 | THE HISTORY OF THE FORMER HAN DYNASTY The history of the former Han dynasty |  |
The doctrine of the Five Powers
Two historical circumstances were responsible for convincing intelligent
people that Wang Mang should take the throne. These were the philosophical
doctrine of the five elements and certain historical events that
led people to believe the Han dynasty must inevitably end. This philosophical
theory was not the creation of a single person or age, but changed
radically during Han times. Its various forms each influenced history,
so it deserves careful study.
A cyclical theory of history is natural in any early philosophy. Greece
too, in the philosophies of Empedocles and others, possessed such cyclical
theories. The five Chinese elements, earth, wood, metal, fire, and water,
seem to have come from popular thought. Tsou Yen, in the first half
of the third century B.C., made them into a cyclical succession which
constituted a philsophy of history. As one element or power becomes
victorious over another, the dynasty upheld by that power conquers its
predecessor dynasty. Each power has its color, its appropriate month
for its New Year's day, its number, its note, etc. The victory of a new
power exhibits itself by supernatural portents, so that the dominant
power can be determined by historical events. Hsün-tzu had interpreted
the Confucian supreme deity, Heaven, as an impersonal Nature; the
succession of the elements came to be considered a law of Nature. It
explained the succession of dynasties and, like natural laws today, was
thought to enable the prediction of future events—in this case, the next
dynasty. This doctrine soon became popular and was taught instead of
the earlier Confucian doctrine that a dynasty falls because of its moral
inadequacies. In a period of constant civil war, this earlier Confucian
theory had little empirical confirmation. In Han times, Tsou Yen's
theory was taken into Confucian thought and secured wide acceptance.
The Chou dynasty, because of the red crow that appeared to King Wu
(Book of History, Legge, II, 298) was considered to have had the virtue
of fire, hence the Ch'in First Emperor adopted the virtue of water, for
water conquers (quenches) fire. He adopted the corresponding month
for his New Year's. But the Ch'in dynasty ruled China for only fifteen
period is taken as typical. The Han dynasty located its capital near the
destroyed Ch'in capital; the last Ch'in ruler surrendered his insignia and
authority to the Eminent Founder of the Han dynasty; the latter accordingly
assumed that he took over the Ch'in dynasty's power of water,
whose color is black. He established a temple to the Black Lord, thus
increasing the number of Lords on High to five (25 A: 17b). Down to
the end of the Former Han period, Palace Attendants wore black sables
(98: 15a). Until the time of Emperor Wen, this theory held the field.
It was championed by Emperor Kao's paladin, who became Emperor
Wen's learned Lieutenant Chancellor, Chang Ts'ang.
Some other learned men were not however satisfied. A change in the
dynasty indicates a change in the ruling power; earth conquers (dykes)
water just as the Han dynasty conquered the Ch'in. Hence the Han
dynasty should change its New Year's day, the colors of court robes,
etc., to those corresponding to earth. So reasoned Chia Yi. Kung-sun
Ch'en even predicted that a yellow dragon would appear to manifest
what was the dynasty's virtue. Earth is yellow. In 165 B.C., a yellow
dragon did appear—Chang Ts'ang was accordingly dismissed and Kung-sun
Ch'en was made an Erudit. He however fell into disgrace through
being connected with the charlatan, Hsin-yüan P'ing, and his proposed
change in the dynastic institutions was dropped. Only in 104 B.C. did
Emperor Wu officially adopt the color yellow and the power earth as Han
imperial institutions (6:31b).
Meanwhile there had been other developments in this cyclical philosophy
of history. Tung Chung-shu (ca. 175 – ca. 105 B.C.) proposed a
tripartite succession (san-t'ung) of red, black, and white, which three were
supposed to succeed each other concomitantly with the five powers.
Emperor Wu's New Year's day was fixed in the first month in accordance
with this theory.
During the peaceful decades in the early part of the Han period, Confucians
moreover came to give more attention to the ancient legendary
lords, Fu-hsi, Sheng-nung, the Yellow Lord, Chuan-hsü, K'u Yao, and
Shun. These lords did not succeed each other by conquest. Each one
was said to have resigned the throne to his successor. A cyclical theory
that the powers conquer each other does not fit a history which includes
such peaceful changes of dynasties. Tung Chung-shu accordingly suggested
a theory by which the five powers each produces its successor:
wood produces fire, that produces earth (ashes), that produces (mines)
metal, that produces (melts into) water (liquid), that produces (nourishes)
wood (vegetation), and so on. His Ch'un-ch'iu Fan-lu contains both this
theory and the earlier one that each power conquers its predecessor, but
influence it came to be accepted widely. It found a place in the "Explanation
of the Trigrams (Shuo-kua)" (Legge, Yi King, App. V), which
was "discovered" during 73-49 B.C. Thus it was given classical confirmation.
