CnSui**

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Phase I Variables (polity-based)

General variables

♠ RA ♣ Edward A L Turner; Jill Levine ♥

♠ Original name ♣ Sui Dynasty ♥

♠ Alternative names ♣ Sui Empire ♥ [1]

♠ Peak Date ♣ 609 CE ♥ "The Sui empire reached the pinnacle of its power in 609 when its population peaked. Thereafter as signs of social and economic stress became increasingly manifest, the empire began to unravel."[2]


Temporal bounds

♠ Duration ♣ 581-618 CE ♥

581 CE: "Wendi ... (Yang Jian) founded the Sui dynasty, replacing Northern Zhou." [3]

First (Sui) ruler Yang Jian usurps Northern Zhou throne in 580 CE. "There followed a civil war in which Yang Jian owed his success to assistance from a man named Gao Jiong, who was to be his chief minister through much of his reign. In 581 Yang Jian claimed that the mandate of heaven had passed to him and he founded the Sui dynasty with himself being given the posthumous title of Wendi." [4]

618 CE: "Yangdi was killede by Yuwen Huaji ... and others in Jiangdu. Sui fell." [5]

581-617 CE. [6]

♠ Degree of centralization ♣ unitary state ♥

♠ Supra-polity relations ♣ none ♥

Supra-cultural relations

♠ preceding (quasi)polity ♣ Northern Zhou ♥ Core region of the Sui Dynasty was Guanzhong. [7] "The springboard for the establishment of the Sui dynasty was the Northern Zhou empire which sprawled over north-western and western China."[8]
♠ relationship to preceding (quasi)polity ♣ continuity ♥ Core region of the Sui Dynasty was Guanzhong. [9] "The springboard for the establishment of the Sui dynasty was the Northern Zhou empire which sprawled over north-western and western China."[10]
♠ succeeding (quasi)polity ♣ Early Tang ♥
♠ Supracultural entity ♣ Chinese ♥
♠ scale of supra-cultural interaction ♣ [3,000,000-4,000,000] ♥ km squared.

♠ Capital ♣ Daxingcheng; Luoyang ♥ Newly built capital from 583 CE. [11] Yang-ti ordered the reconstruction of the city of Luoyang to be the capital.[12]


♠ Language ♣ Chinese ♥

General Description

China was reunified after the Northern and Southern dynasties period by the short-lived Sui dynasty (581-618 CE). The first Sui emperor Yang Jian dethroned the Northern Zhou emperor and conquered the southern Chen dynasty.[13] The Sui were able to unify China but did not create a stable, lasting imperial house.[14] The second Sui emperor Yangdi is villainized for his extravagant spending and endless military campaigns. Yangdi undertook massive infrastructure projects including the fortification of the Great Wall, and the construction of a third capital at Jiangdu, and the Grand Canal. He also conducted many military campaigns including multiple attempts to conquer the Korean Peninsula. [15] His overuse of conscripted corvee labor coupled with natural disasters led to famine, and the dynasty was overthrown by massive peasant rebellions and revolts by nobles after only 37 years of rule.[16] Sui construction of infrastructure and government reforms paved the way for the lasting rule of the Tang.[17]

The Sui territory encompassed 3 million square kilometers in 581.[18] The 2,500 km (5,000 li) Grand Canal supplied the Sui capitals of Luoyang, Chang’an and Jiangdu with grain from the lower Yangtze area, running from the eastern capital of Luoyang to present-day Beijing and Hangzhou.[19] The Sui sphere of influence reached Chinese Turkestan, Champa, and Formosa.[20]

Population and political organization

The Sui’s administrative reforms abolished all fiefdoms and set up a prefecture system. The examination and military system were reformed. [21] Yang Jian reestablished Han Confucian government rituals, and reformed Chinas’ penal code and administrative laws.[22]

The Sui population was recorded as 46 million in a 609 CE census. However, some modern scholars believe that this number is too low.[23]

Social Complexity variables

♠ RA ♣ Edward A L Turner ♥

Social Scale

♠ Polity territory ♣ [3,000,000-3,100,000]: 600 CE ♥ in squared kilometers

1,500,000: 581 CE; 3,000,000: 589 CE; 3,100,000: 610 CE [24]

♠ Polity Population ♣ 46,000,000: 600 CE ♥ People.

History of the Sui Dynasty reports 46,000,000 in 609 CE.[25]

"The Sui empire reached the pinnacle of its power in 609 when its population peaked."[26]

37,000,000: 705 CE under Tang. [27]


♠ Population of the largest settlement ♣ 500,000: 600 CE ♥ Inhabitants.

