 | THE HISTORY OF THE FORMER HAN DYNASTY The history of the former Han dynasty |  |
INTRODUCTION
The first chapter in the History of the Former Han Dynasty contains
an account of the rise of Liu Chi, who became Emperor Kao-tsu and
the founder of the Han dynasty, and of the important events in his
reign. In accordance with the canon of Chinese historical writing
that the most reliable account is to be obtained by copying sources
practically verbatim, this chapter is largely a copy of the chapter devoted
to Kao-tsu in Sze-ma Ch'ien's Historical Records or Shih-chi, together
with additions taken from the SC chapter on Hsiang Yü. Those
chapters were probably themselves largely copied from the Ch'u-Han
Ch'un-ch'iu by Lu Chia, who presented his book to Kao-tsu in 197 B.C.
His book is now lost, but it was preserved in T'ang times, and notations
of the information it contained in addition to what is found in the HS
are found in the notes. Very little indeed is so noted. Probably this
book was allowed to disappear because practically everything in it had
been incorporated into the History.
We have thus in the first part of this chapter an account of the conflict
that arose after the death of the First Emperor of the Ch'in dynasty,
taken from documents contemporary with those events. The second part
of the chapter contains the chronicle of events in Kao-tsu's reign after
he assumed the title of Emperor. This part of the chapter is also copied
largely from the corresponding chapter in the SC, but there are significant
additions, especially among the imperial edicts recorded for that
period. Pan Ku seems to have had access to a collection of imperial
edicts preserved in the archives at the capital and to a set of annals of
important events kept by imperial officials. Since he admired Szu-ma
Ch'ien so greatly, he made Szu-ma Ch'ien's account the basis of his own
account, and added to it or corrected it at the few places where changes
seemed necessary.
The Imperial Annals, the first of which constitutes this chapter, are
merely the chronological summary of the History of the Former Han
Dynasty, a typical Chinese encyclopedic history. In this History the
twelve Annals constitute only about one twentieth of the whole work.
story of any reign or even any detailed account of the events in it. Pan
Ku realized that history cannot be broken off at the death of each emperor.
He conceived of history as the record of the deeds of individuals,
so he put into his Memoirs and Treatises many facts that are essential
to a full understanding of historical movements. While this chapter
does contain many more details than usually appear in annals, yet much
additional material is to be found in the relevant Memoirs. We have
summarized in the Glossary the important Memoirs bearing on this
and other reigns; it is suggested that the reader consult the Glossary sub
the names of places and persons in each chapter. He will find there many
events not to be found in the Annals. Pan Ku limited himself to one
dynasty because the immense wealth of material at his command made
a limitation of scope imperative. He has indeed been criticized for the
great length to which his history grew, yet that great length was needed
for an adequate picture of this unusual period. Because his history was
planned as an encyclopedia rather than as a straightforward account,
the extraordinarily complete picture given by Pan Ku will not be
available until the whole of this long History has been translated. * * *
The account of the rebellion against the Ch'in dynasty and the rise
of Kao-tsu, given in the first part of this chapter, is quite logical and is
told in detail. The China of that day was still largely confined to the
Yellow River valley. In 209 B.C., at the opening of revolt, the imperial
capital was at Hsien-yang, near the present city by the same name in
Shensi. Central Shensi, then called Kuan-chung, is a great natural
fortress, with mountains and the Yellow River making a formidable
barrier to invasion. To the east, Kuan-chung was entered chiefly by
the Han-ku Pass, which is easily defensible. Within this fortress is the
Wei River valley, then very fertile and well populated. This region
had been the seat of the Ch'in state, which had conquered China and
whose king had taken the proud title of the First Emperor in 221 B.C.
He had extinguished all the feudal nobility and had divided China into
thirty-six commanderies, each governed by an official appointed by
himself.
Southwest of Kuan-chung in the mountainous southwestern Shensi
was the Han-chung Commandery, from which difficult roads led to the
commanderies of Pa and Shu in the present Szechuan. This region had
not yet been fully civilized; it was still a region of exile. Here was soon
to be established the kingdom of Hans, to which Liu Chi was appointed.
Travel east of Kuan-chung went chiefly down the Yellow River valley
to the place where the great coastal plain begins to broaden out. There
was also a road across the mountains of eastern Shensi and up the Fen
River valley, which debouched through mountain passes onto the great
plain in the present central Hopei. Because of its difficulties, traffic
usually took the other road via the Yellow River valley. The northern
road was the one followed by Han Hsin in his conquest of Chao, Yen,
and Ch'i in 205-3 B.C. In the narrow east and west corridor which is
the Yellow River valley east of Kuan-chung, lay the city of Jung-yang,
which Kao-tsu long made his headquarters when fighting Hsiang Yü,
and where he was besieged by the latter and almost captured. Here
too was the immense granary of Ao, on a mountain by the shore of the
Yellow River. It contained so much grain that for three years Kao-tsu's
forces, numbering hundreds of thousands, continued to draw food from
this granary, and yet did not exhaust it. Its location made it easily
defensible; Hsiang Yü's failure to garrison adequately this stronghold
left him without an appropriate base of supplies to fight Kao-tsu and
eventually brought about his defeat. At the place where the plain
starts to broaden out had been the last capital of the ancient state of
Hanh.
The Yellow River at that time turned north from its present bed near
the place where the Peiping-Hankow railroad now crosses the River,
and flowed northeast, following approximately the present Grand Canal,
until it emptied into the sea near the present Tientsin. Between this
channel of the Yellow River and the Gulf of Chihli (then called the
P'o Sea) had been the ancient state of Ch'i, one of the richest parts of
China. West of the Yellow River had been the ancient state of Chao,
and north of Chao, Yen. South of the Shantung promontory, in the
present northern Kiangsu, was P'eng-ch'eng, the last capital of the
ancient state of Ch'u. Not far away was the birthplace of Liu Chi.
To the south in the seaboard plain, across the Yangtze River, was the
K'uai-chi Commandery, which had formerly been the state of Wu,
from which arose Hsiang Yü and his uncle.
The remainder of the present China, outside the Yellow River valley
and the seaboard plain, had not yet become important. Even
the Hsiang River valley, which later became the kingdom of Ch'ang-sha,
was still considered as "low, damp, and poverty-stricken," and
was used as a place of exile. Present Fukien was the seat of a semiindependent
barbarian kingdom, Min-yüeh; present Kwangtung was
the seat of another barbarian kingdom, Nan-yüeh. The First Emperor
had conquered these regions and had sent convicts there as
and played only a small part in the Chinese politics of the time.
The significant regions of China, in which most of the matters related
in this chapter occurred, were Kuan-chung, where was the capital, the
narrow valley where the Yellow River flows eastwards, and the
seaboard plain, where had been located the flourishing states that
had been conquered by Ch'in. Among these states there started
the revolt which finally conquered Ch'in.
In the background of this revolt there lay the exactions and cruelly
overwhelming force wielded by the First Emperor. After his death,
his son, the Second Emperor, continued his harsh policy. The people's
resentment had gradually accumulated and a spark set it aflame.
Ch'en Shê was an ambitious farm boy who became one of the chiefs
in a levy of men made in the present southern Honan, which had been
part of the ancient kingdom of Ch'u. In the late summer of 209 B.C.,
a bad rain prevented this levy from reaching its destination on time.