Liu Hsiang4a developed it and gave it the weight of his great
influence, so that it came to be the only one given serious consideration
during the latter part of the Former Han period. The Han dynasty
was now given the virtue of fire, which was supported by the story of
the Eminent Founder being the son of the Red Lord (1 A: 7a). Down
to 91 B.C., the imperial credentials were pure red (66: 3b), possibly because
Liu Chi, when he first arose, anointed his drums with blood (1 A:
9b). Since the Ch'in dynasty had ruled for such a short period, this
dynasty was considered to have achieved its conquest without securing
the Mandate of Heaven and without the assistance of a power in the
regular cycle. The Ch'in dynasty then constituted an intercalary period.
The Han dynasty was considered to have succeeded the Chou dynasty,
to the latter of which was now given the virtue of wood. The ancient
lords and the three ancient dynasties were each given their appropriate
power in the cyclical succession and ancient history was explained thereby.
In this way, the succession of dynasties was made to appear as inevitable
and natural as the succession of the seasons (cf. Ku Chieh-kang, Ku-shih-pien,
V, 404-617).
Liu Hsiang4a was a loyal member of the imperial clan. He opposed
the influence of the Wang clan so strongly that he was never given high
office. This theory of dynastic succession was then not originally intended
to aid Wang Mang. It however aided mightily in bringing him
to the throne.
This theory made intelligent people think that a change in the dynasty
was inevitable. The succession of the powers moreover made them think
it would be possible to predict the next dynasty. Fire produces earth.
The Wang clan claimed descent from the Yellow Lord, who had the
virtue of earth. This genealogy almost certainly antedated Wang Mang;
it seems to have been merely a noble clan's attempt to exalt itself by
claiming divine descent. There were other clans also claiming descent
from this mythical ruler. The Wang clan however dominated the government
for over three decades, so that it became only natural for people
to point to this clan when they talked about the next dynasty.
Astrology and prognostication also played a part in this speculation.
Generations before the Wang clan ever appeared at court, Lu Wen-shu's
(fl. 73 B.C.) great-uncle had calculated by astrology that after a period
of three times seven decades of years, the Han dynasty would end
(cf. 99 A: n. 34.5). During the reign of Emperor Ch'eng, Ku Yung, a
revived this prediction. This period of 210 years would end in A.D. 4.
When, in 12 B.C., there was an eclipse of the sun on New Year's day,
followed by thunder without clouds in May and the appearance of Halley's
comet in the autumn, the court became greatly exercised. Shun-yü
Chang, an imperial maternal relative, was sent to secure Ku Yung's
interpretation. The latter replied that the number of portents during
the last twenty years was greater than in the Spring and Autumn period
or during the regins of all the preceding Han emperors; the period of
three sevens of decades was coming to an end; and the lot indicated by
the hexagram wu-wang (then meaning "hopelessness") was coming up.
He went on to intimate that the essence of the power earth was being
born (85: 15b-16b). His memorial made a deep impression in the court.
Thus in 12 B.C., there was already a general belief among intelligent
persons that the Han dynasty's period was coming to an end.
When moreover Emperors Ch'eng, Ai, and P'ing died without natural
heirs, people naturally saw in this extraordinary circumstance Heaven's
plain intention to end the dynasty. There could indeed be hardly any
surer manifestation that the supernatural powers intended to end a
dynasty than that three of its rulers should in succession all have left
no heir. The death of Emperor P'ing at the end of the Chinese year
beginning in A.D. 5 was naturally interpreted as a confirmation of Lu
Wen-shu's great-uncle's prophecy. The count of years in Emperor Kao's
reign had been begun before he had even become a king (1 A: 26b); it
could easily be maintained that he began one year too early. If so,
Emperor P'ing died at precisely the end of the dynasty's two hundred
and tenth year. People naturally concluded that the virtue of fire had
expired and the virtue of earth was arising by the inexorable operation
of Heaven's cyclical natural law.
Yao and Shun had each resigned the throne to his greatest minister.
Wang Mang came from a clan that had now controlled the government
for many decades; he himself had been raised to previously unprecedented
honors. He was descended from the Yellow Lord and possessed the
virtue of earth. He had done all he could to maintain the Han dynasty
on the throne, but nevertheless all these events had happened. He had
not been responsible for the succession of coincidences that had occurred
or the philosophical theory by which they were interpreted. History
runs in cycles. The laws of Heaven cannot be evaded. People naturally
drew the conclusion that history was repeating itself and that Heaven
had destined Wang Mang to inaugurate a new dynasty under the rule
of the power earth.
The depth and sincerity of this political consequence drawn from
philosophical principles is shown by the fact that it was shared by members
of the Liu imperial clan itself, especially after Wang Mang's victory
over Chai Yi's formidable rebellion had given apparent empirical confirmation
to the belief that Wang Mang possessed the mandate of
Heaven. The famous Liu Hsin1a, who was a descendant of Liu Chiao,
Emperor Kao's younger brother, actively assisted Wang Mang to take
the throne. Liu Ching4b, a descendant of Emperor Wu, presented one
of the crucial portents, urging Wang Mang to take the throne (99 A:
34a, b). Liu Kung2, a first cousin of Liu Hsin1a, also presented a portent
(99 B: 14a). When Liu K'uai rebelled against Wang Mang, his brother,
Liu Yin2, a descendant of Emperor Ching, resisted and defeated the
insurrection (99 B: 7b, 8a). Altogether some thirty-two members of the
Han imperial clan either presented portents to Wang Mang, offered
congratulatory sayings, or arrested and informed on rebels against him.
