A brief history of the official system in China 9781844641536, 1844641538

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A Brief History of the Official System in China Author: Xie Baocheng Translator: Chen Mirong Polisher: Alastair Robert Wilson

Acknowledgements We sincerely appreciate the hard work of the translator Ms. Chen Mirong, as well as the final polisher Mr. Alastair Robert Wilson. Without their diligent work this English version would not exist. We also sincerely appreciate Social Sciences Academic Press. They have done much work in arranging the preparation of the English version. January, 2013

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Contents Chapter 1

Introducing the Official System in Ancient China .......................................1

1. Evolution of the ancient official system ........................................................................ 3 2. Basic features of the ancient official system ................................................................. 7 3. Major records of the official system.............................................................................11 Chapter 2

Pre-Qin Royal Power and Post-Qin Imperial Power .................................15

1. Lineage-based royal power ......................................................................................... 15 2. Autocratic-oriented imperial power............................................................................. 20 3. Crown Prince, imperial harem and eunuchs................................................................ 25 Chapter 3

The Central Decision-making System .........................................................35

1. The administrative Imperial Secretariat ...................................................................... 37 2. The policy-formulating Secretariat and the advisory Chancellery .............................. 41 3. Intervention of Hanlin Scholars and Palace Secretaries.............................................. 48 4. Installment of the Cabinet and the Council of State .................................................... 53 Chapter 4

The Central Government System ................................................................59

1. Three Dukes and Nine Chamberlains:

Masters of the Outer Court .......................... 59

2. Imperial Secretariat: Overseer of all offices................................................................ 65 3. Three Departments and Six Ministries in transformation............................................ 71 4. The Chancellor abolished, replaced by the Six Ministries .......................................... 78 Chapter 5

Territorial Administration............................................................................84

1. The exterior domain: feuds and fiefs........................................................................... 84 2. The Commandery-County system............................................................................... 88 3. Development of the Province system .......................................................................... 96 4. Administration of bordering areas............................................................................. 101 5. Increasingly sophisticated grass-root administration ................................................ 107 Chapter 6

The Surveillance System.............................................................................113

1. The Palace Aide to the Censor-in-chief and the Metropolitan Commandant .............113 2. Independence of the Censorate ..................................................................................116 3. Assimilation of surveillance and remonstration; addition of agencies for territorial surveillance................................................................................................................ 121 4. The Chief Surveillance Bureau in lieu of the Censorate ........................................... 125 ~iii~

Chapter 7

The Military System....................................................................................130

1. Commanding institutions and military establishment ............................................... 130 2. Establishment of the Imperial Armies ....................................................................... 139 3. Territorial armed forces ............................................................................................. 148 Chapter 8

Personnel Administration...........................................................................158

1. Recruitment and appointment ................................................................................... 158 2. Ranks, titles and salaries ........................................................................................... 172 3. Assessment, rewards and punishments...................................................................... 185 Appendix

Simplified Figures Illustrating the Official Systems of Major Dynasties .................................................................................................................196

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Chapter 1

Chapter 1

Introducing the Official System in Ancient China When introducing the official system and officials in ancient China, we should probably start with the word “official”, for which the Chinese equivalent is “官” (guan in pinyin). In Chinese, guan can be traced back to the oracle bone scripts1 of the Shang Dynasty, and has been defined and interpreted in various ways ever since. In the Western Zhou Dynasty, guan was also known as liao (寮 or 僚). Literally, the former liao (寮) means small window or house, and it was first described as “official” in the phrase “working with you” (ji’er’tong’liao, “及尔同寮”) in the Classic of Poetry2, in which tongliao (同寮) means officials under the same roof, similar to “colleagues” in English. On the other hand, the latter liao (僚) originally meant servants doing hard labor. In the Discourse of the States3, it was combined with guan into one phrase guanliao meaning “bureaucrat”, in which liao means officials’ subordinates, to be more specific, house-keepers or servants. After the Warring States period, many house-keepers and servants of the leadership and aristocracy were promoted to become government officials. Gradually, “bureaucrats” became equated to “officials” in general and in terms of its meaning, guan was defined as a person who serves the sovereign in Explaining Simple and Analyzing Compound Characters4. In short, everyone, be they a high-ranking official or a civil servant, could be counted as guan as long as they acted on the sovereign’s behalf. ———————————— 1 The oracle bone script (Jiaguwen, 甲骨文; literally "shell bone writing") refers to incised ancient Chinese characters found on oracle bones, which were animal bones or turtle shells used in the Bronze Age of China. 2 The Classic of Poetry (Shi’jing,《诗经》) is the earliest existing collection of Chinese poems and songs. 3 The Discourses of the States (Guo’yu,《国语》) is a classical Chinese history book that collected the historical records of numerous states from the Western Zhou to 453BC. 4 Explaining Simple and Analyzing Compound Characters (Shuo’wen Jie’zi,《说文解字》) was an early Chinese dictionary from the Han Dynasty, complied by Xu Shen, a famous Han scholar.

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In Chinese, guan is synonymous with li (吏) and chen (臣). Prior to the Qin Dynasty, li was a general term for all officials regardless of status, whether they were the nobility in the imperial court or lowly clerks in a local office. Guan and li were not distinguished from each other until the Han and Qin dynasties, when senior or ranked officials were called guan while lower clerks or errand-runners were disparaged as li. From the Warring States Period on, guan and li were integrated as a whole, generally denoting all officials of the dynasties thereafter. Chen is another way of saying “official”, especially those officials which work directly for the sovereign. Whoever was designated as “chen” was responsible for civil administration on behalf of the sovereign. With the strengthening of imperial power, officials were bestowed with an increasingly great administrative authority, state institutions increased in size, officialdom swelled and as a result, a more and more complicated official system developed. The official system is a system of officials in which the institution is one aspect and official recruitment is another. To create robust institutions, it was essential to name commanding officers, aides and subordinates, and specify quotas, ranks and responsibilities. From the Qin and Han Dynasties to the Ming and Qing, different organizations and institutions such as courts, bureaus, departments, colleges, and councils, as well as ministries and offices of central government emerged and evolved, as did local and provincial systems. As a result, officials were named in innumerable ways and the number was so large that the Dictionary of Official System in Ancient China included over 21,600 entries. Confusion arose because although there were specifications regarding quotas, ranks and responsibilities for each official in each dynasty, the specifications were not always properly adhered to. For instance, some officials shared the same title but had different responsibilities, some were not highly ranked but possessed exceptional power and vice versa, and some did not carry out their duties properly while others did. Official recruitment was also very complicated, as there were diverse, intricate and detailed methods of selection, appointment, supervision and assessment. Specifications regarding salaries, privileges, rewards and punishments were no less detailed. Given the purpose of this book, a brief introduction will only be given to the official system of the unified dynasties, and the systems of ethnic groups outside ~2~

the unified dynasties will not be touched upon. Since the book is about the history of the official system, a chronological approach will be adopted so as to, through changes in the system, present an overview of how the entire official system evolved in ancient times. At the end of the book, the Appendix Simple Table of Official System of Major Dynasties is attached for reference. Before moving on, let’s first talk about the origins of the ancient official system.

1. Evolution of the ancient official system Since the founding of the Xia Dynasty, the first dynasty in ancient China, the official system had gone through a number of dramatic and complex changes over 4,000 years. Even so, we are still able to uncover the reasons for those changes if we look closely. The three dynasties, Xia, Shang and Zhou, were based on the patriarchal clan system, when the imperial court was dominated by spiritual and political officials. Spiritual officials acted as advisors to the Emperor by means of divination while political officials were in fact administrators, mainly responsible for handling routine affairs for the Emperor. However, as the number of civil and political matters increased, the political officials began to gain ground and the importance of spiritual advisers decreased. In the Western Zhou period, as a result, ministers and scholars presided over political and military issues whereas spiritual advisers and astrologers took over religious, cultural and educational matters. Owing to the custom of enfeoffment, in the civil administration, vassals were bestowed feuds and ministers were enfeoffed with fiefs. At that time, Emperors, vassals and ministers were all hereditary. After the social upheaval in the Warring States period, Qin Shi Huang unified the whole of China under his rule, initiating a brand-new centralized bureaucracy that was carried forward for over 2,000 years. In the system, Emperors were hereditary, but officials were subject to appointment and dismissal by the Emperor or the court. Over these 2,000 years, the system underwent drastic reforms from time to time, mirroring changes in the regimes in charge of the country. Generally, this long span of time can be divided into four phases.

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During the Qin and Han Dynasties, the central bureaucracy instituted three main divisions: political, military and censorial. The government was administered by one (sometimes two) Chancellor (Chengxiang, 丞相) who assisted the Emperor in political affairs, the Great Commander (Taiwei, 太尉) who was in charge of the military, and the Censor-in-Chief (Yushi Dafu, 御史大夫) who exercised censorial powers. Together, the Chancellor, Great Commander and Censor-in-Chief were known as the Three Dukes (Sangong, 三公). Meanwhile, the Nine Chamberlains5 (Jiuqing, 九卿) were tasked to oversee specialized agencies. What is worth mentioning here is that the Chancellor, as assistant to the Emperor, could pose a threat to the throne because of the shear amount of power he could accumulate. Therefore, the Emperor would go to great lengths to liaise with and lead the political administration in an effort to supplant the Chancellor and limit some of his power, and this largely illustrates why the role and power of the Chancellor was constantly changing through all the dynasties. During Emperor Wu’s reign in the Han Empire, it was the imperial court that made decisions and the Three Dukes that chaired the outer palace. Gradually, the Imperial Secretariat (Shangshu Tai, 尚书台 or Shangshu Sheng, 尚书省) developed into the center for decision making and order issuing and the Three Dukes were reduced to taking and executing orders. In the territorial administration, the Commandery-County system (Junxian Zhi, 郡县制) was put into practice, modeled after the triumvirate pattern of a central bureaucracy with a Governor (Shou,守) a Defender (Wei, 尉) and an Inspector (Jian, 监) in each commandery (Jun, 郡) and a Magistrate (Ling, 令), an Aide (Cheng, 丞) and a Defender in each county (Xian, 县). From the Wei and Jin period to the Sui and Tang period, the Three Departments (Sansheng, 三省) system was gradually established in the central government, in which the Secretariat (Zhongshu Sheng, 中书省) took charge of proposing and drafting all imperial edicts and decrees, the Chancellery (Menxia Sheng, 门下省) was to advise the Emperor and the Imperial Secretariat (Shangshu Sheng, 尚书省) held the executive power with their respective directors called the Grand Counselors ———————————— 5 The Nine Chamberlains: the Chamberlain for Ceremonials, the Chamberlain for Attendants, the Chamberlain for the Palace Garrison, the Chamberlain for the Imperial Clan, the Chamberlain of the Imperial Stud, the Chamberlain for Law Enforcement, the Chamberlain for Dependencies, the Chamberlain for the Palace Revenues, and the Chamberlain for the National Treasury.

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(Zaixiang, 宰相). The Imperial Secretariat, which controlled the Six Ministries 6 (Liubu, 六部) and the Twenty-Four Bureaus (Ershisi Si, 二十四司), matured in the Tang Dynasty after developing and evolving over the Wei, Jin, Southern and Northern Dynasties (also known as the Six Dynasties). At the same time, the Six Ministries were also explicitly paralleled by specialized agencies in the Nine Courts 7 (Jiusi, 九寺) and the Five Directorates 8 (Wujian, 五监). During this period, palace and political institutions were differentiated as censorates gained independence with three offices investigating imperial and local officials in more detail while it itself was being scrutinized by central authorities, which was a characteristic of the time. Locally, the Commandery-County system was further developed into circuit (Dao, 道), prefecture (Zhou, 州) and county (Xian, 县). From the Mid-Tang Dynasty to the Yuan period, new changes took place in both central and local government. First of all, scholars of the Hanlin Academy (Hanlin Yuan, 翰林院, also known as Imperial Academy,) and Palace Secretaries (Shumi Shi, 枢密使) began to get involved in the central decision-making system, so that the power of Chancellors (including heads of the Secretariat and the Chancellery) was further split up. Throughout the Song Dynasty, scholars of the Hanlin Academy had a firm hand in policy-making and a tight grip on the implementing decisions. After scholars ousted eunuchs as Palace Secretaries, the secretaries gradually became senior officers in the supreme military institution. Thereafter, the previous pattern of power division among the Three Departments gradually changed, and the Secretariat began to govern the Six Ministries. As a result, the rest of the administrative organs like the Nine Courts and the Five Directorates were either merged, abolished, or reformed. At this point, the trend of supervision system reform was generally characterized by the gradual assimilation of supervision and monitoring, with the overseeing of officials of all ranks, and ———————————— 6 The Six Ministries: the Ministry of Personnel, the Ministry of Revenue, the Ministry of Rites, the Ministry of War, the Ministry of Justice, and the Ministry of Works. 7 The Nine Courts: the Court of Imperial Sacrifices, the Court of Imperial Entertainments, the Court of the Imperial Regalia, the Court of the Imperial Clan, the Court of the Imperial Stud, the Court of Judicial Review, the Court of State Ceremonial, the Court of the Imperial Granaries, and the Court of the Imperial Treasury. 8

The Five Directorates: the Directorate of Waterways, the Directorate for Imperial Manufactories, the Director for the Palace Buildings, the Directorate for Armaments, and the Director of Education.

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a growing number of bodies deployed to supervise local governments. In the Yuan Dynasty, however, three main organs were reinstituted, among which “the Secretariat took charge of governmental affairs, the Palace Secretariat (Shumi Yuan, 枢密院) seized the military power and the Censorate (Yushu Tai, 御史台) scrutinized officials of all ranks”. Having gone through transformation from bipartite to tripartite, the civil administration derived the system of Branch Secretariat (Xingsheng Zhi, 行省制), marking the birth of the later Province system (Fensheng Zhi, 分省制). During the Ming and Qing Dynasties when autocracy and power centralization ran to extremes, the central government undertook some major reforms. Firstly, the chancellor assistance system that had been shaped since the Qin and Han Dynasties was abandoned, as were the Three Departments, namely the Secretariat, the Chancellery and the Imperial Secretariat. The Emperor’s closest adviser-group, consisting of scholars of the Hanlin Academy, made its way to the Forbidden City to participate in discussing policy on important issues, and then developed itself into the Cabinet (Neige, 内阁). The Six Ministries, in addition, became directly subordinate to the Emperor. Yet, in the Qing Dynasty, the influence of the Cabinet was weakened, so the Council of State (Junji Chu, 军机处) was instead established to handle governmental affairs for the Emperor and the Palace Secretariat was abolished. In the Ming Dynasty, the commanders of the Five Armies9 (Wujun, 五 军) took over military affairs and the Censorate, an independent surveillance agency for over one thousand years, was replaced by the Chief Surveillance Bureau (Ducha Yuan, 都察院). While Investigating Censors (Jiancha Yushi, 监察御史) were monitoring state and local officials, the Six Offices of Scrutiny 10 (Liuke, 六科) headed by respective officials were brought into being to supervise the Six Ministries. For territorial administration, the Branch Secretariat system was changed to the Provincial System and each provincial governor was responsible for civil and financial affairs of the province. Ultimately, Viceroys (zongdu, 总督) and Grand Coordinators (xunfu, 巡抚) who directed local governments evolved into ———————————— 9 The Five Armies: the Upper Army, the Central Army, the Lower Army, the New Upper Army, and the New Lower Army. 10 The Six Offices of Scrutiny: the Office of Scrutiny for Personnel, the Office of Scrutiny for Revenue, the Office of Scrutiny for Rites, the Office of Scrutiny for War, the Office of Scrutiny for Justice, and the Office of Scrutiny for Works.

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top military officials for their local area.

2. Basic features of the ancient official system Now that we have considered its evolution, let’s look at the basic features of the ancient official system. In essence, officials were installed to manage the people for the sovereign which, though blurred by the patriarchal clan system in the Xia, Shang and Zhou states, became evident from the Qin Dynasty onward. “Qin Shi Huang merged China into a whole, and assumed for the first time the title of August Emperor (Huangdi, 皇帝) and appointed officials of all ranks”, creating a centralized bureaucracy under his leadership. For over 2,000 years, all officials adhered to the creed that “only when they did as the Emperor had said could they prosper”. Even during the reign of Zhenguan (Emperor Taizhong of Tang), a golden age in Chinese history, Emperor Taizong only took advice from officials who were loyal to him. As a famous saying goes, “the sovereign only accepted faithful counsel, so that his counselors could speak their mind,” which suggested that officials should devote their heart and soul to the sovereign, so being obedient and submissive were the core requirement in ancient officialdom. As such, the Emperor’s personal qualities, political acumen, and cultural interests would determine what kind of bureaucracy there would be. If the sovereign chose wisely and his counselors were able and virtuous the dynasty would have a better chance to prosper, but could suffer if the sovereign did not choose wisely. The ancient administrative system also featured a rigorous set of management mechanism with loyalty at their core, so that the sovereign could effectively and efficiently select and appoint officials. To this end, the imperial examination system played a major role. Unique in the world, it took shape in the Sui and Tang Dynasties and lasted until the end of the Qing Dynasty. It encouraged talented people to take part in fair competition through examinations, but reduced countless intellectuals to committing themselves to the sovereign. No wonder in the Tang Dynasty, it was said that “Emperor Taizong was really smart and far-sighted, as he had gained a wealth of talents to work for him by implementing the imperial examination system”. Emperor Taizong himself also took pride in this, claiming that they had fallen into his trap. ~7~

Rank and salary were obviously set to remind officials to be loyal to the sovereign. It was a seemingly merit-based system, regulating officials through objective assessment, investigation and retirement policies, but they were in fact under the tight control of the sovereign. Take assessment as an example. The assessment system varied from dynasty to dynasty, but the standards, methods and procedures, as well as rewards and punishments were generally similar. On the face of it, the system was used to determine the rank, salary, and title of an official according to his performance, but the assessment gave absolute priority to loyalty. As long as an official threw his energies behind the sovereign, he could expect to be promoted, improve his remuneration and even glorify his ancestors. In addition, although the objective assessment of the system was undoubtedly a measure taken to prevent malpractice and collusion, the Emperor had originally intended it to stop officials from forming cliques. It can be seen, then, that in ancient officialdom the officials served the sovereign, but that the sovereign was on guard against the officials. Besides the stringent management systems, the mechanisms put in place to restrict the power of officials is another salient feature. Since the Qin and Han Dynasties, under the rule of the Emperor, the Chancellor, the Great Commander and the Censor-in-Chief had provided political, military and censorial roles respectively. However, from the Wei and Jin Dynasties to the Tang and Song Dynasties, the three grand powers were replaced by the Three Departments, where the Secretariat formulated policies, the Chancellery advised and discussed policy, and the Imperial Secretariat played the executive role, which was regarded as the best power restriction mechanism in ancient China and even in the world. To quote Kublai Khan, the founder of the Yuan Dynasty, “the Secretariat is the left hand, the Palace Secretariat is the right hand but the Censorate has to keep the two hands under control”, which visually depicts the restrictive relation among the three great powers. In principle, the power restriction system was built to fetter high-ranking officials and contain the whole bureaucracy to stop imperial power falling into their hands. Therefore, by specifying ranks and titles, Emperors were trying every means to set up power restriction mechanisms of many kinds. During the reign of Emperor Taizhong of Tang, authority was decentralized to the Three Departments, thereby restricting each department’s power, while cooperating to reduce administrative mistakes. However, this was an exception, in other dynasties

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the restriction mechanism always gave rise to institutional duplication and redundancy, thereby considerably affecting efficiency. Especially during the Song Dynasty, officials’ titles were divorced from their actual duties resulting in their ability to perform tasks being compromised, and the disconnection resulted in lower efficiency. In relation to the power restriction mechanisms, two major tendencies mirrored the changes in the administrative system. First of all, inner officials of the central government were transferred to run outer offices of central government. Secondly, in the local offices, dispatched censors were usually installed as the highest executives in charge of the commanderies and counties. The central bureaucracy developed during the Warring States period, and house-keepers and servants of each king became officials of the state. Under Emperor Wu of Western Han, the imperial court strived to strengthen its power, elevating ministers and vice-ministers and granting them the access to policy matters to undermine the power of chancellors and rule the outer palace through the inner court, so that the Imperial Secretariat made itself the central policy-making institution and the Chancellor(s) had to follow its orders. As the Imperial Secretariat was inflated with power, it began to shift its focus to the outer palace, so the Secretariat and the Chancellery took over the role of the Imperial Secretariat, coordinating the flow of governmental documents and taking part in decision making. After the turmoil of the Six Dynasties, the Secretariat and the Chancellery had finally marched to the front stage. During the Sui and Tang period, the central government was run by the Three Departments which together got involved in state affairs. From the Mid-Tang Dynasty on, the secretary group stepped into policy-making, when scholars of the Hanlin Academy were deemed as “Inner Ministers” (Neixiang, 内相). At that time, eunuchs announced themselves Palace Secretaries and joined hands with Grand Counselors to handle state affairs. A new “inner-out” pattern was thus in the making. During the Five Dynasties, scholars instead took up role of Palace Secretariat, which in turn became the highest military institution of the outer palace. The Cabinet of the Ming Dynasty copied the Hanlin Academy system of the Song Dynasty and consisted of Hanlin scholars, walking from the backstage to the front and claiming for itself the central institution equivalent to the Grand Council. All in all, there was an urgent need for Grand Counselors to help the Emperor with political matters but there was all the

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while a growing concern that the Grand Counselors might gain influence and challenge imperial power. Therefore, when it was deemed that the inner court had built up too much power, it was sent to take the place of the outer palace. Then a new inner court would be created to guide the outer palace. The cycle went on, so the central institution or the Grand Council kept changing. On the other hand, the local administration was constructed on two major levels, commandery and county. In the Han Dynasty, the country was divided into 13 prefectures as censorial areas, each of which was governed by a Prefect who earned a salary of 600 bushels (Dan, 石) of grain (but the salary was largely paid in coin cash) but who was in turn supervised a commander whose salary rank was 2,000 bushels. By the end of the Eastern Han Dynasty, as Prefects accumulated power, they climbed up the executive ranks, monopolizing power, rising to governors and earning 2,000 bushels. In the Song Dynasty, a censorial unit called circuit (Lu, 路) was initiated above the prefectures, which was administered by the Fiscal Commissioner (Zhuanyun Shi, 转运使) who also monitored commanderies and prefectures. This is partly how local censorial areas evolved into administrative areas. During the Yuan Empire, circuits were transformed into Branch Secretariats (Xing Zhongshu Sheng, 行中书省), officially making them standing local administrative institutions. In the Ming Dynasty, in order to censor the 13 prefectures, the central government would at times send officials like a Viceroy (Zongdu, 总督), a Provincial Military Commander (Tidu, 提督), and a Grand Coordinator (Xunfu, 巡抚) with nominal titles such as Censor-in-chief (Du Yushi, 都御史), Vice Censor-in-chief (Fu Du Yushi, 副都御史) and Assistant Censor-in-chief (Qiandu Yushi, 佥都御史), Viceroy and Concurrent Grand Coordinator (Zongdu Jian Xunfu, 总 督 兼 巡 抚 ), Provincial Military Commander and Concurrent Grand Coordinator (Tidu Jian Xunfu, 提督兼巡抚) to inspect an area or affairs in a certain field. After establishing themselves in an area, Viceroys and Grand Coordinators would gradually develop themselves to become supreme military officials of that area. Lastly, special attention should be paid to a special phenomenon. As a famous saying goes, it is easy to ask the King of Hell for a favor but hard to deal with little devils. If translated into bureaucratic terms, this relates to the many low-level aides who worked within the system. During the Six Dynasties, officials were classified into nine different ranks and the non-ranked aides were not allowed to associate ~10~

with the ranked officials. After the Tang and Song Dynasties, the imperial examination system gained high importance but little attention was paid to the selection of the low-level aides. Nevertheless, as specialized clerks in local offices, the aides actually constituted an indispensible part of the whole official system. Between officials and aides, there were two major differences. Firstly, the tenure of officials would expire but aides were mostly permanent. Moreover, aides had to be locals but officials had to work in places other than their hometown. Consequently, due to the unregulated selection process and nepotism amongst aides, it was not unusual that a local court might be occupied by the same family from generation to generation. Secondly, officials were selected through multiple tests, so most of them had higher political aspirations than the local aides. By contrast, aides muddled along within official circles for a long time, so they were able to get acquainted with and manipulate the system to the cost of both their superiors and subordinates. Although the aides played an increasingly unimportant role in the ancient official selection system, their position gave them a large amount of local power allowing them to ignore the authority of their superiors and abuse the system, take bribes and even kill civilians on occasions. This became major problem for the official system, but few would spare effort to resolve it because the aides were of no threat to imperial power.

3. Major records of the official system Since the founding of the first dynasty, all sovereigns laid great importance on recording their political activities and ways of working. With the development of the official system, the records historiographers kept became more and more systematic and detailed. The Rites of Zhou11 was the first written record to specialize in the government system. It described in great detail the administrative system of the Western Zhou Dynasty. Although it is regarded as an inaccurate book complied by the Jixia School in the State of Qi during the Warring States Period, it is undeniable that it reports systems before the Spring and Autumn period, except that it mixes up with some details with systems from the Warring States and some hypothesis ———————————— 11 The Rites of Zhou is also known by its Chinese name Zhouli (《周礼》).

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contemporary scholars made. More attention should be paid, therefore, to credible texts on surviving bronze inscriptions. From the Han Dynasty onwards, the compilation of biographical histories was gradually systemized. The Records of the Grand Historian12 created the Yearly Table of the Nobles of the Imperial Clan since the Han Dynasty's Founding, the Yearly Table of the Officials who became Marquises in the Time of Gaozu, and the Yearly Table of Statesmen, Generals and Officials since the Han Dynasty's Founding. The Book of Han13 created the Table of Nobility Ranks and Government Offices, and the Book of the Later Han created the Records of Officials, a series of records concerning officials, known as the Records of Government Offices, or the Record of Officials, and was kept in the “Twenty-Five Histories”. After the Records of the Grand Historian, the Book of Han and the Book of the Later Han 14, there are other historical books containing records of officials, including the Book of Jin, the Book of Song, the Book of Southern Qi, the Book of Wei, the Book of Sui, the Old Book of Tang, the New Book of Tang, the Old History of Five Dynasties, the History of Song, the History of Liao, the History of Jin, the History of Yuan, the History of Ming and the Draft History of Qing. Among them, the Records of Officials, the Book of Song traces back to the Eastern Han Dynasty and the Wei and Jin Dynasties; the Records of Officials, the Book of Sui has two volumes specializing in the official systems of the Liang and Chen States in the Southern Dynasties and those of the Qi and Zhou States in the Northern Dynasties. Since the Old History of Five Dynasties invented the Records of Selections, the New Book of Tang, the History of Song, the History of Jin, the History of Yuan, the History of Ming as well as the Draft History of Qing all follow suit, documenting the system of official selection in each dynasty at length. Apart from the Twenty-Five Histories, serial books about institutions and records also chronicle official systems in detail. Since Comprehensive Institutions, ———————————— 12 The Records of the Grand Historian, also known by its Chinese name Shiji (《史记》, literally "Historical Records"), written from 109 to 91 BC, was the magnum opus of Sima Qian, in which he recounted Chinese history from the time of the Yellow Emperor until his own time. 13 The Book of Han (《汉书》 or 《前汉书》, also known as Hanshu or History of the Former Han Dynasty) is a classical Chinese history finished in AD 111, covering the history of China under the Western Han from 206 BC to 25 AD. 14 The Book of the Later Han (《后汉书》, also known as Houhanshu or History of the Later Han), is an official Chinese historical text covering the history of the Han Dynasty from 6 to 189.

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which came to light in the Mid-Tang Dynasty in the Government Offices serial known as the “Three Comprehensives”, comprised of Comprehensive Records, Comprehensive Examination of Literature and the above-mentioned Comprehensive Institutions, in which the part about government offices gives an account of the evolution of official systems spanning from remote ages to the end of the Qing Dynasty. In addition, each dynasty produced a historical book called “Huiyao” (会 要, a compendium of government and social institutions) comprehensively and systematically collecting information about the various systems which made up the elaborate administrative system which could supplement the deficiencies of the Twenty-Five Histories. They are titled the Study of the Seven Warring States, the Huiyao of Qin, the Huiyao of Western Han, the Huiyao of Eastern Han, the Huiyao of the Three Kingdoms, the Huiyao of Jin, the Huiyao of the Song, Qi, Liang and Chen States in the Southern Dynasties, the Huiyao of Tang, the Huiyao of the Five Dynasties, the Draft Huiyao of Song, and the Huiyao of Ming. In addition, there are other books that record the bureaucratic system of ancient China in particular. With regard to the government of the Han Dynasties, there are the Officials of Han, the Interpretation on Han Officials, the Old Rites of Han, the Rites of Han Officials, the Rites and Ceremonies of Han Officials, and the Rites of Han, among which the Old Rites of Han focuses on the official system of the Western Han Dynasty and the remaining five cover the bureaucracy of both the Eastern and Western Dynasties. Although some of the six books are lost, scholars during the Qing Dynasty edited them and they are now included in Pingjinguan Collection and Four Essential Classics and have become a necessity for scholars wishing to research official titles and offices of the Han Dynasty. As for the official system of the Wei, Jin, Southern and Northern Dynasties, there are the Table of Government Offices in the Three Kingdoms, the Yearly Table of Statesmen, Generals and Officials of the Sixteen States (collected in the third volume of The Supplemental Compilation for the Twenty-Five Histories) and the Six Institutions of the Northern Zhou whose author is Wang Zhongluo. The Six Institutions of Tang not only documents the Tang bureaucracy, but also expounds on relevant administrative laws and regulations, including central and local institution settings, duties, quotes, ranks and salaries and moreover, annotates

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the development of other dynasties’ governments. In the Yuan, Ming and Qing Dynasties, quite a few books came out recording the corresponding official system, such as the Statues of the Yuan Dynasty, the Code of the Ming Dynasty, the Code of the Qing Dynasty. In the Song and Qing Dynasties, two books were produced which document the bureaucracy of all dynasties and are now are highly regarded reference books. One is titled the Records of Governments and Offices with 50 volumes, compiled by Sun Fengji in the Song Dynasty and the other, the Table of Officials of All Dynasties, written by the government in the Qing Dynasty.

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Chapter 2

Chapter 2

Pre-Qin Royal Power and Post-Qin Imperial Power As is said in the Biography of Gai Guanrao, the Book of Han, “the Five Emperors (Wudi, 五帝)15 abdicated the crown to able persons but the Three Kings (Sanwang, 三王)16 passed their crowns on to their sons.” Indeed, during the tribal alliance period of clan society, the Five Emperors, as military chieftains, gave up their seats of power to worthy persons. However, the enthronement of Kings in the three dynasties, Xia, Shang and Zhou was entirely along hereditary lines, from father to son. From the Five Emperors to the Three Kings, then, society underwent profound social reform in ancient China, bringing an end to the primitive clan system and ushering in a slave-based system. The establishment of the slave-based society was closely followed by the establishment of a bureaucracy around the royal court.

1. Lineage-based royal power At the end of the primitive clan society when Yu ascended to the throne as the military chieftain of the tribal alliance, sharp wealth polarization and hierarchical difference had caused unrest between clansmen, as well as serious confrontation between clans. Engaged in devising flood control measures and predatory warfare over many years, Yu had personally secured high prestige and absolute power earning him great wealth along with a great many slaves. Rather than belonging to the clan, Yu’s power and wealth had become his personal assets, but this brought the problem of if not the clan as a whole, who would inherit these assets? History has shown that worthy persons are often overlooked in favor of royal princes and ———————————— 15 According to the Records of the Grand Historian, the Five Emperors constituted a group of semi-mythological rulers and cultural heroes from ancient China during the period circa 2500 BC to 2100 BC, including Yellow Emperor (Huangdi, 黄帝), Zhuanxu (颛顼), Emperor Ku (嚳), Emperor Yao (尧) and Shun (舜). 16 The Three Kings refer to founders of the Xia, Shang and Zhou Dynasties, specifically, Yu the Great (Dayu, 大禹) of Xia, King Tang (Tangwang, 汤王) of Shang and King Wu (Wuwang, 武王) of Zhou.

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though Yu ostensibly recommended the experienced Yi to take his place, he secretly strained every sinew to anoint his son, Qi, as his successor. When Yu made his preference quite clear to his vassals, Qi finally won the crown and founded the Xia state in approximately 2100 BC, inaugurating dynastic rule in China and beginning the first chapter of family succession in history. In the Xia Empire, the sovereign was addressed as Hou (后) in Chinese, which was in fact borrowing the title of the clan leader. Xia Hou, meant the King of Xia, Xia Wang (夏王) if rendered into Chinese, and Xia Hou Shi (夏后氏) referred to the clan headed by the King of Xia. In the literal sense, Wang (王) means “axe” (on the oracle bone scripts, Wang was similar to an axe in appearance), a symbol denoting military leaders during the tribal alliance period in clan society, which revealed the inseparable relation between kingship and military power. The title Hou, however, was only used in the Shang and Zhou Dynasties only to honor the king posthumously. From Western Zhou on, it was gradually employed to address the primary consort of the sovereign, such as Wang Hou (Queen, 王后) and the later Huang Hou (Empress, 皇后). The title Wang had stood for supremacy since the State of Xia and was copied by Shang and Zhou afterwards. Yet during the Spring and Autumn Period and Warring States Period, more and more feudal rulers claimed the title Wang (King, but in fact somewhat amorphous and also readily mappable to “Duke” in English), so after Qin Shi Huang’s unified China, he created the new title, Emperor (Huangdi, 皇帝), to designate the sovereign, thus distinguishing himself from Wang and emphasizing his paramount status. To better understand, it is at this point necessary to explain the Chinese term Junzhu (君主), “sovereign” in English, a little bit. Let us say something about Jun first. In Mourning Garments, the Ceremonies and Rites17, Jun (The Ruler, 君) is the most honorable person (in the empire). Zheng Xuan, an influential Chinese Commentator and Confucian scholar near the end of the Han Dynasty noted that whoever owns territory could be counted as a Jun, whether he is the Son of Heaven (Tianzi, 天子), a vassal or a high-ranking official. In short, Jun was used to address ———————————— 17 The Ceremonies and Rites, known as Yili (《仪礼》) in Chinese, is a Chinese classical text about rituals of the Zhou Dynasty.

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aristocrats in possession of territory and it was ownership of territory that was crucial to the use of the term. On the other hand, Zhu (主) refers to the head of a nation or a family with associated subjects and servants. To combine the two, Junzhu means a supreme leader with territory, subjects and servants, so it was used as the title of the sovereign in imperial China. As the supreme rulers, the kings in the Xia, Shang and Zhou Dynasties, integrated divine right and clan law into their kingship to construct a sovereignheaded autocracy and clansmen-dominated state system. The kings monopolized authority by virtue of the Mandate of Heaven (Tianyi, 天意), taking for granted that Heaven had bestowed them the kingship, as indicated in Announcement of the Duke of Shao, the Classic of History18, “the dynasty of Xia was to enjoy the favoring decree of Heaven and the dynasty of Yin was to enjoy the favoring decree of Heaven”, and in the inscription of the bronze Ding vessel cast by Yu (Da Yu Ding, 大盂鼎) stating that “King Wen of Zhou and King Wu of Zhou were endowed with the Mandate of Heaven”. Therefore, the kings were also called the Son of Heaven and Heavenly King. However, they on the one hand made use of their status and power to free themselves from encumbrances, but strived to fetter their subjects to the will of Heaven on the other. Thus, divine right could be seen to be a way of exalting their kingship in order to make it appear more complex and exotic in order to confuse their subjects, when it was in fact in more closely aligned to clan law. Clan law attributed power to lineage and those sharing the same lineage revered the same ancestor and considered themselves as of the same clan. Inside the clan, the maintenance of kinship made it necessary to ascribe superiority and inferiority among clansmen, to specify different powers and duties for clansmen of different ranks and ages, and to decide on the succession order. In primitive clan society, it was a convention to respect and obey ancestors and the elders which was enshrined in clan law, and when a chieftain acceded to the throne he would surely govern the state in the way he had governed his clan before. The state was based on the family (clan) while the family was the basic unit and mode of the state, so the state was ultimately an expanded family (clan). Family succession, though, was ———————————— 18 The Classic of History, commonly known as Shang Shu (《尚书》) in Chines, one of the Five Classics (Wujing, 《五经》) is a compilation of speeches of major figures and records of events in ancient China.

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a basic feature of royal power and thus the three states, Xia, Shang and Zhou, were more like regimes coupling clan law and kingship than regimes inaugurated by divine right. In earlier Chinese literature, there are another two sayings that describe kingship in the three states, as written in Decade of Beishan, Minor Odes of the Kingdom, the Book of Poetry19, “under the wide heaven, all is the king’s land; within the sea-boundaries of the land, all are the king’s servants” and in Ji Shi, the Analects20, “when good government prevails in the empire, ceremonies, music and punitive military expeditions proceed from the song of Heaven”. The first saying focuses on the land and subjects the king possesses whilst the latter is about the decision-making power held by the king on critical state affairs. Punitive expeditions obviously indicate the military power in the king’s hands, while ceremonies and music denote the presiding power the king had in performing sacrifices to God and the ancestors. Sacrifices to God and clan ancestors had strictly prescribed ceremonies and accompanying music and were important to the court because performing sacrifices not only symbolized the paramount status the king enjoyed, but also highlighted his majesty to the clan. No one except the Son of Heaven was entitled to honor the ancestors in this way. The Xia Empire not only originated from the Yu clan, but could also be traced back to the Yellow Emperor. Yu was surnamed Si (姒), whose son was Qi (启, Xia Hou, the King of Xia). The Yu clan also branched into Nan (男), Zhenxun (斟寻), Tongcheng (彤城), Bao (褒), Fei (费), Qi (杞), Zeng (缯), Xin (辛), Ming (冥) and Zhen (斟, known as Zhenguan, 斟灌 for a while). The throne was hereditary within the royal lineage, so Qi succeeded his father, Yu, as the king. Leaders of other sub-clans were enfeoffed with feuds and ennobled as Marquises (hou, 侯) or Earls (bo, 伯), and backed the king up in controlling the empire. In the Shang Dynasty, the King of Shang, i.e., the chieftain of the royal clan, inherited the title as the eldest son of the consort and was honored as the Great Head (Dazong, 大宗) for All under the Heaven (Tianxia, 天下, lit. the world). In the oracle bone scripts, still ———————————— 19 The Book of Poetry (Shijing,《诗经》), translated variously as the Book of Songs, the Book of Odes and so on, is the earliest existing collection of Chinese poems and songs. 20 The Analects (Lunyu,《论语》), also known as the Analects of Confucius, are the collections of sayings and ideas of central Chinese thinker and philosopher Confucius, written by his followers.

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linked with the royal lineage were the royal cousins of princes (Zizu, 子族). The leader of each sub-lineage was called Prince (Zi, 子) who enjoyed power over his own clan. As the eldest son of the consort, the King of Shang used his unique identity and status to keep each Prince under his thumb and through them, kept each sub-clan under control. In the clan, both the King of Shang and Prince were hereditary in two ways, from father to son was known as Shi (世), and from an elder to younger brother, Ji (及). However, the King of Shang attached more importance to passing royal authority to his immediate family, so he prioritized the eldest son for succession. In the early Western Zhou Dynasty, the clan law framed in the Shang Dynasty was further developed and matured. The King of Zhou and vassals of the same surname in fact made up an enlarged clan surnamed Ji (姬). On a personal level, the King of Zhou was not only the ruler of the Zhou State and wielded the political power, but was also the Great Head of the clan. The eldest son was unanimously acknowledged as the first and foremost candidate for the throne, whose rank moreover persisted unchanged within the system for generations. The brothers of the eldest son were enfeoffed as vassals and became Great Heads in their own feuds, but Small Heads (Xiaozong, 小宗) to the King of Zhou, and their respective thrones were also succeeded by their own eldest sons. The brothers of the eldest sons were instated as Ministers and Grand Masters and, similarly, they were Small Heads to their elder brothers but Great Heads in their own sub-clans. Claw law was not only effective among vassals of the same surname, but also applicable to those of different surnames and so the lineage-based system bound the hierarchy layer upon layer and assured the King of Zhou vast power over the entire society, and was the essential feature of royal power in the pre-Qin times. It was this primogenitary system that played a key role in ensuring the smooth handover of royal power. Clan law was also supplemented and made more robust by the enfeoffment system. In Western Zhou, the King of Zhou bestowed fiefs to his sons, Ji-surnamed clansmen and relatives to reflect its clan power. According to legend, King Wu of Zhou, the Duke of Zhou and King Cheng of Zhou enfeoffed 71 of their followers, among whom 15 were brothers of King Wu of Zhou and 40 were of the same surname. After they assumed office in their own fiefdoms, they redistributed power based on clan law within the fiefdom. During the Spring and Autumn Period and the Warring States Period, however,

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the system of royal power tightly coupled with clan law was dealt heavy blows over and over again as empire-wide, the states contended for hegemony, and consequently the absolute power of the King of Zhou was lost. In each fiefdom, the nobility took over state affairs, which resulted in internal disorder and eventually the pyramid political structure among the Son of Heaven, vassals and senior officials, as well as the clan network interweaved by Small Heads and Great Heads, fell apart and royal power based on clan law, hierarchy and official heredity passed out of existence.

2. Autocratic-oriented imperial power Into the Warring States Period, state sovereigns proclaimed themselves Wang (King) one after another in an effort to elevate their status. At the end of the period, the states of Qin and Qi even reached an agreement to declare themselves Di (帝, Emperor). In 288 BC, King Zhao of Qin proclaimed himself the Emperor of the West in Yiyang (modern-day Yiyangxi, Henan Province) and honored King Ming of Qi as the Emperor of the East so as to highlight their superiority over other kings. In 221 BC, King Zheng of Qin captured the young King of Qi and annexed the state of Qi, putting an end to the warring and divided history that had lasted for over 500 years since the Spring and Autumn Period and ushered in imperial rule characterized by autocracy and power centralization. In his own conceit, King Zheng of Qin was more virtuous than the Three Sovereigns (Sanhuang, 三皇)21 and more meritorious than the Five Emperors, so he extracted the two characters “皇” (Huang, lit., imperial) and “帝” (Di, lit., ruler) and joined them together to coin the term Huangdi (皇帝, Emperor) to substitute for the title Wang. From then on, Huangdi stood for supremacy and for power unlimited and unshared. Just as famous sayings in Annals of Qin Shi Huang, Records of the Grand Historian go, “on everything in the world, it is the emperor’s decision to make”, “within the universe, all are the emperor’s land” and “whoever arrives should submit himself to the rule of the emperor.” All these sayings are ———————————— 21 According to the Records of the Grand Historian, the Three Sovereigns may refer to the Heavenly Sovereign (Tianhuang, 天皇), the Earthly Sovereign (Dihuang, 地皇) and the Tai Sovereign (Taihuang, 泰皇) or Fuxi (伏羲), Nvwa (女娲) and Shennong (神农).

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in line with the description for the King of Zhou, “under the wide heaven, all is the king’s land; within the sea-boundaries of the land, all are the king’s servants”. The only difference lay in that the King of Zhou was the paramount representative of the clan while Qin Shi Huang was that of his family. In Qin Shi Huang’s view, the throne was only inheritable within his family, so he explicitly declared: “Zhen (朕, “I” only used by Emperors) am the first emperor. Heirs hereafter will be successively called Second Emperor, Third Emperor and so on down the generations.” However, although the Qin Dynasty was the first imperial dynasty, it did not last very long due to Qin Er Shi’s (秦二世, Second Generation Qin) incompetence and it collapsed 15 years after its establishment. It was not until the Han Dynasty that imperial power was properly considered and institutionalized. During the reign of Emperor Wu of Western Han, Dong Zhongshu carried forward and enriched the long-standing ideology of the Zhou and Qin Dynasties and proposed the idea of Great Unification (Da Yi Tong, 大一统), stressing the importance of formalizing titles and statuses, honoring the king and driving off barbarians. It was he who brought forth the doctrine of “Interaction between Heaven and Mankind (天人感应)” that lay down rules for deciding the legitimacy of a monarch as well as providing a set of checks and balances for a reigning monarch. It was also he who redefined the concept of Tao (道, principle). From his perspective, the absolute monarchy is the will of Heaven and since Heaven is eternal, the most important principles of the autocratic system should remain unchanged. Every new dynasty, at its establishment, should fix the new year’s day, change the clothing color, formulate ceremonial practices, make sacrifices to the Heaven and Earth, and visit the ancestral shrine to demonstrate its willingness of accepting the Mandate of Heaven. During the turmoil that ended Qin and bred Han, the previously long-established clan law suffered a heavy blow but the influence of clan relations lingered on, so the doctrine of the Three Cardinal Guides (Sangang, 三纲) was established, specifically that “ruler guides subject, father guides son and husband guides wife”, which, with imperial power at the core, constituted a theoretical base for the autocratic society. The White Tiger Conference which took place during the Eastern Han Dynasty fully confirmed the supremacy of the Emperor and the limitlessness of imperial power in theory and in practice. At the same time, a scholar named Cai Yong (蔡邕) discussed the supremacy issue in his work Duduan

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《独断》 ( ), also translated as On Ceremonial, where he began with, “In our Han times, the Son of Heaven is properly called “Emperor” and calls himself Zhen (朕). His subjects should call him Bixia (陛下, His Majesty). When he says something, it is called deciding and instructing. When the historiographical officers record events, they refer him as Shang (上, short for 皇上, Emperor). What he rides, what he wears, what he uses are called Chengyu (乘舆). Where he is called Xingzai (行在), where he lives is called Jinzhong (禁中), later Shengzhong (省中). The royal seal is called Xi (玺). If he arrives, it is called Xing (幸). If he enters, it is called Yu (御). As to his commands, there are policy (Ceshu, 策 书 ), decisions (Zhishu, 制 书 ), instructions (Zhaoshu, 诏书) and admonitions (Jieshu, 戒书).” Meanwhile, systems of ceremony, punishment and administration were also established to “set right the position of the sovereign in relation to his subjects”. Ever since Emperor Wu of Han gained the throne, all Emperors thereafter ruled with an era name (Nianhao, 年号), which was carried on until the Qing Dynasty. After Emperors’ death, they were given a posthumous name (Shihao, 谥号), a temple name (Miaohao, 庙号) and a mausoleum name (Lingqinminghao, 陵 寝 名 号 ) as a part of the ceremonial formalities for Emperors. However, Qin Shi Huang ordered to annul the posthumous name because he didn’t allow his subjects and offspring to talk about him, and an effort was also made to honor and confer prestige on Emperors. He ordered instead that the posthumous name be used for the temple dedicated to the dead Emperor’s honor. In the Western Han Dynasty when Empress Dowager was at the seat of power, she resumed the posthumous name system for the Emperor. All these were done to apotheosize the majesty of imperial power and the legitimate supremacy of the Emperor and whoever went against formal procedures and offended the Emperor would be punished severely. For instance, he who forged the emperor’s instruction would be cut in two at the waist and discarded in the street; he who stopped orders from being executed or refused to execute the instruction would also be killed and discarded in the street. Over the 360 years that witnessed the rise and fall of the Three Kingdoms, West and East Jin, Southern and Northern Dynasties, imperial power was set back by the intensifying national amalgamation which caused the frequent changing of regimes, and by the nobility and powerful officials taking control of the court. Not until Sui and Tang were restored as supreme and unified dynasties did imperial power recover. At that time, it was institutionalized that Emperors possessed

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supreme legislative, administrative, judicial and military power. Furthermore, various measures to deify imperial power were perfected, as unprecedentedly imposing palaces and mausoleums were constructed, and ceremonial rituals and rites were established in the form of law codes, such as Ceremonials for the Grand Tang under Emperor Xuan (Da Tang Kaiyuan Li, 《大唐开元礼》) that were carried on by following dynasties. What the Emperor ordered was no longer confined to four command-types (policy, decisions, instructions and admonitions) as more were added and the royal seals stipulating the different purposes became known as the “Eight-Seal System”. In the Mid-Tang age, imperial power was again under threat when eunuchs rose to power and regional military governors undermined civil order, but these problems were addressed by another regime, the North Song Dynasty. In order to stop the maladministration of the Tang and the Five Dynasties from being repeating and to restrain civil and military officers, empresses or empress dowagers, consort clansmen, imperial clansmen and eunuchs from gaining too much power, this new regime worked out a whole set of “domestic disciplines” to concentrate all political, military, financial and judicial powers on the central government, to be exact, on the Emperor himself. The Emperor’s power was thus stronger than ever. This situation was summarized by Ye Shi, a scholar of the Southern Song Dynasty, saying that “owing to the misrule in the Tang and Five Dynasties, the state retrieved all the power to restrain regional military officers. As a result, whether registering a solider, or tracing a financial sum, or defending a territory, it was a matter within the emperor’s duties.” The situation persisted unchanged throughout the Northern and Southern Song Dynasties when the Emperor was all-powerful and had to cope with long-existing problems as well as unexpected arising matters, and his subjects were not allowed to interfere. In the ensuing three dynasties, Liao, Jin and Yuan, the indigenous Khan and aristocratic systems prevailed, so imperial power was somewhat curtailed, which was totally different from the situation in the Tang and Song Dynasties when the emperor monopolized power. In the Ming Era, imperial power was so enhanced that the Chancellor-based system from the Qin and Han Dynasties was abandoned and the sovereign enjoyed unfettered power. As Emperor Taizu of Ming (Emperor Hongwu, Zhu Yuanzhang) had announced, “Our Ming Dynasty abolished the post of Chancellor

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and installed offices like Five Chief Military Commissions (Wufu, 五府), Six Ministries, Chief Surveillance Bureau (Duchayuan, 都察院), Office of Transmission (Tongzheng Shisi, 通政使司) and Court of Judicial Review (Dali Si, 大理寺) to administer general affairs. They compete with each other but respect each other at the same time and the imperial court makes the final decision.” After the post of Chancellor was abandoned, the Emperor took over the Chancellor’s power and integrated it into his imperial power. In the early Ming Dynasty, as a result, Emperors like Hongwu, Yongle and Xuande were all equipped with huge power, unrivaled in the other dynasties, which was consolidated by two sets of secret service, the Imperial Bodyguard (Jinyi Wei, 锦衣卫, literally “Brocade-Clad Guard”) and the Eastern Depot (Dongchang, 东厂) & the Western Depot (Xichang, 西厂). When Emperors themselves were unable or unwilling to shoulder such a heavy responsibility, imperial power was often diluted and responsibilities passed either to Senior Grand Secretaries (Shoufu, 首辅) or to eunuchs, leading to the breakdown of the dynasty. To different degrees, this was common in the middle and late stages of the Han, Tang and Song Dynasties, but the situation in the Ming Empire was more serious. The autocracy in the Qing Dynasty was not as extreme as that of the Ming Dynasty, though admittedly Emperor Kangxi had stressed “the power over All Under the Heaven should be gripped by the Emperor and shouldn’t fall into others’ hands” and Emperor Qianlong later reiterated this view. The imperial power problem in the Qing Dynasty was somewhat distinctive as prior to the mid-reign of Emperor Kangxi, the hangover of the Manchu Khan system in addition to Emperors Shunzhi’s and Kangxi’s premature accession to the throne, ceded grand power to the hands of secretaries and regents, so that imperial power was constrained. After Emperor Kangxi assumed office, he strived to develop systems to hamper the Manchu nobility from interposing in political matters so as to heighten imperial power, but not until the early Yongzheng period was the throne succession system made more robust. The unofficial Council of State (Junji Chu, 军机处) forcibly installed authority centralization when the Emperor decided upon Grand Ministers of State (Junji Dachen, 军 机 大 臣 ) who followed his instructions absolutely, and took up military responsibilities and assisted in major issues. The Qing Emperors rather wisely, then, set up a highly efficient, trustworthy but ultimately powerless organ which had not only made imperial power secure

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but had also shared the Emperor’s burden, in comparison to Emperor Hongwu who abolished the post of Chancellor and took care of everything on his own. After 1840 during Emperor Daoguang’s reign, imperial power suffered many setbacks due to the invasion by Western Powers, and all management and control systems were eroded by Western forces to varying degrees. In 1911, the Xinhai Revolution overthrew the Qing Dynasty, making it the last imperial dynasty in China and discontinuing the sacred and inviolable imperial system. By strengthening imperial power and maturing the imperial system, the Emperor aimed to manipulate his subjects, bridle their aggressiveness and strip them of power, so as to bring the bureaucracy under control. Developed dynasty after dynasty, imperial power finally became a form of extreme dictatorship, but it was doomed not to last from the very start because throne succession was confined to the royal lineage only, turning a blind eye to non-royal figures. Almost every dynasty was first ruled by able Emperors who could make good use of the imperial system to maneuver their power and keep their subjects in check, thus ensuring their de facto supremacy and creating an epoch of peace and prosperity. Yet as the dynasty moved forward, usually to the middle and late stages, it was like a portended curse that fatuous Emperors would come to the throne who were not only incapable of reining in their subjects, but were manipulated by powerful ministers, eunuchs and consort clansmen, to devolve imperial power. This was the inextricable problem inherent in the imperial system based on family succession.

3. Crown Prince, imperial harem and eunuchs Supplementary to the monarchical system, there were also complete systems for the Crown Prince (Taizi, 太子), imperial harem and also the service systems for the royal house. Turning first to the system for the Crown Prince, the Emperor’s position had been hereditary since the rule of Yu the Great (Dayu, 大禹) and as has been mentioned above, there were two ways for succession in the Xia and Shang States, namely, from father to son and from an elder to his younger brother. In the late Shang Dynasty, the agnatic primogeniture system, along with clan law, gradually came into being. From Western Zhou onwards, the system had acted closely in line with clan law and the Great Head and Small Head system and became an important ~25~

basis for structuring arrangements for the Crown Prince in generations thereafter. During the Qin-Han Period, the successor to the throne was called Huang Taizi (皇 太子, Great Imperial Son), commonly known as Taizi (太子), whose English rendering is Crown Prince. Since the Crown Prince lived in the Eastern Palace, the Palace was also used to refer to the Crown Prince. Those serving the Crown Prince were called Officials of the Crown Prince (Taizi Guan, 太子官) or Officials of the Eastern Palace (Donggong Guan, 东宫官), also known as Officials of the Palace (Gong Guan, 宫官). Ever since the reign of Emperor Gaozu of Han, it had been a convention that the emperor had to name the Crown Prince out of his male offspring before his death, which was a lesson learned from the collapse of the Qin Er Shi regime, so as to make sure that monarchical power was handed over within the family. At that time, it was believed that if Qin Shi Huang had pre-crowned his eldest son Fusu (扶苏), his younger son would have had no opportunity to plot to make “Qin Er Shi” out of himself; he therefore destroyed his hard-earned empire himself through neglecting to secure succession rules. To avoid this problem, in later dynasties, special importance was attached to the designation of the heir apparent to the throne, and it was stressed that “the Crown Prince was the root of All under Heaven; if the root shook, All under Heaven would quake as well.” A group of officials were also employed to educate the Crown Prince and serve him including a Grand Mentor (Taifu, 太傅) to tutor the Crown Prince and a Junior Mentor (Shaofu, 少傅) to, apart from advising him, manage the Crown Prince’s office. The office of the Crown Prince was headed by the Supervisor of the Household (Zhanshi, 詹事) with the assistance of the Director of the Watches (Taizi Shuaigeng Ling, 太子率更令), the Household Provisioner (Taizi Jialing, 太子家令), Coachmen of the Crown Prince (Taizi Pu, 太子仆) and Defense Guards of the Crown Prince (Taizi Weishuai, 太子卫率), among others. During the period spanning the Three Kingdoms, Wei, Jin, Southern and Northern Dynasties, monarchical power was weakened and throne succession was also in a disorder. Although the system of naming the Crown Prince in advance shaped in the Han Dynasty was adopted in most cases and an official system was correspondingly established for the Eastern Palace, few so-designated Crown Princes had in reality ever succeeded to the throne. During this period, over 30 regimes emerged, more than 20 of which played out like tragedies of jealousy and distrust, whether it was the Crown Prince ~26~

plotting against the Emperor, or brothers against each other, all for the sake of winning the throne. Nonetheless, the official system of the Eastern Palace gradually matured after this period, laying a solid foundation for the Crown Prince system of the Tang and Song Dynasties. In the Tang Empire, all Emperors, during their reigns, had to confer the title of the Crown Prince in a grand ceremony and made it known to the public right after the event. The Eastern Palace was modeled after the Forbidden City, but on a smaller scale. In the east was installed the Left Secretariat of the Crown Prince (Zuo Chunfang, 左春坊) and in the west was the Right Secretariat of the Crown Prince (You Chunfang, 右春坊), both in general charge of the household of the Crown Prince. The Eastern Palace was staffed with the Grand Preceptor (Taishi, 太师), Grand Mentor (Taifu, 太傅), Grand Guardian (Taibao, 太保), Junior Preceptor (Shaoshi, 少师), Junior Mentor (Shaofu, 少傅) and Junior Guardian (Shaobao, 少保), all suffixed “of the Crown Prince”, to school the Crown Prince. The Household Administration of the Heir Apparent (Zhanshi Fu, 詹事府) resembled the Imperial Secretariat of the central government, headed by the Supervisor of the Household (Zhanshi, 詹事) and Vice Supervisor of the Household (Shao Zhanshi, 少詹事) who governed the Court of Household Provisioners (Jialing Si, 家令寺), Court of the Watches (Shuaigeng Si, 率更寺), Livery Service (Pusi, 仆寺) as well as Left and Right Defense Guards (Weishuai, 卫率), Left and Right Protective Guards (Siyu Shuai, 司御率), Left and Right Police Patrol Guards (Qingdao Shuai, 清道率), Left and Right Gate Guards (Jianmen Shuai, 监门率), Left and Right Inner Guards (Neishuai, 内率). The Left Secretariat of the Crown Prince was equal to the Chancellery, which was administered by the Left Mentor (Zuo Shuzi, 左庶子) and Companions (Zhongyun, 中允). The Right Secretariat was identical to the Secretariat of the imperial court, managed by the Right Mentor (You Shuzi, 右庶子) and Secretaries (Zhong Sheren, 中舍人). This set of administrative offices actually copied that of the imperial court, so that the Crown Prince could take advantage of this miniature court to learn the essence of administration and build up his political competence. In the early Tang Dynasty when the Emperor was on tours outside of the capital, it was often the Crown Prince who took care of the country in his absence, sometimes heading military forces in punitive expeditions. The Emperor later, however, gradually restrained the Crown Prince from taking charge of state affairs and even tried to

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weaken the power of the Eastern Palace and reduce the power of officials there, in order to prevent the Crown Prince from gaining increasing power and usurping the throne. Yet, however sound the system for the Crown Prince was, succession to the throne was hardly a smooth process. In the Tang Dynasty, there were, as well as Empress Wu, 20 emperors in total, and although Li Yuan founded the empire as Emperor Gaozu, among his large number of progeny only Emperor Dezong and Emperor Shunzong acceded to the throne through the official succession process. It was not until the Qing Era that Emperor Yongzheng initiated a confidential system for designating the Crown Prince. This involved the Emperor placing the succession papers in a sealed box and hiding the box behind the tablet with a right-to-left script reading Zheng Da Guang Ming (正大光明, meaning “To be decent, honest or magnanimous”, or “to have no secret or do a shameless deed”) in the Palace of Heavenly Purity (Qianqing Palace, 乾清宫), only to be opened and announced after his death. This was indeed a smart move, because it not only spotlighted the absolute authority of the Emperor, but also broke the convention that the throne was inheritable to no one but the eldest son. As such, the Emperor could select the best out of his many sons and ensure that his empire could thrive longer. Moreover, since the would-be Crown Prince was held in strict confidence, the Emperor’s rival sons would wage much fewer wars of succession and power-related struggles between the Emperor and the Crown Prince were also avoided. Turning now to the imperial harem, the close connection between imperial power and clan law made it necessary to build a corresponding harem system to distinguish the Empress from other wives of the Emperor. As is said in a Confucian masterpiece the Book of Rites 22 , “anciently, the Empress of the Son of Heaven divided the harem into six palace-halls, (occupied) by 3 Mistresses (Furen, 夫人), 9 Concubines (Pin, 嫔), 27 Hereditary Consorts (Shifu, 世妇) and 81 Lesser Wives (Yuqi, 御妻); these were instructed in the domestic and private rule which should prevail throughout the empire.” In the Han dynasty, the Qin harem system was followed, when the Emperor’s grandmother was revered as the Grand Empress ———————————— 22 The Book of Rites (Liji,《礼记》), also translated as the Classic of Rites or Record of Rites, was one of the Five Classics of the Confucian canon.