According to the Ch'in laws, the officers and men of the levy would
have been condemned to death; they accordingly conspired to rebel.
As a slogan they falsely called themselves partisans of Fu-su, the displaced
heir of the First Emperor, and fabricated miracles to legitimize
themselves. The rebellion was not thus at first openly directed against
the dynasty, but was merely the act of men driven to desperation by
over-harsh laws.
Success in capturing important cities and the favorable response
of the people led Ch'en Shê to call himself the King of Ch'u and appoint
subordinate generals to overrun the surrounding country. These
generals found themselves welcomed by the people, and set themselves
up as kings of the regions which they controlled. Soon much of
eastern China was aflame.
The Ch'in forces were sent to put down the rebellion, with Chang
Han, a very capable general, at their head. He defeated Ch'en Shê
and relieved the siege of an important city. Ch'en Shê's important
generals were likewise defeated, and he fled eastwards into the present
northern Kiangsu, where he was assassinated by his own charioteer.
But neither the death of Ch'en Shê nor the continued successes of
Chang Han could stop the rebellion. Ambitious men all over eastern
China saw their opportunity, excited their neighbors to arise and
massacre the officials appointed by the Ch'in dynasty, and put themselves
at the head of a rebel force. Against such a wholesale uprising
even the ablest general could do little, for he could not be everywhere.
Soon the less able rebel generals subordinated themselves to the more
successful ones.
In the present southern Kiangsu, an uncle and nephew, Hsiang
Liang and Hsiang Yü, murdered the Commandery Administrator,
took his army, and marched north. They were descendants of the
famous generals in Ch'u, and as they came north other generals came
to them with their armies. They set up a successor to Ch'en Shê in
the person of a scion from the ancient kings of Ch'u, thus legitimizing
their rebellion and bringing further recruits. Their capital was put
at P'eng-ch'eng, in the present northern Kiangsu.
Among the generals who had previously come to Hsiang Liang was
Liu Chi, the future Kao-tsu. (There is no evidence that he used the
name Liu Pang until after his coronation, when that name was
tabooed.) He was a former village official who had become a bandit
as the result of official oppression and bad luck, and had been summoned
with his followers when the chief town of his commandery
intended to rebel. He killed its vacillating magistrate when the
magistrate changed his mind and refused to rebel, then he made
himself master of P'ei, a city in the present northern Kiangsu, together
with surrounding cities. From that time he was known as the Lord
of P'ei. A subordinate who had been left in charge of Feng went
over to another rebel general who had a better pedigree than Liu Chi,
and Liu Chi was unable to retake Feng. He finally applied to Hsiang
Liang, who gave him troops and enabled him to recapture Feng.
When Chang Han defeated and killed Hsiang Liang, Liu Chi attached
himself closely to Hsiang Yü and was made a marquis by the King
of Ch'u.
Meanwhile rebellion had flared throughout the present Shantung
and Hopei. The King of Chao was besieged by the Ch'in forces at
Chü-lu in central Hopei and sent to Ch'u for rescue. At that time
two projects required the urgent attention of Ch'u: the raising of the
siege at Chü-lu and the carrying of the war to the capital of the
dynasty at Hsien-yang, in Kuan-chung. The ablest generals, including
Hsiang Yü, were sent north, and Liu Chi was sent west.
The General-in-chief in charge of the army sent to the relief of
Chü-lu proved dilatory and incompetent, so Hsiang Yü boldly killed
him and took charge of the army. Hsiang Yü's prestige was so high that
generals from other parts of the country joined him in rescuing Chao.
When he crossed the Chang River he boldly burnt his boats and destroyed
all but three days' provisions, then advanced to the attack.
In nine battles he defeated the besiegers, captured their general,
burnt their camp, and raised the siege. The fame of this deed brought
to Hsiang Yü's standard the outstanding generals of the country.
Then he turned his attention to Chang Han.
Chang Han had been fighting rebels for almost two full years;
they had gained in strength in spite of his victories. A defeated
general could expect little but execution from the harsh authorities
at the capital. Chang Han was said to have lost over a hundred
thousand men in those two years. The imperial authority was then
in the hands of a eunuch Chancellor of State, who had slaughtered
his enemies. Chang Han was now defeated in battle by Hsiang Yü,
and, when the latter promised him a kingdom, Chang Han was ready
to surrender, although his army was said still to contain more than
two hundred thousand soldiers. When the surrendered army showed
signs of discontent at this action of its generals, Hsiang Yü had
it massacred at night. Then he started for Hsien-yang with an army
said to be of four hundred thousand men.
Meanwhile Liu Chi had worked his way westwards. He had been
sent off with a totally inadequate force and with the promise that the
person who conquered the capital would be made the king of that
region. He spent a whole year going westwards, gathering recruits,
preaching rebellion, making friends, and fighting with the Ch'in armies,
usually, but not always, successfully. When he reached the borders of
Kuan-chung, he first sent a messenger into that region to preach rebellion,
then avoided the easily defensible Han-ku Pass, made a detour to
the southwards, and entered the lightly defended Wu Pass. After
tricking and crushing the Ch'in army sent against him, he arrived at the
suburbs of the capital, which was empty of troops. There, in Nov./Dec.
207 B.C., the last ruler of the Ch'in dynasty came and surrendered to
him. Kao-tsu later dated the beginning of his reign with this event.
Liu Chi showed himself generous and kindly. Instead of looting the
city, he sealed up the imperial palaces and treasuries and moved his
troops out of the capital, for Hsiang Yü might ask for an accounting
of its treasures. Hsiao Ho, his future Chancellor, took the charts and
registers out of the imperial chancellor's office. Through their possession,
Liu Chi was later able to know the strategic points of the empire,
the size of the population, and the people's grievances. Liu Chi gathered
the leaders of the region and announced to them that he had been
promised the kingship of Kuan-chung and that he was going to agree
with them on a code consisting of only three articles: death for murder,
proportionate punishment for robbery and assault, and the repeal of all
other penal laws. While this drastic abrogation of the detailed and
vexatious laws in effect in Ch'in could not be entirely carried out, yet
it actually meant a great lightening of the people's burdens and secured
for Liu Chi their good will. Then Liu Chi sent a guard to the Han-ku
Pass.
When Hsiang Yü reached that Pass and found it barred, he forced it
and marched on to the capital. Not only was he enraged that Liu Chi
should have dared to try to keep him out (an act of rebellion by a subordinate
against his Commander-in-chief), but he was jealous that
another person should have captured the capital. With an overwhelming
force, he hastened to crush Liu Chi. But the latter was forewarned
and came to make apologies. With lordly generosity, Hsiang Yü accepted
them, especially since the treasures of the capital had been left
for him to loot. He marched into the capital, massacred its people,
killed the surrendered King, and burnt the imperial palaces. That fire
was the real "Burning of the Books," for in the imperial palaces there
had been preserved the proscribed literature for the use of the imperial
Frudits and officials. Those fires did not cease until the third month.
Hsiang Yü proceeded to divide the conquered empire. It was a
military man's division. The King of Ch'u, who had done little but
reign, was nominally elevated to be Emperor, but really exiled to southern
Hunan, where an emissary of Hsiang Yü soon assassinated him.
