Song Dynasty: The Third Year of the Reign-Period xianping
of Emperor Zhenzong
By Dieter Kuhn, Würzburg
Emperor Zhenzong ^ reigned as the third emperor of the Song dynasty
(960-1279) from 997 until 1022. His reign-period xianping ^ ^ [Total Tran¬
quillity] lasted from 31 January 998 undl 24 January 1004. In the context of
Confucian state orthodoxy the third year of this reign-period deserves special
attention. According to the Chinese lunar calendar it started in February 1000
and ended in January 1001.
The facts relating to the early reign-periods of the Song dynasty provide
evidence that the founding Emperor Taizu (r. 960-976), his brother and
successor Emperor Taizong A m (t- 97G-997) and his son Emperor Zhenzong
(r. 997-1022) and their advisors inaugurated a new way of political thinking,
which should be interpreted as an attempt to put Confucian governmental
and educational ideals into reality by strengthening the civil element {wen ^)
in society, promoting the examination system and at the same time consoli¬
dating the centralisation of state power. The reign-period xianping may not
have been a year of major historical significance, but several events took place
which deserve to be remembered. Three examples from the fields of intellec¬
tual and material culture may be singled out to document this: first of all, there
is the continuation of the promotion of state rituals and the Confucius cult
started by the early Song emperors, secondly the jinshi 3^ i [promoted
scholar] examinations of the year 1000 that represent a milestone in the his¬
tory of the Chinese examination system, and thirdly there is the architecture
of the tomb of Empress Dowager Yuande Li jc ^ ^ (945-978) which docu¬
ments the fact that even imperial tomb architecture no longer slavishly imi¬
tated the style of the Great Tang dynasty (618-907). Thus the Song develop¬
ment of the ritual and examination systems as well as the Song conception of
tomb architecture, which evolved in new directions, contributed to the con¬
solidation of Confucian state orthodoxy in the early Song dynasty.
But before presenting and discussing some of the significant events and
decisions from the early years of the rule of Emperor Zhenzong and before
demonstrating how the year 1000 stood out, the intehectual and historical
background to the Song dynasty ideology which developed during the 11'''
century should be outlined.
The Song dynasty is generally regarded as the key period of Chinese history
when the principles of Confucius (551-479 bc) and his followers as handed
down in the textual tradition not only were highly esteemed but also contrib¬
uted effectively to a reinterpretation of Confucian ideology, thus being respon¬
sible for creating a new Chinese world view. The political and intellectual
changes were inspired and backed by the newly created class of state-examined
degree-holding scholar-officials (shi zt)-^ They constituted only a small per¬
centage of the elite^ and an even smaller percentage of the overall population
in Song times,' but their values were to influence and in many cases determine
Chinese cultural and political thinking until today. In Song times these
scholar-officials gained a reputation for their intellectual and literary move¬
ments, their attempts to reform the Chinese state on all levels, and their devel¬
opment of the True Way Leaming (daoxue ^) which started around the
middle of the 11* century. Confucian officials succeeded in establishing lec¬
tures on the "Learning of the Emperors and Kings" (diwangzhixue
for the emperors. "Here the basic idea was that the sage-kings of ancient times
had been advised by sage-ministers, and what emperors needed to learn in the
present was to follow the example of the sages - to keep wise, learned, and
straight-talking Confucians as confidants and mentors.'"* No other dynasty in
the history of China experienced the same sort of power and influence of the
Confucian scholar-officials as the Song dynasty did. True Way Leaming began
to dominate the cultural, ritual and pohtical developments and thus "became
' "As a term for the social element, 'shi' can be translated 'great clans' for most of the Tang [618-907], 'civil bureaucratic families' for the Northern Sung [960-1126], and 'local elites' during the Southern Sung [1127-1279]": see Peter K. Bol: "This Culture of Ours. "
Intellectual Transitions in Tang and Sung China. Stanford 1992, p. 34, Table 1, The Transfor¬
mation of the Shih.
^ The term elite covers not only degree-holders and office- and rank-holders, and thus the families of scholar-officials (shi) who were allowed to wear silk, but also ordinary literati,
"the plain-clothed" (huyi), private scholars, teachers, landowners, men of property, mer¬
chants, entrepreneurs et cetera. The elite had access to "wealth, power, and prestige". See Robert H. Hymes: Statesmen and Gentlemen. The Elite of Fu-chou, Chiang-hsi, in North¬
ern and Southern Sung. Cambridge 1986, p. 7.
' The numbers of degree-holders at any given time during the Southern Song constituted about 0.005 percent of the population: see Thomas H. C. Lee: Govemment Education and Examinations in Sung China. Hong Kong 1985, p. 21.
Wm. Theodore De Bary: The Trouble with Confucianism. Cambridge, Mass. 1991,
p. 51.
the state orthodoxy".' And both the contemporary ideological discussion and
the historical events give evidence that the newly interpreted Confucianism in
Song times was to some degree both conservative and liberal.
Although the political and educational decisions in the first fifty years of
the Song dynasty were influenced by the way of the sages, they were certainly
not yet overshadowed or dominated by the True Way Learning and the philo¬
sophical implications attributed to it. The early emperors followed a predom¬
inantly sturdy and practical interpretation of the teachings of Confucius,
which set the intellectual and cultural preconditions for a growing elite of ex¬
amined degree-holders.
The Impact of the Way of the Sages and the True Way Learning
Because of the overall impact of the True Way Learning for the evaluation of
Song history and due to its effect on Chinese history as a whole, it is necessary
to add a few words on the 7r«e Way Leaming and the proper way {dao
"the way of the sages". True Way Leaming can be understood in the words of
Wm. Theodore De Bary as signifying "principles implanted in the human
mind", in contrast to learning received through cultural inheritance (wen)}
Already Han Yu H ^ (768-824) attested of Mencius (ca. 372-289 bc) that he
had stood in the tradition of "the way of the former kings" {xianwang zhi dao
^fe i ^ Ü )/ i.e. that Mencius had preserved the dao of the sage in society.' It
goes almost without saying that Han Yu was the most influental propagandist
of the "correct succession of the way" {daotong ü ^) which after Zhu Xi
7^ ^ (1130-1200) in Ming and Qing dmes (14th to 20th centuries) became
state orthodoxy.'
* James T. C. Liu: China Turning Inward. Intellectual-Political Changes in the Early Twelfth Century. Cambridge, Mass. 1988, p.43. I have replaced his term "Neo-Confucian¬
ism" by the term "True Way Learning".
^ Wm. Theodore De Bary: The Trouble with Confucianism, p. 11.
^ In Han Yus Yuandao [The True Way] the sequence of the handing-down of the True
Way is described as follows: Yao taught it to Shun, Shun to Yu, Yu to Tang, Tang to Wen, and Wen to Wu, and from there it went to the Duke of Zhou, to Confucius and from Confucius to Mencius. After Mencius the tradition was lost. See also Miao Chunde (ed.): Song dai jiaoyu [Education in the Song Dynasty]. Kaifeng. Henan daxue chubanshe 1992, p. 231.
' Quan Tang wen [Complete Tang Prose], compiled by Tong Gao. Beijing. Zhonghua
shuju 1983, j.684, p. 26a. For a translation see Peter K. Bol: "This Culture of 0«rj°,p. 126.
' Achim Mittag: "Zeitkonzepte in China." In: Klaus E. Müller, Jörn Rüsen (eds.):
Historische Sinnbildung. Problemstellungen, Zeitkonzepte, Wahmehmungshorizonte, Dar¬
stellungsstrategien. Reinbek bei Hamburg. Rowohlt Taschenbuch Verlag 1997, pp. 268-269.
It was Cheng Yi M (1033-1107) who claimed that he and his brother had
recovered daoxue, the True Way Learning, which had been lost since the time
of Mencius.'° And Cheng Hao ^ (1032-1085) had propagated the book
Mengzi ^ which thus became integrated into the new intellectual and
philosophical mainstream. The scholar-official Ouyang Xiu W^^it^ (1007 to
1072) stated that the dao of the sage pertains to social and political affairs.'^
But official recognition did not take place before the years 1071-1072 when
the reformer Wang Anshi i $ S (1021-1086) decided that the book Mengzi
should be made part of the jinshi [promoted scholar] examination syllabus."
