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The Former Han Dynasty

Loewe, Michael. (1986). "The Former Han Dynasty," in The Cambridge History of China: Volume I: the Ch'in and Han Empires, 221 B.C. – A.D. 220, 103–222. Edited by Denis Twitchett and Michael Loewe. Cambridge: Cambridge University Press. ISBN 0521243270.

The Pattern of Political History

Page 103: Here is a great quote from Loewe, and you should perhaps use it in a legacy section at the end of the article! QUOTE: "Before Han, imperial government had been experimental and it had become discredited; after Han, it was acepted as the orthodox norm of organizing mankind. Up to 210 B.C., if we may believe our sources, Ch'in imperial officials had enforced their will with some measure of harshness, severity, and oppression; by the first and second centuries A.D. emperors could command the loyal service of officials whose authority was subject to generally recognized standards of behavior."
Page 109: QUOTE: "Tung Chung-shu (179–104 BC) never attained high office, but he affected Chinese political thought more significantly than most of those who served in eminent public positions. It was his philosophy which linked the exercise of imperial rule with the structure of the universe and which was destined to become the intellectual mainstay of China's imperial system. Meanwhile the active affairs of government lay within the grasp of modernist statesmen such as Huo Kuang (d. 68 B.C.) and Sang Hung-yang (executed 80 B.C.). Huo Kuang was related to Wu-ti's empress Wei; Sang Hung-yang had arisen from mercantile origins in Lo-yang, and was the leading genius behind the efforts to systematize and regularize China's economy."

The Founding of the Dynasty (210–195 BC)

Chu-Han Contention

Page 110: On the regional kingdoms which aided in the downfall of the Qin Dynasty, Loewe says that each had their own unique history of traditions, and that, QUOTE: "Some of these, such as Ch'i or Ch'u, had existed as viable regional states, and it may be surmised that, despite the unification, loyalties to ancient houses and a nostalgia for regional independence may well have survived among the remnants of the old royal families, their officials and their retainers, and presumably among many of their subjects."
Page 111: QUOTE: Four stages may be discerned in the confused fighting of these years (210–202 B.C.). First, there were peasant uprisings, which were followed by the establishment of independent kingdoms. From these there developed Hsiang Yü's attempt to build a confederacy of nearly twenty states; finally came the contest for mastery between Hsiang Yü and Liu Pang, at the end of which the latter succeeded in founding the Han Dynasty."
Page 112: In the Chu-Han contention that followed the collapse of Qin, Xiang Yu may have had more troops than Liu Bang, but the latter had tactical advantage by occupying Guanzhong and having the support of northern China.
Page 112-113: When the conscription officers Chen Sheng and Wu Guang were late to deliver nine hundred conscripts due to rain delays in 209 BC. Instead of arriving, which would have meant execution for their dereliction of duty, the two men started a revolt, in fact the first recorded popular revolt against Qin. However, both of these early rebel leaders were defeated by Zhang Han (general) in 208 BC.
Page 113: However, Xiang Yu, who came from a distinguished military family of Chu, began a rebellion alongside his uncle Xiang Liang just two months after Chen Sheng and Wu Guang rebelled in 209. The Xiangs killed a local Qin governor in Kuaji, and from Jiangsu they mustered a force of some several thousand which then marched across the Yangzi River and Huai River. In the fourth month of 208 BC (page 114), Xiang Yu was joined by a peasant leader Liu Bang, the latter who had assembled his own force.
Page 113: Liu Bang was a peasant from what is now Pei County in Jiangsu province. He served as a minor officer for the Qin official of Pei, but one day abandoned his work as a supervisor of convicts in order to rebel and kill the Qin magistrate. After this he adopted the title Lord of Pei. He sided with trustworthy companions such as Xiao He and Fan Kuai, the former who became one of the prominent founders of the Han Empire.
Page 114: In the sixth month of 208 BC, the Xiangs installed a new King of Chu, a grandson of the earlier King of Chu who was defeated by and suffered the cruelties of Qin. Pengcheng (modern Xuzhou) was chosen as the new capital of the Kingdom of Chu.
Page 114: As other kingdoms were reestablished, the Qin court sent Zhang Han to quell the pockets of rebellion. He was successful until he reached the Kingdom of Zhao and its city of Julu, which not only controlled a vital strategic position leading into the Qin heartland, but also put up a sturdy defense. Zhang was unable to break its defenses, and as he besieged the city the forces of Qi, Yan, and Chu came to relieve it and take the offensive against Zhang. During the course of the siege, Xiang Liang had been killed in battle and the Chu commander Song Yi (who had been commissioned to lead the relief forces) proved to be incompetent. Xiang Yu had Song Yi killed in 207 BC and took over not only command of the siege, but also de facto leadership of the rebellion. Qin General Zhang Han also surrendered to Xiang Yu in 207 BC, bolstering his prestige.
Page 114-115: In 207 BC, the King of Qin sent Liu Bang to attack Qin's defenses at Guanzhong while Xiang Yu battled Qin at Julu. Instead of taking the easier and obvious pass leading to Qin's main stronghold, Liu chose another route which landed him right into the heart of Qin. It was agreed by everyone in Chu that the first officer to effectively breach the defenses of Guanzhong would be made its king. So now Liu was supposed to be King of Guanzhong.
Page 115: Qin's chief eunuch Zhao Gao had the chancellor Li Si executed in 208 BC, an event which exacerbated the political instability of the Qin regime. When Zhao gained enough support a year later in 207 BC, he murdered Qin Er Shi and replaced him with Ziying, who was not titled emperor but simply "King", owing to the fact that China now had several kingdoms and not one domineering empire. In late 207 BC, Ziying had Zhao Gao killed, and when Liu Bang defeated nearby Qin forces at Lantian a month later, Ziying formally submitted to Liu Bang. Now Liu Bang was in control of Guanzhong and the Qin capital at Xianyang.
Page 115: While waiting in Xianyang for the King of Chu's orders, Xiang Yu arrived two months after the city had been taken. In contrast to Liu's generosity and caution, Xiang Yu had Ziying and his entire family killed, the Qin palaces burned, the city looted so that the spoils could be divided among his troops, and allowed his soldiers to desecrate the mausoleum of the First Qin Emperor.
Page 116: After destroying Xianyang, Xiang Yu planned to create a confederacy of 18 Kingdoms, the nineteenth being his own, and would use his power to act as the leader of the confederacy. In the meantime, Xiang Yu had the King of Chu promoted to a nominal superior title of Yidi in 206 BC, and one month after this the former King of Chu was sent to live in a remote provincial town where he was assassinated. Resuscitating an archaic title from the Eastern Zhou era, Xiang Yu titled himself King Protector of Chu and had Chu and many other kingdoms divided in half to form smaller kingdoms, which in the end formed eighteen kingdoms. From his base at Pengcheng, Xiang Yu acted as overlord over the kingdoms.
Page 116: Xiang Yu slighted Liu Bang first by denying him his rightful kingship of Guanzhong, which he carved into three new kingdoms each ruled by former Qin generals who had surrendered, one of them being Zhang Han. Xiang then relegated Liu Bang's position by having him rule the small Kingdom of Han located in Hanzhong, which was then considered a frontier area where King Liu Bang would have little chance to muster strength and challenge Xiang Yu's authority.
Page 117: Here Loewe mentions the Feast at Hong Gate, but does not outright give it a name and says only that Xiang Yu had been advised to kill Liu Bang, had a chance to kill him, but he did not do so. In the middle of 206 BC, Liu Bang invaded Guanzhong and forced the three kings installed by Xiang there to submit. When Liu Bang was in Luoyang months later, he heard that Xiang Yu had Yidi, former King of Chu, murdered and used this regicide as an excuse to rally the other kingdoms against Xiang Yu. Liu Bang was now on the verge of taking Pengcheng, but he soon found himself besieged by Xiang Yu instead, and only because of a storm was he able to escape. It is said that only a few dozen Han cavalrymen escaped from Pengcheng with Liu Bang. Now the kings who sided with Liu defected and rejoined the side of Xiang, while Xiang had the powerful bargaining chip of holding hostage several of Liu's closest kin.
Page 117-118: In a recovery process as Liu marched east, Xiao He guarded Guanzhong where he recruited and trained new forces while Han Xin secured strategic points in central China that paved the way for Liu Bang to establish headquarters at Xingyang. However, in 204 BC Xiang Yu once again encircled Liu Bang and once again the latter escaped with only a small amount of fleeing cavalry.
Page 118: Despite this failure, Han Xin had won over most of eastern China in his conquests, and for this Liu Bang enfeoffed him as the King of Qi in 203 BC.
Page 118: In 203 BC, Xiang Yu and Liu Bang began negotiating, and in their final agreement decided to split China in half, with Liu Bang controlling the west as King of Han and Xiang Yu controlling the east as King of Chu. When this was settled, Xiang Yu released the Liu family members he had held hostage and they were returned to Liu Bang.
Page 118-119: However, the terms of the agreement were broken by Liu Bang "at the instigation of some of his supporters" who believed that Han was more powerful than Chu, the latter's troops they deemed exhausted and could not fight. The final fight was at the Battle of Gaixia in early 202 BC, in modern Anhui province. Liu encircled Xiang's position. The Records of the Grand Historian describes how Xiang Yu broke through Liu's lines and when he only had twenty-eight followers left, in a show of courage he committed suicide.

Establishment of Han

Page 119: In early 202 BC, the kingly confederates under Liu Bang urged him by petition to take the title huangdi, or emperor; QUOTE: "His claim to the title rested on his practical achievement of winning control of the world."
Page 120: To gain the trust of the people, Liu Bang proclaimed a general amnesty to his now former enemies, he demobilized his troops, old farming properties were to be restored and those sold into slavery during the time of famine were to be redeemed and set free. The emperor assured the nobles that their privileges under the law were still in place.
Page 120: Loewe says that the system of having three senior ministers (Three Excellencies) and nine subordinate high ministers under them (Nine Ministers) established at the beginning of Han were direct parallels to that of the Qin Dynasty's administration. Citing Bielenstein's The Bureaucracy in Han Times, Loewe says that QUOTE: "The three senior statesmen were soon reduced to two, as after 177 B.C. appointments to the office of supreme commander (t'ai wei) were exceptional." SIDE NOTE HERE: By confirming with Crespigny, "tai wei" also means "Grand Commandant". Wang's article also covers this, saying it was abolished altogether in 139 BC, whereas Crespigny's description obviously shows it was resuscitated in the Eastern Han.
Page 120-121: QUOTE: "A significant feature of Han government lay in the deliberate division of authority between two or more senior officials. While the chancellor held the highest of all posts, executive orders to implement major decisions had to pass through the hands of his colleague, the imperial counsellor; on exceptional occasions two chancellors, one of the left and one of the right, were appointed concurrently. Similarly, financial responsibility was divided between the superintendent of agriculture (ta ssu-nung) and the superintendent of the lesser treasury (shao-fu), and the same principle was applied to military dispositions. Thus, the troops stationed in the capital city were divided into those of the northern and southern barracks, and general officers were often appointed in pairs (for example, of the left and of the right), to avoid the establishment and attendant dangers of a single overall command." <-- Bolding is my emphasis.
Page 122: In early 202 BC, Liu Bang had actually settled Luoyang as his new capital, but on the urging of his supporters he moved the capital to Chang'an, which was argued to have better natural defenses and better access to supply routes.
Page 123-123: By making a compromise and a hybrid system of the one implemented by Qin and envisioned by Xiang Yu, in 202 BC Liu Bang only divided western China into central-government-controlled commanderies (13 in all, in addition to the metropolitan region of the capital city) while the entire eastern half of China was divided into semi-autonomous Ten Kingdoms (Yan, Dai, Zhao, Qi, Liang, Chu, Huai, Wu, Nan, and Changsha), to reward loyal retainers who helped him establish Han and to ensure a quick fix to law and order. However, the issue of loyalty to Han was a grave concern, as evidenced by 196 BC when nine out of the ten kings were replaced by either a son or brother of Liu Bang, thus ensuring direct kinship ties to the throne. Some of these kings were demoted to marquis, one who rebelled was executed, and another (Lu Wan, King of Yan) fled north to live with the Xiongnu.
Page 124-125: Only the Kingdom of Changsha was ruled by someone outside the Liu clan (i.e. Wu Rui), but his last descendant died without a son in 157 BC, and was replaced by a son of the Han emperor (Wen or Jing?).
Page 126: QUOTE: "In 195 B.C., some two-thirds of the Han empire lay under the rule of kings who owed fealty to the emperor; the emperor's own central government controlled sixteen commanderies, and appointed their governors as occasion demanded. Each king presided over an administration which was a small-scale replica of the central government, with its chancellor, royal counsellor, and other functionaries...they were also required to submit returns of the population of their territories and of the taxes which they had levied, a proportion of which they transmitted to the central government. Although they were responsible for raising and training armed forces, they were not entitled to mobilize them for active service without express orders from the central government."
Page 127-128: During the Chu-Han Contention, the nomadic northern steppe leader Modu Shanyu built a powerful Xiongnu confederacy which had the power to rival Han and its subordinate kingdoms. However, the court remained fearful that disloyal kings would side with the Xiongnu, a fear bolstered by the fact that Han Xin (Prince of Han) (not to be confused with the other Han Xin who died in the same year, 196 BC) had surrendered to the Xiongnu in 201 BC. When Liu Bang lost a pivotal battle at Baideng to the Xiongnu in 200 BC, he decided to placate them with a marriage alliance (heqin) as well as dispatch of annual tribute items to the Xiongnu. Ambassador Lu Jia was sent to Nanyue to announce at Zhao Tuo's court that Emperor Gaozu recognized his sovereignty. After Prince Wei Man of Yan defected to the Xiongnu, he fled to Korea where he established Wiman Joseon, and did not uphold contacts with Han China.

The Consolidation of the Empire (195–141 BC)

Emperor Hui of Han

Page 130: Lü Zhi was wed to Liu Bang early in his career as a bandit rebel. She came from the Lü family of Shandong. Bearing a son and a daughter, his son Liu Ying was nominated as heir apparent in 204 BC, a year after Liu Bang became King of Han. Emperor Gaozu died in 195 BC, supposedly from an arrow wound inflicted during a battle in 195 BC against the former King of Huainan, Qing Bu (who was replaced in 196 BC by Liu Chang).
Page 130: Soon after Liu Ying took the throne as Emperor Hui of Han, his mother Empress Dowager Lü killed Liu Rui by poisoning, since the latter was considered by her late husband Liu Bang to be a worthy successor to the throne. Lü also mutilated the boy's mother, Concubine Qi (d. 194 BC), in such a revolting way that the timid teenage Emperor Hui did not dare disobey her. It is said that Lü also had a hand in the murders of three other sons of Emperor Gaozu.
Page 130-131: During Hui's reign, ancestral shrines were erected throughout the empire to boost the prestige of the dynasty and to strengthen the bond between the emperor and his subjects in remote areas. The city walls of Chang'an were also constructed during Hui's reign. For this, two different teams of 150,000 workers each were conscripted in different and consecutive periods of thirty days over a total of five years. The city walls were complete by 190 BC.
Page 131: Ruins of Chang'an are still existent northwest of present Xi'an. It was rectangular in ground design, with some irregularities and only one wall that formed an uninterrupted straight line (due to topography or needs of defense). Each wall (east, west, north, south) measured 5 or 6 km (3.5 mi) in length and encompassed an area that was 33.5 square km (13 square miles). The base of the walls were 16 meters; the height was 8 meters, but the width at the top was tapered to 12 meters, not 16 like the base. The Weiyang Palace was the chief imperial residence and was situated near the southwest corner. Other palaces were added later.
Page 134-135: Three gatehouses were built for each wall. There were three separate lanes leading out of every gatehouse, and each one of these lanes were wide enough to accomodate four carriages at a time. The Western Market was built in 189 BC, implying that an Eastern Market existed before this. Meanwhile, the Ao Granary was renovated and restored.
Page 135: There were some positive highlights to Emperor Hui's reign, such as the lifting on a ban of certain types of literature (191 BC) that had been outlawed during the Qin Dynasty.
Page 135: The court sought to appease the independent King of Donghai in Fujian, accepted gifts from Zhao Tuo of Nanyue, and maintained the heqin affairs with the Xiongnu.

Empress Dowager Lü (188–180 BC)

Page 135: When Emperor Hui died in 188 BC at the age of 23, his official empress was still childless, so the son of one of his minor consorts was made Emperor Qianshao of Han. He was deposed and replaced by a second child puppet ruler, Emperor Houshao of Han in 184. During the reigns of both, Empress Dowager Lü held the reins of state power and ruled as regent. She had the power to issue her own edicts, while archaeological evidence of a recently discovered seal suggests this was so. She did not proclaim herself as empress in her own right, a trend followed by later Chinese empresses with near total power (excluding Wu Zetian of course).
Page 136: In defiance of the Liu clan, Lü appointed four of her relatives as kings. She also appionted six other relatives as marquises. Yet others still were made generals. Her clan permeated some of the highest positions of authority and had control over the army stationed in Chang'an.
Page 136: Despite her grip on power, she failed to drive out a Xiongnu invasion in Longxi Commandery (southern Gansu) where they carried off 2,000 prisoners. Meanwhile, the Han government banned the export of trade items such as iron to the state of Nanyue to the south, in order to check the expansion of that state. The Han achieved nothing in this, as it only outraged the King Zhao Tuo of Nanyue, who assumed an imperial title (Emperor Wu of Nan) in 183 BC that rivaled with the Emperor of Han's title. In 181 BC he invaded Han territory in the Kingdom of Changsha.
Page 136: Before dying in 180 BC, Empress Dowager Lü appointed two of her relatives to the highest position of state, that of Chancellor and the Grand Commandant. With this amount of power, the Lü clan plotted to overthrow the Liu family's dynasty. However, Gaozu's descendants in the kingdoms of Chu, Huainan, and Dai mustered the support of their relatives and officials who were opposed to the Lü faction. The grandson of Gaozu, the King of Qi, became the opposition leader, as he marched to Chang'an with his own troops after appealing to his allies in other kingdoms. This united force destroyed the Lü clan.

Emperors Wen (180–157 BC) and Jing (157–141 BC)

Page 136-137: After the decimation of the Lü clan, the throne lay empty and there were several viable candidates ready and willing to take up the mantle of huangdi. The kings of Dai and Huainan were sons of Gaozu, while the king of Qi was only a grandson. However, his kingdom was established in 201 BC, so he could claim that his house was senior to those of Dai and Huainan which had been established in 196 BC. Plus, he was the leader of the rebellion and led the advance towards Chang'an, while it was his kingdom which suffered loss by the Lü clan, who carved out large chunks of Qi for Lü family members to rule as kings. However, he was criticized even by his own followers for having called out troops without consent of the central government. Many objected to the King of Qi and King of Huainan taking the throne on account that their mothers possessed some of the same negative qualities as the late Empress Dowager Lü. In the end, Liu Heng, King of Dai, was chosen since there were no such reservations about his mother (who was seen as having a noble character). A messenger from Chang'an rode to Qi to announce that Liu Heng had been chosen. In a humble display, he was reluctant to fill the greatest seat in the land, and so at first declined, but then decided to set out towards Chang'an where he stayed in the residence of the kings of Dai. Soon after, he agreed to hold the imperial seal, symbol of his new power, and took on the title Emperor Wen of Han.
Page 137-138: Emperor Wen was the first ruler of Han to reign longer than a decade, which gave the subjects of Han a sense of stability and continuity with the dynastic house. Furthermore, on Wen's death his title passed effortlessly to his son Liu Qi, who reigned as Emperor Jing of Han; he was the son of Empress Dou (Wen). The sum of their reigns is seen as a period of economic stabilization and gradual consolidation of control by the central government.
Page 138-139: Instead of meddling with the political affairs of state, Empress Dou was content with influencing the realm through the teachings of Daoism. Emperor Jing of Han obeyed his mother's wishes and fervently studied the works of Daoist philosopher Laozi. QUOTE: "Her death in 135 B.C. can perhaps be taken as a turning point in Han politics, for it coincided with the close of a long period in which dynastic strength had been garnered and institutions modified to serve the needs of the empire. Henceforth the modernist policies of state took on a more intensive character; the marked change toward positive and expansionist policies could hardly have won the approval of a devotee of the Tao-te ching."