"The Sui empire reached the pinnacle of its power in 609 when its population peaked."[28]

Luoyang. "The metropolitan area of Luoyang boasted a total of 202,230 registered households at the peak of the Sui or approximately 1,045,500 residents. Of these, probably around 40-50 percent resided in the urban area. Further, there may easily have been an additional unregistered population of several tens of thousands, including royalty and their entourages, clerics, the military, and transients. With an estimated population of half a million or more during its prime...[29]

Hierarchical Complexity

♠ Settlement hierarchy ♣ [3-5] ♥ levels. inferred continuity with Tang periods

1. Capital

2. Large cities (21)
3. smaller towns
4. villages?
5. Hamlets?

♠ Administrative levels ♣ 5 ♥ levels. This number equal to the number of levels in the central government, plus the Emperor.

1. Emperor

2. Three preceptors (san shih) and the three dukes (san kung)
"At the top of the imperial service were the three preceptors (san shih) and the three dukes (san kung) who were supposed to be, after the model of the early Chou, supreme advisors of the emperor." However "these were not functional offices, and they were often unfilled for long periods." [30] Three preceptors was abolished by Yangdi.[31]
2. Department of the Palace Library / Department of the Palace Domestic Service
"in charge of palace affairs and were practically left outside the core leadership."[32]


_Central government_

2. Shangshu Ling (President) of the Department of State Affairs (Secretariat / Chancellery were the other two departments)
"as the most powerful position of the bureaucracy, it was rarely filled, so its lieutenants puye ... served de facto as heads of the department." [33]
"The Secretariat served as the originator of policy proposals, which were reviewed by the Chancellery before being sent to the executive branch - the Department of State Affairs - for implementation. But in practice, heads of the Department of State Affairs had major policy making responsibilities."[34]
Wendi set up "an oligarchic leadership under his direct control. Thus, three departments instead of a single one constituted the central nerve system of the government."[35]
During the reign of Wendi the shangshu ling of the DSA "only existed in name", "The two vice presidents of the Department of State Affairs, together with the heads of the Chancellery (menxia) and the Secretariat (neishi; zhongshu under the Tang), made up the top echelon leadership of the central government, known as chief ministers."[36]
3. Shangshu Sheng (vice-president of the department)
"since the presidency (ling ...) virtually left unfilled, the vice-presidents (puye ...) were by default leaders of the department and the most powerful chief ministers." [37]
4. Civil Office (Li-pu), Finance (Min-pu), Rites (Lǐ-pu), Army (Ping-pu), Justice (Hsing-pu), Public Works (Kung-pu).
Under the jurisdiction of the Department of State Affairs were the six boards [38]
5. Sub-official
2. Censorate (Yu-shih t'ai)
"Beyond the structure of the three central ministries and the six boards, the Sui established other offices..." [39]
2. Inspectorate General of the Water Works (Tu-shui t'ai)
"Beyond the structure of the three central ministries and the six boards, the Sui established other offices..." [40]
2. Supervisory Office for the State University[41]
"All the principle officers of these bureaux had proscribed titles and a set number of subordinates at all levels, and the regulations specified the rank (p'in) required for each office."[42]
2. Inspectorate General of the Imperial Works[43]
2. Inspectorate General of the Imperial Ateliers[44]
2. Nine Courts (chiu ssu)
Court of Imperial Sacrifices, Court of Imperial Banquets, Court of the Imperial Family (three examples)[45]
"In essence, these central agencies often overlapped the Six Boards in function but were not nearly as powerful. However, unlike the Tang period when the None Courts were ranked lower bureaucratically and functioned as subordinate agencies to carry out directives of the Six Boards, the Sui Nine Courts were headed by officials with the same rank as the presidents of the Six Boards ..."[46]
reforms under Yangdi "paved the way for the functional subordination of the Nine Courts to the Six Boards, a practice institutionalized under the Tang."[47]
2. Delegate of Court Assembly
"Each prefecture (chou) sent a representative to a special assembly held in the presence of the emperor. While in the capital they were lodged in special quarters in the south-east part of the city. The assemblies were held on the fifteenth of the second, seventh and tenth moons. We know more about the function of the system under the T'ang, which held such assembles annually. The T'ang delegates were generally prefects or other ranking officials who were expected to bring to the capital their candidates for the official examinations plus tribute gifts for the emperor. An examination into the performance of the local officials in each local unit was held, and this was followed by an audience. In the Sui, the procedure was perhaps less elaborate, at least at the beginning of the dynasty."[48]

_Provincial government_

2. Circuit (dao)
"Under normal circumstances, a zongguan corresponded to a zhou ... (prefecture) in area. However, three zongguan (area commands - Luozhou ... (mainly in present-day Henan), Bingzhou ... (in present-day Shanxi), and Yizhou ... (the Southwest) - functioned as super area commands; each of them took charge of dozens of area commands. In 582, Wendi replaced these super area commands with the circuit (dao ...), with its head office known as the Branch of the Department of State Affairs (xingtai sheng ...), and converted Luozhou ..., Bingzhou, and Yizhou [Super] Area Commands into Henan ..., Hebei ..., and Xinan ..., Circuits, respectively."[49]
"Yangdi was the top administrator of the Bingzhou area whether as [superior] area commander of Bingzhou, or president of the Branch Department of State Affairs of Hebei ... Circuit (dao)"[50]
2. Prefectures (became Commanderies under Yangdi)
"From the Three Kingdoms through the Western Jin, a three-tier local government system, comprised of zhou ... (province), jun ... (region), and xian ... (county), was in place. After the fall of the Western Jin, the system continued to exist in name. However, both the zhou (renamed "prefectures") and jun (renamed "commanderies") shrank in size and increased in number. By Sui times, they were hardly distinguishable from one another. Wendi created a zhou-xian two-tier system by abolishing the jun. Yangdi then replaced zhou with jun." [51]
3. xian


