Opera Sinologica 20
Imperial Decision-Making and Communication in Early China
A Study of Cai Yong's Duduan
Bearbeitet von Enno Giele
1. Auflage 2006. Buch. X, 367 S. Hardcover ISBN 978 3 447 05334 1 Format (B x L): 17 x 24 cm Gewicht: 800 g
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Imperial Decision-Making and Communication in Early China A Study of Cai Yong’s Duduan
2006 Harrassowitz Verlag · Wiesbaden
ISSN 0949 7927 ISBN 3 447 05334-8 after 1.1.2007: 978-3-447-05334-1 Contents
Acknowledgements ...... 1
1 Introduction...... 3 1.1 Intent and content ...... 3 1.2 Sources...... 4 1.2.1 The Dúduàn 獨斷 ...... 4 1.2.2 Historiographic sources...... 6 1.2.3 Epigraphic sources...... 9 1.3 Traditional explanations...... 10 1.4 The field...... 12 1.5 Method and limitations ...... 17 2 The Dúduàn ...... 21 2.1 The title...... 21 2.2 The author ...... 23 2.3 Textual history...... 28 2.4 Editions ...... 33 2.5 Quotations ...... 35 2.6 Collations ...... 36 2.7 Contemporaries and their texts...... 37 2.7.1 Hú Gu ng 胡廣...... 38 2.7.2 Wèi Hóng 衛宏...... 39 2.7.3 Cài Zhí 蔡質...... 39 2.7.4 Y īng Shào 應劭 ...... 40 2.7.5 Hàn záshì 漢雜事 and other works...... 41 2.8 The value of the Dúduàn ...... 43 2.9 The structure and content ...... 44 VI Contents
3 The Setting...... 47 3.1 Imperial authority ...... 47 3.2 The bureaucracy ...... 48 3.2.1 The executive council ( sāng ōng 三公) ...... 49 3.2.1.1 The chief minister ...... 50 3.2.1.2 The chief prosecutor and the meaning of yùsh 御史...... 51 3.2.1.3 The chief of staff, the regent, and the meaning of sāng ōng ...... 53 3.2.2 The commissioner of the capital region ( sīlì xiàowèi 司隸校尉).... 55 3.2.3 Offices in charge of imperial communication ( sāntái 三臺)...... 56 3.2.3.1 The imperial secretariat ( shàngsh ūtái 尚書臺)...... 56 3.2.3.2 Receptionists ( yèzh ě 謁者) and palace secretaries ( zh ōngsh ū 中書) ...... 59 3.2.3.3 The prosecutors’ office ( yùsh tái 御史臺)...... 62 3.2.4 External supervisors of the imperial secretariat...... 63 3.2.5 The power of the imperial secretariat ...... 64 3.2.6 Direct submissions ( fēngshì 封事)...... 66 3.2.7 The office of official carriages ( gōngj ū 公車)...... 72 3.3 The palaces (at Cháng’ ān, Luòyáng, and Yè) ...... 76 4 The Letters to the Throne...... 83 4.1 General information on letters to the throne ...... 83 4.1.1 Yì zào 衣皁 vs. yì bó 衣帛...... 83 4.1.2 “Audience officials” ( cháochén 朝臣)...... 85 4.1.3 Physical Expressions of Respect: Ji bài 九拜: q sh u and dùnsh u 87 4.1.4 Courageous or Crushed in the Face of Death: mèis 昧死 and s zuì 死罪 ...... 92 4.2 The four standards of submissions to the throne ...... 95 4.3 Petitions ( zh āng 章)...... 96 4.3.1 Informing the Emperor ( y wén 以聞)...... 97 4.3.2 Indentation as a form of respect: xūtóu 需頭 ...... 100 4.3.3 Selfish gratitude: xiè ēn 謝恩 ...... 102 Contents VII