The final acceptance of the book came when the philosopher Zhu Xi incorpo¬
rated it into his edition of the Confucian Four Books (sishu) and provided a
commentary.''*
The authors of the Song shi [Song Annals] inform us in the preface of the
daoxue-chzpter^^ that the term 7r«e Way Learning did not exist in antiquity,
but when the Three Dynasties [Xia, Shang, Zhou] flourished the Son of
Heaven regarded the way as an instruction for government. Confucius said:
"When the way (dao) prevails under heaven, rituals, music and punitive cam¬
paigns are initiated by the emperor."'^ And the Song shi repeats that the learn-
'° See for further explanations Peter K. Bol: "This Culture of Ours", pp. 302-303; John W. Chaffee: The Thorny Gates of Leaming in Sung China. A Social History of Examina¬
tions. Cambridge 1985, p. 91.
" Song shi [Song Annals] of 1345. Beijing. Zhonghua shuju 1977, j. 427, p. 12720.
Xin Wudai shi [New Annals of the Five Dynastiesjhy Ouyang Xiu. Beijing. Zhonghua shuju 1974, j. 59, pp. 705-706; James T. C. Liu: Ou-yang Hsiu: An Eleventh-Century Neo- Confucianist. Stanford 1967.
" Wang Anshi's political enemy was the anti-reform scholar-official Sima Guang (1019 to 1086). In his opinion Mencius had to be criticised for disregarding the principle of hierarchy - every man in his place - which Sima Guang regarded as the essence of the dao of the sage:
Yao Yingting (ed.): Songdai wenhua shi [Cultural History of the Song Dynasty]. Kaifeng.
Henan daxue chubanshe 1992, p. 171-172; see also Peter K. Bol: "This Culture of Ours", p. 234. Sima Guang was not the only critic of Mencius {Yi Meng [Doubts about Mencius]),
but he was the most famous. Already before Sima Guang, Li Gou (1009-1059) had ex¬
pressed criticism of Mencius: see Yao Yingting (ed.): Song dai wenhua shi, pp. 171-172.
See for editions in Yves Hervouet (ed.): A Sung Bibliography. Hong Kong 1978,
pp. 44—45. On the daoxue canon see Hilde De Weerdt: "Canon Formation and Examina¬
tion Culture: The Construction of Guwen and Daoxue Canons." In: Journal of Sung-Yuan Studies 29 (1999), pp. 91-134.
" Song shi, j. 427, p. 12709 (preface of the daoxue biographies).
" See for a translation of the whole chapter The Analects of Confucius. A Philosophical
Translation. A New Translation Based on the Dingzhou Fragments and Other Recent Ar¬
chaeological Finds. Translated, with an Introduction, by Roger T. Ames and Henry Rose- mont, Jr.: New York: Ballantines Books 1998, p. 196 (Book 16:2); James Legge: The Chi¬
nese Classics, VoL 1, Confucian Analects. Reprint, Taipei 1985, p. 310.
ing of Confucius and Mencius had been lost or wrongly interpreted for hun¬
dreds of years. The Song Confucian scholars {Song ru zhi xue ^ ■P)
surpassed the previous philosophers and esteemed Mencius highly. Thus their
learning dominated and the True Way Learning flourished. The fact that the
meaning of the term True Way Learning^^ cannot be limited to philosophy
and intellectual history but has to be considered as having exercised consider¬
able influence on later Song policy may be seen from the circumstance that
political failure and success, glory and misfortune were closely connected
with it. It had to be investigated in order for one to know how to apply it.'* In
antiquity there was no need for such investigations or for elaborate writings
about the way because the sages were rulers and they practised it. The authors
of the Song shi [Song Annals] advocated "a rule (based on) the virtue of heaven
and the way of the kings" {tiande wangdao zhi zhi ^ i xl tn)-"
The Founding Emperors of the Song Dynasty
When Zhu Wen 7^^^ (852-912) proclaimed the short-lived Liang dynasty
(907-923) in 907 he not only gave the death-blow to the Tang dynasty (618 to
907), one of the most splendid and often imitated dynasties in Chinese his¬
tory, but also brought to an end a way of life and a style of government which
were both characterised by aristocratic perceptions. With the beginning of the
Five Dynasties (907-960) in north China, the Qidan ^ f]^ Khanat in the
Northeast [former Manchuria] and Inner Mongolia (907) and the Ten King¬
doms (907-975) in central and south China the world of the Chinese heredi¬
tary aristocracy and the old traditional values preserved in the social order
collapsed, and the great families with genealogies, the horse-riding nobles
Until recently there was no problem in using the term Neo-Confucianism for daoxue.
Daoxue was generally well understood when addressing political and cultural mainstreams prevailing in the Song dynasty from the 11''' century onward. However, a discussion has now
developed among American sinologists (HoYT Tillman, Ping-tzu Chu, Hilde de
Weerdt, Michael A. Fuller and others) questioning this general use and interpretation of daoxue in philosophy and history. It has been pointed out that the term daoxue and the philosophical implications accompanying it have to be seen and revalued according to the various philosophical schools in Song times. The participants in the discussion agree that the term Neo-Confucianism should no longer be used. Instead it has been suggested that daoxue should be translated as "the fellowship of the learning of the true way" for the Northern Song period (see Re: "Neo-Confucianism and Daoxue?" In: sungyuan-listserv.byu.edu, Mi¬
chael A. Fuller, 16. Sep. 1999). It is not my intention to add to this discussion, but I would rather prefer the translation „True Way Learning" as suggested by Linda Walton.
" Song shi, ]. 427, p. 12710.
" Song shi, ]. 417,^. 12710.
who had set the standards for official careers and fashions for hundreds of
years, started their irresistible decline. Military dictatorship, terrorism and
warlordism prevailed, turning life for officials and the members of the nobil¬
ity into a nightmare.
This period of bloodshed and slaughter was ended by Zhao Kuangyin ^§
J|[ (928-976) who succeeded in gaining power and restoring order in north
China.^° On 3 February 960 he founded the Song dynasty, which was to last
until 19 March 1279.^' Like many of the dynasty-founding emperors in Chi¬
nese history Zhao Kuangyin, canonised as Taizu [Supreme Progenitor], is de¬
scribed as a ruler with many talents, who devoted himself to agriculture, pro¬
moted learning, weighed up punishments carefully, and in seventeen years
laid the foundations for a rule which lasted more than three centuries. Em¬
peror Taizu was an experienced military leader, a remarkable civil administra¬
tor, and a modest man who sympathised with the common people.^^ And as
far as brilliant culture, morality and righteousness are concerned the Song
yielded nothing to the Han and Tang dynasties. Emperor Taizu was the noble
man {jun ^) who created the pattern of rule for his successors and handed the
throne on to the next generation.^' Thus he followed an example already de¬
scribed in the context of rituals in the Confucian classic Lunyu Id [Ana¬
lects]}^ In retrospect he certainly lived up to the expectations of the leadership
elite as described by the Song scholar Fan Zhongyan IS f4' (989-1052), who
characterised a noble man (junzi) as someone first in worrying about the
world's worries and last in enjoying its pleasures.
But what was even more important is the fact that Emperor Taizu at least in
theory conformed to Confucian teaching. In matters of dynastic ideology he
unified the empire under civil rule, "restoring the civil {wen ^) after a century
^° Inner Mongolia, the northeast (Manchuria) and the north of Hebei and Shanxi prov¬
inces belonged to the Liao empire (907-1125) of the non-Chinese Qidan.
^' For the chronology of reigns see James M. Hargett: " A Chronology of the Reigns and Reign-Periods of the Song Dynasty (960-1279)." In: Bulletin of Sung Yüan Studies 19(1987), pp. 26-34.
See also the description of Taizu by Orro Franke: Geschichte des Chinesischen Rei¬
ches. Berlin 1948, vol. 4, pp. 109, 116-118.
For the praise of Emperor Taizu see Song shi, j. 3, pp. 50-51.
