Chinese History: A New Manual 0674067150, 9780674067158

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Chinese H istory A New Manual

Harvard-Yenching Institute Monograph Series 84

Chinese History A New Manual Endymion Wilkinson

Published by the Harvard University Asia Center for the Harvard-Yenching Institute Distributed by Harvard University Press Cambridge (Massachusetts) and London

2013

After graduating in Oriental Studies from Cambridge University (BA 1964) Endymion Wilkinson taught at the Peking Institute of Languages (1964-66). He gained a Princeton PhD in Chinese history in 1970 and lectured at London University before joining the External Relations Depart­ ment of the European Commission in 1974. During postings in Tokyo, Brussels, Bangkok, and Beijing he continued to research and publish on Chinese history (and also on Japan). After serving as EU Ambassador to China (1994-2001) he returned to academe to complete the present work.

Book design, composition, and indexes by the author Fonts: Linotype Georgia Pro Light and Microsoft FangSong

© 2012 by the President and Fellows of Harvard College Printed in the United States of America Second, revised printing The Harvard-Yenching Institute, founded in 1928 and headquartered at Harvard University, is a foundation dedicated to the advancement of higher education in the humanities and social sciences in East and Southeast Asia. The Institute supports advanced research at Harvard by faculty members of certain Asian universities and doctoral studies at Harvard and other universities by junior faculty at the same universities. It also supports East Asian studies at Harvard through contributions to the Harvard-Yenching Library and publication of the Harvard Journal o f Asiatic Studies and books on premodern East Asian history and literature. Library of Congress Cataloging-in-Publication Data Wilkinson, Endymion Porter. Chinese history : a new manual / Endymion Wilkinson. ~ [New edition], p. cm. Includes bibliographical references and index. ISBN 978-0-674-06715-8 (alk. paper) 1. China—History—Handbooks, manuals, etc. I. Harvard University. Asia Center DS735.W695 2012 951-dc23 2011285309 Last figure below indicates year of this printing 22 21 20 19 18 17 16 15 14 13

PREFACE Given the length of Chinese recorded history and given the language requirements, there are moments when students may feel that the journey is impossibly long. I certainly felt that way from time to time when I began to study Chinese history 50 years ago. Like so many others I kept notes on books read, references consulted, and solutions to problems encountered. These notes were published in a preliminary form in 1973 (Harvard East Asian Monograph 49). The Research Guide (for that was the ambitious title chosen) was reprinted many times, but by the 1990s a complete overhaul was needed. Accordingly, I produced a fresh manual in 1998 (and re­ vised and enlarged it in 2000). It soon became the top selling title in both the Harvard East Asian and the Harvard-Yenching Institute monograph series. But the fields of Chinese history and ar­ cheology have continued to change rapidly during the last decade, and it is these developments that the New Manual seeks to capture. What could be revised and brought up to date of the previous edition (2000) has been incor­ porated into the New Manual, with a farther one million words of content added in the process. As a result, the manual is now 1.5 million words in length (roughly the equivalent of nine 400page monographs) and over three times the length that it was in 2000. However, by using a slightly larger trim size, a two-column format, and a smaller typeface it has still been possible to print it in a single volume and thus keep the price down. The aim of the New Manual is to introduce students of Chinese civilization and history to the different types of transmitted, excavated, and artifactual sources from prehistoty to the twen^^ century. Accordingly, it examines the context in which the sources were produced，preserved, and received, as well as the problems of research and interpretation associated with them, and includes a selection of the best, most up-to-date secondary works. Because of the central role that the writing of history played (and continues to play) in Chinese politics and culture, special at­ tention is devoted to the strengths and weaknesses of Chinese historiography. The New Manual comprises 14 book-length parts subdivided into a total of 76 chapters. Books 1-9 present the sources by subject: (1) Language; (2) People; (3) Geography and the En­ vironment; (4) Governing and Educating; (5) Ideas and Beliefs, Literature, and the Fine Arts; (6) Agriculture, Food, and Drink; (7) Technology and Science; (8) Trade; and (9) Historiography. Books 10-12 present pre-history and the sources by dynasty or group of dynasties (sources for the first half of the twentieth century are in Book 13). Book 14 is on historical bibliography. For those not familiar with the terminology and conventions of Chinese manuscripts, printing, and book culture this might be a good place to start. Digital resources are covered throughout. Where possible information is tabulated (there are 274 tables and in-text boxes). As an aid to navigation readers will find 6,000 cross references that identify full citations and related or more detailed information on a topic. The indexes con­ tain over 20,000 entries. It is my hope that the Nèu; Mmi/a/ will succeed in demonstrating that the road to a better understanding of Chinese civilization and history is not as daunting as it sometimes appears.

A cknow ledgm ents Sl Thanks It took 12 years to complete Chinese history: A new manual. The task would have been impossi­ ble without the support and encouragement that only great humanities centers such as Harvard or Peking University can offer. I should like to thank Ezra Vogel, Peter Bol, Elizabeth Perry, and William Kirby and their colleagues for welcoming me to Harvard in 2001. At Peking University, my thanks go to Deng Xiaonan 邓 小南 and the three successive deans of the history department， Wang Tianyou 王天有， Niu Dayong 牛大勇， and Gao Yi 高毅. While researching and writing the New manual I incurred many debts. First to those who commented on draft chapters or sections: Alexander Akin, Patrick Bonneville, Cheng Yi’nong 成 一农 ， Mark Elliott, Rowan Flad, Hou Xudong 侯旭东 ， Lei Wen 雷闻 ， Victor Mair, Nathan Sivin， Takashima Ken’ichi 高嶋謙一， Eugene Wang, Wu Jiang 吴 疆， and Zhao Dongmei 赵 冬梅.

ACKNOWLEDGMENTS & THANKS

Others very kindly sent me drafts of their own work in progress or answered my questions at length. They include Asami Yöji 淺見洋二， Thomas Barfield, Tim Barrett, Tom Bartlett, Christopher Beckwith, Peter Bol, Dan Boucher, Cynthia Brokaw, William Callahan, Lucille Chia, Hoklam Chan, Cheng Yi’nong 成一农 ，W. South Coblin, Tim Connor, Deng Xiaonan 邓 小南， Albert Dien, Ronald Egan， David Goodrich, Charles Hartman, Hashimoto Keizö 橋本敬造， Hu Pingsheng 胡平生， Huang Xingtao 黃兴 涛 ， Huang Xingzong 黃興宗， Elisabeth Kaske， Kawashima Shin 川島真 ， Johannes Kurz, Jack Langlois, Diana Lary，D. C. Lau， Li Boqian 李伯谦 ， Li Hongwei 李宏为 ，Wai-yee Li, Liu Zongdi 刘 宗迪， Michael Loewe， Eugenio Menegon， Thomas Mullaney， Susan Naquin, Peng Gang 彭罔I)，Irina Popova, Ren Li 任立， Boris Riftin， Anthony Saich， Nicolas Standaert, Hans Ulrich Vogel, Geoffrey Wade, Wang Guangyue 王光越， Wang Qisheng 王奇生， Wang Zhenzhong 王振忠，Pierre-Étienne Will, John Wong, Silas Wu， Robin Yates, Zhang Sheng 张 升， Zhang Zhilian 張芝聯, Zhou Ailian 周愛蓮， and Zhu Fenghan 朱凤 翰. During a six-month period in 2004,1 was fortunate to have a research assistant, Lee Tsonghan 李宗翰. If only he could have continued his excellent work longer, but he häd a PhD thesis to finish. I am very grateful to Ren Li for preparing the rough drafts of the two longest indexes (Names and Books). Many readers of the previous edition sent their questions or suggestions for improvements. Of these the most assiduous was Greg Bosco, who over the course of several years sent more than 2,000 comments. My hearfelt thante for the patience and ad\âce of Kristen Wanner at the Publications Center, Harvard University Asia Center and her team of proof readers. Thanks also to William Hammell for checking the orthography of the Japanese citations. At the end of the day I alone am responsible for any errors that may still remain.

Endymion Wilkinson September 28,2012

N ote

to the

S econd , R evised P rinting

The second printing contains an additional 50 important works or editions most of which ap­ peared between October 2012 and March 2013. Several sections have been revised and one, now titled Chinese as a Global Language? (§1.4) has been rewritten. Finally, over 400 typos and a number of careless errors have been corrected. My thanks to Robert Graham for guiding the second, revised printing to ä successful completion and to Guo Jue 郭廷 and Chen Tian 陈 甜 for alerting me to several mistakes. EW March 4, 2013

Contents P reface v A ckn o w led g m en ts C ontents vii Boxes xiu Tables x v Style-S h eet xuii

v

I ntroduction A.1 Periodization A.2 Dynasties A.3 Absolute Dates A.4 Long Periods Of Time A.5 Grade-School History A.6 European Chronologies A.7 Dynasties of Japan, Korea & Vietnam

l

3 9 10 11 12 12

1 L anguage 1 History of the Chinese Language 1.1 Introduction 1.2 Pronunciation, Tones & Rhymes 1.3 Dialects 1.4 CJhincse as a Global Language? 2 Script & Calligraphy 2.1 Words, Syllables, Characters 2.2 Evolution of Script Forms 2.3 The Components of a Character 2.4 Types of Character 2.5 The Number of Characters 2.6 Learning the Characters Today 2.7 Word Families 2.8 Studying Classical &Ancient Scripts 2.9 Variant Characters 2.10 Calligraphy 3 Translation from Chinese 3.1 Introduction 3.2 Borrowings From Chinese 4 Transcription of Chinese 4.1 Introduction 4.2 Systems Based on Nanjing Mandarin 4.3 Systems Based on Beijing Mandarin 4.4 Hanyu Pinyin & its Antecedents 5 Translation into Chinese 5.1 Introduction 5.2 Chinese Borrowings 5.3 Pidgin English

Dictionaries 6.1 Introduction 6.2 Dictionaries of Classical Chinese 6.3 Dictionaries of Modern Chinese 6.4 Comprehensive Dictionaries 6.5 Dialect Dictionaries 6.6 Special-Purpose Dictionaries 6.7 Dictionaries of Japanese

73 73 77 85 87 92 92 93

2 P eople 17 17 27 28 31 32 32 33 34 35 36 38 40 41 42 47 48 48 55 58 58 59 59 60 62 62 64 72

7 Family & Kin 7.1 Introduction 7.2 Relationship Terminology 7.3 Addressing or Referring to Relatives 7.4 Fictive Use of Relationship Terms 7.5 Relationship Terms: Sources 7.6 Non-Kin Terms of Address 7.7 Nonverbal Salutations 7.8 Family Instructions, Wills, Testaments Personal Names 8.1 Historical Stages: Overview 8.2 Clan, Lineage & Family Names 8.3 Given Names 8.4 Commoners’ Given Names 8.5 Selecting a Given Name 8.6 Childhood Names 8.7 Ranking Names 8.8 Courtesy Names 8.9 Alternative Names 8.10 Nicknames 8.11 Office Names & Other Forms of Address 8.12 Illegitimate or Adopted Children 8.13 Name Taboos 8.14 Many People, Few Names 8.15 Bibliography 8.16 Foreign Names in Chinese 8.17 Manchu, Mongol, Tibetan &Tiirkic Names 8,18 Vietnamese, Korean &Japanese Names

95 95 100 103 104 104 105 107 110 112 113 114 118 123 128 129 133 136 138 140 141 141 141 143 144 145 145 146

CONTENTS 1

8 9 0 1 3 3 4 5 7 9 0 0 0 2 4 4 5 5 5 5 5 5 5 5 6 6 7 7

1 1 1 1 1 1 X 1 1 1 1 1

3 3 5 6 9 7 7 7 7 7

1

9 Biography 9.1 Commemorative Writings 9.2 Official Résumés 9.3 Lfez/man 列傳 9.4 Chronological Biographies 9.5 Biographies in Local Gazetteers 9.6 Biographical Collections 9.7 Biographical Reference Works 9.8 Diaries, Autobiographies & Letters 9.9 Biographical Topoi 9.10 Stages of Life 9.11 Age 9.12 Size Matters 9.13 Secondary Studies

1 1 1 1 1 1 1

1 1 3 9 9 9

1

7 7 8 9 0 0 0 2 2 9 9 9 9 0 0 0 0 0

X 1 X 1 1

3 3 7 9 3 0 0 0 0 1

2 2 2 2 2

13 Environmental History 13.1 Climate Change 13.2 Natural Disasters & Famines 13.3 Distribution of Wild Animals 13.4 Forests 13.5 Loessification & Desertification 13.6 Water Control 13.7 Land Use & Environmental Impacts 13.8 Journals

X

12 Zhongguo, China & the Chinese People 12.1 Zhongguo 12.2 China & the Chinese People

2 2 2 2 1

4 4 7 9 9 1 5 8 8 9

1 1 1 1 2 2 2 2

2 2 2 2 2 2 2 2 2 2

2

15 Toponyms 15.1 Structure, Types, Euphony, Numbers 15.2 Descriptive Toponyms 15.3 Possessive Toponyms 15.4 Commemorative Toponyms 15.5 Commendatory Toponyms 15.6 Folk-Etymology Toponyms 15.7 Offensive &Taboo Toponyms 15.8 Manufactured Toponyms 15.9 Alternative Toponyms

2

14 Maps, Geographical Studies & Gazetteers 14.1 Maps 14.2 Geographical Studies 14.3 Local Gazetteers 14.4 Historical Atlases

Regional Names Province Names Short Names for Provinces & Cities Imperial Mausolea Names Street Names Rivers, Lakes, Seas & Oceans Toponym Difficulties How to Identify Historical Places Readings

16 Urban History 16.1 Capitals 16.2 City Construction 16.3 City Maps 16.4 City Life & Soundscapes 16.5 State of the Field

230 232 235 235 236 237 239 243 246 247 247 248 249 249 250

4 Governing & E ducating

1

3 Geography & E nvironment

0 0 2 5 8 8 8 8 8 8

11 Clothing & Hairstyles 11.1 Textiles 11.2 Clothing Styles 11.3 Hairstyles 11.4 References

1

10 Women’s Histories 10.1 Women’s Names 10.2 Pre-Qin 10.3 Women in Imperial China 10.4 Research Guides

15.10 15.11 15.12 15.13 15.14 15.15 15.16 15.17 15.18

viii

17 Central & Local Government 17.1 Central Government 17.2 Yamen 17.3 The Metropolitan Region 17.4 Local & Border Administration 17.5 Recruitment, Ranking & Emoluments 17.6 Official Titles 17.7 The Ups & Downs of an Official Career

253 253 258 259 259 265 266 267

18 Titles &Names of Rulers 18.1 Title in Office 18.2 Honorifics 18.3 Temple Titles 18.4 Royal & Imperial Posthumous Titles 18.5 Insulting Titles 18.6 Bad Last Rulers 18.7 Imperial Name Taboos 18.8 Self-Designations of Rulers 18.9 Addressing the Ruler 18.10 Referring to a Ruler 18.11 Era Names 18.12 Imperial Family 18.13 Tables of Chinese Rulers

