , an d th e author' s work s hav e bee n accepte d i n thi s capacit y b y othe r earl y scholar s beside s P'e i Sung-chih . Precisel y becaus e th e legen d in docu men t 3 stand s ou t clearl y fro m th e res t o f th e dossie r i n "Accoun t o f Hsien-ti, " an d becaus e i t wa s th e firs t o f these , we mus t infe r no t onl y historiographi c an d literar y motive s fo r it s prominence , bu t als o hagiographi c ones . Suc h motive s emerg e late r i n thi s chapter .

CHANG L U AND THE FIVE-PECK , OR CELESTIAL-MASTER , TAOIST S Th e memoria l in documen t 3 wa s delivere d to Ts'a o P' i b y on e Li Fu $ t £ (tabl e I, no . 6) , a n obscur e figur e i n history , althoug h a ma n undoubtedl y know n t o Ts'a o becaus e hi s recen t appointmen t wa s in Ts'ao' s cour t literar y college. 11 Th e legen d neste d i n Li' s memoria l feature d me n eve n mor e obscure , an d ou t o f thi s

^ respectively . Fo r genre s of classica l exegesi s in th e thir d century , esp . thos e associate d with l-ching, se e Goodman , "Exegete s an d Exegeses, " chap . 7. 10. In th e Ha n period , genr e name s i n history-writin g carrie d meaning s tha t wer e no t readil y associate d with the m durin g Tan g times . Beginnin g wit h Shih-chi, chuan, fo r example , referre d to a compilatio n o f anecdotes , memoirs , an d othe r extract s tha t presente d lives , ofte n associate d in groupings . In earl y historiograph y th e chuan wer e frequentl y spliced-togethe r narrative s o f hero s wh o figure d in long , extende d events . Chuan coul d als o mea n a "tradition, " tha t is , an explanatio n of a classi c hande d dow n wit h scholi a o r pedagogi c dialogue . Finally , i t coul d refe r t o a n essa y o r "monograph " o n a broa d subject , functionin g partiall y as did th e historiographi c "treatise , or mono graph " genr e (chih ifc ) . Se e Deni s Twitchett , "Chines e Biographica l Writing, " in Wm. Beasle y an d Edwi n Pulleyblank , eds. , Historians of China and Japan (London : Oxfor d UP. , 1961) ; Wm . Nienhauser , Jr. , "A Reexaminatio n o f Th e Biographie s o f th e Reasonabl e Officials ' in th e Records of the Grand Historian" Early China 16 (1991) ; an d idem , essa y "Prose, " in Indiana Companion (se e prev . n.) , pp . 106-7 . On th e change s in officia l lieh-chuan an d informa l biograph y genre s durin g th e Tang , se e Davi d McMullen , "Th e Deat h o f Cho u Li-chen : Imperiall y Ordere d Suicid e o r Natura l Causes? " AM 3 d ser . 2. 2 (1989) , pp . 23-82 ; an d idem , "Th e Rea l Judg e Dee : Ti Jen chie h an d th e Tan g Restoratio n o f 705, " AM 3 d ser . 6. 1 (1993) . I I. O n thi s cour t college , se e chap . 2, above .

73

TS'AO P' I AN D POLITICA L CULTUR E milie u sprun g th e mysteriou

s predicte r referre d t o above . Th e exceptio n t o al l

thi s i s Chan g L u 3 R H (tzu £ ^ t t ) (se e tabl e I , no . 7) , wh o wa s wel l know n a s on e o f th e mos t charismati

c militar y leader s o f hi s time . Th e anecdota

t o actua l event s i n Shu , mostl y Han-chun g / H ^ commander er n Shensi) , jus t befor e Chang' s surrende

l scene s relat e

y (present-da

y south -

r t o Ts'a o Ts'a o i n 215-216 . I t i s m y

contentio n tha t w e hav e befor e u s a documen t attestin g th e influenc e o f th e Ce lestial-Maste r movement , whic h survive d a t leas t dow n int o th e reig n o f Ts'a o P'i' s so n Ming-ti . Therefore , befor e proceedin

g t o th e translatio n o f it s text , w e mus t

examin e facet s o f Sh u history , th e surrende me n associate

r o f Chan g Lu , an d th e live s o f thos e

d wit h him . W e se e tha t thes e latter , th e associates

vyin g fo r leadershi

, wer e i n fac t

p o f th e movemen t afte r Chang' s death . I hav e terme d them ,

an d Chan g Lu , "advisers " t o Ts'a o P' i an d liste d the m i n tabl e I . Thi s i s o f cours e a n anachronisti

c liberty . Excep t L i F u — a n actua l advise r t o Ts'a o P'i , the y wer e

no t presen t i n 220 . The y wer e a n indirec t influence , exertin g leverag e throug h Chan g Lu' s charisma , an d throug h th e charism a o f thei r mediu m — oracle-tex

t

an d politica l divination . Chan g L u ma y b e spli t analyticall y int o tw o personas o f sources . Firs t i s th e so-calle d historiographica raphy , epigraphy , an d othe r compilations.

12

, eac h wit h it s ow n bundl e

l traditio n o f cour t records , biog -

O n th e othe r hand , Taois t hagiograph

cas t Chan g L u a s a scio n i n a n unbroke n priest-lineag

y

e situate d almos t entirel y i n

th e south . Thi s pictur e aros e lon g afte r Chang , mostl y i n th e late-Tan g an d Sun g eras . Her e I dea l wit h th e historiographi

c side , sinc e th e othe r yield s littl e o f us e

fo r th e proble m a t hand . I n anothe r wor k I hav e examine d al l o f th e evidenc e surroundin g Chang' s activitie s a t th e tim e o f hi s surrende hav e relate d thi s t o passage canon.

r t o Ts'a o Ts'a o an d

s abou t Chang' s fina l years tha t ar e foun d i n th e Taois t

13

Ther e ha s bee n n o separat e stud y b y pre-190 0 Chines e historian s o f th e origin s o f th e Five-Peck , cu m Celestial-Master , Taoists . W o r k i n g i n th e 1930s , Henr i Masper o wa s th e firs t t o approac h tha t withi n th e contex t o f th e histor y o f Tao ism. 1 4 Masper o use d th e historiographi c tradition , whic h say s tha t Chan g Lu' s grandfathe r Tao-lin g MP S , o r Lin g P H , cam e t o Sh u fro m P'e i principalit y /rfc B , th e sam e hom e regio n a s tha t o f th e Ts'ao s an d thei r generals . Chan g T a o -

12. Biog. SKC8, pp . 263-66 ; remark s abou t him , unles s noted , refe r there . Cf. biog . detail s in HHS 42 ("Biog . o f Liu Ye n §\\M ") , pp . 144 9 ff.; Ch'an g Ch'ii , Hua-yang kuo-chih (Kuo-hsiie h chi-pe n ts'ung-sh u edn. ) 2 , pp . 17 , 22; Ko Hun g H / ^ , Shen-hsien chuan W l l l f l (l-hu a chiin-hu a edn. ) 4 , pp . 8a- 1 lb; an d Lie n Ch u j l f t, comp. , Kuang-hsin fu-chih imititt^ (178 2 restore d woodbloc k edn. ) 15, pp . I Ob- 1 la. Th e latte r i s base d greatl y o n th e versio n containe d i n Lo u Chin-yua n ^ M i i j l , comp. , Lung-hu shan chih f l j ^ U j , i> (174 0 revise d an d restore d woodbloc k edn.) . Thes e gazetteer s derive d thei r biographie s o f th e Chang s fro m th e I Ith-c . Han t'ien-shih shih-chia M ^ f p t ^ l ^ , foun d i n Tao tsangMM , HY no . 1451 . O n thi s process , se e Timoth y Barrett , "Th e Emergenc e o f the Taois t Papac y in the Tan g Dynasty, " AM 3 d ser . 7. 1 (1994) . Almos t al l thes e source s ar e draw n togethe r i n SKCCCS, pp . 42b-49 a [274-78] . Still a goo d narrativ e o f th e Chan g family (wit h som e mistakes ) is tha t o f Henr i Maspero , Taoism and Chinese Religion, trans . Fran k Kierman , Jr. (Amherst : U. Massachusett s P. , 1981) , pp . 373-83 ; an d th e revise d chronolog y an d contextin g o f th e earl y Celestia l Master s b y T'ang , "T'ien-shi h tao, " pp . 218-32 . 13. Se e Goodman , "Li F u Document, " whic h place s doc . 3 amon g th e othe r sources , an d gives adde d suppor t t o T'ang , "T'ien-shi h tao. " 14. Se e Timoth y Barrett' s intro . to Maspero , Taoism, pp. viii-xxiii, for Kawakats u Yoshio' s role i n bringin g Maspero' s wor k t o Japan .

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FOUR : CELESTIAL-MASTE R TAOIST S

ling move d th e famil y int o Sh u a s client s o f a n estate-holdin 130 s o r 140s .

g famil y i n th e

Tan g Ch'ang-j u HfftJ S suggest s tha t Chan g Tao-lin g ha d previousl y bee n influ ence d b y Yello w Turba n activit y i n P'ei . Whe n h e go t t o Sh u h e foun d Five-Pec k Taois m alread y i n ful l swing , le d b y Chan g Hsi u $k{& , wh o wa s not , contrar y t o P'e i Sung-chih' s opinion , on e o f th e Celestial-Maste r Chan g family. 15 Tao-lin g an d his so n Hen g tl j institute d variation s i n Taois t techniques , graduall y developin g thei r ow n identit y i n concer t wit h Chan g Lu' s mother . Th e latte r effecte d Lu' s appointmen t a s investigativ e commande r (tu-i ssu-ma f P H o l ^ ) becaus e o f he r influenc e a s heale r (o r shamaness ) i n th e househol d o f thei r patro n Li u Yen §\\M , a Han-cour t appointe d administrator. 16 Whe n Chan g Lu , Heng' s son , was sen t ou t b y Liu Yen o n a militar y missio n alon g with Chan g Hsi u (presumabl y no w in hi s late r years) , h e ha d Hsi u murdered ; hi s follower s wer e the n coopte d int o th e Chang-famil y movement . Chan g Tao-lin g institute d th e 'Taois t techniques " MWl tha t becam e a featur e of th e ne w religiou s an d militar y community . Th e source s stat e tha t th e structur e of th e communit y wa s lik e tha t o f Chan g Chiieh' s 3Rf t earlie r T'ai-p'ing s ^W- . Th e T'ai-p'ing s heale d b y mean s o f ritua l nine-notche d stave s use d a s prayer tallie s an d th e drinkin g o f specia l waters . If th e il l di d no t recover , i t wa s consid ere d tha t the y simpl y di d no t believ e i n th e Ta o correctl y — a hermeti c typ e o f medicine . Five-Peck s healing , a generatio n later , wa s similar , bu t use d meditatio n room s fo r ponderin g guilt . Hea d libationer s (chi-chiu f&M) gav e instruction s i n th e Laotzu tex t an d helpe d peopl e us e writte n prayer-slip s U J 7 Th e follower s wer e organize d lik e a n army : catechumen s wer e ghost-soldiers , an d postulant s wer e libationers. 18 Eac h leade r (grea t libationer ) commande d a divisio n an d se t up "lodge s fo r th e believers " jlli r tha t offere d provisions . Th e communit y hel d a stron g positio n i n Han-chun g fro m abou t 18 5 t o 215 , o r perhap s a littl e beyon d that. 19 As a leade r i n Han-chung , Chan g Lu wa s a n interprete r o f oracles , a s pe r th e following : 15. SKCS, p . 264 ; als o SKCCCB, pp . 45a-b ; T'ang , "T'ien-shi h tao, " pp . 221-23 . 16. SKC 31 , p . 868 . Whethe r sh e wa s "healer " o r a shamanes s with th e powe r t o invok e spirits , or effec t ecstati c practices , is no t clear . Th e ter m fo r he r practic e i s "th e wa y o f demon s (o r ghosts) " j & j l l. Se e Maspero , Taoism, p . 375 , fo r th e contex t o f ecstati c practices . 17. SKCS, p . 264 , cit . "Tie n liieh. " Writte n talisman s (fu fit) wer e use d b y Chan g Tao-lin g earlie r fo r curin g diseas e (se e Seidel , "Taois t Sacraments, " pp . 314-15) . On talisman s in medieva l China , se e Miche l Strickmann , "Th e Sea l o f th e Law : A Ritua l Implemen t an d th e Origin s o f Printing, " AM 3 d ser . 6. 2 (1993) . "Libationer " wa s a standar d office-titl e i n Ha n government ; Bielenstein , Bureaucracy, e.g. , p . 23 . 18. Amon g othe r duties , the y oversa w recitatio n o f th e Lao-tzu; se e Rol f Stein , "Remarque s su r le s mouvement s d u Taoism e politico-religieu x a u lie siecl e ap . J.-C, " 7P50.I- 3 (1963) , pp . 42-44 , 49 . 19. Se e als o HHS 75 , pp . 2435-36 ; a surve y o f Fiv e Peck s activit y is in CHC I , esp . pp . 628-29 . Fo r summarie s o f anti-Ha n religiou s movements , se e Pau l Michaud , "Th e Yello w Turbans, " MS 17 (1958) , pp . 47-127 ; Stein , "Remarques" ; idem , "Religiou s Taois m an d Popula r Religio n fro m th e Secon d t o Sevent h Centuries, " i n Ann a Seide l an d Holme s Welch , eds . Facets of Taoism (Ne w Haven : Yale U.P.,1979) ; Levy , "Yello w Turba n Religio n an d Rebellio n a t th e End o f th e Han, " JAOS 76. 1 (1956) , pp . 214-27 ; Ofuch i Ninji , "Gotobe i d o n o kyoh o n i tsuite, " Toyo gakuho 49. 3 (1966) , o n th e textua l evidence ; an d Seidel , "Imag e o f th e Perfec t Ruler. "

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Earlier , Chan g Lu wa s Genera l Who Defend s th e North , an d Li Hsi u $ i^ wa s Major , [lodgin g with ] hi s famil y in Nan-chen g jfjftP . At thi s tim e swee t de w fell in Han-chung . Li witnesse d Chang' s severa l myria d o f crac k troop s fflft an d [Chang's ] firm hol d in all th e fou r passes . Subsequen t [t o th e swee t de w epi sode , people ] mad e u p a saying : "Th e re d forc e (ch V M) ha s bee n lon g in dyin g out ; th e yello w hous e ough t the n t o ris e up. " The y wante d Chan g to tak e a title , bu t Chan g woul d no t g o along. 20 Also , sometim e afte r Chang' s appointmen t b y th e Ha n cour t a s Han-nin g Gran d Administrato r /H¥^v^F , "peopl e foun d a jad e sea l in th e earth , an d [thereupon ] all hi s subordinate s wante d t o hono r Chan g as kin g of Han-ning. " Bu t a n officia l in Chang' s Burea u o f Merit , Ye n P' u [ H HB, sai d tha t it woul d b e a disaster ; s o Chan g refused. 21 Ts'a o Ts'a o sen t Chun g Yu H S I (tabl e 2 , no . 24 ) t o quel l Chang' s hol d o n Han chun g in 2 1 I; the n a large r mov e cam e in th e fal l o f 215 , le d b y suc h general s a s Hsi n P' i (tabl e 2 , no . 9 ) an d Liu Yeh (tabl e 2 , no . 10) , wh o campaigne d alongsid e Ts'ao . In abou t Augus t o f 21 5 Ts'a o Ts'a o bega n a flankin g operation , hopin g t o ente r centra l Sh u fro m Wu-tu , whic h wa s wes t o f Han-chung . He reache d Yang p'in g Pas s Pi^FH , leadin g Hsi n P' i an d Liu Yeh . Chan g Lu' s brothe r Chan g Wei ftj wante d to resis t Ts'a o a t th e Pass , agains t th e wishe s o f Chan g Lu . Chan g Wei wa s crushed , an d Lu the n wa s "o n th e verge o f surrendering " ^ f S I I . Ye n P'u , how ever , strongl y urge d hi m no t t o b e force d int o i t wit h n o appearanc e o f militar y achievement , bu t instea d to wai t unti l a n imminen t large-scal e conflic t amon g Sh u tribe s brok e out , an d the n h e woul d b e bette r place d fo r th e surrender . I t wa s probabl y a t thi s poin t in tim e tha t Chan g Lu als o decide d no t to destro y hi s good s an d supplie s in Nan-cheng , bu t to leav e the m fo r Ts'a o Ts'ao . Chan g the n "fle d to Nan-sha n p£J|l | an d entere d Pa-chun g E + ." 22 Th e Nan-sha n mountain s wer e jus t sout h o f th e Han-chung/Nan-chen g urba n complex , separatin g it fro m centra l Pa . The mountain s offere d isolatio n fo r Chan g whil e h e decide d hi s nex t step . He wa s tor n betwee n immediat e surrende r t o Ts'ao , strugglin g o n hi s ow n (appar entl y wit h plan s t o manipulat e loca l unrest) , o r t o g o a t leas t temporaril y west war d — t o Li u Pei . "Liu Pe i appointe d Huan g Ch'ua n MS t o lea d al l hi s general s t o welcom e Lu . Lu [however ] ha d alread y returne d t o Nan-chen g in hi s northwar d surrende r t o Ts'a o Ts'ao." 23 Nan-chen g wa s Chang' s norma l cente r o f operation s an d th e loca tio n o f hi s store s an d supplies . It wa s on e o f th e nin e walle d citie s o f Han-chun g commander y — attache d t o Han-chun g fu. 2 4 Chan g ha d decide d t o g o nort h 20 . SKC 9, p . 290 , cit . "We i liieh. " Li wa s late r rewarde d b y Ts'a o Ts'a o fo r helpin g Chan g decid e agains t kingship . 21 . HHS 75 , pp . 2436-37 , biog . o f Liu Yen . 22 . SKC8, pp . 264-65 ; als o I, pp . 45-46 . The narrativ e at 8, p . 265 , implie s tha t th e decisio n to sea l his storehouse s for th e eventua l us e of Ts'a o Ts'a o occurre d afte r movin g sout h int o Nan-shan . But thi s woul d see m to b e ou t o f order , o r els e som e o f hi s lieutenant s lef t behin d in Nan-chen g carrie d ou t hi s instructions . 23. SKC A3, p . 1043 ; als o Hua-yang kuo-chih 2, p. 17 , addin g tha t at thi s poin t it wa s Yen P' u wh o suggeste d joinin g westwar d wit h Li u a s a mean s o f gettin g throug h t o Ts'a o Ts'ao , instea d o f goin g directl y "northwar d t o surrende r t o Ts'ao" ; se e SKCCC 8 , p . 47b , fo r Ch'ing-er a comment s o n al l o f thes e passages . 24 . Se e HHS, "Treatis e o n Commanderie s an d Principalities, " sect . 5, p . 350 6 (whic h als o

76

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acros s th e mountain s t o Han-chung-fu . Ts'a o Ts'a o ha d jus t entere d Nan-chen g an d raide d Chan g Lu' s storehouse s i n orde r t o feas t hi s troops , wh o wer e wear y fro m th e treacherou s journe y fro m Wu-tu . He wa s impresse d wit h Chang' s fore though t in suppylin g hi m wit h goods. 25 Th e tw o grea t warrior s wer e no w in clos e proximity , an d cooperatin g in som e way . Th e tim e wa s roughl y September , 215 . In September-October , Ts'a o Ts'a o too k bot h centra l P a an d Hanchun g an d restructure d th e administraton . In October-Novembe r Ts'a o Ts'a o receive d sur rendere d tribespeopl e (a s strategize d b y Chan g Lu an d Ye n P'u ) an d gav e thei r leader s administrativ e post s i n a newl y divide d P a commandery . Sometim e i n December , 215 , o r January , 216 , "Chan g wa s finishin g leadin g hi s famil y out , whe n Ts'a o Ts'a o welcome d hi m b y appointin g hi m Genera l Wh o Quell s th e South . He treate d hi m wit h courtesie s afforde d a guest , an d ennoble d hi m a s Marqui s o f Lang-chun g US 4 ^ j ^ . " Ye n P' u an d al l five o f Chang' s son s wer e ennoble d equally , an d on e o f hi s daughter s wa s give n in marriag e t o Ts'a o Ts'ao' s so n Ts'a o Yu. 2 6 Afte r defeatin g Chan g Lu , Ts'a o Ts'a o returne d t o Yeh , whic h wa s no t jus t hi s headquarter s bu t als o a troop-musterin g locale. 27 Th e historiographi c source s als o tel l u s abou t reward s give n to variou s o f Chang' s forme r adviser s an d follow er s an d thei r movin g to Yeh. 28 I n fact , a s th e anti-Chan g campaig n wa s comin g to a close , an d for som e tim e afterward , peopl e "gladl y migrate d o f thei r ow n accor d to Lo-yan g an d Yeh." 29 T'an g Ch'ang-j u bring s togethe r othe r evidenc e t o sho w tha t thes e migration s wer e enormou s an d comprise d th e crucia l Celestial-Maste r presenc e in Yeh an d th e Centra l Plai n afte r 216. 30 Othe r item s sugges t tha t mem ber s o f th e Chan g famil y staye d i n th e Han-chun g an d wester n P a regions , o r a t leas t thei r memor y an d influenc e lingered. 31 Up to thi s point , we se e tha t Chan g Lu wa s a powerfu l religiou s leade r wh o wa s skille d in , an d i n fac t conservativ e towards , oracle-tex t wel l befor e 220. 3 2 Hi s famil y ha d som e sor t o f connectio n t o th e principalit y o f P'ei , an d Ts'a o Ts'a o regarde d hi m highl y in 216 , offerin g marriag e alliance , titles , an d a templ e name . Chan g influence d a wid e are a o f Shu , an d hi s activitie s i n Han-chun g wer e eithe r witnesse d firsthan d o r discusse d amon g adviser s lik e Liu Yeh an d Hsi n P' i (whos e famil y wa s originall y fro m th e fa r west) : the y bot h ha d fough t agains t Chan g Lu in th e Han-chun g campaign . Chan g L u wa s a powerfu l figur e i n th e Ts'a o family' s memory . -estate s Nan-chen g wa s o n th e Ch'i h yfo R.) . Ku Tsu-yii , Tu-shih fang-yu chi-yao (Peking : Chung-hua , 1953 ) 56 , p . 2447 , claim s tha t jus t befor e Ha n it wa s a suburba n enceint e attache d to Han-chun g city . It becam e a separat e capita l an d administrativ e uni t subsequently ; YHCHTC, vol . I , p . 558 . 25 . SK C I , p . 45 . 26 . SKC 8 , p . 265 ; als o I , p . 46 . A varian t (HHS 75 , p . 2437 ) contain s th e ters e "wa s abou t t o retur n t o th e centra l state s [i.e. , Chin a o f th e Centra l Plain]. " Bu t th e perso n "abou t t o return " refer s t o Ts'a o Ts'ao , no t Chan g Lu. 27 . See , e.g. , SKC 9, p . 272 . 28 . L i Hsiu , wh o ha d advise d Chan g Lu no t t o proclai m a ne w kingdom , wa s rewarde d b y Ts'a o Ts'a o an d wen t t o Ye h wit h a smal l appointment ; SKC 9, p . 290 . 29 . SKC 23 , p . 666 . 30 . Tang , "T'ien-shi h tao, " pp . 229-30 . 31 . Thes e ar e covere d i n Goodman , "L i F u Document. " 32 . Ann a Seidel , La Divinisation de Lao tseu dans le Taoisme des Han, Publication s d e I'Ecol e Francais e d'Extreme-Orien t 7 1 (Paris : Ecol e Francais e d'Extreme-Orient , 1969) , p . 83 , n . 3 , discusse s thi s attitud e o f Chang .