Reduction of Kingdoms under Wen and Jing

Page 139: By 179 BC, all the kings installed by Empress Dowager Lü had been eliminated and replaced by members of the Liu clan; the new and detached kingdoms she created were incorporated back into the original kingdoms from which they were carved. From 179 to 143 BC, events would take place that would increase the number of commanderies from 19 to 40 and the number of kingdoms from 11 to 25.
Page 140: There were several factors which allowed kings to desire independence from Chang'an's central authority. Among these kingdoms were some that had once supported independent states during the Warring States Period. Some of the kingdoms were very remote and distant from the Chang'an and its immediate range of communication. Some possessed a wealth of natural resources which could sustain the independence of these kingdoms if it weren't for the demand of taxes from Chang'an. The rulers of these kingdoms during Gaozu's reign were closely related, but with the passage of time and installation of different emperors and different kings, family ties were less binding and close relations were not fostered.
Page 140: The reduction of these kingdoms could be either deliberate attempts by the Han throne or exploits of QUOTE: "chance opportunities such as a king's rebellion or his death without a successor. The larger kingdoms were split into minor units, and members of the Liu family who were closely related to the emperor were placed there as kings. On the occasion of a rebellion, the central government took over parts of a kingdom's territories and governed them as commanderies, and the original kingdom was then reconstituted on a smaller scale."
Page 140: Between 179 and 176 BC, the central government carved out a piece of the Liang Kingdom to form the new Dong Commandery; the new kingdoms of Hejian, Chengyang, Jibei, and Taiyuan were carved out of the now weakened Zhao, Qi, and Dai kingdoms; the new commanderies of Huaiyang, Yingchuan, and Runan were carved out of the now abolished Kingdom of Huaiyang, which had been established under Gaozu.
Page 140-141: The Kingdom of Huainan was divided into commanderies as well, after the king plotted to rebel in 174 BC. The Kingdom of Huainan was restored in 164 BC, although it was significantly reduced in size and was cut in half by the new Hengshan and Lujiang kingdoms. Also in 164 BC, the King of Qi died without an heir, which allowed Emperor Wen a great opportunity, since Qi was a powerful kingdom thriving off of fishing, salt, iron, and silk industries. By 163 BC, Emperor Wen had carved an enormous chunk out of Qi which he used to create five new kingdoms, all ruled by grandsons of Gaozu, a brother of which now ruled a much smaller Qi.
Page 141: During the reign of Emperor Jing, even greater changes occurred in regards to the Kingdoms. During this time, Liu Pi (劉濞) was the King of Wu. Back when Emperor Jing was crown prince (Liu Qi, Prince of Qi) during Emperor Wen's reign, King Liu Pi of Wu had his son and heir Liu Xian (劉賢) visit the capital at Chang'an on an official visit. While there he played the board game liubo with crown prince Liu Qi. The two suddenly became involved in a quarrel over the game (which Loewe states in his footnote might have had something to do with the divination aspect of the game that involved predictions of the future), and as a result Liu Qi killed Liu Xian. This outraged Liu Pi, King of Wu, who now had to claim allegiance to an emperor which had killed his son over a board game.
Page 141: In 154 BC, the King of Wu led a revolt at the head of six other kingdoms (Chu, Zhao, Jiaoxi, Jiaodong, Zaichuan, and Jinan). QUOTE: "The central government, however, was ready for the threat, and may even have taken steps to provoke its outbreak, confident that it would win the day." This quote of Loewe must be in regards to the advisor Chao Cuo (晁錯), who advised Jing that reducing the power of the kingdoms to provoke them to attack then would be better than to have them grow powerful and revolt with greater strength later.
Page 141-142: After suppressing this coalition of kingdoms, the central government established commanderies running from central China to the Yellow Sea on opposite sides of the Shandong Peninsula. Although the kingdoms of Qi, Zhao, and Chu survived, they were reduced to tiny and insignificant territories; in essence, QUOTE: "shadows of their former selves." The Kingdom of Wu was renamed as Jiangdu and was given a new line of rulers.
Page 142: Besides the war, another significant change happened. The King of Changsha (in what is now Hunan province where the city of Changsha is located) died in 157 BC without producing a viable heir. His line had been established by Wu Rui in 203 BC, and was the only non-Liu family member to rule a kingdom. When the Kingdom of Changsha was reconstituted in 155 BC, a Liu family member took his place, meaning that every kingdom was now ruled by a Liu family member. When the King of Liang died in 144 BC without an heir, his kingdom was split into five new ones.
Page 144: New commanderies were carved out of the kingdoms of Dai, Yan, and Changsha which formed the borders of the Han realm. By doing this, QUOTE: "No longer was the government content to rely on the kings to mount a defense against enemies or to act as a buffer against intruders; the central government evidently wished to maintain its own supervision over areas which were potentially both vulnerable and subversive."
Page 144: Between 155 and 145 BC, fourteen of Emperor Jing's sons were installed as kings, most (if not all...there is some ambiguity) being young children who could be easily manipulated. For example, in 153 BC Emperor Jing's four-year-old son Liu Che was installed as King of Jiaodong. However, he was relieved of this position in 150 BC because he was nominated as the heir apparent; he is best known to history as Emperor Wu of Han.
Page 144: In 145 BC, Emperor Jing introduced a reform which further reduced the power of the kings. Before that year, each kingdom had an independent administration modelled on the central government in Chang'an. In that year, Emperor Jing not only lessened the status of each kingdom's chancellor (reduced title from chengxiang to xiang) and made it law that each kingdom's chancellor had to be appionted by the central government, but he also abolished all other senior administrative posts in the kingdoms. The kingdom's courtiers and counsellors were reduced considerably as well.
Page 144-149: Section on Jia Yi and Chao Cuo.

Internal and Foreign Policies

Page 149-150: Taking the advice of Jia Yi about avoiding the oppressive policies of the Qin Dynasty, the Han granted eight general amnesties between the years 180 and 141 BC. In 167 BC, severe punishments involving mutilation were abolished. In addition, there were many bestowals of honor in the same period, usually coinciding with imperial occasions. The tax on produce was reduced from one-fifteenth to one-thirtieth in 168 BC, and in 167 it was abolished. When the tax was reinstated in 156 BC, it was still just one-thirtieth like the reform of 168 (a rate which was standard for the rest of the Han Dynasty).
Page 151: QUOTE: "Apart from paying their dues of poll tax and land tax, adult males aged between twenty-three and fifty-six were subject to statutory service of two types. They would spend two years in the armed forces, either training or on security duties in the home provinces, or possibly on frontier service; and they were liable to recall in times of emergency. In addition, a man would serve for one month in the year in the labor gangs, working at tasks that lay within the jurisdiction of local officials. He could be ordered to transport staple goods from field to granary, or from granary to major depot; he could be set to work building roads, or bridges, or on the upkeep of waterways. Sometimes corvée men would be sent to construct living quarters for the emperor or his tomb; and after the introduction of the state's monopoly of salt and iron in 119 B.C. [sic!], corvée men were put to work in the mines. In some cases, it was possible to pay others to perform these duties as substitutes."
Page 151-152: In 177 BC, the Xiongnu invaded China through the Ordos Desert, and the Han forces could not repel them. Instead, a peaceful accomodation had to be made between 176 and 174 BC, with exchange of gifts, letters, and courtesies. Again in 166 BC, the Xiongnu invaded following the accession of a new shanyu, this time penetrating as far as only 120 km (75 mi) distance from Chang'an. The Xiongnu made annual raids on Chinese territory. In about 160 BC, the Chinese installation of a system of beacon towers and watch stations may have thwarted the Xiongnu incursions for a while. However, in 155 BC the Han government broke up the kingdoms on the northern border, fearful that they were ready to rebel and side with the Xiongnu. Emperor Wen of Han had sent Lu Jia on a diplomatic mission to the south and had been able to persuade Zhao Tuo of Nanyue to renounce his imperial title, so that he no longer rivaled the claim of the Han emperor and now was loyal to Chang'an.

The Full Force of Modernist Policies (141–87 BC)

Page 152-153: Presiding as emperor for fifty-four years, Emperor Wu was one of the longest reigning emperors in Chinese history. Under his reign, Han armies made their greatest advances, but at the cost of many lives, some breakdown of law and order, and the depletion of state resources, all of which were criticized after his reign.

Political tasks, changes and reforms

Page 153: In 178, 165, 141, and 135 BC, general calls in edicts were made to senior officials to present suitable candidates for civil service at the capital. Candidates then had to prove their talents by answering a set of questions drawn up, in theory, by the emperor.
Page 154: In questioning these candidates, anyone who gave answers which reflected or supported the thoughts or concepts of Legalist philosophers such as Shen Buhai or Han Fei were dismissed.
Page 154: In 136 BC, posts for Academicians were established; these scholars were placed in departments that dealt solely with these canons: The Book of Changes, the Book of Poetry, the Book of History, the Book of Rites, and the Spring and Autumn Annals . This edict was of great importance, for it established the traditional Five Classics of Confucianism. It is also known that in 124 BC a quota was fixed so that 50 students were sent each year to be educated by the Academicians.
Page 154: For writing, an official always had his ink brush, ink slab, a knife, and an official seal. They wrote their reports in the fairly recently evolved clerical script. Most documents were written on narrow strips of wood fastened together in a roll with hempen cords, while silk was reserved for special documents, fanciful calligraphy works, and for maps and diagrams which wooden strips could not be used for. The knife was used as an eraser that could scrape off an unwanted character, or the whole strip itself could be scraped clean and reused. The seal was used not only to authenticate official documents, but the wet clay that it was pressed into (for the imprint) also held together the roll of strips by being placed over the connection of hempen cord.
Page 155: There are a few surviving examples of Han Dynasty maps, used for topographical and military purposes.
Page 155-156: Before 113 BC, years were numbered simply by the number of years that passed in an Emperor's reign (i.e. for example, Wendi 1 was 179 BC, Wendi 2 was 178 BC, and so forth), but in that year the use of Chinese era names were initiated. These served purposes of dating convenience, a means to define the aims or qualities of the dynasty, or to commemorate important events. This use of political slogans for era names lasted until the end of the Imperial Era (1912 AD).
Page 156: Under Emperor Wu, the commanderies and kingdoms were reduced in size, new commanderies were added (thanks to military expansion of the frontiers), and between 135 BC to 104 BC, the metropolitan area of the capital was divided into four units. Between 136 and 114 BC, fourteen kingdoms lost territory to new commanderies. When the King of Huainan revolted, he was killed and his kingdom abolished in 122 BC. Thanks to this king, though, early scientific and Daoist thought of the Western Han period are preserved in the Huainanzi, a written discourse by scholars who he acted as patron for.
Page 157: In frontier areas where more or less independent tribes, sedentary or nomadic, recognized to some extent the sovereignty of Han, the Dependent States (Shuguo) were established and had a centrally-appointed Han commissioner to deal with their affairs.
Page 157: Without the establishment of provinces (just yet), Emperor Wu installed thirteen Inspectors in 106 BC, who were paid much less than the commandery administrators but were charged with monitoring them (and the kingdoms) in order to send annual reports to the throne on their conduct.
Page 158: Even before the kingdoms of Huainan and Hengshan revolted in 122 BC, Emperor Wu's officials initiated a reform that had the younger sons and brothers of each king gain independence from the king's house by granting them marquisates within the commanderies. By doing this, the state could claim it was honoring them while at the same time splitting apart the kings and their relatives by considerable distance and closely monitoring the marquises, or kings' relatives. Conferring marquisates to the kings' relatives was done before Emperor Wu, but on a very limited scale compared to his reign (27 marquisates of this type from 200 to 145 BC compared to a whopping 178 marquistates of this type from 141 to 87 BC). During Wu's reign, other marquisates (not included in the latter type) were conferred on 18 Han generals as awards for service while 38 were conferred on leaders of the Xiongnu, Nanyue, and others who submitted to Han.
Page 159: In 112 BC, the vast majority of marquisates (all except seven) established during Emperor Gaozu's reign were abolished; in the official announcement, this act was declared as a punishment for technical failings in their conduct. It was most likely the case that, as the now evolved recruitment system was coming to fruition, these marquisates were no longer needed for governing parts of the empire that were once deemed politically unstable.
Page 159: QUOTE: "The marquisates were the highest of the twenty orders of honor."

The Economy under Wu

Page 160-161: QUOTE: "From 119 B.C. new taxes were levied on market transactions, vehicles, and property to supplement the regular revenue collected from the produce tax in kind, and the poll tax in money; the new taxes were intended specifically to meet military expenses. At the same time, the rate of poll tax on minors aged three to fourteen, was raised from 20 to 23 coins, while the standard rate of 120 coins for adults remained unchanged. Following a number of experiments during the early days of the dynasty, in 119 B.C., a new copper coin, weighing five shu (3.2 grams), was specified as legal tender. Six years later private minting was banned, perhaps quite effectively; the state took over complete control for producing supplies of the new cash, which was to remain China's regular coin until the T'ang Dynasty."
Page 161: From about 120 BC, the central government began taking over mining projects in the collection of salt and iron which were once in private hands. Eventually, all iron goods were manufactured and distributed by 48 commissioners, while the production and distribution of salt (whether obtained from the sea or deep wells) was handled by 34 other commissioners. All of these commissioners were under the control of the Superintendant of Agriculture (Da nongling, later Da sinong). In 115 BC, the state hired officials to look after the stabilization of the prices of commodities (to avoid profiteering and alleviate local shortages), and in 110 BC to coordinate transport. In 98 BC the state also established a monopoly on alcoholic liquors. Engineers and laborers were employed to design and build new dykes and to control waterways with dredging.
Page 161: During the reign of Emperor Wu, ten large caravans (some with several hundred men) would set out from Chang'an and trade with the kingdoms of the Western Regions.
Page 161-162: The two state organs responsible for finance (since the beginning of the dynasty) were the offices of the Superintendant of Agriculture (Da sinong) and the Superintendant of the Lesser Treasury (Shaofu). However, the economic expansion and complexity during Wu's reign necessitated the creation of a third organ, so the Superintendant of Waterways and Parks (Shuiheng duwei) was established in 115 BC. This office QUOTE: "shared responsibility for the collection and disbursement of revenue with the other two organs; from 113 B.C. it also became responsible for the manufacture of coin in the newly founded state mints."
Page 162: At court there were two opposing factions; "modernist statesmen" and "reformist statesmen". Both sides agreed that the enhancement of the production of agriculture was the prime concern of the state, while other matters such as manufacturing were secondary. However, both sides had different plans on how to achieve a pristine level of agricultural production.
Page 162: QUOTE: "Modernist statesmen favored the encouragement of agriculture by free enterprise; they accepted the growth of large landed estates as a necessary consequence; and as, the larger the estates, the greater the tax paid to the state, they were ready to exploit the results of such growth for the good of the treasury. However, they favored a system of state control for other types of production, such as those of the mines, being ready to direct conscript labor to such work and to take a profit from the products; in addition, they wished to deny such sources of wealth to individual magnates. They believed that trade should be controlled as an ancillary means of distributing China's products; they were therefore ready to set up officials to supervise the transactions of markets at home, and to equip state caravans to set out with cargos of silks abroad."
Page 162: QUOTE: "The reformists protested against the growth of large landed estates in view of the grave imbalance that would ensue between rich and poor; in time they were willing to introduce measures to control the size of landholdings. They believed that the mines were best worked by private owners without interference by the state. They saw little value to the people of China in the exchange of home-produced silks for the luxury produce of foreign parts, such as jade and other baubles which were fit only to embellish a sovereign's palace. The reformists also sought to prevent the accumulation of large mercantile fortunes, but for reasons that differed from those which moved the modernists; they wished to prevent the economic oppression which wealthy merchants could exercise over the peasantry."
Page 163: The Modernist policies were implemented largely thanks to Sang Hongyang, the Minister of Agriculture (later the Imperial Secretary by 87 BC, the year Wu died). He and his assistants (Dongguo Xianyang and Kong Jin) had mercantile backgrounds, and the state's appointment of them was a shrewd decision to gain technocratic experience with the iron and salt industries. Bu Shi, who had contributed money to the state to fund Emperor Wu's wars and was considered as chancellor for the Kingdom of Qi, advanced up the ladder of the official hierarchy and became Imperial Secretary in 111 BC, but within a year he was demoted due to his criticism of the quality of the products made by the state-controlled mines. Dong Zhongshu, better known for his work in philosophy, was also a critic of the modernist faction and their state-run enterprises, although the basis of his argument was in moral grounds; he believed that the monopolies hurt the peasants' quality of life and widened the gap between rich and poor.

Foreign Affairs and Colonial Expansion

Page 164: It was during Wu's reign that the Silk Road was consolidated and established.
Page 164: During the reign of Wu, relatives of the imperial consorts built a reputation as a group committed to pioneering campaigns far outside the boundaries of China proper. Wei Qing and Huo Qubing, both related to the Empress Wei Zifu, were largely responsible for the expansion of Han territory during Wu's reign. Other generals, such as Li Guang and Cheng Bushi, also earned distinction. The offensive campaigns against the Xiongnu began in 133 BC, and by 127 BC new commanderies (Shoufang and Wuyuan) were founded in the far northwest. After the victories of Wei Qing and Huo Qubing from 121 to 119 BC, there was no significant Xiongnu penetration into Han territory until 103 BC.
Page 164-165: During this time, the explorer Zhang Qian traveled throughout Central Asia, in one trip that began in 139 BC and another in 115 BC. He was held in captivity by the Xiongnu for a long time, but also traveled to areas just north of modern-day India, observing the peoples of Bactria (Daxia), while sending some of his deputies as far as Sogdiana (Kangju) and Parthia (Anxi). Zhang hinted at the value of trading with these states, as well as the advantages of allying with them against the Xiongnu.
Page 165: Partly spurred by Zhang's advice, the old Great Wall of China, built of rammed earth by the Qin Dynasty, was extended to the Jade Gate near Dunhuang. The wall served three distinct purposes. QUOTE: "It defended Chinese territory from sudden raids; it prevented the desertion of those who wished to abscond form justice or evade their obligations of tax and service; and it formed a protected route along which merchandise could be escorted with some measure of safety. The evidence of the earthworks themselves and the written records that the garrison troops left behind in their rubbish pits testifies to the professional standards maintained by the Han armies, with their regular inspections, routine signals and patrols, and insistence on precise timing for all operations."
Page 165: However, the wall did course through once uncharted areas (where Wuwei commandery was later to be founded) to the detached outpost of the Jiuquan and Zhangyi commanderies founded in 104 BC, meaning that there were areas of the wall which were not defended. The caravans that followed the Silk Road through the northern and southern passes of the Taklamakan Desert were controlled by nomadic tribes and oasis city-states, so it was of prime importance for the Han to win over these peoples to their side instead of allowing them to ally with the Xiongnu.
Page 165 & 168: Map from pages 166 to 167, QUOTE: "Otherwise Han travelers and caravans would lie open to molestation or the denail of water and shelter in time of need. The Chinese were therefore willing to acknowledge the independence of the leaders of these small states in return for their toleration of Chinese mercantile activities, and a complex system of relationships soon arose with some of the local kings and their families. Alien hostages who were delivered to Ch'ang-an from the states of the Silk Roads were able to partake of the pleasures of Chinese civilization; by contrast, the Chinese princesses who were given in matrimony to the local chieftains of Asia faced the hardships of life among untutored barbarians. Exchanges of this sort did not always ensure the friendship of the two parties. There were occasions when careful Chinese diplomatic arrangements gave way to violence, and the Han government was obliged to dispatch military expeditions deep into Central Asia to maintain its presence there."
Page 168: There is an abundance of material evidence showing the outflow of silk from China to the west. The main parties involved in this trade were the Han Chinese as well as states in Central Asia, northern India, Indonesia, the Middle East, and the Mediterranean world of the Roman Empire. First the Chinese would exhcange silk to Central Asians who in turn gave the Chinese goods such as fleece, horses, and raw jade. After a long trek across Asia, the silk made its way to Rome, where it was used as garments by the wives of senators and patricians. The Romans also imported spices grown in Indonesia and pepper grown in India. In return, Rome offered iron goods, glass goods, and bullion, a large amount of which has been excavated in East Asia and Southeast Asia.
Page 168: The General Li Guangli set out to subjugate the King of Fergana (Dayuan) in 104 BC, but failed his mission and returned to Dunhuang in disgrace; it was only after his second attempt, receiving heavy casualties, that he was able to subjugate them.
Page 168-169: The Grand Minister of Agriculture, Sang Hongyang, promoted the idea of expansion of Han China with the establishment of Han colonies at Bügür (modern Luntai County) located east of Kucha, but his ideas were rejected on grounds that they would be too costly, let alone risky.
Page 169: Li Ling (Han Dynasty) was defeated by the Xiongnu in 99 BC deep into enemy territory and fighting bravely, but ultimately forced to capitulate. The same happened to Li Guangli in 90 BC when he was defeated by the Xiongnu and forced to surrender.
Page 169: Try to see if you can find info on Zhaung Zhu, which Loewe says played a large part in Han expansion to the far south and the creation of new commanderies. Korea was consolidated under Han rule during the reign of Emperor Wu. By 135 BC there was an active trade along the Zangge River, from the southwest to Nanyue in Vietnam; just a decade later, Zhang Qian reported that he found goods of Shu (Sichuan) in Bactria (Daxia). The Han Dynasty set up new commanderies of Zangge and Yuesui (Yunnan and Sichuan). Local tribal leaders were brought into the Han sphere of influence by having kingly titles conferred onto them. An outbreak of rebellion in Nanyue prompted the Han to send its armies there, quelling the region as far south as Hainan Island (the latter where two new commanderies were established) by 111 BC and creating nine new commanderies.
Page 170: In what is now Fujian province, the Han maintained a commandery presence and used their naval strength to counter the independent kingdom of Minyue; however, the land was considered largely unsuitable for Han settlement. In Korea there was an abortive attempt from 128 to 127 BC to establish the Canghai Commandery, but by 108 BC the local leaders of Gojoseon made a formal capitulation to Han forces, followed by the establishment of four commanderies.
Page 170: After the end of the reign of Wu, some twenty new commanderies had been established by the Han Dynasty, and later critics who lived in the age of retrenchment rather than expansion noted the enormous costs of the earlier expansion, in terms of material wealth, human life, and cold hard cash. Yet North China was free from raids for roughly fifteen years, the Xiongnu could not confront China openly for decades, and Chinese authority had been extended to the far northwest. The Chinese traded their surplus of silk for horses and jade. However, the Chinese also acquired the means to grow new fruits and crops, such as clover, pomegranate, and vine. Foreigners such as the imprisoned Xiongnu slave Jin Midi rose to one of the most powerful seats in government (regent).

