 | THE HISTORY OF THE FORMER HAN DYNASTY The history of the former Han dynasty |  |
VII. THE HISTORY OF THE FORMER HAN DYNASTY
CHAPTER VII
EMPEROR HSIAO-CHAO
INTRODUCTION
The sources and nature of this and the remaining "Annals"
Concerning the authorship and sources of this and the remaining
chapters in the "Annals," there is little to be said. These chapters have
the same characteristics as the preceding chapter—they are a chronological
summary listing the important events of the reign, summarizing
briefly the history to be found elsewhere in this voluminous work. The
sources used by Pan Ku seem also to be the same as for the previous
chapter, with the difference that Szu-ma Ch'ien died some time about
the end of Emperor Wu's reign or the beginning of Emperor Chao's
reign, so that the SC was not available as a source for this chapter, except
for the supplementary accounts that had later been introduced into its
text.
The virtual regency of Ho Kuang
This short period of only thirteen years (87-74 B.C.) was primarily a
time of recuperation from the excessive drains made upon the country
during the reign of Emperor Wu. The chief events of the period were
the virtual regency of Ho Kuang, the attempt to overthrow him led by
the Shang-kuan clan, and his relief of the people from many of the exactions
made by Emperor Wu.
Emperor Wu, moreover, was an excellent judge of character; when
his death was approaching, he selected his youngest son as his heir
and picked Ho Kuang to control the government. There was no constitutional
provision for a regency, except for one by the close relatives
of an infant ruler. Precedents for such a form of regency were to be
found in the acts of the ideal rulers and ministers recounted in ancient
and recent history, especially in the Book of History, and in the deeds of
Confucius' hero, the Duke of Chou. These precedents found in ancient
and recent history composed the virtual constitution of the Chinese state,
and the Erudits (together with the graduates of the Imperial University
entitled Authorities upon Ancient Matters) were expected to be able to
advise the ruler or the officials, concerning these constitutional precedents.
The First Emperor of the Ch'in dynasty had proscribed and burned the
Book of History because he, an autocrat, would not follow ancient
members from any power in the imperial government; one of Ho Kuang's
first deeds, after he came to power, was to appoint members of the
imperial clan to government positions. Emperor Wu had made Ho
Kuang Commander-in-chief and General-in-chief (one of the three highest
ministers) and gave him a testamentary edict directing him to assist the
young emperor. He was not made regent, but merely assistant to the
young ruler. A regent not only controlled the government, but also
performed many of the rites permitted to a Son of Heaven. Ho Kuang
remained, in rank, merely a minister, for he was not even distantly related
to the throne. [When previously there had been virtual regency, the
Empress of the Kao-tsu had seated herself upon the throne and ruled, but
she was not entitled a regent. As a woman, she could not take the place
of a man. She was merely ruling for the Emperor in the capacity of his
mother. The first titular regent in Han times was Wang Mang, who in
February, A.D. 6, was given an edict allowing him to perform the rites
allowed to a Son of Heaven (99 A: 25b).]
Ho Kuang was a legitimate son of Ho Ch'ü-ping's father, and had
probably been a close attendant upon Emperor Wu for more than twenty
years. He was the ideal person for the position—quiet, steady, careful,
methodical, and reliable. He is said to have had a particular place in
which to stand in court and not to have varied one foot from his usual
position. In addition to his other titles, he became Intendant of Affairs
of the Masters of Writing, and controlled the government through
this latter office.
The control exercised by the Intendant of Affairs of the Masters of
Writing
The Masters of Writing (Shang-shu) were the private secretaries of the
emperor. Government business came to the emperor in the form of
memorials; the Masters of Writing received these memorials and brought
them to the attention of the emperor. They then prepared his replies or
sent the memorials to the appropriate officials for action. The emperor
naturally consulted with his Masters of Writing, so that this position
became an important one.
This office had been inherited by the Han from the Ch'in dynasty.
Before the time of Emperor Wu, these Masters of Writing do not seem
to have been important, since government business came first to the
ministers, especially the Lieutenant Chancellor or Grandee Secretary,
who presented their recommendations to the emperor for enactment.
Emperor Wu however took to himself the actual control of the government,
so that governmental affairs were brought directly to him. Hence
part of his time in the harem, where the Masters of Writing, who were not
eunuchs, could not go. Consequently he established a new office, that
of Palace Writer (Chung-shu), a eunuch position, in order that his private
secretaries could be with him even in the imperial harem. (Szu-ma
Ch'ien was made a Palace Writer after his punishment; possibly one
of Emperor Wu's reasons for allowing Szu-ma Ch'ien to be thus punished
was to have a capable person in that office.) Because of court
opposition to eunuchs, the office of Palace Writer was abolished in 29
B.C. It did not have any importance during the reign of Emperor Chao.
When matters were brought to the attention of the government,
duplicates or abstracts had to be presented along with all memorials.
The duplicate was opened by the Intendant of Affairs of the Masters
of Writing; unless he approved the memorial, the matter was not brought
to the attention of the emperor. The Intendant of Affairs could thus
control the government by the simple expedient of controlling the
emperor's sources of information. A vigorous emperor might break
through these limitations, but the government business was so voluminous
that some sifting out of unimportant matters was unavoidable and the
person who did so inevitably obtained considerable control over the
government. Hence the attempt to make the emperor an absolute
autocrat resulted in making him dependent upon his entourage. When
he was Emperor, Wang Mang worked night and day, attempting to deal
in person with all government documents, but was unable to keep up
with his work. Thus Emperor Wu, in making the emperor an absolute
autocrat, virtually subverted the fundamental constitution of the state
for himself and his successors, by taking most of the governmental power
away from the Lieutenant Chancellor and the Grandee Secretary, who
were supposed to head the government. The result was that this power
came into the hands of whatever clique had the emperor's ear or had
entrenched itself with the imperial private secretaries. After the time
of Emperor Wu, the control of the government was usually held by the
Intendant of Affairs of the Masters of Writing or by the Chief Palace
Writer. Since these titles did not carry any high rank in the court, the
Intendant of Affairs was usually made concurrently the Commander-inchief.
In his capacity as virtual regent, Ho Kuang showed himself faithful
and reliable. Emperor Chao was only in his eighth year when he came
to the throne in 87 B.C.; when he was in his eighteenth year, he was
capped, thereby being entitled to rule in person. Ho Kuang had had
the Emperor's entire confidence and the young Emperor had defended
in control of the government to the end of his reign.
The abortive intrigue against Ho Kuang
The only serious difficulty Ho Kuang had to face was a palace intrigue
which threatened his life and the throne itself. Emperor Chao was
Emperor Wu's youngest son. After Emperor Wu's first Heir-apparent,
Liu Chü, had been killed, his next eldest living son was Liu Tan4a, King
of Yen. Liu Tan naturally expected to be made the Heir, and asked to
resign his kingdom and come to the capital to attend upon Emperor Wu.
The latter however resented the suggestion, executed the messenger who
brought it, and later, on a legal pretext, deprived Liu Tan4a of some
territory.
When Emperor Chao had been enthroned, Liu Tan4a naturally felt
he had been cheated. To pacify him, Ho Kuang had him granted thirty
million cash and the income of thirteen thousand families. But Liu Tan4a
continued to be dissatisfied, and caused an ugly rumor to be circulated
that Emperor Chao was not an actual son of Emperor Wu. He also
made military preparations, executing those of his officials who remonstrated.
Ho Kuang heard of the matter and executed Liu Tan4a's agent,
who had circulated the rumor.
The marriage of the youthful Emperor fanned the opposition to Ho
Kuang. Closely associated with Ho Kuang in the government were Shang-kuan
Chieh and Chin Mi-ti. Ho Kuang had married two of his daughters
to the eldest sons of these two men. Chin Mi-ti died a year after Emperor
Chao came to the throne. The new Emperor's elder half-sister,
the Elder Princess of O-yi, was made the boy Emperor's nurse to care for
him in the palace. She was a widow, and fell in love with a commoner,
Ting Wai-jen. To please her, Ting Wai-jen was made her personal
attendant. Shang-kuan Chieh and his son, Shang-kuan An, were
ambitious; to secure their power, they planned to make Shang-kuan An's
young daughter, who was Ho Kuang's granddaughter, the Empress.
The Elder Princess had already taken a girl into the Palace to be Emperor
Chao's future mate; therefore Shang-kuan Chieh and his son promised
Ting Wai-jen a marquisate if he would induce the Elder Princess to have
Shang-kuan An's daughter married to the Emperor. If he were a
marquis, Ting Wai-jen would be able to marry the Elder Princess. Ho
Kuang disapproved, thinking that the girl was too young. But the Elder
Princess, being the titular mother of the Emperor, decided the matter.
The girl was summoned to the Palace and married a month later. The
Emperor was then in his twelfth year and the Empress in her sixth year.
ministers for lack of education and the courtiers for failing to protest
against permitting a marriage before the boy was capped.
Ho Kuang now refused to make Ting Wai-jen a marquis or even to
promote him. So Shang-kuan Chieh, his son, and the Elder Princess all
came to have grudges against Ho Kuang. The Grandee Secretary, Sang
Hung-yang, who was proud of the fiscal arrangements and government
monopolies he had founded, was smarting under the criticisms made
against him, with Ho Kuang's permission, by the common people recommended
to office, and he joined the clique opposing Ho Kuang. They
communicated with Liu Tan4a, who sent them large presents and, at their
direction, made an accusation against Ho Kuang to the Emperor. When
this accusation had no effect, the clique planned to have the Elder
Princess invite Ho Kuang to a feast at which he would be assassinated.