Hsiang Yü made himself King of Ch'u and Lord Protector of the Empire,
with Kiangsu, southern Shantung, and parts of Honan and the Yangtze
valley as his territory. The agreement about making the conqueror of
Kuan-chung its king was disregarded; Liu Chi was made King of Hans,
a region located in southwestern Shensi and Szechuan. Kuan-chung
was divided into three kingdoms, with the three generals of Chang
Han's surrendered army as its kings. Chang Han was put in that kingdom
which bordered upon Hans, to serve as a buffer against Liu Chi.
Those generals and nobles who had conquered parts of the country and
had followed Hsiang Yü to the capital were confirmed as kings of their
territory. In so doing, a few former kings had to be moved, and T'ien
Jung, who had conquered Ch'i (northern Shantung), but had refused to
submit to Hsiang Yü, was left out. P'eng Yüeh, a bandit chieftain in
eastern Honan, was likewise neglected.
Liu Chi saw that any opposition to this unjust division was useless,
so went to his capital, burning the bridges behind him; Hsiang Yü and
the other generals went to their kingdoms. A month later Liu Chi
returned, surprised and defeated Chang Han, and besieged him in his
capital. Then Liu Chi overran Kuang-chung. In Ch'i, T'ien Jung
likewise attacked the kings that Hsiang Yü had appointed to that
region, and made himself king.
Hsiang Yü attacked Ch'i first, for it was nearer his own kingdom and
he was told that Liu Chi had no designs on the east. He defeated T'ien
Jung, who was then assassinated. But Hsiang Yü's excesses in the
able to raise an army to continue the struggle. Meanwhile Liu Chi had
established himself firmly in Kuan-chung and invaded Honan as far
as Lo-yang. When the assassination of the new Emperor by an emissary
of Hsiang Yü became known, Liu Chi preached a crusade against
the murderer, persuaded and compelled five kings to follow him, and
marched east with a coalition army said to comprise five hundred and
sixty thousand men. He captured and entered Hsiang Yü's capital,
P'eng-ch'eng. Hsiang Yü was in Ch'i; with thirty thousand picked troops,
he reached P'eng-ch'eng by forced marches, and surprised the coalition
army at the city where it had been feasting, crushing it utterly. A
hundred thousand men were forced into the rivers and drowned.
Liu Chi escaped and fortified himself in Jung-yang (near the present
Cheng-hsien, Honan). There he was reinforced by new troops from
Kuan-chung and elsewhere. Then he sent emissaries to stir up rebellion
against Hsiang Yü in Anhui, and sent Han Hsin, who was his
titular General-in-chief, to conquer Shansi and Hopei, and thence to
press into Shantung.
When Hsiang Yü proceeded to besiege Liu Chi in Jung-yang, Liu
Chi was now able to offer peace, dividing China in half, with only that
part west of Jung-yang for his own. Hsiang Yü refused and pressed
the siege. Liu Chi had to escape and permit the city to be captured;
he returned to his impregnable fortress of Kuan-chung, and drew Hsiang
Yü into northern Hupeh by going out of the southern part of Kuan-chung.
Meanwhile P'eng Yüeh was looting near P'eng-ch'eng, so
Hsiang Yü had to return to his capital. Then Liu Chi recaptured the
cities he had lost in Honan. When Hsiang Yü returned to Honan,
Liu Chi fled, but sent assistance to P'eng Yüeh, who burnt Hsiang Yü's
stores. When Hsiang Yü pursued P'eng Yüeh, Liu Chi crushed the
army Hsiang Yü had left behind and took possession of his treasures.
Meanwhile Han Hsin, in a brilliant campaign, had conquered the region
into which he had been sent, and had established himself in Ch'i.
Liu Chi entrenched himself in the hills northwest of Cheng-hsien,
where he could draw food from the immense granary at Ao. There he
was besieged by Hsiang Yü. But Anhui and Shantung revolted against
Hsiang Yü; P'eng Yüeh cut off his supplies, and finally Hsiang Yü had
to make peace and agree to the same division of the country as that
previously proposed by Liu Chi.
When Hsiang Yü returned east, Liu Chi, disregarding the treaty,
pursued him with fresh troops. By promises of territory, he induced
Han Hsin, P'eng Yüeh, and others to unite with his forces. Together
got him to flee from his camp with a body of cavalry, pursued, and
killed him in Dec./Jan. 203/2 B.C.
Liu Chi now feared Han Hsin most, so he rode into Han Hsin's entrenchments,
took away his army, and appointed him King of Ch'u.
Ch'i was too valuable a territory to be left to anyone who might rebel.
Liu Chi also sent his generals to overrun Ch'u and extinguish rebellion
there.
Liu Chi's nobles and adherents now proposed to make him Emperor.
He declined the requisite number of times, and was enthroned on Feb.
28, 202 B.C. He proceeded to organize his empire and appoint his
followers as marquises or kings. At a great banquet, he tactfully declared
that his success had been due to Chang Liang, his chief advisor,
Hsiao Ho, his Chancellor, and Han Hsin, his best general. The organization
of the empire was largely the work of Hsiao Ho, who had done
no fighting, but whom Kao-tsu esteemed most highly among all his
nobles. Because of its natural strength, Kao-tsu moved his capital
from Lo-yang to Ch'ang-an in Kuan-chung (Shensi).
During the remainder of his reign, Kao-tsu was chiefly occupied in
putting down a series of revolts, and in appointing his sons and relatives
to the kingdoms thus vacated. When Kao-tsu took the throne,
there were seven kings in the empire who were not members of the
imperial family, and no members of the imperial family who were kings.
Gradually the kings who were not members of the imperial family revolted
or were disposed of. The first to revolt was Tsang Tu, who had
been a follower of Hsiang Yü and had been appointed by him as King of
Yen, with his capital at the present Pei-p'ing. Kao-tsu marched against
him, captured and executed him, and made his own boyhood companion
and best friend, Lu Wan, the King of Yen. Then Li Chi, who was a
marquis and had previously been a general of Hsiang Yü, but had submitted
to Kao-tsu, became afraid of treachery, and rebelled. He was
routed. Han Hsin, now King of Ch'u, failed to deliver up promptly a
friend who had taken refuge with him and who had been proscribed by
Kao-tsu; Kao-tsu marched to Ch'u with an army, caught Han Hsin
unprepared, and arrested him. He was imprisoned, then pardoned and
made a marquis, but kept at court where he could be watched.
Hanw Hsin had been made King of Hanh in Honan. But Kao-tsu
wanted that territory free from possible rebels, so in the spring of 201,
he moved Hanw Hsin to be King of a new Hanh, located in the present
Kao-tsu suspected his loyalty and made the mistake of sending him a
letter reproving him; whereupon Hanw Hsin became suspicious of Kao-tsu's
intentions and went over to the Huns. Kao-tsu himself took the
field and routed Hanw Hsin, but Hanw Hsin's generals and the Huns
continued to make incursions and to stir up trouble. At Lou-fan,
Kao-tsu's soldiers were almost frozen to death; at P'ing-ch'eng, Kao-tsu
was almost captured by the Huns. The invaders were finally driven out.