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Dowager (Tai Huang Taihou, 太皇太后), his mother as the Empress Dowager (Huang Taihou, 皇太后), his primary consort as the Empress (Huanghou, 皇后) and his concubines as Mistresses (Furen, 夫人). During the reign of Emperor Yuan of Han, there were as many as 14 appellations for concubines ranked by importance. The Lady of Bright Deportment (Zhaoyi, 昭仪), among one of the diversified appellations, was comparable to the Chancellor in the status and to the Feudal Lord in the rank of nobility, whilst the Lady of Handsome Fairness (Jieyu, 婕妤), was comparable to the Minister and the Marquis. These concubines not only served the Emperor as his wives, but also governed the harem as female officers and there was a specialized administration allocating them specific tasks. During the Wei, Jin, Southern and Northern Dynasties, the harem system was gradually shaped into one in which the Empress had the leadership over the 3 Mistresses, the 9 Concubines, the 27 Hereditary Consorts and the 81 Lesser Wives. During the Sui-Tang period, the hierarchical harem system was further improved and modeled after the Six Ministries and Twenty-Four Offices of the imperial court with female officials of all ranks and descriptions. The harem system as a whole was carried on by successive dynasties, but with a few changes in responsibilities. For instance, in the Song Dynasty, it was the Palace Domestic Service (Neisheng, 内 省) of the Imperial Secretariat that took care of the harem, but in the Ming Dynasty, this was eunuchs’ duty. Problems arose in the harem system when privileges were given to consort clans and this gave rise to some conflict between clans. In the early Han Dynasty when Empress Lv acquired the de facto rule, she willfully ennobled her clansmen, which triggered other consort clans to contend for imperial power. In the late years of the Western Han Dynasty, the Emperor was under-aged, and consort clans were all very powerful, and engaged in an open and covert struggle for power. The Han Dynasty was as a consequence toppled by Wang Mang (王莽), a nephew of Empress Wang. It was strictly stipulated in the early Eastern Han Dynasty and the Cao-Wei Dynasty that “consort clansmen were not allowed to be ennobled and step in political issues” and “whoever is against the stipulation would be put to death”. However, when the emperor was too young to rule the country, consort clansmen naturally constituted an immense power to threat the throne. In the late Eastern Han dynasty and during the Southern and Northern Dynasties, it was common that consort clansmen intervened in government affairs and even usurped

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state power. Take the Tang Dynasty as an example. In that age, Empress Wu declared herself as the ruler, Empress Wei strived in vain to take the throne, and Honored Consort Yang (Yang Guifei, 杨贵妃) was so favored by Emperor Xuanzong that her family was greatly empowered. In the Song Dynasty, the government was on much closer guard against consorts and their clansmen who were legally fettered in every act. For this reason, there were far less cases where consort clansmen interposed in the political administration and usurped the throne during the Song-Ming period. In comparison, the harem system of the Qing Dynasty was much less complicated. Under the Empress, there was only one Imperial Honored Consort (Huang Guifei, 皇贵妃), two Honored Consorts (Guifei, 贵妃), four Consorts-in-ordinary (Fei, 妃), 6 Concubines (嫔), plus an unlimited number of other consorts and concubines like Worthy Ladies (Guiren, 贵人), Palace Women (Changzai, 常在), and Responding Ladies (Daying, 答应). Meanwhile, an imperial convention dictated that the Empress Dowager was forbidden from intervening in government matters; Empress Dowager Cixi was the only one throughout the dynasty that managed to violate this rule and interfered in state affairs. Looking at the imperial service system, records of eunuchs in China can be dated back to the Shang and Zhou Dynasties where they were minor officials taking charge of affairs in the sovereign’s personal life. Ever since the Warring States Period, it was the Chamberlain for the Palace Revenues (Shaofu, 少府), one of the Nine Chamberlains, who was responsible for imperial service. Into the Wei-Jin period, the Court for the Palace Revenues (Shaofu Si, 少府寺) gradually became an agency of the central government supervising a variety of artisan workshops producing goods for palace use, when the Chancellery took over the imperial service. In the State of Northern Qi, the Palace Security Service (Zhongshi Zhongsheng, 中侍中省) was instituted to deal with affairs of the palace. In the Sui-Tang times, the Palace Administration (Dianzhong Sheng, 殿中省) was in place to look after the Emperor, surveying Six Services, namely, the Food Service (Shangshi, 尚食), Palace Medical Service (Shangyao, 尚药), Clothing Service (Shangfu, 尚服), Accommodations Service (Shangshe, 尚舍), Livery Service (Shangcheng, 尚乘) and Sedan-Chair Service (Shangnian, 尚辇). At the same time, the Palace Domestic Service (Neishi Sheng, 内侍省), also known as the Directorate of the Palace Domestic Service (Changqiu Jian, 长秋监), was established to provide intimate personal service for

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the imperial family, announce edicts and decrees, and govern six other services, including the Palace Discipline Service (Yeting, 掖庭), Palace Gates Service (Gongwei, 宫闱), Menials Service (Xiguan, 奚官), Livery Service for the Empress (Neipu, 内仆), Palace Treasury (Neifu, 内府), and Inner Quarters (Neifang, 内坊). From Mid-Tang on, the Court of Palace Attendants (Xuanhui Yuan, 宣徽院), from the beginning divided into a Southern Court and a Northern Court, was added to the system for imperial service. In the Song Empire, the Palace Eunuch Service (Runei Neishi Sheng, 入内内侍省) was set up in addition to the imperial service bureau, whose appointees enjoyed free access to the harem. During the Jin and Liao Dynasties, the Palace Domestic Service was incorporated into the Court of Palace Attendants. Yuan however was devoid of a bureau handling palace affairs. In the Ming Era, eunuchs and palace women were in charge of imperial service while in the Qing Dynasty, the Imperial Household Department (Neiwu Fu, 内务府) took over the service. In ancient China, eunuchs were ranked or titled in different ways and accordingly shouldered different responsibilities, playing a unique role in palace management. As far back as Western Zhou, they had multiple names, such as Chief Steward (Shiren, 寺人), Senior Palace Attendant (Xiangbo, 巷伯), Palace Doorman (Yanyin, 阉尹), Palace Attendant (Nei Xiaochen, 内小臣) and so forth. During the Spring and Autumn Period, they were called Waiter (Xingchen, 刑臣), Attendant (Juanren, 鋗人), and Palace Server (Sigong, 司宫) in states like Qi, Chu and Jin. In the State of Zhao, the post of Director of Eunuchs (Huanzhe Ling, 宦者令) was created. Qin appointed eunuchs to staff the Livery Office (Chefu, 车府) headed by the Director of the Livery Office (Chefu Ling, 车府令), officially known as the Director of the Palace Livery Office (Zhong Chefu Ling, 中车府令). After Qin Shi Huang proclaimed himself the emperor, some eunuchs even climbed up the ladder of Chancellor, who were then addressed Palace Chancellor (Zhong Chengxiang, 中丞相). In Western Han, directors and aides subordinate to the Chamberlain for the Palace Revenues were all assumed by eunuchs, like the Director of Palace Receptionists (Zhong Yezhe Ling, 中谒者令), Director of Eunuch Attendants (Huangmen Ling, 黄门令), Director of the Palace Discipline Service (Yeting Ling, 掖庭令), and Director of Eunuchs (Huanzhe Ling, 宦者令), to name just a few. The Empress was immediately attended by the Director of the Palace Domestic Service (Da Changqiu, 大长秋), a post filled either by a eunuch or a

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scholar. Eastern Han valued eunuchs a great deal and employed them to hold a number of posts under the Chamberlain for the Palace Revenues like the Palace Attendant-in-ordinary (Zhong Changshi, 中常侍), Palace Attendant (Xiao Huangmen, 小黄门 or Zhong Huangmen, 中黄门), Director of Eunuch Attendants (Huangmen Ling, 黄门令), Director of the Palace Discipline Service (Yeting Ling, 掖庭令 or Yongxiang Ling, 永巷令), Director of the Palace Wardrobe (Yufu Ling, 御府令), Director of Sacrificers (Cisi Ling, 祠祀令), and Director of Imperial Parks Products (Goudun Ling, 钩盾令), among whom the Palace Attendant-in-ordinary, a post directly serving the Emperor, naturally enjoyed the highest status. By the end of Eastern Han, eunuchs even got a foothold in imperial guard posts. During the Southern and Northern Dynasties, the Director of the Palace Domestic Service managed all the eunuchs in the State of Liang; in the State of Qi, the Court of Palace Attendants (Shizhong Sheng, 侍中省) was largely staffed with eunuchs, and the Court of the Palace Domestic Service (Changqiu Si, 长秋寺) was dominated by eunuchs. The Palace Domestic Service was partly filled by scholars in Sui, but was all eunuchs in Tang. Into the Mid-Tang period, eunuchs took up greater responsibilities, holding important posts like the Inner Palace Secretary (Nei Shumi Shi, 内枢密使), Palace Provisions Commissioner (Xuanhui Shi, 宣徽使) and Inspector of the Armies (Guan Junrong Shi, 观军容使) supervising generals and marshals. In Song, the Palace Eunuch Service was entirely staffed with eunuchs. Ming is noted for its enormous eunuch bureaucracy and during this period the famous Twenty-four Agencies included Twelve Directorates23, Four Offices24 and Eight Services25, each headed by chief officials like the Eunuch Superintendent (Tidu Taijian, 提督太监) and Seal-holding Director (Zhangyin Taijian, 掌印太监) leading 100,000 eunuchs. Eunuchs in the Directorate of Ceremonial were more powerful than the Steward-bulwark of State (Zaifu, 宰辅). In the Qing Empire, eunuch agencies were all abandoned in favor ———————————— 23 The Twelve Directorates include the Directorate of Palace Eunuchs, the Directorate for Palace Accounterments, the Directorate for Imperial Regalia, the Directorate of the Imperial Horses, the Directorate for Imperial Temples, the Directorate for Palace Delicacies, the Directorate of Palace Seals, the Directorate for Credentials, the Directorate for Palace Maintenance, the Directorate for Imperial Apparel, the Directorate for Intimate Attendance and the Directorate of Ceremonial. 24 The Four Offices are the Firewood Office, Bells and Drums Office, Paper Office and Bathing Office. 25 The Eight Services are the Palace Armory, Jewelry Service, Palace Laundry Service, Caps and Kerchiefs Service, Sewing Service, Palace Weaving and Dyeing Service, Condiments Service and Garden Service.

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of the Office for the Imperial Private Life (Jingshi Fang, 敬事房) subordinate to the Imperial Household Department. The office was headed by the Supervisor-in-chief (Zongguan, 总管) and Vice Supervisor (Fu Zongguan, 副总管), responsible for serving the personal needs of the Emperor, his immediate family and his intimate attendants in the private residential quarters of the imperial palace. However, lured by imperial power, some eunuchs were not content with simply serving the Emperor and his harem in their daily life, so they shifted their focus and took a hand in state affairs, which had disastrous results. At the same time, the Emperor, in order to centralize his power and control courtiers, trusted his closest eunuchs so much that he often assigned them important tasks, so that they began to get access to the political circle. In the Qin Dynasty, Qin Shi Huang had authorized Zhao Gao (赵高), the Director of the Palace Livery Office, to hold tallies and seals, however, this empowerment resulted in speeding up the downfall of the Qin Dynasty during the reign of Qin Er Shi. In the Han Era, Emperor Wu entrusted eunuchs of the Secretariat with political missions, so their participation in politics was made legitimate during that time. During the Eastern Han period, Emperor He ascended the throne at a young age, when the powerful Dou consort clan, especially Dou Xian, dominated court politics. Determined to weaken his power, Emperor He relied heavily on eunuchs who were wary of consort clansmen, and so eunuchs began to prosper and find favor in the court. Yet, because eunuchs were involved in politics, they inevitably represented a challenge to imperial power. In the middle and late states of the Tang Dynasty, the Emperor gradually lost their faith in civil and military ministers but attached much importance to eunuchs around him. For instance, observing that the eunuch Li Fuguo had been a big supporter of him, Emperor Suzong commissioned Li as Adjunct of Supervisor of the Military Command (Pan Yuanshuai Fu Xingjun Sima, 判元帅府行军司马) and conferred him with military credentials. During the reign of Emperor Daizong, the eunuch Yu Chao’en was designated the National Inspector of the Armies (Tianxia Guan Junrong Xuanwei Chuzhi Shi, 天下观军容宣慰处置使) and entitled to lead the Army of Inspired Strategy (Shence Jun, 神策军), the main force of the Imperial Armies (Jinjun, 禁军). Meanwhile, some eunuchs were assigned many and various tasks, an imperial effort made to gradually replace courtiers of the Three Departments and Six Ministries. In particular, eunuchs as Palace Secretaries (Shumishi, 枢密使) were placed in the most crucial positions, and were even level with Grand Councilors

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in political affairs in late Tang. Indeed, during that period, eunuchs supported 13 Emperors, ranging from Emperor Suzong to Emperor Zhao, in ascending the throne, but some of the Emperors, including Emperor Shunzong, Emperor Xianzong, Emperor Jingzong and Emperor Wenzong, were murdered by them. In the Song Dynasty, preventative measures were taken against eunuchs so that none of them had the nerve to intervene in politics. However, in the Ming Dynasty, Emperors were so autocratic that the post of chancellor was abolished and eunuchs were highly valued again, so they re-obtained the license to the political arena. Emperor Yongle of Ming was greatly indebted to eunuchs for foiling a conspiracy to usurp the throne, so he held them in high esteem and consequently, the secret service like the Eastern Depot (Dongchang, 东厂) was under eunuchs’ control. In Mid-Ming, eunuchs wrested much authority from courtiers and committed killings at will through the Eastern and Western Depots to consolidate their power. The situation in which eunuchs monopolized power was even graver than that in the Han and Tang Dynasties. In the Qing Dynasty, an imperial convention was formulated that eunuchs were strictly prohibited from taking part in politics, so they were restricted to roles as servants and attendants specialized in looking after the Emperor and his family, stripped of every opportunity to interpose in state affairs, thus preventing them from positions of great power. Although eunuchs An Dehai and Li Lianying caused political problems during the reign of Empress Dowager Cixi, they were an exception and posed no threat to imperial power.

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Chapter 3

Chapter 3

The Central Decision-making System In each and every dynasty, the Emperor sought a highly-effective decision-making body to meet his needs because central decisions not only embodied his will, but were also tied to the fate of the nation. During the Xia-Shang period, major decisions were chiefly made through divination and professional diviners were part of the Xia court. In the Shang age, according to evidence from oracle bone scripts of that time, every decision the King of Shang made was owed to divination. An idea would be executable if a propitious sign appeared on tortoise shells or animal bones and since the King of Shang claimed the Mandate of Heaven, his decision stood for the will of Heaven and divination thus became the only means for the King of Shang to rule his state. Although it has been recorded that kings in both the Xia and Shang Dynasties had consulted the Four Supports (Sifu, 四辅), Preceptors (Shi, 师), or Guardians (Bao, 保), it was the kings who made the final decision. At that time, the king was so deified that he played a core role in making every big decision and his decision was sacred and inviolable. The situation in the Western Zhou Dynasty was in general similar to that of the Shang time, but with some subtle changes. At that time, the Western Zhou Kings had to secure consent and support of important officials like Preceptors, Secretaries and Guardians when making and implementing decisions. As is documented in Annals of the Zhou Dynasty, the Records of the Grand Historian, “when King Wu of Zhou was enthroned, he designated Jiang Ziya (also called Tai Gong Wang, 太公望) as the Mentor, the Duke of Zhou (Zhou Gong Dan, 周公旦) as the Secretary, and the Duke of Zhao and the Duke of Bi to advise him” and in his crusade against King Zhou of Shang, he relied heavily on these courtiers in making every big decision. His successor, King Cheng of Zhou, was under age at enthronement, so the Duke of Zhou assumed the role of regent, but had beforehand sought approval for this from Jiang Ziya, the Duke of Zhao and others.

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When King Cheng of Zhou began his reign, he appointed the Duke of Zhao as the Guardian and the Duke of Zhou as the Preceptor who offered him advice with regard to sending troops to battle the Huai Barbarians (Huai Yi, 淮夷), building Luoyi (洛邑) as the ruling center, and relocating supporters of the Shang Dynasty. In sum, in early years of the Zhou regime, most big decisions the kings made were subject to immediate intervention and support of powerful ministers like Preceptors and Guardians. Not until the middle and late stages of Western Zhou did this situation change, when the Kings of Zhou became more and more autocratic which, however, foreshadowed the decline of the dynasty. Into the Spring and Autumn and Warring States periods, the court discussion system was gradually brought into being to help formulate state policies. In the system, a clear distinction was made among the inner court (Neichao, 内朝), the middle court (Zhichao, 治朝) and the outer court (Waichao, 外朝). The inner court consisted of the monarch and officials of the royal lineage who enjoyed the access to Lumen (路门), the third gate of the imperial palace and the innermost one; the middle court was open to court officials of all ranks who were allowed to enter the second gate-Zhimen (雉门) and the outer court was marked by the first gate Kumen (库门), accessible to non-official countrymen. According to Zuo Zhuan (《左 传》, translated as the Commentary of Zuo or the Chronicle of Zuo), when the nation was at stake, the government would solicit opinions from countrymen to get their support. It is not quite clear how discussions went in the inner court, but discussions in the middle court had set procedures, as officials seated themselves by rank, voicing their concerns and giving advice, even arguing with each other. It was nonetheless the monarch who would make the final decision. During the Warring States Period, consorts and concubines, favored officials, eunuchs and even some political strategists could exert influence on the monarch in making a decision, but they were not legally permitted to step in politics. All in all, prior to the Qin Dynasty, there had not yet been a central decision-making system established for the consolidation of imperial power, hence the vague official system. When the Qin-Han period presented itself, the central decision-making mechanism attained maturity bit by bit with the strengthening of imperial power and reforms to the bureaucracy further mirroring how the imperial court maneuvered to control the system.

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1. The administrative Imperial Secretariat During the Qin-Han period, court discussion was required for every central decision despite always finally being made by the Emperor. The discussions were customarily conducted in two forms, the first involving the Emperor having an audience with courtiers to collect their opinions and then giving his verdict. The second method involved all courtiers first talking over issues and coming up with solutions, the highest-ranking official who presided over the Assembly (Jiyi, 集议, also known as Xia Qi Yi, 下其议) then reported to the Emperor who took the final decision. In 214 BC under the rule of Qin Shi Huang, a banquet was thrown at Xianyang Palace (Xiangyang Gong, 咸阳宫) and courtiers gathered to listen when the Vice Director (Puye, 仆射) Zhou Qingchen and the erudite Chun Yuyue debated the commandery/county system and the enfeoffment system. Qin Shi Huang then gave all of the officials present a free hand to discuss the topics. At this moment, the Chancellor Li Si stressed the importance of the Assembly that had been in practice for 26 years, and then proposed the idea of book burning, in a bid to suppress dissenting and heretical views. Eventually, Qin Shi Huang made the decision to approve this proposition. In another example, in the Western Han Dynasty, Emperor Jing maintained that it was not an appropriate legal provision to lightly let off local officials who took the belongings of those in custody or bought their belongings cheaply to sell on for a profit, so he ordered discussions to change the law. Soon thereafter the Chamberlain for Law Enforcement (Tingwei, 廷尉) and the Chancellor re-discussed this provision, as is reported in Annals of Emperor Jing, the Book of Han. As regards the decision-making mechanism, the Han government inaugurated the Imperial Secretariat as part of the inner court. Western Han, in its early years, perpetuated the system instituted in Qin, and the Chancellor was placed above all officials, responsible for “assisting the emperor in all state affairs”. The post was, in most cases, filled by meritorious courtiers, emblematic of the post’s high status and great authority. When Emperor Wu succeeded to the throne, Tian Fen assumed the role of Chancellor, but he kept such a high profile so as to overshadow the Emperor. In view of the situation, Emperor Wu formed a new secretary group in the inner court (also known as Zhongchao, 中朝) to have his will followed without

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the Chancellor’s interference and instituted such posts as the Commander-in-chief (Da Sima, 大司马), Left, Right, Front and Rear Generals (Jiangjun, 将军), Palace Attendant (Shizhong, 侍 中 ), Attendant-in-ordinary (Changshi, 常 侍 ), Cavalier Attendant (Sanqi, 散骑) and Leader of the Officials (Zhuli, 诸吏). The Palace Attendant was named as such because the appointee attended to the imperial family in the palace, and the Attendant-in-ordinary was expected to serve the Emperor in his daily life. Labeled as “hangers-on and advisors of the Emperor”, these office-holders had the access to the inner palace and even to court discussions and these changes to the structure of the Imperial Secretariat marked changes in the central decision-making system. The outer court, on the other hand, was led by the Chancellor staffed by officials of salary ranks over 600 bushels. The Imperial Secretariat was originally an administrative body under the Chamberlain for the Palace Revenues, one of the Nine Chamberlains. Enjoying a not-so-high status in fact, it was staffed with such positions as the Director (Ling, 令), Vice Director (Puye, 仆射) and Aide (Cheng, 丞), all suffixed “of the Imperial Secretariat”. In a conscious attempt to make it more powerful, Emperor Wu of Han offered the Director a raise from 600 bushels to 1000 bushels and when Emperor Cheng took over the throne, he added another 5 Imperial Secretaries to control aristocrats, manage local Prefects, drive off foreign aggressors, receive letters submitted by functionaries and civilians, and settle lawsuits. As a result, not only had it dispossessed the Chancellor of the authority over official recruitment, civil matters and foreign affairs, and the Chamberlain for Law Enforcement of the authority over criminal punishment, imprisonment and sentencing, but it also obtained the power to receive and review submitted reports, “executing the Emperor’s orders and acting as his spokesman”. Within the palace, then, had emerged a decision-making and order-issuing system dominated by the Imperial Secretariat which was filled by eunuchs who were favored and trusted by the Emperor, and given honorary titles like the Palace Attendant, Attendant-in-ordinary and Palace Steward (Jishizhong, 给事中). The Imperial Secretariat was deemed “the base for all officials and the key for the state”. Although, the Director of the Imperial Secretariat was still subordinate to the Chamberlain for the Palace Revenues, the Chamberlain’s real power and

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status was a far cry from what it had been. This inconsistency was soon resolved by a newly-arisen custom of honorary titles like the Concurrent Controller of the Imperial Secretariat (Ling Shangshu Shi, 领尚书事), Manager of the Imperial Secretariat (Ping Shangshu Shi, 平 尚 书 事 ), Acting Director of the Imperial Secretariat (Shi Shangshu Shi, 视尚书事) and Overseer of the Imperial Secretariat (Lu Shangshu Shi, 录尚书事). For example, if a senior officer bore the honorary title of the Concurrent Controller of the Imperial Secretariat, he could be concurrently in charge of or handle affairs within the scope of the Director’s duties. The office was initially called the Court of Imperial Secretaries (Shangshu Si, 尚书寺) but changed to the Imperial Secretariat (Shangshu Tai, 尚书台) in the Eastern Han Dynasty. Meanwhile, after Emperor Wu ascended to the throne, the Commander-in-chief and General-in-chief (Da Jiangjun, 大将军) gradually became common designations for military officers and in most cases, consort clansmen filled these posts, enjoying more prestige than the Chancellor. In his old age, Emperor Wu nominated Huo Guang (霍光) as the Commander-in-chief and General-in-chief to assist the young Crown Prince, the later Emperor Zhao, in governing the empire. Thus, no sooner was Emperor Zhao enthroned did he confer the honorary title Concurrent Controller of the Imperial Secretariat upon Huang Guang and assigned him to direct the inner court. Later, the Commander-in-chief and General-in-chief Wang Feng, the Left General Shi Dan, and the Front General Xiao Wangzhi were all given honorary titles, and so were the Grand Master for Splendid Happiness and Palace Steward Zhang Yu (张禹) and Kong Guang (孔光). The bipartite pattern of the inner court and the outer court was shaped so that the inner court took orders directly from the Emperor and as the Imperial Secretariat was in charge of reports it could skip the Chancellor and submit them immediately to the Emperor, so in this way the inner court had utterly deprived the Chancellor-headed outer court of decision-making authority. During the Eastern Han period, the Imperial Secretariat was also known as the Central Pavilion (Zhongtai, 中台) as it was installed in the imperial palace (Jinzhong, 禁中) and as it increased in size and in staff, it encroached on and took over more of the outer court’s power. Under the rule of Emperor Guangwu, it was an unwritten rule that “everything should go to the Imperial Secretariat first”. In every court discussion and assembly, the Director of the Imperial Secretariat, the de facto head of the Censorate officially entitled Palace Aide to the Censor-in-chief

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(Yushi Zhongcheng, 御史中丞), and the Metropolitan Commandant (Siwei Xiaowei, 司尉校尉) would be seated in equal and special seats, and who were collectively referred to as the “Three Venerables” (San Duzuo, 三独坐) in the capital. At that time, the Concurrent Controller, Manager and Acting Director of the Imperial Secretariat were combined as the Overseer of the Imperial Secretariat. Every time a new Emperor came to the throne, the Grand Mentor, sometimes along with the Defender-in-chief (Taiwei, 太尉), would be given the honorary title of the Overseer of the Imperial Secretariat. For instance, when Emperor Zhang had just acceded to the throne, Mou Rong was designated the Defender-in-chief and Honorary Overseer of the Imperial Secretariat. At the same time, consort clansmen like Dou Xian and Liang Ji, in the name of Deciders of the Imperial Secretariat (Jue Shangshu Shi, 决尚书事), controlled the Imperial Secretariat and manipulated the central decision-making system. By the time of the early Eastern Han Dynasty, then, the Imperial Secretariat had evolved into a decision-making and order-issuing institution, while the Three Dukes (Chancellors) and Nine Chamberlains were reduced to execute orders. Clearly distinguished from the outer court, the inner court had veto power over its outer counterpart and most of its assemblies were chaired by the Commander-in-chief, the General-in-chief or the Grand Mentor. The outer court was managed by the Chancellor, who despite having most of his former power stripped, still had the power to restrict the Imperial Secretariat to some degree. For example, if the decree or edict drafted by the Imperial Secretariat was unqualified or impractical, the outer court could return it and the Emperor to make the final decision on its progress. However, with growing power, the Imperial Secretariat indeed, as expected, contributed to the restraining of the Chancellor’s power and helped the Emperor towards power centralization in middle and late Western Han and early Eastern Han. However, from the reign of Emperor Wu on, the inner court became so powerful in middle and late Han period, that eunuchs and consort clansmen began to participate in politics and this caused great political turmoil, causing the dynasty to break down and society was thrown into unrest. Out of the turmoil, however, lessons were learned and provided valuable knowledge for future regimes, promoting the development of the central decision-making mechanism.

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2. The policy-formulating Secretariat and the advisory Chancellery The turbulent period covering Wei, Jin, Southern and Northern Dynasties witnessed the rise and fall of quite a few regimes, along with a number of changes in the central decision-making system. One change, for example, was that ministers like the Three Dukes lost more of their power, and another was that the Imperial Secretariat shared the decision-making power with the other two departments, the Secretariat and the Chancellery. In Eastern Han, the Minister of Education (Situ, 司徒), the Defender-in-chief and the Minister of Works (Sikong, 司空) enjoyed prestige as high as the Three Dukes but Chancellors were actually powerless in front of the Imperial Secretariat. In the late years of this period, however, Cao Cao abolished the Three Dukes and proclaimed himself as the Chancellor, only for the Cao-Wei (曹魏) government to reinstitute the Three Dukes. In Western Jin, the Grand Preceptor, the Grand Mentor and the Defender-in-chief were honored as the Superior Dukes (Shanggong, 上公), also known as the Three Dignitaries (Sansi, 三司), but the Commander-in-chief and General-in-chief enjoyed a higher status than them and performed their own functions. At that time, the title of Duke became an honorary title to award to important deceased officials, so had nothing to do with making decisions or handling government affairs. From the Cao-Wei Dynasty on, the Imperial Secretariat broke itself away from the Chamberlain for the Palace Revenues and developed itself into an independent institution named the Department of State Affairs (Shangshu Dusheng, 尚书都省) in the outer court and able to engage in all state affairs. The Director of the Imperial Secretariat, and the Overseer of the Imperial Secretariat nominated by the Emperor, began to take part in policy making as Chancellors. Nonetheless, this did not last long with the rise of the Secretariat and the Chancellery, the Imperial Secretariat was gradually squeezed out of the decision-making loop, no longer having any right to receive orders from the Emperor. The Secretary (Zhongshu, 中书) was a eunuch post created late in the reign of Emperor Wu of Han, but it was not until the Cao-Wei Dynasty that the Secretariat (Zhongshu Sheng, 中书省) was installed. Emperor Wu employed eunuchs ~41~

as Directors of the Imperial Secretariat and renamed them Directors of Palace Secretaries (Zhongshu Yezhe Ling, 中书谒者令). Later Emperor Cheng appointed scholars to the post and changed the title back to the Director of Imperial Secretariat, while modifying the Director of Palace Secretaries into the Secretariat Director (Zhongshu Ling, 中 书 令 ) and at that time, Secretaries and Imperial Secretaries were placed equal in rank. According to the Old Rites of Han, the Six Institutions of Tang, “the Secretariat Director received reports of the Six Ministers for imperial consideration and passed the word of the Emperor on to courtiers.” The post of Imperial Secretary was filled by scholars, taking in reports that officials had submitted to the front stage. Having reviewed these reports, they would deliver them to Secretaries at the back stage who would present them to the Emperor. As was mentioned above, eunuchs assumed the role of Secretaries, and they introduced officials who demanded to have an audience with the Emperor and drafted imperial edicts which were finalized and disseminated by Imperial Secretaries. Therefore, the Secretary position instituted from the Han Dynasty on was responsible for handling the flow of classified government documents. By the end of Eastern Han, Cao Cao declared himself the King of Wei and installed the Supervisor of the Archives Secretariat (Mishu Jian, 秘书监) to manage reports submitted by the Six Ministers. When Cao Pi proclaimed himself Emperor Wen of Wei, he staffed the office with Secretaries headed by the Secretariat Supervisor (Zhongshu Jian, 中书监) and Secretariat Director, and with Archives Secretaries (Mishu, 秘书) supervised by the Supervisor of the Archives Secretariat, a post renamed from the Director of the Archives Secretariat (Mishu Ling, 秘书令) to deal with archival record keeping. When Emperor Wen instated Secretaries, he organized them into the Secretariat just as Imperial Secretaries were grouped into the Imperial Secretariat. Developing since Western Jin, the Secretariat went through ups and downs in its power and status. During the Wei-Jin Period, its chief officials included one Secretariat Supervisor and one Secretariat Director, both of whom were ranked 326 and paid 1,000 bushels, though the Supervisor marginally outranked the ———————————— 26 In ancient China, officials were graded into Nine Ranks (Jiupin, 九品) from 1 down to 9, each divided into two classes (Deng, 等), upper and lower. Throughout this book, the official rank indicators are rendered 3a (Zheng Sanpin, 正三品, lit. rank 3, upper class), 5b (Cong Wupin, 从五品, lit. rank 5, lower class), and the like. In some eras one further level of gradation was used, indicated here in the forms 6a1, 6a2, and so on.

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Director. Nonetheless, both of them ousted the Director and Vice Directors of the Imperial Secretariat and took over the decision-making function as de facto Chancellors. Initially, the Secretariat had a staff of Secretarial Receptionists (Tongshi Lang, 通事郎), also known as Secretariat Gentlemen (Zhongshu Lang, 中书郎), to take charge of edict drafting but in Western Jin, they were renamed Vice Directors of the Secretariat (Zhongshu Shilang, 中书侍郎). Following the practice of the Cao-Wei Dynasty, Western Jin bestowed heavy responsibilities upon the Secretariat which was reputed as the Phoenix Pool (Fenghuang Chi, 凤凰池), as it was the channel through which all reports and other government documents flowed to the emperor. Over important military and state affairs, the Director of Imperial Secretariat and other officials deliberated in the outer court first and then reported to the Secretariat who would then present the result to the Emperor. If the Emperor put “Approved” (Ke, 可) on the paper, it was the turn of the Imperial Secretariat to play the executive role. Just as Comprehensive Institutions says, “the Secretariat acted as the spokesman of the Emperor and overshadowed the Imperial Secretariat.” In Eastern Jin when the court had evacuated to the region south of the Huai River, officialdom was streamlined and the power of the Secretariat was shifted to the Department of Cavalier Attendants (Sanqi Sheng, 散骑省). After Emperor Xiaowu came to the throne, the Western Department (Xisheng, 西省) took over the report-receiving power from the Secretariat and military officials did the job. Meanwhile, Court Gentlemen (Langguan, 郎官) of other departments in the imperial palace, like the Secretariat, Imperial Secretariat, Eastern Department (Dongsheng, 东省), Western Department, Department of Palace Attendants (Shizhong Sheng, 侍中省), Archives Secretariat, and Editorial Service (Zhuzuo Sheng, 著作省), took turns on duty. The Secretariat assigned one Vice Director to work in the Western Department, responsible for edict drafting. Moreover, the Receptionist (Tongshi, 通事) instituted in the Cao-Wei Dynasty and the Drafter (Sheren, 舍人) in Western Jin were integrated to become the Reception Drafter (Tongshi Sheren, 通事 舍人) which was later changed to Secretariat Drafter (Zhongshu Sheren, 中书舍人), known as Drafter for short, to handle central government documents. In the State of Song during the Southern Dynasties, the Secretariat took back the edict-drafting power and divorced itself from the Western Department. From Southern Qi on, Secretariat Drafters encroached on and took over the edict-drafting power of Vice

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Directors. The States of Song, Qi and Liang instated four Secretariat Drafters and Chen added another one to correspond to the Five Sections of the Imperial Secretariat and functioning as heads of the Secretariat, they were in de facto charge of state affairs. Throughout the Southern Dynasties, Secretariat Drafters posts were assumed by scholars of humble origin, so that the Emperor could manipulate them easily, and the power of the Secretariat Supervisor, Director and Vice Directors was dissipated. As a result, it was Secretariat Drafters who announced imperial edicts and handed reports over to the throne, processed documents and gave counsel. In the Northern Dynasties, the Secretariat was in a mess, and its responsibilities were subject to change. Not until Emperor Xiaowen of Wei restructured it to specialize in proposing imperial rescripts did it stabilize again. Both of Northern Wei and Northern Qi established the Secretariat with a designated Secretariat Supervisor and Director as heads. Known as Ministers of the Western Terrace (Xitai Dachen, 西 台大臣), these two were de facto Chancellors dealing with important state affairs, yet the Northern Dynasties usually valued the Chancellery more heavily, so the Secretariat was gradually superseded by the Chancellery. The Chancellery was born out of the Yellow Gate, i.e. the Palace Gate (Huangmen, 黄门) which was painted yellow in the Qin Dynasty. In the agency were a corps of officials instated to link up appointees of the inner and outer courts, and accordingly, a variety of titles were created, including honorary titles for scholars like Cavalier Attendant (Sanqi, 散骑), Palace Attendant-in-ordinary (Zhong Changshi, 中常侍), Palace Attendant (Shizhong, 侍中), Leader of Officials (Zhuli, 诸吏) and Palace Steward (Jishizhong, 给事中), as well as titles for eunuchs like Gentleman Attendant at the Palace Gate (Huangmen Shilang, 黄门侍郎) and Steward at the Palace Gate (Jishi Huangmen, 给事黄门). The title-bearers were charged with five tasks, including serving the imperial family in daily life, guarding the palace (by military officers), managing archives (by civil attendants), reviewing and inspecting, receiving reports and disseminating imperial decrees. This system devised by Qin was replicated by Western Han, except that the Palace Attendant became a universally-applied honorary designation, and that the Gentlemen Attendant at the Palace Gate and the Steward at the Palace Gate were exclusive offices for scholars to engage in palace affairs. Other titles became honorary designations for officials of all sorts, but a distinction was made between honorary titles for palace appointees and those for courtiers. Honorary offices were not regularly staffed

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and their responsibilities were also vague, so all these honorary officials serving at the Palace Gate were generally known as “Appointees of the Palace Gate” (Menxia Guan, 门下官) who, however, constituted an embryonic Chancellery. Among the five tasks the Chancellery undertook, the Secretariat was responsible for only one of them, namely receiving reports and the Imperial Secretariat was responsible for disseminating proclamations. In Eastern Han, the Gentleman Attendant at the Palace Gate and the Steward at the Palace Gate were merged into the office of Steward and Gentleman Attendant at the Palace Gate (Jishi Huangmen Shilang, 给事 黄门侍郎) which, along with the office of Palace Attendant, made up the Court of Palace Attendants (Shizhong Si, 侍中寺) taking charge of attendance matters at the Palace Gate. The post of Palace Attendant-in-ordinary was filled by eunuchs instead, and the titles of Cavalier Attendant, Leader of Officials and Palace Steward were terminated. Eunuchs assuming Palace Attendant (Xiao Huangmen, 小黄门) posts began to handle reports from the Imperial Secretariat and constituted the Eastern Court (Dongsi, 东寺). The Western Court (Xisi, 西寺) consisted of the Imperial Armies who guarded the palace proper. The three courts were not of subordinate relation, but they were collectively known as the Three Courts of the Chancellery (Menxia Sansi, 门下三寺) as all of them were serving at the Palace Gate. While instituting the Secretariat and the Imperial Secretariat, the Cao-Wei government also modified the Court of Palace Attendants into the Department of Palace Attendants (Shizhong Sheng, 侍中省). Later the Cavalier Attendant and the Palace Attendant-in-ordinary were consolidated into the office Cavalier Attendant-in-ordinary (Sanqi Changshi, 散骑常侍), and the office of Palace Steward was resumed. The two offices were both held by scholars and formed the Department of Cavalier Attendants. However, until early Western Jin and Northern Wei, the Chancellery was left with only two departments. Eastern Jin reinstituted the Western Department where the Imperial Armies were on night watch, so the Chancellery was again dominated by three agencies like the Three Courts. Around this time, the Department of Cavalier Attendants was for a time renamed the Department of Scholarly Counselors (Jishu Sheng, 集书省) or the Eastern Department (Dongsheng, 东省). After the Southern and Northern Dynasties, the five tasks the Chancellery performed were gradually taken over by other agencies like the Nine Courts which took charge of attending to the imperial household, but only in part. In the early

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Sui Dynasty, the imperial family was mostly taken care of by the Six Services for Palace Attendance (Neishi Liuju, 内侍六局) subordinate to the Chancellery. The Six Services comprised the Service of the Capital Gates (Chengmen, 城门), Food Service (Shangshi, 尚食), Palace Medical Service (Shangyao, 尚药), Service of the Imperial Seals (Fuxi, 符玺), Palace Wardrobe (Yufu, 御府) and Palace Administration Service (Diannei, 殿内). During the reign of Emperor Yang of Sui, all the services, except the Service of the Imperial Seals, were incorporated into the Department of Palace Administration, which weakened the power of the Chancellery in terms of palace attendance. At that time, the Imperial Armies of the Western Department were all allotted to the Garrison Militia (Fubing, 府兵), so the Western Department fell into disuse. The Department of Scholarly Counselors was absorbed by the Chancellery, but archives management, reviewing and inspection were not its main duties and it gradually specialized in receiving reports and announcing imperial edicts. In the Records of the Grand Historian, the Secretariat and the Chancellery were both described as dealing with imperial edicts, but they were performing different functions. The Secretariat was in fact drawing up imperial rescripts and edicts, but the Chancellery was simply publicizing them. Into the Wei-Jin Period, the Chancellery was granted the veto power in addition to its sealing power, which resulted in its status soaring. From palace administration to state governance, it walked from the back stage to the front and all important documents, whether imperial edicts or submitted reports, had to first go to the Chancellery to be sealed and then made known to officials, or presented to the throne. Some classified reports or edicts were even exempted from being processed by the Secretariat and the Imperial Secretariat, and flowed directly to the Chancellery. The veto power, in addition, contributed to the solidifying of the Chancellery as a part of the central government and with this power, the Chancellery could correct mistakes in edicts and reports. Moreover, it could either seal and return “unqualified” reports or voice concern over them. During the Wei-Jin Period, only the Imperial Secretariat was entitled to express opposition, but during the Southern and Northern Dynasties, this power fell into the hands of the Chancellery which could challenge, return and disagree with edicts and reports. With these powers, the Chancellery busied itself back and forth as a re-examiner between the policy-making Secretariat and the executive Imperial Secretariat. Owing to its special influence, during the Southern and Northern Dynasties, the Director of the Chancellery (Shizhong, 侍中, formerly Palace Attendant) was known as the Chancellor and the Vice Director ~46~

(Huangmen Shilang, 黄门侍郎, formerly Gentleman Attendant at the Palace Gate) as the Minor Chancellor. In summary, during the Wei, Jin, Southern and Northern Dynasties, the Secretariat and the Chancellery rose to supersede the Imperial Secretariat in policy making and reviewing, which foreshadowed the power decentralization of the Three Departments. Gradually, the Secretariat positioned itself as a decision-making body, the Chancellery disseminated imperial edicts and the Imperial Secretariat exercised the executive power. In early Sui and Tang, the central policy-making system was further developed, when decisions were made chiefly by the emperor, assisted by Chancellors, the Secretariat and the Chancellery. During the Southern and Northern Dynasties, the Secretariat Director and the Director of the Chancellery participated in government affairs and were equal to Chancellors, but nominally, the Chancellors were one of the Three Dukes along with the Director of the Imperial Secretariat and the Overseer of the Imperial Secretariat. Then Emperor Sui abandoned the Three Dukes system and moved the chancellorship to the Director of the Secretariat (then known as the Administrative Director (Neishi Ling, 内史令)) and the Director of the Chancellery (then known as the Adviser (Nayan, 纳言)). Tang perpetuated the system of Sui and designated the chief officials of the Imperial Secretariat, the Secretariat and the Chancellery as the de facto Chancellors. As the Director of the Imperial Secretariat was, under most circumstances left vacant, the Vice Directors of the Left and the Right took the place of the Director and acted as de facto Chancellors. Besides this, other dignitaries also shared the chancellorship: some were conferred supplementary titles like Participant in Deliberations on Court Policy (Canyi Chaozheng, 参议朝政 or Canyu Chaozheng, 参预朝政) or Specialized Manager of Confidential Matters (Zhuandian Jimi, 专典机密) while some were designated Joint Manager of Affairs with the Secretariat-Chancellery (Tong Zhongshu Menxia Ping Zhangshi, 同中书门下平章事), Cooperating with Third Rank Officials of the SecretariatChancellery (Tong Zhongshu Menxia Sanpin, 同中书门下三品). It can be seen, therefore, there were a great number of Chancellors at that time, normally totaling around 17 or 18. This was the most important group that assisted the Emperor in making

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decisions and they often gathered at the Administration Chamber (Zhengshi Tang, 政事堂) to resolve military and political matters. The Chamber was built to cater to the needs of the policy-formulating Secretariat and the vetoing Chancellery which often disagreed with each other, so they would debate to reach a settlement presenting it to the throne. The Administration Chamber was initially attached to the Chancellery, but was later moved to the Secretariat and played two key roles in the central decision-making system. The Secretariat was customarily staffed with two Directors (Zhongshu Ling, 中书令) and two Vice Directors (Zhongshu Shilang, 中书侍郎) and in addition, there were six Secretariat Drafters, one of whom worked full time, known as Participant in the Drafting of Proclamations (Zhi Zhi Gao, 知制诰). The Chancellery also had a regular staff of two Directors (Shizhong, 侍中) and two Vice Directors (Menxia Shilang, 门下侍郎), along with four Supervising Secretaries (Jishizhong, 给 事 中 , formerly Palace Steward) rejecting inappropriate reports and correcting mistakes. Supervising Secretaries were equal to Managers of Reports (Ping Shangshu Zoushi, 平尚书奏事) from the Imperial Secretariat during the Qin-Han Period, and were also in place during the Wei, Jin, Southern and Northern Dynasties. In the Sui Dynasty, a specially-assigned person was responsible for reading reports. The Supervising Secretary was a rival to the Secretariat Drafter in rank and status, but the post gained less and less attention over Western Han and Southern-Northern Dynasties. The central decision-making system characterized by combining the order-issuing Secretariat and the advisory Chancellery was carried forward until the late Song Dynasty; not until Mid-Tang were changes to the system instigated.

3. Intervention of Hanlin Scholars and Palace Secretaries The principal central decision-making organs, the Secretariat and the Chancellery, suffered a downgrading in their statuses from Mid-Tang on, partly because an increasing number of officials were given the honorary title of Joint Manager of the Secretariat-Chancellery so that the decision-making power of the two departments was shared, and partly because scholars from the Hanlin Academy and Palace Secretaries began to take a hand in decision-making, dealing a heavy blow to the two departments.

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Scholars’ intervention into policy making was an initiative of Emperor Taizong during his reign in early Tang, when he selected virtuous and wise intellectuals from all over China to talk about literature and politics with him. At that time, they simply served as personal counselors of the Emperor; however, as imperial power continued to grow, scholars were assigned the responsibility to take over the edict-drafting power from Chancellors and Secretariat Drafters. During the reigns of Emperor Gaozong and Empress Wu, in an effort made to limit the power of Chancellors, Scholars of the North Gate (Beimen Xueshi, 北门学士) were selected to secretly participate in court conferences and processing reports submitted by officials. Moreover, Emperor Xuan created the post of Scholar Awaiting Orders (Hanlin Daizhao, 翰林待诏) to help him read over and remark on reports and give him advice thereon. Later because the Secretariat were overwhelmed by government affairs and documents, Scholars in Attendance (Hanlin Gongfeng, 翰林 供奉) were commissioned to work with scholars of the Academy of Scholarly Worthies (Jixian Yuan, 集贤院) in handling imperial instructions, decrees and edicts. In 738 when Emperor Xuanzong of Tang was on the throne, the Hanlin Academy was established in the imperial palace, where Hanlin Scholars (Hanlin Xueshi, 翰林学士), formerly known as Scholars in Attendance, took office to process edicts and decrees issued by the Emperor. Hanlin Scholars therefore constituted an important part in the central decision-making system, which persisted unchanged till the Song Dynasty. In the wake of the Anshi Rebellion (Anshi Zhiluan, 安史之乱), the traditional court system was disrupted, so that Hanlin Scholars made most of the disruption, securing greater and greater authority. During the reign of Emperor Dezong, Hanlin Scholars openly interposed in state affairs and were referred to as Inner Ministers (Neixiang, 内相) and were in direct confrontation with Chancellors of the outer court, paving their way to being promoted as Chancellors. After Emperor Xianzong was crowned, he picked out one out of the scholars to receive imperial instructions, called the Sole Recipient of Secret Orders (Ducheng Miming, 独承密命). Palace Secretaries’ participation in politics, on the other hand, was a further example of the history in which eunuchs involved themselves in politics and the pioneer of this in the Tang Dynasty was Gao Lishi (高力士) during the reign of Xuanzong. Despite his powerful position, he simply talked over state affairs with Emperor Xuanzong in private. Under Emperor Suzong and Emperor Daizong,

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however, eunuchs strived to arrogate all power and with their grip on the imperial armies, they did whatever they wanted to do, even so far as to oust the Emperor. The Palace Secretary, as an office, was instituted during the reign of Emperor Daizong and played a major role in political decision making. Also known as Inner Palace Secretaries, they were initially in charge of delivering reports and announcing imperial edicts, which suited eunuchs perfectly. During the reign of Emperor Xianzong, they were further divided into Left and Right Palace Secretaries who then took advantage of their peculiar position between the Emperor, the Secretariat, and the Chancellery, engaging themselves in core decisions. Thenceforward, they became so powerful that they could attend court conference or the exclusive decision-making meetings with Chancellors, even modify edicts and decrees. That explains why Du Cong, a Chancellor under Emperor Yizong of Tang, said not only Chancellors, but also Palace Secretaries had the access to state governance. As a result of their special role, quite a few officials after Mid-Tang went to great lengths to please Palace Secretaries and powerful eunuchs to gain the chancellorship and this naturally led to a cooperative or subservient relationship with eunuchs, which only emboldened them. During the reign of Emperor Xuanzong, the Palace Secretariat came into being as the formal organ for eunuchs to wield their authority in central decisions. Just before the fall of the Tang Dynasty, however, all the eunuchs were put to death, which brought an end to the Palace Secretariat and Palace Secretaries. During the Five Dynasties, the later Liang administration reconstituted the Palace Secretariat and named it the Office for the Veneration of Governance (Chongzheng Yuan 崇政院). It was staffed with scholars and did not have to get the approval of the Secretariat and the Chancellery before drafting imperial pronouncements, thus making itself a rival to the Secretariat and the Chancellor in decision making. The post of Palace Secretary was restored in the Later Tang Dynasty, when it was said that “Palace Secretaries were even more powerful than Chancellors” and “they could appoint or fire any minister without the order of the Emperor”. From then on, the Palace Secretariat gradually specialized in military affairs while the Secretariat and the Chancellery were mainly responsible for political affairs. The central decision-making system was thus dominated by the military Palace Secretariat and the political Secretariat-Chancellery, a result of an age characterized by separatist rule of military governors and political upheaval during

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the period of Five Dynasties. Song replicated the system of the Tang and Five Dynasties, as the central policy-making body was likewise composed of the Secretariat, the Chancellery, the Palace Secretariat and the Hanlin Academy. In early North Song, the Secretariat, Chancellery, Three Dignitaries and the Hanlin Academy were all involved in decision making. During the reign of Emperor Shenzong (from 1078 to 1085) who was famous for his reforms, the Three Dignitaries were replaced by the Three Departments, and the decision-making system was jointly operated by Chancellors, Palace Secretaries and Hanlin Scholars. In the early Northern Song Era, the principal Chancellor was called Joint Manager of Affairs with the Secretariat-Chancellery, Joint Manager of Affairs (Tong Ping Zhangshi, 同平章事) for short, while the Vice Chancellor was known as Participant in Determining Governmental Matters (Canzhi Zhengshi, 参知政 事). After Emperor Shenzong undertook reforms, the Vice Director of the Left of the Imperial Secretariat and Concurrent Vice Director of the Secretariat (Shangshu Zuo Puye Jian Zhongshu Shilang, 尚书左仆射兼中书侍郎), and Vice Director of the Right of the Imperial Secretariat and Concurrent Vice Director of the Chancellery (Shangshu You Puye Jian Menxia Shilang, 尚书右仆射兼门下侍 郎) assumed the role of principle Chancellors, and the office of the Vice Chancellor was held by Vice Directors of the Secretariat and the Chancellery as well as Left and Right Aides of the Imperial Secretariat, so all of the chief officials of the Three Departments became Chancellors. Southern Song then gradually integrated the Three Departments, commissioning Vice Directors of the Left and Right of the Imperial Secretariat and Concurrent Joint Manager of Affairs with the Secretariat-Chancellery as principal Chancellors, with the Participant in Determining Governmental Matters as deputy. After Emperor Shenzong’s reforms, the Three Departments moved from the Administration Chamber that was previously set up for the Secretariat and the Chancellery to the Executive Office (Dutang, 都堂) of the Imperial Secretariat where they discussed government matters. The Palace Secretariat, as the organ in charge of state secrets and military matters, exercised the decision-making power over civil and military issues initially with the Secretariat and the Chancellery, but later with all of the Three Departments, known as the Eastern and Western Administrations (Dongxi Erfu, 东西二府) at that time. In the Palace Secretariat, the director was the Palace Secretary or Administrator of the

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Palace Secretariat (Zhi Shumi Yuan Shi, 知枢密院事) while the deputy director was the Vice Palace Secretary (Shumi Fushi, 枢密副使) or Associate Administrator of the Palace Secretariat (Tongzhi Shumi Yuan Shi, 同知枢密院事) or Notary of the Palace Secretariat (Qianshu Shumi Yuan Shi, 签书枢密院事). While the Eastern and Western Administrations exercised their power over civil and military decisions, the Hanlin Academy also took a special and crucial position. Before Emperor Shenzong’s reforms, most offices inherited from Tang were altered, but the Hanlin Academy remained unchanged. The Academy was at first staffed with six appointees, but it was not usually fully-staffed; after the reforms, it was staffed with only two scholars who would later be designated Hanlin Scholar Recipient of Edicts (Hanlin Xueshi Chengzhi, 翰林学士承旨). The title Auxiliary Hanlin Scholar (Zhi Xueshi Yuan 直学士院) was designated to an official with status elsewhere in the governmental hierarchy but assigned to the Hanlin Academy and therefore was not given outright the title “Hanlin Scholar”. If there were no scholars at all in the Academy, other officials would hold the post of the Provisional Auxiliary Hanlin Scholar (Quan Zhi Xueshi Yuan, 权直学士院), assisting with the paperwork in the Academy. In many cases the designation Hanlin Scholar was just a title, so whoever had the title did not necessarily have to work in the Academy itself; only those with the designation Participant in the Drafting of Proclamations (Zhi Zhi Gao,知制诰) were in real charge of drawing up imperial pronouncements, known as Inner Drafters (Neizhi, 内制). Those with the designation Participant in the Drafting of Proclamations or who had this designation concurrently with another title were called “Outer Drafters” (Waizhi, 外制) who drafted imperial decrees under the order of the Emperor or Chancellors. The Inner Drafters and Outer Drafters were known as the Two Drafting Groups (Liangzhi, 两制). After Emperor Shenzong’s reforms, Hanlin Scholars headed Inner Drafters but were not allowed to bear other titles except the Participant in the Drafting of Proclamations. If the Hanlin Scholar position was left vacant, Vice Directors, Palace Steward and Secretariat Drafters would serve in the Hanlin Academy concurrently with their regular post. Every big decision, instruction, edict or decree was published as a court document. When it came to critical issues like appointment of Chancellors, the Emperor would go to the hall at the Eastern Gate at night, summon all Scholars

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to give them instructions and ask them to record his orders. Then the Scholars would go back to the Hanlin Academy and reproduce on paper what the Emperor had said and the Palace Attendants would lock the Academy and forbid all entrances and exits. When the next day broke, the Memorial Reception Staff (Gemen, 閤 门 ) would forward the finalized edict to the Secretary for announcement. The Scholars could decide on whether to appoint or dismiss a Chancellor and, moreover, they were also powerful enough to disagree with policy and if there was a problem, they could make representations first and present their view to the Emperor. It could be said that but for Hanlin Scholars’ intervention and edict-drafting, it would have been difficult for most big decisions to be finalized. The decision-making system of the Liao, Jin and Yuan Dynasties, was largely modeled after the Han convention involving the Palace Secretariat, the Imperial Secretariat (or the Secretariat) and the Hanlin Academy, with only minor differences. However, Jin abolished the Three Departments system developed during the Sui-Tang period and streamlined them into one, so that by the time of the Jin and Yuan Dynasties, there was only one Department left.

