WHAT'S IN A NAME? ON THE APPELLATIVE "SHU" IN EARLY MEDIEVAL CHINESE HISTORIOGRAPHY.

AuthorFARMER, J. MICHAEL

Drawing on contemporary sources such as edicts, memorials, and epistles quoted by Chen Shou (233-97) in his Sanguo zhi, this paper examines the various names applied to Liu Bei's (161-223) state--known in later history as "shu" or "Shu Han"--by the state itself, its contemporaries, and later historians of the early medieval period (ca. 220-618). Additionally, a brief explanation is offered of the rhetoric behind these appellatives, a rhetoric closely linked to the debate over legitimacy (zhengtong) in early medieval China. Finally, we see how a misnomer came to be accepted as historical record, and how later historians have perpetuated this view, even when they own ideological positions might have demanded otherwise.

A STUDY OF EARLY TEXTUAL EVIDENCE relating to the Three Slates Period (220-65) is not without some risk. In what follows, although I have based my research on primary documents cited in Chen Shou's [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] Sanguo Zhi [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (Records of the Three States), [1] the reliability of these documents may be questioned. We have no way of ensuring that a debate held in a particular court was transcribed accurately by scribes or later archivists. Nor can we be sure that Chen Shou himself did not revise the documents included in his history. As we shall see below, Chen cites a number of primary documents relating to the name of Shu Han [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] from each of the three rival states. The variety of names used in these documents suggests a light editorial touch by Chen. While the genuineness of the documents quoted cannot be fully determined, the possibility of occasional inaccuracies does not vitiate their v alue for this and other studies.

SELF-REFERENCE

Shortly after being named King of Hanzhong [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] by a group of supporters in the twenty-fourth year of the Jian'an [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] period (220), Liu Bei [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] sent a memorial to Emperor Xian [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] of Han (r. 189-220) pledging his loyalty to the dynasty. [2] The following year, Cao Pi [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (187-226) accepted the ritual abdication of Emperor Xian and proclaimed himself emperor of Wei [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII]. [3] When Liu Bei, at his base in Chengdu [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII], heard a rumor that the emperor had been killed, he went into mourning and bestowed the posthumous title of Emperor Min the Filial (Xiao Mm huangdi [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] upon the deposed Han ruler. [4] Then, on 6 April 221, based on his descent from King Jing of Zhongshan [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII]a son of Emperor Jing [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (r. 156-140 B.C.)--and a purported series of favorable omens and portents, Liu Bei proclaimed himself emperor. [5]

Upon claiming the throne, Liu Bei went about the business of organizing affairs of state. He named Zhuge Liang [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (181-234) as chancellor and Xu Jing [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (150-222) as minister over the masses, filled the various governmental offices, and established an ancestral temple (zongmiao [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII]). [6] None of this is especially striking, except that the temple set up by Liu Bei was not dedicated to his own ancestral lineage, but to the former emperors of the Han dynasty. Chen Shou notes that the temple was for making sacrificial offerings to the Han founder "Emperor Gao [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] [r. 206-194 B.C.] and his successors." [7] Chang Qu's [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (ca. 219-ca. 361) Huayang guozhi [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] clarifies Chen Shou's statement. Chang Qu notes, "[Liu Beil] established an ancestral temple and made offerings to Emperor Gao, and the Epochal Founder, Emperor Guangwu [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (r. 25-58)." [8] Pei Songzhi [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (372-451) further comments on this matter, saying, "Though the Former Sovereign [Liu Bei] claimed descent from Emperor Jing the Filial, this relationship was quite distant.... It is not known to which emperor he established a family temple (qinmiao [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII]." [9] Liu Bei's establishment of a temple to the progenitors of the Han was a manifestation of his position that he was not beginning a new dynastic reign but continuing the rule of Han. This can also be seen in the fact that upon taking the imperial title, Liu Bei did not proclaim a new dynasty, but merely changed the year title from Jian'an to Zhangwu [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII]. [10]

Liu Bei's maneuvering was not without precedent. In fact, he was keenly aware of the parallels between his own situation and that of Liu Xiu, the future Emperor Guangwu, some two centuries earlier. In both cases, a so-called usurper held control over the Han empire, peasant rebellions erupted in response to economic conditions, and a host of contenders vied for power in specific geographic areas. [11] Just as Liu Xiu had emerged from the discord of the age and reunited the subcelestial realm, Liu Bei harbored similar aspirations. Clearly, Liu Bei saw himself as the third epoch-founding emperor of the Han dynasty. To have declared a new dynastic name would have undermined Liu Bei's claims to legitimacy.