At the court of his son-in-law, Chang Ao, King of Chao, Kao-tsu did
not bother to be polite; the scrupulous Chancellor of the kingdom was
enraged, and ambushed Kao-tsu the next time he traveled through the
kingdom. A premonition saved Kao-tsu's life. When the conspiracy
was discovered, its members committed suicide and Chang Ao was
degraded to be a marquis.
Then in Sept./Oct. 197, Ch'en Hsi, whom Kao-tsu sincerely trusted,
and who had been made Chancellor in Tai (southwestern Chahar), was
induced by Hanw Hsin to revolt. Kao-tsu was unprepared for another
revolt; he rushed to Han-tan (in Hopei), but found himself without an
army. Even an urgent call for troops was slow in bringing results.
Kao-tsu spent the winter in Han-tan waiting. Not until spring was
Ch'en Hsi's power broken and Hanw Hsin killed as he came to Ch'en
Hsi's aid. Ch'en Hsi was pursued and killed the next winter.
Meanwhile, in the capital, the Empress née Lü had become so alarmed
and suspicious that she lured Han Hsin into the palace and executed
him. P'eng Yüeh had sent troops to the assistance of Kao-tsu at Han-tan,
but had failed to come himself; whereupon Kao-tsu impatiently
and angrily sent a rebuke to P'eng Yüeh. Then P'eng Yüeh himself
wanted to go to Kao-tsu. He was however warned that the Emperor
would probably execute him in anger. So he feigned illness. Then a
disgruntled official went to Kao-tsu and informed him that P'eng Yüeh
was planning rebellion. Kao-tsu thereupon had P'eng Yüeh arrested,
dismissed him from his kingdom, and sent him into exile. On the way
he met the Empress; she promised to plead for him, but instead she had
Kao-tsu informed that P'eng Yüeh was again planning to revolt, whereupon
he was executed. The remaining loyal kings who were not members
of the imperial family were now very suspicious, wondering when
their turn would come.
Ch'ing Pu had been Hsiang Yü's Commander-in-chief, and had been
made King of Chiu-chiang. An emissary of Kao-tsu had induced him
to rebel against Hsiang Yü; he had been compelled to flee to Kao-tsu
in Jan./Feb. 204 with a very few men. Kao-tsu then used him to stir
kingdom in southern Anhui and northern Kiangsi. After the execution
of Han Hsin and P'eng Yüeh, Ch'ing Pu became very nervous, and
started to collect troops so as not to be caught defenseless. Word of
this move was brought to Ch'ang-an, and an envoy was sent to investigate;
Ch'ing Pu feared what was coming, and put his army into the field
in open rebellion. He was an able general and fighter; he routed two
neighboring kings belonging to the imperial house, killing one of them.
But Kao-tsu had kept a large standing army ready for emergencies; he
was himself ill, nevertheless he took the field against Ch'ing Pu, routed
him in northern Anhui, drove him south, and finally compelled him to
flee. Ch'ing Pu was killed by the people at a stopping-place.
After the death of Ch'ing Pu, no one else dared to rebel; indeed it
is very doubtful that even he would have rebelled had he not felt that
there was no other way to escape execution. It was discovered however
that Lu Wan, the King of Yen, had had secret communication with
the Huns and with Ch'en Hsi. Lu Wan had been afraid that he would
be the next king to be dispossessed and killed, so had dallied with the
thought of rebellion. Kao-tsu sent an emissary to investigate the matter.
Some evidence was unearthed and Kao-tsu summoned Lu Wan to
court. He claimed illness, so the Emperor sent two generals to attack
him. Lu Wan did not think of resisting the imperial forces; he took
his family and several thousand troops and moved just outside the
Great Wall, hoping for a chance to come to court and beg his old friend
for pardon. The Emperor's death deprived him of that chance, and he
fled to the Huns, who gave him a kingdom.
There was left now only one king not of the imperial house—the King
of Ch'ang-sha. His kingdom was so small and unimportant that it
was not worth while to disturb him. Kao-tsu's suspicions had eliminated
almost all those not of his own family and had put his clan and the men
from his prefecture into practically all the important positions. At his
death, nine of Kao-tsu's sons and relatives occupied kingdoms.
Kao-tsu was ill before he started out against Ch'ing Pu; a wound from
a stray arrow became infected and killed him seven months later.
While he was suffering from this wound, the problem of the succession
to the throne became acute. As a political move in 205, ten years
previously, Kao-tsu had appointed Ying, the son of the Empress née Lü,
as his Heir-apparent. The boy was now fifteen. He had been domineered
over by his mother, and had turned out to be a weakling. Kao-tsu
was not pleased with him, saying openly that Ying was not like
himself. Kao-tsu's favorite concubine was the Lady née Ch'i, whose
is like me." The Empress hated the Lady née Ch'i bitterly, and Kao-tsu
realized that after his death the Empress would probably try to
injure the Lady née Ch'i and Ju-yi. For Kao-tsu it was a choice between
a weak heir with a strong and capable but cruel mother, and a mere
child with a beloved mother. The Lady née Ch'i's pleadings finally
brought Kao-tsu to the point of ordering the feast at which he would
announce the change. But during that feast he found that Ying had
secured the following of certain learned men whom Kao-tsu had been
unable to attract, and so refused to change the succession.
When Kao-tsu died, on June 1, 195 B.C., the Empress née Lü was
at first uncertain whether her party would be able to enthrone her son.
She concealed the death for four days and toyed with the notion of
assassinating the prominent generals who might stand in the way of
her son. But she soon saw that this policy was not really feasible, so
distributed rewards to them liberally, and succeeded in enthroning her
son on the day of Kao-tsu's burial, twenty-two days after his death.
Kao-tsu was probably forty when rebellion first broke out against the
Second Emperor. His early life had been spent in farming, holding a
village office, and finally, as a bandit chieftain. His ability to make
decisions rapidly and surely and his willingness to consult with and take
advice of others were powerful assets. He was ambitious, yet he recognized
the abilities of others, and realized that he must depend on others
for his own greatness. He had the ability to choose the right man for
the place. Han Hsin was utterly undistinguished, a common soldier
who had been a mere peasant and a beggar, when Hsiao Ho recommended
him to Kao-tsu; he was immediately made General-in-chief. Kao-tsu's
personality attracted to him able men and kept them loyal. Hsiao Ho,
his Chancellor, was his former official superior. He had been Chief
Official in the prefecture where Liu Chi was a village official; when the
Prefect showed himself incapable, Hsiao Ho assisted in summoning Liu
Chi, helped to make him Prefect, and became his loyal follower. Li
Yi-chi, a garrulous Confucian, was so attracted by the sight of Liu Chi
that he voluntarily came to him.
As a general, Kao-tsu showed great but not superlative capacity.
He won most of his battles, but lost a respectable number of them. His
tactics in the campaign against Hsiang Yü were admirable. Liu Chi
refused to fight a pitched battle and kept Hsiang Yü running from one
part of the country to another, then defeated Hsiang Yü's generals
when Hsiang Yü had gone. Hsiang Yü never lost a battle in which he
commanded, yet Liu Chi succeeded in eliminating him. It was as a
from Hsiang Yü his capable subordinates, inducing them to revolt or
stirring up Hsiang Yü to suspect and dismiss them. Kao-tsu was himself
suspicious of even his greatest intimates and was quite careless
about good manners. But he was just and not opinionated, so that he
was quite ready to make changes. He was favored by circumstances in
many ways, but he also created his circumstances. His achievements
mark him as one of the world's great men. * * *
The accession of Kao-tsu marks, in at least two important circumstances,
an epoch in Chinese history. In the first place, it marks the
final breakdown of the ancient aristocracy.