4. Installment of the Cabinet and the Council of State Striving to rule the country without interference, Emperor Taizu of Ming abandoned the long-established Chancellor system so that there was no one to challenge his authority and he could pass laws and decrees without hindrance. However, in order to help him with the processes of governance, he instituted the Four Supports (Sifu, 四辅) but this did not prove successful and the Four Supports system was abandoned after little more than a year. In 1382 Emperor Taizu of Ming had no choice but to restore the Grand Secretary system (Da Xueshi Zhi, 大学士制) instituted in the Song Dynasty and installed Grand Secretaries for the Hall of Splendid Canopy (华 盖 殿 ), the Hall of Military Glory (Wuying Dian, 武 英 殿 ), the Institute of Literary Profundity (文渊阁) and the Eastern Institute (Dongge, 东阁) to attend upon him as advisors. In addition, the Grand Secretary for the Hall of Literary Splendidness (Wenhua Dian, 文华殿) was also charged with tutoring the Crown Prince. However, all these Grand Secretaries were not allowed to participate ~53~

in state governance, and it was still Scholars from the Hanlin Academy and the Secretariat of the Crown Prince who reviewed reports submitted by officials, and took charge of administration and review. Not until Emperor Chengzu took the throne were they were permitted to access state secrets, as Xie Jin, Hu Guang and Yang Rong were nominated as Grand Secretaries for the Institute of Literary Profundity, bringing the Cabinet into initial shape. At that time, Grand Secretaries were of the 5a rank which did not enjoy a large salary and most of them served in the Hanlin Academy with no subordinates. As this was the case they were not allowed to order other officials around and when other officials presented reports to them, they were not allowed to say anything to them. They had meals in the Great Within (Danei, 大内) and waited upon the Emperor in the hall (Dian, 殿) or institute (Ge, 阁), and over time this led to forming the Cabinet and he who was transferred as a Grand Secretary was admitted to the Cabinet (Ruge, 入阁). During the reign of Emperor Renzong, senior ministers of the Eastern Palace, Yang Shiqi and Yang Rong, both got promoted respectively as the Vice Minister of Rites (Libu Shilang, 礼部侍郎) and Concurrent Grand Secretary for the Hall of Splendid Canopy, and as the Chamberlain for Ceremonials (Taichang Qing, 太 常 卿 ) and Concurrent Grand Secretary for the Hall of Respectful Personages (Jinshen Dian, 谨身殿), elevating them from the 5a rank to the 3a rank. As time rolled by, appointees of the Cabinet enjoyed an increasingly high status. When Emperor Xuanzong came to the throne, he regarded Yang Shiqi, Yang Rong and Yang Pu, historically known as “The Three Yangs”, as Grand Councilors (Yuanlao, 元老) and granted them great authority over state governance, and soon all of them were promoted as Imperial Secretaries of the 2a rank, rising to more and more power. It was said that Cabinet appointees of the Ming Dynasty were as powerful as the Chancellor in Han and Tang, who could “note-draft” (Piaoni, 票拟) suggested edicts, that is, draft their advice about how to word an edict on a note and attach it to reports to be presented to the Emperor. The Cabinet was divided into two offices, the Rescripts Office (Gaochi Fang, 诰敕 房) and Proclamations Office (Zhichi Fang, 制敕房), each staffed with Secretariat Drafters taking charge of confidential documents like rescripts, proclamations and instructions. The right of note-drafting reflected the decision-making power of the Cabinet. ~54~

Before a report from a certain office or region was submitted to the Emperor, Grand Secretaries of the Cabinet would write down their suggestions on a note attached to the report for the Emperor’s reference. After the Emperor read over the report and the note, he would rip the note off and make remarks in red ink (Zhupi, 朱批) on the report, thus formalizing it as an imperial proclamation. This was actually an evolution of the practice in Tang and Song whereby Hanlin Scholars received the imperial order and then sketched out the edict. The only difference lay in that none but Grand Secretaries of the Cabinet could draft the edict, so the power was more centralized in the Ming Dynasty than in Tang and Song. The more the drafted edicts were adopted, the higher the status of the Cabinet would rise and note-drafted edicts of the three Yangs under Emperor Renzong, and of Zhang Juzheng under Emperor Shenzong, became blueprints for the Emperor to merely remark upon in red ink, which made the Cabinet a central decision-making organ. However, it is worth noting here that most Ming sovereigns after Emperor Yingzong backed away from state governance matters and relied on eunuchs to fulfill this function. On the one hand, the Six Ministries were subordinate to the Cabinet which was placed above them just like the Chancellor of State in Han and Tang, as is cited above. On the other, however, the chancellorship was gradually transferred to eunuchs of the Directorate of Ceremonial and the draft notes from the Cabinet became subject to their remarks and thus eunuchs, rather than the Emperor, secured the final say over the note-drafted reports. In sum, after abolishing the Chancellor system, the Ming government failed to establish an effective central decision-making mechanism. Consequently, either Senior Grand Secretaries (Shoufu, 首辅) of the Cabinet held grand power, or eunuchs manipulated the decision-making system. It was not until the Qing Dynasty, after nearly one hundred years of muddling through, that the problem was fixed through the establishment of the Council of State (Junji Chu, 军机处), a decisive decision-making organ to centralize the Emperor’s authority. In its early years, Qing resorted to two systems in making policies. The indigenous conference attended by Princes of the Deliberative Council (Yizheng Wang, 议政王) was one of them and the Cabinet system borrowed from Ming was the other. The title, Prince of the Deliberative Council, was assumed by the Manchu nobility and grand ministers with the designation “Deliberative” who were

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expected to reach an agreement at the Deliberative Council (Yizheng Chu, 议政处). For the Cabinet, Grand Secretaries in Qing were appointed to more halls and institutes. Apart from the Hall of Literary Splendidness, Hall of Military Glory, Institute of Literary Profundity and Eastern Institute inherited from Ming, there were the Hall of Central Harmony (Zhonghe Dian, 中和殿), and Hall for the Preservation of Harmony (Baohe Dian, 保和殿). Later, the Hall of Central Harmony was abandoned in favor of the Institute for Experiencing Benevolence (Tiren Ge, 体 仁阁). Finally, there were in total three halls and three institutes for Grand Secretaries and each hall or institute was staffed with two Manchu and two Chinese Grand Secretaries to assist in drafting imperial proclamations and deliberate over state affairs. At that time, the central decision-making system was restricted in two ways. Firstly, key political and military issues, if not note-drafted by Cabinet appointees, were subject to discussion by Grand Ministers of the Deliberative Council (Yizheng Dachen, 议政大臣). In order to intensify imperial power, Emperor Kangxi selected some members of the Hanlin Academy to work in the Southern Study (Nan Shufang, 南书房) in 1677, ordering them to participate in policy matters and draft imperial decrees and the Southern Study thus became the group through which imperial proclamations were issued. However, according to Records of Officials, the Draft History of Qing, although the Southern Study was responsible for edict-drafting, it was the Cabinet that took charge of important political and military matters. In 1729 when a military offensive against Dzungars in the northwest was launched, Emperor Yongzheng inaugurated the Office for Military Plans (Junji Fang, 军机房) to ensure the security of military secrets. It was called Office for Secret Military Affairs (Banli Junji Shiwu Chu, 办理军机事务处) in 1732 under Emperor Yongzheng or Office for (Military) Affairs (Zongli Shiwu Chu, 总理事务处) later, but Emperor Qianlong finalized it as the Council of State. Its establishment meant that the Prince and Grand Minister of the Deliberative Council were gradually reduced to nominal titles and were formally abolished in 1791 during the reign of Emperor Qianlong. The Southern Study was also deprived of political power and instead specialized in literature and the arts. Although though enjoying high prestige, the Cabinet was reduced to handle routine affairs and announce proclamations. Originally constituted for military purposes, the Council of State was ~56~

an informal institution at the outset. As its evident convenience to the Emperor in terms of deciding on military and political issues presented itself, it became a permanent government office. Managing all army and government affairs on behalf of the Emperor, except for routine and conventional decisions, it deferred to the Emperor for instructions during the decision-making process and then chose the best alternative out of all possibilities. Once the decision was made, it should draw up the edict for the Emperor and issue it after the Emperor’s examination and approval. If the edict was not important, it could be handed over to the Cabinet to make public. If it had to be kept confidential, the Council of State would seal it up and mail it to the Ministry of War. The Council of State was staffed by Grand Ministers of State (Junji Dachen, 军 机 大 臣, also known as Shuchen, 枢臣 or Da Junji, 大军机 in Chinese) and Secretaries (Zhangjing, 章京, also known as Shucao, 枢曹 or Xiao Junji, 小军 机 in Chinese). The post of Grand Minister of State was filled by officials selected by the Emperor out of Manchu or Chinese Grand Secretaries, Imperial Secretaries, Vice Directors and territorial Viceroys and Grand Coordinators, or by promoted Secretaries. The staff was not in fixed number, three to four at least, and 11 at most. Each Duty Group (Ban, 班) of Grand Ministers of State was headed by the Duty Group Chief (Lingban, 领班) assumed by one Manchu and one Chinese dignitary. Initially, the Council of State rejected Imperial Princes (Qinwang, 亲王), but after Emperor Xianfeng acceded to the throne, the office of Duty Group Chief was open to them. For the Secretary in the Council of State, Grand Ministers of State would transfer appointees from the Secretariat of the Cabinet and the Six Ministries to concurrently hold the office. The quota for the office was not established until Emperor Qiaqing allocated to it 16 Manchus into two Duty Groups and 16 Chinese into two Duty Groups. As a central decision-making organ, the Council of State was, however, not equipped with a formal government office, whose workplace was the simple Duty Office (Zhifang, 值房). What is worse, Grand Ministers of State and Secretaries were in fact unpaid and unranked officials working in the Council of State part-time, so the Emperor could transfer them and return them to their original offices at any time. Moreover, he could appoint the Grand Minister of State at will, because this post, as well as its duties and responsibilities, was not institutionalized.

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Enjoying a special status in the policy-making system, the Council of State made possible the highly-developed autocratic monarchy of the Qing Dynasty, and became an exclusive decision-making body for the Emperor. It was ultimately dissolved with the fall of Qing, the last imperial dynasty in China.

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Chapter 4

Chapter 4

The Central Government System In the Shang Dynasty, a clear distinction was made between the central government and the territorial government. As is said in Announcement about Drunkenness, the Classic of History, “in the interior domain are all the various officers, the directors of the several departments, the inferior officers and employees, the heads of great houses and the men of distinguished name living in retirement, while in the exterior domain are Marquises, Governors, Barons, Guards and Earls of Subordinate States.” The interior domain (Neifu, 内 服 ) obviously referred to the central government constituted on behalf of the King of Shang while the exterior domain (Waifu, 外服), outside the capital, stretched all over China and covered the feuds of affiliated lords, major or minor, via their relation with the king, dividing the country into local areas under the king’s control. The concepts of central and territorial government, originated but obscured in the Xia Dynasty, were made quite clear in Western Zhou and for thousands of years thereafter, both the central and local systems were marked by the vicissitudes of time and political change.

1. Three Dukes and Nine Chamberlains: Masters of the Outer Court During the Xia-Shang period, the central bureaucracy was segmented into political officials and divinatory officials. Among the former, there had been assisting ministers like Preceptor, Guardian, Chancellor and the Three Dukes. In Western Zhou, the Three Dukes, formally including the Grand Preceptor, Grand Guardian and Grand Mentor, were placed above all other officials in the central government and held the military and political power. According to Guardian and Mentor, Dai De’s Version of the Rites, “King Cheng of Zhou came to throne at a young age, when the Duke of Zhou was instated as the Grand Guardian to protect him, the Duke of Zhou as the Grand Mentor to teach him about virtues ~59~

and justice, and the Duke Jiang (Jiang Ziya) as the Grand Preceptor to guide him; this was what the Three Dukes were about.” On this basis, the officials known as the “Three Juniors” were also installed as Senior Grand Ministers (Shang Dafu, 上大夫) by the name of Junior Guardian (Shaobao, 少保), Junior Mentor (Shaofu, 少傅) and Junior Preceptor (Shaoshi, 少师) to accompany the Crown Prince during his growth. In charge of routine political affairs for the king but under the Three Dukes, there were two major offices, the Office of Ministers of Servicemen (Qingshi Liao, 卿士寮) developed out of the previous political officials and the Office of Astrologers and Scribes (Taishi Liao, 太史寮) constituted by divinatory officials. The Office of Ministers of Servicemen was a military, political and judicial organ headed by Ministers and Servicemen who were not only highest administrative officers in the central government, but also military commanders in charge of the Three High Ministers (Sanshi, 三事) and the Four Quarters (Sifang, 四方). The so-called “Three High Ministers” referred to the Civil Executive (Changbo, 常伯), Political Executive (常任) and Judicial Executive (Zhunren, 准 人). Among them, the Political Executive governed the Three Ministers (San You Si, 三有司 or San You Shi, 三有事), specifically, the Minister of Land and People (Situ, 司土) in charge of registration of cultivated land, settlement and corvee, the Minister of Works (Sigong, 司工, also known as Sikong, 司空) responsible for engineering and construction, and the Minister of War (Sima, 司马) enforcing military law and instructing military officers. The Judicial Executive oversaw the Minister of Justice (Sikou, 司寇) in charge of lawsuits, punishment and imprisonment, and the Minister of Servicemen (Sishi, 司士) supervised officials of all ranks and assisted the Minister of Justice. The Civil Executive usually held the responsibility for administrating the “Four Quarters”, that is, territories established by the royal court but owned by Marquises (Hou, 侯), Governors (Dian, 甸) and Barons (Nan, 男). The Office of Astrologers and Scribes handled cultural and educational affairs and dealt with affairs regarding title conferment and appointment, sacrifices, rites, divination, seasons, calendars, names, education, as well as archives, books and records. Besides the two major offices, there was another office managing routine

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affairs of the imperial palace, led by the Steward (Zai, 宰) or Great Steward (Taizai, 太宰). Among the positions in the office, there were the Food Steward (Shanfu, 膳夫) providing, tasting and serving all food and drink for the royal family, the Palace Guard (Shougong, 守宫) ensuring the security of the palace, the Manager of Chariots (Yuzheng, 御正) in charge of royal chariots, the Royal Coachman (Taipu, 太仆) taking care of horses and vehicles, the Clothes Keeper (缀衣) responsible for the clothing and dress of the royal family and the Palace Accountant (Shufu, 庶府) managing the treasury. In addition, the Food Steward and the Royal Coachman also passed the decrees and orders of the king to relevant departments and also took report requests. The Duke of Zhou, King Wu’s younger brother, held the post of Great Steward concurrently, not only influencing the inner court but also directing the outer court, which demonstrates a tendency that officials of the inner court not only participated in politics but also controlled their counterparts in the outer court. After the social upheaval during the Spring and Autumn period and the Warring States period, the chancellor system took the place of the hereditary minister system, and it was Chancellors, instead of Ministers and Servicemen, who dominated officialdom. Second only to the sovereign, the Chancellors (only one in some dynasties) performed both military and political duties. The title was initiated during the Spring and Autumn period, emerging in states like Qi, Qin, Chu, Song and Wu but named in different ways in Chinese. The variants included Xiang (相) in the Qi and Qin states, Lingyin (令尹) in Chu, Dayin (大尹) in Song and Taizai (太宰) in Wu, but generally it was known as “Zhizheng” (执政, literally “holder of power”). In the State of Jin, the General of the Army (Junjiang, 军将) was installed to handle government affairs, and the Capital General of the Army (Zhong Junjiang, 中军将), also called Marshal, was as powerful as the Chancellor, but was neither appointed by the sovereign nor assumed by clansmen, which was quite different from the old hereditary minister system and the new Chancellor system. Into the Warring States period, sovereigns of major states proclaimed themselves kings one after another while those of Qi and Qin regarded themselves Emperors for a time, but in general, the Chancellor system came into being in each of the states. Under the Chancellor, the Minister of Land and People, Minister of Works and Minister of Justice were retained, but new posts were added, such as the Functionary for Cultivated Fields (Tianbu Li, 田部吏) in Zhao, Administrator

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(Neishi, 内史) responsible for farm taxes and Chamberlain for Law Enforcement (Tingwei, 廷尉) for judicial affairs in Qin and Receptionist (Zhuke, 主客) in Qi receiving guests. As monarchical power was strengthened day by day, an increasing number of officials were instituted in the inner court with diverse titles like the Administrator (Zhangshi, 长史) (in the State of Qin), the Secretary for the Sovereign, Censor (Yushi, 御史) (in the States of Qi and Wei), Scribe (Zhushu, 主书), and Secretary (Zhangshu, 掌书). He who guarded the palace was called the Chamberlain for the Palace Garrison (Weiwei, 卫尉); he who participated in planning and decisions was the Director of Grand Master of the Palace (Zhong Dafu Ling, 中大夫令); he who took charge of chariots and horses was named the Director of the Livery Office (Chefu Ling, 车府令); he who headed eunuchs was the Director of Eunuchs (Huanzhe Ling, 宦者令); he who was supposed to introduce guests to the throne was the Receptionist (Yezhe, 谒者) and he who was charged with providing for the sovereign’s personal needs, maintaining and provisioning the imperial palace was the Chamberlain for the Palace Revenues (Shaofu, 少府). In the Qin-Han age, the Chancellor was made the highest-ranking administrative official, assisting the emperor with government affairs and sometimes named the Chancellor of State (Xiangguo, 相国). There were usually two Chancellors in a particular dynasty, designated as being “of the left” (senior) and “of the right” (junior). The Censor-in-chief (Yushi Dafu, 御史大夫) acted as the Vice Chancellor, working on archives and documents, monitoring officials of all ranks, but was the de facto secretary and inspector-general to the Emperor. The Defender-in-chief (Taiwei, 太尉) was in charge of military and administrative matters and at that time, the Chancellor, Censor-in-chief and Defender-in-chief were collectively known as the Three Dukes. In this chapter we will lay emphasis on the position of Chancellor and its subordinates, the Censor-in-chief, the Defender-in-chief and their subordinates will be examined in detail in chapters discussing the surveillance system and military system. The Left and Right Chancellors of the Qin Empire had five Palace Attendants (Shizhong, 侍中) coming and going between the Chancellors and the Emperor, among whom the most senior was the Supervisor (Puye, 仆射). In Han, there was only one Chancellor, a role assumed by a nobleman in most cases and there

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were two Aides (Zhangshi, 长史) in the Chancellor’s office helping the Chancellor with government affairs. During the reign of Emperor Wu, the post Rectifier (Sizhi, 司直) was added to the office to assist the Chancellor in impeaching lawbreakers. Since the Chancellor took care of almost everything, the office grew larger and larger until under Emperor Wu, it was staffed with over 300 appointees. In addition to varied posts like the Rectifier, Aide, Verifier (Zhengshi, 征 事 ), Scribe (Shi, 史 ) and Junior Scribe, the office was also segmented into different sections. The Eastern Section (Dongcao, 东曹) supervised commanderies and counties, appointed and dismissed officials; the Western Section (Xicao, 西曹) was filled with Palace Attendants busying themselves back and forth between the Emperor and the Chancellor; the Reports Section (Zoucao, 奏曹) took charge of documents to be presented to the throne; the Accounts Section (Jicao, 集曹) did the accounting work; the Consultation Section (Yicao, 议曹) was responsible for making plans; the Service Section (Shicao, 侍曹) circulated notes; the Civil Affairs Section (Hucao, 户曹) was concerned with census record and farming activities; the Military Section handled military affairs. Each section had an indefinite number of lesser subordinates (Yuanshu, 掾属) and there were also Recorders (Zhubu, 主簿) managing all books and documents in the Chancellor Establishment (Xiangfu, 相 府 ). During the reign of Emperor Ai, the post of Chancellor was changed to Grand Minister of Education (Da Situ, 大司徒) and around the same time, the Defender-in-chief was replaced by Grand Minister of War (Da Sima, 大司马) and the Censor-in-chief was renamed Grand Minister of Works (Da Sikong, 大司空). In Eastern Han, the Defender-in-chief, Minister of Education and Minister of Works were collectively known as the “Three Dukes”, all acting as de facto Chancellors. While the Office of Minister and Servicemen of Western Zhou paralleled the office of Chancellor (the Three Dukes) during the Qin-Han period, the Office of Astrologers and Scribes evolved the system of Nine Chamberlains, specifically responsible for Ceremonials (Taichang, 太常), for Attendants (Guangluxun, 光禄 勋), for the Palace Garrison (Weiwei, 卫尉), for the Imperial Stud (Taipu, 太仆), for Law Enforcement (Tingwei, 廷尉), for Dependencies (Da Honglu, 大鸿胪), of the Imperial Clan (Zongzheng, 宗正), for the National Treasury (Da Sinong, 大 司农 ), and for the Palace Revenues (Shaofu, 少 府 ). The Chamberlain for Ceremonials, known as the Chamberlain of Imperial Sacrifices (Fengchang, 奉常)

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in early Qin and Han, was in charge of religious rites, rituals, prayers and the maintenance of ancestral temples and altars. The Chamberlain for Attendants, formerly known as Director of Court Gentlemen (Langzhong Ling, 郎中令), was responsible for examining the Emperor’s personal counselors and bodyguards. The Chamberlain for the Palace Garrison, called Director of Grand Masters of the Palace in early Han was in charge of commanding palace guards and patrolling the walls, towers and gates of the imperial palace. The Chamberlain for the Imperial Stud took general charge of providing the Emperor and the court with horses and vehicles and maintaining the imperial horse herds. The Chamberlain for Law Enforcement, also known as Chamberlain for Judicial Review (Dali, 大 理 ), recommended decisions in contentious judicial cases, and conducted major trials. The Chamberlain for Dependencies was called Chamberlain for Colonial Affairs (Dianke, 典客) or Director of the Messenger Office (Daxing Ling, 大行令) in early Qin and Han, responsible for supervising the receptions of Princes and Marquises and handling relations with allied alien tribes. The Chamberlain for the Imperial Clan maintained the genealogy of the imperial family and monitored the conduct of imperial relatives. The Chamberlain for the National Treasury, also referred to as Clerk of the Capital for Grain (Zhisu Neishi, 治粟内史) or Grand Director of Agriculture (Da Nong Ling, 大农令), had very broad responsibilities for the collection of land tax, the storage of state grain supplies, among other duties. The Chamberlain for the Palace Revenues provided for the Emperor’s personal needs in his daily life. Apart from the Nine Chamberlains, there were the Chamberlain for the Imperial Insignia (Zhi Jin Wu, 执金吾) (formerly known as Commandant-in-ordinary (Zhongwei, 中尉)) stationed at the dynastic capital and policing the capital, Chamberlain for the Palace Buildings (Jiangzuo Daijiang, 将作大匠) (formerly Palace Architect (Jiangzuo Shaofu, 将作少府)) responsible for construction and maintenance of the palace and Director of the Palace Domestic Service (Da Changqiu, 大长秋) (formerly Empress’s Usher (Jiangxing, 将行)) mostly assumed by an eunuch to administer the household of the Empress. The system of administration shaped during the Qin-Han period, then, was known as the system of “Three Dukes and Nine Chamberlains” by later generations, in which the Chancellors (Three Dukes) managed government affairs and the Nine Chamberlains specialized in specific affairs. In fact, the domination

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of the Three Dukes and Nine Chamberlains in the outer court had taken hold since Emperor Wu of Han distinguished the inner court from the outer, when the inner court made decisions while the outer court practiced the administrative and executive power. The enhancement of imperial power, however, relegated the importance of the position of the Three Dukes and finally resulted in the dissolution of their power.

2. Imperial Secretariat: Overseer of all offices The Imperial Secretariat, which gradually became the policy-making and order-issuing agency in Eastern Han, suffered from a downward grading of its authority during the Wei, Jin, Southern and Northern Dynasties. While decisions were made in the Secretariat and advice was given at the Chancellery, the Imperial Secretariat was made only an executive institution, yet it became the supreme government department. During this period, the Imperial Secretariat emancipated itself from the Chamberlain for the Palace Revenues, not only superseding the Chancellor of Western Han, but also wresting much authority from the Nine Chamberlains. Taking charge of state affairs, it trialed different sections that were finalized as Ministry of Personnel (Libu, 吏部), Ministry of Revenues (Hubu, 户部), Ministry of Rites (Libu, 礼部), Ministry of War (Bingbu, 兵部), Ministry of Justice (Xingbu, 刑部) and Ministry of Works (Gongbu, 工部), each headed by a Minister (Shangshu, 尚书). The Secretarial Court Gentlemen (Shangshu Lang, 尚书郎) under Ministers also supervised various offices which had changing titles and functions until the Tang Dynasty when they were finalized as the Twenty-four Bureaus. In the Cao-Wei Dynasty during the Three Kingdoms period, the Imperial Secretariat was in charge of state administration, whose chief official was one Director assisted by Vice Directors of the Left (Senior) and the Right. At that time, it was segmented into five sections, with the Personnel Section (Libu Cao, 吏部曹) charged with the selection and appointment of officials, the Census Section (Zuo Min Cao, 左民曹) responsible for processing census reports, the Section for Receptions (Kecao, 客曹) to receive and communicate with foreign leaders, the Section of the Five Troops (Wujun Cao, 五军曹) managing the Inner Troops (Zhongbing, 中兵), Outer Troops (Waibing, 外兵), Cavalry Troops (Qibing,

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骑兵), Allied Troops (Biebing, 别兵) and Capital Troops (Dubing, 都兵), and the General Accounts Section (Duzhi Cao, 度支曹) generally responsible for managing state revenues and each section was led by a Minister. The Five Ministers, as well as the Director of the Imperial Secretariat, and Vice Directors of the Left and the Right, were collectively known as the “Eight Executives” (Bazuo, 八座). Superior to the Eight Executives was sometimes the Overseer of the Imperial Secretariat supervising all court affairs. Subordinates to the Eight Executives were Left and Right Aides (Cheng, 丞 ) for each of them and Secretarial Court Gentlemen for each section. The Left Aide, in a lower position but with more power than the Right Aide, released rules and restrictions within the Imperial Secretariat, while the Right Aide, in a higher position yet with less power, was in charge of national treasury and granaries. The Secretarial Court Gentleman was also called Section Gentleman (Cao Lang, 曹郎 or Tailang, 台郎), and there were in total 25 Gentlemen, for Palace Affairs (Dianzhong, 殿中), of Personnel (Libu, 吏部), for Equipment (Jiabu, 驾部), of Treasury (Jinbu, 金部), for Forestry and Crafts (Yucao, 虞曹), for Review (Bibu, 比部), for Southern Relations (Nan Zhuke, 南主客), for Sacrifices (Cibu, 祠部), for General Accounts (Duzhi, 度支), for Provisions (Kubu, 库部), for Agriculture (Nongbu, 农部), for Waterways and Irrigation (Shuibu, 水部), of Rites (Yicao, 仪曹), for the Three Dukes (Sangong, 三公), for Granaries (Cangbu, 仓部), for the People (Mincao, 民 曹), for Commandery Governors (Erqian Dan, 二千石), for Inner Troops, for Outer Troops, for Capital Troops, for Allied Troops, for Cavalry, for Evaluations (Kaogong, 考 功 ), for Law Codification (Dingke, 定 课 ), and for Criminal Administration (Duguan, 都官). From Wei to Jin, the office of Vice Directors of the Imperial Secretariat was quite unstable. There were sometimes two, differentiated as being of being the Left and Right and sometimes one, known as the Vice Director of the Imperial Secretariat. If the Director was left vacant, the Vice Director of the Left would hold the office. If the Vice Directors of the Left and the Right were both vacant, a Vice Director of the Imperial Secretariat would be designated to take the palace of the Vice Director of the Left. Western Jin instituted Six Sections, of Personnel, for the Three Dukes, for Receptions, for Equipments, for State Farm (Tuntian, 屯 田 ) and for General Accounts, with no Section for the Five Troops. Eastern Jin differed from the Cao-Wei Dynasty in that it got rid of one section, the Section for Receptions, but installed another, the Section for Sacrifices. The Vice Director of the Right also performed ~66~

the function of the Minister for Sacrifices, so if there was no Minister for Sacrifices, the Vice Director of the Right would head the section concurrently. During the Southern Dynasties, all of the States of Song, Qi, Liang and Chen filled the Imperial Secretariat with Six Sections, of Personnel, for Sacrifices, for General Accounts, for Census, for Criminal Administration and for the Five Troops, each headed by a Minister. There was additionally the Section for Public Construction (Qibu, 起部) headed by a Minister, specializing in building palaces and temples, but was only a temporary section; once the construction work was completed, it would fall into disuse. During the Northern Dynasties, Wei and Qi installed the Six Ministers of Personnel, for Palace Affairs, for Sacrifices, for the Five Troops, for Criminal Administration and for General Accounts, when the Overseer of the Imperial Secretariat supervised the Director and Vie Directors. The Overseer, Director and Vice Directors governed the Six Ministers, constituting the Department of State Affairs (Shangshu Dusheng, 尚书都省) that was taken care of by the Left and Right Aides. For a period of time, the institution of Secretarial Court Gentlemen went through some very complicated changes and the number of personnel in post varied from 25 in Cao-Wei to 35 by the end of Western Jin and at the beginning of Northern Wei; in Eastern Jin, there were only 15 left, but in most cases, there were more than 20 Secretarial Court Gentlemen. Prior to Western Jin, the recruitment was taken quite seriously, but this was not the case after Eastern Jin when the Gentleman of Personnel was in charge of official recruitment, for which he was valued more by the nobility than any other gentlemen. After Sui re-unified China as a whole, the Imperial Secretariat was made a top-echelon government body that administered almost every thing. It was headed by a Director and two Vice Directors of the Left and Right, but the Overseer was removed. The system of the Six Ministries and Twenty-four Bureaus had by then taken shape, but it was not until Tang that their names, sequences and responsibilities were finalized. Sui set up Six Sections, of Personnel, of Rites, of War, for Criminal Administration, for General Accounts and of Works. Shortly, the General Accounts Section was changed into Section of Revenues and the Section for Capital Affairs into Section of Justice. Not until Empress Wu came to throne were the Six Sections formalized as the Six Ministries and sequenced in accordance with the Rites of Zhou, regularized as the

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Ministry of Personnel, Ministry of Revenues, Ministry of Rites, Ministry of War, Ministry of Justice and Ministry of Works in a strict order, which was carried on in dynasties thereafter. The Ministry of Personnel had taken the lead among all sections in the Imperial Secretariat since the Cao-Wei Dynasty and as it was charged with official recruitment, it was normally managed by the Vice Director of the Imperial Secretariat concurrently. The Ministry of Revenues was responsible for financial affairs and into the Cao-Wei Dynasty, it secured the power that originally belonged to the Chamberlain for the National Treasury in Eastern Han. The Ministry of Rites, created in Northern Zhou, originated from the Section for Receptions and Section for Southern and Northern Relations (Nan-bei Zhuke Cao, 南北主客曹). Responsible for rites and sacrifices, it was somewhat of a substitute for the Chamberlain Ceremonials and Chamberlain for Dependencies. The Ministry of War was known as the Section for the Five Troops in the Cao-Wei Dynasty and Northern Qi, as the Headquarters Section in Northern Wei, and as the Three Sections for Equipments, Chariots (Chebu, 车部) and Provisions in Jin. Sui thus integrated the Five Troops and the Three Sections into the Ministry of War to take charge of military administration and replace the Defender-in-chief of Han. The Ministry of Justice was made out of the Section for Criminal Administration or Section for the Three Dukes of Wei and Western Jin, and the Sections for the Three Dukes, for Review and for Criminal Administration of Western Jin, responsible for criminal administration as a substitute for the Chamberlain for Law Enforcement. The Ministry of Works was created in Northern Zhou, out of the Sections for Public Construction and for Waterways and Irrigations of Western Jin, taking over some of the power of the Chamberlain for the Palace Buildings. From Sui on, each of the Six Ministries was headed by a Minister (Shangshu) who was assisted by one or more Vice Ministers (Shilang, 侍 郎) and each oversaw four offices, whose names and sequences were also finalized in Tang. The head office for each was named after the ministry which it served, also referred to as the Basic Office (Bensi, 本司). Therefore, the Ministry of Personnel led the Bureau of Personnel, Bureau of Honors (Sifeng, 司封, or Zhujue, 主爵), Bureau of Merit Titles (Sixun, 司勋) and Bureau of Evaluations (Kaogong, 考功). The Ministry of Revenues monitored the Bureau of Revenues, Bureau of General Accounts (Duzhi, 度支), Treasury Bureau (Jinbu, 金部) and Granaries Bureau (Cangbu, 仓部). The Ministry of Rites supervised the Bureau of Rites, Bureau for Sacrifices (Cibu, 祠部), Catering Bureau (Shanbu, 膳部) and ~68~

Bureau of Receptions (Zhuke, 主客). The Ministry of War headed the Bureau of War, Bureau of Operations (Zhifang, 职方), Bureau of Equipments (Jiabu, 驾 部), and Bureau of Provisions (Kubu, 库部). The Ministry of Justice governed the Bureau of Justice, Bureau of Criminal Administration (Duguan, 都 官 ), Bureau of Review (Bibu, 比部) and Transit Authorization Bureau (Simen, 司门). Finally, the Ministry of Works managed the Bureau of Works, Bureau of State Farms (Tuntian, 屯田), Bureau of Forestry and Crafts (Yubu, 虞部) and Bureau of Waterways and Irrigation (Shuibu, 水部). Each bureau was overseen by a Director (Langzhong, 郎中) with the assistance of Vice Directors (Yuanwai Lang, 员外郎). Throughout the Era of Division that covered the Wei, Jin, Southern and Northern Dynasties, the Imperial Secretariat was, however, not clearly distinguished from the Nine Chamberlains with regard to their duties, so the government administration was disordered. During the Western and Eastern Jin period, it was suggested that the Nine Chamberlains could be incorporated into the Imperial Secretariat. Fortunately Sui and Tang saw the maturing of the administrative mechanism which resulted in the clear-cut division of work. As a result, the Imperial Secretariat became the center for government administration in charge of administrative decrees, whilst the Nine Chamberlains made up the central service agency, receiving decrees from the Imperial Secretariat and each taking up specific responsibility. This was the situation in early Tang when “the Imperial Secretariat was backing the whole empire up and overseeing all bureaus”. During the Wei, Jin, Southern and Northern Dynasties, each of the Nine Chamberlains instated in Eastern Han was formally paralleled to a Court (Si, 寺). The previous offices for the Chamberlains for Ceremonials, for Attendants, for the Palace Garrison, for the Imperial Stud, for Law Enforcement, for Dependencies, of the Imperial Clan, for the National Treasury, and for the Palace Revenues were gradually fixed as the Courts of Imperial Sacrifices (Taichang Si, 太 常 寺 ), of Imperial Entertainments (Guanglu Si, 光 禄 寺 ), of the Imperial Regalia (Weiwei Si, 卫尉寺), of the Imperial Clan (Zongzheng Si, 宗正寺), of the Imperial Stud (Taipu Si, 太仆寺), of Judicial Review (Dali Si, 大理寺), of State Ceremonial (Honglu Si, 鸿胪寺), of the Imperial Granaries (Sinong Si, 司农寺) and of the Imperial Treasury (Taifu Si, 太府寺), whose heads were Chief Ministers

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(Qing, 卿) and Vice Ministers (Shaoqing, 少卿). Having evolved during the Wei, Jin, Southern and Northern Dynasties, the offices of Chamberlain for the Palace Revenues, Chamberlain for the Palace Buildings, Commandant of Waterways (Shuiheng Duwei, 水衡都尉) and Director of Palace Domestic Service of Eastern Han were in Sui developed into Directorates for Imperial Manufactories (Shaofu Jian, 少府监), for the Palace Buildings (Jiangzuo Jian, 将作监), of Waterways (Dushui Jian, 都水监) and of Palace Domestic Service (Changqiu Jian, 长秋监). In addition to the Directorate of Education (Guozi Jian, 国子监) evolving from the Imperial College (Taixue, 太学) and National University (Guoxue, 国学), there were then five directorates in total. In Tang, the Five Directorates (Wujian, 五监) collectively denoted the Directorate of Education, Directorate for Imperial Manufactories, Directorate for the Palace Buildings, Directorate for Armaments (Junqi Jian, 军器监) and Directorate of Waterways. Each of the Directorates for Imperial Manufactories, for the Palace Buildings, and for Armaments was headed the Director (Jian, 监) and Vice Directors (Shaojian, 少监). The Directorate of Education however was supervised by the Libationer (Guozi Jijiu, 国子祭酒) and Vice Libationers (Guozi Siye, 国子司业). For the Directorate of Waterway, it was the Commissioner of Waterways (Dushui Shizhe, 都水使者) or Commandant of Waterways who oversaw the office. All of the Nine Courts and Five Directorates except the Court of Judicial Review and Directorate of Education were equipped with affiliated Offices (Shu, 署) some of which were even level in authority with Directorates. The Six Ministries and Twenty-four Bureaus under the control of the Imperial Secretariat issuing government decrees were in fact largely mirrored the Nine Courts and Five Directorates that received the decrees. By and large, the Ministry of Personnel was connected to the Court of the Imperial Clan, the Ministry of Revenue to the Courts of the Imperial Stud and of the Imperial Granaries, the Ministry of Rites to the Courts of Imperial Sacrifices, of Imperial Entertainments, of State Ceremonial and the Directorate of Education, the Ministry of War to the Court of the Imperial Regalia, of the Imperial Stud and the Directorate of Armaments, the Ministry of Justice to the Court of Judicial Review and the Ministry of Works to the Directorates for Imperial Manufactories, for the Palace Buildings, and of Waterways. Each of the Nine Courts and Five Directorates reported daily routines to its corresponding Ministry and acted upon the decrees

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of the Imperial Secretariat. There were decrees of two sorts, solutions worked out based on the imperial edict for military and state priorities and orders for minor affairs. In addition to the offices already discussed, the Archives Secretariat (Mishu Sheng, 秘书省) merits a brief introduction here. It was initiated in late Eastern Han to manage documents and books in the imperial palace, subordinate to the Chamberlain for Ceremonials. Yet, it was incorporated into the Secretariat in early Western Jin but restored as an office of the outer court late during this period, existing throughout the Southern Dynasties thereafter. It was the State of Liang that formalized it as the Archives Secretariat which was placed alongside the Imperial Secretariat, the Secretariat, the Chancellery and the Department of Scholarly Counselors to form the Five Departments. The States of Wei and Qi during the Northern Dynasties also counted it among the Five Departments. In the Sui Dynasty, it was again included in the Five Departments which, however, encompassed the Imperial Secretariat, the Chancellery, the Palace Domestic Service and the Palace Administration besides the Archives Secretariat. Tang perpetuated the institution and designated a Supervisor and Vice Supervisors to it. It meanwhile oversaw the Editorial Service (Zhuzuo Ju, 著作局) and Bureau of Astronomy (Sitian Tai, 司天台). Tang initially attached more importance to civil administration, so the Supervisor of the Archives Secretariat was normally assumed by a Vice Chancellor.

3. Three Departments and Six Ministries in transformation From Mid-Tang to early Ming, the central administration underwent another major transformation, as only the Imperial Secretariat of the Three Departments eventually survived, and the pattern of Nine Courts and Five Directorates was broken, with some added and some altered. After the Anshi Rebellion, military governors’ separatist rule and eunuchs’ power monopoly posed two major threats to the Tang regime, so that the policy-formulating power of the Secretariat and the advisory power of the Chancellery gradually fell into the hands of Hanlin Scholars and Palace Secretaries. Meanwhile, the Six Ministries under the Imperial Secretariat were ~71~

also replaced in one way or another, among which the Ministries of Revenues and of War were most notable. The next section will first look at how the power of the Ministry of Revenues was encroached upon and stripped away, and then it will look at how the military power of the Ministry of War was taken by the Palace Secretaries. The Ministry of Revenues “was in charge of land, people, treasury and tax of All under Heaven”. Ever since Emperor Xuanzong of Tang mounted the throne, Chancellors had concurrently held posts like Salt and Iron Monopoly Commissioner (Yantie Shi, 盐铁使) and Commissioner of General Accounts (Duzhi Shi, 度支使). Consequently, they stripped the Directors of the Census and General Accounts Bureaus of their powers. Later Tang during the Five Dynasties installed the State Fiscal Commissioner (Sansi Shi, 三司使) as an all-round financial manager who supervised the Salt and Iron Monopoly, General Accounts and Census Bureaus. Northern Song in its early years carried forward the system instituted in the Five Dynasties, with the State Fiscal Commissioner handling state financial affairs, when all taxes collected were turned over to the State Fiscal Commission (Sansi, 三司), also known as the Finance Department (Jisheng, 计省), with the appropriately titled Minister of Finance (Jixiang, 计相) in charge. The commission was headed by the above State Fiscal Commissioner or Supervisor of the State Fiscal Commission (Pan Sansi, 判三司) with the assistance of Vice Commissioners (Fushi, 副使) and Administrative Assistants (Panguan, 判官). Subordinate to the State Fiscal Commissioner were the Salt and Iron Monopoly Commissioner, Commissioner of General Accounts and Census Commissioner each of whom were also aided by Vice Commissioners and Administrative Assistants. The Salt and Iron Monopoly Bureau implemented state controls over the exploitation of all natural resources, supervised commerce and commercial taxation, and provided essential military materials, among other duties, through seven constituent sections (an, 案): Military Section (Bing An, 兵案), Armaments Section (Zhou An, 胄案), Market Tax Section (Shangshui An, 商税案), Capital Salt Supply Section (Duyan An, 都盐案), Tea Section (Cha An, 茶案), Iron Section (Tie An, 铁案) and Special Preparations Section (She An, 设案). The General Accounts Bureau kept accounts to make ends meet on a yearly basis and was given administrative support by eight subsidiary sections: Gifts and Presentations Section (Shangji An, 赏给案), Coins and Silks Section (Qian’bo An, 钱帛案), Supplies Section (Liangliao

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An, 粮 料 案 ), Stabilization Fund Section (Changping An, 常 平 案 ), Transport Section (Fayun An, 发运案), Horses Section (Qi An, 骑案), State Grain Section (Hudou An, 斛斗案) and Officials Section (Baiguan An, 百官案). The Census Bureau collected and maintained all registers of population and land, and kept records concerning special taxes, remittances and exemptions. It supervised five sections: Tax Section (Huishui An, 户税案), Prefectural Remittances Section (Shanggong An, 上供案), Palace Construction Section (Xiuzao An, 修造案), Yeast Section (Qu An, 麴案), and Clothing and Rations Section (Yiliang An, 衣粮案). Therefore, in the Tang Dynasty, the Three Bureaus had a broad scope of responsibilities that were distributed among the Ministry of Revenues, of Works, of Justice, Palace Administration, Courts of the Imperial Entertainments, of State Ceremonial, of the Imperial Granaries, of the Imperial Stud, and Directorates for Imperial Manufactories, for the Palace Buildings, and for Armaments and of Waterways. In early years of Northern Song, as a result, the central government was structured by the Secretariat responsible for civil affairs, the Palace Secretariat holding military power and the State Fiscal Commission exercising financial control, each minding its own affairs. While the state bureaucracy was trisected by civil, military and financial groups, the Three Departments, Six Ministries, Nine Courts and Five Directorates were kept as they were, but existed in name only. Those assuming office in these agencies were not executing their duties yet still got paid; Emperor Shenzong in his reforms later ordered that their duties should “return” to them. Meanwhile, the Three Bureaus were abandoned, and their powers were scattered among the Ministry of Revenues and various courts and directorates. The Palace Secretariat with its military control was retained, though Emperor Shenzong was advised to abolish it and give its power back to the Ministry of War. In the new official system, the Three Departments were all provided the post of Director, but it was not independently filled and the Vice Directors of the Left and Right served as the de facto Chancellors. The Vice Director of the Left of the Imperial Secretariat concurrently held the office of Vice Director of the Chancellery and wielded the power of the Director of the Chancellery, while the Vice Director of the Right was meanwhile installed as the Vice Director of the Secretariat who acted as the de facto Director of the Secretariat. In 1129 under the rule of Emperor Gaozong, the Vice Directors of the Left and Right of the Imperial Secretariat with the

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honorary title of Joint Manager of Affairs with the Secretariat-Chancellery were deemed the principal Chancellor, while the Vice Directors of the Secretariat and of the Chancellery were Participants in Determining Governmental Matters, in other words, Vice Chancellors. The Three Departments were thus integrated and in 1172 during the reign of Emperor Xiaozong, the posts of Directors of the Imperial Secretariat, of the Secretariat and of the Chancellery were all abolished. The Liao Empire existed in the same age as the Five Dynasties and Northern Song, so the Liao bureaucracy was a mixture of the traditional Khitan government, known as the Northern Administration (Beimian Guan, 北面官) and the Chinese official system, called the Southern Administration (Nanmian Guan, 南面官). The Northern Administration managed affairs of the Khitan tribes and their nomadic allies while the Southern Administration governed in all aspects for the Han nationality. Influenced by the late Tang official system, the Northern Administration was mixed with posts of Chinese style, but which had different responsibilities. The Northern Palace Secretariat was similar to the Ministry of War but the Southern Palace Secretariat was like the Ministry of Personnel. The Northern and Southern Establishments (Wangyuan, 王院) were akin to the Ministry of Revenues, Tribal Judge (I Li Bi, 夷离毕, Chinese rendering of a Khitan word) to the Ministry of Justice, Ritualist (Di Lie Ma Du, 敌烈麻都) to the Ministry of Rites and the previous Court of Palace Attendants (Xuanhui Yuan, 宣 徽院) to the Ministry of Works. All these were under the control of the Northern and Southern Chancellors. Conversely the Northern Administration was a copy of the Northern Song bureaucracy with the Palace Secretariat for Chinese holding the military power. In terms of the Three Departments, the Secretariat, in charge of state affairs, was initially called the Department of Administration (Zhengshi Sheng, 政 事 省 ). It was staffed with the Director and Vice Director of the Secretariat, Grand Chancellor, Left Chancellor, Right Chancellor, Administrator of the Secretariat (Zhi Zhongshu Sheng Shi, 知中书省事), Joint Manager of Affairs with the Secretariat-Chancellery and Participant in Determining Governmental Matters. In the Chancellery were the Director, Vice Director and others. The Imperial Secretariat was staffed with the Director, Vice Directors of the Left and Right, Left and Right Aides, Left and Right Administrative Associates (Siguan, 司官) and members of the Six Ministries. As a matter of fact, the Northern Palace

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Secretariat was always the top-echelon military agency throughout the Liao Dynasty involved in almost everything. By contrast, the Southern Palace Secretariat, though inferior to its counterpart, was still made a bulwark-like institution, as the emperor could implement his decrees in Chinese prefectures and counties through Chinese chancellors and other functional departments subordinate to it. The Jin regime toppled the Liao government and coexisted around the time of Southern Song. After the “Chief” (Bo Ji Lie, 勃极烈, a Jurchen word in Chinese rendering) system and the Three Departments had both been tried, the central administration finally ran on the model of one department, the Imperial Secretariat. Before the founding of the Jin Empire, hereditary leaders of Jurchen groups were called Chiefs, who were subordinate to the Supreme Chief (Du Bo Ji Lie, 都勃极烈). During the reigns of Emperor Taizu and Emperor Taizong, the Chief system was retained. Under the emperor, there were four Chiefs that constituted the political center and it was not until 1126, under the rule of Emperor Taizong, that the Imperial Secretariat was established and the Chinese-style Three Departments came into being. When Emperor Xizong was in power, he renewed the system and instituted the Director of the Imperial Secretariat as an honorary title, when the Left and Right Chancellors were de facto Chancellors and the Left and Right Aides were Vice Chancellors. Besides this, the roles of Directors of the Secretariat and of the Chancellery were all assumed by Chancellors; Vice Directors of the Secretariat and of the Chancellery were inferior to the Left and Right Aides in status, and were mostly purely titular posts. In 1156 during the reign of Prince Hailing (Hailing Wang, 海陵王), whose birth name was Wanyan Liang (完颜亮), the Secretariat and the Chancellery were cut out of the Three Departments, leaving the Imperial Secretariat alone. Further structured, the Imperial Secretariat was divided into Left and Right Offices (Si, 司) and equipped with Archives (Jiage Ku, 架阁库), controlling the Six Ministries that were modeled after those in the Song Dynasty. Although the Imperial Secretariat oversaw the Six Ministries, it had some independent administrative authority under some circumstances and was allowed to voice concerns about the deliberations of the Imperial Secretariat and present reports to the Emperor. Apart from the Six Ministries, there were also specific service agencies like Courts, Offices, Directorates, Services, and Bureaus, most of which

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copied the systems of Song and Tang with some changes. Among them, there were permanent institutions, like the High Court of Justice (Da Zongzheng Fu, 大 宗正府), Courts of the Imperial Granaries, for Ceremonials, Archives Secretariat, Directorates of Education, of the Imperial Treasury, for Imperial Manufactories, of Waterways, Courts of Judicial Review, and of the Imperial Regalia. Some were short-lived bodies, for instance, Emperor Zhangzong abandoned the Ministry of Revenue in favor of the Three Bureaus to take charge of agriculture, salt and iron monopoly and tax, but they were later abolished by Emperor Xuanzong. Some departments, like the Directorate of Armaments, were repeatedly instated and abolished. As the fifth Great Khan (Dahan, 大汗) of the Mongol Empire, Kublai proclaimed himself the Emperor and established a new dynasty Yuan. His temple name was Shizu (世祖). In serial reforms based on old-fashioned Mongol systems, the institution of Inner and Outer Administrations were the most significantly affected. Like during the later Jin Dynasty, the three central government apparatuses were the Secretariat responsible for political matters, the Palace Secretariat for military affairs and the Censorate for surveillance over the entire system. It is worth noting here that the Secretariat, rather than the Imperial Secretariat, was then the supreme government body, because the Director of the Secretariat had been in place before the Mongol Empire assumed power. The position of Director of the Secretariat was assumed by the Crown Prince, also known as Acting Director of the Secretariat (Xing Zhongshu Ling, 行 中书令) but if the Crown Prince had not yet been nominated, the title would be left void. In the Secretariat, it was actually the Right and Left Chancellors who directed the department and as the Mongols esteemed right over left, the Right Chancellor was made the prime minister. Under the Right and Left Chancellors, there were four Managers of Governmental Affairs (平章政事, Pingzhang Zhengshi) as secondary Chancellors an subordinate to each Manager of Governmental Affairs, there were one Right Aide, one Left Aide and two Participants in Determining Governmental Matters (参知政事, Canzhi Zhengshi) as Vice Chancellors, all of whom were eligible to take part in state governance. Yuan followed Jin’s system of the Imperial Secretariat and installed Left and Right Offices. Initially in the Secretariat, the Ministries of Personnel, of Revenues and of Rites combined the Three Ministries of the Left (Zuo Sanbu, 左三部) and

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the Ministries of War, Justice and Works constituted the Three Ministries of the Right (You Sanbu, 右三部), but later they were formalized as the Six Ministries as before. In each Ministry, there were three Ministers, two Vice Ministers, two Directors (Langzhong, 郎中) and two Vice Directors (Yuanwailang, 员外郎). It merits attention here that although the Six Ministries generally remained unchanged, the Supervisors and Deputy Supervisors were appointed to head the Ministries as aides to Ministers and Vice Ministers, and the Twenty-four Bureaus shaped in the Song Dynasty were no longer installed in the Liao, Jin and Yuan Dynasties. As required, each Ministry would install new affiliates. Jin, for example, added the Hostel for Tributary Envoys (Sifang Guan, 四方馆), and Ritual Regalia Storehouse (Fawu Ku, 法 务 库 ) and Communications Office (Chengfa Si, 丞发司) to the Ministry of War. In Yuan, the affiliates of the Six Ministries were more ad hoc. In the Ministry of Rites, there were the Records Office (Zhaomo Suo, 照 磨 所 ) of rank 8a, the Commission of Guard and Attendant Commanders (Gongwei Zhidu Zhihui Shisi, 拱卫直都指挥使司) of rank 4b, the Palace Ceremonial Office (Shiyi Si, 侍仪司) of rank 5b, the Bureau of Musical Ritual (Yifeng Shi, 仪凤事) of rank 4a, the Music Office (Jiaofang Si, 教坊 司) of rank 5b and the Interpreters Institute (Huitong Guan, 会同馆) of rank 4b. In the Yuan Dynasty, major service agencies which were added and changed included the Mongolian Hanlin Academy (Menggu Hanlin Yuan, 蒙古翰林院) in charge of drafting imperial pronouncements in Mongolian, the Commission for Buddhist and Tibetan Affairs (Xuanzheng Yuan, 宣政院) to supervise the Buddhist clergy, the Palace Provisions Commission (Xuanhui Yuan,宣 徽 院 ) providing food for the imperial family, the Office of Imperial Ancestral Worship (Taisi Zongyin Yuan, 太 禧 宗 禋 院 ) monitoring the offering of prayers and sacrifices at temples to all Mongol Emperors, the Imperial Seals Commission (Dianrui Yuan, 典瑞院) responsible for keeping and authorizing use of the imperial seals, the Astrological Office (Taishi Yuan, 太 史 院 ) charged with preparing and distributing the official state calendar, the Imperial Academy of Medicine (Taiyi Yuan, 太医院) providing medical care for the Emperor, the Academy in the Hall of Literature (Kuizhang Ge Xueshi Yuan, 奎章阁学士院) dedicating literary books to the Emperor for his reference in governance, the Directorate of Translation (Yiwen Jian, 艺文监) to translate Chinese classics into Mongolian, the Court for Imperial Attendants serving in the palace, the Imperial Manufactories Commission (Jiangzuo Yuan, 将作院) supervising an abundance ~77~

of artisans in the manufacture of gold, silver, jade and other luxury utensils for palace use, the Bureau of Transmission (Tongzheng Yuan, 通政院) overseeing operation of the postal relay system, the Household Service for the Empress (Zhongzheng Yuan, 中政院) taking charge of property of the Empress, the Census Court (Changxin Shi, 长信寺) maintaining registers of population in palace and the Directorate of Leather and Fur Manufactories (Liyong Jian, 利用监) supervising the manufacture of furry goods and clothes. Others like the High Court of Justice, Court of the National Treasury, and Commission for Ritual Observances (Taichang Liyi Yuan, 太常礼仪院) were each elevated to a higher rank. As for the Court for Imperial Armaments (Wubei Si, 武备寺), Court of the Imperial Stud, Directorate of the Imperial Treasury (Taifu Jian, 太 府 监 ), Directorate of Waterways, Archives Secretariat and Directorate of Astronomy (Sitian Jian, 司 天监), their duties were generally not changed, but their powers were gradually taken away. During the implementation of the One Department system in the Yuan Empire, the Secretariat, due to financial problems, was dealt quite a few blows. As Emperor Shizu and Emperor Wuzong adhered to “governance through financial management” in state administration, the Imperial Secretariat was reinstituted to control the Six Ministries and the Branch Secretariats (Xingsheng, 行 省). Consequently, the Secretariat existed in name only, but this situation did not last long as the Imperial Secretariat was shortly removed because of its conflict with the Secretariat.

4. The Chancellor abolished, replaced by the Six Ministries The Ming government, was initially based on the Yuan administration. As Zhu Yuanzhang (Emperor Hongwu), the founder of the Ming Empire, said, “the state would institute three major institutions, the Secretariat to supervise general administration, the Commander-in-chief (Dudu, 都督) in control of the Ming armies and the Censorate to maintain surveillance over the officialdom”. As the supreme government body, the Secretariat was staffed with the Left and Right Chancellors, Managers of Governmental Affairs, Left and Right Aides, and Participants in Determining Governmental Matters to exercise leadership over

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the whole bureaucracy. In order to reinforce his authority, in 1377, Emperor Hongwu set up a new agency, the Office of Transmission (Tongzheng Shisi, 通政使 司), to dissipate the power of Chancellors. In 1380, the Emperor in his obsession for control abolished the Secretariat and the post of Chancellor, distributing the power of the Secretariat into the Six Ministries, thus bringing an end to the Chancellor system that was in practice for over 1,500 years and the Three Departments system for nearly 1,000 years. After this change, the Emperor himself, rather than the Secretariat and Chancellors who originally administered them, took control of the Six Ministries. From then on, these Ministries were elevated to higher ranks and turned into independent top-echelon groups next only to the Emperor. Previously, the Ministers of the Six Ministries had always been of rank 3a and the Vice Ministers of rank 4a, but since the Ming Era, the Ministers were promoted to rank 2a as legitimate members of the Nine Chamberlains and Vice Ministers were raised to rank 3a differentiated as being of the Left and the Right. Each Ministry was equipped with a General Services Office (Siwu Ting, 司务厅) headed by two Office Managers (Siwu, 司务). The Six Ministries were generally responsible for the same things as they were in the previous dynasty. Likewise, the Ministry of Personnel was charged with tasks of civil official recruitment, title conferment, assessment and talent screening; the Ministry of Revenues was responsible for population and land censuses; the Ministry of Rites was in charge of ceremonies, sacrifices, and civil service examination recruitment; the Ministry of War was responsible for all aspects of military personnel administration; the Ministry of Justice supervised the administration of justice and the management of prisons and convicts; and the Ministry of Works took charge of construction, manufacture, and maintenance of waterways and roads. Unlike the previous dynasty, however, modifications were made to the affiliates of the Six Ministries. First of all, all affiliates were renamed “Bureau” (Qinglisi, 清吏司) and secondly, each of the Ministries of Personnel, of Rites, of War and of Works headed four Bureaus by the nature of work, which was roughly the same with the previous dynasty, but the Ministries of Revenues and of Justice both led 13 Bureaus territorially, namely, Zhejiang, Jiangxi, Huguang, Shaanxi, Guangdong, Shandong, Fujian, Henan, Shanxi, Sichuan, Guangxi, Guizhou and Yunnan. Each Bureau, as in the Yuan Dynasty, had a staff of a Director (Langzhong, 郎中), Vice Directors (Yuanwai Lang, 员外郎) and Secretaries

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(Zhushi, 主事). The Office of Transmission, as a newly-established body to coordinate between the Emperor and government agencies, was responsible for receiving, registering in ledgers, and presenting to relevant audiences all submitted reports and exercising veto powers to reject reports considered improper. It was thus included as a part of the Nine Chamberlains next to the Six Ministries and the Chief Surveillance Bureau and qualified to take part in governance matters, important cases and court conferences. It was directed by a Commissioner of Transmission (Tongzheng Shi, 通政使) of rank 3a under whom there were the Vice Commissioners (Tongzheng, 通政) of the Left and the Right, Vice Commissioner of the Right for Imperial Warrants (Tenghuang You Tongzheng, 誊黄右通政), one Left and one Right Consultant (Canyi, 参议). As for the Nine Courts, Five Directorates and various departments specific to the Tang-Song period, a new system was brought into being in the Ming Empire which saw the Nine Courts reduced to Five Courts, namely of Judicial Review, of Imperial Sacrifices, of Imperial Entertainments, of the Imperial Stud and of State Ceremonial. The Five Directorates and various departments were evolved into Two Directorates (Erjian, 二监) (the Directorate of Education and the Directorate of Astronomy (Qingtian Jian, 钦天监)), Two Administrations (Erfu, 二府) (the Administration of Imperial Clan (Zongren Fu, 宗 人 府 ) and the Household Administration of the Heir Apparent (Zhanshi Fu, 詹事府)), and Two Academies (Eryuan, 二院), the Hanlin Academy and the Imperial Academy of Medicine. In particular, the Court of Judicial Review was quite different from that of the former dynasty. Firstly, legalized as one of the Nine Chamberlains, the Court was in a higher status than any other court and secondly, it became a reviewing agency instead of a trial institution. All cases and criminals tried by the Ministry of Justice had to be filed to the Court of Judicial Review for review. Only when the Court had verified and approved them could the Ministry of Justice execute punishments. If the Court of Judicial Review deemed that the Ministry of Justice had conducted a trial improperly, the Court could reject their verdict and return it for retrial. Capital cases, however, were subject to the approval of the Emperor. Also equipped with a General Services Office, the Court was headed by a Minister (Qing, 卿), two Vice Ministers (Left and Right), and two Aides (Left and Right).

