CnWHan*

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Phase I Variables (polity-based)

General variables

♠ RA ♣ Edward A L Turner; Jill Levine ♥

♠ Original name ♣ Western Han ♥

♠ Alternative names ♣ Han Empire; Former Han; Han Dynasty ♥

♠ Peak Date ♣ 100 BCE ♥ Reign of Wudi (141-87 BCE)[1] "longest and most glorious." [2] c120 BCE armies reached Ferghana and Parnics. Colonisation of Gnsu panhandle. Trade along silk road. [3]

Peak territorial extent 90 BCE. [4]

99 BCE banditry in eastern China. 91 BCE dynastic crisis at end Wudi's reign. 81 BCE population hardships. Power struggle c66 BCE virtually eliminated descendants of influential politician Huo Guang. [5]


Temporal bounds

♠ Duration ♣ 202 BCE - 9 CE ♥

Keay refers to 209-202 BCE period as Civil War. [6]

Battle of Gaixia - Liu Bang vs Xiang Yu 202 BC. Before battle, king, after battle Liu Bang became emperor. [7] Start 202 BCE. [8]

Liu Bang's statement on becoming Emperor: "... I am come to rule over you. With you, I further agree on three laws. For murder, death. For injury to person, proportionate punishment. For theft, proportionate punishment. The remainder of the Qin laws to be abrogated. The officials and people will continue to attend to their respective duties as heretofore. My sole object in coming here is to eradicate wrong. I desire to do violence to no one. Fear not."[9]

First Emperor Liu Bang (Emperor Gaozu 206-195 BCE) came to power leading faction that wanted continuation of centralised power but with a more moderate, modernised law system. [10]

206 BCE - 9 CE [11]

Followed by "Wang Mang Interregnum" 9-23 CE.[12]

Empress Wang, mother of Cheng di (33 - 7 BCE). Nephew Wang Mang held office of regent under Emperor Pingd (1 - 6 CE). Wang Mang launched a coup and declared himself Emperor Xin.[13]

♠ Degree of centralization ♣ unitary state ♥

♠ Supra-polity relations ♣ vassalage; personal union; alliance ♥

Gaozu recognized authority of hereditary Kings ruling 10 territories in eastern and southern China as semi-independent chiefs, providing mainly military support and a portion of the tax revenue they collected to the Han Emperor. Many of these Kings seem to have been relatives of Gaozu and placed in their position by the Emperor to ensure loyalty.[14]

Long-standing alliance, featuring cross-cultural marriage and the exchange of hostages and gifts, created between the Xiongnu and Han China for most of the 2nd century CE; the 'treaty' was frequently broken and renewed during the later Western Han period.[15]

Supra-cultural relations

♠ preceding (quasi)polity ♣ Imperial Qin ♥
♠ relationship to preceding (quasi)polity ♣ elite migration ♥ Liu Bang / Gaozu led rebellion to take control of the polity after the death of Qin Empreor Shi Huangdi, replacing many of the former Qin officials and moving the capital from Xianyang, but retaining many Qin institutional features
♠ succeeding (quasi)polity ♣ Wang Mang interregnum ♥
♠ Supracultural entity ♣ China ♥ shared linguistic and material culture between all states in the mainland area (Huaxia)
♠ scale of supra-cultural interaction ♣ [3,000,000-4,000,000] ♥ km.

♠ Capital ♣ Chang 'an ♥ [16]

♠ Language ♣ Chinese ♥

General Description

The Western Han dynasty (also known as the Former Han) was the first lasting imperial dynasty in China.[17] In 206 BCE, the first imperial Han emperor Liu Bang defeated the Qin and capture the capital of Xianyang, but was forced to yield to the rival Western Chu state.[18] A period of conflict between Chu and Han lasted until 202 BCE, when Liu Bang defeated the Western Chu and declared himself emperor of the Han dynasty. (San 68) He was the first commoner to become the emperor of China.[19]

The seventh emperor of Han, Emperor Wu (r. 141-87 BCE), expanded the Western Han territory to modern Xinjiang and south China.[20] During Wu Di’s rule Western Han dynasty encompassed modern China, northern Vietnam, Inner Mongolia, southern Manchuria, and parts of modern Korea.[21]