268 268 269 269 270 271 271 272 275 275 275 276 276 277

19 Titles of Nobility & Elite Posthumous Titles 19.1 Titles of Nobility 19.2 Elite Posthumous Titles

277 277 278

20 Official Communications 20.1 Edicts 20.2 Hortatory Edicts & Slogans 20.3 Memorials 20.4 Lateral Communications 20.5 Gazettes 20.6 Aids for Documentary Chinese

280 280 280 283 284 284 284

21 Census & Taxation 21.1 Registers & Policies 21.2 Census Terminology 21.3 Land Taxation & Services

285 285 286 288

CONTENTS

21.4 21.5 21.6 21.7 21.8

Demographic Change Reactions to Population Growth Population in the Republic Population in the PRC Demographic Studies

26.5 Research Tools 27 Foreign Relations 27.1 The Chinese World Order 27.2 Sino-Steppe Relations 27.3 Naming the Barbarians 27.4 Border Regions & Foreign Peoples 27.5 India 27.6 The West & Westerners 27.7 The Yi Controversy 27.8 Foreign Sources on China

289 289 290 290 291

22 Education & Examinations 22.1 Old Ways of Learning the Characters 22.2 Examinations for Officialdom 22.3 Preparations for the Exams 22.4 Publishing the Exam Results 22.5 How Efficient Were the Examiners? 22.6 Sources

292 292 299 301 301 301 302

23 Law 23.1 23.2 23.3 23.4 23.5 23.6 23.7 23.8 23.9 23.10 23.11 23.12

Introduction Shang-Sui Law Codes: Tang-Qing Administrative Laws & Regulations Punishments Cases Customary Law Guides & Handbooks Law in Fiction Law in the Twentieth Century Journals Website

305 305 307 309 310 311 312 312 313 313 313 314 314

24 War 24.1 24.2 24.3 24.4 24.5 24.6 24.7 24.8 24.9 24.10 24.11 24.12 24.13 24.14 24.15

Wars, Campaigns, Battles & Sieges Uprisings & Rebellions Foreign & Civil Wars: 1840-1949 Strategic Topography Military Statistics Rhetoric & Reality Military Terms The Art of War Recruitment & Military Exams Army Organization Military Technology to Late Qing Great Walls Military Provisions Sports & Games Primary Sources on the Military

314 314 317 318 318 319 321 322 323 326 327 328 329 331 331 334

25 Migration & Travel 25.1 Internal Migration 25.2 Becoming Chinese 25.3 External Migration 25.4 Travel & Travel Literature 25.5 Travel: Titles by Period

336 336 337 338 339 341

26 Minorities 26.1 Languages 26.2 Written Sources: Minority Languages 26.3 Ethnoarcheology 26.4 Anthropology & Ethnology

341 341 342 344 344

344 345 345 347 349 355 358 358 359 362

5 Ideas, Beliefs , Literature & Fine A rts 28 The Confucian Classics 28.1 Introduction: Intellectual History 28.2 Ethics in the Three-Character Classic 28.3 Biographies of Confucius 28.4 Formation of the Confucian Canon 28.5 Classification of the Classics 28.6 Apocryphal Texts 28.7 Commenting the Classics 28.8 Stone-Carved Classics 28.9 Printing the Classics 28.10 Translating the Classics 28.11 Reference Works

30 Literature 30.1 Introduction 30.2 Poetry 30.3 General Anthologies 30.4 Collected Works of Individuals 30.5 Literary Criticism 30.6 Literary Quotations 30.7 Guides & Research Tools 30.8 Bibliographies of Translations 31 Vernacular Literature & Folklore 31.1 Vernacular Literature 31.2 Folklore

365 365 367 367 368 371 371 372 373 374 375 376 378 378 379 380 384 394 395 395 401 401 401 404 406 407 409 409 410 411 411 414

32 Fine Arts 32.1 Painting, Portraits, Sculpture & Forgery 32.2 Seals 32.3 Ceramic Inscriptions 33 Architecture 33.1 Fengshui 33.2 Building Construction 33.3 Furniture: From Mats to Chairs 33.4 Imperial Parks &Villas

415 415 421 422 422 422 423 425 426

29 Religion 29.1 Introduction 29.2 Common Religion 29.3 Daoism 29.4 Buddhism 29.5 Islam 29.6 Zoroastrianism & Manichaeism 29.7 Christianity &Judaism

ix

CONTENTS

33.5 Inscribed Landscapes 34 Music 34.1 Outline 34.2 Research Tools

428 430 431 432

38.10 Magical &Auspicious Numbers 38.11 Numerological Mnemonics 38.12 Number Codes & Riddles 38.13 Wrong Numbers 38.14 Common Causes of Conflision 38.15 Misleading Statistics 38.16 Sources on Chinese Mathematics 39 Astrology, Astronomy & Calendars 39.1 Astrology &Astronomy 39.2 The Solar Calendar 39.3 The Sexagenary Cycle 39.4 Months, Xun , Weeks & Days 39.5 Calendrical Difficulties 39.6 Imperial Almanacs 39.7 The Taiping Calendar 39.8 Buddhist, Muslim & Other Calendars 39.9 Twentieth-Century Calendars 39.10 Calendars in Japan, Korea &Vietnam 39.11 Recording Years 39.12 Dates &Their Conversion 39.13 Chronologies & Calendrical Concordances 39.14 Events & Event Mnemonics 39.15 Festivals & Holidays 39.16 Fate Calculation 39.17 Primary & Secondary Sources 40 Timekeeping 40.1 Introduction 40.2 Divisions of the Day: Shang & Zhou 40.3 The 100-Mark System 40.4 The Curfew & the Night Watch 40.5 The 12 Double-Hour System 40.6 Telling the Time (Han to Qing) 40.7 Neighboring Countries 40.8 Matching 100-fe 刻 with 12-Cherî 辰 40.9 Qing Reforms 40.10 Republican Time 40.11 Time in the Japanese Empire 40.12 Time in the Peoples Republic 41 Medicine 41.1 Excavated Texts 41.2 Transmitted Works 41.3 Longevity Techniques 41.4 Bibliography 41.5 Modern Studies

6 A griculture , F ood & D rink 35 Agriculture 35.1 Agricultural Archeology 35.2 Early Almanacs 35.3 Agricultural Treatises 35.4 Research Tools 36 Food & Drink 36.1 Ten Keys to Chinese Cuisine 36.2 Prehistoric Diet 36.3 Zhou to Han 36.4 Han 36.5 Han to Tang 36.6 Song 36.7 Ming-Qing 36.8 Commoners 36.9 Salt 36.10 Sugar 36.11 Beverages 36.12 Tea 36.13 Dairy Products 36.14 Opium &Tobacco 36.15 Regional Cuisines 36.16 Restaurants 36.17 Methods, Implements & Inventions 36.18 Naming Chinese Dishes 36.19 Food & the Language of Love 36.20 Primary Sources 36.21 Modern Research Tools & Studies

433 433 436 436 438 440 441 442 442 443 444 445 445 447 447 449 449 450 453 453 455 457 458 462 463 463 464

7 T echnology & S cience 37 The Historical Context 37.1 Priorities &Approaches 37.2 Science & Society 37.3 7ïa叩 o叩 Kicn’uni 天工開物 37.4 Priority of Invention 37.5 Science and Civilisation in China 37.6 Research Tools 37.7 The Transfer of Modern Science 38 Numbers & Statistics 38.1 Base 10 38.2 The Earliest Numbers 38.3 Cardinal Numbers 38.4 Ordinal Numbers 38.5 Extremely Large Numbers 38.6 Extremely Small Numbers 38.7 Fractions 38.8 Approximate Numbers 38.9 Hyperbolic Numbers

467 467 468 470 471 473 475 477 480 481 481 481 482 483 483 484 484 484

485 487 488 433 489

489 491 492

492 494 496 498 501 502 505 505 507 507 509 519 521 522 524 528 530 532 532 533 533 535 537 539 540 540 540 541 542 542 543 543 544 547 548 549

8 T rade T opics 42 Weighing &Measuring 42.1 Terminology of Weights & Measures 42.2 Pre-Qin Weights & Measures 42.3 Han to Early Qing Weights & Measures 42.4 Historic Values 42.5 Weighing & Measuring Instruments 42.6 Cultivated-Land Measures 42.7 Special Measures x

551 552 552 554 556 556 557 558

CONTENTS

42.8 Treaty-Port Weights & Measures 42.9 Weighing & Measuring 42.10 Twentieth Century Reforms 42.11 Sources, References & Studies 43 Money & Prices 43.1 Money 43.2 Prices 44 Notes on Industry &Trade 44.1 Industry 44.2 Internal Trade 44.3 External Overland Trade 44.4 Maritime Trade 44.5 Official Supervision 44.6 Marine Archeology

558 559 562 563 564 564 572 574 574 574 577 580 584 589

9 H istory 45 Modern Histories, Guides & Databases 45.1 Modern Histories 45.2 Guides & Readers 45.3 Databases & Encyclopedias 46 Sources, Genres & Historiography 46.1 Primary & Secondary Sources 46.2 Archives 46.3 Published Archival & Other Sources 46.4 Private Documents 46.5 Main Genres of Historical Writing 46.6 Historiography 47 Official Records & the History Office 47.1 Overview 47.2 Court Annalistic Works 48 Annals 48.1 Chunqiu 春秋 &Zhushu Jinian 竹書紀年 48.2 Annals: Han to Tang 48.3 Zfz/zf 7bng;ïcm 資治通鑑 48.4 Continuations of the Zizhi Tongjian 48.5 Gtogmuft'綱目體 48.6 Continuations of the Gangmu 48.7 Simplifications of the Gangmu 48.8 Annals Written in the Song & Later 49 Standard Histories 49.1 Overview 49.2 Origins & Later Developments 49.3 Table of the Histories 49.4 Printed Sets of the Histories 49.5 Main Editions of the Histories 49.6 Abbreviations & Excerpts 49.7 Studies, Supplements & Reference Tools 49.8 Treatises 49.9 Who Read the Histories? 49.10 Evaluation of the Histories 49.11 References & Further Readings 49.12 The Language of the Histories 50 Topically Arranged Histories

592 592 594 597

51 Digests of Government Institutions 51.1 Hufyao 會要 & Hu沾 an 會典 51.2 Shftonp 十通

645 645 646

52 Miscellaneous Histories 52.1 Introduction 52.2 Pre-Qin&Han 52.3 End of Han to Tang 52.4 Tang-Yuan 52.5 Ming-Qing

648 648 649 649 649 649

53 Biß 牵 記 53.1 Development of the Genre 53.2 Biji Databases & Indexes 53.3 Biji Fiction 54 Popular Perceptions of History 54.1 History Dramatized 54.2 Informal History

650 650 651 651 652 652 653

10 P re -Qin

598 598 600 602 602 603 603 608 608 610 612 612 614 615 617 617 619 620 620 620 621 622 625 627 629 630 631 634 636 642 644 644 644

55 Archeology 55.1 Chinese Archeology 55.2 The Current Archeological Scene 55.3 Archeological Science 55.4 Research Tools

656 656 658 659 660

56 Prehistory 56.1 Homo Erectus 56.2 Neolithic Cultures 56.3 Prehistoric Signs & Symbols 56.4 Sage Kings & Cultural Heroes 56.5 Ancient Chronology 56.6 Doubting Antiquity 56.7 Recent Chronological Studies 56.8 Sources & Studies of Myths

662 662 662 665 671 673 675 676 677

57 Xia-Shang 夏商 57.1 Xia 57.2 Shang 57.3 Shang Oracle-Bone Inscriptions 57.4 Regional Early Bronze Age Cultures

678 678 679 681 687

58 Zhou 周 58.1 Periodization Terminology Defined 58.2 Bronze Inscriptions 58.3 Inscriptions on Bone, Jade, Pottery & Stone 58.4 Warring States Chiijïan 楚簡 58.5 The Chu Silk Manuscript 58.6 Zhou Transmitted Texts 58.7 Later Sources on the Pre-Qin 58.8 Zhou Archeology 58.9 Zhou Research Tools

688 688 689 692 693 695 695 698 699 699

11 Q in -W udai 59 Qin-Han 秦漢 59.1 Main Sources (1): S/zÿî•史記 59.2 Main Sources (2): Hcms/îi/ 漢書 xi

703 704 711

CONTENTS

59.3 Main Sources (3): Hoii-Hans/iu 後漢書 59.4 Other Important Historical Sources 59.5 Other Transmitted Sources 59.6 Excavated Sources 59.7 Archeology & Inscriptions 59.8 Xiongnu 59.9 Research Tools 60 Wei-Jin, Nanbeichao 魏晉南北朝 60.1 Main Historical Sources 60.2 Other Textual Sources 60.3 Documents on Bamboo & Wood 60.4 Documents on Paper 60.5 Archeology & Inscriptions 60.6 Research Tools

728 730 732 733 734 734 734

61 Sui-Tang, Wudai 隋唐五代 61.1 Main Historical Sources 61.2 Other Textual Sources 61.3 Dunhuang & Turfan Documents 61.4 Archeology & Inscriptions 61.5 Foreign Sources 61.6 TheTürks 61.7 The Early Tibetan Empire 61.8 The Uighur Empire 61.Ç Nanzhao 南紹 61.10 Research Tools 61.11 Bohai 61.12 Wudai Shiguo 五代十國 Primary Sources

736 736 738 742 747 749 749 750 750 •751 751 752 752

713 715 715 717 722 726 727

65.2 Other Important Sources 65.3 Archives

65.4 Archeology & Inscriptions 65.5 Foreign Sources 65.6 Research Tools 66 Qing 清 66.1 Introduction 66.2 Archives & Records 66.3 Main Historical Sources 66.4 Other Important Sources 66.5 Archeology & Inscriptions 66.6 Foreign Sources 66.7 Research Tools

800

801 803 804 806 807

808 832 836 853 855 859

13 E arly T wentieth Century 67 The Republic of China 中華民國 C1912—1949) 67.1 Archives 67.2 Books 67.3 Newspapers & Periodicals 67.4 Economy & Society: Sources & Statistics 67.5 Biographical Data & Dictionaries 67.6 Creative Literature, 1900-1949 67.7 Warfare, 1912-1949 67.8 Published GMD Documents 67.9 Selection of Published CCP Documents 67.10 Twentieth Century Taiwan 67.11 Tibet 67.12 History of Hong Kong 67.13 External Relations 67.14 Japanese Sources on China, 1895-1945 67.15 Foreign Archival Sources, 1840-1949 67.16 Visitors to the Republic, 1912-1949 67.17 Historic Sites 67.18 Research Tools 68 National Studies & National History 68.1 Liang Qichao & the New History 68.2 Pragmatist Historians 68.3 Marxist Histories, 1924-1979 68.4 Historical Writing in China, 1980s-

12 S ong-Q ing 62 Song 宋 62.1 Main Historical Sources 62.2 Other Textual Sources 62.3 Archeology & Inscriptions 62.4 Foreign Sources 62.5 Research Tools 63 Liao,Jin， Xixia 遼金西夏 63.1 Liao: Introduction 63.2 Liao: Main Historical Source 63.3 Liao: Other Sources 63.4 Jin: Introduction 63.5 Jin: Main Historical Sources 63.6 Jin: Other Sources 63.7 Xixia: Introduction 63.8 Xixia: Main Sources 64 Yuan 元 64.1 The Mongols 64.2 Main Historical Sources 64.3 Other Important Sources 64.4 Archeology & Inscriptions 64.5 Foreign Sources 64.6 Research Tools 65 Ming 明 • 65.1 Main Historical Sources