These persons and their families were granted the new imperial surname,
Wang, so that they were continued in their nobilities (99 B: 14a). Some
of these persons were, of course, mere sycophants, seeking continued
enjoyment of their fiefs, but there were honest persons among them. If
then even members of the Han imperial clan were convinced, it is not
surprising that intelligent persons generally accepted Wang Mang's
legitimacy. The famous writers of the day all accepted Wang Mang.
Huan T'an assisted Wang Mang at the time of Chai Yi's rebellion, by
publishing abroad Wang Mang's apologia, and in reward was enfeoffed
as a Vassal (84: 17a). The philosopher, Yang Hsiung2, who cared not
for fame or disciples and spent his energy solely in elaborating his philosophy,
wrote mandates through portents for Wang Mang (87 B: 22b).
Most of the Confucians seem to have approved of Wang Mang's succession,
for this seemed to be Heaven's will.
Once there was such a general expectation of Wang Mang's succession
to the throne and once portents of that event were expected, it was only
natural that those individuals who were bolder than others should have
manufactured what was required. The first portent came in the same
month that Emperor P'ing died and was offered by an official ranking
next to the high ministers (99 A: 25a). After Chai Yi had been defeated,
portents began to appear more frequently, until at last there were more
than a dozen (99 B: 9a-10b), whereupon Wang Mang finally ascended
the throne.
I do not think that Wang Mang instigated any of these portents in
even as indirect a manner as he instigated the coming of the white
pheasant in A.D. 1. My chief reason is that it would have been quite
unnecessary for him to have done so. He had carefully weeded out of
to his feelings. They knew he was intensely ambitious and they had
helped him by indirect means to secure his unusual honors, being amply
rewarded for doing so. After he controlled the government and had
attained his unusual titles, there was only one honor really greater than
those he had received, so that when the opportunity offered itself, his
courtiers, as previously, spontaneously continued to flatter his ambition.
It is furthermore worthy of note that Ai Chang's portent, which was
the decisive one, upset Wang Mang's plans considerably. On Jan. 6,
A.D. 9, upon the receipt of some portents, he memorialized the Grand
Empress Dowager, asking to be entitled Acting Emperor and to change
the year-period to Ch'u-shih, saying that he would rear the Young Prince
of the Han dynasty, Liu Ying, and return the government to him when
he was grown (99 A: 34a-35a). Two days later, on Jan. 8, Ai Chang's
portent arrived, and it was accepted on Jan. 9 or 10 (99 A: 35b & n. 35.12),
whereupon Wang Mang took the throne. Ai Chang's portent completely
upset the whole situation, so that it can hardly have been planned by
Wang Mang.
We have no means of knowing Wang Mang's own attitude to these
portents, whether he actively welcomed them or whether he was surprised.
At least he was not displeased. If he had been a doggedly faithful servant
of the Han dynasty, he would have arrested and executed Hsieh Hsiao
and Meng T'ung, who presented the first portent (99 A: 25a), as he had
treated Tung Hung (99 A: 2b), and there would have been no more
portents. When, instead, he had the portent reported to the Grand
Empress Dowager, probably without any comment of his own, he let
it be known to the court that he was not displeased and gave his courtiers
time to make up their minds about such matters. The general opinion
in the court undoubtedly became favorable to Wang Mang's advancement,
so that other persons were naturally stimulated to present their
portents. They knew they had nothing to lose by so doing, and might
secure boundless rewards.
It is quite possible that Wang Mang did not at first really want to
take the throne. He waited three full years from the time of the first
portent until he finally accepted the post those portents declared was his.
Confucian sentiment honored the capable minister far more than the
prince; Wang Mang had been promoted to the status of a Duke of Chou,
the person whom Confucius had taken as his ideal character. If Wang
Mang had finally refused the throne and maintained his position as a
minister, he might well have come down in history as the greatest of
ancient statesman, a man who outshone even Kao-yao, Yi Yin, and the
Duke of Chou. But he loved power and knew what it was to have that
the provinces, with no prospects of further advancement. His lack of
honors in his youth had made him intensely ambitious. And so, when
his courtiers kept urging him, by renewed portents, to take the throne,
he at last yielded to their proddings and accepted the dangerous honor.
Thus his delay of three years in accepting the throne may have represented,
not merely the proper Confucian modesty, but a real hesitation
on his own part. Pan Ku says that in the autumn of A.D. 8 he at last
plotted to secure the throne; that judgment may well be correct. Ts'ao
Ts'ao (155-220 A.D.), in similar circumstances, benefited by Wang
Mang's experience and never actually took the throne, although he
wielded the imperial power. Wang Mang was a Confucian minister who
put his minions into office and allowed them to persuade him, when the
opportunity patently offered itself, to take the throne.
| THE HISTORY OF THE FORMER HAN DYNASTY The history of the former Han dynasty | |