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At its establishment, Ming situated the capital in Nanjing (南京, literally “Southern Capital”), where the central government was also installed. Later, Emperor Yongle demoted Nanjing to a secondary capital and announced Beijing as his power base. When the new central government was set up in the new capital, the government in Nanjing was however retained and all official titles there had to be prefixed “Nanjing”. The governments of the two capitals were basically structured in the same fashion, but the Nanjing bureaucracy was in a smaller scale and moreover, the Ministries of Revenues and Justice were restricted to govern Nanjing only without the subordinate 13 Bureaus. The Qing central government, on the whole, was modeled after that of the Ming Dynasty, but changes were unavoidable. With regard to the Six Ministries, each Ministry was headed by one Manchu and one Han Minister and staffed with two Manchu and two Han Vice Ministers (differentiated as being of the Left and the Right, each for one Manchu and one Han). In early years of the Qing Dynasty, the real power was actually in the hands of Manchu officials. Vice Ministers, as deputies to Ministers nominally, could directly present reports to the throne because they were also senior officials (Tangguan, 堂官) like Ministers and they were often admitted by the Council of State. The complicated situation made the power of each Ministry even weaker, so that the Emperor could directly control them. Moreover, the Ministries of Revenues and of Justice expanded into more Bureaus. The Ministry of Revenues oversaw 14 Bureaus, including Jiangnan, Jiangxi, Zhejiang, Huguang, Fujian, Shandong, Shanxi, Henan, Shaanxi, Sichuan, Guangdong, Guangxi, Yunnan, and Guizhou, and the Bureaus the Ministry of Justice monitored were Zhili, Fengtian, Jiangsu, Anhui, Jiangxi, Fujian, Zhejiang, Huguang, Henan, Shandong, Shanxi, Shaanxi, Sichuan, Guangdong, Guangxi, Yunnan and Guizhou, 17 in total. Each Ministry had its General Services Office headed by an Office Manager, and each Bureau was staffed with a Director, Vice Directors and Secretaries. All posts were filled by Manchu, Mongol and Han and some exclusive to imperial clansmen. The 14 Bureaus of the Ministry of Revenues and the 17 Bureaus of the Ministry of Justice were concurrently in charge of some state affairs, besides governing regions within their jurisdiction. For example, the Jiangnan Bureau of the Ministry of Revenues inspected expenditures of silk fabrics manufactured in Jiangning and Suzhou, salaries of garrisons in Jiangning and Jingkou and also unpaid land taxes empire-wide. The Sichuan Bureau of the

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Ministry of Justice was meanwhile responsible for documents and archives of the Technic Office (Ligong Bu, 理工部), the Office for Works of the Chief Surveillance Bureau, as well as the Censor of the Sichuan Circuit and the General of Chengdu. Aside from the Six Ministries, Five Courts, Two Administrations, Two Directorates and Two Academies, the Court of Colonial Affairs (Lifan Yuan, 理藩 院) could be regarded as the most prominent agency in the Qing Empire. With the expansion of its territory, the Qing government was confronted with a growing number of affairs related to minorities, so the Court of Colonial Affairs gradually gained influence in managing all military, judicial, religious and tributary matters about Outer Mongolia, Qinghai, Sinkiang and Tibet, as well as foreign affairs with some countries. It was staffed with a Minister and two Vice Ministers, of the Left and the Right, but all were assumed by Manchus. There was another Vice Minister, held by Mongol Beile or Beizi (贝勒 or 贝子, honorary titles granted to imperial nobility) who headed six Bureaus, including the Inner Mongolian Bureau (Qiji, 旗籍), Inner Mongolian Reception Bureau (Wanghui, 王会), Outer Mongolian Reception Bureau (Rouyuan, 柔远), Outer Mongolian Bureau (Dianshu, 典属), Judicial Bureau (Lixing, 理刑) and Eastern Turkestan Bureau (Laiyuan, 徕 远). Their Directors, Vice Directors and Secretaries were all posts held by Manchus and Mongols. In late Qing, the outdated government system corrupted and declined day by day with the changes in the nature of the Chinese society, so the central government began to undertake some reforms. In 1860 under the rule of Emperor Xianfeng, the Central Office for Foreign Affairs (Zongli Geguo Shiwu Yamen, 总理各 国事务衙门, Zongli Yamen, 总理衙门 for short) was created to cope with foreign affairs covering a wide range of issues such as business, trade, tariff, bordering, coast defense and religion instruction. As foreign affairs grew in number, the Office also increased in size and developed in power, with an immense potential to oust the Six Ministries. In 1901 during the reign of Emperor Guangxu, it was renamed Foreign Office (Waiwu Bu, 外务部) and ranked above the Six Ministries, headed by one or more Imperial Princes (Zongli Qinwang, 总理亲王), Managing Ministers (Huiban Shangshu, 会办尚书) and Vice Managing Ministers (Huiban Shilang, 会办侍郎) of the Left and the Right. In 1906, the Cabinet was reorganized into the Deliberative Council (Huiyi Zhengwu Chu, 会议政务处, Yizheng Chu, 议政 ~82~

处 for short), when Ministers of the Six Ministries were appointed as Grand Ministers for State Governance (Zhengwu Dachen, 政务大臣) and the Cabinet was segmented into a variety of divisions, including the Division of Civil Affairs (Minzheng Bu, 民政部), Tax Division (Duzhi Bu, 度支部), Division of Academics (Xuebu, 学部), Division of the Armies (Lujun Bu, 陆军部), Division of the Navy (Haijun Bu, 海军部), Law Division (Fabu, 法部), Division of Agriculture, Industry and Commerce (Nong Gong Shang Bu, 农工商部) and Postal Relay Division (Youchuan Bu, 邮传部). However, all these agencies would be short-lived due to the demise of the Qing Empire.

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Chapter 5

Chapter 5

Territorial Administration From the Xia Dynasty onwards, the sovereign used many strategies to control and manage his territories. In the clan-based era featuring kingship, the custom of enfeoffment was practiced for territorial administration; when the age of autocracy-oriented imperial power arrived, the Commandery-County system was instead used to reinforce regional management; with the development of the Commandery-County system and the strengthening of imperial power, the province system was finally established. As the custom of enfeoffment gradually developed into the Commandery-County system, then further developed into the Province system, the systems for managing an ever-stretching frontier and increasingly complicated local administration were always evolving.

1. The exterior domain: feuds and fiefs During the Xia and Shang Dynasties as the lineage-based bureaucracy was gradually replaced by territorial administration, the original tribal system became the key for regional control and management. In the Xia Dynasty, local Marquises (Hou, 侯) and Earls (Bo, 伯) were differentiated by whether they were of the same surname as the dynasty or not. Those surnamed Xia were situated just outside the royal domain (Wangji, 王畿), whereas tribes of different surnames but ennobled by the Xia government were situated in Regions (Fangguo, 方国) or Feuds of the state. Other Regions not surnamed Xia, such as Gao Region (高方国), Zhou Region (周方国) and Yi Region (夷方), were all tribal allies. The relationship between the King of Xia and these Regions and Feuds was, however, quite loose, so it is hard to say whether they had established a sovereign-subject relationship, but as all these ennobled Regions recognized the King of Xia as the only ruler, they had to perform duties such as protecting the royal family, going out to battle as instructed, and presenting

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tributes. Each region or feud also had a government, and from titles like Pasturage Director (Muzheng, 牧正) of the Youreng Region (有仍方国) and Palace Director (Paozheng, 庖正) of the Yu Region, it could be inferred that the regional government might resemble the central bureaucracy with inner officials and outer officials. In the last chapter, it was mentioned that there was the system of the interior and the exterior domain in the Shang Dynasty and that the exterior domain included different managers in various regions. As Announcement about Drunkenness, the Classic of History says, “in the exterior domain are Marquises, Governors, Barons, Guards and Earls of Subordinate States.” The Marquis, like Marquis of E (Ehou, 鄂侯) and Marquis of Chong (Chonghou, 崇侯), received the order from the King to engage in armed expeditions, and they presented tributes and slaves, so they were in close relationships with the royal house. The Governor (Dian, 甸, also known as Tian, 田 or Duotian, 多田) was similar to the Marquis, the Barons (Nan, 男 or Ren, 任) performed sundry duties, and the Guard (Wei, 卫) referred to regional armed forces. Marquises, Governors, Barons and Guards were appointed by the King of Shang who in return controlled and managed them. The post of Earl of Subordinate States (Bangbo, 邦伯), on the other hand, fell into two categories. Some of them were territorial managers instated by the King of Shang and they acted on their own behalf as independent administrators, called “Earl of such-and-such State” (Moubo, 某伯 or Bomou, 伯某). In the other category were Feudal Lords ennobled by the King of Shang, whether of the same surname with Xia or not, known as “Earl of such-and-such Region” (Mou Fangbo, 某方伯) in oracle bone inscriptions. They were governors of various Regions subordinate to the Shang government, yet were in loose relationships with the King of Shang. Just for the record, there are different explanations about the above statement concerning the exterior domain in Announcement about Drunkenness, the Classic of History. Some scholars contend that there was no practice of enfeoffment in the Shang Dynasty, so Marquises, Governors, Barons, Guards and Earls of Subordinate States were not ranks of nobility, but merely official titles. On the other hand, some maintain that there had been noble titles like Marquises, Earls, Viscounts and Barons in oracle bone inscriptions, so all of them were Feudal Lords of the Shang Dynasty. The two opinions, though opposing, will be integrated in this book.

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In early Western Zhou as the clan system gradually matured, the complementary enfeoffment system proved to be a major measure the King of Zhou took to enhance territorial regulation. In the Shang Empire, the King would confer trustworthy noblemen, whether of the surname Xia or not, titles and give them a large part of the territory as Feuds (Guo, 国). This enfeoffment process reinforced the loyalty of the enfeoffed nobles who were conferred the title Feudal Lord (Zhuhou, 诸侯), and were the supreme officer of their own feuds and enjoyed independence. In each feud, the territory would be redistributed according to the clan hierarchy. Those re-enfeoffed were called Grand Masters (Dafu, 大夫) and their feoffs were Fiefs (Yi, 邑). Therefore, these territories were governed on the basis of the two-tier feud-fief administrative system. The official system in each feud, by and large, was modeled after the central government, but on a smaller scale and with different titles. The governor of the Feud was called Minister (Qing, 卿) or Chief Minister (Zhengqing, 正卿), and major offices such as the Minister of Education (Situ, 司徒), Minister of War (Sima, 司马), Minister of Works (Sikong, 司空), Minister of Justice (Sikou, 司寇), Messenger (Xingren, 行人), Grand Astrologer (Taishi, 太史) and Great Steward (Taizai, 太宰) were also in place, similar to the central bureaucracy. Compared with Shang, Zhou was stricter in overseeing its feuds. While the Office of Ministers and Servicemen conveyed the will of the King to all Feudal Lords, the King enacted the minister appointment system to get all Feudal Lords under his control. As is mentioned in the Book of Rites, “in a great feud there were three high ministers, all appointed by the Son of Heaven; in a feud of the second class there were three high ministers, two appointed by the Son of Heaven and one by the ruler of the feud”. The administration of those fiefdoms for Grand Masters was very simple, and in most cases, the retainers did the job. The retainer charged to manage the household of Grand Masters and administer the fiefdom was called Steward (Zai, 宰). Some other retainers also took charge of military supplies, crafts manufacture, chariots and sacrifices. However, the expansion of power in the feud and aggravation caused by conflicts inside the clan jeopardized the long-established clan system. Gradually, Feudal Lords developed themselves as the de facto rulers of their own feuds, breaking themselves away from the central government, which was way beyond the control of the Zhou ruling house. After the Spring and Autumn period during

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which great powers contended for hegemony, the entire Zhou empire was divided into commanderies (Jun, 郡) and counties (Xian, 县). Initially, counties were ranked higher than commanderies. Counties were originally fiefs immediately subordinate to the King of Zhou and Feudal Lords, and the head of County was called Magistrate (Xianren, 县人). In the States of Jin, Qin and Chu, counties were annexed fiefs of Grand Masters or smaller feuds, and were headed by, in Jin the Grand Master or Governor (Shou, 守), and in Chu by the County Magistrate (Xianyin, 县尹) or County Duke (Xiangong, 县公). In the Second Year of Duke Ai, the Chronicle of Zuo, “those who distinguish themselves in the victory shall receive—a great office of the superior grade, a county, and one of the inferior, a commandery.” During the Warring States period, the territorial administration gradually attained maturity and in States like Qin, Zhao, Han and Wei, commanderies were placed above counties, giving rise to a two-tier administrative system with counties subordinate to commanderies. At that time, counties were established in the hinterland while circuits (Dao, 道 ) were established in border areas. The chief official of the commandery was known as Governor (Shou, 守), also called Grand Governor (Taishou, 太守). In Chinese, “Shou” means to guard and defend, so the post of Governor at that time was mostly filled by military officials. For example, Wu Qi, a renowned politician and strategist in ancient China, once served as Governor of Xihe Commandery (西河郡, a region along the Yangtze River) and battled the Qin army many times. The Governor was thus a military officer for a commandery, governing its troops as well as its people. The chief official of the county was called Magistrate (Ling, 令), also known as Grand Master under some circumstances. The Magistrate was charged with military and civil affairs of the county and under him were Vice Magistrate (Xiancheng, 县丞) sharing civil matters and County Defender (Xianwei, 县尉) taking care of military affairs and maintaining public order. The three major posts in a county, Magistrate, Vice Magistrate and County Defender, constituted a model system for later dynasties. The Commandery-County system for regional administration was in fact promoted in the Qin Dynasty, though it took shape during the Spring and Autumn and Warring States period. However, due to the social system having family succession at its core, the enfeoffment system was still in practice for a long time, hence the coexistence of the two systems in some dynasties,

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like Western Han, Western Jin and Ming. Ultimately, history has proved the coexistence to be disastrous, because the enfeoffment system, less progressive than the Commandery-County system, was destined to endanger society as a whole.

2. The Commandery-County system After Qin Shi Huang united China under his rule, he then extended the local administration put in place in the State of Qin to the whole country. The whole empire was divided into 36 commanderies, later increased to 46, each staffed with a Governor, a Defender and a Supervisor (Jian, 监). The Governor who was the top administrative officer, the Defender who was in charge of military affairs and public security, and the newly-instituted Supervisor, also known as Supervising Censor (Jian Yushi, 监御史), all conducted surveillance over officials and civilians. The Governor, the Defender and the Supervisor were paralleled to the Three Dukes, the Chancellor, the Defender-in-chief and the Censor-in-chief, in the central government. Both of the Governor and the Defender had their Aides, and for border commanderies, there were also Administrators (Zhangshi, 长史) to manage military forces. Each commandery was divided into counties and if the chief official administered a county with more than 10,000 households, he was titled Magistrate (Ling, 令), otherwise, he was titled Chief (Zhang, 长). The Magistrate (or Chief) was assisted by Vice Magistrates and Defenders, known as Senior Subalterns (Zhangli, 长吏). When the Qin Dynasty was replaced by Western Han, the Princedom (Wangguo, 王国) system was established while the two-tier Commandery-County system remained in effect and played a predominant role. Needless to say, the capital was more important than other commanderies. Qin therefore installed the Chamberlain for the Capital (Neishi, 内 史 ) to administer the capital, and Emperor Jing of Han went further, dividing the office into being of the Left and of the Right. Under Emperor Wu and thereafter, the Right Chamberlain for the Capital was renamed Metropolitan Governor (Jing Zhaoyin, 京兆尹) and the Left Chamberlain for the Capital was known as the Guardian of the Left (Zuo Pingyi, 左冯翊). In the Han Dynasty, moreover, the Commandant-in-ordinary of the Nobles (Zhujue Zhongwei, 主爵中尉) instituted ~88~

in Qin was changed to Commandant-in-chief (Duwei, 都尉) by Emperor Jing and then to Guardian of the Right (You Fufeng, 右扶风) by Emperor Wu. The Metropolitan Governor, Guardian of the Left and Guardian of the Right were collectively known as the “Three Guardians” (Sanfu, 三辅) who all worked in the capital Chang’an (长安) but respectively administered the capital and neighboring areas. Of the same rank as the Nine Chamberlains, the Three Guardians were allowed to participate in politics. The administrator of the capital in Eastern Han was called Governor of Henan (Henan Yin, 河南尹), as the capital was relocated in Luoyang, Henan. In the Commandery sub-system, the Commandery Governor was upgraded to Grand Governor and the Commandery Defender to Commandant-in-chief. The Aide (or Administrator) was left in place, appointed by the central government as in the Qin Dynasty. The subordinates of the Grand Governor were all natives of the commandery, but subject to the selection of the Grand Governor. They filled the Labor Section (Gongcao, 功曹), Reports Section (Zoucao, 奏曹), Civil Affairs Section (Hucao, 户曹), Communications Section (Facao, 法曹), Police Section (Zeicao, 贼曹), Judicial Section (Juecao, 决曹), War Section (Bingcao, 兵 曹), Revenues Section (Jincao, 金曹) and Granaries Section (Cangcao, 仓曹). In the princedom, it was initially the Chamberlain for the Capital who governed the people, the Commandant-in-ordinary who had the military power and the Chancellor who supervised the whole administration, which mirrored the central administration. Then Emperor Jing changed the post of Chancellor to Minister (Xiang, 相), but later Emperor Cheng abolished the Chamberlain for the Capital and ordered the Minister to rule the people like the Grand Governor. On the other hand, the County sub-system was a replica of that in the Qin era in that the chief official was called Magistrate or Chief, and the Vice Magistrate and Defender were designated by the central government. The subordinate offices were constituted by the Magistrate or Chief himself, including the Headquarters Section (Menxia, 门下), Police Section, Labor Section, Civil Affairs Section, and so on. The smaller administration unit was called Circuit (Dao, 道), headed by the Magistrate or Chief as the county was. Later, Emperor Wu divided the whole of China into 13 Regions (Zhou, 州) as supervisory areas rather than administrative districts. Each region was governed by a Regional Inspector (Cishi, 刺史) which was renamed Regional Governor (Zhoumu, 州牧)

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by Emperor Cheng, but later the two titles alternated on occasions. From Eastern Han on, the Regional Inspector or Governor gained more and more influence with a regular office and staff and gradually transformed his region into an administrative area that controlled several commanderies, thereby shaping the three-tier Region-Commandery-County administrative system. As the top military officer of the region directing several commanderies, the Regional Governor had a large staff including the Mounted Escort (Biejia, 别驾), Assistant Governor (Zhizhong, 治中), Regional Retainer (Bu Congshi, 部从事), appointees of the Records Section (Bucao, 簿曹) and War Section, as well as Recorder (Zhubu, 主 簿) and Administrative Clerk (Shuzuo, 书佐). All were appointed by the Regional Governor himself and this three-tier administrative hierarchy was carried on during the Wei, Jin, Southern and Northern Dynasties. In the Cao-Wei and Western Jin Dynasties, the five commanderies Henan, Hedong, Henei, Hongnong and Pingyang was amalgamated into the Metropolitan Area (Sizhou, 司 州 ) which was under the supervision of the Metropolitan Commandant (Sili Xiaowei, 司隶校尉). Other regions were governed by Inspectors, and in frontier regions both Inspectors and a Commander-in-chief (Lingbing Dudu, 领兵都督) were instituted to control the area. With the development of autonomous rule, most chief regional and commandery officials secured military authority. In addition to the Inspector was the General who headed the Garrison (Fu, 府); both the Region and the Garrison were well staffed, and the Region managed the people and the Garrison controlled armed forces, so two sets of administration were concurrently implemented. The civil administration copied the system of Eastern Han with aides like the Mounted Escort, Assistant Governor and Recorder who shared administrative burden of the region. The military agency was staffed by the Administrator and Minister of War to take charge of military matters and armed expeditions. At that time, the most prestigious Regional Inspector was a Commander-in-chief Commissioned with Extraordinary Powers (Shi Chijie Dudu, 使持节都督), the 2nd most prestigious was Commissioned with Special Powers (Chijie, 持节) and the least prestigious was Commissioned with a Warrant (Jiajie, 假节). The Regional Inspector who was not a royal family member and did not have the status of a Commander-in-chief or General was called Restricted Regional Inspector (Danche Cishi, 单车刺史). At the outset of the Northern Dynasties, each region was headed by three Inspectors,

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one assumed by an imperial clansman and the other two by others. Later the Inspector was classified into upper, ordinary and lower ranks. In Northern Qi, the Region was further graded as upper, ordinary and lower, so from the very best Region to the very worst, there were nine ranks, which endured into the Sui Dynasty. Secondary to the Region was the Commandery which was normally headed by the Grand Governor. Northern Zhou changed this title to Commandery Governor and sometimes abbreviated it to Governor. The chief official of the Commandery where the capital was located was called Governor (Yin, 尹). It suffixed the capital name, such as the Governor of Henan during Cao-Wei period when the capital lay in Luoyang, Henan, Governor of Danyang (丹阳尹) during the Six Dynasties, Governor of Dai or Wannian (代尹 or 万年尹) in Northern Wei as the capital was Pingcheng and Governor of Qingdu in Northern Qi. Under the Grand Governor (Governor) were Vice Governors, Recorders and heads of various Sections. In Cao-Wei and early Western Jin, it was shaming for a Governor not to have the honorary title General, so the Commandery was likened to the Garrison with two administration groups, for civil and military affairs. In Eastern Jin, there were, however, too many commanderies, so the Governor was relegated to a lower status. Despite the honorary title General, most of them were only nominal generals (Sanhao Jiangjun, 散号将军) with no authority to establish a Garrison, so there was only one administration group left. The subordinates of the Governor meanwhile increased in number: in Northern Qi, the very best commandery was staffed with over 210 officials and even the very worst had a staff of over 100. Under the Commandery, the County was structured like the system instituted during the Qin-Han period. Below the Magistrate (Chief), there was sometimes the Vice Magistrate; if there was no Vice Magistrate or Defender, the Recorder would rise to be the major aide of the Magistrate (Chief) and heads of various Sections would tackle military, judicial, and financial affairs. In Northern Qi, the County was also classified into nine ranks, which were carried on till the Sui Dynasty. It was then staffed with as many as hundreds of functionaries. In the Era of Northern-Southern Division, the administration for migrants was the most prominent department because due to political division, this period saw large-scale migration from north to south. In Eastern Jin and Southern Dynasties,

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the central government instituted regions, commanderies and counties named native to the immigrants in an effort to strengthen control over them and win their loyalty. For example, in order to settle those emigrating south with Sima Rui (司马 睿), Prince of Langya (Langya Wang, 琅琊王), a commandery named Southern Langya (南琅琊郡) was added in Jiangcheng County (江乘县), Jiankang. While the original Langya Commandery in the north had a Linyi County (临沂县), another Linyi was likewise named in the south, subordinate to the Southern Langya Commandery. After Northern Wei disintegrated, Eastern Wei and Northern Qi, Western Wei and Northern Zhou instituted Shuozhou (朔州), Hengzhou (恒州), Yunzhou (云州), Yuzhou (蔚州), and Xianzhou (显州), as well as their affiliated commanderies and counties for migrants respectively in southern Shanxi and the upstream of the Weihe River. After Sui re-united China as a whole, it abolished all regions, commanderies and counties set up for migrants and, moreover, narrowed the original regions and commanderies to implement the two-tier Region-County system. Thereafter, the Region was similar to the Commandery. The region where the capital and the second capital were situated was called Superior Prefecture (Fu, 府). In the Tang Dynasty, there were three superior prefectures, Xijing (西京, modern-day Xi’an), Dongdu (东都, modern-day Luoyang) and Beidu (北都, modern-day Taiyuan), each headed by a Prefectural Governor (Mu, 牧) but nominally administered by an Imperial Prince. The Mounted Escorts of the three superior prefectures were promoted as Metropolitan Governors (Jingzhao Yin, 京兆尹), Governor of Henan and Governor of Taiyuan. The Ministers of War in the meantime were made Vice Governors (Shaoyin, 少尹) presiding over the political affairs of the capitals. Other regions were graded large, middle and small according to the number of households and by their statuses, ranked into several categories like Metropolitan (Jing, 京), Bulwark (Fu, 辅), Grand (Xiong, 雄), Honored (Wang, 望) and Important (Jin, 紧). An Inspector was the chief official of each region, assisted by the Mounted Escort (or Administrator) and Minister of War who were considered Principal Territorial Assistants (Shangzuo, 上佐), and the Administrators (Canjun Shi, 参 军事) of the Personnel Evaluation Section (Sigong, 司功), Granaries Section (Sicang, 司仓), Revenue Section (Sihu, 司户), State Farms Section (Sitian, 司田),

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War Section (Sibing, 司兵), Law Section (Sifa, 司法) and Levied Service Section (Sishi, 司士) as well as Administrative Supervisor (Lushi Canjun, 录事参军) were regarded as Lesser Territorial Assistants (Xiazuo, 下佐), shouldering specific responsibilities. The County was secondary to the Region (Commandery). In Tang, counties in the capital were known as Metropolitan Counties (Jixian, 畿县) which were, based on the number of households, classified into four ranks, upper, ordinary, ordinary-lower and lower. The chief official was the Magistrate, subordinate to whom were the Vice Magistrate, Recorder, and Defender. Corresponding to Sections of the Region, there were Assistants (Zuo, 佐) for the Personnel Evaluation Section, Granaries Section, Revenue Section, State Farms Section, War Section, Law Section and Levied Service Section to undertake affairs handed over from its superior Region or Superior Prefecture. Into the Mid-Tang period, the two-tier Region-County system gradually evolved into the three-tier Circuit-Region-County system. During the reign of Emperor Taizong, the whole empire was divided into 10 circuits which were originally meant to be purely geographic and not administrative. After Empress Wu came to the throne, the 10 circuits were gradually made inspection areas. Emperor Xuanzong added another five and installed the Investigation and Supervisory Commissioner (Caifang Chuzhi Shi, 采访处置使) who later became so powerful as to interfere with reports and memorials from regions (commanderies) and even suspend the Inspector from duties at will. Meanwhile, ever since the Anshi Rebellion, the Military Commissioner (Jiedu Shi, 节度使) in bordering areas had concurrently held the post of the Investigation and Supervisory Commissioner of the circuit within his jurisdiction. As in central China, the Inspector also managed military affairs and posts like the Defense Commissioner (Fangyu Shi, 防 御使) and Military Training Commissioner (Tuanlian Shi, 团练使) were created, in addition to which there were also Military Commissioners in crucial areas. At this point, the Investigation and Supervisory Commissioner was changed to the Surveillance and Supervisory Commissioner (Guancha Chuzhi Shi, 观察处置使), Surveillance Commissioner (Guancha Shi, 观察使) for short. The Surveillance Commissioner, in most cases, was the Military Commissioner as well. If there was no Military Commissioner, the Surveillance Commissioner would take up the tasks of the Military Training Commissioner or Defense Commissioner, so it was a

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fundamental post in a circuit, whose office was staffed with posts like the Deputy Commissioner (Fushi, 副使), Commissioner’s Agent (Zhishi, 支使), Administrative Assistant (Panguan, 判官), Chief Secretary (Zhangshuji, 掌书记), Judge (Tuiguan, 推官), Constable (Xunguan, 巡官), Capital Liaison Representative (Jinzou Guan, 进 奏官). This is how the Circuit was administered in the Mid-Tang age, which was also known as Defense Command (Fangzhen, 方镇). As the conflicts among defense commands heated up, the Circuit was gradually made the higher administration unit above the Region and County and the administrative power of the Garrison was taken over by the Ancillaries (Muzhi, 幕职) of the Defense Command. The post-Mid-Tang territorial administration endured into the Song Dynasty, when the empire was divided into routes (Lu, 路), prefectures (Superior Prefecture (Fu, 府)), Military Prefecture (Jun, 军), Industrial Prefecture (Jian, 监)) and counties. The Route originated from the Circuit of Tang with some changes. In the Route, the Military Commission (Jinglue Anfu Si, 经略安抚司 or Shuaisi, 帅司 in Southern Song) was instituted and which was headed by the Military Commissioner (Jinglue Anfu Shi, 经略安抚使). If the post was filled by a Grand Minister of rank 2, it was called Pacification Commissioner-in-chief (Anfu Dashi, 安 抚大使). Secondary to the Military Commission were the Fiscal Commission (Zhuanyun Si, 转运司 or Caosi, 漕司 in Southern Song) for financial management directed by the Fiscal Commissioner (Zhuanyun Shi, 转运使), Judicial Commission (Tixing Si, 提刑司 or Xiansi, 宪司 in Southern Song) headed by the Judicial Commissioner (Tidian Xingyu Gongshi, 提点刑狱公事), and Supply Commission (Tiju Changping Si, 提举常平司 or Cangsi, 仓司 in Southern Song) for disaster relief, salt and iron monopoly, managed by the Supply Commissioner (Tiju Changping Shi, 提举常平使). Depending on the locality, the Prefecture could also be called Superior Prefecture (Fu, 府), Military Prefecture (Jun, 军) or Industrial Prefecture (Jian, 监 ). The capital, the second capital, especially important regions, and the prefecture where the Emperor resided or worked before he ascended to the throne were all Superior Prefectures. The Military Prefecture referred to strategically important regions and the Industrial Prefecture denoted the areas where mining seams were located. The capital was administered by the Governor (Fuyin, 府尹) and secondary places were ruled by the Superior Prefect (Zhifu, 知府), Prefect ~94~

(Zhizhou, 知州), Military Prefect (Zhijun, 知军) or Industrial Prefect (Zhijian, 知 监). If an official of rank 2 or with the title of Secretary, Palace Secretary or Court Ceremonial Commissioner filled one of the above posts, he was called the Supervisor of such-and-such Superior Prefecture (Pan Moufu Shi, 判某府事) or Supervisor of such-and-such Prefecture (Pan Mouzhou Shi, 判某州事). In each prefecture, the Military Commissioner, Defense Commissioner, Military Commissioner and Inspector were hierarchically different, but they in fact had no real power. Counties were classified into 8 categories according to their prestige and population size, including Imperial (Chi, 赤), Metropolitan (Ji, 畿), Honored ( 望 ), Important ( 紧 ), Upper, Ordinary, Ordinary-lower and Lower. The Magistrate was primarily charged with the task of ruling the people, but sometimes also handled military and judicial matters. If the Magistrate role was assumed by a courtier, he was not the de facto Magistrate, so he was called Supervisor of the County (Zhixian, 知县). Just as in the previous dynasty, there were also the Vice Magistrate, Recorder and Defender subordinate to the Magistrate. Liao and Jin perpetuated the regional administration system of Tang and Song, but also retained their own characteristics. The Liao Empire was divided into five circuits, each governed from a Capital (Jing, 京), including the Supreme Capital (Shangjing, 上 京 ), Central Capital (Zhongjing, 中 京 ), Eastern Capital (Dongjing, 东京), Southern Capital (Nanjing, 南京) and Western Capital (Xijing, 西京), respectively in Linhuang Prefecture, Dading Prefecture, Liaoyang Prefecture, Xijin Prefecture and Datong Prefecture. Each circuit had jurisdiction over a few prefectures and counties. Among them, the Shangjing Circuit and Zhongjing Circuit subordinated another kind of prefectures and counties as territories of Khitan nobles called “Granted Military Prefecture” (Touxia Junzhou, 头下军州) or “Granted Prefecture (County) (Touxia Zhou, 头下州)”. In the Jin Dynasty, the territories were administered in the pattern of Route (Lu, 路), Superior Prefecture, Prefecture and County. There were five capitals as well, but including Central Capital, Southern Capital, Northern Capital, Eastern Capital and Western Capital. Each capital led one route and there were another 14 routes in the realm. Secondary to the Route were the Superior Prefecture and Prefecture. The Superior Prefecture was generally equated to the Prefecture, but in a little higher in status.

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Under the Prefecture was the County which was classified into imperial, metropolitan, important and upper, ordinary, lower. In the Jin Empire, the most prominent feature of the territorial administration was the integration of military and politics. The chief officer of the Circuit, Superior Prefecture and Prefecture took charge of both military and civil administration, but the head of the County was responsible for his people only.

3. Development of the Province system In the Yuan Dynasty, the territorial administration was marked by the establishment of the Branch Secretariat (Xingsheng, 行省), which bred the later province system. The Branch Secretariat could be dated back to the period of Northern-Southern Division. In the Cao-Wei age, every time the Emperor went into battle in person, major appointees of the Imperial Secretariat would keep him company, forming an ad hoc policy-making body called Branch Imperial Secretariat (Xingtai, 行台) while the permanent Imperial Secretariat was called Central Pavilion (Zhongtai, 中台) or Capital Pavilion (Dutai, 都台). In the Western and Eastern Jin Dynasties, powerful ministers began to set up Branch Imperial Secretariats one after another when contending for power in autonomous regions, in a bid to seize control. Northern Wei first installed Branch Imperial Secretariats in Ye (邺) and Zhongshan (中山) to deal with local political and military affairs. Later because of the chaos caused by war, the Branch Imperial Secretariat was instituted everywhere to remedy the situation, which was then made a local standing institution. In Northern Qi, the Branch Imperial Secretariat was officially involved in civil affairs and became the supreme local administrative body structured like the Central Pavilion, headed by a Director of Imperial Secretariat and Vice Directors (of the Left and the Right) and below them were Ministers and Vice Ministers for subordinate departments. Northern Wei, Northern Qi and Liang during the Southern Dynasties even constituted the Grand Branch Imperial Secretariat (Da Xingtai, 大行台). Sui and Tang in their early stages both installed the Branch Imperial Secretariat to handle the military tasks of a circuit. With regard to manpower in the Branch Imperial Secretariat, it was modeled on the Imperial Secretariat of the central government; however, shortly after war the Branch Imperial Secretariat would be abandoned.

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In the Jin Empire, Emperor Xizong ousted Liu Yu (刘豫) and did away with the puppet Qi regime and then instituted in Bianjing (汴京) a Branch Imperial Secretariat attached to the Imperial Secretariat, and instated Left and Right Chancellors to handle internal affairs, who were of one rank lower than those in the Central Pavilion. When Emperor Hailingwang came to the throne, however, it was abolished and the court took over its job. Before the establishment of the Yuan Dynasty, the Mongol Empire entrusted Overseers (Zhaluhuchi, 札鲁忽赤) to deal with administrative and judicial matters. With the expansion of the empire, Overseers were commissioned everywhere to take care of local administration. For the Han people, the Overseer stood for the Branch Imperial Secretariat. In the Mongol Empire, the Secretariat was made the paramount political agency, so the local administrative body was called Branch Secretariat (Xingsheng, 行 省 ). After Kublai claimed the title of Khan, he installed Sichuan Branch Secretariat, Gansu Branch Secretariat and Henan Branch Secretariat one after another, and after he founded the Yuan Dynasty, Huguang, Jiangzhe and Liaoyang Branch Secretariats came into being successively until there were finally 11 Branch Secretariats in total. The Branch Secretariat was at the outset supervised by appointees from the metropolitan Secretariat and organized on the pattern of its counterpart in the capital, staffed with Managers of Government Affairs, Right and Left Chancellors, Participants in Determining Governmental Matters, and so forth. As to its status, it was of rank 1b, second only to the Secretariat and an equal to the Palace Secretariat. At that time, there was no Branch Secretariat in these areas, because the Secretariat kept all surrounding regions under direct control including present-day Hebei, Shandong, Shanxi, northern Henan and central Mongolia, which was collectively called “Metropolitan Area” (Fuli, 腹里). It was a similar case with the Tibetan region, as it was governed by the Commission for Buddhist and Tibetan Affairs (Xuanzheng Yuan, 宣政院). The Branch Secretariat, as is cited in Records of Official, the History of Yuan, “took charge of almost all important state and military affairs such as land tax, armaments, farming and grain transport, oversaw commanderies and counties, and defended bordering areas, acting as a supplement to the Secretariat in the capital”. Originally, it was the Branch Palace Secretariat (Xing Shumi Yuan, 行枢密院) that was charged with the local military tasks which was, however, later abrogated by Emperor Chengzong,

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so the Manager of Government Affairs took over administration of the military. The Branch Secretariat thus seized power in both civil and military administration and as a result, the Branch Secretariat was, around the time of the reign of Emperor Chengzong, institutionalized as the supreme permanent local administrative agency. Under the control of the Branch Secretariat were the Route (Lu, 路), Prefecture (Fu, 府), Sub-prefecture (Zhou, 州) and County (Xian, 县) in a descending order of size. A Route was ranked in two grades, large and small, depending primarily on the number of households within it. It was governed by the Route Command (Zongguan Fu, 总管府) headed by a Commander (Zongguan, 总管). The Prefecture, administered by a Prefect (Zhifu, 知府 or Fuyin, 府尹), was subordinate either to the Route or to the Branch Secretariat, or even immediately to the Secretariat. Some had direct jurisdiction over the Sub-prefecture and County, but some did not. The Sub-prefecture was classified in three grades, large, middle and small, according to the registered population, yet the criterion was quite different in Jiangnan and Jiangbei. A large sub-prefecture was headed by the Sub-prefectural Governor (Zhouyin, 州尹) while the middle and small sub-prefectures were administered by the Sub-prefectural Magistrate (Zhizhou, 知州). The Sub-prefecture was either attached to the Route or to the Branch Secretariat. Counties were divided into three ranks as well (although this was not the case in Jiangnan and Jiangbei) and each County was governed by a Magistrate (Yin, 尹). In terms of the administrative subordination, some were directly attached to the Route and Prefecture, while some were under the Sub-prefecture. One thing is worth noting here, above the chief official of the Route, Prefecture, Sub-prefecture and County, was an Overseer, a post assumed by a Mongol or Semu (色目人)27, as the supreme local official. In the Ming and Qing Dynasties, the local administration was structured in the three tier Province-Prefecture (Sub-prefecture)-County system, but the system was implemented differently. Ming put an end to the Branch Secretariat institution and renamed it Provincial ———————————— 27 The Semu were special category men, 2nd highest of 4 social castes ordained by the Mongol government and an amalgam of non-Mongol, non-Chinese peoples from Central and Western Asia and even Europe, whose social and political privileges were exceeded only by those of the Mongols themselves.

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Administration Commission (承宣布政使司) (called Province customarily). In the mature Ming system there were 13 such commissions, but none existed for the two Metropolitan Areas around the capitals Beijing (then called Zhili, 直隶) and Nanjing (then called Nan Zhili, 南 直 隶 ). The 13 commissions were respectively established in Shandong, Shanxi, Henan, Shaanxi, Sichuan, Jiangxi, Huguang, Zhejiang, Fujian, Guangdong, Guangxi, Yunnan and Guizhou. Each commission was staffed with a Left and a Right Provincial Administration Commissioner (Buzheng Shi, 布政使), and an unlimited number of Left and Right Vice Administration Commissioners (Canzheng, 参政), Left and Right Assistant Administration Commissioners (Canyi, 参议). The supportive agencies included the Registry (Jingli Si, 经历司), Records Office (Zhaomo Suo, 照磨所), Office of the Judicial Secretary (Liwen Suo, 理问所), and Prison Office (Siyu Si, 司狱司). The Provincial Administration Commissioner was the paramount administrative officer in the province in charge of all governmental decrees. Complementary to the Provincial Administration Commission were the Provincial Surveillance Commission (Tixing Ancha Shisi, 提刑按察使司) and the Provincial Military Commission (Du Zhihui Shisi, 都指挥使司), managing judicial and military issues of the province. Below the level of provincial agencies, the general administration hierarchy descended from Prefectures to Sub-prefecture to County. The Prefecture system was developed out of the Route system of Song and Yuan. Prefectures were classified into three ranks, large, middle and small, on the basis of their land-tax quotas. Each Prefecture was administered by a Prefect (Zhifu, 知府) and Vice Prefects (Tongzhi, 同知). The chief officials governing the prefectures embracing Beijing and Nanjing were singled out as Prefectural Governors (Fuyin, 府尹). As for the Sub-prefecture, some were of the same status as the Prefecture directly attached to the Provincial Administration Commission, and some were like the County directly attached to the Prefecture, and were governed by a Sub-prefectural Magistrate and Vice Sub-prefectural Magistrates. The County at the bottom of the hierarchy was, like the Prefecture, graded into three ranks according to the land-tax quota, headed by a Magistrate with the assistance of Vice Magistrates (Xiancheng, 县丞) and Assistant Magistrates (Zhubu, 主簿). In the Qing Dynasty, the Manchus perpetuated the Ming division of China into provinces. For each province, the Viceroy (Zongdu, 总督) and the Grand

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Coordinator (Xunfu, 巡抚) were appointed as the supreme provincial governors. The Viceroy normally ruled two to three provinces whereas the Grand Coordinator administered one only. Both the Viceroy and the Grand Coordinator had military and supervision powers over the area(s) within their jurisdiction, but under most circumstances, the Viceroy was more military-oriented and the Grand Coordinate was more inclined to civil administration. Subordinate to the Viceroy and the Grand Coordinator, there were the Provincial Administration Commissioner for financial and personnel management and the Surveillance Commissioner performing judicial and supervisory duties, at the Regional Office (Fansi, 藩司) and Law Office (Niesi,臬司) respectively. The next lower echelon in the general administration hierarchy were two types of Circuit, the Administration Circuit (Shoudou, 守 道 ) to which the subordinates of the Provincial Administration Commissioner were assigned and the Surveillance Circuit (Xundao, 巡道) where those of the Provincial Surveillance Commissioner were attached. The staff in the Administration Circuit and the Surveillance Circuit were collectively called Circuit Intendants (Daoyuan, 道员), nonetheless, most specific affairs of the Circuit were processed by the Prefecture, Sub-prefecture and County. The Prefecture below the Province was level with the Independent Subprefecture (Zhili Zhou, 直隶州) and Independent Department (Zhili Ting, 直隶厅) that were also directly subordinate to the Province. The Prefect was the chief official governing the Prefecture, assisted by Vice Prefects and Assistant Prefects (Tongpan, 通判), but the tax and judicial affairs of its affiliated sub-prefectures and counties all flowed to the Regional Office and Law Office. The Independent Sub-prefecture was governed by the Sub-prefectural Magistrate with aides like Vice Sub-prefectural Magistrates and Assistant Sub-prefectural Magistrates, and was in control of some counties. The Independent Department was directed by the Departmental Administrator (Tongzhi, 同知), but few headed counties. The County was governed by the Magistrate with Vice Magistrates and Assistant Magistrates as aides. The County-level Sub-prefecture was governed by the Sub-prefectural Magistrate and the County-level Department by the Departmental Administrator.

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4. Administration of bordering areas As a multi-nationality country, the central government endeavored to improve the administrative system for bordering areas, since these areas were fundamental part of the entire administrative system. As was mentioned earlier, the Circuit was the largest administrative unit in bordering areas during the Qin-Han period. In Eastern Han when military posts in charge of administrative affairs were abolished in inland commanderies, the post of Defender (Duwei, 都尉) was, however, left in place in frontier regions. At that time, military officers were installed in the Three Norths Area (Sanbei Diqu, 三北地 区, referring to northeast China, north China and northwest China) and titled according to the ethnic groups they were in charge of, such as the Protector of the Western Regions (Xiyu Duhu, 西域都护) or Administrator of the Western Regions (Xiyu Zhangshi, 西域长史), Leader of Court Gentlemen for the Envoy of Xiongnu (Shi Xiongnu Zhonglang Jiang, 使匈奴中郎将), Commandant for Protecting the Wuhuan (Hu Wuhuan Xiaowei, 护乌桓校尉), and Commandant for Protecting the Qiang (Hu Qiang Xiaowei, 护羌校尉). During the Wei, Jin, Southern and Northern period, the Circuits in remote areas were changed to Counties, where the title of Commandant (Xiaowei, 校尉) endured, heading ethnic groups. In the Cao-Wei Dynasty when the Western Regions were in alliance with the imperial court, a variety of military posts were instituted there, like the Commandant of the Center (Wuji Xiaowei, 戊己校尉), Commandant for Protecting the Qiang (Hu Qiang Xiaowei, 护羌校尉), Commandant for Protecting the Eastern Qiang (Hu Dongqiang Xiaowei, 护东羌校尉), Commandant for Protecting the Wuhuan (Hu Wuhuan Xiaowei, 护乌 桓校尉) and Commandant for Protecting the Xianbei (Hu Xianbei Xiaowei, 护鲜卑校 尉). The Administrator of the Western Regions was retained governing the Haitou area (海头, modern-day west Lop Nor of Sinkiang). In Western Jin, the office of Commandant was extended from north to south. Apart from those in the Three Norths Area, new positions were added, such as the Commandant of Southern Aborigines (Nanman Xiaowei, 南蛮校尉) to rule ethnic groups in Xiangyang (襄阳), Commandant for Western Tributaries (Xirong Xiaowei, 西 戎 校 尉 ) to regulate minorities in Chang’an (长安) and Commandant for Southern Tributaries (Nanyi Xiaowei, 南夷校尉) to govern those in the Dianchi (滇池) area. Besides, there were

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the Leaders of Court Gentlemen for Protecting Barbarians (Hu Manyi, 护蛮夷) and for Protecting the Yue (Hu Yue Zhonglang Jiang, 护越中郎将) along with the Leader of Court Gentlemen for Pacifying the Yue (Ping Yue Zhonglang Jiang, 平越中郎将) managing nationalities in Guangzhou. In Eastern Jin when the capital was relocated from north to south, the Commandants of Southern Aborigines and of Xiangyang Aborigines were instituted in Jiangling (江陵) and Xiangyang to control unassimilated peoples in areas north and south of the Yangtze River. Southern Dynasties perpetuated the system of Commandant or Leader of Court Gentlemen to administer ethnic groups in frontier regions. Meanwhile, in areas where minorities lived, the Aboriginal Prefecture (Manfu, 蛮府), Secondary Commandery (Zuojun, 佐郡), Commandery for the Li (Lijun, 俚郡, name for a nationality), Commandery for the Liao (Liaojun, 僚郡, name for a nationality) and Dependent County (Shuxian, 属县) were initiated for administration purposes. From Northern Wei on in the Northern Dynasties, the Garrison-Post (Zhenshu, 镇戍) system was implemented in border districts to guard the frontier. Corresponding to the Region, the Garrison was administered by the Defender-general (Zhendu Dajiang, 镇都大 将 ) and Commander (Zhenjiang, 镇 将 ), whereas the Post, paralleled to the Commandery and County, was governed by the Post Commander (Shuzhu, 戍主). The Commander was more powerful than the Regional Inspector, as he took charge of both civil and military administration. In early Tang, a mature administrative system was worked out to manage minorities in bordering regions. Since Emperor Taizong was enthroned, the government followed Western Han’s practice of instituting the Protector of the Western Regions and built the Protectorate to Pacify the West (Anxi Duhu Fu, 安西 都护府), Protectorate to Pacify the North (Anbei Duhu Fu, 安北都护府), Protectorate for the Chieftain of the Xiongnu (Chanyu Duhu Fu, 单于都护府), Protectorate to Pacify the East (Andong Duhu Fu, 安东都护府) and Protectorate to Pacify the South (Annan Duhu Fu, 安南都护府) in border areas. Later Empress Wu added another one - the Protectorate to Pacify Beiting (Beiting Duhu Fu, 北庭都护府). The six protectorates, directly responsible to the central government, were the supreme administrative agencies in frontier regions, propitiating dependent states, going on armed expeditions, scouting and pacifying hostile tribes. Protectorates were classified into the Grand Protectorate (Da Duhu Fu, 大都护府) and Superior Protectorate (Shang Duhu Fu, 上都护府). The Grand Protectorate was directed

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by a Grand Protector (Da Duhu, 大都护), a position assumed by an Imperial Prince yet not on active service and staffed with two Vice Grand Protectors (Fu Da Duhu, 副大都护) and two Vice Protectors (Fu Duhu, 副都护). Subordinate to them were an Administrator (Zhangshi, 长史), an Adjutant (Sima, 司马), an Administrative Supervisor (Lushi Canjun, 录事参军), two Office Managers (Lushi, 录事), as well as an Administrator (Canjun, 参军) for each of the Personnel Evaluation Section, Granaries Section, Revenue Section, War Section and Law Section, plus another three Administrators. In the Superior Protectorate, there was a Protector, two Vice Protectors and other subordinates staffed in a similar way to the Grand Protectorate, but with no Law Section. After the Tang Empire was founded, the Prefecture or Area Command (Dudu Fu, 都督府) was set up in bordering areas, governed by the Inspector or Commander-in-chief (Dudu, 都督) claimed by hereditary tribal chieftains. This type of Prefecture or Area Command was known as the Subordinated Prefecture (Jimi Zhou 羁縻州, literally “loose control administrative units”) through which the Protectorate ruled ethnic groups. According to Part 7 (2), Geography, New Book of Tang, “there were 29 Area Commands and 90 prefectures for major tribes of the Turk, Uighur, Tangut, and Tuyuhun attached to the Guannei Circuit, 14 Area Commands and 46 prefectures for other tribes of the Turk, as well as the Xi, Khitan, Mohe, and Corea nationalities subordinate to Hebei, 51 Area Commands and 198 prefectures for other tribes of the Turk, Uighur, Tangut and Tuyuhun as well as the Qiuci, Khotan, Yanqi, Sulaq, all tribes west of the Yangtze River and 16 states in the West Regions affiliated to Longyou, 261 prefectures for the Qiang and Man nationalities attached to Jianna, 51 prefectures for tribes of the Man subordinate to Jiangnan and 92 prefectures for tribes of the Man subordinate to Linnan. Moreover, there were 24 prefectures for the Tangut, but it is not clear where it was attached.” All these Subordinated Prefectures enjoyed the right of autonomy and most of them did not have to pay tributes and taxes to the central court, and were allowed to keep their original status, even declared “State” within the tribe. However, in some areas, Chinese officials took a hand in governance or superintended and area; in Heishui Mohe (黑水靺鞨), for example, the Administrator (Zhangshi, 长史) was instituted to supervise and lead tribes there. Although after the Anshi Rebellion the systems of Protectorate and Subordinated Prefecture were gradually substituted by the system of Military Commissioners,

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the Tang imperial court had never expressly ordered the abolishment of the Protectorate system. As a distinctive regional administrative system to manage minorities in bordering areas, the Protectorate system exerted a profound influence on the Aboriginal Office (Tusi Zhi, 土司制度) in the Ming and Qing Dynasties. In the Yuan Dynasty, the Pacification Commission (Xuanwei Si, 宣慰司) was installed in areas far away from the center of the Branch Secretariat or minority communities, functioning like an agency of the Branch Secretariat and an administrative cog between the Province and Route, taking charge of civil and military affairs of commanderies and counties under its jurisdiction. It was such a connecting institution that if the Branch Secretariat issued a decree, it would publicize it to its subordinate commanderies and counties, and if its subordinate commanderies and counties had a petition, it had to submit it to the Branch Secretariat. If there were military matters concerning the frontier, it also played the role of the Military Command (Yuanshuai Fu, 元帅府). The Pacification Commission had a staff of three Pacification Commissioners (Xuanwei Shi, 宣慰使), an Associate (Tongzhi, 同知) and a Vice Pacification Commissioner. In remote areas of Yunnan, Huguang and Sichuan Branch Secretariats and Tibetan regions under the control of the Commission for Buddhist and Tibetan Affairs, there were also the Conciliation Commission (Xuanfu Si, 宣抚司), Placation Commission (Anfu Si, 安抚司) and Cooption Commission (Zhaotao Si, 招讨司), most of which were attached to the Pacification Commission of their Circuit and some directly subordinate to the Branch Secretariat, but all were headed by the Overseer and staffed with Commissioners, Vice Commissioners and so on. The Pacification Commission and its subordinate counties, prefectures, sub-prefectures and counties, or Pacification, Placation and Cooption Commissions were usually governed by aboriginal officials according to local conditions and customs. In the Ming Empire, the system of Aboriginal Office was regularized in the southwestern bordering regions, implemented in the Pacification Commission, Conciliation Commission, Placation Commission, Cooption Commission, Chief’s Office and similar offices administered by aboriginal tribal leaders filling posts like the Pacification Commissioner, Conciliation Commissioner, Placation Commissioner, Cooption Commissioner and Chief. Offices of the Prefecture, Sub-prefecture and County headed by local leaders were all attached the prefix “Aboriginal” (Tu, 土), like the Aboriginal Prefect and Aboriginal Magistrate, and so were the regions ~104~

they served in, such as the Aboriginal Prefecture and Aboriginal County. All the posts were confirmed as hereditary and held by native tribal chieftains, but the succession of the Prefecture, Sub-prefecture and County officials had to go through the Bureau of Honors (Yanfeng Qinglisi, 验封清吏司) of the Ministry of Personnel, and the succession of the Pacification Commissioner, Placation Commissioner and similar posts was subject to the Bureau of Military Appointments (Wuxuan Qinglisi, 武选清吏司), of the Ministry of War. At the same time, it was stipulated that the Aboriginal Office was under the control of local civil and military chief officials. The Tibetan and Northeastern regions, on the other hand, were administered through the Subordinated Prefectural Military Commission (Jimi Du Zhihui Shisi, 羁縻都指挥使司). In early Ming, the government set up the mDo-khamwei (Duoganwei, 朵甘卫) and Dbus-gtsang (Wusizang, 乌斯藏) Military Commissions in Tibet to control the region but also allowed the Tibetan Buddhist Authorities system (Sengguan Zhidu, 僧官制度) to operate, dealing with local issues. For the Northeastern regions, the Nurgan Military Commission was instituted as the supreme local administrative body to govern regions along Heilongjiang and the Wusuli River. Below the Regional Military Commission were numerous garrisons and posts. Such offices as the Regional Military Commission, Associate Regional Military Commissioner and (Du Zhihui Tongzhi, 都指挥同知), Assistant Regional Military Commissioner (Du Zhihui Qianshi, 都指挥佥事), Battalion Commander (Qianhu, 千户), Company Commander (Baihu, 百户) and Judge (Zhenfu, 镇抚) were all held by aboriginal chieftains but the Ming central government reserved the power to make official appointments. As a broadly unified country with multiple nationalities, the Qing Empire, in regulating minorities in frontier regions, paid full respect to their religion and custom and retained their official system while holding the ultimate power over them, so there were diverse managing modes in the country. The Mongolian areas upheld the League-Banner System (Mengqi Zhi, 盟旗制); Kashgar in Sinkiang, where the Uygur people resided, maintained the Baeg System (Boke Zhi, 伯克制); the Tibetan areas adopted the management mode that integrated politics and religion; and southwestern China carried on the system of Aboriginal Office instituted in Ming.