4.3.4 Following up accusations from outside the palace: the zh āng xià 章下 evidence ...... 107 4.3.5 Pilgrimage to the Palace Gate: yìquè 詣闕...... 109 4.3.6 Screening Petitions for Politeness: the importance of g n gào 敢告 111 4.3.7 Cài Y ōng’s petition...... 113 4.4 Memorials ( zòu 奏)...... 115 4.4.1 The meaning of dàn 但 ...... 118 4.4.2 “If” vs. “or:” the meaning of ruò 若 ...... 119 4.4.3 The difference between zh āng 章 and zòu 奏...... 121 4.4.4 Reporting before the emperor: mèis yán 昧死言 and q sh u yán 稽首言...... 122 4.5 Presentations ( bi o 表)...... 129 4.5.1 Substitute variables: m uji 某甲 and ji y 甲乙 ...... 130 4.5.2 Submissive servants: chén ...yán 臣…言 and the use of surnames 136 4.5.3 Terrified servants: chénghuáng chéngk ng 誠惶誠恐 and similar expressions...... 137 4.5.4 Three post-Hàn presentations ...... 138 4.5.4.1 Chén Shòu’s 陳壽 presentation ...... 138 4.5.4.2 Péi S ōngzh ī’s 裴松之 presentation ...... 141 4.5.4.3 Sh ěn Yu ē’s 沈約 presentation ...... 142 4.5.5 Hàn evidence: shàngbi o 上表, bi oyán 表言, and bi ozòu 表奏 143 4.6 Imperial answers ( bào 報)...... 150 4.6.1 A logical error: tóngxìng gu ānbié 同姓官別 vs. tóngmíng gu āntóng 同名官同... 151 4.6.2 A general rule or the effect of qúnchén shàngsh ū 群臣上書 ...... 152 4.6.3 Once again: silk or black cloth? ( bónáng 帛囊 vs. zàonáng 皁囊) 153 4.6.4 What’s in a brush stroke? ( zh āng yu ē bào 章曰報 vs. zh āng k ubào 章口報 vs. zh āngbào 章報)...... 155 4.6.5 Who memorialized petitions and conveyed the imperial response? . 157 4.6.6 A polite rejection? The meaning of bàowén 報聞 ...... 161 4.6.7 Imperial replies to presentations: rúsh ū 如書...... 166 VIII Contents
4.6.8 Classified information forwarded in black pouches: zàonáng 皁囊 168 4.7 Memorializing ( zòu 奏)...... 170 4.7.1 The zòuzhuàng 奏狀 references...... 170 4.7.2 Military emergency messages: fā b ēnmìng sh ū 發奔命書...... 173 4.7.3 Reports on “weird affairs:” biànshì 變事...... 175 4.7.4 Why two different kinds of zòu ?...... 178 4.7.5 The reliability of the Wénx īn di āolóng 文心雕龍 ...... 180 4.7.6 The unifying sense of zòu 奏 and the meaning of zh āngzòu 章奏. 181 4.8 Dissenting opinions ( bóyì 駮議)...... 183 4.8.1 The meaning of yì 議 ...... 186 4.8.2 Variant readings: yì 義 and bó 駁 ...... 189 4.8.3 Differing positions and disputing the status quo: yì y wéi 議以為 .. 191 4.8.4 Polite “stupidity:” chén yú(zhuàng) 臣愚（戇）...... 193 4.8.5 The disputes on the occasion of emperor Liú Zhu āng’s death in AD 75...... 195 4.8.6 Dissent and approval: yì yì 議異 and yì k ě 議可...... 197 4.8.7 Characteristics of discussions at court ...... 199 5 The Edicts ...... 201 5.1 The four forms of imperial commands ...... 201 5.2 Decisions ( zhìsh ū 制書)...... 202 5.2.1 What was the formula used in decisions? ...... 204 5.2.2 Lú Wénch āo’s 盧文弨 (1717-96) contributions...... 205 5.2.3 The direct evidence for zhìsh ū...... 209 5.2.3.1 Calendrical changes ...... 209 5.2.3.2 The imperial ancestral cult ...... 212 5.2.3.3 Dating of decisions ...... 214 5.2.4 The zhìzhào 制詔 evidence ...... 215 5.2.5 Why “decision?” The zhì yu ē 制曰 evidence ...... 221 5.2.5.1 The decision of Liú Héng to increase sacrifices in the year 167 BC...... 221 Contents IX
