Who wrote this chapter and the next?

Among the textual characteristics of this chapter, the outstanding feature is the opening sentence in its eulogy (9: 13b), which indicates plainly that at least the first paragraph of that eulogy was written by Pan Piao, Pan Ku's father (cf. n. 13.5). Ying Shao says, in a note to that passage, "The `Annals of Emperors Yüan' and `Ch'eng' were both composed by Pan Ku's father, Pan Piao." The "Memoir of Pan Piao" (HHS, Mem. 30 A: 2b) says, "Pan Piao thereupon continued to collect from matters that had been neglected by the preceding historians, and from other sources he added different reports, thus composing his Later Account (Hou-chuan), in several tens of chapters." Ying Shao may have had access to Pan Piao's work, which is lost today. Pan Ku quotes large passages from the Historical Memoirs of Szu-ma Ch'ien without giving any indication that he is quoting; thus if he quoted his father's composition, he might also have given no apparent sign of doing so. It is therefore possible that these two chapters were actually composed by Pan Piao.

Yet the style and characteristics of these two chapters are not different from those of the preceding and following chapters, except for this one sentence. (Very occasionally eulogies in other chapters likewise indicate that they are quotations from Pan Piao's work; cf. n. 13.5 ad finem.) There is indeed nothing in the whole History of the Former Han Dynasty to corroborate Ying Shao's statement about these two chapters. Possibly the first sentences of the eulogy were merely one of the "different reports" collected by Pan Piao and were simply used by Pan Ku as valuable evidence for a judgment upon Emperor Yüan's character. Ying Shao may not have had any further evidence than merely the present text of the HS, and from this one sentence may have come to the conclusion, that if Pan Piao wrote anything at all, he must have written at least an account of the court events in his own time and those of the generation preceding his. The fact that the HHS does not know how many chapters there were in Pan Piao's book would seem to indicate that his book did not circulate. It is not mentioned in the later lists of extant books. Hence it was probably preserved in Pan Piao's household and was largely incorporated into the HS, so that there was no reason to desire a copy of it. The probabilities seem thus to contradict Ying Shao's statement.

The sources of this chapter thus seem to have been largely the same as those of the preceding ones: a palace annals, the imperial collection of memorials and edicts, and some events collected by Pan Piao.

The textual loss

There is one sign of injury to the text, namely the broken sentence in 9: 7b. As early as the middle of the third century, Ju Shun noted this sentence, so that the remainder of the sentence was probably lost almost at the beginning of the text's history. There does not seem to be any other such sign of damage to the text in the "Annals."

The probable source of a significant imperial conversation

One further circumstance merits notice from a textual standpoint--- the conversation between Emperor Hsüan and his son reported in 9: 1b. It does not seem to be in Pan Ku's manner at all and may well have been one of Pan Piao's "different reports," recounted to him by a relative--- his relatives had the entree into the most intimate imperial circles and could well have observed this sort of thing (cf. n. 13.5). Or it might have been stenographically recorded. In 6 A.D., Wang Mang established an office of court reporters or stenographers, whose duty it was to keep a record of imperial remarks and deeds for future reference. They were entitled the Five Clerks at the Foot of the Pillars. Since the emperor usually decided matters by verbal replies, the courtiers needed a record of what he said, hence this office was necessary. The title was as old as the Ch'in and possibly the Chou period (cf. Glossary, sub voce), so that Wang Mang was probably enacting into law a long established practise. Many imperial edicts were probably dictations. (There is however, no evidence in Former Han times of any Right and Left Historiographers, Tso-shih and Yu-shih, attending the emperor to record his words and deeds.) The conversation mentioned above contains such a drastic criticism of Confucianism that sincere Confucians, such as Pan Piao and his son, would not have fabricated it and would not have included it in their histories had they not believed they had good evidence for its genuineness. It sums up very well the difference between Emperors Hsüan and Yüan. Pan Ku is so careful in his recordings and plainly depends so much upon written records, that he would hardly have recorded an imperial conversation for which he had no documentary or traditional evidence. I think one would be quite safe in holding that this conversation must have been well attested or else Pan Ku would have rejected it.

Summary of the reign

Emperor Yüan's reign (49-33 B.C.) was in general a time of peace, in which began the deterioration that ultimately led to the downfall of the dynasty. In foreign affairs the most important event was the brilliant expedition of Ch'en T'ang into Sogdiana; in internal affairs Confucianism was adopted as the guiding principle of government, bringing as a consequence administrative economies and a lightening of the people's burdens. The actual control of the government was, however, given to imperial maternal relatives and to a favorite eunuch.

Foreign affairs

In foreign affairs, the Huns caused little trouble. Their Shan-Yü Hu-han-hsieh had submitted himself to the Chinese in the preceding reign, and the Chinese continued to support him with large grants of grain. A large band of Huns who had been domiciled in Chinese territory escaped and joined him (9: 3a). The Western Ch'iang in the present Kansu rebelled when the harvest failed; but they were routed and driven out of Chinese territory.

Ch'en T'ang's extraordinary expedition into Sogdiana and the treatment of him by the government

The expedition of Ch'en T'ang against Shan-Yü Chih-chih was, next to the famous march of Li Ling deep into Hun territory, perhaps the most brilliant Chinese military exploit in the Former Han period after the time of Hsiang Yü.

Shan-Yü Chih-chih was the rival of Shan-Yü Hu-han-hsieh whom Emperor Hsüan had aided to establish himself in Mongolia; Chih-chih consequently fled to the west, fearing a surprise attack. There he made for himself a kingdom in the region east of Lake Balkash, and defeated the Wu-sun (in the present Ili valley), who were hereditary Chinese allies. He held a grudge against the Chinese for protecting his rival, hence he mistreated and shamed several Chinese envoys sent to him.

The affair of Chih-chih's son deepened the enmity between himself and the Chinese. His son had been staying at the Chinese court; in 45 B.C., Chih-chih sent an envoy with presents, asking that his son be returned. The proper thing was for a Chinese envoy to convoy the boy safely to his father's court, for which purpose Ku Chi was appointed. Some Chinese officials, however, feared for the safety of a Chinese envoy and argued that it would be sufficient to escort the boy to the borders. Ku Chi replied that for the sake of future relations with Chih-chih, the boy should be convoyed all the way. The matter seems to have been delayed and debated from 45 to 42 B.C.; perhaps because of this circumstance, when Ku Chi reached Chih-chih's court with the boy, Chih-chih killed the Chinese envoy. He knew that he had outraged the Chinese by this act, and that they would try to take vengenace, so he planned to flee further west.

Chih-chih's move to Sogdiana was on invitation of the King. The Greek kingdom in Sogdiana, a state located across the mountains of central Asia west of the Wu-sun, in the valley of the Jaxartes River, had collapsed a century previously; at this time the Sogdianans were much troubled by Wu-sun raids into their territory. Knowing of Chih-chih's great fame as a victorious fighter and Shan-Yü, and remembering that the Wu-sun had previously been vassals of the Huns, the King of Sogdiana invited Chih-chih to settle on the eastern borders of Sogdiana, and serve as a defence against the Wu-sun. An arrangement was made, and the King of Sogdiana sent some nobles with several thousand camels, asses, and horses to convoy Chih-chih. Unfortunately for him, a cold spell caught his troop on the road and only 3,000 people survived the trip to Sogdiana. Unless Chih-chih was followed by other Huns at other dates (which does not seem very likely) there was thus in this century no mass migration of Huns westwards.

The King of Sogdiana and Chih-chih confirmed their alliance by each marrying the other's daughter. With Sogdianan troops, Chih-chih attacked and drove away the Wu-sun, penetrating deep into their territory, so that they left their western borders uninhabited for a thousand li. Other successes puffed Chih-chih up until he repudiated the King of Sogdiana as his overlord and killed the King's daughter, setting himself up as an independent king and building a fortified capital city for himself. He exacted tribute even from Ferghana and states north of it, which were Chinese tributaries.

Chih-chih's power was a threat to the Chinese hold on the Tarim basin. At this time the valley of the Tarim basin (with surrounding regions west and north) was called by the Chinese "the Western Frontier Regions." It had been put under the control of a Protector-General with an Associate. To maintain order, a Chinese military force was established in a central part of the Tarim basin (usually at Turfan) as an agricultural colony, under an officer called the Mou-and-Chi Colonel. ( Mou and chi are the central stems and this officer was located in the center of the Western Frontier Regions.) Each of the cities in the Western Frontier Regions was also required to contribute a force of levies at the call of the Emperor. The office of Protector-General had been established in 67 B.C. and later, in 59 B.C., its rank had been increased to fully two thousand piculs, a rank the same as that of Grand Administrators of Commanderies and many court officials. The office of Mouand-Chi Colonel had been established in 48 B.C.; hence it can be seen that the Tarim basin did not become an important part of the Chinese administration until almost the latter half of the first century B.C.

In 38 B.C. Ch'en Tang was sent out to the Tarim basin as Associate to the new Protector-General, Kan Yen-shou. The former was an ambitious boy from a poor family, who had been given very minor posts and had asked for a foreign appointment in order to have an opportunity to distinguish himself. He showed himself a man of keen insight and paid much attention to his duties. He soon comprehended the political situation of central Asia, and saw in Chih-chih a potential source of serious danger to Chinese interests. Chih-chih was brave and able, and planned an empire in central Asia athwart the silk route. Although he had moved out of the regions tributary to the Chinese, his empire would endanger the western part of the Western Frontier Regions. Hence it was important to crush him before he had established himself firmly in Sogdiana.

To attack Chih-chih rapidly required a bold stroke on Ch'en T'ang's part. Kan Yen-shou agreed with his Associate that Chih-chih must be crushed, and wanted to follow the usual procedure: memorialize the court and ask for permission. Ch'en T'ang had, however, gaged the temper of the Emperor and his court; such a request would bring endless delays, consultations, and finally a refusal from the pacifistic and narrow-minded court and ministers. No request was sent. Kan Yen-shou fell ill for a long period, and Ch'en T'ang seized this opportunity. He boldly forged an imperial order mobilizing the troops of the cities together with the garrison of the Mou-and-Chi Colonel. When the troops arrived at the Protector-General's seat at Wu-lei, in the neighborhood of the present Chadir, Kan Yen-shou was aghast and rose from his sick bed, intending to stop the mobilization. Ch'en T'ang, however, intimidated and persuaded his superior officer to desist. The expeditionary force, numbering more than 40,000, was organized into six regiments, each with a Colonel. Following the Chinese practise of having separate columns converge upon a single objective, three regiments were to take the southern route along the southern border of the Takla-Makan Desert, cross the Pamirs, and traverse Ferghana to Sogdiana. The other three regiments, under the Protector-General himself, with Ch'en T'ang, were to follow the northern route, north of the desert, gather at Uch-Turfan, cross the mountains to the Issik Kul, and transverse Wu-sun territory into Sogdiana. Kan Yen-shou and Ch'en T'ang memorialized the Emperor, accusing themselves of having forged an imperial order and relating the circumstances, then set out westwards, where imperial commands to desist could not reach them for some months.

The column of the Protector-General defeated a Sogdianan raiding party and arrived in Sogdiana ahead of the other column. The Chinese troops were kept from robbing the Sogdianans, and a secret arrangement was made with these people. Then Sogdianan nobles who had grudges against Chih-chih allowed themselves to be captured, so that the Chinese were informed of Chih-chih's circumstances. At last the Chinese army encamped three li from Chih-chih's city.

This city was defended by an earthen wall, outside of which there was a double wooden palisade and a moat, with towers for archers inside the city. On the wall several hundred armed men were seen; outside more than a hundred cavalry rode about; and at both sides of the city gate there were lined up more than a hundred soldiers arranged "like the scales of a fish" (probably Roman legionaries from Crassus' army; cf. TP 36, 64-80). When the Hun cavalry rode towards the Chinese, the disciplined Chinese line awaited the attack with their crossbows ready cocked, so that the horsemen were repulsed with losses. The Chinese crossbows outranged the Hun bows, and arrow fire drove the Huns into their city. Then the Chinese force was marshalled around the city on all sides; the sound of a drum signalled the attack. They drained the moat and advanced with great shields in front and lances and crossbows behind. Some of these crossbows were so heavy that they could only be cocked by a strong man lying on the ground, with his feet against the bow and pulling the string with his hands. Such were the bows used by "skilled soldiers." The Hun archers were outranged, driven from their towers, and made to take refuge behind the earthen wall. Chih-chih himself, with his Yen-chih (empress) and several tens of other women, shot from one of the towers; Chinese arrows hit him in the nose and killed some of his ladies, so that he too had to descend. Then the Chinese gathered faggots and set fire to the palisades. During the night, several hundred Hun cavalry tried to escape, but were shot down by the Chinese. By midnight the palisade was pierced, and the people within withdrew inside the earthen wall.

During the night large bands of Sogdianan cavalry surrounded the Chinese besiegers in response to the call of Chih-chih for succor. They attacked several times, but unsuccessfully, never pressing their attacks home. Probably they were only half-hearted, for Chih-chih had offended the Sogdianans by his high-handed actions. At dawn the Chinese feigned to attack the Sogdianans, setting fires and making a loud noise with bells, drums, and shouting, thus frightening the Sogdianan horses and driving the attackers away. Then the Chinese pushed forward against the city on all sides under protection of their large shields, and penetrated the earthen wall. Chih-chih's people, numbering more than a hundred, fled into his private quarters. The Chinese set fire to this place; in the fighting, Chih-chih was wounded and killed. The city was looted and the credentials of Ku Chi and another Chinese envoy were discovered. Altogether 1518 heads were taken, including those of Chih-chih, his Yen-chih, his Heir-apparent, and distinguished kings in his following. One hundred forty-five captives (possibly the Romans) were taken alive, and more than a thousand persons surrendered. These captives were distributed among the auxiliaries of the Chinese, while the Romans were settled at Li-chien in present Kansu. From the above account, it is possible to estimate the size of Chih-chih's following. There is no indication in it of any Hun mass migration into Asia west of the central mountains. In the attack, all Huns were probably killed and those taken alive were Sogdianans and others who had joined Chih-chih.

The foregoing is the most vivid and detailed account of military operations to be found in the HS. It is now found in the "Memoir of Ch'en T'ang," and was probably taken from Ch'en T'ang's report to Emperor Yüan, together with the maps of his route, adorned with paintings, which accompanied the report and which delighted the court and imperial harem. (It is translated by J. J. L. Duyvendak in T'oung Pao, vol. 34, no. 4, pp. 259-261 and by de Groot in Die Hunnen, pp. 230-7.) His expedition shows the power of the Chinese governmental organization at the time, that the Chinese should have been able, without drawing upon the central government, to make an expedition to such a vast distance and capture a fortified town, exacting vengeance for a murdered envoy.

One important reason for this success was that the Chinese enjoyed a decided material advantage over the barbarians. Many years later, in the reign of Emperor Ch'eng, another Protector-General of the Western Frontier Regions was besieged by the Wu-sun. When he sent for help, Ch'en T'ang was summoned from private life to advise the Emperor. On his expedition he had suffered from cold, so that he was not able to straighten his arms, hence he was specially exempted from the usual prostrations when he entered the imperial presence. Ch'en T'ang said that the barbarians' swords had been blunt and their bows and crossbows were not good, so that one Chinese soldier had been equal to five barbarian soldiers; that by this time the barbarians had secured some of the Chinese skill, but even yet one Chinese was worth three barbarians. Mr. C. W. Bishop suggested that perhaps these barbarians, like the Germans conquered by Julius Caesar, did not know how to temper iron, with the result that their weapons were soft. Probably the barbarians' crossbows did not have the efficient Han crossbow trigger mechanism, the secret of which, (a triple compound lever) was closely guarded and not permitted to leave China, so that it did not reach even medieval Europe. Without such a mechanism, strong crossbows would not be practical. Chinese crossbow bolts could drive defenders from a city wall. Chinese mechanical skill undoubtedly played a large part in their military conquests.

How did the central government treat its servants who had achieved a notable victory? Similarly to the way governments in Europe have sometimes treated those who conquered colonial territory for them. Emperor Yüan was inwardly elated and proud of Ch'en T'ang's achievement, the most brilliant in several reigns. But Shih Hsien, Emperor Yüan's favorite eunuch, who controlled the government, bore a grudge against Kan Yen-shou. Shih Hsien had wanted to marry his elder sister to Kan Yen-shou, but the latter had refused. The meticulous Confucian Lieutenant Chancellor, K'uang Heng, and the Confucian Grandee Secretary, P'an Yen-shou, were mortally offended because the imperial order summoning the expedition had been forged. Thus the influential ministers were united against Ch'en T'ang. In the spring of 35 B.C., the head of Shan-Yü Chih-chih arrived in Ch'ang-an, with the suggestion that it be hung up at the gate of the Lodge in Ch'ang-an for Barbarian Princes, in order to show them that even if a person who had outraged the Chinese should fly to the most distant parts, he would be pursued and executed. But the ministers memorialized that, according to the Confucian rules for the seasons, winter was the time for executions and spring was the time to cover skeletons and bury carcases, so that the head should not be hung up. The generals at the Chinese court, however, replied that it should be hung up for ten days and then buried. Ch'en T'ang was accused of avarice and of having sent into China illegally-obtained wealth. The Colonel Director of the Retainers, whose duty it was to investigate imperial officials in the capital and neighboring commandaries, ordered that Ch'en T'ang's conduct should be investigated. Normally Ch'en T'ang would have been arrested and imprisoned; Ch'en T'ang replied, asking if the Colonel was avenging the death of Chih-chih. Emperor Yüan was shocked and immediately sent out officers and soldiers, ordering the cities to feast Ch'en T'ang's troops. Shih Hsien and K'uang Heng, however, told the Emperor at a banquet that since Kan Yen-shou and Ch'en T'ang had raised their army by forging an imperial order, they would be fortunate not to be executed, and, if they were rewarded by being given noble ranks and estates, their illegal acts would be repeated by later envoys, thus causing trouble for the government. Although Emperor Yüan was delighted at the great military victory achieved in his reign, he did not want to go contrary to the advice of his favorite eunuch and Lieutenant Chancellor, so the matter dragged along for a long time. In 33 B.C., Kan Yen-shou was at last given a full marquisate with a small estate, and Ch'en T'ang was made a Kuan-nei Marquis. They were each given a grant of a hundred catties of actual gold and official promotion. That same year the Hun Shan-yu Hu-han-hsieh came to pay court to Emperor Yüan to thank him for having annihilated his rival.

When, a month later, Emperor Ch'eng came to the throne, K'uang Heng memorialized that Ch'en T'ang had not acted correctly towards the barbarians; he had stolen the treasures he secured in Sogdiana, and although he had done these things before a general amnesty had been declared, yet it was not proper that he should occupy an official position. So he was tried and dismissed. Later he was accused and condemned on a capital charge; Emperor Ch'eng freed him from punishment, but took away his noble rank and made him a common soldier. The imperial ministers had long memories for an offence against their pride.

The complete victory of Confucianism

Perhaps the most important circumstance in Emperor Yüan's rule was his complete and whole-hearted acceptance of Han Confucianism. The reason for this adherence is to be found in the circumstance that his teachers had been Confucians. Since Confucian scholarship had made Confucians the masters of knowledge, they became the teachers of youth, and in due time became the counsellors of emperors. The criticism of Emperor Hsüan's rule by his Heir-apparent and of Confucianism by Emperor Hsüan in the conversation at the beginning of this chapter is highly significant.

In accordance with his convictions, Emperor Yüan selected Confucians to head his government. His Lieutenant Chancellors were Yu Ting-kuo, who had been appointed by Emperor Hsüan, Wei Hsüan-ch'eng, and K'uang Heng. Wei Hsüan-ch'eng had participated in the discussions in the Shih-ch'ü Pavilion as an authority on the Book of Odes. K'uang Heng was also an authority on the Book of Odes; he had been recommended to Emperor Hsüan, but that Emperor did not care for scholarship in government, and had sent him back to his post in P'ing-Yüan Commandery. The future Emperor Yüan had an interview with him at this time and liked him. Perhaps this interview led to the conversation recounted at the beginning of this "Annals."

Because capable officials were first tried out in various ministerial positions and regularly occupied the post of Grandee Secretary before becoming Lieutenant Chancellor, some prominent Confucians died in office or retired because of age before the position of Lieutenant Chancellor became vacant. Hence Pan Ku includes Kung Yü and Hsieh Kuang-tê in his list of influential and distinguished Confucian ministers (9: 14a). The other Grandee Secretaries were of such negligible importance that they are not even mentioned in the "Annals." Hsieh Kuang-tê had also participated in the discussions of the classics in the Shih-ch'ü Pavilion as an authority on the Book of Odes. Perhaps the most influential of these Confucians was Kung Yü, who suggested a number of reforms, some of which were put into effect after his death by K'uang Heng.