792

755 755 758 765 766 766 768 769 769 770 771 771 772 772 773 775 775 779 780 783 784 786 788 789

861 862 866 866 870 875 882 882 885 885 886 887 888 888 888 891 894 895 895 898 899 899 899 900

14 B ibliography 69 From Bamboo Slips to Silicon Chips 69.1 Bamboo 69.2 Silk 69.3 Paper 69.4 Woodblock Printing 69.5 Movable-Type Printing 69.6 From Sutra Binding to Thread-Binding 69.7 Terminology of Woodblock Printing 69.8 New Printing Techniques 69.9 Readings on the History of the Book 69.10 Computer-Generated Fonts 69.11 Stone Inscriptions

xii

903 903 908 908 910 911 912 913 916 917 918 918

CONTENTS

70 Aspects of the Book 70.1 Rare Books 70.2 Recovered Books 70.3 Forged Books 70.4 Authors & Editors 70.5 Textual Criticism 70.6 Book Titles 70.7 Prefaces & Colophons 70.8 Page Layout 70.9 Punctuation 71 Collecting & Cataloguing 71.1 Libraries & Collectors 71.2 Library Classification 71.3 Library Catalogues 7 2 没 to Qucmsftu四庫全書 72.1 Terminology of the Siku Quanshu 72.2 Editing the Siku Quanshu 72.3 Contents of the Seven Siku Exemplars 72.4 Banned & Destroyed Books 72.5 Evaluating the Siku Quanshu 72.6 E-Siku 72.7 没 /cu Quansfei 四庫全書薈 要 72.8 Rare Books from the Siku 72.9 The Siku Catalogue

921 921 921 922 922 923 924 927 927 927 928 928 936 940 945 945 945 947 948 949 950 951 951 952

72.10 Continuations of the S iku Catalogue 72.11 Siku Supplements & Indexes 73 Lefs心 類 書 & Co叩 s/zu叢書 73.1 Leishu 73.2 Congshu 74 Indexes & Concordances 74.1 Introduction 74.2 ICS Indexes 74.3 Harvard-Yenching & Other Indexes 75 Modern Libraries, Publishers & Bookstores 75.1 Modern Library Classification Schemes 75.2 China 75.3 Taiwan 75.4 Japan 75.5 The United States, Europe & Russia 75.6 Publishers & Bookstores 75.7 Locating Books &Abstracts

952 954 955 955 962 965 965 966 967 968 968 969 970 971 973 975 976

76 Keeping Up To Date 76.1 Introduction 76.2 Chinese Secondary Sources 76.3 Japanese Secondary Sources 76.4 Western Secondary Sources

978 978 979 983 985

List of Publishers Name Index Book Index Database Index Subject Index

991 995 1031 1101 1103

B oxes 1

2 3 4 5

6 7

8 9

10 11

12 13 14 15 16 17 18 19

20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50

19 20

The M anner of Speaking The Term s BazTîua 白話 & Wenyan 文言 Guanhua in Popular Literature Fangyan i r i Defined The Ideographic Myth The Components of Chinese Characters The Total.Num ber of Characters in General Use Origins of Variant Characters Translating Nam es & Titles in the 幼 ÿï 史記

25 28 - 29 32 34 38 43 50

The Story of the Drunken Jie Five Sacred M ountains Classical Prose Styles îVenxi/cm 文選 Genres Intaglio & Relief Foot Rule & Fengshui Imperial Mausolea Over-W riting Inscriptions How “Chinese” W ere Pre-Tang Chinese Dishes?

66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94

151 1 5 2 -5 3 160 161 172 172 187 188

Pigtails Red Guards & Long H air Generics as Prefixes in Early Toponyms 2 1 5 -1 6 216 From Sandbanks to Continents 216 Seven Types of Toponym 220 Prom oting Cities in the Southern Song 229 Im proving Beijing Lane & Village N am es 230 The N ine Regions in the Yugong 244 Place-Name Dictionaries Compared 257 Left & Right in Official Titles 257 Etymology & Layout of Yamen Duties of Qing Local Yamen Financial Assistants 263 264 Public O rder Below the County Struggling to Advance in Officialdom 268 270 G rand Progenitor & Other Temple Titles 287 Place of Registration & Occupational Status Historic Land Tax & Corvée Systems 288 Xfaoxiie 小學 293 297 Scribal Literacy in the H an Dynasty The Speed of Ancient Armies M assacres in Sichuan & Yangzhou

55 56 57

65

Coming of Age Age at Death Height & Power: Zhang Cang 張蒼 & His Progeny The Buddha’s Physical Appearance

M arching in Step Campaigning Emperors The Length of the Long Walls The Steppe

58 59 60 61 62 63 64

58 Transcription or Transliteration? 58 N on-Standard O rthographies for Chinese N am es 66 Terminological Standardization 73 The Chinese for “Dictionary” 76 Mosaic Dictionaries & Historical Thesauri 7 7 -7 8 Modern Dictionaries 79 The Title of the 說文 84 The First Bilingual Dictionary of Classical Chinese 91 The Printing of D a/ 欠an-PVJa Jïfen 大 漢 和 辭典 •112 Su Shi’s 蘇拭 N am es 127 Zhu Yuanzhang’s 朱元痒 Ancestors 131 小名 小字 in the Song 137 Gong 公 & Z i 子 140 ßi’ehao 別號 Paintings Duplicate Biographies in the 24 Histories Eulogistic Biographies

51 52 53 54

95 96 97 98 99

319 321

100

xiv

The Five Flavors Im ported Foods: H an to Tang Barbarian Dishes: H an to Tang 茶（ CTia, Te) Chinese Morality, W estern Utility Lucky & Unlucky N um bers The Solstices & the Equinoxes 曆 Defined Adjusüng the Calendar for Political Reasons W ords for Year Ancient Zodiacs Clepsydras East & W fôt Divisions of the Night W atch For W hom the Bell Tolls Qing Clocks Classification in the Bencao G angm u 本草綱目 Girth Measures The Chinese Mile Arbitrary Tax Conversion Ratios Capacity-W eight Equivalences for Rice Boxing the Compass Prim ary Sources Classified by Media Books Printed on the Backs of Documents Documents Preserved in Compilations Official Historical Records The Final Year of the Zuoz/iucm 左傳 The Title of the ZizM 7bn 〇;ïan 資治通鑑

326 328 330 348 353 379 404 405 421 422 426 429 442 442 444 444 453 477 486 494 5 0 2 -3 5 0 3 -4 509 518 534 536 5 3 6 -3 7 541 545 554 554 5 6 0 -6 1 561 582 600 602 602

609 613 616 6 1 8 -1 9 The Term Ganpm u 綱目 The 7bng/ïan G angm u 通鑑綱目 in Europe 6 1 9 -2 0 Mao Zedong, the Zizhi Tongjian & the Histories 6 2 9 -3 0 656 Tom b Robbers 662 Peking Man Pioneers 6 6 3 -6 4 Sources of Chinese Jade Ba-Shu 巴蜀 Scripts Claims of Early Origins of Chinese Characters

670 670

The Tom b of Fu Hao 婦好 The Term 甲骨文

681 681

101 102 103 104 105 106 107 108 109 110 111 112 113

Dragon Bones 682 Alternative Story of Oracle-Bone Discovery 682 The First Empires of India &China 703-4 The Rise &Fall of Qin 703-4 The Style of the Two Tang Histories 737 The Buddhas Bone 747 Song, Liao, Jin &Xixia Calendrical Discrepancies 768 Ancestors of the Xixia Founder 773 Felt Tents 776 Naming the Ming Dynasty 789 The Year the Qing Dynasty Ended 808 Signing &Witnessing Contracts &Treaties 822-23 Zheng Chenggong 鄭成功 825

114 115 116 117 118 119 120 121 122 123 124 125

The Qing History Office Tomes in Tombs Wood as Stationery in Rome &Japan Documentation Studies The Tianyi ge 天一閣 Library， Ningbo The Unreliability of Book Statistics Total Number of Characters in the Siku Quanshu The Costs of the Siku Quanshu The Origins of Hw.汇 Six Pre-Twentieth Century Chinese Indexes Pre-OPAC Catalogues Sinology

832 904 906 924 931 934 947 947 964 965 978 985

Tables 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36

Japanese Periodizations of Chinese History 1 The Conventional List of Dynasties (Pre-Qin) 3 The Conventional List of Dynasties (Imperial China) 4 The Twentieth Century 4 Japan: Prehistory &Historical Periods &Eras 13 Korea: Main Dynasties &Governments 14 Vietnam: Main Dynasties &Governments 15 Stages of the Chinese Language 18 Main Branches of Sinitic (First Century CE) 29 Regional Dialects: Early Twentieth Century 29 The Sacred Edict in Different Styles &Dialects 30 Main Script Forms 33 Modern Typefaces 34 Components of Composite Characters 34 Xu Shen’s 許慎 Six Types of Character 35 Three Types of Character 36 The Number of Characters 37 Characters in Pre-Qin Works 37 Characters in Han & Later Works 37 Eighty High Frequency Characters 39 Easily Confused Characters 40 The 柔 Word Family 41 Misprints in the Zhonghua S/iÿï 史記 44 Tang Non-Standard Characters 44 Chinese Borrowings in English 56 Foreign Borrowings in Chinese Categorized 66 Yan Fu’s 嚴復 Superseded Neologisms 70 71 Examples of Borrowings From Japanese Earliest Occurrence of Words 90 Typical Contents of Ming-Qing Genealogies 97 Chinese Descriptive Relationship Terms 100 Nine Generations on the Father’s Side 101-2 Chinese Generational &Collateral Indicators 102-3 The Chinese Naming System: Zhou 113 The Chinese Naming System: Han to Republic 114 The Current Chinese Naming System 114

37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72

XV

PRC Popular Given Names, 1949-79 Given Names of Commoners in the Song Commoners’Names in the Çz•叩 清 實錄 Childhood Names (Xiaomzrzg 小名）

123 126 128 130 小 名 小 字 132 Some Typical Courtesy Names 137 Ranking Courtesy Names 137 The Number of Extant Biographies 149 Provincial &City Biographical Dictionaries 155 English-Language Biographical Dictionaries 156 The Stages of Life 160 171 Seventeen of the Tallest People in the Histories Gender Breakdown in the Four Histories 178 The Lexical Influence of Textiles 180 Province Names 233-34 The Many Names of Beijing 240 Local Administrative Units, 221 BC-2001 CE 260 Local Administrative Units &Their Heads 261 Top Ten Provincial-Level Officials in the Late Qing 261 Ranked Two-Character Posthumous Titles 279 Posthumous Titles Starting with Wen 文 279 The Historical Population of China 289 The Qing Examination System 300 Punishments & Levels of Decision (Tang-Qing) 312 The Size of Steppe Armies 320 322 Influence of Military Vocabulary Sino-Tibetan Languages in China 341 Indigenous Peoples &Countries in the Histories 356 Expurgating Äiz/zz'/iz 日知錄 360 370 The Stoarzjï叩十三經 （13 Classics) 371 The Classics Branch in the Siku Classification Contents of the Taishö Canon 386 389 Lay Believers 401 The literature Branch in the Siku Classification 402 Main Genres of Poetry Wenxin Diaolong Main Genres 408

TABLES

73 74 75 76 77 78 79 80 81 82 83 84 85 86

87 88

89 90 91 92 93 94 95 96 97 98 99 100 101 102

103 104 105 106 107 108 109 110 111

Song Huizongs Art Collection 416 Sanshan Wuyuan 427 Five-Phases Theory Correspondences 468 Chinese Numerals 482 Extremely Large Numbers 483 Extremely Small Numbers 484 Divisions of the Tropical Year: The 24 Solar Terms 495 Sexagenary Graphs 496 Sexagenary Cycle 496 Plant &Seasonal Names for Months (Xia calendar) 499 Phases of the Moon 499 Days of the Month 501 Calendrical Coventions &Common Confusions 501-2 Ways of Writing 2013 in East Asia 507 Modem Japanese Era Names 508 Counting Years 509 Man/iao 年號 Abbreviations 514 Jupiter Stations &Counter-Orbital Jupiter 516 Stems & Five Colors, Branches & 12 Animals 518 Year Dates: Alternative Forms 520 Beginnings & Endings of Years 521 Festivals & Holidays in Late Imperial China 525 Republican Revolutionary Memorial Days 526 Divisions of the Day at the End of the Shang 533 Chinese Hours in Imperial Times (12 c/ieri 辰） 538 The Compass Names for the 24 Hours 539 Fractions of an Hour 539 Weights &Measures: Pre-Qin 553 Main Measures: Han-Qing 554 Weights &Measures: Han-Qing 555 Historic Values of Official Weights &Measures 556 The Mu 畝: Official Historic Values 557 Area Measures Used in Taiwan 558 The Value of One Jïn 金 568 Subdivisions of a Tael 568 Subdivisions of a Silver Dollar 569 Nautical Units of Measure 584 Archives &Other New Sources 601-2 The History Branch (S/h加史部 ） in the S汝 603

112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149

The Standard Histories Works Printed by the Guozi Jian, 988-1086 Printing of Sets of Standard Histories, Song-Qing The Eighteen Histories with Treatises ifufyao 會要 Tongdian ilH- Contents /üe 通志二十略 Contents Wènxi'an ton冰 ao 文獻通考 Contents The T'en 7b叩十通 Synonyms for Bÿï 筆記 Historical Novels Neolithic (8000-2000 BCE) Legendary Rulers &Culture Heroes Dates of Xia, Shang &Zhou First Months of Early Calendars The Five Sections of the Shiji Shiji Group Profiles The Shiji in English, French & Russian Translation Dynastic Names &Dates Wuhu Shiliuguo 五胡十六國 The Five Dynasties The Ten Kingdoms (902-79) Ming Emperors &Era Names Qing Emperors &Era Names Book Production to Seventh Century CE Book Production (Seventh Century to Present) Bibliographic Classification in the Hanzhi 漢志 Standard History Book Catalogues, Supplements Zheng Qiao &Sun Xingyan Book Classifications Terminology of the 没 /eu Quans/iu 四庳 全書 The Seven Sets of the Siku Quanshu Number of Tides in the Siku by Branch Citations in the Quans/zu The Four Branches in the Siku Quanshu Heaven, Earth &Man Lezs/ui 類書 Classification Systems Genres in the ÜTushii t/z’cherzg 古今圖書集成 The Gujin Tushu Jicheng

626 627 629 635 645 646 646 647 648 651 653 663 671 676 700 706 707 710 729 729 753 753 788 806 907 909 937 941 943 945 946 948 950 953 956 956 959 960

S tyle S heet (SS) The style you choose will depend on what readers you are writing for. For example, the manual assumes some knowledge of the Chinese language and therefore uses Chinese names of institutions and Chinese abbreviations for them. So, instead of saying, M the Second Historical Archives of China,” the Chinese abbreviation， Ershiguan 二史馆 is generally used (with the characters in brackets given at first occurrence). Naturally， the full formal Chinese name (Zhongguo di-er lishi dang’anguan 中国 第二历 史档 案馆 ） and its füll English translation are given in the list of abbreviations. If you are writing for people with no knowledge of Chinese, then the full English name of institutions, books, or journals would be essential at first appearance and thereafter their English short forms. Take basic decisions, such as whether to follow the humanities or the social sciences citation format, at an early stage. The costs of time and energy in making a switch half way through â project can be enormous. Whichever you choose, avoid redundant features, such as informing your readers every time that you cite a book published by the Shanghai guji publishing house that it is located in Shanghai by repeatedly writing Shanghai: Shanghai guji or by providing full citations in both the end notes and in the bibliography. In the final editing of the New manual I found the Chicago manual o f style useful. But despite its effort to cover foreign languages, it hardly begins to address the choices faced by someone writing a scholarly article, book, or thesis in English about Chinese history. Hence the present style sheet (including the problems of combining scriptio continua Chinese with word-spaced English text [§SS.4]).