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The severa l me n in documen t 3 compris e a smal l contingen t o f forme r adviser s of Chan g Lu. We kno w nothin g o f Li Fu' s family locale , no r wh o hi s family were , bu t we ca n assum e the y haile d from th e west . His nam e turn s u p nowher e els e in Chines e historica l sources . Bu t from th e documen t we lear n tha t h e ha d no t bee n in Ts'a o PV s cour t fo r long ; earlie r h e wa s in Han-chung , a n intimat e advise r o f Chan g Lu. 3 3 H e wa s obviousl y a new , surrendere d advise r i n Ts'a o PV s entou rage , an d a s we se e in th e following translation , eage r t o mak e hi s mar k an d t o justify hi s dubious , outsider , status . Aside fro m a scenari o insid e th e anecdote , we kno w nothin g o f ye t anothe r figure , Chian g H o # 1 ^ , from Wu-t u 5tf P . 3 4 Portion s o f th e Fiv e Peck s ar e know n to hav e operate d ther e amon g non-Chines e peoples. 35 We als o lear n tha t Chian g wa s wel l know n in othe r wester n region s for hi s gnosti c arts , for exampl e in Kuan-y u 1!S[ , whic h la y wes t o f th e Han-k u E i S Pass , encompassin g th e Shensi-Kans u border . Chian g an d hi s associat e L i Sh u $ J * see m t o hav e bee n itineran t advisers . TS'A O P' I ACCEPT S TH E ORACLE-TEX T A ND IT S PREDICTIO N "Hsien-ti chuan carrie s a hos t o f affair s concernin g th e ceremonia l abdicatio n an d th e [dynastic ] change ; it states: " Left Genera l o f th e Gentleme n o f Househol d Li F u memorialize d to th e We i king: "Som e time ago , whe n the forme r kin g [Ts'a o Ts'ao ] ha d first establishe d the principalit y o f We i (i n th e summe r o f 213) , all thos e residin g outsid e th e territorie s [o f the Han-We i government ] wh o hear d abou t it bu t did no t find ou t [th e details ] though t tha t h e ha d bee n conferre d [with th e title] o f king ft * t ^ M Z * i i W W ^f I . L i Sh u an d Chian g Ho o f Wu-t u lodge d for a while in Han-chung . The y told me , 'It ha s to b e a duke o f Wei. A kin g will no t do ^ l i a ^ S l i ^ . It is the duk e o f We i [Ts'ao ] Tzu-hua n (referrin g t o Ts'a o P' i b y his courtes y name) 36 wh o will brin g orde r t o th e empir e A E ^ T

# § ! £ - ? ? I . H e is th e

on e who m th e spirit s hav e declared ; h e i s th e matc h o f

the tallie s an d oracle-text s an d thereb y correspond s t o th e plac e [tha t joins ] heave n an d me n ttfl^Azfe.' "I describe d this speec h to Genera l Who Quell s th e Sout h Chan g Lu. 37 H e 33 . Onl y tw o importan t description s o f th e Han-We i politica l transitio n mentio n him . On e i s the fictiona l San-kuo chih yen-i (trans . Brewitt-Taylor , Romance 2 , chap . 79) , an d th e othe r i s Okazaki , Gi Shin tsushi, pp . 38-40 . Okazak i make s Li Fu appea r o n th e scen e because ome n sighting s alread y wer e flowin g in, whic h I do no t thin k wa s th e case . Fo r th e whol e transfe r of power , Okazak i place s muc h emphasi s on th e descriptio n of omen s give n in SgS 27 (see , p . 779) . 34. Wu-t u wa s wel l nort h o f Ch'eng-t u an d on th e wester n outpost s o f Han-chung . Se e SKC I, pp . 34-35 , 45 ; 8, pp . 264-65 , for th e rol e o f Wu-t u durin g th e war s to extricat e Chan g Lu . In 21 5 Chan g wa s pursue d b y Ts'a o Ts'ao' s generals , an d th e Ti peopl e wer e slaughtere d nea r Wu-tu . Chan g wa s caugh t in th e P a region , an d afterward s P a an d Ha n wen t bac k t o Ha n administrativ e contro l a s "Han-chung. " A synopsi s is in d e Crespigny , "Thre e Kingdom s an d Wester n Chin. " 35 . Se e Stein , "Remarques, " p. 22. 36 . Accordin g to Dull , "Apocrypha l Texts, " p . 305 , Li Sh u an d Chian g Ho exhor t a Ts'a o (assume d to b e Ts'a o Ts'ao ) to tak e th e imperia l title . Bu t the y wer e i n fac t addressin g Li Fu in Han-chung . 37 . Thi s wa s a titl e give n hi m b y Ts'a o Ts'a o lat e i n 21 5 upo n Chang' s surrender . I t is anachronisticall y use d in thi s case .

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in tur n aske d abou t th e provenanc e o f th e [oracle- ] boo k tha t Chian g ha d mastered . Chian g said , '[It is ] Confucius'Jade Tablet ft-pIlS . 3 8 Emperors ' compute d date s [fo r ascendin g thrones ] ca n b e know n eve n fo r hundred s o f generations ' 7^-pJf f i&^t W"& PJ£P . Jus t ove r a mont h afte r thi s [occurrence ] a fugitiv e arrive d an d wrot e ou t [oracle]-text s tha t turne d ou t to b e like Chian g Ho' s speec h ^ t A ^ S ^ f f i f X ^ P ^ q l r . Chian g wa s a n exper t i n inne r studie s ft ¥ an d wa s wel l know n in Kuan-yu. 39 "[Nevertheless] , althoug h [Chang ] Lu' s hear t wa s se t on th e [Wei ] state , h e was drownin g deepl y in strang e practice s (o r th e heterodo x Tao ) an d [spirit ] transformations , an d coul d no t com e to a firm understandin g of [Chiang ] Ho' s

[revelatory ] messag e mG&mZ^kffim^ik.^m&Zm.wSome

tim e afte r this , [Chan g Lu ] me t privatel y wit h m e to revie w criticall y th e par ticular s o f [his ] strategy . Ou r countryme n woul d no t go alon g [with plans] ; an d som e eve n wante d t o g o acros s to th e west . Chan g Lu the n gre w angr y an d said , 1 woul d rathe r b e the slav e of [such ] a duk e of Wei WMM^iX tha n th e honore d gues t o f Liu Pei!' 41 It wa s trul y du e to thi s tha t the y sa y he gre w sic k fro m anguish . "[Chiang ] H o wa s amon g th e firs t t o welcom e th e king' s (Ts'a o Ts'ao's ) entourage ; h e becam e ill an d die d in Yeh las t year . "Eve r sinc e I (Li Fu ) hav e bee n a t [th e Han-Wei ] court , I hav e considere d tha t I ough t to stat e thi s [prophetic ] intentio n wheneve r I wa s in [your ] inti mat e company . Bu t sinc e th e tim e a s ye t wa s inappropriat e I dare d no t openl y revea l it . In you r firs t yea r havin g ascende d th e thron e [a s Kin g of Wei] , nu merou s luck y omen s an d host s o f auspiciou s portent s hav e arrive d dail y an d monthly . It i s to b e see n clearl y tha t ther e i s a mandat e fro m Heaven : You r virtu e reache s everywhere ; tallie s forecas t th e comin g illustriousness . In real ity Ch'ie n an d K'u n $£i # (tha t is , the tw o l-ching trigram s tha t mos t signif y th e interactio n o f heave n an d earth ) bles s you ; an d myria d state s pu t thei r fait h in you . Ever y tim e I rejoice d i n congratulatin g yo u I wante d t o spea k [Chiang ] Ho' s evidence . [But ] whe n on e belabor s al l th e etiquette s i n servin g one' s prince , other s will tak e it to b e sycophancy . Ho w muc h mor e whe n m y repu 38 . Thi s titl e i s a varian t o f Ch'un-ch'iuyii pan ch'an #^3EUIxt $ , whic h is quote d in suppor t o f Ts'a o P' i in doc . 7, below . Lu Pi, SKCCC2, p . 14 b [p . 80b] , cite s evidenc e tha t yii-pan oracle-text s in th e Ha n wer e no t necessaril y calle d "K'ung-tz u yu-pan" lik e thos e liste d i n SS 32 , "Treatis e o n Literature, " p . 940 . Se e th e "Ch'un-ch'iu " text s note d in Yao , Sui-shu k'ao-cheng 4, pp . 5l94b-95a . Also , se e Isho 4.12 . Fo r luminescent , cylindrica l "jad e tablets, " se e th e commentar y to HHS 59 , p . 1913 , biog . of Chan g Hen g W\f\. Ch u l-tsun , Ching-i kao (SPP Y edn. ) 264 , referre d to thi s oracle tex t a s "/o j HI 3i}ijx"; an d a referenc e als o exist s in Pao-p'u tzu. Thes e las t accordin g to Jao , Lao-tzu, p. 152 . 39 . Cf . Dull , "Apocrypha l Texts, " p . 305 . A correlation , base d o n HHS, betwee n "inne r studies " an d oracle-text s is discusse d in Yao , Sui-shu k'ao-cheng, p . 5195a . It is possibl e to interpre t wang-jen as "dea d person " (se e Seidel , "Funera l Texts, " p . 46 , fo r th e practic e o f petitionin g fo r releas e o r recorporalizatio n o f dea d relatives) . Li Fu is tryin g to substantiat e Chian g Ho' s prophecy , thu s writ s delivere d fro m th e "othe r side " woul d hav e bee n see n a s miraculou s evidence . Seidel' s wor k o n early-medieva l tomb s indicate s tha t conception s o f "th e dead " wer e expandin g in th e secon d an d thir d centuries . Se e also , Wei Ming , "Wei Chi n po-tsan g k'ao-lun, " Nan-ching ta-hsueh hsueh-pao 4 (1986) , pp . 133-43 , an d Mu-cho u Poo , "Idea s concernin g Deat h an d Buria l i n Pre-Ha n an d Ha n China, " >*M3d ser . 3. 2 (1990) , pp . 25-62 . 40 . Th e punctuatio n is tha t give n b y th e Chung-hu a eds. , SKC 2, p . 62 . I tak e pu kuo as a moda l modifie r o f wu: "waveringl y (o r no t firmly ) perceived. " The earl y locus fo r pu kuo is in th e "Discussio n o f Trigrams " ("Shuo-kua " tft^r ) sect , o f l-ching. "Th e trigra m sun is.. . enterin g an d retreating ; it i s unresolv e ^ JP^ ; it i s waftin g aroma s an d odors... " (Harvard-Yenchin g Sinologica l Inde x edn. , Supp . 10) , p . 51 , sect . xii . 41 . Hua-yang kuo-chih 2 , p . 17 , place s th e contex t o f thi s speec h specificall y at th e momen t of Chang' s decisio n abou t surrendering .

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tatio n an d conduc t ar e lo w an d bas e an d I hav e bee n at cour t onl y a little time ? [Thus] , to spea k was to commi t an offense , s o I merel y represse d myself . No w you r overflowin g ha s covere d al l quarters , you r magi c grac e join s Heave n an d Earth , you r majest y flourishe s withi n th e seas , an d foreig n quarter s tur n to yo u in submission . Omen s an d [their ] response s cluste r togethe r t o signa l tha t th e fortunat e mandat e is '[auspiciously ] trul y good.' 42 I canno t contai n m y happi nes s an d respectfull y memorializ e al l thi s to infor m you." 43 The Outer Story:

Post-Chang

Lu Leadership

of the Celestial

Masters

As I hav e discusse d elsewhere , thi s documen t ha s no t previousl y bee n use d as a sourc e fo r th e earl y histor y o f th e Celestial-Maste r religion. 44 Le t u s revie w th e element s o f th e oute r story , thos e aspect s tha t migh t contribut e t o tha t histor y an d it s relationshi p t o Ts'a o P'i . 1. Peopl e in Sh u mistakenl y assume d tha t in 21 3 Ts'a o Ts'a o wa s mad e kin g upo n th e establishmen t o f hi s Wei fief. 45 Thu s Chiang' s revelatio n occurre d sometim e betwee n mid-summe r 21 3 an d mid-summe r 21 6 (whe n Ts'a o Ts'a o in fac t wa s mad e kin g an d n o on e woul d hav e bee n mistaken) . Chian g Ho an d Li Sh u cam e to L i Fu in Han-chun g with revelator y new s abou t th e Ts'aos , ye t th e tw o me n ar e see n to b e typica l o f th e ignoranc e abou t Ts'ao-famil y nobl e titles . Suc h a clai m is no t to b e rejecte d ou t o f hand . Many ma y hav e though t o f Ts'a o P' i afte r mid-21 3 a s a duk e type , sinc e he was a leadin g hei r to a feuda l principality , an d afte r 21 7 a s a duk e de jure — th e so n o f a king . Thes e thought s resonate d wit h classica l model s an d popula r legend s abou t th e foundin g of ancien t Cho u (se e chapte r I) . 2. Chiang' s revelatio n claime d tha t th e ne w empero r woul d b e a Wei duke , specificall y Ts'a o P'i . Chian g inferre d fro m th e oracl e tha t conversel y a kin g of Wei, tha t is , Ts'a o Ts'a o [sic] , coul d no t b e th e hei r to th e Han . 3. Li Fu claim s tha t h e tol d abou t Chiang' s oracula r messag e to Chan g Lu , to who m h e wa s adviser . Chan g ha d Chian g Ho com e to hi m an d giv e evidence , whereupo n Chian g describe d a n oracle-tex t fro m whic h th e messag e cam e an d praise d it s prognosti c ability . Th e Ch'ing-er a schola r Ch'ie n Ta-hsi n IS ABJ f ha s notice d tha t Hs u Chih' s speec h furthe r alon g in "Hsien-t i chuan " (se e documen t 7 , date d Novembe r 22 ) quote s a wor k title d "Th e Spring and Autumn Annal Jad e Table t Oracle-Text" : 'Th e on e to tak e th e plac e o f th e re d [force ] i s th e so n o f th e duk e o f Wei" f ^ ^ ^ r i l ^ " ? 1 . Ch'ie n fel t tha t it wa s th e sam e wor k with a varian t title. 46 Ther e i s a proble m in this . Assumin g Hs u quote s th e ver y tex t tha t Chian g Ho used , the n Hs u is eithe r repeatin g th e mistak e mad e betwee n 21 3 an d 21 6 b y Sh u savants , or h e doe s no t mea n "so n o f th e duk e o f Wei, " sinc e in 22 0 ther e is no duk e o f Wei . It is safe r to 42 . Shih-ching, Od e 50 : "Th e tortois e shel l oracl e wa s auspicious ; all throug h it wa s trul y good " %& f&fty$,\ cf . Jame s Legge , The She King, 2 d rev . edn. , in vol . 2 o f The Chinese Classics, par t I , p . 82 : "An d thu s th e issu e [o f th e divination ] ha s bee n trul y good. " 43 . Thi s las t paragrap h draw s o n th e translatio n o f Leban , "Heaven' s Mandate, " pp . 326-27 , wit h severa l emendations . 44 . Se e Goodman , "Li F u Document, " pp . 1 9 ff. 45 . Ts'a o Ts'a o too k th e titl e o f duk e whe n th e fie f wa s establishe d in 213 , an d h e remaine d "duke " unti l 216 , whe n h e wa s advance d t o "king. " Ts'a o P' i neve r hel d titl e a s "duke, " bu t wen t fro m Genera l o f Cour t Gentleme n (sinc e 2 1 I) t o heir-apparen t t o th e kingship , No vember , 217 . 46 . Ch'ie n Ta-hsin , Nien-erh shih k'ao-i (Tokyo : Chubu n shuppansha , 1980 ) 15 , p . 319 .

n

FOUR : CELESTIAL-MASTE R TAOIST S

assum e tha t a carefu l edito r o f ome n text s lik e Hs u (o r fo r tha t matte r Liu Ai o r P'e i Sung-chih ) woul d emen d to mee t th e curren t circumstance . Th e preferre d reading , "youn g lordling, " is supporte d b y th e rathe r standardize d us e of £~ P i n Ch'e n Shou' s San-kuo chih a s thos e mal e descendant s o f th e Ts'a o hous e belo w th e statu s o f king. 47 Furthermore , it yield s a soli d three wor d rhythm , provide d we ma y emplo y moder n pronunciatio n i n th e investigation . 4. A mont h the n wen t b y an d furthe r proo f o f th e oracle' s powe r cam e abou t in th e for m o f a fugitiv e (o r possibl y "dea d person" ) wh o independentl y wrot e ou t th e sam e oracula r message ; Li Fu als o praise s Chian g Ho' s reputatio n an d skill . 5. Chan g Lu' s tru e inten t wa s to mak e allegianc e to th e We i cour t (a n inten t als o suspiciousl y notice d b y P'e i Sung-chi h an d use d to criticiz e Ts'a o Ts'a o for bein g too kin d to Chan g Lu). 48 Bu t becaus e Chan g Lu wa s delude d by excessiv e religiou s practices , h e faile d to understan d th e pro-Ts'a o P' i message , an d continue d plannin g hi s surrende r t o Ts'a o Ts'ao . His "slav e of [such ] a duk e o f Wei" in fac t ma y b e see n a s an angr y retor t t o th e Chian g Ho oracle : "I'd rathe r sin k to bein g a slav e in thi s so-calle d "duke " Ts'a o P'i' s court , tha n to g o ove r to Li u Pei. " The tim e fram e ca n thu s b e draw n mor e exactl y — i t is the month , or perhap s two , prio r t o lat e December , 215 . 6. Chan g wa s s o infuriate d b y hi s lieutenants ' (probabl y includin g Yen P'u ) lac k of immediat e approva l o f th e mov e toward s Ts'a o Ts'ao , an d perhap s als o by th e attemp t to promot e Ts'a o P' i (whic h h e rebuffed) , tha t h e becam e ill. 7. Chian g Ho turne d coa t afte r failin g to interes t Chan g Lu in takin g th e Ts'a o P'i position : he wa s on e o f th e firs t to welcom e Ts'a o Ts'a o in Yeh an d die d ther e in abou t 219 . 8. Li Fu mention s th e numerou s omen s observe d sinc e Ts'a o P' i too k th e nobl e title o f kin g of We i (April , 220) , an d tha t thes e suppor t th e trut h o f Chian g Ho' s oracle . At thi s point , Li Fu ha s stoppe d th e anecdot e an d turne d to hi s ow n rol e a t Ts'a o P'i' s court . He ha d to wai t (probabl y sinc e abou t 21 6 o r 217 , whe n h e lef t Han-chung ) fo r th e righ t momen t to shar e th e oracl e with Ts'a o P'i . In doin g s o h e reestablishe d hi s rol e a s a judg e o f oracle-tex t an d argue d fo r th e veracit y o f th e Sh u prediction . His clai m is tha t in Ts'a o P'i' s firs t yea r a s kin g (onl y seve n month s ha d passed ) luck y omen s an d portent s alread y blankete d th e manti c atmosphere , blottin g ou t an y ide a tha t h e is not the righ t man . Ts'a o P' i accept s Li' s vie w o f thing s readily , bu t with a specifi c interpretatio n o f th e operatio n o f revelation s an d a hin t abou t curren t attitude s toward s them . The Kin g of Wei [Ts'a o P'i ] ordered : "Sho w [L i Fu' s memorial ] outsid e [th e court] . Ho w ca n [I], a ma n o f mee k virtue , hav e pu t forwar d thi s [revelation] ? [I] woul d no t dar e to presume . In thi s [respect] , trul y th e forme r king' s (Ts'a o Ts'ao's ) utmos t virtu e ha s communicate d wit h spirit-intelligenc e S J r H t 0 ^ ; 4 9 i t i s definitel y no t th e wor k o f a mortal. "

81

47 . SKC, ch. 20 . 48 . S/CC8 , p . 265 , cit . P'ei' s comment . 49 . l-ching, Te n Wing s ("Hsi-tz'u " A . 10): "Sage s us e thi s t o d o austerities.. . i n orde r t o B mak e thei r potenc y numinou s an d luminous " m 4 ^ ^ t f ^ (trans . Peterson , "Makin g Con -

TS'A O P' I AN D POLITICA L CULTUR E

Th e oute r stor y i s to b e take n seriously , fo r i t fit s wel l wit h othe r kind s o f evidenc e surroundin g th e Celestia l Master s an d th e Ts'a o family' s driv e toward s th e ne w dynasty . Th e contex t o f local , specificall y geographic , histor y i s born e ou t well . Severa l point s abou t tha t ar e made : Han-chun g wa s a cente r t o whic h politica l counselor s travele d an d wher e Chan g L u hel d cour t (poin t I o f th e oute r story) . Further more , we ge t th e sens e tha t Chan g coul d mov e hi s entir e forc e quickl y in a choic e of direction s — eithe r Li u Pe i o r Ts'a o Ts'a o (poin t 6) . Th e fact s adduce d above , abou t Chang' s movement s t o an d fro m Han-chung , an d hi s abilit y to leav e order s abou t th e dispositio n o f hi s administrativ e control an d wealth , fit th e picture . Finally , ther e i s furthe r evidenc e that , a s T'an g Ch'ang-j u pointe d out , contingents , probabl y larg e ones , flowe d int o Ye h afte r th e surrender . Th e Celestia l Master s wer e organized , mobile , abl e to effec t diplomati c negotiation s o f a nationa l scale , an d eve n cognizan t o f th e politica l design s o f loca l triba l confederations . The evidenc e o f a struggl e fo r Celestial-Maste r leadershi p i s eve n mor e telling , an d precise . Ther e wer e si x partie s in th e movemen t tha t conceivabl y coul d hav e acte d a s its leadership . Le t u s revie w each . I. Chan g Lu Poin t numbe r 5 i n th e oute r stor y i s to o anecdota l t o b e anchore d historio graphica l fact . Thi s claime d tha t h e wa s confuse d abou t strateg y becaus e o f hi s religiou s practices . Bu t th e poin t dovetail s wit h numbe r 6 — hi s sicknes s an d subsequen t death . We d o no t necessaril y hav e to dismis s th e ide a tha t a leade r ca n buckl e unde r th e weigh t o f a deterioratio n o f hi s advisers ' loyalties : histor y is rife with suc h scenarios . Furthermore , whil e som e historian s hav e speculate d abou t th e tim e o f deat h o f Chan g Lu , onl y T'an g Ch'ang-j u ha s foun d documentar y evi denc e o f i t — a passag e in th e Taois t scriptur e Chen-kao Hi=r (Declarations of the Perfected) tha t describe s hi s buria l in Yeh in th e twenty-firs t yea r o f Chien-a n (whic h ende d Januar y 25 , 217). 50 Thus , if we credi t simpl y th e overal l ton e o f th e legend , implyin g tha t Chan g wa s perhap s ol d an d losin g contro l o f leadership , w e ca n asser t tha t h e in fac t die d soo n afte r hi s angr y confrontatio n wit h hi s advisers , probabl y peacefully , in Yeh , wher e th e record s sho w tha t hi s movemen t migrate d en masse .

-H-nections, " p . I 10) . Als o se e Ten Wing s ("Discussio n o f Trigrams " A): "... i n orde r t o giv e mysteri ou s assistanc e to th e spiritua l Intelligences " (trans . Jame s Legge , / Ching, Book of Changes [rpt . Ne w York : Causewa y Books , 1973] , p . 422 ; cf. Wilhelm' s "len d ai d in a mysteriou s wa y to th e ligh t o f th e gods, " Book of Changes, p . 262) . I interpre t th e phras e a s indicatin g ho w spirit s know , o r perceiv e — a mor e activ e rol e fo r them , a s befit s earl y Chines e religions , an d reflecte d in Legge' s ap t render ing . Further , se e Shang-shu ("Chu n ch'en " HPH) : "Perfec t government.. . influence s th e spiritua l Intelligences " (trans . Legge , Shoo King, par t 5, p . 539) . A verbati m preceden t is in Hsun-tzu (" I ping " l i ^ ) (Ts'ung-sh u chi-ch'en g chu-pie n edn. ) 10 , p. 310 : "On e wh o cautiousl y incorporate s th e Si x Arts , Fiv e Deliberations , an d Thre e Extremes.. . [is ] a 'tru e genera l o f th e world, ' fo r the n h e is trul y abl e to communicat e wit h th e Spiritua l Intelligence s 5SJJH4 S ^ " (trans . Joh n Knoblock , Xunzi: A Translation and Study of the Complete Works [Stanford : Stanfor d U.P. , 1990 ] 2 , p . 226) . 50 . T'ang , "T'ien-shi h tao, " p . 230 ; this is deal t wit h in Goodman , "Li F u Document, " p . 31 .