Intellectual and Religious Support

Page 170-171: During the reign of Wu, the writer Sima Xiangru was largely responsible for setting the fashion of the new genre of poetry known as fu. His contemporary Dong Zhongshu expounded on a cosmic theory that man was part of a universal system of creation, creating a corpus of material which constituted a major part of Confucian orthodox philosophy. The court historians Sima Tan and his son Sima Qian revolutionized Chinese historical writing, establishing standards of historiography which would last 2,000 years. Even Emperor Wu wrote poetry, but his opinions on these new works of history, philosophy, and poetry are not well known; his activities in the state cults and his privately-held beliefs are far better documented.
Page 171: Emperor Wu established new ritual rites in the state cults which further cemented the importance of the emperor in the link with Heaven. Loewe calls him the QUOTE: "supreme arbiter of human destinies on earth" and that he "was taking steps to forge a link with the sacred powers in the hope of securing their protection and blessing. It will be shown below how the concept of those powers came to change when a reformist attitude had displaced modernist opinion."
Page 171: Emperor Wu's predecessors had visited the shrines of the Five Powers (Wudi) at Yong, but nowhere near as many times as Emperor Wu, who made eight trips in all starting in 134 BC. Emperor Wu established the state cult of the Earth Queen (Houtu) in 114 BC. He established the state cult of the Grand Unity (Taiyi) in 113 BC. In five different ceremonies he honored the Earth Queen at Fenyin, and in three different ceremonies he honored the Grand Unity at Ganquan.
Page 171-172: Around this time, the Office of Music was established in order to provide services of ritual music during these ceremonies. Nineteen hymns chanted during these ceremonies were preserved in the standard history texts.
Page 172: Like Qin Shi Huang before him, Emperor Wu of Han sought to gain immortality by visiting the mythical island of the east where Mount Penglai was supposed to be located. He also believed in the claims of some that they could offer him the elixir of life, as well as intermediaries who could bring to life one of his deceased consorts. He performed feng and shan sacrifices on Mount Tai in 110 BC, largely driven by his desire for immortality.
Page 172: The statesman Jia Yi (d. 169 BC) had long before promoted the idea that Han should adopt the element of earth in replacement of the element of water, the latter being an inherited symbol of the Qin Dynasty. In 105–104 BC, the Han under Emperor Wu displayed its confidence in authority and right to succeed the Qin by adopting the new element of earth as its symbol, therefore linking their state with the cosmic rhythm of the universe and legitimizing their conquest over Qin as not only a virtuous but also necessary cosmic process.
Page 172-173: A new calendar was also adopted during Wu's reign. From 104 BC, the counting of the years was rendered in a new form, the Chinese era name, which was based on reign titles of emperors. The first one was taichu, or Grand Beginning.

Dynastic Discord

Page 173: Despite the jovial celebration of the dynasty's power and prosperity in 104 BC, five years later the government had established commissions to restore order, the people were exhausted from the state's expansion, banditry was on the rise and had to be suppressed, there was no duly-nominated successor to the throne by 91 BC, and Emperor Wu was nearly assassinated in 88 BC, dying a year later from natural causes.
Page 173: Earlier, the Empress Dou (Wen), mother of Emperor Jing, did not have lofty ambitions, espoused Daoist morals and virtues, and only one of her relatives (Dou Ying) had risen to a senior post in government. It is possible that her death in 135 BC allowed statesmen under Emperor Wu to persue reforms of expansion.
Page 173: During Wu's reign, officials married their daughters to members of the imperial family, which allowed political rivalries to be tangled up in questions over imperial succession, meaning one's political fortunes could rest simply on the survival of an empress or an heir apparent.
Page 173-174: Empress Chen Jiao became the first wife of Emperor Wu in 141 BC. However, she failed to produce a male heir. Her daughter attempted to use witchcraft in order to help her mother bear a son. However, when this was discovered in 130 BC the empress was stripped of her title while the people involved (allegedly 300 in all) were executed for heresy.
Page 174-175: The second wife of Emperor Wu was Empress Wei Zifu, nominated in 128 BC. Beneath her were a number of prominent consorts as well, their relatives given opportunity to influence state policies under Wu. Empress Wei's brother Wei Qing and her nephew Huo Qubing were two of the most renowned generals of the era, yet Empress Wei was forced to commit suicide in 91 BC. Also, Huo Qubing's half-brother Huo Guang (acting as regent), as well as his son Huo Yu played the leading role in Han poltics until their family was eclipsed in 66 BC. Liu Ju, son of Empress Wei who was made crown prince in 122 BC, was compelled to commit suicide in 91 BC. It was Liu Ju's grandson, Liu Bingyi (born to Liu Jin), who became Emperor Xuan of Han in 74 BC. Emperor Xuan was also married to the daughter of Huo Guang.
Page 175-176: Li Guangli, the general who campaigned in Central Asia from 104–101 BC but who later surrendered to the Xiongnu, was a brother to Lady Li (died sometime before 87 BC). It was her grandson Liu He, or Prince He of Changyi, who served for a mere 27 days in 74 BC after the death of Emperor Zhao of Han. The latter emperor was chosen to succeed Emperor Wu because he was the son of Wu's consort Zhao that had no strong ties to any ministers of state and had no relatives who served in senior posts. Three sons of Emperor Wu born to other consorts ruled kingdoms, while one of these, Liu Dan, King of Yan, twice sought to take over the throne of Han, but was killed on his second attempt in 80 BC.
Page 176-177: A disturbance happened in 91 BC when five days of fighting broke out in the capital of Chang'an as Emperor Wu resided in his summer retreat at Ganquan (甘泉, in modern Xianyang, Shaanxi). For the past several months Lady Li had attempted to oust the Wei family from power, coming to a head when allegations of witchcraft surfaced. In this fight, crown prince Liu Ju was supported by a force of criminals and convicts. On the opposing side was the Li family, who had the support of troops who were loyal to the emperor, disdainful of the Wei clan, and friendly to the Li.
Page 178: Thousands died in this conflict. Both Empress Wei Zifu and crown prince Liu Ju committed suicide, while two of the empress's daughters were executed. Gongsun He, the Chancellor and brother-in-law to Empress Wei, was thrown into prison where he died alongside his son, Gongsun Jingsheng. From February to September 91 BC, nearly the entire Wei clan had been exterminated. However, the Li family was soon brought to ruin, especially after the news of the surrender of Li Guangli to the Xiongnu; Li's two brothers and son were executed.
Page 178: Huo Guang, related to Empress Wei by marriage but was long considered a valuable adviser and noble politician, was entrusted by the ill and dying Emperor Wu in 87 BC to form a triumvirate of power over a child emperor (Emperor Zhao of Han) following Wu's death. The triumvirate consisted of Huo Guang, Jin Midi, and Shangguan Jie. Also, these three would be aided by Sang Hongyang, who was now Imperial Counsellor, or Grandee Secretary. The Chancellor was Tian Qianqiu, a pushover according to Loewe; QUOTE: "by all accounts he was the type of man who would agree to the decisions of the triumvirate."
Page 179: Liu Fuling, a son of Consort Zhao who was now dead and unrelated to both the Wei and Li clans, was chosen as Wu's successor on March 27, 87 BC, and two days later after being chosen as crown prince his father died, meaning he was elevated as Emperor Zhao of Han.

The Years of Transition (87–49 BC)

The Role of the Emperor and the Succession

Page 179: Emperor Zhao of Han, like several other child crown princes who ascended to the throne (Emperor Qianshao of Han, Emperor Houshao of Han, Emperor Ping of Han, and Emperor Ruzi of Han), did not play a significant role in policy-making or executive decisions for the empire.
Page 179-180: Reinforced by the philosophy of Dong Zhongshu, the emperor was at the apex of society and linked the human world with that of the cosmos. It was a necessity to have his presence on the throne in order to legitimate the actions of his subordinate officials, even if the emperor was merely an infant incumbent or played a passive role in politics. His stamp of approval was all that was needed. Hence, powerful statesmen made every attempt to install an emperor who would be friendly to their cause, because an unfriendly emperor could mean the downfall of their careers.
Page 180-181: Liu Tan, King of Yan and a son of Emperor Wu through a consort named Li, attempted an unsuccessful coup against Emperor Zhao in 86 BC, claiming Zhao was not really a legitimate son at all. His plot to take the throne failed and he escaped punishment by heaping the blame on a relative. However, in 80 BC he attempted a second coup, but the plot was leaked and he committed suicide. It became known that Shangguan Jie, one member of the triumvirate alongside Huo Guang and Jin Midi, was involved in the plot, so he was executed. Also, Sang Hongyang was found to be involved as well, so he shared a similar fate.
Page 181: Outside the realm of established officialdom, the favorites of the emperor were heaped with honorary titles, such as palace attendant (shizhong), and without holding a civil office could enter the palace and convene with the emperor personally. This group of individuals have often been seen as forming an Inner Court, while the Outer Court comprised the salaried officials who were formally appointed. At times, a palace attendant took charge of the secretariat, which was under the Privy Treasurer, and thus could control communication and access to the emperor.
Page 181-182: Jin Midi died in 86 BC and Shangguan Jie was executed in 80 BC, leaving Huo Guang as the sole member of the original triumvirate and allowing him to take over the reins of state as Grand Marshal (the highest ranking honorary title, allowing anyone who held it to have supreme power). The Chancellor Tian Qianqiu was an old man who was not very distinguished, so he was not going to challenge the authority of Huo Guang. Huo Guang supervised the secretariat, and QUOTE: "thus enjoyed full civil powers. He was the sole-surviving grandfather of the nine-year-old empress, who was now fatherless; Huo Kuang need hardly fear the alienation of her affections and loyalties, and the emperor would not attain his majority until 77 B.C."
Page 183: Emperor Zhao died at a suspicously young age of twenty-two in 74 BC, but there are no records which hint that Huo Guang had a hand in this.
Page 183-184: After the death of Zhao, conflict once again resumed between the Wei and Li families. Twenty-year-old Liu He, King of Changyi and grandson of Lady Li, was called upon to fill the vacant throne. He made haste to Chang'an at full speed (which was considered immodest) and was enthroned on July 18, 74 BC. However, on August 14, 74 BC he was impeached and deposed on the grounds that he was disrespectful, exravagant, and lacked the requisite qualities that an emperor was supposed to embody and convey. In order to impeach him, all the senior officials of state submitted their names to a written proposal (which was unheard of, as the names of a few senior officials usually sufficed); this contained the request that Liu He be removed from the throne, and was sent to the Empress Dowager (Grand Empress Dowager Shangguan), the granddaughter of Huo Guang and widow of Emperor Zhao. Perhaps envoking the power of Empress Dowager Lü, she drew up a formal imperial edict which called for Liu He's deposition. In order to legitimate her actions, she informed the deceased founding Emperor Gaozu at his shrine that a change was taking place in the imperial succession.
Page 184: On September 10, 74 BC, Prince He was succeeded by eighteen-year-old Liu Bingyi as Emperor Xuan of Han, a grandson of the former Crown Prince Liu Ju who was forced to commit suicide back in 91 BC; thus, he was a descedant of Empress Wei Zifu. During the fighting in the capital in 91 BC, the infant Liu Bingyi was smuggled out of harm's way by Bing Zhi, a prison warden. Liu Bingyi, who was raised far from the vices of decadent palace life, was favored to become emperor by a number of officials, including Bing Zhi.
Page 184: Shortly after Liu Bingyi became Emperor Xuan of Han, some two hundred people involved in the excessive indulgences of Liu He were executed.

The Fall of the Huo Family

Page 185: QUOTE: "The fall of the house of Huo in 66 B.C. forms a critical turning point in the transformation from a modernist to a reformist point of view. To maintain its privileged and powerful position, the Huo family needed to retain its special relationship with the imperial house and to preclude the antagonism of rivals. Despite desperate efforts and a resort to violent means, the family failed to attain these objectives; by the seventh month of 66 B.C. an edict had been issued denouncing its treachery."
Page 185: Huo Guang still had dominant power over the state when Emperor Xuan ascended to the throne. His relatives controlled the guard units and high positions of state, Emperor Xuan played a passive role in political affairs, and Huo Guang was given continual high honors and lavish gifts.
Page 185: However, there was one thing about Emperor Xuan which worried the Huo clan. Before becoming emperor, Xuan was married to Empress Xu Pingjun (formally Empress Gong'ai), a lady whose father had once served the Changyi Kingdom ruled by the now deposed Liu He. Before Emperor Zhao died, Xu Pingjun bore Liu Bingyi a son who was destined to become Emperor Yuan of Han. Right after Xuan assumed the throne, it was suggested to him that he marry one of Huo Guang's daughters and make her empress, but Xuan steadfastly refused, making his love Xu Pingjun the empress instead, becoming empress in 74 BC and despite Huo Guang's protest.
Page 186: After Empress Xu Pingjun became pregnant, Huo Xian, the wife of Huo Guang, plotted to have her killed, and so had her poisoned. Empress Xu Pingjun died on March 1, 71 BC, and a year later Huo Guang's daughter was made Empress Huo Chengjun. Huo Guang did not learn that Empress Xu had been poisoned until after her death, while he concealed his wife's role in order to save her and to avoid being incriminated himself.
Page 186: When Huo Guang died, he was buried in a lavish tomb and wore a jade burial suit that was usually reserved for members of the imperial family. However, Emperor Xuan now began to consolidate his base of power and finally involved himself in the affairs of state. Huo Yu, son of Huo Guang, and Huo Shan, great-nephew of Huo Guang, were both evicted from office and stripped of their titles. Meanwhile, two statesmen who had dared to criticize the Huo family and survived were now elevated to high office, those being the new Imperial Secretary, Zhang Anshi, and the new Chancellor, Wei Xiang.
Page 186: After Huo Guang died, the Huo clan became aware of how Empress Xu Pingjun really died (poisoning arranged by Huo Xian), and soon after the Emperor Xuan discovered the truth about her fate, and desired to punish the Huo clan. In the fourth month of 67 BC, Emperor Xuan nominated his heir apparent to be his son Liu Shi, who was born of Xu Pingjun before she became empress. At the same time, he demoted all of Huo Guang's relatives and bestowed a noble title on Empress Xu's father.
Page 186-187: To save itself from destruction, the Huo clan plotted to have Emperor Xuan deposed and replaced by Huo Guang's son Huo Yu, legitimized by an edict promulgated by the granddaughter of Huo Guang, the Grand Empress Dowager Shangguan. However, the plot was discovered, members of the Huo clan either committed suicide or were executed, and Empress Huo Chengjun (daughter of Huo Xian and Huo Guang) was deposed in September of 66 BC. The only member of the Huo clan that was allowed to survive was Huo Xian's granddaughter who was the empress dowager of Emperor Zhao, who was not yet even 25 at this point. She later died in 37 BC.

The Issues at Stake: 81 BC

Page 187: Court Conferences were regularly called into being in order for senior officials to debate issues and problems of state. Fortunately, a written record documents the debate for the Court Conference of 81 BC, which was summoned in order for ministers to decide what issue caused the greatest hardship for the people, and how could their suffereing be alleviated. Although it took place during Zhao's reign, it was written by Huan Kuan during Emperor Xuan's subsequent reign; yet this was not very far removed in time. This was the Discourses on Salt and Iron, written in dialogue format, and no doubt presents a more dramatized and idealistic discussion than the real thing. There were two distinct factions involved in this debate. The Modernists were spokesmen for the current government's point of view, and may have included Sang Hongyang. The Reformists were the critics of the current regime. It is argued that Huan Kuan favored the Reformist position since he allowed a little more space in his written work for their arguments and often showed the argument of the Modernists to be worsted. The conclusion of the Court Conference led to the abolishment of the government iron industry only in the capital region, although the state monopoly on liquor was withdrawn completely.
Page 188: Loewe writes, QUOTE: "In philosophical terms, the modernists saw the universe operating spontaneously within the central rhythm of the Five Phases (wu-hsing), each one of which rose to prominence by dominating the predecessor. The reformists agreed that the universe worked within such a scheme, but they favored the theory that each phase followed naturally from its predecessor by growth rather than by conquest. In their aims of government, modernists concentrated on the provision of security and material welfare for the population; in seeking to achieve these ends, they saw considerable virtue in controlling work and activities, with a view to attaining general prosperity. The reformist view, however, fastened on the ideals of perfect government, which was designed to bring about the betterment of man by conformity with fundamental moral principles; to achieve this end, they wished to reduce controls, demands for service, and taxation to a minimum, hoping thereby to promote the values of a civilized community."
Page 188: QUOTE: "The main aim of the modernists was to achieve the greatest possible exploitation of China's resources and the most effective distribution of its products. They justified the imposition of controls on the grounds that they would thus wrest profits from private hands and bring them into those of the state; they wished to encourage manufacture, trade, and transport and believed that a stable coinage was essential for such purposes. They took the view that, thanks to its monopoly of iron, the state could effectively distribute tools of good quality for the use of the peasant; they were glad to make use of conscript laborers to ensure the regular production and transport of these goods; and they hoped to stabilize the price paid for iron goods and salt. As proof of the success of their policies, they pointed to the flourishing state of China's trading centers."
Page 188-189: QUOTE: "Nothing could shake the belief of the reformist critics that concentration on agriculture would suffice to secure China's well-being. They disparaged the idea that the state could earn profits from its monopolies, believing that such transactions would be of no advantage to the people of China. They preferred to reduce the use of coin to a minimum, and advocated the collection of tax as much as possible in kind rather than money. They pointed to the poor quality of the tools actually produced by the imperial iorn agencies and alleged that peasants were charged the same price, whatever the quality of the goods. The reformists also deprecated the misuse of state labor in industrial work, and advocated reducing the demand for labor to a minimum. Against the claim that the controls and state monoplies of the last few decades had enriched China, they raised the charge that the government was oppressive and its exactions harsh. They complained that there were grave disparities between rich and poor, and that the impoverishment of the general population contrasted sharply with the extravagance and luxury of the rich."
Page 189: QUOTE: "In foreign affairs, the spokesmen for the government insisted on the need to protect Chinese civilization by effective defense measures and by wooing the friendship of some of the non-Chinese peoples in Asia. They believed that the best means of defense lay in taking the offensive, so as to impose a lasting peace on the Hsiung-nu. The critics of the government held that costly expansion had weakened China without guaranteeing its safety; they could not accept that the expenses of campaigns were justifiable. They likewise saw no value in the export-import trade which the modernists approved as a means of increasing China's wealth, reducing that of its opponents, and disposing of its surplus produce."
Page 189: QUOTE: "Modernists relied on a system of laws and punishments as a means of deterring crime and ensuring social stability; they pointed out that it was the pre-imerial states which had followed the advice of Shang Yang and Shen Pu-hai that had grown strong, and not those which had trusted to the ideal moral precepts of the Duke of Chou or Confucius. The reformist spokesmen countered that moral lessons were of greater value than punishment, and complained that the laws, as implemented, tended to treat the population unjustly and inequitably. To the assertion that Shang Yang had shown the way to success, and that it was only those who had followed after him who had failed to put his principles into practice, the reformists countered that Shang Yang's success had been short-lived; that the administration of Ch'in had been founded on unscrupulous principles; and that the proper basis for government lay in the ideals of Chou. While the spokesmen for the government saw little point in training officials on the basis of theory and without reference to the practical needs of government, the reformists thought it essential to inculcate high moral principles at an early stage of an official's training. Conflicting opinions on a number of other matters, such as the sale of offices and the staffing of the agencies of state, were voiced during the course of this remarkable debate."
Page 190: Emperor Xuan of Han was said to have a Modernist viewpoint, although some of the decisions taken during his reign reflect a shift towards the Reformist point of view. He reportedly told his son Liu Shi (the later Emperor Yuan of Han) that he did not trust the implementation of ethical principles as the only means to govern, and he did not prefer to view contemporary issues in light of how the ancient Zhou Dynasty would have faced them. Therefore, the implementation of Reformist policies during Xuan's reign may hint that the emperor was not all-powerful in decision-making after all, and even he could be coerced or forced to back down from certain positions. Moreover, QUOTE: "It may be tentatively suggested that it was during these decades that China's masters realized that neither a totalitarian government based on so-called Legalist principles, not an impractical reliance on Confucius's ethics, could alone suffice to govern a mighty empire."