_Three Chiefs System_

"A system of mutual surveillance to facilitate tax collection ad fulfillment of corvee and military duties. Proposed by Li Chong ..., it was first promulgated in Northern Wei in 486 in the name of Xiaowendi. Replacing the system of clan masters (zongzhu ...) at the grassroots level, it organized every five households into units known as lin (neighbourhoods). Five lin constituted a li ... (village), and five li, a dang ... (community). The heads (zhang) of lin, li, and dang were the three chiefs." [52]

4. dang (community) lead by a zhang (chief)
Constituted 125 households (five li) [53] perhaps 750 people
5. li (village) lead by a zhang (chief)
Constituted 25 households (five lin) [54] perhaps 150 people
6. lin (neighbourhoods) lead by a zhang (chief)
Constituted five households [55] perhaps 30 people?


Aristocratic ranks (before Yangdi changed it to prince - duke - marquis)[56]

State Prince (guowang)
Commandery prince (junwang)
State duke (guogong)
Commandery duke (jungong)
County duke (xiangong)
Marquis (hou)
Earl (bo)
Viscount (zi)
Baron (nan)


♠ Religious levels ♣ 3 ♥ levels.

Yangdi "Extending his administrative control into the religious sphere, Yangdi ordered that a supervisor (jian) and an assistant supervisor (cheng) be assigned to each Buddhist monastery, now renamed daochang, and each Daoist abbey (guan), now renamed xuantan."[57]

1. Emperor

2. Supervisor (jian)
3 Assistant supervisor (cheng)

♠ Military levels ♣ 6 ♥ levels.

Militia units: "While the Sui had subordinated these units to the local civil administration, the T'ang controlled them centrally, via a bureaucracy answerable to the ping-pu or Ministry of the Army. [58]

1. Emperor

"These figures attest the overwhelming influence of the Northern Chou military elite on the Sui establishment."[59]
2. Military agricultural colonies (t'un-t'ien) under a General
Wen-ti ordered these to deal with supply problems. [60]
2. Central command: four guards (wei) and eight army headquarters offices (fu)
Troops of the Northern Chou reorganized "into twelve units - four guards (wei) and eight army headquarters offices (fu)."[61]
3. Regional commands (tsung-kuan fu)
Wen-ti's reforms: "In addition to his central command structure, regional military commands (tsung-kuan fu), which had overall control of an area, sometimes of a few prefectures (chou) and in other cases more than ten, were established in areas of major strategic importance. These districts were officered by ranked military officials appointed from the capital; in some cases the generals appointed were made concurrently civil governors of the regions in which they were to serve."[62]
After 605 CE Yang-ti reform "all units under the regional military commands (tsung-kuan fu) were henceforth to come under the direct control of the twelve guards and army commands in the capital. After the pacification of the south, the number of these regional military commands had already been reduced, but in 604 approximately thirty-six remained, with the most heavily-garrisoned of these concentrated along the northern and north-western frontiers."[63]
4. Regiment (tuan) of 1000?
"No records on Sui fubing organization have survived. It seems that its basic unit was probably similar to the tuan (regiment) at one thousand in strength, under which was the dui (company) of about one hundred."[64]
5. Company (dui) of 100?
"No records on Sui fubing organization have survived. It seems that its basic unit was probably similar to the tuan (regiment) at one thousand in strength, under which was the dui (company) of about one hundred."[65]
6. Individual soldier

Professions

♠ Professional military officers ♣ present ♥ Troops of the Northern Chou reorganized "into twelve units - four guards (wei) and eight army headquarters offices (fu). In addition to his central command structure, regional military commands (tsung-kuan fu), which had overall control of an area, sometimes of a few prefectures (chou) and in other cases more than ten, were established in areas of major strategic importance. These districts were officered by ranked military officials appointed from the capital; in some cases the generals appointed were made concurrently civil governors of the regions in which they were to serve."[66]

♠ Professional soldiers ♣ {inferred absent; inferred present} ♥ "... begun during the Tang dynasty... The rise of religious professionals and soldiers as clearly separate groups was contrary to the previous normative view of society divided into knights (shi, the term that would later be applied to the literati or gentry), farmers, artisans and merchants."[67] No reason to assume loss of professionalization after Erlitou, Erligang [68]

♠ Professional priesthood ♣ inferred absent ♥ "... begun during the Tang dynasty... The rise of religious professionals and soldiers as clearly separate groups was contrary to the previous normative view of society divided into knights (shi, the term that would later be applied to the literati or gentry), farmers, artisans and merchants."[69]