The Western Han dynasty is known for its economic, technological, and artistic innovations. The opening of the Silk Road in 130 BCE linked China to Central Asia, Africa, Europe, and the Middle East.[22] The state controlled the production of salt, iron, and coins, and developed waterways and irrigation.[23] The use of the iron plough and other iron agricultural tools became widespread.[24] Han artisans developed new techniques for metalwork, spinning, weaving, wood carving and pottery.[25]

The Western Han were overthrown by Wang Mang, who ruled as the emperor of the Xin dynasty from 9-23 CE.[26]

Population and political organization

The Western Han dynasty was marked by a strong imperial government and a combination of centrally-controlled commandaries and semi-autonomous kingdoms.[27] The central government promoted Confucianism as a state doctrine.[28] The Western Han gradually reduced the size of the semi-autonomous kingdoms within the empire. Many kings and marquises were eventually replaced by members of the imperial clan.[29] Commanderies were ruled a civil governor and military governor and were divided into counties or districts.[30]

An imperial academy was established in 124 BCE. Qualification through Confucian examinations slowly replaced hereditary assignment of government positions.[31] Although exams were used only sporadically due to the significantly aristocratic society of this period. [32]


The population of the Western Han empire was 57.6 million in 2 CE[33], and 60 million at its peak.[34] The Western Han capital of Chang’an was home to between 250,000 and 400,000 people. [35][36]

Social Complexity variables

♠ RA ♣ Edward A L Turner ♥

Social Scale

♠ Polity territory ♣ 2,433,000: 200 BCE; 4,567,000: 100 BCE; 4,917,000: 1 CE ♥ KM. 2,433,000: 200 BCE; 2,100,000: 180 BCE; 2,643,000: 160 BCE; 3,186,000: 140 BCE; 3,729,000: 120 BCE; 4,567,000: 100 BCE; 5,700,000: 80 BCE; 5,900,000: 60 BCE; 5,783,000: 40 BCE; 5,350,000: 20 BCE; 4,917,000: 1 CE (in kilometers). Contains interpolated data. [37]

Beginning with a territory of approximately 1.5 million square kilometers.[38]

"The Han culture spread as far as Xinjiang, where Han wuzhu coins, bronze mirrors, and silk have frequently been discovered (fig. 8.36)."[39]

"In 108 B.C.E., Emperor Wu set up four prefectures - Zhenfan, Lintun, Xuantu, and Lelang - in the northeastern region. ... Emperor Wu also set up four jun in Hexi in northwest China and established relationships with the thirty-six states in the Xiyu region of western China."[40]

♠ Polity Population ♣ [45,000,000-60,000,000]: 200 BCE-9 CE; 57,600,000: 1 CE ♥ "Early on in the days of the Han Empire (206 BC - 220 AD) the population passed the 50m mark. But thereafter it was to stay in the band 45-60m for a thousand years.[41]

Government census. 57,600,000 in 2 CE. 12 million family households. [42]

Agricultural intensification: population growth occurred in Former Han despite no increase in available arable land. Population migration to south throughout period.[43]

60,000,000 at zenith.[44]

♠ Population of the largest settlement ♣ [250,000-400,000] ♥ People. Chang 'an. 250,000 people given in the historical sources; [45] 400,000 from Chase-Dunn calculations[46]

300,000 at peak.[47]

Hierarchical Complexity

♠ Settlement hierarchy ♣ 6 ♥

1. Capital city
2. Commanderie capital
3. District capital
3. Foreign vassal city (e.g. in Ferghana)
4. Town
5. Village.

Ruth Mostern (pers. comm) noted that district capital and foreign vassal city seem co-equal rather than one being subordinate to the other.[48]

♠ Administrative levels ♣ [7-8] ♥ "Interested readers should consult Hans Bielenstein for an excellent account of the Han bureaucracy structure and its changes over time."[49]


1. Emperor

"In comparison with Roman emperorship, the Han emperorship tended to be much more ritualistic and passive."[50] However, some Emperors, such as Emperor Wu, could be "active" which made the Inner Court more important at those times.[51]
2. Six Masters of the Inner Court
These positions usually filled by eunuchs.[52]
According to Loewe 1986a, the Inner Court advisors were separate and distinct from the Outer Court (Senior Advisors and Councilors) after the reforms of Qudi.[53] Zhao though claims that the Inner Court advisors and attendants were subordinate to the Outer Court. [54]
3. Officials with no specific administrative positions.[55]
2. Two Ministries of the Outer Court: "the superintendent of the imperial clan and privy treasurer ... the officials of the Outer Court administrated the whole country."[56]