SS.l Hanyu Pinyin Orthography Personal and place names, special terms, titles of books and articles and quotations are all given in Chinese characters. These are trans­ cribed using Hanyu pinyin as a rough guide to pronunciation. Subsequent citations within a section or chapter are usually in pinyin only. Pinyin is not provided for quotations longer than four or five characters. For the history of the different systems of transcription of Chi­ nese into foreign languages, including pinyin, see Chapter 4. Pinyin orthographic rules were officially promulgated in 1988 and adopted as a national standard in 1996 (GB/T 16159). They have probably been most effective in standardizing the way per­ sonal names and administrative place names are written. But they are not yet strictly followed either within or outside China, especial­ ly for capitalization and word breaks. The reasons are clear: Chinese script itself does not distinguish between capital and lowercase letter forms (in general, I capitalize only the first word of book titles and any proper nouns). Also, even if most people accept the rule to write words as one unit, opinions often differ as to what constitutes a lexical unit and hence where the breaks should come. Should it be Dacidian or Da cidicm for 大辞 典？Ming shi (or Ming Shî), or for 明史？On the whole, I follow the standard dictionary of pinyin orthography (Xïn/îua p/nxz'e dd/an 新华 拼 写 词 典 )， except for its practice of capitalizing every word of a title. In order to avoid ambiguity in searches, library catalogues (ineluding those of the National Library of China and the Library of Congress) put a space between each syllable (e.g.，Z)a d eftan, Affnp shi). It is a practice that should be avoided in most other contexts, because it ignores the existence of polysyllabic words, some of which have been around for centuries, if not millennia. The official rules are conveniently available at the website Pinyin info: http://www.pinyin.info/index.html. There are links to Yin Binyong (1990), which contains many examples. The entries in the ABC Chinese-English compréhensive dictionary (§6.3.3 #1) provide a consistent application of pinyin orthography. Appendix 1 of this dictionary also contains an English translation by John Rohsenow of the rules, which are here summarized: The word is taken as the basic spelling unit, e.g.，朋 友 （ friend) is written penyyou, not peng-yoi/ or peng you and 图 书 馆 is written tushuguan, not tu-shu guan. Structures of two or three syllables that express an integral concept are written together as one word, e.g.，对 不 起 （ excuse me) is duibuqi without hyphens. Terms of four or more syllables are divided on the basis of word boundaries or juncture, e.g” 环 境 保 护 规 划 （ environmental protection plan) is huanjing baohu guihua. Titles of pre-1912 books and other publications of two characters, in wïiich the last is a generic, such as 左專，史記 ， or 明史 are

run together: Zuozhuan, Shiji, Mingshi. Titles of three characters in which the last is a generic, such as 清 史稿，紅樓夢，日知 are vsritten in the pattern 2 + 1: Qingshi gao, Honglou meng, Rizhi lu (if you were using title capitalization then the third word would be capitalized). The same practice is in general fol­ lowed for other trisyllables, such as official titles or toponyms: Buzheng shi 布 政 使 （ not Buzhengshi), Taihe dian 太 和 殿 （ not Taihedian). Trisyllables in modem Chinese， for example, 国 务 院 or 地方志 are written Guowuyuan and d 〖 /anpz/n, not Guowu yuan and Hyphens may be used to link words in order to facilitate reading and understanding, e.g.，秦 漢 史 （ History of the Qin and Han) is Qin-Han shi and (the abbreviation for huanjing baohu î f 境保护 ） is /zuan-6ao. Avoid excesses, such as applying the hy­ phens of Wade-Giles to Hanyu pinyin (as /man -力 6ao-/ui). Prefixes and suffixes are written as one word with the nouns they qualify, e.g., I'J (vice-minister) is fubuzhang, not fit buzhang and M ^ (table) is zhuozi, not zhuo zi. Position words after nouns are written separately, e.g.，山 上 （ on the mountain) is shan shang. However, ftised expressions such as 地下（ underground) are written as one word: (iixi’a , not d z ü Personal names are written with the family name first and the given name as one word, e.g .，顧炎武 is Gu Yanwu， not Gu Yan-wu. Both family name and given name are capitalized. The only ex­ ceptions are when authors have published their own names in a foreign script with a hyphen〔see §SS. 10 #15). For some exam­ ples of the inconvenience of using non-standard orthographies to write Chinese personal names, see §5.1, Box 11. Titles and other forms of address are written as ä separate word and are neither capitalized nor italicized, e.g., 毛 主 席 （Chairman Mao) is Mao zhuxi, not Mao Zhuxi, Mao Zhuxi, Mao zhuxiyor Maozhuxi. Note that there are many examples of titles becoming an integral part of the epithet by which emperors and others are commonly known, in which case epithet and title are fused, e.g” 漢 武 帝 (The martial emperor of tlie Han dynasty) is Han Wudi, not Han Wu di. Toponyms are written as one word with the jurisdiction or topographical feature following as a separate word, e.g.，洞庭湖 〔 Dongting Lake) is Dongting H u ; 湖 南 省 （ Hunan Province) is Hunan Slieng (in the manual only the name is capitalized [§SS.2 #4]). However, when it is not necessary to call attention to the generic suffix, for example in the names of temples, mountains, rivers, villages, or small towns, the two can be written as one word, e.g” 王 村 （Wang village) is Wangcun, not Wang Cun ; 周口店 is Zhoukoudian， not Zhoukou Dian ; 报 國寺 (Baoguo temple or Baoguosi); on translating place names, see §3.1.4. An apostrophe is inserted between two vowels only in cases that otherwise could lead to ambiguity, e.g” 西 安 （ provincial capital

of Shaanxi) is Xi’an， not Xian and not Xi-an. But note that 第二 is di-ery not dier (see next rule). The ordinal classifier di- is written with a hyphen between it and thq number, e.g.，第 一 （ first) is df-yz.. Numbers from 11 to 99 are written as one word ，e.g.，九 十 九 （ 99) is jiushijiu, not jiushi jiu. Numbers and noun classifiers are written separately, e.g.，两 个 人 (two people) is /zanp pe re/7; —大 碗 饭 （a big bowl of rice) is da wan fan. G B /T 16159.1996. Hcmyu z/iengc!/a 力ben guize 汉 语 拼 音正词 法基本 规 则 （ Basic mies for Hanyu pinyin orthography). X/n/îiza pz.nxi.e cW an 新华 拼 写 词 典• Shangwu yinshuguan cishu yanjiu zhongxin 商务 印书 馆 辞 书 研 究中心. comp. Shangwu. 2002. Yin, Binyong. 1990. Chinese romanization: pronunciation & orthography (English version of his //an yu he z/zen夕cz/a 汉 语 拼 音和正词 法)• Mary Felley, tr. Sinolingua.

index is under the pinyin form (in this case, Yang Liansheng). Yang Lien-sheng is also listed, but only to refer the reader to the main entry. In certain rare cases it has become customary to alter pinyin in order to distinguish two places with identical pinyin transcrip­ tions, e.g., Shaanxi W instead of Shanxi to distinguish it from Shanxi 山西 • Apart from the names of these two provinces, an­ cient kingdoms that are written the same way in pinyin are distinguished in the manual by adding the characters (Han 漢 and Han 韩 ； Wei 魏 and Wei 威) ，not, as is sometimes done, by al­ tering the pinyin (Hann 韩 instead of Han to distinguish it from Han 漢 ； Wey 威 instead of Wei to distinguish it from Wei 魏). Tone marks are required by the pinyin rules and they are certainly useful for language textbooks, but elsewhere they run the risk of serving as a visual distraction. For this reason they are left out of the manual.

SS.2 Exceptions in the Manual to Pinyin Rules

55.3 Chinese & Japanese Characters

Each word of English names of Chinese institutions is capitalized, but not their pinyin names. For example, the institute of higher learning in Shanghai known as 华 东 砵 范 大 学 （East China Normal College) appears in pinyin as Huadong shifan daxue (not Huadong Shifan Daxue). A title, or proper name that appears in a tide, starts with a capital letter, thus ïVenyuan g e qiicmshü 文淵閣四庫全書 （the Wenyuan ge copy [edition] of the Siku quanshu). Literary and historical genres are not normally capitalized, either in pinyin or in translation: for example, collected works • 别 集） or veritable records (s/iz/iz 實錄). • The jurisdiction or generic in toponyms is often left out for famous places. If it is given, it is usually not capitalized. E.g . 湖南省 appears as Hunan sheng, not Hunan Sheng. In some cases, e.g. for counties, the character for the generic is given, but not the pinyin. E.g. Qingchuan county 青 川县 . Pinyin is not used for words that have become part of the English language, for example, the exonyms Canton and Hong Kong continue to be used for Guangzhou 广 州 and Xianggang 香港， and Cantonese is used when specifying the language or cuisine of Guangdong 广 东 province. Likewise, two established Lat­ inized names are retained, namely, Confiicius, despite the fact that the great teacher was rarely referred to in China as Kong fuzi 孔 夫 子 （from which Confùcius was derived via Latin). Mengzi 孟子，too, is referred to as Mencius, not Mengzi (which is reserved for Afengzi, the book). Confucius provides the adjective Confbcian， from which comes the noun Confucianism. Latinizations that never caught on (Micius for Mozi 墨子） are ignored. Apart from Confucius and Mencius, pinyin is used, includ­ ing for personal names and toponyms in modern Chinese his­ tory that until recently were better known in English and other languages by conventional transcriptions. The main exceptions are Sun Yatsen and Chiang Kai-shek, which forms are retained. Personal names and naming conventions are discussed in Chapter 8. A considerable number of Chinese terms have become English words and therefore do not need italicizing, e.g., yamen, not yamen (§3.2.4). The same applies to terms from other Asian languages, e.g., nirvana, not nirvana; tatami, not tatami; kanji, not kanji; kimchi, not kimchi. For Buddhist-related words, see Robert Jackson. Terms of Sanskrit and Pali origin acceptable as English words. Journal o f the International Association o f Buddhist Studies 5 :1 4 1 -4 2 (1982). The names of Chinese scholars writing in foreign languages are quoted in pinyin with the characters. If they chose a different way to transcribe their names this is placed in brackets: Yang Liansheng 楊 聯 陞 （Yang Lien-sheng). The main entry in the

In principle, full-form characters (/anfizî• 繁体 字 ） are given in the main text, except when the subject clearly relates to post-1949. In which case simplified characters (jYanrizz• 筒体 字 ） are used (al­ though they were only introduced initially in 1956 [§2.9.3]). Also, in lists of secondary sources, if the author’s name and title of book or article appeared in simplified characters, it is these that are given. It is often not easy to decide which of the character forms to use, be­ cause authors and publishers are not always consistent, sometimes changing between editions. In general, I have given full-form char­ acters for the titles of pre-1949 source material publications (even if they were published after 1956 with titles in simplified characters and text in full-form characters). When there are alternative characters, for example for a per­ sonal name, the alternatives are enclosed in square brackets, for example, Wang Yuanlu 王圓錄 [元錄 ]. Neither Japanese old-style kanji (/cyiÿzfaz• 旧 字体 ） nor their modem simpMed fo m s (s/wnjïfaz• 新字体 ） are entirely the same as Chinese fantizi or jiantizi. I have tried to use kanji as they appear in Japanese publications, but Japanese publications do not always use kanji in â consistent way. Ä journal, for example， may continue to use old-style characters for its title long after the introduction of simplified kanji and then suddenly decide to switch to simplified forms for its title at a date of its own choosing. On the whole such inconsistencies should not lead to misunderstandings. After all，総 合目録 and 總合目錄 in Japanese are both easily recognized as sô分ö mofcurofcu (current Chinese, 总 合目录 ).

55.4 Formatting Chinese Sl English Text (1) Because Chinese is written as a partial scriptio continua (no space between words), if you switch to English text in the same line or paragraph you have to manually insert a space after the last cha­ racter (and before each character if you switch from English to Chi_ nese). (2) To enable justification of Chinese characters all Chinese punctuation marks are followed by an inflexible space equal to the width of one character. This creates havoc with your word processor’s word spacing algorithm if you are combining text in Ùie two languages. My solution is simply to use English punctuation both for Chinese and English. An additional reason is that using two punctuation systems in mixed text is often redundant. For example， in citing the titles of Chinese books and articles， I do not follow the current confusing Chinese practice of enclosing both book titles and titles of articles in double-angle b rack ets, 《》 （ s/iumfng/iao 书 名号 )， because in the manual the book title is always given in italicized pinyin before the characters. That and the context are sufficient to show that it is a book title. The titles of articles are distinguished by not italicizing the pinyin. (3) Some quotations in Chinese in the manual are deliberately given without punctuation. The object is not to make the original more difficult, but to encourage the reader

xviii

STYLE SHEET

to develop the habit of identifying the rhythm of classical or literary Chinese (and hence its punctuation). (4) On old Chinese punctua­ tion marks and conventions, see §70.9.

55.5 Dynasties & Historical Periods The names of dynasties and historical periods are transcribed as follows: As with other proper names in Chinese, dynasties and historical periods are capped, but not italicized. For example,戰 國 （ Warring States period) appears as Zhanguo, not Z/ianguo. Dynastic names that are customarily modified by a temporal or directional word are hyphenated, e.g” 前 漢 （ Former Han) is Qian-Han， not Qian Han or Qianhan; likewise,南 宋 （ Southern Song) is Nan-Song, not Nan Song or Nansong. When dynasties are referred to in clusters or in a numbered set, they are written as one capitalized word, for example, Nanbeichao 南北朝 or Sanguo 三 國 （ but Wudai Shiguo 五代十國 ， not Wudai shiguo). Numerical expressions such as 两 漢 or 两 宋 are hyphenated 〇iang-Han, liang-Song). In modern Chinese two dynasties are often linked together (usually as an adjective), e.g” Qin-Han 秦漢 , or Ming-Qing 明清 . Both in transcribing such terms and in translating them， a hyphen is inserted between their two parts. The common expression 先 秦 （ pre-Qin) is hyphenated (xian-Qin).

Bang 劉邦 of the Han， Zhao Kuangyin 趙匡胤 of the Song, Zhu Yuanzhang 朱元肆 of the Ming, Nurhaöi (Nu’er-ha-chi 努爾哈赤 of the Qing). Last rulers usually received no other title than the epithet houz/iu 后主 or moz/iu 末 主 （last ruler)， so they were (and still are) often referred to by their personal names. Aside from this practice, I usually refer to rulers by their personal names only when writing about them before their accession and even then they were better known by their titles than by their names. In the last resort the choice depends on the overall context in which one is writing.