Visitations and calamities

During this reign, calamities were numerous, especially at the beginning of the period. In the "Annals" for the reign, calamities are recorded in almost every year. There does seem to have been a succession of favorable seasons in Emperor Hsüan's reign and a succession of droughts at the beginning of Emperor Yüan's reign. It is, moreover, likely that many of these calamities are recorded because the Confucians emphasized them as a means of expressing a veiled criticism of the reign, especially of the power exercised by Shih Hsien, and as a means of pointing out the need for governmental reform. Tung Chung-shu had taught that when something is wrong in the government, Heaven sends a visitation (tsai); if matters are not corrected, Heaven then sends a prodigy (yi) to terrify the culprit. In themselves, these droughts, floods, fires, frosts, comets, eclipses, and earthquakes are not improbable; the unusual number recorded in this reign is very likely due to the fact that such events were usually somewhat neglected and were emphasized chiefly when people, because of their dissatisfaction with the government, expected them. Conversely, in a good and prosperous reign, such as those of Emperors Hsüan and Chang, people expected auspicious visitations, hence saw and reported supernatural birds, sweet dew, etc. These visitations were thus probably all natural events, some of which (e.g. the supernatural birds) were merely misinterpretations of what had actually been seen. What made them visitations was merely the interpretation put upon them in accordance with Confucian teaching.

Because of the Confucian doctrine that Heaven sends warnings to the ruler by means of portents, Emperor Yüan in his edicts (probably drafted for him by his Confucian ministers) asked for explanations of these events, seeking to know where the fault lay, and intelligent Confucians took the opportunity to suggest changes in the government. Some blamed the portents upon the machinations of Shih Hsien, but Emperor Yüan would not accept such interpretations. In accordance with Confucian doctrine, these natural events became the occasion for governmental reforms.

Governmental reforms and economies

The Confucians who succeeded in gaining Emperor Yüan's ear showed themselves, like the Confucians in the Discourse on Salt and Iron, interested in what would benefit the common people. Kung Yü pointed out to Emperor Yüan the expense and luxury of the court, contrasting it with the simplicity of ancient times and the restraint in Han times before Emperor Wu, when the imperial harem did not have more than ten-odd women and the imperial stable had only a hundred-odd horses. Since that time, he said, luxury had been the rule and the courtiers had vied with each other in luxuriousness. In Ch'i (the present Shantung), several thousands of workmen were kept busy preparing fine silks and garments in the imperial ateliers, at a cost of several hundred million cash per year. In Shu and Kuang-han Commanderies (the present Szechuan), over fifty million cash were expended yearly at the imperial workshops for gold and silver vessels. The common people were suffering from famine and even practising cannibalism, while the horses in the imperial stables were fed and suffered from obesity, the imperial harem was overflowing with women, and the imperial musicians were too numerous. Kung Yü urged that this expense be reduced as much as two-thirds, that only twenty-odd women should be retained in the harem; the imperial concubines of deceased emperors who were being kept at the imperial tombs should be sent home to be married (except for the several hundred women at the tomb of Emperor Hsüan), only several tens of horses should be retained in the imperial stables, and many of the imperial parks should be given to the people for cultivation. With the encouragement of Shih Hsien, Emperor Yüan accepted most of this advice and reduced the imperial expenses.

After Kung Yü became Grandee Secretary, he continued making suggestions for economy in the government. He pointed out that the annual head tax upon children, beginning in their third year, called the poll-money, led to much infanticide, and suggested that the poll-money be not required until a child was in its seventh year. The Emperor approved. He pointed out that the practise established by Emperor Wu of allowing money commutation for crimes encouraged crime and disorder. In accordance with the Confucian policy of esteeming ancient practises, Kung Yü also pointed out that the free use of money in Han times, different from the ancient payments in kind, allowed persons to live without farming, and the advantages of trade led many to leave agriculture, reducing the supply of food. The government monopoly of copper mining and coinage and of iron production employed a hundred thousand convicts. Since each farmer feeds seven persons, Kung Yü argued that 700,000 persons a year go hungry because these persons were diverted from agriculture. Merchants charged 20% interest and did not pay the land tax or the tax on produce, whereas farmers paid both, with the result that less than half of the common people were farmers. He urged that the offices for the manufacture of objects using jewels, gold, and silver, and those for coinage be abolished; the use of money be done away with; merchants should not be allowed to buy or sell; only the land should be taxed; and that taxes, salaries, and imperial grants should all be in cloth or grain, in order that the people should be compelled to return to agriculture and obtain the advantages of ancient times. The conservative Confucians' opposition to a growing money economy is well exemplified in the above memorial. Fortunately Emperor Yüan did not adopt this proposal; when Wang Mang attempted to put Confucian reforms into effect, disorder and calamity followed.

As a result of the foregoing and other suggestions, Emperor Yüan effected many economies. He disestablished the palaces and lodges in Shang-lin Park that were rarely used. He did away with the guard at Chien-chang and Kan-ch'üan Palaces, and reduced by half the guard at the temples to vassal kings. The number of imperial musicians was lessened, the expense of the imperial table was diminished, the imperial stables, kennels, and menagerie were reduced, and imperial gardens, parks, ponds, and fields were given to the common people. The competitive games, the imperial ateliers in Ch'i, and the government granaries which purchased grain with tax money, instead of having grain transported to the capital, were abolished. Even the government monopoly of salt and iron was abolished, although four years later the need for income compelled its reestablishment. Thus real economies were made in governmental expenditures and a beginning was made in the direction of the economic reforms so extensively attempted by Wang Mang.

Emperor Yüan also relieved his people of other burdens. Capital punishment was lightened in seventy matters. Guarantors for their relatives (except in the case of high officials) were no longer to be punished along with those persons whom they had guaranteed. Witnesses were not to be called up at times when they had to work their fields. Arrangement was made that the grandparents, parents, and brothers of those in the imperial palaces could be registered at the palace gates, enter the palace, and visit their relatives within. No funerary town was established at Emperor Yüan's tomb. Grants of tax remission, amnesties, ranks, silk, etc. were made at times of drought and calamity and at other occasions. When the aborigines in the southern part of the island of Hainan revolted, the commandery of Chu-yai was abolished rather than burden the people with a struggle to reconquer such a barbarian region.

Enactment of fundamental features in the imperial ancestral cult

Among the most expensive features of the government were the imperial ancestral temples. Emperor Kao had ordered his vassal kings each to establish a Temple of the Grand Emperor (his father) at their capitals. The commanderies and kingdoms which Emperor Kao (entitled the Eminent Founder), Emperor Hsiao-wen (entitled the Grand Exemplar), and Emperor Hsiao-wu (entitled the Epochal Exemplar) had visited, each established temples to those emperors, so that there were 167 imperial ancestral temples in the commanderies and kingdoms. In the capital commanderies, nine emperors (including the Grand Emperor and the Deceased Imperial Father Tao, the father of Emperor Hsüan) were worshipped. Each one had his funerary chamber (in which food was offered four times a day), his temple (in which sacrifices were made 25 times a year), and his side-hall (in which sacrifices were made at each of the four seasons). There were also thirty other places of worship for imperial personages, such as the Kao-tsu's mother, his eldest brother and elder sister, the Empress Dowagers, the grandfather of Emperor Hsüan, etc. The cost of the food used in this worship was 24,455 cash per year; 45,129 guards were employed in addition to 12,417 intercessors, butchers, and musicians, without counting those who reared and cared for prospective sacrificial victims. Kung Yü memorialized that anciently the Son of Heaven maintained only seven shrines: those of the six immediately preceding ancestors and of the founder of the house. The tablets of other remote ancestors were removed to the temple of the founder of the house and worshipped along with his tablet. Kung Yü also said that the imperial ancestral temples in the commanderies and kingdoms were not in accordance with ancient ritual practises. He proposed disestablishing them, discontinuing the separate sacrifices to Emperors Hsiao-hui and Hsiao-ching at the imperial capital, and combining these sacrifices with those to Emperor Kao. Thus the Confucian exaltation of ancient practises meant a great simplification and economy in Han times.

Emperor Yüan agreed with the suggestion, but Kung Yü died in 43 B.C., before the matter could be discussed and enacted. In 40 B.C., Emperor Yüan ordered a discussion by Wei Hsüan-ch'eng and sixty-nine other eminent Confucians. They approved Kung Yü's suggestions, and the changes were made. Thereafter only the five immediately preceding generations of imperial ancestors were worshipped separately, except that the separate worship of the Founder and the two Exemplars was continued.

Such drastic abolition of almost two hundred ancestral shrines could not but arouse doubt in an age when even Confucians were superstitious. After the death of Wei Hsüan-ch'eng in 36 B.C., Emperor Yüan was seriously ill and dreamed that his ancestors blamed him for having abolished their temples in the commanderies and kingdoms. When his younger brother dreamed the same thing, Emperor Yüan asked his Confucian Lieutenant Chancellor, K'uang Heng, whether the temples had not better be restored. K'uang Heng, true to the Confucian exaltation of ancient practises, replied that they should not. But when Emperor Yüan had been ill for a long time and did not recover, K'uang Heng became afraid, took the blame upon himself, and prayed to the emperors whose temples had been abolished. In 34 B.C., after Emperor Yüan had been ill for successive years, the abolished temples were restored. Immediately after Emperor Yüan's death in 33 B.C., K'uang Heng, however, memorialized that these temples should be again abolished, and it was done. The custom of worshipping only the five immediately preceding ancestors began its popularity at this time. Thus the Confucian veneration of ancient practises proved a great boon to the people and government.

The "Ordinances for the Months"

During this reign the ordinances for the months, a Confucian superstition, began to be popular. It seems to have first received government recognition through the efforts of Wei Hsiang in the preceding reign. This belief is based upon the ancient conceit that there is a sympathy between the stars, the four seasons, the five directions, the five Lords on High, the yin and yang, the weather, etc., and certain human activities, so that if the wrong activities are performed in any month, calamities of unseasonable weather, poor crops, pestilence, or something of the sort will follow. This doctrine probably arose out of the demand for an explanation of unseasonable weather, earthquakes, droughts, etc. Already in 197 B.C. there had been drafted a set of rules for the colors of imperial robes in the various seasons (the weather depended upon the imperial actions). Grants and favors were bestowed in the spring; executions and military expeditions were performed in winter, etc. Under Wei Hsiang's influence, four Confucian scholars had been appointed, one to be an authority on each season, to advise the emperor what were the proper activities for that season. This sort of study developed into the "Ordinances for the Months (Yüeh-ling)", Chapter IV of the Book of Rites. (This chapter is also found, with slight modifications, in the Lü-shih Ch'un-ch'iu , but the latter book was worked over in the iii cent. A.D., so that the repetition of this chapter in both books may mean little.) Thus Confucian scholarship was turned to the direction of pseudo-science.

A second civil service test added

The civil service examination system was developed in this period by an enactment that the Superintendant of the Imperial Household should rank the imperial retinue yearly according to a set of Confucian virtues (9: 7a and n. 7.5). Since the commonest way of entering the bureaucracy was for prospective officials to spend a term as members of the imperial retinue (cf. 5: n. 9.9), in order that the emperor might become acquainted with them, and since the Superintendant of the Imperial Household was in charge of such persons at the imperial court, this development was logical. The bureaucracy had grown to such a size that even an industrious emperor could no longer know individually all the prospective officials. Hence this second and moral test was added after the first and literary examination.

Imperial adoption of the Confucian principle that one's relatives should be favored

Emperor Yüan thus whole-heartedly adopted Confucianism and allowed its tenets markedly to influence his government, choosing distinguished Confucian scholars for his highest civil officials;---the army was, however, kept under the control of his maternal relatives. The day before he died, Emperor Hsüan had appointed Shih Kao as Commanderin-chief. This man was a maternal first cousin of Emperor Hsüan's father and the head of the Shih clan (that of Emperor Hsüan's paternal grandmother), who had reared Emperor Hsüan. When Shih Kao retired because of age in 43 B.C., this position was given to Wang Chieh5, a maternal first cousin of Emperor Hsüan, and after Wang Chieh5's death in 41 B.C., it was given to Hsü Chia, a paternal first cousin of Emperor Yüan's mother, who held it until 30 B.C. Thus the control of the army was given to the clans of Emperor Yüan's great-grandmother, grandmother, and mother, successively.

This practise of giving high position and great power to the maternal relatives of the emperor is justified by Confucian teaching. The Book of History, in its second paragraph, declares that as one of the essential acts in his rule, Yao (who was admired extravagantly by Confucius [cf. Analects VIII, xix]) favored his nine sets of relatives. Mencius declares that the favoring of one's relatives (ch'in-ch'in) constitutes benevolence (jen) (VI, B, iii, 2). In the Doctrine of the Mean (XX, 13, 14), which probably represents Later Han conceptions, Confucius is represented as advocating this virtue as fundamental and as saying, "To exalt their positions, to make their emoluments large, and to share their likes and dislikes is the way in which to encourage [people in the virtue of] favoring their relatives."

The Chinese phrase, ch'in-ch'in, may be interpreted "love one's relatives" as well as "favor one's relatives." An idealist like Tung Chung-shu might maintain, "A true king continually takes as his ideal the loving and benefiting of all under Heaven," but this statement must not be interpreted to mean the equal love of all people. Confucius had set bounds to the sage's regard for others when he rejected the principle of love for one's enemies. In practice, the principle of loving one's relatives and others becomes the loving of one's relatives more than others, which slips, by imperceptible degrees, into favoring one's relatives. Probably Mencius, with his high moral ideals, meant only the first of these interpretations. Thus favoring one's relatives is a cardinal Confucian virtue.

Successive rebellions had led the Han dynasty to the set practise of keeping its paternal relatives, the members of the Liu clan, at a distance from the imperial capital, giving them small kingdoms or marquisates, but depriving them of any power in the imperial government. Members of the imperial house and people from kingdoms ruled by members of the imperial house were not supposed even to hold high office in the imperial capital or in neighboring commanderies. This rule was, however, not always enforced. An exception was regularly made for the Superintendant of the Imperial House, who was always a member of the imperial house. Membership in the imperial house lapsed after a certain number of generations (nowhere definitely specified). The attempted seizure of the throne by the Lü clan after the death of the Empress Dowager née Lü in 180 B.C. led the next two rulers, who were not wholeheartedly Confucian, to restrict the powers of their maternal relatives. Emperor Wu, however, broke with this wise policy. Dynastic custom had kept the Han emperors from giving governmental power into the hands of their paternal relatives; consequently the Confucian virtue of "favoring one's relatives" was turned to be applied specifically to relatives on the distaff side, especially those of the Empresses Dowager, of the Empresses, and of favorite concubines. Emperor Wu appointed the relatives of his favorite women to high position. His most successful generals, Wei Ch'ing and Ho Ch'ü-ping, were a half-brother and a nephew, respectively, of his favorite concubine, whom he made his Empress. Ho Kuang, the man whom he selected to be virtual regent for his successor, and who actually ruled the country for nineteen years, was a half-brother of Wei Ch'ing. When Ho Kuang died, Emperor Hsüan at first pursued the policy of continuing in high office Ho Kuang's clan and those of Ho Kuang's group who had assisted him in bringing Emperor Hsüan to the throne. But the rebellion of the Ho clan made him look to other persons for support. Emperor Hsüan, when young, had been reared in the family of his maternal grandmother, the Shih clan; when the disloyalty of the Ho clan was discovered, Emperor Hsüan of course turned for support to this clan and to his wife's relatives, the Hsü clan, for their interests were naturally bound up with his own. The Liu clan, his paternal relatives, were potential rivals for the throne. Thus the necessity of finding some group in the court whose unswerving loyalty could be counted upon because their interests were bound up with those of the occupant of the throne led to the exaltation of the imperial relatives on the distaff side. Emperor Yüan, under the combined influence of his father's precedent and of Confucian teaching, continued this practise of giving the highest positions to his relatives. Emperor Ch'eng also continued it, and finally, when later a child emperor had kept one particular clan in power for a long period, this clan, in the person of Wang Mang, overthrew the dynasty.

The practise of favoring the ruler's maternal relatives and relatives by marriage has of course sometimes been influential in non-Confucian lands, often with similar results, so that Confucianism cannot be charged with initiating such a practise. What Confucianism did in China was to afford a philosophical and ethical justification for this practise, with the result that criticism of the practise could be stifled and the practise could be urged as a duty by interested parties upon rulers who might not otherwise desire to trust their relatives too much. Thus Confucianism encouraged nepotism and removed the bulwark afforded by common sense against the abuse of imperial relationships. The inevitable result was the eventual downfall of the dynasty. Confucian idealism was thus the most important contributory factor in the downfall of the Former Han dynasty as well as that of the Later Han dynasty.

Eunuch control of the government; Confucian attacks upon and eventual victory over the eunuchs

The actual control of governmental business during this reign was neither in the hands of the Confucian scholars in high civil position nor of the imperial maternal relatives in control of the army, but in the hands of Emperor Yüan's favorite eunuch, Shih Hsien. The custom of employing eunuchs as imperial private secretaries was begun by Emperor Wu. He spent much of his leisure in the imperial harem, to which ordinary persons were not admitted; hence he needed eunuchs for his private secretaries. They were entitled Palace Writers, and should be distinguished from the Masters of Writing, who were noneunuch imperial private secretaries.

At the end of the previous reign, when Emperor Hsüan was dying, he selected his maternal cousin, Shih Kao, together with the two learned Confucians who were the Grand Tutor and Junior Tutor to the Heir-apparent, Hsiao Wang-chih and Chou K'an, to be the persons who should guide the Heir. The two Confucians were concurrently made Intendants of Affairs of the Masters of Writing, usually the key position in the government.

Hsiao Wang-chih was perhaps the most learned and famous Confucian scholar of the time. He had been highly honored and influential under Emperor Hsüan and, while he had been the future Emperor's Tutor, had secured the deep respect of Emperor Yüan. Now that this thoroughly Confucian Emperor was on the throne, Hsiao Wang-chih thought that the opportunity had come for introducing Confucian reforms into the government. His clique included the famous Confucian, Liu Hsiang(4), who was Superintendant of the Imperial House.

The rise of the eunuch Shih Hsien to a position of influence came about when Shih Kao found his power checked by that of Hsiao Wang-chih, who had been made General of the Van. Shih Kao was jealous of the favor shown by Emperor Yüan to these Confucians and found two influential Palace Writers, Hung Kung and Shih Hsien (the latter was no relative of Shih Kao), who were glad to league with him. They were both men who in their youth had fallen foul of the numerous and involved laws enacted by Emperor Wu, had been made eunuchs, and had been selected, first as members of the eunuch Yellow Gate, and later as Palace Writers. Hung Kung proved capable in the law, knew historical precedents, and was skilled in preparing memorials, so was made Chief Palace Writer. Shih Hsien was made a Supervisor, and, when Hung Kung died several years after Emperor Yüan came to the throne, Shih Hsien was promoted to be Chief Palace Writer.

Emperor Yüan was quite ignorant concerning the mechanics of running a government, whereas Hung Kung and Shih Hsien had long occupied their positions, knew how to handle affairs, and were well acquainted with the laws. Hence Emperor Yüan soon found them indispensable. He was ill and did not attend to government business, giving his time to music. Shih Hsien had no outside connections, was attentive and reliable, and was able to anticipate Emperor Yüan's wishes, so Emperor Yüan entrusted him with making decisions in great and small affairs. Shih Kao in the court and Shih Hsien in the imperial private chambers were thus quite able to check and defeat for a time the Confucian influence (later they made terms with it).

Hsiao Wang-chih recognized the source of his opposition, and proposed to Emperor Yüan that eunuchs should not be employed in such a confidential and important capacity as imperial private secretaries, for which only unmutilated persons should be used. He urged that the employment of eunuchs in such a capacity was not an old constitutional practise, and that it was contrary to the Confucian principle (now found in the Book of Rites, I, i, iv, 52; Legge, I, 90) that a person who had been punished should not be allowed to be by the side of a prince.