The Ch'in dynasty had disestablished all noble titles. But the noble
families remained, and retained much of their prestige. A large number
of the early leaders against the Ch'in dynasty were aristocrats. Hsiang
Liang and Hsiang Yü, who became the dominant leaders, were members
of the family which had given generals to the state of Ch'u, and owed much
of their success to their family's prestige. When they killed the Administrator
of K'uai-chi, the people came to them because of their
family's reputation. That reputation likewise brought them important
recruits when they started north. When Hsiang Yü killed Sung Yi, his
family's prestige enabled the former to secure the following of the army.
The first leaders in Ch'i, T'ien Tan, T'ien Fu, T'ien Tu, T'ien An,
T'ien Jung, T'ien Kuang, and T'ien Heng were all of the princely family
in Ch'i. Wei Chiu, who became King of Weih, was a scion of the ancient
princes of Weih. Chao Hsieh, the first King of Chao after the rebellion
began, was a descendant of the kings of Chao. Han Ch'eng, the first
King of Hanh, was likewise a descendant of its kings. King Huai, the
third King of Ch'u, was a grandson of the older King Huai of Ch'u.
Indeed, there was a distinct tendency in all the states to make the
descendant of some noble family the titular ruler of the state, although
that state might have been conquered by a commoner. The commoner
took a subordinate position, such as Chancellor or General-in-chief.
Ch'en Ying was offered the kingship in Ch'u by the people, but he refused,
for he did not come from a noble family.
On the other hand, some of the early leaders, especially the earliest
ones, were commoners. Few aristocrats would risk themselves until
the people had taken the lead. Ch'en Shê, who inaugurated the revolt
and became the first King of Ch'u, was a commoner. So were Ching
Chü, the second King of Ch'u, whose reign lasted only three months,
and finally the King of Chao, Ch'en Yu, the General-in-chief of Chao
who made himself King of Tai, Han Kuang, the first King of Yen, and
others, including Liu Chi.
But the aristocrats did not do so well in the test of severe competition.
Indeed they did so poorly that in the apportionment of kingdoms
after the downfall of the Ch'in dynasty, Hsiang Yü contemptuously disregarded
birth. Thirteen kingdoms were given to commoners and only
six to scions of noble families. Three of these nobles were given their
kingly assignments merely because they had followed along in the train
of Hsiang Yü, so that he could not very well dismiss them; they were
degraded by being removed to kingdoms smaller than those they had
previously occupied. Two more were appointed to Ch'i, which seems
to have had stronger aristocratic prejudices than other parts of the
country. The only aristocrat who really distinguished himself was
Hsiang Yü. One king, Han Ch'eng, had shown himself so weak that
Hsiang Yü killed him and put a commoner in his place. When King
Huai dared to oppose Hsiang Yü, the latter had him exiled and assassinated.
The T'ien family in Ch'i showed some vigor, but it was
crushed. Thus the drastic testing of war eliminated most of the noblemen
very soon after the revolt began.
The result of this debacle among the aristocracy was a turning of
popular opinion away from the aristocrats and a strengthening of its
attitude to those commoners who had dared to set themselves up as
leaders. Liu Chi's followers were practically all commoners, and came,
especially at first, mostly from his own district, P'ei. Only one aristocrat
achieved any distinction in his group—Chang Liang, whose family
had given the Chancellors to Hanh. He acted as Liu Chi's advisor; in
physique he was sickly and weak, and as a general he was a failure,
although as a strategist he was excellent. Practically all of Kao-tsu's
nobles were self-made men who had achieved distinction in the hurly-burly
of war. His Empress had an aristocratic surname, Lü, but her
family had no aristocratic connections.
The accession of Kao-tsu thus represents a popular movement. He
seems to have caught the popular imagination; he maintained personally
the bearing and habits of a peasant rather than those of an aristocrat.
He was continually squatting down—something that, in those days
before the introduction of chairs, no cultivated person would do and
all peasants did. The language he used so vituperatively was that of a
peasant, so that many cultivated persons avoided him. Yet his very
evident desire to help the common people attracted to him such people
helped him. The old gentleman Tung (1A: 31a) advised Liu Chi to
use the assassination of Emperor Yi as a pretext for a league against
Hsiang Yü. Thus the accession of Kao-tsu marks the definite ending
of the ancient aristocratic tradition. He showed that even the
highest position does not require aristocratic descent.
Yet the aristocratic prejudice was not thus easily exorcised. For
Kao-tsu himself there was fabricated a long pedigree, tracing his descent
to the nobility of Chin and the early emperors; this pedigree served to
convert many followers. The families he ennobled became as aristocratic
as the old nobility had been. But there was a great difference,
for the Han nobility was under the thumb of the emperor. The commonest
punishment for crime was deprivation of noble rank. One
after another family was deprived of its rank, so that very few noble
families lasted more than a century. With kingdoms and marquisates
thus enduring only for a time and revokable for cause, hereditary
nobility counted for much less than before. Under such circumstances
the aristocratic prejudice was greatly weakened, until at last it disappeared.
In the second place, the accession of Kao-tsu marks the victory of
the Confucian conception that the imperial authority is limited, should
be exercised for the benefit of the people, and should be founded upon
justice, over the legalistic conception of arbitrary and absolute sovereignty.
While Kao-tsu and his successors technically remained absolute
sovereigns, in practise their powers were much limited by custom.
The theory and practise of government in the Ch'in state and empire
was that of centralized absolutism. The Ch'in ideal of government was
that "none will dare not to do what the ruler likes, but all will avoid
what he dislikes" (The Book of Lord Shang, Duyvendak, p. 292). The
primary concern of Lord Shang's theorizing, like that of Macchiavelli,
was to make the ruler all powerful. In this respect, the First Emperor
of the Ch'in dynasty was a thorough-going exemplar of the legalist theory.
While Kao-tsu adopted many of the Ch'in practises, he nevertheless
realized that what the people most condemned in the Ch'in rule was
precisely this unreasoning absolutism, and he carefully avoided any
semblance of such absolutism. He realized that he was handicapped
by his peasant birth, and knew that he must gain the good-will of the
people in order to maintain his rule. Hence he consciously adopted the
policy of always considering the interests of the people and the requirements
of justice and righteousness. Before he entered Kuan-chung, he
sent an emissary to its people in order to acquaint them with his virtuous
generous and indulgent and to avoid plundering the people. One of
his first official acts in Ch'in was to summon the people and inform them
that he was doing away with the severe and cruel laws of Ch'in—an
act which helped him greatly when he had later to reconquer the region.