There is textual evidence that Liu Bei's state referred to itself as "Han." Prior to his accession, numerous officials under Liu Bei's command in Yi province presented him with encouragements to mount the throne. Two documents in particular show that these officials viewed Liu Bei as a member of the Han imperial clan and considered his claim of continuing Han rule to be legitimate. The first memorial was submitted jointly by twelve officials. [12] In it, they cite a variety of prophecies and portents common to both the founding of the Han by Liu Bang and the contemporary situation of Liu Bei. Among the justifications cited for Liu Bei to take the imperial title was the correlation of astronomical phenomena between the two time periods. The memorial explains:

This year, Venus, Mars, and Saturn have followed Jupiter. About the time when Han first arose, the five planets [13] "consulted with" Jupiter. Jupiter governs justice, and the position of Han is in the west, the position of supreme justice. Therefore, the Han method normally predicted the ruler according to [the movements of] Jupiter. There will be a sagacious ruler arising from this province, leading to the resurgence [of the Han]. [14]

A second memorial, submitted by six additional officers of Liu Bei, [15] relayed additional reports of auspicious signs, and urged Liu Bei to take the throne as the emperor of Han. According to the document, over eight hundred omens and prophecies had been submitted to the officials by supporters in the province, including sightings of a yellow dragon in a tributary of the Han river. The six officials interpreted the dragon as a symbol of the ruler, and noted that just as the dragon flies in the heavens, a great king should mount the throne as emperor. However, the officials emphasized the fact that Liu Bei would not be starting a new dynasty, but continuing the Han. The memorial states:

Han originally was the name of the state whence the Exalted Ancestor [Liu Bang] rose up and pacified the subcelestial realm. Our great king [Liu Bei] has inherited the path of the former emperor [of Han] and has also risen up in Hanzhong [commandery]. ... We humbly think our great king is a scion of King Jing of Zhongshan, [a son of] Emperor Jing the Filial--from root to branch, a hundred generations. [16]

Liu Bei's intent to continue the Han dynastic lineage is clearly manifest in the document recited at his accession ceremony. The document reads:

In the twenty-sixth year of the Jian'an period, [17] on the bingwu day of the fourth month (6 April 221), the emperor [Liu] Bei makes bold to use a black bullock and announce to the heavenly thearch and the earthly spirits that Han possesses the subcelestial realm, its days without limit. Previously, Wang Mang usurped and stole [the throne], but Emperor Guangwu shook with rage and executed [Wang Mang], [18] and the altars of soil and grain were restored. Now Cao Cao [CHINESE CHARACTERS NOT REPRODUCIBLE IN ASCII] (155-220) relied on his military power and was content to be ruthless. He murdered the empress, [19] [his crimes] inundating heaven and flooding the nation, not caring about the manifestations of Heaven. [Cao] Cao Cao's son, Pi has continued his [father's] vicious rebellion and occupied the imperial throne. All of our ministers, generals, and scholars consider the altars of soil and grain to have fallen, and that [Liu] Bei should repair them, inheriting [the role] of the two Martial Ancestors, [20] an d respectfully carrying out heaven's punishments. [Liu] Bei considers himself without virtue, and fears disgracing the imperial office. We have asked the people and the leaders of the Man and Yi [tribes] beyond, and they have all replied, "You cannot ignore the mandate of heaven. The work of the ancestors cannot long be allowed to decline. The land within the four seas cannot be without a sovereign. What the people hope for is in the person of [Liu] Bei." I, [Liu] Bei am in awe of heaven's bright mandate, and fear the Han throne will sink into the earth, so I have carefully chosen an auspicious day to ascend the altar with a hundred officers and accept the imperial seal and ribbons. 1 have prepared the burnt and buried offerings, and the gaolei offering for the spirits of Heaven. [21] May the spirits bless the...

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