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Proquest Dissertations The emperor's generals, a study of the Sanya commanders inthe Northern Song (960-1126) Item Type text; Dissertation-Reproduction (electronic) Authors Yang, Li Publisher The University of Arizona. Rights Copyright © is held by the author. Digital access to this material is made possible by the University Libraries, University of Arizona. Further transmission, reproduction or presentation (such as public display or performance) of protected items is prohibited except with permission of the author. Download date 01/10/2021 00:56:59 Link to Item http://hdl.handle.net/10150/290094 THE EMPEROR'S GENERALS, A STUDY OF THE SANYA COMMANDERS IN THE NORTHERN SONG (960-1126) by Li Yang Copyright @ Li Yang 2004 A Dissertation Submitted to tlie Faculty of the DEPARTMENT OF EASTERN ASIAN STUDIES In Partial Fulfillment of the Requirements For the Degree of DOCTOR OF PHILOSOPHY In the Graduate College THE UNIVERSITY OF ARIZONA 2004 UMI Number: 3132273 Copyright 2004 by Yang, Li All rights reserved. INFORMATION TO USERS The quality of this reproduction is dependent upon the quality of the copy submitted. Broken or indistinct print, colored or poor quality illustrations and photographs, print bleed-through, substandard margins, and improper alignment can adversely affect reproduction. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyright material had to be removed, a note will indicate the deletion. UMI UMI Microform 3132273 Copyright 2004 by ProQuest Information and Learning Company. All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. ProQuest Information and Learning Company 300 North Zeeb Road P.O. Box 1346 Ann Arbor, Ml 48106-1346 2 The University of Arizona ® Graduate College As members of the Final Examination Committee, we certify that we have read the dissertation prepared by Li Yang entitled The Emperor's Generals^ A Study of the Sanya Commanders in the Northern Song (960-1126) and recommend that it be accepted as fulfilling the dissertation requirement for the Degree of Doctor of Philosophy Brian McKnight date dL^ 10 Jiang Wu date ^ ^ f f) 1 Noel Pinnington date date date Final approval and acceptance of this dissertation is contingent upon the candidate's submission of the final copies of the dissertation to the Graduate College. I hereby certify that I have read this dissertation prepared under my direction and recommend that it be accepted as fulfilling the dissertation requirement. A Dissertation Director; Brian McKnight 3 STATEMENT BY AUTHOR This dissertation has been submitted in partial fulfillment of requirements for an advanced degree at the University of Arizona and is deposited in the University Library to be made available to borrowers under rules of the Library. Brief quotations from this dissertation are allowable without special permission, provided that accurate acknowledgment of source is made. Requests for permission for extended quotation from or reproduction of this manuscript in whole or in part may be granted by the copyright holder. Signed: 4 ACKNOWLEDGEMENTS My first acknowledgment must be to my mentor. Professor Brian McKnight, who guided my progress with a fatherly interest from the time I began my research and who supervised me all the way through. I owe him a debt which is quite incapable of measurement or expression. Professor Jiang Wu and Professor Noel Pinnington provided critical assistance in the last stage of this project, for which I am very grateful. Any imperfections that remain are, of course, mine. I owe special thanks to Becky (Rebecca) Mullins, a dear friend of mine, who nurtured me when I was writing my dissertation. She read and made valuable comments on my first draft. Words are not adequate to express how much I appreciate her help. Jerry Mullins rended indispensable help when I was taking my final oral defense. I am debted to him for the sucessful presentation of my dissertation research results. Indeed, the Mullins have been very kind to me. They are like my family. I must also acknowledge my debts, which are deep ones, to my two dentists. Dr. Norman Don and Dr. Damon Don. They took me in when I had dental problems. Their kindness and generosity left indelible impressions on my mind. Nor must I forget the staff of the University of Arizona Main Library, Karen Garcia in particular, who have been very supportive in providing assistance to me during the years in which this dissertation was written. To all these and other people who have supported me, in one way or another, over the years, I would like to extend my deepest gratitude. Tucson, Arizona May, 2004 5 TABLE OF CONTENTS Pages LIST OF TABLES AND CHARTS 8 LIST OF ABBREVIATIONS 9 ABSTRACT 10 INTRODUCTION 12 CHAPTER ONE: THE ARMY RANKS 25 The Emperor's Guard and the Palace Corps 26 The Three Military Bureaus 27 The Bureau of Military Affairs 33 Imperial Army Organization and Command Structure 40 The Regular Army Officers' Corps 45 Promotions of Regular Army Officers 49 CHAPTER TWO: THE MILITARY OFFICIAL RANKS 54 Military Official Rank