82

FOUR : CELESTIAL-MASTE R TAOIST S

2. Chan g Lu' s famil y (no t mentione d i n documen t 3 ) An inscriptio n a t Nan-chen g cit y offer s evidenc e tha t Chang' s son s (an d daugh ters ) wer e al l juveniles , specificall y pointin g ou t tha t eve n a s babie s the y wer e take n t o th e We i cour t (a t a n unspecifie d time ) an d variousl y mad e "envoys " o r els e give n a s consort s t o Ts'a o princesses . Chang' s daughter , marrie d t o Ts'a o Yu (se e above) , ma y possibl y hav e staye d i n th e Han-chun g area , an d a s suc h ma y hav e bee n considere d a s a leader : th e plac e o f wome n i n Chang' s movemen t wa s potentiall y high , judgin g b y th e rol e o f hi s mother . Bu t mor e tha n likely , sh e sup plie d leadershi p i n Han-chung , whethe r constantl y presen t o r not , o f a cultura l an d nostalgia c kind . In short , th e Chan g famil y wa s n o longe r viabl e a s a leader lineage . Chan g Wei, a s we saw , wa s defeate d b y Ts'a o Ts'ao , an d we ma y assum e wa s killed. 51 3. Li Hsi u (no t mentione d i n documen t 3 ) He wa s mentioned , above , a s havin g counsele d Chan g L u abou t th e politica l ramification s o f a n oracle , an d wa s rewarde d b y Ts'a o Ts'a o wit h a mino r titl e in Yeh . Nothin g mor e i s hear d abou t him . 4. Chian g H o Documen t 3 is th e onl y sourc e o f information . Th e salien t fact s ar e tha t h e ha d acces s t o Chan g Lu , an d eve n urge d Chan g to conside r a ne w strategy , tha t o f stallin g in hi s allianc e wit h Ts'a o Ts'a o i n orde r t o wai t fo r th e rea l leader , Ts'a o P'i . Thi s woul d hav e bee n nothin g shor t o f a radica l suggestion , give n Chang' s increasin g affectio n fo r Ts'a o Ts'a o (se e poin t 5) . Second , we learne d tha t Chian g wen t t o Ye h alon g with th e whol e leadershi p an d greete d Ts'a o Ts'a o ther e (poin t 7), implyin g tha t thi s occurre d afte r Chan g Lu' s death , whe n th e on e t o gree t Ts'a o Ts'a o woul d hav e bee n Chan g himself . Thu s w e ma y deduc e tha t Chian g wa s som e kin d o f leade r i n Yeh . As point s 2- 4 suggest , Chian g wa s famou s fo r hi s skil l i n "inne r arts, " whic h include d oracle-text . I n addition , hi s reputatio n wa s backe d u p b y suc h dar k evidence s a s th e "fugitive " (o r possibl y dea d man) . Thes e element s for m a riva l to Chan g Lu' s leadershi p in controllin g an d utilizin g mysteri ou s text s an d "transformations. " Chian g die d soo n afte r greetin g Ts'a o Ts'a o — in 219 . 5. Ye n P' u (no t mentione d i n documen t 3 ) Yen , a s we sa w above , advise d Chan g Lu onc e abou t a n oracle , a s ha d Li Hsiu . He wa s als o awarde d nobl e titl e b y Ts'a o Ts'a o a t th e surrender , a t a ran k com mensurat e wit h tha t give n Chang' s sons . Thi s wa s a mar k o f importance . A fina l fac t is mos t significant . Yen' s nam e is th e onl y on e o f th e Celestia l Master s liste d on th e memoria l stel e t o announc e Ts'a o P'i' s ne w dynasty , a s we se e in chapte r I I, below . Thus , w e assum e tha t h e wa s aliv e i n 220 , an d wa s considere d th e legitimat e Celestial-Maste r representativ e b y Ts'a o P'i' s court .

Fl

51 . Li Fang , T'ai-p'ingyu-lan (Peking : Chung-hua , 1965 ; hereafter , TPYL) 58 , pp . 3b-4a ; als o S/CCCC8 , pp. 48a-b . On this , an d his daughte r (following Shui-chingchu 7K&S/i) se e Goodman , "Li F u Document, " pp . 22-24 .

TS'AO P' I AN D POLITICA L CULTUR E

6. Li F u Althoug h no t a n officia l representative , lik e Ye n P'u , h e is mos t closel y associ ate d wit h Ts'a o P'i , an d wa s stil l aliv e in 220 . On e o f th e strength s o f th e oute r stor y i s tha t it s fact s ar e supporte d i n othe r historiographi c writing . The y sho w a militar y movemen t o f considerabl e powe r an d size , coverin g Han-chun g an d the n flowin g int o Ye h an d eve n th e Hsien-t i provisiona l cour t a t Hsu . Second , the movemen t wa s vulnerabl e in 216 : th e Chan g famil y coul d no t tak e charge , an d othe r leadershi p element s wen t t o Ye h an d exerte d themselve s there . L i F u probabl y wen t directl y ove r t o Ts'a o P'i' s cour t an d remaine d outsid e th e movement' s politics . And last , th e intellectua l cultur e o f Sh u wa s especiall y geare d toward s th e working s o f oracle-tex t an d th e practice s of th e occult . Sh u leader s see m to hav e bee n priest s a s wel l a s general s — judge s o f oracle s an d omen s wh o too k counse l fro m othe r expert s i n thos e fields . An d her e w e hav e a ver y stron g suggestio n als o tha t leadershi p o f th e stragglin g movemen t in Yeh wa s conferre d upo n Chian g — th e mysteriou s predicte r an d famou s practi tione r o f "inne r arts. " H e (an d Chan g Lu ) wer e no t Confucia n scholar s o f th e typica l Centra l Plai n sort , tha t is , traine d i n al l th e classics , conversan t wit h com putational , ether , an d l-ching divination , an d perhap s als o "ascertained " o f me n an d jad e seals . The y wer e Taoists , an d thei r Celestial-Maste r movement , ofte n though t b y historian s t o hav e bee n a scattersho t affai r i n th e hill s o f Han-chun g tha t die d whe n Chan g Lu capitulated , onl y to b e imaginativel y reconstructe d cen turie s later , was , on th e contrary , poten t an d enduring , lastin g well int o We i Ming ti's reign , if no t longer. 52 The Inner Story:

Ts'ao P'i and the Mysterious

Predicter

Severa l o f th e item s i n th e oute r stor y lea d toward s th e inne r dynamic s o f huma n emotio n an d psychologica l influence . Th e vehicl e o f th e inne r stor y i s th e reveale d oracle . Oracl e expert s in Sh u ar e picture d a s tru e believers , an d th e pat h of th e stor y thu s begin s wit h th e revelatio n i n Shu . Th e oracl e influence s th e emotion s o f peopl e there , eve n negativel y whe n confrontin g a benighte d Sh u leader . Finally , it is insinuate d int o th e Ts'a o enterpris e i n centra l China , wher e th e emo tiona l an d psychologica l receptio n differ s fro m tha t o f westerners . The hero-too l o f th e inne r stor y is Chian g Ho . Chian g is a too l b y merel y bein g th e receive r o f th e politica l revelation . He i s a her o fo r usin g psychi c influenc e t o transmi t th e oracl e throug h tim e an d difficul t circumstances . He proceed s t o con ver t L i F u in Han-chung . Thi s lead s hi m to Chan g Lu , wh o i s no t converte d be caus e hi s ow n inner-ar t practice s bloc k hi m psychically . Th e meetin g o f th e tw o take s o n Arthuria n tones , a s Chan g Lu nervousl y disintegrate s befor e ou r eyes . Afte r hi s deat h i n 219 , Chiang' s messag e is carrie d t o Ts'a o P' i b y hi s conver t L i Fu. In all o f this , Chian g Ho i s no t a magnificen t hero , merel y a mino r one : he was , afte r all , a n ignoran t westerne r wh o mad e th e mistak e abou t Ts'a o

52 . Fo r thei r Celestial-Maste r administrativ e title s whil e in Yeh an d thei r influenc e a t Ming ti's court ; se e Tang , "Tien-shi h tao, " pp . 229-30 .

84

FOUR : CELESTIAL-MASTE R TAOIST S

Ts'ao' s nobl e status ; an d h e wa s a politica l opportunist , goin g to Ye h an d assumin g Chan g Lu' s rol e a s liaiso n wit h Ts'a o Ts'a o — th e ma n wh o Chian g believe d "woul d no t do " a s emperor . I n 21 5 Chiang' s messag e ha d ha d enormou s impor t as potentia l militar y strateg y fo r Chan g Lu , bu t whe n it reache s Ts'a o P' i in 22 0 it ha s non e o f tha t immediacy , onl y importanc e a s legitimation . Ts'a o P' i is th e sta r o f th e inne r stor y — sta r in a moder n sense , sinc e h e bask s in th e effulgenc e o f th e oracle , bu t als o gain s s o muc h persona l an d politica l capita l fro m psychi c contac t wit h Chian g Ho , tha t hi s sincerit y a s a conver t i s ope n t o question . It i s possibl e tha t Ts'a o P' i brough t a nativ e resistanc e t o advertisement s o f an inne r trut h o f th e oracle , whil e adviser s quickl y accepte d it s authorit y (a s we se e in th e nex t chapter) . Th e Centra l Plai n wa s quit e mixe d in th e matter s o f miracle s an d revelation . Ts'a o Ts'a o an d hi s son s hav e lef t a variet y o f statement s concern ing thei r attitude s toward s wonder-workers , Taois t arts , an d religiou s cul t prac tices . Bu t i t i s no t possibl e t o determin e clea r distinction s amon g an d betwee n them : th e fathe r pu t dow n religiou s practice s whil e conquerin g Yello w Turba n territor y bu t h e admire d Taois t practitioners ; Ts'a o Chi h wrot e paean s to Taois t "immortals " bu t otherwise d heckle d th e tradition ; an d P' i i n th e year s afte r 22 0 denounce d excessiv e cult s an d th e worshi p o f Taois t gods . Hi s denunciations , moreover , wer e par t o f a comple x tacti c t o ri d hi s cour t o f th e styl e an d etho s o f Ts'a o Ts'a o o n numerou s ritua l an d cultura l matters . Her e i s the crux . Belo w th e leve l o f simpl y acceptin g an oracl e an d its epistemo logica l basis , an acceptanc e tha t occurre d smoothl y enoug h a t th e en d o f th e day , lay th e struggl e betwee n Ts'a o P' i an d hi s fathe r (an d als o hi s brother ) tha t bega n in hi s yout h an d culminate d recentl y i n th e inciden t a t th e gat e (217 ) an d the n in th e We i Fen g purge s (219) , a s discusse d i n chapte r 2 . Thu s Ts'a o P' i accept s a n oracl e abou t hi s imperia l legitimacy , bu t i t i s a n oracl e tha t aros e year s earlier , whe n hi s fathe r wa s stil l aliv e an d o n th e verg e o f becomin g empero r himself . To accep t th e oracl e wa s a joyou s prospect , a n emotiona l on e in whic h th e so n coul d gloa t abou t bein g th e tru e anointe e o f heaven , an d i n additio n relis h a damagin g stor y abou t Chan g Lu , his father' s admirabl e opponen t an d sincer e ally . To softe n th e scandalou s aspect s o f bot h Chiang' s psychi c influenc e an d th e unfilia l position , Ts'a o P' i bring s hi s father' s sou l int o th e process , indicatin g a softe r conversion : 'Trul y th e forme r king' s utmos t virtu e ha s communicate d wit h spirit-intelligence ; it is definitel y no t th e wor k o f a mortal. " Conclusion W e hav e see n representative s o f a majo r religiou s an d militar y movemen t ap proac h th e Ts'a o cour t wit h thei r tribut e — a positiv e oracula r message . Ts'a o P' i neede d t o tak e a positio n o n th e us e o f oracle-text s an d revelator y material s in general . On e alternativ e wa s to insis t tha t thes e omens , whic h wer e ofte n a clas sicizin g typ e base d o n Cho u dynasti c legend , b e interprete d b y scholars , usin g history , philology , an d computation . Bu t thi s migh t hav e opene d th e doo r t o to o man y experts . Anothe r choic e wa s simpl y to judg e eac h proph 85 ec y himself , a s he sa w fit. Finally , ther e wa s th e optio n o f denouncin g omen s as heterodo x an d denyin g thei r proponent s a forum . Of course , h e accepte d

TS'A O P' I AN D POLITICA L CULTUR E

th e prophecy

, sinc e i t allowe d hi m t o asser t authorit y amon g hi s famil y member s

an d offere d a n opportunit

y t o coop t th e Celestia l Master s themselves

th e anti-Ts'a o Ts'a o elemen t o f it , h e promote d hi s postmorte

. T o softe n

m spirit-intelligenc

e

as a forc e i n itself , on e tha t coul d guid e th e tallie s tha t heral d potentia l rulers . Th e resul t o f Ts'a o P'i' s positio n wa s t o thrus t neo-revelator

y genre s an d neo-revela

-

tor y thinking , includin g idea s fro m funerar y cultur e i n general , int o th e forefron t o f th e debat e ove r hi s legitimacy Clos e examinatio

an d authority .

n o f th e westerner

s ha s provide d rathe r startlin g ne w evi -

dences , gleane d fro m th e relativel y ignore d tex t o f documen t 3 , t o suppor t th e finding s o f historian s o f Taoism . I hav e relie d o n T'an g Ch'ang-ju , wh o worke d i n isolatio n fro m suc h wester n scholar s a s Henr i Masper o an d Ann a Seidel . Bot h T'an g (an d hi s predecessors linke d historiographi historiograph

) an d Seide l an d th e Frenc h schoo l o f Taois t studie s

c an d hagiographica

l sources

. T'an g i s th e mos t skille d a t th e

y o f medieva l China ; bu t th e Frenc h hav e don e muc h t o moun t broa d

studie s o f th e Taois t canon . Earlier , Seide l wa s optimisti c abou t th e veracit y o f remark s i n th e Taois t scriptur e Cheng-i

fa-wen t'ien-shih-chiao

chieh-k'o

ching

IE

— /SX^fS^(}tScf4/ @ tha t depic t eithe r Chan g L u o r hi s hei r pontiflcally , a s "stat e teacher " KISS , addressin

g Ts'a o Ts'a o i n th e perio d 217-220 . I n th e scenari o the y

offe r t o legitimat e Ts'a o rul e i f th e ne w dynast y woul d onl y believ e i n th e Tao . T'an g Ch'ang-j u wa s no t a s optimistic , bu t stil l gav e th e scriptur e a role . H e claime d tha t th e pertinen t sectio n o f Chieh-k'o reconstructe

chingwzs

writte n jus t befor e 40 0 A . D . bu t

d Chan g Lu' s movemen t accurately

, showin g carefu l attentio n t o his -

toriographi c sources.

53

I woul d suggest

, further , tha t documen

hav e spurre d suc h late r Taois t mythographers late r hagiograph

y eithe r a tota l misreading

t 3 itsel f migh t

. I f thi s i s so , the n w e se e i n th e

, or , mor e likely , th e movin g o f Chan g

Lu bac k int o th e mor e desirabl e positio n a s psychi c influence r — no t Chian g H o o r L i Fu ; an d Ts'a o Ts'a o a s catechumen

, no t Ts'a o P'i . I n an y event , th e pontifica l

even t did occur , an d chapte r 4 ha s demarcate traditio n o f Taois t legitimatio n o f emperors. Thi s chapte r ha s als o demonstrate early-medieva

l historiographers

d wha t ma y b e th e firs t i n a lon g

54

d somethin

g abou t th e motive s an d biase s o f

. Documen t 3 come s fro m annal s drafte d prob -

abl y i n stage s fro m 19 5 t o perhap s abou t 22 1 o r 22 2 b y Li u Ai , wh o kne w abou t th e Sh u region . It reflect s a pro-Ha n poin t o f view : Chan g Lu' s movemen t i s weak , its leade r failin g an d deluded , an d th e messenger politica l situations

s o f th e oracl e ar e mistake n abou t

. Ts'a o Ts'a o i s depicte d a s naiv e abou t securin g th e movement'

s

loyalties , an d Ts'a o P' i a s unfilial , especiall y becaus e h e wa s i n mourning , fo r ac ceptin g a self-servin g oracle . I t i s to P'e i Sung-chih' men t suc h prominence

s credi t tha t h e gav e th e docu -

. Bot h th e pro-Ha n etho s an d th e wid e bert h fo r oracle -

tex t an d revelatio n woul d hav e invite d criticis m o f hi s ow n habit s o f thinking . Ye t P'e i steere d clea r o f controversy

: h e gav e n o mora l lesso n abou t th e legitimac y o f

53 . Seidel , Divinisation de Lao tseu, esp . pp . 80, 82 (citin g Chieh-k'o ching, p . 18a , I. 2) ; idem, "Taois t Sacraments, " p . 348 ; an d idem , "Perfec t Ruler, " p . 227 , n. 35 (not e th e misprin t o f th e characte r fo r "Wu " i n "Wu-ti") . Tang' s stud y o f th e scriptur e is , in my opinion , conclu sive ; T'ang , "T'ien-shi h tao. " 54 . Se e 4th-7t h c . example s i n Seidel , "Taois t Sacraments, " an d th e late r on e o f Wan g Chie n EEj H , in Franciscu s Verellen , "Liturg y an d Sovereignty : Th e Rol e o f Taois t Ritua l in th e Foundatio n o f th e Sh u Kingdo m (907-925), " AM 3 d ser . 2.1 (1989) , pp . 59-78 .

86

FOUR : CELESTIAL-MASTE R TAOIST S

th e We i vis-a-vi s Han , an d provide d a benig n attitud e towards , an d i n severa place s eve n a logica l interpretatio n of , th e epistemolog y o f divination , prophecy an d ghost s (se e m y Appendix) . Cultur e wa s par t o f hi s reconstructe d landscapes an d th e cultur e o f neo-revelator y text s wa s alread y ubiquitou s b y th e first centur A.D. Fo r P'e i t o den y s o woul d hav e bee n ahistorical .

l , , y

Finally , it is possibl e to interpre t th e legen d befor e u s as a ver y earl y poin t in th e endurin g tendenc y t o creat e "mysteriou s predicter " storie s surroundin g imperia l accessio n an d succession . Recentl y Davi d McMulle n ha s unearthe d th e proces s by whic h a prominen t ma n o f mid-T'ang , someon e know n fo r provincia l succes s as administrato r an d a s a supporte r o f th e Empres s W u , wa s shape d b y late r mythograph y int o a sublim e catalys t o f anti-W u activists . Hi s person a becam e imbue d wit h divinator y power s (skill s borrowe d b y late r writer s fro m thos e o f othe r me n i n hi s milieu) . H e becam e th e recipien t o f cosmi c forces , an d wa s pivota l i n thes e myth s a s havin g psychologicall y influence d a grou p o f "disciples " (th e anti-W u men ) b y hi s gnosti c an d secretiv e awarenes s o f th e comin g restora tion. 55 Thi s mysteriou s predicte r wa s Judg e Dee , s o belove d i n Ch'in g an d mod er n times . Eve n th e foundin g o f th e T'ang , befor e Judg e Dee' s time , ha d ha d mys teriou s predicter s — F u I M l£ (555-639) , amon g others. 56 Th e successio n o f th e Ming Yung-l e empero r receive d th e psychi c influenc e o f Li u Po-we n §IJJS/m , a popula r semideit y o f late r legen d whos e person a is assignabl e to tha t o f Liu Ch i §l j S (13 1 I -1375 ) a n actua l advise r o f th e Min g founder. 57 Thes e legend s hav e bot h oute r an d inne r stories . The y involv e oracl e an d prediction , bu t no t alway s d o the y involv e religiou s preceptors . Futur e researc h migh t demonstrate , fro m a deep-contex t settin g o f eac h one , th e politica l an d cultura l purpose s the y served . In th e mysteriou s predicte r legend s mentione d her e (excep t F u I an d th e T'an g founding) , a dynasti c famil y i s in crisis , brough t o n b y interfamilia l struggl e an d spuriou s patrimonies . Th e legen d o f Ts'a o P'i' s receivin g heavenl y approva l a s emperor , perhap s a s muc h a s seve n year s befor e hi s accession , als o help s hi m gai n a hotl y conteste d patrimon y an d transcen d th e charism a o f hi s father .

55 . McMullen , "Rea l Judg e Dee. " 56 . Se e Stephe n Bokenkamp , "Tim e afte r Time : Apocalypti c View s o f Histor y an d th e Foundin g o f th e T'an g Dynasty, " AM 36 ser . 7.1 (1994) , pp . 59-88 ; furthe r investigatio n of th e early-T'an g "mysteriou s predicter " anecdote s shoul d yiel d a s comple x a cas e a s tha t of McMullen' s Judg e De e (previou s n.) . 57 . Hok-la m Chan , "A Mongolia n Legen d of th e Buildin g of Peking, " AM 3 d ser . 3. 2 (1990) , ' pp . 63-93 .

87

Chapte r Fiv e Novembe r 20-22 : A Cor e Grou p o f Legitimatio n Expert s

D

urin g th e three-da y perio d beginnin g Novembe r 20 , a grou p o f adviser s for warde d memorial s tha t authorize d no t jus t oracle-tex t an d neo-revelator

material , bu t als o metaphysics

, ritua l calendars

y

, an d astrology . Th e memorial s ar e

draw n fro m Li u Ai' s "Hsien-t i chuan. " Wherea s onl y on e i s dated , interna l refer ence s mak e i t possibl e t o deduc e th e orde r an d date s o f th e others . Amon g th e adviser s w e fin d scholars

, troo p commanders

, an d loca l leaders . Som e wer e de -

scende d fro m well-know n families , an d other s wer e makin g thei r family' s onl y mar k i n history . Eigh t o f the m I cal l th e "cor e group " becaus reappeare d befor e th e clos e o f discussion importan t i s th e fac t tha t connection

e mos t o f the m

s i n December . A s a cor e group , equall y

s existe d amon g the m i n term s o f hom e

region s an d activities . The Core

Group

NAME DATE

S TBL

. I ACTIV N U M. P R E - 2 2

1. Li u Ye n §

Wd b

2. Hua n Chie h * I ^ 3. Li u I i J

fl

E REGIO

N

0

. 23 5 1

0 South

: Yang-cho u

. 205-2 0 I

I South

: Ch ' ang-sh a

S 180-22

28

Mid-South

: Nan-yan g

4. Ch'e n Chia o l^ft l d

. 23 7 1

2 South

: Kuang-lin g

5. Ch ' e n Ch ' u n ^ d

. 23 7 1

3 North

: Ying-ch ' ua n

6. Hsi n P ' i 3

. 23 4 9

North

: Ying-ch ' ua n

7. We i Che n f t r i 8. TungY u M

*d l fl M fl

. 210-4 5 1 . 195-24 0 1

7 North

: Ch ' en-li u (adjoin s Ying-ch ' uan ) 5 North : Hung-nun g

Thes e wer e cultured , educate d men . Asid e fro m militar y experience , the y ha d knowledg e o f funerar y rites , divination , astrology , oracle-text , an d cour t seals . Thus , th e grou p wa s abl e t o produc e an d t o see k ou t opinion s abou t th e Celestial-Maste r prophecy . To obtai n exper t authorit y o n th e mos t abstrus e arts , however , the y use d tw o me n fro m outsid e thei r milieu . Th e forme r Celestial-Maste

r leader s ha d imparte d a western , militaristi c

ton e t o th e Ts'a o position . In wha t follows , th e centra l sout h an d th e north -

88

FIVE: A COR E GROU P O F LEGITIMATION EXPERT S

er n Centra l Plain , wher e proportionall y th e greates t Ts'ao-We i powe r lay , re ceive d representation . Th e fou r southerner s d o no t see m to hav e bee n a n actua l socia l grouping . The y wer e separat e individuals , onc e activ e politicall y in th e south , wh o ha d mad e thei r wa y northwards , chiefl y via Ching-chou , to serv e Ts'a o Ts'ao . Th e northerners , however , ha d socia l connection s tha t focuse d primaril y o n th e Ying-ch'ua n region .