Thereafter Emperor Chao would be degraded and Liu Tan4a would
become emperor; or, as Shang-kuan An planned it, Liu Tan4a would be
lured to the capital, killed, and Shang-kuan Chieh would become emperor.
But a member of the Elder Princess' suite heard of the plot and Ho Kuang
was informed. Shang-kuan Chieh, his son, Sang Hung-yang, and
the other conspirators were executed; the Elder Princess and Liu Tan4a
were allowed to commit suicide. Liu Tan4a's sons were merely pardoned
and made commoners; six years later, when Emperor Hsüan came to
the throne, Ho Kuang had Liu Tan4a's two younger sons made marquises
and the elder son made a King. Henceforth Ho Kuang's power was
unchallenged.
Ho Kuang's lightening of the people's burdens
Although Ho Kuang spent almost all of his life, from his teens on, at
the court, first as Palace Attendant and finally as the actual ruler, he
came from the common people and knew their sufferings. He had been
trained by Emperor Wu and continued that Emperor's type of government.
But the impoverished and depopulated condition of the country
caused him, at the suggestion of Tu Yen-niena, to make one change after
another, each in the direction of returning to the practises customary
before the time of Emperor Wu, so that the collapse of the country, which
must have been impending, was averted and recuperation was possible.
The economic reforms of Ho Kuang covered a wide range. Loans
were made to poor people, payment of which was remitted; taxes
were remitted in bad years; payment of taxes in kind was permitted
when the price of grain became low. The forced contribution of horses
was stopped. Unnecessary commanderies, unnecessary government
The amount of grain transported to the capital was decreased; imperial
lands were distributed to the people. The poll-tax on children was
lightened. Most remarkable of all was the debate held in 81 B.C. when
outstanding persons from various parts of the empire were recommended
for office and sent to the capital. In their civil service examination,
they were asked about what the people suffered from and what the
government should do, and all replied that the government monopoly of
salt and iron, the monopoly of fermented liquors, and the bureau of
equalization and standards (through which the government speculated
in goods) should be abolished and the government should set an example
of economy (24 B: 20b). The Grandee Secretary, Sang Hung-yang,
who had previously established these monopolies, replied to their criticisms
in a series of court discussions. A generation later Huan K'uan
wrote a lively report of these discussions, the Discourses on Salt and Iron
(the name of the chief monopolies), which may very likely represent, to a
large extent, the principal arguments actually used, although his account
makes much of literary effects. The monopolies on salt and iron were
too productive of revenue to be eliminated, but the monopoly on fermented
liquor was abolished and brewing was permitted to private
persons upon the payment of a tax.
His conduct of foreign affairs
In foreign affairs, Ho Kuang likewise pursued the policies of Emperors
Wen and Ching, that of merely defending the frontiers, instead of sending
expeditions deep into enemy territory. The Huns had been worn out
by Emperor Wu's many military expeditions and were glad to ask for
peace with the Chinese, so that the northern borders had a chance to
recuperate. In dealing with other tribes, Ho Kuang was not so happy.
He manifested the same blindness and carelessness towards weak foreign
tribes as that witnessed in many other excellent administrators.
Unnecessary trouble with the Wu-huan and with Lou-lan resulted. In
78 B.C., Fan Ming-yu was sent out of the northeast border to assist the
Wu-huan against the Huns; when he found the Huns had withdrawn,
he remembered that his orders were not to make the expedition in vain,
so he attacked the friendly Wu-huan, taking more than 6200 heads,
including those of three chieftains. Fan Ming-yu was made a marquis
for this exploit and the Wu-huan thereafter raided the Chinese border.
In the northwest, the subject state of Lou-lan, located around the
present Lop-nor, athwart the road south of the desert, had several times
harassed and killed Chinese envoys. Threatened by both Chinese and
the son who was at the Chinese court had been sentenced to castration
for a crime, so that the Chinese did not dare to send him back, and
another son was made King. This king likewise sent sons as hostages to
the Chinese and Hun courts. When this king died, the son who had been
at the Hun court returned home first and became King. The new King
continued to harass Chinese envoys, and the King's younger brother at
the Chinese court, who was pro-Chinese, reported these matters. Ho
Kuang sent an envoy, Fu Chieh-tzu, with a small following, to assassinate
this King. Fu Chieh-tzu lured the suspicious King to his camp by
exhibiting rich presents, made him drunk, and took him to his tent by a
ruse, where two soldiers stabbed him. The King's followers fled and his
younger brother was brought from China and made King. The new King
was given a lady of the Chinese imperial harem for his wife, and asked
for a Chinese guard to protect him, so that a major with forty soldiers
was sent to encamp in his capital and his state's name was changed to
Shan-shan. Fu Chieh-tzu was given a small marquisate for this exploit.
Two centuries later, Pan Ch'ao successfully imitated his example. In
this way, although Ho Kuang was careful to treat his own people kindly,
he was careless of the means for success outside the border.
THE BOOK OF THE [FORMER] HAN [DYNASTY]
[Chapter] VII
THE SEVENTH [IMPERIAL ANNALS]
The Annals of [Emperor Hsiao]-Chao
Emperor Hsiao-chao was the youngest son of Emperor
Wu. His mother was entitled the Favorite
Beauty [née] Chao. She had originally secured [Emperor
Wu's] favor because about her there had been
extraordinary and strange [portents]; when she bore
the [future] Emperor, there was also an extraordinary
and strange [circumstance].[1]
A discussion is in
the "Memoir of the [Imperial] Relatives by Marriage."
At the end of Emperor Wu's [reign], his Heir-apparent
Li, [Liu Chü, had revolted and] had been
defeated; and [Liu] Tan4a, King of Yen, and [Liu]
Hsü, King of Kuang-ling, [other sons of Emperor
Wu], had been arrogant and disrespectful in their
conduct.[3]
[Consequently] when, in [the period]
Emperor was sick, he thereupon set up [the future]
Heir-apparent. He made the Palace Attendant and
Chief Commandant Custodian of Imperial Equipages,
Ho Kuang, the Commander-in-chief and General-in-chief,
and had [the latter] receive a testamentary
edict [directing him] to act as assistant to the
young ruler. On the next day, Emperor Wu died
the imperial throne and was presented in the [ancestral]
peror's eldest [half]-sister, the Princess of O-yi, [who
was given the income of] additional private estates
and became the Elder Princess, served and cared for
[the young Emperor] in the Inner Apartments [of
the imperial palace]. The General-in-chief, [Ho]
Kuang, controlled the government and was Intendant
of Affairs of the Masters of Writing. The
General of Chariots and Cavalry, Chin Mi-ti, and
the General of the Left, Shang-kuan Chieh, assisted
him.
In the summer, the sixth month, an amnesty
[was granted to] the Empire. In the autumn, the
seventh month, a comet appeared in the eastern
quarter,[16] and the King of Chi-po, [Liu] K'uan,
who had committed crimes, killed himself.[17] [Imperial]
grants were made to the Elder Princess, [the
Princess of O-yi], and to members of the imperial
house of the same generation [as the Emperor], to
each proportionately. The Favorite Beauty [née]
Chao was posthumously honored and made the
Empress Dowager, and the Yün Tomb was built
[for her].
In the winter, the Huns entered So-fang [Commandery],
killing and kidnapping officials and common
people, and an army was mobilized to encamp
in Hsi-ho [Commandery]. The General of the Left,
[Shang-kuan] Chieh, inspected the northern borders.
In [the period] Shih-yüan, the first year, in the
spring, the first month,[22] a yellow swan came down
upon the T'ai-yi Pond of Chien-chang Palace.[24]
and [the Emperor] granted gold [in terms of] cash to
the vassal kings, the marquises, and the [members
of] the imperial house, to each proportionately. On
[the day] chi-hai, the Emperor plowed [the sacred
field] in the Amusement Fields of the Intendant of
[Imperial Palace] Parks.[29] He increased the fiefs
of the King of Yen, [Liu Tan4a], and of the King of
Kuang-ling, [Liu Hsü], together with [that of] the
Elder Princess of O-yi, each by thirteen thousand
households. In the summer, a funerary park and
temple were built for the [deceased] Empress Dowager
[née Chao] at Yün-ling.
Twenty-four towns revolted, [including] Lien-t'ou
and Ku-tseng of Yi-chou [Commandery] and T'anchih
and T'ung-pan of Tsang-k'o [Commandery.
Waters and Parks, Lü P'o-hu, to levy officials and
people [for the army], and to mobilize the emergency
troops of Chien-wei and Shu Commanderies.[32] He
severely.
A high official begged that Ho-nei [Commandery]
should belong to Chi Province and Ho-tung [Commandery]
to Ping Province.[35]
In the autumn, the
empire and [every] hundred households of the common
people were granted an ox and wine. There
was a great rain and the Wei [River] Bridge broke.
In the eighth month, after it had become known
[Liu Chiang-lü], had plotted to rebel, intending to
kill Ch'üan Pu-yi, the Inspector of Ch'ing Province,
[Lin Tsê5c] and all [the conspirators] suffered execution.