^* Lunyu [Analects], Book 2:23; James Legge: The Chinese Classics, Vol. 1, Confucian Analects, p. 153; The Analects of Confucius, p. 81. Recently John Makeham has interpreted the Zheng Xuan (127-200) commentary on the chapter as a possibility for a future observer to see differences in the development of the performance of ritual practices in the past; John Makeham: "The Earliest Extant Commentary on Lunyu: Lunyu Zheng shi zhu." In: T'oung Pao LXXXlll:4-5 (1997), pp. 287-288.
dominated by the mihtary {wu Ä)">^^ and he encouraged the civil element
over the military, which had a bearing on the future development of the dy¬
nasty. But this preference for wen and Emperor Taizu's dissolving military
power over a cup of wine {bei jiu shi bingquan ^-'M^^ W)^ which became
enshrined in "an aphorism meaning to ease people out of power quietly",^*
should not be confounded with his attitude to power. Emperor Taizu is said to
have emphasised Confucian ideology by ruling as an exemplary Confucian
ruler, which implied deference to his councilors. According to the philoso¬
pher Mencius "ministers could serve their proper function as mentors to the
throne only on condition that they were treated as virtual coequals of the em¬
peror. "^^ If such basic principles were not met, the noble man had no choice
but to leave the ruler's court. Although Emperor Taizu in reality restrained
the authority of his councilors,^* his understanding of the civil (wen) as part of
the dynastic ideology became the absolute pattern of conduct and rule which
was more or less successfully imitated by his seventeen imperial followers
during the Song dynasty.^'
Emperor Taizu realised very early the need for loyal and well-trained men
in his government and administration, and thus took the first step towards de¬
veloping a civil service recruitment system on a high level which had existed
since the Sui dynasty (581-618). His successor Emperor Taizong [Supreme
Ancestor] restarted the civil examination system on a large scale and thus pre¬
pared the ground for the development of a new career pattern for scholars:
that of the professional civil servant who had gone through an elaborate
system of written examinations leading to the most highly esteemed degree
of jinshi [promoted scholar]. "The examination system's ideal of selecting
the best men to serve as officials was thoroughly Confucian."'° The examina¬
tions were based on the canon of Chinese classics and the Confucian writings.
The contents of official learning were well defined and thus the Confucian
" Quoted from Peter K. Bol: "This Cuhure of Ours", p. 148; for further evidence see
Otto Franke: Geschichte des Chinesischen Reiches, vol. 4, p. 118; Dieter Kuhn: Die
Song-Dynastie (960-1279): Eine neue Gesellschaft im Spiegel ihrer Kultur. Weinheim. Acta Humaniora VCH 1987, pp. 93-95.
" Peter Lorge: "The Entrance and Exit of the Song Founders." In: Journal of Sung- Yuan Studies 29 (1999), pp. 43, 45.
" Mencius, 2B:2,5,14; 4B:3;5B:9; see also Wm. Theodore De Bary: Waiting for the Dawn: A Plan for the Prince. Huang Tsung-hsi's Ming-i-tai-fang lu. New York 1993, p. 25.
^' Edmund Henry Worthy, Jr; The Founding of Sung China, 950-1000: Integrative
Changes in Military and Political Institutions. Ph.D., Princeton University 1975, pp. 245-247.
" E.A. Kracke, Jr.: Civd Service in Early Sung China, 960-1067. Cambridge, Mass.
1953, pp. 24-25.
'° John W. Chaffee: The Thorny Gates of Leaming in Sung China, p. 47.
writings came to serve as the unquestioned basis of state ideology. As the
Song dynasty incorporated Confucian ideology to a higher degree than any
other dynasty in Chinese history Song China may be called a "Confucian
state", an expression which "points to the historically close association of the leading intellectual tradition with the dominant bureaucracy.""
The new class of civil servants, who very often originated from a humble
background, not only were an examination-based elite who propagated their
scholarly understanding combined with Confucian political theories in the au¬
dience hall of the emperor; they also tried to put their ideas into practice in the
government offices. Their new political consciousness and their academic rank¬
ing as jinshi [promoted scholars] accorded well with the creation of new cul¬
tural values, which became prominent in the so-called literati painting, and in
philological and historical scholarship, at a time when the Song officials re¬
garded themselves not just as civil servants but also as scholars, artists, poets,
calligraphers, historians and writers. A new type of intellectual had come into
being: the scholar-official (shi), who no longer derived his world-view from his
family background, but based it on his knowledge of the classics, his experience of Confucian ethics, and his ability to function as an administrative generalist.
Thus a sort of nation-wide „social identity" for the officials was successfully
created which lasted until the end of the examination system in 1905. And when
comparing the elite of the Song state with the aristocracy of the Tang dynasty it
may be justifiable to foUow the Japanese sinologist Naito Torajiro
HP (1866—1934), who ascertained a major historical divide between Tang and
Song and labelled the period from Song onwards as "modern".'^
Emperor Zhenzong in the Tradition of His Predecessors
Zhao Dechang M tf S) renamed Heng fa in 995, the canonised Emperor
Zhenzong [True Ancestor], was born on 23 December 968 as the third son of
Emperor Taizong [Supreme Ancestor] Zhao Kuangyi 1^ ^ (939-997).''
Wm. Theodore De Bary: Waiting for the Dawn, p. 3.
Joshua A. Fogel: Politics and Sinology. The Case of Naito Konan (1866-1934). Cam¬
bridge, Mass. 1984, pp. 168-182; Dieter Kuhn: Status und Ritus. Das China der Aristokra¬
ten von den Anfängen bis zum 10. Jahrhundert nach Christus. Heidelberg 1991, pp. 47, 67-68; Patricia Buckley Ebrey, Peter N. Gregory (eds.): Religion and Society in T'ang and Sung China. Honolulu 1993, p. 5.
" Herbert Franke (ed.): Sung Biographies. Wiesbaden 1976, vol. 1, pp. 91-93; Che Jixin (ed.): Zhongguo huangdi quanzhuan [Biographies of the Emperors of China]. Ji'nan 1991,
pp. 1426-1442; Zhongguo dabaike quanshu. Zhongguo lishi [The Great Encyclopedia of
China. History of China]. Beijing 1992, vol. 2, p. 1024.
He ascended the throne on 8 May 997 and reigned for a period of almost 25
years until his death on 23 March 1022. Although the length of his reign in the
Northern Song period (960-1127) was surpassed only by those of his son Em¬
peror Renzong jZ ^ [Benevolent Ancestor] (r. 1022-1063) and of Emperor
Huizong ^ [Excellent Emperor] (r. 1100-1126), in the opinion of most
historians he does not figure prominently as a competent ruler. He was a kind,
humble and considerate man, but lacking in self-confidence. He was regarded
as bookish and indecisive, easily swayed by argument, a weak emperor com¬
pared to his strong and autocratic father and uncle.''*
Having no reputation as a warrior and archer, and not experienced in war¬
fare as his father and uncle had been, he made good use of his abilities in the
early years of his reign by promoting a civil culture and a non-aggressive for¬
eign policy. He not only tried to rule in conformity with the civil element
(wen) propagated by his uncle Emperor Taizu, but also came close to the
Confucian ideal of a ruler by treating his senior officials with deference and al¬
most as coequals. This fact is well reflected in a later private Song dynasty
publication called Zun Yao /« ^ ^ ^ [Records Following Emperor Yao]
where we learn that in Luo Congyan 's opinion three out of ten fa¬
mous scholar-officials from 960 to 1063 served Emperor Zhenzong: Li Hang
^ V/L (947-1004), Kou Zhun ^ ^ (961-1023), and Wang Dan i B. (957 to
1017)." Emperor Zhenzong relied heavily on the services of his able states¬
men and the grand councilors enjoyed a previously almost unknown freedom
and autonomy when exercising their political influence on the emperor, de¬
ciding on government affairs on their own,'^ and issuing decisions and mea¬
sures in the emperor's name without being reprimanded by him.'^ The em¬
peror usually gave his formal approval. Thus he helped not only to establish a
self-confident officialdom and encourage the growing independence of high
office-holders but also to strengthen the central power of the government
Lm Jingzhen: Bei Song qianqi huangquan fazhan zhi yanjiu [An Investigation of the Growth of Imperial Authority in Early Northem Song]. Taibei. Ph.D., National Taiwan Uni¬
versity 1987, pp. 135-142.
" Zun Yao lu of 1226 by Luo Congyan (1072-1135), j. 5 (Li Hang), j. 6, pp. 1 a^b (Kou
Zhun); j. 5, pp. 4b-8a; j. 5, pp. 8a-12a (Wang Dan) [Luo Yuzhang xiansheng wenji in
Zhengyi tang quanshu].
See the study by Dagmar Schäfer, who has shown how the power of the councilors increased while the emperors became ever more dependent on their government ofBcials:
Dagmar Schäfer: "Die Legitimation der Beamten in der Song-Dynastie." In: Beamtentum und Wirtschaftspolitik in der Song-Dynastie, edited by Dieter Kuhn, assisted by Ina Asim.
Heidelberg 1995, pp. 78-172.
■"^ Dagmar Schäfer: "Die Legitimation der Beamten in der Song-Dynasty", pp. 101,134.
which initiated great economic prosperity and a considerable increase in the population figures.