_Central government_

Outer Court headed by Three Excellencies (san gong)

2. Chancellor[57] of government administration and some role in military
3. Grandee secretary[58]
4. Two Assistants and a Master of Records under the Grandee secretary[59]
5. Lower-level assistants under the control of the Two Assistants and Master of Records under the Grande secretary.[60]
2. Supreme Commandant[61] of military affairs
Position mostly held by civilians.[62]
2. Imperial Counselor[63] of censorial matters
3. Thirteen Bureaux (cao) of the Secretariat[64]
West Bureau (appointments), East Bureau (promotion, demotion, dismissal), Imperial Household, Memorials, Litigation, Communication and Standards (weights, measures, postal service), Military Transportation, Bandit Control, Criminal Executions, Soldiers, Gold (currency, state production monopolies), Granaries (levies, taxes, storage), Yellow Cabinet (records, supervision).[65]
3. Head of The Bureau for Communications and Standards
4. Head of departmental division within postal service inferred level
5. Lower-level official within postal service divisions inferred level
6. On site managers of postal relay station inferred level
7. On site workers at postal relay station e.g. messengers, stable hands etc. inferred level
3. Head of The Bureau for Granaries
4. Head of foodstuff divisions within The Bureau for Granaries inferred level
5. Head of regional divisions within the foodstuff divisions inferred level
6. Other lower-level positions within regional divisions inferred level
7. On site managers of granaries inferred level
8. On site workers at granaries inferred level
3. Head of The Bureau for Gold
4. Head of departmental division e.g. for iron production inferred level
5. Sub-head within the department for iron production e.g. iron tools, weapons etc. inferred level
6. Other lower-level positions within production type inferred level
7. On site managers of production workshops inferred level


_Provincial government_

2. Grand governor of a commandery (tai shou)[66]
"In the late Western Han era, the country was divided into 13 provinces, with 103 commanderies, that in turn were divided into 1500-plus county-level government units."[67] the provinces were technical boundaries used for administrative purposes and were not under the control of an individual so do not count as an administrative level. -- check this note
3. Several lower-ranked officials such as Assistant, Master of Records, Privy Treasure and Chief Clerk.[68]
3. Head of Bureaus, which included "Bureau of All Purposes, Bureau of Investigation, Bureau of Banditry, Bureau of Decisions, Bureau of Consultation, and Bureau of Agriculture Promotion."[69]
"In the unearthed Donghai commandery documents dated to the late Western Han Dynasty, the total number of officials in that commandery is listed as 2,203, and most of these officials were grassroots personnel such as accessory clerk (492), chief of the officials' hostel (688), and dou-salary clerks (501)."[70]
4. Sub-manager within a division inferred level
5. Scribe inferred level
6. Accessory clerk inferred at this level
2. Chief commandant (dou wei)
"The grand governor was also assisted by an equivalent rank (2,000-shi) official entitled chief commandant (dou wei) who was in charge of all the military-related matters including training the local troops and militia, suppressing bandits, and inspecting fortifications and beacons."[71]
3. Heads of Bureau
Under the chief commandant were "associates and assistants, heads of various bureaus, and military officers with titles such as jajors, captains, and millarians."[72]
4.
5.
3. County supervisors and Marquises (han-title holders) --- were Marquises directly appointed by Emperor?
Regional inspectors. [73]
"We know that the Western Han Empire comprised 1,587 county-level government units at the time and the Donghai Commandery contained 38 counties."
4. district (xiang)
5. hamlet (li) chiefs
Families grouped into "mutually responsible units" (5 - 10). These were organised into hamlets, which had a headman. Hamlets made up a commune, which had a chief. Multiple communes divided into districts/counties, which comprised the units of a commandery/prefecture. Only the last administrative level had outside-sourced, merit-appointed, salaried officials. [74]


Nine salary grades (in Shi)[75] suggests there could be up to nine administrative levels. However, perhaps we cannot directly infer this fact: might there be two officials at the same grade at different levels in a large department, or even grades skipped altogether, such as within a small but prestigious department?