[Ch'üan] Pu-yi was promoted to be Governor
of the Capital and was granted a million cash.[39]
In the ninth month, on [the day] ping-tzu, the
In the intercalary month, the former Commandant
all], were sent with credentials to inspect the commanderies
and kingdoms, to recommend capable and
good [persons], to ask the common people about what
they suffered from and were distressed by and about
those who had lost their occupations because of
was no ice.
In the second year, in the spring, the first month,
because the General-in-chief, [Ho] Kuang, and the
General of the Left, [Shang-kuan] Chieh, had both
previously distinguished themselves in capturing and
decapitating the rebel caitiffs, [the Palace Attendant
Supervisor, Ma Ho-lo,[47] and] the Marquis of Chung-ho,
Ma T'ung; [Ho] Kuang was enfeoffed as Marquis
of Po-lu and [Shang-kuan] Chieh [was enfeoffed] as
Marquis of An-yang.
Because no members of the imperial house held
[official] positions, Liu Pi-ch'iangb and Liu Chang-lo
were both made Imperial Palace Grandees. [Liu]
Pi-ch'iangb [was appointed] Acting Commandant of
the Palace Guard at Ch'ang-lo [Palace].[49]
In the third month, messengers were sent to assist
and lend to those poor people who had no seed or
food. In the autumn, the eighth month, an imperial
edict said, "In the past [few] years there have been
many visitations and calamities; this year the silk
and wheat have been injured. Do not collect their
seed and food. Let it not be ordered that the people
shall pay this year's land tax on cultivated fields."[54]
In the winter, trained fighting-men and archers
Retired officers were selected to command the agricultural
garrisons in Chang-yi Commandery.
In the third year, in the spring, the second month,
autumn, common people were solicited to move to
Yün-ling, and [those who did so] were to be granted
money, fields, and residences. In the winter, the
tenth month, phoenixes perched in Tung-hai [Commandery]
and messengers were sent to sacrifice at
that place. In the eleventh month, on [the day]
jen-ch'en, the first day of the month, there was an
eclipse of the sun.[64]
In the fourth year, in the spring, the third month,
was established [as Empress], an amnesty [was
granted] to the empire, and accusations and legal
cases [which dated from] before the second year of
[the period] Hou-[yüan[69] were ordered] all to be
dismissed. In the summer, the sixth month, the
Empress [née Shang-kuan] was presented in the Temple
were made to the Elder Princess, [the Princess of
O-yi], the Lieutenant Chancellor, [T'ien Ch'ien-ch'iu],
the generals, the marquises, [officials ranking at]
fully two thousand piculs and under, together with
Gentlemen, officials, and [members of] the imperial
house, to each proportionately. Rich people from
the three capital commanderies were moved to
Yün-ling and each household was granted a hundred
thousand cash.
In the autumn, the seventh month, an imperial
edict said, "For successive years there have not been
good harvests and the common people have been
lacking in food, [so that] those who have moved
away [from their homes] to take employment have
not yet all returned [home]. In the past, it was
ordered that the common people should by groups
contribute horses [to the government]. Let [this
practise] be stopped, [so that] they shall not [be required
to] contribute [horses, and let] those who have
been contributing them for the offices at the imperial
capital have [the number required from them] temporarily
reduced."
In the winter, the Grand Herald, T'ien Kuang-ming,
was sent to attack [the rebels in] Yi Province.
The Commandant of Justice, Li Chung, was sentenced
for having purposely set free [persons who had
committed] capital crimes, and was publicly executed.
In the fifth year, in the spring, the first month,
[Father Chao], the father of the Empress Dowager
[née Chao], was posthumously honored and made
Marquis of Shun-ch'eng.
A man of Hsia-yang, Chang Yen-nien, came to
the northern Portal [of the Palace] and called himself
the Heir-apparent [whose mother was née] Wei,
[Liu Chü. He was attempting to] deceive and
mislead [the emperor, consequently he was executed
by being] cut in two at the waist.
In the summer, the communes (t'ing) [for the
raising of] mares were abolished [all over] the empire,
together with the barriers [for preventing the
exportation of] horses and cross-bows.[82]
In the sixth month, [the Emperor] enfeoffed the
of Agile Cavalry, Shang-kuan An, as Marquis of
Sang-lo.
An imperial edict said, "We, with our insignificant
person, have obtained [the opportunity] to protect
the [imperial] ancestral temples. Tremblingly and
circumspectly we have risen early and gone to bed
late [in order to] cultivate [Ourself] in the practises
of the ancient lords and kings. [Although We]
Filial Piety, the Analects, and the Book of History,
through the teaching of [Our Grand] Guardian and
[Grand] Tutor, [yet We can]not say that [We] have
any perfect understanding [of them]. Let it be
ordered that the Three Adjuncts and the Grand
Master of Ceremonies should each recommend two
Capable and Good [persons] and that the commanderies
and kingdoms should each [recommend]
one Literary Scholar of high standing [for appointment
in the imperial government]." Noble ranks
were granted to [officials ranking at] fully two
thousand piculs on down to the [low] officials and the
common people, to each proportionately.
The commanderies of Tan-erh and Chen-p'an
were disestablished.[87]
In the autumn, the Grand Herald, [T'ien] Kuang-ming,
and his Chief of the Army, Wang P'ing,
attacked [the rebels in] Yi Province, cutting off
heads and taking captives [to the number of] more
than thirty thousand persons, and capturing more
than fifty thousand head of domestic animals.[90]
In the sixth year, in the spring, the first month,
the Emperor plowed [a Sacred Field] in Shang-lin
[Park]. In the second month, an imperial edict
[ordered that] the [high] officials should ask the
Capable and Good [persons] and the Literary
Scholars who had been recommended by the commanderies
and kingdoms about what the common
people suffered from or were distressed by. There
was a discussion concerning the abolition of the
monopoly dealing [in fermented drinks].[97]
The Superintendent of [the Stable] Among the
Plum Trees, Su Wu, who had previously been sent
[as an envoy] to the Huns and had been held at the
court of the Shan-yü to the nineteenth year [of his
captivity], was moreover [now allowed to] return.
He had upheld [the dignity of] an envoy and had
preserved his credentials, [hence Su] Wu was made
Director of Dependent States and was granted one
million cash.
In the summer, there was a [great] drought and
great sacrifices for rain [were held, during which]
the lighting of fires was not allowed.[99]
In the autumn, the seventh month, the offices of
drinks] were abolished,[101] and it was ordered that
the common people should be allowed to testify to
[their assessment for] the tax [on the right to sell
liquor] in accordance with [the provisions concerning
assessments in the legal] code, and should
Because the barrier at the borders was distant and
far-removed, two prefectures were taken from each
of T'ien-shui, Lung-hsi, and Chang-yi Commanderies,
and [out of them] there was established Chin-ch'eng
Commandery.
An imperial edict said, "The Marquis of Kou-t'ing,
Wu Po, has distinguished himself by leading
his chiefs and people in attacking the rebel [southwestern
barbarians] and by cutting off heads and
taking captives. Let Wu Po be established as the
King of Kou-t'ing. The Grand Herald, [T'ien]
Kuang-ming, has distinguished himself as a general
and leader; [let] him be granted the rank of Kuan-nei
Marquis with the income of an estate."[106]
In [the period] Yüan-feng,[108] the first year, in the
spring, [because] the Elder Princess, [the Princess of
O-yi], had served and cared for [the young Emperor]
and had toiled and suffered, the private estate of
addition of Lan-t'ien [Prefecture].
King Tai of Szu-shui, [Liu Ho4a], had previously
died; because he was not [said to have] had any
heirs, his kingdom had been disestablished. [But a
lady of his] harem had given birth to his posthumous
child, [Liu] Huan, [about whom the deceased king's]
Chancellor and Prefect of the Capital had not
memorialized nor said [anything]. The Emperor
heard [of the child] and had compassion upon him,
[so he] set up [Liu] Huan as the King of Szu-shui;
the Chancellor and the Prefect of the Capital were
In the third month, grants of fifty bolts of silk
by the commanderies and kingdoms as having
[shown good] conduct and laudable [deeds, viz.:] to
Han Fu from Cho Commandery and others, five
persons [in all. They were then] sent home. An
imperial edict said, "We are saddened [at the
thought] that they should be made to toil at the
affairs of official position. Let them apply themselves
to the cultivation of filial devotion and
brotherly respectfulness in order to instruct their
districts and hamlets. [Let it be] ordered that the
commanderies and prefectures shall regularly grant
them, in the first month, a sheep and wine, and,
when the [final] untoward event happens [to them,
let them be] granted a complete suit of [burial]
clothes and [let] a ram and a boar be sacrificed to
them."[115]
The Ti [barbarians] in Wu-tu [Commandery] rebelled;
[the Emperor] sent to attack [the rebels] the
Chief of Palace Police in the Capital, Ma-shih Chien,
the Marquis of Lung-lo, Han Tseng, and the Grand
[from the districts under the control of] the Three
Adjuncts and the Grand Master of Ceremonies, all
of which [convicts] were freed from punishment.
In the summer, the sixth month, an amnesty
[was granted] to the empire. In the autumn, the
seventh month, on [the day] chi-hai,[121] the last day
of the month, there was an eclipse of the sun and it
was total. In the eighth month, [the Emperor]
changed [the year-period] Shih-yüan to be
Yüan-feng.