Hsiao Wang-chih, Chou K'an, and Liu Hsiang4 went so far as to discuss the proposal of asking the Emperor to dismiss his imperial maternal relatives. This proposal leaked out, and, before they had said anything to the Emperor, the imperial relatives had a Confucian (whom Hsiao Wang-chih had failed to promote) slander the Confucian clique. The matter was brought to Emperor Yüan's attention on a day when Hsiao Wang-chih was on leave from the court; Hung Kung was appointed to investigate the charge. He reported that Hsiao Wang-chih, Chou K'an, and Liu Hsiang(4) had formed a cabal to promote one another, slander high officials, and degrade the imperial maternal relatives, in order to seize the power themselves, which constituted disloyalty and inhumanity, and he begged that they be given in charge of the Commandant of Justice. Emperor Yüan had just come to the throne and did not know that a summons to the Commandant of Justice meant imprisonment, so he approved the request. When he later asked for Chou K'an and Liu Hsiang4, he was astounded to be told that they were in prison, whereupon he had them immediately released. Hsiao Wang-chih, because he was General of the Van, seems not to have been imprisoned at this time. Hung Kung and Shih Hsien now had Shih Kao memorialize that since these persons had been in prison, they should be pardoned and dismissed from their offices. In 47 B.C., Emperor Yüan accordingly dismissed the Confucians from their posts.

Several months later he recalled Hsiao Wang-chih and ennobled him, intending eventually to make him the Lieutenant Chancellor. Hung Kung and Shih Hsien, however, reminded Emperor Yüan that Hsiao Wang-chih was proud and that he believed he would never be brought to task for what he did, so that it was necessary to send him to prison in order to humble his pride. Emperor Yüan feared that Hsiao Wang-chih's pride would never allow him to be taken to prison, but they replied that if he were sent to prison on a petty charge, he would have nothing to fear. So Emperor Yüan agreed to their plan. Shih Hsien and the others thereupon ordered the police to surround Hsiao Wang-chih's residence, and a messenger gave him the warrant for his arrest. He wanted to commit suicide, but his wife stopped him, telling him that the Emperor did not want his death. A disciple, who loved resolution, however encouraged his master to be firm and to avoid disgrace by ending his life. Hsiao Wang-chih sighed that for him, a former General, to go to prison in order to save his life would be shameful, so he drank poison. Emperor Yüan was shocked at what he had done. He wept and would not eat. He wanted to punish Shih Hsien and the others because they had not advised him concerning the consequences of his act. They begged his pardon and explained at length, and the matter blew over. Thus they disposed of their most dangerous enemy.

Whenever there was a calamity, Emperor Yüan would ask his subjects to explain to him what was to blame, and several good Confucians blamed the anger of Heaven upon Shih Hsien's machinations. Each time, Shih Hsien heard about it and managed to have the complainant caught up and punished on some crime, so that this eunuch came to be feared greatly by the officials in the capital. A famous Confucian authority on the Book of Changes, Ching Fang, secured Emperor Yüan's ear and pointed out to him that the ancient rulers who had wicked ministers had been warned by a succession of calamities such as those that occurred in the reign of Emperor Yüan. Then he drew the conclusion that the person at fault was the Emperor's most intimate and confidential advisor, whom Emperor Yüan confessed was Shih Hsien. Nevertheless, Emperor Yüan could not spare his favorite eunuch. Shih Hsien soon had Ching Fang promoted to a position away from the capital. He discovered that Ching Fang had repeated to others what the Emperor had once said to him in the imperial private apartments, which was a capital crime. Thereupon he had Ching Fang executed.

Shih Hsien was afraid that Emperor Yüan would eventually listen to criticism of him, so he kept searching out his critics relentlessly and had them executed for one crime or another. People generally said that he had killed Hsiao Wang-chih. When the famous Confucian, Kung Yü, came to the court, Shih Hsien hence purposely sent someone to tell him that he wished him well and wanted to aid him, and recommended him to Emperor Yüan. Thus Kung Yü eventually became Grandee Secretary and was able to bring about many reforms. Then people ceased to believe that Shih Hsien had killed Hsiao Wang-chih.

Before Emperor Yüan died, Shih Hsien, who was afraid of punishment after his patron's death, resigned his office as Palace Writer and took a low position in the harem. Nevertheless, he was still highly favored by the Emperor and was given large grants. He was active in bringing Emperor Ch'eng to the throne, and was rewarded by the latter with a high official position. The Confucian Lieutenant Chancellor, K'uang Heng, and the Grandee Secretary, Chang T'an, now dared to bring Shih Hsien's evil deeds to the attention of Emperor Ch'eng. Shih Hsien was dismissed, exiled, and sent back to his home with his wife and son. On the way he would not eat because of worry, became ill, and died. The office of Palace Writer was abolished in order to keep eunuchs out of government affairs. Thereafter, eunuchs had little influence in the government until Later Han times.

An emperor with such a pitifully inadequate knowledge of human nature and of the governmental machinery as that displayed by Emperor Yüan can hardly be expected to have been an active force in government. He could only be pulled about by the various personalities who managed to get his attention. Emperor Yüan's reforms were accordingly not his own deeds, but the creations of the persons by whom he was surrounded, and even those achieved by Kung Yü were only enacted because Emperor Yüan's eunuch, Shih Hsien, for selfish reasons, assisted Kung Yü. Emperor Hsüan had disliked his Heir-apparent and had failed to train him in the business of government. Before his death, Emperor Hsüan had wanted to change his Heir, but was dissuaded. The untrained Emperor Yüan was little more than a dignified puppet in the hands of those around him.

Confucianism was thus a predisposing cause of the favoritism shown to imperial maternal relatives and of the very sordid influence wielded by eunuchs, and was both hampered and aided by that influence. Some Confucians dared to attack this eunuch influence and suffered death; other Confucians made peace with it as long as it was unassailable, but overthrew it as soon as the coming of another Emperor made successful attack feasible.

The Ninth [Imperial Annals]

The Annals of [Emperor Hsiao]-Yüan

Emperor Hsiao-Yüan was the Heir-apparent of Emperor Hsüan. His mother was entitled Empress Kung-ai [née] Hsü. At the time when Emperor Hsüan was [still] an unimportant person, [the future Emperor Yüan] was born as a commoner. When HS 97 A: 22a says, "In the same [calender] year [that she was married, the future Empress née Hsü] gave birth to Emperor Yüan, and in several months the [Imperial] Great-grandson, [Emperor Hsüan], was made Emperor." Hence Liu Shih, the future Emperor Yüan, was actually born a few months before Sept., 74 B.C., when Emperor Hsüan ascended the throne, probably in the last months of Yüan-feng VI, about February, 74 B.C. Thus he could not have been in his second full year at the accession of Emperor Hsüan, although he might have been in his second calendar year. Or it might be that this passage in the "Annals" is counting time not from the actual date that Emperor Hsüan ascended the throne, but from the first year of his reign, which did not begin until the first month of the year after that in which his predecessor died. The remainder of the year in which an emperor dies continues to belong to the reign of the deceased emperor; his successor does not nominally begin to reign until the new year. Liu Pin (1022-1088) remarks that this practice follows that of the Dukes of Lu in the Spring and Autumn, who considered the first year of their reign to begin with the first New Year's day on which they were reigning. Because Yen Shih-ku (581-645) neglected these possibilities, he thought that the chronology in this passage was mistaken; through a similar misinterpretation, Hsün Yüeh's (148-209) Han-chi twice notices the appointment of Liu Shih as Heir-apparent. Lin Shih's birth in February, 74 is, however, quite consistent with his appointment as Heir-apparent in his eighth year, on May 24, 67 B.C. he was in his second year, Emperor Hsüan ascended the throne [and began his own reign], HS 97 A: 22a says, "In the same [calender] year [that she was married, the future Empress née Hsü] gave birth to Emperor Yüan, and in several months the [Imperial] Great-grandson, [Emperor Hsüan], was made Emperor." Hence Liu Shih, the future Emperor Yüan, was actually born a few months before Sept., 74 B.C., when Emperor Hsüan ascended the throne, probably in the last months of Yüan-feng VI, about February, 74 B.C. Thus he could not have been in his second full year at the accession of Emperor Hsüan, although he might have been in his second calendar year. Or it might be that this passage in the "Annals" is counting time not from the actual date that Emperor Hsüan ascended the throne, but from the first year of his reign, which did not begin until the first month of the year after that in which his predecessor died. The remainder of the year in which an emperor dies continues to belong to the reign of the deceased emperor; his successor does not nominally begin to reign until the new year. Liu Pin (1022-1088) remarks that this practice follows that of the Dukes of Lu in the Spring and Autumn, who considered the first year of their reign to begin with the first New Year's day on which they were reigning. Because Yen Shih-ku (581-645) neglected these possibilities, he thought that the chronology in this passage was mistaken; through a similar misinterpretation, Hsün Yüeh's (148-209) Han-chi twice notices the appointment of Liu Shih as Heir-apparent. Lin Shih's birth in February, 74 is, however, quite consistent with his appointment as Heir-apparent in his eighth year, on May 24, 67 B.C. and when [the future Emperor Yüan] was in his eighth year, he was made Heir-apparent.

When he had grown up, he was condescending and kind and liked Confucian scholars. He saw that there were many written statutes among those employed by Emperor Hsüan; that his [father's] officials ruled their subjects in accordance with [the principle of] circumstances and names; Yen Shih-ku quotes Liu Hsiang's (ca. 79-8 B.C.) Pieh-lu (a lost book) as saying, "The teaching of Shen-tzu [Shen Pu-hai, a legalist, cf. SC 63: 13] is called `Circumstances and names 刑名. [The meaning of] `circumstances and names' is `to use names to demand their realities, in order to honor the prince and humble his subjects, to reverence the superior and curb his inferiors,' [probably a quotation from Shen-tzu, whose book is now lost]. Emperor Hsüan liked to look at the chapter [of Shen-tzu entitled] `The Prince and His Subjects'." For the meaning of the above philosophical phrases, cf. Fung Yu-lan, History of Chinese Philosophy, trans. by D. Bodde, I, 192, 323-5. The text reads hsing(1)-ming 刑名, lit. "punishments and their names", i.e., penological terminology; anciently hsing(1) and hsing(2) 形 "circumstances" were interchanged. Wang Ming-sheng (1722-1798), in his Shih-ch'i-shih Shang-chüeh, ch. 5, has shown that the phrase hsing(1)-ming originally read hsing(2)-ming, so that it should be translated as above. Ancient Chinese logic was concerned with the problem of the subsumption of particulars under general terms, i.e., the proof for the minor premise to a syllogismmises or the tree of Porphyry; the Chinese school of "circumstances and names" discussed problems of subsumption. Since this problem was chiefly treated in connection with legal cases, in which the discussion was, the name (ming) under which to subsume the acts (hsing) of the accused, the phrase hsing2-ming consequently came to be written as hsingming, i.e., the more general problem of logical subsumption came to be identified with its most common particular case, the identification of the particular crime under which the acts of an accused person were to be subsumed, i.e., penological terminology. Cf. also Duyvendak, The Book of Lord Shang, pp. 101, 327-335. and that [his father's] great courtiers, Yang Yün, Kai The Southern Academy ed. (1528-31), the Fukien ed. (1549), the Official ed. (1739), and the Wang ed. (1546) write this surname as Kai 葢; the Ching-yu ed. (1034-5) writes Ho 盇. Wang Nien-sun (1744-1832) remarks that anciently ho was borrowed to use for kai, and that the surname of Kai K'uan-jao was anciently pronounced ko 公盍反, so that these two words could be interchanged. The Yi-wen Lei-ch'u (by Ou-yang Hsün, 557-641), "Birds", A, quotes the Han-shih Wai-chuan (by Han Ying, fl. 179-141 B.C.) as writing the surname of a man by the name of Kai Hsü as Ho 盍胥. Wang Nien-sun says that in this place in the "Annals" the word ho has been emended to kai by persons who did not understand that these two words were anciently interchanged. Chou Shou-ch'ang (1814-1884) adds that there is a stele of T'ang times to a certain Kai Wen-ta, in which his surname is written ho, and that in Heng-shui 衡水 Hsien, Chihli, the vulgar pronunciation for the surname Kai is Ho 合. Karlgren, (Grammata Serica 642, n and q) gives for both ho and kai the archaic pronunciation g'âp. K'uan-jao and others, had been sentenced for critical and derogatory sayings, which were made crimes, so that they were executed. [Hence] once when he was waiting upon [Emperor Hsüan] at a banquet, he said, with a deferential bearing, "Your Majesty is too severe in applying the laws. It would be proper to employ Confucian masters [in your government]."

Emperor Hsüan changed color and said, "The Han dynasty has its own institutes and laws, which are variously [taken from] the ways of the Lords Protector and the [ideal] Kings. T'ai-p'ing Yü-lan (978-983) 89: 6a quotes this sentence with the word 理 after the 雜. "The ways of the Lords Protector (pa)" is the technical term used by Mencius for non-Confucian teaching; "the ways of the ideal kings" refers to the Confucian doctrines; cf. Fung Yu-lan, History of Chinese Philosophy, I, 112. How could I trust The Ching-yu ed. and the Official ed. read 任; Wâng Hsien-ch'ien reads 住, noting that Ch'ien Ta-chao approves the former reading. purely to moral instruction and use [the kind of] government [exercised by] the Chou [dynasty]? The vulgar Confucians moreover do not understand what is appropriate to the time; they love to approve the ancient and disapprove the present, making people to be confused about names and realities, so that they do not know what they should cherish. How could they be capable of being entrusted with responsibility?" Thereupon he sighed and said, "The one who will confound my dynasty will be my Heir-apparent."

From this [time on], he became distant to his Heir-apparent and loved [another son], the King of Huai-yang, [Liu Ch'in]. He said, "The King of Huai-yang is intelligent concerning, has examined minutely, and loves the laws. He is worthy to be my son." Since, moreover, the King's mother, the Favorite Beauty [née] Chang, was favored the most, the Emperor had the intention of making the King of Huai-yang [his heir] in place of the Heir-apparent. But when [the Emperor] had been young, he had depended upon the Hsü clan, [that of the Heir-apparent's maternal grandfather], together with whom [the Emperor] had arisen from an unimportant station, hence in the end he was not [willing] to turn his back on it [by changing his Heir-apparent].

In [the year-period] Huang-lung, the first year, Cf. HS 8: 24b.in the twelfth month, Emperor Hsüan died; on [the day] kuei-szu, the Heir-apparent ascended the imperial throne and was announced in the Temple of [Emperor] Kao. He honored the Empress Dowager [née Shang-kuan] with the title, Grand Empress Dowager, and the [Ch'iung-ch'eng] Empress [née Wang] with the title, Empress Dowager. T'ai-p'ing Yü-lan 89: 6b quotes Ying Shao's (ca. 140-206) Han-kuan-yi as saying, "In the time of [Emperor] Hsiao-wu, the Son of Heaven and his subordinates did not yet wear conical caps 幘, [which cover the hair]. Above his forehead, Emperor Yüan had stiff hairs, and did not wish to let people see them, hence he for the first time employed a conical cap. All the officials followed him [in this practise]." These stiff hairs are also mentioned in HS 97 B: 12b(1).

In [the year-period] Ch'u-Yüan, the first year, in the spring, the first month, on [the day] hsin-ch'ou, Emperor Hsiao-hsüan was buried in the Tu Tomb, Fu Tsan (fl. ca. 285) comments, "From his death to his burial was altogether 28 days." and there were granted: to the vassal kings, the princesses, and the full marquises, actual gold; Sung Ch'i (998-1061) notes that the Ancient text (before vii cent.) lacked the word 黃; Han-chi 21: 1a (by Hsün Yüeh) also lacks it. and to officials [ranking at] two thousand piculs and under, cash and silk; to each proportionately. A general amnesty [was granted] to the empire.

In the third month, [the Emperor] enfeoffed the older brother of the [Ch'iung-ch'eng] Empress Dowager [née Wang], the Palace Attendant and General Cf. HS 18: 16b; 27 Ba: 13a, trans. in 100 A: n. 16.2. of the Gentlemen-at-the-Palace, Wang Shun(4a), as Marquis of An-p'ing, and on [the day] ping-wu he established the Empress née Wang [as Empress]. The public [plowed] fields, together with the parks which could be dispensed with in [the districts of] the Three Adjuncts and the Grand Master of Ceremonies and in the commanderies and kingdoms, were used to assist the poor people in their occupations; to those whose property did not amount to fully one thousand cash there were given loans of seed and food. [The Emperor] enfeoffed as the Marquis of P'ing-en the Regular Palace Attendant Hsü Chia, the son of the full brother to [the Emperor's deceased] maternal grandfather, Marquis Tai of P'ing-en, [Hsü Kuang-han], to uphold the [ancestral sacrifices that should be performed by] the posterity of Marquis Tai.

In the summer, the fourth month, an imperial edict said, "We have received [the opportunity to continue] the sage succession of [Our] deceased [ancestors], the emperors, and have obtained [the opportunity] to uphold [the sacrifices in the imperial] ancestral temples, [in doing which We have been] fearful and circumspect. [But] recently the Earth has shaken several times and has not been quiet. [We] are dismayed by the warnings of Heaven and Earth, not knowing for what reason [they have come]. It was just at the time for cultivating the fields, and We are solicitous lest the multitude of ordinary people should lose [the results of] their work. [Hence We] in person send the Imperial Household Grandee Pao(1a) and others, twelve persons [in all], to travel about and inspect the empire, to visit and inquire about the common people who are aged, widowers, widows, orphans, childless, in suffering, indigent, or unemployed, to invite and present [to the throne] capable and distinguished [persons], to summon and make appear [worthy persons in] poor or mean [conditions], A reminiscence of Book of History I, iii, 12 (Legge, p. 26). and to use the opportunity to observe the development of [the people's] customs. If the Chancellors [of kingdoms], the Administrators [of commanderies, and the officials ranking at] two thousand piculs can in truth make themselves upright and toil to make known clearly [Our] instruction and transforming influence, in order that [We] may come close to all the people , then within the six directions Wei Chao says, "The six directions are Heaven [above], Earth [beneath], and the four cardinal points." [all will live in] peace and friendship, almost without any worries. Does not the Book of History say, `When the legs and arms [of the Emperor, i.e., the officials] are good, All business will be happily performed'? Book of History I, iv, iii, 11 (Legge, p. 90). [Let] this be published and made known to the empire, to cause Our intentions to be made clearly known."

It also said, "East of the [Han-ku] Pass, the grain has not ripened this year and many of the common people are suffering or indigent. Let it be ordered that those kingdoms and commanderies which have been injured severely by this calamity shall not pay the land or capitation taxes, and that [the revenues of] the rivers, the Ocean, the reservoirs, the lakes, the gardens, and the ponds which are under the supervision of the Privy Treasurer shall be used to lend to poor people and [they shall] not pay the land or capitation taxes. [We] grant: to those enregistered as belonging to the imperial house, [from] one horse to two quadrigae of [horses to each]; to the Thrice Venerable and the Filially Pious, five bolts of silk; to the Fraternally Respectful and the [Diligent] Cultivators of the Fields, three bolts; to widowers, widows, orphans, and childless, two bolts; and to the officials and common people of fifty households, an ox and wine."

In the sixth month, because the common people were [suffering from] sickness and pestilence, [the Emperor] ordered the Grand Provisioner to diminish the [imperial] food, [ordered the regular number of] persons in the Bureau of Music reduced, and dispensed with the horses of the pastures, Wang Hsien-ch'ien (1842-1918) suggests that these "horses of the pastures" were those established by Emperor Ching (24 A: 15b). The Han-kuan-yi (by Ying Shao), A: 11a, says that the various imperial pastures were located in 36 places on the northern and western borders, where 300,000 horses were raised. HHS, Tr. 25: 9b, 10a says that these pastures were located in the six commanderies of Ho-hsi (present Ninghsia and Kansu). They must have been reestablished after Emperor Yüan's disestablishment, for they are mentioned in HS 19 A: 12b; in 19 A.D., Wang Mang had his high officials pay for rearing horses in these pastures (HS 99 C: 4b), and they were again disestablished by Emperor Kuang-wu (HHS, Tr. 25: 10a). in order to assist the suffering and indigent.

In the autumn, the eighth month, more than ten thousand surrendered northwestern barbarians (Hu), [who had been under the supervision of the Chief Commandant] of Dependent States in Shang Commandery, escaped and entered Hun [territory].

In the ninth month, in eleven commanderies and kingdoms east of [Han-ku] Pass, there was high water and famine so that there were cases of people eating one another. Cash and grain from neighboring commanderies were transported to succor them. An imperial edict said, "Recently the Yin and Yang have not been in accord, so that the many people have [suffered] famine and cold, and there has been no means of safeguarding peace and good order. Verily, [Our] virtue is shallow and thin, insufficient to fill or enter into the old [imperial] dwellings. An allusion to Analects XI, xiii, 2. Yen Shih-ku explains that the Emperor is saying in humility that he is not worthy of occupying the palaces or rooms of his imperial ancestors. In 11: 1b Emperor Ai similarly says he is not worthy of occupying the Heir-apparent's palace. Let it be ordered that the palaces and lodges which the emperor rarely favors [with a visit] shall not be repaired or prepared, that the Grand Coachman shall reduce the grain for feeding his horses, and that [the Chief Commandant of] Waters and Parks shall dispense entirely with Yen Shih-ku remarks," Chien 減 means reducing its number; sheng 省 is dispensing entirely with it." the flesh for feeding the animals [in the Shang-lin Park menagerie and elsewhere]."