As a ruler Emperor Zhenzong tried to follow in the footsteps of his father
and uncle, who had set examples of successful rule. His daily workload was
considerable. Like all his efficient predecessors he started his morning audi¬
ence at dawn in the front hall, receiving his grand councilors and other senior
officials from the Bureau of Military Affairs {shumi yuan |§ ^ '^), the State
Finance Commission {sansi H r]), the capital city of Kaifeng, and the Judicial
Control Office {shenxing yuan § ^IJ ^) to listen to reports submitted to the
throne which had to be discussed. After breakfast this type of work dealing
with reports and memoranda continued. Only in the afternoon could he read
or study before often summoning learned Confucian ministers for an evening
talk on a variety of topics. He was actively involved in expanding the exami¬
nation basis for recruiting qualified officials in order to staff the Song adminis¬
tration on all levels. By 1004 he had established an administrative structure
that in its basic pattern remained unchanged until a major reorganisation took
place during the reign-period jw^jw/ewg jt M [Prime Abundance] from 1078
to 1085.'^ "Policies began to follow a fairly uniform pattern."'' The actual
power usually lay in the hands of two grand councilors {zaixiang ^ and
five to seven councilors. One of the many nominal institutions'"^ was the Sec¬
retariat {zhongshu sheng ^ ^ ^) of the Inner Court, which was the office of
the grand councilors. Its official name was Secretariat of the Chancellery
{zhongshu menxia 4^ ^ "F)-"" The most important place for political
consultations with the emperor was the Administration Chamber {zhengshi
tang ^ ^),''^ in Song times also called the Imperial Secretariat Chamber
{zhongshu tang ^ ^ ^).'''' Because it was part of the Secretariat of the Chan-
Winston W. Lo:An Introduction to the Civil Service of Sung China. "With Emphasis on Its Personnel Administration. Honolulu 1987, p. 70.
E. A. Kracke, Jr.: Civil Service in Early Sung China, p. 137.
''° There was the nominal institution of the Three Departments {sansheng H. consist¬
ing of the Department of State Afiairs {shangshu sheng $ ^), the Chancellery (menxia sheng f ^ "p' ^) and the Secretariat (zhongshu sheng ^ ^). This terminology follows Charles O. Hücker: A Dictionary of Official Titles in Imperial China. Stanford 1985.
For a reference to the Imperial Secretariat of the Inner Court see Xu tongzhi [Continua¬
tion of the Comprehensive Monograph], commissioned by Emperor Gaozong (1711-1799).
Taibei 1963, reprint of the Shitong-edition. Vol. 8, ch. 130, pp. 4039-4040; for a reference to the zhongshu menxia known as zhongshu see Song huiyao [The Institutions of the Song Dynasty], edited by Xu Song (1781-1848) et al., newly compiled from the Yongle dadian [Encyclopedia of the Yongle Reign-period] by Yang Jialuo. Taibei 1964, vol. 5, ch. 11941, p. 2337.
Lidai zhiguanbiao [Historic Compilation on Officials], edited by Wang Yunwu.
Guoxue jiben congshu, vol. 82, ch. 3, pp. 60-61.
*^ Song huiyao, ch. 11941, p. 2339-2340.
cellery it is best known as Imperial Secretariat (zhongshu). This office became
the powerhouse of policy-making until the reforms in the yuanfeng reign-
period/^
Only after considering the decisions of the Emperors Taizu and Taizong in
the fields relevant to the present paper will it be possible to evaluate and ap¬
preciate the activities which took place during the reign-period Total Tran¬
quillity of Emperor Zhenzong.
In the context of cultural tradition as continued by the emperor the pro¬
motion of rituals is of the utmost interest. The term ritual (li f§) is used in a
pragmatic sense such as would have been understood by most Chinese schol¬
ars of earlier centuries when referring to the rituals described and explained in
the Liji ^ |g [Record of Rituals]:
„Of all the ways of keeping men in good order, there is none more urgent than
the use of rituals. There are five kinds of ritual and none of these is more impor¬
tant than sacrifice (fan zhi ren zhi dao mo ji yu li, li you wujing mo zhong yu ji /i-?0A;tiimmstti^iW£Mm»J^^)."«
The role and position of the emperor and his officials in rituals has been de¬
scribed thus by Julia Ching:
„The emperor was the mediator between heaven and the people, by virtue of his
position as political ruler. He was assisted by his ministers - an educated bureau¬
cracy of men versed in rituals and ethics."'**
The Song dynasty had a reputation for establishing the Great Rituals [dali
A la). They were performed by the emperor personally and special commis¬
sioners for ceremonial propriety (liyi shi f J) or for grand ceremonials
(dali shi A Ih ) were appointed. Sometimes these rituals were also referred
to as Auspicious Rituals (jili ^ and the Five Rituals (wuli £. la)-'*'' The
most important of the Great Rituals were the Sacrifices in the Suburbs (jiaosi
** See also Dagmar Schäfer: "Die Legitimation der Beamten in der Song-Dynasty", pp. 90-92.
Liji zhushu [Commentary on the Record of Rituals], quoted from the Wenyuange Siku quanshu-edhion, Taiwan. Shangwu yinshuguan, vol. 116, j. 49, p. 1 a [p. 291]. The translation here is a slightly altered quotation from the Liji as translated by Derk Bodde: Fung Yu-lan, A History of Chinese Philosophy. VoL L Princeton 1983 (paperback), p. 350. The five kinds of rituals are the "auspicious" (ji^), "mourning" (xiong |2<1), "hospitality" (bin S), "mihtary"
(jun ^) and "festive" (jia ^).
Julia Ching: Confucianism and Christianity. Tokyo. Kodansha 1977, p. 102.
Song shi, ]. 98, p. 2425; Guo Shengbo: "Song dali wushi xinian" [The Series of the Five Commissioners of the Great Rituals in the Song Dynasty]. In: Song dai wenhua yanjiu (disanji) [Research on the Culture of the Song Dynasty, Volume J]. Chengdu. Sichuan daxue chubanshe 1993, pp. 34-61.
^ jIE). Another ritual which gained some importance in the reigns of Emperor
Renzong and Huizong were the sacrifices in the Hall of Enlightened Rule
{mingtang ^). In the early decades their performance was delegated to
officials/* The same applies to the Sacrifices performed in Lined Garments
{jiaxiang ^ which took place in the ancestral temple. When Emperor
Taizu started the Sacrifices to Heaven in the Southern Suburbs {nanjiao ]^ ^U)
in the year 963,'" he imagined himself complying with the rituals performed in
antiquity {guli'^^) and thus saw himself as a legitimate inheritor of the ritual
tradition which he felt obliged to maintain for the sake of the dynasty and the
state. The nanjiao-sacnficcs constituted the ritual of the state sacrifice (jiaosi)
for heaven, which was the worship of Shangdi [Supreme Ruler], the Sovereign
on High in the Vast Heavens (haotian shangdi M A _h '^).^° This was per¬
formed on the winter solstice in December of every third year on a round altar
in the southern suburbs of the capital.'' On the day of the summer solstice in
June the ritual for the Spirits of Earth (diqi ffe took place on a square altar
in the northern suburbs (heijiao :jb ^P).'^ Already in the Liji [Record of Rit¬
uals] we can read about the sacrifices in the suburbs:
" On the day of the sacrifice the king wore the gun -robe resembling heaven (ji zhi
ri wang hei gun yi xiang tian ^;iBiMipfl'>l^ 55). He wore the mian ^ -cap
with the twelve pendants of pearls, following the number of heaven. He rode in
the plain carriage because of its simphcity. From the flag hung twelve pendants
with the emblems of dragons (longzhang f| ^), sun and moon imitating heaven.
Heaven handed down the images and the sages followed them. The sacrifice in
the suburbs illustrates the way of heaven (jiao suoyi ming tiandao ye^pffjU^M^
i|[ "til) ... All things originate from heaven. Man originates from his ancestors
(wanwu ben yu tian, renben jxzxS^^^fr^^A^S^' Ifl) .. • This sacrifice in
the suburbs is to express gratitude toward the originators and recalls the begin¬
nings (jiao zhi ji ye da baoben fanshi ;ye ;i ^ ffe A ^ ,R $p tÖ,)-
Songshi,]. 101, p. 2465.
^' Song shi, ]. 99, p. 2438; see also Werner Eichhorn: "Die Wiederentdeckung der Staats¬
religion im Anfang der Sung-Zeit." In: Monumenta Serica 23 (1968), 205-263.
5° Song shi, ]. 98, p. 2425.
" See the waw/iao-chapter in the Song shi, ]. 99, pp. 2433-2477.
Two ceremonies have to be distinguished: one took place as described, the other in the first month of winter; see Song shi, ]. 100, p. 2449.
" Liji zhushu, vol. 115, j. 26, pp. 8ab [p. 537], pp. 10a [p. 538]. It should be noted that there is a comprehensive collection of quotations on ritual robes et cetera in the Taiping yulan [Encyclopedia of the Taiping xingguo Period Prepared for the Press by the Emperor], com¬
pleted in 983 by Li Fang (925-996) et ai , ]. 690.
