CnEHan*

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Phase I Variables (polity-based)

General variables

♠ RA ♣ Edward A L Turner; Jill Levine ♥

♠ Original name ♣ Eastern Han ♥

♠ Alternative names ♣ Later Han ♥

♠ Peak Date ♣ 88 CE ♥

"The first three reigns of the Eastern Han, from about 25 to 88, were a time of domestic stability and foreign expansion."[1]

Prosperity and security during reigns of Mingdi and Zhangdi. [2] Peak territorial extent 100 CE.

"only in the three decades after Han Guang Wudi (so AD 58-88) was the dynasty spared major regional or "religious" revolts lead by would-be emperors." In the second century CE, emperors "instead of managing their support, were more often being managed by it. ... the bureaucracy... senior posts were treated as sinecure, given as rewards, and by the late second century AD openly sold to the highest bidder." [3]


Temporal bounds

♠ Duration ♣ 25-220 CE ♥

"The Eastern Han dynasty (25-220), also known as the Later Han, formerly began on August 5, AD 25 with the accession of Liu Xiu (5 BC-AD 57) as emperor. ... The Eastern Han lasted until November 24, 220, when the last Han emperor abdicated to Cao Pi (187-226), the founder of the Wei dynasty."[4]

"Historians conventionally treat the Eastern Han as a restoration, for it was not technically a new dynasty but the return of imperial authority to a member of the Liu clan, which had lost its claim to the throne during the Xin dynasty (9-23) of Wang Mang (45 BC - 23 AD)."[5]

♠ Degree of centralization ♣ unitary state; confederated state ♥

confederated state from 190 CE

190 CE Luoyang sacked. Emperor moves capital back to Chang 'an. Generals in 3 regions of Empire now hold the power. These regions become kingdoms. General Cao Cao's son declares new dynasty, Wei, 220 CE. [6]

♠ Supra-polity relations ♣ alliance ♥

Maintained alliance with the Xiongnu - or at least their allegiance as long as the Han paid a costly annual tribute.[7]

Supra-cultural relations

♠ preceding (quasi)polity ♣ Xin Dynasty ♥ "Historians conventionally treat the Eastern Han as a restoration, for it was not technically a new dynasty but the return of imperial authority to a member of the Liu clan, which had lost its claim to the throne during the Xin dynasty (9-23) of Wang Mang (45 BC - 23 AD)."[8]
♠ relationship to preceding (quasi)polity ♣ continuity ♥ "Historians conventionally treat the Eastern Han as a restoration, for it was not technically a new dynasty but the return of imperial authority to a member of the Liu clan, which had lost its claim to the throne during the Xin dynasty (9-23) of Wang Mang (45 BC - 23 AD)."[9]
♠ succeeding (quasi)polity ♣ Wei Dynasty ♥ Eastern Han broken up into multiple small quasi-polities (Three Kingdoms period). "the last Han emperor abdicated to Cao Pi (187-226), the founder of the Wei dynasty."[10]
♠ Supracultural entity ♣ Chinese ♥
♠ scale of supra-cultural interaction ♣ [3,000,000-4,000,000] ♥ km.

♠ Capital ♣ Chang'an; Luoyang ♥ removed apostrophes and dates to make code machine readable. Precise dates vary.

Han capitals: Chang 'an 206 BCE - 23 CE; Luoyang 23-220 CE. [11]

Luoyang chosen as capital 25 CE. [12]

Chang 'an: 25 - 36 CE; Luoyang: 36 - 190 CE; Chang 'an: 190-220 CE

♠ Language ♣ Chinese ♥

General Description

China’s Han dynasty is divided into two periods: Western Han or Former Han (202 BCE-9 CE), and Eastern Han or Later Han (25-220 CE). The period between the two Han dynasties was an interregnum ruled by Wang Mang who overthrow the Han and founded the short-lived Xin dynasty.[13] Rulers of the Western and Eastern Han are descended from Han founder Liu Bang.[14] The Han dynasty was reinstated when military troops revolted against Wang Mang and attacked the capital of Chang’an in 23 CE.[15] The first recognized Eastern Han emperor Emperor Guangwudi moved the capital to Luoyang in 25 CE.[16]

Buddhism spread into China during the Eastern Han period. The religion soon began to influence Chinese morals and ethics.[17] Han innovation continued into the Eastern Han period. The eunuch Cai Lun invented paper made from mulberry bark in 105 CE.[18]