SS.7 Dates of Birth & Death Dates of birth and death are given at the first reference to a person. The convention of giving a rulers birth, death, and reign dates rolled into one has been adopted, because it conveys all the infor­ mation in the shortest space. For example, the Wanli emperor 〇). 1563; r. 1572-1620). It does not always work, however, because the end of the reign in a few instances did not take place in the same year as the ruler died. In the case of the Qianlong emperor, therefore, the information reads b. 1711; r. 1735-96; d. 1799. For a discussion of the various conventions for recording birth and death that were used in the course of history, see §9.11.

SS.S Calendar Dates When it is necessary to cite a Chinese lunisolar date, for example, 光 绪 二十三年庚申四 S 十 五 日 （the 15th day of the fourth monüi of the Gengshen [year in the sexagenary cycle] in the 23rd year of the Guangxu period) the form is as in the original (Tîz’ûn/îôo, year, 分anzhi year, month, day) with Julian or (in this case, Gregorian) equiv­ alent in parentheses: Guangxu 23 [gengshen]/4/15 (May 17,1897). To avoid confusion, months with numbers are always lunisolar months and months in the Julian or Gregorian calendar are never indicated by number, but always by their familiar English names. For more on calendars and date conventions, see Chapter 39.

55.6 Names of Rulers In general, the easiest way to refer to a ruler or noble in writing about them today is to use the title or name by which they are best known. In most cases this has been influenced by different naming conventions applied posthumously during the course of Chinese history. There is usually a choice between translation or transcrip­ tion (if the context makes it clear, the name of the dynasty can often be left out): Shang: Rulers are referred to by their posthumous ritual names, e.g” Zu Ding 〇B [袓 丁 ]; see §57.2.3. Zhou: The first eight rulers are referred to by the name of the dyn­ asty plus their honorific title, e.g” King Wu of Zhou (or Zhou Wuwang 周武王 ) ; the remainder of the Zhou monarchs, by the name of the dynasty plus their posthumous title, King Xiao of Zhou (or Zhou Xiaowang 周孝王 ) . On honorific titles， see §18.2. Qin-Sui: Emperors are referred to by the name of the dynasty if necessary plus their abbreviated posthumous title, e.g., Emperor Wu of Han or Han Wudi 漢武帝 ； Emperor Yang of Sui or Sui Yangdi 隋 場 帝 （ simply, Wudi or Yangdi if the context makes clear the dynasty). Were the title not abbreviated it would be impractically long: Han Shizong Xiaowu huangdi 漢 世宗孝武皇奋 instead of Han Wudi. On posthumous titles, see §18.4. Tang-Yuan: Emperors from the beginning of the Tang to the end of the Yuan are normally referred to by the name of the dynasty plus their temple title, Emperor Huizong of Song or Song Huizong 宋徽宗 . There are a few exceptions. For example, Tang Xuanzong， who not long after the Tang was referreà to as Tang Minghuang 唐 明 皇 （from an abbreviation of his honorific and posthumous tides). The practice continues to this day. On tem­ ple titles, see §18.3. Ming and Qing. Emperors are referred to by era name, the Jiaqing 嘉慶 emperor (not “the emperor Jiaqing”). See §18.11. The two main exceptions are first and last rulers. The leveling reaction against the imperial system that began in the twentieth century has ensured that emperors, especially better known ones, such as the founders of major dynasties, are often anachronistically referred to by their personal names rather than by their titles (Liu

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SS.9 Cross References Cross references in the text to other parts of the manual are given in the form of §8.3.7 (i.e., Ch. 8, section 3, subsection 7). Throughout the manual, the aim has been to keep bibliograph­ ical information near to the place where a subject is discussed. In general, references to primary sources are in the main text. As far as is possible, secondary sources are placed close to the place that they are cited. Many chapters or sections also conclude with a list of references consulted or for further reading. If a book or article is cited several times in different parts of the manual, a reference is inserted to the section in which the main entry or first citation appears.

SS. 10 Citations Citations serve several purposes—to enable the writer to show what past scholars have concluded, to give credit where credit is due, to allow others to see upon what evidence an author^ own arguments are based, and to enable readers to easily locate a passage that is quoted, even if they are using a different edition: aEthics, copyright laws, and courtesy to readers require authors to identify the sources of direct quotations or paraphrases and of any facts or opinions not generally known or easily checked" (Chicago manual o f style. UChP, 2010,14.1). References to research are also given in order to provide alter­ native points of view. Therefore, readers should not be surprised if the points made in the references cited in the manual are not nec­ essarily those that I make in the text. The following describes some of the citation conventions adop­ ted in the manual, which I hope will be of some use to those writing in English about China or citing Chinese sources.

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SS. 10.1 Avoidance of Redundant Features name in pinyin (no quotation marks), translation of chapter name (in parentheses), page number. If the author of the book Because of the large number of citations in the manual, redundant (as in this example) has already been given, there is no need to features are avoided wherever possible. Examples of easily avoided repeat the information, redundancies include not giving the season in journal citations when it is already apparent from the volume information or if the Hans/ui 漢書（ History of the Han) 1. Gaodi ji 高帝紀 （ Basic annals of the Emperor Gao), 2 [i.e. Hanshu,juan 1, page 2]. article can be clearly identified without it: JAOS 78.1 refers to the first quarter issue of this quarterly journal, therefore there is no Depending on the context, the chapter title may be cited need to write JAOS 78.1 (Jan.-M arch). before the book title. Subsequent references to a book or part of In much quoted titles, such as the standard histories (zhengshi a book are abbreviated and/or cross-referenced to tiie section in 正史)， I leave out the wordyucm or vol.: thus, Hans/iiz 30 (not //a n which the full citation appears. shuyjuan 30); similarly, CHC 6 (rather than CHC, vol 6) stands for 7. A citation may take several forms, depending on a number of the Cambridge history o f China, vol. 6. factors. For example, in referring to a particular passage in the Many modern works of scholarship begin by referring to a spe­ 汾n)ï, the first citation might read, S/zi/ï 史記 43. Zhao, Shijia cific period or dynasty in their titles by using the name of the dyndi-shisan 趙 世 家 第 十 三 （ Zhao, Hereditary houses 13?: 1806-7. asty coupled with daz• 代， as in •漢代（ literally, the Han Subsequent citations would be abbreviated as •史記43: period or Hanchao 漢 朝 （ literally, the Han dynasty). Well over 1806-7, S/iÿï 史記： 1806-7 or 1 8 0 6 -7 (provided the edi­ 1,000 such titles are referred to in the manual. It is therefore a tion used has already been made clear). considerable space saver to translate these leaving out “period” or 8. For most Chinese official works the convention is to cite the title “dynasty.” For example, yms/zz’ tæn/iua yaryïu 清 代飲 食文 first, not the chief editor or head of the compilation committee. 化研 究 is rendered in the abbreviated form, Studies on Qing food Sometimes the name is omitted altogether. This applies to citaand drink culture, not Studies on the food and drink culture of the tions from local gazetteers (except those whose authorship Qing period). needs to be emphasized), most of the standard histories, com­ The name of the publisher as well as the place and date of pub­ prehensive literary collections, dictionaries (including rhyme lication should be given, but in a manner to avoid redundant dictionaries), and /ezs/ui 類 書 （ §73.1). The date of first printing features (see §SS.l 1.4). and the edition used are normally given. Listing by title and not by author was the usual practice throughout the ancient world SS.10.2 Social Sciences Citation Format (save those books whose title incorporated the authors name 1. Sentence capitalization is used for titles of Western books (itali[§70.6]). cized) and articles and chapters (not italicized). For example, 9. For ancient works, it is important to indicate which edition was used and whose commentary was followed. It is not enough Ebrey, Patricia Buckley. 2003. Women and family in Chinese history. just to cite the modern publisher. Routledge. 10. In many pre-Qin works, especially the Classics, it is helpful to For German book titles the convention of capitalizing each give not only t h e 卷 number from which a quotation is noun is followed. taken, but also its name (§28.10.2). The same is true for Han In citation lists of modem works the author usually pre­ works and later. The reason is that different editions sometimes cedes the title. But in some cases, for example dictionaries or put theyuan in a different order. The Hou-Hans/iu 後漢書 archeological reports, the title precedes the editors or compilers (History of the Later Han), for example, has a different se­ and the date follows the publisher’s name. quence ofju an depending on the edition (Ban Biao’s 班彪 bi_ 2. Chinese books that have long-established translated titles in ography is in Hou-Hanshu 70 in the Palace edition and those sh (The Confucian analects) are frequently referred to by editions that follow it, but in Hou-Hanshu 40 in the Baina and titles or by a conventional abbreviation of them (e.g., Zhonghua editions [§59.3]). Lunyu or The analects). 11. For works by individuals in the Han dynasty and later, I start by 3. Transcribed titles of books in Chinese, Japanese, and other indicating the name by which the author has come to be best non-alphabetic languages are italicized with only the first word known, then the book title, chapter name and number, edition, capitalized. Characters (and an English translation in paren­ and page number. Emperors who authored works are normally theses [not italicized]) follow, as in this example: quoted by the name they are conventionally referred to in later Qian Daxin 錢大昕.1 9 8 8 (1818). y!_man /u 疑年錄 （ Doubtful dates rec­ times. Thus, Liang Yuandi 梁元帝 . WnZou zf 金楼 子 ; not, Xiao orded). Zhonghua. Y i 萧 繹 .Jïn to u z f 金楼 子 . If a Chinese book is referred to by its English title alone, then 12. The form of citations from works that have their own citation the title is italicized (#2). For an explanation of the date in conventions, such as XheZuozhuan other Classics, or the parentheses, see #14. Taishö edition of the Chinese Buddhist canon (Taishö shinshü 4. No quotation marks are used for the titles of articles or chapters Daizöfcyä 大正新修 大藏經) , are specified in the relevant section of a book (original, transcribed, or translated) and only the first of the manual (in these cases, §48.1.1.1, §28.10.2 & §29.4.2.2). word (and proper nouns) are capitalized: 13. As an aid to the reader, the date of a work under discussion is normally given at first appearance. Up to the Song, the date Guo, Zhengzhong. 1 9 9 3 -9 4 . The deng steelyards of the Song dynasty refers to the date of completion. After the Song, it normally (9 6 0 -1 2 7 9 ). Cahiers de métrologie. Vols. 1 1 -1 2 : 2 9 7 -3 0 6 . Fu Hui 傅辉 • 2006. Muzhi chayi dui tudi shuju de yingxiang ji qi refers to the date of printing. But often these dates are not xiangguan w e n ti 亩 制差异 对 土地数 据的影响 及其相关 问 题 （The known. In such cases, the date of the postface or preface is usu­ influence of acreage differences on land area statistics and related ally given. Or, failing that, the author^ birth and death dates. questions). Zhongguoshi yanjiu 3 :1 4 1 -5 0 . 14. Citations inserted into the main text commonly take the form of 5. Journal or newspaper titles are italicized and each word of the the authors name and the date of publication of the work cited. title is capitalized. Chinese and Japanese journal titles in tran­ For example, if Qian Daxin’s 錢大昕 M a n ’er sWfcaoyf 廿 二史 scription are italicized, but only the first word is capitalized, as 考異 is cited from the original edition, I p u t... (Qian Daxin in «S〖 c/zua/7也 叩 ’an s/»7fao 四川档 案史料 . 1782, plusjucm and page number). If, as is more than likely, a 6. Parts of an ancient book, such as chapters or sections, are given later edition is being quoted, such as that contained in his col­ after the book title in the order of chapter number, chapter lected works published in 1997,1 let readers know that it is an

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eighteenth century work in a twentieth century edition by using the form ula... (Qian Daxin 1997 [1782], volume ju a n , and page number) or …Qian Daxin (1997 [1782])， rather than just p utting... (Qian Daxin 1997, volume Juan, and page number). The same applies to twentieth century works that are quoted in later editions. For example, when quoting a 1925 essay of Lu Xun 鲁 迅 from the Renmin wenxue 2005 edition of his collected works, the in-text citation reads Lu Xun (2005 [1925]), rather than just Lu Xun (2005). This may seem so ob­ vious as to not need stating, but it is surprising how often one finds vague references. In this case, to Lu Xun (2005) and on turning to the bibliography, the only indication is Lu Xun xuaryï 鲁 迅选 集 , vol. 1， 2005 (neither the name of the essay, nor the original date of publication being given). If only the date of the edition quoted from is given, the reader may be obliged to find out when the original was published, information that the writer could easily have supplied. 15. Many people in China, Korea, and Vietnam have the same family name, and therefore citations of Chinese, Korean, and Japanese authors should always give the full name of the individual at first appearance; thus Wan Sitong 萬斯同 ， not S. T. Wan. However, when L. S. Yang (1914-90) signs himself L. S. Yang that is the form to use. As a convenience to the reader, I spell out the full name and characters in parentheses on first occurrence: (Yang Liansheng 楊聯陞 ). In-text references to Chinese and Japanese authors writing in Chinese or Japanese should give the füll name. For example, Wan Sitong (1792), not Wan (1792). 16. The pages of a thread-bound book were made up of sheets of paper (called leaves, ye 葉 [ 頁]) folded in half l i e right side of the leaf formed the recto and the left-hand side the verso (be­ cause the book was read from what is today considered the back). The unit of pagination was the leaf, therefore page 3 in Chinese pagination would have been pages 5 and 6 in today s

pagination. These are by convention referred to as 3a and 3b. Many students must wonder why the page numbers of thread-bound books are often obscured by the fold. The reason is that the numbers were carved on the blocks to help the printers sort the leaves in the right order, not to indicate the pages for the convenience of readers. For the terminology of old Chinese books, including pagination (yeshii 葉數 )， see the entry for ye ^ [ 1 ] at §72.7.

SS. 11 Abbreviations SS. 11.1 Books Databases In some of the older Sinological literature it was customary to use initials for the titles of Chinese works, typically of congshu (e.g., [or SPPy] for S仍 四 部 備 要 [Ssii-pu pef-yao]). iliis practice was later sometimes extended to individual titles with the result that the readers attention was distracted by thickets of initialisms, more like a cipher telegram than a scholarly communica­ tion. To avoid this, as a general rule in the manual, initialisms for book titles are not used for Chinese and Japanese works. They are only used for books in the English language if the initialism is al_ ready widely accepted, such as ECCP for Eminent Chinese o f the Ching period. Instead of initialisms, abbreviations are sometimes used for the titles of Chinese or Japanese works, but only if the book is much cited and if the title is a long one. If that is the case, the abbreviation is indicated following the first citation. For example, Chügoku hösefs/iï /czTion s 以ryö no fcerî/q/ô 中国 法制史基本資料 CD研 究 is ab­ breviated to //ösezs/w’ (not If the title is a short one, such as 没 Tcu (juans/zii 四 庫 全 書 （itself an abbreviation of the original title), no farther abbreviation is needed 〇et alone, SKQS (shades of SPQÄS and high-school Roman history). All books that are better known by their titles than by their authors (for example, officially edited or compiled works, such as most of the standard histories) are listed by tiüe (§SS.10 #8).