The state sacrifice prospered during the reign of Emperor Zhenzong when
it was performed in numerous years.''' The Sacrifices in the Southern Suburbs
were continued until the last years of the dynasty.
Emperor Taizu had already perceived the importance of combining the ed¬
ucation of future candidates for the civil service with ethical values as pre¬
sented in the learning of Kongzi (551—479 bc), and of his disciples and follow¬
ers. Here the scholar-official elite had an opportunity to practise Confucian
teaching, to carry out the Confucius cult and to propagate the idealised vener¬
ation of his person and teachings. From an entry in the Song shi [Song Annals]
we may deduce that the political programme of the Zhisheng wenxuan wang
M ^ ^ S i [The Most Holy King Proclaiming Culture]^^ could be described
as "culture rules all under heaven" {wen zhi tianxia ^ "/p A ~F). Zhisheng
wenxuan wang was a style name for Confucius adopted from Tang times.''
Emperor Taizu decided in 960 to extend and repair the Hall of Learning
(xueshe ■P ^) which was part of the Directorate of the Sons of the State
{guozijian S "f" m)) better known as the National University. Clay statues of
Confucius {xiansheng 9tW), Yan Hui ^[H {yasheng 55 ^)''' and ten philoso¬
phers {zhe §")'* were erected. The images of the seventy-two disciples of
Confucius, the worthies {xian ^) and twenty-one former scholars {xianru
Tfefra)^' were painted on the wooden panels of the Eastern and Western Corri-
dors.^° Emperor Taizu himself composed the inscription praising Confucius
and Yan Hui, and ordered his civil officials to write the inscriptions for all the
others. Three times beween 960 and 962 he paid a visit to the Temple of the
King Proclaiming Culture {wenxuan wangmiao ^ m i M) - the Confucius
Temple*' - which was evidently situated on the compound of the National
University."
Guo Shengbo: "Song dai dah wushi xinian", pp. 39-42.
" Songshi,]. 104, p. 2547.
" Aheady Tang Emperor Xuanzong ^ ^ had created the title Wenxuan wang for Confu¬
cius in 739 in order to demonstrate his veneration of the sage.
After Mencius was officially accepted in the 11 century as a philosopher of importance in the tradition of Confucius, he was promoted to the second rank (yasheng) after Confucius.
" The "ten wise ones" were disciples of Confucius specially commended by himself.
" The "twenty-one former scholars" were the scholars who starting with Zuoqiu Ming had handed down the learning of the classics.
There are three descriptions mentioning the statues and the paintings. They differ with regard to the persons honoured and the numbers of representations: see Song shi, ]. 105, p. 2547; Wenxian tongkao [General Investigation on Important Writings] com'pWeA by Ma Duanlin (1254-1325). Beijing 1986, j. 42, xuexiao san, taixue, kao 395; j. 43, xuexiao si, kao 409.
" For a short description see also Miao Chunde (ed.): Song dai jiaoyu, p. 12.
" Songshi,]. 105, p. 2547.
It is certainly no coincidence that in 962, the third year of the reign-period
jianlong ^ [Establishing Eminence], Emperor Taizu received The (Newly
Arranged) Illustrated Handbook of the Three Rituals [{Xinding 0f ^) sanli tu
H Ih IS]" by the grand guardian promoted scholar Nie Chongyi ^ ^ a
well-known ritualist, whose biography constitutes the first entry in the biog¬
raphy chapter Rulin [Forest of Confucians].*'' The Three Rituals were
clearly to serve as a manual to promote the tradition of the vanous sacrifices
performed by the emperor and the members of the court.*' Emperor Taizu
was pleased and commended the work.**
Emperor Taizong followed the example given by his brother and also vis¬
ited the Confucius Temple three times. In addition he ordered that a new
building should be erected on the compound of the National University, and
appointed officials to lecture on the basis of the Nine Classics (jiujing) which
he had bestowed on the institution.*'' After Nie Chongyi had died during the
reign of Emperor Taizong the illustrations of the Sanli tu were copied on the
walls in the Lecture Hall of the National University {guozijian jiangtang ^ ^
^ ^ ^) for generations to come.*' It is clear that both emperors personally
honoured the Confucian tradition and ideology by establishing a firm Confu¬
cius cult which was to strike roots very quickly in order to propagate a civil
society based on the ideals of benevolent rulership and virtue.
The Confucius cult was continued by their successor Zhenzong, who even
exceeded their examples. In the first year of the reign-period dazhong xiangfu
" The earliest bibliographically known Sanli tu most probably originated in Eastern Han times. See Wang Guowei: "Archaeology in the Sung Dynasty." In: The China Journal 6:5 (1927), p. 230. In the Song publication the garments, hats, girdles, utensils, tools, etc., which were used in various rituals are described and illustrated. The oldest still extant edition of the Sanli tu is the Xinding sanli tu printed in 1175 (Reprint, Shanghai 1984). The title "three ritu¬
als" usually refers to the three ritual books (Liji, Zhouli, and Yili). But sanli can also be inter¬
preted as referring to the three types of ritual sacrifice to the spirits of heaven (si tianshen) on the winter solstice, to the spirits of earth (ji dizhi), and to the spirits of men (xiang rengui).
Song shi, j. 431, pp. 12793-12797.
" See also James C. Y. Watt: " Antiquarianism and Naturalism." In: Wen C. Fong, James CY. Watt: Possessing the Past, pp. 219-220: "Nieh's compilation represented no advance in scholarship. Nevertheless it became the standard reference for the manufacture of objects used in court rituals, including costumes, ritual bronzes and jades, banners, maces, and all other paraphernalia." See also Jessica Rawson: "The Many Meanings of the Past in China."
In: Dieter Kuhn and Helga Stahl (eds.): Die Gegenwart des Altertums. Formen und
Funktionen des Altertumshezugs in den Hochkulturen der Alten Welt (in press), especiaUy
"Phase IV: The Revival of the Song and Later Periods".
" Song shi, ']. 5\,^.2A2\; ]. Ail, p. 12794.
" Songshi, '). 105, p. 2547.
Song shi, j . 431, p. 12797; the paintings were executed in the reign of Emperor Taizong:
Song shi, j. 105, p. 2547.
'^fp [Great Centrality and Auspicious Talisman] Emperor Zhenzong
staged even more elaborate sacrifices such as the famous and at the same time
impressively manipulated Sacrifice to Heaven and Earth (fengshan on
Mount Taishan, which took place in November 1008.*' We are told that
24,375 people, with Wang Dan at the top, senior and junior officials, Buddhist
and Daoist clergymen, representatives of the barbarians, and the elders of
counties and districts, had petitioned for the fengshan sacrifices to the em¬
peror, who fulfilled the wish of his people. The Sacrifices to Heaven and Earth
were executed under the supervision of Wang Dan as commissioner of grand
ceremonials and Wang Qinruo ^ (962-1025) as commissioner for cere¬
monial propriety. In January 1009 he arrived at Qufu, the home town of Con¬
fucius, where he paid a visit to the Confucius Temple and the tomb of Confu¬
cius, and performed the rituals in veneration of the sage. Furthermore he
visited the Hall of Shuhang He ^'^jj^, the father of Confucius, and ordered
his officials to venerate the seventy-two disciples of Confucius, the former
scholars (xianru), Shuliang He and the philosopher Yan. On this occasion
Emperor Zhenzong conferred on Confucius the posthumous title Xuansheng
wenxuan wang 5^ ^ 5l S i [The Profound Holy King Proclaiming Culture].
By doing so he once more followed the example set by the Tang Emperor
Xuanzong (r. 712-756). In June 1009 he promoted the ten philosophers to the
rank of duke and the seventy-two disciples to the rank of marquis, while the
former scholars received the title of earl or an official title.''°
AD 1000: The Third Year of the Reign-Period Total Tranquillity
(998-1004)
After ascending the throne Emperor Zhenzong ruled almost nine months
under his deceased father's reign period zhidao 3g [Ultimate Way] before
he proclaimed his own first reign-period xianping [Total Tranquillity] on
" Song shi, j. 104, pp. 2527-2528. When staging the fengshan sacrifices Emperor Zhenzong tried to follow the example of the Tang Emperor Xuanzong, who is said to have performed the sacrifices in the year 725. For materials on the history of the fengshan sacrifices see Yuhai [Sea of Jades] by Wang Yinlin (1223-1296). (Shanghai. Jiangsu guji chubanshe 1990), j. 98, pp. la-22a [pp. 1779-1794], on the various sacrifical activities around the year 1008 see pp. 1792-1794. See also Wen C. Fong: "The Imperial Cult." In: Wen C. Fong, James CY.