Bureaucracy characteristics

♠ Full-time bureaucrats ♣ present ♥ “At the central government level, the Sui Dynasty restored the centralized system created by the Han and Wei, featuring the Three Departments and Six Ministries which governed all state affairs. Within this structure, the function of decision-making was separated from that of evaluation and deliberation, and from implementation, each of these three being performed by different bodies, which enhanced the government’s control of power. In local government areas, the existing three-tier form of government was reduced to a two-tier system, resulting in a more effective control of local affairs by the central government.” [70]

♠ Examination system ♣ present ♥ "The examination system was initiated in a partial form during the Han but had been in abeyance during practically all of the Period of Division. Under the Sui and T'ang it was taken up again and developed still further, reaching its full scope by the 8th century and becoming an important, although not the major, form for the recruiting of officials to the government bureaucracy. It should be noted, however, that the descendants of high officials had the right of entry into the register of officials without taking examinations."[71]

"The first mention of a degree and of a written examination is, I believe, for 595 when the examination of candidates for the hsiu-ts'ai degree is mentioned. Miyazaki believes that this was the name of the examination and of the degree given to the candidates sent up annually from the provinces. ... Two other examinations were also administered by the central government, the ming-ching and the chin-shih, to candidates who presented themselves. The hsiu-ts'ai apparently required broad general learning, the ming-ching tested the candidates' mastery of a specific classical work, while the chin-shih was primarily a test of literary ability."[72]

♠ Merit promotion ♣ present ♥ Fang Kuang-i was promoted from magistrate to governor for good performance. Other officials were told: "All of you should take him as your master and model." [73] Introduction of examination system "was the beginning of an institution for selecting candidates for office on the basis of merit".[74]

♠ Specialized government buildings ♣ present ♥ In the capital there was an "administrative city, with government bureaux laid out along internal streets." [75]

Law

♠ Formal legal code ♣ present ♥ 583 CE: "The Kai-huang Code ... was promulgated."[76]

"Wendi also sponsored a major revision of the law, which resulted in the promulgation of the Kaihuang Code, which has been described as 'a remarkable synthesis of the legal traditions of the age of disunity', which proved to be the model for the Tang legal code and thereafter of the successive legal codes of imperial China."[77]

More detail Xiong 2006 pages 135-141. [78]

"Starting with the Northern Qi dynasty (550-77) the most serious unpardonable "Ten Evil Crimes" (shi eh) were formally entered in the law Beiqi Lu (Sui shu: ch. 25). These were also codified in the laws of the Sui and Tang dynasties, followed by all succeeding dynasties, and continued to be in effect until the twentieth century."[79]

♠ Judges ♣ absent ♥ Judges are not officials who are specialized in that role. "local administrators had the judicial as well as the executive power in their areas, and routine trial and punishment were part of their regular duties."[80] The chief of the Censorate "was charged not only with the investigation and prosecution of very serious crimes but also with the general supervision of all officials in the empire."[81] "The Supreme Court of Justice (Ta-li ssu), including both high officials and legal experts, considered the written evidence regarding a serious crime, determined the character of the crime and recommended the final sentence, which was pronounced by the emperor."[82]

"During the Sui and Tang Dynasties, China created the administrative positions of facao cajun (judge of criminal cases) and sihu cajun (judge of civil cases) in a zhou (equivalent to province). At the county level, the administrative positions sifa zuo and sifa li were established to assist the magistrate to judge cases. In the Song Dynasty, the administrative position tidian xing yusi in a lu (equivalent to province) and zhizhou (equivalent to Mayor) of a zhou (equivalent to city) were established, with the magistrate of a county still the chief judge in their governing regions. During the Yuan Dynasty, administrative organs in administrative divisions were judicial organs and judicial organs were also administrative organs. In the Ming Dynasty and the early Qing Dynasty, the tixing ancha shi si was a judicial organ specifically dealing with judicial cases. It was only set at a provincial level. ... in most fu (equivalent to city) and counties, the zhifu (equivalent to Mayor) and the magistrate still governed both administrative business and judged judicial cases. At the end of the Qing Dynasty, an administrative system with a judiciary was still maintained."[83]

♠ Courts ♣ present ♥ "The Supreme Court of Justice (Ta-li ssu), including both high officials and legal experts, considered the written evidence regarding a serious crime, determined the character of the crime and recommended the final sentence, which was pronounced by the emperor. It is probable that the Supreme Court was primarily a court of appeal or referral while the Board of Justice of the Department of State Affairs gave judgements in many cases where the law was clear."[84]

♠ Professional Lawyers ♣ present ♥ "The Supreme Court of Justice (Ta-li ssu), including both high officials and legal experts, considered the written evidence regarding a serious crime, determined the character of the crime and recommended the final sentence, which was pronounced by the emperor."[85]