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In the League-Banner System, leagues and banners were established in the Mongolian domain and part of Qinghai inhabited by the Mongolian people. Each banner was directed by a Banner Head (Qizhang, 旗长, “Jasagh” in Mongol) filled by a Mongol Prince, or Beile, Beizi, Duke, Chieftain (Taiji, 台吉, Mongol-Chinese) and so on to field military, administrative and judicial affairs of the banner, yet under the control of the Court of Colonial Affairs, Provincial General (Zhufang Jiangjun, 驻防将军) and Commander-in-chief (Dutong, 都统). Subordinate to the Banner Head was the Assistant Chieftain (Xieli Taiji, 协理台吉) providing aid in banner affairs. A few banners made up a League governed by the League Head (Mengzhang, 盟长). The title was conferred to one of the many Banner Heads or inactive noblemen. It should be noted that the League was in no higher position than the Banner, merely exercising the supervisory power over its constituent banners. During the reign of Emperor Qianlong, the Councilor (Canzan Dachen, 参 赞大臣) and Amban (Banshi Dachen, 办事大臣) were further instituted to preside over material military and political matters during banner meetings. The Baeg System was in practice in the Uygur regions south and north of the Tianshan Mountains (Baeg was a Turki term for chief local officials). After the Qing Empire seized power over the Tianshan Mountains, the government instated a batch of Baegs of all ranks and annulled the heredity Baeg which was now subject to appointment of the central authority. Baegs of all ranks were restrained by the Ili General (Yili Jiangjun, 伊犁将军) and their superior Commander-in-chief, Councilor, Amban and Grand Minister of Troops (Lingdui Dachen, 领队大臣). In addition, all important military and political matters of Sinking had to ultimately flow to the Ili General. In Tibet, Dalai Lama (for Lhasa and nearby locations) and Panchen Erdeni (for Shigatse and nearby locations) were acknowledged as the paramount religious leaders and had administrative authority. Specifically, it was the Sde-pa (Diba, 第巴) who processed them. Later Emperor Qianlong abolished the post of Sde-pa and installed the Kashag (Gaxia, 噶厦) to take over the job. The Kashag group consisted of three noblemen and one monk official and each of them held the title of Kalon (Galun, 噶伦). All Kalons and their subordinates were under the control of the Grand Minister Resident of Tibet (Zhuzang Dachen, 驻藏大臣) who was assigned by the central authority to supervise and handle Tibet-related problems. Meanwhile, it was provided that the Grand Minister Resident of Tibet ~106~

should attend the ceremony of the Golden Urn (Jinping Zhiqian, 金瓶掣签) that was held to select Tibetan Lamas and then report the event to the central court for approval before going into force. At this time, the Southwestern regions like Yunnan, Guizhou and Sichuan were gradually incorporated into Chinese provinces, when Emperor Yongzheng launched a large-scaled campaign to replace aboriginal officials with circulating officials (Liuguan, 流官) in order to implement the same local administrative system as the mainland. Although these areas maintained a great number of native headmen, in structure, apart from being inheritable, they were hardly different from circulating officials.

5. Increasingly sophisticated grass-root administration The Commandery-County system made the County the lowest local administrative unit, but it was in fact grass-root administrative units like villages and communities that immediately regulated the ordinary people, largely influenced by the early clan system. In the Shang Dynasty, the Clan was the grass root social organization, corresponding to the Town in administrative division and managed by the Clan Administrator (Zuyin, 族尹). In the oracle bone inscription were such phrases recorded as Administrator of the Yan (Yanyin, 演尹), Administrator of the Wu (Wuyin, 毋尹) or Administrator of the Guan (Guanyin, 贯尹), in which Yan, Wu and Guan were all clan names. In literature about Western Zhou, the Clan Administrator was called Community Manager (Lijun, 里君) or Community Administrator (Liyin, 里尹). In Western Zhou, residents were organized in an overlapping hierarchy (terminology differing between areas in the royal domain and those elsewhere) in which five families constituted a Neighborhood (Bi, 比 in the royal domain; and Lin, 邻 elsewhere), five Neighborhoods a Village (Lv, 闾; Li, 里), four Villages a Precinct (Zu, 族; Zan, 酂), five Precincts a Ward (Dang, 党; Bi, 鄙), five Wards a Township (Zhou, 州; Xian, 县) and five Townships a District (Xiang, 乡; Sui, 遂). However, the District in the royal domain was for the aristocracy and its counterpart in the suburban area was for slaves. At each of these levels of social organization, there was a popularly-elected head. During the Warring States Period, below the County level were the District (Xiang, 乡) and the Village (Li, 里) in a descending order of size. Each District was ~107~

managed by staff that governed a few Villages politically and economically. The Village was for rural households, also administered by appointed staff. In the State of Qin, Shang Yang ordered the households to be further organized into smaller groups called Fives (Wu, 伍) and Tens (Shi, 什), each led by a head. During the Qin-Han Period, Counties were subdivided into Townships (Xiang, 乡) and Neighborhoods (Ting, 亭). Ten Villages made up a Neighborhood administered by the Neighborhood Head (Tingzhang, 亭长), and ten Neighborhoods constituted a Township from among whose residents was chosen an Elder (Sanlao, 三老) to give moral leadership, a Husbander (Sefu, 啬夫) to manage local fiscal affairs and a Patroller (Youjiao, 游徼) to keep the peace. As a basic administrative unit regionally, the Neighborhood was thought to be paralleled to the Township. The Neighborhood Head (Tingzhang, 亭长), Neighborhood Father (Tingfu, 亭父) and Banditry Suppresser (Qiudao, 求盗) functioned in the same way as the Governor, Inspector and Defender at the Commandery level. Under the Township were Village, Ten and Five. Each Village was staffed with Village Head (Lizheng, 里 正 or Likui, 里魁), Village Elder (Fulao, 父老), Village Manager (Lizai, 里宰), and Village Inspector (Limenjian, 里门监). Below the Village level, each Five was headed by an Elder (Wulao, 伍老) and each Ten by a Manager (Shidian, 什典). Rural residents were all organized into Fives and Tens. In the Era of Northern-Southern Division, a new, three-tier pattern called the Three Elders system (Sanzhang Zhi, 三长制) was gradually developed to supersede the Qin-Han system of Township, Neighborhood, Village, Ten and Five. Western Jin and Southern Dynasties still stuck to the old system, but Northern Wei, after the reform undertaken by Emperor Xiaowen, initiated the Three Elders system. In theory, every five families had a Neighborhood Elder (Linzhang, 邻长), every five Neighborhood had a Village Elder (Lizhang, 里长) and every five Villages had a Ward Elder (Dangzhang, 党长). The Three Elders were responsible for land, population, taxes and local security. In Northern Qi, ten families constituted a Neighborhood, five Neighborhoods a Village and two Villages a Ward. Within one Ward, the manager-level staff consisted of a Ward Head (Zudang, 族党), an Assistant Head (Fudang, 副党), two Village Heads (Lvzheng, 闾 正) and 10 Neighborhood Elders heading 100 households. Northern Zhou changed the Neighborhood Head to a Principal Elder (Zhengzhang, 正长), but the Three Elders system endured. ~108~

In the early years of the Sui Dynasty, the Three Elders system was retained. In the metropolitan areas, five families formed a Security Group (Bao, 保) headed by an Elder, five Security Groups a Neighborhood (Lv, 闾) by a Head and four Neighborhoods a Precinct (Zu, 族) also by a Head. Outside the capital, the Village Head was comparable to Neighborhood Head and Ward Head comparable to Precinct Head. After an empire-wide information verification of registered population, 100 families made up a Village headed by a Village Elder, five Villages a Township by a Township head. The Village Elder and the Township Head were mainly responsible for census and tax collection. With the maturation of the system for local administration, households began to soar. The system was developed further in the Tang Dynasty, when the population was organized into different units in the urban, suburban and rural areas. Within the domain of the two capitals, prefectures and counties, four households constituted a Neighborhood, five Neighborhoods a Security Group and five Security Groups a Precinct (Fang, 坊 ). In suburban areas, four households made up a Neighborhood, five Neighborhoods a Security Group and five Security Groups a Settlement (Cun, 村 ). In the countryside, four households made up a Neighborhood, five Neighborhoods a Security Group, five Security Groups a Village and five Villages a Township and in each Neighborhood and Security Group, an Elder was elected. The Precinct, Settlement and Village were all administered by Heads, and the Township was managed by a Community Elder (Qilao, 耆老). In the Villages, the 100 households were managed by the Village Elder, and Settlements, Precincts, Neighborhoods and Villages supervised each other. Thanks to the social stability and the mature system for grass-root management in the early Tang Dynasty, official data showed that households rocketed. Over more than 100 years from the late reign of Emperor Taizong to the late reign of Emperor Xuanzong, the number of households was more than tripled, from 3 million to 9.6 million. In the Song Dynasty when the Emperor was striving to concentrate power, he not only wrested powers from all officials, but also exercised more rigorous control over the urban and rural population. In early Song, the population was organized into rural Townships with a designated Village Head to collect taxes and urban Precincts where tax collection was taken charge of by the Precinct Head. Before long, the unit of Township was abandoned and changed to “Management” (Guan,

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管) where the collection of local taxes was administered by a Household Elder (Huzhang, 户长) and the Community Elder was responsible for prevention of crime and judicial affairs. At that time, all rural households were divided into five classes (previously nine classes) with the first three classes comprised of Superior Households (Shanghu, 上户) and the fourth and fifth classes consisting of Inferior Households (Xiahu, 下 户 , including land-holding peasants and some tenant peasants). It was stipulated that the Village Head was assumed by a first-class household and the Household Elder by a second-class household. While Wang Anshi was committed to socioeconomic reforms, he carried on the Security Group and Tithing system (Baojia Zhi, 保甲制) throughout the empire, which endured into the Qing Dynasty. In rural areas, ten families constituted a Small Security Group (Xiaobao, 小保), five Small Security Groups a Large Security Group (Dabao, 大保) and ten Large Security Groups a Superior Security Group (Dubao, 都保) of 500 families. In the three units, the wealthiest and the most powerful were elected to become Head of the Small Security Group, Head of the Large Security Group and Head of the Superior Security Group respectively. Within the Security Group, male subjects, by turns, went on night patrols to prevent crime. If someone of the Security Group had committed a crime but the patroller failed to report the fact, both would be punished. In suburban areas, the Precinct was removed and 30 taxed households constituted a Tithing (Jia, 甲). Heads of well-to-do families in rotation served as Tithing Chiefs (Jitou, 甲头) for the collection of local taxes. In Northern Song, rural areas were normally structured in the pattern of Township, Sector (Du, 都), Security Group and Tithing. The Head of the Security Group replaced the previous Community Head and the Head of the Large Security Group substituted the Household Elder. Subordinate to the Sector was the Security Group and its constituent Tithing. Five families formed a Tithing where the Tithing Chief was in charge of tax collection. In some areas, the population was organized into Township, Village, Community and Sector with designated Head of Security Group and Community Elder. Moreover, some Townships formed a Society (Tuan, 团) administered by a Society Head (Tuanshou, 团首 or Tuanzhang, 团长). In Yuan, the grass-root administrative units were the Village governed by a Village Head and Sector by a Sector Head (Zhushou, 主首). The Village Head promoted tax collection and the Sector Head did various other jobs. Each ~110~

Village had Communities, Settlements, Precincts and Security Groups under its jurisdiction. In areas just outside the city gates, there were Outlying Place (Yu, 隅) and Precinct, each with a Head to maintain public security. After Yuan entered central China and overthrew the Song regime, below the district level were households organized into Settlements, Communities, Villages and Tithings. Fifty families constituted a Community headed by a Chinese elder to encourage agricultural development and handle civil affairs, who was meanwhile supervised by a Mongol Superintendent (Tidian Guan, 提点官). As a grass-root administrative unit, the Community was secondary to the Township and the Sector. In bordering areas, there were likewise Communities subordinate to the Outlying Place and the Precinct. The Community Head was responsible for keeping peace locally. A Tithing consisted of 20 families and the head was the Tithing Chief assumed by a Mongol or Semu person who were provided with food and clothing by local residents. The grass-root administration in Ming aimed to control household registration and tax collection. In early Ming, all areas were ordered to work out “Yellow Books” (Books for Household Registration) to include information on family members and properties as a basis for population management and tax collection. The book was examined every year and formulated every ten years. Below the County level, the population was organized into Communities and its constituent Tithings; 100 families formed a Community with ten heads of households who owned the most family members and grain as Community Elders. The rest of the 100 families were divided into 10 Tithings. Constituted by 10 households, each Tithing was headed by a Tithing Chief in rotation according to the number of family members and the quantity of grain. One Community Elder and ten Community Heads (Lishou, 里首) jointly dealt with civil affairs and tax collection, and their tenure was for ten years, corresponding to the Yellow Book which was compiled in a ten-year cycle. Households in urban areas were organized into Precincts each with a designated Precinct Head (Fangzhang, 坊长), and in areas just outside city gates, into Townships (Xiang, 厢) administered by Township Heads (Xiangzhang, 厢长). Both the Precinct Head and the Township Head, appointed by the central government, were held responsible for maintaining local order and collecting taxes. As the system of integrating poll taxes into land taxes was practiced

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empire-wide during the reign of Emperor Yongzheng, the Community-Tithing system lost its meaning and was replaced by the Security Group and Tithing System. In the early Qing Dynasty, ten families constituted a Tithing and ten Tithings a Security Group. Later, the Frankpledge (Pai, 牌) was instituted below the Tithing level, so the three-tier pattern was brought into being. Ten households formed a Frankpledge with a Frankpledge Chief (Paitou, 牌头), ten Frankpledges a Tithing with a Tithing Chief and ten Tithings a Security Group with a Head of the Security Group. The Security Group and Tithing system were expected to maintain order in the local area, and if a crime was covered-up, the ten families would be implicated. In addition, the heads of Security Groups and Tithings were also responsible for residence and migration registering. After Emperor Qianlong came to the throne, Security Groups and Tithings increased in number, through which Prefects and Magistrates administered the populace with ease.

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Chapter 6

Chapter 6

The Surveillance System In dynasties preceding Qin, it was permissible to criticize the sovereign’s decisions, which was a nod towards democracy in early ages. For example, during the reign of King Li of Zhou, many peasants spoke against him because of his poor reign and his suppression of this caused his subjects into revolt, forcing him into an exile. In the early Spring and Autumn era, Duke Huan of Qi installed the Grand Remonstrant (Dajian, 大谏), which was where remonstrative officials originated and during the Warring States period, the Zhao government instituted Left and Right Ministers of Faults (Siguo, 司过) to judge and admonish the sovereign. However, after Qin Shi Huang declared himself Emperor, the sovereign was so deified that anyone who criticized the sovereign would be found guilty of slander and sentenced to an extreme penalty-the execution of his or her entire family. In the Han Dynasty, the central authority consisted of counselors merely playing an advisory role, so fewer and fewer people dared to comment on the Emperor. Even if in the Tang Dynasty when quite a few remonstrative posts like Left and Right Grand Masters of Remonstrance (Jianyi Dafu, 谏议大夫), Left and Right Reminders (Shiyi, 拾遗) and Left and Right Rectifiers of Omissions (补阙) were created in the Secretariat and the Chancellery respectively, they were instituted to supervise Chancellors rather than the Emperor, as an imperial effort made to reduce mistakes in state governance. Into the Yuan Dynasty, the Remonstrance Bureau (Jianyuan, 谏院) ceased to exist, so surveillance was always a one-directional thing in imperial China where the Emperor monitored, controlled and secretly guarded against his subjects. Initially created during the Warring States period and terminated in Qing, the surveillance system was reformed many times.

1. The Palace Aide to the Censor-in-chief and the Metropolitan Commandant During the Warring States Period, the Censor (Yushi, 御史), secretary to ~113~

the sovereign, was instated to supervise central and local appointees. As is documented in the Border within, the Book of Lord Shang, when the troops stormed a castle, the King of Qin ordered Supervisors (Jian, 监) and Censors to ascend to a height in order to watch how officers and soldiers performed, based on which he would punish or award them. When King Wei of Qi was on the throne, the politician Chunyu Kun noted that, “the Overseer (Zhifa, 执法) is by the side and the Censor in the back”, indicating that the surveillance system had operated at that time. From Qin to early Han, there was no independent surveillance body, despite the installment of censorial officials. In the Qin times, there was in the palace the Office of Censors (Yushi Fu, 御史府) headed by the Censor-in-chief. In early Han, the Censor-in-chief was, by virtue of his position, de facto Vice Chancellor managing books, confidential documents, archives, and maintained disciplinary surveillance over all officials. They were the channel through which the Emperor’s instructions and edicts were made known and it was also them who deliberated matters regarding rules and institutions and the Office of Censors was where administrative and penal codes and territorial account books were stored. Subordinate to the Censor-in-chief were two Aides, the Aide to the Censor-in-chief (Yushi Cheng, 御史丞) and the Palace Aide to the Censor-in-chief (Yushi Zhongcheng, 御史中丞). The office of the Palace Aide to the Censor-in-chief worked in the Orchid Pavilion (Lantai, 兰台) of the palace to which books and confidential archives flowed, so he externally monitored Regional Inspectors and internally directed a staff of Attendant Censors (Shi Yushi, 侍御史) to scrutinize all reports submitted to the throne. Attendant Censors, on the other hand, maintained surveillance over officialdom and impeached wayward officials. In the Qin Empire, the Supervising Censor (Jianyu Shi, 监御史) was entitled to inspect commanderies and counties, but Western Han abolished it in favor of the Administrative Official of Chancellor (Chengxiang Shi, 丞相史) to investigate local officials. As Emperor Wu of Han further increased power centralization, he formally divided the empire into 13 Regions (Bu, 部, later Zhou, 州). A Regional Inspector was assigned to each Region who would tour all commanderies and counties in his jurisdiction for inspection purposes every August as an ad hoc troubleshooter and expediter. The Regional Inspector was under the supervision of the Palace Aide to the Censor-in-chief. Meanwhile, the Metropolitan region was equipped with a

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Metropolitan Commandant (Sili Xiaowei, 司隶校尉) and Commissioners with Special Powers (Chijie, 持 节 ) who wielded great supervisory control over officialdom in the capital. Another post, Rectifier to Chancellor (Chengxiang Sizhi, 丞相司直), was initiated above the Metropolitan Commandant to assist the surveillance system. If a courtier was awarded a supplementary honorary title “Leader of the Officials” (Zhuli, 诸吏), he was also responsible for impeaching wayward officials. At the Commandery-level, the Local Inspector (Duyou, 督邮) was appointed to supersede the Governor in supervising counties and townships, and to superintend officers and soldiers, there was the Army-supervising Commissioner (Jianjun Yushi, 监军御史). During the reign of Emperor Xuan, two Attendant Censors were assigned to deal with penal codes, documents, and legal cases, and they were later renamed Secretarial Censors (Zhishu Shiyushi, 治书侍御 史). After Emperor Wu was crowned, various function-specific sections of the Imperial Secretariat gained ground, so the powers of the Chancellor and Censor-in-chief were gradually shifted. The Censor-in-chief was changed to Grand Minister of Works (Da Sikong, 大司空) by the end of Western Han, and to Minister of Works (Sikong, 司空) in Eastern Han, who took charge of construction, having nothing to do with surveillance. The Office of Censors was renamed Censorate (Yushi Tai, 御史台). The Censorate, also known as Pavilion of Fundamental Laws (Xiantai, 宪台), the Imperial Secretariat, also known as the Central Pavilion (Zhongtai, 中台) and the Tribunal of Receptions (Yezhe Tai, 谒者台), known unofficially as Outer Pavilion (Waitai, 外台), were collectively called Three Pavilions (Santai, 三 台). Made an exclusive surveillance organ though, the Censorate was transferred under the control of the Chamberlain for the Palace Revenues, becoming anything but an independent agency. As was mentioned in Chapter 3, the popular collective designation “the Three Venerables” (San Du Zuo, 三独坐) was shared by the Palace Aide to the Censor-in-chief, the Metropolitan Commandant and the Director of the Imperial Secretariat. It should be noted that two of these were censors, so the Emperor must have attached great importance to monitoring his subjects. It is necessary to make clear here that surveillance was always closely related to the administration of justice in ancient China, so responsibilities of censors could not be divorced from law. During the Qin-Han period, there was the Bandit-suppressing Censor (Xiuyi Yushi, 绣衣御史) surveying the suppression

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of banditry. From Wei and Jin on, the Secretarial Censor was in place to interpret laws, manage the Imperial Prison (Zhaoyu, 诏狱), and expose wrongdoings of the Chamberlain of Law Enforcement. During Sui-Tang and after, the Censorate (called Ducha Yuan then, 都察院), the Ministry of Justice and the Court of Judicial Review were collectively known as the Three Judicial Offices (San Fa Si, 三法司) whose executive officials cooperated in conducting and supervising major judicial actions (Sansi Tuishi, 三司推事). Sometimes the Investigating Censor (Jiancha Yushi, 监察御史), Vice Director (Yuanwai Lang, 员外郎) of the Ministry of Justice and Rectifier of the Court of Judicial Review (Dali Sizhi, 大理司直) filled the posts of the Three Judicial Commissioners (Sansi Shi, 三司使) to try cases in particular localities. In the Ming Dynasty, the supreme court was known as the “Joint Trial by the Three Judicial Offices” (Sansi Huishen, 三司会审), whose verdicts had to be submitted to the emperor for approval. In the following section a brief introduction will be given to the function and role of the Censorate in the judicial system.

2. Independence of the Censorate From the Era of North-South Division to Sui-Tang, the surveillance and remonstrance systems gradually attained maturity. It was in the Cao-Wei Dynasty that the Censorate broke itself away from the Chamberlain for the Palace Revenues and presented itself as an independent agency, known as “Orchid Pavilion” or “Pavilion of Fundamental Laws” at different times. From that time onwards, the Censorate endured as the supreme supervisory body throughout the following one thousand years. During the Wei and Jin period, the Palace Aid to the Censor-in-chief headed the Censorate, directing all surveillance-related affairs empire-wide. The Wei government perpetuated the practice of Han, instituting two Secretarial Censors responsible for law interpretation and two other Impeaching Censors (Zhishu Zhifa, 治书执法) charged with the task of prosecution. The Jin authority changed the system, installing four Secretarial Censors and a few Secretarial Censors for the Huangsha Prison (Huangsha Yu Zhishu Shiyushi, 黄沙狱 治书侍御史) specialized in administering the Imperial Prison and trying cases. As for the Attendant Censor, Wei established the quota of eight and Jin instituted nine, allocating them among the 13 Sections, respectively, of Personnel (Licao, 吏曹), of Evaluations (Kedi Cao, 课第曹), of Palace Service (Zhishi Cao, 直事曹), of Seals

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(Yincao, 印曹), for Inner Commander-in-chief (Zhongdu Cao, 中都督), for Outer Commander-in-chief (Dudu Cao, 都督曹), of Marriage (Meicao, 媒曹), of Credentials (Fujie Cao, 符节曹), of Waterways (Shuicao, 水曹), for Capital Garrison (Zhonglei Cao, 中垒曹), for Campaigning Army (Yingjun Cao, 营军曹), of Law (Facao, 法曹) and of Mathematics (Suancao, 算曹). All departments in the whole government system were subject to surveillance. In the Wei Dynasty, the two Secretarial Censors were posted in the court, keeping a watchful eye on all officials to expose their wrongdoings. Jin created the Palace Censor (Dianzhong Shiyushi, 殿 中侍御史) which had a quota of four, but in Eastern Jin, however, the number was reduced to two. Then Wei created the Manager of Credentials and Seal (Fujie Xi Ling, 符节玺令) in an independent pavilion, but Jin incorporated it into the Orchid Pavilion and installed the Censor of Credentials (Fujie Yushi, 符节御 史). The Metropolitan Commandant persisted with expanded power, joining forces with the Palace Aide to the Censor-in-chief to supervise officials of all ranks. In theory, these two were charged with different tasks, where the Palace Aide to the Censor-in-chief performed his duties inside the palace gate while the Metropolitan Commandant performed his outside the gate, but in fact, there was no such clear distinction. At this time, the Region had been made the largest territorial administrative unit governed by the Inspector. When no censor officials were detached by the central government to the local, the Metropolitan Commandant would be transferred to do the job, exercising surveillance power over regions and commanderies. However, in Eastern Jin, the Metropolitan Commandant was abandoned, and his power was returned to the Censorate. In the Censorate, the Inspecting Censor (Jianjiao Yushi, 检校御史) was appointed to monitor outer officials. Beyond the surveillance system predominated by the Censorate, ministries also supervised one another and regions, commanderies and counties censored themselves systematically. As the Imperial Secretariat had a hand in official surveillance, its Director and the Palace Aide to the Censor-in-chief, while maintaining surveillance, also supervised each other. The Left Aide to the Imperial Secretariat handled prohibition orders of the Censorate, who could impeach “the Eight Executives”, namely, the Director of the Imperial Secretariat, Vice Directors of the Left and the Right and 5 Ministers of the Five Sections. In the Region, there were the Retainer (Congshi, 从事) of Personnel Evaluation Section, Retainer of

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Capital Officials Section and Retainer of Region and Commandery, among others. In the Commandery, there were the General-purpose Clerk, Personnel Evaluator, and Local Inspectors of Five Sectors, and so on, and each conducted supervision over its subordinates. Apart from ordinary surveillance, spies emerged at this time. In the Chancellor Establishment of Cao Cao, there were the Evil Prier (Cijian, 刺奸) and Examiner (Jiaoshi, 校事) keeping their watch in secret on Cao’s subordinates. In the Sun-Wu kingdom, there was also the Examiner installed to monitor officials. In the Song and Qi states during the Northern Dynasties, the Emperor instated The Manager Assistant (Dianqian, 典签) to survey regions and commanderies. The Manager Assistant not only received imperial edicts and manipulated government affairs of regions and commanderies, but also controlled the Inspector. Northern Wei instituted inner and outer marquis officials to supervise all sections internally and oversee regions and counties. Some of them even went into official residences and courts incognito to solicit “faults of officials”. During the Wei, Jin, Southern and Northern Dynasties, the Chancellery gradually held responsible for disciplining and monitoring courtiers. For instance, under the rule of Emperor Ming in Eastern Jin, Ying Zhan presented a report to the throne, suggesting that the Emperor dispatch the Gentlemen Attendant at the Palace Gate (Huangmen Shilang, 黄门侍郎) and Cavalier Attendants-in-ordinary (Sanqi Changshi, 散骑常侍) to make inspection tours across the country, in order to identify the worthy and impeach the corrupt. In Part 1, Records of Officials, Book of Sui, duties of appointees in the Chancellery in the State of Liang during the Northern Dynasties were described as follows, Libationer of the Palace Attendants (Shizhong Jijiu) and one meritorious Attendant Gentleman (Shilang, 侍 郎) were expected to cope with bans, figure out and punish wayward officials. These duties manifested the dual roles played by the Chancellery during this period, which included veto powers and monitoring officials at the same time. Following the practice of Qi, Sui regarded the Censorate as the supreme supervisory body headed by the Censor-in-chief. In deference to the character “Zhong” (忠, because Emperor Wen’s father was named Yang Zhong (杨忠)), and others with the same pronunciation like 中 (palace or central), the Palace Aide to the Censor-in-chief was abandoned, so the deputy officials of the Censorate

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were assumed by two Secretarial Censors. Then Emperor Yang, besides the Censorate, established another two organs, the Tribunal of Inspectors (Sili Tai, 司隶 台) and the Tribunal of Receptions, entrusting the three to fulfill the surveillance task together. The Censorate targeted courtiers, the Tribunal of Inspectors targeted officials in the Metropolitan Area as well as commanderies and counties, virtually a variant of the Metropolitan Commandant, and the Tribunal of Receptions was responsible for making inspection tours at the order of the Emperor. In the Tang Empire, the Censorate integrated the responsibilities of the three agencies and announced itself an independent supervisory institution. At that time, the censorial system was characterized, principally, by the system of the three bureaus derived from the Censorate, namely, the Headquarters Bureau (Taiyuan, 台 院 ), Palace Bureau (Dianyuan, 殿 院 ) and Investigation Bureau (Chayuan, 察院) for censorial purposes. In the Sui Dynasty, as a matter of fact, a clear distinction had been made among Attendant Censor, Palace Censor and Investigating Censor. Dividing the Censorate into the three bureaus, Tang made them more function-specific. The Attendant Censor, subordinate to the Headquarters Bureau, was responsible for investigating all officials and trying cases. The more experienced one was in charge of routine affairs of the Censorate, thus called Head of the Bureau (Taiduan, 台端), and the less experienced one took charge of impeachment, reading out impeachment citations in front of the emperor in court while the guilty officials stood to await their punishments. Another two investigated cases of Metropolitan offices and regions that were divided into eastern cases and western cases, and each was responsible for one type. The Palace Censor was under the Palace Bureau, examining palace ceremonies of all sorts, impeaching wayward officials within the capital and commanding armies of Metropolitan regions. One assisted in eastern cases and inspected the receipts and disbursements at the Imperial Granaries (Taicang, 太仓) while another helped with western cases and supervised the Left Storehouse (Zuo Zang Ku, 左藏库). They also made rounds in the capital, to the east and to the west, to discover and investigate cases of officials acting unlawfully. Another three personnel of the Palace Bureau provided court services, rectifying palace procedures like court entrance sequences, schedules and rites. The Investigating Censor was associated with the Investigation Bureau, overseeing Metropolitan officials and touring

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regions and counties. The second characteristic of the censorial system was the clear-cut yet sophisticated division of labor in the Investigation Bureau. In terms of supervision over the entire administration system, there were six Investigating Censors maintaining one-to-one surveillance over the Six Ministries of the Imperial Secretariat, collectively known as “the Six Investigators”. As regards territorial inspection, the Investigating Censors took charge of the ten inspection-oriented circuits set up by Emperor Taizong. During the reign of Empress Wu, Investigating Censors made inspection tours biannually, in spring and in autumn. There was one Touring Censoring Inspector (Xun’an Yusi, 巡按御史) for each of the ten circuits, collaborating with the Surveillance Commissioner and Investigation Commissioner in the circuit. In addition, there were inspectors for armies, for state farms, for coining, for the postal relay system, and for execution of criminals, as well as in other areas. Thirdly, supervisory bodies were in turn supervised. During the Wei, Jin, Southern and Northern Dynasties, the Director of the Imperial Secretariat and the Palace Aide to the Censor-in-chief oversaw each other, whereas in Tang, it was explicitly prescribed that one of the responsibilities of Vice Directors of the Left and the Right, Left and Right Aides of the Imperial Secretariat was to inspect censors and impeach those acting illegally. As the Censorate and the Imperial Secretariat monitored each other, the investigating system became increasingly sound. In early Tang, the Censorate was directed by the Censor-in-chief with the assistance of the Palace Aide to the Censor-in-chief. From Mid-Tang on, the Censor-in-chief was, however, usually taken as an honorary title, so the Palace Aide to the Censor-in-chief was gradually developed into the de facto director of the Censorate. By then, the Chancellery, with its veto power, gradually gained influence in the remonstrance system, though it no longer had the authority to supervise officialdom as it had during the Wei, Jin, Southern and Northern period. Perpetuating such posts as the Cavalier Attendants-in-ordinary and Grand Masters of Remonstrance instituted during the Qin-Han period, the Secretariat and the Chancellery jointly installed other unique posts like Rectifier of Omission

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and Reminder, differentiated as being of the left to the Chancellery and the right to the Secretariat. The parallel establishment of remonstrance officials in the two departments ensured a broader admonishment range. Remonstrance officials, who had a designated aim of observing the Emperor in theory were, however, more critical of the Chancellors, monitoring them in matters of governance.

3. Assimilation of surveillance and remonstration; addition of agencies for territorial surveillance During the Song and Yuan period, the censorial system changed in two major ways-the assimilation of supervision and remonstrance, and the addition of agencies to enhance territorial surveillance. Northern Song followed the practice of Tang and Five Dynasties in its early years with the Censorate segmented into the Headquarters Bureau, Palace Bureau and Investigation Bureau. The Censorate as a whole was headed by the Palace Aide to the Censor-in-chief, but the office was sometimes held by other officials concurrently or provisionally. If it was assumed by a Minister, the office-holder was called Such-and-such Minister and Concurrent Palace Aide to the Censor-in-chief; if an Aide or a Court Gentleman took the position, he was called Palace Aide to the Censor-in-chief and Concurrent Such-and-such Aide or Court Gentleman; if a Palace Steward or a Grand Master of Remonstrance filled the vacancy, he was called Palace Steward (Grand Master of Remonstrance) and Provisional Palace Aide to the Censor-in-chief. During the reign of Emperor Zhenzong, another office staffed with six remonstrance officials was brought into being, whose remarks provided the basis for personnel promotion or demotion. Any inappropriate or illegal acts, if exposed, would be reported to the throne by remonstrance officials who had, therefore, shifted their focus from admonishing the Emperor to monitoring and impeaching officials. Meanwhile, appointees of the Censorate were given the authority to remonstrate, so that they could bring to justice those who disobeyed the imperial edict, or who abused their position for personal vanity or gain. When Emperor Renzong acceded to the throne, the Remonstrance Bureau (Jianyuan, 谏院) was established to further strengthen the power of remonstrance officials in supervising the whole bureaucracy. It had a staff of six remonstrance officials assumed by appointees of the Secretariat and the

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Chancellery, or Remonstrators (Sijian, 司谏) evolved from Rectifier of Omissions, or Exhorter (Zhengyan, 正言) changed from Reminder. If appointees of the two departments filled the post, they could be awarded with the honorary title of Administrator of Remonstrance Bureau (Zhi Jianyuan, 知谏院). From that time onwards, the Grand Master of Remonstrance, Remonstrator and Exhorter became salary offices28 (Jilu Guan, 寄禄官), except when the office-holders did work in the Remonstrance Bureau upon imperial orders. The Cavalier Attendant-in-ordinary had been a salary office as far back as in early Song. While remonstrance offices were somewhat put at a disadvantage, they seemed to secure greater authority for supervision. After Emperor Renzong took office, if officials of the Censorate and the Remonstrance Bureau uncovered corruption by dignitaries of the Secretariat, the Chancellery or the Palace Secretariat, these State Councilors29 (Zaizhi, 宰执) would be dismissed from office and penalized. In the Tang Era, officials of the two bureaus were appointed by Chancellors, but in Song, the Emperor made the appointments in person. In the meantime, a well-known measure known as avoidance (Huibi, 回避) was rigidly implemented that laid an embargo on any kinship between officials of the two bureaus, as well as between them and State Councilors. In spite of the Investigation Bureau in Song, Investigating Censors were mainly responsible for overseeing the Six Ministers and no Censor was detached to maintain surveillance over local officials. As a result, the central authority dispatched the Fiscal Commissioners (Zhuanyun Shi, 转运使) from the Fiscal Commission (informally called Caosi, 漕司) and the Judicial Commissioner (Tidian Xingyu Si, 提点刑狱公事) from the Judicial Commission (informally called Xiansi, 宪司) of each circuit, to take up this task. When checking whether state revenues were properly collected and distributed, the Fiscal Commissioner was at the same time coordinating general civil administration in his circuit, exposing officials’ corruption and then informing the central authority. The Judicial Commissioner, on the other hand, was also held accountable for impeaching undisciplined ———————————— 28 Salary Office was a term referring to the system of paying salaries to officials on the basis of their titular positions, whatever their actual assigned functions. 29 The State Councilor (Zhaizhi, 宰执) is a collective term combining elements from Chancellors (Zaixiang, 宰 相) and Executive Officials (Zhizheng, 执政) to denote all those who consult with the Emperor in making major decisions of state policy.

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officials while supervising the conduct of trials and the management of prisoners. The Fiscal Commission and the Judicial Commission were collectively known as the Surveillance Commission (Jiansi, 监 司 ) whose director would patrol prefectures and counties of his circuit bi-annually, thereby gathering information on people’s grievances and picking out corrupt officials. It was a stipulation that the director should make an inspection round within prefectures and counties of his jurisdiction. Each Surveillance Commission policed its own territory independently, and it was not allowed to divulge supervisory information. The Surveillance Commission itself was subject to the surveillance of the Censorate, the Remonstrance Bureau and the Mounted Courier (Zouma Chengshou, 走马承受). The office of the Mounted Courier, initially built on the frontier, was later gradually set up in all circuits. Assumed by the Commissioners of the Three Ranks (Sanban Shichen, 三班使臣) or Palace Attendants (Neishi, 内侍), the Mounted Courier was nominally subordinate to the Military Commission (Anfu Shisi, 安抚 使, informally known as Shuaisi, 帅司), but actually under direct control of the Emperor. During Emperor Huizong’s reign, the Mounted Courier was renamed Investigation Commissioner (Liangfang Shizhe, 廉访使) who was entitled to bring to light all improper conduct within the circuit. Neither as a regular censorial official nor of high status, the Mounted Courier however enjoyed great power and influence, not only handling the armies but also playing a supervisory part in civil administration. Additionally, the prefectural Controller-general (Tongpan, 通 判) was a central government official delegated to serve as resident overseer of the work of a Prefect, with the right to submit reports and memorials concerning prefectural affairs without the knowledge of the Prefect. Over affairs of many kinds, ranging from tax and grain to household registration and case trial, no document issued by the Prefect was considered valid without being countersigned by the Controller-general. The surveillance system implemented in Liao and Jin was structured after that of Tang and Song, with the Censorate, the Remonstrance Bureau and their subordinates monitoring the whole system, the Surveillance Commissioner (Ancha Shi, 按察使) and the Investigation Commissioner (Caifang Shi, 采访使) keeping an eye on territorial appointees. Yuan valued the censorial system more heavily than any other dynasties, so it juxtaposed the Censorate, the Secretariat and the Palace Secretariat as the three

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major institutions which exercised the supervisory, political and military powers respectively. Just as Emperor Shizu of Yuan had stated, “the Secretariat is my left hand and the Palace Secretariat my right hand, but it is the Censorate that gets my two hands under control”, which vividly revealed the important role of the Censorate. Compared to the previous dynasty, appointees of the Censorate were promoted to a higher rank and increased in number. The Censor-in-chief was of rank 3a in Tang, of rank 2b in Song and Jin, but of rank 1b in Yuan, while the Palace Aide to the Censor-in-chief was of rank 4a in Tang, rank 3b in Song and Jin, but of rank 2a in Yuan. As an organ of rank 1b, the Censorate was next only to the Secretariat (of rank 1a), enjoying a status as high as the Palace Secretariat. The two Censors-in-chief posts were exclusive to Mongol noblemen, whilst the two Palace Aides to the Censor-in-chief, two Attendant Censors, two Secretarial Censors, and a certain number of Palace Censors headed by the Palace Bureau, and Investigating Censors headed by the Investigation Bureau were assumed either by Mongol, or by Semu people, or by Chinese. Meanwhile, there were rigorous relevant laws and regulations, such as Regulations for the Establishment of Pavilion of Fundamental Laws and Regulations for Supervision of the Branch Censorate which had to be adhered to. With regard to territorial surveillance, Yuan further systemized and institutionalized the Song and Jin system, constituting the Branch Censorate (Xing Yushi Tai, 行御史台, shortened to Xingtai, 行台) and the Surveillance Commission (Tixing Ancha Si, 提刑按察司 until 1921; thereafter Suzheng Lianfang Si, 肃政廉访 司). There were four Branch Censorates, assigned by the Censorate early or late, among which the Branch Censorate of Jiangnan (Jiangnan Xingtai, 江南行台) and the Branch Censorate of Shaanxi (Shanxi Xingtai, 陕西行台) were long retained. The Branch Censorate of Jiangnan was set up in the Jiankang Route (建康路), stationed in modern-day Nanjing, Jiangsu Province and maintained surveillance over 10 circuits of Jiangnan. The Branch Censorate of Shaanxi was located at the Fengyuan Route (奉元路) and stationed in modern Xi’an, Shaanxi, administering censorial affairs of four circuits, specifically, Gansu, Shaanxi, Sichuan and Yunnan. Each Branch Censorate was structured after the Censorate in the capital, with a staff consisting of the Censor-in-chief, Palace Aide to the Censor-in-chief and so on. Except the 10 circuits of Jiangnan and the four of Shaanxi, there were another eight circuits in the Metropolitan Area. Each of the total 22 circuits was equipped with a Surveillance Commission staffed with the Surveillance Commissioner and

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Vice Surveillance Commissioners. All regional military issues were addressed through consultations among officials of the Branch Secretariat, the Army Command and the Branch Censorate, and all important cases tried in the local government had to be submitted to the Surveillance Commission for re-examination. The Branch Censorate and the Surveillance Commission were mixtures of Mongol, Semu people, and Chinese. Despite such an independent supervisory system divorced from the administrative mechanism in the Yuan Empire, against the historical backdrop of widespread corruption, it failed to be as effective as it should have been.

4. The Chief Surveillance Bureau in lieu of the Censorate During the Ming-Qing period, the supervisory system underwent another transformation. The Censorate, emancipated from the Chamberlain for Palace Revenues since the Wei and Jin eras, was discontinued in 1380 under the rule of Emperor Hongwu of Ming after more than one thousand years of existence and in 1382, the Chief Surveillance Bureau (Ducha Yuan, 都察院) took its place. As the newly-established supreme censorial organ, the Chief Surveillance Bureau was responsible directly to the Emperor, impeaching officials for misconduct, checking judicial records, and making regular and unannounced inspections. As a result, a whole new executive superstructure was appointed, notably including two Censors-in-chief (Du Yushi, 都御史), two Vice Censors-in-chief (Fu Du Yushi, 副 都 御 史 ) and two Assistant Censors-in-chief (Qian Du Yushi, 佥 都 御 史 ), all differentiated as being of the left and the right. Subordinate to the office were the Registry (Jingli Si, 经历司), General Services Office (Siwu Ting, 司务厅), Records Office (Zhao Mosuo, 照磨所) and Prison (Siyu Si, 司狱司), among other offices as well as a wealth of their subordinates. While disciplining and impeaching corrupt officials, it also cooperated with the Ministry of Personnel to assess whether officials were able and deserving of promotion. During the inspection, it acted upon imperial orders and other offices were not allowed to interfere. The territorial inspection was conducted by Circuit, and there were 13 circuits with 110 Investigation Censors. Among them, 10 were allocated for each of Zhejiang, Jiangxi, Henan and Shandong, seven for each of Fujian, Guangdong,

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Guangxi, Sichuan and Guizhou, eight for each of Shaanxi, Huguang and Shanxi and 11 for Yunnan. All the Investigating Censors in the 13 circuits maintained disciplinary surveillance over the entire bureaucracy, either directly impeaching wayward officials or reported their misdeeds to the Emperor. In the Metropolitan Area, they had the license to investigate the Capital Training Divisions (Jingying, 京 营), neighboring villages, the metropolitan examination (Huishi, 会试), the military selection (Wuju, 武举), the Court of Imperial Entertainments, the Capital Granaries (Cangchang, 仓场), the Palace Storehouses (Neiku, 内库) and the Capital Security Office (Huangcheng, 皇 城). While touring other regions, they inspected the Provincial Education Commission (Tidu Xuexiao, 提督学校), stations for salt control, for transport and for custom, and armies. Meanwhile, a system for the Touring Censorial Inspector (Xun’an Yushi, 巡按御史) was established, which gave the appointee the authority to evaluate official administration and punish the corrupt. On minor matters he could take the decisions, but on major affairs he would consult the Emperor for instruction. Most Touring Censorial Inspectors were appointed for special duty assignments, assumed by the Provincial Military Commander (Tidu, 提督), Grand Coordinator, Viceroy and Concurrent Grand Coordinator, Provincial Military Commander and Concurrent Grand Coordinator and the like with honorary titles such as Censor-in-chief, Vice Censor-in-chief and Assistant Censor-in-chief. Gradually, the Touring Censorial Inspector evolved into local officials. The provincial Surveillance Commission, in addition to practicing its judicial power, also had to perform the censorial duty, impeaching corrupt officials, checking judicial records, and redressing the grievances done to the innocent, thus regulating the bureaucratic system and correcting conduct and enforcing discipline. As the Six Ministries were elevated to a higher position, they were also subject to more rigorous inspection. Therefore, the according Six Offices of Scrutiny (Liuke, 六科), respectively, of Personnel, of Revenues, of Rites, of War, of Justice, and of Works, were set up as independent censorial agencies, which extended and developed the Six Investigators (Liucha, 六察) system of the Tang Dynasty. The Ming government reserved the post of Supervising Secretary (Jishizhong, 给事中) specific to the Chancellery of the Tang times and provided each Office of Scrutiny with one Chief Supervising Secretary (Du Jishizhong, 都给事中), one Left and one ~126~

Right Supervising Secretary, and an unlimited number of Supervising Secretaries ranging from 4 to 10. Despite the fact that the Supervising Secretary was of a low rank, 7a or 7b, the appointees had relatively great power, primarily monitoring offices of the Six Ministries and also holding on to power over Attendants, Remonstrators, Rectifiers of Omissions and Reminders as they had in the Tang Era. The Investigating Censors of the 13 circuits also ranked 7a, specialized in supervising the whole bureaucracy, so the Supervising Secretaries of the Six Offices of Scrutiny and the Investigating Censors of the 13 circuits were collectively known as the Supervising Secretaries and Censors (Kedao Guan, 科道官). They differed in that the Supervising Secretary stressed righting wrongs and reducing mistakes, while the Investigating Censor laid emphasis on uncovering and dealing with illegal activities. Apart from the two censorial systems, the Chief Surveillance Bureau and the Six Offices of Scrutiny, Ming also perpetuated the practice of the Wei and Jin period, spying on and checking officials and weaving a web of secret agents. In early Ming, the Inspecting Censor (Jianjiao Guan, 检校官) was installed to expose unjust and illegal things done by bureaucrats in the capital. In 1382, Emperor Hongwu instituted the Imperial Bodyguards (Jinyiwei, 锦衣卫) directed by the Chief Military Commissioner (Du Zhihui Shi, 都指挥使). Then two eunuch agencies were established, the Eastern Depot (Dongchang, 东厂) by Emperor Yongle in 1420 and the Western Depot later by Emperor Xianzong, each of which was managed by a Military Commander. The bodyguards and the two depots also carried out surveillance over officialdom, but in a more strict fashion. The Qing censorial system was structured like that of Ming and made the Chief Surveillance Bureau the supreme censorial body empire-wide, and it was characteristically directed by the Left Censor-in-chief with the assistance of the Vice Left Censor-in-chief, each post filled by two Manchus and two Chinese. The Right Censor-in-chief was an honorary title for the Viceroy and the Vice Right Censor-in-chief was for the Grand Coordinator, Viceroy of the Grand Canal (Hedao Zongdu, 河道总督) and Viceroy of Grain Transport (Caoyun Zongdu, 漕运总督). Under the Chief Surveillance Bureau, there were Investigating Censors for the 15 circuits, Supervising Secretaries of the Six Offices of Scrutiny, Investigation Bureaus of the Five Wards (Wucheng Chayuan, 五城察院), the Censorate for the Imperial Clan (Zongshi Yushi Chu, 宗室御史处), and the Censorate for the Imperial

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Household (Jicha Neiwufu Yushi Chu, 稽查内务府御史处), which was different from the Ming dynasty. The 15 circuits were provincial inspection areas an in each circuit, there was one Manchu and one Chinese Seal-holding Investigating Censor (Zhangyin Jiancha Yushi, 掌印监察御史) and an indefinite number of Manchu and Chinese Investigating Censors from one to three. In 1749 under the rule of Emperor Qianglong, it was an explicit stipulation that all circuits, besides administering legal affairs of the province, were also in charge of inspecting and supervising Yamens30 (Yamen, 衙门) of all ministries and courts of the central government. For example, the Shandong Circuit “was also responsible for investigating the Ministry of Justice, Imperial Academy of Medicine and Grand Canal of Viceroys, as well as official correspondence about arresting of the thieves of the Five Wards”. All Yamens of ministries and courts in the central government were subject to inspection of Investigating Censors. In early Qing, the Supervising Secretaries of the Six Offices of Scrutiny, a replica of those in Ming, constituted an independent censorial organ. However, in 1723 when Emperor Yongzheng came to the throne, they were turned over to the Chief Surveillance Bureau. Each Office of Scrutiny was staffed with one Manchu and one Chinese Seal-holding Supervising Secretary (Zhangyin Jishizhong, 掌印给 事中), one Manchu and one Chinese Supervising Secretaries. They were in charge of monitoring the flow of documents to and from the throne and “vetoing” any document, whatever its origin that they deemed improper either in style and form or in substance. The power to supervise the Six Ministries thus fell into the hands of circuit Investigating Censors. The Investigation Bureaus of the Five Wards were agencies inspecting the Metropolitan Areas. The Five Wards collectively referred to the Central, Eastern, Western, Southern and Northern police-administration districts, each provided with a Yamen called Investigation Bureau. The bureau was headed by the Ward-inspecting Censor (Xuncheng Yushi, 巡城御史) which was a one-year duty assignment for Supervising Secretaries and Censors. The Censorate for the Imperial Clan was also named “Inspection Yamen for the Imperial Clan” (Jicha Zongrenfu Yamen, 稽查宗人府衙门) directed concurrently by two Censors for the Imperial Clan (Zongshi Yushi, 宗室御史) from the 15 circuits, one for seal ———————————— 30 Yamen is a Chinese-specific word referring to the headquarters or office of the head of an agency.

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holding and one for assistance, specialized in investigating affairs of the Court of the Imperial Clan. The Censorate for the Imperial Household, also known as “the Inspection Yamen for the Imperial Household” (Jicha Neiwufu Yushi Yamen, 稽察内务府御史衙 门), was initially headed by four Censors and later by the Vice Director of the Shaanxi Circuit (Xieli Shaanxi Dao, 协理陕西道) and the Manchu Censor for the Guizhou Circuit (Guizhou Dao Man Yushi, 贵州道满御史), and was specifically responsible for inspecting the Court of the Imperial Household. The supervision of local officials was carried out by the Investigating Censors of the 15 circuits, as well as the Viceroy and Concurrent Right Censor-in-chief, Grand Coordinator and Concurrent Vice Left Censor-in-chief, and Judicial Commissioner cited in the last chapter.

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Chapter 7

Chapter 7

The Military System Long before the first steps towards China becoming a unified state, the clan-based tribe had been, to a large extent, organized along military lines. Using force, some chieftains built up kingship and used military alliances with other tribes to retain power. The use of force and kingship, then, were tightly coupled from the very beginning. Therefore, in the Xia and Shang Dynasties, sacrifices and armed expeditions were very important to state governance. As dynasties developed and evolved, the military system was made increasingly important and complicated. This chapter, while focused on introducing the military ranks and officials, will also touch upon some military institutions. There are three parts to follow.

1. Commanding institutions and military establishment Issues over establishing a military and associated command structure had arisen ever since the founding of the Xia Empire and with the strengthening of kingship and imperial power, these issues only became more important. Judging from the available literature, there had been troops in the Xia Dynasty, but they were temporarily organized with the Army (Zu, 族) as the basic unit. The supreme commander was the King of Xia assisted by six function-specific appointees, but the armed forces were somewhat fragmented and institutionalized at that time. For example, the chariot-riding class was categorized into Left, Right and Royal (Yu, 御) and during Shang, the King was the supreme commander and the troops were hierarchically divided into Regiment (Shi, 师), Army (Zu, 族), Superior March (Daxing, 大行) or Royal March (Wangxing, 王行) and March (Xing, 行), with each further segmented into Left, Center and Right. The Preceptor (Shi, 师) was ranked quite high

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among military posts and enjoyed a high prestige, and this post was assumed by the King of Shang or his kinsmen, addressed as Palace Preceptor (Shishi, 师 氏), Superior Preceptor (Dashi, 大师) or Junior Preceptor (Shaoshi, 少师). The regiment in the feud was named after the surname of the feudal lord, such as Regiment Que (雀师), Regiment Wu (吴师), so was the Marquise, like Marquise Que (雀侯) and Marquise Quan (犬侯). The chariot was the main strength of the army, so military posts were named accordingly-the commanding officer was called “Horse Commander” (Maya, 马亚) and his subordinates Horse Servants (Ma Xiaochen, 马小臣). In Western Zhou as the armed forces were strengthened, military command and administration became more established and institutionalized. At that time, stationed in the capital were the “Six Regiments of Zhou” (Zhou Liushi, 周六师) and in Chengzhou (modern-day Luoyang, Henan), east of the capital, were the “Eight Regiments of Yin” (Yin Bashi, 殷八师) restructured out of the Shang armed forces. As the supreme commander of the empire-wide troops, the King of Zhou directed and maneuvered troops of the capital and of all feuds. The administrative dignitaries like the Grand Preceptor and Grand Guardian were the highest commanders below the King and ministers and servicemen were also ordered to command troops quite often. During war when an expedition was mounted, the troops were customarily divided into the Left, Central and Right Armies and the King would command the Central Army and direct the three armies in general. Ordinarily, however, the Minister of War functioned as the supreme commanding officer, whose immediate subordinates included the Preceptor (Shi, 师 ), Palace Preceptor, Horse Trainer (Zouma, 走 马 ), Royal Guardsman (Huchen, 虎臣), and Royal Marcher. The military formation was described in Summer Officials, Minister of War, the Rites of Zhou as follows, “five men, presumably chosen from the five families in a neighborhood, made a Squad (Wu, 伍) led by a head, five Squads made a Platoon (Liang, 两) headed by two Ministers of War ranked as Ordinary Servicemen (Zhongshi, 中士), four Platoons made a Company (Zu, 卒) headed by a Upper Serviceman, five Companies made a Battalion (Lv, 旅) headed by a Lower Grand Master, five Battalions made a Regiment (Shi, 师) of 2,500 men headed by a Regimental Commander ranked as Ordinary Grand Master.” During the turbulent Spring and Autumn and Warring States periods when

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all leading powers were seeking hegemony, the King of Zhou gradually lost his control over the empire-wide armed forces. As a result, some feudal lords, in the name of the King, began to deploy and command armies of other feuds. Jin instituted the Upper, Central and Lower Armies to rival the royal regiment. The commanders of the three armies were nominated by the sovereign and called General of the Upper Army (Jiang Shangjun, 将上军), General of the Central Army (Jiang Zhongjun, 将中军) and General of the Lower Army (Jiang Xiajun, 将下军) respectively. The General of the Central Army was also known as the Marshal (Yuanshuai, 元帅), namely the so-called Marshal of the Central Army (Zhongjun Yuanshuai, 中 军 元 帅 ), which was probably where military posts originated. In the State of Qi, Guan Zhong (管仲) reorganized the troops, when the Guo and Gao Families led the Left and Right Armies respectively, and Duke Huan of Qi headed the Central Army. The civil posts and the military posts were not separated and the policy-making body took care of both civil and military administration. Those out of the court were called Generals and those in the court, Ministers and all Generals concurrently took part in state governance. Previously the Minister of War was in charge of military supplies and administration, but then the military leadership fell into the hands of feudal lords and dignitaries. In addition, the Minister of War was titled differently and performed different functions from state to state. In the State of Chu, the Minister of War was combined with the powers of the Director (Lingyin, 令尹) as the supreme military officer, holding command at times of war. In Jin, the Minister of War was in charge of the military law, inferior to the Generals of the three armies, and the military administration was handled by the Military Defender (Junwei, 军尉), also known as Military Grand Master (Jun Dafu, 军大夫). The military establishment copied the Western Zhou system by and large, but it was not the same in all states. For instance, in the State of Qi, there was no Regiment, but there were Battalions, Companies, Mini Armies (Xiaorong, 小戎) and Squads in a descending order of size, respectively headed by Battalion Commander (Liangren, 良人), Company Commander (Liangzhang, 连长), Mini Army Commander (Li You Si, 里有司) and Squad Head (Guizhang, 轨长). During the Warring States Period, the larger-scaled and longer-lasting wars impelled the vassal states to build their own standing armies. As a result, the civil posts were distinguished from the military, when only the General was entitled to military administration as the army director. More prestigious than the General were the General-in-chief (Da Jiangjun, 大将军) ~132~

and the Generalissimo (Shang Jiangjun, 上将军), the equal of the Marshal in the State of Qi. The appointments of the General-in-chief and the Generalissimo were made by the sovereign in person who conferred them the seal and the tally, sometimes even through a grand General (Marshal) appointment ceremony. In the States of Qin and Zhao, the State Defender (Guowei, 国尉) was responsible for military administration, which later evolved into the Defender-in-chief (Taiwei, 太 尉 ). The troops of Qin were organized into Corpses (Xiao, 校 ), Divisions (Bu, 部), Regiments (Qu, 曲), Companies (Guan, 官), Platoons (Dui, 队), Squads (Huo, 火) and Fire-teams (Lie, 列). The commanding officers were, in sequence, the Commandant (Xiaowei, 校尉), Divisional Commander (Bu Sima, 部司马), Regimental Supervisor (Quhou, 曲候), Company Chief (Guanzhang, 官 长), Platoon Head (Duitou, 队头), Squad Leader (Huozi, 火子) and Fireteam Head (Lietou, 列头). Into the Qin-Han era which saw intensifying power centralization, the Emperor maintained a tight grip on the military commanding authority. As the civil and military posts were differentiated during the Warring States Period, the Emperor, while restraining the Chancellor from gaining more influence, was on closer guard against military officers. Thus, all high-ranking military officials were subject to the appointment and scrutiny of the Emperor, and all military transfers, however insignificant, could only be conducted upon the order of the Emperor. During the Qin-Han period, the Defender-in-chief, as one of the Three Dukes, was the supreme officer in the empire-wide military administration. Yet, from Qin to the rule of Emperor Wudi of Han, the post was not instituted often. During the reign of Emperor Wu, it was replaced by the Grand Minister of War but revived in Eastern Han. From Emperor Wu on, command of the military was gradually taken by the General-in-chief, the Cavalry General (Biaoqi Jiangjun, 骠 骑将军) (who was next only to the General-in-chief), and later the Chariot and Horse General (Cheqi Jiangjun, 车骑将军). The three generals were all awarded the honorary title of Grand Minister of War to highlight their status. When Emperor Wen was on the throne, the General of the Guards (Wei Jiangjun, 卫将 军) was designated to lead the Southern and Northern Armies. Under the General of the Guards were the Left, Right, Front and Back Generals, just as in the Qin Dynasty. The General-in-chief and the Left, Right, Front and Back

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Generals were Major Generals (Zhonghao Jiangjun, 重号将军) who were obliged to attend court conferences and decide on important military matters. Aside from Major Generals, there were innumerable and miscellaneous Minor Generals (Zahao Jiangjun, 杂号将军), General of Courageous Guards (Xiaoqi Jiangjun, 骁骑将军), Protector-general (Hujun Jiangjun, 护军将军), General of Light Chariots (Qingche Jiangjun, 轻车将军), and General of Construction (Caiguan Jiangjun, 材官将军), to name just a few. The Minor Generals were assigned on temporary duty; once the battle was over, they would be stripped of their titles. The General could have his own office and instate his own subordinates like Aide (Zhangshi, 长史), Assistant (Sima, 司马) and Adjutant for Service (Congshi Zhonglang, 从事中郎). The armed forces under the General, cited in Part 1, Records of Officials, the Later Book of Han, were organized into Divisions (Bu, 部), Regiments (Qu, 曲) and Companies (Tun, 屯) in a descending order of size. The General-in-chief directed five Divisions, each led by a Commandant (Xiaowei, 校尉), of salary rank equivalent to 2,000 bushels (Bi Erqian Dan, 比二千石), and a Divisional Commander (Jun Sima, 军司马), of salary rank equivalent to 1,000 bushels. Below the Division level was the Regiment that was headed by a Regimental Supervisor (Quhou, 曲侯), of salary rank equivalent to 600 bushels. Then it came to the Company led by a Company Chief (Tunzhang, 屯长), of salary rank equivalent 200 bushels. There was no Department of Commandants (Xiaowei Bu, 校尉部), but a Divisional Commander with Acting Divisional Commanders (Junjia Sima, 军假司马) and Acting Supervisors (Jiahou, 假 侯) as aides. In the Era of the North-South Division, the ongoing political disunion and cultural turbulence resulted in a sophisticated military system. Generally speaking, the supreme military administrative agency—the Section of the Five Troops (or Seven Troops) (Wubing Cao, 五兵曹 or Qibing Cao, 七兵曹) of the Imperial Secretariat took over the service of the Defender-in-chief. The section was not formalized as Ministry of War until the Sui-Tang age. However, the Minister of War, General-in-chief and Generals of various sorts did not lead the troops, but were reduced to honorary titles for senior prefectural or commandery officials. It was the Commander-in-chief for All State Military Affairs (Dudu Zhongwai Zhu Junshi, 都督中外诸军事), locally the Commander-in-chief for All Prefectural Military Affairs (Dudu Zhuzhou Junshi, 都督诸州军事) that exercised the military administrative and commanding power. If a troop leader was awarded honorary titles like

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“Commissioner of a Golden Axe” (Jia Huangyue, 假黄钺), “Commissioner of Extraordinary Powers” (Shi Chijie, 使持节), “Commissioner of Special Powers” (Chijie, 持节) and “Commissioner of a Warrant” (Jiajie, 假节), he enjoyed particularly great power. During this period, Western Wei and Northern Zhou established the Garrison Militia system (Fubing Zhi, 府兵制) whilst the non-Chinese dynasties of the North generally used their own and allied tribesmen as permanent, hereditary soldiers. In Western Wei, Yuwen Tai (宇文泰), as the Commander-in-chief for All State Military Affairs, proclaimed himself as the paramount general, and assigned each of the six Pillar of State and Generals-in-chief (Zhuguo Dajiangjun, 柱国大将军) to supervise two Generals-in-chief, so there were 12 Generals-in-chief in total. Every General-in-chief governed two Area Commands (Kaifu, 开府), so there were 24 Area Commands and each Area Command was headed by two Directors (Yitong, 仪同), so there were 48 Directors. Each Director led 1,000 soldiers, making a total number of 480,000 garrison militiamen. The Northern Zhou government divided the state into 100 Commandant-led (Langjiang, 郎将) garrisons (Fu, 府) among 24 armies. Sui and Tang installed no permanent military officers, so that military appointees had no opportunity to secure great power. If a war broke out, the Emperor would assign Generals of the 12 Guards of the Imperial Armies (Jinjun Shi’er Wei, 禁军十 二卫) to call up garrison militiamen for expeditions, only on temporary basis. The supreme general was a Marshal or an Army Marshal (Xingjun Yuanshuai, 行军元 帅), reserved only for the Crown Prince or Imperial Princes. The Vice-Marshal was filled by a prestigious dignitary. In early Tang, the 12 Guards led over 650 Army Garrisons (Bingfu, 兵府, or Huchong Fu, 护冲府). The Army Garrison was classified into three ranks with the upper garrison leading 1,200 men, the ordinary 1,000 and the lower 800. Staffed with an Assault-resisting Commandant (Zhechong Duwei, 折冲都尉) as the head, Left and Right Courageous Commandants (Guoyi Duwei, 果毅都尉), an aide, an appointee of the Military Service Section (Bingcao, 兵曹), an Adjunct Commandant (Biejiang, 别将) and 6 Commandants, each army garrison was organized into four to six 300-men Regiments (Tuan, 团 ) headed by the Commandant, 100-men Battalions (Lv, 旅 ) led by the Battalion Commander (Lvshuai, 旅 帅), 50-men

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Companies (Dui, 队) by the Company Head (Duizheng, 队正), and 10-men Squads (Huo, 火) by the Squad Head (Huozhang, 火长). Into the Mid-Tang times, titles like Inspector of the Armies (Guan Junrong Xuanwei Chuzhi Shi, 观军容宣慰处置使) emerged, as eunuchs gradually wrested the military power. Zhao Kuangyi (赵匡胤) staged the famous Chenqiao Coup and established the Northern Song regime as Emperor Taizu. In order to prevent the history from repeating, Emperors of Song kept a firm hand on the military and, after a series of institutional reforms like “retrieving the military power from generals in banquets” in Northern Song, the Imperial Armies concentrated elite troops, and the Emperor was in possession of all power over them. Troop drilling, instituting, stationing and the like were all taken care of the Emperor himself. Meanwhile, the military administration was divorced from the government system and the Palace Secretariat declared itself the supreme military agency, while the Secretariat in the government system held accountable for civil administration. These two were collectively known as “the Two Administrations” (Erfu, 二府), and the tradition that the Palace Secretariat held the military power was perpetuated by the Jin and Yuan regimes thereafter. The Palace Secretariat was normally headed by a civil official instead of a military officer and, moreover, soldiers had no fixed generals and generals rotated from regiment to regiment, so that soldiers would not get attached to them. If a special campaign required a general, the Emperor would dispatch one for temporary duties. The operational policy and the battle formation were decided upon by the Emperor, and generals were not authorized to use their initiative during operations. Thirdly, the generals of the Three Commands 31 (Sanya, 三衙) were prohibited from interfering in state governance and commanding troops, and were mainly responsible for only managing and drilling the Imperial Armies. The military forces were roughly divided into Prefectures (Xiang, 厢), Armies (Jun, 军), Regiments (Ying, 营) and Troops (Du, 都). Each Prefecture was headed by a Commander-in-chief (Du Zhihuishi, 都指挥使), also called Prefecture Lord (Xiangzhu, 厢主). Each Army was led by a Commander-in-chief ———————————— 31 The Three Commands was a collective reference to the Palace Command (Dianqian Shiwei Si, 殿前侍卫司), the Metropolitan Cavalry Command (Shiwei Majun Si, 侍卫马军司), and the Metropolitan Infantry Command (Shiwei Bujun Si, 侍卫步军司).

