OFFERINGS OF JADE AND SILK Ritual and Symbol in the Legitimation of the T' ang Dynasty HOWARD J. WECHSLER Yale University Press NEW HAVEN AND LONDON To my three lao-shih MARY YIU HYMAN KUHLlN ARTHUR F. WRIGHT C()pyri~ht © 19R5 by Yale Univ<·rsity. All ri~hts res<·nred. This book may not be fl'produced, in whok orin pan. in any I,mn (Ix·yond that ropyinf( permitted by Sertio"s 107 • ",II oX of the U.S. Copyright Law and except by reviewer< for the public press). without written pcnnission ii·OIH the puolishers. Designed by James J. Johnson 31Jd set in Bcmbo Homan. Prulted in the United States of America by Halliday Lithograph. We'St HaJl(>VL'r. Massachusetts. Library "ICOl'.~rc.<., Catalogi",~ ",Punti.."I;"" Da'" W"cbsler, HowardJ. Offerin~s ofj ade and silk. Bibliography: p. 283 Includes index. l. China-Social life and customs-22I B.r..-9('O A.D. 2. Hitl"S and cc:retnonic..'S- China. 3. LcgitillHcy ofgovcrnmmts. 4. SYllloolisl11 in politics. I. Title. 1)S747.42. W43 19H5 394'·4'095< 84-' S236 ISBN 0-300-0)191-2. Calk. paper) The paper in Illis bOt,k meers the ,I!uidelitlcs./"r permallellfe alld d. . rability (lfthe Committee Oil Production CuideJilics for Bo"k LOIl,!!l'l';ty (,{tlze COIIII,;1 <'(L.ibrary Res(lIlT(t's. to <J 8 4 Contents Pn:ta<"e IX Acknowledgmcnts X111 Introduction Chapter 1 Legitimacy. Ritual, and Symbol in Modern Western and Traditional Chinese Perspenive <) Chapter 2 The Early Tang Ritual Background 37 Chapter 3 Plum Trees and Flood Waters: Thc Management and Manipulation of Portcnts 55 Chapter 4 Merit and Virtuc Conjoined: The Early Tang Accession Cercmonies 7X Chapter 5 The Suburban Sacrifices and the Cult of Heaven 107 Chaptero The Ancestral Cult and the Cult ofPo\itical Ancestors [23 Chapter 7 The Imperial Tombs and the Cult of the Political Family t:hapter R The I III perial Tour of Inspection Chapter <) The Feng and Shan Sacrifices 170 Chapter IO The Ming-t'ang IY5 Chapter II Promulgation of the Calendar 2I2 Chapter [2 The Politics of Jade and Silk: Conclusions 224 Notes Selected Bibliography Glossary-Index Preface When I first conceived this work, it was as ;\ east: study ill dynastic legi timation that would employ the early T'ang dynasty as a typical l'xamplc of how rimal and symbolic act~ carried out Oil the state level served to generate political suppnrt during the first phases of Chinese imperial rcg imes. How nalve that thought proved to be! Proceeding with my research, I soon discovcred that the early Tang was, in fact, a rather special period in the history of Chincse ritual, 01le richly deserving that much abused designation, ·'watershed." First, it was a period in which the ritual tilc'Ories uf the third-century A. D. philosopher. Wang Su, finally emerged victorious over those of tht, secund-century classical CU1l1l11Clltator. Cheng Hslia1l. The story of the struggle for supremacy between the followers of the ideas of tbese two men. which lasted for more than four centuries, has largely remained untold. Second, whereas "case study" implil:S that the data one is employing is fully n:preseIHative. I found a number of sigmf icallt changes or shiti:s of emphasis in the ritual and symbolic acts per tllTll1ed by early T'ang emperors compared to those of previous ages. especially, t()r exampk, the Han. These changes and shifts of emphasis, I believe. form J comprehensible pattern: They seem to have been effort, by early T'ang rulers to ally themselves, ill a variety of ways and to an unpre cedented extent, with the hallowed Chinese political idea of ,';ell-hs;a WI'; Im".~, "the empire is open to all." T'ifll-hsia U'e; klmg lay at the heart of the myth of two of China's most revered culture heroes, Yao and ShUll, who passed their political power down to successors they deemed most worthy rather thall to their own SUIlS. The Chinese contrasted this idea with t'iCll-hsia wI'i {ilia, '"the empire IX x PREFACE PREfACE Xl belongs to one family. "I Although the institution of dynasty is based on My hope is that this study will encourage are-evaluation of the kinds lineal succession, and thus is an embodiment of t'im-hsia wei chia, early of sources thuught important for the study of traditional China; challenge T'ang nIlcrs did all they could to emphasize lion-familial criteria as the the notion that medieval Chinese ritual and ceremonial undcrwent little basis of status elevation, especially their own Illural virtue or that of their development or change and are thus topics lying beyond the purview of heirs. For example, the ideal of t'im-hsia wei kUIl,~ and the symbolism sur conventional historical scholarship; and generate a heightened appreciation rounding it suffuses, as never before, the early T'ang accession rites. of