He refused to exact food from the people for his army, preferring to use
that stored up in the government granaries. When Hsiang Yü gave him
a kingdom in Hans, he asserted that injustice had been done because a
covenant had been broken. He exempted from taxes those people who
had been too heavily burdened in furnishing the armies with supplies,
and granted his soldiers various and increasing exemptions. He continued
the practise of giving the representatives of the people the position
of San-lao, and had them advise with the officials so that the people
would have a direct voice in government. He granted general amnesties
on all appropriate occasions. He had his soldiers who had died in
battle enshrouded and encoffined and sent home to be buried at official
expense. He appointed caretakers for the graves of the great kings, in
order that their hungry manes might not disturb the country. He waited
to assume the title of Emperor until it was formally offered him by his
followers, and then accepted it because "the vassal kings would be
favored by it and they considered it to be an advantage to all the people
in the world." At his accession he freed all slaves and restored to civil
rights all refugees and exiles. He granted aristocratic ranks to all his
soldiers. He fixed the amount of the military tax so that the people
would not be oppressed by exactions.
More important still, soon after his accession he adopted the practise
of not taking the initiative in appointing any of his relatives or sons
to any kingdoms or nobilities, but acting only at the suggestion of his
followers. Of course it was always possible to give hints to others about
what the Emperor wanted to be done. Yet this practise that the
Emperor acts only at the suggestion of others became a real check upon
absolutism. At first it seems to have been confined to the enfeoffment
of the emperor's sons, but later it was extended to other important
matters, so that the standard practise in enacting an administrative
measure, even the appointment of an Empress, came to be that some
official or group would memorialize the Emperor concerning what they
thought should be done, and the Emperor approved the suggestion.
This custom, that the ruler acts at the suggestion of his important
subordinates, was a real and often effective limitation upon the imperial
power. When the Emperor Hsiao-hui died, the Empress Dowager nén
Lü was unable to obtain any effective power until one of the great officials
positions in the government and members of her own family as kings.
Until that suggestion was made, she could only spend her time weeping
helplessly. After it had been made, she rewarded very highly the person
who first suggested it (cf. Glossary, sub Liu Tse). When this custom
was disregarded by the ruler, the results were disastrous. After the
Empress Dowager née Lü had dismissed the son of Emperor Hui from
the throne, she asked the high officials to suggest his successor. The
Emperor had had only this one son, although the Empress Dowager
had enfeoffed six other babes on the pretense that they were his sons.
The officials refused to suggest any of them for the throne, and the
Empress Dowager, on her own motion, appointed one of these babes
as Emperor. But the officials, by refusing to suggest him, had disclaimed
responsibility for him, and, when the Empress Dowager died,
they selected a son of Kao-tsu as the new emperor and killed this boy
whom the Empress had put upon the throne.
This Han custom was expressed most forcibly after the death of the
Empress Dowager née Lü. The high officials sent someone to tell her
nephew, Lü Lu, who was then in control of the army, that "the establishing
of the kings . . . was a matter all done after discussion with the
great officials, announcement, and information to the vassal kings. The
vassal kings considered it suitable." Lü Lu was warned that if he tried
to do anything contrary to the will of the great officials, the greatest
disaster would come upon him. So strongly did he realize the truth of
the assumption behind those words, namely that the rule of the emperor
is not absolute, but is vested in him in consultation with the great
officials, that he finally (though too late) resigned his powers. After
the extermination of the Lü family, the next emperor was chosen by the
high officials and the heads of the Liu family.
The Han rulers also recognized the principle that the empire belonged,
not to Kao-tsu alone, but also to his followers and associates, for they had
helped him to conquer it. As long as any of Kao-tsu's companions were
alive, they and no others were given the important positions in the
government. Perhaps this was the reason that the high officials tolerated
the Empress Dowager née Lü as long as she was alive. She had taken
an active part in the conquest of the country. In 179, Emperor Wen
gave additional rewards to those of Kao-tsu's followers who were still
alive, and sought out some thirty of his followers who had not been
previously rewarded. For this reason, until 176, the imperial chancellors
were all military men. Not until 150 was there an imperial
chancellor who had not been a follower of Kao-tsu, and then it was Chou
Chancellor under Emperor Wen. The first chancellor who was not even
a son of Kao-tsu's followers was Wei Wan, appointed in 143 B.C. Thus
Kao-tsu's followers controlled the government for sixty years after his
accession. Even after that time, the government made an effort to
continue the marquisates of Kao-tsu's outstanding followers, in spite of
the lack and derelicitions of their heirs. As Kao-tsu said in an edict of
196 B.C., "I, by the spiritual power of Heaven and by my capable
gentlemen and high officials, have subjugated and possess the empire.
. . . Capable men have already shared with me in its pacification. Should
it be that any capable persons are not to share with me in its comfort
and its profit?" The emperor was thus limited by the necessity of
giving high office to those who did outstanding services to the state.
Since the government cultivated popular support and the Emperor
recognized that he depended upon his officials, it was quite natural that
Kao-tsu should have initiated the procedure which finally brought about
the Chinese imperial civil service examination system. In an edict of 196
B.C., possibly at the instigation of Hsiao Ho, Kao-tsu ordered the officials
to send to the Chancellor of State all people of excellent reputation and
manifest virtue, so that their accomplishments and appearance could be
recorded and they could be given positions. Emperors Wen and Wu continued
this practise, and the examination system gradually grew out of it.
We have said that this conception of imperial rule as limited by consultation
with the high ministers and by moral considerations was specifically
Confucian. This doctrine is to be found in the Book of History,
where the great rulers consult their ministers on all important matters.
It is the outgrowth of the attitude represented in that Book (II, iii, iv, 7),
that Heaven sees as the people see, in Mencius (VII, ii, xiv, 1), when he
says that the sovereign is inferior to the people and the spirits, and in
Hsün-tzu (IX, 4), "The prince is the boat; the common people are the
water. The water can support the boat, or the water can capsize the
boat." The Han dynasty became the first great patrons of Confucianism
and under Emperor Wu that philosophy became an important
influence in the theory of government and in the training of government
servants. It has not always been realized that this Confucian influence
began with Kao-tsu.
Kao-tsu was not himself a Confucian. He seems indeed to have had,
especially in his earlier days, a deep dislike for the learned pedants of
the time. It is said, in the biography of Li Yi-chi, that before 207 B.C.,
probably when Kao-tsu had just started out as a general, some literati
came to him in full costume, with their literati's bonnets on, and that
a bonnet and urinated into it. It is also told that when, in May 205,
Shu-sun T'ung came to Kao-tsu and wore his literatus's robes, Kao-tsu
hated it, so that Shu-sun T'ung changed and wore short clothes like those
worn in Ch'u. Thus Kao-tsu had an aversion to the sight of the Confucian
literatus.
That fact does not however warrant us in holding that Kao-tsu disliked
Confucianism and was not influenced by it. Quite the contrary
seems to have been the case. In Kao-tsu's father's home, four sons grew
to maturity. The two oldest sons seem to have been farmers; Liu Chi,
the third to grow up, studied military matters and became the Chief
of a T'ing; Liu Chiao, the youngest, was sent to the state of Lu, which
was not far from the homestead, and studied with three Confucian
teachers. Later he studied the Book of Odes with Fou-ch'iu Po, a
disciple of Hsün-tzu, who became the most outstanding member of the
Confucian school. After Liu Chiao had been made the King of Ch'u,
he summoned the three Confucian teachers with whom he had studied
in his youth, and honored them as his Palace Grandees. In the time of
the Empress Dowager née Lü, he sent his own son to study under Foueh'iu
Po. Liu Chiao is furthermore said to have been very fond of the
Book of Odes and to have himself written a commentary on it. Thus
Liu Chiao, the younger brother of Kao-tsu, was himself a devoted and
life-long Confucian, who secured an excellent Confucian classical education
at the center of Confucian culture.