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too, also known as Army Lord, who was assisted by an Inspector-in-chief (Du Yuhou, 都虞侯). The Regiment was directed by a Commander-in-chief and a Vice Commanders-in-chief. The Troops were classified into Calvary (Majun, 马军) and Infantry (Bujun, 步军). The Calvary was headed by a Military Commander (Junshi, 军使) and a Vice Commander (Fu Bingmashi, 副兵马使) and the Infantry by a Troop Commandant (Dutou, 都头) and a Vice Troop Commandant (Fu Dutou, 副都头). As regards the number of soldiers in each unit, 100 men constituted a Troop, 5 Troops a Regiment, 5 Regiments an Army and 10 Armies a Prefecture, but it was not always the case in practice. In Southern Song, the military forces were divided into Armies (Jun, 军), Areas (Jiang, 将), Divisions (Bu, 部) and Companies (Dui, 队). The Army was led by the Commander-general (Tongzhi, 统 制) and Director-general (Tongling, 统领). The generals were categorized into General (Zhengjiang, 正将), Vice General (Fujiang, 副将), and Reserve General (Zhunbei Jiang, 准备将). The Division was directed by a Division Commander (Bujiang, 部将) and the Company by a Company Manager (Yongdui, 拥队, or Yadui, 押队, or Qitou, 旗头). The military establishment of Yuan and Jin was along tribal lines. The Battalion (Jurchen-Chinese: Meng’an, 猛安) and Company (Jurchen-Chinese: Mouke, 谋克) were both administrative and military units of the Jurchen regime. The Company comprised 300 households and the Battalion consisted of 10 Companies. Meng’an and Mouke also referred to military officers. The former corresponded to a Company Commander (Baihu Zhang, 百户长) in Chinese, and the later to a Battalion Commander (Qianhuzhang, 千户长). Superior to Meng’an was the Military Commander (Junshuai, 军帅) controlled by the Brigade Commander (Wanhu, 万户) who was further directed by the Campaign Commander (Dutong, 都统) and the Chief Military Commander (Du Yuanshuai, 都元帅) was the general director. In the Yuan Empire, the Squad (Pai, 牌) was the basic unit of Mongol military organization, consisting normally of 10 soldiers under a Squad Commander (Paitou, 牌头). Above the Squad were the Company (Baihu, 百户), Battalion (Qianhu, 千户) and Brigade (Wanhu, 万户). The Brigade Command (Wanhu Fu, 万户府) was the local supreme garrison organ. From Squad to Brigade, all military commanders were hereditary. In Later Jin, the Palace Secretariat was made the Marshal Headquarter (Yuanshuai Fu, 元帅府) during war, but when the war was over, it went back to being the Palace Secretariat. For this reason, the Branch Palace

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Secretariat (Xing Shumiyuan, 行枢密院) was sometimes introduced. Yuan carried forward the system of Jin, but only partly, when the Palace Secretariat had the power to control and mobilize troops. The post of Palace Secretary or Marshal was customarily filled by the Crown Prince or Imperial Princes and during war, it was the Branch Palace Secretariat that administered all military matters within its jurisdiction. Power centralization culminated during the Ming and Qing Dynasties, so the military system was more rigorous than any other previous dynasties. As a result, no general had the nerve to meddle in state affairs. After Emperor Taizu of Ming abolished the post of Chancellor, he elevated the Six Ministries to a higher rank. The Ministry of War, made the highest institution for military administration, was charged with the tasks of selecting and assigning military officials and guards. In the meantime, the Chief Military Command (Da Dudufu, 大都督府) was reorganized into Five Chief Military Commands, prefixed Front, Rear, Central, Left and Right. Each led Military Commissions (Dusi, 都司) and Guards (Weisuo, 卫所) within its jurisdiction. Each Military Commission had a staff of Left and Right Commanders-in-chief, Vice Commanders-in-chief (Dudu Tongzhi, 都督同知), and Assistant Commanders-in-chief (Dudu Qianshi, 都督佥事). The administrative body was the Registry (Jingli Si, 经历司). However, the Military of War and the Five Chief Military Commands were not in a superior-subordinate relationship. The Military of War had the order-issuing power, but no troop-leading authority and vice-versa for the Five Chief Military Commands. If a war was about to occur, the Ministry of War would request that the Emperor delegate such-and-such Commander-in-chief of such-and-such Military Commission to lead a campaign and transfer soldiers of Military Commissions and Guards of other Military Commands as back up. After the campaign, the Commander-in-chief returned to his Military Command and soldiers to their Guards. The basic garrison unit was Guard (Wei, 卫), headed by a Guard Commander (Zhihui Shi, 指挥使). In theory, each Guard consisted of 5,600 soldiers and a Guard normally had 5 Battalions (Qianhu Suo, 千户所) under the control of the Battalion Commander (Qianhu, 千 户 ), each divided into 10 Companies (Baihu Suo, 百 户 所 ) with the head of Company Commander (Baihu, 百户). Below the Company level, there were two Platoon Commanders (Zongqi, 总旗), under whom were 5 Squad Commanders (Xiaoqi, 小旗). The Guards in the Metropolitan area were directly under the ~138~

jurisdiction of the Five Chief Military Commands and the regional Guards were governed by provincial Commanders-in-chief. In the Qing era after Emperor Yongzheng ascended to the throne, all military affairs were handled by the Council of State. Consequently, the Ministry of War merely took charge of registering the Green Standards Army (Lvying Jun, 绿营军), promoting and transferring military officials. Moreover, there was no longer the supreme military commander and its related agency in this era. Before Emperor Qianlong was enthroned, it was, under most circumstances, the Emperor himself who commanded armed forces but thereafter, the Council of State took the role upon the edict of the Emperor. The military establishment was made up by two systems, the Green Standards and the Eight Banners. The Banners were originally Manchu tribal groups and there were Manchu Banners, Mongol Banners and Chinese Banners. The Green Standards Army was established by Chinese soldiers and named after its green flag. It was classified into Command (Biao, 标), Inferior Command (Xie, 协) and Brigade (Ying, 营) and Company (Xun, 汛). A Command was supervised by a Military Command (Tidu, 提督) or a Regional Commander (Zongbing, 总 兵 ), in some cases by Viceroy, Grand Coordinator or General concurrently, known as Command Viceroy (Dubiao, 督标), Command Coordinator (Fubiao, 抚标) or Command General (Junbiao, 军标). The Inferior Command was directed by a Vice General, the Brigade by Assistant Regional Commander (Canjiang, 参将), Brigade Commander (Youji, 游击), and Commandant (Shoubei, 守 备), and the Company by the Company Commander (Qianzong, 千总), Squad Leader (Bazong, 把总), and Detached Company Leader (Waiwei, 外委).

2. Establishment of the Imperial Armies Since the army was brought into being, a particular system gradually took shape in the form of the guard system for the sovereign, known as the Imperial Armies in all dynasties. The Imperial Armies were initially developed out of attendance guards. It’s said in the Lower Right Series, Outer Congeries of Sayings that “Qi joined hands with his partisans to attack Yi and robbed him of the rule over All-under-Heaven”. The partisans were followers of Qi, probably his family members or kinsmen. In the Shang Dynasty, there had been corps of capable royal bodyguards led by the ~139~

Commander (Ya, 亚), which went on campaigns and after the death of the King of Shang, some of the bodyguards were even buried alive with him. In Western Zhou, the royal guards proliferated to approximately 3,000 men, constituting Royal Guardsmen (Hupen, 虎贲) or Junior Battalion (Yalv, 亚旅), who were drilled and directed by the Palace Master (Shishi, 师氏). In addition, there was another sort of palace guards consisting of Eastern War Prisoners (Yili, 夷隶) and both, as palace armed forces went on armed expeditions at times. During the Spring and Autumn and Warring States Periods, Feudal Lords and Grand Masters expanded their personal guards or increased their partisans. The Officer of the Imperial Guards (Huanlie Zhiyin, 环列之尹) in the State of Chu during the Spring and Autumn period and the Court Attendants (Langyin, 郎尹) during the Warring States period were both in charge of guarding the palace for the King of Chu. The Pillar of State (Zhuguo, 柱国) or Upper Pillar of State (Shang Zhuguo, 上柱国) of Chu and Commandant-in-ordinary (Zhongwei, 中尉) of Qin were senior military appointees protecting the capital. Qin and Han had the Metropolitan Army (Jingshi Jun, 京师军) as the Imperial Bodyguard which comprised the guard forces for the Emperor and the garrison forces for the Metropolitan Area. In the Han Empire, the guard forces for the Emperor were stationed at the Weiyang Palace (未央宫) south of Chang’an and defended the palace proper, known as the Southern Army (Nanjun, 南军) while the garrison forces for the Metropolitan Area policed the capital city in the north of Chang’an called, therefore, the Northern Army (Beijun, 北军). The Southern Army had two contingents. One contingent, commanded by the Chamberlain for Attendants (Langzhong Ling, 郎中令 or Guanglu Xun, 光禄勋), were the Emperor’s personal guard consisting of military officers called Court Guards (Langwei, 郎卫), responsible for monitoring activities in the public part of the palace and for protecting the Emperor when he went out of the palace. The other troop, led by the Chamberlain for the Palace Garrison (Weiwei, 卫尉), was a corps of patrolling Guardsmen (Weishi, 卫士). The Northern Army, on the other hand, was directed by the Chamberlain for the Imperial Insignia (Zhijinwu, 执金吾) who defended the capital and the jurisdiction of the Three Guardians (Sanfu, 三辅). During the reign of Emperor Wen of Han, the General of the Guards (Wei Jiangjun, 卫将军) was instituted to lead the Southern and Northern Armies. In a bid to strengthen

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the guard forces for the Metropolitan Area, Emperor Wu added 1,000 Gate Guardsmen (Qimen Jun, 期门军) to the Southern Army to function as his retinues. Then he further installed the Army of the Palace Guards (Yulin Jun, 羽林军) and Orphans of the Palace Guard Cavalry (Yulin Gu’er, 羽林孤儿) for more than 2,000 men to police and defend the imperial palace and its immediate environs. In addition to the Northern Army, eight Commandants were instated, specifically, of the Capital Garrison (Zhonglei, 中垒), of Garrison Cavalry (Tunqi, 屯骑), of the Infantry (Bubing, 步兵), of the Elite Cavalry (Yueqi, 越骑), of Chang River Regiment (Changshui, 长水), of the Northern Barbarian Cavalry (Huqi, 胡骑), of the Shooters at Sounds (Shesheng, 射声) and of the Guards Brave as Tigers (Huben, 虎贲). Each commandant directed an indefinite number of soldiers, from hundreds to thousands. Thereafter, the Three Defenders of the Metropolitan Area (Sanfu Duwei, 三辅都尉), including the Defender of the Capital (Jingfu Duwei, 京辅都尉), Left Defender of the Capital (Zuofu Duwei, 左辅都尉) and Right Defender of the Capital (Youfu Duwei, 右辅都尉), as well as the Commandant of the Capital Gate (Chengmen Xiaowei, 城门校尉) were further installed. Eastern Han perpetuated the system of Southern and Northern Armies in form, but the Southern Army existed only nominally. The palace guard also had two contingents. One was commanded by the Chamberlain for Attendants with the Leader of Court Gentlemen Brave as Tigers (Huben Zhonglangjiang, 虎贲中郎将) and the Leader of Court Gentlemen for the Palace Guards (Yulin Zhonglangjiang, 羽林中郎将) as aides-de-camp and the Left and Right Supervisors of the Palace Guards (Yulin Jian, 羽林监) and the Right Cavalry of the Palace Guards (Yulin Youqi, 羽林右骑) as guard attendants. The other contingent was directed by the Chamberlain for the Palace Garrison whose subordinates included the Director of Guardsmen in the Southern Palace (Nangong Weishi Ling, 南宫卫士令), the Director of Guardsmen in the Northern Palace (Beigong Weishi Ling, 北宫卫士令), the Left and Right Captains of the Capital (Duhou, 都侯) and the Seven Commanders of the Palace Gates (Gongmen Sima, 宫门司马) to keep the palace gates and patrol the palace proper. As for the Northern Army, one troop was under the control of the Chamberlain for the Palace Garrison, consisting of soldiers of the Chamberlain for the Imperial Insignia (Tiqi, 缇骑) (cavalry) and halberdiers (Zhiji, 执戟) (Infantry), functioning as the Emperor’s guard. The other troop constituted the main strength of the Northern Army, led by five Commandants, of Garrison Cavalry, of the Infantry, of the Elite Cavalry, of Chang River Regiment, and of the Shooters at ~141~

Sounds, garrisoning in Luoyang, the capital and its environs and superintended by the Watch Officer (Zhonghou, 中侯). When Emperor Ling was on the throne, there were Eight Commandants of the West Garden (Xiyuan Ba Xiaowei, 西园八校 尉) under the de facto control of eunuchs, and the Emperor held the commanding power in name only. By the end of Eastern Han, Cao Cao designated his personal guards as the Commandants (Lingjun, 领军) in his Chancellor Establishment. The practice was maintained in the Cao-Wei Dynasty, but the Commandant was renamed the Capital Commandant (Zhong Lingjun, 中领军) afterwards and the veteran guards were called Generals of the Palace Guard (Lingjun Jiangjun, 领军将军). In Western Jin, the Imperial Armies were in a massive number and systems like Six Armies (LiuJun, 六军), Four Armies (Sijun, 四军), Five Commandants (Wuxiao, 五校), Two Guards (Erwei, 二卫), and so on, emerged one after another. The so-called Six Armies encompassed the Commandant, Military Protector (Hujun, 护军), Left Guard (Zuowei, 左卫), Right Guard (Youwei, 右卫), Imperial Guard (Xiaoqi, 骁骑) and Brigade Commander (Youji, 游击), each led by a General. Among them, the Left and Right Guards were the most outstanding. The Military Protector, like the Commandant, was titled in different ways. Those with experience were called Generals while the less experienced were referred to as Capital Protectors (Zhong Hujun, 中护军). The Four Armies were the Left, Right, Front and Rear Armies, each under the command of a General. The Five Commandants copied those of Eastern Han. In the Two Guards system, the Commanders of the Vanguard (Qianqu, 前驱), Archer (Youji, 由基) and Bowmen (Qiangnu, 强弩) Troops, as well as the General of the Left Guard (Xiongqu Wupen, 熊渠武贲) and General of the Right Guard (Cifei Wupen, 佽飞武贲) made up the main force in defending the palace. Meanwhile, there were also Generals of the Palace (Dianzhong Jiangjun, 殿中将军) controlling guards in the palace. In Eastern Jin, the Imperial Armies diminished considerably, so the Military Protectors were as a consequence incorporated into the group of Commandants. Most of the Southern Dynasties followed the practice of Eastern Jin. After Northern Wei relocated its capital at Luoyang, the guardsmen made of Xianbei (鲜卑, an ancient nationality in China) warriors totaled at 150,000, called the Palace Guards or the Guards Brave as Tigers and the Left and Right Guards, and Left and Right Militant Generals (Wuwei Jiangjun, 武卫将军) were in command of them, but were, in turn, under

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the command of the General of the Palace Guard. The palace guard of Northern Qi was reputed as the Unrivaled Xianbei (Baibao Xianbei, 百保鲜卑). In Northern Zhou, it was however the Pillar of State and General-in-chief who commanded the Imperial Armies. Sui modeled its system after the system of the Northern Dynasties, setting up the Twelve Guards to command the Imperial Armies and instituting the Garrison Militia system in the local areas. In early Tang, there was an army called the Imperial Army of Original Followers (Yuancong Jinjun, 元从禁军), a designation for those soldiers who participated in the 617 uprising waged by Li Yuan, the founder of Tang, against the Sui Dynasty. Later Emperor Taizong, striving to regulate and expand the Garrison Militia, divided the Imperial Armies into the Southern Command (Nanya, 南衙) and the Northern Command (Beiya, 北 衙). The Southern Command was constituted by garrison militiamen while the Northern Command by mercenary recruits (Mubing, 募兵). The Southern and Northern Commands guarded the palace alternately but contained each other, so no dignitary had the power to direct the armies of the Southern and Northern Commands simultaneously. The garrison militiamen, like in the Sui Dynasty, were commanded by the Twelve Guards that included the Left and Right Guards, Left and Right Commandants of Courageous Guards (Xiaowei, 骁卫), Left and Right Militant Guards (Wuwei, 武卫), Left and Right Awesome Guards (Weiwei, 威卫), Left and Right Metropolitan Guards (Lingjun Wei, 领军卫), and Left and Right Imperial Insignia Guards (Jinwu Wei, 金吾卫). These Guards were divided into inner and outer garrisons to lead garrison militiamen. The inner garrison was called the Commandant Garrison (Zhonglangjiang Fu, 中郎将府) which was famous for the Three Guards, namely, Palace Guard (Qinwei, 亲卫), Meritorious Guard (Xunwei, 勋卫) and Standby Guard (Yiwei, 翊卫). The outer garrison was known as the Assault-resisting Garrison (Zhechong Fu, 折冲府), prefixed the name of the place. There were another four guards, the Left and Right Palace Gate Guards (Jianmen Wei, 监门卫) and Left and Right Personal Guards (Qianniu Wei, 千牛卫), yet they commanded guards of all gates and Saber-armed guards (Zhidao Suwei, 执刀宿卫), rather than garrison militiamen. The above-mentioned Guards numbered up to sixteen guards and each Guard was governed by a General-in-chief and two Generals. At ordinary times, they were responsible for arranging militiamen to perform the guarding duty and protecting the Emperor,

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but if a war was to take place, they would, upon the instruction of the Emperor, call up militiamen of all garrisons to go to battle. Each Guard had administrative and logistical support agencies largely headed by civil service officials like Administrative Aide (Zhangshi, 长史), Administrative Supervisor (Lushi Canjun, 录 事参军), Administrators (Canjun, 参军) of Four Sections, specifically, for Granaries, for Arms, for Cavalry and for Helmets, as well as Officers of the Four Categories (Sise Guan, 四色官), namely, Guard of the Staircase (Sijie, 司阶), Watch Officer (Zhonghou, 中侯), Manager of Lances (Sige, 司戈) and Halberdier (Zhiji, 执戟). The Mercenary Recruits initially constituted the Armies of the Palace Guards, differentiated as being of the left and the right. During Emperor Xuanzong’s reign, he added the Left and Right Militant as Dragons Armies (Longwu Jun, 龙武军) and later, Emperor Suzong installed the Left and Right Armies of Inspired Militancy (Shenwu Jun, 神 武 军 ). Thereafter, the Left and Right Armies of Inspired Strategy (Shence Jun, 神策军) and the Left and Right Armies of Inspired Awesomeness (Shenwei Jun, 神威军) were further instituted. All these made up the so-called Ten Imperial Armies of the Northern Command (Beiya Shijun, 北衙 十军). Each army was staffed roughly the same with the Guard, at least with General-in-chief and General. After the Anshi Rebellion, the Armies of Inspired Strategy were the most powerful of all. However, the Garrison Militia system collapsed, so that the guards of the Southern Command had only nominal existence, and General, General-in-chief and the newly-instituted Generalissimo became titles simply for promoted officials or to honor meritorious officials. Meanwhile, the Armies of Inspired Strategy fell into the hands of eunuchs. During the reign of Emperor Dezong, the Armies of Inspired Strategy, while led by the Generalissimo, Commander-general and General, were in the meantime controlled by eunuch-assumed Palace Commandant-protector (Hujun Zhongwei, 护 军中尉) and Capital Protector. Consequently, the eunuchs bearing the title of the Palace Commandant-protector for the Left and Right Armies of Inspired Strategy possessed the greatest power. By the end of Tang, the Armies of Inspired Strategy were still under the control of eunuchs who could depose the Emperor as they pleased. In late Tang, governors of military districts, in order to consolidate their power, established their own armed forces called Headquarters Troops (Yabing, 牙兵 or 衙 兵). Notorious for their laziness and rudeness, the Headquarters Troops often

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killed or changed Military Commissioners as they liked, which resulted in turmoil in military districts. Later Liang of the Five Dynasties reorganized the troops into the Metropolitan Command (Shiwei Qinjun Mabu Jun, 侍卫亲军马步军) headed by the Commander-in-chief (Du Zhuhuishi, 都指挥使) as a part of the Imperial Armies. Later Tang divided it into the Metropolitan Cavalry Command (Majun Si, 马军司) and Metropolitan Infantry Command (Bujun Si, 步军司), each led by a Commander-in-chief, but they were under the jurisdiction of the Commander-in-chief of the Metropolitan Command. Later Zhou divided imperial bodyguards into the Palace Command (Dianqian Si, 殿前司) and Metropolitan Command (Shiwei Si, 侍卫司). The Palace Command was directed by the Palace Inspector-general (Dianqian Dudianjian, 殿 前 都 点 检 ) and the Metropolitan Command were perpetuated consisting of the Metropolitan Cavalry Command and the Metropolitan Infantry Command. The later Song government made it more institutionalized, installing the Palace Command, the Metropolitan Cavalry Command and the Metropolitan Infantry Command, collectively known as the Three Commands (Sanya, 三). Each Command was technically headed by Commander-in-chief, Vice Commander-in-chief and Inspector-in-chief, but in reality it was not usually fully-staffed. In early Southern Song, the Imperial Defense Command (Yuying Si, 御营司) was inaugurated, headed by Commissioner of the Imperial Encampment (Yuying Shi, 御营使) and Vice Commissioner of the Imperial Encampment. The two posts were filled by Chancellor or Vice Chancellor subordinate to whom was the Campaign Commander directing the Army of the Imperial Encampment. Later when the Three Commands were gradually fully-staffed, the Imperial Defense Command was abandoned. Liao assigned the Imperial Guardsmen (Yuzhang Qinjun, 御帐亲军) to protect the capital city. They were led by the Metropolitan Command which was staffed with Grand Preceptor for the Imperial Bodyguard (Shiwei Taishi, 侍卫太师), Grand Guardian for the Imperial Bodyguard (Shiwei Taibao, 侍卫太保), Minister of Education for the Imperial Bodyguard (Shiwei Situ, 侍卫司徒) and Minister of Works for the Imperial Bodyguard (Shiwei Sikong, 侍卫司空). The bodyguards of the Emperor constituted the Palace Cavalry (Gongwei Qibing, 宫卫骑兵) and they protected the Emperor when he was in palace, followed him when he went out of palace and guarded his mausoleum when he was dead. Moreover, they were supervised by the Palace Guard (Suwei Si, 宿卫司) which had a staff of

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General Manager for the Palace Guard (Zong Suwei Shi, 总宿卫事), Administratorgeneral for the Imperial Guard (Zongzhi Suwei Shi, 总 知 宿卫 事 ), Associate Administrator of the Imperial Guard (Tongzhang Suwei Shi, 同掌宿卫事), and so forth. The Imperial Armies of Jin were made up by Meng’an and Mouke close to the imperial family. They were elite soldiers selected by the Emperor and his clansmen into a strong guard. Initially, they were led by the Metropolitan Command. During the reign of Emperor Hailingwang, the Metropolitan Command was abolished, so the Imperial Armies were divided among the Palace Inspectorate-general (Dianqian Dudianjian Si, 殿前都点检司) and the Court Ceremonial Institute (Xuanhui Yuan, 宣徽院). The Palace Command was staffed with the Palace Inspector-general and Concurrent Commander-in-chief for the Imperial Guardsmen, and Left and Right Vice Inspectors-general and Concurrent Vice Commanders-in-chief for the Imperial Guardsmen who directed the Left and Right Palace Guardsmen to defend the palace proper. In the Mongol Empire, the founder Genghis Khan selected and transferred 10,000 elite soldiers to make up a standing guard named Kesig (Qiexue, 怯薛). The Kesig was divided into three groups, the Palace Guards (Suwei, 宿卫), Imperial Guards (Shiwei, 侍卫) and Surrounding Guards (Huanwei, 环卫) to protect the Great Khan and go for campaigns as the hard core. When Kublai succeeded to the throne, he reformed the military system and established two major systems, the Palace Guards (Suwei Jun, 宿卫军) and Territorial Armies (Zhenshu Jun, 镇戍军). The Palace Guards consisted of the previous Kesig and the newly-formed Imperial Bodyguards (Shiwei Qinjun, 侍卫亲军) which were divided into the Left, Right, Central, Front and Back Guards dominated by Chinese soldiers. Then the Five Guards were further extended to Twenty-one Guards, including the Mongol Guard, the Chinese Guard and the Semu Guard. The Kesig and the Imperial Bodyguards were differentiated in their duties in that the Kesig took charge of guarding the Emperor, but did not take part in outdoor campaigning, while the Imperial Bodyguards, also a permanent elite army for the imperial court, were responsible for defending the capital city, the Summer Capital (Xiadu, 夏都) and the Metropolitan Area. The Kesig was headed by the Director of Kesig (Qiexue Zhang, 怯薛长) and the Imperial Bodyguards by the Commander-in-chief subordinate to the Palace Secretariat. ~146~

The guarding system of Ming included the Imperial Armies (Qinjun, 亲军), Capital Armies (Jingjun, 京 军 ) and Rotational Troops (Banjun, 班 军 ), each performing its own functions and the Imperial Armies guarded the Emperor. During the reign of Emperor Taizu, there were Twelve Guards, which was later enlarged to Twenty-six Guards to defend the palace proper on a rotational basis. Each Guard was staffed with Commander-in-chief (Zhihui Shi, 指挥使), Associate Commander (Zhihui Tongzhi, 指挥同知), Assistant Commander (Zhihui Qianshi, 指挥佥事) and lower Battalion Commander and Company Commander. Among the Twenty-six Guards, the Imperial Bodyguards (Jinyi Wei, 锦衣卫, literally “embroidered-uniform guard”) was the most prestigious and influential. The Imperial Bodyguards originally was the Imperial Regalia Service (Yiluan Si, 仪鸾 司). In 1382 when Emperor Hongwu was on the throne, he changed the Service to the Imperial Bodyguard Command (Jinyiwei Qinjun Zhihui Shisi, 锦衣卫亲军指挥 使司) which was staffed with Commands (Zhihui Shi, 指挥使). It was led by the Commander-in-chief of Distinguished Imperial Relatives (Xunqi Dudu, 勋戚都督) who commanded 1,500 soldiers and officers including Generals, Ceremonial Guards (Lishi, 力士 or Yiwei, 仪卫), Commandants and so on. Subordinate to it were the Southern and Northern Prison (Zhenfu Si, 镇抚司). The Southern Prison was in charge of interpreting military laws and managing military craftsmen while the Northern Prison responsible for cases entrusted by the Emperor. In late Ming, the Imperial Bodyguards reached at 160,000. The Capital Armies were garrisons stationed in the Metropolitan Area. During Emperor Taizu’s reign, there were Forty-eight Guards, but Emperor Chengzu added another Twenty-four and divided cavalry and infantry into the Central Army (Zhongjun, 中军), Left and Right Assistances (Ye, 掖) and Left and Right Companies (Shao, 哨), collectively known as the Division of the Five Armies (Wu Junying, 五军营). Later a unit of 3,000 surrendered enemy soldiers was secured, which was divided into Five Offices and collectively referred to as the Division of the Three Thousand (Sanqian Ying, 三千营). Furthermore, a group of soldiers were trained in the use of firearms of types acquired in the Ming annexation of Annam (modern North Vietnam), so it was called the Division of Firearms (Shenji Ying, 神机营). The Divisions of the Five Armies, of the Three Thousand and of Firearms were collectively called the “Three Great Training Divisions” (San Da Ying, 三大营). Each Training Division was commanded by either a dignitary or a meritorious officer. During the reign of Emperor Renzong, he appointed a military official to head the Military ~147~

Headquarters (Rongzheng Fu, 戎政府) at Peking. The Rotational Troops comprised soldiers selected and transferred from Regional Military Commissions (Dusi, 都 司) in Fengyang, Shandong, Henan and Daning, and other places, who jointly defended the Metropolitan Area. It was staffed with Commander-in-chief, Associate Commander (Zhihui Tongzhi, 指挥同知), Assistant Commander (Zhihui Qianshi, 指挥佥事) and the Prison and the Registry were under it. In the Qing Dynasty, the Provincial Bannermen (Zhufang Baqi, 驻防八旗) were stationed throughout the empire while the Capital Bannermen (Jinlv Baqi, 禁旅八 旗) guarded the Metropolitan Area. Among others, those protecting the Emperor were called Court Guards (Langwei, 郎卫) supervised by the Office of the Imperial Bodyguards (Shiwei Chu, 侍卫处) which was headed by the Grand Minister of the Palace Commanding the Imperial Bodyguard (Ling Shiwei Nei Dachen, 领侍卫内 大臣). Those stationed in the capital were called Defense Guards (Bingwei, 兵卫) who were divided among the Cavalry Brigade (Xiaoqi Ying, 骁骑营), Vanguard Brigade (Qianfeng Ying, 前锋营), Guards Brigade (Hujun Ying, 护军营), Infantry Brigade (Bujun Ying, 步军营), Firearms Brigade (Huoqi Ying, 火器营) and Scouting Brigade (Jianrui Ying, 健锐营) and so forth. The Cavalry Brigade was headed by the Commander-in-chief (Dutong, 都统) in annual rotation while the Brigades of Vanguard, of Guards and of Infantry were led by Commanders-general (Tongling, 统领 or Zongtong, 总统). The rest were directed by Commanders-general or Managers (Guanli Dachen, 管理大臣). The Division of Police (Xunbu Ying, 巡捕营) of the Green Standards garrisoned in the capital also belonged to the Capital Training Divisions (Jingying, 京营), under the command of the Infantry Division (Bubing Ying, 步兵营) of the Eight Banners.

3. Territorial armed forces In the Xia, Shang and Zhou Dynasties, territorial feuds and fiefs constituted the exterior domain, so the regional armed forces were different from that of Qin and Han whose territorial administrative units were the commandery and the county. In the Xia Dynasty, all Regional Earls and Marquises had their own armed forces but they acknowledged the King of Xia as the only lord, so they were obliged to protect the royal family and go on expeditions as needed. In the exterior ~148~

domain of Shang, as has been noted in the previous chapter, Marquises had their own troops to go out to battle upon the order of the King, and Guards were local armed forces. Marquises and Guards were both subject to conferment and appointment of the King of Shang. In terms of the Earl of Subordinate States, it was similar to the Regional Earl in the Xia times in some cases and to the Marquise in others, but generally, it had its own military equipment. In Western Zhou, all Feudal Lords had their own armed forces and Grand Masters had their personal forces. As feuds and fiefs were different sizes, their military powers were also uneven. It’s documented in Offices of Summer on the Army, the Rites of Zhou that “the great state was equipped with three armies, the state of the second class with two armies and the small state with only one army”. In the Book of Rites, “in a great state there were three high ministers, all appointed by the Son of Heaven; in a state of the second class there were three high ministers, two appointed by the Son of Heaven”. Thus, all military actions were led by the Minister (Qing, 卿 ), or Commander (Shuai, 帅), or Preceptor (Shi, 师). For a small state, the King was not concerned about the ministerial appointments, so the ruler had to select some soldiers to be led the commander of a bigger state. During the Spring and Autumn and Warring States Periods, all states established their armed forces in counties and towns so as to guard the frontier and give protection to the people, such as the renowned Regiments of Shen (申) and Xi (息) in the State of Chu and the Regiment of Dongyang in Jin. From Qin on, armed forces were allotted to commanderies and counties, and besides maintaining regional order, they trained themselves to ensure manpower resources for the imperial court. The troops in Qin commanderies were commanded by the Commandery Defender (Junwei, 郡尉) and those in counties by the County Defender. In Western Han, the regional military outfit comprised soldiers of commanderies (including princedoms and marquisates) and counties. Although they were under respective control of Commandery Governor, Defender (Duwei, 都尉), and District Magistrate, District Defender, they were transferred and deployed by the central government with the issuance of the Emperor’s tiger-shaped tally and bamboo credential. The troops in frontier commanderies were under the command of Commandery Governor and Defender under whom were Officer for Watching (Houguan, 候官), Defender for Border Town (Zhangwei, 障尉), Head of Scouters (Houzhang, 候长), and Company Commander (Duizhang,

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队长). In early Eastern Han, the central authority disbanded soldiers of commanderies and abolished duty military assignments like Commandery Defender, but the frontier commanderies were equipped with Defender and Defender of the Dependent State (Shuguo Duwei, 属国都尉). The territorial military forces during the Wei, Jin, Southern and Northern Dynasties consisted of two parts, the Armies of Defend Commands (Fangzhen Jun, 方镇军) led by Area Commands (Dudu Fu, 都督府) and subordinate to the imperial court nominally, and the Regional and Commandery Army which were local armed forces in the real sense. In the Cao-Wei Dynasty, the Regional Commander-in-chief (Dudu Jun Zhoushi, 都督军州事) was initiated. During the Wei and Jin period, there were 6-10 stable regions with Commanders-in-chief, among which Xuchang defended by the Commander-in-chief for Yuzhou, Chang’an by the Commander-in-chief for Yongzhou and Liangzhou, and Yecheng by the Commander-in-chief for Yecheng were known as the three major Defense Commands. In Western Jin, it was Imperial Princes who took up the responsibility of defending the three areas as Commanders-in-chief concurrently. At the outset, the Commander-in-chief customarily did not concurrently hold the post of the Regional Inspector. The troops he commanded were field forces directly responsible to the Emperor, known as the Army of Defense Command (Fangzhen Bing, 方镇兵) or the Outer Army (Waijun, 外军). Conversely, the Commander-in-chief of bordering areas was often the Regional Inspector concurrently and headed troops of Defense Commands and the Regional and Commandery Army. In 277 during the reign of Emperor Wu of Jin, the line between the Army of the Defense Command and the Regional and Commandery Army were blurred, which was a result from the fact that more and more fiefs were identical to Defense Commands and more and more Commanders-in-chief assumed the Regional Inspector. At that time, the Commander-in-chief enjoyed the highest status, followed by the Army Supervisor, and the Army Commander ranked the lowest. Since the Cao-Wei Dynasties, there had been “Four Generals of Attacking” (Sizheng Jiangjun, 四征将军), suffixed the East, the West, the South and the North as in the following cases, “Four Generals of Controlling” (Sizhen Jiangjun, 四镇将军), “Four Generals of Placating” (Si’an Jiangjun, 四安将军) and “Four Generals of Pacifying” (Siping Jiangjun, 四平将军), all of whom were senior regional military officers. The Eastern, Western, Southern and Northern Leaders

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of Court Gentlemen (Zhong Langjiang, 中郎将) either controlled the Regional Inspector or were assumed by the Commissioner with Special Powers (Chijie, 持 节). They were valued most heavily in Eastern Jin. With the strengthening of the imperial power during the Southern and Northern Dynasties, the government restored its control over the Army of Defense Command which was normally led by the Capital Protector (Zhonghu Jun, 中护军), thus distinguishing it from the Region and Commandery Army. In Northern Wei, the Army of Defense Command was regulated by an ad hoc agency. Each Defense Command was staffed with Capital General-in-chief (Du Dajiang, 都大将), Capital General (Dujiang, 都将), General-in-chief (Dajiang, 大将) and General (Jiang, 将). Subordinate to them were Vice General (Fujiang, 副将), Army Supervisor (Jianjun, 监军), Aide (Zhangshi, 长 史), Assistant (Sima, 司马) and so on. Northern Zhou changed the Regional Commander-in-chief into Area Commander-in-chief (Zongguan, 总管) and the Regional Command (Dudu Fu, 都督府) into Area Command (Zongguan Fu, 总管 府). As regards to the Region and Commandery Army, Cao Cao had built it in areas under his control by the end of Eastern Han. During Emperor Ming of Cao-Wei’s reign, there were armies in eight regions, namely, Jinzhou, Yangzhou, Qingzhou, Xuzhou, Youzhou, Bingzhou, Yongzhou and Liangzhou. The other four unarmed regions were Yanzhou, Yuzhou, Sizhou and Jizhou, but the Regional Inspector also led troops in some of them. In early Western Jin, civil administration and military administration were separated, and the Inspector and the Governor were responsible for the former whereas the Commander-in-chief and the Commandant took charge of the latter. After Emperor Hui came to the throne, the Region and Commandery were gradually re-entitled to lead troops and the Inspector and the Governor were, as a rule, concurrent appointees of the Commander-in-chief or the General. The Region and Commandery Army, as permanent troops, played a significant role in the discordant ages. The Northern Wei regime in the bordering areas instituted Posts (Shu, 戍) directed by Post Commanders (Shuzhu, 戍主) and Vice Post Commanders (Shu Fu Tongling, 戍副 统领) for frontier defense. The Post was attached to the Defense Command or the Region. In the hinterland, the Defense (Fang, 防) was set up with the designated Defense Chief (Fangzhu, 防主) and Vice Defense Chief (Fang Fu Tongling, 防副统 领), which fell between the Defense Command and the Post. During the Sui-Tang period, the local armed forces were based upon two

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systems, the Defense Command and Post Army, and the Region-Commandery Army. Sui perpetuated the system instituted by Northern Zhou and installed the Area Command to direct the Defense Command and Post Army. The Area Command was classified into three ranks, upper, medium and lower. Tang changed the name into Dudu Fu (都督府) classified it into Superior (Da, 大), Ordinary (Zhong, 中) and Lesser (Xiao, 小) and designated the Commander-in-chief (Dudu, 都督) to take charge of military administration of his jurisdiction, but not civil administration. The post of the Area Commander-in-chief (Da Dudu, 大都督) was nominally filled by Imperial Princes and it was the Administrator (Zhangshi, 长 史) who presided over affairs of the Area Command. The Ordinary and Lesser Area Commands were administered by the Commanders-in-chief with Principal Territorial Aides (Shangzuo, 上佐) including Administrative Aide (Biejia, 别驾), Aide (Zhangshi, 长史) and Adjunct (Sima, 司马) and with Administrative Supervisor (Lushi Canjun, 录事参军) and Administrators (Canjun, 参军) distributed among Sections of Personnel Evaluation (Gongcao, 功曹), of Granaries (Cangcao, 仓曹), of Revenues (Hucao, 户曹), of War (Bingcao, 兵曹), of Law (Facao, 法曹) and of Levied Services (Shicao, 士曹). Below the Area Command were various Defense Commands and Posts guarding the frontier. Both the Defense Command and the Post were ranked upper, medium and lower. The Defense Command was led by Defender-general and Vice Defender General, and under it were various Sections. The Upper Defense Command had the Section of Granaries and the Section of War, but the Medium and Lower Defense Commands had no Section of Granaries. The Post was controlled by Post Commander and Vice Post Commander, both of official status. Each garrison army was headed by Commissioner and Vice Commissioner subordinate to whom were Administrators for Sections of Granaries, of War and of Helmets. The Region and Commandery Army was directed by the Inspector. During the reign of Emperor Ruizong, the Commander-in-chief was bestowed an honorary title “Commissioner with Extraordinary Powers”. He was also known as the Military Commissioner (Jiedu Shi, 节度使) dealing with military, civil and financial affairs within his jurisdiction. When Emperor Xuanzong was enthroned, Military Commissioners proliferated. As a result, they were ubiquitous after the Anshi Rebellion. The senior could dominate over tens of prefectures and the junior govern three to four prefectures. The troop of the Military Commissioner was conferred another name and tied to the title of the Military Commissioner. The subordinates of the Military Commissioner and Vice Military Commissioner ~152~

comprised civil officials and military officials. Civil officials included Adjunct (Xingjun Sima, 行 军 司 马 ), Vice Commissioner (Fushi, 副 使 ), Administrative Assistant (Panguan, 判官), Commissioner’s Agent (Zhishi, 支使), Chief Secretary (Zhang Shuji, 掌书记), Judge (Tuiguan, 推官), Constable (Xunguan, 巡官) and Associate Judge (Yatui, 衙推). Military officials included the Chief Commander (Duzhi Bingma Shi, 都知兵马使), Chief Lackey (Du Yaya, 都押衙), Inspector-in-chief (Du Yuhou, 都虞侯), Chief Training Commissioner (Du Jiaolian Shi, 都教练使) and Commander-in-chief (Du Zhihui Shi, 都指挥使). After Emperor Suzong acceded to the throne, crucial areas of major commanderies were headed by the Defense Commissioner (Fangyu Shi, 防御使) assumed by the Inspector concurrently with no Emblem (Jingjie, 旌节). The Defense Commissioner was later renamed the Military Training Commissioner (Tuanlian Shi, 团练使). The senior would head a dozen prefectures and the junior lead two to three. When Emperor Daizong was in power, he ordered all Inspectors to take the office of the Military Training Commissioner. In late years of the reign of Emperor Xianzong, he released an imperial edict that except areas of military importance, all branch commanderies under the control of the circuit-level Military Commissioner (Jiedu Shi, 节度使 or Jinglue Shi, 经略使), Military Training Commissioner, and Chief Defense Commissioner (Du Fangyu Shi, 都防御使) were provided Pacification Detachment (Zhen’e, 镇遏), Defense Detachment (Shouzhuo, 守捉) and Infantry and Cavalry (Bingma, 兵马) and subject to the control of the Inspector. The subordinates to the Military Training Commissioner were the Vice Commissioner, Administrative Assistant, Judge, Constable and Associate Judge. The Defense Commissioner was aided by Vice Commissioner, Administrative Assistant, Judge and Inspector. The posts of Military Training Commissioner and the Defense Commissioner were normally assumed by the Military Commissioner concurrently. Although they were sometimes subordinate to the Regional Inspector or Commandery Governor, they were under the command of the Military Commissioner under most circumstances. The Song government retained the system of the Five Dynasties and called the local armed forces Prefectural Armies (Xiangbing, 厢兵). However, it selected elite soldiers from them to constitute the Imperial Armies and others were left untrained and did corvee labor. The Prefectural Armies were managed by the Office of General Military Administration (Zongguan Qianxia Si, 总管钤辖司)

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over one Prefecture, one Route or two to three Routes. The chief officials were the Chief Commander of Infantry and Cavalry (Mabujun Du Zongguan, 马步军都 总管) and the Military Administrator of Infantry and Cavalry (Bingma Qianxia, 兵马钤辖). In the Route, it was the Director-in-chief (Dujian, 都监) who took charge of affairs concerning Battalions, Companies and Garrisons of the route area. The troop of local administrative units, Superior Prefecture, Prefecture Military Prefecture and Industrial Prefecture, mentioned in Chapter Five, was the Region and Commandery Army commanded by the Prefect (Zhizhou Junshi, 知州军事). Administrative units below the levels of Superior Prefecture and Prefecture were commanded by the Director-in-chief who was in charge of station and garrison, arms and armors, and other commissions but the inexperienced officers were called Supervisor of Militia (Jianya, 监押). In bordering regions, the Military Inspectorate (Xunjian Si, 巡检司) was installed to superintend the frontier or a few prefectures and counties, or one prefecture and one county. It was staffed with Military Inspectors (Xunjian, 巡检) to train and regulate soldiers, police prefectures and counties, and capture and arrest bandits. In Northern Song, new posts were added, including Chief Military Inspection Commissioner (Du Xunjian Shi, 都巡检使), Chief Military Inspector (Du Xunjian, 都巡检), Military Inspector (Xunjian, 巡检), Prefectural and County Military Inspector (Zhouxian Xunjian, 州县巡检). They were instituted to control the aboriginal armies, recruit and instruct the Imperial Armies and performed duties of patrol and defense. In the Liao Era, Metropolitan Prefectures (Jingzhou, 京州) and Dependent States (Shuguo, 属国) in the Northern Administration (Beimian, 北面) system were all equipped with their own armed forces. Appointees for frontier defense shielded the empire through various offices. In the Southern Administration system, institutions like the Chief Command of Infantry and Cavalry (Bingma Du Zongguan Fu, 兵马都总管府) and frontier defense officers were all armed forces. In the Jin Dynasty, the government set up the Area Command in the hinterland and assigned the Prefect (Fuyin, 府尹) as the Chief Commander (Du Zongguan, 都总管) to deal with military affairs of all settlements. Subordinate to him were Associate Commander (Tongzhi Zongguan, 同知总管) and Vice Commander (Fu Du Zongguan, 副都总管) as well as a number of subordinates such as Administrative Assistant of Commander (Zongguan Panguan, 总管判官), Administrative Assistant (Fupan,

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府判), Judge and Law Clerk (Zhifa, 知法). In bordering areas was the Army Command (Tongjun Si, 统军司) which was led by the Army Commander (Shidu, 使督) and Vice Army Commander (Fu Tongjun, 副统军), under whom were such posts as Administrative Assistant, Administrative Clerk (Zhishi, 知事), and Law Clerk. In the Yuan times, the Defense Command and Post Army was stationed everywhere. The Metropolitan Area, frontier fortress and places of strategic importance were safeguarded by the Mongol Army (Menggu Jun, 蒙古军) or the Allied Army (Tanmachi Jun, 探马赤军) (tribal armies). In the south of the Yangtze River and Huai River, the Chinese army (constituted by northern Chinese) and the Newly Submitted Army (Xinfu Jun, 新附军, drawn from the families of surrendered Southern Song soldiers) performed the defense duty, assisted by the Mongol Army sometimes. The Defense Command and Post Army were under the control of Supervisor-in-chief, Battalion Commander and Disciplinarian (Tanya, 弹压). In bordering regions, the military and political administrations were integrated, taken care of by the Pacification Commission and Chief Military Command (Xuanwei Shisi Du Yuanshuai Fu, 宣慰使司都元帅府) headed by Chief Military Commander (Du Yuanshuai, 都元帅), Vice Military Commander (Fu Du Yuanshuai, 副都元帅) and Assistant Military Commander (Qian Du Yuanshuai, 佥都元帅). Secondary to it was the Military Command directed by the Overseer (Daluhuachi, 达鲁花赤) and Marshal. In addition, Emperor Shizu crowned his sons as Imperial Princes to garrison areas like Helin, Yunnan, Huihui, Weiwu’er, Hexi and Liaodong. In the Ming Dynasty which was characterized by unprecedented power centralization, there were in fact no Region and Commandery Army that other previous dynasties had, but there were Guards (Weisuo, 卫 所 ) garrisoned throughout the empire that were under the command of the Regional Military Commission (Du Zhihui Shisi, 都指挥使司). The Regional Military Commission was often called the Regional Commission (Dusi, 都司) for short, with a staff of one Regional Military Commissioner (Du Zhihuishi, 都指挥使), two Associate Regional Military Commissioners (Du Zhihui Tongzhi, 都指挥同知) and four Assistant Regional Military Commissioners (Du Zhihui Qianshi, 都指挥佥事). Its subordinates included Registrar (Jingli,经历) of the Registry, Office Manager (Dushi, 都事), Judge (Duanshi, 断事) and Vice Judge (Fu Duanshi, 副断事) of the Judicial Office (Duanshi Si, 断事司), Warder (Siyu, 司狱) of the Prison (Siyu Si, 司狱司),

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and it was in charge of military affairs within its jurisdiction. Leading its Guards, the Regional Commission was subordinate to the Five Garrisons (Wufu, 五府) and was under the direction of the Ministry of War. Titles for military officers policing in different parts of the country were complicated and diverse, were neither ranked or standardized, and included such posts as Regional Commander (Zongbing Guan, 总 兵 官 ), Vice Regional Commander (Fu Zongbing, 副 总 兵 ), Assistant Regional Commander (Canjiang, 参将), Mobile Corps Commander (Youji Jiangjun, 游击将军), Commandant (Shoubei, 守备) and Squad Leader (Bazong, 把 总), to name just a few. As recorded in Part Five, Records of Officials, the History of Ming, an officer garrisoned in a large area was called a Grand Defender (Zhenshou, 镇守), one guarding a circuit on his own was called a General Defender (Fenshou, 分守), one defending a settlement (Cheng, 城) and a fort (Bao, 堡) was called a Commandant (Shoubei, 守备) and an officer defending an area with his superior was called an Assistant Defender (Xieshou, 协守). In addition, there were titles like Provincial Military Commander (Tidu, 提督), Supervisor (Tidiao, 提调), Inspecting Censor (Xunshi, 巡视), Duty Group Chief (Lingban, 领班) and so forth. A Regional Commander with the seal of Marshal was called General. For example, the Regional Commander garrisoned in Yunnan was called General of Attacking the South (Zhengnan Jiangjun, 征南将军). The Provincial Bannermen garrisoned throughout the Qing Empire were commanded by the General whose title was attached the name of the place where he and his troop were stationed, such as the General Garrisoned in Shengjing (Shengjing Zhufang Jiangjun, 盛京驻防将军) and the General Garrisoned in Jilin (Jilin Zhufang Jiangjun, 吉林驻防将军). Under the General, there were an unlimited number of Vice Commanders-general (Fu Dutong, 副都统) and the Assistant General handled military affairs. Provincially, the key Defense Commands were directed by Commanders-general and Vice Commanders-general, like Commander-general and Vice Commander-general Garrisoned in Chahar (察哈尔). The places of strategic importance were defended by the Garrison Commandant (Cheng Shouwei, 城守尉) or Post Commandant (Fang Shouwei, 防守尉), for example, the Garrison Commandant in Shanxi and the Garrison Commandant in Henan. Subordinate posts to the General included Commander-general and Vice Commander-general were Councilor (Canzan Dachen, 参赞大臣), Grand Minister Commandant (Lingdui Dachen, 领队大臣), Supervisor-in-chief (Zongguan, 总管), Vice Supervisor-in-chief

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(Fu Zongguan, 副 总 管 ), Regimental Commander (Canling, 参 领 ), Assistant Commandant (Xieling, 协领), Company Commander (Zuoling, 佐领), Platoon Commander (Fangyu, 防御), Cavalry Commandant (Xiaoqi Xiao, 骁骑校) and Protector Commandant (Hujun Xiao, 护军校). Most of the Green Standards detachments were stationed throughout the empire. The supreme military officer of a province was the Provincial Military Commander (Tidu, 提督), differentiated as being of land and water. Some took care of both land and water and some assumed concurrently by the Grand Coordinate. There were in each province a few Defense Commands, each led by a Regional Commander. The Regional Commander was also differentiated as being of land and water and some took care of both. The Provincial Military Commander commanded the Regional Commander, but with no requisition power. The requisition power was granted by the central authority to the Viceroy and the Grand Coordinator, so the Regional Commander was under dual control of the Viceroy, the Grand Coordinator and the Provincial Military Commander. Under the Provincial Military Commander and the Regional Commander were such posts as Assistant Regional Commander (Canjiang, 参将), Brigade Commander (Youji, 游击), Commandant (Shoubei, 守备), Company Commander (Qianzong, 千总), Squad Leader (Bazong, 把总), Detached Company Leader (Waiwei, 外委) among others.