the interrelationship betwcen ritual and symbolic activity and the wider Furthermore, the early T'ang dynasts undermined the quality of exclu Chinese political world. siveness associated with bmily in a number of ways. They expanded the boundaries of the dynastic f;unily by embracing, ill many of the most important ritual and symbolic acts of the time, non-familial c1cments, especially their own high oflicials, forming what I havc called an extended "political family." They depended less on the ancestral temple rites and Oil the power of lineal ancestors to lcgitimatl' their authority, and more on the suburban altar rites and the power of an all-embracing, universalileavenly deity, Hao-t'iell shang-ti, who belonged not to onc family only but to all the empirc. Along with the cmphasis on tiell-nsia wei kUflg came a reduc tion in the SCcrl'CY that had formerly characterized certain rituals, such as the Feng and Shan sacrifices, which now became more public. Lastly, a symbolic vehicle like the calendar, which had formerly been closely linked to a given royal house, and therefore regarded as immutable during the lifetime of a dynasty, now broke free offamilial bonds and was frequently altered for political ends. At the same time, the new reliance on llao-t'ien shang-ti as a sacri ficial object at the expense of other dl'ities in the Chinese pantheon had important rept'rcussions for temporal power. The ruler's intensified worship and identification with an all-powerful Heaven enhanced his own standing as the "one man" in rclation to the rest of thc empire and thus hclpt'd establish the cosmological grounds for an enhanced absolutism. This trend, which became much more noticeable in the political pr:Jctices and institutiolls of later Cbinesc dynasties, can be said to have been pre figured in the reformed state ritual of the early Tang. In the concluding chapter I suggest some possible reasons for these developments. First is the rise by early T'ang timcs of new conceptions of political power deriving from both Bllddhism and Taoism, :Illd also from the expansion of empire to an extent unprecedented in Chinese history. Second is the Ill'ed for additional sourn.'s of legitimation made necessary by the increased number of a.:rivities that were now routinely undertaken by government bllt which had heretofore becn self-legitimating compo nents of the traditiollal cultural system. Acknowledgments The task of researching and writing this volume benefited from the gener osity of numerous friends, colleagues, and academic organizations. In ac knowledging their contributions, I do not in any way absolve myself of complete responsibility for the final product. The University of Illinois at Urbana-Champaign provided me with a semester of released time in the fall of 1979 under its Faculty Study in a Second Discipline Program, which I spent in the Department of Anthro pology, and another semester in the spring of 1981 as an Associate in the Center for Advanced Study. During 1980 and 1981 I was the recipient of a Grant for Research on Chinese Civilization from the American Council of Learned Societies. The Research Board of the Center for Asian Studies of the University of Illinois underwrote my travel expenses during a research trip to the People's Republic of China in the fall of 1980. The Research Board was again generous in providing financial assistance for the produc tion of the final manuscript in the spring of 1983. The staffs of the libraries of Fudan University, Shanghai, and of the Research Institute for Humanistic Studies of Kyoto University were ex emplary in their dedication to lightening the burdens of an academic re searcher. Thanks in this regard are also owed to Professor Zhang Guangda of the Department of History of Beijing University and Nunome Ch6fii, formerly of the Department of Education of Osaka University, both of whom showed me warm hospitality while I worked in their respective countries. I am especially indebted to the Japanese bibliographer of the Univer- Xlll xiv ACKNOWLEDGEMENTS sity of Illinois Asian Library, Professor Yasuko Makino, for her tireless efforts on my behalf. If, as Confucius said, we are to treat our friends by advising them to the best of our ability and guiding them properly, I am indeed blessed by Introduction friendship. Professors Blair B. Kling and Frederic C. Jaher of the Depart ment of History, Patricia B. Ebrey of the Center for Asian Studies, and Norman E. Whitten of the Department of Anthropology, all at the Uni versity of Illinois, and Nathan Si vin, Professor of the History and Sociol ogy of Science, University of Pennsylvania, commented on part or all of the manuscript and encouraged me in my work. Professor