Systems 54 Military Elite Segments 60 The Gezhi 60 The Honorific Yaoiun 63 Servitors 64 Servitors in Historical Perspective 66 Classification 68 Elite Servicemen as Servitors 69 Scions of Privileged Military Families and Others as Servitors 70 Selection 74 Responsibilities 76 Servitors as State Service Agents 77 Servitors as Law Enforcement Officers in the Interior 81 CHAPTER THREE: THE GARRISON SYSTEM 83 Frontier Garrison Command Structure 87 Mounted Imperial Couriers in the Army 93 6 TABLE OF CONTENTS - Continued Selection 94 Responsibilities 96 Command Structure in the Capital Kaifeng 98 Sanya Commanders in Historical Perspective 106 CHAPTER FOUR: GEOGRAPHICAL DISTRIBUTION OF THE SANYA COMMANDERS 110 Historical Context Ill Geographical Backgrounds of the Sanya Commanders 115 Under-representation of Southerners in the Sanya Command Ranks 122 Conclusion 129 CHAPTER FIVE: SOCIAL COMPOSITION OF THE SANYA COMMANDERS 132 Imperial In-laws 132 Taizu's Three Appointees 138 Li Jilong. Taizong's Brother in-law and His Most Trusted General 140 Zhenzong's Two In-laws 142 Renzong's Five In-laws 143 Imperial In-laws in Later Periods 144 Conclusion 145 Imperial Associates 147 Taizu's Associates 149 Taizong's Favorites 153 Zongzong's Generals 156 Former Attendants of Zhenzong 156 Former Attendants of Taizong 157 Renzong's Three Favorites 160 Imperial Favorites in Later Periods 161 Conclusion 162 Scions of Privileged Military Families 164 Former Elite Service Men 174 CHAPTER SIX: SANYA COMMANDERS AS POLITICAL ELITES 184 Song Pattern of Power Balance 185 Military Life and Heroic Temperament 187 Jiao Jixun (tenth century) 189 Yang Cunzhong (1102-166) 190 Di OingH 008-1057) 191 7 TABLE OF CONTENTS - Continued Military Career and Career Security 192 Political Longevity and Wealth 196 Military Values 201 Military Loyalty 201 Feelings of Indebtedness 203 Literacy Level 204 Residence Pattern 207 Elite Women of Military Family Backgrounds 208 Networks of Connection by Marriage 209 Retirement Plan 210 High Official Honors 212 CONCLUSION 213 GLOSSARY 235 APPENDIX A: LIST OF MILITARY RANKS AND OFFICES 240 REFERENCES 242 8 LIST OF TABLES AND CHARTS Table 2.1: Classification of Northern Song Military Officials 57 Table 2.2: Comparison of the Genuine Apex Grades and the Sanya Command Ranks 58 Table 4: Social and Geographical Distributions of the Sanya Command Ranks...116 Table 5: Social Origins of Northern Song Empresses 136 Table 6.1: Comparison of Salary Schedules between Military Officials and Central Government Officials 199 Table 6.2: Public Funds Schedule of Senior Military Officials 200 Table 6.3: Salary Schedule of Imperial Guard Generals 211 Chart 1: Major Lines of Political Control over Central Imperial Forces 39 Chart 2: Military Elite Segments 61 9 LIST OF ABBREVIATIONS BMFEA Bulletin of the Museum of Far Eastern Antiquities GCZY Guochao zhuchen muyi Zhao Ruyu HCLY Huangchao Leiyuan Jiang Shaoyu HXDJ Houcun Xiansheng daquan ji Liu Kezihuang JYYL Jianyan yilai jinian yaolu Li Xinchuan JWDS Jiu Wudai shi Xue Juzheng OYXQJ Ouyang xiu quanji Ouyang Xiu QSKS Qunshu Kaosuo Zhang Ruyu SCSS Songchao shishi Li You SHY Song huiyao jigao5^K^||^ SMCJJ Sima wenzhenggong chuanjia ji W1M" ^TFSimaGuang SMCZY Song mingchen 2X)uyi Du Dagui SRSC Songren shuocui 515 SS Songshi ^ Tuotuo SSYJLC Song shi yanjiu luncongT^^iff^^^^ WXTK Wenxian tongkao Ma Duanlin XTJ Xu zizhi tongjian changbian Li Tao YH Yuhai aEli, Wang Yinlin YFLG Yuanfeng leigao Zeng Gong ZGFJ Zhiguan Fenji Sun Fengji ZZTJ Zizhi tongjian Sima Guang 10 ABSTRACT The primary focus of this study is on the Sanya ("Three Headquarters Offices") commanders of the Northern Song, who commanded the three divisions of the Song imperial army, namely, the Infantry, Cavalry, and Palace Corps. The first three chapters examine the institutions pertaining to the selection and promotion of the Sanya commanders, concluding that the Northern Song selected and promoted for high army command ranks men whose loyalty to the throne had been tested and proven. It is further demonstrated that the Northern Song exercised effective control over its army commanders and had their powers scrutinized by civil officials, the majority being southern bureaucrats advanced through the civil service examinations. The two chapters that follow analyze the social and geographical backgrounds of the Sanya commanders, revealing that elite members of the Northern Song military in general enjoyed special ties to the emperors and the ruling house. Such imperial connections safeguarded their political and family fortunes from rapid downward sliding. The Northern Song elite, as such, was a self-perpetuating elite group, composed of predominantly northern military men who were closely associated with the dynasty's founding elite. The remaining chapter in the body text further sheds light on the super elite status of the Sanya commanders, attesting that they were among the highest paid office-holders in the Northern Song and were recipients of high political honors and privileges.
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