Specialized Buildings: polity owned

♠ irrigation systems ♣ present ♥
♠ drinking water supply systems ♣ inferred absent ♥ "Different from the Han Dynasty, the urban water supply of Chang'an City in the Sui-Tang Dynasties relied on mainly on canals and wells (Figure 8.4)."[86] The drinking water came from wells.[87]
♠ markets ♣ present ♥ Two markets in the capital. "These were the government-supervised centres of the city's commerce."[88] "In Daxingcheng, two marketplaces were planned and located south of the Imperial City." In Luoyang "three, instead of two, markets were designed."[89]
♠ food storage sites ♣ present ♥ Granaries.[90]


Transport infrastructure

♠ Roads ♣ present ♥ Szechwan was linked to the capital by a road.[91]
♠ Bridges ♣ present ♥ Army engineers constructed pontoon bridges to cross the Liao River in 612 CE.[92]
♠ Canals ♣ present ♥ Guangtong Canal 584 CE. [93] Luoyang Canal 606 CE and Yongji Canal 608 CE. Jiangdu Canal began construction 610 CE. [94] Tongi Canal (the first section of the Grand Canal which "ran from Luoyang southeast to link up with the Huai valley to the south") and Han Conduit ("extending the Grand Canal south to the Yangzi valley) projects.[95]
♠ Ports ♣ ♥

Special purpose sites

♠ Mines or quarries ♣ inferred present ♥ "As the top Sui leader in the South, Yangdi was ordered by his father to set up five furnaces to manufacture coins in Yangzhou. Aware of the inadequate money supply in the South, he requested that furnaces be set up at copper mines in E Prefecture (with its seat in Wuchang, Hubei)." [96]

Information

Writing System

♠ Mnemonic devices ♣ present ♥
♠ Nonwritten records ♣ present ♥
♠ Written records ♣ present ♥
♠ Script ♣ present ♥
♠ Non-phonetic writing ♣ present ♥ Chinese language.
♠ Phonetic alphabetic writing ♣ absent ♥ Chinese language.

Kinds of Written Documents

♠ Lists, tables, and classifications ♣ present ♥ e.g. within the bureaucracy.
♠ Calendar ♣ inferred present ♥
♠ Sacred Texts ♣ present ♥ Buddhist scriptures.
♠ Religious literature ♣ present ♥
♠ Practical literature ♣ inferred present ♥
♠ History ♣ present ♥ Despite the fact in 593 CE "The writing of National Histories (guoshi ... ) by private individuals was banned."[97]
♠ Philosophy ♣ inferred present ♥ Highly literate society.
♠ Scientific literature ♣ inferred present ♥ Highly literate society.
♠ Fiction ♣ present ♥ Students studied for degrees in literature. [98]


Money

♠ Articles ♣ present ♥
♠ Tokens ♣ ♥ Unknown.
♠ Precious metals ♣ inferred present ♥
♠ Foreign coins ♣ ♥ Unknown.
♠ Indigenous coins ♣ present ♥
♠ Paper currency ♣ inferred absent ♥

Postal System

♠ Couriers ♣ present ♥
♠ Postal stations ♣ inferred present ♥
♠ General postal service ♣ inferred present ♥ Reasonable to infer that this was retained from previous polities.

Warfare variables

♠ RA ♣ Edward A L Turner, Jill Levine; Thomas Cressy ♥

Military Technologies

Military use of Metals

♠ Copper ♣ present ♥ [99]
♠ Bronze ♣ present ♥ [100]
♠ Iron ♣ present ♥ [101] Mingguan Armor. [102]
♠ Steel ♣ present ♥ "In a passage important for the history of steel making in China, reference is made at this period to a blade able to cut through thirty plates." Note: "this period" is a broad term. [103] Wootz steel was "being exported from India to China at least as early as the +5th century. … good steel was manufactured in China by remarkably modern methods at least from that time onwards also."[104] First high-quality steel 450 CE.

Projectiles

♠ Javelins ♣ present ♥ Javelin-men [105]
♠ Atlatl ♣ inferred absent ♥ New World weapon.
♠ Slings ♣ inferred absent ♥ Unlikely to have been very effective given other ranged weapons widely available e.g. crossbow.
♠ Self bow ♣ inferred present ♥ Composite bow was used by the military. Was the self bow used as well?
♠ Composite bow ♣ present ♥ "Infantry in the 6th and 7th centuries was divided into pu-pin, or marching infantry, armed with spears, and pu-she, or archers. The crossbow, the principal weapon of Han infantry, appears to have been less common in this period than the composite bow, although there are hints that it may have retained its importance in the south."[106]
♠ Crossbow ♣ present ♥ "Infantry in the 6th and 7th centuries was divided into pu-pin, or marching infantry, armed with spears, and pu-she, or archers. The crossbow, the principal weapon of Han infantry, appears to have been less common in this period than the composite bow, although there are hints that it may have retained its importance in the south."[107]
♠ Tension siege engines ♣ present ♥ "As in earlier periods, sophisticated siege equipment was available, including artillery, towers and rams."[108]
♠ Sling siege engines ♣ {absent; present} ♥ "As in earlier periods, sophisticated siege equipment was available, including artillery, towers and rams."[109] "Of the date of the introduction of the counterweight trebuchet to China there can be no doubt. It occurred in 1272, during one of the greatest sieges of Chinese history, at Xiangyang, where the Mongols besieged the Southern Song for five years." [110]
♠ Gunpowder siege artillery ♣ absent ♥ Gunpowder invented by the Tang [111]
♠ Handheld firearms ♣ absent ♥ Cannons and firearms first used by the Song. [112]