In the second year, in the spring, the first month, [the Emperor] traveled and favored Kan-ch'üan [Palace with a visit, where he performed] the suburban sacrifice at the altar to the Supreme [One]. He granted to the common people of Yün-yang [Commandery] one step in noble rank and to the women of a hundred households an ox and wine.

[In the second month], The Chinese characters for the words in brackets seem to have dropped out of the text, for HS 14: 23a lists the appointment of Liu Ching in the second month on the day ting-szu (Apr. 18), which day did not occur in the first month. he established his younger brother, [Liu] Ching(4), as King of Ch'ing-ho. In the third month, he established [Liu] Pa, the Heir-apparent of King Li of Kuang-ling, [Liu Hsü], as King [of Kuang-ling].

An imperial edict [ordered] the disestablishment of the chariots, carriages, dogs, and horses [under control of] the Yellow Gate, of the [imperial] private gardens under [the supervision of the Chief Commandant] of Waters and Parks, of the Lower Park at Yi-ch'un(b), of the outer ponds of the Sharpshooters [who were under the supervision of] the Privy Treasurer, and of the hiding-places in the preserves, the ponds, and the fields [in the imperial parks]. Su Lin (fl. 196-227) comments, "Yen 嚴 is to camouflage 飾 buildings on the ponds, together with their regions." Fu Ch'ien (cf. 8: n. 9.3) explains yen-Yü 籞 as camouflaged bird-traps in the reservoirs and fields. Chin Shao (fl. ca. 275) says, "Yen-Yü are the parks for shooting. Hsü Shen [d. 121, in his Shuo-wen 5 A: 3b] says, `Yen are where fowlers and archers hide themselves.' Ch'ih-t'ien 池田 are the cultivated fields within the parks," and Yen Shih-ku says that Chin Shao's explanation is correct. Ch'ien Ta-chao (1744-1813) says that yen is the ancient word ### and that Yü are the prohibited parks. Cf. 8: 9a for a similar edict. They were lent to the poor people.

An imperial edict said, "Verily, [We] have heard that when a capable and sage [ruler] is on the throne, the Yin and Yang are harmonious, the wind and rain are timely, the sun and moon are brilliant [without eclipses], the stars and zodiacal signs are in repose, and the many people are prosperous and peaceable and end in old age [the days allotted to them by] their fate. Now that We have respectfully succeeded to [the care of] Heaven and Earth and have been confided with [a place] above that of the highest nobles, [Our] understanding has not been able to light up [the universe and Our] virtue has not been able to tranquillize [it, so that] visitations and prodigies have arrived simultaneously and have not ceased for successive years. Moreover, in the second month, on [the day] mou-wu, there was an earthquake in Lung-hsi Commandery, Ch'ien Ta-chao says that since this earthquake is mentioned in the edict, it was omitted from the annals of the second month, in order to avoid repetition. A second earthquake seems to have happened in the third month (cf. n. 4.3), so that the annals Pan Ku was using as a source for this chapter probably did not record earthquakes. which destroyed and made the wooden decorations on the wall of the [great] hall in the Temple of the Grand Emperor fall, Ch'ien Ta-chao comments, "The `Annals of Emperor Kao', in the tenth year, eighth month, [(1 B: 15b), contains] an ordinance that vassal kings should all establish temples to the Grand Emperor in their capital cities. [But] Lunplained how [Lung-hsi Commandery came] to have this temple. Moreover, according to the `Annals of Emperor Hui' [2: 3b] there was an ordinance that the commanderies and vassal kings should establish temples to [Emperor] Kao. Was the [temple] that was destroyed and made to collapse perhaps a temple to [Emperor] Kao?" ruined and demolished the inner and outer city walls and the official buildings of Huan-tao Prefecture, Yen Shih-ku says, "All places where there are yamens or courts are called szu 凡府庭所在皆謂之寺." together with the houses and buildings of the common people, and crushed to death a multitude of people.

"Mountains have fallen down and the earth has been rent, streams and springs have gushed For 湧 the Official ed. writes 涌. forth. Heaven has in truth sent down visitations to terrify and frighten Us and [Our] multitude. [Our] rule must be greatly deficient for the calamities [sent by Heaven] to have reached such [a magnitude]. Morning and night, [We] have been circumspect and fearful, [but] have not comprehended these great [unfortunate] vicissitudes. [We] have pondered deeply, [but] have been baffled and chagrined [that We] have not understood the [proper] order [of things]. Dr. Duyvendak explains, "If the Emperor had been able to observe the proper order of things in his action, nature would also have done so and there would have been no calamities." Recently for several years, there has been no good harvest, so that the great multitude are suffering and indigent, are unable to endure [the extremes of] famine and cold, and hence have become involved in punishments and chastisements. We pity them very much.

"[Let] those commanderies and kingdoms which have suffered severe visitations of earthquakes not pay the land or capitation taxes. [Let] an amnesty [be granted] to the empire. If there is anything [in the laws and ordinances] that can be suppressed, abolished, reduced, or dispensed with for the benefit of all people, [let] it be memorialized in detail, and let nothing be kept hidden. This sentence of the edict seems to be condensed from that recorded in 23: 16b; it was followed by the enactment on 9: 6b. [Let] the Lieutenant Chancellor, [Yü Ting-kuo], the [Grandee] Secretary, [Ch'en Wan-nien], and [officials ranking at] fully two thousand piculs recommend [persons who are] Accomplished Talents of Unusual Degree, gentlemen who [are able] to speak frankly and admonish unflinchingly, and We shall Ourself interview them."

In the summer, the fourth month, on [the day] ting-szu, [the Emperor] appointed his Imperial Heir-apparent, [Liu Ao], and granted: to the Grandee Secretary, [Ch'en Wan-nien], the noble rank of Kuan-nei Marquis; to [officials ranking at] fully two thousand piculs, [the noble rank of] Senior Chief of the Multitude; to those in the empire who would be the successors of their fathers, one step in noble rank; to each full marquis, two hundred thousand cash; and to Fifth [Rank] Grandees, one hundred thousand [cash].

In the sixth month, there was famine east of [Han-ku] Pass and in the region of Ch'i people ate each other. In the autumn, the seventh month, an imperial edict said, "For successive years there have been visitations and disasters, so that the common people are anaemic. Lit., "have a vegetable color, ts'ai-sê 菜色." Yen Shih-ku remarks, "The five [kinds of] grains were not harvested, so men ate only vegetables; hence their color changed for the worse." [We] are suffering and saddened in heart and have already [issued] an imperial edict [ordering] the officials to empty the storehouses and granaries, to open the warehouses and depots, to aid and rescue [the people], and to make grants of clothes to those who are cold.

"This autumn the grain and wheat have been considerably injured; within one year the Earth has twice shaken; The second earthquake is not recorded in this chapter or in ch. 27, but HS 36: 8a says, "In the third month, there was a great earthquake." The quake on Apr. 19 was then followed by another one. in Po-hai [Commandery] streams have overflowed and carried away and killed people. The Yin and Yang are not harmonious. Wherein lies the blame for these [circumstances]? In what way should the ministers be solicitous for this [situation]? Let them do their utmost to make known Our faults and not be silent about anything."

In the winter, an imperial edict said, "If a state is to prosper, [its ruler must] reverence his teachers and esteem his tutors. The former General of the Van, [Hsiao] Wang-chih, tutored [Us] to the eighth year, guiding [Us] by the Classics. His achievements are abundant. Let him be granted the noble rank of Kuan-nei Marquis with the income of an estate of eight hundred households; he shall pay court on the first and fifteenth of the month." Szu-ma Kuang (1019-1086), in his Tzu-chih T'ung-chien K'ao-yi 1: 13b, remarks, "HS 36: [8a] says, `Previously Hung Kung [and Shih Hsien] had memorialized that [Hsiao] Wang-chih and others should be sent to prison and it was so decided. [They were, however, not actually put in prison, but were pardoned and made commoners.] In the third month, there was a great earthquake.' Then [Hsiao] Wang-chih and the others had been degraded and dismissed in the spring, before the earthquake. [HS 36: 7a] also says, `That spring there were earthquakes. In the summer, a wandering star appeared among [the constellations] Mao, Chüan, and Shê. The Emperor was moved and became conscious of [his fault], so he issued an imperial edict granting to [Hsiao] Wang-chih the noble rank of Kuan-nei Marquis.' HS 78: [11b tells of the dismissal of Hsiao Wang-chih and the others by the Emperor, and adds], `Several months later an imperial edict of decree to the Grandee Secretary said, "If a state is to prosper [etc., quoting the edict in the text]. Let there be granted to [Hsiao] Wang-chih the noble rank of Kuan-nei Marquis." ' Probably [the writer of this] "Annals" saw that [Hsiao] Wang-chih died in the twelfth month, hence [mistakenly] placed this edict [just] before that [event]." Tzu-chih T'ung-chien 28: 5b accordingly dates the edict ennobling Hsiao Wang-chih in the fourth month, the first month of summer. There were thus two attacks upon Hsiao Wang-chih: the first in the spring, after which he was dismissed and later (probably in the summer) ennobled. Then in Jan./ Feb., Emperor Yüan was induced to order his imprisonment, in order to humble him, whereupon he committed suicide in order to avoid the disgrace of imprisonment. [But] in the twelfth month, the Chief Palace Writer, Hung Kung, [together with] Shih Hsien and others, slandered [Hsiao] Wang-chih [to the Emperor] and caused [Hsiao Wang-chih] to commit suicide.

In the third year, in the spring, [the Emperor] ordered that Chancellors of vassal [kings] should be ranked below [Grand] Administrators of commanderies.

[Because] the prefectures south of the mountains Shan-nan 山南 might be the name of a prefecture, but 64 B: 15a makes it plain that more than one prefecture revolted, so that this phrase should be taken as a common noun. in Chu-yai Commandery had rebelled, [the Emperor asked] the various officials generally for plans [to deal with this rebellion]; the Expectant Appointee, Chia Chüan-chih, considered that it would be proper to abandon Chu-yai [Commandery], in order to aid the common people [of northeastern China] in their famine of grain and vegetables. Thereupon Chu-yai [Commandery] was abolished.

In the summer, the fourth month, on [the day] yi-wei, The text adds, "The last day of the month," but this day could not have been the last day of the month; it was the eleventh day of the month. This date is also given in 27 A: 14b and in 75: 18b, both times without the word meaning "the last day of the month." Ch'ien Ta-hsin accordingly concludes that this word is an interpolation; I have omitted it in the translation. there was a visitation [of fire] in White Crane Lodge at the Mou Tomb. The imperial edict said, "Recently a visitation of fire descended upon a Lodge in the [funerary park of Emperor] Hsiao-wu. We tremble with respectful awe, being afraid and fearful and not comprehending [this] grievous vicissitude and prodigy. The blame [must lie] upon Us Ourself. The many high officials have, moreover, not yet been willing to tell Us [Our] faults to the end, so that [things] have been brought to this [pass]. How can they be awakened [to the situation]? The people have continued to meet with baneful distresses, so that there is no means of helping them. They have furthermore been molested and troubled by exacting officials and by being held down and tied to the details of written [laws], Su Yü (fl. 1913) remarks that the Emperor is referring to the same thing that Emperor Hsüan does in his phrase, "juggling the law in either direction [that suits them]" (8: 13a). Emperor Yüan did not care for profound investigations into `circumstances and their names' such as officials had been accustomed to make for Emperor Hsüan. Dr. Duyvendak points out that the repetition of hu 虖(= 乎) gives these phrases an explanatory character. so that they are not allowed to prolong their lives to a [natural] end. We pity them greatly. Let an amnesty [be granted] to the empire."

In the summer, there was a drought.

[The Emperor] established [Liu] Tsung, the younger brother of King Yang of Ch'ang-sha, [Liu Tan(4b)], as King [of Ch'ang-sha], and enfeoffed [Liu] Tai-tsung, a son of the deceased Marquis of Hai-hun, [Liu] Ho(4b), as Marquis [of Hai-hun].

In the sixth month, an imperial edict said, "Verily, [We] have heard that the way to tranquillize the people has its source in [tranquillizing] the Yin and Yang. [But] recently the Yin and Yang have been disordered and are in disaccord, so that the wind and rain have not been timely. We are not virtuous and hoped that among the highest ministers some would have the daring to speak to Us of [Our] faults. But now it has been otherwise. They have frivolously agreed [with Our ideas], have negligently followed [Our wishes], and have not been able to speak unflinchingly. There had been no lack of admonitions to the Emperor regarding Shih Hsien (cf. Introduction to this chapter and Glossary, sub voce), in spite of the danger of doing so, but Emperor Yüan was not open-minded regarding his favorite eunuch. We pity them greatly.

"[We] have long The Sung Ch'i ed. (ca. xii cent.) remarks that one ed. lacked the word 永. pondered that when the multitude of people are in famine and cold [some] have been sent far away from their fathers and mothers, their wives and children, to toil at unnecessary work or to act as guards in uninhabited palaces. [We] fear that this is not a way of aiding the Yin and Yang [to attain their harmony].

"Let the guards at Kan-ch'üan and Chien-chang Palaces be disestablished and [let each The Sung Ch'i ed. notes that the T'ang text (before xi cent.) and the Ching-te Academy ed. (1004-5) have the word ko 各 after the 衛. Han-chi 31: 9b likewise has it. Wang Nien-sun says that this ko is necessary for parallelism with the ko in the next clause. This disestablishment was the result of Kung Yü's advice, cf. 72: 14a. Chou Shou-ch'ang remarks that the reason the guard of Ch'ang-lo Palace was not also disestablished was that this Palace was then inhabited by the Grand Empress nee Shang-kuan. person] be ordered to go to [his home and devote himself to] agriculture. [Let] all the officials each reduce their expenses. [Let matters] be memorialized in detail without keeping silent about anything. [Let] the high officials exert themselves and not violate the prohibitions for the four seasons. [Let] the Lieutenant Chancellor, [Yü Ting-Kuo], and the [Grandee] Secretary, [Ch'en Wan-nien], each present the three [best] persons in the empire who understand the visitations and prodigies [caused by] the Yin and Yang." Ho Ch'uo (1661-1722) remarks that the vogue of the Yin and Yang doctrine and the doctrine concerning the conditions appropriate for each month began with Wei Hsiang (cf. 74: 5a ff) and flourished especially at this time. Cf. n. 9.4 and also Emperor Ch'eng's edict in 10: 6b. Thereupon a multitude [of so-called experts] discussed these matters; some were advanced and promoted and summoned to an [imperial] audience, and [each] The Sung Ch'i ed. notes that the Chiang-nan Text (x cent.) has only one jen 人, and Wang Nien-sun says that that reading is correct, for otherwise Yen Shih-ku's explanation of the jen-jen in the present text would be unnecessary. He says that the second jen has been added from conflation with 81: 5b, where both are read, and where Yen Shih-ku does not consider it necessary to explain the phrase. considered that he had divined the Emperor's opinion.

In the fourth year, in the spring, the first month, [the Emperor] traveled and favored Kan-ch'üan [Palace with a visit, where he performed] the suburban sacrifice at the altar to the Supreme [One]. In the third month, he [again] traveled and favored Ho-tung [Commandery with a visit, where he] sacrificed to Sovereign Earth. He granted an amnesty to the convicts in Fen-yin and granted: to the common people, one step in noble rank; to the women of a hundred households, an ox and wine; and to widowers, widows, and aged, silk. The places through which he passed were not to pay the land tax or capitation taxes. Wang Hsien-ch'ien remarks that 27 Bb: 6a notes a portent and that (according to 27 Ba: 26a and Bb: 6b), Wang Mang was born in this year.

In the fifth year, in the spring, the first month, [the Emperor] made the Baronet Baron Descendant of the Chou [Dynasty, Chi Yen-nien], the Marquis Who Succeeds to the Greatness of the Chou [Dynasty], with a rank next to that of the vassal kings.

In the third month, [the Emperor] traveled and favored Yung [with a visit, where he] sacrificed at the altars to the Five [Lords on High].

In the summer, the fourth month, a comet appeared in [the constellation] Shen, Williams, Observations of Comets, lists this comet as no. 49, but gives a different heavenly location. This may have been the comet said by Suetonius (De Vita Caesarum I, lxxxviii [Loeb ed., I, 119]) to have indicated the admission of Julius Caesar's soul into the ranks of the immortal gods. Cf. Chambers, Descriptive Astronomy, I, p. 556. and an imperial edict said, "Since We are inadequate [to Our position], the ranking [of persons] in their positions is not carefully scrutinized, and many offices have long been unoccupied and have not been filled with the [proper] persons, so that the great multitude has lost its hope [of good rulers. This situation] has affected August Heaven above, so that the Yin and Yang have produced grievous vicissitudes, hence [Our] fault has spread to the many common people. We are greatly dismayed at [this situation].

"Recently, for successive [years], east of [Han-ku] Pass there have occurred visitations and disasters of famine, cold, sickness, and epidemics, so that premature death has not [permitted the people] to live out their lives. Does not the Book of Odes say, `Wherever among others there was a great misfortune, I crawled on my knees to help them'? Book of Odes, I, iii, x, 4 (Legge, p. 57). "Let it be ordered that the Grand Provisioner shall not butcher daily and that each of his provisions be reduced by half. [Let] the imperial equipages and the horses that are fed be merely sufficient so that they do not fail in their proper business. Yen Shih-ku explains that the proper business of the imperial equipages is to transport the emperor to make offerings or sacrifices and to hunt, but not to go on pleasurable expeditions.

"Let there be abolished: the competitive games, Cf. HS 6: 27b and 6: appendix IV. the Palaces and Lodges in Shang-lin Park that are rarely favored with an imperial [visit], the Three Offices for Garments in Ch'i [Commandery], the offices for [public] fields in Po-chia, For the very interesting Three Offices for Garments, cfGlossary. sub voce. Concerning the office for public fields in Po-chia, Li Fei (prob. iii cent.) comments, "They had charge of renting the existing government fields to the common people and of collecting the rent and taxes. Hence there were established offices for cultivated fields and agriculture." the offices of the Salt and Iron [Government Monopoly], It was revived in the winter of 41 B.C., when revenue was needed. Cf. 9: 9a. and the Constantly Equalizing Granaries. Let no [restricted] number be established for the Disciples of the Erudits, in order to increase [the number of] students [in the Imperial University. The purpose of this order is explained by a sentence in HS 88: 6a, "Emperor Yüan loved the [Confucian] scholars and those who were able to understand one of the classics were all exempted." Thus the abolition of a definite number for the Disciples of the Erudits (who were teachers) meant that anyone who could pass an examination in any of the Classics would be given exemption from taxes and an allowance. Tzu-chih T'ung-chien 28: 10b, 11a couples this abolition with the exemption. The number of scholars exempted proved too great, however, for in 41 B.C. the number of the Disciples to the Erudits was limited to one thousand persons, and the commanderies and kingdoms were ordered to establish Retainers for the Five Classics, who were ranked at 100 piculs. Cf. 9: 9a. Thus a government school system for the provinces was inaugurated.

"Let] there be granted: to the members of the imperial house who are enregistered, [from] one horse to two quadrigae of [horses to each]; to the Thrice Venerable and the Filially Pious, five bolts of silk per person; to the Fraternally Respectful and the [Diligent] Cultivators of the Fields, three bolts; to widowers, widows, orphans, and childless, two bolts; and to the officials and common people of fifty households, an ox and wine.

"Let the punishments be reduced" in more than seventy matters. Pan Ku has plainly summarized this long edict at this point. HS 23: 16b (and 9: 4a) records that Emperor Yüan in his first years issued an edict requesting that the throne should be memorialized in detail concerning any penal laws that could be dispensed with. HHS, Mem. 24: 1b quotes a memorial of Liang T'ung, which says, "I saw that Emperors Yüan and Ai lightened the punishment of irrevokable death [sentence] by 123 matters, and reduced the death [sentence] by one degree, for those who with [their own] hand, killed others," and Li Hsien (651-684) quotes the Tung-kuan Han-chi (ii cent.) as saying, "Emperor Yüan, in the fifth year of [the period] Ch'u-Yüan, lightened the punishment for an irrevokable death [sentence in] thirty-four matters. Emperor Ai, in the first year of [the period] Chien-p'ing [6 B.C.], lightened the punishment for an irrevokable death [sentence in] eighty-one matters. Of these, forty-two matters [were concerned with] the killing of another by [one's own] hand, the death [punishment for which] was reduced one degree." Chou Shou-ch'ang remarks that after the fixing of the code, there were contradictory records of the number of matters that were abolished and that the "Annals of Emperor Ai" only records a general amnesty in the second year of Chien-p'ing, without saying anything about lightening punishments.