Richard C. Trexler, Department of History, State University of New York at Binghamton, shared his knowledge of bibliography concerning Euro pean royal rituals. Professor Ronald P. Toby of the Department of History, and Professors Seiichi Makino and Chieko I. Mulhern of the Center for Asian Studies, University of Illinois, advised me on matters of Japanese ON JUNE 12, 618 (THE FOURTEENTH DAY OF THE FIFTH LUNAR MONTH), rom.mization. I am deeply grateful to all of them for their kindness and a nobleman-general named Li Yuan, recent victor of a long and bloody generosity. campaign to take the capital city of the Sui dynasty (581-618), solemnly Edward F. Winslow humored, consoled, and loved me during the accepted the seals and ribbons of state from the last Sui monarch, the boy long years of research and writing. His support made all the difference. emperor Kung-ti. Six days later he mounted the throne and founded a new Last but not least, Werner Erhard enabled me to "get" that process dynasty, the T'ang (618-907), one of the great ages of Chinese imperium. can be as exciting and rewarding as completion. This book is a reflection Hundreds of officials participated in the determination and execution of his of that realization. enthronement rites. The day of the ceremony was selected with great care: It was a propitious chia-tzu day, the first day of a sexagenary (sixty-day) cycle in the Chinese calendar and one which Li Yuan regarded as personal ly lucky. The event itself was announced to Heaven by a ch'ai-liao burnt offering sacrifice at a specially constructed altar in the southern suburbs of the capital. A general amnesty was declared, and the era-name was changed. The honorary noble rank of both officials and commoners was raised one step. All the districts through which the victorious T'ang troops had marched were declared exempt from taxes and compulsory labor serv ice for three years; other districts under T'ang control were declared simi larly exempt for one year. From a group of five elements, earth was chusen to symbolize the new dynasty; its correlative color was yellow. Three days later Li Yuan, whom we will hereafter refer to by his post humous title, Kao-tsu, sumptuously banqueted his officials in the very hall where he had recently assumed the imperial mantle, and rewarded each of them with silk according to rank. Five days after this, on the twenty eighth day of the month, the new emperor ordered work begun on the compilation of a dynastic code oflaws. 1 2 INTRODUCTION INTRODUCTION 3 Kao-tsu conquered the Sui capital with an army said to have num ary rewards can be viewed as constituting the former kind of appeal. Con bered more than two hundred thousand troops, and seized control of the stituting the latter were his declaration of a new dynasty as opposed to a Sui government with overwhelming force.2 But force, while by no means radically new form of regime, assumption in an age-old manner of the an insignificant factor in the getting of power, does not in the long run imperial mantle with all its traditional trapping~, and adherence to ritual constitute a stable base for the exercise and preservation of that power. precedents of all kinds. He thereby reassured those who feared fun One noted student of the problem concludes that "no power could stand if damental change and declared himself a staunch ally of tradition. But I it relied upon violence alone, for force is not strong enough to maintain Weber postulates an even more important kind of appeal that might itself against the accidents of rivalry and discontent. "3 Talcott Parsons re serve to promote political stability-legitimacy. minds us that "a power system in which the only negative sanction is the L threat of force is a very primitive one which cannot function to mediate a An order which is adhered to from motives of pure expediency is generally complex system of organizational coordination. "4 Other writers similarly much It.-ss stable than one upheld on a purely customary basis through the fact that the corresponding behaviour has become habitual. The latter is much the affirm that force is a "crude and expensive technique" for getting the job of government done.s In this respect, Kao-tsu required, shall we say, most common type of subjective attitude. But even this type of order is in tum much less stable than an order which enjoys the prestige of being consi more refined and cheaper techniques of exercising and perpetuating his dered binding, or, as it may be expressed, of "legitimacy. "6 power. The present study is an examination of some of the more refined and How Kao-tsu and his successors sought the firmer foundations of political cheaper techniques that Kao-tsu