State and Mutiny in the Northern Song, 1000-1050 Peyton H. Canary A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy University of Washington 2017 Reading Committee: Patricia B. Ebrey, Chair R. Kent Guy Mary R. O’Neil Program Authorized to Offer Degree: History © Copyright 2017 Peyton H. Canary University of Washington Abstract State and Mutiny in the Northern Song, 1000-1050 Peyton H. Canary Chair of the Supervisory Committee: Professor Patricia B. Ebrey History This dissertation uses the Northern Song state’s response to mutinies as a prism through which to view different aspects of the government’s response to crisis. To this end, I focus on the suppression of five mutinies in the first half of the eleventh century, a time when the Song government was stable and the army posed little threat to the central government. I look closely at how officials and the emperor understood mutinies and the proposals officials made to suppress them in order to learn more about the nature of Song governance. Through an investigation of the individuals sent to direct and oversee campaigns against the mutineers, I show the qualities the court sought in men sent to put down unrest. In addition, I seek to understand how the physical and human geographies of the regions where mutinies broke out shaped the government’s actions. When sizing up the resources of the Song state and the mutineers, both in terms of people and wealth, it is clear that the Song held an overwhelming advantage. However, the mutineers often took steps which challenged the Song’s legitimacy, forcing the dynasty to react in kind by denouncing them. With a study of the punishments and rewards distributed to mutineers and the Song’s officials and soldiers, we can learn more about the concerns of the state. While the mutineers’ leaders were usually executed, their followers could and did receive pardons. The rewards and especially the punishments handed out to officials were intended to clarify what the state expected of its officials. Finally, once the mutiny was over, the government sought to restore order, both in clean-up campaigns to root out supporters of the mutiny and by trying to rebuild the state’s relationship with society. Table of Contents Lists of Maps and Tables .............................................................................................................. ii Acknowledgements ...................................................................................................................... iii Introduction ................................................................................................................................... 1 Chapter 1: Understandings of Mutinies and How to Suppress Them ................................... 38 Chapter 2: Who to Send? Personnel Selection in Mutiny Suppression Campaigns ............ 83 Chapter 3: Concerning Place: Geographic Considerations .................................................. 141 Chapter 4: Suppression and the Aftermath ........................................................................... 176 Conclusion ................................................................................................................................. 234 Appendix .................................................................................................................................... 248 Bibliography .............................................................................................................................. 273 i Lists of Maps and Tables Maps Map 1. Northern Song Circuits with Locations of Mutinies ................................................... vii Map 2. Sichuan Mutiny of 1000 ................................................................................................ viii Map 3. Guangnan Mutiny of 1007.............................................................................................. ix Map 4. Jingdong and Huainan Mutiny of 1043- Jingdong Map .............................................. x Map 5. Jingdong and Huainan Mutiny of 1043- Huainan Map .............................................. xi Map 6. Baozhou, Hebei Mutiny of 1044 .................................................................................... xii Map 7. Beizhou, Hebei Mutiny of 1047-1048 .......................................................................... xiii Tables List of Mutinies ............................................................................................................................. 4 Military Units and Commanders in the Song .......................................................................... 17 Officials Dispatched to Suppress Mutinies ............................................................................... 90 List of Dispatched Military Officials ......................................................................................... 93 Method of Entry for Military Officials ..................................................................................... 95 Military Officials with Experience as Prefect .......................................................................... 99 List of Dispatched Civil Officials ............................................................................................. 104 List of Dispatched Eunuchs ..................................................................................................... 117 Rewards for Beizhou Officials and Soldiers ........................................................................... 206 Types of Punishments ............................................................................................................... 209 Reasons for Punishments ......................................................................................................... 211 Appendix Table 1: Officials Dispatched to Suppress Mutinies ............................................ 249 Appendix Table 2: List of Rewarded Officials, Soldiers, Relatives, and Commoners ....... 253 Appendix Table 3: List of Punished Officials and Relatives................................................. 262 ii Acknowledgements As I have been working to complete my dissertation, I have reflected on all those who have helped me on my path through graduate school. Without their support and encouragement, this would not have been possible. I believe everyone needs a community to help them through difficulties and to share in their successes. For this reason, I want to express my appreciation to so many people in my own community. I first and foremost want to thank my advisor and dissertation committee chair, Professor Patricia Ebrey, for the innumerable ways she has kindly helped me over the years. I have benefitted greatly from her broad knowledge of Chinese history, as she has always been able to direct me towards new scholarship as my study unfolded in different directions. Professor Ebrey’s questions and comments have consistently helped me see my work in a new light and to guide me through the process of researching and writing throughout graduate school. Her enthusiasm for the study of Chinese history has helped keep me going in my own studies. Professor Ebrey’s advice and support has proven essential for the successful completion of this dissertation. I also want to thank the other members of my reading committee, Professors Kent Guy and Mary O’Neil. Professor Guy’s strong interest in political history in imperial China is similar to my own, and my field with him in Late Imperial China has provided considerable inspiration for my dissertation. He was always ready to meet when I sought his advice. The experience of helping him compile materials on Qing officials introduced me to the importance of studying the lives of a cohort as a means to understand political administration, and one of my chapters in particular is the result of that experience. Professor Guy’s humor and kindness have also been of great value while I have made my way through graduate school. Professor O’Neil gave me the iii wonderful opportunity for a comparative perspective. By studying Renaissance Italy with a focus on state rituals, I gained a deeper appreciation for the state’s use of ceremony, symbolism, and language as a form of power. While I could say beforehand that ritual was undoubtedly important in imperial China, above all in Confucianism, it was not until I witnessed the ways in which Florence and Venice sought to use ritual that I more fully understood the value it had. I greatly enjoyed learning about and discussing Italian history with Professor O’Neil, and my field with her has greatly influenced the direction of my dissertation and research interests. In a similar vein, I would like to thank Professor Hwasook Nam, who was on my doctoral exam committee. She was willing to guide me through the scholarship on the development of Neo- Confucianism in the Chosŏn period, which again helped me reflect upon changes within China in new ways. Her encouragement has also played an important role during my time in graduate school. I must also extend my thanks to the University of Washington’s History Department and the Jackson School of International Studies, particularly the China Studies Program where I began my graduate studies. The faculty and staff in both places provided ready support for the wide array of questions and concerns that emerged at different points in my time here. I have received generous funding during my time at the UW. The K.C. Hsiao Fellowship,