Watt, Possessing the Past. Treasures from the National Palace Museum, Taipei. New York 1996, pp. 99-105.
^° Songshi,]. 105, p. 2548.
31 January 998, which lasted until 24 January 1004. The years of Total Tran¬
quillity may be regarded as the most successful reign-period of Emperor
Zhenzong.
However, the reign-period Total Tranquillity was overshadowed by a
problem which Emperor Taizong (r. 976-997), at the time of his death on 8
May 997, had left to his successor unsolved: the dangerous military encoun¬
ters with the Qidanese Liao dynasty (907-1125). The negotiations between
the Song dynasty and the barbarian Liao dynasty finally led to the treaty of
Shanyuan in January 1005 at the end of the first year of the reign-period jingde
S ^ [Spectacular Virtue] which had started on the 25 January 1004. On the
one hand the treaty solved the military problem, but on the other it caused a
personal crisis for Emperor Zhenzong, leading to political weakness which
lasted until his death in 1022.
With regard to the crucial event of the Shanyuan treaty {Shanyuan zhi
meng vl ^ ^ ^) it is theoretically possible to divide Zhenzong's reign into
two periods. The first period lasted from 997 until 1006 when his grand coun¬
cilor Kou Zhun, the architect of the Shanyuan treaty, was dismissed from
office. The second period covered the years from 1006 until his death, during
which he came under Daoist influence and when Daoist ritual performances
started to compete with Confucian state ritualism.''' Thus the statement by
E. A. Kracke Jr. appears to be justified when he observed that Zhenzong
"had good intentions and gave promise of ability at the time of his accession",
but that "a tendency toward mental instability ... led to definite unbalance in
his later years. "^^
The third year of the reign-period Total Tranquillity which began on 8
February 1000 and ended in January 1001 did not start happily. In December
999 the belligerent Qidan had launched another medium-sized invasion
against the north of the Song empire. On the advice of his grand councilor
Zhang Qixian 5S ^ K (943-1014)''' Emperor Zhenzong personally took
command of an expeditionary force against the enemy with the intention of
settling the Liao problem. But when he arrived in the Northern Song capital
Damingfu A 1?^ (nowadays Daming in Hebei province) in January lOOO^**
he learned that the Qidan had withdrawn their forces and showed no in¬
tention of participating in peace talks. His efforts had resulted in diplomatic
" See the descriptions and explanations by Werner Eichhorn: Die Religionen Chinas.
Stuttgart 1973, pp. 268-290.
E. A. Kracke, Jr.: Civil Service in Early Sung China, p. 25.
Herbert Franke (ed.): Sung Biographies, vol. 1, pp. 8-9.
^* Song shi, '). 6, p. 110.
failure, but his determination in the matter was favourably commented on
even two hundred years later/' The attacks and raids by the Qidan continued,
but the Song and Liao armies were locked in stalemate. On returning to the
capital Kaifeng Zhenzong was informed that a rebellion in the garrison of
Chengdu in Sichuan province had broken out. The reason for this was local
mismanagement and corruption in the bureaucracy.^* It took nine months of
intensive fighting before Lei Youzhong W ^ (947-1005) in November
1000 succeeded in suppressing the rebellion and in restoring order in the
province.^''
It was in April of the year 1000 when Emperor Zhenzong ordered 150,000
river-labourers to be recruited as part of the physical labour service. They
were to be put to the task of repairing the dikes along the Yellow River and the
Bian River which were essential in harnessing the spring floods and in trans¬
porting supplies to the capital Kaifeng.''' This system of annual river-repairing was later to be continued.
All these activities may have been of some relevance for day-to-day politi¬
cal business and decision-making but they are only of minor importance com¬
pared to the civil service examinations held in the year 1000. For these exami¬
nations had far-reaching cultural and political effects.
The Promotion of the Civil Examination System
Apart from state rituals with sacrifices and elaborate ceremonies and the Con¬
fucius cult the jinshi [promoted scholar] examinations of the capital formed
another sort of institutionalised ritual which was designed for the intellectual
and educational ehte of China. These examinations, which the Song scholars
certainly would not have classified as "ritual performances" can nevertheless
be considered as a type of ritual. This was performed by the examination can¬
didates who composed the examination papers and the senior officials who
See Zhenzong heizheng [The Northern Expedition of Emperor Zhenzong] in the Rong- zhai suibi wuji [Five Collections of Brush Notes from the Rongzhai Studio] by Hong Mai (1123-1202), "Rongzhai sanbi" of 1196, j. 4, p. 12a (305, top) [Siku quanshu jinghua.
Sanheshi: Guoji wenhua chuban gongsi 1995. Vol. 25].
On the many economic problems in Sichuan province see Christoph Schifferli : " La Politique ficonomique des Song du Nord au Sichuan (965-1000)." In: T'oung Pao LXXII:
1-3 (1986), pp. 130-160; "Le Systeme Monetaire au Sichuan vers la Fin du X' Siecle." In:
T'oung Pao LXXII: 4-5 (1986), pp. 269-290.
Song shi, j. 6, p. 113.
Che Jixin (ed.): Zhongguo huangdi quanzhuan, vol. 2, p. 1430 (here the figures 100,000 to 300,000 are given).
supervised the examinations and marked the papers. Only the candidates who
passed the examinations became prestigious degree-holders and were thus al¬
lowed to enter the civil service.
The founding emperor held the view that grand councilors, who were in
close contact with the Son of Heaven, ought to be men of learning (dushuren
i§ ^ X). This is one of the reasons why "he initiated a palace examination
(dianshi^^) under his own personal supervision" as early as 9TbP This was
often regarded as a Song innovation.'° And in the eighth year of the reign-
period kaibao ^ Sf [Opened Treasure], i.e. 975, seventy students were ac¬
cepted at the National University." It may be assumed that this number fol¬
lowed Confucius, who is said to have had roughly seventy disciples.'^ During
the reign of Emperor Taizu 188 jinshi [promoted scholar]-degrees and 120
zhuke 1^ ^4 [various fields]-degrees were awarded.''
University education, the editing and publication of books which had to be
studied when preparing for the examinations, and the examination system it¬
self should be regarded as political institutions more than anything else.''' This
becomes obvious when looking at the number of successful examination can¬
didates in the reign of Emperor Taizong. After ascending the throne he pro¬
claimed in 977 that he wished to search broadly for superior and accom¬
plished men within the examination halls." And during the following days
109 candidates received their jinshi [promoted scholar]-degrees, 207 can-
^' Song huiyao jigao [Draft of Documents on Matters of State in the Song Dynasty], edited by Xu Song (1781-1848) etal., ce 110, xuanju 7, pp. 1 a. [Taibei: Xin wenfeng chuban gongsi 1976, vol. 5, p. 4342]; Ichisada Miyazaki: China's Examination Hell. Translated by Conrad Schirokauer. New York 1976, pp. 74-75.
'° The palace examination of 973 was not the first examination of this type. Empress Wu Zetian had already held it in 689.
*' Wenxian tongkao, j. 42, xuexiao san, taixue, kao 395.
The number of University students rapidly increased (with ups and downs) in the 11''' century: there were 300 students in 1044,900 in 1068,2,400 in 1079, reaching a figure of 3,800
in 1103; for more information on the students and the admission figures see John W.
Chaffee: The Thorny Gates of Leaming in Sung China, p. 32, Table 6.
The lists of the successful numbers of candidates are contained in Wenxian tongkao, j. 32, xuanju wu, kao 304-305. According to the calculations of He Zhongli 186 candidates received the jinshi- and 161 the z^«^e-degree: He Zhongli: "Bei Song kuoda keju qushi de yinyuan ji yu rongguan rongli de guanxi" [The Extension of the Imperial Examinations in the Northern Song Dynasty: Its Causes and Its Relationship to the Emergence of Redundant Government Officials]. In: Xu Gui (ed.): Song shi yanjiu jikan [Collection of Research Works on the Song Dynasty]. Hangzhou: Zhejiang guji chubanshe 1986, p. 88.
See Thomas H.C. Lee: Govemment Education and Examinations in Sung China,
p. 215.
Wenxian tongkao, j. 30, xuanju san, kao 284; John W. Chaffee: The Thorny Gates of Leaming in Sung China, p. 49.
didates their zÄM^e-[various flelds]-degrees'* and another 184 candidates
tezouming ^ ^ [facihtated]-degrees, thereby quahfying for entry into
officialdom. Taizong thus awarded more degrees in one year than his brother
in his entire reign.And he continued to promote the examination system.