and his two successors employed during legitimacy for their regimes provides one of the major foci of this study. the period of the formation and consolidation of the T'ang dynasty, cover On another level of analysis, we can view Kao-tsu's enthronement e ing the period from A.D. 6r8 to 683. It focuses on a number of ritual and policies as a means of gaining support for his regime. The concept of sup- symbolic acts carried out by them as ther. moved from reliance on military port is employed by David Easton in his systems analysis approach to/> power to less coercive, more efficient means of control. It provides a brief political organizations. "We can say that A supports B either when A acts Jc· historical background to each of these acts, tracing its evolution over time. on behalf ofB or when he orients himself favorably toward B. B may be a finally, it suggests that the early T'ang ritual and symbolic pattern de person or group; it may be a goal, idea, or institution. "7 There are two ' parted in certain crucial respects from that of previous ages, especially the kinds of support. When support is generated as a consequence of someS first great empire of Han; that this pattern was reflected in the victory, specific satisfaction derived from the system as a result of some demand (( after a centuries-long struggle, of one school of classical exegesis and ritual made by its members, or in anticipation of such satisfaction, it is called theory over another; that this victory, in turn, may have been gained be specific or direct support. Specific support is a quid pro quo for the fulfill cause the second Chinese empire required a qualitatively different kind of ment of demands. But no political system could operate for long by de legitimation as compared with the first; and that this may have had impor pending on the specific support generated by specific outputs. for one tant repercussions not only for the T'ang but for its successors all during thing, no system can meet all the demands of all its members all of the the imperial period. time, and considerable dissatisfaction over unmet demands is bound to If we review Kao-tsu's actions in the days leading up to, including, arise. So a system must gain a more generalized acceptance through and immediately following his enthronement, we can observe that he had another kind of support that is not linked to particular decisions or to the already begun to implement techniques of control other than the employ granting of identifiable benefits. Such support is diffuse or indirect support. ment of force. The stability of a regime, Max Weber has noted, is typically Diffuse support helps members tolerate political decisions they oppose or promoted by an appeal to the pecuniary motives of subjects or to their see as inimical to their interests by forming a reservoir of good will and belief in the sanctity of custom. Kao-tsu's orders regarding exemption generalized favorable attitudes toward the regime. 8 from taxes and compulsory labor service for specified periods, pardon How can diffuse support be generated? Probably the most effective from punishment for crimes already committed, and bestowal of honor- device, according to Easton and others, including, as we have seen, INTRODUCTION INTRODUCTION 5 4 Weber, is the inculcation of a profound belief in the legitimacy of a polit tries, where remuneration is the major form of control, achieve utilitarian ical organization as a whole and of its authorities in particular. 9 Another is compliance. Churches, political parties, and some educational institutions, the employment of rites and symbols that arouse a deep sense ofidentiflCa where normative power is the major source of control, achieve normative tion with the regime and its authorities and of a common interest among compliance. Although all political organizations (or at least the elites of its members. Such rites and symbols can cause the regime and its authori these organizations) pursue power goals, power is usually pursued in ties to be positively evaluated.10 A second major focus of this study, then, order to control or change the allocation of coercion, material resources, will be certain rituals and symbols employed at the state level by the or normative patterns, or various combinations of these. early Tang emperors in order to secure diffuse support. Etzioni postulates that certain types of goals and certain types of com The policies associated with Kao-tsu's enthronement that provided pliance structures are associated, that is, they are "congruent," because material advantages and rewards to his officials and the common people certain compliance structures are most effective in attaining certain