"Let there be expunged, for Imperial Household Grandees and under, down to Gentlemen-of-the-Palace, the ordinance [requiring punishment for those] who had made themselves responsible for their fathers, mothers, or own brothers or sisters. Ying Shao comments, "In former times, when [people] became responsible for each other, if one person had committed a fault, all must be sentenced for it." Yen Shih-ku adds, "[anking] higher, in order to accord them favorable treatment."

"Let it be ordered that the Retinue and those who serve within the Majors' [Gates] to the palaces shall be permitted [to secure] for their grandfathers, grandmothers, fathers, mothers, and older and younger brothers, registration [permitting them] to enter [the palaces]." Ying Shao comments, "The retinue were the eunuchs, together with the As Rapid As Tigers, the Feathered Forest, the Grand Physician, and the Grand Provisioner." But Yen Shih-ku says, "Ying [Shao's] explanation is mistaken. The Retinue were those who came near to the Son of Heaven; the Regular Attendants and followers were both such [persons]. Hence it says below [9: 7a], `shall examine and rank the Gentlemen and Retinue.' " Ying Shao says, " `Inside the Major's [gates]' means [inside] the inner gates of the palace. The Major had charge of the military. The meaning [of this phrase] is that their troops prohibited [entrance into the palace]." But Yen Shih-ku says, "The Major's gates were the outer gates of the palaces. The Commandants of the [Palace] Guards had eight encampments. The Captains and Majors of the Guard had charge of the [Palace] guards who patrolled and constantly guarded [the palaces]. Each face [of a palace] had two majors. Hence I say that the outer gates of the palace were the Major's gates." The Han-chiu-yi (by Wei Hung, fl. dur. 25-57) 1: 1a says, "When the Emperor occupies the ceremonial palaces, within the Major's [gates], the many officials go in and out according to their registrations. The encamped guard, whose quarters are all around, night and day [question them, saying], `Who are you? Why [do you come]?' " Wang Hsien-ch'ien approves of Yen Shih-ku's explanation and says that Ying Shao was mistaken on this matter. Ying Shao says, "The registers were two foot [long] bamboo slips, [on which] were recorded one's age, name, style, and features. These [registers] were hung up at the gate of the palace. [When anyone wanted to enter], this list was examined; if he corresponded [to the register], he was then permitted to enter." In a note to the Chou-li 3: 11b (Biot, I, p. 65), sub the Kung-cheng, Cheng Chung (5 B.C.?-A.D. 83) says, "[The sentence in the text of the Chou-li,] `He examines those who go out and in,' refers to [a situation] like that at the present time, when in the palace, . . . . unless one has a registration [to serve as] a permit, one is not allowed to enter into the palace or the gates of the Majors or of the Hall."

In the winter, the twelfth month, on [the day] ting-wei, the Grandee Secretary, Kung Yü, died. Ch'ien Ta-chao remarks that, [according to 66: 14a and 19 B: 36a], Grandee Secretary Ch'en Wang-nien died in this year, before Kung Yü did, but his death is not mentioned in the "Annals".

A Major of the [Palace] Guard, Ku Chi, [was sent] as an envoy to the Huns, [but] did not return. He was killed by the Hun Shan-Yü Chih-chih; the Chinese later took full vengeance for this murder. Cf. Glossary. sub voce.

In [the period] Yung-kuang, the first year, in the spring, the first month, [the Emperor] traveled and favored Kan-ch'üan [Palace with a visit, where he performed] the suburban sacrifice at the altar to the Supreme [One], and [granted] pardon to the convicts in Yün-yang [Commandery]. He granted: to the common people, one step in the noble rank; to the women of a hundred households, an ox and wine; and to the aged, silk. [Those places] through which he had passed in traveling were not The Sung Ch'i ed. notes that the Old text (before vi cent.) had the word 令 after 毋. to pay the land-tax or capitation taxes. Wang Hsien-ch'ien remarks that when the rites were over the Emperor stopped to hunt, and at that time accepted an admonition of Hsieh Kuang-tê, then returned to the capital on the same day. Cf. 71: 8b.

In the second month, an imperial edict [ordered] the Lieutenant Chancellor, [Yü Ting-kuo], and the [Grandee] Secretary, [Hsieh Kuang-tê], to recommend persons who were simple and straightforward, sincere and honest, humble and yielding to others, and who showed good behavior. The [Superintendent of] the Imperial Household should yearly examine and rank the Gentlemen and [Imperial] Retinue according to these [four qualities]. Ch'i Shao-nan (1703-1768) states that the use of the phrase, "chü Kuang-lu szu-hsing 擧光祿四行, recommended by [the Superintendant of] the Imperial Household [as possessing] the four [kinds of] behavior," began with this edict. HHS, Mem. 54: 2a recounts that Wu Yu, "[because he possessed] the four [kinds of] behavior [examined for by the Superintendant of] the Imperial Household, was promoted to be Chancellor to the Marquis of Chiao-tung", and Li Hsien (651-684) quotes Han-kuan Yi A: 8a (by Ying Shao) as saying, "The four [kinds of] behavior are sincerity and honesty, simplicity and straightforwardness, humility and yielding to others, and self-restraint and economy," i.e., the ones enumerated in Emperor Yüan's edict, to which are added 節儉 (restraint and economy). Ch'i Shao-nan continues, "Probably in the time of the Han [dynasty, the Imperial] Retinue at the court was all subordinate to the Superintendant of the Imperial Household. The Grand Palace Grandees, the Palace Grandees, the Grandee-remonstrants, together with the Gentlemen-consultants, the Gentlemen-of-the-Household, the Gentlemen-in-attendance, and the Gentlemen-of-the-Palace numbered as many as a thousand persons, hence [the Emperor] ordered the Superintendant of the Imperial Household to rank them according to their capacities." Ho Ch'uo (1661-1722) remarks that this practise is referred to in Chou-li 3: 10a (Biot, I, pp. 63f), sub the Tsai-fu, which says, "in the first month of the year, . . . . he writes down those [of the palace officials] who are capable, and those who are good [in conduct], and thereby gives information [of that report] to his superiors, [the Hsiao-tsai and the Ta-tsai]." Cheng Chung (5 B.C.?-A.D. 83), in a note to that passage, however, says that this practise "is like the recommending at the present time of the filially pious and incorrupt, the capable and good, the sincere and upright, and the Accomplished Talents of Unusual Degree." This practise consisted in adding a second and moral examination to the first and literary examination in the civil service system.

In the third month, an imperial edict said, "The Five Lords and the Three Kings gave office to the capable and employed the able in order to attain to extreme tranquility. Yet how could the misgovernment of today [come from the fact that] these common people are different [from those of ancient times]? An allusion to Analects XV, xxiv, 2, where Confucius says, "These common people [of today are the same as those who supplied the ground] whereby the three dynasties pursued their straight forward course." The blame lies in Our lack of intelligence and lack of means in becoming acquainted with capable [persons]. For this reason flatterers are in office and `admirable gentlemen' An allusion to the same phrase in Book of Odes III, ii, viii, 7 (Legge, p. 493). are prevented [from securing office] and hide themselves. [These evils] are aggravated by the corruption For 弊, the Official ed. reads 敝. [coming from] the Chou and Ch'in [periods], so that the common people are being permeated with despicable customs. They depart from the rules of proper conduct and right principles, and [as a result] bring upon themselves the punishments of the law. Is not this indeed sad? Looking at it in this way, what guilt has the great multitude?

"Let an amnesty be granted to the empire and [let] it be ordered that [the people to whom amnesty has been granted] shall improve their personalities, renew themselves, and each pay attention to cultivating his acres. [Let] those [amnestied people] who have no cultivated fields all be loaned [fields] and be made loans of seed and food the same as for [ordinary] poor people. [Let] there be made grants: to officials [ranking at] six hundred piculs and above, the noble rank of Fifth [Rank] Grandee; to officials who are diligent in doing their duty, two steps [in noble rank]; to the common people, The text at this point has the four words meaning "who will be the successors to their fathers", but the Sung Ch'i ed. says that the Yüeh ed. (possibly xi-xii cent.) does not have these words. The Ching-yu ed. (1034-5) does not have them: Han-chi 22: 1b quotes this edict without them and with the word 民 instead. Wang Nien-sun suggests that these words have been derived from the edict which made grants at the appointment of the Heir-apparent, on 9: 4a, and are not suited to this place. The similar edicts making grants on pp. 9: 3a, 5b, 7a, 8a, 12a all grant to the common people one step in noble rank, but none of them restricts the grant to those who will be the successors of their fathers. In view of the textual difficulties and the uniform practise of making grants, I have excised these words in the translation. one step; to the women of a hundred households, an ox and wine; to widowers, widows, orphans, childless, and aged, silk."

In this month it snowed and there was a fall of frost which injured the wheat harvest. Chin Shao suggests that perhaps chia 稼 (harvest) should be sang 桑 (mulberries) or possibly 霖 (prolonged rain). The Southern Academy ed. and the Fukien ed. have emended chia to sang. HS 27 Bb: 15a says, "In the third month, frost fell, killing the mulberries; in the ninth month [Oct.], frost fell for two days, killing the harvest, and there was a great famine in the whole empire." HS 27 Cb: 17a says, "In the fourth month [May/June], the color of the sun was pale blue and it cast no shadows; when it was exactly at the zenith it cast shadows [but] showed no brilliance. That summer was cold. In the ninth month [Oct.], the sun, however, showed brilliance."

In the autumn, it was abolished. Ju Shun (fl. cur. 189-265) remarks, "It ought to say what office or what matter was abolished; [the manuscript] has been injured and [part] lost." Chin Shao, however, suggests that possibly the word 稼 should either be deleted, or should come after the word or "autumn", and says that it means, "[The frost] injured the wheat harvest and in the autumn [the people] were reduced to the last extremity," which interpretation, implying the famine (cf. n. 7.10), is approved by Yen Shih-ku. But Liu Pin (1022-1088), Shen Ch'in-han (1775-1832), and Chou Shou-ch'ang approve Ju Shun's interpretation. The latter argues that Chin Shao's interpretation is impossible and points out that in 6: 11a and 10: 3a, where the phrase, "In the autumn, it was abolished," is found, what is abolished is each time specified. HS 19 B: 38a states that on Aug. 21 the Commanderin-chief and the General of Chariots and Cavalry, Shih Kao, was dismissed; Shen Ch'in-han says that perhaps the phrase "in the autumn it was abolished" refers to that dismissal. HS 19 A: 8a states, "In the first year of [the period] Yung-kuang, the various [imperial] tombs and their towns, [which had previously been under the charge of the Grand Minister of Ceremonies], were divided and put under the charge of the Three Adjuncts;" Shen Ch'in-han also suggests that "in the autumn it was abolished" should be emended to add the abolition that "the Grand Master of Ceremonies should have charge of the [Imperial] tomb prefectures." But the latter event is separately recorded on 9: 10a. Ju Shun's explanation seems the only satisfactory one.

In the second year, in the spring, the second month, an imperial edict said, "Verily, [We] have heard that when T'ang [Yao] and Yü [Shun employed] punishments [which merely portrayed] the likenesses [of the mutilating punishments in criminals' clothing], For this legend, cf. 6: 4b and 6: Appendix II. the common people did not transgress, and when the Yin and Chou [dynastic] laws were put into practise, The Sung Ch'i ed. notes that the T'ang text (before xi cent.) inverts the words to read 行法. evil-doers and traitors submitted. Yen Shih-ku, (repeating a statement of Cheng Hsüan), says, "Disorder outside [of the court] is called chien 姦; inside [the court], it is called kuei 軌 [or 宄]." But elsewhere chien is defined in the way he defines kuei and kuei is defined as he defines chien. Now We have had the opportunity of succeeding to the great The Sung Ch'i ed. remarks that one text did not have the word 洪. patrimony of the Eminent Founder, [Emperor Kao], and have been entrusted with a position above that of the highest nobles. Morning and night [We] have trembled with respectful awe, pondering long on the necessities of the people, which [We] do not allow to leave [Our] mind. But the Yin and Yang have not yet accorded [with each other], the three luminaries have been veiled and indistinct, For the "three luminaries", cf. 100 B: n. 21.4; for the meteorological phenomena, cf. 9: n. 7. 10. the great multitude have suffered greatly, have wandered, and have been scattered on the highways and paths. Robbers and brigands have arisen simultaneously. The high officials are, moreover, habitually injurious and hard [upon the people] and have been defective in the art of shepherding the common people. The foregoing is all [because of] Our lack of insight and [because Our] government shows a deficiency. [Since Our] faults have produced such [a situation], We are very much ashamed of Ourself. If [We], the father and mother of the common people, have been so incapable, what [can We] say to [Our] subjects?

"Let a general amnesty [be granted] to the empire, and [let there be] granted: to the common people, one step in noble rank; to the women of a hundred households, an ox and wine; to widowers, widows, orphans, childless, aged, the Thrice Venerable, the Filially Pious, the Fraternally Respectful, and the [Diligent] Cultivators of the Fields, silk. [Let there] also be granted: to the vassal kings, the princesses, and the full marquises, actual gold; to the [officials ranking at] fully two thousand piculs and those of lower [rank] down to the chief officials in the offices at the imperial capital, [money], to each proportionately; to the officials [ranking at] six hundred piculs and above, the noble rank of Fifth [Rank] Grandee; to each official who is diligent in doing his duty, two steps [in noble rank]."

In the third month, on [the day] jen-hsü, the first day of the month, there was an eclipse of the sun. Cf. Appendix III. The imperial edict said, "We have been trembling and in respectful awe, day and night thinking of [Our] faults and defects, and have not dared to be negligent or at peace. [We] have pondered that the Yin and Yang have not been harmonized and [We] have not yet [secured] enlightenment [concerning what is] to blame. [We] have frequently ordered the ministers [to find where the fault lies] and have daily hoped that [Our efforts] would bring results.

"Down to the present, the [high] officials who control the government have not yet attained to the mean [in their government]. In their grants and gifts [of favor] and in their prohibitions and sentences, they have not yet accorded with the opinions of the common people. Violent and cruel customs increase more and more, and ways of peace and friendliness are daily enfeebled, so that the people are sad and suffering, with no place to rest themselves.

"For this reason evil emanations have yearly increased and have encroached upon and violated the great Yang [being, the sun], so that good emanations have been submerged and arrested, and the sun for a long time has been robbed of his light. Recently, on [the day] jen-hsü, there was an eclipse of the sun--- Heaven made a great prodigy appear in order to forewarn Us Ourself. We are very much saddened. Let it be ordered that the inner Cf. 8: n. 4.4. commanderies and kingdoms should each recommend one gentleman who is an Accomplished Talent of Unusual Degree [or] who is capable, good, and [able to] speak frankly."

In the summer, the sixth month, an imperial edict said, "Recently for consecutive years, [the harvest] has not been gathered and the four quarters [of the empire] are all suffering. The great multitude of common people work hard at plowing and weeding, but it does not produce any results, so that they suffer from a famine of grain and vegetables, and there is no means by which they can be saved. We are the father and mother of the people, [but Our] virtue is not able to protect them. Yet [We must at times] punish them, which hurts Ourself greatly. Instead of 有, Han-chi 22: 6b has 加, making the meaning clearer. Let an amnesty [be granted] to the empire."

In the autumn, the seventh month, the Western Ch'iang rebelled, and [the Emperor] sent the General of the Right, Feng Feng-shih, to attack them. In the eighth month, the Grand Master of Ceremonies, Jen Ch'ien-ch'iu, was made the General Displaying his Majesty, HS 79: 4b entitles him the General Displaying his Military [Might] 奮武將軍. Han-chi 22: 8b quotes his title as in ch. 9; Tzu-chih T'ung-chien 28: 20a quotes it as in ch. 79. with a separate command over five colonels. He advanced together with [Feng Feng-shih]. HS 27 Bb: 7a says, "In the eighth month, Heaven rained plants like rushes knotted together, as large as crossbow-pellets."

In the third year, in the spring, the Western Ch'iang were pacified and the armies were demobilized.

In the third month, [the Emperor] set up his Imperial Son [Liu] K'ang as King of Chi(4)-yang.

In the summer, the fourth month, on [the day] kuei-wei, the Commander-in-chief and General of Chariots and Cavalry, [Wang] Chieh(5), died.

In the winter, the eleventh month, an imperial edict said, "Recently, in the second [month] of winter [i.e., the eleventh month], HS 27 Ca: 9a says, "In the winter, there was an earthquake." Wang Hsien-ch'ien says that the words 中冬 have been transposed, in transmitting the text, from just above the words chi-ch'ou. on [the day] chi-ch'ou, there was an earthquake and a rain of water and a great fog. Robbers and brigands have arisen simultaneously; why do not the officials conform to the prohibitions for the seasons? Yen Shih-ku points out that the reference is to the ordinances for the months, the sort of thing now expressed in Bk IV of the Li-chi, the "Yüeh-ling." As an example of the prohibitions for the seasons in Former Han times, there is the long reply of Li Hsün to Emperor Ai in HS 75: 24b-31a, which says in part, "The zodiacal signs and the stars rule the four seasons. . . . . When the four seasons lose their order, then the zodiacal signs and the stars produce prodigies. Now they have appeared in the first month of the year. Heaven has therefore sent them to give information to your Majesty. . . . . Moreover, the [government] orders and ordinances have not accommodated themselves to the four seasons. . . . . Recently when in the spring, the third month, a trial involving capital punishment was decided, at that time, the Robber (Tsê) [Star, the essence of Venus] retrograded, so that it was to be feared that the year would bring a small harvest. When, in the third month of summer, military punishments were applied, at that time a cold emanation responded, so that it was to be feared that latts of noble ranks were made, in those months the ground was wet and damp, so that it was to be feared that later there would be vicissitudes of thunder and hail." Let each one express his whole mind in reply."

In the winter, Wang Hsien-ch-ien thinks that the word for "winter" is an interpolation here; but perhaps Pan Ku did not know the exact date for this reestablishment, so dated it generally "in the winter." there were reestablished the offices of the Salt and Iron [Government Monopoly] and a [restricted] number for the Disciples of the Erudits, because the [government] income was insufficient and too many of the common people had been exempted, so that there were not [enough persons] to furnish the required labor and required military service in the central [states] and at the borders. These two institutions had been abolished in May/June 44 B.C. Cf. 9: 6b and n. 6.5. According to 88: 6a, the number for the Disciples of the Erudits was fixed at a thousand. The commanderies and kingdoms also established officials for the Five Classics, ranking at 100 piculs, who were teachers of local government schools.

In the fourth year, in the spring, the second month, an imperial edict said, "We have succeeded to the cares of the most honorable [station, yet We] have not been able to enlighten or direct the people aright. Baneful calamities have frequently occurred, added to which the border regions have not been at peace and the armies [have had to be sent] out of [the border, so that, because of] taxes and transportation [of supplies], the great multitude have been troubled and agitated, are exhausted and suffering without any assistance, and have violated the laws and fallen into crime. Verily, their superiors have failed in their duty and have drawn their inferiors deeply into punishment. We are greatly afflicted by this [situation]. Let an amnesty [be granted] to the empire. [Let] their debts not be collected from the poor people to whom loans were made."

In the third month, [the Emperor] traveled and favored Yung [with a visit, where he] sacrificed at the altars to the Five [Lords on High].

In the summer, the sixth month, on [the day] chia-hsü, there was a visitation [of fire] to the Eastern Portal of the Funerary Park of [Emperor] Hsiao-hsüan, HS 27 A: 14b says, "On [the day] chia-hsü, there was a visitation [of fire] to the southern part of the Eastern Portal to the Funerary Park of the Tu Tomb for [Emperor] Hsiao-hsüan." and on [the day] mou-yin, the last day of the month, there was an eclipse of the sun. The imperial edict said, "Verily, [We] have heard that when an intelligent king is in control and faithful and capable [subordinates] display [a proper attention to] their duties, the many living things are in harmony and rejoice, and [even those] outside the [empire at the four] quarters receive benefits.