Handheld weapons

♠ War clubs ♣ inferred present ♥
♠ Battle axes ♣ inferred present ♥ Yang Chien, founder of the Sui Dynasty referred to the "bearer of the gilded battle axe." [113]
♠ Daggers ♣ inferred present ♥ Inferred from previous polities
♠ Swords ♣ present ♥ Sui heavy cavalry equipped with "lances, swords and often full armour for both men and horses."[114] Plate A illustrates Sui or Tang unarmoured infantryman with a sword.[115]
♠ Spears ♣ present ♥ "Infantry in the 6th and 7th centuries was divided into pu-pin, or marching infantry, armed with spears, and pu-she, or archers. The crossbow, the principal weapon of Han infantry, appears to have been less common in this period than the composite bow, although there are hints that it may have retained its importance in the south."[116] Sui heavy cavalry equipped with "lances, swords and often full armour for both men and horses."[117] Lances. </ref> Sui heavy cavalry equipped with "lances, swords and often full armour for both men and horses."[118]
♠ Polearms ♣ inferred present ♥ Polearms may have been used to counter cavalry and halberds were in wide use before and after this polity.

Animals used in warfare

♠ Dogs ♣ absent ♥ Never used in warfare. [119]
♠ Donkeys ♣ present ♥ Pack animal. 613 CE Campaign against Koguryo: "There were ominous signs that the army of 613 was not as well provided for as the one that had marched the year before: due to a shortage of horses, units were authorized to use donkeys instead of the usual pack horses." [120] Never used in warfare, besides as pack animals. [121]
♠ Horses ♣ present ♥ Armoured cavalry. [122]
♠ Camels ♣ present ♥ Never used in warfare, besides as pack animals. [123] We now code pack animals as present.
♠ Elephants ♣ inferred absent ♥ Used against the Sui but not used by the Sui. "After the Sui army under Liu Fang crossed the Duli River, it was attacked by Champan troops on war elephants."[124]

Armor

♠ Wood, bark, etc ♣ inferred present ♥ In use in earlier polities
♠ Leather, cloth ♣ present ♥ "T'ang infantry figures, wearing an elaborate version of cord-and-plaque armour. (British Museum)"[125]
♠ Shields ♣ present ♥ Plate A illustrates infantryman with spear and shield. [126]
♠ Helmets ♣ present ♥ Sui heavy cavalry equipped with "lances, swords and often full armour for both men and horses."[127] Plate A illustrates guardsman with helmet. Infantrymen also have some sort of head protection. [128]
♠ Breastplates ♣ inferred present ♥ Liang-tang armor worn during the Six Dynasties period: "One piece in the front and one in back, which we will call breastplate and backplate...joined by straps over the shoulders and a skirt attached below." [129]
♠ Limb protection ♣ present ♥ Sui heavy cavalry equipped with "lances, swords and often full armour for both men and horses."[130] From the tomb of Lin Ho in 582: "Epaulieres extending almost to the elbows" [131]
♠ Chainmail ♣ inferred absent ♥ Not mentioned by sources
♠ Scaled armor ♣ inferred absent ♥ Not mentioned by sources
♠ Laminar armor ♣ present ♥ Sui heavy cavalry equipped with "lances, swords and often full armour for both men and horses."[132] "They usually consisted of both infantry and cavalry, with the cavalry component made up largely of armored warriors riding armored horses. The horse armor was normally composed of small, rectangular sections (lamellae) of leather or metal, heavy enough to slow down the movement of the horse" [133]
♠ Plate armor ♣ inferred present ♥ Liang-tang armor worn during the Six Dynasties period: "One piece in the front and one in back, which we will call breastplate and backplate...joined by straps over the shoulders and a skirt attached below." [134]

Naval technology

♠ Small vessels (canoes, etc) ♣ present ♥ "In 598, to prevent water-borne rebellion, Wen-ti ordered the confiscation in the south of all boats which were thirty feet long and over." [135] The Sui shu says Yang-ti for a ceremonial procession along a canal "built dragon boats, phoenix vessels, war boats of the 'Yellow Dragon' style, red battle cruisers, multi-decked transports, lesser vessels of bamboo slats."[136]
♠ Merchant ships pressed into service ♣ inferred present ♥ 613 CE: Emperor Yang vs. Koguryo: A rebel had been "delaying the shipment of supplies northward through Hebei on the pretext that bandit activity had blocked traffic on the Yongji Canal." [137] Note: can infer that army used merchant ships for this?
♠ Specialized military vessels ♣ present ♥ Expeditions in the East China Sea. [138] 611: "Construction of a fleet of 300 seagoing vessels began at Donglai on the northern side of the Shandong peninsula, and 10,000 watermen were brought up from the Yangzi and Huai valleys to crew the fleet" [139]