The Intellectual Background

Page 191: Like in previous times, it was believed during Emperor Xuan's time that Heaven created calamity or fortune as punishments or rewards depending on how humans ran their lives on earth. When a natural disaster or negative event took place, the government took action to rectify their behavior or policies; for example, in the reduction of the imperial court's expenditure (70 BC), the reduction of the price of salt (66 BC), or the reduction of taxation (64 BC).
Page 191-192: During the 1st century BC, there were still many different versions of allegedly the same ancient texts floating around, and scholars debated on which version of each should be the most authoritative and made orthodox in the education of young Confucians. There were many Court Conferences to settle these matters, including a very significant one in 51 BC (at the Pavilion of the Stone Canal) where certain commentaries were elevated over others, such as the Guliang commentary instead of the Gongyang commentary for the Spring and Autumn Annals.
Page 192: The Reformist side can be demonstrated by the stances of Xiao Wangzhi, who was Imperial Counsellor from 59 to 56 BC, and who took part in the Court Conference of 51 BC. He believed that the ideals of the Zhou Dynasty should be retained, that the state should have minimal interference in the lives and work of individuals, and that the state should not seek increased Han involvement in Central Asia. He recommended Kuang Heng for service, a man who would later play a role in reforming China's religious practices.

Internal Policies

Page 192-193: The Modernists who held dominant power under Emperor Wu believed in following the Qin Dynasty's policy of granting a bare minimum of awards and only when a meritorious service was involved (believing that an excessive amount handed away would lessen the value of awards). Beginning with Emperor Zhao and increasing during Emperor Xuan's reign, the Modernist policies began to dwindle as the state sought to follow in the example of the Zhou Dynasty's alleged ideals, i.e. bestow honors on people and provide them with gifts from the emperor's bounty to display the magnanimous nature of the state. Emperor Zhao and Xuan still granted people marquisates for meritorious service, but they were also given to relatives of imperial consorts and to the sons of kings. Between 65 and 62 BC, the state tracked down descendants of marquises who had been installed at the beginning of the dynasty (many of their families lost their marquisates during the purge of 112 BC); they found 120 descendants in all, and in honor of their ancestors the state granted them exemption from conscription obligations and in some cases they were given gifts.
Page 193: However, like in the previous era of Emperor Wu, the reduction in size and number of subordinate kingdoms continued under Emperors Zhao and Emperor Xuan. Following the revolt of the Yan Kingdom in 80 BC, its lands were divied up into three new commanderies. A small kingdom of Guanghan was established in 73 BC, created in part from the former Yan Kingdom and lasted until the end of Western Han. Other kingdoms that were abolished in this age included Changyi (in 74 BC) and Chu (in 69 BC).
Page 196: In line with the Reformist ideology of reducing state expenditures, a series of reforms begun in 66 BC were aimed at eliminating some programs established by previous Modernist statesmen, which were now considered wasteful and ostentatious. This may have been sparked by the general protest against the QUOTE: "expensive spectacles, games, and entertainments which had been put on in Ch'ang-an, in part to impress Wu-ti's visitors from abroad." The implemenation of Reformist policies to limit expenditures can be seen in the beginning of a gradual reduction of the Office of Music's activities in 70 BC, ending in 7 BC when the office was finally terminated.

Foreign Affairs

Page 196-197: The shift to Reformist policies can be observed even in foreign policies. The Han Dynasty was able to retain its control of Central Asia due to the rivalry and civil wars amongst the Xiongnu leadership. When the shanyu Huhanye (呼韓邪) desired to meet with the Han court in 51 BC, this sparked a debate on how to receive this foreigner. One side (the Modernists) wanted to treat the shanyu as a submitted enemy and an inferior subject lower than a Han king, while the other side (the Reformists) saw this as an opportunity to treat the shanyu as an honored guest in order to display the emperor's benevolence which extended to all men. In the end the Reformists won and the shanyu was granted gifts and treated as a guest of honor above that of Han kings. In regards to the Discourses on Salt and Iron, Loewe writes, QUOTE: "This decision conformed with the arguments put forward by the critics of the government in the debate of 81 B.C."
Page 197: Chinese foreign policy during Emperor Wu was confrontational and took the initiative, as the Chinese engaged in long-range military expeditions and long-range marriage alliances, such as with the Wusun in 110 BC. The Han Dynasty managed to install kings in Central Asian states which had assured loyalties to China; for example, in Fergana in 101 BC and Kucha in 65 BC. During Wu's reign, there were five separate plots to have local kings in the Tarim Basin assassinated and replaced by Chinese nominees.
Page 197: Earlier, Sang Hongyang had advised setting up colonies in Bügür (modern Luntai County), but his suggestion was rejected; however, a colony was finally established during the reign of Emperor Zhao of Han (87–74 BC). Huo Guang may have been preparing for an expansionist policy, but after 65 BC the court favored "static colonization" and did not advocate expansion.
Page 197-198: The military veteran Zhao Chongguo, who had fought in Central Asia for years, suggested that permanent and self-supporting agricultural colonies should be established instead of relying on sporadic use of small task forces. By 60 BC, the new Protectorate of the Western Regions commanded by Zheng Ji (Han Dynasty general) served the purpose of supervising colonial activities while maintaining relations with small kingdoms of the west, yet its goal was not an expansionary one. This trend can be observed in Korea as well, where one of the four commanderies (Zhenpan Commandery, see p. 196) was abolished and withdrawn from in 82 BC.

Reform and Decline (49 BC – 6 AD)

Page 198-199: Under Emperor Xuan of Han (r. 74–49 BC), the first round of Reformist policies were enacted that moved away from the Modernist stranglehold on policy and decision-making, while the policies enacted under Emperor Yuan of Han (r. 49–33 BC) in regards to foreign policy, economics, religious and other issues further cemented the acceptance of the Reformist ideology. Instead of emulating the Qin Dynasty, the Zhou Dynasty was instead viewed as the pristine model to follow. The Reformist policies were brought to a height by Wang Mang, surpassing the level of support given to them even by emperors Yuan, Cheng, and Ai.

Domestic Policies

Page 199: In 46 BC, the statesman Yi Feng, an associate of Xiao Wangzhi and Kuang Heng and a scholar learned in yin and yang, proposed that the capital should be moved from Chang'an to Luoyang. By severing the connection with Chang'an, the Han court could start anew and far from the conflicts, bloodbaths, and political intrigues which embodied the Chang'an of Emperor Wu's reign, which was marked by extravagance and expansionism. He believed that Luoyang QUOTE: "evoked the moral virtues and policy of economy" of the sagely Zhou Dynasty. Although Yi Feng's idea gained favor from Emperor Yuan, it was ultimately considered too impractical, and the idea was not brough up again until 12 AD, during Wang Mang's rule.
Page 199-200: Some of the kingdoms were refounded during Yuan's reign (though smaller in size this time around) and remained until the end of Western Han. This included Chu, which was refounded in 49 BC, and Guangling, refounded in 47 BC. Shortlived kingdoms included Qinghe (47–43 BC), Jiyang (41–34 BC), and Shanyang (33–25 BC originally the Kingdom of Changyi), and Guangde (19–17 BC). The Kingdom of Dingtao, restored in 25 BC and ended again in 5 BC, had its king Liu Xin who was made crown prince, later becoming Emperor Ai of Han (7–1 BC). The Kingdom of Zhongshan was revived from 42 to 29 BC, reverted to a commandery until 23 BC when it once again became a kingdom, its king Liu Jizi later becoming Emperor Ping of Han (1 BC – 5 AD). The Kingdom of Xindu lasted from 37 to 23 BC, and was revived in 5 BC; in 16 BC, during the period when it was demoted to a marquisate, Wang Mang was made the Marquis of Xindu.
Page 200: During the reigns of Yuan, Cheng, and Ai, a total of 100 marquisates were conferred on sons of kings, compared to only six given as rewards for meritorious service and 25 given to kinsmen of imperial consorts.
Page 200: Unlike the end of Eastern Han, eunuchs overall did not amass a considerable amount of power during Western Han, due large in part by the Reformist ministers under Yuan and Cheng who deliberately curbed the power of the eunuchs. Only a handful of eunuchs became significant players in Western Han politics.
Page 200: Here Loewe describes a few eunuchs who left their mark on Han history, and mentions those who were punished with castration, including historian Sima Qian, who was castrated like a eunuch for praising the exploits of Li Ling (Han Dynasty) and defending him during a time of adversity.
Page 200-201: Of the significant eunuchs of Western Han, this includes Hong Gong and Shi Xian, who came to dominate the secretariat and became chief advisers to Emperors Xuan and Yuan. They were bitterly opposed by Xiao Wangzhi, the latter who was forced to commit suicide in 46 BC due to the eunuchs' antagonism. Kuang Heng was one of many who later led the call for Shi Xian and his associates to be indicted. Hong Gong and Shi Xian were both dead by 33 BC, while no eunuch was powerful or prominent enough to replace them. In the year 29 BC, the palace writers (zhongshu)—a special agency staffed by eunuchs—was finally abolished.
Page 201: There were judicial reforms during this period to lessen the severity of punishments, while at the same time granting amnesties. Eighteen general amnesties were proclaimed between the years 48 and 7 BC; although the frequency of granting amnesties did not totally outdo that of earlier periods, the tone of edicts announcing the amnesties had significantly changed. They stated that severe punishments raised rather than reduced crime. QUOTE: "They alluded to the growth of crime that followed a levy of heavy imposts or failure to ensure that the administration was free of corruption." Some edicts for amnesties even admitted that they were measures by the emperor to correct his incompetence which caused disturbance in the cosmos, revealed to him by warnings sent from Heaven. In 47 and 44 BC, edicts were sent out to announce that the severity of punishments for certain crimes had been reduced, and in 34 BC there was a reform installed to shorten the judicial process. QUOTE: "Lengthy procedures had been interfering seriously with the livelihood of the people."
Page 201-202: The Modernists of Western Han adopted the old Qin measure of allowing criminals to commute their sentences (or evade punishment altogether) by paying a hefty sum to the state. The Modernists liked this practice because it raked in more revenues, but it was rejected by the new wave of Reformist statesmen in the 1st century BC, because QUOTE: "it tended to militate against impartial justice and to favor the rich against the poor, while it had failed to act as a deterrent against crime." The move against the commutation of judicial sentences can be seen examples such as one in 62 BC, where Xiao Wangzhi argued against the proposal that convicts could gain exemption from punishment if they served the army to suppress Qiang rebels in the west. Due to his vehement opposition, this proposal for commutation through military service was ultimately rejected.

The Economy

Page 202: The Reformists believed that extravagant palace life consumed far too many resources and far too much time of workers who could instead have been devoted to tilling the fields to grow crops or making silk and hemp for clothes. During the reign of Emperor Yuan, measures were taken to reduce the excessive luxuries associated with palace life, while QUOTE: "austerity became the order of the day." A reform was introduced in 47 BC which abolished an establishment providing carriages and horses for imperial use, as well as the reservation of some lakes and parks for imperial use. In 46 BC, the number of men in the guard units was reduced. Officials were given instructions to cut down on their own expenditures. The monopolies on salt and iron were temporarily abolished in 44 BC. In that same year, the lavish nature of imperial banquets was toned down, some games were suspended, hunting lodges were closed, and agencies established in eastern China that served only to supply the palaces with silken robes were shut down.
Page 202-203: There was also a quota imposed first in 44 BC and then reinstated in 41 BC that limited the amount of students sent to the academicians, in order to cut corners and reduce expenditures in training more students.
Page 203: After a series of reductions in size during the 1st century BC, the Office of Music was finally abolished in 7 BC, its musicians and singers either disbanded or transferred to work in other offices. Even after the office was closed, an orchestra of 128 musicians and 62 performers could still be mustered for religious services. The abolishment of this office may have had more to do with its depravity (i.e. racy music seen as stimulating licentious conduct) than further measures to cut down on state expenses. Confucius himself disapproved of music that too easily aroused the passions, so Reformists were not willing to support music which seemed to erode people's morals.
Page 203-204: The official Shao Xinchen may serve as a good example of the new Reformist attitude. He gained a reputation as the governor of Nanyang Commandery when he tirelessly inspected irrigation facilities, sought the best ways to distribute water fairly, ended property disputes by establishing boundaries of stone with inscriptions, and threatened to see family members of officials in a court of law if they sat around in idleness and did not work. For this he was promoted to be governor of Henan Commandery and then Superintendant of the Lesser Treasury (shaofu) in 33 BC. QUOTE: "It was in that capacity that he put forward suggestions for economizing at the level of central government. He proposed that the upkeep of some of the palace buildings which were used only rarely should be discontinued; that the office of music should be abolished; that troupes of entertainers and the arms and equipment of the formal palace guards should be substantially reduced; and he urged that the expense of fuel used to force the growth of certain plants and vegetables out of season was not justifiable."
Page 204: When Gong Yu became Imperial Counsellor in 44 BC, he demonstrated his distaste for the state's use of conscripts in mines and in minting coins. He was upset that so many working days a year were consumed by this, and that farmers were forced to devote some of their time in producing food and clothing for these miners and industry workers. Gong Yu succeeded in temporarily revoking the state's monopolies on salt and iron in 44 BC, yet the loss of revenue became so serious that the monopolies were reinstated in 41 BC. Gong also shut down some of the granaries established in 54 BC to stabilize the prices of staple goods.
Page 204-205: One reform proposed by Gong Yu that was not accepted was a return to a premonetary economy and the abolishment of coin currency altogether. QUOTE: "He argued that the love of money was the root of all evil; it attracted individuals away from the productive work of the fields to trade and industry, where large profits could be earned for less work. The use of cash enabled the rich to hoard their wealth; they used it to indulge in personal luxuries and for further profiteering, since they could easily raise interest of 20 percent on the loans that they floated. The subsequent temptation to the peasantry, to quit the land for what appeared to be a direct road to fortune, was all but irresistable, for they were bemused by the sight of coin. But if they failed to make their way they would end up penniless, and banditry was their only resource."
Page 205: Out of fear for this result, Gong Yu demanded that the government mints be shut down! He wanted all taxes to be collected in grain and textiles. Instead of paying officials in both grain and cash, he wanted them paid entirely in grain. However, the officials rejected his proposal since difficulties would perhaps arise in trying to dispose all of the extra grain they were paid in. Plus the money economy was well-entrenched at this point.
Page 205: After Shi Dan became Marshal of State in 7 BC, he proposed a landowning reform which would set a limit on the amount of land one could amass as well as the number of slaves one could own. However, there were many in power who would lose much to such a new reform, and so it was not implemented.
Page 205-206: The dikes of the Yellow River were repaired in 109 BC, while secondary outlets and channels were dug between 95 and 66 BC to relieve the enormous amount of stress coming downstream. After this, however, not a great deal of attention was paid to the need of new canals, dredges, and further maintenance. As a result there were major breaches in 39 BC and 29 BC. A huge storm brought heavy rains in 30 BC that caused flooding in parts of China, causing panic in Chang'an. The floods heavily damaged certain areas, while the blame was placed on Imperial Counsellor Yin Zhong, an unfortunate scapegoat who was then forced to commit suicide.
Page 206: The Superintendant of Agriculture took on greater responsibilities at this point in order to lead a relief effort of five hundred boats used for evacuation of areas threatened by the floods. A new series of dikes were built by using conscript labor. The completion of this work was celebrated by the installation of a new Chinese era name, Heping (Pacification of the River, 28–25 BC). Floods that came in 27 BC were fortunately checked by these new improvements.
Page 206-207: In 1–2 AD, there were 83 commanderies, 20 kingdoms, and 1,577 smaller units that included counties and marquisates. The aggregate registered population for all of the commanderies and kingdoms was 12,366,470 households with 57,671,400 people. The greater part of the population lived in the valleys of the Yellow River and Huai River, as well as the Sichuan Basin.

Religious Questions

Page 207: Like Emperor Wu of Han before them, Emperor Xuan of Han and Emperor Yuan of Han both paid respects and made frequent trips to the altars and shrines of the state cults, honoring the various deities. However, major changes in the state religion were to take place under Emperor Cheng of Han (33–7 BC).
Page 207-208: Emperor Cheng shut down a large number of shrines dedicated to minor deities. Due to the insistence of Kuang Heng that ancient rituals were corrupted by new practices and that the emperor's trips to sites such as Yong, Ganquan, and Fenyin were too far from Chang'an, creating too many expenditures for the government, Emperor Cheng no longer visited these sites.
Page 208: In 205 BC, Emperor Gaozu of Han added the worship of a fifth power, black, to the four found in the Qin Dynasty. However, the gods of the Qin Dynasty were foresaken in 31 BC when favor was given to Shangdi, the supreme deity of Heaven (Tian) that all Zhou Dynasty kings had traced their legitimacy to in their temporal rule. Therefore, ceremonies for the Qin gods were no longer conducted. In 31 BC, Emperor Cheng established shrines for Heaven and Earth located on the southern and northern sides of Chang'an. Trips to other ceremonial sites were no longer necessary. The altars now looked more plain and the vessels of jade were now replaced with simple earthenware ones.
Page 208: However, all of these changes in 31 BC were spurred by Cheng's desperate attempt to win favor from Heaven to provide him with a male child heir. When this failed to happen, further changes to the state religion occurred in 14, 7, and 4 BC. In 5 AD the cults of Heaven and Earth were reinstated under Wang Mang's influence. The cults of Heaven and Earth were also accepted at the capital of Luoyang under Eastern Han by 26 AD.
Page 208-209: The practice of setting up and maintaining shrines in the capital and provinces for each of the emperor's predecessors, which had begun since the beginning of Western Han, had expanded to alarming rates during the reign of Emperor Yuan of Han. It is recorded in several different documents that 167 shrines in the provinces and 176 more in the capital Chang'an during Yuan's reign offered 24,455 meals annually as sacrificial offerings, were guarded by 45,129 men, had 12,147 priests, cooks, and musicians employed, and had an unspecified but allegedly large amount of men in charge of sacrificial animals.
Page 209: By 40 BC there were finally reforms to reduce this extravagance. Services at some 200 shrines were thus discontinued, except shrines built in honor of Gaozu, Wen, and Wu. However, when Yuan was ill in 34 BC, he had all the services at all the shrines restored in 34 BC. When this failed to save his life a year later, the vast majority of the shrines were abolished, only to be restored again in 28 BC, when Cheng was trying to secure a blessing from Heaven for a male successor. The shrines were once again reduced in 7 BC, with Emperor Xuan now given special treatment like Gaozu, Wen, and Wu in the continual maintenance of shrines honoring him. Influencing the young Emperor Ping of Han, the official Wang Mang had the shrines maintained once more.
Page 209-210: From Emperor Gaozu's time on, there were 7 forced migrations to the mausoleums of emperors, in order to provide a sufficient work force to maintain the tombs; it was also a measure of some statesmen to remove powerful and influential families from their base at the capital. However, there were no forced migrations during the reignns of Yuan, Ai, and Ping, while there was only one made for Emperor Cheng, who ordered it for his own tomb in 20 BC but then suspended the migration in 16 BC. It was decided that people should not be disturbed and should stay in a fixed abode so that families would not be split apart by distance. When a forced migration was prepared in 5 BC for Empress Ding's tomb, it was cancelled only a month later with an announcement that the government would no longer seek to enact such a practice.