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Chapter 8

Chapter 8

Personnel Administration With the centralization of power and the development of the official system in ancient China, much experience was accumulated in personnel administration and as a result, a mature system was brought into being. In this chapter, emphasis will be laid on the three most fundamental aspects: recruitment and appointment; ranks, titles and salaries; assessment, rewards and punishments.

1. Recruitment and appointment In the Xia, Shang and Zhou Dynasties, almost all official titles were hereditary in practice, so in theory there were no issues regarding official recruitment and appointment. Issues could arise, however, because firstly, the King of Zhou enfeoffed Feudal Lords, secondly, he designated Ministers and Grand Masters for the Metropolitan Area and, thirdly, Feudal Lords appointed some of their Ministers within their domains. In addition, the King, Feudal Lords and Grand Masters dealt with choosing their own retainers. All posts from Ministers or Grand Masters to retainers of various sorts, however, were hereditary once appointed. Therefore, there was no formalized system for official recruitment at that time. After the Warring States Period, all official posts, high- or low-ranking, were not allowed to be inherited, although the throne was. From Chancellor to Magistrate, all officials were subject to appointment by the sovereign who could fire or replace them at any time. In Western Han, senior officials and functionaries (Zhangli, 长吏) whose salaries ranked 200 bushels and above were subject to the approval of the central authority. Conversely, lesser subordinates (Yuanshu, 掾属) and clerks (Lingshi, 令史), collectively known as sub-official functionaries (Shaoli, 少吏), who earned less than 100 bushels annually, were chosen freely by their superiors. The Eastern and Western Sections in the Chancellor’s Establishment in Western Han and the counterparts in the Defender-in-chief’s Establishment in

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Eastern Han were in charge of recruiting employees for the office and promoting and demoting commandery-level senior functionaries. The Retainer (Congshi, 从 事) of the Personnel Evaluation Section (Gongcao, 功曹) under the Metropolitan Commandant, the Retainer of the Labor Section (Zhizhong Cao, 治中曹) in the Region and the Administrator (Yuanshi, 掾史) of the Personnel Evaluation Section in the Commandery and County were all responsible for official recruitment. In Eastern Han, the Section of Attendants-in-ordinary of the Imperial Secretariat (Shangshu Changshi Cao, 尚书常侍曹) which was changed to the Section of Personnel (Licao, 吏曹), and later to the Appointments Section (Xuanbu, 选部), was the first agency established by the central government for official recruitment and appointment. The Cao-Wei authority then changed the Appointments Section back to being Section of Personnel and placed it above all sections of the Imperial Secretariat responsible for appointments of civil officials. Meanwhile, the Protector-general (Hujun Jiangjun, 护军将军) (or the Capital Protector (Zhonghu Jun, 中护军)) was charged with the task of recruiting military officials. In Western Jin, all Ducal Ministers built their own establishments and installed their own subordinates. Most of them instituted the Eastern and Western Sections. In the Prefecture, Commandery and County, there was an Administrative Clerk (Shuzuo, 书佐) or Clerk (Shi, 史) for the Personnel Evaluation Section, responsible for employing functionaries. Following the practice of preceding dynasties, Sui and Tang entrusted the Ministry of Personnel to take general charge of the appointments, merit ratings, and assessments of civil officials and the Ministry of War to handle the appointment of military officials. However, the Ministry of Personnel could only recruit officials of rank 6 and lower. Those of rank 5 and higher were appointed by the Emperor. Below the Superior Prefecture and Prefecture level, it was still the Administrator (Canjun Shi, 参军事) of the Personnel Evaluation Section or the Adjunct of the Personnel Manager (Sigong, 司功) who dealt with matters concerning official assessment. In early Song, the appointment agency was reformed a little bit. For recruiting civil officials, there were two bureaus, the Eastern Bureau of Personnel Evaluation (Shenguan Dongyuan, 审 官 东 院 ) and the Bureau of Personnel Assignments (Liunei Quan, 流内铨) (especially personnel of official status (Liunei, 流内)). For enrolling military officials, there were the Western Bureau of Personnel Evaluation

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(Shenguan Xiyuan, 审官西院) and the Bureau of Lesser Military Assignments (Sanban Yuan, 三班院). From 1078 to 1085 when Emperor Shenzong’s reform was proceeding, the Ministry of Personnel was instructed to appoint both civil and military officials, where there were four kinds of appointments processes, Senior Civil Appointments Process (Shangshu Zuoxuan, 尚书左选), Senior Military Appointments Process (Shangshu Youxuan, 尚书右选), Junior Civil Appointments Process (Shilang Zuoxuan, 侍郎左选) and Junior Military Appointments Process (Shilang Youxuan, 侍郎右选). In the Liao Dynasty, the Palace Secretariat in the Southern Establishment (Nan Shumi Yuan, 南枢密院) was responsible for civil official appointments and its counterpart in the Northern Establishment (Bei Shumi Yuan, 北枢密院) for military appointments. But Jin and Yuan both assigned the Ministry of Personnel to take care of civil and military appointments. In the Ming Empire, the civil and military appointments were however separated again, with the Ministry of Personnel for the former and the Ministry of War for the latter, but the Ministry of Personnel performed heavier duties. If posts like the Grand Secretary of the Cabinet (Neige Daxueshi, 内阁大学士) and Ministers of Personnel (Libu Shangshu, 吏部尚书) were being appointed, courtiers would be entitled to participate in regular court audience to produce nominees for those posts, which was known as “Audience Nomination” (Tingtui, 廷推). In some cases, the Emperor himself would nominate them, which was called “Exceptional Selection” (Tejian, 特简). Qing generally copied the appointment system instituted by Ming and differentiated civil from military, but the result had to be presented to the Council of State which would request the Emperor to make the final decision (Qingzhi, 请旨). The recruitment system, on the whole, persisted unchanged from the late years of Eastern Han, but during the hundreds of years from the Warring States Period to the Qin-Han Era, various methods of official recruitment were developed to different degrees, and endured into future dynasties. After the hereditary official system specific to the Xia, Shang and Zhou Dynasties was abandoned, an official was nevertheless authorized to nominate his sons or male relatives for official status, though his post was not inheritable. In the Han Dynasty, an official ranked above the Commandery Governor, if his tenure had been three years or more, was eligible to ensure his son(s) could enter government service, which was known as Employment of Sons (Renzi, 任子). The ~160~

protection of sons’ right to enter government service was perpetuated until Song when a system named Appointment by Protection (Buyin, 补荫) emerged, so that if someone entered service, all his sons and male relatives could be brought into service too. In Western Zhou, the recruitment of Servicemen ranked below the Grand Master could be realized through nomination by in-service officials (Jianju, 荐 举 ). Every region was ordered to recommend a few “Cultivated Scholars” (Xiushi, 秀士) who would be presented by Vassals to the Emperor as tributes every year. They were then called “Tribute Scholars” (Gongshi, 贡士). If they conducted further studies or trainings, they could be titled and paid, known as “Presented Scholars” (Jinshi, 进士). Into the Spring and Autumn Period, a wave of recommending capable and virtuous talents spread throughout China, and some even recommended themselves. The nomination by existing officials was institutionalized in Han, and formally called “Scrutinized Recommendation” (Chaju, 察举). Nominees would be given some written examinations to confirm their filial piety and clean record, extraordinary talent, virtue and literacy. The Scrutinized Recommendation aimed to select functionaries and moral or intellectual notables. From the Wei and Jin Dynasties on, the system was abandoned, but it exerted a profound influence on dynasties to follow. Into the Song Era, it was evolved into the Guaranteed Recommendation (Baoju, 保举). In early Ming, the Imperial Examination (Keju, 科举) fell into disuse, and recommendation again became the exclusive path for personnel recruitment. An equally important path into government service was via school. In Western Zhou, school was for military training purposes, and outstanding students could be conferred low-ranking titles and duty assignments. Into late years of the Spring and Autumn Period, private schools sprung up and eminent graduates could rise to substantive posts or serve as aides to ranked officials, if they earned trust of the Emperor or senior officials. Emperor Wu of Han esteemed the National University (Taixue, 太学) whose students were called disciples of the Erudites (Boshi Dizi, 博 士弟子). After the examination in which examinees chose a bamboo slip where there was an essay topic about Confucian literature and they could air their views over it, those among the best candidates could be directly appointed as Court Gentlemen (Langzhong, 郎中) and the others could fill the vacancies of Educational Clerk (Wenxue Zhanggu, 文学掌故). During the reign of Emperor Ping, the candidates,

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after the examination, fell into three categories (Sanke, 三科). The first category comprised 40 men designated as Court Gentlemen, the second category consisted of 20 men as Secretaries of the Crown Prince (Taizi Sheren, 太子舍人) and the third category of 40 to fill the vacancies of Educational Clerk. Most students of local schools sought positions as aides to the Commandery Governor or County Magistrate and some were directly recommended to the central government. Western Jin introduced the School for the Sons of the State (Guozi Xue, 国子学) in addition to the National University, but it only admitted sons of bureaucrats of rank 5 and above. The schools in Tang not only prepared students for the imperial examination, but also cultivated potential official appointees. The Directorate of Education (Guozi Jian, 国子监) oversaw the School for the Sons of the State, the National University and the School of the Four Gates (Simen Xue, 四门学) and all the three were comprehensive schools specialized in Confucian classics. There were also technical schools like Law School (Lvxue, 律学), Calligraphy School (Shuxue, 书学), and Mathematics School (Suanxue, 算学). The Institute for the Advancement of Literature (Hongwen Guan, 弘文馆) subordinate to the Chancellery and the Institute for the Veneration of Literature (Chongwen Guan, 崇文馆) of the Eastern Palace both enrolled students as well. The Six Schools and Two Institutes were collectively known as the Institute for Education (Xueguan, 学馆) whose students were called Government Students (Shengtu, 生徒). Once they passed the graduation examination, they would be sent to the Ministry of Personnel to be given titles on a selective basis, or take part in the imperial examination. In Song and Yuan, it was often the case that the Government Students were assigned to functional offices after they passed the imperial examination. Those failing to participate in the imperial examination or failing in the examination could, through recommendation by regional senior officials, be recruited as teachers or employed as aides for high-ranking officials. Invitation (Zhengbi, 征辟) was another way for the sovereign or dignitaries to solicit talents, which could be dated back to the Warring States Period. Liu Bei exemplified it by paying three personal visits to Zhuge Liang and succeeding in recruiting him. For another instance, Emperor Xiao of Qin once issued a public edict to invite able persons and Shang Yang later got hired exactly via this channel and received much recognition. During the Qin-Han period, Invitation ~162~

was gradually systematized. One scenario of the system was that the Emperor invited renowned talents. A striking figure was Shusun Tong who applied for the post of Instructor (Wenxue, 文学) and was appointed as an Expectant Erudite (Daizhao Boshi, 待诏博士). The other scenario was that dignitaries like the Chancellor or Defender-in-chief brought in their own subordinates to increase their staff. In the Era of North-South Division as more and more senior officials appointed their own subordinates, a title and system called “Commander Unequalled in Honor” (Kaifu Yitong Sansi, 开府仪同三司, literally “opening an office and being equal in prestige to the Three Dukes”) was created. At that time, as has been cited in Chapter Five, all dignitaries holding both army and government offices were equipped with two staff. During the Sui-Tang period, the Prefect or the Commandery Governor was no longer allowed to recruit his staff on his own. Yet, in Mid-Tang and after, the Military Commissioner (Jiedu Shi, 节度使) with honorary titles like Jointly Manager of Affairs with the Secretariat-Chancellery (Tongping Zhangshi, 同平章事) or Censor-in-chief could select his subordinates who were, however, subject to appointment of the central government before taking office. Ming and Qing usually integrated invitation and recommendation, either dispatching officials on active service to visit able men or calling them on to recommend some as a talent pool for future recruitment. To appoint military officials by virtue of meritorious service also began during the Warring States Period. Shang Yang was the first to separate the army into twenty ranks during the Qin Dynasty, based on battlefield achievements. He who beheaded an enemy would be conferred one rank. If he would like to enter service in the government, he would be paid 50 bushels every year. Then Emperor Wu of Han initiated the incentive system for those achieving military feats. He who made contributions and was conferred more than 11 ranks could be granted the title Marquise or appointed as a high-ranking military official. In Eastern Jin, the aristocracy was corrupted and most military officials climbed the ladder from humble origin with military exploits. During the Sui-Tang Period and after, in times of peace, those having provided outstanding service in battle were awarded merit titles or prestige titles that had no literal relation to their actual functional activity. In troubled times, by contrast, a military achievement was rewarded with a related government post. In the Song Empire,

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military officials were restrained by their civil counterparts, but during the wars of Western Xia and Jin, Di Qing, Yue Fei and Han Shizhong still managed to rise to the post of Commanding General by virtue of their military feats. In the Jin Dynasty, civil officials were proud of being Presented Scholars (Jinshi, 进士) whilst military appointees took pride in their military exploits. In Ming, only those with military achievements could be appointed to substantive posts, otherwise they assisted or were on probationary service, or were put in post by means of making a financial contribution. The Qing military officials were appointed primarily by rank, rather than the result in the imperial examination; for territorial military posts, those with actual battle experience only qualified as standbys. In as early as the Warring States times, retainers or subordinates of senior officials entered service as functionaries through recommendation or self-recommendation. During the Qin-Han Period, it was very common to recruit government officials among subordinates of senior officials. Take Yin Qi as an example, he was initially a petty official who drew up indictments, but was later promoted to be a censor. In Eastern Han, most successful men started from being commandery functionaries and then made their way through promotion. In Sui and Tang, a careful distinction was always made, however, between men who were “outside official status” (Liuwai, 流外) and those who were “of official status” (Liunei, 流内). All persons in government service other than ranked officials were categorized as being “outside official status”; those who went through examination, selection and were conferred a rank were “into official status” (Ruliu, 入流). The aides of the Military Commissioner could become regular appointees through recommendation. In the Song Dynasty, government officials proliferated but contained each other, which was in fact planned by the Emperor to accelerate the centralization of authority. Since most affairs were settled on the basis of established customs, superiors dared not to make decisions but had to resort to his sub-official functionaries who were acquainted with those customs, so that he was virtually enslaved to his subordinates. This situation provided the principal gateway for functionaries to officialdom. Functionaries in Yuan were more narrowly specialized and as a result, quite a number of senior officials got promotion from being functionaries. In Ming, there were three channels to recruit officials, and functionaries constituted one main source. It was stipulated that the headship of the Outer Garrisons (Waifu, 外

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府), of the Outer Guards (Waiwei, 外卫) and of the Salt Distribution Commission (Yantie Si, 盐铁司), as well as central or outer sub-official posts (Zazhi, 杂职) and posts “of official status” or “not yet of official status” (Wei Ruliu, 未入流) must be filled by functionaries and assignees (Chengchai, 承差). Chief officials of the Provincial Administration Commission (Buzheng Shi, 布政司), the Surveillance Commission (Ancha Si, 按察司) and Superior Prefecture, Prefecture and County could freely appoint their subordinates. At that time, a great many low-level clerks prospered. For instance, Feng Jian, a jailor (Dianshi, 典史) of Nanfeng County, submitted to the throne a memorial in which he talked about nine matters. Luckily, Emperor Taizu thought highly of his views and instantly ordered the Ministry of Personnel to promote him as the Left Assistant Censor-in-chief (Zuo Qiandu Yushi, 左佥都御史). In the Qing times, functionaries were held in low esteem and it was difficult for them to get promoted, so most intellectuals disdained the post functionary. Making a contribution with money, grain or silk was a special way to obtain an official status. The practice originated in the Han Dynasty. In early years of Western Han, Court Gentlemen were reserved for future official recruitment. The Court Gentlemen were on the one hand appointed through the system of Employment of Sons and on the other, via contribution. Later dignitaries like Zhang Shizhi and Sima Xiangru all became Court Gentlemen by making a contribution to the state. During the reign of Emperor Wu when the country was in a straitened financial situation, the government welcomed those who were willing to pay a contribution to fill vacancies. In Eastern Han after Emperor An succeeded to the throne, official posts were openly for sale with marked prices. The post ranked 2,000 bushels was sold at 20 million maces (Qian, 钱) and the post ranked 400 bushels at 4 million maces. Things got worse later when the wealthy could pay up-front and take a post while the less wealthy were allowed to take office first but then had to pay twice the amount at a later date. The sale of official positions during the Wei, Jin, Southern and Northern Period became more rampant than in the Han Dynasty. Emperor Wu of Jin traded some offices in private and Emperor Ming of Song during the Southern Dynasties bestowed the commandery offices as long as someone could contribute 700 bushels of rice. Tang did not put an end to the phenomenon, and it was a provision that merchants who made a contribution to the state could be rewarded an office according to the

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amount of money contributed. In Song, Jin and Yuan, there were no fewer cases of providing grain in exchange for an official post. Song was once confronted with a famine due to crop failures, so one could obtain an official status if he supplied some grain. Six million coins could be exchanged for a low-level civil or military office and 10 million for a post in the palace. In the Yuan Dynasty, selling offices and bartering ranks was vividly described in a ballad that “bad guys as officials and officials as bad guys, a mixture of the foolish and the virtuous.” In Mid-Ming, the areas of Xuanfu and Datong fell short of hay for horses and as a result, if someone contributed 1,500 trusses of hay, he could be appointed to a post. Later, one could enter service by donating some grain, so that some civil officials were illiterate and some military appointees had never touched an arrow. The contribution system in the Qing Dynasty was even more narrowly specified: by contributing money or rice, the incumbent could be promoted, the dismissed could be reinstated, an applicant could be favored over others, and commoners could be appointed. After Emperor Qianlong took the throne, contributive civil officials could climb up the ladder to the Director (Langzhong, 郎 中) of a circuit, even prefecture and military officials could hold the office of Mobile Corps Commander (Youji Jiangjun, 游击将军). One could also get admitted as a student by the Directorate of Education, in recognition of his contribution of grain or money to the state, but it was not a regular occurrence. The post of Expectant Technician (Fangji Daizhao, 方伎待诏) referred to an expert adept at astronomy, divination and medical science. During the Qin-Han Period, they were subordinate to the Chamberlain for Ceremonials (Taichang, 太常) and some served as advisors or attendants to the Emperor. When Emperor Wen of Han was in power, Wei Guan was appointed Court Gentleman for his charioting skills and Wu Hong became an Expectant Technician for his medical excellence. Emperor Wu was keen on occult and alternative techniques, so he embraced technical professionals to offer their service in the government. In Eastern Han, the School at the Gate of the Great Capital (Hongdu Men Xue, 鸿都门学) was established to enroll technicians of various sorts. In Tang, some departments and the Directorate of Education were also equipped with institutions and disciplines to foster professional talents, but it was meanwhile prescribed that the graduates should serve in no other institutions than their alma mater after graduation. The imported personnel were not allowed to be promoted to a post higher-ranking

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than the supreme officer of the agency. For example, an astronomy expert could, at most, be appointed as the Grand Astrologer (Taishi Ling, 太史令) and the medical specialist no higher than the Chief Steward of the Palace Medical Service (Shangyao Fengyu, 尚药奉御). Technical officials in Song were allowed to work only in the capital and forbidden from taking part in the evaluation for reassignment. In Ming and Qing, technicians were equated to functionaries, and discriminated against as being outside official status. From Tang on, the imperial examination became the most important way for the central authority to recruit officials. The embryonic imperial examination originated in Western Han when nominees or disciples of Erudites were given written examinations to confirm their suitability. Sui ushered in the examination leading to the degree of Presented Scholar (Jinshi, 进士) and Tang matured it into a system. The imperial examination in Tang was categorized into regular examinations (Changke, 常科) and irregular examinations (Zhike, 制科). The regular examinations were scheduled annually while the irregular were ordered by the Emperor in search of special talents. In regular examinations, there were tens of degrees to be granted, including Cultivated Talent (Xiucai, 秀才), Classicist (Mingjing, 明经), Eminent Scholar (Junshi, 俊士), Presented Scholar (Jinshi, 进士), Law (Mingfa, 明法), Calligraphy (Mingzi, 明字), and Mathematics (Mingsuan, 明算). The two most prestigious were the degrees of Classicist and Presented Scholar and by late Tang, the examination for the Presented Scholar degree had become preeminent and men seldom had distinguished civil service careers without it. In irregular examinations, candidates were also tested on their personal qualities such as integrity, vision, and military competence. For regular examinations, the main body of candidates were so-called local tribute candidates (Xianggong, 乡贡), that is, men nominated in accordance with prescribed quotas by Prefects who were expected to choose their nominees on the basis of preliminary screening examinations. Other candidates at the capital examinations were Government Students who chose to maximize their chances for good careers in this way. Local tribute candidates were known as “Prefectural Graduates” (Juren, 举人) and those participating in the examination for the Presented Scholar degree were called “Prefectural Presented Scholars” (Ju Jinshi, 举进士). If they passed (Zhong, 中) the examination, they were raised to a ranking (Jidi, 及第 or Zhuodi, 擢第 or Dengdi, 登第 or Dengke, 登科). The candidate with the highest pass mark in the

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examination for the Presented Scholar status was called the Best Graduate (Zhuangtou, 状 头 or Zhuangyuan, 状 元 ). Those having passed the imperial examination were granted with the qualification to enter service (Chushen, 出身) and they were then expected to report to the Ministry of Personnel for the placement examination (Shihe Shi, 释褐试) or four tests32 (Guanshi, 关试). Only those qualified could be considered for a substantive appointment. On the other hand, those who passed the irregular examinations could either be promoted, if they had been assigned before, or appointed, if they came from non-official background. Besides regular and irregular examinations for civil service recruitment, Empress Wu instructed the Ministry of War to conduct military recruitment examinations in which candidates were tested on their abilities in archery, horsemanship, and so forth, and he who came out top could be appointed to a military post. Empress Wu also presided over imperial examinations in person in the palace and these were called palace examinations (Dianshi, 殿试). Song regularized the system of palace examination, in an imperial effort to prevent collusion between examiners and examinees. Those who passed the examination launched by the Ministry of Rites were further examined by the Emperor himself in the palace examination and were listed in order of quality, broken into broad categories (Jia, 甲). The very best examinees were granted their degrees with honors (Jidi, 及第); the next-best with a qualification to enter service, and the rest with the notation that they qualified to enter service (Tong Chushen, 同出身). The examinee whose name headed the list was called the Best Graduate, and the winners of the second and third places were referred to as the Second Graduates (Bangyan, 榜眼). All of them, however, could be called Best Graduates. Southern Song made it more detailed so that the examinee ranking first was called Best Graduate, followed by the Second Graduate and the Third Graduate (Tanhua, 探花). The imperial examination was also in practice in Liao, Jin and Yuan. Differently, Liao gave it to only Chinese; Jin made it open to both Jurchen and Chinese; Yuan welcomed all its people, Mongol, Semu, Chinese, and Southerners, to take it, but successful Mongol and Semu candidates were placed in one list and the remaining two on another. In Ming and Qing, the imperial examination was tightly bound to the school system and was conducted in three phases: ———————————— 32 The four tests included physical test, eloquence test, calligraphy test and document reviewing test.

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Provincial Examination (Xiangshi, 乡试), Metropolitan Examination (Huishi, 会试) and Palace Examination (Dianshi, 殿试). Only Government Students and Students from the Directorate of Education (Jiansheng, 监生) were eligible to take part. The provincial examination was held every three years in all provincial capitals. Successful candidates were called Provincial Graduates and the highest-ranking candidate was called Provincial Graduate with Highest Honors (Jieyuan, 解元). The Metropolitan Examination was conducted at the capital one year after the Provincial Examinations. The successful candidates were called Tribute Students (Gongsheng, 贡生) and the one coming out first was the Principal Graduate (Huiyuan, 会元). Those who passed the Metropolitan Examination then took a shorter, confirmatory palace examination chaired by the Emperor. All those that passed received the designation Presented Scholar and were ranked in order of excellence into three categories. The first category consisted of the top three examinees, designated the status of Presented Scholar with Distinction (Jinshi Jidi, 进士及第). The highest-ranking one was called Best Graduate, the following two were the Second Graduate and the Third Graduate, and collectively they three were known as the Three Top Graduates (San Ding Jia, 三鼎甲). In the best group, they would be promptly appointed to offices in the Hanlin Academy. Those categorized in the second group were awarded the status of Regular Presented Scholar (Jinshi Chushen, 进士出身) and those in the third category were designated Associate Presented Scholars (Tong Jinshi Chushen, 同进士出身). Those whose names headed the lists of the second and third groups were designated “List Leaders” (Chuanlu, 传胪). These Presented Scholars, except the top three, either competed for the office of the Hanlin Bachelor (Shuji Shi, 庶吉士) or held other offices. After the reign of Emperor Yingzong, the Hanlin Academy refused to admit non-Presented Scholars and the Cabinet rejected non-Hanlin Scholars. However, when one was assigned as Hanlin Bachelor, he had been deemed as a “potential Chancellor” (Chuxiang, 储相). With a variety of agencies and methods of recruitment, it is noteworthy that in the dynastic ancient China, there were a great many different stipulations for official appointment, covering a wide range of aspects like probation, replacement, quota, tenure, restriction and avoidance. The following section will introduce a few of them. In early Han, an official, once appointed, served for a year on probation,

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striving to retain the office and earning a low salary. If he was incompetent during this period, he could be reduced to the former post, or demoted, even dismissed. There were diversified terms to indicate different official statuses. “Acting” (Jia, 假) was a prefix to a title suggesting that an official was serving in another’s role temporarily. “Concurrent” (Ling, 领) was the designation of an official who, in addition to performing the duties of his principal regular post, was assigned to serve concurrently in charge of another agency or in another post. “Interim” (Xing, 行) was a term for an official who was in an office where there was a temporary vacancy. “Expectant Official” (Daizhao, 待诏) basically referred to a recommendee awaiting a formal substantive assignment. These terms were generally perpetuated through the dynasties thereafter, though with some changes. Qin stipulated that the quota for an office be established beforehand. From Han on, the quotas of all offices were definitely documented in historical records. After Emperor Taizong of Tang streamlined government organs, there were only 643 civil and military officers at the capital, a record low at that time, but later the number grew to 730. During the reign of Emperor Xuan, the Six Institutions of Tang came out legalizing quotas of all officials, even functionaries. Qing not only prescribed quotas for different institutions, but also made clear the quota for Manchu, Mongol and Chinese in an office. For example, the Minister of Personnel was assumed by one Manchu and one Chinese, so were the Left and Right Vice Ministers. The office of the Headquarters Secretary (Tang Zhushi, 堂主事) was held by four Manchu and one Chinese. The post of the Director for each section was filled by nine Manchu, one Mongol and five Chinese and the Vice Directors included one imperial clansman, four Manchu, one Mongol and seven Chinese. The tenure, even for a specific post, varied from dynasty to dynasty. It was common in Han that officials were in office for a very long time. Some Chancellors held the post for 15 years and some Commandery Governors served for 30 years. It was also difficult to get promoted or transferred. Zhang Shizhi obtained the status as a cavalryman, but at the cost of 10 years in the same office. The Inspector had to go through a nine-year tenure before he was qualified to be elevated to the status of Governor or Minister. In the Sui Dynasty, however, the central authority ordered the Inspector and Magistrate to transfer every three years and their Aides every four years, apparently a government effort made to prevent local officials

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from gaining too much influence in one area. In Song, if one had not taken part in the imperial examination or been nominated to the court, he was not allowed to enter service until he was 25 years old. The metropolitan appointees would be removed from office after 30 months. Local officials were similarly changed every three years. With regards to restrictions on official appointment and avoidance, Chinese rulers brought forth different principles to minimize opportunities for officials to form cliques. In Han, rules like “imperial clansmen were forbidden to administer the three important commanderies close to the capital, namely, Hedong, Henei and Henan,” “imperial relatives were not allowed to guard the palace” and “brothers of consorts and concubines were not right persons to assume the Nine Chamberlains” were formulated to hinder imperial clansmen from accumulating too much power. In order to contain consort clans and eunuchs, it was stipulated in Eastern Han that “consort clansmen must neither be conferred ranks of nobility nor intervene in politics”; “adopted sons of eunuchs were not allowed to serve as Breeder of Sacrificial Animals (Muren, 牧人)”. Moreover, a ban named the Law of Triple Avoidance (Sanhu Fa, 三互法) was introduced, which provided that an official not only could never be appointed Regional Inspector in an area of which he was a registered native but, in addition, could not serve in the native area of the Inspector of his own native area, or even in the native area of the latter’s wife. Tang imposed restrictions of practical significance upon official appointment, such as “the young and inexperienced must not be appointed County Magistrate”, “those who had never held office in County or Prefecture were prohibited from working in the Censorate or the Three Departments” and “corrupted government or territorial officials, if not sentenced to death, were not allowed to be reappointed, despite the remission from the central court”. The avoidance system also made explicit that no man could serve in any agency where a kinsmen was already employed. For example, if the father was a Chancellor, his son mustn’t serve as a remonstrator; brothers must not work in the same province. The restriction about native place also deprived officials of the opportunity to serve in the county or prefecture of which they were themselves registered natives or the neighboring counties or prefectures. Restrictions and avoidance rules in Song, Ming and Qing were more sophisticated and concrete.

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2. Ranks, titles and salaries The rank of an official was closely related to his status and salary. The entire aristocracy in Western Zhou was overlaid with a complicated rank pattern called the Nine Honors (Jiuming, 九命), ranging downward from 9. The senior Duke was of the ninth honor and as the Regional Earl, his state, palace, chariot, apparel and rites were all denoted by “nine”. The Three Ducal Ministers were of the eighth honor, the Marquise and the Earl of the seventh honor, the Minister of the sixth honor, the Viscount and the Baron of the fifth honor and the Grand Master of the fourth honor. Dukes, Ministers and Grand Masters, if ennobled, could be elevated to a higher honor. Han graded its government officials by their annual salary ranks, measured in the grain unit known as bushels (Dan, 石, a unit of volume, approximately 35 liters), in a hierarchically descending manner including 10,000 bushels (Wandan, 万 石 ), fully 2,000 bushels (Zhong Erqian Dan, 中 二 千 石 ), exactly 2,000 bushels (Zhen Erqian Dan, 真二千石), 2,000 bushels (Erqian Dan, 二千石), equivalent to 2,000 bushels (Bi Erqian Dan, 比二千石), 1,000 bushels (Qiandan, 千石), equivalent to 1,000 bushels (Bi Qiandan, 比千石), 800 bushels (Babai Dan, 八 百石), equivalent to 800 bushels (Bi Babai Dan, 比八百石), 600 bushels (Liubai Dan, 六百石), equivalent to 600 bushels (Bi Liubai Dan, 比六百石), 500 bushels (Wubai Dan, 五百石), equivalent to 500 bushels (Bi Wubai Dan, 比五百石), 400 bushels (Sibai Dan, 四百石), equivalent to 400 bushels (Bi Sibai Dan, 比四百石), 300 bushels (Sanbai Dan, 三百石), equivalent to 300 bushels (Bi Sanbai Dan, 比三百石), 200 bushels (Erbai Dan, 二百石), equivalent to 200 bushels (Bi Erbai Dan, 比二百 石), 100 bushels (Baidan, 百石), equivalent to 100 bushels (Bi Baidan, 比百石). The lowest-level officials were paid in dou (斗, a tenth of a bushel). Each official was specified to a rank. For example, the Grand Preceptor, Grand Mentor, Grand Guardian, Chancellor, Defender-in-chief, Censor-in-chief, Front General, Rear General, Left General and Right General each ranked 10,000 bushels while the Nine Chamberlains and the Chamberlain for the Imperial Insignia each earned the fully 2,000 bushels every year. Due to the established specification, the salary rank sometimes referred to a particular title. For instance, the “2,000 bushels” was a generic reference to the Commandery Governor.

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From the Wei-Jin period, all officials were graded into 9 ranks. During the Southern Dynasties, the system of Nine Ranks was supplemented by the system of Eighteen Classes (Shiba Ban, 十八班) granted to officials as indicators of status. Further, Northern Wei divided each rank into the senior class and the junior class and subdivided each class into the upper and the lower from rank 4 on, so there were in total 30 classes. Officials within the 30 classes of the 9 ranks were “of the official status” and the rest “out of official status”. Even so, those out of official status, mostly functionaries, were also ranked in practice. The systemized gradation endured into Tang and Song, but Sui, Yuan, Ming and Qing retained the senior and junior classes and no further division was made, so there were only 18 classes and 9 ranks. In Ming and Qing, those outside the official status were not ranked any more. Into the Wei-Jin period, some titles were awarded solely to some long-serving former or meritorious officials to highlight their seniority. Having no relation to their actual functional activities, these titles determined the salary and allowances of their holders, known as “Prestige Titles” (Sanguan, 散官) or in Song, “Salary Offices” (Jilu Guan, 寄禄官). Tang gathered all the prestige titles of the Wei-Jin period and classified them to rank each official concretely as “Substantive Rank” (Benpin, 本品) or “Prestige Rank” (Jiepin, 阶品 or Sanjie, 散阶). For civil service, there were hierarchically 29 prestige ranks and among them, of rank 1b was the Commander Unequalled in Honor (Kaifu Yitong Sansi, 开府仪同三司); of rank 2a was the Lord Specially Advanced (Tejin, 特进); of rank 2b was the Grand Master for Splendid Happiness (Guanglu Dafu, 光禄大夫); of rank 3a was the Grand Master of the Palace with Golden Seal and Purple Ribbon (JInzi Guanglu Dafu, 金紫 光禄大夫); of rank 3b was the Grand Master of Imperial Entertainments with Silver Seal and Blue Ribbon (Yinqing Guanglu Dafu, 银青光禄大夫); of rank 4a1 was the Grand Master for Proper Consultation (Zhengyi Dafu, 正议大夫); of rank 4a2 was the Grand Master for General Consultation (Tongyi Dafu, 通议大夫); of rank 4b1 was the Superior Grand Master of the Palace (Taizhong Dafu, 太中大夫); of rank 4b2 was the Grand Master of the Palace (Zhong Dafu, 中大夫); of rank 5a1 was the Grand Master of Palace Leisure (Zhongsan Dafu, 中散大夫); of rank 5a2 was the Grand Master for Court Discussion (Chaoyi Dafu, 朝议大夫); of rank 5b1 was the Grand Master for Court Audiences (Chaoqing Dafu, 朝请大夫); of rank 5b2 was the Grand Master for Closing Court (Chaosan Dafu, 朝散大夫). Below rank 5b2,

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in a downward order of rank, were the Gentleman for Court Discussion (Chaoyi Lang, 朝议郎), the Gentleman for Discussion (Chengyi Lang, 承议郎), the Court Gentleman Consultant (Fengyi Lang, 奉议郎), the Court Gentleman for Comprehensive Duty (Tongzhi Lang, 通直郎), the Gentleman for Court Audiences (Chaoqing Lang, 朝请郎), the Court Gentleman for Manifest Virtue (Xuande Lang, 宣德郎), the Gentleman for Closing Court (Chaosan Lang, 朝散郎), the Court Gentleman for Manifest Rightness (Xuanyi Lang, 宣议郎), the Supervising Secretary (Jishi Lang, 给事郎), the Gentleman for Summoning (Zhengshi Lang, 征事郎), the Gentleman for Attendance (Chengfeng Lang, 承奉郎), the Gentleman for Rendering Service (Chengwu Lang, 承务郎), the Gentleman-Confucian (Rulin Lang, 儒林郎), the Court Gentleman for Promoted Service (Dengshi Lang, 登仕郎), the GentlemanLitterateur (Wenlin Lang, 文林郎) and the Court Gentleman for Ceremonial Service (Jiangshi Lang, 将仕郎). For military officials, there were in total 45 prestige titles among which of rank 1b was the Cavalry General-in-chief (Biaoqi Da Jiangjun, 骠骑 大将军); of rank 2a was the Bulwark General-in-chief of the State (Fuguo Da Jiangjun, 辅国大将军); of rank 2b was the Defender General-in-chief of the Troops (Zhenjun Da Jiangjun, 镇军大将军; of rank 3a were the General-in-chief Commanding the Troops (Guanjun Da Jiangjun, 冠军大将军) and the Civilizing General-in-chief (Huaihua Da Jiangjun, Huaihua Da Jiangjun, 怀化大将军); of rank 3b was the Civilizing General (Huaihua Jiangjun, 怀化将军); down to rank 9b2 was the Vice Commandant Tending the Western Frontier (Peirong Fuwei, 陪戎副尉). An official was awarded a prestige title according to his noble status, connections, meritorious service, education and morality, and performance assessment, not only on his substantive performance in post. So to speak, his prestige rank was not necessarily consistent with his function. Some low-ranking officials performed important functions and vice-versa, but it was the rank that determined the salary. In early Song, the regular functioning title agreed with the prestige title. After Emperor Shenzong’s reform, the system instituted in Tang was recovered. Later Emperor Huizong re-classified military service officials into 52 prestige ranks with the Defender-in-chief as the highest. In Song, eunuchs were graded in a scale of 12 prestige ranks, medical officials divided into 14, Hanlin astronomical appointees into 15 and musical officials into 15. Ming divided civil officials into 42 prestige ranks, from rank 1a to 9b and for military service into 30, from 1a to 6b. Each prestige rank was further divided into the junior (Chushou, 初 授 ), and the promoted (Shengshou, 升授), but ranks from 2b to 4b were categorized junior, ~174~

promoted and honorific (Jiashou, 加授). In the Qing Dynasty, all officials, civil and military, were graded into 18 classes and 9 ranks. Civil officials from rank 1a to 5b were called Grand Masters and from 6a to 9b Gentlemen, while military officials were called Generals from 1a to 2b and Defenders, Cavalries and Commandants from 3a to 9b. Turning to the titles of the nobility in ancient China, imperial clansmen, meritorious men or great minds were very likely to be ennobled. The title of a nobleman, like the rank of an official, suggested his status and salary. Aristocrats in Western Zhou were normally graded into three large categories, Feudal Lords, Grand Masters and Servicemen. The Feudal Lord and the Grand Master were official titles and in that age, Feudal Lords owned feuds and Grand Masters possessed fiefs. In general, they earned their salaries from their real estate—feuds and fiefs. Servicemen, however, lived on the emolument land (Lutian, 禄田). During the Warring States Period, the nobleman was addressed with a prefix “Lord” (Jun, 君), like the Lord of Xinling (信陵君) and the Lord of Pingyuan (平原 君), but it was not confined to the imperial clan, nor was it an official title. The title-holder simply collected taxes within his territory to earn his salary and the administrative officer was nominated by the sovereign. Han ennobled its imperial clansmen into two categories, Princes (also known as Feudal Lords) and Marquises (Like County Marquis, Township Marquis and Neighborhood Marquis). The Feudal Lord originally practiced the administrative authority which was, however, taken back by the central government. From the Cao-Wei Dynasty to the Southern and Northern Dynasties, the imperial clansmen were, by and large, ennobled into six classes, namely, Princes, Dukes (like County Duke and Township Duke), Marquises (Like County Marquis, Township Marquis and Neighborhood Marquis), Earls (Neighborhood Earl), Viscounts and Barons. During the late Southern Dynasties, a distinction was made among Imperial Princes (Qinwang, 亲王), Princes Presumptive (Siwang, 嗣王) and Regional Princes (Fanwang, 藩王). The Sui nobility was graded into 9 categories, in a descending sequence of rank, Princes of the State (Guowang, 国王), Commandery Princes (Junwang, 郡王), Dukes of the State (Guogong, 国公), Commandery Dukes (Jungong, 郡公), County Dukes, Marquises, Earls, Viscounts and Barons. Emperor Yang later retained only 3 categories, Princes, Dukes and Marquises and designated Imperial Uncles

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(Huang Boshu, 皇 伯 叔 ), Imperial Brothers (Kundi, 昆 弟 ) and Imperial Sons (Huangzi, 皇子) as Imperial Princes. In Tang, careful distinctions were made among Imperial Princes, Commandery Princes and Princes Presumptive and between Dukes of the State and Commandery Dukes. Imperial Brothers and Sons were enfeoffed feuds and given the designation Imperial Prince. The son of the Crown Prince was called the Commandery Prince. Among sons of the Imperial Prince, the eldest was known as the Prince Presumptive and other sons were Commandery Dukes. Those to inherit the titles of Commandery Duke and Prince Presumptive were Dukes of the State. Aristocrats in Song were classified into 6 ranks, Prince, Commandery Prince, Duke of the State, Commandery Duke, County Duke and Marquis. Different from Han and Tang, the peerage title was inheritable. Liao divided the nobility into Princes of the State, Commandery Princes and Dukes of the State. The First-class Prince (Yizi Wang, 一字王) was an exclusive title to sons of the Emperor. Jin perpetuated the system of Liao. In Yuan, the First-class Prince and the Second-class were differentiated. Those of the same surname with the royal family but without a aristocratic status and fief were called Princes of the Imperial Clan (Zongwang, 宗王). The nobility of Ming was more complexly classified, such as Imperial Prince, Commandery Prince, Defender Duke (Zhenguo Gong, 镇国公), Bulwark Duke (Fuguo Gong, 辅国公), Supporter Duke (Fengguo Gong, 奉国公), Defender-general of the State (Zhenguo Jiangjun, 镇国将军), Bulwark-general of the State (Fuguo Jiangjun, 辅国将军), Supporter-general of the State (Fengguo Jiangjun, 奉国将军), Defender-commandant of the State (Zhenguo Zhongwei, 镇国中尉), Bulwark-commandant of the State (Fuguo Zhongwei, 辅国中尉) and Supporter-commandant of the State (Fengguo Zhongwei, 奉国中尉). All these noble titles were hereditary only to the eldest son and other sons were of one rank lower. Qing divided its imperial clan into 14 ranks, in a descending sequence, Imperial Prince (Heshuo Qinwang, 和硕亲王), Heir (Shizi, 世子), Commandery Prince (Duoluo Junwang, 多罗郡王), Heir of the Commandery Prince (Zhangzi, 长 子 ), Beile (Duoluo Beile, 多 罗 贝 勒 ), Banner Prince (Gushan Beizi, 固 山 贝 子 ), Defender Duke, Bulwark Duke, Lesser Defender Duke (Buru Bafen Zhenguo Gong, 不入八分镇国公), Lesser Bulwark Duke (Buru Bafen Fuguo Gong, 不入八分辅国公),

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Defender-general of the State, Bulwark-general of the State, Supporter-general of the State and General by Grace (Feng’en Jiangjun, 奉恩将军). Among them, the Defender-general of the State, Bulwark-general of the State and Supporter-general of the State were further divided into three ranks. Titles for female subjects of the aristocracy also varied from dynasty to dynasty. In Zhou, the daughter of the King was called Royal Daughter (Wangji, 王姬). It was not until the Warring States Period that the King’s daughter was called Princess (Gongzhu, 公主). Han allocated the title Princess to the Emperor’s daughter, Grand Prince (Zhang Gongzhu, 长公主) to his sisters and Prince Supreme (Dachang Gongzhu, 大长公主) to his paternal aunts. The territory the Princess owned was called Fief (Yi, 邑) and the system largely endured into Ming. In Tang, Commandery Princess (Junzhu, 郡主) was a noble title granted to daughters of the Crown Prince and County Princess (Xianzhu, 县主) to daughters of other Princes. In Qing, the daughter of the Empress was called Imperial Princess of the First Degree (Gulun Gongzhu, 固 伦 公 主 ). Imperial Prince (Heshuo Gongzhu, 和硕公主) was the title distributed to daughters borne by secondary wives or concubines other than the Empress. The title Imperial Clanswoman (Gege, 格格) was a general reference to any daughter of imperial kinsmen. Different from Tang, Commandery Princess was used to refer to daughters of Imperial Princes, known in Manchu language as Heshuo Gege (和硕格 格). The Princess’s husband was called Consort (Fuma, 驸马 during the Wei and Jin Period and E’fu, 额驸 in the Qing Dynasty). From Western Zhou onwards, it had been the clan law that governed the conferment of noble titles. Yet, from the Spring and Autumn Period on, the nobility system was reformed in order to undermine the power of the aristocracy, boost agricultural development and solicit talented persons. Noble titles including Lord, Marquis, Minister, Grand Master and Baton Holder (Zhigui, 执圭) were open not only to clansmen, but also to civil officials, high-ranking military officers, even servicemen. Titles of honorary nobility were, in most cases, conferred on meritorious military subjects, but after the Shang Yang Reform in the State of Qin, they were applicable to almost the whole of officialdom. At that time, there were 20 titles of honorary nobility that constituted the system of the 20 Military Ranks, in an ascending order, Grandee of the First Order (Gongshi, 公士), Grandee of the Second Order (Shangzao, 上造), Grandee of the Third Order (Zanniao, 簪袅),

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Grandee of the Fourth Order (Bugeng, 不更), Grandee of the Fifth Order (Dafu, 大 夫), Grandee of the Sixth Order (Guan Dafu, 官大夫), Grandee of the Seventh Order (Gong Dafu, 公大夫), Grandee of the Eighth Order (Gongcheng, 公乘), Grandee of the Ninth Order (Wu Dafu, 五大夫), Grandee of the Tenth Order (Zuo Shuzhang, 左 庶 长 ), Grandee of the Eleventh Order (You Shuzhang, 右 庶 长 ), Grandee of the Twelfth Order (Zuogeng, 左更), Grandee of the Thirteenth Order (Zhonggeng, 中更), Grandee of the Fourteenth Order (Yougeng, 右更), Grandee of the Fifteenth Order (Shao Shangzao, 少上造), Grandee of the Sixteenth Order (Da Shangzao, 大上造 or Da Liangzao, 大良造), Grandee of the Seventeenth Order (Siche Shuzhang, 驷车庶长), Grandee of the Eighteenth Order (Da Shuzhang, 大庶长), Grandee of the Nineteenth Order (Guannei Hou, 关内侯), and Grandee of the Twentieth Order (Chehou, 彻侯 or Tonghou, 通侯 or Liehou, 列侯). The Grandee of the Twentieth Order was the highest of all, and along with the Grandee of the Nineteenth Order, were comparable to Feudal Lords. Grandees from the Tenth Order to the Eighteenth were similar to Ministers. Those from the Fifth Order to the Ninth were identical to Grand Masters and those below the Fourth Order were equated with Servicemen. In the imperial clan, those without any military achievements could not only be conferred no titles, but were also stripped of the membership of the imperial family. Han inherited the system of the 20 Military Ranks with some modifications. It started from the Grandee of the Seventh Order in bestowing fiefs while Qin enfeoffed Grandees higher-ranking than the Ninth Order. Below the Seventh Order were titles for meritorious commoners who would be granted a certain area of land and residence according to their ranks. Then Emperor Wu of Han initiated another but short-lived system of the 11 Military Ranks as a supplement of the 20 Military Ranks system, and they were Grandee of the First Rank (Zaoshi, 造士), Grandee of the Second Rank (Xian Yu Wei, 闲舆卫), Grandee of the Third Rank (Liangshi, 良 士), Grandee of the Fourth Rank (Yuan Rong Shi, 元戎士), Grandee of the Fifth Rank (Guanshou, 官首), Grandee of the Sixth Rank (Chengduo, 乘铎), Grandee of the Seventh Rank (Qianfu, 千夫), Grandee of the Eighth Rank (Yueqing, 乐卿), Grandee of the Ninth Rank (Zhirong, 执戎), Grandee of the Tenth Rank (Zhengli Shuzhang, 政戾庶长) and Grandee of the Eleventh Rank (Junwei, 军卫). Those with any of the ranks could enter government service, with the high-ranking appointed as Marquis, Minister or Grand Master and the low-ranking serving as Gentleman.

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The titles below the Eighth Rank were purchasable and those above the Ninth Rank were exclusive titles to personages with military merits. The Cao-Wei regime modified the system of the 20 Military Ranks and instituted six titles subordinate to each of the Grandees of the Twentieth Order and the Nineteenth, including the Grandee of the Eighteenth Order (Minghao Hou, 名号侯), the Grandee of the Seventh Order (Guanzhong Hou, 关中侯), Grandee of the Sixteenth Order (Guanwai Hou, 关外侯) and the Grandee of the Fifteenth Order (Wu Dafu, 五大夫) to be awarded to subjects for extraordinary military achievements. Grandees lower-ranking than the Nineteenth Order were not entitled to collect taxes, so they were known as nominal titles. The Jin government, apart from ennobling imperial clansmen, also installed titles of nobility like Duke, Dynasty-founding Commandery Duke (Kaiguo Jungong, 开国郡公), County Duke, Marquis, Dynasty-founding Commandery Marquis (Kaiguo Junhou, 开国郡侯), County Marquis, Earl, Dynasty-founding Earl (Kaiguo Bo, 开 国 伯 ), Viscount, Dynasty-founding Viscount, Baron, Dynasty-founding Baron (Kaiguo Nan, 开国 男), Township Marquis, and Neighborhood Marquis. Senior servicemen were graded into five ranks and enfeoffed land. The Commandery Duke and County Duke were equipped with both subordinates and troops. Among the 9 ranks for the imperial clan in early Sui and in Tang, the highest for the non-Tang surnamed was the Commandery Prince. In as early as Northern Zhou, the state had granted certain non-hereditary merit titles (Xun, 勋) in recognition of outstanding military service, which were later applied to courtiers. Then Tang regularized the system of merit ranks (Zhuan, 转) ranged from a low of 1 up to a high of 12, each implying an honorary title. They were, in a descending order of rank, Supreme Pillar of State (Shang Zhuguo, 上柱国), Pillar of State (Zhuguo, 柱国), Senior Military Protector (Shang Hujun, 上护军), Military Protector (Hujun, 护军), Senior Commandant of Light Chariots (Shang Qingche Duwei, 上 轻车都尉), Commandant of Light Chariots (Qingche Duwei, 轻车都尉), Senior Commandant of Cavalry (Shang Qi Duwei, 上骑都尉), Commandant of Cavalry (Qi Duwei, 骑都尉), Commandant of Courageous Guards (Xiaoqi Wei, 骁骑尉), Commandant of Flying Cavalry (Feiqi Wei, 飞骑尉), Commandant of Fleet-as-clouds Cavalry (Yunqi Wei, 云骑尉), and Commandant of Militant Cavalry (Wuqi Wei, 武骑尉).

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In general, Song copied noble titles and merit titles practiced in Tang, but also conferred meritorious officials with honorary titles. In the Liao Dynasty, the Prince of the State, Commandery Prince and Duke of the State could all be designated Meritorious Ministers (Gongchen, 功臣), except sons of the Emperor destined to be crowned as First-class Princes. In the Ming Dynasty, both civil and military officials were ennobled into three large categories, Dukes, Marquises and Earls, each prefixed with a place name. The ennobled were paid yearly but enfeoffed no fiefs. Not all the titles were hereditary and merit titles were differentiated between the civil and the military. The militarily merit titles, very similar to those in the Tang Dynasty, were graded into 12 ranks, but the Left and Right Pillar of State (Zuoyou Zhuguo, 左右柱国) superseded the Supreme Pillar of State. The titles for civil officials, on the other hand, were divided into 10 ranks, specifically, Left and Right Pillar of State, Pillar of State, Supreme Chief Minister for Administration (Zhengzhi Shangqing, 正治上 卿), Chief Minister for Administration (Zhengzhi Qing, 正治卿), Governor Assisting in Administration (Zizhi Yin, 资治尹), Vice Governor Assisting in Administration (Zizhi Shaoyin, 资治少尹), Governor Participating in Administration (Zanzhi Yin, 赞治尹), Vice Governor Participating in Administration (Zanzhi Shaoyin, 赞治少尹), Governor Companion in Reform (Xiuzheng Shuyin, 修正庶尹) and Governor Companion in Rectitude (Xiezheng Shuyin, 协正庶尹). The Qing central authority coupled peerage titles with merit titles and classified them into 9 ranks, in a descending order, Duke, Marquis, Earl, Viscount, Baron, Commandant of Light Chariots, Commandant of Cavalry, Commandant of Fleet-as-clouds Cavalry and Commandant of Cavalry by Grace (Enqi Wei, 恩骑 尉). Titles from Duke to Commandant of Light Chariots were subdivided into three classes. Titles for wives of officials also varied from dynasty to dynasty. In Western Zhou, wives of Feudal Lords were addressed as Mistresses (Furen, 夫人). Into the Western Han period, the principal wife of the Crown Prince was called Consort (Fei, 妃) and the concubines were known as Related Lady of Excellence (Liangdi, 良娣). In Tang, there were strict stipulations about addressing mothers and wives of officials of all ranks. Consort was a generic reference to mothers and wives of Princes, Princes Presumptive and Commandery Princes. Consort of

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the State (Guo Furen, 国夫人) was a title of nobility conferred on mothers and wives of the nobles entitled Duke of the State and officials of rank 1. Commandery Consort (Jun Furen, 郡夫人) was an honorary designation awarded to wives and mothers of civil and military officials ranked higher than 3. Mothers and wives of rank 4 officials were called Commandery Mistress (Junjun, 郡君) and those of Rank 5 officials were called County Mistress (Xianjun, 县君). Township Mistress (Xiangjun, 乡君) was an honorary title granted to mothers and wives of officials with merit titles of rank 4. To differentiate between mothers and wives, mothers were sometimes attached the prefix “Grand” (Tai, 太), depending on ranks of their husbands and sons. If not prefixed “Grand”, the Consort was addressed Consort of Rank such-and-such and a Commandery Mistress was called Commandery Mistress of Rank such-and-such, and it was the same case with the titles County Mistress and Township Mistress. In the Song Dynasty, there were a variety of titles for wives of officials, such as Consort of the State, Commandery Consort, Lady of Virtue (Shuren, 淑人), Slender Lady (Shuoren, 硕人), Moral Lady (Lingren, 令人), Respectful Lady (Gongren, 恭人), Lady of Suitability (Yiren, 宜人), Lady (Anren, 安人) and Child Nurturess (Ruren, 孺人). Ming followed the practice of Tang and Song. In the Ming society, wives of the Duke were called Consort of the Such-and-such State, wives of the Marquis were called Consort of the Such-and-such Marquis, and those of the Earl were addressed Consort of the Such-and-such Earl. Wives of the rank 1 official were known as Lady of Rank 1, and those of officials below rank 1 were called Mistress (Rank 2), Lady of Virtue (Rank 3), Respectful Lady (Rank 4), Lady of Manifest Excellence (Xuanren, 宣人) (Rank 5), Lady (Rank 6) and Child Nurturess (Rank 7). If they were ennobled by virtue of their son’s or grandson’s rank, their title should be prefixed “Grand”, but if their husbands were alive, the prefix was forbidden. In the Qing Dynasty, wives of officials from rank 1 to rank 7 were addressed in the same way as they were in Ming, but wives of rank 8 officials were called Child Nurturess of Rank 8, those of rank 9 officials called Child Nurturess of Rank 9. The family of the rank 1 official could be ennobled for three generations, families of the rank 2 and rank 3 officials for two generations and those of the rank 4, 5, 6, and 7 officials for only one generation. The official ranked lower than 7 had no authority to ennoble his family. An official’s salary was dependent on his official rank and noble title and prior

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to the Spring and Autumn Period, the salary rank was hereditary. Feudal Lords, Ministers and Grand Masters earned their salaries from their territories, which was inherited for generations. When the custom of enfeoffment was being replaced by the bureaucratic system, most officials were deprived of their feoffs, so they received a certain quantity of grain from the government as their salaries. Very few officials who owned feoffs lived on taxes, but they had no administrative power at all. Although payment for service was unclear in the Qin Empire, it was sure that the quantity of grain determined the rank. In historical records, officials of the 100-bushel salary rank and of the 1,000-bushel rank were documented quite often. Western Han ranked an official on the basis of his annual salary measured in the grain unit known as bushel (Dan, 石). However, officials in fact got paid every month in the measurement unit of hu (斛) which consisted of 10 dou. For instance, each of the Nine Chamberlains was in theory ranked fully 2,000 bushels, but in reality, they took home 2,160 bushels every year, so they earned 180 hu every month. Hu is a volume unit and bushel a unit of weight. One hu weighed one bushel which contained 60 kilograms. Officials in Eastern Han were paid half in grain and half in money. Take an official ranked equivalent to 2,000 bushels as an example; he could gain 9,000 coins and 72 hu of rice on a monthly basis. Although officials were ranked in the Cao-Wei Dynasty, they were paid only one fifth of the salaries earned by their counterparts in the Han Dynasty. In the State of Western Jin, each official occupied a certain area of land, depending on his rank. Officials of rank 1 could take up 50 qing (顷, a unit of area, equal to 6.6667 hectares); those of rank 2 could be allocated 40 qing and of rank 9 only 10 qing. However, they were also given materials like grain and silk. The Dukes and Ducal Ministers, of rank 1, earned 5 hu every day, 100 bolts of silk in spring, 200 bolts of silk in autumn and additional 100 kilograms of cotton. In early Northern Wei, officials were not paid and this situation didn’t change until Emperor Xiaowen undertook reforms. Thereafter, all officials were paid every season, and the remuneration varied individually according to rank. Officials serving on the Prefecture, Commandery and County levels were distributed certain areas of state-owned land. The Inspector was given 15 qing, the Governor 10 and the Magistrate 6 qing. Besides this, each of them was given a stipend according to the number of households they administered. In Northern Qi, an official’s salary comprised silk, grain and money and the number of bolts of silk ~182~

determined the salary rank. Officials of rank 1 received 800 bolts every year and each rank had a margin of 200 bolts over the rank immediately below it. Officials of rank 1b gained 700 bolts every year and the margin was 175 bolts. Those shouldering heavier responsibilities earned a rank higher than their original salary rank, and those performing lighter duties were reduced to a lower rank. Officials in Western Zhou were paid according to the harvest, so years were classified into Superior Year, Medium Year and Inferior Year. In the superior year, officials were fully paid; in the medium year, they were half paid and in the inferior year, they were paid one third. In a year of crop failure, they would be paid nothing. In the Sui Dynasty, the salary was offered in grain. Among metropolitan officials, those of rank 1a were paid 900 bushels and those of rank 4a earned 300 bushels, so the graded range was 100 bushels. Officials of rank 4b obtained 250 bushels and those of rank 6a 100 bushels, so the graded range among officials of rank 4b and lower was 50 bushels. From rank 6b to rank 8b, the margin was 10 bushels. Those of rank 9, tax collectors and non-functioning officials were not paid. In the outer court, officials like Inspector, Governor and Magistrate were paid according to how many households they managed. For example, all prefectures were divided into 9 classes with the Inspector of the very best prefecture gaining 620 bushels, and as the margin for each class was 40 bushels, the Inspector of the very worst prefecture got 300 bushels. In addition, capital and provincial officials were also distributed land according to their ranks, known as office land (Zhitian, 职田). In the Tang Dynasty, the salary consisted of rice, office land and various materials. At the outset, metropolitan officials were paid in rice and territorial officials in land on the basis of their ranks. During the reign of Emperor Taizong, all officials were, biannually in spring and autumn, paid in rice, which was converted from rent income. The rice of territorial officials was, however, a rank lower than that of metropolitan officials. Officials of rank 1 were paid 700 hu every year and those of rank 9b obtained 52 hu. If rice ran short, the salt would be used instead. When the land dividing system based on population size was in practice, each official was allocated an area of Lifelong Land (Yongye Tian, 永 业 田 ), depending on his rank. Functioning officials were given land on the basis of their duty rank. When they were in active service, the rent income was part of their salary. If they left office, the land should be handed over to their successors. The maximum income from office land was the state tax revenue from approximately

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1,200 acres and the minimum from 80. Materials included foodstuff, dress material, working appliance and even manpower resources like servants. All of them had currency equivalents. During the reign of Emperor Xuanzong, all materials were allocated in the name of salary. Officials of rank 1 received 31,000 coins (Qian, 钱) and those of rank 9 got 1,917. The salary of territorial officials was one rank lower than their metropolitan counterparts. In early Northern Song, officials were likewise paid according to their salary ranks. From the Chancellor to Temple Director (Miaoling, 庙令), there were 41 ranks. The Military Commissioner earned most money, 4,000 coins, followed by the Chancellor who earned 3,000 coins. The lowest-ranking obtained 300 to 500 coins. In spring and winter, each official were given a certain quantity of damask silk, tough silk and cotton, as well as grain, servants, firewood, coal and salt. Under the rule of Emperor Renzong, the Chancellor and the Palace Secretary received 3,000 coins on a monthly basis, and in spring and winter, 50 bolts of damask silk and thin silk, 5 kilograms of cotton, in addition to 100 bushels of grain monthly, 70 servants, 1,200 trusses of firewood monthly and 8,000 kilograms of coal and 7 bushels of salt annually. After the Emperor Shenzong’s reform, the salary materials were increased. For civil officials, the basic pay according to salary rank was supplemented by duty pay (Zhiqian, 职钱) which was classified into three ranks. If the titular post was one rank higher than the salary office, the duty pay was prefixed xing (行); if the post was one rank lower, the duty pay was prefixed shou (守) and shi (试) for two ranks lower. The basic pay and the duty pay doubled the salary prior to the reform. Besides this, provincial officials were also allotted office land ranging from 40 qing to 1 or 2 qing. However, in early Northern Song, the pay was cut by half and the office land was reduced substantially. The number of officials in Liao swelled but officials earned humble incomes. In the Jin Dynasty, the salary was composed of money, grain, rice and wheat. In spring and autumn, officials were given additional silk, damask silk and tough silk. Territorial officials were even offered office land. Yuan was initially devoid of a salary system, but Emperor Shizu then established one that governed both capital and regional officials and included silver, rice and office land. The maximum silver salary reached 5 to 6 ingot (Ding, 锭) and the minimum 30 to 50 taels. Later rice was added to the system, but each official received only a small quantity. Generally, 10 taels was equal to 1 bushel of rice. Provincial officials could meanwhile obtain ~184~

office land ranging from a dozen of qing to scores of acres. The Ming salary scales have been considered not very generous in comparison with other dynasties. During Emperor Taizu’s reign, officials were paid principally in bushels of rice, sometimes in paper money and coins supposedly equivalent to the value of rice. Emperor Chengzu broke the convention and paid officials in both rice and coins. The higher ranking an official was, however, the less rice he would however receive. One bushel of rice was equivalent to 10 strings of coins. Into the Mid-Ming period, the value of coins depreciated day by day, so cloth was incorporated into the salary structure. Unfortunately, the price of cloth also suffered from a downward tendency, so officials were consequently paid less and less. The salary in the Qing Dynasty consisted of silver and rice. Imperial Princes drew over 10,000 taels of silver and 5,000 bushels of rice every year. Civil and military officials, whatever their nationality was, were paid according to rank. Officials of rank 1 received 180 taels and 90 bushels annually. Regional military officers were not paid in rice, but the rice payable was converted into extra taels. Their annual pay was less than other officials, but the rice-converted silver was more than the annual pay. For example, if an official of rank 1 earned 95 taels every year, his rice-converted money could arrive at 144 taels. Capital officials, in addition to their regular salary, also received so-called grace payments (Enfeng, 恩俸), whereas provincial officials’ salaries came to be supplemented by special allowances to suppress corrupting temptations (Yanglian, 养廉). After Emperor Yongzheng took the throne, the amount of special allowances to suppress corruption became fixed, but the amount was still larger than their regular salary.