10,000
2,000
1,000
600
400
300
200
100
 ?? dou-salary clerks


♠ Religious levels ♣ 3 ♥

1. Emperor
2. Upper level of ritual specialists inferred
3. Lower level of ritual specialists inferred

Emperor was high priest. [76]

Eclectic mix of ancestor worship, sorcery, Daoism, polytheism [77]


♠ Military levels ♣ 7 ♥

1. Emperor / Commander-in-chief

2. ying (division under a chiang-chun, or general)
"Records from the north-western garrison give an outline of unit organization at lower levels... Above the hou kuan were the sector headquarters or tu-wei fu for garrison troops, and the division or ying, under a chiang-chun or general, the highest permanent position." [78]
Generals could lead campaigns on their own without the presence of the Emperor. e.g. 121-119 BCE campaigns which overthrew "five sub-ordinate Hsiung-nu kingdoms" [79]
"A field command was usually an ad hoc appointment for a specific purpose, often reflected in the title given to the recipient - such as 'General Charged With Crossing the Liao' for a campaign in Korea."[80]
3. Hsiao-wei
"... often translated as 'colonel', was a lower rank used for temporary appointments
3. Official in charge of tu-wei fu (sector headquarters)
"Records from the north-western garrison give an outline of unit organization at lower levels... Above the hou kuan were the sector headquarters or tu-wei fu for garrison troops, and the division or ying, under a chiang-chun or general, the highest permanent position." [81]
4. Official in charge of hou kuan (company)
"Records from the north-western garrison give an outline of unit organization at lower levels: a hou kuan or company usually consisted of five hou (platoons), each with several sui or sections of an officer and four to ten men." [82]
5. Official in charge of hou (platoon)
"Records from the north-western garrison give an outline of unit organization at lower levels: a hou kuan or company usually consisted of five hou (platoons), each with several sui or sections of an officer and four to ten men." [83]
6. Official in charge of sui (section)
"Records from the north-western garrison give an outline of unit organization at lower levels: a hou kuan or company usually consisted of five hou (platoons), each with several sui or sections of an officer and four to ten men." [84]
7. Individual soldier
"Conscripts served mainly as infantry; cavalry was provided by volunteers from noble families or by non-Chinese auxiliaries." [85]

Professions

♠ Professional military officers ♣ ♥

♠ Professional soldiers ♣ inferred absent ♥ Conscripts spent a year of service in training [86] However, "... 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."[87]

♠ 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."[88]

Bureaucracy characteristics

♠ Full-time bureaucrats ♣ present ♥

"In the unearthed Donghai commandery documents dated to the late Western Han Dynasty, the total number of officials in that commandery is listed as 2,203, and most of these officials were grassroots personnel such as accessory clerk (492), chief of the officials' hostel (688), and dou-salary clerks (501). We know that the Western Han Empire comprised 1,587 county-level government units at the time and the Donghai Commandery contained 38 counties. Based on the data, the estimated total number of officials below the commandery level is 2,203 x (1,587/38) = 92,004. Including the officials of the state-level government, the officials of the provincial level government, and officials at different censorial offices, the total number of 120,285 officials is a believable figure, and that figure should include the grassroots officials."[89]

♠ Examination system ♣ {absent; present} ♥

1 year study and examination. Pass examination to become eligible for position in government. [90]

Crude examination system.[91]

"Before the Northern Sung, the principal means of entry into the social and political elite was by official recommendation or kinship relations." [92]

♠ Merit promotion ♣ present ♥

"The criteria of official promotion during the Western Han Dynasty were by and large those of meritocracy, at least on paper, even though personal relations with superiors always played a crucial role in the promotion process."[93]

"During the Western Han Dynasty, the most common method of recruiting government officials was the recommendation system. In an edict of 134 BCE, Emperor Wu required each commandery or feudal kingdom to recommend someone "fially pious and incorrupt" (xiao lian) to the central government each year. This method was routinized and became the most important channel of recruiting government officials."[94]

"Liao has provided systematic data that give a sense of the recruitment and promotion of local government officials during the Western Han period. ... sixty of them (63 per cent) were promoted because of their good performance..." etc.[95]

♠ Specialized government buildings ♣ present ♥

Treasury, grain depots and storehouses. [96]

Mints. One report says 28 billion coins minted. [97]

Law

♠ Formal legal code ♣ present ♥ Confucianism gradually replaced legalism. Qin legal code remained basically intact, some severe measures rescinded. [98]

Under Wudi students of legalism were prohibited from government. [99]

♠ Judges ♣ inferred present ♥ Judges are not mentioned in Loewe's [100] detailed description of the legal process in Han times. However, their existence may be inferred from the existence of a Superintendent of trials[101].