Foreign Affairs

Page 210-211: During the last fifty years of the Western Han, there was a reluctance to expand or engage the enemy Xiongnu, although the Xiongnu at this point were too divided among different camps to pose any serious threat. The Han received embassies from the Xiongnu, from the Wusun, from the state of Kucha, and others. The Protectorate of the Western Regions controlling the Tarim Basin region was maintained with incumbents serving office as late as 23 AD. In 48 BC a new post with the rank of colonel (xiaowei) was created in order to establish a Han colony in lands that the King of Turfan had formerly held and which were under threat of Xiongnu penetration. This post had incumbents in office as late as 16 AD.
Page 211: The Zhuai Commandery on Hainan Island, which had swallowed up the other commandery on the island by 82 BC, was finally abandoned in 46 BC. The outbreak of a local tribal rebellion forced the Han Dynasty to withdraw its settlers and troops from the island. It was considered too expensive to maintain an outpost on the island.
Page 211: In 40 BC, Feng Fengshi requested 40,000 troops to subdue a new Qiang rebellion in the west, but he was granted only a meager 12,000 troops due to the court's insistence that money should be conserved at all costs. This smaller amount of troops did not fair well, and the government was forced to send 60,000 troops to his aid before Feng Fengshi was able to quell the rebellion and restore order.
Page 211-212: Battle of Zhizhi: In 36 BC, the Xiongnu leader Zhizhi Shanyu, who was distraught and jealous over the acceptance of his rival Huhanye Shanyu by the Han court after his own attempts to gain Han favor failed, plotted to destroy Huhanye. Zhizhi sought to make an alliance with Sogdiana (Kangju) in order to kill Chinese envoys and cut off Han Chinese access to Central Asia. This would have been achieved had it not been for the connivance of a junior officer Chen Tang who happened to be on the spot and perceived what was going on. Chen Tang faked an imperial edict granting him authority to attack Zhizhi, and he was soon in cohorts with Gan Yanshou, who was then Protector General of the Western Regions. Acting entirely on their authority, they attacked and killed Zhizhi.
Page 212: The two officers sent the head of Zhizhi to the capital Chang'an for acceptance. The ministers debated how to handle the situation, and many—including Kuang Heng—did not want to reward the two officers at all for forging imperial documents that gave them false authority to attack Zhizhi. However, with the insistence of Liu Xiang, a marquisate was given to Gan Yanshou and a lesser marquisate given to Chen Tang. After Gan died, Kuang Heng took advantage of the opportunity to diminish the status of Chen Tang. QUOTE: "The government's shabby treatment of two of its most heroic servants demonstrates its reluctance to engage in foreign ventures at this time; there was the risk that any reward which they received would encourage others to display initiative and involve China in unwanted expensive ventures." Loewe says the same thing attitude was applied to Feng Fengshi 30 years earlier when he proposed further involvement in Central Asia.
Page 212-213: Even though Sogdiana had turned against Zhizhi and provided Chen Tang with troops for his final battle with Zhizhi, the Han decided not to enact a full-scale marriage alliance with Sogdiana. The same attitude was applied to Kashmir, which had maintained relations with the Han since Emperor Wu's reign but was severed during Emperor Yuan's reign. When relations were considered again under Cheng's reign, it was decided that relations should not be resumed, since the Chinese deemed Kashmir as acting only in its self-interests and for its own material benefits.

Dynastic problems and the succession

Page 213: Empress Wang Zhengjun, wife consort to Emperor Yuan, would play a significant role as the Empress Dowager for a few decades during her son Cheng's reign. Cheng was said to indulge himself in wine, women, and lascivious music, as well as traveling incognito outside the palace and into the streets of Chang'an to enjoy things such as cockfighting. It is also alleged that Emperor Yuan desired to replace then-crown-prince Cheng with another son to be heir apparent, born of his consort Fu. However, the emperor hesitated and did not replace his son with another, perhaps due to the pressure the Fu family exerted.
Page 213-214: The future Emperor Cheng owed his continued role as heir apparent to two Reformist ministers, those being Kuang Heng and Shi Dan.
Page 214: Emperor Cheng had a daughter of Xu Jia as his consort, who became Empress Xu (Cheng) in 31 BC but failed to produce a male heir. During his marriage to her, Emperor Cheng was captivated by a lowly musician and dancer named Zhao Feiyan, a woman who gained favor from the emperor and was placed in a princesses' household along with her sister Consort Zhao Hede. After accusations of witchcraft and black magic were hurled against her (and Consort Ban), Empress Xu was deposed as the empress in 18 BC while Zhao Feiyan became the new empress in 16 BC. However, even both Zhao sisters failed to produce a male heir for Cheng, yet Cheng managed to bear a son with a slave girl and another son from a regular concubine. He had both of these infant sons killed, because they were not born of his beloved Empress Zhao Feiyan, let alone her sister (the Zhao family would be ousted by another family if a son from another family became heir apparent).
Page 214-215: Meanwhile, the Wang family positioned itself into power after Emperor Yuan died, his consort Empress Wang Zhengjun becoming empress dowager, and her brother Wang Feng was made Marshal of State in 32 BC. Wang Feng led the secretariat and enjoyed immense power at court. He was succeeded in his position as Marshal of State by four other members of the Wang family, the last of these being Wang Mang. The latter was appointed as Marshal of State at the beginning of 7 BC, just a few months before Emperor Cheng died.
Page 215: Cheng's succession issue plagued not only his thoughts, but also the concerns of his ministers. In 8 BC the question of an heir was raised, and it was decided that his half-nephew Liu Xin, ruling as Emperor Ai of Han (7–1 BC) should be made crown prince on March 20, 8 BC. The other candidate for this that was ultimately rejected was Cheng's half-brother Liu Xing, King of Zhongshan, who died in September of 8 BC but had a son named Liu Jizi, who later reigned as Emperor Ping of Han (1 BC – 6 AD).
Page 215: Since Emperor Ai's grandmother was Consort Fu, a favorite of Emperor Yuan, and his mother was Consort Ding (wife to Prince Liu Kang of Dingtao), both the Fu and Ding families vied for power at court, along with the Zhao family. Due to this, the Wang family lost prominence and Wang Mang was dismissed from his post as Marshal of State shortly after Ai ascended to the throne. However, after the death of Ai, Wang Mang's fortunes became brighter. In turn, Emperor Cheng's beloved Empress Zhao Feiyan, now dowager empress, was demoted from this position.
Page 218: (Chart of family relations on pages 216 to 217) Before this, however, the Fu clan member Fu Xi held the position of Marshal of State, from 6 to 1 BC. Meanwhile, Reformist statesmen expressed their displeasure at the rise of these prominent families, both Ding and Fu. Shi Dan, the same official who proposed limiting the amount of property a landowner could amass, objected to the idea of conferring any honorific titles on the two principle females of these clans. Kong Guang flatly rejected any idea that the nominal Dowager Empress Fu (Consort Fu from Yuan's reign) should be given provisions for an imposing residence, believing that this would enhance her influence in state affairs.
Page 218: Emperor Ai of Han aspired to be a great leader like Emperor Wu, but there were complications involving his chronic ill health, the interference of consort families, and his alleged homosexual love affair with Dong Xian. The Fu and Ding clans hated the favored Dong Xian, but their position was to become even worse when both the empress dowagers for the Fu and Ding clan died in 5 and 2 BC, respectively. Moreover, Dong Xian was made Marshal of State in 2 BC (NOTE: WTF? Fu Xi was Marshal of State from 6 to 1 BC, how could there be two Marshals of State at the same time? Makes no sense).
Page 218: However, Emperor Ai died on August 15, 1 BC and left no male heirs to claim the throne. The grand empress dowager of the Wang clan, who was former Empress Wang Zhengjun to Emperor Yuan, had seniority amongst the consorts to make a decision about succession (following the precedent set in 74 BC), and so Liu Jizi was made Emperor Ping of Han. A day after Emperor Ai died, Dong Xian was dismissed from office and degraded, choosing to commit suicide rather than face disgrace. With the Wang clan in ascendance at court, Wang Mang was reappointed as Marshal of State in 1 BC, leading the secretariat.
Page 219: After Wang Mang reconsolidated power, Empress Dowager Zhao was degraded along with Emperor Ai's empresses from the Fu and Ding clans; even their tombs were desecrated. The new Emperor Ping was merely a nine-year-old child, who was married to the daughter of Wang Mang. When Emperor Ping died on February 3, 6 AD without a male heir, everyone accused Wang Mang as an instigator (although it was never proven, and Wang was already in a perfect position that did not need to be jeopardized by intrigue). Although there were many worthy candidates who were descendants of Emperor Xuan, a two-year-old infant named Ruzi Ying was chosen to be heir apparent. The Grand Empress Dowager Wang issued an edict naming Wang Mang the new regent upon Ruzi Ying becoming crown prince, and evoking the memory of the Duke of Zhou, Wang Mang became acting emperor.

Wang Mang, the Restoration of the Han Dynasty, and Later Han

Bielenstein, Hans. (1986). "Wang Mang, the Restoration of the Han Dynasty, and Later Han," in The Cambridge History of China: Volume I: the Ch'in and Han Empires, 221 B.C. – A.D. 220. Edited by Denis Twitchett and Michael Loewe. Cambridge: Cambridge University Press. ISBN 0521243270.

Page 223-224: Due to the Chinese belief in the Mandate of Heaven derived from the chief deity (Shangdi) of Heaven (Tian), which was supposedly granted only to men who were destined to win the throne, Chinese historians railed against those who failed to retain the throne and establish a long-lasting dynasty, even going as far as to describe the physiognomy of the usurper as characteristically ugly (a portent and omen from Heaven that he was not destined to become a true ruler or establisher of a dynastic house). The Chinese historians who compiled the Book of Han and Book of Later Han painted the 15-year-long reign of Wang Mang as an unjustified usurpation rather than an establishment of a legitimate dynasty (the Xin Dynasty). It is unfortunately from these biased post-restoration histories that modern historians must base their work when analyzing the reign of Wang Mang, since he is written of very little in traditional accounts, even in these two histories.

The Rise of Wang Mang

Page 224-225: Wang Mang came from a lesser gentry background which was locally but not nationally important. Like Liu Bang, the founder of Western Han, Wang Mang had a genealogy fabricated in order to show he had a prestigious pedigree. Wang claimed that he was descended from Shun (Chinese leader) and the Yellow Emperor, two legendary figures, by way of the Dukes of Qi (who were from the house of Tian). However, such genealogies were mere propaganda to legitimate the founding of a new dynasty.
Page 225: Empress Wang Zhengjun, before becoming the empress and raising the Wang clan to national importance, entered the harem of Emperor Xuan of Han in 54 BC as a regular concubine. Wang Zhengjun was transferred to the harem of Emperor Yuan of Han when Xuan died in 49 BC. She gave birth to the future Emperor Cheng of Han. On April 12, 48 BC she became Empress Wang Zhengjun while her father was ennobled as marquis. However, during the reign of Emperor Yuan the Wang clan did not gain any significant power. She lived an exceptionally long life, not dying until February 3, 13 AD; it was her unusually long life (for the period) that allowed her nephew Wang Mang to rise to power.
Page 225-226: Emperor Yuan died on July 8, 33 BC. He was succeeded by Emperor Cheng of Han on August 4, whereupon Empress Wang Zhengjun became empress dowager. Cheng was very influenced by his mother and immediately installed her eldest brother (and his uncle) Wang Feng as Marshal of State and general-in-chief (regent). Wang Feng's brothers were all made marquises. Wang Feng died in office in 22 BC and was succeeded by his first cousin Wang Yin (who was also a first cousin of the Empress Dowager Wang). Wang Yin died in office in 16 BC, and was succeeded as regent by Wang Shang, brother of Wang Feng. Wang Shang died in office in 11 BC and was succeeded as regent by Wang Gen, his brother. Wang Gen resigned on November 16, 8 BC, and on November 28 Wang Mang was made regent at age thirty-seven. During all of this time, Emperor Cheng was content on chasing after women and letting his uncles take care of government affairs for him.
Page 226: Wang Mang was born in 45 BC to Wang Wan, a brother of Wang Zhengjun, the Empress Dowager; Wang Wan died too early to be made a marquis alongside his brothers, and Wang Mang grew up without a father. Wang Mang attended to his uncle and regent Wang Feng during the last months of his illness in 22 BC (Wang Mang had a minor official position at this time, and was educated in Confucian classics). Right before he died, Wang Feng had Wang Mang elevated to the office of shesheng xiaowei, or Colonel of Archers Who Shoot by Sound, making him one of the commanders of the professional Northern Army stationed at the capital (although this new position was most likely meant as a sinecure). Wang Feng also had Wang Mang appointed as a huangmen lang, or Gentleman of the Yellow Gates, which was a supernumerary title intended for use by the emperor's advisers. Later, Wang Mang was appointed to another rather meaningless sinecure post as ji duwei, or Commandant of Cavalry, as guanglu dafu, or Counselor of the Palace who advised the emperor, and Palace Attendant, another supernumerary post. On June 12, 16 BC, he was finally ennobled as Marquis of Xindu.
Page 227: When Wang Gen resigned as regent, the unsavory reputation of the Empress Dowager's only other surviving brother at that point made him an unlikely candidate, so the noticeably able and astute Wang Mang of Emperor Cheng's generation was chosen to be regent. Soon after he was picked as regent, Emperor Cheng died on April 17, 7 BC, succeeded by the more politically aware Emperor Ai of Han. The Ding clan of Ai's mother and the Fu clan of his grandmother both conspired against the Wang clan in order to strip them of their power. However, Wang Zhengjun was now grand empress dowager as well as adoptive grandmother of Emperor Ai, so she could not be removed from power. Wang Mang, on the other hand, was forced to resign. QUOTE: "His resignation was at first tactfully refused and then accepted on August 27, 7 BC. Heaped with honors, he withdrew to his residence in the capital. He remained there until the summer of 5 BC, when he was ordered to depart and live in his marquisate."
Page 227-228: Many of Wang Mang's supporters called for his return from exile, so Emperor Ai finally yielded in 2 BC when he invited Wang Mang to come back to the capital and live in quiet retirement. However, this was not the case. Emperor Ai died on August 15, 1 BC without giving birth to any son or heir. His grandmother from the Fu clan had died in 2 BC, and his own mother from the Ding clan died in 5 BC. Therefore, Grand Empress Dowager Wang was free to solve the succession crisis as the most senior member of the imperial clan. The dying Emperor Ai had given the imperial seals to his male lover Dong Xian, but the Grand Empress Dowager Wang had them taken from him in order to bestow them onto a member of the Liu clan. Wang Mang persuaded Grand Empress Dowager Wang to strip Dong Xian of his official titles, which was implemented the following day on August 16, 1 BC. Shortly after, Dong Xian committed suicide. The next day on August 17, Wang Mang was reappointed as regent.
Page 228: Only one descendant of Emperor Yuan remained alive, this being a first cousin of Emperor Ai; he was enthroned as Emperor Ping of Han on October 17, 1 BC. Emperor Ping was a child and Grand Empress Dowager Wang was quite aged, so Wang Mang enjoyed full authority over the government as regent. He improved provincial schools in 3 AD, enlarged the Taixue in 4 AD, held court conferences on classical texts, astronomy and astrology, divination, philology, and even pitch pipes used in music, all to the favor of scholars and officials. He established a new road leading from the Wei River valley all the way south to Sichuan in 5 AD, an engineering project that spanned over difficult mountain ranges. He received an exalted title of Duke Giving Tranquility to the Han in 1 AD. On March 16, 4 AD his daughter was married to Emperor Ping as the new Empress Wang (Ping).
Page 228-229: Emperor Ping died on February 3, 6 AD. Wang Mang was much later blamed for Ping's death, the claim of poisoning first made in 7 AD and repeated during the civil war against Wang Mang in 23 AD. However, no strong evidence exists to prove or disprove this claim. In fact, several facts point to his innocence, including his daughter's recent marriage to Ping, the latter who was still a teenager, and Wang Mang's secure position in government. It would have been too risky to murder an emperor to perform a coup at this stage, since the house of Han had support throughout the empire.
Page 229-230: However, Wang Mang risked the wrath of the Han imperial house when he proclaimed himself acting Emperor and appointed the one-year-old Liu Ying, or Ruzi Ying ("Ying the Kid") as the heir apparent, yet he was only given the title of a young prince. Since Emperor Ping had been the last descendant of Emperor Yuan, the descendants of Emperor Xuan of Han were eligible candidates for the throne, and there were many of them, including five kings and almost fifty marquises. The first of these to rise against Wang Mang in May or June of 6 AD was a marquis who assembled a small force in an attempt to capture the capital of his commandery. His forces were defeated, and a paternal relative of his presented a very flattering and apologetic memorial to Wang Mang to appease him. In July, the Grand Empress Dowager then confirmed Wang Mang as acting Emperor. Two other insignificant rebellions by two different marquises occurred, but neither are even dated. A serious uprising occurred in October of 7 AD, led by Jia Yi (NOT this Jia Yi). Jia was a son of a distinguished official, and after enthroning a member of the Liu clan outside of the capital, he accused Wang Mang of poisoning Emperor Ping. When a secondary rebellion broke out near the capital itself, Wang Mang made an immediate proclamation that he would turn over the government to Ruzi Ying when the latter reached his majority. Within three months the rebellion was quelled.
Page 230-231: Wang Mang rose to power and quelled insurgents with ease, as everyone was familiar with the ailing dynastic house and the concept of wu xing, or the Five Phases (wood, fire, earth, metal, and water), each one associated with a single dynastic house, the element changing as one dynastic house supplanted another. Fire was the element of Han, hence red was its color. Many people, even members of the imperial house, were duped by apocryphal texts, portent signs and omens that Han's fire would soon be supplanted by the phase of earth, hence a new dynasty. Wang Mang and his supporters were masters of subtle propaganda focused on signs and portents, as one omen after another was reported to the throne from 6 to 8 AD. This included the discovery of inscribed stones and a stone ox (correlated with earth), the appearance of Heaven's envoy in a dream, the sudden and spontaneous opening of a well, etc. All of these pointed to the ascendancy of Wang Mang. He was allegedly a descendant of the Yellow Emperor and the color yellow was associated with the element earth.
Page 231: With the portents piling up and his relatives in power only in a beneficial position via Wang Mang, the latter declared on January 10, 9 AD that the Han Dynasty had run its course and was now defunct. He proclaimed himself emperor of a new dynasty, the New Dynasty (Xin Dynasty). Ruzi Ying was not killed; he was raised in seclusion and even married a granddaughter of Wang Mang. There were two uprisings by members of the imperial house in 9 AD and a mutiny in Central Asia in 10 AD; in the latter year, all the Han nobles were demoted to commoners.