FORME R SOUTHERNER S A T THE TS'A O COUR T Th e southerner s wer e militar y me n know n als o a s cour t critic s an d ritua l ex perts . Tw o wer e i n Ching-cho u befor e enterin g servic e wit h th e Ts'aos . W e begi n wit h Li u Yeh §\\$$? His famil y member s wer e know n a s Huai-na n yj l jfj Lius , an d in fac t Li u Yeh wa s activ e ther e fo r th e firs t par t o f hi s life . Th e Liu s als o wer e sai d to hav e bee n a land-holding , militar y branc h o f th e Li u roya l sur nam e — the y wer e calle d " a loft y cla n (kao tsu Mi% ). " Yet thei r number s wer e no t larg e an d thei r member s seemingl y no t powerfu l i n nationa l politics. 2 Earl y i n hi s career , afte r movin g int o Yang-cho u tiiil l i n abou t th e 190s , Liu gaine d control o f a loca l general' s troop s an d the n brokere d them ; h e becam e know n a s a "Yang-cho u stalwart. " In th e perio d 205-220 , h e lef t Yang-cho u an d becam e a n attach e an d militar y advise r to Ts'a o Ts'ao . He le d troop s durin g Ts'ao' s 215-21 6 Han-chun g campaig n agains t Chan g Lu . Nearl y al l o f Liu' s officia l title s wer e nominall y o r substantivel y military . His enjoymen t o f militar y life wa s s o wel l know n tha t a civilia n pos t wa s onc e give n to hi m purel y a s a demotion . Twic e h e wa s ennobled , eac h o n th e occasio n o f a Ts'a o accession . Th e source s mentio n nothin g in regar d t o Li u Yeh' s educatio n o r t o an y writ ings , no r giv e glimpse s o f hi s abilit y t o us e classica l rhetori c an d allusion . He wa s know n fo r a nontechnica l typ e o f prognostication : h e like d to predic t wh o woul d rebe l agains t th e Ts'aos. 3 Liu associate d jus t befor e an d afte r 22 0 wit h severa l othe r advisers , in fac t wit h suc h core-grou p me n a s Hsi n P' i (o n a n anti-Chan g Lu campaign), 4 an d post-22 0 with th e southerne r Ch'e n Chiao. 5 Hi s roya l lineage , furthermore , ma y hav e bee n importan t i n determinin g hi s presenc e an d influenc e in th e Han-We i discussions . Hua n Chie h ^HPi? , les s o f a field-commande r tha n Liu , wa s mor e importan t late r o n a t Ts'a o courts . He wa s fro m a Ch'ang-sha , Lin-hsian g ft/^E^/ffl, family, 6 an d spen t th e earl y par t o f hi s caree r i n th e sout h an d a t som e poin t directl y in Ch'ang-sha . Hi s younge r brothe r Tsua n S I staye d i n Wu t o serv e th e Sun-famil y dynasts , bu t Hua n Chie h wen t nort h to serv e th e Ts'aos . Circumstantia l clue s hin t tha t h e acte d i n concer t wit h a southerne r — no t i n th e cor e grou p — whos e

89

1. Biog . SKC 14 , pp . 442-49 ; excep t a s noted , remark s refe r there . 2. Yeh' s so n Liu T'a o 1 % continue d th e family' s reputatio n a s militar y men , bu t thi s wa s merel y a s debate r o f stratagems . 3. SKC 14 , pp . 444-46 , cit . "Fu-tzu. " 4 . SKC 8, p. 265 , cit . "We i ming-ch'e n tsou. " 5. SKC 22, p . 644 , cit . "Shih-yii" ; an d CS 10 , p. 1035 . 6. Biog . SK C 22 , pp . 631-33 ; all remarks , excep t a s noted , refe r there .

TS'AO P' I AN D POLITICA L CULTUR E

nam e is attache d t o documen t 5. 7 Sometim e befor e 208 , Liu Pia o trie d t o arrang e a marriag e fo r Hua n i n Ching-chou , indicatin g bot h Huan' s statur e a s a souther n courtie r an d th e probabl e rout e o f hi s acces s to Ts'a o Ts'ao . Hua n Chie h receive d a mixtur e o f militar y an d civilia n posts , bu t ther e i s n o recor d o f hi s havin g le d a campaign , onl y advisin g an d actin g a s envoy , especiall y fo r Ts'a o Ts'ao . A t th e Ts'a o cour t h e participate d i n debate s ove r th e heir apparen t an d othe r partisa n politics . Hi s highes t office s wer e Maste r o f Writin g an d Gran d Maste r o f Ceremonial , th e latte r appointe d b y Wei Wen-t i (Ts'a o P'i ) whe n Hua n wa s dying . Hua n wa s ennoble d upo n Ts'a o P'i' s imperia l accessio n in 220 , an d in 24 3 wa s give n a posthumou s ceremon y i n th e We i Imperia l Templ e alon g wit h abou t a doze n forme r cour t leaders . Clearl y h e wa s a majo r figur e a t cour t an d hi s influenc e extende d t o succeedin g generations , considerin g espe ciall y tha t on e o f hi s son s marrie d a Ts'a o princess . An anecdot e fro m Ts'a o Ts'ao' s biograph y in San kuo chih tell s u s abou t Huan' s expertis e involvin g th e legend s an d theorie s o f dynasti c legitimation . H e advise d Ts'a o Ts'a o when , probabl y in January , 220 , Ts'a o wa s considerin g th e Ha n throne . On tha t occasio n Hua n an d th e northerne r Ch'e n Ch'u n (on e o f th e cor e group ) presente d a join t memoria l abou t a lette r o f Su n Ch'lia n tha t ha d show n defer enc e t o Ts'a o an d ha d hinte d abou t a n imminen t dynasti c change . Thi s arouse d suspicions , an d require d explanations . I t i s quit e possibl e tha t Huan' s souther n root s mad e hi m a likel y candidat e t o mak e suc h explanations : Eve r sinc e Ha n An-t i S ; ^ (r . 107-26) , governmen t ha s qui t th e roya l room s (palaces) , an d th e unit y of th e stat e ha s bee n disrupte d numerou s times . As for today , we hav e onl y th e names . Neithe r a foo t o f lan d no r a singl e perso n is [actually ] possesse d b y th e Ha n [dynasty] . The turning s o f th e time-cycle s hav e lon g bee n exhauste d MSsBAELlS , an d th e calendar-computation s Mtk hav e lon g sinc e com e to thei r conclusion : it is no t jus t a matte r o f today' s [circum stances] . Thus , from Huan-ti' s to Ling-ti' s time , thos e wh o understoo d [omen ] chart s S E an d "woo f classic s (or , neo-revelator y scripture ) £ $ claimed , 'Th e forc e o f th e Ha n phas e is deplete d /MfTmlK . Th e yello w hous e mus t [now ] rise. " If You r Majest y respond s to th e time-cycle , yo u will posses s nine-tenth s of th e world . B y servin g th e Han , a multitud e o f livin g being s will roi l u p thei r hopes , an d far an d nea r [everyone ] wil l seeth e in bitterness . Thi s is precisel y wh y Su n Ch'ua n fro m afa r proclaim s himsel f you r vassal . Bot h heave n an d me n hav e thei r responses ; differen t ch'i m ma y hav e th e sam e tone s (referrin g to th e soundin g tubes ' response s to chV-vapors) . We stupidl y conside r tha t Yu an d Hsi a did no t us e polit e declinatio n [in takin g power] , an d Yin an d Cho u did no t spar e th e releas e o f violence . Fea r heave n an d kno w it s command . You shoul d no t tak e par t in [ceremonial ] abdication. 8 Hua n an d Ch'e n ar e sayin g tha t sinc e th e 160s , neo-revelator y materia l an d matrice s o f chang e ha d predicte d th e en d o f th e Han : th e time-cycle s an d compu tation s showe d tha t Ts'a o Ts'a o wa s virtua l ruler . Therefore , h e shoul d no t tem poriz e o r b e yieldin g now ; h e shoul d especiall y no t allo w Su n Ch'ua n t o diver t him . Ts'a o an d Su n ma y bot h hav e resonate d t o th e ton e o f "ruler, " 7. Wan g P i I ^ (tabl e I , no . 14 ) als o wa s fro m Ch'ang-sh a an d wen t nort h t o serv e Ts'a o Ts'a o leavin g hi s famil y in Wu ; se e n . 58 , below . 8. SKC I , pp . 52-53 , cit . "We i liieh. "

90

FIVE: A COR E GROU P O F LEGITIMATIO N EXPERT S

bu t wer e o f differen t substance

s a s men .

Liu I fil m i s anothe r o f th e southerners . Hi s famil y haile d fro m Nan-yan g j^jP f , an d Liu himsel f wen t nort h vi a Ching-chou, 9 wher e hi s elde r brothe r wa s kille d i n a purg e a t Li u Piao' s court . Li u I becam e a n unofficia l militar y advise r t o Ts'a o Ts'a o fo r severa l year s an d receive d a mino r pos t in 217 : n o othe r post s ar e mentioned . H e receive d a low-rankin g nobl e titl e (kuan-nei hou i i f t j ^ ) whe n Ts'a o P' i becam e kin g in Apri l o f 220 , whic h titl e wa s inherite d b y hi s nephew . Th e nephew' s lin e ha d mino r continuit y unde r th e Ssu-m a Chi n dynasty , perhap s in par t becaus e Li u I wa s perceive d a s an associat e o f Ssu-m a men. 10 Liu' s younge r brothe r wa s ordere d execute d b y Ts'a o P' i i n 21 9 fo r associatio n wit h th e We i Fen g plotters , an d thi s als o coul d hav e resonate d positivel y wit h th e Ssu-mas . Liu I wa s a n exper t i n cour t ritua l an d crimina l law. 11 Hi s man y writing s (th e title s o f which , however , wer e no t transmitted ) presumabl y concerne d thos e skills . Bu t th e followin g is evidenc e tha t h e wa s considere d a maste r o f politica l astrol ogy . A passag e fro m "Chiang-pia o chua n /XfSfl l , " a mid-third-centur y gazeteer , tell s a stor y concernin g Wu politica l cultur e i n whic h Li u I' s fam e figure s prominently . Previously , Tia o Hsua n H^5££tfl l " ; Chan g Hua' s 3M H Po-wu chih \%ty) ifc ; an d late r F u Hsiian' s i$i , Fu-tzu M i1 . Fo r thes e earl y sources , se e d e Crespigny , Records; fo r Fu , se e Paper , Fu-tzu. 78 . Wen-hsuan (recu t Sun g woodbloc k edn. ; Shanghai : Hui-we n t'ang , 1910) , sect . "Wen, " ch. 3 , p . 2 1 b , fo r Ta Ting ; pp . 15b , 18b , 20a , fo r othe r suc h Ts'a o P' i omens . 79 . Ibid . 45 , pp . 10a , Mb . 80 . Ibid. , sect . "Wen, " ch. 9 , p . 4a , fo r "meta l an d hides. " 81 . Ibid . 6, p . 13b ; trans . WH/K I , pp.46 1 -63. It is peppere d wit h man y o f th e sam e omens , ' an d th e sam e phrase s abou t prima l governance .

m

TS'A O P' I AN D POLITICA L CULTUR E

P'e i edite d i n th e righ t word s fro m endurin g sources . Ye t w e canno t forge t tha me n lik e Chan g Hen g an d Yan g Hsiun g wer e als o famou s i n th e decade s jus befor e 220 : Yang' s T'ai-hsuan ha d becom e a veritabl e classic. 82 Moreover , me like Ts o wer e keenl y awar e o f Han-We i literar y styles , as well a s the fact s o f cour life an d histor y fro m tha t controversia l time .

t t n t

I prefe r to se e the oration s an d rhetori c o f Han-We i legitimac y an d authorit y a s occupyin g a role in a long developmen t o f genre s tha t addresse d bot h politic s an d persona l frustration . This bega n in Han-er a fu literature , with it s frequen t ambigu ities abou t th e working s o f th e imperia l religio n an d politica l revelation . The pro ces s climaxe d i n th e firs t hal f o f th e Tang , when , throug h suc h anthologie s a s Wen-hsuan, scholar s applie d suc h tone s t o thei r expression . Ts'a o PT s speeches , especiall y thos e in the presen t chapter , a s well a s the tex t of documen t 5 3 — th e Ts'ao-We i dynasti c stel e — ar e record s o f a n ag e o f intellectua l pioneering . The potentia l servitor s o f the ne w regim e coul d hav e withdraw n an d expresse d fea r an d ange r tha t ha d built u p sinc e the Easter n Ha n tangku struggles . Or , with little t o lose , the y migh t hav e limite d thei r participatio n i n the Ts'a o regim e t o loca l militar y contributions . Bu t instead , a goodl y numbe r wh o could , wrote abou t politica l ideal s an d politica l omens . Th e emblem s o f po litical transcendenc e create d b y Ts'a o P'i , an d th e hig h literar y ar t tha t the y an d the politica l joustin g required , elicite d scholars ' attention . Th e emblem s encour age d the m t o loo k pas t th e politica l trouble s o f th e las t decade s o f Ha n an d to war d intellectua l territor y imbue d with th e mystiqu e o f primordia l transcendence . This affecte d th e nex t centur y an d a hal f of political , literary , an d classicis t writing, includin g eve n anti-Ts'a o an d anti-transcendenta l screeds . Ts'ao' s us e o f Chuangtzu, Taois t divinities , classica l rhetoric , an d personal , ironic complain t wa s o n th e cuttin g edg e o f third-centur y styles .

144 82 . Se e Goodman , "Exegete s an d Exegeses, " p. 79.

Chapte r Eigh t Novembe r 3 0 - Decembe r 7 : Ritua l Chronolog y Links th e Ts'a o Hous e wit h Chua n Hs u an d th e Yello w Empero r

T

he expert s S u Lin an d Tun g P a (se e chapte r 5 ) a t thi s poin t returne d t o th e discussion , an d explaine d th e descen t o f th e Ts'a o hous e fro m th e Yello w Empero r and , moreover , ho w Ts'a o P'i' s mandat e wa s time d t o a n astra l cycl e associate d wit h Chua n Hsi i i l l ! , th e Yello w Emperor' s grandson . Erns t Kantorowic z onc e noted , in hi s studie s o f Europea n roya l legitimatio n an d acces sion , tha t whe n th e intellectua l cultur e becam e fixe d upo n a dilemm a arisin g fro m cour t politics , th e resul t coul d influenc e actua l cour t practices. 1 It wa s th e succes s of thes e ritua l chronologist s i n Chin a i n 22 0 A.D . that , in part , inspire d th e prac tic e o f dynasti c legitimatio n fo r man y centurie s t o tur n increasingl y toward s mi raculou s genealogies .

On Novembe r 3 0 Ts'a o P' i wrot e t o th e emperor , callin g him "augus t emperor , You r Majesty. " He acknowledge d receip t o f th e jad e wri t sen t o n th e da y i-mao o f tha t mont h (Novembe r 25 ; se e documen t 13) , an d tha t h e ha d listene d t o th e writte n commands . "My fiv e organ s S[^ l wer e i n nervou s shock , an d my vita l spiri t I f ^ flew , knowin g no t wher e t o abide." 2 H e apologize d fo r havin g abuse d th e emperor' s indulgenc e b y hi s havin g tende d to hi s ow n selfis h concerns , an d fo r havin g considere d th e emperor' s edict s a s trivia l an d untimely . He return s t o th e them e o f antiquity . I hav e hear d tha t Yao , in [offering ] th e [abdication ] ritua l to Ch'ung-hu a jfii p (tha t is , Shun) , elevate d hi m for hi s "equanimious " ^ l § virtue. 3 Shu n gav e [th e rule ] t o Wen-min g X P P 4 (Y U o f Hsia) , selectin g hi m for suc h grace s a s wer e on a leve l with [thos e of ] th e sages . The y stil l too k counse l [fro m th e minister s

1. Erns t H. Kantorowicz , The King's Two Bodies: A Study in Mediaeval Political Theology (Princeton : Princeto n U.P. , 1957) , show s tha t suc h luminarie s a s Aquinas , inspire d b y th e contradiction s o f th e "twinne d body " o f th e king , influence d th e politica l culture : e. g. , th e vulnerabl e momen t formerl y preserve d in th e "littl e interregnum, " whe n liturgica l consideration s wer e o f primar y importance , disappeared , givin g ris e to a secula r ceremonia l o f accession . Se e esp . pp . 143-44 , an d 329 . 2. "Fiv e organs " (i.e. , th e viscera l organs ) wa s use d in Ts'a i Yen' s (E . Han ) S ^ poe m "Lamenta tion" : "Ou r liver s an d spleen s seeme d to tea r an d rot " (trans . Yi-t'un g Wang , i n Irvin g Lo an d Liu Wu-chi , eds. , Sunflower Splendor: Three Thousand Years of Chinese Poetry (Bloomington , Ind. : Indian a U.P. , 1975) , p . 37 . "Vita l spirit " resonate s wit h earl y Chines e idea s abou t th e huma n bod y an d death . Se e TC (Cha o 25 ) 25 , p . 9b : "Th e essentia l vigo r an d brightnes s o f min d ^ N Z f f l l ar e wha t w e cal l th e hun *& an d th e p'o 6 & . Whe n thes e leav e it , ho w ca n th e ma n continu e long? " (trans . Legge , Ch'un Ts'ew, boo k 10 , p. 708 , left) . Also , se e TC (Cha o 7) 21 , p . 27a ; an d SKC 14, "Biog . o f Chian g Ch i M)% , " p . 454 . 3. "Equanimious " refer s to harmon y amon g th e eigh t tones ; Shang-shu ("Shu n tien") ; Legge , Shoo King, par t 2 , boo k I , p . 48. 4. Fo r Wen-ming , se e Shang-shu ("T a Yu mo " At^lM) ; Legge , Shoo King, p . 52 ; SC ("Hsia M pen-chi" ) 2 , p . 49 ; an d TWSQ p . 49.

m

TS'A O P' I AN D POLITICA L CULTUR E

of] th e fou r marchmount s H J K below, 5 an d observe d o n hig h [b y mean s of ] th e sightin g tube . At present , m y (literally , you r subject's ) virtu e is no t [equa l to ] Shun' s an d Yu o f Hsia's . My conduc t is no t [equa l to ] th e tw o rulers ' (Yao' s an d Shun's) , bu t I hav e bee n implicate d with th e calenda r computation s an d a m correlate d wit h th e mandat e tha t select s [rulers] . Dee p down , I hav e pu t my sel f to eas e an d deeme d mysel f withou t [necessary ] virtue . Hs u Yu wa s a mer e commoner , bu t h e spurne d th e imperia l throne . Sha n Chua n wor e plai n robe s an d wen t agains t Yu o f Hsia' s command . You r subject , althoug h rusti c an d befuddle d (lik e them) , neglectfull y "take s th e lesse r stance " ^Ffff 6 i n address ing th e grea t mandate , an d ha s no t ye t com e to a decision . I respectfull y dispatc h th e actin g Chancello r o f Stat e an d Yung-sho u 7KM [Palace ] Priv y Treasurer , th e bespoile d (women' s servant ) 3 t : t £ ' Ma o Tsun g ^BT F , t o brin g [this ] memoria l an d a t th e sam e tim e sen d bac k [t o You r Majesty ] th e jad e sea l an d tassels. 8

TUNG PA' S THEOR Y O F A CHUA N HSU CALENDA R Severa l day s passed . Ts'a o P' i ha d alread y announce d a lis t o f obscur e omen s an d Taoisti c deitie s tha t h e expecte d woul d authoriz e hi s legitimacy . Bu t for scholar s to establis h appropriat e tallie s o f thes e omen s migh t b e difficul t — i t woul d likel y hav e require d ne w an d unorthodo x criteri a fo r judgin g an d precedenting . Or else , suc h evidentia l tallie s migh t hav e to b e forced , an d adviser s woul d b e unwillin g to that . At thi s junctur e th e tw o astrologer s S u Lin an d Tun g P a offere d compellin g computationa l an d philologica l evidence s o f a differen t sort . On Decembe r I Erudits-Serving-within-the-Palac e S u Lin an d Tun g P a sen t a memoria l t o th e We i king . Firs t the y describ e a syste m o f planetar y chronolog y tha t ha d com e int o us e jus t befor e o r durin g th e earl y year s o f th e Han . In th e heaven s ther e ar e twelv e Jupite r Station s b y whic h [me n hav e reck oned ] th e Regiona l Divisio n [syste m o f geo-astrology]. 9 [In th e syste m th e

5. Thi s phrase , wit h a graphi c variant , is use d in Shang-shu ("Ya o tien") : "Oh ! yo u chie f of th e fou r mountains" ; Legge , Shoo King, p . 25 ; als o SC I, p . 21 . Later , esp . in th e Ha n era , th e marchmount s cam e to symboliz e th e submontan e plac e wher e decease d soul s wer e collecte d an d reviewe d b y controller s o f th e underworld . 6. TC (Ch'en g 15 ) 13 , p. 12a : someon e refuse d appointmen t a s earl . "It i s containe d in book s o f an earlie r tim e tha t a sag e is equa l t o th e duties o f al l position s M i i f p ; a ma n o f th e secon d clas s maintain s th e dut y o f hi s positio n Tf fp; an d tha t on e o f th e lowes t clas s fails in th e dut y o f his ^ f p " ; trans . Legge , Ch'un Ts'ew, p . 388 . 7. Se e CS ("Treat , o n Rites " A) 19 , p . 666 , wher e th e phras e is use d t o addres s H o Ch' i fqjli f probabl y becaus e h e wa s a distaf f father-in-law ; als o TC (Hs i 28 ) 7 , p . I Oa . 8. Neithe r thi s man' s nam e no r offic e titl e i s recorde d elsewhere . "Yung-shou " wa s th e nam e o f th e palac e o f Empres s Pie n (o f Ts'a o Ts'ao) ; se e SKC 5, p . 157 . CS ("Treatis e o n th e Bureaucracy" ) 24, p . 737 , tell s u s tha t in Han ther e wer e thre e minister s unde r th e aegi s of th e Empres s Dowager' s palace ; the y carrie d th e sam e titl e a s th e correspondin g thre e amon g th e Nin e Minister s o f th e regula r bureaucracy . This wa s change d at som e tim e in earl y Wei . Mao probabl y wa s a lo w officia l in th e empress ' quarters ; hi s high-soundin g title ma y hav e bee n a temporar y on e s o tha t h e coul d carr y ritua l objects . 9. Th e Jupite r Station s wer e a traditiona l syste m o f divisio n o f th e sk y int o area s traverse d by Jupite r i n it s I 1.86-yr . siderea l cycle ; Jupiter' s Grea t Perio d (i n conjunctio n wit h othe r bodies ) wa s als o use d as a cycle . Durin g Wan g Mang' s tim e Liu Hsi n establishe d th e periodi c mean-yea r as equivalen t to 1/1 2 o f Jupiter' s siderea l period . Th e Grea t Perio d wa s an integra l