♠ Courts ♣ inferred present ♥ Courts are not mentioned in Loewe's [102] detailed description of the legal process in Han times. However, their existence may be inferred from the existence of a Superintendent of trials[103].

♠ Professional Lawyers ♣ inferred present ♥ Lawyers are not mentioned in Loewe's [104] detailed description of the legal process in Han times. However, their existence may be inferred from the existence of a Superintendent of trials[105].

Specialized Buildings: polity owned

♠ irrigation systems ♣ present ♥ [106] List of agricultural practices includes irrigation: "intensive cultivation, field preparation, seed selection, irrigation, manuring, crop rotation, multicropping, animal power, specialised tools." [107]
♠ drinking water supply systems ♣ inferred present ♥ "Besides the more well-known extensive irrigation works and man-made transport canals linking up the major rivers, the provision of water supplies to its cities formed the third important element of China's ancient water civilization."[108] "The entire underground water supply pipeline system of Yangcheng [Warring States Period?] was discovered in archaeological excavations (Figure 8.2), providing important physical evidence of early water supply of cities in ancient China."[109] Emperor Wu ordered the Kunming Reservoir to provide water for Chang'an which was delivered to the city via "water-transfer channels." One channel provided water to canals other "specifically for supplying water within the city."[110]
♠ markets ♣ present ♥ Markets in Chang 'an.[111] Local markets were regulated.[112] "Bamboo slips excavated in a tomb in Linyi, Shangdong province, in 1972 contain sections of a document known as Shi fa (Rules about markets). According to Shi fa, markets were administered by officials, specific products were sold in prescribed locations, and misconduct in the marketplace was punished."[113] "Although markets are a stipulation of the ideal Chinese city since Zhou times, Han is the first period from which one can confirm their presence."[114]
♠ food storage sites ♣ present ♥ Government grain depots and storehouses. [115]

Transport infrastructure

♠ Roads ♣ present ♥ Local governments "needed to keep the local road system and postal system well maintained."[116]
♠ Bridges ♣ present ♥ [117]
♠ Canals ♣ present ♥ [118]
♠ Ports ♣ inferred present ♥ There was a coast and there was trade with Japanese peoples.

Special purpose sites

♠ Mines or quarries ♣ ♥

Information

Writing System

♠ Mnemonic devices ♣ present ♥ The earliest known written documentation of the Chinese abacus dates to the 2nd century BC [119]
♠ Nonwritten records ♣ present ♥
♠ Written records ♣ present ♥
♠ Script ♣ present ♥
♠ Non-phonetic writing ♣ present ♥
♠ Phonetic alphabetic writing ♣ absent ♥

Kinds of Written Documents

♠ Lists, tables, and classifications ♣ present ♥ E.g. Sima Qian's "Shiji" genealogical tables and ruler lists.
♠ Calendar ♣ present ♥ Carried Qin calendar. In 104 BCE emperor Wudi declared a "Grand Beginning" for a new phase in the Five Phase cycle. [120]
♠ Sacred Texts ♣ ♥
♠ Religious literature ♣ present ♥ "Huainanzi" - compilation under patronage of prince of Huainan. Daoist concept of creation. Eclecticism. [121]
♠ Practical literature ♣ inferred present ♥
♠ History ♣ present ♥ Sima Qian d.85 BCE. "Shiji." Historian. Comprehensive history of China. Father held post of "Grand Recorder " at court. [122] Ssu-ma Ch'ien [123] (d.86 BCE).
♠ Philosophy ♣ present ♥ Dong Zhongshu - philiosopher. "Chunqiu fanlu".[124]
♠ Scientific literature ♣ present ♥ Discovery of wrought iron process and invention of multi-tube seed drill, and heavy mouldboard iron plough (could sow 11.3 acres land per day). [125] Mathematicians use negative numbers in multiple author book "Nine Chapters on the Mathematical Art." [126] Jing Fang (78-37 BCE) said 53 perfect fifths approximate 31 octaves, and suggested moonlight was reflection from the sun.[127] "...sulfur and saltpeter were recorded in the Pharmacopoeia of the Divine Agriculturist compiled during the Han dynasty."[128]
♠ Fiction ♣ inferred present ♥