Fortifications

♠ Settlements in a defensive position ♣ present ♥ Wen-ti tried fortified hamlets on the north-western frontier. [140]
♠ Wooden palisades ♣ inferred present ♥ Present for previous polities.
♠ Earth ramparts ♣ present ♥ Up until the Tang and Song Dynasties wide ramparts and ditches were a typical part of the defense system for a fortified town or city. [141] Work on Great Wall used "pounded earth and sun-dried mud bricks."[142] The city walls of Chang'an built under Yang Chien: "the building material was the light brown earth." [143]
♠ Ditch ♣ present ♥ Up until the Tang and Song Dynasties wide ramparts and ditches were a typical part of the defense system for a fortified town or city.[144]
♠ Moat ♣ inferred present ♥ Construction of Chang'an: "possibly some of it [the earth] was excavated to form a moat outside the walls." </ref> The city walls of Chang'an built under Yang Chien: "the building material was the light brown earth." [145]
♠ Stone walls (non-mortared) ♣ absent ♥ work on Great Wall used "pounded earth and sun-dried mud bricks."[146]
♠ Stone walls (mortared) ♣ absent ♥ work on Great Wall used "pounded earth and sun-dried mud bricks."[147]
♠ Fortified camps ♣ inferred present ♥ Present for previous polities.
♠ Complex fortifications ♣ present ♥ Ditch and earth wall. Up until the Tang and Song Dynasties wide ramparts and ditches were a typical part of the defense system for a fortified town or city.[148]
♠ Long walls ♣ 2414 ♥ km. The Great Wall: "the Sui rulers made efforts to repair, extend and man it."[149]

"The northwestern and northern frontier was marked then, as it is now, by long reaches of the fifteen-hundred mile-long Great Wall, which traverses mountains, hills, and deserts until it finally ends at the sea at modern Sanhaikwan. This was, in Sui times, the critical frontier, the boundary between settled Chinese farmers and their natural enemies, the nomadic people of the steppe." [150]

♠ Modern fortifications ♣ absent ♥

Phase II Variables (polity-based)

Institutional Variables

♠ RA ♣ Jill Levine ♥

Limits on Power of the Chief Executive

Power distributed

♠ Constraint on executive by government ♣ absent ♥ Constraint was informal. There were no formal constraints that could tie the hands of the emperors but ministers would ignore decrees or refuse to cooperate. “Decrees issued directly by the Emperor without the seals of the Imperial Secretariat and the Imperial Chancellery were considered to be extralegal. Subordinate departments were unlikely to recognize them. However, it was possible for a strong Emperor to make them stick…No list of specific written prohibition could tie the hands of the Emperor, though in practice how arbitrary an Emperor could be depended on many intangibles.” [151]
♠ Constraint on executive by non-government ♣ absent ♥ Constraint was informal. On rulers, from noble lineages and ritual specialists, based on cosmological theories. [152] "No list of specific written prohibition could tie the hands of the Emperor, though in practice how arbitrary an Emperor could be depended on many intangibles.” [153]
♠ Impeachment ♣ inferred absent ♥ No examples of impeachment.

Social Mobility

Status

Elite status

♠ elite status is hereditary ♣ present ♥ "During the initial phase of his rule, Wendi, with few exceptions, staffed key leadership posts with members of the aristocracy who belonged to the choronym-defined Guanzhong bloc and Shandong bloc. Imperial power was somewhat limited by decision-making court advisers from these blocs and by powerful personages like the Four Nobles. However, Wendi was able to significantly augment imperial authority at the expense of the aristocracy-dominated officialdom through centralizing civil and military powers both at the central and local levels." [154]

Religion and Normative Ideology

♠ RA ♣ Jill Levine; Enrico Cioni ♥

Deification of Rulers

♠ Rulers are legitimated by gods ♣ present ♥ Mandate of Heaven. [155]

♠ Rulers are gods ♣ present ♥ Rulers are divine figures, descendant from deified ancestor spirits, who became representative of / equated with di. [156] Puett points out, though, that the divine nature of the Emperor was something established through his ritual actions, not something he was 'born into'. " There is no claim that, for example, a given ruler was in fact born of Heaven rather than of human parents, or that the lineage of a given ruling dynasty has a closer biological link to Heaven than other lineages. On the contrary, the relations are always defined ex post facto—a ruler takes power and only then, through sacrifice, does he define his ancestral lineage as royal and does he define Heaven as his father."[157]