In his rule of 21 years eight examinations took place with the result that
1,457 candidates became/i'm^j-degree-holders and 4,359 were made zhuke-
degree-holders, in all 5,816 persons.'*
As far as Confucian education and the examination system are concerned.
Emperor Zhenzong emulated his father. After several classics, which did not
include the Mengzi text, had been edited with commentaries in the reign of
Emperor Taizong between 988 and 996," he again ordered in 996 a commis¬
sion of scholar-officials headed by Xing Bing (932-1010) "to prepare an au¬
thoritative edition of the classical texts".'° The Seven Classics (qijing) compi¬
lation in 165 chapters was completed in October 1001.'' It contained among
other texts the Lunyu zhushu fm f§ Ü [Commentary on the Analects] by
Xing Bing ffß^, which had been commissioned in 999. This work soon after¬
wards served as the standard interpretation.'^ Furthermore Xing Bing com¬
posed the Xiaojing zhushu ^ M Ü i^ / Commentary on the Classic of Filial Pi¬
ety] and the Erya zhushu M ?! Ü 5i[ [Commentary on the Literary Expositor]
for this edition. The other four works were the Guliang ^ - and Gongyang
^ ^ -commentaries of the Chunqiu § ^ [Spring and Autumn Annals], the
Yili fft H / Ceremonies and Rites] and the Zhouli |g [Rites of Zhou]!^^ It was
the scholar-official Sun Shi ^ ^ (962-1033) who composed the Mengzi yinyi
^ ^ [Notes on the Pronunciations and Meanings of the Mengzi], the
standard commentary on .the Mengzi text'"* which in 1011 completed the
This was a degree named after the subject of one of various fields, e.g. the classics (Nine Classics [jiujing] or Five Classics [wujing]. Rituals (Three Classics on Rites (Sanli), The Code of Kaibao Rituals [Kaibao li]), history or law.
See also John W. Chaffee: The Thorny Gates of Learning in Sung China, p. 49.
" He Zhongli: "Bei Song kuoda keju qushi de yuanyin ji yu rongguan rongli de guanxi", p. 88.
" For more information on the publishing of the classics see Susan Cherniack: "Book Culture and Textual Transmission in Sung China." In: Harvard Journal of Asiatic Studies 54 (1994), pp. 58-62.
Yves Hervouet (ed.): A Sung Bibliography, p. 48.
" Yao Yingting (ed.): Song dai wenhua shi, pp. 169,177.
The Lunyu zhushu is the edition contained in the Shisanjing zhushu [Commentaries on the Thirteen Classics], edited by Ruan Yuan.
" Miao Chunde (ed.): Song dao jiaoyu, p. 12.
It was based on the Annotations by Zhao Qi (d. ad 201) of Eastern Han times and is in¬
cluded in the Shisanjing zhushu.
edition of the Thirteen Classics [shisanjing] as we have them today.'' Further¬
more a new edition of the Tongdian i§ A [Comprehensive Canon of the His¬
tory of Institutions] by Du You t± (735-812) was finished in 1000.
The great compilation projects - which were already started by Emperor
Taizong on a larger scale than outlined here - publicly demonstrated "that the
Song had inherited the responsibility for the cultural tradition."'* Through
these activities the preconditions for an education with an emphasis on the
classics and for a reliable standard of educational texts had been created,
which was essential for the education of scholars who were preparing for the
civil examinations. Apart from such educational concerns these publishing
projects provided great numbers of highly regarded jobs for qualified
scholars.
After reduced examination activities during the six years from 992 to 998
Emperor Zhenzong decided in April of the third year of his reign-period
xianping [Total Tranquillity], i.e. ad 1000, to boost the number of degree-
holders. Perhaps Zhang Qixian, who served as grand councilor from 998 to
the end of 1000, influenced this decision.'^ The number of examination candi¬
dates may have amounted to as many as 17,000 or 18,000. In April 1000 the
test of the Ministry of Rites {libu |§ pß) for recruiting officials took place in
the Hall for the Veneration of Governance {chongzhengdian ^ iB[ ^)." Em¬
peror Zhenzong let 1,538 candidates pass the final examinations in the capi¬
tal." This meant that more than eight percent of the candidates may have re¬
ceived a degree.'°° It was the young scholar Chen Yaozi ^ from Fujian
" Tsien TsuEN-HsuiN:Paper and Printing, Vol. 5:1 of Science and Civilisation in China by Joseph Needham. Cambridge 1985, pp. 162-163.
" Peter K. Bol: "This Culture of Ours", p. 152.
As a very young man Zhang Qixian had impressed Emperor Taizu by presenting him
with a paper listing ten points {shishi-\-'^) recommending the promotion of able and virtu¬
ous persons {ju xian ^ jf ) and the selection of good officials {xuan liangli 3 ^ 5^). Further¬
more he had already served Emperor Taizong in high positions. See Song shi, ]. 265, p. 9150.
'« Song shi,]. b, p. 112.
" The generally accepted numbers of graduates are contained in Wenxian tongkao, j. 32, xuanju wu, kao 305.
'°° The numbers of candidates who registered and who succeeded are available for many examination years. Regrettably no number of candidates can be found for the year 1000. The size of the examination as reflected by the number of successful candidates suggests that it may be compared with the examination of the third year of the reign-period chunhua [Pure Transformation], i.e. 992, of Emperor Taizong. In this year, out of 17,300 candidates 1,317 (consisting of 353 jinshi and 964 zhuke) received a degree. This meant that 7.6 percent were successful. These figures are based on the information given in Xu zizhi tongjian changbian [Collected Data for a Continuation of the Comprehensive Mirror for Aid in Govemment] o{
1183 by Li Tao (1115-1184). Beijing 1979, j. 33, p. 733. The WenxUn tongkao, j. 32, xuanju
who came first on the palace examination list {zhuangyuan ^ jc). 409 re¬
ceived the jinshi-de^rtt and 1,129 the z/;«^e-degree.'°' Among the examiners
were the distinguished fianlin scholar Xing Bing and another fifteen col-
leagues.'°^ As far as numbers are concerned it was the most successful year of
the examination system in Chinese history. More candidates graduated in one
year than ever before or after. The 1,538 degree-holders of the year 1000 con¬
stituted around 28 percent of the entire number of candidates - 5,555 persons
(1,711 jinshi- and 3,877 zÄ«4e-degree-holders)- who passed in the twelve ex¬
aminations, which took place on average every second year, during Zhen¬
zong's rule.'°-' This examination rhythm obviously influenced later practice.
Several reasons can be adduced for the decision made by Emperor Zhen¬
zong to increase the number of degree-holders."^ First of all, the examination
system was a sound methodological way to promote authority and to recruit
competent officials with a potential for organisation and administration. In
the early decades of the dynasty there was a need for qualified and loyal ad¬
ministrators which could be relieved by the employment of degree-holders.
When appointed they were certainly determined to support the system which
had advanced their career, their reputation and the fortunes of their famihes.
Secondly the examination system promoted civil culture ('■ze^ewj and restrained
military affairs (wu). In the case of Emperor Zhenzong he was still occupied
with cutting down the influence of military men and the numbers of heredi¬
tary high court officials. And thirdly the system helped to redress the social
injustices which afflicted the poor. The last argument may be of special
significance when we recall that more than 47 percent of prominent Chinese
officials between 998 and 1126 originated from poor famihes, and another
30.8 percent from low-ranking officials or local powerful families (without an
official background). Only 19 percent belonged to big clans or families of high
officials. These figures compare favourably with the early decades of the Song
(960-997) and the years 756-888 in Tang times when almost 33 percent and
wu, kao 305 provides different numbers: 353 jinshi and 774 zhuke, which means in total 1,127 degree-holders.
'°' Different figures (414 jinshi, 697 zhuke, and other differing statistics) are given in the Xu zizhi tongjian changbian, j. 46, p. 998.
Xu zizhi tongjian changbian, j. 46, p. 998.
He Zhongli: "Bei Song kuoda keju qushi de yuanyin jiyu rongguan rough de guanxi", p. 88.
These reasons are already discussed for Emperor Taizong by John W. Chaffee, The
Thorny Gates of Leaming in Sung China, p. 50, and Thomas H.C. Lee: Govemment Edu¬
cation and Examinations in Sung China, p. 210.
69 percent respectively of the prominent officials originated from big clans or families of high officials.
Hence it may be justified to say that in the reign of Zhenzong the examina¬
tion system was perfected,'"* or to put it in modern terms, the examination
system became a lever which helped to open the door a fraction to a career and
thus facilitated upward social mobility for people with access to education.