Money

♠ Articles ♣ present ♥
♠ Tokens ♣ ♥ Unknown.
♠ Precious metals ♣ present ♥ Continuation from Qin monetary system: bronze coins; gold and silver bullion used as store of wealth.[129] gold and silver bullion used as store of wealth. [130]
♠ Foreign coins ♣ inferred absent ♥
♠ Indigenous coins ♣ present ♥ "The Qin ban liang gave way to the smaller wu zhu coin in the Han. This coin weighed five zhu (hence the name), about three grams, and it continued in use until the Tang dynasty (618-906 A.D.)."[131] Along with wide variety of bronze denominations.
♠ Paper currency ♣ inferred present ♥ Emperor Wu experimented with "paper" money. Used the hide of a rare white deer that only he possessed. 1 note to 400,000 copper coins. Money raising exercise.[132]

Postal System

♠ Couriers ♣ present ♥ Liu Bang was a "minor functionary in charge of a postal relay station" before he became a politician and eventually king, and Emperor. [133]
♠ Postal stations ♣ present ♥ Liu Bang was a "minor functionary in charge of a postal relay station" before he became a politician and eventually king, and Emperor. [134]
♠ General postal service ♣ inferred present ♥ claims of state-organized communication service by many kingdoms already in the Warring States period; infer that it was continued and expanded by the Qin Empire and adapted by the Han as well.

Warfare variables

♠ RA ♣ Edward A L Turner ; Thomas Cressy ♥

Military Technologies

Military use of Metals

♠ Copper ♣ present ♥ In bronze.
♠ Bronze ♣ present ♥ "Bronze weapons were still in widespread use at the beginning of the Han." [135] Bronze weapons, e.g. axe. [136] bronze sword [137]
♠ Iron ♣ present ♥ Iron-clad armor replaced copper. [138]
♠ Steel ♣ absent ♥ "During the Spring and Autumn period, China developed steel and iron-made weaponry, and as the raw iron castings technique was widely practiced - and the ‘folded hundred times steel’ casting method was on the rise, along with various polishing techniques for steel - Chinese steel weapons were very much on the ascendant."[139] First steel adapted by Chu in 5th century BCE[140], likely spread quickly to other states "As the smiths in time learned the possibilities of their material, and began producing quench-hardened steel swords ... bronze swords could not longer compete and went out of use completely. This seems likely to have occurred all over China by the late third century B.C. at the latest."[141] "As early as the later Han dynasty and the early Jin dynasty, the Chinese were already capable of producing steel."[142] 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."[143] First high-quality steel 450 CE.

Projectiles

♠ Javelins ♣ suspected unknown ♥
♠ Atlatl ♣ absent ♥ New world weapon
♠ Slings ♣ inferred absent ♥ Unnecessary when peasants can be equipped with the easy-to-use crossbow.
♠ Self bow ♣ inferred present ♥ Han infantry "were equipped with spears or halberds, swords, and bows or crossbows."[144] "Like the infantry, cavalry also used halberds, spears, swords and bows."[145]
♠ Composite bow ♣ present ♥ Han infantry "were equipped with spears or halberds, swords, and bows or crossbows."[146] "Like the infantry, cavalry also used halberds, spears, swords and bows."[147]
♠ Crossbow ♣ present ♥ "The crossbow is the most frequently mentioned weapon in the sources, and was often given credit for the Han army's superiority over its enemies."[148]
♠ Tension siege engines ♣ present ♥ "early versions of siege crossbows and traction trebuchets may be noted in the accounts of the wars of the Qin and Han dynasties, and appear in the early military writings associated with the name of Mo Zi."[149] "There were various grades of crossbow of different draw-weight. The heaviest required a pull of over 350lbs to cock them, and were suitable only for static positions, where they could be fixed on revolving mounts. Strong men capable of loading the larger weapons were known as chuch chang, and were highly valued specialists."[150]
♠ Sling siege engines ♣ {absent; present} ♥ arcuballiste and lever-operated stone-throwing catapults (trebuchets) approaches ..." from Warring States period, and "There was to be very little change in the Chinese art of siege warfare ... until the introduction of gunpowder" [151] "Siege equipment mentioned by Ssu-ma Kuang includes artillery, moveable towers, and artificial mounds erected to enable besiegers to shoot over city walls, and scaling ladders."[152] "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." [153]
♠ Gunpowder siege artillery ♣ absent ♥ Technology invented later
♠ Handheld firearms ♣ absent ♥ Technology invented later