3. Assessment, rewards and punishments Historical documents have shown that there were systems like Royal Tour of Inspection (Tianzi Xunshou, 天子巡狩), Periodical Report (Shuzhi, 述职) and Grand Competition (Dabi, 大比) for personnel evaluation in Western Zhou, but the lack of concrete facts makes it difficult to determine whether they were regular practices. In the first two systems, it was generally the sovereign who evaluated the subjects, but the Grand Competition was a search conducted every three years to find worthy and capable men suitable for appointment to office. Into the Spring and ~185~

Autumn Period, all officials were subject to appointment of the sovereign. Once appointed to offices, provincial officials had to present a financial statement on their own regions to the throne for evaluation, which was known as “Account Submitting” (Shangji, 上计). Based on how the data of land, population and taxes had changed, the sovereign assessed their performance. During the Qin-Han Period, the system of personnel evaluation was laid down, and supplemented by the system for promotion, demotion, rewards and punishments. The evaluation submitted became a crucial evidence for an official’s performance. At ordinary times, the Commandery Governor and the County Magistrate, respectively, would record households, cultivated land, fiscal income and expenditure, and bandits within their jurisdictions. At the year end, the Magistrate would hand in the account book about his county to his superior Governor and Feudal Lord who then submitted the account books about the county, the commandery and the feud to the offices of Chancellor and Censor-in-chief. The Chancellor was responsible for merit rating while the Censor-in-chief verified its authenticity. Finally, the Chancellor and the Censor-in-chief would present all the reports, along with their remarks, to the throne. At that time, the Account Submitting was such a grand state affair that it fell on the first day of the first month of the lunar year when all officials arrived at the court to pay their homage to the Emperor. Before Emperor Wu came to the throne, accounts from all over the country were first submitted to the Grand Astrologer (Taishi Gong, 太史公) and the hand-copied version was handed up to the Chancellor. From late Western Han to Eastern Han, the Three Dukes were in nominal charge of personnel evaluation, but the Section for the Three Dukes of the Imperial Secretariat had the real power. As a convention, there was a “regular evaluation” (Changke, 常课) every year and a “grand evaluation” (Dake, 大课) every three years. The Governor assessed county-level officials, the Chancellor and the Censor-in-chief took charge of rating the Nine Chamberlains, Commandery Governors and Territorial Ministers, and the Three Dukes evaluated all clerks. The results of the ratings were all recorded and the highest rated (Kezui, 课最 or Gaodi, 高第) could be promoted, with those having made a special contribution or achievement getting an exceptional promotion. During the assessment, if any official was found to have made a mistake or committed a crime, he might be sentenced to death or dismissed; otherwise, he might be demoted (Zuozhuan, 左转

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or Zuoqian, 左迁) or fined (Bianzhi, 贬秩). The Wei, Jin, Southern and Northern Dynasties was a period of political turbulence, but the personnel evaluation was more developed than that in the Han Dynasty, and as a result, some of Han’s systems were drawn on or perpetuated by dynasties thereafter. The Minister of Personnel, among all his duties, was responsible for rating officials of all ranks. Moreover, an agency specialized in personnel evaluation was set up, headed by the Director of Evaluations (Kaogong Lang, 考功郎). What was to be evaluated was also prescribed in a systematic fashion. In the Cao-Wei Dynasty, Emperor Ming ordered Liu Zhao to draft 72 provisions about evaluating government officials, including senior prefectural and commandery officials, the nobility and courtiers, but the plan fell through. In Western Jin, an imperial edict came out that set out five standards to see whether a territorial official was upright, whether he loved his subjects, whether he sympathized with orphans, whether he attached importance to agricultural development and whether he cultivated himself. Eastern Jin and Southern Dynasties also proposed their standards for personnel evaluation. For example, the State of Liang listed 58 assessment articles which were generally consistent with the five standards stated above. Boiled down to the fundamentals, officials would be rated on their integrity, their care about the commoners and their agricultural management. In Northern Dynasties, assessment articles were more concise, and closely related to rewards and punishments. Northern Wei rated officials into three classes, the very best, the medium and the very worst. The very best would be promoted for sure, the medium remained where they were and the very worst would be fired. Officials of rank 5 and above would be evaluated by the Emperor and the nobility, while those of rank 6 and lower were submitted to the assessment of Ministers. In Western Wei, Su Chao brought forth 6 standards that had been preserved until now, including self-cultivation, moralization, agricultural development, appointment of worthy men, impartiality and equal tax distribution. Meanwhile, it was stipulated that he who was not acquainted with the 6 standards and accounting was not allowed to enter service. Sui and Tang assessed the appraisal systems of the Wei, Jin, Southern and Northern Dynasties and produced rather sound assessment laws. In Sui, the Vice Minister of Evaluations (Kaogong Shilang, 考功侍郎) was charged with the task of personnel rating, and Tang assigned the Bureau of Evaluations (Kaogong Si,

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考功司) to do the job. The Director of Evaluations took charge of rating capital officials and the Vice Director of Evaluations (Kaogong Yuanwailang, 考功员外郎) was responsible for provincial officials. During the reign of Emperor Taizong, another two prestigious capital officials were designated as Commissioners of Evaluation Verification (Jiaokao Shi, 校考使) to re-assess both metropolitan and territorial officials. In addition, one Supervising Secretary (Jishizhong, 给事中) and one Secretariat Drafter (Zhongshu Sheren, 中书舍人) were appointed, known as “Examiner for Evaluation of Capital and Provincial Officials” (Jian Zhongwai Guan Kao Shi, 监中外官考使), to supervise each of the two dignitaries. Evaluators, verifiers and supervisors were in place to ensure the evaluation was fair and just. All officials would be rated on their conduct and abilities in accordance with the norms of “Four Reputations and Twenty-seven Bests” (Sishan Qishi’erzui, 四善七十 二罪). The Four Reputations were for morality, for incorruption, for impartiality and for industriousness, imposed requirements on officials in terms of their quality and morality. The Twenty-seven Bests measured the best examples in 27 fields. To name just a few, the best minister of personnel was the one who took every candidate into serious consideration to select the best one; the best evaluation verifier was the one who praised the good and criticized the bad to publicize good deeds of good people; the best judge was the one who conducted appropriate interrogation to make a fair judgment; the best farm director was the one who ploughed and sowed at proper times to embrace a good harvest; and the best defender was the one who repelled all intruders at the frontier to protect the country. During the assessment, officials would be rated into nine classes according to the number of reputations and bests. He who was best in more than one field and enjoyed four reputations was rated as the very best; he who was best in more than one field and enjoyed three reputations went to the upper-medium class; he who was best in more than one field and enjoyed two reputations or best in no field but enjoyed three reputations belonged to the upper-lower class; he who was best in no field but enjoyed two reputations was the medium-upper; he who was best in no field but enjoyed one reputation was rated the medium-medium; he who muddled through his job, best in no field and enjoying no reputation, fell into the medium-lower category; he who took everything personally and made ill-considered judgments was lower-medium; and he who took advantage of his post, engaging in corrupt practices was rated the very worst. As the procedure continued, each official, with the record of his merits, faults, conducts and abilities, ~188~

was first evaluated by his superiors who would then read the record to the public to discuss his performance and determine which class he should fall into. If the official did not agree with the class the evaluation placed him in, he was permitted to lodge a request for reconsideration. All capital offices should, on the lunar October 1st the same year, submit the evaluation report of their own office to the Bureau of Evaluations, while the evaluation reports of provincial offices should be delivered to the Imperial Secretariat by the Territorial Representative (Chaoji Shi, 朝集使) before the lunar October 25th. The Imperial Secretariat would then gather all the reports and ask evaluation verifiers, examiners, Director and Vice Director of Evaluations to re-rate all officials. Every year, there was a “minor evaluation” to determine the class of each official and put it on record. Roughly every four years, there would be a “major evaluation” in which an official’s performance over these years was assessed to decide his being awarded, punished, promoted, or demoted. Those of the class medium-upper and above, if advanced in one rank, could be rewarded with three months’ salary. Those rated medium-medium retained office and those of the class medium-lower and below, if demoted, would be stripped of three months’ salary. Active officials of rank 5 and lower could be promoted by one class if rated medium-medium for four consecutive years, by two classes if rated medium-upper once, by three classes if rated upper-lower once, but dismissed once rated lower-lower. In the Song Dynasty, imperial power grew day by day and more attention was paid to personnel evaluation. During this period, a procedure known as “evaluation for reassignment” (Mokan, 磨勘) was inaugurated in order to prevent falsified reports or inappropriate promotions and demotions. In early Northern Song, the Bureau of Evaluation for Reassignment (Mokan Yuan, 磨勘院) was established to take charge of personnel assessment, which was divided into the Bureau of Capital and Court Officials (Mokan Jingchao Guan Yuan, 磨勘京朝官院) and the Bureau of Regional Officials and Subordinates (Mokan Muzhi Zhouxian Guan Yuan, 磨勘幕职州县官院). Later Emperor Taizong changed the Bureau of Capital and Court Officials into the Bureau of Personnel Evaluation (Shenguan Yuan, 审官院) and the Bureau of Regional Officials and Subordinates into the Bureau of Personnel Assignments (Kaoke Yuan, 考课院). When Emperor Zhenzong was in power, a system was formalized that capital and court officials could go through the evaluation for a promotion every three years. During the evaluation for

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reassignment, all officials, civil and military, fell into three categories. Those of integrity and with outstanding achievements belonged to the upper class, who could get a promotion or shorten the period for reassignment evaluation; those of integrity and with one merit were rated medium and deserved no rewards or punishments; and those notorious for corruption and maladministration went to the lower class, and were subject to a demotion or an extension of the period for reassignment evaluation. In reality, however, those of the medium class could get a promotion as well, so most officials would rather try to just make no mistakes than endeavor to make major achievements. During reassignment evaluation for capital and court officials, the Emperor would summon them to interview them in person, and it was also he who made the decision whether they could be promoted or demoted. Evaluation on provincial officials was far more complicated. Officials of supervisorates (Jiansi, 监司) like the circuit-level Tax Transport Commission (Zhuanyun Shisi, 转运使司) and Judicial Commission (Tidian Xingyu Si, 提点刑狱司) were rated by seven criteria while Governors and Magistrates were evaluated by the standards of Four Goods and Three Bests which was a modified version of the system instituted in Tang. The Four Goods persisted unchanged and the Three Bests simplified the Twenty-Seven Bests of Tang. Specifically speaking, the best administrator was the one who wronged no person and was good at tax collection; the best supervisor was the one who boosted land cultivation, agricultural production and irrigation works and the best “father-and-mother official” (referring to the County Magistrate most often) was the one who suppressed the bandits, supported the disadvantaged and enabled his people to live in peace and harmony. Governors and Magistrates were divided into three classes according to the Four Goods and Three Bests. If an official had reached five standards, he could be rated upper; if he lived up to three standards, he could fall into the medium class; otherwise, he was one of the lower class. As to the evaluation, if an official had been in office for one year, he was subject to one evaluation; if he had undergone three evaluations, his tenure was over and he should be transferred or promoted. Military officials, however, could not be transferred until they had worked in one place for five years. The system for personnel evaluation in the Jin Dynasty was also modeled after that of Tang and officials were assessed by the standards of Four Goods and Seventeen Bests. Magistrates were evaluated according to whether the land

~190~

was cultivated, whether the population grew, whether the tax was stable, whether banditry was suppressed, whether the army and the people were united and whether there were not too many judicial cases. All officials could not be evaluated until they had been in office for a fixed number of months; if an official was in a post for 30 months, he could receive a rating. The ratings were completed when a functioning official had spent 30 months in one post, when the Commissioners of Herds (Qunmu Shi, 群牧使) remained in their posts for three years, when the Defense Commissioner (Fangyu Shi, 防御使) was in active service for 40 months, when officials of the rank 3 and above had served for 50 months and when the Commissioner of Tax Transport was in office for 60 months. In the Yuan Empire, appointees in the capital, in the Branch Secretariat and in the Pacification Commission were rated every 30 months. Once rated, they could be promoted to a higher sub-rank and to another post. Provincial officials were evaluated every three years. They might be promoted to a higher class after one evaluation or to a higher sub-rank after two evaluations and to an entire higher rank after three evaluations. All officials, through merit ratings, could be promoted to rank 3 at most; to climb further up the ladder, they were subject to appointment of the Emperor. Territorial officials were rated on the basis of five standards, which excluded the standard of the unification of the army and the people among the six standards of Jin. If an official had reached all of the five standards, he could be promoted to a higher sub-rank; if he reached three of them, he could be transferred; if he reached only one of them, his salary could be cut; if he reached none of them, however, he could be demoted to a lower sub-rank. In the Ming Dynasty, personnel evaluation was mainly conducted on civil service officials. There were two systems complementing each other, rating (Kaoman, 考满) and evaluation (Kaocha, 考察), which were taken charge of by the Ministry of Personnel and the Censorate, and chaired by the Bureau of Evaluations (Kaogong Qinglisi, 考功清吏司) of the Ministry of Personnel. Rating was a comprehensive evaluation on officials, which might result in their being promoted, retained or demoted. All officials, whether capital or provincial, were subject to the first merit rating if they had remained in a post for three years. Three years later, they had to go through the second rating and another three years later, through a comprehensive rating. Each triennial rating was known as rating fulfilled, which would divide officials into three classes, competent, ordinary and

~191~

incompetent. There were three ratings within nine years, so if an official fell into the ordinary class after the first rating and into the competent class after the second rating, he belonged to the competent class thereafter. If he was incompetent after the first rating, but went to the competent class after the second rating, or if he was one of the competent class after the first rating but fell into the ordinary class after the second rating, he was ordinary. If he was incompetent after the first rating but became ordinary after the second, he was still incompetent. An official could get a promotion if he became competent, resume his post if he was ordinary and be demoted if he was incompetent. The corrupt could be sent to the judicial bureau to be convicted. Evaluation referred to administrative examination and disposal on officials, also known as “great reckoning” (Daji, 大计). Every three years, a large-scaled “outer evaluation” (Waicha, 外察) was triggered on provincial officials, and for officials on duty at the capital, a “capital evaluation” (Jingcha, 京察) was conducted every six years. The evaluation focused on instances of malfeasance or shortcomings in eight specific categories: avarice, cruelty, frivolity, inadequacy, senility, ill health, weariness and inattentiveness, known as the “Eight Faults” (Bafa, 八法). Capital officials of rank 4 and above were expected to submit confessions of their own faults and the Emperor decided on their career. Officials of rank 5 and lower were retired, downgraded, or dismissed, sometimes retaining an official identity but sometimes being reduced to commoners. Territorial officials, according to the Eight Faults, reported themselves to the county, prefectural and provincial authorities. Then the Viceroy and the Grand Coordinator checked their evaluation, updated records and reported to the central government. Finally, these regional officials were likewise retired, or downgraded, or dismissed but with the official identity or reduced to commoners. Personnel evaluation in the Qing Dynasty was similar to the system implemented in Ming. Differently, however, officials underwent only one triennial rating, so there were no more ratings three years later or six years later as in the Ming times. In other words, rating and evaluation were integrated. The capital evaluation was carried out in three different situations. Officials of rank 3 and above submitted their self-appraisals to the Ministry of Personnel which filled out their resumes and presented them to the Emperor for his verdict. Those of lower than rank 3 were taken before the throne by the Ministry of Personnel in sequence according to a resume list it had prepared. Those of lower than rank 4 were evaluated by the

~192~

executive officials of their agencies first, and then the Ministry of Personnel and the Censorate would determine their classes and report this to the Emperor. Provincial officials were also subject to three-year evaluations, called the great reckoning (Daji, 大计), as in Ming. Provincial Administration Commissioners and Surveillance Commissioners were first assessed by their superior Viceroy and Grand Coordinator and then reported to the Ministry of Personnel which would gather all information to present to the throne. Subordinates of the Prefect were first submitted to the evaluation of their Prefect and then to the evaluation of the Viceroy and the Grand Coordinator who would then deliver the information to the Ministry of Personnel. The evaluation highlighted four qualities: personal integrity, capability, work performance and seniority. In terms of personal integrity, officials were divided into three categories, the upright, the medium and the corrupt. For capability, there were the adequate, the medium and the inadequate. The work performance focused on attitude, so there were three categories, the diligent, the medium and the lazy. The seniority stressed experience, and there were senior, medium and junior classifications. Merit rating over the four qualities would result in three classes of officials. The first class (Chenzhi, 称职) consisted of upright, adequate, diligent and junior officials who could be put on the waiting list for promotion. Officials who were upright in personal integrity, adequate in capability, medium in work performance, and junior (or medium) in seniority, and those who were upright, diligent, medium in capability, and junior or medium in seniority fell into the second class (Qinzhi, 勤职). Those upright, medium in capability and work performance or medium in personal integrity but adequate and diligent belonged to the third class (Gongzhi, 供职). A practice similar to the Eight Faults was also in effect. The avaricious and cruel would be removed from office and punished, the inattentive and weary would be dismissed, the frivolous and inadequate demoted, and the aged and weak retired. Finally, the retirement system is worth discussing. There had been stipulations about official retirement in as early as the Western Zhou times. As is cited in the Commentary of the Book of Documents, “Grand Masters will retire at 70 and die in their hometown.” Once retired, Ministers and Grand Masters were called “Elders of the State” (Guolao, 国老) and Servicemen known as “Elders of the People” (Shulao, 庶老). It is documented in Royal Regulations, the Book of Rites that Zhou entertained the Elders of the State in the university at the capital and provided for

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the Elders of the People in the regional school. Retirement (Zhishi, 致仕 or Gaolao, 告老, Qinglao, 请老, and Lao, 老 during the Spring and Autumn Period) in ancient China meant to return the salary and the title to the sovereign. At that time, the retirement age of senior officials was 70. After Emperor Xuan of Han ascended to the throne, the Chancellor was also subject to retirement. Retired officials would be treated differently, depending on their title, achievement and to what extent they were favored and would receive a fixed pay during their retirement years. At that time, to retire was known as “to return home at an old age” (Guilao, 归老), or in a humble version, “to beg for a skeleton” (Qi Haigu, 乞骸骨). During the Southern and Northern Dynasties, most retired officials were conferred prestige titles like Lord Specially Advanced (Tejin, 特进) and Grand Master for Splendid Happiness (Guanglu Dafu, 光禄大夫) to stress their superiority and loftiness and indicate their salary. Tang followed the practice from antiquity and specified that “officials more than 70 years old should retire, but if they are still energetic, they can retire years later.” When asking for retirement, officials of rank 5 and above should present representations to the throne and those of rank 6 and lower should report to the Imperial Secretariat for the record. If retired officials asked for some materials, they didn’t have to get them in person as these materials would be sent to their residences by a specially-assigned person. Officials of rank 3 and above, after retirement, were still expected to take part in the court discussion on the first and the fifteenth day of the lunar month. After retirement, officials normally received half of the salary they drew when they were in active service, but some favored officials would receive full pay. Some officials were granted additional titles before retirement, and some were additionally titled after their retirement was approved. In the Song Dynasty, retired officials were generously paid (in most cases), promoted to a higher rank and conferred other titles. All senior retired officials with the honorary title Manager of Affairs were authorized to remain in the line to be appointees of the Secretariat and the Chancellery, and participate in state affairs. Even ordinary officials could be promoted or transferred after retirement and got half-pay, but military officials could only be paid in full if their service record had battle achievements and two promotions and transfers. Officials’ ranks and titles could privilege their descendants to be “appointed by protection” to an office. In the Ming Dynasty, civil and military officials aged at 60 and above should retire. Infirm officials who were more than 55 years old would be retired but with their official status retained, while those less than 55 would also retain their official ~194~

status, but be dismissed. All retired officials should go back to the places they had registered native home and were forbidden to remain in the capital or the place where their offices were situated. In the Qing times, retirement was known as “resignation on account of age” (Xiuzhi, 休致). The system was a copy of that instituted in Ming. During the reign of Emperor Qianlong, it was a provision that officials of the second and third classes in the capital evaluation should retire at the age of 55 and above. In practice, however, other factors were also taken into account. For retirement of military officials, there were strict rules: the Vice General and lower should be removed from office if they had reached 60, the Assistant Regional Commander should retire before 54, the Brigade Commander before 51, the Regional Commissioner and the Commandant before 48, and the Company Commander and the Squad Leader before 45 years of age.

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Appendix

Appendix

Simplified Figures33 Illustrating the Official Systems of Major Dynasties Han: Basic features: 1. Autocracy and imperial power concentration; 2. The central government was led by the Three Dukes with political, military and censorial powers respectively and the Nine Chamberlains performing specific duties; 3. The abolishment of the enfeoffment system in favor of the Commandery-County system. Three Dukes (Central)

Censor-in-chief (Grand Minister of Works)—Censorial

Chancellor (Grand Minister of Education)—Political

Defender-in-chief (Grand Minister of War)—Military

Note: In Eastern Han, the Minister of Works supervised governmental construction and the surveillance power was held by the Palace Aide of the Censor-in-chief.

———————————— 33 These figures only include major officers and their subordinates of major dynasties. The frontier management system and military system are excluded.

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Nine Chamberlains

Section for the Three Dukes (concerned with judicial matters)

Section for Receptions (divided into Southern and Northern Sections for Receptions in Eastern Han)

Section for the People (later assigned to supervise palace construction work in Eastern Han)

Note: Each section was headed by an Imperial Secretary, assisted by a Left Aide and a Right Aide.

Chamberlain for the Palace Revenues (with six Aides)

Chamberlain for the National Treasury (with two Aides)

Chamberlain of the Imperial Clan (with Aides)

Director—Vice Director

Section for Commandery Governors

Section for Attendants-in-ordinary (changed into Personnel Section in Eastern Han)

~197~

Chamberlain for Dependencies (with Aides)

Chamberlain for Law Enforcement (with Principal, Left and Right Inspectors)

Chamberlain for the Imperial Stud (with two Aides)

Chamberlain for the Palace Garrison (with Aides)

Chamberlain for Attendants (with Aides)

Chamberlain for Ceremonials (with Aides)

Imperial Secretariat

Local Administration Region Regional Inspector

Commandery

Princedom

Defender

Chancellor

County

Governor Aide

Township—Neighborhood—Village—Ten—Five

Aide

Magistrate

Defender

Administrator (instituted in frontier commanderies in charge of armed forces)

Note: The Region was initially for inspection purposes, but later developed into the largest territorial administration unit.

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Tang: Basic features: 1. The establishment of the Three Departments system; 2. The finalization of the Six Ministries and the Twenty-four Bureaus; 3. A sound surveillance system with the Censorate divided into three Bureaus, Headquarters Bureau, Palace Bureau and Investigation Bureau; 4. A large number of service agencies; 5. The development of territorial administration. Three Departments (Central)

Director (Left Chancellor)—Vice Director

Director—Vice Directors of Left and Right

Director (Right Chancellor)—Vice Director

~199~

Chancellery (Eastern Pavilion)

Imperial Secretariat (Central Pavilion)

Secretariat (Western Pavilion)

Department of State Affairs

(of Imperial Secretariat)

Six Ministries

Ministry of Works

Ministry of Justice

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Bureau of Waterways and Irrigations Bureau of Forestry and Crafts State Farms Bureau Bureau of Works

Bureau of Provisions Buru of Equipment Bureau of Operations Bureau of War

Granaries Section Treasury Bureau Bureau of General Accounts Bureau of Revenues

Transit Authorization Bureau

Bureau of Review

Criminal Administration Bureau

Bureau of Justice

Bureau of Receptions

Catering Bureau

Bureau of Sacrifices

Bureau of Rites

Bureau of Evaluations

Bureau of Merit Titles

Bureau of Honors

~200~

Ministry of War

Ministry of Rites

Ministry of Revenues

Ministry of Personnel

Bureau of Personnel

Note: Each Bureau was headed by a Director with the assistance of Vice Directors.

Censorate Censor-in-chief

Palace Aide to Censor-in-chief

Bureau

Investigation

Palace Bureau

Bureau

Headquarters

Investigating Censor

Palace Censor

Attendant Censor

Sharing surveillance power and taking inspection

tours in commanderies and counties

Maintaining censorial surveillance over palace

personnel and metropolitan armies

Exercising surveillance

and impeachment power

~201~

Stabilization Fund Office Court of the Imperial Treasury

Court of the Imperial Granaries

Chief Minister

Right Storehouse Office

—Vice Minister

Left Storehouse Office

State Farm Directorate

Minister

Price Stabilization Office Offices for Marketplaces in the Two Capitals

Salt Marsh Directorate Directorate of Imperial Parks Directorate of Palace Halls and Parks Directorate of Hot Baths

Chief Minister

Directorate of Bamboo Crafts

—Vice Minister

Office of Grain Supplies Directorate of Granaries

Court of State Ceremonial Court of Judicial Review

Chief Minister —Vice Minister

Office of Imperial Parks Products

Ceremonials Office

Imperial Granaries Office

Office of Receptions

Office of Imperial Parks

Chief Minister —Vice Minister Office of Horse Pasturages

Nine Courts

Court of the Imperial Stud

Court of the Imperial Clan

Court of Imperial Regalia

Livery Office Chief Minister —Vice Minister

Office of Herds Office of the Imperial Stables

Chief Minster

Office of Taoist Worship

—Vice Minister

Office of the Imperial Mausoleum

Chief Minister —Vice Minister

Canopies Office Office of Armaments Armories of the Two Capitals Winery

Court of Imperial Entertainments

Chief Minister

Office of Fine Wine

—Vice Minister

Office of Delicacies Banquets Office

Office of Temple Worship Office of Sacrificial Grains and Animals

Court of Imperial Sacrifices

Imperial Divination Office Chief Minister

Imperial Medical Office

—Vice Minister

Office of Drums and Fifes Imperial Music Office National Altars of the Two Capitals

Note: Each Court was headed by a Chief Minister assisted by 2 Chief Ministers. Subordinate to each Court, the Office was headed by a Manager and Aides and the Directorate by a Director and Vice Directors.

~202~

Five Directorates

Directorate of Waterways

Directorate

Commissioner—Vice Commissioner

Director—Vice Director

Director—Vice Director

Directorate of Water Crossings

Central Service Office

Left Service Office

Right Service Office

Weaving and Dyeing Office

Foundry Office

Coinage Directorate

Minting Directorate

Directorate of Tributary Trade

Bows Office

Swords Office

Office of Rive and Canals

Directorate of Handicrafts Pottery Office Central Construction Office Right Construction Office Left Construction Office

Mathematics School Calligraphy School Law School School of the Four Gates

~203~

for Armaments

Palace Buildings

Director—Vice Director

Libationer—Vice Libationer

Institute for the Extension of Literary Arts

Director and Vice Directors.

Directorate of the

Directorate of Imperial Manufactories

Directorate of Education

National University School for the Sons of the State

Note: The Directorate of Education was staffed with Erudites and Instructors.

ubordinate to each Directorate, the Office was headed by a Manager and Aides and the Directorate by a

Other Service Agencies

Palace Domestic Service

Palace Administration

Archives Secretariat

Director

Palace Attendant

Inner Quarters

Palace Treasury

Livery Service for the Empress

Menials Service

Palace Gates Service

Palace Discipline Service

~204~

Sedan-chair Service

Accommodations Service

Livery Service

Clothing Service

Palace Medical Service ERIVICE

Food Service

Editorial Service: Editorial Director—Vice Editorial Director

Bureau of Astronomy: Director—Vice Director

Vice Director

Director—Vice Director

Director—Vice Director

Note: Each Service under the Palace Administration was headed by a Chief Steward with the assistance of

Foremen; each Service under the Palace Domestic Service was headed by a Manager assisted by Aides.

Territorial Administration Circuit

District—Village—Security Group—Neighborhood

Levied Service Section

Assistant to Levied Service Section

Assistant to Law Section

Assistant to War Section

Assistant to State Farms Section

Assistant to Revenue Section

Assistant to Granaries Section

Levied Services Section

Assistant to Personnel Evaluation Section

Revenue Section

Law Section

~205~

Law Section War Section

Granaries Section

War Section

State Farms Section

Personnel Evaluation Section

State Farm Section

affairs.

County: Magistrate—Vice Magistrate

Region: Inspector—Mounted Courier

Superior Prefecture: Governor—Vice Governor

Revenues Section Granaries Section

Personnel Evaluation Section

Notes: Circuits in Tang were initially inspection areas. Into Mid-Tang, the Defense Command was gradually

made the largest territorial administrative unit, which was governed by the Military Commissioner

taking care of political and military affairs and the Surveillance Commissioner responsible for civil

Song:

Basic features: (After Emperor Shenzong’s reform)

1. Basically a replica of the Tang official system but with some modifications;

2. The arrangement of the Three Departments’ power separation gradually changed;

3. The Palace Secretariat got independence and wielded the military power; 4. A swollen officialdom with overlapped institutions. Three Departments, Two Administrations

Two Administrations

Three Departments

Hanlin Academy

Palace Secretariat

Secretariat

Chancellery

Imperial Secretariat

Hanlin Scholar Recipient of Edicts

Administrator———Associate Administrator

(Palace Secretary) (Vice Palace Secretary)

Vice Director of the Right of the Imperial Secretariat and

Concurrent Vice Director of the Secretariat—Vice Director

Vice Director of the Left of the Imperial Secretariat and

Concurrent Vice Director of the Chancellery—Vice Director

Vice Director of the Right—Right Aide

(Chancellor) (Vice Chancellor)

Vice Director of the Left—Left Aide

~206~

Six Ministries (of Imperial Secretariat)

Ministry of Works

Ministry of Justice

of War

Ministry

Ministry of Rites

Ministry of Revenues

Ministry of Personnel

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Crafts Institute

Bureau of Waterways and Irrigations Bureau of Forestry and Crafts State Farms Bureau

Bureau of Provisions Buru of Equipment Bureau of Operations

Granaries Section Treasury Bureau Bureau of General Accounts

Transit Authorization Bureau

Bureau of Review

Criminal Administration Bureau

Bureau of Receptions

Catering Bureau

Bureau of Sacrifices

Appointment Verification

Bureau of Evaluations

Bureau of Merit Titles

Bureau of Honors

~207~

Other Service Agencies Censorate

Service

Palace Eunuch

Palace Administration

Archives Secretariat

Chief Administrator—Office Manager

Director—Vice Director—Aide

Palace Censor

Certificate Validation Office

Office at the East Palace Gate

Imperial Dispensary

Imperial Wardrobe

Imperial Dispensary

Astrological Service

Court Calendar Office

Investigating Censor

Director—Vice Director—Aide

Palace Aide to the Censor-in-chief

Attendant Censor

~208~

Nine Courts

Chief Minister —Vice Minister —Aide

Chief Minister —Vice Minister —Aide

Water Mill Office Chief Fermentation Bureau Unloading Office River Transport Bureau Hay Yard Granary

Right Bureau

Left Bureau

Central Buddhist Registry Institute for Propagation of the Tripitaka Temple Maintenance Office Relay Station for Cherishing those Afar Foreign Relations Office Capital Translation Office

Paper Money Repository

Trade Office

Commercial Tax Office for the Capital

Accounting Office

Bursary

Jewelry Storehouse

Right Storehouse

Left Storehouse

Eastern Chariot Office

Left and Right Mounts Service

Herds Office

Office of Diplomatic Correspondence

Left and Right Patrol Office and Armory Milk Products Office Cattle and Sheep Office

In addition to the Court of the Imperial Clan, there was the Chief Office of the Imperial

Court of the Imperial Treasury

Court of the Imperial Granaries Chief Minister —Vice Minister —Aide

Chief Minister —Vice Minister —Aide

of the Imperial Insignia Guard

Imperial Regalia Service

Office of Fruits and Tea Palace Winery Banquets Office

~209~

Court of State Ceremonial

Court of the Imperial Stud Chief Minister —Vice Minister —Aide

Imperial Genealogy Office Music Office

Imperial Medical Service

Clan Affairs in charge of the imperial family.

Chief Minister —Vice Minister

Court of the Imperial Regalia

Chief Minister —Vice Minister —Aide

Court of Judicial Review

Court of Imperial Entertainments

Chief Minister —Vice Minister —Aide Chief Minister —Vice Minister —Aide

Court of the Imperial Clan

Court of Imperial Sacrifices

Note: The subordinate offices of the Nine Courts are not all included here.

Five Directorates

Directorate of Waterways

Commissioner—Vice Director (or Aide)

Director— Kiln Office

Office of Capital Streets

Ornaments Office

Eastern and Western Palace Workshop

Warehouse for the Palace Workshops

Leather and Hors Warehouse

Supervisorate of the Pien River Dikes

Paint Production Office Materials Yard Bamboo and Lumber Service Repair Office Palace Maintenance Office

Dyeing Service

Silk Brocade Office

subordinate offices of other four Directorates are not all included here.

Directorate Vice Director

Director—

Vice Director

Director—

Law School Military School National University

~210~

for Armaments

Directorate of the Palace Buildings

Directorate of Imperial

Libationer—

Vice Director

Directorate of

Vice Libationer

Manufactories

Education

School for the Sons of the State

Note: The Directorate of Education was staffed with Erudites and Directors providing instructing service. The

Territorial Administration

Defender

Recorder

Prefecture were not subordinate to the Route, but were subject to its supervision.

Township—Superior Security Group—Large Security Group—Large Security Group—Security Group—Tithing

County: Magistrate

Vice Magistrate

Administrator for Public Order

Administrator of Law Section

Administrator of Civil Affairs Section

Office Manager

~211~

(Industrial Prefecture)

(Military Prefecture)

Prefecture: Prefectural Supervisor—Prefect—Assistant

Judicial Commissioner

Supply Commissioner

Superior Prefecture: Superior Prefectural Supervisor—Superior Prefect—Assistant

Route: Military Commissioner

Fiscal Commissioner

Note: The Route was only transitional from inspection to administration, so each Route was a semi-inspection

and semi-administrative area. The Prefecture, Superior Prefecture, Military Prefecture and Industrial

Yuan:

Basic features:

1. The Yuan officialdom was dominated by Mongols, with miscellaneous agencies each staffed with a mixture of Mongol, Chinese and Semu; 2. The triumvirate of political, military and censorial powers; 3. The establishment of the Branch Secretariat system. Central Government

Secretarial Censor

Surveillance Commission—instituted in 8 circuits and directly attached to the Censorate

Investigation Bureau

Attendant Censor

Chief Military Commission of Imperial Armies

Palace Bureau Branch Censorates of Four Circuits in Shaanxi

Rear Guard

Left Guard

Right Guard

Central Guard

Front Guard

Branch Censorates

Censor-in-chief—Palace Aide to the Censor-in-chief

locally permanent Branch Censorate

of Ten Circuits in Jiangnan Manager—Associate Manager—Vice Manager

ad hoc

(Vice Chancellor)

Branch Palace Secretariat

(Two Chancellors)

Director—Right and Left Chancellor—Manager of Governmental Affairs—Right

and Left Aide—Participants in Determining Governmental Matters

~212~

Censorate

Palace Secretariat

Secretariat

locally permanent

Branch Secretariat—Chancellor—Manager of Governmental Affairs—Right

and Left Chancellor—Participants in Determining Governmental Matters

Note: The Secretariat used to be the Imperial Secretariat in Yuan.

Six Ministries (of Secretariat)

Three Ministries of the Right Three Ministries of the Left

Ministry of Works

Ministry of Justice

Minister—Vice Minister—Director—Vice Director

Minister—Vice Minister—Director—Vice Director

Minister—Vice Minister—Director—Vice Director

Minister—Vice Minister—Director—Vice Director

Minister—Vice Minister—Director—Vice Director

Minister—Vice Minister—Director—Vice Director

Supervisorate for Capital Construction

Weaving and Dyeing Supervisorate

Supervisorate-in-chief of Miscellaneous Manufactures

Left and Right Repair Supervisorate

Supervisorate-in-chief for Manufactories

Office of Fines and Confiscations Prison

Area Command for Hunting

Chief Supervisorate of Land Transport Interpreters Institute Music Office

Bureau of Musical Ritual

Commission of Guard and Attendant Commanders

Palace Ceremonial Office

Salt Distribution Commission

Chief Transport Office

Chief Supervisorate of Commercial Tax

Supervisorate of Paper Money

~213~

Ministry of War

Ministry of Rites

Ministry of Revenues

Ministry of Personnel

Imperial Treasures Vault

Note: The Secretariat used to be the Imperial Secretariat in Yuan.

Newly Instituted or Changed Service Agencies

Office of Imperial Ancestral Worship

Palace Provisions Commission

Commission for Buddhist and Tibetan Affairs Academy of Scholarly Worthies Mongolian Hanlin Academy Hanlin and Historiography Academy

Administration

Grand Agricultural

of Justice

High Court

Food Service

Palace Medical Service

Imperial Winery

Court of Imperial Entertainments

Office of Delicacies

Herds Office

Gauze Service

Ever-ready Granary

Commissioner—Vice Administrator—Vice Commissioner

Commissioner—Vice Administrator —Vice Commissioner

Commissioner—Vice Administrator —Vice Commissioner

Supply and Printing Office

Supervisorate-in-chief of Blessing

Commission of Prosperity

Supervisorate-in-chief for Fostering Prosperity

Supervisorate-in-chief for Accepting Blessing

Supervisorate-in-chief of Prosperity and Happiness

Pacification Commission

Religion Office

Pacification Commission and Chief Military Command School for the Sons of the State Directorate of Education

Sacred Fields Office

Meat Service

Supervisorate-in-chief of State Farms

Mongolian Directorate of Education

Chancellors of the Eight Palace Office

Grand Secretary—Scholar

Recipient of Edicts—Scholar

Recipient of Edicts—Scholar

Chamberlain for the National Treasury—Minister—Vice Minister—Aide Overseer—Director—Vice Director

~214~

Newly Instituted or Changed Service Agencies

Household Service for the Empress Bureau of Transmission Imperial Manufactories Commission Palace Domestic Service Directorate of Translation Academy in the Hall of Literature

Translation Library

Supervisorate of Metallurgy

Capital Supervisorate-in-chief for Revenues

Supervisorate-in-chief of Civilian Artisans

Imperial Winery

Office of Land Tax

Office of Title Conferment

Office for the Extension of Lettering Arts

Supervisorate-in-chief of Metal Workers and Jewelers

of Civilian Artisans Service of Rare Textiles

Supervisorate-in-chief

Commissioner—Vice Administrator—Vice Commissioner

Summer Capital Post Relay Station

Commissioner—Vice Administrator

Commissioner —Vice Administrator Capital Post Relay Station Commissioner—Vice Administrator

Attendant-in-chief—Associate

Director—Vice Director

Supervisorate of Medical Schools

Literary Erudite

Public Pharmacy

Branch Imperial Dispensary

Imperial Dispensary

Moslem Medical Office

Imperial Ancestral Temple Office

Suburban Sacrifices Office

Office for the Altar of the Soil and Grain

Imperial Music Office

Grand Secretary—Secretarial Scholar—Vice Grand Secretary

Commissioner—Vice Administrator

Commissioner—Vice Administrator

Imperial Academy of Medicine Astrological Office

Commissioner—Vice Administrator

Commissioner—Vice Administrator

Imperial Seals Commission Commission for Ritual Observances

~215~

Courts and Directorates

Directorate of Moslem Astronomy

Superintendent—Director—Vice Director

Superintendent—Director—Vice Director

Director—Vice Director—Capital Waterways Supervisorate

Minister—Director—Vice Director

Directorate of Astronomy Directorate of the Palace Library Directorate of Waterways

Directorate for Felt Manufactories

Directorate for Imperial Accessories

Minister—Director—Vice Director

Minister—Director—Vice Director

Minister—Director—Vice Director

Grand Minister—Director—Vice Director

Directorate of Leather and Fur Manufactories

Minister—Director—Vice Director

Directorate for the Mongolian Pastures

Directorate of Animal Fodder

Court of the Imperial Saddlery

Census Court

Minister—Vice Minister

Minister—Vice Minister

Minister—Vice Minister

Grand Minister—Director—Vice Director (in charge of Palace, Left and Right Storehouses)

Court of the Imperial Stud

Minister—Vice Minister

Directorate of the Imperial Treasury

Court for Imperial Armaments

~216~

Territorial Administration

Prefecture

Township—Community—Precinct—Security

Overseer—Magistrate

Overseer—Sub-prefectural Governor—Associate

~217~

Overseer—Prefect—Associate

County

Sub-prefecture

Overseer—Supervisor-in-chief—Associate

Chancellor—Manager of Governmental Affair—Right and Left Aide—Participant in Determining Governmental Matters

Route (Rout Command)

Branch Secretariat

Note: Routes in Yuan were divided into two ranks, upper and lower and the Sub-prefecture and the County into three ranks, upper, ordinary and lower.

Ming:

Basic features:

1. The post Chancellor was abolished and the Cabinet instituted;

2. The Six Ministries got independence and were directly responsible to the Emperor;

3. The Censorate was replaced by the Chief Surveillance Bureau, and Supervising Secretaries and Censors were installed.

Cabinet (Central)

Minister—Vice Minister of Left and Right

Minister—Vice Minister of Left and Right

Ministry of Justice

Minister—Vice Minister of Left and Right

Ministry of Works

Ministry of War

General Services Office

General Services Office

Bureau of State Farms

Bureau of Irrigation and Transportation

Bureau of Forestry and Crafts

Bureau of Construction

Bureau of Ceremonies

Bureau of Sacrifices

Bureau of Receptions

Bureau of Provisions

Bureau of Music

Bureau of Military Appointments

Bureau of Operations

Bureau of Communications

Bureau of Military Provisions

Thirteen Bureaus like Zhejiang

General Services Office

Hanlin Academy—Scholar—Scholar Reader-in-Waiting

General Services Office

Bureau of Honors

Bureau of Records

Bureau of Evaluations

Thirteen Bureaus like Zhejiang

General Services Office

General Services Office

Proclamations Office Rescripts Office

Minister—Vice Minister of Left and Right

Minister—Vice Minister of Left and Right

Minister—Vice Minister of Left and Right

Grand Secretary

Ministry of Rites

Ministry of Revenues

Ministry of Personnel

Bureau of Appointments

~218~

Chief Minister—Left and Right Vice Minister

Commissioner of Transmission—Left and Right Vice Commissioner—Vice Commissioner for Imperial Warrants

Left and Right Censor-in-chief—Left and Right Vice Censor-in-chief—Left and Right Assistant Censor-in-chief

Right Court of Review

Left Court of Review

Office of Scrutiny of Works Office of Scrutiny of Justice Office of Scrutiny of War Chief Supervising Secretary Office of Scrutiny of Rites Office of Scrutiny of Revenues

Office of Scrutiny of Personnel

Investigating Censor of Jiangxi Circuit

Investigating Censor of Henan Circuit

Investigating Censor of Shandong Circuit

Investigating Censor of Fujian Circuit

Investigating Censor of Guangdong Circuit

Investigating Censor of Guangxi Circuit

Investigating Censor of Sichuan Circuit

Investigating Censor of Guizhou Circuit

Investigating Censor of Shaanxi Circuit

Investigating Censor of Huguang Circuit

Investigating Censor of Shanxi Circuit

Investigating Censor of Yunnan Circuit

Six Offices of Scrutiny (Supervising the Six Ministries)

Investigating Censor of Zhejiang Circuit

Right Supervising Secretary

Left Supervising Secretary

~219~

Court of Judicial Review Office of Transmission Chief Surveillance Bureau

Service Agencies

Directorate of Imperial Parks Imperial Academy of Medicine Directorate of Astronomy

Visitors Office

Office of Vegetables

Office of Fruits and Flowers

Office of Domestic Fowl

Office of Husbandry

Office of Erudites

College for Guiding Human Nature

College for Cultivation

College for Making the Heart Sincere

College for Moral Rectification

College for Venerating Determination

College for Broadening Academic Scope

Ceremonials Office

Banquets Office

Office of Delicacies

Office of Fine Wines

Winery

Imperial Physician

Herbs Repository

Public Pharmacy

Left and Right Director—Left and Right Vice Director—Left and Right Aide

Commissioner—Administrative Assistant

Director—Vice Director

Director—Left and Right Director Chief Minister—Vice Minister—Aide

Messenger Office Seals Office

Chief Minister—Left and Right Vice Minister—Left and Right Aide

Chief Minister—Vice Minister—Aide Superintendent of the Translations Institute

Chief Minister—Vice Minister—Aide—Pasturage Director

Court of State Ceremonial Court of the Imperial Stud Court of Imperial Entertainments

Chief Minister—Vice Minister—Aide

Libationer—Vice Libationer

Office for Altars, Temples and Mausoleum Directorate of Education

Director—Left and Right Associate Director—Left and Right Assistant Director

Court of Imperial Sacrifices

Court of the Imperial Clan

~220~

Territorial Administration

Provincial Military Commission

Prefecture

Military Commissioner—Associate Military Commissioner—Assistant Military Commissioner

Sub-prefectural Magistrate—Vice Sub-prefectural Magistrate

Magistrate—Vice Magistrate

Community—Tithing

Surveillance Commissioner—Vice Surveillance Commissioner

County

Dependent Sub-prefecture

Sub-prefectural Magistrate—Vice Sub-prefectural Magistrate

Commissioner—Left and Right Assistant Administration Commissioner

Left and Right Administration Commissioner—Left and Right Vice Administration

Prefect—Vice Prefect

Independent Sub-prefecture

Provincial Surveillance Commission

Circuit

(Province)

Provincial Administration Commission

~221~

Qing: Basic features: (Prior to Mid-Qing) 1. All offices were held by Manchu and Chinese, but Manchu appointees had the real power; 2. The Chancellor system was stamped out and the Council of State took the place of the Cabinet. Council of State (Central)

Cabinet

Grand Secretary—Assistant Grand Secretary

Grand Minister of State—Secretary in the Council of State

appointment by special edicts

Imperial Printing Institute

True Records Institute

Central Drafting Office

Office for Distribution of Imperial Pronouncements

Military Archive

Sino-Manchu Translation Office

~222~

Six Ministries

Ministry of Works

Ministry of Justice

Ministry of War

Minister—Vice Minister of Left and Right

Minister—Vice Minister of Left and Right

Minister—Vice Minister of Left and Right

Minister—Vice Minister of Left and Right 郎

Minister—Vice Minister of Left and Right

Minister—Vice Minister of Left and Right

Ministers and Vice Ministers could be appointed as Grand Secretaries or to the Council of State by exception

Ministry of Rites

Ministry of Revenues

Ministry of Personnel

General Services Office

General Services Office

General Services Office

General Services Office

General Services Office

General Services Office

Armaments Storehouse

Gunpowder Office

Metropolitan Coinage Service

Storehouse of Fines

Codification Office

Office for Autumn Trial

Bureau of Forestry and Crafts

Bureau of Irrigation and Transport

Bureau of State Farms

Storehouse of Leather and Metal

Auditing Office

Storage of Nitrate and Sulfur

Prison

14 Bureaus like Jiangnan

Coinage Service

Palace Granary

Imperial, Left and Right Storages

Capital Granaries

Bureau of Military Appointments

Bureau of Communications

Bureau of Operations

Bureau of Military Provisions

Interpreters Institute

Office of Victory News

Bureau of Construction

Prison Office Bureau of Arrests 17 Bureaus like Zhili

Music Bureau Interpreters and Translators Institute Seals Service Bureau of Provisions Bureau of Receptions Bureau of Sacrifices Bureau of Ceremonies

Bureau of Records Bureau of Honors Bureau of Evaluations

Bureau of Appointments

~223~

Chief Surveillance Bureau Court of Colonial Affairs

Left Censor-in-chief—Vice Left Censor-in-chief

Jiangxi Circuit

Fujian Circuit

Sichuan Circuit

Guangdong Circuit

Guangxi Circuit

Yunnan Circuit

Guizhou Circuit

Six Offices of Scrutiny

15 Circuits

Huguang Circuit Shaanxi Circuit Shandong Circuit Shanxi Circuit Jiangzhe Circuit Jiangnan Circuit Henan Circuit Jingji Circuit

Office of Scrutiny of Works

Office of Scrutiny of Justice Office of Scrutiny of War Office of Scrutiny of Rites

Office of Scrutiny of Revenues Office of Scrutiny of Personnel

Seal-holding Supervising

Secretary—Supervising Secretary

Seal-holding Investigating Censor—Investigating Censor Mongolian Translations Office General Affairs Bureau Eastern Turkestan Bureau Judicial Bureau Outer Mongolian Bureau

Outer Mongolian Reception Bureau

Inner Mongolian Reception Bureau Inner Mongolian Bureau

~224~

Service Agencies

Directorate of Astronomy

Water Clock Section Astronomical Section Calendar Section

Winery Office of Fine Wines Office of Delicacies Banquets Office

Ryukyu School

Russian School

Mathematics School

Bannermen’s School

Six Colleges (College for Guiding Human Nature, and so on) Library Archive

Office of Erudites

Disciplinary Office

Institute of Advanced Study

Historiography Institute

Imperial Diary Office

Right Secretariat—Right Mentor—Right Companion—Right Admonisher

Editorial Service—Librarian

Sacrificial Office

Construction Office

Left Office

Right Office

Director—Left and Right Vice Director

Libationer—Vice Libationer

Chief Minister—Vice Minister

Directorate of Education Court of State Ceremonials

Chief Minister—Vice Minister

Chief Minister—Vice Minister

Court of Imperial Entertainments

Chief Minister—Vice Minister

Court of the Imperial Stud

Court of Imperial Sacrifice

Supervisor—Vice Supervisor

Left Secretariat—Left Mentor—Left Companion—Left Admonisher

Right Rectifiers—Right Case Reviewer

Public Petitioners Drum Office

Left Rectifiers—Left Case Reviewer Commissioner—Vice Commissioner—Assistant Commissioner

Chief Minister—Vice Minister

Directing Scholar—Scholar Reader-in-waiting—Scholar Speaking-in-waiting

Household Administration of the Heir Apparent Hanlin Academy

Court of Judicial Review Office of Transmission

~225~

Service Agencies

Imperial Household Department

Court of the Imperial Clan

Medicine

Imperial Academy of

Grand Minister Supervisor

Imperial Parks Administration Court of Imperial Armaments Palace Stud Palace Construction Office

Left Office

Right Office

Imperial Printing Office of the Hall of Military Glory

Office of General Affairs of the Summer Palace

Workshop in the Hall of Moral Cultivation Overseers Office Office of the Paymaster Office of Imperial Pasturages Office of Palace Construction Office of Palace Justice Office of the Imperial Hunt Office of Rites Office of Palace Accounts Storage Office

Director—Left and Right Associate Director—Left and Right Assistant Director

Commissioner—Left and Right Administrative Assistant

~226~

Territorial Administration Province

Viceroy, Grand Coordinator

County

Security Group—Tithing—Frankpledge

Departmental Administrator

Magistrate—Vice Magistrate

Dependent Department

Sub-prefectural Magistrate—Vice Sub-prefectural

Magistrate—Assistant Sub-prefectural Magistrate

~227~

Departmental Administrator

Sub-prefectural Magistrate—Vice Sub-prefectural

Magistrate—Assistant Sub-prefectural Magistrate

Prefect—Vice Prefect—Assistant Prefect

regions.

Dependent Sub-prefecture

Prefecture

Independent Sub-prefecture

Independent Department

Circuit

Education Commission Surveillance Commission Administration Commission

Note: The Viceroy governed 1 to 3 provinces and the Grand Coordinator normally administered only one province.

The Independent Sub-prefecture and Department were instituted in frontier areas or newly-developed

This book is the result of a co-publication agreement between Social Sciences Academic Press (China) and Paths International Ltd.

----------------------------------------------------A Brief History of the Official System in China Author: Xie Baocheng Translator: Chen Mirong Polisher: Alastair Robert Wilson ISBN: 978-1-84464-153-6 Ebook Edition Copyright © 2013 by Paths International Ltd, UK and by Social Sciences Academic Press, China. All rights reserved. No part of this publication may be reproduced, translated, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise, without the prior permission of the publisher.

The copyright to this title is owned by SOCIAL SCIENCES ACADEMIC PRESS (CHINA). This book is made available internationally through an exclusive arrangement with Paths International Ltd of the United Kingdom and is only permitted for sale outside China.

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