In the ninth month, the Elder Princess of O-yi
and the King of Yen, [Liu] Tan4a, who had plotted
rebellion with the General of the Left, Shang-kuan
Chieh, [with] the son of [Shang-kuan] Chieh, the
General of Agile Cavalry, [Shang-kuan] An, and with
the Grandee Secretary, Sang Hung-yang, all suffered
execution. Previously, [Shang-kuan] Chieh and
[Shang-kuan] An, father and son, had contested for
power with the General-in-chief, [Ho] Kuang.
They wished to kill him, so had falsely caused
someone to write a petition from the King of Yen,
[Liu] Tan4a, to the Emperor, telling of [Ho] Kuang's
crimes. At that time the Emperor was in his
fourteenth year,[125] [but] he had perceived its falsity.
Later, when someone had slandered [Ho] Kuang,
the Emperor had immediately become angry and
said, "The General-in-chief, [Ho Kuang], is [the
most] faithful minister of the government and was
the one to whom the late Emperor [Wu] entrusted
[the empire]; whoever dares to slander or speak evil
that [time on, Ho] Kuang had been able [to carry
out] completely [whatever his sense of] loyalty
[prompted]. A discussion is in the "Memoirs of
the King of Yen, [Liu Tan4a]," and "of Ho Kuang."
In the winter, the tenth month, an imperial edict
An-yang, [Shang-kuan] Chieh, the General of Agile
Cavalry, the Marquis of Sang-lo, [Shang-kuan] An,
and the Grandee Secretary, [Sang] Hung-yang, have
all sought several times to assist in the government
with evil and crooked [intentions]; when the Generalin-chief,
[Ho Kuang], did not listen [to them], they
cherished grudges and discontentment against him.
They communicated and plotted with the King of
Yen, [Liu Tan4a], established post relays going and
coming, and made a mutual covenant and agreement
with the King of Yen, [Liu Tan4a], who sent
Shou-hsi Ch'ang, Sun Tsung-chih, and others to
bribe and offer presents to the Elder Princess, to
Ting Wai-jen, to the Internuncio Tu Yen-nienb, to
the Chief Clerk of the General-in-chief, Kung-sun
Yi, and to others. They interchanged secret letters
and plotted together to have the Elder Princess
[of O-yi] hold a feast [at which] soldiers should be
ambushed, [with the purpose of] murdering the
General-in-chief, [Ho] Kuang, and summoning and
setting up the King of Yen, [Liu Tan4a], as the Son
of Heaven. It was treason and an inhuman crime.
"The former Commissioner for the Rice Fields,
Yen Ts'ang, first detected [the plot] and thereupon
informed the Grand Minister of Agriculture, [Yang]
Ch'ang. [Yang] Ch'ang told the Grandee Remonstrant,
[Tu] Yen-niena. [Tu] Yen-nien reported it,
and the Lieutenant Chancellor's Consultant, Jen
Kung, [with his own] hand captured and beheaded
[Shang-kuan] Chieh. The Lieutenant Chancellor's
Junior Clerk, Wang [Shan]-shou, induced and led
[Shang-kuan] An to enter the gate of [the Lieutenant
have already suffered execution and the officials
and common people have thereby secured peace.
[Let Tu] Yen-nien, [Yen] Ts'ang, [Jen] Kung, and
[Wang Shan]-shou all be enfeoffed as marquises."
It also said, "The King of Yen, [Liu Tan4a], was
deluded and lost the [right] Way. He had formerly
committed treason with Liu Tsê5c, the [grand]-son
of the King of Ch'i, [Liu Chiang-lü], and others,
[which matter] was repressed and not made public,
hoping that the King would mend his ways and
reform himself. But now he, with the Elder Princess,
the General of the Left, [Shang-kuan] Chieh, and
others, plotted to endanger the [imperial] ancestral
temples. The King and the Princess have both
[caused] themselves to suffer for their crimes. Let
the King's Heir-apparent, [Liu] Chien4d, the son
of the Princess, [Wang] Wen-hsin, together with the
young people of the imperial house who plotted
rebellion with the King of Yen, [Liu Tan4a]. Shang-kuan
Chieh, and the others, and their fathers,
mothers, brothers, and sisters, who ought to be
sentenced [with them], be all dismissed [from their
noble ranks and official positions in lieu of execution]
and become commoners. Let the crimes of those
officials who have been deluded and misled by
[Shang-kuan] Chieh and the others, which have not
yet become known [so as to come] into [the hands of]
In the second year, in the summer, the fourth
month, the Emperor removed from Chien-chang
Palace to Wei-yang Palace. He held a great feast
and granted silk to his Gentlemen and his personal
attendants and two hundred thousand cash to each
son [among members] of the imperial house. To
each official or common person who offered an ox
and wine he granted one bolt of silk.
In the sixth month, an amnesty [was granted] to
the empire and an imperial edict said, "We pity
[food]. In previous years [We] have lessened the
water transport [of grain] by three million piculs and
have reduced considerably the horses [required] for
[Our] carriages and conveyances, together with the
horses of [the imperial] pastures, in order to supply
transport horses for the border commanderies and
for the three capital commanderies. Let it be
ordered that the commanderies and kingdoms shall
not collect this year's poll-[tax] in cash on horses
and that [the people in] the commanderies [under
the charge of] the Three Adjuncts and the Grand
Master of Ceremonies shall be allowed to use beans
or cereals in [payment] of the military taxes [instead
of cash].[141]
In the third year, in the spring, the first month,
stone that rose and stood upright of itself and in
and had fallen down rose up of itself and came to
life.[148] Chung-mou Park was abolished and [its
land] was distributed among the poor people. An
imperial edict said, "Recently the common people
have suffered from calamities of water and are sorely
lacking in food. We will empty the granaries and
storehouses[149] and send messengers to relieve the
suffering and indigent. Let it be ordered that in
the fourth year [of Yüan-feng] there shall be no
[water] transport [of grain] and [let there be] no
collection of debts from those who were [given]
relief or loans in the third year [of Yüan-feng] and
earlier, except those in the border commanderies
[for whom] the Lieutenant Chancellor or [Grandee]
Secretary begged that they should receive oxen."[150]
In the summer, the fourth month, the Privy
Treasurer, Hsü Jen, the Commandant of Justice,
Wang P'ing, and the Eastern Supporter, Chia
Sheng-hu, were all sentenced for having [purposely]
freed a rebel.[152] [Hsü] Jen committed suicide;
[Wang] P'ing and [Chia] Sheng-hu were both cut
in two at the waist.
In the winter, the Wu-huan of Liao-tung [Commandery]
rebelled.[154] The General of the Gentle-men-of-the-Household,
General Who Crosses the Liao [River], and, leading
two thousand cavalry from each of the seven commanderies
at the northern border, he attacked
[the Wu-huan].[157]
In the fourth year, in the spring, the first month,
of virility[161] and was presented in the Temple of
[Emperor] Kao. He granted to the vassal kings,
to the Lieutenant Chancellor, [T'ien Ch'ien-ch'iu],
quises, to the [members of the] imperial house, on
down to the officials and common people, money,
silk, oxen, and wine, to each proportionately. He
granted to [officials ranking at] fully two thousand
piculs and lower, together with the common people
of the empire, noble ranks. [He ordered that] the
poll-money for the fourth and fifth years [of Yüan-feng]
should not be collected[165] and that [from] all
those who had avoided [payment in lieu of] military
service or whose military taxes for the third year
[of Yüan-feng] or earlier had not yet been paid,
[these payments] should not be collected.[167] He
ordered that the whole empire should [be allowed to]
drink during five days.
On [the day] chia-hsü,[169] the Lieutenant Chancellor,
In the summer, the fourth month, an imperial
Liao [River, Fan] Ming-yu, as the Chief Commandant
of Ch'iang Cavalry, led the Ch'iang King,
marquises, baronets, chiefs, and their subordinates
to attack the rebellious caitiffs of Yi Province; later
he again led them to attack the rebellious Ti [barbarians]
of Wu-tu [Commandery]; he has now routed
the Wu-huan, cutting off the heads of the caitiffs
and taking prisoners alive,[173] [thus] distinguishing
himself. Let [Fan] Ming-yu be enfeoffed as Marquis
of P'ing-ling.
"The Superintendent of the P'ing-lo [Stables], Fu
Chieh-tzu, as an envoy with credentials, has executed
and beheaded the King of Lou-lan, An-kuei,
whose head has been hung at the North Portal [of
the imperial Palace. Let] him be enfeoffed as the
Marquis of Yi4-yanga."
In the fifth month, on [the day] ting-ch'ou,[174]
the
burnt. The Emperor, together with his courtiers,
all wore plain [mourning] robes. He mobilized the
officials [ranking at] fully two thousand piculs,
leading the five managers, to [re]build and repair it;
on the sixth day, it was completed.[177] The Grand
Assistant, the Gentlemen, and the officials of the
Temple, were all impeached as having been extremely
disrespectful. It happened that there was
an amnesty, [so] the Grand Master of Ceremonies,
the Marquis of Liao-yang, [Chiang] Tê, was [merely]
dismissed and became a commoner.[181] In the sixth
month, an amnesty [was granted] to the empire.
In the fifth year, in the spring, the first month,
the King of Kuang-ling, [Liu Hsü], came to pay
court; his kingdom was increased by eleven thousand
families and he was granted twenty million
cash, two hundred catties of actual gold, two
swords, one comfortable carriage with seats, and
two quadriga of horses.