The decline of the Eastern Han was marked by series of natural disasters including floods and plagues beginning in 168 CE.[19] The disasters were accompanied by two large peasant uprisings: the Yellow Turban Rebellion and the Five Pecks of Rice rebellion.[20] The Eastern Han also faced constant rebellions from Qiang ethnic minorities.[21] Provincial warlords aided the central government in suppressing these major rebellions. These warlords eventually became rulers of the provinces.[22] Warlord Dong Zhou seized Luoyang in 190 CE but was defeated by the warlord Cao Cao.[23] Eastern Han emperors stayed on the throne but the Han empire was split between three generals, ushering in the Three Kingdoms period.[24]

Eastern Han territory covered 6.5 million square kilometers in 100 CE, but only 2.5 million square kilometers by 200 CE.[25] At its peak, the Han dynasty encompassed modern China, northern Vietnam, Inner Mongolia, southern Manchuria, and parts of modern Korea.[26]

Population and political organization

The Eastern Han continued many of the administrative practices of the Western Han.[27] However, the dynasty was marked by bloody political infighting including succession conflicts, and attempts to grab power by consort clans and eunuch cliques.[28] Eunuchs had a strong influence in the Eastern Han government and competed with Confucian officials and the imperial clan. [29] The decline of the Eastern Han was marked by the rise of strong provincial rulers with independent armies, or warlords, and a weakening of the corrupt central government.

The population of the Eastern Han was between 48 and 50 million people in 140 CE.[30] . Luoyang was home to 420,000 people in 100 CE, but only 100,000 by 200 CE.[31][32]

Social Complexity variables

♠ RA ♣ Edward A L Turner ♥

Social Scale

♠ Polity territory ♣ 6,500,000: 100 CE; 5,344,000: 120 CE; 4,633,000: 140 CE; 3,922,000: 160 CE; 3,211,000: 180 CE; 2,500,000: 200 CE ♥ KM2. 5,500,000: 80 CE; 6,500,000: 100 CE; 5,344,000: 120 CE; 4,633,000: 140 CE; 3,922,000: 160 CE; 3,211,000: 180 CE; 2,500,000: 200 CE. Km2. Contains interpolated data. [33]

♠ Polity Population ♣ 21,007,820: 57 CE; 34,125,021: 75 CE; 43,356,367: 88 CE; 53,256,219: 105 CE; 48,690,789: 125 CE; [48,000,000-53,869,588]: 126-141 CE; [49,150,220-49,730,550]: 142-144 CE; 47,556,772: 146 CE; 50,066,856: 156 CE; 56,486,856: 157 CE ♥ People.

57.7 million in census of 2 CE. 48,000,000 in census of 140 CE - however data from three commanderies were missing in this census.[34] Annual population register figures: 2 CE: 57.7m (76% in north). 140 CE: 48m (54% in north). [35]

"With the exception of Yuyang, where the resettlement of the Wuhuan and Xianbi led to a population increase, all commanderies show significant declines, many more than eighty or ninety percent...indicates a genuine decline in the Han population due to barbarian incursions." [36] Note: decline from Han leaving or being killed?

From Bielenstein (1987): "The following national totals have been preserved for the Han dynasty", but there is some margin of error as is natural with historical censuses.

2 CE- 59,594,978 individuals
57 CE- 21,007,820 individuals
75 CE- 34,125,021 individuals
88 CE- 43,356,367 individuals
105 CE- 53,256,219 individuals
125 CE- 48,690,789 individuals
126-144 CE- 49,150,220 individuals
136-141 CE- 53,869,588 individuals
140 CE- 49,150,220 individuals
144 CE- 49,730,550 individuals
146 CE- 47,556,772 individuals
156 CE- 50,066,856 individuals
157 CE- 56,486,856 individuals [37]

♠ Population of the largest settlement ♣ 420,000: 100 CE; 100,000: 200 CE ♥ People. Luoyang.

Luoyang 420,000 in 100 CE.[38] Luoyang 260,000 in 1 CE, 420,000 in 100 CE; 100,000 in 200 CE. [39]

Chang 'an 333,000 in 100 CE. [40] Chang 'an 420,000 in 1 CE; 100,000 in 100 CE.[41]
Soochow 245,000 in 100 CE. [42]
Maoling 180,000 in 1 CE. [43]
Lu 170,000 in 1 CE. [44]
Zhangling 165,000 in 1 CE. [45]
Yangling 160,000 in 1 CE. [46]
Nanking 158,000 in 100 CE. [47]
Wan 155,000 in 1 CE. [48]
Linzi 100,000 in 1 CE; 100,000 in 200 CE. [49]
Chengdu 70,000 in 100 CE. [50] Chengdu 250,000 in 1 CE. [51]
Wuchang 65,000 in 100 CE. [52]