The Reign of Wang Mang

Page 232: Wang Mang's reforms include:
- New denominations of currency in 7, 9, 10, and 14 AD, the first and last of these which debased the value of coinage.
- In 7 AD, the marquises and lower nobles were all ordered to exchange their gold for coins that were worth less at face value.
- In 9 AD, the bureaucracy was reorganized and new titles were introduced.
- In 9 AD, the buying and selling of private slaves was outlawed.
- In 10 AD, in addition to iron and salt industries, state monoplies were imposed on the trade of fermented liquor and on the income derived from lakes and marshes. The values for essential commodities such as grain, cloth, and silk were stabilized by the government, as the latter purchased these goods when prices were low and sold them for cheap when prices became too high. Government storehouses were established for this purpose in five major cities. These policies were all reaffirmed in 17 AD.
- In 10 AD, an income tax rate of one-tenth was imposed on all hunters, fishermen, sericulturists, artisans, professional men, and merchants.
- In 14 AD, the names of the commanderies and counties were all changed, along with changes in provincial titles.
- In 14 AD, a sweeping land reform took place where all (able-bodied) male subjects were to receive a standard amount of land while families that had a greater amount of land than the permitted maximum had to give up their surplus for non-landowners to occupy. To reinforce this, the buying and selling of land was outlawed.
- In 16 AD, a reform was introduced where the stipends of officials was to be lowered in times of bad harvest, in proportion to the state harvest.
Page 232-233: There are different ways in which scholars have interpreted these policies of Wang Mang. Hu Shi advocated that Wang was a socialist ahead of his times. Homer H. Dubs believed he was merely a clever intriguer whose bad policies turned all classes of men against him, a belief in line with the partisan Ban Gu and his Book of Han. However, to gain a better perspective on Wang Mang's policies, one must compare them to a broad spectrum of policies enacted throughout the Han Dynasty.
Page 233: Not only was debasement of coinage currency nothing new in Chinese history (for example, Emperor Wu introduced leather money without damaging the economy), but it is very doubtful that Wang's debasement of currency did anything but marginal damage. With lighter weight coins, the government could meet the demand for metal easier, and if people didn't trust it at face value, they could invest their money in land to protect their capital (land was, after all, the prime source and measure of one's wealth). Peasants, the majority of the population, used little or no money; money was used by the merchants and gentry, which comprised a small percentage of the population. Even the forced exchange of gold couldn't have hurt the nobility too much, since old was allowed to circulate again once the Han nobles were dismissed in 10 AD.
Page 233: Once again, Wang Mang was not the first Chinese emperor to go around changing bureaucratic titles and names of commanderies and counties; this practice was adopted by the Western Han as early as 144 BC during the reign of Emperor Jing of Han. When the calendar was adjusted and a Chinese era name was chosen in 104 BC, the titles changed once again.
Page 234: The abolition of slavery would have affected a small percentage of the populace, since slaves made up a very small percentage of the populace itself. Besides, this law was rescinded in 12 AD.
Page 234: Land reform was favored by statesmen for centuries, and Wang Mang's system was a forerunner to the equal-field system adopted by Northern Wei in 485 and then the Tang Dynasty after it (lasting until the 8th century). His reform did not find enough support, so that was also recalled in 12 AD.
Page 234: The state monopolies of salt and iron lasted from "around" 119 BC until the end of Western Han, with only one interruption from 44 to 41 BC (and was continued by Eastern Han on a local level). The monopoly on fermented liquor only lasted from 98 to 81 BC. The government imposed a monopoly on currency in 112 BC, a reform that remained in place throughout the rest of Western Han (and was continued by Eastern Han). The Emperor's personal income gathered from lakes and marshes (paid by woodcutters, fishermen, and hunters to use his properties) was the emperors' privilege in both Western and Eastern Han, so again, nothing new to Wang Mang's reign. The price stabilization program was begun by Western Han in 110 BC and lasted throughout this period, while even Eastern Han adopted it for a time beginning in 62 AD. This means that Wang's monopoly on fermented liquors was the only monopoly that wasn't practiced by both Western and Eastern Han. When all the monopolies were scrapped in 22 AD, this wasn't because they were a failure; it was because they couldn't be enforced during the major civil war that led to his downfall.
Page 234: In 119 BC, Emperor Wu of Han had imposed a capital tax of 9.5 percent on all merchants and 4.75 percent on all artisans. QUOTE: "Although Wang Mang may have collected the tax from a somewhat wider category of professionals, it was based on income and therefore lighter than Wu-ti's tax on capital."
Page 234: Even the practice of reducing official stipends in times of poor harvest was a policy implemented before Wang Mang's time, such as in 70 BC during Emperor Xuan of Han's notably stable reign.
Page 235: Aside from the slavery abolition and land reform, Wang Mang was actually not an innovator at all; he merely followed Western Han policy. Bielenstein says, therefore, that Ban Gu's accuasions against him lack substance and "were a device to misrepresent a man who, for political and philosophical reasons, had to be branded as incompetent and morally inferior."
Page 235: Aboriginal tribes in Zangge Commandery (modern Guizhou) rose in rebellion and killed the Chinese governor in 12 AD, followed by another aboriginal revolt in 14 AD in Yizhou Commandery (modern Yunnan). Historian Ban Gu in his Book of Han claims that Wang Mang was at fault for the rebellion to begin with by demoting the aboriginal king to marquis and was unable to deal with the crisis. However, the Book of Later Han says that Wang Mang appointed a new governor of Yizhou and suppressed the rebellion, a fact ignored by Ban Gu. In fact, Ban Gu completely ignored the fact that, after Emperor Wu of Han conquered the Guizhou region in 111 BC to establish a trade route leading to Burma, the Chinese presence was not strong enough and the Han was forced to recognize tribal chiefs, who revolted against Chinese authority in 105 BC, from 84 to 82 BC, and in 27 BC. Therefore, the revolts in 12 and 14 AD during Wang's rule were nothing exceptional; in fact, they were part of a larger pattern which began in Western Han.
Page 235-236: From 51 BC onwards, the Chinese records say that the Southern Xiongnu submitted to Han rule, when the Xiongnu had to hand over hostages to Han each year and come to the Chinese court in person to pay homage. However, this was not true submission, since the Xiongnu received lavish gifts, ceased their raids and called it "protecting the Chinese border", and could in fact start war anytime they wished.
Page 236: When Huhanye Shanyu visited the court for the last time in 33 BC, he was granted five Chinese concubines, one of them being Wang Zhaojun, who became a favorite and bore him two sons. One of these survived, his name being Yituzhiyashi. When Huhanye died in 31 BC, Wang Zhaojun followed the Xiongnu custom of marrying the succeeding shanyu. She bore this new shanyu two daughters, one of them being Yun. The latter was brought to China in 2 AD by Wang Mang, who had her placed under the care of Grand Empress Dowager Wang. While with her, Yun became a partisan for Han China, a sentiment shared by her aristocratic Xiongnu husband. Yun, her husband, and Yituzhiyashi became active advocates of allying with China in the Xiongnu camp. The conservative Xoingnu watched this with suspicion and anticipated a break with China.
Page 237: When Wang Mang assumed the throne in 9 AD, the Southern Xiongnu broke the alliance and went to war. Ban Gu claims this was because Wang Mang had insulted the Xiongnu Shanyu by demoting him to a lesser rank. But Former Han rulers, like Emperor Ai, had done similar rude things to the shanyu, so Wang was perhaps following a traditional pattern. It cannot be regarded as the real cause for war; at best it was a pretext, as Bielenstein asserts.
Page 237: In order to deal with this new threat, Wang Mang assembled a force of 300,000 troops along the entire Chinese border during the winter of 10 to 11 AD. Ban Gu criticized Wang for bringing hardship by assembling this futile force, but this was spread across a large area, whereas Emperor Wu did not gain Ban Gu's criticism when he assembled a force of 300,000 in a single area. In the end, Wang Mang's show of force blunted the Xiongnu will to fight, so they backed down and relations resumed. Wang Mang had actually been tactful, but Ban Gu did not give him credit.
Page 237: Wang Mang gave financial support to a pro-Chinese Xiongnu named Xian, who was the heir apparent and younger half-brother to the current shanyu. In 11 AD he proclaimed himself the new shanyu despite his half-brother still being in power; in the end he was forced to submit to his older half-brother, but Xian's power can be seen in the fact that he was not punished and he remained the heir apparent.
Page 237-238: When the Xiongnu raids continued, Wang Mang executed the Xiongnu hostage in Chang'an, since QUOTE: "the institution of hostages was based on the principle of retaliation." Emperor Guangwu of Han did the same thing in 32 AD with a prominent hostage.
Page 238: Xian ascended to the throne in 13 AD, his faction restored peace with the Han Dynasty. This would last until his death in 18 AD, when trouble sprang up again. His brother, a conservative, was his successor. This new shanyu had Yituzhiyashi murdered because the latter was pro-Chinese and the only remaining heir to the throne from his generation. There was a raid on Chinese territory in 19 AD, but this was not resumed, as Wang Mang's border defenses held strong. Yun feared for her life so came to Chang'an with her family. Wang Mang enthroned her husband as a counter shanyu, but this shanyu died soon after. When Wang Mang himself fell from power, the Chinese Empire and Southern Xiongnu were at a stalemate.
Page 238: In 13 AD, the Central Asian state of Karasahr (Yanqi) rose in rebellion and killed the Protector General of the Western Regions (which had overseen the Tarim Basin and Turfan Oasis region). Wang Mang sent a retaliatory force in 16 AD, which was ambushed but not destroyed. The Chinese managed to inflict damage on Karasahr, massacring some of its population, before returning to China. In effect, Karasahr had been chastised, while no other towns along the Silk Road dared to break away from China at this point. Although Ban Gu claims that the Western Regions were cut off at this point due to the "usurper" Wang Mang, in reality the Western Regions were not cut off until the civil war against Wang Mang in 23 AD.
Page 238-239: Wang Mang also handled affairs with the Tibetan tribes and Koreans. Wang Mang extended Chinese control west to the Kokonor region. He defeated Goguryeo in Korea in 12 AD.
Page 239-240: Wang Mang had his morals and was strict about the law, even forcing three of his sons, one grandson, and one nephew to commit suicide because they had infringed upon the law. In 16 AD Wang Mang called for an autopsy of an executed man, in order to dissect him and examine his viscera and arteries in order to find cures for illnesses. He held very important court conferences on philology and classical texts. From 10 to 20 AD there was not a single known plot against his life. He was accepted by all officials en masse, while his support only waned when peasant rebels started to defeat imperial armies. This was not because of anything he should be faulted for, but because the Yellow River shifted its course and caused a huge catastrophe.

The Restoration of the Han Dynasty

Page 240-241: The census of AD 2 is the oldest known preserved census in the world. In it, the total population of China can be calculated as being 57.7 million people, while the next known preserved census of 140 AD was only 48 million people. However, this is because three entire commanderies were not counted in the survey of 140, meaning that the population would have been larger than 48 million. In the census of 2 AD, 76% of the population lived in Northern China and only 24% lived in Southern China. This is contrasted by the census of 140 AD, showing that 54% of the population lived in Northern China while 46% lived in Southern China. This is a huge migratory shift. The depopulation of the northwest was caused in part by Xiongnu and Tibetan incursions, which will be discussed later on. Two changes in the course of the Yellow River caused many people to flee the North China Plain.
Page 241-242: In its original state, the Yellow River had flowed northward and entered the sea at present-day Tianjin. Shortly after the census of 2 AD was taken (sometime in either 3, 4, or 5 AD), the dikes fo the Yellow River broke, causing it to flood the southern part of the North China Plain. This divided the river into two branches, one that flowed in its normal course to Tianjin, and a new branch flowing southeastward towards the Huai River. In precisely 11 AD, another disaster occurred when the Yellow River shifted its course again and ended up entering sea at a point just north of the Shandong Peninsula, where it empties to this day (although it has shifted south and back north to this point since). It would never again empty out at sea as far north as Tianjin.
Page 242-243: This was caused by the gradual building up of silt carried east where the river's speed slows down, allowing the silt to become sluggish. With the silt building up, the river bed would gradually rise above the surrounding countryside, causing flooding to occur. This was something the patchwork of Chinese dikes could not have totally fixed, so the disaster in 11 AD was inevitable.
Page 243: The southern branch of the Yellow River was not cut off until 70 AD, a feat which was celebrated in an edict dated April 8. The Yellow River shifted its course again in 1194, which matched this southern branch that the Han was able to stop. In 1853, the Yellow River again shifted back to the point where it is now just north of the Shandong Peninsula. In other words, Wang Mang is not to blame for this catastrophe which was out of his hands; despite this, he was still blamed and suffered death in a civil war.
Page 243: Following the shifts of the river, small peasant outbreaks of revolt took place along migratory routes leading south to safety from the flooded disaster zone of the North China Plain. Famine spread as more people fell victim to the effects of these disasters. The peasant force which arose in Shandong could not be quelled by local administrators, so they called on the central government for aid. Wang Mang mobilized troops to suppress them in 18 AD, but this was unsuccessful. This was again attempted in 22 AD when Wang sent a large army into Shandong in the winter, when waters of the Yellow River were low. In the ensuing battle, Wang's army was defeated and its commanding general killed.
Page 243-244: In order to distinguish themselves from government forces, the peasant rebels painted their foreheads red, hence the term Chimei, or Red Eyebrows. Red was chosen since the Western Han Dynasty's color was red, meaning the peasants in a vague fashion were trying to take up the mantle of the previous dynasty. The gentry did not involve themselves in their rebellion; its members were mostly men who were looking for a way to avoid starvation. They had a simple command structure and took on the titles of lowly local officials. They were not particularly a religious cult and were not a secret society.
Page 244-245: One contingent, later followed by others, evacuated the ravaged Shandong area and moved southwest to the rich and bountiful Nanyang Commandery (in what is now modern Henan province), where the Eastern Han Dynasty would later begin. Two strands of non-Red Eyebrow rebels converged in Nanyang, the outsider Xinshi group who had juste entered from the south and the native Pinglin group, the latter which had Liu Xuan as its member (the later Emperor Gengshi of Han). He joined because he was a fugitive fleeing from authorities after a blood feud.
Page 245: Nanyang was the area where the failed and unpopular rebellion of 6 AD against Wang Mang had occurred, but this time around in 22 AD popular support was surging. As the Xinshi group from the south joined up with the Pinglin rebel group, the Red Eyebrows were approaching from the east. The gentry of Nanyang must have been very scared of the hungry peasant bands roaming the country; they would somehow need to channel this palpable energy against Wang Mang, in order to save their own families and restore the fallen dynasty.
Page 245: The rebels of Nanyang coalesced around Liu Yan (general) (courtesy name Liu Bosheng), the undisputed leader of the regional rebellion who was a descendant of Emperor Cheng of Han, therefore making him an eighth generational descendant of Emperor Gaozu of Han. However, neither his father, grandfather, or great-grandfather had been enfeoffed as a marquis, while his family branch no doubt had fallen off the imperial register. His father was a county magistrate, his mother came from a wealthy Nanyang gentry family. It was his younger brother Liu Xiu who was destined to become Emperor Guangwu of Han and found the dynasty of Eastern Han. The Li family, desiring to revolt as well, dismissed an old grudge with the Liu family and joined forces with Liu Bosheng, starting their rebellion in October or November of 22 AD.
Page 245-246: Liu Bosheng was initially successful, but he suffered defeat by Wang Mang's troops at Xiaochang'an, where his brother Zhong was killed in battle; he also lost a sister.
Page 246: After this loss, local officials began rounding up relatives of the rebels and executing them. Liu Bosheng fled and met up with troop leaders of the Lower Yangzi. He not only recuperated from his losses, but also increased the number of chieftains in the rebel movement and undermined the Nanyang gentry's role. Liu Bosheng again met Wang Mang's troops on the battlefield in January or February of 23 AD, winning a complete victory and killed two commanders. He then consolidated Nanyang and besieged its capital Wan. He sent messengers across the emperor to spread word of his success and to call for Wang Mang's removal.
Page 246: To legitimize the rebellion, an emperor was needed from the Liu clan. The chieftains did not want Liu Bosheng to become emperor, as he would undermine them; instead they picked one of their own, Liu Xuan (Emperor Gengshi of Han), a third cousin of Liu Bosheng (and descendant of Emperor Jing of Han) who had led troops from Pinglin. On March 11, 23 AD, Liu Xuan became Emperor Gengshi.
Page 247: Historian Ban Gu, searching for an explanation as to why Emperor Gengshi of Han lost the Mandate of Heaven, claimed that Gengshi was a witless drunk.
Page 247: While the chieftains dominated the new government, Liu Bosheng was given the post of Minister of Finance, to placate him. At the same time the Nanyang gentry no longer supported him either. While the city of Wan was still under siege, Liu Bosheng's only surviving brother, Superintendant of Ceremonial and Lieutenant General Liu Xiu (Emperor Guangwu of Han), led the expeditionary force into Yingchuan Commandery in April or May of 23 AD, a commandery to the northeast of Nanyang.
Page 247: Before the Battle of Kunyang, Wang Mang organized a gigantic army at Luoyang and had it deployed to Yingchuan Commandery to squash the rebellion there. They cornered Han troops and besieged them at the city of Yingchuan, yet Liu Xiu was able to escape and raise troops in the neighboring counties. On July 7, 23 Liu Xiu led the vanguard in the attack on Wang's troops outside the city, which allowed the defenders to pour out of the gates and attack simultaneously. Wang's army was totally defeated. This was the turning point in the war and skyrocketed Liu Xiu's reputation. Other good news: the city of Wan had fallen three days earlier on July 4. After Gengshi entered Wan city in triumph, trumped up charges were leveled against Liu Bosheng by a chieftain of the Nanyang gentry, so Liu Bosheng was executed; he was, after all, seen as a rival claimant to the throne.
Page 247-248: After the Battle of Kunyang, officials at Chang'an, including Liu Xin, plotted to overthrow Wang Mang, but their conspiracy was discovered and they were all either executed or committed suicide. However, even local administrators began to shift their loyalty to the new Later Han. As Han armies advanced towards Chang'an, the great clans joined the rebels in hopes of securing great booty and loot from the doomed city.
Page 248: By October 4, crowds of revolters broke through the northernmost gate on Chang'an's east wall. In a few hours they advanced all the way to the Weiyang Palace. On October 5, many of the inhabitants of the city joined the rebel cause; they forced their way into the palace. A fire burned many buildings, including the imperial harem. By dawn of October 6, an exhausted Wang Mang was taken to the Jian Tai (Terrace Bathed by Water) where a last stand was made. By late afternoon they were overrun and killed. Wang's head was decapitated and sent quickly to Wan City. It should be noted that all of this happened before the regular Han army even arrived at Chang'an on October 9, 23.
Page 248: After this, Luoyang (the second largest city in the empire) fell to Han forces. The Emperor Gengshi of Han decided to make it his new capital. Although all of Wang Mang's higher officials were either killed in the fighting, committed suicide, or were later executed, all of the other officials were pardoned and exempted by Gengshi, who needed officials to run his new empire. At this point, Emperor Gengshi controlled the most agriculturally rich region of the empire and ruled over 40% of the population of China.
Page 248-249: Emperor Gengshi sent Liu Xiu on an independent mission into the northern part of the North China Plain, which allowed Liu Xiu to stake out goals of his own. Meanwhile, Gengshi was unable to strike a deal with the Chimei. The Emperor Gengshi ignored them after he granted them marquisates; they broke with the Emperor Gengshi and returned to their forces.
Page 249: Emperor Gengshi made an unwise decision in 24 AD; he decided to move the capital to Chang'an. The Weiyang Palace was burned to the ground, yet the rest of the city was intact. Chang'an was located in the "land within the passes" (Guanzhong), a plateau which could be defended against major attacks, but once the enemy broke through the passes, the entire area became a trap. Thus was the fate of Wang Mang, and it too would be the fate of Gengshi. The chieftains realized this danger and opposed the move, yet the Nanyang gentry supported it (in order to isolate the emperor from the chieftains in order to enhance the prestige of their faction). Gengshi made up his mind, arriving at Chang'an on March 24, and stripped the opposing chieftains of most of their power, sending them away from Chang'an. This played right into the hands of the Nanyang gentry, and embittered the chieftains who still had military power and troops.
Page 249-250: Soon enough, Gengshi started losing his grip on the Great Plain of the fertile Yellow River, and was only recognized as emperor by 25% of the population (dropped by 40%). His territory became restricted to the lower Wei River valley. In the meantime, Liu Xiu commanded his own army on the North China Plain, controlled about 13% of China's population, and eventually broke with the Gengshi Emperor.
Page 250: In February or March of 25 AD, the Chimei reunited and resumed the attack on Han forces. Earlier, they had captured some descendants of Emperor Gao of Han while in Shandong, and of these was Liu Penzi (b. 11), who they established as a puppet emperor to legitimate themselves as following a competing Han line. They advanced on Chang'an, and so did an army of Liu Xiu from the north. Fighting broke out within the palace between the two competing factions, the Nanyang gentry and the military chieftains. After a month of fighting, the chieftains were forced to flee and joined the Chimei rebels.
Page 250: By October the Red Eyebrows entered Chang'an while the Gengshi Emperor escaped on horseback. However, he was captured by a former official and brought back to Chang'an in November or December. Emperor Gengshi formally abdicated and granted the imperial seal to Liu Penzi. For this, Gengshi was demoted to the status of king and spared for a short time while ordered to herd horses out in the country. It was there where he was finally disposed of by the surviving former chieftains who had him strangled out of spite. Meanwhile, the Chimei looted and terrorized Chang'an day and night.
Page 250-251: Even before Chang'an fell, Liu Xiu was proclaimed the Son of Heaven, the Emperor Guangwu of Han, on August 5, 25 AD.