In the summer, there was a great drought. In
the sixth month, the evil young people about whom
the officials had been informed and who had been
accused, but had absconded, were sent out from the
three capital commanderies together with the
[other] commanderies and kingdoms to the encampments
in Liao-tung [Commandery]. In the autumn,
Hsiang Commandery was abolished and [its territory]
was divided and incorporated in Yü-lin and
Tsang-k'o [Commanderies].[189]
In the winter, the eleventh month, there were
great [bursts of] thunder; in the twelfth month, on
[the day] keng-hsü, the Lieutenant Chancellor,
[Wang] Hsin, died.
In the sixth year, in the spring, the first month,
solicited to build city walls in Liao-tung and
Hsüan-t'u [Commanderies]. In the summer, an
amnesty [was granted] to the empire. An imperial
edict said, "Verily, when grain is cheap, it injures
agriculture. Now the grain [in the districts of]
the Three Adjuncts and the Grand Master of
Ceremonies is getting lower and cheaper [in price].
Let it be ordered that beans and cereals may be used
to take the place of this year's military taxes. The
General of the Right, Chang An-shih, has constantly
been on guard and has been loyal and
diligent; [let him] be enfeoffed as the Marquis of
Fu-p'ing."
The Wu-huan again violated the frontier; the
General Who Crosses the Liao [River], Fan Ming-yu,
was sent to attack them.
In [the period] Yuan-p'ing, the first year, in the
"The empire considers agriculture and sericulture
to be the fundamental [activities]. Recently [We]
have lessened [Our] expenses, have abolished those
offices that are not urgently necessary, and have
[peoples' homes]. Those who plow and cultivate
silkworms have become increasingly many, yet
our subjects have not yet been able to have sufficient
[food and clothing even] for their homes. We are
very solicitous for them. Let the poll-money be
reduced." The high officials memorialized, begging
that it be reduced three-tenths and the Emperor
permitted it.[203]
On [the day] chia-shen, at dawn, there was a
meteor as large as the moon with a crowd of stars
following it and traveling westwards,[205] and in the
summer, the fourth month, on [the day] kuei-wei,
the Emperor died in Wei-yang Palace. In the
sixth month, on [the day] jen-shen, he was buried
in the P'ing Tomb.[208]
In eulogy we say: Anciently [King] Ch'eng of the
Chou [dynasty] succeeded to the dynastic line as a
child and there occurred the vicissitudes [brought
about by] the circulating rumors [spread by the
King's Uncles of] Kuan and of Ts'ai in [the rebellion
of] the four states;[210] [Emperor] Hsiao-chao took
the throne while [still] a youth and there likewise
occurred the conspiracy and treasonable rebellion
of [the King of] Yen, the [Elder Princess of O-yi,
whose husband was the Marquis of] Kai, and Shang-kuan
[Chieh and his son, Shang-kuan An]. King
Ch'eng did not doubt the Duke of Chou; [Emperor]
Hsiao-chao had confidence in and put [the government]
of the circumstances of their time and thereby
made for themselves a fame that is great indeed.
[Emperor Hsiao-chao] inherited the evils of
extravagance and indulgence remaining from [the
rule of Emperor] Hsiao-wu and his military expeditions.
[The country] within the [four] seas was
depopulated and exhausted, the population was reduced
by half.[212]
[Ho] Kuang understood the
important necessities of the period, so lightened the
required public service and reduced the taxes, [thus]
giving the people rest and repose. During [the
periods] Shih-yüan and Yüan-feng, the Huns made
The Capable and Good and the Literary Scholars
were recommended [to the imperial court,[214] the
government sent to] inquire about what the people
suffered from or were distressed by,[215] the [abolition
of the government] salt and iron [monopolies] was
discussed,[216] and the [government] monopoly dealing
in [fermented drinks] was abolished.[217] [The
Emperor] was honored with the title Chao (brilliant).
Was this not indeed appropriate?
This circumstance was an abnormally long period of gestation. Cf. Glossary sub
Chao, Favorite Beauty née.
Emperor Wu had six sons; the remaining two: Liu Hung, King Huai of Ch'i, and
Liu Po, King Ai of Ch'ang-yi, had died in 110 and 89 B.C., respectively.
P. H. Cowell and A. C. D. Crommelin calculate with a fair degree of certainty that
this was an appearance of Halley's comet. They calculate perihelion for Aug. 15. P.
Hoang lists the seventh month as Aug. 10 to Sept. 8, julian. Cf. Monthly Notices of the
Royal Astronomical Society, vol. 68, 1907-8, p. 668.
The text reads "second month," but the events recorded for this month, the congratulations
by the high ministers and presents to nobles and members of the imperial
house, are most naturally understood to refer to the great court reception at the beginning
of the year, in the first month. The day chi-hai recorded in this month is moreover
listed by P. Hoang only in the first month, not the second. Hence I have emended
this date.
Fu Tsan (fl. ca. 275) writes, "At that time, the Han [dynasty] was using the virtue
of earth [as its ruling element] and in the color of its robes it esteemed yellow. The
color of all swans is white, and the fact that this [one] changed to yellow was considered
an auspicious omen concerning the virtue of earth, hence was recorded." (The present
text says, not "the virtue of earth," but "the virtue of the Emperor." Wang Hsien-ch'ien
approves the emendation in the Official ed. of [OMITTED] to [OMITTED].) Yen Shih-ku (581-645)
writes, "The yellow swan is a great bird which in one stretch [flies] a thousand li; it is
not a white swan."
The Hsi-ching Tsa-chi (vi cent.) 1 ˙ 4b, says, "In the first year [of the period] Shih-yüan,
a yellow swan came down into the T'ai-yi Pond and Emperor [Chao] composed a
song, which runs:
And came down in Chien-chang [Palace].
Its wings and plumage are respectful
And its gait is dignified.
Gold is its tunic
And chrysanthemums are its lower garments.
It gobbles lotus and duck-weeds
[As it] goes in and out among the reeds.
When I consider myself, I am shallow and mediocre;
I am ashamed [of myself at receiving] thee, thou felicitous and happy augury.' "
Dr. George D. Wilder of Tehsien, Shantung, writes in a letter, "The bird seen in the
palace grounds at Ch'ang-an in February was doubtless one of the two or three species
of swan still found in North China in winter, in a rather rare abnormal plumage which
may be described as `rusty.' Many swans have this rusty feathering on the head but I
have seen one or two specimens in which the under parts and much of the mantle also
was heavily washed with this orange or rusty yellow. It is only the tips of the feathers
that have the yellow color, the bases remaining white, but the tip for a half inch or more
is colored so as to give a distinct yellow surface noticeable at a distance of fifty or perhaps
a hundred yards. . . .
"Both the Whooper Swan, Cygnus cygnus (Linnaeus) and Bewick's or more properly
Jankowski's Swan, Cygnus bewickii jankowskii, Alpheraky, are common in autumn,
winter (less so), and in spring at Peiping, and probably also at Hsi-an, Shensi. It being
farther south they would be still more apt to be there in winter. . . . Three specimens of
the Mute Swan, with the large tubercle at the base of the upper mandible, have been
taken in east China in modern times, and it is a minor possibility that the bird in
Ch'ang-an belonged to that species. So I think you are pretty safe in concluding that
they did really see a `yellow swan'. . . . A flock of about 120 [swans] stays every year at
the Summer Palace west of Peiping through the winter, and I have seen thousands together
in the spring and fall.
"The large `Yellow Duck,' Casarca ferruginea (Pallas) with its black and white wings
could never have been mistaken for the swan by anyone who knew the swan at all.
Some of the bean geese sometimes have the rusty plumage as well as the swan. . . .
"The poem notes accurately several characteristics of the swan, which is a vegetable
eater, as it says."
For the significance of this plowing, cf. ch. IV, app. II. Ying Shao explains, "At
this time the Emperor was in his ninth year and so was not yet able in person to plow
the imperial sacred field." For these amusement fields, cf. Glossary, sub Intendant of
the Imperial Palace Parks.
Su Lin explains, "These are all the names of different tribes among the southwestern
barbarians."
Ying Shao (ca. 140-206) writes, "In former times commanderies and kingdoms all
had skilled soldiers and cavalrymen for attending promptly to urgent difficulties. Now
the barbarians revolted and the regular troops were insufficient to chastize them, hence,
as a measure of expediency, they selected and chose skilled braves who, when they
heard [the general's] order, would eagerly run [to assist] [OMITTED], hence they were
called emergency troops (pen-ming [OMITTED])." Li Fei (prob. iii cent.) adds, "Those who
were mobilized were ordinarily from their twentieth year to their fiftieth year and constituted
the militia [OMITTED]. The present persons were over their fiftieth and below their
sixtieth year, hence constituted the emergency troops (pen-ming). [The use of the
term] pen-ming means that it was an emergency." But Hu San-hsing (1230-1287) calls
attention to the fact that the Tso-chuan (Legge, p. 36217; Couvreur II, 65) says, "Tzuch'ung
and Tzu-fan thereupon in one year [met] seven emergencies (pen-ming)." He
remarks, "Pen-ming are troops who assist in an emergency; they would certainly not all
be [restricted to those] over fifty and under sixty." Yü Yüeh (1821-1906) adds, "The
skilled soldiers and cavalrymen are like the present regularly levied troops; the emergency
troops were skilled braves selected and chosen in a crisis, like the present levied
braves [OMITTED]. This [practise] already existed in Han [times]." Thus the pen-ming
were specially impressed soldiers.
