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Honours Thesis The Fallen Sage Emperor Huizong’s Dilemma and the Wise Ruler Doctrine Honours IV Government & International Relations The University of Sydney Max Junbo Tao SID 470162819 18,770 words 失落的圣人 Shīluò de Shèngrén 宋徽宗的困境与明君思想1 Sònghuīzōng de Kùnjìng yǔ Míngjūn Sīxiǎng 荣誉学位论文 政府学与国际关系学 悉尼大学 18,770 words 1 ‘Doctrine’ 在英文中表示一系列由特定群体采纳并推行的政治理念或宗教信仰，中文通常翻译为 ‘学说’、 ‘主义’、‘法则’ 或 ‘信条’。本文将其归化翻译为更加笼统的 ‘思想’，以匹配中国传统政治文化语境中的 ‘明君’ 一词。 This work is substantially my own, and where any part of this work is not my own, I have indicated this by acknowledging the source of that part or those parts of the work. i The Fallen Sage – Honours IV, Government & International Relations Table of Contents Acknowledgements .................................................................................................................... iii Abstract ..................................................................................................................................... iv Notes on Translation and Chinese Conventions ........................................................................ v Introduction .............................................................................................................................. 1 Failure of Emperor Huizong ............................................................................................................................ 2 Three Leading Explanations for Huizong’s Failure .......................................................................................... 7 Strengths and Weaknesses ........................................................................................................................... 10 Heart of the Puzzle of Huizong’s Rule........................................................................................................... 13 Critical Historical Institutionalism...................................................................................................... 15 The Wise Ruler Doctrine ....................................................................................................... 20 Confucianism vs Daoism ............................................................................................................................... 21 Mixed Sources of Legitimacy ........................................................................................................................ 27 Three Sources of the Wise Ruler Doctrine ........................................................................................ 32 Ancestor Worship ......................................................................................................................................... 32 Self-Discipline ............................................................................................................................................... 35 Convergence of Elites ................................................................................................................................... 38 The Wise Ruler Doctrine in Northern Song ....................................................................................... 44 Scholar-Official Group................................................................................................................................... 44 Institutionalisation of the Wise Ruler Doctrine ............................................................................................ 49 Emperor Huizong’s Dilemma ............................................................................................... 53 Legitimation Problem ................................................................................................................................... 54 Centralisation ................................................................................................................................................ 59 Collapse of Authority .................................................................................................................................... 65 Emperor Huizong’s Dilemma ........................................................................................................................ 67 Three Leading Explanations ............................................................................................................... 71 Responding to the Core Theses .................................................................................................................... 73 Dysfunctional Bureaucratic Administration .................................................................................................. 74 Failed Wars Against Liao and Jin ................................................................................................................... 75 Issues of Fiscal Revenue and Expenditure .................................................................................................... 78 Conclusion .............................................................................................................................. 81 Reference List ........................................................................................................................... 86 Illustrations, Figures and Tables ........................................................................................... 101 Appendix A: Chronology of Premodern Chinese Dynasties .................................................. 102 Appendix B: Timeline of Emperor Huizong’s Reign .............................................................. 103 Appendix C: Chinese Character Glossary ............................................................................. 113 ii The Fallen Sage – Honours IV, Government & International Relations Acknowledgements Professor John Keane inspires all the ideas in this dissertation. His supervision, support and encouragement have been indispensable to my writing process. During the pandemic, he has constantly given me strength and confidence to overcome difficulties. I thank Ms Angela Damis for her professional copyediting of this dissertation. Her serious work has significantly improved its accuracy, clarity and consistency. Also, I thank Xuanzi, Harriet and Iris for reading my final draft. I would like to thank Professor Rodney Smith for his strong support in my undertaking of the honours degree. I would like to thank Dr John Brookfield for his gentle comfort making me feel less worried. I would like to thank Professor Charlotte Epstein for teaching me academic skills with great attention, and I will treasure the GOVT3664 reader she gifted to me forever. I would like to thank Dr David Smith for reviewing my overcomplicated research plan over and over again and providing so many helpful suggestions to me. I would like to thank Dr Gil Merom for his solicitude for my writing progress and my daily life: his warm emails always invigorate me. I would like to thank Dr Peter Chen, Dr Gorana Grgic, Professor Megan Mackenzie and Dr Minglu Chen for their assistance, advice and guidance during my preparation for the honours research. I would like to thank Zhen and his family, Lily and her family, and Liang and his family for providing me with support during the pandemic. I would like to thank my best friends in China – Zixuan, Lemeng, Mingzhe, Zhiping, Chuanlin, Zehao and Zhengli – for allowing me to vent my frustrations and cheering me up. I would like to thank my overseas friends Joseph, Zoe and Regina for encouraging me to try my best. I would like to thank my mates Carrie and Marton from Honi Soit for reading my ideas in the early stage of my research. I would like to thank my classmates Jenny, Adubi, Michael and Zoe for their kind and helpful messages to me after courses. I would like to thank my online club members for keeping me company. I would like to thank Jie and Whenyu for listening to my innermost feelings. I would like to thank Jingmin for keeping in touch with me every day. Particularly, I would like to thank Qi for introducing me to the Qingdao Agricultural University’s grey cat, which helped with my anxiety, and she gives me so many tips for my English writing skills. I would like to thank my sister in heaven, she is with me in my heart every time I feel lonely. I would like to thank my big family, my little hometown and my native land for perpetually being the most solid backing behind me. I would like to thank my parents and my grandparents especially, always. iii The Fallen Sage – Honours IV, Government & International Relations Abstract This dissertation is an interdisciplinary study of the reign of Emperor Huizong (1100-1126), whose rule proved so paradoxical: after building a new stage of the Northern Song dynasty that resulted in two decades of prosperity, his empire collapsed within a few years. The dissertation examines the strengths and weaknesses of the three leading explanations of the failure of Huizong’s rule, and it shows why they cannot adequately account for the collapse of the empire. The root cause of Huizong’s downfall was not that he was an undisciplined ruler, or that he was the victim of military misjudgements, or that he badly handled tensions between his own Daoist beliefs and a Confucian bureaucracy, as has been claimed. The dissertation asserts that Huizong instead had a legitimation problem. It shows that in his struggle for political power Huizong mainly relied upon the doctrine of the Wise Ruler. This doctrine is analysed in some detail, in order to develop the main thesis. It is argued that Huizong’s attachment to the Wise Ruler doctrine
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