goals. can, in Easton's terms, be viewed as efforts to obtain specific support. All The goals of a political organization may change over time, however, as the others fall under the category of attempts to gain diffuse support when a revolutionary party must turn to governing over the long term a by arousing among the public sentiments of legitimacy and a sense of country it has just seized control of. Here, Etzioni offers a dynamic identification with the Tang order. These include the employment and hypothesis: "Organizations tend to shift their compliance structure from manipulation of such rites and symbols as the seals of state, the accession incongruent to congruent types," and "organizations which have con ceremony itself, the sacrifice to Heaven announcing Kao-tsu'S accession, gruent compliance structures tend to resist factors pushing them toward the selection of the lucky chia-tzu day and of the element earth and the incongruent compliance structures." 14 color yellow, and the order to compile a new code of a laws. We can observe this process of shifting compliance structures in the Yet another level of analysis of Kao-tsu's enthronement policies is case of the Tang if we once more return to our description of the activities provided by Amitai Etzioni's notion of c,?mpliance structures. Etzioni lists surrounding Kao-tsu's accession. By the time of his enthronement Kao three major sources of control in an organization that can be allocated or tsu had begun the process, in Etzioni's terms, of shifting the compliance manipulated: coercion, economic assets, and normative values. Each of structure of his political organization away from coercive and more to these control sources is used in the employment of a specific type of power ward utilitarian and normative compliance. Naturally, force or the threat over any given subject. I I Coercive power rests on the application or threat of force continued to provide a source of direct support, through fear of of application of physical sanctions (e. g., the inflicting of pun~shment, t~e the consequences of non-compliance among his subordinates and the peo issuing of jail sentences, the depriving of food). Remunerattve power IS ple at large. But now, by means of granting material and other rewards, based on control of material resources and rewards (e.g., the giving or Kao-tsu had begun to appeal to the calculative orientation of those he gov withholding of salaries and fringe benefits, the determination of working erned. His acceptance of the seals ofs tate, fulfilling the requirements of the conditions). Normative power relies on persuasion and the manipulation accession ritual, making the sacrifice to Heaven, using the chia-tzu day, of esteem, prestige, and ritual symbols (e.g., issuing a coat-of-arms, using and so forth, were all aspects of persuasion and the manipulation of flags or emblems, granting honorary offices or titles, performing a sacri esteem, prestige, and ritual symbols-the bases of normative power. ficial act). 12 That Kao-tsu would have begun shifting from coercive to other types Power is employed to gain compliance, a relation consisting of the em- of compliance is not surprising, even within a Chinese context. Etzioni's ployment of power by superiors to control subordinates, and the orienta dynamic hypotheses of compliance structures had, in fact, been stated in a tion of subordinates to this power.13 Patterns of compliance may vary somewhat cruder and less systematic way more than nine hundred years within a single organization, but most organizations can be labeled accord before the Tang by Lu Chia, counselor to the founding emperor of the ing to the relative emphasis given the predominant pattern. For example, Han dynasty, another Kao-tsu (rg. 206-195 B.C.). When Lu advised Han prisons and concentration camps, where force is the major means of con Kao-tsu to heed the lessons of government found in certain of the Confu trol applied, achieve coercive compliance. Blue collar and white collar indus- cian classics, the emperor derided his counselor: 6 INTRODUCTION INTRODUCTION 7 "All I possess I have won on horseback!" said the emperor. "Why should I would "refresh the eyes and ears" ofthe people and allow them to perceive bother with the Odes and Documents?" "Your Majesty may have won it on its surpassing moral qualities. 