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traditional ] duchie s an d principalitie s eac h hav e [coordinates ] t o whic h the y belong . Cho u 1 1 is in th e are a o f th e Quail-Fir e %%'X [Station ] an d Wei f & is in Grea t Plank-Bridg e A S . 10 As Jupite r H M proceed s it goe s sequentiall y throug h th e Twelv e Station s an d th e feuda l entitie s E H J 1 [Usin g th e system, ] son s of heave n receiv e thei r mandate s an d th e feuda l lord s ar e instated . Whe n Cho u Wen-wan g firs t receive d th e mandate , Jupite r wa s i n th e Quail-Fir e Station . B y th e tim e o f Wu-wang' s defea t o f Cho u ffl (th e las t rule r o f Yin), thirtee n year s [ha d passed ] (Tun g an d S u ar e roundin g u p fro m th e fractio n ove r twelve) , an d Jupite r ha d recurre d i n Quail-Fir e [Station] . Thu s Ch'unch'iu chuan # K f l | says : "Whe n Wu-wan g defeate d Chou , Jupite r wa s in Quail-Fire . Wher e Jupite r cam e t o resid e wa s th e Regiona l Divisio n [are a correspondin g to ] ou r comin g int o possessio n o f Chou." 12 Earlier , in Kuang ho % i\\ 7 [o f Ling-ti' s reign ] (183-8 4 A.D.), Jupite r wa s in Grea t Plank-Bridge , an d a t [tha t astrological ] momen t Ts'a o Ts'a o wa s firs t give n th e mandat e t o attac k th e Yello w Turbans. 13 [Later ] tha t yea r [Ling-ti ] change d th e reign-titl e to Chung-p'in g ^W~ I . I n Chien-a n ^ 5 I (196) , Jupite r wa s [again ] i n th e Grea t Plank-Bridge , an d h e wa s firs t appointe d generalissimo . In anothe r thir tee n year s (agai n rounding , thi s woul d b e in 208 ) a t th e recurrenc e i n Grea t Plank-Bridge , he wa s firs t appointe d Chancellor . No w it is [Chien-an ] 2 5 (220) ; Jupite r ha s recurre d in Grea t Plank-Bridge , an d you r majest y ha s receive d th e mandate . Th e Wei' s comin g unde r receip t o f [th e appropriate ] Jupite r [influ ence ] i s a sympatheti c respons e fflJJS to Cho u Wen-wang' s receip t o f th e mandate . This yea r i s tha t o f a n azur e drago n i n keng-tzu Jj*-p (tha t is , th e yea r Chien-a n 25) . The [oracle-text ] Shih t'ui-tu tsai I t f f i SX says : "KengJ^t mean s to chang e I E; tzu ~P mean s growt h [force ] M . The sage s commande d (or , mandated ) th e governanc e o f al l unde r heaven. " It als o says : "A kin g display s his virtu e in tzu [years] , an d hi s governmen t come s to completio n in ch'ou fi years." 14 Thi s is makin g referenc e to today , whe n heave n "changes " th e man date ; a sag e ma n will gover n all unde r heaven ; he will so w hi s virtu e amon g th e

-**- numbe r — 60-years , easil y reconcilabl e with othe r planetar y periods . Se e SCC 3, pp . 189 , 402 , 406-9 ; Sivin , "Cosmos, " pp . 15-17 ; als o CS 11 , trans . Ho Astronomical Chapters, pp . I 13-15 ; an d Schafer , Pacing the Void. 10. Se e chap . 5 , above , n. 90 . Tun g use s th e syste m of Jupite r Station s attribute d to Ts'a i Yung , wher e th e stat e o f Wei' s astra l regio n bega n in th e sixt h degre e o f Luna r Mansio n 1 9 (P i H ) (se e CS 11 ; trans . Ho , Astronomical Chapters, pp . 114-15) . In th e syste m tha t late r becam e regularized , an d use d in CS (se e ibid. ) an d in Chiu Tang-shu (se e Schafer , Pacing the Void, tabl e 2) , th e Grea t Plank Bridg e is no t associate d wit h Wei . I I. I do no t follo w th e sligh t variant s in thi s passage , beginnin g here , as offere d in SgS, "Treatis e on Tallie s an d Portents" ; se e th e note s i n SKCCC 2 , pp . 27a-28 a [87-88] . The y see m t o b e late r editoria l attempt s to clea n u p SKC 12. Ther e i s n o suc h wording , no r mentio n o f "regiona l division, " in Ch'un-ch'iu an d traditiona l chuan, althoug h th e TC portion s mentio n Quail-Fir e fou r times . Neithe r i s ther e a correspondin g titl e amon g th e oracle-text s o f Han ; se e Isho, vols . 4.1-2 (th e section s devote d to Ch'un-ch'iu scrip tures) . Th e referen t seem s to b e Kuo-yu, whos e alternativ e nam e in th e Ha n er a wa s "Ch'un-ch'i u chuan" ; se e Kuo-yu chi-chieh ("Chou-yu " H t § C ) (Shanghai : Chung-hua , 1930) , p . 35a , fo r th e secon d sentenc e o f th e abov e quotation . Onl y We i Chao' s $ 8 p (197-278 ) commentar y mention s "Quail-Star. " 13. The SgS 27 versio n (p . 776 ) leave s ou t th e wor d "moment. " I prefe r th e suggestio n tha t Ling-ti , o n th e advic e o f astrologers , emulate d a momen t i n Cho u histor y fo r makin g a militar y attack . 14. This oracle-tex t is reconstructe d in Isho 3 , esp . p. 13 . Neithe r o f th e tw o chronograph s kengand ch'ou is relate d t o Wei' s o r Chin' s Jupite r Station , an d thei r significanc e her e is obscur e t o me . Dull , "Apocrypha l Texts, " pp . 3 1 1-12 , discusse s thi s tex t (whic h h e title s "Boo k o f Songs : Calculatin g Calamities") .

147

TS'AO P' I AN D POLITICA L CULTUR E peopl e ^ f t ^ K . W e i shoul d correc t "th e governanc e o f al l unde r heaven " t o correspon d wit h th e Shih [oracle]." 15 Th e claim s a t firs t see m uncontroversia

l an d simpl e t o explain . The y featur e th e

Jupite r Statio n system , whic h ha d bee n se t i n orde r durin g Easter n Ha n b y tal ente d scholars

, amon g the m Ts'a i Yung . Th e linkag e tha t Tun g P a provide s i s tha t

betwee n Ts'a o P' i an d th e Chou . Yet , thi s doe s no t jib e wit h Ts'ao-famil y politic s aroun d thi s time . Ts'a o Ts'a o ha d promote d th e ide a o f hi s ritua l mandate-lin wit h Wen-wang , bu t Ts'a o P' i avoide d an y appearanc

k

e tha t hi s ow n gesture s fol -

lowe d a Cho u pattern , o r followe d hi s fathe r a t al l i n thes e matters . A shar p diversio n occur s her e i n th e document . I t i s possibl e tha t element s o f Tung' s memoria l subsequentl y becam e disarranged , occasionin g th e late r rear rangemen t i n Sung-shu)^ Thu s h e no w take s u p a ne w point , whic h modifie s wha t ha s jus t com e before , a s i f w e mus t inser t th e word , "Nevertheless. " Th e above , Chou-afflrming , Jupite r syste m i s abandone d fo r a proto-systematic , legend-drive n astrology . Tun g offer s tw o arguments : th e astra l conjunction s i n effec t whe n Chua n HsC i founde d hi s primordia l stat e sho w tha t th e curren t momen t i n 22 0 A.D . i s a t th e same importan t node ; and , moreover , th e Ts'a o hous e descend s fro m Chua n Hs u an d th e Yello w Emperor . Th e clai m i s mad e tha t Chua n Hs u "receive d th e mandat e whe n Jupite r wa s i n Pig-Leather " ^ $ , a s i t woul d als o b e when , durin g th e Chou , Chou-kung'

s

elde r brothe r K'an g Sh u J $ ^ wa s sen t ou t t o tak e comman d o f W e i l $ j , a forme r Yi n state . Tun g authorize s thi s b y quotin g Tso-chuan: th e vacate d sit e H (buria l site ) o f Chua n Hsii."

17

Furthermore

" W e i f| j wa s , sinc e th e cur -

ren t luna r month , th e tenth , i s a t th e beginnin g 3 H o f a calendri c cycle-measur the n th e mont h i s in a "Chua n Hsi i mandate-receivin

e4 ,

g division. "

Pig-Leathe r i s not , however , a traditionall y recognize d Jupite r Station . On e ma y assum e i t t o b e a n alternativ e nam e fo r Murk y Hollo w 1 5 fi, a Jupite r Statio n nor mall y associate d wit h Chua n Hsi i an d partl y affecte d b y th e cycli c sig n "pig " ^ . 1 8 Bu t tha t associatio n i s see n onl y unde r th e later , full y rationalized , Regiona l Divi sion s use d i n Chin-shu an d Chiu T'ang-shu. It doe s no t hol d tru e i n Ts'a i Yung' s Regiona l Divisions , whic h Tun g probabl y used .

15. I follo w th e SgS version , a s wel l a s P'an , K'ao-chengl, p . 9b ; wherea s variou s edition s o f th e S/CC tex t hav e "correspon d wit h th e momen t 0*." (Fo r \nn a s "correspondanc e t o [earlie r events], " se e Shu-ching ("Shu n tien " ^ ? ^ ); trans . Legge , Shoo King, p . 29 : "[Shun ] corresponde d t o th e forme r emperor") . 16. The speec h is carrie d in SgS ("Tallies " B ) 27 , pp . 775-77 ; bu t it consider s th e las t portio n (SKC 2, p . 70:1 6 t o 71:4 ) t o b e a preambl e t o th e astrologica l evidenc e an d rearrange s accordingly . Oth erwise , ther e ar e a numbe r o f lexi c change s an d editoria l deletions , all minor . I not e severa l tha t ma y alte r slightl y th e meaning . 17. Unlik e above , thi s referenc e t o "Ch'un-ch'i u chuan " doe s mea n th e Tso; se e TC (Cha o 17 ) 23 , p. 27a , whic h read s ^ a s j£. Tu Yii comments : "Th e stat e o f We i i s in presen t P'u-yan g }fiP i hsien . Th e ancien t Chua n Hsi i live d ther e an d in hi s cit y wall s wa s a buria l moun d fo r him " (ibid.) . YHCHTC I I, p . 296 , say s (readin g ± i ) tha t P'u-yan g wa s th e plac e o f Chua n Hsu' s "wast e site. " It conclude s b y explainin g P'u-yang' s associatio n wit h th e marqui s o f We i an d it s late r administrativ e elisio n wit h Tung-chu n durin g th e Ha n (p . 297) . Ther e i s no evidenc e o f Shih we i ("pi g leather" ) a s a plac e name . 18. CS("T'ien-wen"A ) I I, p . 308 .

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Detail s o f th e legend s o f Chua n Hs u ar e compile d in suc h source s a s Shih-chi j£ 13 an d Huang-f u Mi' s l l ^ t m (d . 282 ) 77- wan g shih-chi $ I tM:& B , work s tha t in tur n serve d a s source s fo r late r compilers . An oldes t reliabl e locus fo r an y indi vidua l remark , therefore , is har d to determine . In suc h compilation s w e learn , for example , tha t Chua n Hs u die d a t a local e i n wha t woul d becom e th e Han-er a distric t o f Tung-chu n jflflf l , whe n Jupite r wa s in Quail-Fir e Station ; als o tha t h e se t u p hi s capita l nea r th e "T'ai-han g Mountain s — th e field s o f Kuang-san g JjtH , at Shih-we i (Pig-Leather ) station." 19 Th e sectio n o f Tso-chuan t o whic h documen t 28 refer s is a discussion , date d to 52 1 B.C. , abou t a fire asteris m (literally , a sweepe r come t wit h a lon g tail ) an d it s affec t o n fou r state s tha t la y withi n it s earthl y coordinates . We lear n tha t th e stat e o f We i # j , unlik e Sung , Ch'en , an d Cheng , wa s influence d b y water , th e other s b y fire. 2 0 Th e ter m "vacate d site " i s use d throughou t tha t Tso-chuan passag e to mea n a n astrologica l coordinate , o r plac e in th e heavens . Th e Tso-chuan discussio n occurre d prio r t o an y terminologicall y fixe d syste m o f Jupite r Stations . Th e "station " o f "Pig-Leathe r station " i s mos t likel y geographic-administrative , a ter m fo r a militar y way-post . Crucia l t o th e linkag e is th e fac t tha t th e We i l$ j duca l hous e toward s th e en d o f it s life becam e intertwine d an d elide d int o tha t o f We i H . 21 Thus , th e legendar y Jupite r cycl e tha t link s Ts'a o P' i to Chua n Hsu , als o link s hi m to th e Cho u fie f tha t evolve d int o his Wei . Also , Ts'ao-We i link s geographicall y t o Chua n Hs u throug h th e physica l locatio n o f tha t fief . Tun g P a ha s draw n upo n th e Tso-chuan passag e as he woul d upo n legen d mate ria l in general . Th e astrologe r want s t o establis h tha t i n 22 0 A.D. th e tent h luna r mont h i s th e beginnin g o f a Chua n Hs u mandate-cycle . Onl y Tso-chuan mention s a local e associate d wit h Chua n Hsu , s o h e use s it, despit e th e lac k o f affinit y wit h curren t Jupite r Statio n an d Regiona l Division s systems . Chua n Hs u se t u p hi s stat e in a plac e calle d Pig-Leather , an d thi s wa s transmute d i n earl y legen d t o mea n a n astral , a s wel l a s geographical , place . Later , Chou-hous e descendant s establishe d thei r We i # j fie f in Pig-Leathe r — o r durin g Pig-Leather . Base d on othe r evidenc e o f Tung' s intellectua l activities , h e appear s rathe r clearl y to hav e bee n a committe d proponen t o f pre-Cho u ritua l practice . Hi s theor y abou t a Chua n Hs u calenda r is recorde d i n Chin-shu, i n th e contex t o f a revie w o f third - an d fourth-centur y theories . Ther e Tun g claim s that , base d o n F u Hsi's , th e Yello w Empero r mad e a comprehensiv e calenda r calle d Tiao-li U S . Chua n Hs u late r adapte d th e Tiao-li calendar , takin g int o accoun t a "conjunctio n o f th e fiv e planets, " in orde r t o mak e a tropical-yea r calenda r tha t marke d th e exac t onse t o f th e ne w yea r i n sprin g ]m#I E ^ S T L . Fo r this , Chua n wa s considere d th e ances 19. Fo r reference s t o Chua n Hsu , se e TWSC , pp . 27-28 ; als o SC 2, p . 86 (an d th e late r commen taries , whic h dre w upo n TWSC ) 20 . Se e Wan g Fu' s "Ch'ien-f u lun " on th e associatio n o f Chua n Hsi i wit h Mercury , water , an d th e not e /(/, Kinney , Han Essay, p . 109 . 21 . Se e SC 37 , pp . 158 9 ff. Whe n Kung-su n Yan g invade d Ch'in , We i wa s demote d t o a marquisate ; an d late r t o a baronetc y limite d solel y to th e P'u-yan g locale . Its politicall y feebl e rule r visite d M, wher e h e wa s assasinated , an d th e ff e place d thei r in-la w a s a puppe t rule r of % , know n a s 7 L H . In th e latter' s 1 4 yr . Ch'i n too k th e eas t portio n o f M an d mad e i t int o Tung-chun ; unde r th e Secon d Ch'i n emperor , th e f$ j hous e wa s deposed ; SC note s stat e tha t th e II capita l wa s Ta-lian g (a s in th e Jupite r station) , an d its principa l region s wer e P'u-yan g an d Li-yan g ^ P I ; SC 37 , pp . 1604-5 .

14?

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to r o f al l calenda r maker s ^ E ^ i i i . 2 2 Tun g conclude s tha t Ch'eng-T'an g (Yu ) o f Yin change d th e tropical-yea r calenda r t o a winte r solstic e marker , a techniqu e use d dow n to Han , bu t on e inferio r t o th e Hsi a calendar , whic h ha d bee n "grace d by heaven , an d wa s base d o n Chua n Hsu' s [calendric ] us e o f Yao an d Shun." 23 Tun g earlie r i n hi s caree r ha d als o create d a detaile d descriptio n o f th e Ha n emperor' s "Roo t o f Gold " carriage , possibl y a s a direc t guid e to it s construction , an d linke d it , throug h historica l philology , wit h th e Stat e Carriag e o f Yin . As a resul t ".. . th e Ha n emperor s emphasise d thei r lin k wit h hig h antiquit y — tha t is to say , in th e vie w o f Tun g Pa." 24 A YELLO W EMPERO R GENEALOG Y Havin g alread y demonstrate d tha t th e curren t tent h luna r mont h is at th e nod e of a Chua n Hs u cosmi c cycle , Tun g move s o n to hi s secon d claim : Sinc e for th e firs t tim e th e We i S I hous e ha s receive d abdicatio n rite s in th e tent h month , it tallie s with evidenc e tha t Shih-ts u S f f l (Ts'a o P'i ) ha s receive d th e mandate . Th e Ts'a o lineage-surnam e derive s fro m Chua n Hsu , sharin g wit h Shu n th e sam e [ritual ] lineage-hea d ftS^ttl ^ m P S ^ I ^ t ^ l f f l . Thi s is see n in th e Ch'un-ch'iu [branchings ] o f th e [ducal ] house s jf, T#% X t t : ^ . 2 5 Shun' s earth-forc e followe d Yao' s fire ; an d no w We i als o take s th e earth forc e to succee d upo n th e Han' s fire . In the marc h o f th e turnin g [cycle s of th e calendar ] ther e i s a conjunctio n a t th e poin t wher e Ya o an d Shu n gav e an d receive d [th e mandate] . Tun g explain s thi s conjunctio n furthe r i n term s o f th e politica l ethic s o f roya l sharing , a them e tha t become s critica l i n th e nex t wav e o f advic e t o Ts'a o P' i (below , chapte r 9) . He say s tha t in th e mandate' s ac t o f choosin g ther e i s alway s a firm rul e throughou t history : receiver s o f th e mandat e shar e politica l authorit y an d powe r wit h th e dispensers , as Yao di d with Shun , "offerin g bone s an d fles h fft 22 . Not e tha t Jun g Ch'eng , on e o f Ts'a o P'i' s quasidivinite s mentione d i n chap . 7 , i s th e Yello w Emperor' s calenda r make r i n som e legends . 23 . CS ("Treatis e o n Harmonic s an d Calendrics " B ) 17 , p . 502 . 24 . Beck , Treatises, p . 244 . 25 . Ther e ar e n o reference s t o a Ts'ao-We i descen t fro m Chua n Hs u i n eithe r SC, Ch'un-ch'iu (wit h th e chuan), o r TWSC . It i s foun d i n "We i shu, " which , however , ma y hav e derive d th e ide a fro m Tun g Pa ; se e SKC I , p . I : "(Th e Ts'aos' ] antecedent s stemme d fro m th e Yello w Emperor . In th e generatio n o f Kao-yan g ifjP i (th e nam e applie d t o Chua n Hsi i onc e h e becam e ruler) , L u Chung' s PM £ so n wa s calle d An $ ; h e wa s o f th e Ts'a o surname.. . [Thes e Ts'aos ] wer e enfeoffe d in Ch u ^[ J . . .. I n th e Warrin g State s the y wer e destroye d b y Ch'u , an d th e descendant s wandere d about . Som e [establishe d the ] famil y i n P'ei.. . . " SC 44, pp . 1835-36 , say s tha t th e hous e o f Wei f & descende d fro m Pi-kun g Ka o ^'£;M, wh o wa s of th e Cho u surname . The y too k We i a s th e nam e o f thei r fie f in th e tim e o f P i Wan H . Th e Chua n Hs u descen t give n in "Wei-shu " thu s differ s in its intent . It describe s Ts'ao-We i lineag e detail s fo r a muc h olde r time , pas t Chou . Late r in th e We i dynast y (fall , 237) , Ming-t i an d Kao-t'an g Lun g M J I L I I (fl. 180-240 ) woul d hol d discussion s o n correc t ritua l i n orde r t o chang e imperia l worship . Par t o f Ming-ti' s edic t reads : "Th e Ts'a o trac e thei r lineag e fro m 4 Yu-Yu ' (Shun) . Fro m no w on , Huang huan g ti-t'ie n M M ^ ^ shal l b e sacrifice d to a t Huan-ch'i u [Six , paire d wit h ou r primordia l ances to r Shu n o f Yu ; SKC 3, p . 110 , cit . "We i shu" ; trans . TCTC/F I , p . 519 . In 240 , whe n Ch'i wan g Ts'a o Fan g 7? too k th e We i throne , a statemen t wa s made : "Formerl y th e shih-chung Kao-t'an g Lun g ha d discourse d o n matter s concernin g th e Suburba n Sacrifices , makin g [th e rulin g hous e of ] We i th e offsprin g of Shu n an d henc e pairin g Shu n with Heaven . [Chiang ] Ch i jj^/ ^ hel d tha t Shun' s surnam e wa s Kue i # 1 an d hi s descendant s too k th e surnam e T'ie n E5 , an d tha t therefor e Shu n wa s no t th e ancesto r o f th e Ts'aos . H e wrot e a treatis e t o refut e Kao-t'an g Lun g posthumously. " (Se e SKC 14 , p . 454 ; trans . TCTC/F I , p . 550. )

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#[£ ) ." 2 6 'The y mutuall y gav e an d received ; an d separately , neithe r deplete d anythin g [o f hi s own ] ffl^Fli M ." 27 Finally , i n urgin g tha t th e accessio n g o for ward , h e says : At present , whil e [th e emperor ] ha s alread y issue d an edict , th e jad e [writ ] an d tassel s hav e no t bee n supervised , an d yo u g o o n cleavin g to humbl e declina tions . Regardin g th e above , you ar e goin g against 28 heaven' s mandate ; below , yo u ar e fallin g shor t o f th e aspirations ^ o f th e people . We minister s hav e carefull y gon e ove r th e ancien t record s an d hav e looke d int o th e graph s (charts ) an d oracle-texts.. . In this ver y mont h of the year.. . yo u mus t announc e clearl y [you r acceptance ] to heave n an d to th e [royal ] thearch^ an d annnounce 31 [it] to al l unde r heave n (tha t is , th e world ) fe^^ffn c i r ^ T . The n subsequentl y yo u [must ] rese t th e lunatio n [t o reflec t a ne w politica l calendar] , chang e th e ritua l uniform s an d colors , an d rese t th e reig n name . All unde r heave n wil l hav e bee n deepl y graced. " A N l-CHIN G PEP-TAL K On th e sam e da y Ts'a o P' i issue d a shor t comman d tha t questioned whethe r h e is th e potentia l rule r bein g indicate d everywhere .