"[But] now We are ignorant about the Way of [true] kings. Day and night [We] have solicitously toiled, [yet We] have not penetrated to its principles. There is nothing that [We] have looked at which has not been confused and nothing that [We] have heard that has not been misleading. For this reason many of the governmental ordinances have been returned, Li Ch'i (fl. ca. 200) comments, "Huan 還 [means] to return. The Book of Changes [6: 7b; Hex. 59, 5; Legge, p. 195; Wilhelm, I, 173] says, `Dissolving as perspiration are his great proclamations.' It means that when an [ideal] king sends out his proclamations and gives forth his ordinances, they are like perspiration which goes forth and cannot return." Han-chi 22: 9b writes 違 for huan, "[Our] instructions and ordinances have been disobeyed." Since an imperial ordinance, once issued, cannot be returned, "returned" means "disobeyed". the affections of the common people have not been secured, erroneous explanations have been vainly presented, and nothing has been achieved. The foregoing is what [everyone in] the empire has heard openly.

"The ministers and grandees are not alike in their likes and dislikes; some associate with the wicked and act corruptly, encroaching upon and extorting from the uninfluential common people---how can the great multitude find refuge for their lives? Thereupon, on the last day of the sixth month, there was an eclipse of the sun. Does not the Book of Odes say, `Now these lower [classes of] the common people Are in a very deplorable [situation]'? Book of Odes, II, iv, ix, 1 (Legge, p. 321). "From this time and henceforth, let the ministers and grandees exert themselves and think upon Heaven's warning. [Let] them be careful of themselves and cultivate far-reaching [thoughts], An allusion to Book of History II, iii, i, 1 (legge, p. 69). Yen Shih-ku (581-645) says that because this allusion was not understood, some vulgar copies have here interpolated the word 職 before the 永. in order to support [Us because of] Our inadequacies, speaking frankly their entire meaning and not keeping silent about anything."

In the ninth month, on [the day] mou-tzu, [the Emperor] abolished the funerary park of the Empress Szu [née] Wei, together with the funerary park of [Heir-apparent] Li, [Liu Chü]. Wang Hsien-ch'ien notes that 9: 12b records, under the sixth and seventh months of 34 B.C., the reestablishment, not only of these two funerary parks, but also of the three funerary parks for Empress Chao-ling, King Wu-ai, and Queen Chao-ai, and says that if this reestablishment is recorded, their abolition must also have been recorded. HS 73: 11b records the abolition of all five at the same time, together with the funerary park of Queen Li. Han-chi 22: 9b, 10a quotes in this year both the order for the abolition of these two funerary parks, dating it in the seventh month, and also that for the abolition of all six parks, taking them from HS ch. 73; Tzu-chih T'ung-chien 29: 2a dates the abolition of all six in the seventh month, on the day mou-tzu, Aug. 10. Wang Hsien-ch'ien says that probably the names of these other funerary parks have dropped out here. But possibly Pan Ku mentioned only two abolitions in his "Annals" in order to avoid undue duplication of matter in the "Memoirs". The abolition of these funerary parks and temples was due to the efforts of Kung Yü and Wei Hsüan-ch'eng, for the purpose of economy in the administration and to follow ancient practices. Cf. Introduction, pp. 288-289; 72: 15b; 73: 11b. In the winter, the tenth month, on [the day] yi-ch'ou, [the Emperor] disestablished the temples in the commanderies and kingdoms to the [Eminent] Founder, [Emperor Kao], and the [Great and Epochal] Successors, [Emperors Hsiao-wen and Hsiao-wu]. The various [imperial] tomb-[towns] were divided and put under the charge of the Three Adjuncts. Previously they had been under the Grand Master of Ceremonies; cf. n. 7.11Glossary. sub voce.

On the [northern] Wang Nien-sun notes that Han-chi 22: 10a has at this point the word for "northern", and says that it has dropped out of the present text. plain in the Shou-ling Commune section of Wei-ch'eng [prefecture] there was being made the Emperor's tomb, Fu Ch'ien (ca. 125-195) says, "[This was] the tomb established for Emperor Yüan. It did not yet have a name, hence it was called ch'u 初" The same word is found with this meaning again on this page and in 8: 11b and 11: 6a. and an imperial edict said, "It is the nature of the many common people to be contented with their locality and to consider transportation [to a different locality] as a serious matter. To have one's flesh and blood attached to [and near] oneself is what human affections desire. A short time ago, some high officials memorialized that, according to the principles [involved in the relationship of] a subject [to his ruler], common people from the commanderies and kingdoms should be transported [to Our tomb] to uphold [the sacrifices at Our] funerary park and tomb, [thus] causing the people to leave and abandon the tombs and mounds of their deceased ancestors, ruining their patrimonies and losing their property, [making] relatives to be divided and separated from each other, people [to be tormented by] thoughts of longing and affection, and families to have feelings of dissatisfaction. Ch'ien Ta-chao says that the Fukien ed. (1549) adds the word 自 in the middle of the phrase 不安. In this way the eastern extremities of the empire would suffer the injury of being depopulated and ruined and Kuan-chung would possess common people who have no resources, which is not an expedient [for one who plans] far ahead. Does not the Book of Odes say, `The common people have indeed been heavily burdened; Now they can be [given] a little ease. Favor this center of the country In order to give repose to the four quarters [of the country]'? Book of Odes, III, ii, ix, 1 (Legge, p. 495). "Let those who are now making the emperor's tomb not be [compelled to remain there and let them not be] established as [inhabitants of] the prefecture or estate [supporting this tomb, thus] causing all the empire to be satisfied with their localities, rejoice in their patrimonies, and have no feeling of being troubled or disturbed. [Let this edict] be published and announced to the empire, to cause it to be clearly understood." [The Emperor] also abolished the estate supporting [the tomb of] the father and mother, [Hsü Kuang-han and his wife], of the deceased Empress [Kuang-ai née Hsü]. HS 97 A: 23b states that the income of an estate of 300 families with a Chief and Assistant had been established by Emperor Hsüan for the support and care of the tomb for Hsü Kuang-han.

In the fifth year, in the spring, the first month, [the Emperor] traveled and favored Kan-ch'üan [Palace with a visit, where he] sacrificed at the altar to the Supreme [One]. In the third month, the Emperor favored Ho-tung [Commandery with a visit, where he] sacrificed at the altar to Sovereign Earth.

In the autumn, in Ying-ch'uan [Commandery], the streams overflowed, carrying away and killing people. HS 27 A: 22a says, "In the summer and in the autumn, there was high water in Ying-ch'uan, Ju-nan, Huai-yang, and Lu-chiang [Commanderies]. The rain destroyed the dwellings of the common people in the districts and burgs and the streams carried away and killed the people." That passage attributes this calamity to the Emperor's previous abolition of the imperial ancestral temples in the commanderies and kingdoms and his decision (given below) to abolish the older imperial ancestral temples in the capital. The officials and [imperial] retinue whose [native] prefectures had suffered injury were given a vacation, Fu Tsan writes, "Kao means to be given a vacation 告休假也." and the officers and soldiers [among the drafted men who came from those prefectures] were sent home.

In the winter, the Emperor favored [with a visit] the Lodge for Shooting Bears in Ch'ang-yang [Palace] and arrayed his chariots and horsemen for a great hunt.

In the twelfth month, on [the day] yi-yu, the funerary chambers, the temples, and the funerary parks of the Grand Emperor and of Emperor Hsiao-hui were done away with. These ancestors were considered so distant that the relationship to them had become exhausted. Their tablets were removed to the Temple of the Eminent Founder (Emperor Kao), where they were to be given a great sacrifice every five years. Thus only the five immediately preceding generations were separately sacrificed to. Cf. 73: 11b-13a. These funerary chambers, temples, and parks were reestablished in 34 and 33 B.C., but were done away with again in the latter year after Emperor Yüan's death. Cf. 9: 12b, 13a.

In [the period] Chien-chao, the first year, in the spring, HS 27 Cb: 25a says, "In the first month, on [the day] mou-ch'en [Mar. 13], six meteorites fell in the kingdom of Liang." the third month, the Emperor favored Yung [with a visit, where he] sacrificed at the altars to the Five [Lords on High].

In the autumn, the eighth month, from Tung-tu Gate to Chih-tao there were white butterflies flying in swarms that hid the sun. Dr. W. Schaus of the United States National Museum, Washington, D. C., writes that he has "never heard of migrations of moths (except the American Alabama argillacea Hübner, which migrates late in autumn), but the butterflies, especially species of Pieridae, have been observed in many parts of the world and are of frequent occurrence. The migrants are chiefly species of the Pierid genus Catopsilia, which are generally white or pale yellow, those of the latter color appearing white when in flight."

In the winter, the King of Ho-chien, [Liu] Yüan(2b), who had committed crimes, was dismissed and exiled to Fang-ling. He had murdered his concubines and their relatives. Cf. Glossary, sub voce.

The funerary chambers and funerary parks of the Empress Dowager [née Po of Emperor] Hsiao-wen and of the Empress Dowager [née Chao of Emperor] Hsiao-chao were abolished. These funerary chambers and parks were reestablished on Apr. 30, 33 B.C. and again abolished in the same year. Cf. 9: 13a.

In the second year, in the spring, the first month, [the Emperor] traveled and favored Kan-ch'üan [Palace with a visit, were he performed] the suburban sacrifice at the altar to the Supreme [One]. In the third month, [the Emperor] traveled and favored Ho-tung [Commandery with a visit, where he] sacrificed to Sovereign Earth.

[The Emperor] increased the rank of the Grand Administrators of the three Ho Commanderies [and of large] commanderies [to that of fully two thousand piculs. Han-chi 23: 1a, in copying this order, has the words, "fully two thousand piculs," which I have added in the translation. Wang Nien-sun says that previously Grand Administrators had been ranked at two thousand piculs, so that if their rank was increased, it could be only to fully two thousand piculs. In the next year, the salaries of Chief Commandants to the Three Adjuncts and to the large commanderies were likewise increased, they being ranked at two thousand piculs. The Official ed. has also emended the text by adding the word 大 before the 郡, which emendation seems necessary because of the next sentence and the first ordinance in the next year. Commanderies with] 120,000 households were made `large commanderies'. In the summer, the fourth month, an amnesty [was granted to the empire.

In the sixth month, the Emperor] set up his Imperial Son [Liu] Hsing The Sung Ch'i ed. says that the Yüeh ed. (xi or xii cent.) writes this man's personal name as 輿, and that according to his "Memoir" and the "Table", that reading is correct; but the present text of the HS in both those places, 80: 10a and 14: 23b, has Hsing as here. as the King of Hsin-tu(a).

In the intercalary month, on [the day] ting-yu, the Grand Empress Dowager née Shan-kuan died.

In the winter, the eleventh month, there was an earthquake and a great fall of snow in [the kingdoms of] Ch'i and Ch'u. HS 27 Bb: 13b adds that the snow was five feet deep, and attributes the calamity to Shih Hsien's machinations against Ching Fang and Chang Po. Trees were broken and houses fell in ruin. Chang Po, the maternal uncle of the King of Huai-yang, [Liu Ch'in], and the Grand Administrator of the Wei Commandery, Ching Fang, were sentenced for having led astray a vassal king by perverse notions, and having divulged [imperial] conversations [that occurred] in the inner palace apartments, [respectively. Change]Po was executed by being cut in two at the waist and [Ching] Fang was publicly executed. Cf. Glossary sub Liu Ch'in and the others.

In the third year, in the summer, [the Emperor] ordered that the Chief The Sung Ch'i ed. says that the T'ang text (before xi cent.) does not have the word 都. Commandants to the Three Adjuncts and the Chief Commandants in large commanderies The Sung Ch'i ed. says that the Old text (before vi cent.), the Chiang-nan ed. (x cent.), and the T'ang text do not have the word 郡. The [HS] K'an-wu (1034) added it. should be all ranked at two thousand piculs. Chou Shou-ch'ang says that previously these Chief Commandants were ranked at equivalent to two thousand piculs and received one hundred hu of grain per month; now, being ranked at two thousand piculs, they received 120 hu per month.

In the sixth month, on [the day] chia-ch'en, the Lieutenant Chancellor, [Wei] Hsüan-ch'eng, died.

In the autumn, the Chief Commandant of Cavalry who had been sent out as Protector-[general] of the Western Frontier Regions, Kan Yen-shou, and his Associate, Colonel Ch'en T'ang, by fraud mobilized the officials and troops of the agricultural garrison under the Mou-and-Chi Colonel, together with the northwestern barbarian (hu) troops of the Western Frontier Regions, and attacked Shan-Yü Chih-chih. In the winter, they cut off his head and sent it to the [imperial] capital, where it was hung on the gate of the Lodge for Barbarian Princes. For this very remarkable expedition, cf. Introduction to this chapter, pp. 281-283, and Glossary sub Ch'en T'ang; also H. H. Dubs, "An Ancient Military Contact between Romans and Chinese," Amer. Jour. of Philology, vol. 62, 3 (July, 1941), pp. 322-330; and "A Roman Influence upon Chinese Painting," Classical Philology, vol. 38, 1 (Jan., 1943), pp. 13-19.

In the fourth year, in the spring, the first month, because Shan-Yü Chih-chih had been executed, information was made [to the Lords on High] in the Suburban Sacrifice and in the sacrifices [to the imperial ancestors in their] Temples, and an amnesty was granted to the empire. The courtiers [wished] the Emperor long life. A feast was held [by the Emperor] and the documents and charts concerning [Shan-Yü Chih-chih] were shown [even] to the honored ladies in the [imperial] harem. Fu Ch'ien (ca. 125-195) comments, "They were the documents and charts concerning the punishment of [Shan-Yü] Chih-chih. Someone says they were the documents [giving] the configuration of the Shan-Yü's land, mountains, and streams." Yen Shih-ku asserts that the latter interpretation is mistaken. These documents and charts were probably the report of Ch'en T'ang, giving his account of his victory (now excerpted in HS 70: 7a-10b), together with the maps of his route (it was the practise of Han generals to make maps of unknown territories; Li Ling is specifically said to have done so, cf. HS 54: 11a and Glossary, sub voce), which maps, in this case, were either ornamented with or accompanied by paintings depicting the capture of the Shan-Yü's city; cf. J. J. L. Duyvendak in T'oung Pao, vol. 34, no. 4 (1939) pp. 249-264, "An Illustrated Battle Account in the History of the Former Han Dynasty," also ibid. 35: 211-214 and 36: 6480, "A Military Contact Between Chinese and Romans in 36 B.C."

In the summer, the fourth month, an imperial edict said, "We have succeeded to the glorious achievements of our imperial predecessors. Morning and night [We] have been respectfully attentive, fearing lest [We may] not be capable in [Our] duties. Recently the Yin and Yang have not The Sung Ch'i ed. says that the T'ang text (before xi cent.) reads 未 for the text's 不. accorded [with each other], and the five elements have lost their order, so that the people have been famished. [We] have been pondering that the multitude [of people] have lost their occupations and [We] have visited and sent the Grandee-remonstrant and Erudit Ch'ang and others, twenty-one persons [in all], to travel about and examine the empire, to visit and inquire about the aged, widowers, widows, orphans, childless, and the people who are indigent, suffering, or have lost their work, and to recommend gentlemen who are Accomplished Talents and have especial eminence. [Let] the chancellors, generals, and nine high ministers apply themselves with all their minds Wang Hsien-ch'ien remarks that 帥 and 率 were interchanged. He states that in the Yi-li, sub the 大射, the commentator says that in the ancient style, the second word was always written for the first. (We have not been able to find that passage.) He also says that in the HS the phrases Shuai-yi 帥意, shuai-yi, 率意, hsi-yi 悉意, and chin-yi 盡意, all mean about the same thing. Cf. also HFHD, I, 262, n. 2. and be not negligent, so that We shall be able to observe the propagation of [Our] instruction and civilizing efforts."

In the sixth month, on [the day] chia-shen, the King of Chung-shan, [Liu] Ching, died.

In Lan-t'ien [prefecture], there was an earth[quake and a mountain collapsed], Han-chi 23: 6b and Tzu-chih T'ung-chien 29: 13b add at this point the words 震山崩. Wang Nien-sun says that they have dropped out of the text and are needed to explain the event. T'ai-p'ing Yü-lan 880: 2a quotes this sentence with the first of these omitted words, and blames the portent upon the fact that Shih Hsien was controlling the government. and gravel and stones blocked the Pa River. At the An Tomb, the [river] bank collapsed and blocked the Ching River, so that its water flowed backwards.

In the fifth year, in the spring, the third month, an imperial edict said, "Verily, [We] have heard that when an intelligent king rules the country, he makes plain what to like and dislike and fixes what should be rejected and accepted; he exalts respectfulness and yielding [to others], and then the common people cultivate their conduct. Hence when his laws are instituted, the common people do not violate them, and when his ordinances are promulgated, the common people follow them.

"Now that We have secured [the opportunity to] protect the [Imperial] ancestral temples, [We] have been careful and fearful, and have not dared to be lax or negligent. [But Our] virtue has been slight and [Our] intelligence has been obscured, so that [Our] teaching and civilizing influence has been shallow and slight. Does not the Memoir say, `When the people commit faults, [the blame] rests upon Us'? Analects XX, i, 5; King Wu of the Chou Dynasty is speaking of the tyrant Chou. This sentence is quoted by the Analects from the Book of History V, i, ii, 7 (Legge, p. 292). Let an amnesty [be granted] to the empire and let there be granted: to the common people, one step in noble rank; to the women of a hundred households, an ox and wine; and to the Thrice Venerable, the Filially Pious, the Brotherly Respectful, and the [Diligent] Cultivators of the Fields, silk."

[The edict] also said, "Just now it is spring, the time when farmers and cultivators of silkworms begin their work, when the people unite The Official ed. has correctly emended 戮 to 勠. their forces and use their energies to the utmost. Hence in this month [We] encourage the farmers and exhort the common people not to permit themselves [to leave their work undone until] after [the proper] time.

"[But] now evil The Sung Ch'i ed. says that the T'ang text (before xi cent.) omitted the 之. officials, in reconsidering law-cases involving small crimes, in calling and summoning witnesses in [such] cases, take up matters that are not pressing and so trouble the people. By making [the people] lose the one time [when their] work [can be done, the officials cause them] to bring to naught a whole year's labor. Let the ministers examine and investigate [such cases] and inform and warn the [officials about this matter]."

In the summer, the sixth month, on [the day[ keng-shen, the Funerary Park of [Heir-apparent] Li, [Liu Chü], was reestablished. On [the day] jen-shen, Cf. App. III, iii. the last day of the month, there was an eclipse of the sun. In the autumn, the seventh month, on [the day] keng-tzu, the Funerary Chamber, the Temple, and the Funerary Park of the Grand Emperor, the Second Temple [of Emperor Kao], and the Funerary Parks of Empress Chao-ling, King Wu-ai, Queen Chao-ai, and Empress Szu [née] Wei were reestablished. This restoration was because of Emperor Yüan's dream. Cf. Introduction, p. 290; Glossary sub Wei Hsüan-ch'eng. These temples were abolished again in the next year. Cf. 9: 10a, b, 13a.

In the period Ching-ning, Ying Shao says, "Shan-Yü Hu-han-hsieh wished to guarantee that the barriers at the border and the frontiers (ching(1)) should obtain peace and tranquillity (ning). Hence [the Emperor] crowned the year-period accordingly." Yen Shih-ku objects, saying that according to Ying Shao's explanation, the ching(1) 竟 of the text must be read as ching(3) 境 (frontiers), and that although ching(1) and ching(3) were anciently interchanged, according to the imperial edict [9: 13a], ching(1) should be interpreted to mean perpetual. Couvreur, Dict., ed. III, p. 404, sub ching(1), has followed this interpretation. But Ch'ien Ta-chao declares that if in Han times the ching in this phrase had meant perpetual, the word 永 would have been used instead of ching, and Chou Shou-ch'ang points out that in HS 70: 18a the memorial of Keng Yü praising Ch'en T'ang says that Emperor Yüan should properly "change [the title of] the year-[period, because] the borders have been put in order, so that [this event] will be transmitted [to posterity] endlessly," which "plainly points out that the year-period Ching-ning was [named thus] because the Shan-Yü [wanted to] guarantee the barriers and give peace to the borders." In Tzu-chih T'ung-chien 29: 14a, Hu San-hsing also refutes Yen Shih-ku. Wang Hsien-ch'ien says that the edict cannot bear Yen Shih-ku's interpretation. the first year, in the spring, the first month, the Hun Shan-Yü Hu-han-hsieh came to pay court. The imperial edict said, "The Hun Shan-Yü Chih-chih abandoned and rebelled against the rules of proper conduct and principles of fealty and so has already suffered for his crimes, [whereas] Shan-Yü Hu-han-hsieh has not forgotten [Our] favors and benefits. He has turned toward and striven to follow the rules of proper conduct and principles of fealty, [and now] has again renewed the rites of [presenting his] congratulations at the [great annual] court. He wishes to guarantee the [border] barriers and to continue [this practise] endlessly, so that the borders and frontiers will eternally be without any warlike affairs. Let the year-period be changed to be Ching-ning and [let] the [Lady] Awaiting an Imperial Edict in the Lateral Courts, Wang Ch'iang, be granted to the Shan-Yü to be his Yen-chih."