Liu Chiao was an intimate follower and companion of Kao-tsu from
the time that Kao-tsu started out as a general. Kao-tsu left his older
brother, Liu Chung (the oldest, Liu Po, had died previously), and Shen
Yi-chi at the homestead to care for his father and wife, and took his
other friends and followers with him to swell his army. It is said
specifically that when Kao-tsu became Emperor, Liu Chiao waited upon
him. He and Lu Wan, a boyhood friend, were the two persons closest
to the Emperor. They had access to his private chambers, served as
intermediaries, carried messages, and helped him to decide matters and
make secret plans. Through his brother, much Confucian influence undoubtedly
reached Kao-tsu. No one else of any education had as close
relations with him; while Kao-tsu disliked the pedant and the pedant's
appearance, yet he probably welcomed the Confucian teaching when
it came to him divorced from the pedant.
There were several others who undoubtedly influenced Kao-tsu towards
Confucianism. The earliest was Chang Liang, who came to Kao-tsu
in February 208. He was not a literatus, but a politician, the descendant
is represented as using classical allusions to back up advice on
politics in a thoroughly Confucian manner. Kao-tsu respected him very
highly, and publicly recognized him as his best advisor.
Li Yi-chi was a well-read Confucian who came to Kao-tsu in March/
April 207. He was known to the people of his town as a Master or
teacher, sheng, and came voluntarily to call upon and advise Kao-tsu.
The latter contemptuously squatted upon the k'ang with two maids
washing his feet, as he received him. But Li Yi-chi was more than a
pedant, even though he probably wore his literatus's robes on that
occasion. He was over sixty years old, six feet tall (English measure),
and fearless. He reproved Kao-tsu for his discourtesy; the latter, who
seems to have been trained to respect his elders, was impressed by the
old man, arose, dismissed the maids, begged Li Yi-chi's pardon, and
escorted him to the seat of honor. At that time Kao-tsu could not afford
to lose any worthwhile advice; Li Yi-chi delighted him with stories of
earlier times, then gave him direction and assistance in capturing a
neighboring city. For that Kao-tsu rewarded him; the old man was
quite garrulous; he had earned the nickname of "the Mad Master,"
and Kao-tsu liked him. At the time, Kao-tsu was giving honorary
titles to those of his followers who distinguished themselves; to Li Yi-chi
he gave the title of Baronet Enlarging Our Territory. Kao-tsu
respected the old man, consulted with him about important matters, and
sent him as a confidential envoy on important commissions.
In April 205, when Kao-tsu came to Lo-yang, the old gentleman Tung,
who was a San-lao or leader of the people, stopped him and advised him,
in thoroughly Confucian terms, to declare a crusade against Hsiang Yü
because the latter had caused the assassination of his superior, the Emperor
Yi. This practise, that of leading a military force to chastize
a wicked ruler, is typically Confucian; in the Book of History Kings
T'ang and Wu are both said to have led such a crusade and to have
founded their dynasties in so doing. The notion was welcomed by
Kao-tsu; he found it worked, for it enabled him to lead a coalition
army of 560,000 men with five kings against Hsiang Yü, and to capture
his capital. After this experience, Kao-tsu would not have looked with
disfavor upon a teaching that so helped him against his enemy. Confucianism
now became to him a most useful and helpful philosophy.
Shu-sun T'ung had been made an Erudit by the Second Emperor, and
had served Hsiang Yü as an Erudit. When, in May 205, Kao-tsu
captured P'eng-ch`eng, Hsiang Yü's capital, Shu-sun T'ung, who followed
the policy of making himself useful to whoever was in power,
war, avoiding any typically Confucian teaching. Kao-tsu made him an
Erudit and gave him a title. When Kao-tsu ascended the throne, Shu-sun
T'ung arranged the ceremony.
After the court had been established, Kao-tsu found himself at a loss
without any court ceremonial. He himself believed in simple direct
intercourse without bothering about ceremonial. Possibly what he most
disliked in Confucianism was its excessive ceremonialism. Now Kao-tsu's
courtiers, who were his old camp-companions, were behaving in the
court just as they did in camp. Especially when under the influence of
liquor, they quarrelled, shouted, acted mannerlessly, and even pulled
out their swords and hacked at the columns of the palace. Kao-tsu was
very much worried, for he saw that this sort of conduct must somehow
be stopped. Shu-sun T'ung offered to remedy the matter by arranging
a court ceremonial. Kao-tsu saw that something of that sort was necessary,
so told him to go ahead, with the admonition, "Make it easy."
Shu-sun T'ung called some thirty odd literati from Lu, and with them
created a court ceremonial by mixing the Confucian ceremonial with
that of the Ch'in court. After more than a month of preparation, the
ceremonial was performed out in the country before Kao-tsu, who approved
it, and had it put into practise at the court of November 201.
After the ceremony Kao-tsu was so impressed that he said, "Now, I
have today known what is the greatness of being an Emperor." Thus
Kao-tsu even accepted a semi-Confucian ceremonial for his court.
Lu Chia came to Kao-tsu possibly at the same time as Li Yi-chi, for
we find them associated together only a few months later. He was also
a highly educated man and was sent as an envoy to Ch'ao T'o, King of
Nan-yüeh, whose capital was at the present Canton. After his return
in 196 or 195 B.C., he is said to have quoted the Book of Odes and the
Book of History to Kao-tsu, whereat the latter scolded him and said,
"I got the empire on horseback; why should I bother with the Book of
Odes or the Book of History?" Lu Chia replied, "You got it on horseback,
but can you rule it from horseback?" Then he proceeded to
quote cases, from ancient history, of kings who had lost their thrones
through their wickedness, concluding with the Ch'in dynasty, which
Kao-tsu had himself overthrown. Kao-tsu blushed for shame and asked
Lu Chia to write a book explaining why these rulers had lost their kingdoms.
That book has come down to us. It is a piece of thoroughly
Confucian exhortation, which argues that the rise and fall of dynasties
depends on their virtue. It is said that when each chapter was completed,
Lu Chia read it to Kao-tsu, who praised it and gave the book its
Kao-tsu's gradual conversion to Confucianism.
As his experience of statecraft increased and as he saw deeper into the
necessities of an empire, Confucianism thus looked more and more attractive.
It is recorded that when in December/January 195/4 Kao-tsu
passed through Lu, he sacrificed a suovetaurilia to Confucius, but this
record is very likely unhistorical.
The climax of Kao-tsu's allegiance to Confucianism came when he
proposed to change the succession to the throne. Chang Liang, Shu-sun
T'ung, and others remonstrated with Kao-tsu against this change, but
without effect. Because of Kao-tsu's lack of manners, some Confucians
had refused to come to his court. Kao-tsu had by this time realized
how deep was the influence of the Confucians with the people. He
knew that just as he had won the throne, so his successors could only
keep it by securing the respect of the people. When, in the first part
of 195 B.C., Kao-tsu came actually to change the succession, and found
that his Empress had succeeded in bringing to follow her son, Ying, four
outstanding Confucians who had previously refused to come to Kao-tsu,
he refused to change the succession, for he knew how powerful was their
influence. Thus Kao-tsu finally bowed to the influence of Confucianism.