, onc e more ,

His tex t quote s a passag e fro m l-ching u Bu t if yo u ar e no t th e righ t man , th e tao will no t manifes t itsel f to you." 32 I t i s n o coincidenc e tha t th e lan guag e of thi s passag e in l-ching concern s th e measuremen t o f reig n cycle s an d , usin g "flowin g throug h th e si x empt y place s f\jS. ," o r si x coordinate-areas th e ancien t term s o f geo-astrolog y see n above . On Decembe r 2 a [palace ] edic t wa s issue d b y Hsien-ti : The Augus t Empero r querie s th e We i king . [Your ] emissar y Mao , offerin g [your ] lette r o f Novem be r 30 , arrived , an d I hav e hear d al l tha t wa s addresse d an d brough t ou t [in it].. . I t is suc h tha t th e kin g incorporate s th e abundan t virtu e o f Yu-Yii (Shun) , an d h e respond s to th e fortunat e coincidenc e calendricall y reckoned.. . W e ar e i n aw e o f th e thearch shang-ti^ an d giv e ove r th e plac e to th e king . .. . Ch'ung-hu a (tha t is , Shun ) di d no t g o agains t Yao' s mandate , an d Ta-Yu [o f Hsia ] di d no t refus e Shun' s throne . I f yo u wante d t o b e thos e commone r [refusers ] [Hsu ] Yu an d [Shan ] Chuan.. . the n yo u coul d no t b e terme d re vere d imperia l material . At presen t We hav e sen t [t o you ] [Chang ] Yin , wh o offer s th e jad e an d tassel s o f th e Augus t Emperor . Woul d tha t [you ] th e kin g tak e th e imperia l thron e an d no t go agains t Ou r order , thereb y humbl y bein g in receip t o f th e "min d o f heaven " ;?^L > 34 i n thi s [affair] . 26. 1 find no locus fo r fles h an d bone s use d literall y a s object s in a ritua l undertake n b y Yao . Se e TC (Hsian g 22 ) 16 , p. 24a : "My lor d Shu-f u tz u is on e abou t who m i t is sai d tha t afte r deat h hi s bone s will ge t flesh. " Tu: "Afte r dyin g one' s bar e bone s rene w thei r flesh. " 27 . I hav e foun d n o locus. 28 . Th e versio n i n SgS 27 , p . 776 , ha s "yo u ar e delaying. " 29 . Ibid. : "th e feelings. " 30 . Ibid. : "t o th e thearch on-hig h (shang-ti)." 31 . Ibid. : "mak e edict s to. " 32. "Hsi-tz'u " sect . B; se e Harvard-Yenchin g Inde x edn. , p . 48, rt ; trans . Wilhelm , Book of Changes, p. 349 , bu t emendin g "meaning " (German : Sinn) t o "tao. " 33 . Not e tha t th e empero r say s shang-ti, whil e Tun g Pa' s previou s phras e wa s abou t mak ing announcement s t o t'ien an d ti. 34 . Fo r "min d o f heaven, " se e Shang-shu ("Hsie n y u i te " JHI^ — t* ) ; trans . Legge , Shoo King, p . 215 : "The n ther e wer e I, Yin, an d Tang , bot h possesse d o f pur e virtue , an d abl e t o satisf y th e min d o f Heaven . H e receive d i n consequenc e th e brigh t favou r o f Heaven , an d becam e maste r o f th e multitude s o f th e nin e provinces , an d proceede d t o chang e Hsia' s

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Soo n afte r documen t 29 , probabl y o n Decembe r 3 , Hua n Chie h an d other s memorialized , firs t announcin g tha t Chan g Yin ha d arrive d a t th e cam p o f Ts'a o P'i wit h th e necessar y objects . The y mentio n th e omen s signalin g Cho u Wu wang' s mandate , bu t ad d tha t in ancien t time s Shu n administere d b y workin g exceedingl y har d "a t th e foo t o f th e mountains." 35 The y urg e Ts'a o P' i to tak e th e thron e an d no t tak e th e stanc e o f a solipsis t ( a phras e see n earlier , docu men t 27) . The / [-ching] says : "[Th e Superio r man's ] receivin g a mandat e is like a n echo . Neithe r fa r no r near , neithe r dar k no r dee p exist s for it , an d thu s h e learn s of th e thing s o f th e future . If thi s boo k wer e no t th e mos t sublim e thin g unde r heaven , ho w coul d it d o this?" 36 You ar e th e respons e to th e calculation s o f th e cycle. 37 Fro m thi s point , th e memoria l suggest s ho w th e kin g shoul d rene w prepara tion s fo r th e ritua l platform , choos e th e luck y da y accordin g to astrologers , an d sho w th e jad e sea l an d tassels . Ts'a o P' i replied : "I hop e to refus e thre e times , bu t hav e no t bee n obeyed . What' s th e rush? " Ts'a o P' i followe d wit h a lette r t o th e emperor : On Decembe r 2 I receive d th e jad e writ . I am mad e heav y b y th e mandat e o f th e sage ; I prostrat e mysel f to liste n to th e palac e edict . My live r an d gal l clas h in fear . I do no t kno w ho w to dispos e of [th e matter]... . [Shun ] wa s take n int o servic e "a t th e foo t o f th e mountains, " an d whe n Shu n mandate d Yii (o f Hsia) , "Yii presente d a dar k colore d gem-ston e an d announce d th e completio n o f his work . ..." 3 8 Bu t stil l the y hel d o n to thei r humbl e declinations . Ts'a o claims , on e mor e time , tha t h e "dare s to hol d to hi s solipsis t stance, " an d "resum e hi s intentio n [t o b e at ] Chi-shan " ^|JL| , whic h wa s th e plac e wher e th e legendar y Hsii-y u fle d to avoi d receivin g th e thron e fro m Yao . He explains , finally , tha t h e is sendin g bac k th e jad e sea l an d tassels . Probabl y o n Decembe r 5 o r 6 , th e Serve r i n th e Palac e Liu I, alon g with other s presumabl y o f th e cor e group , memorialize s th e kin g to th e effec t tha t h e ... embodie s th e hig h sagelines s o f Shun , avail s th e earth-forc e i n th e proces s of th e turning s [o f calendri c cycles] . He face s a coincidenc e o f th e "forceful " yang [lin e o f th e Ch'ie n hexagram ] an d th e [dyin g of th e Ha n represente d by ]

-^commencemen t of the year. " Th e contex t of settin g th e ritua l calenda r resonate s in th e Ha n emperor' s edict . 35. Legge , Shoo King, p . 32 : "Bein g sen t (b y Yii) t o th e grea t plain s a t th e foo t o f th e mountains , ami d violen t wind.. . h e di d no t g o astray. " It is in th e contex t o f Shun' s dealin g with minister s an d plan s fro m al l aroun d th e nation . Cf . Leban , "Heaven' s Mandate, " pp . 332-33 , whic h follow s K'un g An-kuo , glossin g "a t th e foo t o f th e mountains " as "bein g give n th e recordist' s office. " 36. "Hsi-tz'u " sect . B ; se e Harvard-Yenchin g Inde x edn. , p. 43 , left ; th e SKC tex t change s f l (transformativ e essence ) to E l (sublime) . Cf. Wilhelm , Book of Changes, p . 314 . 37 . Cf . Leban , "Heaven' s Mandate, " p . 333 , wh o call s i t "i n respons e t o th e orde r o f destiny. " 38 . He continue s with variou s phrase s fro m Shang-shu, e.g. , "Yu kung " H H ; trans . Legge , Shoo King, p . 150 ; se e als o TWSC, p . 52.

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th e Ming- i [hexagram] ; he respond s [sympathetically tha t [signifies ] Han' s havin g reache d it s end. 39

] to th e reckone d numbe r

Jus t befor e this , Liu ha d quote d tw o phrase s fro m th e l-chings "Hsi-tz'u " sec tio n tha t said : "penetrat e al l wills o n earth " an d "settl e al l doubt s o n earth." 40 In th e classi c th e phrase s follo w directl y afte r a n expositio n o f th e numerologica l correspondenc e betwee n heave n an d yang number s o n on e hand , an d eart h an d yin number s o n th e other . Th e contex t t o whic h Li u allude s is on e o f grea t meta physica l reckoning , an d h e use s it t o inspir e Ts'a o P' i t o action . He show s Ts'a o tha t reckonin g start s wit h th e simple , natura l correspondences , the n i f a perso n know s thos e correspondence s an d attune s himsel f to them , h e will kno w ho w t o ac t politically . H e als o show s tha t thi s is basicall y a n orthodo x procedur e a s pre scribe d in a sectio n o f th e orthodo x l-ching, albei t a sectio n (th e "Hsi-tz' u chuan" ) tha t ha d achieve d canoni c statu s onl y in recen t time s (tha t is , th e Wester n Han) . Finally , Li u call s fo r a n en d t o deliberatio n abou t th e mandat e an d a n en d t o struggle s ove r th e prope r actio n t o tak e a t th e moment . "Wha t basi s in th e rite s is ther e fo r showin g suc h resistanc e to th e goo d condition s o f heaven' s wa y (tha t is , th e astrologica l indications ) an d th e goo d wil l o f th e people? " O n som e occa sions , h e says , minister s mus t diffe r fro m rulers , an d th e lowe r mus t arrogat e t o themselve s th e emperor' s dutie s in orde r t o se t thing s right . The y plea d wit h thei r lives fo r Ts'a o P' i t o accep t th e mandate . Ts'a o P' i followe d wit h thi s order : Fo r th e world' s weight y vessel s an d th e correc t successio n o f king s EE %IE$t , on e approache s wit h th e virtu e o f a sag e bu t wil l hav e a fearfu l heart . Wh y shoul d I b e an y different ? .. . I t woul d b e bes t to wai t unti l afte r I hav e refuse d firmly , an d the n rene w ou r discussion s abou t th e possibilit y [o f takin g th e Ha n throne]." 41 On Decembe r 7 , Hsien-t i issue d anothe r palac e edict : Heave n ha s ende d th e Han' s [tim e on ] th e throne . Th e constellation s M ^ 4 2 ar e abundantl y clear . We respec t heaven' s mandat e an d proffe r th e plac e to th e king . Accordingl y I hav e se t fort h th e reckone d calenda r in a writte n edict . I hav e explaine d i n in k M i l 4 3 th e tallie d turnin g [o f th e cycles] . The spirit -

39 . "Forcefu l yang' refer s to th e to p lin e o f Ch'ie n (hexagra m I) , whic h ha s all line s a s yang (th e to p on e calle d "forcefu l [als o trans , arrogant ] dragon " T c f l ) . Ming- i (hex . 36 , "Darkenin g o f th e Light" ) is easil y cas t as a politica l allusion : th e wea k to p lin e is in a declin e engendere d b y a wea k fifth line (th e ruler ) an d fourt h (minister) . Hsii n Shuang' s commentar y to l-ching onl y thirt y year s previ ousl y feature d a scathin g condemnatio n o f th e Ha n hous e usin g Ming- i an d othe r hexagrams . Se e Ch'e n Ch'i-yun , "A Confucia n Magnate' s Ide a o f Politica l Violence : Hsii n Shuang' s [128-190 ) Inter pretatio n o f th e Book of Changes" TP 54 (1968) . Cf. Leban , "Heaven' s Mandate, " p . 333-34 . 40 . Fo r both , fro m "Hsi-tz'u " B , se e Harvard-Yenchin g edn. , p . 43 , rt. ; trans . Wilhelm , Book of Changes, p . 316 . 41 . Cf . Leban , "Heaven' s Mandate, " p . 334 . 42 . Probabl y a relativel y ne w phras e fo r constellations . She n Yueh' s /yfc£v j 5th-c . "Ch' i ku An Lu-cha o wan g pei-wen " (Wen-hsuan 59 , p . 10a) , openin g with a paea n to Chi n rule , say s tha t "My lor d contain s th e constellations ' fragran t virtu e M ^ Z l I t i , an d embodie s th e grea t effectiv e magi c o f th e river s an d mountains. " 43 . Perhap s jus t emergin g a s a literar y phras e in th e 3d . c. It wa s use d by Cha o Ch' i M ii (d . 201 A.D. ) i n hi s "Meng-tz u t'i-tz' u chieh " 5 u ~P 11 If ft? , an d in P'e i Sung-chih' s memoria l to presen t hi s commentar y to San kuo chih (se e SKC, append. , p. 1471) .

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vessel s (tha t is , th e power-object s o f th e throne ) t 4 t § 4 4 canno t b e declined ; th e augus t thron e canno t b e humbl y yielded . Makin g delay s in th e heavenl y mandat e ha s alread y amounte d to twic e an d thre e times.. . Shu n receive d th e mandat e of th e grea t affair s [o f th e nation ] withou t diffiden t refusals . Is no t th e "sage' s transcende d stance " WA&ffl , 4^ then , "to o fa r off?" 46 Toda y I hav e sen t [Chang ] Yin with th e jade s an d tassel s of th e augus t emperor . Woul d tha t th e kin g respectfull y tak e the m ove r [fro m th e Han ] an d answe r th e clario n response s to th e aspiration s o f th e world . Conclusion Tun g P a wa s perhap s th e firs t t o clai m tha t bot h th e Ts'a o surnam e an d th e Ts'a o ancesto r ritual s honore d primordia l antiquity . Suc h claim s wer e a seriou s matter , i n 220 , late r i n th e Wei , an d throughou t th e medieva l period , wheneve r th e matte r o f legitimatio n hinge d upo n ritua l descent . Furthermore , w e ar e pro vide d wit h materia l fo r a fulle r understandin g o f th e relationshi p betwee n particu lar Ts'ao-famil y ideal s an d habit s an d th e comple x politic s o f th e earl y court , whos e participants , mostl y o f th e socia l an d politica l elite , wer e ofte n quit e independent . As discusse d in chapte r 2 , Ts'a o Ts'ao' s sons , nephews , an d adoptiv e relation s ha d bee n kep t o n tenterhook s fo r year s concernin g th e dispensatio n o f Ts'a o powe r an d thei r pursui t o f militar y career s an d militar y ethos . B y th e tim e Ts'a o P' i seriousl y though t o f himsel f a s a rule r (probabl y upo n hi s father' s appointmen t a s chancellor , a s state d in Tung' s memorial) , h e bega n to diverg e fro m Ts'a o Ts'ao' s announce d emulatio n o f Cho u Wen-wang , an d instea d place d himsel f grandl y in paralle l wit h dee p antiquity . Tun g P a explaine d th e wa y th e Jupite r Cycl e ha d worke d fo r th e Ts'ao s sinc e 184 (Ts'a o Ts'ao' s ris e agains t th e Yello w Turbans) : the n cam e 196 , 208 , an d th e presen t — 220 . Thi s wa s calle d a respons e to , thu s a n emulatio n of , Cho u Wen wang . Ts'a o Ts'ao' s ow n ide a seem s to hav e bee n to emulat e Wen-wan g an d hav e his successo r d o likewis e fo r Wu-wang . Ts'a o P'i , however , leane d towar d a non "Wu " image , an d instea d towar d symbol s pacifi c an d ancient . Tun g wa s Ts'a o P'i' s bes t technica l suppor t i n thi s regard . He wa s capable , a s we see , o f establishin g astrologicall y th e lin k betwee n th e Ts'ao-We i feudalit y an d th e Chou-hous e feudalit y of Wei , whic h wer e i n fac t historicall y related . Th e lin k di d no t necessaril y con fus e Ts'a o P'i' s agenda : th e intellectua l cultur e o f legitimatio n ofte n operate d o n man y level s simultaneously . Dozen s o f ritua l connection s existed , an d it wa s al l a potentia l rule r coul d d o t o sta y clea r o f contradictions . In th e previou s wee k o r s o Ts'a o P' i ha d create d emblem s o f etho s — th e mythi c refuser s an d transcendent s wh o live d i n primordia l grace . Here , whil e 44 . Se e Lao-tzu, sect . 29 : 'Th e world' s spirit-vessel s (or , reveale d leaders ) canno t b e made . Thos e wh o woul d mak e the m destro y them. " Pa n Piao' s "Essa y o n th e Mandat e o f Kings " give s a politica l context : "He wh o doe s no t kno w tha t th e spirit-vesse l is mandate d canno t kno w ho w [t o use ] forc e in seekin g it; se e HS I00A , p . 4209 . Ts o Ssu' s "We i t u fu " f MW (Wen-hsuan 6 , p . 13b) , in a direc t referenc e t o Ts'a o P'i' s ne w dynasty , has : "Th e Li u cla n thre w dow n it s reins / An d surren dere d th e sacre d vessel" ; trans . Knechtges , WH/K I , p . 463 . 45 . Fo r thi s phrase , se e above , n . 6. 46 . Se e Lun-yu VIII/7, in whic h Tseng-tz u describe s th e missio n o f a shih ± : "Onl y wit h deat h doe s hi s journe y end ; the n mus t w e no t gran t tha t h e ha s fa r t o go? " (trans . Waley , Analects, p . 134) .

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comin g close r t o acceptin g th e Ha n throne , Ts'a o P' i stil l maintain s th e etho s o f purity . Chua n Hs u connect s hi m to th e Yello w Emperor , th e ma n wh o defeate d th e grea t demon s an d bega n civilizatio n a s th e primordia l perio d cam e to it s end . Shun , though , remaine d a s an emblem : if Ts'ao' s emble m o f perfec t rul e wa s to b e situate d i n th e tim e o f civilization , whe n ministers , courts , calendars , an d con quest s cam e int o existence , the n sharin g an d humility , a s gestures , woul d b e ap propriate . Thes e theme s wer e picke d u p in th e followin g severa l day s an d drive n hom e b y advisers . Th e idea s o f Tun g P a remin d u s tha t th e histor y o f cour t ritual , in th e context s of politica l an d persona l power , i s containe d no t onl y in forma l commentarie s o n th e classics , bu t i n a variet y o f historiographica l genre s an d record s o f actua l discussions . Calenda r reckoners , diviners , an d omenologist s influence d th e rulin g hous e an d th e politica l publi c b y correctin g an d resettin g countles s dail y routines , symbols , an d slogans . Ritua l wa s a diffus e an d poten t phenomeno n i n earl y Chi nes e culture , rangin g fro m th e wa y tha t a famil y woul d conside r tom b article s tha t assiste d i n th e postmorte m world , to th e way , a s we se e here , a kin g frame d hi s idea s abou t linkag e wit h th e past . Ruler s ofte n sough t ou t an d brough t int o cour t discussion s me n wh o wer e famou s fo r holdin g ne w o r highl y particularisti c opin ions . Jus t a s Ts'a o P'i' s adviser s ma y hav e sough t ou t Hs u Chih , perhap s i t wa s Ts'ao , mor e tha n th e advisers , wh o sough t Tun g Pa . Wha t Tun g offere d woul d b e quit e effective . A ruler , an d Ts'a o P' i wa s n o exception , coul d us e ne w theorie s an d eve n radica l claims , bu t h e woul d hav e expecte d suc h idea s t o b e rationa l enoug h to allo w ritua l an d symboli c corollarie s t o follow . The y ha d to rais e pertinen t issue s an d us e accepte d form s o f evidenc e an d argument . Suc h follow-u p t o Tun g Pa' s suggestion s di d occur , a s we se e in chapte r 10 .

155

Chapte r Nin e Decembe r 7-10 : Th e Highes t Official s an d th e Cor e Grou p Facilitat e th e Accessio n

O

n o r abou t Decembe r 7 , th e Thre e Excellencie s E S — Chancello r o f Stat e Hu a Hsi n ¥ I A , Gran d Commandan t Chi a Hs u WM , an d Grande e Secretar y Wan g Lan g BE HI (se e tabl e 2 , nos . 1-3 ) — le d forwar d th e Nin e Minis ters , wh o i n 22 0 consiste d onl y o f seve n actua l appointees . Th e Excellencie s com prise d th e uppe r cabine t — th e mos t senio r an d highl y ranke d grou p o f civi l officials , wh o traditionall y ha d consisten t contac t wit h th e empero r abou t cour t polic y an d nationa l affairs . The y oversa w record s o f loca l administration , heade d palac e institutions , thoug h alway s subjec t t o change s i n procedur e an d staffin g throughou t th e Han , an d wer e th e mos t respecte d o f censoria l voices. 1 The Nin e Minister s wer e directl y belo w th e Excellencie s i n statu s bu t no t subordinat e t o them . Eac h ministe r controlle d a fairl y separat e se t o f office s an d activitie s havin g to d o wit h th e runnin g o f th e palac e an d centra l government , fo r example , th e Academy , guar d units , receptio n o f guest s an d foreig n visitors , jail s an d crimina l investigations , an d finances . Discussio n o f th e on-agai n an d off-agai n natur e o f thei r staffin g is give n in chapte r 11 , wher e th e me n concerne d appea r a s signer s o f th e stele . W e tur n t o th e career s o f th e Thre e Excellencies . A s w e sa w i n Ssu-m a I' s grou p (chapte r 6) , unflinchin g loyalt y t o Ts'a o P' i wa s no t a prerequisit e fo r hig h offic e o r fo r a rol e i n th e discussion s concernin g dynasti c legitimation . Adviser s know n fo r tendentiou s an d censoria l mind s occasionall y burs t fort h i n complaint . Men wit h a histor y o f servic e to th e Ts'a o famil y wer e raisin g son s an d grandson s som e o f who m woul d b e loya l to , o r eve n marrie d into , th e Ssu-m a house . Th e Excellencie s ar e typica l o f this . We se e a culture d textua l schola r whos e famil y was tendin g toward s th e Ssu-mas , an d a genera l wh o complaine d abou t th e natur e of hi s reward s an d experience d Ts'ao-famil y enmit y soo n afte r Ts'a o P' i too k th e

I. Excellencie s ar e covere d i n Bielenstein , Bureaucracy, pp . 7-17 . In Wester n Ha n the y wer e th e Gran d Commandant , Chancellor , an d Grande e Secretary , al l receivin g th e highes t pa y an d rank , Chancello r bein g superio r i n status . In 11 9 B.C . th e Commandan t wa s change d to Commander-in Chief , a pos t frequentl y coopte d b y regen t familie s (ibid. , pp . 10-12) . At th e en d o f W. Han , th e Grande e Secretar y wa s eliminate d t o becom e Ministe r o f Works , an d Chancello r becam e Ministe r ove r th e Masses . Durin g E . Ha n th e 3-par t cabine t engage d in censoria l work . "Eac h ha d th e tripl e functio n o f headin g specialize d ministers , o f bein g th e chie f censor s in th e government , an d o f actin g a s th e emperor' s advisers... . [They ] coul d als o mak e polic y proposal s o n thei r ow n initiative " (ibid. , p. 12) . In th e Chien-a n perio d th e post s wer e change d bac k to W. Ha n names , bu t earl y i n 22 0 A.D. Ts'a o P' i fille d th e post s wit h thes e thre e men , revertin g t o E . Han titles . (Se e Hun g l-sun , San-kuo Chih-kuan piao [Kuang-y a shu-chi i edn. ] A, pp . 31a , 33b , 63b. ) In abou t 221-2 2 h e woul d rearrang e th e title s again .

156

NINE: FACILITATIN G TH E ACCESSIO N

throne . Th e thre e wer e honore d a s a grou p jus t befor e 220 , an d ha d othe r kind s of mutua l associatio n a s well . Th e Excellencies , accompanie d b y th e Ministers , delivere d tw o memorial s t o Ts'a o P'i . Th e firs t amplifie d a n argumen t abou t th e ethic s o f dynasti c chang e tha t wa s enunciate d previousl y b y Liu Jo' s larg e group . Thei r secon d speec h (docu men t 40) , though , is different : it is an expansiv e piec e o f literar y prose , rhetorica l an d ad hominem i n it s us e o f allusion . Th e tex t o f thi s speec h is believe d t o hav e bee n compose d b y Wan g Lang . It wa s subsequentl y use d a s th e majo r sectio n o f th e 22 1 stel e tex t tha t commemorate d th e supporter s o f Ts'a o P'i . A ful l transla tio n an d stud y o f tha t stel e tex t compris e chapte r I I (se e documen t 53) . THE THRE E EXCELLENCIE S Historica l record s yiel d item s abou t th e Wang s o f T'a n 16 insufficient . If it is the situatio n in time, the n ou r enemie s ]Jt 17 hav e no t ye t bee n vanquished . If throug h th e 'numinousness ' o f the hos t o f worthie s I ca n protec t 'm y [own ] hea d an d neck ' U f f f R z B iS ISI S ? M an d com e to m y en d a s lord o f Wei, 1 ^ the n tha t woul d b e enoug h for me . And if it is I [who is indicated] , the n ho w coul d I possibl y brin g suc h disgrac e to th e entir e world ? No w [we ] com e t o the matte r o f heaven' s portent s an d men' s affairs ; ho w coul d I, the orphan , be implicate d i n al l [thes e cases ] wher e th e sagel y virtue o f forme r ruler s be queath s auspiciou s blessings ? Fo r thes e reasons , I d o no t dar e t o obe y th e mandate." } We subject s humbl y rea d th e edict s an d letters , an d gre w eve r mor e de spondent . We ar e awar e tha t l-ching calls a sag e [one who] "make s proffermen t to heaven' s season s W A $ 0 # , "1 9 an d Lun-yu say s tha t a "superio r ma n stand s in aw e o f th e mandat e o f heave n ff-p- T S ^ P P ." 2 0 i f $( " doc . 40 ha s "^nj^htiP, " probabl y a n allusio n t o th e "lesse r stance, " via th e parallelis m jSif i / ^ft p use d in TC; se e chap . 8, n . 6. 68 . Doc . 4 0 ha s "lookin g u p (or , bac k in time )fC p , " instea d o f X . 69 . Doc . 40 ha s onl y "[Submitted ] upward " instea d o f thi s sentence .

202

ELEVEN : TH E STEL E O F 22 1 A . D .