This upward mobility, however, was not deliberately engineered by the em¬
peror in order to create a new society. It was simply unavoidable given that he
wanted to get better control of his empire without sharing his power with the
aristocracy or the military. The number of successful candidates was fairly
small. This becomes evident given that the entire bureaucratic force around
the year 1000 has been estimated as comprising only 0.038 percent of the pop¬
ulation of 100 million people.'"'' The scholar-officials who profited from such
upward mobility were kept under control and disciplined by the rigid educa¬
tion system. And when they were successful, rewarded and promoted they
felt obliged to the emperor and could be trusted as supporters of the examina¬
tion system and its ideology. Everybody who wanted to belong to this elite of
scholar-officials knew that he had to participate in the examinations and had
to receive the degrees. All were well aware that they would only succeed if
they had access to education, books, teachers, schools, personal protection
and sponsoring. Only when all these preconditions were fulfilled did the can¬
didates have a realistic chance of passing the examination on the prefectural
level before trying to participate in the examinations in the capital.
Thomas H. C. Lee has argued that there were 9,785 posts and 8,653
degree-holders during the reign of Emperor Zhenzong. If we accept that the
degree-holders of the previous thirty years would still have been in service it
can be assumed that more than 80 percent of the posts in the bureaucracy were
held by degree-holders. During the reign of his son Emperor Renzong (r.
from 23 March 1022 to 30 April 1063) the average annual number of success¬
ful ;7Mi/)j-candidates alone increased from 68 during the reign of Emperor
Zhenzong to 113 new degree-holders,'°* which meant that during Renzong's
Thomas H. C. Lee: Government Education and Examinations in Sung China, p. 212,
Table 11.
Zhongguo dabaike quanshu. Zhongguo lishi, vol. 2, p. 1024.
Thomas H. C. Lee: Government Education and Examinations in Sung China, p. 221,
Table 14 where the data for his calculations are given. Around 1200 the entire bureaucratic force may have numbered 0.102 percent of the c. 63 million population. In 19''' century Qing-times the percentage was even smaller.
He Zhongli: "Bei Song kuoda keju qushi de yuanyin ji yu rongguan rongli de guanxi", p. 88.
reign 9,766 degree-holders needed corresponding well-paid jobs in the bu¬
reaucracy. The impending problem of unemployment was solved by creating
new jobs and doubling the size of the bureaucracy which grew from fewer
than 10,000 posts in the reign of Emperor Zhenzong to more than 20,000 in
the reign of Emperor Renzong. When the size of the bureaucracy increased to
more than 24,000 posts in the 60s and 70s of the 11* century the percentage of
degree-holders decreased to under 40 percent.'"' And thus the internal prob¬
lems concerning office holders and the bureaucracy in Song China entered a
new stage.""
With regard to the Song dynasty as a whole "about one third of the bureau¬
crats in regular service were degree-holders".'" This high proportion in
Northern Song times has to do with the extraordinary efforts made during the
rule of Emperor Zhenzong in perfecting the examination system and thus in¬
creasing the number of degree-holders. At the same time he succeeded in
keeping a very high ratio of degree-holders in relation to the number of posi¬
tions available in the bureaucracy. This may be interpreted as a sign of his po¬
litical efficiency.
The Tomb of Empress Dowager Li from the Year 1000
In April of the second year of the reign-period taiping xingguo j^W-^^
[Ascending Nation in Grand Tranquillity],^^^ which was the year 977, the
'°' Thomas H. C. Lee: Govemment Education and Examination in Sung China, p. 226,
Table 16.
"° After the death of Wang Anshi in 1086 the size of the bureaucracy started to inflate fur¬
ther, reaching in 1119a figure of more than 51,000 posts. At the same time the percentage of degree-holders in the Song bureaucracy fell to less than 14 percent. See Thomas H. C. Lee, Govemment Education and Examinations in Sung China, p. 226, Table 16. There can be little doubt that the bureaucracy in Southern Song times (when the geographical Song territory was reduced in size by roughly one third) never recovered from the decisions made in the reign of Emperor Huizong (r.l 100-1126). The importance of the degree-holders in the bu¬
reaucracy was curtailed and at the same time a bureaucratic hydrocephalus was nourished in the capital; see Dieter Kuhn: Die Song-Dynastie (960-1279): Eine neue Gesellschaft im Spiegel ihrer Kultur, pp. 116-118. In the opinion of Chinese historians the increase of the size of the bureaucracy and the numbers of scholar-officials after Zhenzong had to do with cor¬
ruption and decadence: see e.g. Liu Zehua (ed.): Zhongguo gudai zhengzhi sixiang shi [His¬
tory of Political Thought in the Ancient Times of China]. Tianjin. Nankai daxue chubanshe 1992, p. 508.
Thomas H.C. Lee: Government Education and Examination in Sung China, p. 143.
Here I follow James Hargett who suggests that the first year of the reign-period taiping xingguo started on 14 January 977; for more details see James Hargett: "A Chronol¬
ogy of the Reigns and Reign-Periods of the Sung Dynasty", p. 32, footnote 15.
Worthy Consort {xianfei ^ $E) Li ^ (944-977) of Emperor Taizong died
aged 33 years old. She was the mother of Emperor Zhenzong, but did not re¬
ceive any honours during her lifetime from Emperor Taizong. After 29 year-
old Emperor Zhenzong had ascended the dragon throne on 8 May 997 he
posthumously promoted her to Empress Dowager and named her Empress
Dowager Beginning Virtue Li (Yuande Li huang taihou TC tf $ M >^ Js)-'"
She was the first woman in the Song dynasty who achieved empress status
through giving birth to children."'' It is unknown where she had originally
been buried but she was reburied in May 1000 on the grave compound of Em¬
peror Taizong, which is named Yongxiling tK W( I^."^ Her tomb is situated
north of the emperor's tomb whereas the tomb of Empress Mingde ^
[Brilliant Virtue] Li ^ (960-1004, buried 1006) who had become his empress
in 984 is placed to the west of Empress Dowager Yuande Li's tomb, further
away from the emperor's tomb."* Grand councilor Li Hang (947-1004) was
appointed to act as commissioner of her Funerary Mausoleum Park (yuanling
shi^mm.
So far her tomb is one of the few imperial tombs excavated and published,
and the only one from the early Song period."^ Before an archaeological ex¬
ploration of the site took place it had already been robbed in the 1950s, and
water intruded. The layout of the underground tomb with a tumulus right
Song shi, ]. 242, p. 8610-8611; see also j. 6, p. 106. For the posthumous title conferred on her see Song huiyao jigao, di 27 ce, h 31 zhi 24,25 [p. 1178]. Yuande Li was also the mother of Zhenzong's older brother Zhao Yuanzuo, King of Chu.
Priscilla Ching Chung: Palace Women in the Northem Sung, 960-1126. Leiden
1981, p. 51.
Xu zizhi tongjian changbian, ]. 47, p. 1011.
Empress Mingde Li had once plotted with the eunuch Wang Ji'en BEi^S. They wanted to set up Zhao Yuanzuo ^TCte as emperor. The grand councilor Lü Duan S ffi (933-1000) discovered the conspiracy, took action and invested Zhenzong as emperor. Thus the relation
between Emperor Zhenzong and Empress Mingde Li may have been rather tense. In 1010
Emperor Zhenzong finally suppressed the power of the eunuchs.
Guo Husheng et al.: "Henan Gongxian Song ling diaocha" [Investigation of the Impe¬
rial Song Tombs in Gong County, Henan Province], Kaogu 11 (1964), pp. 573, pl. 10; "Song Taizong Yuande Li hou ling fajue baogao" [Excavation Report on the Tomb of Empress Yuande Li of the Song Emperor Taizong], Huaxia kaogu 3 (1988); Bei Song huangling [The
Imperial Tombs of the Northern Song Dynasty], edited by Henansheng wenwu kaogu
yanjiubian. Zhongzhou. Zhongzhou guji chubanshe 1997, pp. 7,12,318-321. The other tomb
published belonged to Zhao Jun (1056-1088) and his wife, nee Wang (1057-1103), a
daughter of Wang Keshan i ^ H . Zhao Jun was the fourth son of the Emperor Yingzong [Heroic Ancestor] (r. 1063-1067). For more information see Dieter Kuhn: A Place for the Dead. An Archaeological Documentary on Graves and Tombs of the Song Dynasty (960-1279).
Heidelberg 1996, pp. 262-263, 274, fig. 7:1; Angela Schottenhammer: Grabinschriften in der Song-Dynastie. Heidelberg 1995, pp. 106-112,113-117.