16 horseback, but can you rule it on horseback?" asked Master Lu. "Kings Tang The rituals and symbolic acts I will be treating in this volume were and Wu in ancient times won possession of the empire through the principle essentially designed with Fu I's words in mind.17 They. are what Derk of revolt, but it was by the principk of obedience that they assured the con Bodde has called "institutional" in that they are shaped by the conscious tinuance of their dynasties. To pay due attention to both civil and military theorizing of ritualists, cosmologists, and government administrators. IS In affairs is the way for a dynasty to achieve long life. "15 addition, they share most or all of the following characteristics: (l) The The goals of ruling were not the same as those of military conquest, Lu emperor is the major actor or major focus; (2) there is a locus classicus in the Confucian canon; (3) they are relatively well documented, and have a his was saying. Although he did not explicitly express himself in this manner, tory that can be traced down to Tang times; (4) they constituted a focus of his message was that now that the empire had been won and military court discussion or debate during the early Tang; (s) an official decision concerns had largely been replaced by problems of civil administration, was made to implement them; (6) and even if they were not actually the new emperor would have to shift his compliance structure away from carried out, emperors typically sought their legitimating properties and coercion toward more congruent modes. This is precisely what T'ang felt a certain incompleteness without them. Kao-tsu had begun doing. A common feature of ritual behavior is the manipulation of powerful Easton's concept of diffuse support and Etzioni's concept of norma symbols. Symbols are nearly always manipulated, consciously or uncon tive compliance are related in that both are associated with the manipula sciously, in the struggle for and maintenance of political power.19 Social tion of esteem and prestige symbols and the performance of ritual. They scientists identify two basic types of political symbols, credenda and miran are further linked through the concept of legitimacy: Normative com da. Credenda are things to be believed. They offer us reasons why w~; pliance may occur as the result of the orientation of an actor toward an should give our approval to the continuance of authority, and are set forth organization or its authorities that he is.led to believe are legitimate. in political doctrine, theory and ideology, and such written documents Up to now we have been relating various modes of analysis only to as constitutions, charters, and declarations. Miranda are things to be the policies associated with Kao-tsu's enthronement ceremonies. But the admired. Their function concepts of diffuse support, normative compliance, and legitimation can be related to a far wider range of activities that the Tang founder and his is to arouse admiration and enthusiasm, setting forth and strengthening faiths successors undertook in the formative and consolidation phases of the and loyalties. They not only arouse emotions indulgent to the social struc dynasty. Any ritual or symbolic act performed by the authorities of a reg ture, but also heighten awareness of the sharing of these emotions by others, ime is potentially legitimating or may generate support or compliance, thereby promoting mutual identification and providing a basis for solidar especially when it is perceived as conforming to tradition, the orthodox ity .... Flags and anthems, ceremonials and demonstrations, group heroes ideology, or approved norms. Every regime in medieval China thus and legends surrounding them-these exemplify the importance of miranda attempted to continue hallowed political and ritual practice, at least along in the political process.2O generalized lines. On the other hand, every regime also attempted to dis Miranda provide specific foci for emotions, reinforcing and intensifying sociate itself from its predecessor, since the latter had become morally the relatively generalized responses produced by the credenda. Thus, bankrupt, a fact reflected in its loss of the Heavenly Mandate. Thus, soon although the Constitution may seem rather dry and remote from us, we after the beginning of the Tang, the Grand Astrologer, Fu I, complained have all experienced the power of our national flag or an Independence Day that the dynasty had been tardy in creating its own distinctive institutions ceremony to move us. Here, we will be as much concerned with miranda and ceremonial by which it might be distinguished from the failed Sui. He as with credenda, with the concrete ceremonial or symbolic vehicles advocated that the Tang proceed immediately to change the calendar, the generating sentiments oflegitimacy or support as with the abstract ideolo color of court dress, the code of laws, the names of bureaucratic offices, as gy or values that lay behind them. well as to establish its own music and ritual, all of which, he maintained,