The stele addendum Th e stel e end s b y repeatin g signer s 1-3 6 — eac h precede d b y "[your ] minis ter, " accordin g to Hung' s Li shihj 0 an d supplemente d wit h th e remainin g te n plu s th e word s "Wit h sincer e reverenc e an d sincer e awe , knockin g ou r heads , knock ing ou r heads ; guilt y a t pai n o f death , guilt y a t pai n o f death, " accordin g to Chinshih t'sui-pien. 7] N o suc h passage s ar e i n San kuo chih chu's documen t 40 . Th e Li shih tex t continue s a t thi s poin t wit h a n addendu m tha t i s neithe r trans mitte d no r mentione d i n Chin-shih ts'ui-pien an d San kuo chih chi-chieh an d ha s numerou s lacuna e tha t canno t b e filled in fro m anothe r source . Its beginnin g por tio n extol s th e powe r o f th e omen s tha t atteste d th e Wei' s anointment . Quit e a few idea s hav e alread y bee n seen , for instanc e tha t th e chang e of mandat e coul d no t be delaye d becaus e th e peopl e canno t b e withou t a master , an d tha t Ts'a o P' i (re ferre d to retrospectivel y a s "augus t emperor") , change d hi s min d ou t o f compassion . The addendu m doe s contai n severa l passage s an d item s tha t ma y b e considere d ne w information : additiona l word s an d descriptive s concernin g th e act s o f divina tio n an d othe r sacrifice s associate d wit h th e accessio n ceremony ; severa l othe r non-Chines e militar y representatives , includin g thei r havin g a positio n nea r th e alta r an d mentio n o f thei r displays ; severa l descriptive s abou t cour t ritua l details ; thos e 1 0 signatorie s no t liste d i n th e concludin g address , mentione d jus t above ; an d furthe r explanatio n o f omen s associate d wit h Ts'a o rule , includin g a "Golde n Man see n i n th e mountains " an d a statemen t tha t ove r 70 0 sighting s o f dynasty foundin g omen s occurre d i n a shor t perio d o f time . In total , th e principa l stel e tex t contain s si x parts , in th e followin g order . A clea r narrativ e brea k is see n betwee n section s 2 an d 3; a repea t o f "w e subjects " begin s sectio n 4 ; an d th e formul a "al l o f u s say " begin s th e addendu m (sectio n 6) . sect . I : th e 46 signatorie s includin g th e thre e introducer s (th e Thre e Excellencie s treate d in chapte r 9); sect . 2: introductor y address ; sect . 3: th e earlie r statemen t o f Ts'a o P' i (carryin g th e onl y dat e in th e stel e text ) — give n as doc . 38 in San-kuo chih chu; sect . 4: th e mai n bod y — a literar y overview , o r summation , of th e advisers ' exhortation s t o Ts'a o P'i , give n a s doc . 40 in San-kuo chih chu; sect . 5: a shor t concludin g address , whic h report s ho w an d wher e th e official s performe d thei r ceremonia l tasks , an d whic h repeat s signatorie s I -36 ; an d sect . 6: addendum : dat a o n accessio n rite s an d omens , plu s signatorie s 37-46 . Dating the SteleText

and

Its Inscription

The stel e a s a whol e is no t dated , therefor e on e refer s to document s 3 8 an d 40 in "Hsien-t i chuan. " In chapte r 9 (se e als o tabl e 4) , w e sa w tha t documen t 40 , undated , wa s place d b y P'e i Sung-chi h (o r b y Liu Ai, compile r o f "Hsien-t i chuan" ) afte r th e speec h o f th e Thre e Excellencie s tha t emphasize d th e ethica l virtu e o f takin g th e thron e (documen t 37) , Ts'a o P'i' s repl y (docu -

p

70 . LS 19 , pp . 7a-b . 71

. CSTP 23, pp . 5a-b .

TS'A O P' I AN D POLITICA L CULTUR E

men t 38 , date d b y th e stel e t o Decembe r 7) , an d documen t 3 9 (date d b y "Hsien tl chuan " t o Decembe r 9) , ye t befor e documen Decembe r 10 . Furthermore "coincidenc

t 42 , date d b y "Hsien-t i chuan " t o

, jus t a t th e en d o f th e tex t th e adviser s mentio n th e

e o f epocha l timing : th e on e autum n tha t i s encountere

d ever y te n

thousan d years, " whic h seem s t o b e non e othe r tha n a referenc e t o Tun g Pa' s mythi c chronolog wa s presente

y (se e chapte r 8) . I n sum , P'ei' s implicatio n i s tha t documen t 4 0

d eithe r Decembe

r 9 o r 10 . I t i s quit e improbabl

e tha t th e stele' s

tex t wa s finishe d prior , sinc e n o on e wa s sur e tha t Ts'a o P' i woul d kee p t o th e propose d schedule

, an d i t wa s eve n possibl e tha t tha t h e migh t postpon e ceremo -

nies . Thus , i n thi s view , o n Decembe r 9/1 0 a memoria l wa s forwarde d b y th e Excellencie s tha t eventuall y wa s recorde d i n "Hsien-t i chuan " an d als o used , to gethe r wit h a quotatio n o f documen t 38 , a s section s 3 an d 4 o f th e dynasti c stel e inscription . Th e regna l perio d Yen-k'an g wa s change d o n Decembe r I I; conse quentl y th e standar

d vie w o f Ch'ing-er a epigraphist

s wa s tha t th e stel e wa s in -

scribe d sometim e i n th e beginnin g o f th e Huang-ch' u reign. Bu t when i n Huang-ch'u

72

? Wa s i t read y an d displaye d o n th e eleventh , whe n

thousand s observe d th e solem n accession

, o r inscribe d an d erecte d som e day s o r

week s later , o r wa s i t don e onl y man y month s later , o r eve n altere d later ? I accep t th e basi c vie w tha t th e stele' s section s 3 an d 4 wer e writte n a s a n advisers ' memo ria l an d roya l response

, respectively

Sectio n 3 i s wel l anchored

, befor e th e stel e wa s inscribe d an d erected .

, sinc e sectio n 2 treat s i t a s a n a priori documen

t an d

assign s i t a date . Moreover , tha t P'e i Sung-chi h woul d hav e invente d documen t 4 0 (takin g i t fro m th e stel e text ) wher e non e ha d existe d i n "Hsien-t i chuan " run s agains t wha t i s know n o f hi s method s an d th e reliabilit y o f "Hsien-t i chuan " (se e chapte r 4 an d Appendix) . Becaus e th e latte r compilatio n di d no t includ e a dat e fo r documen t 38 , I deduc e tha t Li u A i finishe d wor k o n hi s cour t recor d soo n afte r 220 , bu t befor e th e stel e wa s erecte d an d it s tex t mad e widel y known . Thi s fur the r support

s th e vie w tha t th e stel e wa s inscribe d lat e i n 22 1 a t th e earliest .

Yet , tw o kind s o f alteratio n als o occurred . First , discardin g th e possibilit y tha t Hun g Ku a mistranscribe

d hi s pristin e rubbin g o r misrea d th e origina l stone , i t i s

possibl e tha t P'e i Sung-chi h altere d severa l word s o f documen

t 4 0 i n orde r t o

mak e i t confor m t o th e contex t o f "Hsien-t i chuan. " I n th e abov e annotations

,

numerou s difference s i n documen t 4 0 see m t o reflec t a n editor' s ey e fo r smoot h reading . An exampl e tha t represents

, however , a substantiv

e differenc e i n th e tex t

o f documen t 4 0 occur s a t th e ver y en d o f stel e sectio n 4 . W h e r e th e Li shih stel e tex t ha s "restraint

, eve n whe n crouche

d an d narrow, " documen

t 4 0 ha s "th e

restraine d 'lesse r stance.' " Th e latte r wordin g trie s bot h t o paralle l th e previou s phras e abou t th e "sage' s stance " an d poin t t o earlie r allusion s b y adviser s t o a classica l passag

e abou t th e sage' s an d th e lesse r man' s stances.

73

O f course , th e

72 . Se e Chin-shih wen-tzu chi it JH X ^ & E an d Chin-shih hou-lu It ^ \k i t, bot h quote d in CSTP 23 , pp . 6a-b : thei r vie w is tha t th e tex t wa s writte n i n Yen-k'an g I (befor e Wen-t i declare d th e yea r Huang-ch'u ) an d incise d afte r Dec . I I, probabl y a t th e beginnin g of Huang-ch' u in th e yea r 221 . (Fo r problem s in determinin g th e spa n of the yea r Yen-k'an g I, se e TCTC/F I , pp . 2 1 -22) . Se e Kanda , Shodo zenshu 3 , p . 164 , whos e discussio n o f th e date d SKC docu ment s is precise . 73 . Se e n. 67, above .

204

ELEVEN: TH E STEL E O F 22 1 A . D .

stel e inscrlber s ma y hav e mad e this editoria l change , bu t mor e likel y th e othe r wa y round . This typ e o f chang e is mino r compare d to th e othe r typ e — editin g of th e ston e itself. Ther e i s evidenc e tha t durin g th e Wester n Chi n (sometim e betwee n 26 5 an d roughl y 300) , the nam e o f on e o f th e signatorie s wa s altere d to confor m t o a tabo o o n th e nam e o f Ssu-m a Chao . This wa s Tun g Chao , signator y 27 . His plac e in th e contex t o f th e stele , an d th e title s b y whic h h e is called , poin t explicitl y t o the Tun g whos e persona l nam e wa s B p , bu t th e stel e ha s him a s M 7 4 The relationshi p betwee n th e stele' s catalo g o f omen s an d th e 'Treatis e o n Omen s an d Tallies " in th e fifth-century Sung-shu raise s question s abou t late r his toriograph y an d perhap s othe r emendations . In the stel e text , above , the passag e tha t begin s ".. . me n an d divinitie s joine d wit h augus t heaven , which thu s sen t dow n th e swee t dew " mention s abou t thirtee n omen s tha t wer e though t t o hav e validate d Ts'a o P'i' s imperia l aspiration . Mos t o f thes e ar e specificall y referre d t o in th e Sungshu treatise . Seve n (th e swee t dew , th e //-springs , deer , hares , doves , sparrows , an d linke d roots ) ar e sai d to hav e bee n sighte d i n th e "beginnin g o f Huang-ch'u, " o r i n th e middl e o f th e reign . Yet othe r early-We i omens , no t men tione d i n th e stele , ar e liste d i n th e sam e sectio n o f Sung-shu with exac t dates , som e from earl y in 22 2 an d later . Furthermore , Sung-shu say s tha t man y o f thes e sighting s occurre d i n th e provinces , perhap s indicatin g a length y proces s o f re ceiving , verifying , an d editing . Th e Sung-shu compiler s o f cour t omenolog y thu s ma y hav e worke d bot h fro m th e stel e tex t itsel f a s a source , a s wel l a s fro m independent , better-date d sources . It is difficult t o imagin e tha t th e ston e wa s altere d significantl y afte r abou t 22 2 in orde r jus t to includ e omen s processe d from th e sprin g an d fall of 22 0 dow n to th e en d o f 22 1 o r int o 222 ; an d the n tha t documen t 4 0 wa s change d in th e sam e wa y by P'ei . Two othe r explanation s ma y b e employed . On e i s tha t P'e i (o r someon e editin g "Hsien-t i chuan " earlier ) change d documen t 4 0 t o includ e th e specifi c omen s tha t wer e catalogue d an d writte n o n th e slightl y late r stele-text . Bu t th e preferabl e conclusio n i s tha t Sung-shu s claim tha t th e seve n omen s mentione d abov e wer e from th e beginnin g of Huang-ch' u (thu s Decembe r 22 0 to abou t 222 ) failed t o se e tha t documen t 4 0 an d th e stel e actuall y referre d t o omen s tha t raine d dow n i n th e perio d jus t befor e Ts'a o P'i' s accession , no t th e month s an d year s following . In fac t th e yea r 22 0 u p to th e accessio n wa s als o calle d omen lade n b y L i Fu , in documen t 3 . Th e addendum , however , i s mor e likel y t o hav e bee n altere d i n orde r t o incorporat e omenologica l information . Ther e w e hav e the phras e "70 0 omens " an d th e referenc e t o a "Golde n Man, " wh o appear s nowher e else . Conceivably , th e tex t o f th e addendu m wa s writte n ab initio a s late as earl y in 222 , an d the n incise d an d erecte d togethe r wit h th e stele' s mai n tex t sections . In conclusion , artisan s probabl y inscribe d th e stel e lat e in 22 1 o r th e be ginnin g o f 222 . The y too k th e basi c tex t (section s 3 an d 4) , writte n i n th e secon d wee k o f December , 220 , as par t o f Ts'a o P'i' s discussion s with advis -

205

74 . Se e n . I I, above .

TS'AO P' I AN D POLITICA L CULTUR E

ers , an d mad e a n addendu m tha t supplie d late r detail s (foreig n militar y dignitarie s an d thei r plac e a t th e ceremonie s o n Decembe r I I, repetitio n o f th e res t o f th e signatorie s tha t th e mai n tex t ha d no t give n i n it s concludin g address , an d new s abou t host s o f omens) . A 221-22 2 dat e ha s bee n state d (withou t outlinin g th e evidences ) b y th e mos t importan t o f Ch'in g scholars. 75 Sometim e i n th e Wester n Chin , alteration s occurre d i n th e tex t o f th e stone , leavin g ope n th e doo r t o speculat e abou t alteration s i n general . Finally , P'e i ma y hav e altere d part s o f docu men t 4 0 muc h later , t o improv e readings . It woul d g o to o fa r t o clai m tha t docu men t 40 ha d no t originall y existe d bu t wa s place d post facto int o "Hsien-t i chuan. " Authorship

and

Calligraphy

Earl y connoisseur s o f epigraph y speculate d abou t th e write r o f th e stel e tex t (cu m documen t 40) , an d thei r question s crosse d ove r int o th e are a o f calligraphy . Th e Tan g poe t an d cour t criti c Li u Yu-hs i §IJSi § (772-842 ) remarked : "Th e stel e o n th e receip t o f th e imperia l ceremonie s b y th e We i [dynasty ] wa s com pose d b y Wan g Lang , calligraphe d b y Lian g Hu S S I , an d incise d b y Chun g Yu M M . The y wer e calle d th e 'Thre e Outstandin g [Literati] " H&§ [i n thei r time]." 76 Th e res t o f Liu' s smal l ite m diverge s int o a histor y o f Wan g Hsi-chih' s E E i i Z calligraphy , i n whic h h e quote s Chan g Huai-kuan' s 3R1f!l H 72 7 A.D. Shu wan t r iff, whic h concernin g th e 22 1 A.D . stel e say s onl y tha t it s pa-fen J\ 5? calligraph y exemplifie s th e styl e o f Chun g Yu. It doe s no t suppor t th e ide a tha t Chun g incise d it, eve n thoug h b y T'an g time s Chun g wa s widel y recognize d a s a Han-We i callig raph y master , an d hi s example s carefull y transmitted. 77 Ou-yan g Hsi u Wm^ (1007-1072 ) sai d tha t i n th e T'an g "man y hel d tha t th e calligraphe r wa s Lian g Hu ; bu t toda y som e sa y it wa s no t Hu , bu t Chun g Yu. I d o no t kno w whic h i t was. " Hun g Kua , a littl e later , though t Chun g Yu wa s calligra pher. 78 Bu t Th e matte r o f tex t authorshi p canno t b e resolve d wit h an y certainty . It is bes t to follo w th e eighth-centur y opinio n o f Liu Yu-hs i tha t attribute s author shi p to Wan g Lang . Ther e i s a certai n balanc e in thi s deduction , sinc e Wan g Lan g

75. Firs t wa s Ku Yen-w u E l i c i t t o decid e o n a late r Huang-ch' u date ; se e Wan g Ching-hsie n 3 E y-^M , ed. , Chung-kuo mei-shu ch'uan-chi ^W^^Wl^kl^ (Peking : Jen-mi n mei-sh u ch'u-pan-she , 1986 ) 5.2 . Also , CSTP quote s Chin-shih hou-lu's (CSTP 23 , p . 6b ) clai m tha t th e addendu m wa s probabl y mistakenl y include d in transcribe d versions , o r wa s carve d ont o th e ston e onl y som e tim e late r i n th e Huang-ch' u reig n period . 76. Liu , Liu Pin-k'o chia-hua lu, edite d in th e T'an g b y Wei Hsuan ; atteste d in Hsin Vang-shu, Sung er a catalogs , an d Wen-hsien t'ung-k'ao. I us e th e versio n in th e 164 6 edn . of Shuo-fu g#? P (ts'e 36, pp . I la-b) . It stem s bac k t o a Sung-er a Taois t boo k M 2 ^ , whic h kep t 1 7 o f a tota l o f 30 origina l Chia-hua lu items . Thos e 1 7 ar e i n Shuo-fu. Th e versio n printe d i n Hsueh-hai lei-pien (rpt . Taipei : T'ai-lie n kuo-feng) , vol . 6, p . 3279 , correct s error s tha t crep t in afte r th e mid-Ming , bu t is essentiall y th e sam e as Shuo-fu's version . Se e Ch'an g Pi-te , Shuo-fu kao (Taipei : Wen-shih-ch e ch'u-pan , 1979) , p. 198 . Th e versio n o f Chia-hua lu in T'ang-tai ts'ung-shu I f t t i i t r doe s no t contai n th e ite m concernin g th e We i stele ; thu s Wolfgan g Kubin' s opinio n tha t th e latte r i s th e editio n o f choic e fo r Chia-hua lu (se e Nienhauser , ed. , Indiana Companion, p . 593) , ma y nee d t o b e revised . 77 . Shu wan i s edite d an d annotate d i n Nakata , Chugoku shoron taikei, vol . 3 ; se e esp . p . 11 4 abou t Chung' s life , an d p . 33 fo r Chung' s plac e in th e histor y o f pa-fen. Severa l o f it s phrase s abou t Chun g Yu ar e employe d i n Liu' s item . Se e Goodman , "Calligraphe r Chun g Yu." 78 . Ou-yang , Chi-ku lu f f ^ i ^ ; cite d in CSTP 23, p . 5b ; the expande d versio n o f Ou-yang' s work , Chi-ku lu pa-wei ^ M (Shih-k' o shih-lia o hsin-pie n edn. ) 4 , p . 3a , add s a not e t o th e *** effec t tha t th e stud y o f th e Han-We i i s poore r fo r th e lac k o f transmissio n o f suc h steles . Fo r 4V P Hung' s comment , se e LS 19 , p . 10a .

20
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Sources

information

Referred to in Footnotes where

Chiang-pia o chua n / I ^ H H Chin-sh u W£ Chi n yang-ch'i u W P i f ^ Chu-k o Lian g ch i S i l l - S H I Fu-tz u f f i 1 Han-ch i Ha n Chi n ch'un-ch'i u / H l f # f ^ Ha n sh u M I r Hsien-hsie n hsing-chuan g 9tWlJ]\Ji Hsien-t i chua n SKS' S Hsien-t i ch i I B Hsien-t i ch'i-chi i ch u J B S / I Hsien-t i ch'un-ch'i u # f ^ Hsi i chua n jf M HsuHan-shua)I * Hsii n Yu pieh-chua n ^ s l ^ H l ! Hsiin-shi h chia-chua n ^ R l ^ f l f Hu a Ch'ia o p'u-hs u # illfaif f I p u ch'i-chi u chua n M P P W S f H Liu I pieh-chua n f l J H ^ H H Po-w u ch i W M B Shan-yan g kun g tsai-ch i U j P f £ | R f B Shih-y u t^l n Ssu-t' i shu-shi h 0 f i t ^ Ssu-t' i shu-shi h hsi i rlTie n lue h J&ffl S Ts'a o Ma n chua n UlSffi l Tu-shi h hsi n sh u t ± R If f • Wan g Lan g ch i E 6 S * W e i lue h f^ffl g W e i ming-ch'e n tso u S I ^ S ^ ^ Wei-m o chua n M^.iM Wei-shi h ch'un-ch'i u S & K # $ ( W e i sh u II m Wen-chan g hsii-l u yiMfMi Wen-chan g chi h X f J Wen-shi h chua n X ± f H Wu-sh u ^ i r Yu Fa n pieh-chua n J*BE'Jfl l Yuan-shi h shihch i S K t ^ I B Yuan-tz u fi^

243

available)

(YiiP' u J*>?;fl . 256 ) (YuYii j ^ f f ;fl . 317 ) (Su n Shen g ? ^ ^ ; ca . 302 - ca . 375 ) ( F u H s i i a n f # £ ; 217-78 ) (se e Yua n Hung , above ) (Hs i Tso-ch'i h I f M ; d. ca . 383 ) (Hu a Ch'ia o ^ i l i ; d . 292 ) (LiuAiiJ3t;d.ca.220+ ) (probabl y sam e wor k a s above ) (YuanYehgBf ) (prefac e t o Hsi i Han-shu , below ) (Ssu-m a Pia o n]MM;f\. 240-305 ) (Hsii n Po-tz u I g f t ^ ; 378-438 ) (Ch'enSho u BB\ 233-97

)

(Chan g Hu a 5 R * ; 232-300 ) (YiiehTz u S I S ; Chi n era ) (Ku o Sun g ?Ps ^ ; Chi n era ) (We i Kua n 8 j « ; 220-91 ) (WeiHengltitI;3dc ) (Yu Hua n & # ; W ei era ) (TuSh u 1 ± & ; 198-252 ) (probabl y sam e wor k a s "Tie n lueh" ) (probabl y Ch'e n Sho u e t al. ) (Su n Sheng ) (Wan g S h e n i ) ± ; d . 266 ) (Hsii n Hs u £ j g ; d . 289 ) (ChihYu»«;d.ca.3l2 ) (Chan g Chi h W4\ Chi n era )

(Yiian Chu n $ t ^ ; ca.23 7 - ca.316 )

This page intentionally left blank

Inde x o f Selecte d Term s "ACCOUNTOFHSEN-T r (s.V. "Hsien - ^ f t ) 25-26,29,43,79,84,100 , Chian g Ho * -£ 78-81,84,8 6 ti chuan" ) as Celestial-Master leader 8 3 108-9,112 , 122-23,151-53,159 , Adviser s t o Han-We i accessio n 170 , 172 , 172(n . 22), 198,23 2 "Chiang-pia o chuan " /I f l iM 91 , (als o s.v. Ritual ; Ssu-m a family ; Ssu - Book of Documents (Shang-shu 230(n . 14 ) ma I; Ts'ao-We i court ; Wan g Lang ) ft*) 19-20,23-24,35,67,105 - Ch'ia o 1145,54,68,136,212,21 8 1-2, 13,43,63,74,77-78,95-97 , 6, 141,20 8 Ch'ienTa-hsinfl^Bi f 8 0 107-8,110,116,118,175,219-2 1 Book of Odes (Shih-ching ! # * !) Ch'i n Shih-huang-t i i J ? p f S 16 , core group 88,98 , 100 , 107-9 , 20-21,16 6 I I I, 126 , 152 , 165 , 179,22 1 36-37 , 136 , 158 , 17 5 families & regions of 5 , 107 , 110 ,CALLIGRAPHY 67(n . 28) , 126 , 206 - Chin-shih ts'ui-pien j £ : 5 ^ $ l 220 7,23 1 194,203,20 9 social background of 4- 6 archaic, experts of 31-32,63,67 , Chin-wen (s.v. New-Ol d text ) twenty-eight mentioned in Pei's 67(n . 30) , 94(n . 33 ) notes, numerical list of tbl . I Ssu-t'i shu-shih, on Han-Wei era Ching-chou^ H 11-12,49,89 9 l , 9 l ( n . 13) , 107 , 159 , 177,207 , of 20 7 Apocryph a (s.v. Neo-revelation ) Ssu-t'i shu-shih, preface on 6 7 22 0 Astrolog y (s.v. Omenology ) ChingFang^ M 26 , 105 , 12 3 Ch'en family 68, 94 Authorit y (legitimation , rule ; als o s.v. Chan g Lu ; Steles ; Ts'a o P'i ; Celestial-Maste r movemen t (als o Cho u er a (als o s.v. Authority ) Ts'aoTs'ao ) 2 , 17(n . 4), 23 , 35 - s.v. Religion ; Chian g Ho ; Yen P'u ; Duke of Chou i l £ 20,39-41 , 104-5 , 132,22 6 36 , 154 , 167-68,219,22 5 Li Fu) , 188,208,22 0 philosophy of 16,21-22,33-34 , ceremonies of 173-7 4 history of 74-7 8 37,42 , 13 9 Ch'in precedents of 16 , 36-3 7 leadership struggle 80,82-8 4 Wen- wang Xl/ Wu-wang jit Chou era approaches to 20-2 4 mobilization in 216 AD. of 8 2 5E 33-34 , 147-4 8 Chou models of 39-40 , 56 , power of 7,8 , 12 , 74, 77 , 84(n . 52), 215 , 221-2 2 Ch'u-liffif i 5,62-63 , 110 , 12 0 94(n . 34 ) practices of 7 5 Chua n Hs u S I S 145 , 148-50 , definition of terms 15-1 8 Chan , Hok-la m 22 5 divination as 24 Eastern Han precedents of 40 - Chan g Huai-kua n ?StS3 l 20 6 42 , 22 3 ChangLu^S®7 , 12,35,53,56 , emulation & gesture as (s.v. Emu 58,74-86,89,22 1 lation ) family of 74-76,83 ethical philosophy as I I I , 22 0 historiography images of 7 4 four basic types of 3 2 oracles, attitude toward 76-7 7 Han-Wei types of, list 220-2 1 practices, criticism of 79,8 1 heavens mandate as 23-24 , 26 relation with Ts'ao Ts'ao 77 27,38,91 , 105 , 108 , 112 , 147 , ChangTao-ling^IMP i 74-7 5 154, 169 , 171 , 19 8 Chan g Yin ^ Ig 64,69,124,151 Hsin precedents of 39-4 0 52 , 15 4 law code reforms 175-7 7 Liu Pangs approach to 3 7 C h a o l M J i 17,219,22 3 metaphysics as 24-28 , 36 , 177-7 8 Ch'e n Chia o Hi ££ 68,89,91,98 , mysterious predicters of dynasties 117 84-8 6 Ch'e n Ch'ii n ff g ¥ 54,90,92-95 , oracle-text as 31,85 , 101- 6 Ts'ao Fispre-Chou models of 95, 98,100,116-17,120,161,181,183 , 190 149-50 , 154 , 168 , 180-81 , 192 ,