Handheld weapons

♠ War clubs ♣ inferred present ♥ present in previous polities
♠ Battle axes ♣ present ♥ Bronze axe. [154]
♠ Daggers ♣ present ♥ were known in China from earlier periods. "Halberd or dagger-axe blade, from a 1st century BC site at Liang-wang-shani in Yunnan (British Museum)." [155] "Bronze knife, Han period (British Museum)." [156]
♠ Swords ♣ present ♥ Han infantry "were equipped with spears or halberds, swords, and bows or crossbows."[157] "Like the infantry, cavalry also used halberds, spears, swords and bows."[158]
♠ Spears ♣ present ♥ [159] Han infantry "were equipped with spears or halberds, swords, and bows or crossbows."[160] "Like the infantry, cavalry also used halberds, spears, swords and bows."[161]
♠ Polearms ♣ present ♥ Han infantry "were equipped with spears or halberds, swords, and bows or crossbows."[162] "Like the infantry, cavalry also used halberds, spears, swords and bows."[163]

Animals used in warfare

♠ Dogs ♣ absent ♥ Never used in warfare. [164]
♠ Donkeys ♣ present ♥ Supply train included donkeys.[165] Never used in warfare, besides as pack animals. [166] Supply train: oxen, donkeys, horses, mules, camels. [167]
♠ Horses ♣ present ♥ Emperor Wudi wanted to breed better horses to compete with Xiongnu.[168] Cavalry.[169] Use of the four-horse chariot discontinued during first century BCE. [170]
♠ Camels ♣ present ♥ Never used in warfare, besides as pack animals. [171] Supply train: oxen, donkeys, horses, mules, camels. [172]
♠ Elephants ♣ ♥

Armor

♠ Wood, bark, etc ♣ inferred present ♥ present in previous polities
♠ Leather, cloth ♣ present ♥ [173] "Infantry were often protected with leather or iron lamellar armour."[174]
♠ Shields ♣ present ♥ "In sieges, and occasionally in the field, missile troops were drawn up behind men carrying spears or shields, but separate deployment seems to be the norm."[175] "A relief from I-nan, possibly late Han, appears to show two cavalry figures with shields, but this was uncommon, perhaps because weapons such as halberds, bows and crossbows required the use of both hands." [176]
♠ Helmets ♣ present ♥ [177] Infantry "wore caps or iron helmets" [178]
♠ Breastplates ♣ inferred present ♥ Comprised "plates stitched together and divided into several section for the chest, shoulder and collar."[179] suggests plate armor covered chest
♠ Limb protection ♣ inferred present ♥ present in previous polities
♠ Chainmail ♣ suspected unknown ♥
♠ Scaled armor ♣ suspected unknown ♥
♠ Laminar armor ♣ present ♥ "Iron lamellar cuirass from Erh-shih-chia-tzu, Inner Mongolia. Han period."[180] "Infantry were often protected with leather or iron lamellar armour."[181]
♠ Plate armor ♣ present ♥ Comprised "plates stitched together and divided into several section for the chest, shoulder and collar."[182]

Naval technology

♠ Small vessels (canoes, etc) ♣ present ♥ Ships were used for naval assaults in China for centuries
♠ Merchant ships pressed into service ♣ suspected unknown ♥
♠ Specialized military vessels ♣ suspected unknown ♥