Abbreviations of Book Sl Database Titles CCQC CHAC CHC Classics DMB e-Sihi ECCP EOT Falii dianjijicheng Hanzhi HDW Histories HD Höseishi shiryö H-Y H-YIndex ICTCL ICS Concordance DOTIC Ming sources New sources SCC standard histories Suizhi Xuxiu Siku

Les Classiques chinois in Les Classiques des sciences sociales. Université du Québec à Chicoutimi, Saguenay, Canada (downloadable texts of the classics of French sinology). The Cambridge history o f ancient China. Michael Loewe and Edward L. Shaughnessy, eds. (Book 10, intro). The Cambridge history o f China. John K. Fairbank and Denis Twitchett, general editors. 15 vols. (§45.1.1). The Confücian classics (jïnp 經， 及tyïng 儒 經 [Chapter 28]). Dictionary o f Ming biography 1368-1644. L. C. Goodrich and Chaoying Fang, eds. (§65.2.2 #19). I V e n y u c m y e gi/ans/îudfanzfban 文淵閣四庳 全書電子版（ §72.6). Eminent Chinese o f the Ching period (1644-1912). Arthur W. Hummel, ed. (§66.4.2 #20). Early Chinese texts: A bibliographical guide. Michael Loewe, ed. (§58.6.2). 及 on效 uo z/ie/m’/a/ü 中国 珍稀法律典籍集成 （Collection of rare works of Chinese law). Liu Hainian 刘 海年 and Yang Yifan 杨 一凡, series eds. 14 vols. (§23.1.1 #3-4). Hans/m 漢書， Yiwen zhi 藝文志 （ Book catalogue of the i/fstory 〇 / 呔 6 //cm [§71.2.1 and §71.3.1]). Hcmjï drànzi’ lüeruaem 漢籍電子文獻 (Scripta Sinica database). Academia Sinica (§45.3.1). The standard histories (s/zz• 史, z/ze叩sM 正 史 [Chapter 49]). Hanyii e Ordos. 3 vols. Beiping: Catholic University; New York: Johnson Reprint Company, 1968. Vol. 3, Index des mots du Mongol écrit et du Mongol ancien. The only deviations from this system are that y becomes gh; and the hacek (v) (which in­ dicates palatals) is removed from j, and s, which become j, ch and sh. Tibetan: Tunell Wylie (1927-84). 1959. A standard system of Tibetan transcription. HJAS 22: 261-67. Closely followed by the Library of Congress. Vietnamese: Quoc-ngu spelling. In non-specialist works (including the manual), the diacritics, bo 仕i those indicating the tones and those showing vowel quality, are often left out.

Introduction A . l P eriodization A. 1.1 The Three Ages of Antiquity For the people of ancient (pre-Qin) China, what we call antiquity was of course the present and what they called antiquity was an age much closer to them than it is to us. To put it in another way, 1.6 billion minutes separate us from the Zhou conquest of the Shang [§56.5]), but for the First Emperor (in 221 BCE), the gap was only 0.4 billion minutes. Much as we do today, time was broadly divided using Üie relative terms ancient and modem ( yu 古 and 力>i 近) , and ancient itself was further subdivided into the three ages of antiquity (sangu 三

age, one in which China was facing an unprecedented series of dis­ asters, including the loss of control of foreign trade Qater referred to as the Opium War) and defeats in the Sino-French War, the SinoJapanese Wars, and at the time of the Boxers.

A. 1.2 Ancient, Medieval, Modern

In the twentieth century two new methods were grafted onto the “three ages of antiquity,” at first by applying the system of three divisions (sanfenfa that is the European concept of an­ cient, medieval, and modern and secondly by using the system of five divisions 〔 u;ii/er2 / a 五分法 )， the Morgan-Engels or MarxistLeninist five-stage mode of production theory (§A* 1.3). One of the earliest and most long-lasting of the new history 古)： textbooks was written by Xia Zengyou 夏 曾 洁 （ 1863-1924), who shanggu [taigu yuangu iâ'é'] (meaning high or remote antiquity); rearranged Chinese history along progressive lines into shanggu zhi taigu was often used for the archaic period before the age of the sages, • 上 古 之 世 （from the iegendary age to the end of the Zhou), z/ionggu 中古 （ mid antiquity). zhonggu zhi shi + 'é'ilÜ : (from Qin to Tang), and jingu zhi shi xfagu 下古， 力ngu 近古， or力 • 近代 （ recent past， recent times). 之 世 （from Wudai to Qing). But he did not get beyond the end of Definitions of the three antiquities differed. For some Han dynthe Tang (Xia Zengyou 1902-6). asty writers s/iang 夕u applied to the age of Fuxi 伏羲 ， to Xia’s younger fellow provincial and friend, Liang Qichao 梁啟 that of Shennong 神農 ， and xz'agu to the five emperors (Wudi 五帝)； 超（ 1873-1929)， was an influential advocate of the European three on these legendary figures, see §56.4. Others called the entire period ages model. In his proposal， ancient (s/îût^s/îz• 上世 ） was from the of their rule shanggu, from then to King Wen of Zhou, zhonggu, Yellow Thearch (Huangdi 黃帝） to tiie Qin; medieval (z/zongsW 中 and the time of Confucius, xiagu. 世)， from Qin to Qianlong; and modern (jïns/ïz• 近世 )， from QianAs time went by the tendency was to update the definitions of long to the present (§68.1). The attraction of this three-age model zhonggu and jingu in order to bridge the gap between the present was that it predicated a progression from antiquity via the middle and Üie remote past. For example, for the Tang historiographer, Liu ages to the modern, with the modern age marking an advance on Zhiji 劉 知 幾 （ 661-*721), sftcm邱 u 上古 extended to the early Zhou; the previous two. In other words, all value was no longer placed in a zhonggu or zhongshi + to the Qin and Han; and jingu, the peri­ remote past, but in the present and future. od between the Han and the Sui. Likewise, in the Yuan dynasty, one writer defined s/ianggu 上古 as the legendary age, z/zonpyii 中古 as Table 1 Japanese Periodizations of Chinese History the Three dynasties (Sanc/az.三代，i.e.，Xia, Shang, and Zhou), and In 1914, Naitö Konan 内 藤湖南 [Torajirö 虎次郎] (1 8 6 6 -1 9 3 4 )， the influ­ xzagu 下古 as covering from the Warring States to the Yuan. Neo-Confucians, too, believed that there were three periods: (1) ential member of Japan’s Kyoto school of Sinology, adapted the threefold the time when the Way was practiced by the sage kings (down to scheme 〇ö夂 o 上古，c/iü/co 中古, /cûisez• 近世） by situating the start of the and including the Three Dynasties); (2) the long period during Chinese middle ages (chükö) at the fall of the Han and the beginning of the modem age after the fall of the Tang. Later, in his lectures of 19 2 1 -2 2 , he which the Way was lost 〇ate Zhou, Han to Tang) and (3) the new nuanced this as follows: age when the Way began to be practiced again beginning in the 1. Antiquity (up to the Later Han) eleventh century (§A.2.6). > Transition: Later Han to Western Jin (316 CE) No matter how the boundaries of the three ages of antiquity 2. Medieval: Eastern Jin to Late Tang were defined, all would have agreed that the models and inspiration > Transition: Late Tang to founding of Song (960) for right conduct that Confucius had drawn upon lay in remote an­ 3.1 Modern (1): Song and Yuan (to 1368) tiquity ^shanggu). It was to him and to this age that people turned 3.2 Modern (2): Ming and Qing (Fogel 1984, 200) for their most revered paragons until the twentieth century. In The Naitö thesis makes the Song and Yuan early m odem (Wnsef zenA:i•近 finding value in a remote past (suitably adapted by later thinkers), 世前期） and the Ming and Qing, late modem (WnsdAröfc〖 • 近世後期） on the the Chinese people were not unique. Buddhists and Christians to this day revere the truths revealed in the lives of the founders of grounds that the Song and later times saw (1) the decline of aristocracy and the rise of absolute monarchy, (2) the rise in the status of the people from their beliefs, who lived 2,500 and 2000 years ago, respectively. slaves and tenants of the aristocrats to subjects of the emperor, (3) the introShorter periods were traditionally referred to in terms of dy­ duction o f civil service exams, which in theory were open to every subject of nasties (wangchao duandai each of which experienced the emperor, (4) the appearance of political parties based on difference in cycles of rise and decline (§A.2.5). government policy or intellectual background, (5) the growth of a money The use of a group of dynasties to refer to past time dates from economy, (6) the tendency toward independent interpretation of the Classics, (7) the rise of a plebian culture, with new forms of literature and art; see also the Spring and Autumn period expression, Sanàai 三 代 （ §A2.3). Elapsed time between the present and the past was reckoned in Zhang Guangda (2005), Liu Yiyan (2006), and Luo Yinan (2006). The Tokyo school identified the late Ming as the beginning of the modvarious ways, including counting the total years of the successive reigns of all the intervening dynasties or by counting the number of em. The Chügokushi kenkyükai 中国 史研 究会 （ Chinese history society) group rejects both the Kyoto and Tokyo analyses and instead sees all of Chi­ sexagenary cycles (§A.4). nese history from the Warring States in terms of the rise and fall of the auto­ The break with traditional concepts of the past came toward the cratic state, which was eventually undermined by the petty commodity end of the nineteenth century when some thinkers concluded that production economy that emerged in the late Ming, early Qing, without China was entering an entirely new phase of history. Both Xue Fu- giving birth to a capitalist society. cheng 薛 福 成 （ 1838- 94〕 and Wang Tao 王 韬 （ 1828-97), for ex­ Recent Western scholarship has developed the “early modem paradigm” ample, realized that the period in which they lived marked a new (coinciding with and characterized by the increasing monetization of society

in the late Ming); see Huang (1991), Pomeranz (2002), and Von Glahn (2 0 0 4 ,1 6 0 -6 1 ). Both the protagonists of the early modern paradigm and the holders of the Chügokushi kenkyükai \ie w were influenced by the argument first put forward in China in the 1940s that the Ming was a time in which the roots of capitalism appeared (§人1.3). Another approach (taken by the writers o f many Western textbooks) is to apply the European three-fold scheme directly to Chinese history. Thus, the pre-Qin is seen as China’s ancient period; Qin to the Song is the early or medieval empire; and Song to Qing is the later empire or early modern period. A traditional and still influential presentation is to lay stress on the alternation of periods when the empire was unified or partitioned (although strong views are held regarding the definition of these terms. If, for example, the Northern Song is seen as a period of unification, then the Liao and Xixia are by definition foreign regimes, a view unacceptable to the orthodox view in China today). Fogel, Joshua A. 1984. Politics and sinology: The case ofNaitö Konan (1866-1934). HUP. Based on his PhD thesis, Columbia University. Liu Liyan 柳立言 （ Lau Nap-yin). 2006. He wei ‘Tang-Songbiange ’ ？何謂唐 宋變革 （ What is the TangrSong transition?).及 onphua 81: 1 2 5 -7 1 . Luo, Yi*nan. 2006. A study of the changes in the Tang-Song transition model. JSYS 35: 9 9 -1 0 7 . Pomeranz, Kenneth. 2000. The great divergence: China, Europe, and the making of the modern world economy. PUP. Reviewed by Philip Huang in Ji45 61.2: 5 0 1 -3 8 (2002). Pomeranz reacted inJAS 61.2: 5 3 9 -9 0 (2002), to which Huang responded in JAS 6 2 .1 :1 5 7 -8 7 (2003). Shiba Yoshinobu. 2012 (2002). The diversity of the socio-economy in Song China, 960-1279. Töyö bunko. Von Glahn, Richard. 2003. Premodern China in world historical perspective. In Smith, Paul Jakov and Richard von Glahn, eds. 2003. The SongYuan-Ming transition in Chinese history. HUP, 5 6 -6 8 . Zhang Guangda 张 广 达 .2 0 0 5 . Naitö Konan de Tang-Song biangeshuojiqi yingxiang 内 藤湖南的唐宋变 革说 及其影响 （ The Naitö thesis on the Tang-Song transition and its influence). Tang yanjiu 11: 5 -7 1 . Vol. 11 is devoted to this subject.

A. 1.3 Redline Theory The second main way of dividing Chinese history that was deveK oped in the twentieth century was to use the Marxist-Leninist fivestage mode of production theory (wuzhong shengchanfangshi shuo 五种 生产 方式说 ；known informally as the “Five-divisions theory” [iüu/en/a 五分法 ], or the “Redline theory” /un 红 线 论 ]): primitive society, slave society, feudal society, semi-colonial, semifeudal society (banzMmmdz: t»an/erîg;ïan s/ie/zuf 半殖民地半封建社 会 ) , and capitalist society (zz'ben z/iuyf s/ie/zu/ 资 本主义 社会 ) . Once the Party had pronounced itself on the question, no time was lost in debating whether or not such categories worked for China. Instead, there was much discussion as to when each period began and ended and to what extent the five periods could be subdivided (especially the “feudal period,” which was commonly separated into early middle, and late). The timing of the transition from primitive to slave society (nuli s/zehw• 奴隶 社会 ）varies according to the historian from different periods of the Longshan 龍山 culture (4600-4000 BP), the Xia, or the Shang dynasties. The end of slave and the beginning of feudal society (Jengjian shehui are placed in the Western Zhou, the Spring and Autumn, the Warring States, the Qin unification, the Later Han, or the Wei-Jin periods. The beginnings of the end of the feudal are usually put in the Ming and Qing with the appearance of capitalist sprouts zftuyf mengya 资 本主义 前芽)，nipped in the bud by the arrival of the imperialists. The periodization of modern Chinese history was discussed by Mao Zedong in a number of talks in the late 1930s and early 1940s. On the CCP taking power under his leadership, these views became orthodox. They may be summarized as follows. Modern history (jindaishi starts with the Opium War, which marks the transition from the feudal to the semi-colonial, semi-feudal period

(1840-1949). This period is divided into two subperiods, (1) the Old Democratic (bourgeois) Revolution that culminates in the movement led by Sun Yatsen, the 1911 revolution, the collapse of imperial rule, and the foundation of the Republic of China; and (2) the New Democratic Revolution (1919-1949), which starts with the May Fourth Movement and soon comes under CCP leadership. The founding of the Peoples Republic in 1949 marks the conclusion of the New Democratic Revolution, the end of the semi-colonial, semi-feudal period, and the start of Chinese socialism; see Mao Ze­ dong, The Chinese Revolution and the Chinese Communist Party, 1939/12 and On new democracy, 1940/1. Chinese historians are not alone in making the arrival of the foreign powers the turning point between ancient and modern. Japanese historians normally reckon that their country’s modern history (fcinctofs/H• 近代史）starts with the arrival of Commodore Perry’s squadron in Edo Bay 江戶湾 in 1853. The norm in China to this day consists of a blend of the three ages of antiquity with the five-fold Marxist scheme. Thus, the huge 22-volume 效 ii〇 • 中国 通史（ 1989-99; rev. ed_ 2004 )， defines the period up to the use of writing as yi/angii 远 古 （ remote antiquity [primitive society]), the Sandai 三代 as 上古 (high antiquity [slave society])， and the period from the Qin unification to 1840 as z/îonggii 中 古 （ medieval [feudal society]). Thereafter 力 近 代 （ 1840-1919) is what would in the past have been called Wagi/ 下古 or jïnyu 近古 . The characteristics of each period are defined in Marxist terms (§45.1.3). As the key dates in the Chinese orthodox schema for modern political history (1840,1911,1919,1949) fade further into the past and as new ones are added (for example, the beginning of reform and opening in 1978), the periods previously designated as modern (jïndaf 近托)，contemporary (xz.czndaz•現代)，and current (da 叩 daz. 當代）no longer fit the labels. Accordingly, already in the 1990s, the distinction between modern and contemporary was dropped and the entire period from 1840 to 1949 was labeled modern (and characterized as China's semi-feudal, semi-colonial period). That leaves current history (jaandaWn• 現代史）as starting in 1949, witii contemporary history increasingly seen as beginning in 1978. Whatever their other differences almost all Chinese historians continue to take the nation as their proper focus. There is ，therefore, a tendency to select political events that are seen as contributing to the formation of the nation, if not the Party, as the major turning points in history.