Yen Shih-ku says, "They probably had [previously] been a territorial division of
the capital [districts under the inspectorate of the Colonel] Director of the Retainers."
This office had been established in 89 B.C.; at the end of the Former Han period and in
the Later Han period, this official inspected seven commanderies, including the two
mentioned here; cf. Glossary sub voce; HS 28 Ai: 60b; HHS, Tr. 19: 1a. This change
was merely a redistribution of the territory whose administration was inspected by the
Colonel Director of the Retainers, which change was later annulled.
The present text lacks the words in brackets; Han-chi 16: 2a (by Hsün Yüeh,
148-209) reads them; where this incident is recorded in HS 6: 38b, both brothers are
also mentioned; the accounts of this affair in the memoirs of Chin Mi-ti and Ho Kuang
(HS 68: 2a, 19b) likewise mention both brothers. Ma T'ung was choked to death by
Chin Mi-ti; it would be surprising if Ma Ho-lo, in whose arrest Ho Kuang and Shang-kuan
Chieh could alone have distinguished themselves, were not mentioned in the
citation of their deeds. In the citation in 18: 11a, b, Ma Ho-lo alone is mentioned.
Hence the words in brackets have evidently dropped out of the HS text; Wang Nien-sun
(1744-1832) suggests their reinsertion.
Ch'ang-lo Palace was the residence of the Empress Dowager, but there was no
Empress Dowager at this time. Ho Kuang was seeking to show the imperial house
that he had no intention of repeating the usurpation attempted previously by the Lü clan;
cf. 3: 5b ff. Members of the imperial clan were not ordinarily permitted to hold official
positions, although exceptions were made. The Superintendent of the Imperial House
was always a member of the imperial clan; the other position was purely honorary. Cf.
36: 4b; Glossary, sub Liu Pi-ch'iang and sub the Superintendent of the Imperial House.
Ho Ch'uo (1661-1722) remarks, "He was cultivating somewhat [the principles of]
government used by [Emperors] Wen and Ching, and the empire therefore became
tranquil again."
In the Discourse on Salt and Iron, 7: 5b, ch. 38, the Capable and Good say, "At
present the horsemen and armed gentlemen from east of the mountains who are garrisoned
in the border commanderies are separated [from their families] by a vast distance. Their
bodies are among the Hu and the Yüeh, [but] their hearts and spirits are with their
elders and mothers." Since Sang Hung-yang defends the government policy in the
Discourse on Salt and Iron, ch. 38, Shen Ch'in-han concludes that this order was perhaps
due to Sang Hung-yang.
This date was the year Emperor Chao began his reign. Chou Shou-ch'ang (18141884)
says that the omission of the word "Yüan" is merely an abbreviation, taking the
use of this word on p. 1a as proof. But cf. 6: n. 38.1.
A commune or t'ing was an administrative division; cf. HFHD I, 29, n. 3.
The phrase ma nu [OMITTED] might very well be read "horse-crossbows." Ying Shao
writes, "Emperor Wu many times sent military expeditions against the Huns and twice
[sent them] to attack Ferghana (Ta-yüan), [so that] his horses had almost all died.
Thereupon he ordered the various communes in the empire to rear mares with the intention
of making [horses] multiply and breed. He also instituted barriers for the crossbow
trigger mechanisms [used] upon horseback [OMITTED]. Now they were all abolished."
Meng K'ang (ca. 180-260) says, "Formerly horses five feet six inches tall
whose teeth were not yet smooth [an order of 146 B.C., cf. 5: 6b] and crossbows of ten
piculs' [strength] and over were all not allowed to go out of the barriers. Now this was
not prohibited." Yen Shih-ku says that Ying Shao is correct about the mares and communes
and Meng K'ang about the barriers for horses and crossbows (or horse-crossbows).
Chia Yi (200-168 B.C.) in his Hsin-shu 3: 8b, "Yi-t'ung," mentions the barriers for
prohibiting the exportation of horses.
Whether horse-crossbows were used this early is not certain. The HHS, An. 8: 11a,
under the date of 184 A.D. days, "An imperial edict [ordered] the highest ministers to
contribute ma-nu." The T'ung-tien (by Tu Yu 735-812), 149: 13a (p. 781 of the Com.
Press one vol. ed.) says, "Today there are . . . crossbows drawn tight by hand which
shoot three hundred paces, used in fighting on foot, and horse-crossbows (ma-nu), which
shoot two hundred paces and are used in cavalry fighting. Crossbows are drawn
[only] slowly and, when the enemy are near, they can only be shot one or two times, so
that it is not convenient to use crossbows when fighting in battle-line; it is not that crossbows
are not effective in fighting, but it is because of the general's [poor] use of his crossbows."
There is thus ample evidence that the Chinese used crossbows in cavalry
fighting, something that does not seem to have been done in Europe; but we cannot be
sure that these light crossbows for cavalry were used in Han times. Mr. Martin Wilbur
has illustrated and described various kinds of crossbows in "The History of the Crossbow,"
Annual Report of the Smithsonian Institution, 1936, pp. 427-438.
HHS, Mem. 75: 9b2 states that in this year Lin-t'un Commandery was also abolished
and that its territory and that of Chen-p'an Commandery were united with those of
Lo-lang and Hsüan-t'u Commanderies. The commandery of Tan-erh was located in
Hainan; the commanderies of Chen-p'an and Lin-t'un were in Korea (cf. Glossary, sub
vocibus); unnecessary administrative divisions were being disestablished, possibly because
these regions were poor and had reverted to their former semi-independent condition.
HS 95: 5b states that more than fifty thousand captives and heads and more than
a hundred thousand domestic animals were taken.
The discussions developed and presented by Huan K'uan in the Discourses on Salt
and Iron were held at this time. Dr. E. M. Gale has translated the first 28 chapters of
that book under the above title and (together with P. A. Boodberg and T. C. Lin) additional
chapters in the Jour. N. C. Br. Royal As. Soc'y, vol. 65, (1934) pp. 73-110. Cf.
p. xxxi of that translation. Tu Yen-niena first suggested that these discussions be held;
cf. Glossary sub voce.
HS 27 Ba: 24b says, "There was a great drought." Wang Hsien-ch'ien remarks
that the word [OMITTED] is omitted in this clause to avoid repetition, for it is used in the next
clause. Fu Tsan remarks, "[The reason] they were not allowed to light fires [was that
they thus] suppressed [the principle] yang and aided [the principle] yin."
This monopoly had been established in Mar.-Apr. 98 B.C.; cf. 6: 34b. The
Discourses on Salt and Iron, ch. 41, ad fin. say that the high officials (Ch'ê Ch'ien-ch'iu
and Sang Hung-yang, according to HS 24 B: 20b) "memorialized [the throne], saying,
`The Capable and Good and the Literary Scholars do not understand the affairs of the
imperial government, alleging that the salt and iron [monopoly] is disadvantageous;
we beg that there may temporarily be abolished the [government] monopoly dealing in
[fermented drinks] in the commanderies and kingdoms, and the offices for the iron
[monopoly] within Kuan-[chung].' The memorial was allowed." The monopoly of
salt and iron was abolished in 44 and restored in 41 B.C., because revenue was needed.
Ju Shun explains, "[According to] the Code, for those who must testify (chan [OMITTED])
to [their assessment] for the tsu [OMITTED] (tax), each head of a family must in person testify
(chan) [the value of] his goods. If his testimony is not in accordance with the facts, or
if the head of the family does not himself in person have it written down, in all [such
cases] he is fined [the equivalent of] two catties of gold, and whatever goods have not
been testified to in person are confiscated and paid in and their value in cash is brought
to the imperial government." Yen Shih-ku says, "Chan means privately to estimate
one's wealth and to fix it in written words. . . . Further on [the text] also speaks of testifying
(chan) to one's name and [cadastral] amount. These meanings are both the same.
At present one moreover speaks of disputations [OMITTED] in legal cases and calls them chan
(testimony). Both [these things are among] the [word's] meanings." Liu Pin adds,
" `To testify (chan) [to their assessment for] the tsu (tax) in accordance with the code'
means that it was ordered that the common people could sell liquor and testify (chan)
concerning the profit which they made and then pay their tsu (tax). . . . The tsu was the
tax [OMITTED] for selling liquor." HS 15 A: 22b records that Liu Yin, Marquis of Pang-kuang,
was dismissed from his marquisate for not testifying his taxes and for taking illegal
interest. Cf. HS 24 B: 13b.
Ying Shao writes, "In the third year [84 B.C.; cf. p. 3b], phoenixes (feng-huang) had
repeatedly come down in Lo District of Hai-hsi [Prefecture] in Tung-hai [Commandery];
hence he used [the word feng] to cap the year-period." This title was not given until
Sept./Oct.; cf. p. 6a.
Yen Shih-ku writes, "Hsing [OMITTED] is to be fortunate and escape calamity, hence
death is called pu-hsing [OMITTED]. One hsi [OMITTED] is a complete suit of clothes [OMITTED], just
as today they say [OMITTED]. A chung-lao [OMITTED] is a [OMITTED]; it means a ram and a boar."