5.2.5.2 The proposal of G ōngs ūn Hóng 公孫弘 to install secretaries in provincial governments ...... 222 5.2.5.3 The enfeoffment of the Three Princes ( sānwáng 三王) ...... 224 5.3 Instructions ( zhàosh ū 詔書)...... 232 5.3.1 Gào m ugu ān 告某官 vs. gào m ugu ān m u 告某官某 ...... 233 5.3.2 Xià y u zhì yu ē 下有制曰 vs. xià y us ī yu ē zhì 下有司曰制...... 234 5.3.3 Problems of interpretation...... 235 5.3.4 Instructing governors and other officials: zhàogào 詔告...... 238 5.3.5 Honored history: rú gùshì 如故事...... 239 5.3.6 Imperial approval: zhì yu ē k ě 制曰可 ...... 245 5.3.7 Alternative approvals: nuò 諾 etc...... 246 5.3.8 Elusive expressions: xià d āngyòngzh ě 下當用者 and rú zhàosh ū 如詔書 ...... 248 5.4 Deciding and instructing ( zhì 制 and zhào 詔) ...... 250 5.4.1 Hierarchical difference? ...... 250 5.4.2 Chronological differences?...... 252 5.4.3 No difference? ...... 253 5.4.4 Ōba Osamu’s classification...... 254 5.4.5 Cài Y ōng’s definition of zhì and zhào ...... 257 5.4.6 The double-standard of zhì and zhào ...... 258 5.4.7 Informal imperial messages...... 261 5.4.7.1 Special instructions ( tèzhào 特詔)...... 261 5.4.7.2 Instructions written by the emperor himself ( sh uzhào 手詔) ..... 263 5.4.7.3 An imperial note ( zhàojì 詔記)...... 264 5.5 Diplomas ( cèsh ū 策書)...... 268 5.5.1 The general meaning of cè 策／冊...... 268 5.5.2 Cài Y ōng’s definition of cèsh ū...... 269 5.5.3 Diplomas for investitures, appointments, and dismissals...... 273 5.5.3.1 Establishing a vassal king...... 273 5.5.3.2 Appointing a chief prosecutor ...... 275 5.5.3.3 Other appointments and dismissals...... 277 X Contents
5.5.4 Diplomas conferring posthumous honors...... 280 5.5.5 Diplomas and charges: the relationship between cè 策 and mìng 命...... 282 5.5.6 Cèsh ū that were not diplomas...... 283 5.6 Admonitions ( jièsh ū 戒書)...... 285 5.6.1 Direct evidence for admonitions...... 289 5.6.2 Stern beratings: the indirect evidence ...... 289 5.6.3 Imperial orders ( zhàochì 詔敕) (1): military marching orders ...... 291 5.6.4 Imperial orders ( zhàochì ) (2): wills ...... 293 5.6.5 Imperial rhetoric ...... 296 6 Conclusion ...... 299 6.1 Summary of findings ...... 299 6.2 Punctuated “best text” of the Dúduàn with translation in the original order...... 306
Abbreviations and Conventions ...... 313 Bibliography ...... 315 1 Sources and works from before the Q īng 清 period...... 315 2 Secondary literature and works since the Q īng period...... 319 Official Titles During the Hàn Period ...... 329 Index of Translated and Paraphrased Source Texts...... 335 Index of Parts of Formulaic Speech ...... 339 General Index...... 341 中文概要 ...... 363
Charts 1 Relationship between the main powers in the communicative process.. 49 2 Layout of the palace gates and government agencies at Yè ...... 80