Ch'e n |5 | famil y (als o s.v. Calligra 222 phy ) 9,66,92-94 , 19 2 Shang era approaches 19-2 0 Shu-kingdom omenology as 43 Ch'en , Kennet h 21 7 Ssu-ma predynastic approaches Ch'e to n Sho u Bm 3,71,81,216 , 225-2 7 226,228-2 9 studies of 17-18,224-25,22 7 Chen g Hsua n M fe 43 , 55,68(n . Tang rulers' approach to 18,21 9 34) , 110,157 , 160 , 16 1 (n . 29), 168 , Taoist preceptors 8 6 174 , 176 , 184 , 184(n . 78), 190-92 , Ts 'ao Ts 'ao approaches to 44 , 221 55-5 6 1 Western Han precedents of 37 - Chen g Hu n BW 111,118,12 Cheng-shi h reig n IE£ p 67 , 22 7 39,64(n . 13 ) Wu-kingdom omenology asC h i C h a ^ l 11 5 43-4 4 ChiaHsi i W H 107 , 156 , 159 BALAZS, ETIB4NE 17 6 61,20 9 Bielenstein , Han s 3,22 3 Chian g Chi U ^ 150(n . 25), 173 , Book of Changes (l-ching 184 , 19 1

245

155 , 18 1 Chuang-tzu S ^ 44 , 122 , 127 , 129,131-32,136,138-44,221-22 , 22 7 Ch 'un-ch 'iu chuan # }'k \% 14 7 Ch 'un£, # 17 6 LEBAN, CAR L 225 , 227 , 23 1 abdication process of 6 1 -65 , 151 , Fan-yanglP i 5,193-94,21 2 Legalis m (als o s.v. Ritual ) 22 208 FanYehSB f 23 0 23,4 2 "Hsien-t i chuan " tik^M 2 , 71 Fang , Achille s 2 3 I Legen d materia l (als o s.v. Yao / 72,88,203-6,221,22 9 Shun/Wen-wang/etc ) 22 , 59,9 5 Fe i Chi h S M 29 , I04(n.90 ) Hsie n Yua n $T$ R (s.v. Yello w cycles of 32 Feng-shan (s.v. Ritual ) Emperor ) inner story 71,84-8 5 Five Phase s (s.v. Metaphysics ) "Hsin-lii " $ f » 17 6 modern example of 14 1 Rowe r Canop y (s. v. Ritual/military) Hsi n P' i SfcHl t 76-77 , 89 , 95-96 , mysterious predicter, topos ofl\, 84 F u H s u n f f H 107- 8 98, 120 , 177,18 8 outer story 71,80,8 2 Hsiung-n u (s.v. Non-Chinese ) GEERTZ, CLIFFOR D 1 7 refusers, Ts'ao P'i's use of 114 God s (high-gods , shang-ti [on-hig h Hs u r F (later , Hsu-ch'an g fF H ) 16, 127-32 , 15 4 thearch] ) 19(n . 11) , 36,38-39,42 , 5,7,46,48,53,57-58,62,66,84, Tso-chuanas 123, 148-4 9 102 , 161 , 175 , 18 8 M9(n . 39) , I25(n . 16) , 151 , 166 , Legitimatio n (s.v. Authority ) 184,23 2 Hsu Chi h f^ 80-81,100-2,104 , Li ? 1 (s.v. Ritual ) ancient polit approach to 19-2 0 177-78,22 7

Confucius'Jade

Table 7 9

Graham , A. C . 13 8 HAN-CHUNG M 4 " 7 , 12 , 58 , 74 78, 80-84 , 8 9 Han-Fei-tz u f f ^ i 1 22-23,3 4 Han Shih wai-chuan ft t#^l Nflf 140 Han-We i )M$L (Han-We i transi tion ; als o s.v. Authority ; Classics ;

106, 108-11 , 128 , 155 , 152 , 166, 181

Hsu-chourF'JI I 7 , 194,21 1 H s i i Y u f F S 127,146 , 15 1 Hsu n H 5 famil y 7 , 9, 53 , 66 , 93 , 192 , 194,21 8 Hsiin-tz u 1 5 ^ 23-24,4 2 Hu-ch'u-ch'iia n ^M?k (s.v. Non Chinese/Hs/l//7£-nL/ )

Li-chi H IS (s.v. Record of Rites) Li Fu $ f t 73-74 , 78-80 , 84 , 98 , 142 , 162,205,22 2 L i K ' u e i ^ t l 17 6 Li Sh u ^fit 7 Lian g Hu

8

^ | 206-7,20

Lieh-chuan ^iJf Steles )

H (s.v.

9

246

INDEX Neo-revelatio n (apocrypha ) 42 81,139 , 153(n . 43) , 184 , 189,194 , 43,88,90,98,100,112,140,23 1 203-4,216-17,23 0 charts and figurations 31,43,67 , attitude towards divination & 90,98,109,151,202,23 2 oracles 8 7 five categories of 2 9 editing style of 63(n . 10) , 71-73 , Liu Hsi a Hu i WTM 12 8 gnostic classics 29-30,90 , 108 , 86-87 , 144 , I69(n . I), I70(n.9) , LiulfiJJ K 91,98 , 126 , 152 , 16 2 232 I86(n.87),l97(n.ll),2l7,228-3 I LiuJo§J £ 129-30,132-33,141 , ideas and texts 27-32 , 29(n . 41) , Perfecte d (s.v. Tru e Man ) 110,23 2 157 , 16 2 Po-ch'en g Tzu-ka o ffi/S"?" M oracle-text (s.v. Oracle-text ) Liu Pan g flJJ ? (W . Ha n Kao-ti ; 115,130-3 1 research into 23 3 als o s.v. Authority ; Religion ; Yao / P o H f i M a n d S h u C h ' i ^ 11 4 soteriological texts 3 0 Shun/etc. ) 13,35,37-39,44,98 , Politica l publi c (s.v. Han-Wei ) Ts'ao P'i's use of 84-8 6 103-4 , 125,21 6 New-Ol d tex t (chin-ku wen) < % Portent s (s.v. Omenology ) shrines to 6 1 -62, 65 tX 42,67,98 , 107 , 110 , 157(n . Powers , Marti n 4 LiuPeifUJf t 7,12,35,43,50,56 , 5), 168,22 1 58,76,79,82 , 133,211,22 9 Princ e So u S ! 12 8 Liu Piaog J It 7 , II-12,90 , 107 , Nin e Distinction s (s.v. Ritual ) Prosopograph y 2 Nin e Minister s 40,62,69 , I46(n . 159 , 17 7 QUEEN MOTHE R OF THE WES T 135 8), 158,194,213-1 4 LiuYeh§ljB$76-77,89,92,9 8 grouping, as stele-signers 213-1 436 , 14 3 LiuYii-hsiffiJ^,! i 206- 7 seven serving in 220 AD., list of RECORD O f RfTE S (/./-c/7/liIB ) 24 , L o P i H $ 23 1 213 133 , 136 , 141 , 18 3 Loewe , Michae l 18 5 Non-Chines e 6-7,12,39,50,56 , Regiona l court s 10-1 2 58,78 , 170 , 173 , 183 , 194,210 , LuChia^ M3 8 Religio n (practices , theology ; als o 215-16,222,22 6 LuRJt S U9 5 Hsiung-nu, role in Han-Wei poli- s.v. Taoism ) 30,39,65(n . 19) , 69 Lu-shih ch'un-ch'iu § R # f ^ 26 , 70 , I70(n . 10) , l84(n.78),222-2 4 tics 18 8 30 , 14 0 Hsiung-nu, Wei investiture of 18 8 ancient political culture of 4 2 stele-signing generals who fought Ch'in political culture of 3 7 MA JUN G MM 143 , I24(n . 10) , Five-Peck (Celestial-Masters) 7 5 against 211-12,22 1 I25(n . 16) , 157 , 17 6 Liu Pang approach to 3 7 Mandat e o f heave n (s.v. Author - OMENOLOG Y (portents , omens , numens, power of 82(n . 49) , 162 , astrology ; als o s.v. Authori ity ) 169 , 173,20 1 ty ; Metaphysics ) 20,23,25-27 , postmortem spirit of Liu Pang 63 , Manti c art s (s.v. Divination ) 40,42,44,63-64,79-80,90-91 , 173 Mao Han-kuan g ^M^t 8 98(n.59),99-l00 , 103-4 , 109 , 123 , postmortem spirit of Ts'ao Ts'ao M a o T s u n g ^ 146 , 15 1 135-36 , 169 , 174,201-2,20 9 59,64,81 , 106 , 124 . 165 , 189 , categories, table of 2 5 Maspero , Henr i 74 , 86 199 , I99(n.3l),22 0 Jupiter Station astrology 146(n . T'ai-p'ings 7 5 Matrica l though t (s.v. Metaphys 9), 147-4 9 traditional court practices of 61 ics ) omen-carriage 13 4 62,65 , 168,219-2 0 McMullen , Davi d 8 7 Wei-court ancestor worship, reRegional Divisions astrology fi forms (s.v. Ts'a o family ) M e n c i u s ^ 21 , 22(n . 21) , 42, i f I03(n.85) , 146-4 9 113,120 , 16 5 Ts'ao P'i's eight divine omens ofRevelatio n (als o Neo-revelation ) accession 134-3 6 19-20,21 9 Metaphysic s (als o s.v. Authority ) Ling-t i (E . Han ) S S 6,72,90 , 99 , 112 , 125 , 14 7 L i u A i i J ^ 81,88 , 139,203- 4 editing style of 72-74,86 , 22 9

22,24-28,37,88 , 112 , 15 3 Oracle-tex t (s.v. Authority , Chan g complexity and contrad'n. in 38 , Lu; Ts'a o Pi ) 31,41,43,68,71 , 74 , 78-81,83-84,86,88,99 , 101 , 222 Five Phases 24-28 , 35, 38,40-41 , 105 , 109-10 , 112 , 130 , 138 , 151 , 162,21 9 64, 102-3 , 150 , 178-80,22 2 matrical ideas 24-25,42-43 , 102 , calligraphy's relation with 6 7 tool of legitimation 85 , 220 , 231 I02(n.79),22 2 metahistory (dynasty-cycles) 177 - 32 79 Ou-yan g Hsi u f C P i t f 206 , 20 9 yellow (earth) force 90 , 103 , 150 , PAN K U B i g ] 38 , 14 3 152 , 174-7 5 PanPiaoIJ M2 6 Ming-t'an g (s.v. Ritual ) PioChiaoftB H M 5 Ming-t i (2 d W e i emp. ; P i o H s u n t e i i 111,118-2 1 s.v. Ts'a o Jui ) crio' c of Ts'ao- Wei court 119-2 0 Miyazak i Ishisad a ' S ^ r f r P e i - j e n W u - t s e i b A ^ f f 127 , £ 8 , 11,21 6 129 NAN-YANG fflPf 53,9 1 P'e i Sung-chi h S t $ £ 2-3 , 75 ,

247

Ritua l (rites , ceremonials , als o s.v. Calligraphy ; Record of Rites; Seals ; Ts'ao-We i court ) 4 , I8(n.9),23 , 23(n.27) , 125-26 , 169-7 1 architecture 189-9 0 calendar reform 177-8 1 court objects of 35,37 , 69,112(n . 3), I25(n . 14) , 146 , 151 , 154 , 159-61,220-21,22 7 court traditions of 10-11,65 , 111 , 151 , 167-68,22 3 eleven types in accessions 34-3 6 feng-shan ^W 37,43,173-74,19 2 Han-Wei experts o M, 13,66,8 8 -89,91,95 , 100 , 108 , I36(n . 55), 154-55 , 190,22 1 Hsun-tzu approach to 23-24,4 2 Legalist aspect of 2 2 military 48-49 , I I I, 119-2 0

INDEX military ethos and leadership 5 4 4 Tien-lun " Mm 47(n . 11) , 48 Ming-t'angm^ 40 , I90(n . 100 ) miscellaneous accession rites 172 political career, pattern of 5 5 Tripl e Concordanc e H£j £ Cycl e 83,22 1 scholarship of 11 6 (als o s.v. Metaphysics//ne£a/7/sto/ ^ music 181-8 2 Ssu-m a Kuan g W ] M % 222-23 , 178-80,22 2 Nine Distinctions 40 , 55, 225 Triple Concordance matrix, table 231 primordial descent (genealogy) of 18 0 "Ssu-t'ishu-shih"OTi»|^(s.v . 148 , 150 , 154,22 1 Tru e Ma n (Perfected ) 1 A 37 , Calligraphy ) regalia, colors, etc, reform of 17 8 I03(n.8l) , 13 1 (n . 30) , 134 , 136 , reign name (Huang-ch' u wffl) 174 - Stele s (epigraphy ; als o s.v. Nin e 23 2 Ministers ; Non-Chinese ; San-kuo 75,20 4 chih, Sung-shu\ Ts'a o Ts'ao ) 2,4 , Ts'aoChenW K 52,93,117,161 , Tang discussions of 1 8 211-1 2 Ts 'ao Ts 'ao s preaccession agenda136 , 194(n . 4), 215-18 , 221 , 228 , 233-3 4 of 55-5 6 Ts'a o Chi h W t l 4,46,48(n . 18) , 221 A. D. Ts 'ao- Wei accession 49-50,59 , I66(n.46) , 183 , 19 4 Rul e (ruler , ruling ; s.v. Authority ) stele 2,50,58,63,83 , 163 , Ts'a o Ch'u n Wff i 5 0 170 , 174 , 186-8 7 SAN-KUO CHIH H H T v 1-4,71 , Ts'a o If famil y (dynasty ; als o s.v. 221 AD. stele, addendum 20 3 90, 120 , 136 , 192,216-17,228-2 9 221 AD. stele, authorship and cal-Authority ; Ying-ch'uan ) 4 4 relationship with 221 AD. stele ancestor worship, reform in 183-8 4 ligraphy of 206- 8 216-1 7 221 AD. stele, changes made to attitude towards Taoism 8 5 Seal s (seal-carving ; als o s.v. Divi fighting contingent of 50-52 , 194 , 204- 5 nation ) 9 4 221 AD. stele, physical setting and 210-1 2 accession, use during 173 origins 45-4 6 dating of 193-95,203- 6 relations with Hsia-hous 45 , Seidel.Ann a 86,225,23 3 221 AD. stele, as proto-lieh 2

3

4

5

7

8

9

1 11 21 31

62

02

12 22 32

42

62 72

8 2 9 3 03

73 83 94 14 34 54 65 35

) = : Leve l 3 : quotation ; phrase(s ) in extenso , cited o r uncited . # - Leve l 4 (strongest) : cite d title with allusio n o r quotation .

13 33 43 63

-.- = Leve l I (weakest) : citatio n o f title (o r variant ) o f work ; sometime s b y its sections . J = Leve l 2: allusio n via severa l words , or frag. ; contex t o f

Tabl e Three : A Ma p o f Literar y Usag e i n Thirty-fou r Accessio n Document s

Subjectiv e overvie w o f citations , quotations , an d allusion s in th e mos t thoroughl y translate d o f th e 54 documents . Word s an d phrase s considere d allusion s onl y i f contex t i s significant . Confucia n Classic s considere d a s loc i wheneve r alternative s ar e mor e o r les s equal .

4

Kuo-yu

Tso-chua n (unknown ) "Chuan "

"Hars h Officials " sect.:Shih-ch i

Han-sh u Hsii-chua n Treat , o n Wu-hsin g Wen-t i ch i Treat , o n Punishmt .

HISTORIOGRAPH Y

Chan-ku o ts' e

Lun-hen g

Hsiao-ya o yu T'ien-t i Te-ch'un g Ta-tsun g shi h Ch' u ch'ie h Jang-wan g T'ien-hsi a

Chuang-tz u

Ts'a o P i poe m

Ch'i-s u hsii n Miao-ch'en g

Huai-na n

Menciu s

Han-Fei-tz u

Shih-tz u

Ying-t'ung Ch'eng-lie n

Lu-shi h ch'un-ch'i u

l-ping Hsiu-she n

Hsun-tz u

TAOIST& MINOR CLASSICS : CHO U TO HA N

23

4

5

7

8

9

1 11 21 31

62

02

12 22 32

42

62 72

82 93

03

13 33 43 63

73 83 94 14 34 54 65 35

4

Doc . N o . cit

Tabl e Four : Source s o f th e Fifty-fou r Document s -=

"citing " HT

C = "Hsien-t i chuan " HHC

=

Hou Han-chi

1. SKC 2.62:2-3 (SKCCC 2.l3a-b ) • cf . HHC30.17b; date d Nov . 19,22 0 2. SKC/chu 2.62:10-1 2 (SKCCC 2.13b ) • cit . HHC 30.17 b 3. SKC/chu 2.62:1 3 to 63: 5 (SKCCC 2.14b-15a ) • cit . HTC 4. SKC/chu 2.63:5- 6 (SKCCC 2.15a ) • cit . HTC 5. SKC/chu 2.63:7-1 2 (SKCCC 2.15a-16a ) • cit . HTC 6. SKC/chu 2.63:12-1 4 (SKCCC 2.16a ) • cit . HTC 7. SKC/chu 2.63:1 5 to 65: 7 (SKCCC 2.16a-19a ) • cit . HTC; date d Nov . 21 8. SKC/chu 2.65:7-1 3 (SKCCC 2.l9a-b ) • cit . HTC 9. SKC/chu 2.65:1 4 to 66: 7 (SKCCC 2.l9b-20b ) • cit . HTC 10. SKC/chu 2.66:7-1 0 (SKCCC 2.20b-2la ) • cit . HTC 11. SKC/chu 2.66:11-1 7 (SKCCC 2.2la-b ) • cit . HTC; date d Nov . 23 12. SKC/ chu 2.66:1 7 to 67: 6 (SKCCC 2.2 1 b-22b ) • cit . HTC 13. SKC/ chu 2.67:7-1 5 (SKCCC 2.22b-23b ) • HTC ; date d Nov . 25 ; cf. HHC 30.17 a 14. SKC/chu 2.67:15-1 6 (SKCCC 2.23b ) • cit . HTC 15. SKC/chu 2.67:1 7 (SKCCC 2.23b ) • cit . HTC 16. SKC/chu 2.68:1- 3 (SKCCC 2.23b ) • cit . HTC 17. SKC/ chu 2.68: 3 (SKCCC 2.23b ) • cit . HTC 18. SKC/chu 2.68:4- 5 (S/CCC C 2.23b-24a ) • cit . HTC 19. SKC/ chu 2.68:5- 6 (SKCCC 2.24a ) • cit . HTC 20. SKC/ chu 2.68:7-1 2 (SKCCC 2.24a-25a ) • cit . HTC 21 . SKC/ chu 2.68:1 3 t o 69: 1 (S/CCC C 2.25a ) • cit . HTC 22. SKC/ chu 2.69:1- 4 (SKCCC 2.25a-b ) • cit . HTC 23. SKC/ chu 2.69:5- 9 (SKCC C 2.25b-26a ) • cit . HTC 24. SKC/ chu 2.69:9-1 6 (SKCCC 2.26a-b ) • cit . HTC 25. SKC/ chu 2.69:1 6 to 70: 1 (SKCCC 2.26b ) • cit . HTC 26. SKC/ chu 2.70:1- 2 (S/CCC C 2.26b ) • cit . HTC 27. SKC/chu 2.70:3- 7 (SKCCC 2.26b-27a ) • cit . HTC; date d keng-shen, Nov . 30 28. SKC/ chu 2.70: 8 to 71: 4 (S/CCC C 2.27a-28b ) • cit . HTC; date d hsin-yu, Dec . I 29. SKC/ chu 2.7 \ AS (SKCCC 2.28b ) • cit . HTC 30. SKC/ chu 2.71:6-1 0 (SKCCC 2.28b-29a ) • cit . HTC; date d jen-hsu, Dec . 2 3I.S/CC/c/u 7 2.71:11-1 5 (SKCCC 2.29a-b ) • cit . HTC 32. SKC/ chu 2.71:1 5 (S/CCC C 2.29b ) • cit . HTC 33. SKC/ chu 2.71:1 6 to 72: 1 (SKCC C 2.29b ) • cit . HTC; date d chia-tzu, Dec . 4 34. SKC / ch u 2.72:2- 6 (SKCCC 2.29b-30a ) • cit . HTC 35. SKC/ chu 2.72:6- 7 (SKCC C 2.30a ) • ci t HT C 36. SKC/chu 2.72:8- 1 I (SKCCC 2.30a ) • ci t HTC ; date d ting-mao, Dec . 7 37. SKC/ chu 2.72:1 2 to 73: 8 (SKCC C 2.30a-3la ) • cit . HTC 38. SKC/chu 2.73:8- 9 (SKCCC 2.31a ) • cit . HTC; cf. doc . 53, whic h date s Dec . 7 39. SKC/ chu 2.73:10-1 3 (SKCCC 2.3la-b ) • ci t HT C date d chi-ssu, Dec . 9 40. SKC/ chu 2.73:1 4 to 74:1 3 (SKCCC 2.3 1 b-34b ) • cit . HTC; cf. doc . 5 3 41 . SKC/ chu 2.74:13-1 4 (SKCCC 2.34b ) • cit . HTC 42. SKC/ chu 2.74:1 5 to 75: 1 (SKCCC 2.34b-35a ) • cit . HTC; date d keng-wu, Dec . 1 0 43. SKC/ chu 2.75:2- 6 (SKCCC 2.35a-b ) • ci t HT C 44. SKC/ chu 2.75: 6 (SKCCC 2.35b ) • ci t HT C 45. SK C 2.62:3- 8 (SKCCC 2.14a ) • cf . HHC 30.17b-18 a 4 6 . SKC/ chu

2.75:7- 1 3 (SKCCC

2.36a-b

) • ci t HTC ; date d Dec . 11 ; cf. summar y in TCTC 69.218 2

47. SKC/ chu 2.75:13-1 5 (SKCCC 2.36b ) • presumabl y cit . HTC 48. SKC 2.76:4- 9 (SKCCC 2.38b-39b ) • date d kuei-y'u Dec . 13; TCTC 69.218 2 condense s 1s t 11 49. SKC 2.76:9-1 0 (SKCCC 2.40a) ; date d 12t h mo. , kuei-yu, Jan . 8, 221 50. SK C 13.403:1 6 (SKCCC 13.20a) ; cit "Wei-shu " 51 . SKC 13.403:1 7 to 404: 2 (SKCCC 13.20a) ; ci t "HuaCh'ia o pu-hsii ; summar y HHC 30.18a 52. SKC 2.76:1 7 (SKCCC 2.41a) ; date d 22 1 A.D. 53. Lishih I9.3b: 3 to 9b:9 ; cf. Chin-shih ts'ui-pien 23.la-5 b 54. Li shih 19.10a : I -9; date d Dec . 11 , 22 0 A.D.; cf . Chin-shih ts'ui-pien 23.12b-15 b