Wang Hsien-ch'ien says that "Grand Herald" is here an error; according to 19 B:
27b, in 83 B.C., T'ien Kuang-ming had been promoted from Grand Herald to Commandant
of the Palace Guard. His expedition is also noted in 95: 5b, where, however,
he is also entitled Grand Herald.
Since Emperor Chao was in his eighth year in 87 B.C. (cf. p. 1a), this event happened
a year before the execution of the conspirators. This event is recounted in 68:
3b-4b; cf. Glossary, sub Ho Kuang.
Wen Ying (fl. ca. 196-220) says, "In former times [whoever] had horses paid taxes
in cash [in accordance with their number]. Now it was dispensed with." Ju Shun
(fl. dur. 189-265) says, "This is what is meant by `taxation even on domestic animals'."
Shen Ch'in-han adds, "Emperor Wu ordered the communes to rear horses [cf. 24 B:
18b], hence taxed the people, making them pay cash for the expenses of the market
and the expense of hay and feed."
Yen Shih-ku says, "All those who had to pay the military taxes [OMITTED], the poll-taxes
(suan [OMITTED]), the land-tax [OMITTED], or [other] taxes [OMITTED] were permitted to use beans or cereals to
take the place of cash or [other] articles." Ku Yen-wu (1613-1682) adds, "In Han times
the land tax on cultivated fields was originally [paid in] these beans and cereals. Now
together with the poll-tax and various taxes which [were paid in] cash, it was ordered
that beans or cereals were to be accepted in place of [money]. This was only done in the
commanderies of the Three Adjuncts and Grand Master of Ceremonies, not merely
because grain was cheap [and for fear of] injuring agriculture; it was also [done] because
the water-transport [of grain] had been reduced three million piculs and it was feared
that the stores and stocks [of grain] might be exhausted." Shen Ch'in-han adds, "Since
later on in the sixth year [cf. p. 10a], it was also ordered that they should take beans or
cereals in place of taxes, it was not a regular decree [that such commutation should be
allowed]." Chou Shou-ch'ang adds, "[It was] because [those places] were near the
imperial domain and it was convenient to transport [grain]; if [this commutation had
been allowed] in other commanderies, they would have been too distant." Ho Ch'uo
remarks that this payment in kind was in accord with the conceptions in the account of
the imperial domain found in the "Tribute of Yü" (Book of History, III, i, ii, iv, 18;
Legge, p. 144), hence it was derived from that account.
The details of these portents are given in 27 Ba: 29a and 75: 1a, b. Kuei Hung
interpreted them as fortelling the arising of a new emperor who was a commoner. He
was executed for his pains. These portents were later considered to have been fulfilled
by the elevation of Emperor Hsüan, who had been a commoner.
Yen Shih-ku writes, "The ts'ang [OMITTED] were the places were new grain is stored; the
lin [OMITTED] were the places whence grain is paid out [to those who need it] and taken in [by
the government]."
Ying Shao writes, "Emperor Wu first opened the three borders and transported
people to colonize agricultural garrisons. They were all given oxen for plowing. Later
the Lieutenant Chancellor and [Grandee] Secretary again at various times begged [that
they should be given oxen]. Now it is ordered that what had been granted and given
from the Emperor should not be collected as a debt; [but] what the Lieutenant Chancellor
[and Grandee Secretary] had begged is however ordered to be considered and taxed."
The Wu-huan (q.v. in Glossary) had dug up the graves of buried Hun Shan-yü
and the Huns attacked the Wu-huan; when Ho Kuang sent Fan Ming-yu to intercept
the Huns, the Huns withdrew, whereupon Fan Ming-yu attacked the friendly Wu-huan
with great success. Cf. 94 A: 29a; de Groot, Die Hunnen, p. 191.
HS 94 A: 29a7 says that he had 20,000 cavalry, so that either ten commanderies
contributed or some commanderies contributed more than their quota of soldiers.
Emperor Chao was in his eighteenth year. Yen Shih-ku explains that [OMITTED] means
head, so that the cap of virility [OMITTED] is the yüan-fu [OMITTED]. He points out that the versified
table of contents in 100 B: 11b says, "Emperor [Wu] corrected his yüan-fu," and the
account in 50: 10a, b, shows plainly that this phrase refers to the Emperor's head-gear.
The text of the ceremony for the capping of Emperor Chao is given in the Ta-Tai-li,
ch. 79 (translated in R. Wilhelm, Li Chi, p. 338).
Shen Ch'in-han notes that Ch'iao Chou (201-270) said that King Ch'eng of the Chou
dynasty (1115-1079 B.C.) was capped in his fifteenth year; Duke Hsiang of Lu (572542
B.C.) was capped in his twelfth year, on which occasion the Marquis of Chin remarked,
"He is in his twelfth year then; that is a full decade of years, the period of a
revolution of Jupiter. The ruler of a state may have a son when he is in his fifteenth
year. It is the rule that he should be capped before he begets a son." (Legge, Tso-chuan,
p. 441). Emperor Ho (89-105) was capped in his thirteenth year; Emperor An
(107-125) in his sixteenth year, Emperor Shun (126-144) in his fifteenth year. All of
them were first capped and later married; Emperor Chao was however married six years
before he was capped. Shen Ch'in-han remarks that this fact indicates, "His great
officials were not educated and the ministers of the court did not remonstrate [with
them] for their fault, which is astounding." The learned Confucian, Wang Mang, however
also married his daughter to Emperor P'ing before the latter had been capped.
Confucian principles did not outweigh clear advantages.
Dr. Duyvendak writes, "[OMITTED] is a `sacred' word for `head'; cf. Li-chi, ch. I, pt. ii, art.
iii, 10 (Couvreur, I, p. 101; Legge, XXVII, p. 117) for the expression [OMITTED], `one
head great tracks' as the `sacred' term for a sacrificed ox (Couvreur's translation is not
very exact). This passage contains several other `sacred' circumlocutions for animals
that are sacrificed, which constitute a kind of `priest language,' such as one finds among
many so-called `primitive tribes.' Cf. also Yi-li, Couvreur, p. 533, 596, for similar
expressions."
HS 72: 13a reports that Kung Yü petitioned Emperor Yüan to the effect that
"anciently the common people had no military taxes [OMITTED] or the poll-tax (suan) [OMITTED].
The poll-money (k'ou-ch'ien) [OMITTED] [first] arose when Emperor Wu made military
expeditions against the barbarians of the four [quarters] and made the military taxes
heavy upon the common people. When a commoner has a child and it is in its third
year, then he [has to] pay the poll-money [for it]. Hence the common people are doubly
distressed, so that when a child is born, they immediately kill it, which is very lamentable.
It is proper that it should be ordered that [since] children lose their [first] teeth in their
seventh year, the poll-money should then [first] be paid [for them]; when they are in
their twentieth year, they should then [first pay] the poll-tax."
Ju Shun, speaking of times after Emperor Yüan, says, "The comment in
the Han-[chiu]-yi
[by Wei Hung, fl. dur. 25-57; B: 5b, says] `Common people [from] their seventh
year to their fourteenth year pay the poll-money (k'ou-fu-ch'ien [OMITTED]), 23 [cash]
per person. Twenty cash are used for the income of the Son of Heaven. The [other]
three cash were poll-money [OMITTED] that Emperor Wu added to provide horses for the
chariots and cavalry.' " But cf. note 10.1.
Both this passage and 19 B: 29a date this death on a chia-hsü day; but P. Hoang
has no chia-hsü day in the first month of this year. The fact that both recordings agree
would seem to eliminate any mistake in the transmission of the text. Yet the same
difficulty occurs with the date of the fire below (cf. n. 9.3); so that it may have been
possible that one recording was erroneous and the other was corrected to agree with it.
The only serviceable emendation seems to be chia-ch'en, which was Mar. 14. On 11: 8a,
ch'en is mistakenly written for hsü; cf. 11: App. II, ii. If we suppose that P. Hoang is
mistaken in putting the intercalary month in the preceding instead of this year, then the
just preceding date, that of the Emperor's capping, is impossible. The death could not
have taken place on chia-hsü of the second month, for that was Apr. 12 and ch. 19 records
the appointment of T'ien Ch'ein-ch'u's successor on Apr. 3.
Yen Shih-ku points out that this passage makes clear that [OMITTED] means to take
prisoners. Cf. 6: n. 7.8.
There is here the same difficulty as that with the date for the death of T'ien Ch'ien-ch'iu.
Ting-ch'ou is impossible in the fifth month, according to P. Hoang, yet it is
found both here and in 27 A: 14a. The repeated mention of "the fifth month" in that
passage seems to assure the correctness of the month. Then either Hoang is mistaken
in his calendar or one recording of this event became erroneous and somebody corrected
the other to agree. Hsin-ch'ou seems to be the only serviceable emendation; it was July 8.
HS 19 A: 22b, 23a lists altogether eight hsiao-wei (colonels) with whom Wang Yi
(1321-1372) identifies these five officers. Dr. N. Kano, however, remarks that colonels
had nothing to do with building. HS 19A: 18b lists five managers (hsiao) subordinate
to the Court Architect, viz., the Left, Right, Front, Rear, and Central Managers, with
whom Hu San-hsing identifies these persons.
HS 19 B: 28b states that Chiang Tê was sentenced and dismissed because the
Gentlemen of the Temple were drinking at night and allowed the Temple to catch on fire.