Normative Ideological Aspects of Equity and Prosociality

♠ Ideological reinforcement of equality ♣ absent ♥ [158]According to traditional Chinese ideology, dating back to the Han Dynasty, men who were well-versed in the Classics (i.e. scholars and state officials) were superior to other social groups - specifically, farmers, artesans, and merchants. However, it is worth noting that it was possible for farmers, artesans and merchants to become literate, and join the ranks of their social superiors. As for Confucianism, strictly speaking it only really promoted hierarchy within the family - there is no indication, in Confucian literature, that social elites are inherently superior to commoners. And all three main Chinese religions - Confucianism, Daoism and Buddhism - required all social classes to follow the same moral code [159] For a slightly different viewpoint: "Confucianism emphasizes not only the domination of the head of state over his officials and subjects but also the domination of male over female, old over young, and officials over their subjects.[160]

♠ Ideological thought equates rulers and commoners ♣absent ♥ [161] Rulers are divine figures, descendant from deified ancestor spirits, who became representative of / equated with di. [162] Puett points out, though, that the divine nature of the Emperor was something established through his ritual actions, not something he was 'born into'. " There is no claim that, for example, a given ruler was in fact born of Heaven rather than of human parents, or that the lineage of a given ruling dynasty has a closer biological link to Heaven than other lineages. On the contrary, the relations are always defined ex post facto—a ruler takes power and only then, through sacrifice, does he define his ancestral lineage as royal and does he define Heaven as his father."[163]
♠ Ideological thought equates elites and commoners ♣ absent ♥ According to traditional Chinese ideology, dating back to the Han Dynasty, men who were well-versed in the Classics (i.e. scholars and state officials) were superior to other social groups - specifically, farmers, artesans, and merchants. However, it is worth noting that it was possible for farmers, artesans and merchants to become literate, and join the ranks of their social superiors. As for Confucianism, strictly speaking it only really promoted hierarchy within the family - there is no indication, in Confucian literature, that social elites are inherently superior to commoners. And all three main Chinese religions - Confucianism, Daoism and Buddhism - required all social classes to follow the same moral code [164] For a slightly different viewpoint: "Confucianism emphasizes not only the domination of the head of state over his officials and subjects but also the domination of male over female, old over young, and officials over their subjects.[165]

♠ Ideology reinforces prosociality ♣ present ♥ Buddhism reinforced the idea of prosociality, while Daoism and Confucianism focused on self-cultivation. Private donors: “The notion was that a gift could redeem sins committed in this life and therefore reduce or eliminate punishment in the afterlife.” Donors from all classes gave different types of property- land, mills, silk, slaves, coppers, and more. [166] “[Pierre-Sylvain] Regis claimed that Confucius’s basic message was charity, which was deemed universal and reasonable.” [167]

♠ production of public goods ♣ present ♥ In traditional Chinese ideology, it was seen as virtuous to build roads, bridges, etc. [168] Buddhism: “Leading a moral life is seen as having a wider social dimension as well. Establishing public parks, constructing bridges, digging wells and providing a residence for the homeless (see SN 1:1:47; similarly Jat 31) - all these are commended.” [169] Daoism (and, to a lesser extent, Confucianism): “The ‘’Taishang ganying pian’’ is a short anonymous tract (about 1,275 characters), probably composed in the second half of the Northern Song dynasty and traditionally regarded as the first and most paradigmatic morality book (*’’shansu’’). While closely associated with Taosim[...]the ‘’Ganying pian’’ also draws on sources beyond Taoism to present a message geared to a broad audience. [...] The earliest known edition of the ‘’Ganying pian’’ was transmitted with commentary by one Li Changling abou 1165. [...] To accumulate merit, fulfill vows, or perform a recognizably moral service, various eminent figures republished the ‘’Ganying pian’’ with commentaries. While Li Changling stressed the spirit of the Three Teachings (Confucianism, Taism, and Buddhism), scholar-officials like Zhen Dexiu (1178-1235), Hui Dong (1697-1758; ECCP 357-58) and Yu Yue (1821-1906; ECCP 944-45), among others, emphasized its Confucian morality for the masses. [...] As distribution of the ‘’Ganying pian’’, like all morality books, was thought to be a virtue that earned one merit, large and small donations toward its printing were conventional ways of doing good. It is still distributed free in many temples.” [170]

Moralizing Supernatural Powers

♠ Moral concern is primary ♣ present ♥
♠ Moralizing enforcement is certain ♣ present ♥
♠ Moralizing norms are broad ♣ present ♥
♠ Moralizing enforcement is targeted ♣ present ♥
♠ Moralizing enforcement of rulers ♣ present ♥
♠ Moralizing religion adopted by elites ♣ present ♥
♠ Moralizing religion adopted by commoners ♣ absent_to_present ♥
♠ Moralizing enforcement in afterlife ♣ present ♥
♠ Moralizing enforcement in this life ♣ present ♥
♠ Moralizing enforcement is agentic ♣ absent ♥

These data were reviewed by expert advisors and consultants. For a detailed description of these data, refer to the relevant Analytic Narratives, reference tables, and acknowledgements page. [171] [172] [173]

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