Fortifications

♠ Settlements in a defensive position ♣ present ♥ Frontiers settled with military colonies. [183] Military fortresses e.g. Luntai, Xinjiang.[184] "The border defense system had five basic architectural components. First were the border towns...most of them have moats, walls, gates, wall towers, corner towers, streets, administrative offices, shops, residences and storehouses. Some had additional wall fortifications and beacon towers." [185]
♠ Wooden palisades ♣ inferred present ♥ "Next to some chidao were also built yongdao (palisaded roads), which were reserved for the emperor and his relatives."[186] A palisaded road is not really a fortification. Inferred that palisades would also be used in various instances as minor form of fortification, such as for some small towns.
♠ 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.[187] After the 121-119 BCE campaigns against Hsiung-nu "A line of earthworks was built to extend the Ch'in defence line further into the steppe. For the next 18 years, there were no recorded Hsiung-nu raids into China."[188]
♠ Ditch ♣ present ♥ [189] 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.[190]
♠ Moat ♣ present ♥ possible cities still had moats from previous eras when they were necessary. however, with the unification of China under the Qin and Han, they might have lost them. "The border defense system had five basic architectural components. First were the border towns...most of them have moats, walls, gates, wall towers, corner towers, streets, administrative offices, shops, residences and storehouses. Some had additional wall fortifications and beacon towers." [191]
♠ Stone walls (non-mortared) ♣ present ♥ [192] Stone walls present in the Neolithic period [193]
♠ Stone walls (mortared) ♣ inferred absent ♥ Beacon towers etc, were not mortared? "Relief sculpture from the Han dynasty includes numerous examples of two-story and three-story towers." [194]
♠ Fortified camps ♣ suspected unknown ♥
♠ Complex fortifications ♣ 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.[195]
♠ Long walls ♣ 7200 ♥ km.

"The Han inherited from the Ch'in not only the hostility of the Hsiung-nu but the policy of building fortifications to keep the nomads at bay."[196] After the 121-119 BCE campaigns against Hsiung-nu "A line of earthworks was built to extend the Ch'in defence line further into the steppe. For the next 18 years, there were no recorded Hsiung-nu raids into China."[197] Han extension of the great wall: "The Great wall was extended to the region of Dunhuang in Gansu on the west and northward beyond the Tianshan mountain range. At the time, parts of the wall were actually doubled in thickness and beacon towers were all fortified to create a large and comprehensive system of defense." [198]

Qin Great Wall: 3,000 km
Han Great Wall: 7,200 km
Jin Wall 5,000 km
Ming Wall 6,700 km[199]

"I have tried to examine the evidence, in the first instance, without any fixed prior idea of what it ought to add up to. When one does that, certain fundamental, and I think insurmountable, problems with the ordered concept of 'The Great Wall' itself become clearly evident. Then, rather than attempting somehow to fit recalcitrant evidence into it, I have chosen instead to discard the concept. The basic conviction that has thus emerged from my research is that the idea of the Great Wall of China, familiar to me since childhood, and with which I began my work, is a historical myth."[200]

♠ 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 ♥ [201]
♠ Constraint on executive by non-government ♣ present ♥ Kings of the vassal kingdoms owed tax revenue and military services to the Emperor, but were semi-independent rulers who seem to have been nominally free to rule their territory as they saw fit, including decisions about the collection of revenue which was in part owed to Chang-an. The Emperor seems to have had few means of compelling into obedience, except removing them from office and replacing them with more loyal dependents, such as family members (the typical response of Gaozu in the early years of the Han dynasty). The Seven States Rebellion demonstrates the uneasy union between the early Han dynasty and these kingdoms. As Loewe put it, though, the issue of securing the loyalty and obedience of these Kings "was a problem destined to recur in various guises throughout China's history."[202]
♠ Impeachment ♣ absent ♥

Social Mobility

Status

Elite status

♠ elite status is hereditary ♣ present ♥ 'Great Families' still important part of imperial Han society (cf Lewis 2007)

Religion and Normative Ideology

♠ RA ♣ Jill Levine; Enrico Cioni ♥

Deification of Rulers

♠ Rulers are legitimated by gods ♣ present ♥ Mandate of Heaven. Agreement with, appeasement of, or association with Supreme Power di was principle behind figure of Emperor, huangdi. [203] Omens and portents were examined to assess whether the emperor possessed the Mandate of Heaven. [204]

♠ Rulers are gods ♣ present ♥ Rulers are divine figures, descendant from deified ancestor spirits, who became representative of / equated with di. [205] 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."[206]

Normative Ideological Aspects of Equity and Prosociality

♠ Ideological reinforcement of equality ♣ absent ♥ [207]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 [208] 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.[209]

♠ Ideological thought equates rulers and commoners ♣ absent ♥ [210] Rulers are divine figures, descendant from deified ancestor spirits, who became representative of / equated with di. [211] 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."[212]
♠ 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 [213] 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.[214]

♠ Ideology reinforces prosociality ♣ present ♥ [215] [216]

Moralizing Supernatural Powers

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

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. [217] [218] [219]

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