The Later Han Dynasty

The Civil War

Page 251: When Emperor Guangwu of Han took the throne, there were eleven men in all (including him) who claimed the same title as Emperor; this did not even include a number of other smaller warlords. By November 5, 25 AD he accepted the surrender of Luoyang, entered the city on November 27, and by the end of the year controlled the North China Plain and inroads leading northwest. He learned from the mistakes of Wang Mang and Gengshi and did not occupy Chang'an; plus, Luoyang could be easily supplied from the Great Plain.
Page 251-254 (map on pages 252 to 253): By March of 26 AD, the Chimei had consumed all supplies at Chang'an and were forced to wander. They sacked and partially burned the city while also looting the imperial tombs. After they fled into the upper Wei River valley, they were defeated by the warlord Wei Ao, alongside being beaten by snowstorms and frost. The survivers turned back and by October reoccupied a terror-stricken Chang'an. Once again, they were forced to leave Chang'an in January of 27 AD, where they attempted to regain the Great Plain. However, they were surrounded by Guangwu's troops outside the passes and surrendered on March 15, 27 AD.
Page 254: Guangwu spent two years until 29 AD putting down various rebellions in his own consolidated territory, and from 26 to 30 AD, his Han forces subjugated the northern part of the Great Plain and the Shandong Peninsula. To pacify the stubborn warlord Wei Ao who ruled part of Gansu, Emperor Guangwu formed an alliance in 29 AD with another warlord of the Gansu Corridor, Dou Rong. There, the fighting lasted from then until 34 AD, until Wei Ao was finally defeated.
Page 254: Guangwu's greatest adversary was Gongsun Shu, who came from a great clan of the northwest. He was a former governor of Sichuan under Wang Mang's regime, but after his fall proclaimed himself King of Shu in 24 AD. In May or June of 25 AD, he proclaimed himself Emperor. His vast territory stretched from the Qinling Mountains of Shaanxi south to the Yangzi River and west to the Tibetan Plateau. His base was at Chengdu. Despite this large territory, he controlled only 7% of China's overall population.
Page 254-255: Gongsun Shu's advisors urged him to attack Guangwu while the latter was busy on all fronts, but Gongsun Shu was cautious and did not act. In the meantime, Guangwu even addressed Gongsun Shu as an "Emperor". However, things changed after 34 AD, and Guangwu was ready to fight Gongsun and his Empire of Shu.
Page 255: Below its gorges, Gongsun Shu had a mighty floating pontoon bridge with war towers stretched across the Yangzi River. On both sides of the shore this was connected to fortifications. In April or Mayy of 35 AD, Han naval forces assaulted this with a favorable wind from the east that sailed them fast upstream toward the pontoon bridge. They successfully burned the bridge down with torches. However, due to the difficult terrain, Han armies did not reach Chengdu until December of 36 AD. At that point, they had supplies for only one more week. The Han general prepared to retreat, but just then Gongsun Shu made a surprise attack on December 24, where he was wounded in the fighting and died that night. The next day Chengdu surrendered, making Emperor Guangwu of Han the master of China.
Page 255: During this entire fight, Guangwu and Gongsun waged a propaganda war against each other, with Gongsun claiming metal and white as the sequence to replace Wang Mang's earth element. Guangwu simply claimed that the fire element of Han had merely waned, and that both Wang Mang and Gongsun Shu were merely usurpers and imposters.

The New Imperial House

Page 256: When Wang Mang took the throne, he demoted all marquises to commoner status, but on January 26, 27 AD Guangwu began an effort to find their heirs and reinstate them as marquises. However, only 137 of these were reinstated by 37 AD, a figure which is a hundred less than existed in 5 AD. Instead of reinstating them all, he instated some of his own relatives as marquises.
Page 256-257: In regards to the Kings of the Han Dynasty, Emperor Guangwu restored many of the old kingdoms while creating another seven to be ruled by his relatives. From 34 to 35 AD, three of these kingdoms were discontinued after the death of their rulers. When the civil war ended in 36 AD, the emperor no longer needed their support.
Page 257: On April 1, 37 AD, Guangwu abolished all the kingdoms and demoted all the kings to marquises, except for three: Liu Liang, his paternal uncle, Liu Zhang, his nephew, and Liu Xing, another nephew, the latter two being sons of Liu Bosheng. However, the next day on April 2, 37 AD these three were demoted to the status of duke. Instead of making his sons kings like Western Han emperors, on May 13, 39 AD Guangwu made his sons dukes, except for the crown prince, the heir apparent. In the same year, his three eldest daughters were made princesses. In 41 and 45, his two youngest daughters were awarded the same rank. As early as 26 AD, Guangwu's elder sisters were made elder princesses. It was not until December 1, 41 AD that Guangwu elevated the status of his sons from dukes to kings. On June 21, 43 AD he elevated his nephews from duches to kings. With this, he slowly restored the Han imperial system of supporting immediate and close extended family.
Page 258: The Kingdoms of Eastern Han became concentrated within the Great Plain and Shandong Peninsula. In 2 AD there were twenty kingdoms, which was the same in 140 AD. However, the number of households under royal fiefs increased in those years from 1,353,000 households to 1,892,000 households.
Page 257-258: Bielenstein calls the reestablishment of kingdoms a retrograde step for Eastern Han; even though the kingdoms were stripped of real territorial power from 154 to 145 BC, the kingdoms continued to pose a threat (real or imagined) to central authority. It was because of this that no less than two of Guangwu's sons committed suicide after being charged with treason. One of these was Liu Jing, the full brother of the subsequent Emperor Ming of Han (r. 58–75), who Bielenstein asserts must have been demented, since he made open displays with shamans and physiognomists about plans to rebel and become emperor. Emperor Ming reluctantly sentenced his brother to death, whereupon Liu Jing committed suicide. The case of Emperor Ming's half-brother Liu Ying, King of Chu, was more serious. Liu Ying is known as the first proponent of Buddhism in China, sponsoring it in 65 AD. He was also interested in Daoism, alchemy, and the company of learned men. It was claimed that he sought immortality, and so was denounced in 70 AD when officials called for his execution. Emperor Ming did not want to be that severe, so he demoted his half-brother Liu Ying and exiled him to live south of the Yangzi River. However, Liu Ying committed suicide on his arrival there in 71 AD. It is recorded that thousands of his supporters were arrested and implicated each other under torture. Trials and executions for them did not end until June 2, 77 AD, when Emperor Ming's successor Emperor Zhang of Han.
Page 258: Another half-brother of Emperor Ming, Liu Yan, was accused in 73 AD of witchcraft and treason, which led to many executions, but Liu Yan was only transferred to a small kingdom, then a marquisate in 76 AD, and then back to a kingdom in 87 AD, dying in old age as a king.
Page 258-259: Guangwu abolished the fourteen grades of concubines and established only three hierarchic grades: honorable lady, beautiful lady, and chosen lady. Some of the old Western Han ranks were restored in later reigns. Empresses came from the honorable lady category, and they came from families which weren't just "blameless" as Bielenstein states, but from the most wealthy and politically powerful families of the day.
Page 259-262: The view that founding emperors were strong and virtuous while late emperors of a dynasty were weak and decadent is a biased viewpoint of ancient Chinese historians trying to twist reality to fit and justify the concept of the Mandate of Heaven. Closer scrutiny reveals that most often it was not the moral enfeeblement of the emperor which led to his downfall; it was political power struggle behind the scenes.

The Capital

Page 262: Emperor Guangwu chose Luoyang as his capital on November 27, 25 AD. The city had an area of 10.1 square kilometers (3.9 square miles) and was roughly rectangular, spare some points that jutted out and a long sloping curve to the eastern wall. As seen in the diagram on page 263, it's natural moat was the split Gu River, fed in part by the Yang Canal, the latter which allowed shipping to the capital from the east. Pumps and norias along the moat of the southern wall supplied water to the needy city.
Page 262: The city walls were made of temped (rammed) earth, while their remains still measure up to 10 m (32.8 ft) in height today. The wall had twelve gates The city had many walled wards within it, the streets forming a rough grid. There was the Southern Palace and the Northern Palace of the city, connected by an elevated and covered passageway, each palace being about 125 acres in area. The city boasted ministries and offices, an arsenal, shrines, two gardens, a granary, a (possible) market, and the residences of nobles and officials.
Page 264: Sprawling suburbs divided by wards were laid out beyond the city moat. With the city and suburbs included, the metropolitan area of Greater Luoyang was roughly 24.5 square kilometers (9.45 miles). Bielenstein estimates the population was about half a million. In the suburbs stood the Spritual Terrace, Bright Hall, and Academy. The latter had 30,000 students at its height. Two markets existed in the suburbs. Another granary also existed in the suburbs (for price stabilization).
Page 264: After the purge of the eunuchs in 189 AD, this fine city was looted for weeks in 190 AD, until it was finally destroyed on May 1, 190 AD. The Cao Wei dynasty had to rebuild the city from the ground up when it took over.

Borders and Neighbors

Page 264-265: The borders of Eastern Han differed little from Western Han. In the north, the Great Wall marked the finite Han realm; in the west, Han borders ended in wilderness where modern Tibet and Burma are today; in the south it stretched to what is now Vietnam; in the east it stretched to what is now North Korea and roughly as south as present-day Seoul. However, what is now Fujian was not even incorporated into the empire until the late 2nd century AD, and even then not by military means, but by gradual immigration of Han Chinese farmers. Even then, only one formidable Chinese town existed in all of Fujian, located at the mouth of the Min River (Fujian), serving as a port for shipping along the coast. A lot of the border territory allegedly controlled by Eastern Han was under nominal rule, and if not that, loose and semi-autonomous rule.
Page 265: Guangwu built a series of defensive walls and watchtowers in Shanxi to prevent the Xiongnu from penetrating far into the Great Plain, but the northwest became a near free-for-all for the Xiongnu. As seen in various edicts of Guangwu's reign, the government encouraged migration of borderland farmers back into the heart of Han Chinese territory.
Page 265: The conservative Xiongnu shanyu who reigned from 18 to 46 AD was a bitter enemy of the Han Dynasty. Before he died in 46, he willed it that his son should be the shanyu, but he died immediately after in that same year. His younger brother Puna (r. 46–83) took the throne instead, passing the hopeful Bi, the eldest heir in the generation after the conservative shanyu who died in 46.
Page 265-266: The dynastic struggle between Bi and Puna led to Bi's involvement in the pro-Chinese peace party amongst the Xiongnu. Puna made peace overtures to the Han, which would have rendered Bi politically neutralized, but Bi sent a Chinese agent of his to Guangwu to offer submission at the end of 46 AD. In 47, the ties between Bi and Guangwu's court were cemented, and Bi mustered his forces for war against Puna. On January 25, 49 AD he proclaimed himself the second Huhanye shanyu, thus distinguishing between Northern Xiongnu (led by Puna) and Southern Xiongnu (led by Bi). The two immediately went to war, yet the Southern Xiongnu were not as strong as their northern counterpart.
Page 266: In the Spring of 50 AD, Bi, or Huhanye shanyu now, greeted two Han Chinese envoys who required him to prostrate himself in a public ceremony. He hesitated at first, but then accepted, and for this was granted a golden imperial seal and valuable gifts. By the end of 50 AD, he took up residence in Meiji County in the northeastern Ordos Desert. He thus commanded the entire Ordos region, northern Shanxi, and parts of Gansu and divided them into eight tribal divisions. After this there was little Chinese immigration to these areas, and roving Xiongnu with their herds and hereditary chieftains filled the northwestern borderlands which were still nominally Chinese. It should be noted, though, that the first Huhanye shanyu accepted equal terms in the treaty of 51 BC before turning north to the Gobi Desert, yet this second Huhanye shanyu was vulnerable and lacked the military strength of the Northern Xiongnu who dominated the north. He was thus forced to accept a role of submission to the Han court and live within their bounds.
Page 267: Instead of launching an assault against the Northern Xiongnu with the Southern Xiongnu as Han allies who could return to the Gobi Desert and allow Chinese farmers to once again repopulate the northwest, Guangwu instead decided to keep the two Xiongnu realms split in half and contented himself with having the Southern Xiongnu within Han borders where they could be watched and made useful when the Northern Xiongnu attacked.
Page 267: As before, it should be noted that the Southern Xiongnu were required to send a princely hostage to the Han court, who was exchanged annually for another princely hostage. The Xiongnu leader was accompanied at Meiji headquarters by a Chinese official with a staff and some Chinese troops. Southern Xiongnu envoys annually attended Chinese New Year festivities at Luoyang to receive routine, standardized gifts to send back to the shanyu and his royal relatives.
Page 267-268: For the most part, the Southern Xiongnu retained their traditional customs and tribal organization. Envoys almost always represented the shanyu at the Chinese court; the first Southern Xiongnu shanyu did not visit Luoyang at all, while only two of his successors did in 107 and 216, respectively.
Page 268: It should also be noted that during this time the Southern Xiongnu fought constant engagements with the Northern Xiongnu. The Chinese government did not abandon its passive attitude to this until 73 AD, when they joined in on the attack against the Northern Xiongnu. This culminated in the great campaign of Dou Xian begun in 89 AD, when he and his allies finally routed the Northern Xiongnu after crossing the Gobi. Although they were defeated, the Southern Xiongnu remained on Chinese soil and could not be dislodged, while the former subjects of the Northern Xiongnu, the Xianbei and Wuhuan, simply filled the void and vacuum of power on the northern steppe.
Page 268: By 93 AD, the relationship between the Southern Xiongnu and Han became strained, as the two became more hostile to one another with limited cooperation, resulting in periodic open clashes. By the end of the 2nd century AD, the Southern shanyu occupied southern Shanxi, and it was from here, the heart of the Chinese empire, that the Xiongnu rose in rebellion against the Jin Dynasty in 308 AD. Bielenstein blames this largely on Emperor Guangwu of Han and his "short-sighted policy" of keeping the Xiongnu split instead of annihilating the Northern Xiongnu at the right time in and around 50 AD when he had the strength and opportunity to do so.
Page 268-269: One great outcome of the annihilation of the Northern Xiongnu in 89 AD was the Han Chinese reconquest of the Western Regions. After Wang Mang fell from power, the oasis city-states of that region were left to their own devices as China split into several polities. Guangwu had a chance to exploit pro-Chinese feelings in Yarkand; instead, he insulted and antagonized the King of Yarkand so deeply that he cut off all relations with China. Even when a delegation of sixteen states of the Western Regions came to Luoyang in 45 AD, this still did not persuade Guangwu to reestablish a Protectorate of the Western Regions. Loulan's requested alliance was also rejected by Guangwu, who wanted nothing to do with their affairs. Hence, the Tarim Basin was split into two spheres of influence: one dominated by Yarkand, the other by the Northern Xiongnu.
Page 269: A Chinese garrison was stationed at Kumul (Yīwúlú 伊吾卢 in Han records) along the route to the Turfan oasis when the offensive was made against the Northern Xiongnu in 73 AD. The next year in 74 AD the Protectorate of the Western Regions was reestablished. However, the new Protector General was killed by the states of the Western Regions in 75 AD and the Han government pulled its garrisoned troops out of Kumul in 77 AD. This all changed after the campaign of Dou Xian; with the Northern Xiongnu out of the picture, the Western Regions were once again ripe for the picking. The reconquest was thanks largely to Ban Chao, brother of the historian Ban Gu.
Page 269: Ban Chao was originally an imperial librarian, but in 73 AD distinguished himself as a junior officer in the attack on the Northern Xiongnu. He reported briefly to his commander, but then spent the next three decades in Central Asia. It was not until 92 AD that Ban Chao was named Protector General of the Western Regions, after he strategically gained control over the oasis states. He died in 102 AD, yet shortly after the office of Protectorate of the Western Regions was abolished in 107 AD. Officials of lesser rank acted as China's diplomats to Central Asia. By roughly the mid 2nd century AD, China lost its influence over the Western Regions.
Page 269-270: Wang Mang's conquest of the Kokonor (Qinghai) region was not followed up in the Eastern Han, as it remained out of their hands. Moreover, Tibetan tribes began increasing their presence in Gansu. The Tibetans mostly herded livestock, but they also engaged somewhat in sedentary agriculture. They were frequently abused and mistreated by Han authorities, so conflict was almost incessant between the two. The Tibetans often raided the Wei River valley because of this contention. In fact, in 108 and 111 AD the Tibetan raids reached as far as the Great Plain. A Tibetan chief even proclaimed himself Son of Heaven in 108 AD.
Page 270: Many Chinese farmers in the northwest simply abandoned their lands after continued pressure by the Southern Xiongnu and Tibetans, a migratory flood that was somewhat assisted by government evacuation. A lot of these immigrants moved beyond the Qinling Mountains and settled in Sichuan and Yunnan. The damage caused by the shifting of the Yellow River during Wang Mang's reign meant that many in the northeast also moved south. Northern China lost so much of its population that Guangwu acknowledged less administrators were needed to govern it, abolishing more than four hundred counties in 30 AD; it should be noted that this was one-fourth of all the counties which existed in 2 AD.
Page 271: The Yue (peoples) of the Red River Delta in Vietnam revolted against Chinese rule in 40 AD, led by the Trưng Sisters: Zheng Er and Zheng Ce. The latter proclaimed herself a Queen and controlled large parts of the countryside. Guangwu was slow to react, not calling forth a campaign until May or June of 42 AD. Ma Yuan (Han Dynasty) was given the command to suppress the rebellion (as 'General Who Calms the Waves'). When he reached southern China, Ma Yuan dispatched a fleet of supply ships along the coast while his land forces moved through the Red River Delta, yet he did not even arrive until early 43 AD. By April or May of that year, the campaign was a complete success and he had the two Trung Sisters decapitated after capture. Small pockets of resistance were finally all crushed by the end of 43 AD. Ma Yuan was intent on sinicizing the Yue peoples, so he melted down their ceremonial bronze drums (symbols of the chiefs' authority) and used this metal to create a large bronze horse statue which was presented to Emperor Guangwu in Luoyang during the fall of 44 AD.
Page 271-272: It should be noted that from 200 to 1 BC, there were only three uprisings of the Yue people, but from 1 to 200 AD there was a total of fifty-three uprisings which involved 21 of the 26 commanderies of southern China. This was due to the huge increase in their population. During the Western Han, few Han agricultural colonists moved to the southern regions and interacted with aboriginal peoples there, but during Eastern Han the Chinese settled and cultivated the south in large numbers, forcing the local peoples to largely assimilate into Han society and accept some of their cultural practices.
Page 272: In the Southwest, a number of tribes from Sichuan to Yunnan submitted to a loose Han rule during Eastern Han. To facilitate trade with India and peoples of Burma, the Han stimulated a trade route which corresponded with the later Burma Road. Trade missions from Burma and India came to the Han court via this route, although the Chinese interpreted these as tribute missions.
Page 273: QUOTE:

The great Later Han migration did not lead to a permanent, dense colonization of southern China or to real population growth. After the fall of the Later Han, the successor dynasties of the south had firm control over no more than areas adjacent to their capital and could not protect the Chinese settlers elsewhere within their nominal domains. Chinese colonization collapsed.