A. 1.4 Conclusions Ä major disadvantage of trying to squeeze Chinese history into the European three stages is that the labels ancient, medieval, and mod* ern are already closely attached to particular attributes and assump­ tions associated with European history. These used to be considered universal. No longer. One weakness of the Marxist periodization as applied to China is that it creates a “feudal” period so long as to be meaningless. In this sense it reflects its European origins: slave, feudal, and capital­ ist neatly fitted the European divisions of ancient, medieval, and modern, but failed to do so in China. Another weakness of the Marxist scheme is that it uses old terms to describe completely different concepts. In classical China, the/eng/ïan z/iïdu 封 建 制 度 （the patrimonial system of indirect rule through appointed relatives of the Zhou ruling house) broke down during the internecine strife of the Warring States and was abol­ ished by the First Emperor of Qin. Its place was taken by th eju n x/an z/ifcfu 郡 縣 制 度 （imperial government ruling through centrally appointed officials at the commandery and county levels). But feng封建 was borrowed at the end of the nineteenth century to translate “feudal” （ a term used to describe the medieval European landholding system). Confusingly, Chinese Marxist historians de­ scribe the period after the collapse of ancient Chinas fengjian sys-

DYNASTIES

tem as China’s /eng/z'an (feudal) stage. Ä stage said to last for the next 2,000 years. Small wonder that "feudal" in this sense has had difficulty in establishing itself as a useful analytical term and has tended to be used in the general sense of anything ancient or back­ ward (Dirlik 1997; Feng Tianyu 2006; Jin and Liu 2009 [§3.1]; Li 2003 [§7.1.1]). Controversies have raged as to which method of periodization to use and where the demarcation lines should be drawn, but perio­ dization is not a science. The whole argument becomes more interesting as soon as it is allowed that different types of history have different stages of development. For example, the history of Chinese mathematics (§38.16) does not necessarily coincide with changes of production or of political institutions and the same applies to the history of the Chinese language, the start of whose “modem” phase begins six centuries before the start of “modern” political history (§1.1). Economic watersheds, too, often occur at different periods than do political ones, because in China, as elsewhere, economies change faster than do political systems. Finally, it is worth recalling that the fundamental periodization provided by climate change has the advantage that it links China with changes affecting the rest of the world within broadly the same time frame (§13.1). No matter which method of presenting the story is chosen (and each has drawbacks and advantages), it should serve to clarify

3

analysis; to stimulate comparisons with the historical experience of other civilizations, countries, and peoples; and to assist the mem_ ory， not to provide a procmstean bed into which to fit the data in order to buttress the self-serving claims of this or that political party. In the manual I present the sources of Chinese history in two different ways: (1) by subjects 〇D〇oks 1 to 9 and 14) and (2) chron­ ologically 〇D〇oks 10 to 13). Because many of the most important sources that have been preserved were produced by each dynasty, the chronological chapters are divided by dynasty. Many Europeans and Americans are already familiar with the names of the dynasties from phrases such as Tang poems, Song paintings, Ming vases， or Qin terracotta warriors, just as they are with Jacobean drama, Sec­ ond empire furniture, or Victorian cities. There is no reason to suppose that the use of such conventional labels, including dynastic ones, should tie the user to the perspectives of the imperial court. Cohen, Paul A. 2003. Ambiguities of a watershed date: The 1949 divide in Chinese history. In his China unbound: Evolving perspectives on the Chinese p a st RoutledgeCurzon, 1 3 3 -4 7 . Lin Ganquan 林甘泉 et al_，1982. Z/wngpi/ogi/daz_s/n/en7 金， /mo 火， s/im' ers. They had fought with him since the beginning and were often 水). The cosmological school credited with the development of the from the same locality. In the next generation many of the top posts Five-Power theory, that of Zou Yan 鄒 衍 （ 345-240 BCE)， assigned went to the sons of the founding elite (the sons and families of the the five powers to the legitimate dynasties. The legitimacy of a founder himself, however, were politically neutered in the Song and dynasty was expressed in the choice of the appropriate phase and Ming). Thereafter, it became increasingly difficult to maintain the its associated color, which it used for its banners and ritual para­ cohesion of the original group. Indeed, many dynastic founders turned against their original followers in order to lay the basis for a phernalia. The First Emperor was the first ruler to adopt the Five-Power wider leadership talent pool with administrative rather than mili­ theory as part of the legitimation of his rule (by the logic of the cycle tary skills and new debts of loyalty to the aging founder (Zhu Yuanat that time, Qin took water, black, the number six， and a calendar zhang of the Ming provides a good example, and no doubt others could be found from more recent history). beginning in the tenth month just before the winter solstice). The first rulers of the Han inherited the Qin power of water and At first the intake of new talent to administer the country is the symbols that went with it, but during the reign of Han Wudi (b. drawn from a broad circle， but after a few generations the circle 156; r. 141-187 BCE), the five phases were re-ordered (by Dong narrows again. This can be seen in the social background of the Zliongsliu 董 仲 舒 [179?-104? BCE]). According to the new order， metropolitan graduates (Jinshi) during the Ming. In the early years the “mutually producing” cycle 相生 ) , each phase proof the dynasty only about 14 percent came from families that had duced its successor: wood, fire, earth, metal， and water. In 104 BCE, provided previous officials, but toward the end of the dynasty 60 Wudi adopted the revised cycle and the dynasty switched to the percent came from established elite families. In other words, the earth power, yellow, the number five, and a calendar beginning two talent pool narrowed as time went by. As a result, fewer and fewer people had a direct stake in the dynasty (see the table on page 140 months after the winter solstice. The seizure of power by V^ang Mang 王莽 a century later re­ of Qian Maowei [2004]). quired new legitimizing arguments. These were provided by Liu Xin S 歆 （46 BCE- 23 CE) and included the provision of the first of Meskill, John, ed. 1983 (1965). The pattern of Chinese history: Cycles, development, or stagnation? Greenwood. many detailed retroactive chronologies linking the mythological Qian Maowei 钱 茂伟 .2004. Guojïa fceju yu she/iW 国 家科举 与 社会 （ The rulers with the Golden Age of Yao 堯 and Shun 舜 and the Three nation, the examination system, and society). Beijing tushuguan. Dynasties of Xia, Shang, and Zhou and the creation of a bogus an­ Yang, L. S. (Yang Lien-sheng; Yang Liansheng 楊聯陞).1 9 6 1 . Toward a cestry for Wang Mang making him a direct descendant of Huangdi study of dynastic configurations in Chinese history. In Yang (1961), 1 and Shun (Loewe 1994). Once again the first month of the calendar 17. Orig. pub. in HJAS 17: 3 2 9 -4 5 .

--------- .1 9 6 1 . Studies in Chinese institutional history. HUP.

A.2.6 Legitimate Succession In archaic China, as in other ancient societies, legitimacy was based on the divine origin of kingship, which enabled the ruler to mediate between cosmic forces and man. Thus the Shang kings justified their rule on the basis of descent from a divine ancestor and their ability to understand, represent, and control cosmic forces. Thus, too, the Zhou rulers claimed to have received the Mandate of Heav­ en {Tianming which they retained, so long as they ruled effectively and (it was argued by the followers of Confucius) accord­ ing to principles and standards laid out in the Classics. New Chinese rulers sought to win support and to bolster their legitimacy (and at the same time exclude their rivals) in a variety of different ways. These included the use of force, both to acquire pow­ er and to maintain it; the provision of lavish rewards for loyalty and swift punishment for disloyalty; the maintenance of peace, stability, and unity; the provision of effective government services and institution building; and the rewriting of the past, especially of the pre­ ceding dynasty and of the circumstances by which the present dy­ nasty had come to power. Emperors of conquest dynasties, notably the Kitan Liao and the Manchu Qing, presented themselves not only as sage emperors in the Confucian tradition but also as Buddhist chakravartin (universal and just rulers). At no time in Chinese history before the twentieth century did the concept of a ruler’s legitimacy connote sanction by law, political assembly, or popular consent. In addition to the doctrine of the Mandate of Heaven and the cyclical pulsation of the cosmic forces as embodied in five-phase theory, a third principle to legitimize dynastic rule emerged in the Later Han. It was summed up in the expression z/zengfong 正統 Oiterally, correct control or rectified unity; what I prefer to call legit­ imate succession). After the second restoration of the Han dynasty in 25 CE, one of the claims to legitimacy of the emperor Shizu (r. 25-57), a former rice dealer named Liu Xiu 劉秀 ， was his descent from the founder of the Han， the emperor Gaozu， Liu Bang 劉 邦 （ of whom Liu Xiu was the ninth generation great-grandson). Z/iengtong 正統 was the phrase invented to encapsulate this claim of legitimacy based on bloodline. In elaborating the theory of legitimate succession, the Later Han historian Ban Gu 班 固 （ 3 2-9 2 CE) introduced the calendrical terms zheng IE (regular) and run ^ (intercalary) to distinguish le­ gitimate and illegitimate rulers (the reign of Wang Mang was classified as run 閏， thus allowing the Later Han emperors to claim direct descent from the mythical emperor Yao through the Former Han emperors). The Later Han also continued to use five-phase theory to bolster their claims, as did all dynasties for the next one thousand years, but legitimacy was increasingly based on claims to political and moral attainments, not on an unbroken bloodline. Finally, in the Northern Song, zhen夕fon分正統 was delinked from five-phase theory and redefined by Ouyang Xiu as consisting of two elements， zheng 正， the moral right to succession, and tong 統， the fact of unified political control. Ouyang also argued that there were periods in which these conditions were not met. Sima Guang applied the new definition of legitimate and illegitimate rulers in ti e Zîz/h’ torïyjïan 資 治 通 鑑 （ §48.3)， as did Zhu Xi 朱熹 (1130-1200) in a slightly different sequence in his abridgment of it, theZiz/n‘fong;ïangan 分mu 資治通 鑑網 目 （ §48.5). All were adamant that only one dynasty could hold the man­ date at any one time, but there was no final agreement on which states were in the legitimate succession during periods of disunion or alien rule. Given the influence of the Zizhi tongjian and the Gangmu, it is worth quoting their authors* views. After noting that scholars in the

Han had begun to place Qin in an intercalary position (that is, not in the legitimate line of succession), and after noting the confusion at the fall of the Han, Sima Guang continues, "Your servant, being stupid, cannot claim to know the legitimate and intercalated positions of the previous dynasties” （臣愚誠不足以識前代之正閏 ). He continues by pointing out that neither the criterion of unifying the empire nor direct succession, nor moral behavior are adequate criteria and therefore ttfrom antiquity to the present, the theory of legitimate and intercalated succession is never sufficiently convincing to compel us to adhere to it”（ 是以正閏之論自古及今未有能通 其 義 確 然 人 不 可 移 奪 者 也 ). He concludes that nevertheless some framework of chronology is needed for recording the sequence of events during times of division (然天下離析之際不可無歲時月日以 識事之先後 ) . So, he follows the chronology (in effect, the reign titles) of Han, Wei, Jin, Song, Chen, Sui, Tang, and the Later Liang and eventually, the Later Zhou down to the Song. “In doing so,” he says, W we are not honoring one and treating another with contempt, nor making the distinction of the orthodox and intercalary positions” （非尊此而卑彼有正閏之辨也 )； quotes based on （ 〇叩力'an 資治通鑑 Juan 69, Zhonghua edition ，vol. 5, 2187-88; English translation by Fang (1952 [§60.2 under Ziz/if fong/z'an 資治通鐘]， vol. 1,46-47). Zhu Xi 朱熹 argued that Shu Han 蜀漢 was legitimate and that Sanguo Wei 三國魏 was not. Living in a period of struggle with alien states ruling over parts of northern China, he regarded all such states, including Bei Wei, as not legitimate 〇ïanguo 僧國 ) . There­ fore, in his rather uncompromising view, the Nanbeichao and the Wudai Shiguo were periods in which the legitimate succession was interrupted 叩 無 統 ) ; see Bol (2008 [§28.2.1], 100-101). In the later empire, it was Zhu Xi^ view that tended to prevail, largely thanks to the popularity of the Gangmu and the many continuations and simplifications of i t Moreover, events encouraged his restrictive definition of legitimacy. For example, following the crushing defeat of Ming forces in 1449 at the hands of the Oirat Mongols, many historians removed the Liao, Jin, and Yuan from the category of legitimate dynasties. Ban G us use of the calendrical terms regular and intercalary points to another important and practical aspect of legitimate suc­ cession. It was the emperor^ prerogative to establish the standard calendar for the empire. Under no circumstances were alternative (non-standard) ones tolerated, but in practice there were many occasions when the empire was divided and several different calendars were in use. For the historian there were obvious advantages in having one calendar and one legitimate dynasty with no breaks be­ tween reigns. One way of demonstrating continuity was for each dynasty to sponsor the production and publication of official histories, inclu­ ding of the previous dynasty or dynasties. These standard histories, zhengshi IE A , as they came to be called, eventually formed an un­ broken and authoritative account of China's main dynasties (Chap­ ters 47 and 49). Polities judged to be legitimate were usually called chao 朝 or c/iaodaf 朝 代 （ dynasties) as distinct from those considered not in the legitimate succession, or illegitimate, which were referred to as 夕uo 國 （ kingdoms). Thus, the Xia, Shang, and Zhou were collectively called the Sandai 三 代 （Three Dynasties)， while the other states at that time were all kingdoms (states, statelets). Just after the Hatn， there were Three Kingdoms (Sanguo 三國)， all ruled by emperors; in the interval between the Jin and the Sui, there was no consensus as to whether the legitimate succession had been trans­ ferred or interrupted. However, all agreed that the Sixteen Kingdoms were not in the succession, but the Southern Dynasties were. In the early Song， it was decided for obvious reasons that the Five Dynasties in northern China represented the legitimate succes­ sion linking the Tang to the Song (the Song founder had served at one of the northern courts, the Later Zhou). The polities in central