The Imperial Heir-apparent, [Liu Ao], was capped; heirs of full marquises were granted the noble rank of Fifth [Rank] Grandee and those in the empire who would be the successors to their fathers [were granted] one step in noble rank.

In the second month, the Grandee Secretary, P'an] Ch'ien Ta-chao remarks that the omission of the surname here, contrary to the usual practise, is probably due to a copyist's mistake. Yen-shou, died.

[In the third month, on [the day] kuei-wei, there were reestablished the Funerary Chamber, the Temple, and the Funerary Park of Emperor Hsiao-hui, and the Funerary Chambers and Funerary Parks of the Empress Dowager [née Po of Emperor] Hsiao-wen and of the Empress Dowager [née Chao of Emperor] Hsiao-chao. Cf. 9: 11a and n. 11.2.

In the summer, [the Emperor] enfeoffed the Chief Commandant of Cavalry, Kan Yen-shou, as a full marquis and granted to his Associate [Protector-General of the Western Frontier Regions], Colonel Ch'en T'ang, the noble rank of Kuan-nei Marquis and a hundred catties of actual gold.

In the fifth month, on [the day] jen-ch'en, the Emperor died at the Wei-yang Palace.

The Temples of the Grand Emperor and of Emperors Hsiao-hui and Hsiao-ching were done away with and the Funerary Chambers and Funerary Parks of the Empresses Dowager [née Po and née Chao of Emperors] Hsiao-wen and Hsiao-chao [respectively], of Empress Chao-ling, of King Wu-ai, and of Queen Chao-ai were abolished. Cf. 9: 12b, 13a. This move was at the request of K'uang Heng. The Temple of the Grand Emperor was reestablished in 28 B.C.; Cf. 10: 5b.

In the autumn, the seventh month, on [the day] ping-hsü, [the Emperor] was buried in the Wei Tomb. From the death to the burial 54 days elapsed.

In eulogy we say: The elder and younger brothers of your servant, [Pan Piao's], maternal grandfather, were Emperor Yüan's Palace Attendants, These Palace Attendants would most naturally be the maternal uncles of the Favorite Beauty nee Pan, Emperor Ch'eng's favorite. She was a daughter of Pan K'uang, who was Pan Piao's grandfather, so that "your servant" is very likely Pan Ku's father. Ying Shao says, "The `Annals of Emperors Yüan' and `Cheng' were both composed by Pan Ku's father, [Pan] Piao. `Your servant' is then [Pan] Piao's own saying. His maternal grandfather was Chin Ch'ang(2)." (Ju Shun, however, says, "Pan Ku's maternal grandfather was Fan Shu-p'i," but we have not been able to find this name in the HS or HHS, and Yen Shih-ku says that Ying Shao's explanation is correct. Shu-p'i was moreover Pan Piao's own style.) According to 68: 21a, the four sons of Chin An-shang were named Ch'ang1, Ch'ang2, Ming, and Ts'en. Chin Ch'ang(1) became an Imperial Household Grandee. Chin Ch'ang(2) became an Imperial Household Grandee, General of the Gentlemen-at-the-Palace, and Palace Attendant to Emperor Yüan. Chin Ts'en and Chin Ming both became Division Heads and Generals of the Gentlemen-at-thePalace. The four brothers were thus all courtiers close to the emperor. According to 17: 29b, Chin Ch'ang1 died in 55 B.C.; according to 19 B: 43a, Chin Ch'ang2 died in 21 B.C. Traditions concerning Emperor Yüan w a marquis until the death of Wang Mang. In addition to the eulogies in chaps. 9 and 10, Pan Piao is mentioned by name as the composer of the eulogies in HS 73: 21a, 84: 20b, and 98: 15b. and spoke to your servant, saying, "Emperor Hsüan had much ability in polite arts and was good at the clerkly [style of] writing, Cf. App. I. at playing the guitar and lute, and at blowing the open flute. Ju Shun says, "It is a flute without a bottom." Wang Pao (d. 61 B.C.), in his "Tung-hsiao Fu (The Fu on the Pandaen Pipes)", in Ch'üan-Han-wen, 42: 1a, (Emperor Yüan is said to have liked this poem, cf. HS 64 B: 14b), says, "The sources from which the bodies of the pipes are born Is among the hills and wastes of Chiang-nan. Their hollow stems shoot up with few joints; Their branches spread out abundantly with large distances between their junctures [to the stem]." Ho Ch'uo (1661-1722) says that the `open flute' accordingly was made of one [bamboo] joint without any nodes, and took its name from that fact. He himself composed new songs, clothed them with melodies for singing, Ying Shao explains, "He himself in his privacy composed new songs. Thereupon he would take the new song and make for it a melody for singing the poem." (Ch'ü 曲 in ancient times denoted the words of a song; now it denotes the melody.) Hsün Yüeh adds, "Pei-sheng 被聲 [means] it can be played with music." Fu Tsan says, "Tu-ch'ü 度曲 means at the end of a song to cap it [by another]. The next one is called the tu-ch'ü." Yen Shih-ku and Ho Ch'uo approve Ying Shao's explanation. distinguished and indicated the cadences [of the verses and music], The Tz'u-tung, II, ch. 20, p. 68 says that tu 度 is dittography for the preceding tu, and was originally either 奏 or 族 (both words mean the same). and understood to the utmost the delicacies [of poetry and music]."

When he was young, he liked the Confucians, and when he ascended the throne, he summoned and gave office to Confucian masters, entrusting the government to them. Kung [Yü], Hsieh [Kuang-tê], Wei [Hsüan-ch'eng], and K'uang [Heng] were successively his ruling chancellors. Kung Yü and Hsieh Kuang-tê only rose to be Grandee Secretaries. They died or retired shortly after attaining that office, which was regularly the stepping-stone to the position of Lieutenant Chancellor, to which they would probably have also attained, had they been younger. Hence Pan Piao includes them among Emperor Yüan's chancellors. The Emperor, however, tied and controlled himself by written principles, Pan Ku is said not to have studied the classics "by chapter and verse, but he merely picked out the general principles 大義 [of what he was studying]." HHS, Mem. 30 A: 5b. so that he hesitated to settle matters, and thus the achievements of [Emperor] Hsiao-hsüan decayed. Yet he was broad-minded and had his inferiors express themselves completely. Wang Hsien-ch'ien comments, "It means that in his edicts he asked for frank speech and was able to have his inferiors express their ideas completely." He was outstanding in respectfulness and self-restraint. His proclamations and ordinances are polished and elegant, and have the spirit and fire of the ancients. Ch'ien Ta-chao says that the Fukien ed. (1549) has the word 也 at the end; T'ai-p'ing Yü-lan (978-983) 89: 6a quotes this passage with that word.

In a note to HS 9: 13b, where Emperor Yüan is said to have been "good at the clerkly [style of] writing," Ying Shao says, "[The clerkly writing (shih-shu 史書)] is the greater seal [character] created by the Grand Astrologer of King Hsüan of the Chou [dynasty], Shih Chou," who is said to have invented the greater seal of writing about 800 B.C. Li Hsien (fl. 674-676) repeats this statement in a note to HHS, An. 5: 1a and elsewhere.

Ch'ien Ta-hsin (1728-1804), however, replies, "Ying [Shao's] explanation is mistaken. [According to] the Han [dynastic] code, `The Grand Astrologer examines the youths who have studied, [to determine whether] they are able to recite and write more than nine thousand characters; if so, they are allowed to become clerks,' [a quotation from HS 30: 24b]. HS 72: [14b, 15a says], In the time of `Emperor Wu, . . . robbers and brigands arose, . . . and [the officials in] the commanderies and kingdoms . . . selected those who were skilled and clever at the clerkly writing (shih-shu) . . . and made them senior officials . . . . The vulgar people all said, . . . "Why should we employ the rules of proper conduct and moral principles? If we can write the clerkly writing, we can be officials." ' HS 90: [16b says that] Chuang Yen-nien 'was good at the clerkly writing. Memorials [concerning] those whom he wished to punish with death were completed in his own hand. His Master of the Records and the officials near his person were not allowed to hear or know [the contents of these memorials].'

"Probably the `clerkly writing' was the style of writing which the Clerks to Prefects were accustomed [to use], namely the [ancient] official style (li-shu). `Good at the clerkly writing' meant merely that [a person] was able to recognize characters and write the official style. How could all [these people] have completely understood the fifteen chapters of Shih Chou's [book]? HS 97: [B: 1b, 2a] says that the Empress [née] Hsü was perspicacious and wise and good at the clerkly writing. HS 96: [B: 8a] says that an Attendant of the King of Ch'u, Feng Liao, was capable in the clerkly writing. HS 76: [19b] says that when Wang Tsun was young, he was good at the clerkly writing. HHS, Annals 5: [1a] says that when Emperor An was in his tenth year, he loved to study the clerkly writing. HHS, Annals 10 A: [14b] says that when the Empress [née] Teng was in her sixth year, she was capable in the clerkly writing and ibid., B: 3a] that the Empress [nee] Liang when young loved the clerkly writing. HHS, Mem 45: [4b says that] the mother who bore Emperor An, the Concubine [née] Tso, was good at the clerkly writing. HHS, Mem. 4: [7a] says that King Ching of Po-hai, [Liu] Mu, was good at the clerkly writing, and that his age considered [his writing] a model. HHS, Mem. 40: [4b] says that King Ching of Lo-ch'eng, [Liu] Tang, was good at the clerkly writing and like to correct written words.

"Those who were called `good at the clerkly writing' were simply the kings, empresses, concubines, and attendants, who, when they knew something about the ancient official style, were already considered good [enough] to make a name for themselves. They were not really excellent and versed in the greater seal character."

For a discussion of the development in ancient Chinese systems of writing, cf. D. Bodde, China's First Unifier, ch. VIII.

Since the victory of Confucianism as the official government teaching was completed in the reign of Emperor Yüan, it may be worth while here to summarize that development, although this matter has been discussed in detail in the introductions to various preceding chapters.

During the Former Han period, Confucianism developed from being the teaching of a few pedants in semi-retirement, as it was at the end of the Chou period, to become the official philosophy of the government, which had to be adopted by anyone who hoped to enter public life. This victory set Confucianism on its way to be the dominating feature of Chinese culture and to affect profoundly a large portion of humanity. It is consequently interesting to determine just how and why this victory came about.

It is sometimes supposed that this victory came about at the beginning of Emperor Wu's reign. HS 56: 20b, 21a says, "When Emperor Wu had newly ascended [the throne], the Marquises of Wei-ch'i [Tou Ying] and of Wu-an [T'ien Fen] became his [Lieutenant] Chancellors, and made Confucianism flourish. When moreover [Tung] Chung-shu wrote [his famous] replies to the [examination] questions [set by Emperor Wu, he advocated] promoting and making glorious [the teaching of] Confucius and of repressing and degrading [the advocates of] the hundred [other schools of] philosophy. The establishment of offices for a [government] university and schools and the recommendation of [persons with] Abundant Talents and of Filially Pious and Incorrupt [persons to the imperial government] by the provinces and commanderies all arose from the proposal of [Tung] Chung-shu." The Confucian victory cannot however be fixed at any one particular date, nor did it occur in the reign of Emperor Wu. Rather it was a slow process of increasing completeness, which began with Emperor Kao and was not complete until the time of Emperor Yüan, more than a century and a half later. The History of the Former Han Dynasty, with its detailed reports concerning the intellectual and political life of the period, gives us a fairly complete account of the way this victory was achieved.

Emperor Kao began with a violent prejudice against Confucians. Yet he had an intimate younger half-brother who had had a thorough Confucian education. The Confucians had opposed and critized the First Emperor of the Ch'in dynasty, and the latter had repressed them violently, burning the Books of Odes and of History and driving outstanding Confucians into flight or retirement. Because of the Ch'in dynasty's attitude, Confucians naturally assisted Emperor Kao. The Ch'in dynasty maintained seventy learned men at court, giving them the title of Erudits. One of them, Shu-sun T'ung, was captured and surrendered in turn to Hsiang Yü and to Emperor Kao. He later arranged Emperor Kao's court ceremonies. In his conflict with Hsiang Yü, Emperor Kao received valuable advice from Confucians, who pointed out to him the great advantage of employing the Confucian doctrine of Heaven's Mandate against the tyranny of the Ch'in ruler. Emperor Kao, at the instance of his Chancellor of State, Hsiao Ho, seems to have been the first to ask his Administrators in the provinces to recommend persons with excellent reputations and manifest virtue to the imperial government for positions in the bureaucracy, which procedure initiated the examination system, so influential in promoting Confucianism.

Li Yi-chi and Lu Chia, two of Emperor Kao's paladins, were sincere Confucians. The latter wrote a thoroughly Confucian book at the Emperor's request, and was highly praised and rewarded for it. Thus Emperor Kao, beginning with an antipathy to Confucians, ended by giving them high position and favoring them.

Under the next two rulers, Emperor Kao's son and wife, Emperor Hui and the Empress Dowager nee Lü, Confucianism suffered a set-back. Ts'ao Ts'an, the outstanding Lieutenant Chancellor during this period, was a Taoist; the Confucians opposed the Empress Dowager's usurpation of the imperial power and went into retirement.

With the Empress Dowager's death and the accession of Emperor Wen, Confucians again became influential. Lu Chia played an important part in enthroning this Emperor. The new Emperor encouraged learning and continued many Confucian practises. But he felt that he must be impartial towards all the various philosophies current at the time, hence he established Erudits to be specialists upon these various philosophies, until he is said to have had seventy Erudits. Yet Emperor Wen was probably more influenced by Confucianism than by any other single teaching. Later Confucians have considered him a saint. Chia Yi, who was more a Confucian than a Taoist, influenced Emperor Wen greatly. Emperor Wen moreover extended the examination system by having the commanderies send capable persons to the imperial court, among whom the Emperor selected officials by setting examinations for them at the capital. In his questions, the Emperor invited the candidates to give him advice upon governmental policies. Thus Confucianism was nerely one of the most influential of the many tendencies in Emperor Wen's government.

In the imperial examination of 165 B.C., Ch'ao Ts'o, a favorite of the Heir-apparent, the future Emperor Ching, took the first place. Ch'ao Ts'o had become his Household Steward, and was known as the "bag of wisdom." In his youth he had studied the legalist philosophy and that of names and circumstances; when someone was needed to receive from the aged Master Fu the Confucian tradition concerning the Book of History, Ch'ao Ts'o was sent. Like Chia Yi, he was thus conversant with several philosophies, in this respect perhaps typical of the age. The future Emperor Ching favored Ch'ao Ts'o greatly, and, when he came to the throne, gave Ch'ao Ts'o high office. As a whole, Emperor Ching, however, was not as favorable to Confucianism as his father had been.

In 141 B.C., the youthful Emperor Wu came to the throne. He was only in his sixteenth year, and had been given a good classical education, which had naturally included a study of Chinese literature, the Confucian classics. His Junior Tutor had been Wang Tsang, a disciple of Shen P'ei, the famous Confucian authority on the Book of Odes. The Emperor was greatly interested in learning, literature, and poetry; he himself later wrote some very creditable poetry. He was somewhat imperious and very ambitious. After having been given such an education, he was naturally much impressed by Confucianism, so much so that at first, at the suggestion of Tung Chung-shu, he seems to have wanted to make Confucianism the sole philosophy of the government. In this resolve, he was probably swayed very largely by his advisors, especially by Wang Tsang, for in later years the Emperor altered his attitude to Confucianism greatly. The most serious obstacle to this plan was the fact that the Emperor's grandmother, the Grand Empress Dowager nee Tou, was a devotee of Lao-tzu. Because of the current exaltation of filial piety, her influence at the court was quite as strong as that of the Emperor. The Confucian party hence compromised by attacking only the philosophy they considered most dangerous and most opposed to the Confucian tradition, namely the Legalist school, which had been that espoused by the Ch'in dynasty, from whose institutions the Han dynasty had taken its governmental organization. Hence they induced the aged and faithful but incompetent Lieutenant Chancellor, Wei Wan, to memorialize the throne that all those officials and candidates should be dismissed who had specialized in the lore of Shen Pu-hai, Shang Yang, Han Fei, Su Ch'in, and Chang Yi, who were mostly Legalists. Emperor Wu naturally ratified and enacted this proposal. HS 6: 1b. Pan Ku says that the intention of this edict was to eliminate all non-Confucians from the government service. HS 6: 39a.

Half a year later, Emperor Wu dismissed Wei Wan for incompetence and appointed in his place Tou Ying, a son of a first cousin of the Grand Empress Dowager, who had distinguished himself by putting down a serious rebellion in the preceding reign, but had not previously been given high civil office because of his outspokenness and pride. The Emperor's maternal half-uncle, T'ien Fen, was made Grand Commandant, a position only inferior in power to that of the Lieutenant Chancellor. The Grand Empress Dowager was induced to suggest this arrangement. HS 52: 4a.

Tou Ying favored Confucianism highly; T'ien Fen had in his youth studied the works of a certain P'an Yü, an eclectic philosopher who combined the doctrines of the Confucians, the Mohists, Legalists, and the school of names. The greatest ministers thus all favored Confucianism. They made a clean sweep of the previous officials, and selected for the third most influential court position, that of Grandee Secretary, Chao Wan, another disciple of the Confucian authority Shen P'ei. Wang Tsang was a Chief of the Gentlemen-at-the-Palace, a position that enabled him to come into intimate contact with Emperor Wu. Thus Confucians controlled the government.

They proceeded to introduce Confucian practises, and proposed the establishment of a Ming-t'ang, a ceremonial building said to have been used in Chou times for sacrifices and court receptions. Emperor Wu liked ceremonies and pomp; Confucianism emphasized such ceremonials. Chao Wan and Wang Tsang needed expert aid in this project, so they persuaded Emperor Wu to send for their teacher, Shen P'ei. A messenger was sent with presents of silk and jade circlets (pi), and with a comfortable carriage with seats, with its wheels bound with rushes, and a quadriga of horses, to invite the eighty-odd year old Confucian authority to court. His two outstanding disciples followed him in one-horse carriages. When he arrived at court, Emperor Wu asked him to state the source of good and bad government. The old man replied, "The person who governs well should not speak much, and should merely pay attention and strive hard at what he does." The young emperor thought highly of his own literary ability, so that he was much displeased by the old man's reproof. The Emperor had however summoned Shen P'ei, so made him a Grand Palace Grandee, a high honorary position, and installed him in the Lodge at the capital for the King of Lu, then ordered the discussion of a Ming-t'ang.

Meanwhile the Confucian clique at the court had found itself hampered by the influence of the nobles at the capital. The Confucians accordingly revived a law enacted by Emperor Wen under Confucian influence to the effect that nobles, especially marquises, should reside at their estates in order to guide and care for their people. Most of the nobles had hcapital, did not wish to leave it, and concerned themselves only with receiving the taxes from their estates. On account of fear of rebellion, the administrators of noble estatact with their people. Emperor Ching had consequently rescinded Emperor Wen's law. Many of the marquises had moreover married imperial princesses, hence they took their cause to their relative, the Grand Empress Dowager nee Tou, and slandered Tou Ying to her. Tou Ying also offended his own clan by discriminating among its members, erasing from the family record the names of those who were not upright.

In order to check the influence of the Grand Empress Dowager, the Confucians now asked for the enactment of a law to the effect that government affairs should not be brought to the attention of. Thus the issue was joined. Tou Ying and his party were trying to exalt Confucianism and suppress Taoism as well as Legalism; the Grand Empress Dowager was an ardent Taoist. When the Grand Empress Dowager heard of the Confucians' request, she was furious; Emperor Wu, who had probably become somewhat tired of the Confucians, sent Wang Tsang and Chao Wan to jail, where they were compelled to commit suicide; Tou Ying and T'ien Fen were dismissed. The Confucians would not withstand the Emperor's grandmother. HS 52: 1a-4b.