Hierarchical Complexity

♠ Settlement hierarchy ♣ 6 ♥

1. Capital city
2. Provincial capital
3. Tributary capital
4. County capital
5. Town
6. Village


♠ Administrative levels ♣ 7 ♥ "The most important source for the study of Later Han institutions is the "'Treatise on the hundred officials' ... in the Hou-Han shu or Later Han history. This text is systematic, detailed, and much superior to its counterpart in the Han shu. Additional information is found in surviving fragments of once comprehensive accounts on bureaucracy by Han authors. The institutions of Later Han are therefore more fully known than those of Former Han, even though there can be no doubt the basic pattern was the same." [53] The number of levels, here, is equal to the number of levels comprising the central government, with the addition of the emperor, the inner/outer courts, and the grand tutor.


1. King/Emperor.

2. Inner and Outer Courts
"In 107 CE, Emperor An of the Eastern Han Dynasty (r. 106-25 CE) issued an edict that proclaimed, "I summon the excellencies and ministers, the officials of the Inner and Outer Courts...""[54]
2. Grand tutor
"An aged and respected man was normally selected for the position shortly after the enthronement of an emperor, but the grand tutors usually died after a few years, and the office was then left vacant for the remainder of the reign."[55]
"With the appointment of the third grand tutor in A.D. 75, the character of the office changed. He and his successors were given supervisory duties over the secretariat, (shang-shu; masters of writing) and from that time onwards came to head sizable ministries.[56]

_Central government_

Outer Court headed by Three Excellencies

3. Marshal of State to Supreme Commander
since 8 BCE "the three highest regularly appointed career officials had the same rank. These were the so-called three excellencies (san kung)". [57] the Supreme Commander "gradually became the most influential among the three."[58]
4. Chief Clerk (chang-shih)
"All ministries of the three excellencies were organized in the same general way. Only that of the supreme commander is systematically described in the sources, but the organization undoubtedly varied little from one ministry to the other. Each of the three excellencies was assisted by one chief clerk (chang-shih)." [59]
4. Head of Bureau
The ministries of the excellencies and the chief clerks "were divided into bureaus (ts'ao) and staffed with numerous clerks and attendants." [60]
5. Clerk
6. Assistant clerks (tso-shih)
"the status of Han officials was defined by a scale beginning with those entitled to stipends equivalent to 10,000 bushels (shih) of grain at the top, and ending with assistant clerks (tso-shih) at the bottom. From 23 B.C. onward, the number of ranks was eighteen. The grand tutor (t'ai-fu) was above the scale."[61]
3. Grand Minister of Finance to Minister of Finance
since 8 BCE "the three highest regularly appointed career officials had the same rank. These were the so-called three excellencies (san kung)" [62]
4. Chief Clerk
4. Head of Bureau
5. Clerk
6. Assistant clerks
3. Grand Minister of Works to Minister of Works
since 8 BCE "the three highest regularly appointed career officials had the same rank. These were the so-called three excellencies (san kung)" [63]
4. Chief Clerk
4. Head of Bureau (e.g. Directorate for imperial manufacturies[64])
5. Head of a sub-division within Bureau (e.g. type of manufacture e.g. paper-making)
6. Worker in sub-division of Bureau e.g. researcher
"In 105, while serving in the directorate for imperial manufacturies ... [Cai Lun (d.121] devised a process of making paper from hemp, mulberry bark, and fishing nets."[65]
7. Assistant clerks
3. Superintendent of ceremonial (one of the Nine Ministers chiu-ch'ing)[66]
"They were not direct subordinates of the three excellencies, although these examined their performances."[67]
4. Directors e.g. for astrology
the Superintendent of ceremonial "had several senior aides" such as the directors for prayer, astrology, music, butchery, offerings and for specific shrines and a memorial park. The directors had "many attendants." Under the superintendent were also an Academician who was the head of the imperial academy and from 159 CE an inspector of the imperial library. [68]
5. Specialist astrologer inferred level
In 115 CE polymath Zhang Heng (78-139 CE) "became a grand scribe responsible for observing astronomical phenomena, preparing calendars, and managing time devices."[69]
6. Assistant/Apprentice to astrologer inferred level
7. Clerk/Secretary inferred level
3. Privy superintendent of the lesser treasury (one of the Nine Ministers chiu-ch'ing)[70]
"He headed the largest ministry, but was one of the least influential of the nine."[71] the privy superintendent of the lesser treasury was "the nominal supervisor of certain attendants of the sovereign."[72]
4. Ministerial assistants (ch'eng)
Number of ministerial assistants reduced from six to one during Later Han. [73]
4. Director of the secretariat and the supervisor of the secretariat
Director of the secretariat ran the secretariat. the supervisor of the secretariat is described as "his substitute" [74]
5. Assistant of the left and Assistant of the right
assistants assisted the director and the supervisor of the secretariat[75]
5. Member of the Secretariat head of bureau
Secretariat was divided into bureaus. These came to number six in Later Han. A bureau for regular attendants, "Two bureaus for senior officials ... were in charge of correspondence with provincial inspectors and grand administrators", bureau for civil population, bureau for superintending guests of south and north [76]
6. Lesser staff
"Each bureau was under one member of the Secretariat, who was aided by lesser staff, including government slaves."[77]
3. Superintendent of transport[78]
3. Superintendent of the palace[79]
3. Superintendent of the guard[80]
3. Superintendent of trials[81]
3. Superintendent of state visits[82]
3. Superintendent of the imperial clan[83]
3. Superintendent of agriculture[84]
3 Mayor of Luoyang (Lo-yang ling): Mayor controlled an imperial prison and oversaw candidates for office who had arrived in capital from the regions[85] [86]