Population growth in Han China was retarded by a number of factors. Agricultural techniques, hygiene, and medicine were primitive in all parts of the country. Of greater importance, the crop yield in northern China was low; farmers could not support large families, and so resorted to infanticide. The sources leave no doubt that infanticide was a common practice. Abandonment of unwanted children, especially girls, meant a concomitant reduction in the birth rate. In southern China the situation was very different. Rice can feed large families, since this crop has a high yield, and the cultivation of it requires many workers. Small families were therefore an economic disadvantage. If the Later Han migration had been sustained and the demographic point of gravity had shifted to the south, national population growth in Chinam might have begun in the third century A.D. But with the collapse of colonization, the point of gravity stayed in the north for another half a millennium, and the factors which had there retarded population growth remained in operation.

Page 274: A much greater migration south occurred in the 7th and 8th centuries during the Tang Dynasty, and with the introduction of "early-ripening rice" in the Song Dynasty, the population doubled to 100 million. By the early 13th century, the population was 110 to 120 million, and has increased rapidly ever since.

Political Factions

Page 274: Although Han China was divided largely between the rulers and the ruled, the peasantry and the gentry, Han society was still relatively open. The gentry class was not closed or unchanging, and the most powerful families in the political realm often faced downfall from their high pedestal. At the local level, the lesser gentry controlled society and had the resources to educate their sons for official service. There was a fair degree of social mobility, not a rigid caste system.
Page 274-275: Out of all the great families of high officials and consorts that were prominent in Western Han, onle twenty some of these retained their significance in Eastern Han, while less than half remained vitally important. The rise of new clans under Wang Mang, the sweeping away of those, and the rise of new clans under Emperor Guangwu of Han shifted and changed the clan composition of the elite.
Page 275-276: Since the great clans sided with Emperor Gengshi of Han while he was on the throne, only lesser gentry sided with the future Emperor Guangwu, since they were unable to entrench themselves into higher social circles around Gengshi. Only two very prominent men later sided with Gengshi. One of these was Ma Yuan (Han Dynasty), who had a large following in the northwest. He did not join Guangwu until 28 AD, and even when he did, he was publicly candid about his decision: "In present times, it is not only the sovereign who selects his subjects. The subjects also select their sovereign." The other man was Dou Rong, who had become warlord of Gansu in 24 AD and did not join Guangwu until 29 AD when Guangwu had to entice him over to his side.
Page 276: With the ascension of Guangwu, his lesser gentry followers became the great gentry. Unlike the founder of Former Han who had one faction to adhere to, Guangwu had to appease several interest groups. These factions would supply the court with empresses, regents, and husbands of imperial princesses. The selection of the Later Han empresses was a serious political affair, as they mostly came from already impeccable families and wealthy clans.
Page 277: When Ma Yuan joined forces with Guangwu in 28 AD, he brought with him the allegiance of the Wei River valley, and when Dou Rong joined forces with Guangwu in 29 AD, this led to the incorporation of another large region (one which slightly overlapped with Ma Yuan's). After Dou Rong triumphantly entered Luoyang in 36 AD, three noticeable factions vied for power at court: The Nanyang gentry, the Ma Yuan faction, and the Dou Rong faction.
Page 277-278: With these three regional factions becoming the most prestigious, the northeastern gentry of the North China Plain felt left out of the political process, holding very few high offices. They almost rebelled in 26 AD due to this. In order to pacify them, he married Empress Guo Shengtong on July 10, 26 AD and made her eldest son the heir apparent.
Page 278: However, after the civil war came to an end, Guangwu was pressured to replace her with a woman from a gentry family from Nanyang, thus strengthening that faction. After much reluctance, Emperor Guangwu divorced Empress Guo Shengtong on December 1, 41 AD and replaced her with Empress Yin Lihua (who was born in 5 AD and had entered the harem in 23 AD). Unlike other Eastern Han empresses who emperor's decided to divorce, Guo Shengtong was allowed to live peacefully in the Northern Palace of Luoyang. It was not until August 20, 43 AD that Guo Shengtong's eldest son, the former heir apparent, was simply demoted to the status of a king. He was replaced by Empress Yin Lihua's eldest son Liu Yang, the future Emperor Ming of Han.
Page 279: While the Nanyang faction remained the most powerful, the Ma and Dou clans struggled for power over the other. Ma Yuan (Han Dynasty), an experienced commander who had fought Tibetan tribes to the southwest, volunteered for an expedition in 48 AD to quell a sudden aboriginal uprising in Wuling Commandery (northwestern Hunan). The Dou faction took this opportunity to sabotage his mission. They had several members of their faction accompany Ma Yuan on his campaign, and wrote letters back to the court complaining about Ma's alleged incompetence. Emperor Guangwu was made aware of this and ordered an investigation. Ma Yuan died a year later of fever, but this only increased the level of accusations made against him. Due to his tainted posthumous legacy of being demoted from a marquis to commoner, the Ma faction fell from power at court. The emperor refused to hear an audience of Ma's widow, children, and nephew who begged to have him placed in a proper burial. Only after six memorials was this wish granted. In 52 AD, Ma Yuan's nephew offered the emperor three of Ma Yuan's daughters (aged fifteen, fourteen, and thirteen) to live in the imperial harem. Emperor Guangwu approved of Ma Yuan's youngest daughter; Bielenstein writes that Guangwu, QUOTE: "may have come to realize that Ma Yuan ahd been treated unfairly. Being an accomplished politician, he had probably discovered that two factions are harder to manage than three." Emperor Guangwu died on March 29, 57 AD. His son Emperor Ming of Han had to deal with the two most powerful factions, the Nanyang gentry and the Dou party, but the Ma clan was rising once again.

Factions After Guangwu

Page 280: Emperor Ming of Han chose the daughter of Ma Yuan to be his empress on April 8, 60 AD, a setback for the Dou clan. However, Empress Ma (Ming) bore Emperor Ming no children and all of his nine sons were born to other consorts. He chose his fifth son, Liu Da (Emperor Zhang of Han), son of Consort Jia (and a first cousin of Empress Ma), to be his successor. Consort Jia did not become empress and instead made an agreement with Empress Ma so that the latter raised Liu Da. In return for this, Liu Da QUOTE: "came to look on her [Empress Ma's] relatives as though they were his own."
Page 280: Liu Da became Emperor Zhang of Han on September 5, 75 AD. He accepted two sisters of the Dou clan into his harem; these two were great-granddaughters of Dou Rong and also great-granddaughters of Emperor Guangwu (through their mother's side). The eldest sister became Zhang's consort on April 2, 78 AD; although reported otherwise, this prominence of Dou clan members must have disturbed Empress Ma. On May 23, 79 AD Emperor Zhang named his third son as his successor, this being Liu Qing (b. 78), a son of Consort Song who the now Empress Dowager Ma had introduced into the harem earlier with political intentions.
Page 281: Empress Dowager Ma had a firm alliance with Consort Song since the latter was a granddaughter of a sister of Ma's maternal grandmother. However, Empress Dowager Ma died soon after on August 16, 79 AD, which allowed Empress Dou (Zhang) to plot the downfall of Liu Qing. The latter was demoted to the status of a king on August 1, 82 AD and was replaced by Zhang's fourth son. Consort Song, along with her sister, were forced to reside at a prison hospital where they poisoned themselves. The Ma clan lost its power and the Dou clan stepped in, since it was Liu Zhao (future Emperor He of Han) who became heir apparent.
Page 281-282: Liu Zhao's mother came from the Liang family, a prominent clan of the northwest. His grandfather Liang Tong had been a supporter of Dou Rong during the civil war, and afterwards Emperor Guangwu rewarded Liang Tong with a marquisate. The Liang clan relied on the Dou clan for its political significance, and so joined the Dou clan in their defamation of Ma Yuan. After a while of political exclusion during Emperor Ming's reign, two Liang women entered the harem of Emperor Zhang in 77. The elder of these two concubines gave birth to Liu Zhao in 79, and became heir apparent by the mechination of Empress Dou. The latter raised Liu Zhao herself. However, the Liang were tired of being second to the Dou clan and challenged them, resulting in their temporary downfall in 83 AD with the two Liang concubines perishing (possible suicide), their father's execution, and their family's exile to northern Vietnam. It was not until Empress Dou died in 97 that the Liang clan came back to the fore.
Page 282: Liu Zhao became Emperor He of Han on April 9, 88 AD, but he was still a child. Empress Dowager Dou took over most of the affairs of state, but put in charge a powerful relative to help her: Dou Xian (d. 92). This was the same man who led the victorious campaign against the Northern Xiongnu in 89 AD, and on his return that year was made General-in-Chief on October 29. This title (i.e. General-in-Chief) was that given to the regents of the Eastern Han from this point forth. The revival of the regency was merely a historical coincidence, since a minor was on the throne. For 37 irregular years from October 29, 89 AD to September 22, 189 AD there was a total of seven regents appointed to look after public affairs.
Page 282: In 90, Dou Xian went on another campaign to further decimate the Northern Xiongnu. While he was gone, Emperor He of Han was "capped", or reached his majority, on February 25, 91 AD and planned with his eunuch palace attendant Zheng Zhong (d. 107) to rid the court of the Dou faction. General Dou Xian returned to the capital on June 11, 92 AD, but it was not until August 14, 92 AD that Dou Xian was stripped of his rank and titles on the accusation that he plotted to assassinate the emperor (which could have been true or false). Dou Xian and three of his brothers committed suicide, while supporters of the Dou clan, including historian Ban Gu, were executed. Other supporters were exiled to southern Guangdong. It was not until 109 AD that surviving members of the Dou clan were pardoned; Empress Dowager Dou was left unharmed and died naturally on October 18, 97 AD.
Page 283: Emperor He's first wife and empress, Empress Yin (He), ascended to the throne in 96 AD, but her family soon became at odds with Emperor He. He divorced Empress Yin on July 24, 102 AD and had her imprisoned on charges of witchcraft, although his motives seem purely political. She died in the palace jail, most likely from suicide. Her father, Yin Gang (陰綱) (who was the grandson of Emperor Guangwu of Han and Empress Yin Lihua) also killed himself, his family was exiled to Vietnam, and none of them were pardoned until 110 AD.
Page 283: Emperor He's second wife and empress, Empress Deng Sui, was the granddaughter of Deng Yu (d. 58), a native of Nanyang and follower of Guangwu. Deng Sui entered the harem in 96 AD and became empress on November 21, 102 AD.
Page 283: Emperor He died on February 13, 106 AD and left behind only two sons who were of undetermined mothers (their identities no doubt kept secret by the Deng clan). Neither of these sons were named heir apparent, so Empress Dowager Deng had the power to name one of them emperor. She skipped on the eldest (who suffered from some chronic illness) and named the younger one emperor, who was only an infant. This could also simply have been a political choice to keep herself in power longer.
Page 283: This infant Emperor Shang of Han died on September 21, 106 AD and within months of being placed on the throne. The adult Liu Qing, who had once been heir apparent in 79 AD, was skipped over (due to his older age) and instead his young son Liu Hu (b. 94) was made Emperor An of Han on September 23, 106 AD. With a young emperor installed, Empress Dowager Deng dominated the government.
Page 283-284: For a short time, Empress Dowager Deng's eldest brother Deng Zhi was appointed as regent from January 18, 109 to November of 110. However, the Empress Dowager utilized her relatives to a small degree.
Page 284: Empress Dowager Deng died on April 17, 121 AD. Since she had antagonized the Emperor An and many others, he called for the downfall of the Deng clan. On June 3, 121 AD the Deng clan was dismissed from office, stripped of title, demoted to commoner status, and exiled. The former regent Deng Zhi committed suicide along with many others.
Page 284: Emperor An married only one woman, Empress Yan Ji, a lady who was neither from Nanyang or from the Northwest; in fact, she came from a somewhat humble family. She was enthroned on June 1, 115 AD, yet she bore him no son. Instead, the honorable Consort Li bore a son with Emperor An in that same year. Empress Yan Ji feared for her position, and so she soon after had Consort Li poisoned to death. As the Yan clan came to prominence, Emperor An appointed Geng Bao as his regent on September 6, 124 AD. Geng was the brother to the wife of Emperor An's father. Geng came from a powerful northwestern clan rooted in the foundation of Eastern Han. Bielenstein asserts that he was chosen by Emperor An to counteract the rise of the Yan clan.
Page 284: The son born to Emperor An and Consort Li was named heir apparent on May 25, 120 AD, yet due to pressure by the Yan clan demoted this son to a king on October 5, 124 AD. Twenty high officials protested this act, but the decision was made final. Emperor An died on April 30, 125 without an official heir apparent. Empress Dowager Yan was now free to choose the next successor.
Page 284-285: She discussed with her brother which of Emperor Zhang's descendants were potential candidates to take the throne; all of them seemed unlikely, however, since they had all reached adulthood. A grandson of Emperor Zhang was finally chosen and enthroned on May 18, 125. The regent Geng Bao was removed from office on May 24; he soon after committed suicide. The new emperor, Liu Yi, had a posthumous name meaning "young" and was not counted as one of the emperors of Han by later historians; instead he was entitled Marquess of Beixiang. He died on December 10, 125, whereafter a coup took place to remove the Yan clan from power. One group of eunuchs supported Empress Dowager Yan, while another opposed her. On December 14 the latter group secretly rallied at the Northern Palace of Luoyang to meet with Liu Bao (b. 115), the only son of Emperor An, and on December 16 they rose up, slaughtered the opposing eunuchs, and proclaimed Liu Bao Emperor Shun of Han. By December 17 most of the civilian and military officials sided with Emperor Shun, while the surviving members of the Yan clan were executed or exiled to Vietnam. Empress Dowager Yan was not harmed; she was stripped of her imperial seal and sent to a detached palace where she died on February 28, 126.
Page 285: Emperor Shun had only one wife, Empress Liang Na, who came from the same northwestern Liang clan that earlier dominated the court. Liang Na was made a concubine in 128 and became royal consort on March 2, 132 AD. Liang Shang, father of Liang Na, was made regent on May 19, 135 AD. Liang Shang died in office on September 22, 141 AD and was replaced as regent just days later on September 28 by his eldest son (and emperor's brother-in-law) Liang Ji.
Page 285: Empress Liang Na bore Emperor Shun no sons; however, Shun did bear a son with Lady Yu in 143 AD. This child, Liu Bing, was named heir apparent on June 3, 144. When Emperor Shun died on September 20, 144, Lady Yu was not harmed by Empress Dowager Liang Na, since the Liang clan was firmly entrenched and Yu posed no real threat. The son of Shun and Yu became Emperor Chong of Han, but he died soon after on February 15, 145 AD. Empress Dowager Liang now had the power to chose the next heir. She and her regent brother Liang Ji agreed that a great-great-grandson of Emperor Zhang should be chosen, the young Liu Zuan (b. 138) who was made Emperor Zhi of Han on March 6, 145 AD but died on July 26, 146 AD. Yet another child, Liu Zhi (b. 132), was enthroned on August 1, 146 AD as Emperor Huan of Han.
Page 285: Emperor Huan was married to Empress Liang Nüying on September 30, 147; the latter was a younger sister of Empress Dowager Liang Na. Even after the Empress Dowager died on April 6, 150 AD the Liang clan stayed firmly in power with this marriage and the continued regency of Liang Ji. The latter dominated the court even after Emperor Huan's capping and reaching of majority on February 26, 148.
Page 285: Fortunes changed for the Liang clan when Empress Liang Nüying died on August 9, 159 AD. Regent Liang Ji became fearful of his position and immediately had political enemies executed. Emperor Huan used this as the excuse to topple the Liang faction. On September 9 the Emperor gave orders for the defense of the palace and had over a thousand guards surround the residence of Liang Ji. The latter was stripped of his title and he committed suicide that day (along with his wife). Members of his faction were executed and the clan fell from power completely; Huan appointed no other regent.
Page 286: The Deng clan of Nanyang had one more shot at national importance during the Eastern Han. Emperor Huan's second wife, Empress Deng Mengnü, was enthroned on September 14, 159 AD. However, Huan divorced her on March 27, 165 AD due to accusations of drunkenness and witchcraft. The Deng relatives were executed or demoted. The Dou clan of the northwest had another stab at fortune as well. Emperor Huan married Empress Dou Miao on December 10, 168 AD. Emperor Huan died on January 25, 168 AD, whereupon she became the Empress Dowager Dou Miao and appointed her father Dou Wu (d. 168) as regent.
Page 286: Since Huan had no sons and named no successor, Empress Dowager Dou Miao had full control over the successorship. She came to an agreement with her regent father that a great-great-grandson of Emperor Zhang should be chosen (once again shafting adult descendants), the young Liu Hong (b. 156); he became Emperor Ling of Han on February 17, 168. Soon after assuming the throne, a major crisis rocked the foundation of the Han Dynasty.

The Role of the Eunuchs

Page 287-288: The eunuchs did not have a prominent role at court until the overthrow of the Dou faction in 92 AD, which was orchestrated by Emperor He of Han and his eunuch palace attendant Zheng Zhong. The latter was made a marquis in 102 for his services. He died in 114 yet his adopted son was allowed to inherit his marquisate. When Emperor Shun of Han came to the throne and eliminated the Yan clan, eighteen leaders amongst the eunuch faction who supported Shun were granted marquisates. On March 18, 135 AD Emperor Shun created a law allowing all eunuchs to pass on noble titles and fiefs to adopted sons. When Emperor Huan of Han overthrew the Liang faction in 159 AD, he needed the support of the eunuchs to do so.
Page 288: The civil servants and professional officials at court resented the power of the eunuchs. They disliked those who were castrated and believed eunuchs in general were self-centered and greedy for political power. However, the Han Dynasty was never fully controlled by eunuchs, as it had a fairly decent system of "checks and balances" as Bielenstein calls it. Policy decisions were made by the Emperor in concert with his bureaucratic officials. The eunuchs often formed rival factions, but more often than not they loyally supported the throne (since their survival depended on it).
Page 288: The balance of separate powers was slightly disturbed when Emperor Huan (during the latter half of his reign) increased the power of the emperor and eunuchs over the bureaucracy of career officials. This situation was feared by the regent Dou Wu, who wanted to preserve the old system of a powerful regency and so plotted to overthrow the eunuchs. Instead he sealed his fate in what would be the second of the Disasters of Partisan Prohibitions (黨錮之禍).
Page 288-289: Dou Wu sought allies amongst the students at the Imperial Academy (Taixue) and allied himself with the Grand Tutor (Taifu) Chen Fan, the nominal head of the civil service. On October 24, 168 AD Dou Wu's supporters wrote a memorial to the throne indicting eunuch palace attendants Cao Jie and Wang Fu and calling for their arrests. Dou Wu retired to his headquarters that evening and intended to send the memorial to the court in the morning. Due to his carelessness, the eunuchs gained hold of his memorial and discovered his plot during the night. Cao Jie and Wang Fu awoke Emperor Ling of Han and rushed him to the main audience hall while guards were dispatched to defend the palace and arrest Dou Wu. The latter realized what had happened and made haste to the Northern Army's barracks, where the empire's professional soldiery defended the capital region. He mustered several thousand troops and marched them to the southern gate of the Northern Palace. On the morning of October 25 an army of equal size commanded by the eunuchs faced each other at the gate, but Dou Wu's troops slowly deserted him, leaving him defenseless within a few hours. He then committed suicide. His comrade, the Grand Tutor Chen Fan, managed to break into the palace through another gate, but was captured and executed. The Dou clan was put to death or exiled to Vietnam, except for Empress Dowager Dou Miao, who was placed under house arrest in the Southern Palace and died on July 18, 172 AD. From this point until 189 AD, the eunuchs held supreme power at court.
Page 289: The great consort clans of Yin, Ma, Dou, Deng, and Liang had all lost their power by 168, as the eunuchs became the most dominant force at court. Emperor Ling's first wife, Empress Song (Ling), came from a more humble family of the northwest that did not match the prestige of earlier consort clans. Emperor Ling's second wife, Empress He (Ling), came from a clan of meat butchers. Bielenstein notes that the eunuchs had an obvious role in choosing the empress; they chose empresses from weak clans so that consort families could not challenge them.
Page 289-290: After their victory in 168, the eunuchs were frequently granted promotions, titles, and gifts. It was not until a massacre of more than 2,000 eunuchs (including the Ten Attendants) on September 25, 189 that their power and the QUOTE: "institutional balance of the Han governmental system was destroyed, and the last emperor became the captive of ambitious generals."