It is possible that the words "became a commoner" are an interpolation or are due to a
misunderstanding on the part of the author, for the "Table" (17: 25a) records that in
75 B.C. Chiang Tê's son succeeded him in the marquisate, which would not happen
unless the title had been restored to him; but titles were not usually restored, for that
would be a confession of an imperial mistake; a dismissed marquis, if he deserved the
honor, was usually given a new marquisate.
Hsiang Commandery was established in 214 B.C. by the First Emperor; at the
collapse of his empire it presumably became part of the kingdom of Nan-yüeh; when
Nan-yüeh was conquered and made into commanderies, there is no mention of any
Hsiang Commandery among those established; cf. 6: 23a. H. Maspero asserts that the
Hsiang Commandery was among the seventeen unnamed new ones established in 111
B.C., after the conquest of Nan-yüeh, according to the SC (Mh III, 596), because this
commandery is mentioned in the Mou-ling-shu (quoted in a note to HS 1B; 4a), which
book was composed shortly after the conquest; cf. T'oung Pao 23 (1925), 375-389.
Yü-lin was in the present southeastern Kuangsi and Tsang-k'o was in north central
Kweichow; between the two there was abundant territory for another commandery.
Wang Hsien-ch'ien quotes the "Treatise" in the T'ang History as saying that Hsiang
Commandery took its name from a Mt. Hsiang; the Shina Rekidai Chimei Yoran, p. 274
lists several such mountains, one of which is in Hsiang [OMITTED] Hsien, in the Ch'ing dynasty's
Liu-chou Fu, central Kwangsi, and another one was north of the present
Ting-fan [OMITTED] in the Ch'ing dynasty's Kuei-yang Fu, south central Kweichow; it
is possible that this Hsiang Commandery was in that territory. Shen Ch'in-han
suggests that since the Ch'in dynasty's Hsiang Commandery was said to have been
located where the Han dynasty located its Ho-p'u Commandery, that Ho-p'u Commandery
was disestablished at this time.
If the poll-money was 23 cash in the time of Wei Hung (cf. note 8.7) and was now
reduced three-tenths, then it had previously been 33 cash. But in 8: 20a the poll-money
is again reduced, so that before this time it must have been more than 33 cash.
This event was probably a fireball that exploded, sending out a shower of luminous
trails. It was taken as a presage of the emperor's death.
Cf. Glossary, sub Kuan. Yen Shih-ku says that the "four states" in rebellion
were Kuan, Ts'ai, Shang, and Yen; but Book of History V, xiv, 21 (Legge, p. 461) states
that after King Ch'eng came from Yen he mitigated the penalty of the "four states,"
so that Yen, altho rebelling at the same time, was not one of the "four states."
Condemnation of Emperor Wu could hardly be more severe than this statement!
The statement about the population is taken from the "Memoir of Hsia-hou Sheng."
Cf. Glossary, sub voce.
APPENDIX I
REQUIRED MILITARY SERVICE
Valuable information concerning the Former Han Dynasty's ordinances
regarding conscript military service and payment in lieu therefor is to be
found in an ancient note at the end of 7: 8b. Ju Shun writes, " `Periodic
military service (keng [OMITTED])' was of three kinds. There was `the required
service as a soldier (tsu-keng [OMITTED])', there was `hired service (chien-keng
[OMITTED])', and there was `transferred frontier service (kuo-keng [OMITTED])'.
In ancient times, for the `regularly [drafted] soldiers (cheng-tsu [OMITTED])'
there was no definite number, [but] every person had to serve in his turn
[in the army, serving] one month as one `turn [OMITTED]'. This was called
required service as a soldier.
"When poor people wished to obtain the money for periodic military
service by being hired [as substitutes], a person who next was to serve his
turn [as a soldier] paid out the money to hire them, two thousand cash
per month. This was called hired service.
"All the people of the empire [had to] occupy the position of frontier
guard for three days, which was also called periodic military service [OMITTED]
and was what the Code called corvée garrison service (yao-shu [OMITTED]).
Although one might be the son of the Lieutenant Chancellor, he was
nevertheless among those summoned to frontier guard [duty]. Every
person could not himself [undertake] the journey to serve as a frontier
guard for three days, and moreover those who [undertook] the journey,
after fulfilling the duty of serving in person for three days, could not go
there and return immediately. Because of the convenience [of the
following system, those who served], lived [at the frontier] for a year as
one turn [OMITTED]. Those who did not serve, paid three hundred cash to the
government, and the government used it to pay those who [actually]
served as frontier guards. This was called transferred frontier service.
"[According to] the explanation of the Code, soldiers doing required
service and soldiers who do hired service are settled [OMITTED] [soldiers]. Those
settled [soldiers who serve] a turn in their [native] prefectures [served]
five months as a turn. Later, in accordance with the Code for Military
Officers [OMITTED], soldiers doing required service and hired service [served]
one month [and then] were relieved for eleven months. The `Treatise
on Food and Merchandise' [HS 24 A: 16b; this is a quotation from a
memorial of Tung Chung-shu, ii cent. B.C.], says, `[The Ch'in dynasty
. . . moreover added to the requirements of the government] that for
when [this period] was completed, he in turn became a regular [soldier,
who served] one year as a garrison guard at the frontier and one year at
service on the public works [OMITTED]—[which service] is thirty times [more]
than in ancient [times].' Thus the Han [dynasty] at first took over the
practises of the Ch'in [dynasty] and followed them. Later they were
thereupon changed and altered; only those who were reprobated, who
were in arrears and had not paid money [to transfer their duty of serving]
a turn, [served] as frontier guards for one year." For other details of
the Han and Ch'in military arrangements, cf. HFHD I, 80, n. 2; 5: n. 3.8.
Ho Ch'uo (1661-1722) adds, "Ju [Shun] explains that `periodic military
service was of three kinds. There was required service as a soldier,
there was hired service, and there was transferred frontier service.'
In my opinion, they were in reality of [only] two [sorts]. Hired service
was required service as a soldier in place of others, in which they only
individually obtained the value of their time counted by the month.
Transferred frontier service was general corvée garrison service in place
of others, and was counted by the year. A person would pay to the
government the value of three days' service as a frontier guard and
the government would in his behalf give it to people who lived [at the
frontier] for a long time. Required service as a soldier was indeed the
ancient institution of military taxes on cultivated fields for putting an
army into the field; garrison service at the frontier for three days resembled
the institution of corvée service, and to be hired [to serve] a
turn in place of [service] was the source for the practise of hired military
service, [i.e., a standing army]."
APPENDIX II
ECLIPSES IN THE REIGN OF EMPEROR CHAO
i. HS 7: 3b reads, in the period Shih-yüan, "the third year, . . . . xi,
(the eleventh month), on [the day] jen-ch'en, the first day of the month,
there was an eclipse of the sun." (Han-chi 16: 2a agrees.) HS 27 Cb:
14b adds, "It was 9 degrees in [the constellation] Tou."
P. Hoang lists this date as Dec. 3, 84 B.C.; Oppolzer calculates his
solar eclipse no. 2674 for that date. The principal star of Tou, φ Sagittarii,
was then in R.A. 249°. According to my computation by Neugebauer's
method, the sun was in long. 249° = 247° R.A. Oppolzer charts
the path of totality as passing through Indo-China; at Ch'ang-an the
eclipse reached a magnitude of 0.66 (sun's diameter = 1.00) at 11:25
a.m., local time.
In the five years between this and the last recorded eclipse in the
reign of Emperor Wu, no eclipses were visible in China.
ii. HS 7: 6a reads, in the period Yüan-feng, the first year, "vii, on
yi-hai, the last day, there was an eclipse of the sun, and it was total."
(Han-chi 16: 6a agrees.) HS 27 Cb: 14b writes the day as "chi-hai"
and adds, "It was almost total. It was 12 degrees in Chang. Liu Hsiang
said, `Because it was chi-hai it was total. The significance of [this combination]
is great.' " Meng K'ang (ca. 180-260) comments, "Chi is
earth and hai is water. It was the pure [element of] yin, hence the
eclipse was extremely great. When a solar eclipse is complete, it is
[called] chi [OMITTED]."
The comments of Liu Hsiang and Meng K'ang fix the day as chi-hai,
not yi-hai as in the text of the "Annals" and the Han-chi. The latter's
concurrence shows moreover that this error was ancient. Yi-hai was
furthermore neither the last day of the month nor the day of the eclipse,
according to P. Hoang's calendar.
P. Hoang equates this date with Sept. 20, 80 B.C.; Oppolzer calculates
his solar eclipse no. 2684 for that date. The stars of Chang, λ, υ, λ2, μ,
and φ3 Hydrae were then in 120°, 123°, 127°, 131°, and 135° respectively.
The sun's longitude was 174° = 175° R.A. This discrepancy of longitude
is hard to account for. Calculation shows that at Ch'ang-an, the
eclipse reached only a magnitude of 0.77, which was at 12:53 p.m.
local time. Calculation of the path of totality shows that it passed
eclipse was total at 1:39 p.m. local time.
In the 4 years between this and the preceding recorded eclipse, 2 solar
eclipses were visible in China; on May 18, 82 B.C. and May 6, 81 B.C.
(the latter was invisible at Ch'ang-an, but calculation shows that at
the present Peiping it reached a magnitude of 0.47 at 5:03 a.m., shortly
after sunrise).
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