DYNASTIES

and South China were not considered legitimate and hence collectively called the Shiguo 十 國 （Ten Kingdoms). The distinction between chao and guo was not always maintained—during the Song，仕le term ßezchao 北朝 was commonly used to refer to the Kitan Liao and the Jurchen Jin dynasties at a time when neither was considered in the legitimate succession. Beic/iao was later extended as a general term for the dynasties that ruled North China (386-581). Usually, the editors of the standard histories put rulers they considered in the legitimate succession in the basic annals (benji ^ 紀） and those not, in special sections such as zazjï 载 記 （ annals of non-legitimate rulers) or in the biographies (/z.ez/iuan 列傳) . Thus, for example, only the rulers of Wei have basic annals in the Sanguo zhi. The rulers of Shu and Wu are put in the biographies section. Likewise, only the five ruling houses of the Five Dynasties appear in the basic annals of the Jiu Wudai shi. During the Yuan, after much discussion it was finally decided that the Liao and Jin dynasties should be considered legitimate. The Xixia (Xiaguo 夏國 in contemporary Chinese sources) was never even considered for inclusion. Another way of demonstrating continuity was for a new dy­ nasty to repair and guard the tombs of the previous dynasty (§51.5, Box 94). Dynasties, once established, also authorized the worship of their predecessors as part of the state religion. For example, a tem­ ple for past rulers (Lidai diwang miao 歷代帝 王廟）was built in the 1530s at imperial command for the consolidated worship of the founding emperors of the Han, Tang, Song, and Yuan dynasties. It also became standard practice in the later empire for the emperor of a new dynasty to grant a posthumous title to the last ruler of the preceding one (§18.4). The terminology of succession included the following: cftuanto 叩 傳 統 （ to pass on the succession; later, tradition). cuanzez• 篡 賊（ usurpers, such as empress dowager Lü, Wang Mang, or Empress Wu). gç/u 割據 （ separatist polities， such as Wu during the Three Kingdoms). jianguo (non-legitimate states). _/ïan切e 倍竊（ usurpations). yfamwei•倍偽 （ usurpations or puppet dynasties); the ten kingdoms of the Wudai shiguo period were often referred to in this way. /zeguo 列國 （ states appointed by legitimate dynasties, as during the Spring and Autumn and Warring States periods); often in the expression z/zu/ïou /z'印u o 諸侯列國. /wan’an 偏安 （ security in only one part of the country). • 閏位（ non-legitimate position). 無統 （ no unification, as [according to some] between the Zhou and the Qin, the Jin and the Sui, and the Tang and the Song). zhengrun IE K Qegitimate and non-legitimate dynasties), z/iengtong 正統 （ legitimate succession); typically, by origin, an amalgam of two terms found in one of the commentaries to the Classics. The source was the Gonpyang z/ïuan 公羊傳 （ Gonpyanp commentary) to the C/zunçiu 春 秋 （Spnnp and autumn armds). The two terms were dû yitonp 大 一統 （ the great unity) and d û 大居正 （ augustly commands an upright position) in the phrases 何 言 乎 王 正 月 大 一 統 (Why does it mention the kin^s first month? Because he majestically inaugurates a uni/ied system) and 故君子大居正（ Therefore, the superior man aupust-

9

After 1949, Chinese history on the Mainland of China was rein­ terpreted in Marxist-Maoist terms and the concept of zhengtong IE 統 in 仕le old sense was discarded. The //anyu 汉 语 大词 典 (HD) provides a conventional definition with several citations. Per­ haps not surprisingly, the ßncyc/ppedza 〇 / C/imese history (up to 1911), which contains over 67,000 entries, makes no mention of zhengtong in the senses discussed above. Chan, Hok-lam (Chen Xuelin 陳學霖 [1938-2011]). 1984. Patterns of legit­ imation in imperial China. In Chan (§63.5), 1 9 -4 8 . Chaussende, Damien. 2010. Des Trois royaumes aux Jin: Légitimation du poiiyoïWmpérza/ en C/wne au iï/e széde. Paris: Les Belles Lettres. Graham, Angus C. (1 9 1 9 -9 1 ). 1989. The cosmologists. In his Disputers of Tao (§58.6.1), 3 1 5 -7 0 . HiraseTakao 平勢隆郎（ 2007a [§48.1.1.2]). --------- . (2007b [§59.1.9]). Loewe, Michael. 1994. Wang Mang and his forbears: The making of the myth. 7P 8 0 .4 /5 :1 9 7 -2 2 2 . McMullen, David L. 1987. Bureaucrats and cosmology: The ritual code of T^ng China. In Ärtuds o /r o y d /y : Pou/er am / ceremoma/ in frûdrtiona/ societies, David Cannadine and Simon Price, eds. CUP, 181 -2 3 6 . Demonstrates the importance of Confiician sanctioned imperial ritual and the political realities underlying the rhetoric. Also shows that the Da Tang 处 /糾加 /丨•大唐開元禮（ §61.1) was the ancestor for the ritual codes of the Song, Jin, Ming, and Qing dynasties. Pankenier, David W. 1995. The cosmo-political background of heaven's mandate. EC 2 0 :1 2 1 -7 6 . Pines, Yuri. 2001. Name or substanœ? Between zhengtong and yitong — History: Theory and Criticism 2 : 1 0 5 -3 7 . Rao Zongyi 饒宗瞑（ 1 9 1 7 -). 1996 (1977). Z/ion卯 s/iiw/e s/iang z/u z/ienpfo 叩 /im 中國史學上之正統論（ Theories of legitimate succession in Chi­ nese historiography). Yuandong. Usefül anthology of excerpts; reviewed by Xie Gui’an 谢 贵 士 inS /iixue"/un yaryz’u 2005.3. Trauzettel, Rolf (1 9 3 0 -). 1967. Ou-yang Hsiu's essays über die legitime Thronnachfolge. Sinologica 9.3/4: 2 2 6 -4 9 . Van der Sprenkel, Otto (1 9 0 6 -7 8 ). 1960. Chronographie et historiographie Chinoises. In Mélanges publiés par l'Institut des hautes études chinoises. PUF, vol. 2 ,4 0 7 -2 1 . Wang, Aihe. 2000. Cosmology and political culture in early China. CUP. Traces the transformation of Shang Si/cmg 四方 cosmology (the center of which was conceived as the king's body and his ancestral line, through which the world of the gods and the world of humans communicated) and the emergence of Wto.ng during the W aning States; also the political use of Wuxing during the Qin and Han. Based on the authors PhD thesis. Harvard University, 1995. Reviewed by Nathan Sivin, CRI 8.2: 5 6 6 -7 2 (2001). Wechsler, Howard J. 1985. Offerings of jade and silk: Ritual and symbol in the legitimation of the Tang dynasty. YUP. Xu Chong 徐冲 2012 (§46.6.3).

A.3 A bsolute Dates A.3.1 Absolute Year Dates

Absolute year dates in written Chinese historical sources begin in 841 BCE: Gonghe yuannian 共 和 元 年 （ i.e., Z/zou Gong Bohe yizanmari 周共伯和元年 ， the first year of the interregnum of Bohe of Gong [literally, Elder He of the state of Gong). It is the first date recorded in Sima Qian's Chronological tables of the 12 subordinate ly commands an upright position); Chunqiu Gongyang zhuan 春秋公羊 rulers (没 iÿï 14, Shi’er zhuhou nianbiao 十二諸侯年表 ) . It is an ab­ 傳， Yingong yuannian 陰西元年 （ 722 BCE) and Yingong sannian 陰公三 solute date because the historian was able to count back the reigns 年 （ 720 BCE), of Zhou kings from the first year of the Chunqiu (722 BCE) to 841. z/ie 叩 正 位 （legitimate position). He was also able to provide in this and subsequent tables a column Although the theory of legitimate succession (z/ienptong 正統） for every year between 841 and ca. 100 BCE and to supply plenty of was abandoned in the early twentieth œ ntury with the fall of the verifiable historical and astronomical data (after his death, others Qing and the introduction of new ideologies under the Republic, the extended the table forward to 25 BCE). Later Histories carefully term itself remained in use in the sense of aorthodox" and the lead­ record subsequent years, months, and days in an unbroken series ers of the Republic claimed to be the heirs to the orthodox tradition up to the end of the last dynasty and the adoption of the interna­ of the Chinese sages (dao/o 叩 道 統 )• Meanwhile, conservative tional calendar in the twentieth century (§39.9). Prior to 841 BCE, extant Chinese texts record dates and also scholars， such as Qian Mu 錢 穆 （1895-1990) and Jin Yufli 金较 献 (1887- 1962), continued to use zhengfonp 正統 in the old sense in reigns or rulers* names, but because there is no agreement on the length of the reigns, the dates cannot be fixed witii any certainty. their historical works.

10

INTRODUCTION

For example, a date might record that on the second month of the thirteenth year of the king a meeting took place, but although we might know roughly when the king reigned, there is no confirmed date of accession and therefore no way of establishing an absolute date for his 13th year. Sima Q ians own reason for not supplying dates between the starting point of the Shiji (Huangdi, the Yellow Thearch) and 841 is along slightly different lines. It is worth quoting, because it illus­ trates his understanding of the problem and also shows the excep­ tional care and skepticism with which he approached his sources. Bear in mind that this is someone writing 2,100 years ago about ancient monarchs who were believed to have ruled 2,000 years before that:

sults (§56.5.3). Nevertheless, the net effect was to historicize the legendary rulers. The entire retrodicted chronological edifice was not challenged until the first half of the twentieth century by the Doubting Antiquity School (§56.6). In recent years, efforts have continued to extend C hinai abso­ lute chronology further into the past using new dating techniques, newly excavated inscriptions, and a greater knowledge of astronom­ ical cycles. In some cases these have enabled more accurate retrodictions to be linked to recorded events. The results of these and earlier calculations are summarized at §56.7.

A.4 Long P eriods Of Time

The main way of recording time in China from the Zhou dynasty until 1912 was by the year of a reign or part of a reign era ([§39. 11.2]). This has led to the widespread view that people thought of time only in terms of the dynasty in which they lived. Thus, the author of a recent biography of the Ming literatus and historian, Zhang Dai 張 岱 （ 1597-1680), writes on the first page, *Time measured on a Ming framework was the only time Zhang knew...." (Spence, Jonathan. 2007. Return to Dragon Mountain: Memories o f a late Ming man. Viking). This is a curious remark, because Zhang Dai and his contemporaries not only recorded time in terms of the eras (m’a nhao 年號 3 of the Ming (and Qing) dynasties but also thought in terms of the continuous stretch of time that separated their own day from the legendary rulers of the golden age, the great dynasties of antiquity, and all the intervening dynasties. They did so in various ways. Apart from astronomical cycles, the earliest to appear and most frequently used was to add the years of the successive reigns of the intervening dynasties. A method that most people in the late impe­ rial period would have first encountered in their pre-school years in 世紀黄 帝以來訖共和為 世表（ 没 研 13: 48 7 - 88). 仕îe primers like the rhree character c/ass& GSanz〇ïrïp 三字經 ), At Üie end of the 没 h)ï he repeats the main poi’n t, “The three which give the number of years that each of the major dynasties dynasties [Xia, Shang， and Zhou] are ancient and their chronologies lasted. Later they would have read of the influential calculation cannot be known precisely.” 森 三 代 尚 矣 年 紀 不 可 考 （ 没 iÿï 130: made by Liu Xin 劉歆 in the Han that the Xia, Shang, and Zhou 3303). lasted respectively 432, 629, and 867 years. These figures were incorporated into the Hans/îii 漢書 and repeated by later writers. A.3.2 Absolute Day Dates Calculating elapsed time between the Sandai and a w riters own The first day date that is verifiable in Chinese history is February 22,720 BCE (in the proleptic Julian calendar): “On thejfsz•己已 day dynasty was also common. To take but one example, in his valedicof the second month of the third year of the reign of Duke Yin tory edict 〇yiz/2ao 遣詔 ) , drafted in 1714, Üie Kangxi emperor reckoned that more than 300 rulers had reigned for a period of over [posthumous title] of Lu, there was a total solar ecïipse, 陰公三年 4,350 years since the first 60 years of the Yellow Thearch^ reign. 春 王 二 月 己 巳 日 有 食 之 Gonyya 叩 z /ïu a n 春秋公羊傳， Yin 3). It is an absolute date because the eclipse can be corroborated Typically, he pointed out that facts during the Three Dynasties prior by modern astronomical retrodictions. According to Zhang Peiyu to the Qin burning of the books were not always reliable. But 1,960 (1990 [§39.13.2 #3]), its magnitude was 0.47 and it could have years had elapsed since the first year of the First Emperor (246 BCE), and 211 emperors vsdth era names had ruled during this per­ been observed at Qufu at 07:18 hours, Julian day 1458496. From iod {Shengzu shilujuan 275; KX 56.11 [Dec. 1717]). that day onward all Chinese day dates can in Üieory be precisely A second way of calculating long periods of time was familiar to identified up to the present time. For the definition of Julian days and other technical calendrical terms, see §39.5, Box 85, Calendri- all those who were classically literate since at least the Han dynasty. It consisted of counting the number of sexagenary cycles between cal Conventions and Common Confusions. two events (not unlike counting centuries, except the unit contained 60, not 100, years). For example, Zhang Dai took a group of friends A.3.3 Raising Antiquity to visit the site of the Orchid pavilion outside his birthplace, ShaoAll Nations, before they began to keep exact accounts of Time, have been xing, in 1613 because it was a pm’c/zou 癸丑 year and Wang Xizhi prone to raise their Antiquities, Isaac Newton. The chronology of ancient 王我之 had written his famous Preface to the Orchid Pavilion po­ kingdoms amended. London: J. Tonson et al. 1728,43. ems (Lanting ji xu 前亭集序）there in a 夕m’c/iou year (353). Sixty During the reign of Wang Mang, an influential attempt was made to years later, in the next pincftou year (1673)， Zhang revisited the link recorded heavenly phenomena with a revised astronomical Orchid pavilion and recalled his youthful outing, aNow it is a system whose calculations extended back to the legendary age and guichou year again and there have been 22 guichou years from the beyond. This became the basis for the interpolation of sexagenary Yonghe era (353 CE) until now. How fortunate I have been to have year dates from the Yellow Thearch to the Zhou kings. had two such opportunities.” 今年又值 癸丑 . 自永和至今，凡二十二 The results of these and similar efforts in the Tang and Song 癸丑 . 餘兩際之，不 勝 欣 幸 （ Gu lanting b i a n 古 蘭 亭 辨 in Zhang’s were mixed, because (1) very little evidence was found that Sima Lang/zuan 琅 慑 文 集 （ Paradise Collection). Yim Gao 雲告， Qian had not already either used or rejected and (2). the methodolo­ collated and punctuated. Yuelu, 1985,119). gy for retrodicting pre-841 astronomical phenomena and matching Counting in sexagenary cycles was called “Successive years of these with known events was insufficient to produce accurate re­ 力azz” （ Lmian 力'azz• 歷年甲子 ） by the late Ming amateur astronomer, Confucius used the annals of the historians to put in order the Chunqiu (Spring and autumn annals); he noted the initial year of the reign, the sea­ son, the month and the day, such was his exactitude. But when he wrote the preface to the Shangshu (Venerated documents), he only wrote in approxi­ mate terms and cited neither years nor months. While there were a few dates, many were missing and so could not be recorded. Thus when he was in doubt he transmitted his doubts, such was his good faith. As for me, I have read the genealogies. From Huangdi they all have dates. I have checked their chronologies and their genealogical lists as well as the Record