A few months after her death in 135 B.C., Emperor Wu, possibly at the suggestion of T'ien Fen, who had again become influential, established Erudits who specialized in each of the five Confucian classics. The same year, T'ien Fen became Lieutenant Chancellor. He appointed several hundred Confucians to office and degraded Taoists. Cf. HS 88: 3b. Yet there continued to be Taoists in the court, for there had been no ban put upon them---Chi Yen, a Taoist, was promoted by Emperor Wu to the position of Chief Commandant in Charge of Noble Ranks, one of the high ministers (50: 9b), and continued by his frank criticism to inspire the Emperor with respect and even with fear. Szu-ma T'an and his son, the historian Szu-ma Ch'ien, were both Taoists and kept their post as the successive Grand Astrologers. The Mohist school seems to have exercised little influence, if it still existed, which is doubtful, for no adherent of this school is mentioned among Emperor Wu's officials, although it is mentioned by Szu-ma T'an in his survey and comparison of the six philosophical schools. Cf. SC 130: 8; HS 62: 6a-7a. Mohists are however referred to in the Huainan-tzu, which is a Former Han document.

Through his liking for scholarship and literary men, Emperor Wu came into touch with the Confucian Kung-sun Hung(1). The latter was a poor boy who had studied the various commentaries on the Spring and Autumn, and was recommended to the imperial court by his native state. His examination paper was placed in the lowest class by the Grand Master of Ceremonies; when Emperor Wu reread the papers, he was much struck by the literary quality of Kung-sun Hung's paper, promoted it to the first paper of the first class, and summoned him to an audience. He proved to be a Confucian who knew how to clothe displeasing speech in tactful language, hence secured Emperor Wu's favor. Tung Chung-shu called him a flatterer. He was gradually advanced until Emperor Wu made him a marquis and Lieutenant Chancellor.

Tung Chung-shu had previously suggested to Emperor Wu the establishment of a government university; in the summer of 124 B.C., while Kung-sun Hung(1) was Lieutenant Chancellor (6: 11b), the latter renewed the suggestion and drafted the memorial which was approved by the Emperor and became the charter of the Imperial University (HS 88: 3b-6a). This institution was located seven li northwest of the capital. The masters were the Erudits; they or their Disciples did the teaching. It is quite likely that there were only five Erudits at this time, namely those for the five Confucian classics. It was customary for a great scholar to do most of his teaching through his more advanced disciples; Tung Chung-shu is said to have shut himself up to study and to have helped only his more advanced disciples; his more recent disciples could only get help from the more advanced ones, so that some of his disciples did not even see his face. Cf. HS 56: 1a. The Grand Master of Ceremonies was ordered to select fifty persons who were in their eighteenth year or over, in good health and upright in character. They were entitled the Disciples of the Erudits and were exempted from taxes and service. The Administrators of Commanderies and Chancellors of Kingdoms were ordered to select suitable students who showed a love of learning and good character and to send them to the Grand Master of Ceremonies at the imperial capital with the persons who brought the yearly accounts to the capital; these students were to study at the Imperial University for one year with the Disciples, whereupon they were to be examined. Those who thereupon showed themselves expert in one classic or more were entitled Literary Scholars or Authorities upon Ancient Matters. Those who did not attain such a high rank might be made Gentlemen-of-the-Palace, who were imperial attendants and might be selected for office. The name of a person who was graded as an Accomplished Talent of Unusual Degree might be reported to the throne for a substantial office. Those who had not applied themselves to studying or had shown themselves of such small ability that they could not even become expert in one Classic were immediately dismissedin the official bureaucracy. Cf. HS 88: 3b-6a.

There was thus established in the capital an institution for the training of officials, capable graduates of which automatically entered the government service. The curriculum and teachers of this institution were all Confucians, so that, as Szu-ma Ch'ien says, "From this time on, most of the minor officials in the offices of the ministers and officials at the capital were Literary Scholars." Confucian learning thus became the means whereby most of the lower positions in the bureaucracy were filled, and so in time permeated the government.

Emperor Wu was far from being a thoroughgoing Confucian. Indeed, in many respects he acted contrary to Confucian ideals. His widespread military expeditions were un-Confucian. His heavy taxes and legal oppression of the people were un-Confucian. His establishment of the salt and iron government monopolies, the monopoly on fermented liquors, and the Bureau of Equalization and Standards, whereby the government speculated in goods, were specifically Legalist measures. His cultivation of magicians, his seeking for supernatural beings, his erection of buildings for magical purposes, such as Fei-lien Lodge, Yi-yen-shou Lodge, and T'ung-t'ien T'ai (the Terrace that Communicates with Heaven) and his indulgence in superstitious sacrifices were Taoist measures. Taoism in the time of Emperor Wu was already taking over many superstitious practices, which Confucianism rejected, under the influence of Hsün-tzu's naturalism. His elaborate development of laws was a measure stressed by the school of names and circumstances. In many ways, in his conquest, in his tours of the empire, in his ascent of Mt. T'ai, and in his severe government, he seems deliberately to have imitated the First Emperor of the Ch'in dynasty, who was a legalist. In 110 B.C., when the fifty-odd Confucians he had summoned could not agree on what should be the ceremonies and utensils for the sacrifices feng and shan, chiefly because these Confucians restrained themselves by historical principles and were unwilling to go beyond what ancient texts declared, Emperor Wu dismissed them all and himself fixed the rites for these sacrifices. Cf. Mh III, 498; HS 25 A: 35b; 58: 12a, b, 13a. Thus Emperor Wu was in reality influenced by all the current doctrines, and did not hesitate to depart from Confucian principles. While his reign marks the beginning of strong Confucian influence in the government, that influence was far from being victorious at this time.

The next step towards the Confucian victory occurred in the reign of Emperor Hsüan, who came to the throne almost by accident in 74 B.C., thirteen years after Emperor Wu died. This boy had been disinherited because of his grandfather's rebellion against Emperor Wu, and had been brought up by some faithful officials. He had been given a good education, which naturally included a study of Chinese literature, so that he had studied the Analects, the Classic of Filial Piety, and the Book of Odes. Thus he had been indoctrinated with Confucianism, because Confucians had taken to themselves the exposition of the best Chinese literary treasures and had made those treasures into Confucian books. After he began to rule, he chose Confucians for his officials and advisors. Each of his Lieutenant Chancellors had made a special study of some Classic, although they were not primarily scholars. When calamities, such as earthquakes, occurred, he did the typically Confucian thing of sending for those Confucians who professed to be able to interpret such visitations as indicating the will of Heaven. Because his grandfather had been interested in the Ku-liang Commentary on the Spring and Autumn, Emperor Hsüan revived its study and summoned its teachers to the Imperial Palace, where he ordered ten of his gentlemen to study it, which they did consecutively for more than ten years. Comparison of it with the then authoritative Kung-yang Commentary (the Tso-chuan had not yet become popular), led to a realization of the discrepancies between different interpretations of the various classics. Emperor Hsüan accordingly summoned to the capital all the outstanding authorities upon the Confucian classics to discuss the meaning of these classics in the imperial presence. The discussions began in the Palace Hall and were transferred to the Shih-ch'ü Pavillion, under the presidency of the Grand Tutor to the Heir-Apparent, Hsiao Wang-chih, who was famous for hions are mentioned in various places as having participated as authorities in this famous discussion. In cases of otherwise irreconcilable disputes, Emperor Hsüan seems himself to have decided upon the correct interpretation. The decisions of this Confucian council were memorialized to the Emperor and were ratified by him in 51 B.C. They are listed among the books in Imperial Private Library. In this way an official interpretation for the classics was reached. Other interpretations were not proscribed, but the official interpretation was doubtless taught in the Imperial University and learned by all candidates for official position, for use in the examinations. Consequently it monopolized men's minds in the same way that Chu Hsi's interpretation became dominant in the medieval period. At the same time, the number of Erudits and Disciples, i.e. the teachers in the Imperial tain classics. Cf. HS 8: 23a; 88: 23b, 24a; 36: 7a; 73: 8a; 30: 7a, 12b, 17a, 20a, 21b. HHS, Mem. 38: 7a.

Thus at the end of Emperor Hsüan's reign, the occupants of the high government posts had all had a Confucian training, the Imperial University was continuing to fill the bureaucracy with Confucian scholars, and a Confucian council had fixed the official interpretation of the Classics which became authoritative for the government. Yet Emperor Hsüan was not a thoroughgoing Confucian and did not wholeheartedly approve of this doctrine. He was primarily a practical man who had lived among the common people before he came to the throne, and knew the danger of idealistic impracticality inherent in Confucian teaching. Hence he took as his own ideal of government, not merely Confucian principles, but also the conduct of the very un-Confucian practical statesmen during Spring and Autumn times. He was interested in the penological terminology discussed by the legalist school of names and circumstances, and most of his high officials used these legalist principles as well as Confucian principles in their government. Pan Ku represents him as telling his Heir-apparent that the institutes and laws of the Han dynasty had been taken from both non-Confucian and Confucian teachings and that the Confucian principle of using merely moral suasion to bring about conformity to right principles is utterly impracticable; the Confucian love of the ancient and disapproval of the present results in confusion. Cf. HS 9: 1b. This drastic criticism of Confucianism, found today in the writings of a Confucian historian, indicates well the attitude practical men then took towards Confucianism.

Yet Emperor Hsüan had so well prepared the way for the victory of of Confucianism that this victory could hardly have been avoided. He had given his son and Heir Confucian tutors. This Emperor Yüan had been brought up in the Palace and had had little contact with the outer world, so that Confucianism did not appear impractical to him. When he came to the throne, he proposed immediately to make Confucian reforms. The influence of the Emperor's maternal relatives, who were in control of the army, and of the Emperor's favorite eunuch was able to check the Confucian influence for a time. Emperor Yüan knew little of government, so depended upon this eunuch to decide government matters, and spent most of his time enjoying himself in the imperial harem. This eunuch was even able to trick the Emperor into sending the outstanding Confucian, Hsiao Wang-chih, to his death. The criticism that resulted however led this eunuch to favor other famous Confucians, and so, during most of Emperor Yüan's reign, Confucian influence was allowed to make important reforms in the government. In this period it became the practise for the Superintendant of the Imperial Household yearly to rank the various members of the imperial retinue according to a set of four Confucian virtues. Since the commonest way of entering government service was by spending a period as a member of the large imperial retinue, in order that the emperor might have a personal acquaintance with his officials, it was natural, when the bureaucracy and conseq all the prospective candidates (it included as many as a thousand persons) that a second and moral test should have been added after the first and literary examination. Cf. HS 9: 7a and n.7.5; also 5: n.9.9. In the next reign, that of Emperor Ch'eng, Confucian influence was equally important. His cousin, Wang Mang, who sought to usurp the throne, found it advisable to adopt all sorts of Confucian practises. He indeed endeavored to secure public approval by being more Confucian than even the Han emperors had been, and kept reforming the imperial administration to give it more and more Confucian features. His outstanding reforms were merely Confucian ideals translated into governmental practises. In thus attracting the approval of educated men, Wang Mang was so successful that the leaders of the Later Han dynasty largely followed his example. The rulers of that dynasty were even more Confucian than the last emperors of the Former Han dynasty and Confucian influence dominated the whole Later Han period.

Thus the victory of Confucianism was a gradual process. It began when Emperor Kao found Confucians assisting him in overthrowing the anti-Confucian Ch'in dynasty. The early Han emperors encouraged all the various philosophies of the time. Emperor Wu had a Confucian education, and, in a fit of youthful enthusiasm, endeavored to make Confucianism the philosophy of the government. This attempt was however frustrated by the Emperor's grandmother, while the Emperor himself lost his first enthusiasm for Confucianism and became influenced by various other doctrines. His love for literature and literary men however continued to attract him to Confucians, and Kung-sun Hung induced the Emperor to establish a Confucian Imperial University, which gradually distributed Confucian literati among the minor offices in the government. Emperor Hsüan likewise had a Confucian education; he favored Confucianism highly, enlarged the Imperial University, and fixed upon an official interpretation to the Confucian Classics. But he considered Confucian principles as impractical for government, so checked their influence by legalist principles. The final victory of Confucianism did not come until the reign of his son, Emperor Yüan. Thereafter Confucian doctrines became the sole guide for princes, except during the brief reign of Emperor Ai. The usurper Wang Mang and the revived Later Han Dynasty both honored these doctrines, and they continued to dominate the government until the end of that dynasty.

We can now see the causes that brought about the victory of Confucianism. In the first place, Confucianism was admirably adapted to be the official philosophy of an imperial government. Confucius was himself a government official and his pupils were people whose future lay mostly in official life. Consequently he stressed and taught ideals of good government. His ethics were aristocratic, that of the ruler who should be kind (jen) to his people, and of the subject who should be filial (hsiao), loyal (chung), and decorous (li) to his ruler.

In the second place, Confucius, as a good teacher, was himself a learned man, and those of his disciples who did not enter political life became the teachers of China. Confucius taught the literature of his people; the Confucians made themselves the scholarly authorities and teachers of that literature. Thus ancient Chinese literature, especially the best of it, became the literature of Confucianism, and was interpreted to teach Confucian lessons. Hence anyone who became interested in literature or scholarship naturally gravitated to the Confucians, for they possessed the scholarly traditions of the country, and anyone who acquired a scholarly education was inevitably given a Confucian indoctrination. In times of warfare, such as that towards the end of the period of Contending States, scholarship was unimportant, and Confucianism declined; but when peace was restored, so that scholarship became useful, Confucianism revived. Because Confucians inevitably became the tutors of the Heirs to the throne, rulers became indoctrinated in Confucian ideals. Even though a particular ruler might not be altogether Confucian, his son, who was affected by both his father's example and the influence of his Confucian tutor, was likely to be more Confucian, until the dynasty became wholly Confucian.

In the third place, certain governmental institutions put a premium upon Confucianism. In the time of Emperor Wen, it became the practise for the Emperor periodically to invite the provinces to send to him able persons; he selected among them by requiring to write essays on various subjects connected with government. The examination system, even in this early form, thus put a high premium upon literary ability, and hence upon a Confucian training. It was thus natural that the government should have been led to establish schools, in particular the Imperial University, graduates from which filled the bureaucracy with learned Confucians. Since Confucians were learned men, they naturally graded the examinations, hence kept non-Confucians out of the bureaucracy, not by any proscription, but by the simple device of ploughing non-Confucians.

In the fourth place, after its advantages were recognized, the advantage of unifying the country intellectually by making one system of thought current among all educated men led to the elevation of Confucianism. Shortly after Emperor Wu ascended the throne, in 141 B.C., Tung Chung-shu, in his reply to the imperial examination, presented his famous memorials concerning statecraft. One of the principles he therein advocated was that there should be an intellectual unification of the country by destroying all the non-Confucian philosophies. Cf. Fung Yu-lan, History of Chinese Philosophy, trans. D. Bodde, p. 16 f; W. Seufert in Mitteil. d. Seminar f. Orient. Sprache, 1922, pp. 1-50. These memorials seem to have made a deep impression upon Emperor Wu, for he immediately acted upon them, proscribing Legalism and elevating Confucians to be his highest officials. An intellectual unification had been previously attempted by Li Szu, the famous minister of the First Emperor, when in 213 B.C. he recommended the burning of the books and punishment of any one who criticized the Ch'in regime. The Confucians had roundly condemned this procedure. Emperor Wu was ambitious to equal the First Emperor in greatness; he was probably not loath similarly to unify the thought of his own time. While Emperor Wu later became lukewarm towards Confucianism, Emperor Hsüan was undoubtedly reminded of Tung Chung-shu's proposal and certainly recognized the advantages of this policy.

These four factors first demonstrated their effectiveness in Former Han times. They have undoubtedly continued to operate throughout Chinese history. At the end of the Later Han period, there seems to have been a collapse of Confucianism because sincere and long-continued attempts to put it into practise had failed to prevent the collapse of the dynasty; the ensuing long period of disorder naturally also brought about decay of Confucianism. When peace was restored in the T'ang period, these four factors again brought Confucianism to the front, although the dynasty's supposed descent from Lao-tzu kept it from becoming Confucian. In the next great dynasty, the Sung, there was naturally another peak of Confucian influence. That ascendency continued as long as peace enabled scholarship to be prized. Only in the modern period, when literature and learning have ceased to be synonymous with Confucian teaching and China has ceased to be an empire, has there been a marked break in the influence of Confucianism. In China, as in Europe, not until the advent of modern science put into man's hands another tool for reaching truth, has the power of the ancient authoritarian world-view been broken. (Reproduced, with permission and with modifications, from JOAS, Sept. 1938, vol. 58, no. 3, pp. 435-449.)

i. HS 9: 8b says, In Yung-kuang II, "iii (the third month), on [the day] jen-hsü, the first day of the month, there was an eclipse of the sun." Han-chi 22: 6b repeats this statement. HS 27 Cb: 15a adds, "It was eight degrees in [the constellation] Lou."

Hoang equates this date with Mar. 28, 42 B.C.; Oppolzer calculates his solar eclipse no. 2777 for Mar. 27, 42 B.C. at 23th 45m Greenwich Civil Time (which was Mar. 28 at 7:00 a.m., local time at Ch'ang-an), and charts the path of totality as passing through Japan and Kamchatka. He calculates the sun at conjunction as in long. 4° = 4° R.A. The principal star of the constellation Lou, β Arietis, was then in 2° R.A.

In the 12 years between this and the preceding recorded eclipse, four solar eclipses were visible in China: Oct. 21, 53, Aug. 21, 50, Aug. 9, 49, and June 19, 47 B.C.

ii. HS 9: 9b says, In Yuan-Kuang IV, vi "on mou-yin, the last day of the month, there was an eclipse of the sun." Han-chi 22: 9b repeats the statement. HS 27 Cb: 15a adds, "It was 7 degrees in [the constellation] Chang."

Hoang equates this date with July 31, 40 B.C.; Oppolzer calculates his solar eclipse no. 2784 for that date and charts the path of totality as passing through the present northern Manchuria and Hondo, Japan. He calculates the sun as being in long. 124° = 127° R.A.; the first star in Chang, ### Hydrae, was then in 121° R.A. There is thus a very close correspondence between the record and calculation. In the 2 years between this and the preceding recorded eclipse, no solar eclipses were visible in China.

iii. In Chien-chao V, vi, on jen-shen, the last day of the month, an eclipse is listed (9: 12b; Han-chi 23: 6b repeats this statement). HS 27 Cb: 15a adds, "It was partial, like a hook, then it set." Hoang gives this date as Aug. 23, 34 B.C., but there was no eclipse on that date.

In the eleven years from the last correctly recorded eclipse to the next correctly recorded one in 29 B.C., there were 25 solar eclipses, of which four were visible in China: Of the 9 partial eclipses, nos. 2789, 2797, 2798, 2807, and 2808 were located near the south pole. Nos. 2796, 2806, and 2809 were found plainly invisible by the use of Oppolzer's elements. The other one, no. 2799, was calculated from Neugebauer's elements and found invisible in China. Of those whose location Oppolzer charts, no. 2790 seemed possibly visible; calculation, however, showed that it was invisible in China.

(1) The eclipse of July 20, 39 B.C. reached a magnitude (sun's diameter = 1.00) of only 0.07 at 2:43 p.m. local time at Ch'ang-an, so that it could easily be missed. (2) The eclipse of Jan. 14, 38 B.C. (2 days before a jen-shen day), reached only a magnitude of 0.02 at sunset at Ch'ang-an, so that it would be very likely missed. Visibility was better at points north and east. At lat. 40° and the long. of Ch'ang-an, this eclipse-reached a magnitude of 0.15. (3) The eclipse of Nov. 12, 36 B.C. (the day after a jen-wu day) reached a magnitude of 0.29 at Ch'ang-an at sunrise. (4) The eclipse of Nov. 1, 35 B.C. reached a magnitude of 0.66 when the sun set at Ch'ang-an. In view of the statement in the "Treatise" regarding the eclipse and its character, this must have been the eclipse concerned.

It occurred in IV, ix, on ting-ch'ou, the last day of the month. Since ting-ch'ou may be easily misread as jen-shen, the reliability of Hoang's calendar and of the HS record is confirmed. This eclipse must have been misdated before that chapter was written, for the "Annals" lists it among materials belonging in the wrong year.

It is noteworthy that during this period of a quarter century, seven out of the ten eclipses that might have been visible, if the weather permitted it, were missed. Evidently the court astronomers were not looking for solar eclipses, or else they could have seen at least some of these seven. This period was not one during which portents were overlooked; the misgovernment of Shih Hsien induced the annalists to record many portents. It seems as if the astronomers were satisfied with the calendar, and hence did not bother to look for solar eclipses.