The gradual turning of Kao-tsu to Confucianism does not mean that
other philosophies had no influence. Chang Liang was much more a
Taoist than a Confucian. The imperial administration was taken over
from the Ch'in court, and brought with it much Legalist influence.
Ts'ao Ts'an was a devotee of Lao-tsu. It was only gradually that Confucianism
came to have nominally exclusive sway as a philosophy in the
Han court. Under Emperor Wen, there were Erudits who specialized in
the non-Confucian philosophers; the only Confucian erudit at his court
was Chia Yi. It was not until 141 that Emperor Wu forbade the promotion
of scholars who were learned in the non-Confucian teachings. Even
after that, many Legalist practises persisted. Thus the victory of Confucianism
was only a gradual growth, yet it was a natural continuation
of the development in Kao-tsu's own thought.
The tremendous achievement of Kao-tsu in rising from the status of a
farmer boy to Emperor against the keenest competition, early attracted
the attention of thoughtful persons and led them to state reasons for
his victory. At a grand feast after Kao-tsu's accession, he is said to have
asked his courtiers to name the reasons for his victory. Kao Ch'i and
to people, while Hsiang Yü was kind and respectful, yet Kao-tsu rewarded
his associates adequately, sharing his conquests with them,
whereas Hsiang Yü was suspicious of capable people, did not give them
any recognition for their victories, and kept the fruits of victory for
himself and his family. Kao-tsu replied that there was an additional
factor: Hsiang Yü did not trust his most capable advisor, whereas Kao-tsu
succeeded because he could make use of his followers—a most tactful
speech.
Kao Ch'i and Wang Ling undoubtedly hit upon a most unfortunate
defect in Hsiang Yü. He seems to have been jealous of anyone else who
achieved any military glory. He probably minimized other people's
achievements. He had several uncles and cousins who had to be taken
care of, so that he was not free to give the best territory to others. He
also seems to have been suspicious of those who were not of his own clan.
(Kao-tsu was also suspicious, but he trusted the men of P'ei, who were
his early followers, and gave them high positions.) As a consequence,
the best of Hsiang Yü's followers left him or rebelled. Han Hsin came
to Kao-tsu because Hsiang Yü had rebuffed him. Ch'ing Pu, Hsiang
Yü's Commander-in-chief, rebelled and came to Kao-tsu because of the
treatment he had received from Hsiang Yü. At the division of the
territory, the kings complained that Hsiang Yü had given himself too
much of the best territory. Hsiang Yü's unfortunate temperament
thus more than undid all he accomplished by his wonderful military
ability.
About 22 A.D. Pan Piao, Pan Ku's father, wrote his Discussion on the
Destiny of Kings (cf. ch. 100), in which he argues that Kao-tsu's rise
was not due to chance, as many were saying, and enumerates five reasons
for that victory: (1) his descent from Yao, (2) his unusual body and
features, (3) his military success, (4) his liberality, perspicacity, benevolence,
and consideration for others, and (5) his keenness in judging
others and in selecting his subordinates. He adds that Kao-tsu was
faithful and sincere; he made far-reaching plans and was willing to accept
the advice of others; he did not hesitate, but acted promptly; and he was
favored by the supernatural powers with marvellous events. Pan Piao
concludes that Kao-tsu's success was due to supernatural influence. His
list of reasons undoubtedly contains much insight. There have been
very many other such lists, from early Han times down.
We mention here three further factors. First, Kao-tsu made the people
feel that he was governing in their interests. This factor appeared in
his conception of rule as ethical, not an arbitrary absolutism.
Secondly, there was probably a general fellow-feeling among the common
people for this commoner who was aspiring to the supreme position.
The oppression of the aristocrats, which culminated in the cruelties of
the Ch'in dynasty, brought about a reaction in popular feeling, so that
many common people came to prefer for their ruler a commoner to an
aristocrat. Especially when the aristocrats showed their weakness as
generals in competition with others, this feeling was bound to have been
intensified. The actions of Hsiang Yü, the outstanding aristocrat, did
not help matters. His carelessness for the people's lives became notorious.
At the storming of Hsiang-ch'eng, in June 208, he massacred every
living thing in the city. In July/August 207, when the surrendered
army of Chang Han threatened trouble, he had the whole army massacred,
said to be more than twenty thousand men. Such acts were sure to set the
common people against the aristocrats. By contrast, Kao-tsu took care
to be generous and mild. When, in October 208, the older generals of
King Huai had to select someone to go west and attempt to capture the
Ch'in capital, they chose Kao-tsu rather than Hsiang Yü, because of the
reputation for destructiveness that Hsiang Yü had acquired at Hsiang-ch'eng,
and because of Kao-tsu's reputation for generosity. They were
afraid that the news of Hsiang Yü's approach would nerve the people
of Kuan-chung to defend their country vigorously, in which case it would
be impregnable. Kao-tsu acquainted these people with his mild purposes,
and they made no move to support their rulers, so that the capital
fell. After Kao-tsu had acquired their confidence and got them to mount
their natural barriers, Hsiang Yü did not even attempt to invade Kuan-chung.
Kao-tsu's generous and kindly treatment of the people thus brought
to him the fellow-feeling of the people. They realized that he was one
of them. More than once the leaders of the people came to him with
important advice. His lack of manners and use of churlish language
towards even his most distinguished followers probably accentuated the
kindly feeling of the people to him. He won because he manipulated
public opinion in his favor; that feeling was so strong two centuries
later that, at the downfall of his dynasty, only another Han dynasty
with the same surname could gain the throne.
In the third place, Kao-tsu introduced not only new ideas, but also
new blood into the government. His nobles were self-made men who
fought their way to distinction. His government was organized by
Hsiao Ho. The latter was a personal friend and fellow-villager of Kao-tsu,
who had been promoted to be Chief Official in P'ei because of his
skill in the law. He was a trained administrator, and was put in charge
Ho thus administered Kao-tsu's base and organized Kao-tsu's supplies.
He furthermore enacted the fundamental laws of the Han
empire and gave to the government its organization. He performed this
task so well that for half a century afterwards, his successors merely
followed in his footsteps. He built the imperial palaces in a grander
style than Kao-tsu had conceived of, because he knew that this magnificence
was necessary to impress the people. When the campaign against
Hsiang Yü was over, Kao-tsu awarded to Hsiao Ho the first place in the
court and gave him the title of Chancellor of State, even though he had
done no fighting, for Kao-tsu realized the importance of Hsiao Ho's
work. To the frugal and simple administration of government by Hsiao
Ho and his assistants must be credited much of Kao-tsu's success. After
Hsiao Ho, except for his immediate successor and the Empress née Lü's
uncle, both of whom were not important historically, the high title of
Chancellor of State was not used again, so great was the respect of the
dynasty for Hsiao Ho.
Whether we shall ever be able to state all of the reasons for the success
of Kao-tsu is doubtful. His own personality, the mistakes of his opponents,
especially of the Ch'in dynasty and Hsiang Yü, Kao-tsu's cultivation
of the people's good will, the fellow-feeling of the people for this
commoner, and the ability of the new blood he introduced into the
government, especially Hsiao Ho, are undoubtedly important factors.
| THE HISTORY OF THE FORMER HAN DYNASTY The history of the former Han dynasty | |