_Provincial government_

2. Regions (chou) had Inspectors (or commissioners)
35 CE number of regions (chou) reduced from 14 to 13. [87]
Inspectorates of the bureaucracy became permanently based in their own "provincial capitals" and had their own bureaucracy and - by 180 CE - military. [88]
3. Attendant clerk head of bureau
"Their staffs were organized into bureaus, each under an attendant clerk (ts'ung-shih shih)." [89]
3. Duty attendant clerk (pieh-chia ts'ung-shih shih)
"In addition, one attendant clerk was appointed to each commandery or kingdom of the region, and another acted as duty attendant clerk (pieh-chia ts'ung-shih shih). The latter had the responsibility of following the inspector (or commissioner) at public functions and of recording all matters, including conversations." [90]
3. Commanderies (chun) / Kingdom (wang-kuo) (under a governor / chancellor)
"Each region included a varying number of commanderies (chun)."[91] "largely modelled on the centralised Ch'in system, with its north-western heartland divided into 'commanderies' under governors appointed by the court." [92] ::: In Former Han governor had a Commandant to organize the militia. This was position was rarely present in Later Han. [93]
4. Head of Bureau
Staff of the governor organized into bureaus.[94]
5. Clerks
4. Magistrates of Counties (hsien)
All commanderies divided into counties.[95] Counties were "personally inspected" by the commandery governor. [96] Counties in militarily important regions known as Marches (tao).[97]
5. Head of Bureau
"The county staff was organized into bureaus which imitated the commandery administration and undoubtedly also varied according to local conditions."[98]
6. Clerks
5. Districts (hsiang) under a moral elder (san-lao), a chief of police (yu-chiao), and a tax, law and labor official (yu-chih or se-fu if under 5,000 households)
Territory of a county was divided into districts. [99]
6. Commune (t'ing) under a chief (t'ing-chang)
Districts were divided into communes. [100]
7. Hamlet (li) under a headman (li-k'uei)
Communes were divided into hamlets. [101]
Families grouped into units (of five and ten) "which had collective responsibility on one another's conduct." [102]


_Southern Xiongnu tributary_

Maintained at cost to central government which was around 91 CE about 100 million cash per annum. Other tributary non-Han client populations included Wuhan (from 49 CE[103]), Xianbei, and Qiang. Like the Southern Xiongnu, their allegiance had to be paid for by the central government. [104] Other frontier tribes received 74,800,000 cash per year from 73 CE. [105]


_Princely kingdoms_

"In 107 CE, Emperor An of the Eastern Han Dynasty (r. 106-25 CE) issued an edict that proclaimed, "I summon the excellencies and ministers, the officials of the Inner and Outer Courts, the governors of commanderies, and chancellors of the princely kingdoms...""[106]

"If charge of territory was granted to an imperial son and his heirs as a fief, it was referred to as a kingdom (wang-kuo), but this did not affect the way in which it was administered."[107]

"Whenever an area such as a county was granted as a fief to a marquis, it was referred to as a marquisate (huo-kuo)."[108]


♠ Religious levels ♣ [1-2] ♥

Emperor was high priest. [109]

Eclectic mix of ancestor worship, sorcery, Daoism, polytheism, and later Buddhism from first century CE. [110]

"In the state cult of the Han dynasty, Heaven was the supreme deity, a deity which was believed to guide the fate of the world directly." Omens and portents were examined to assess whether the emperor possessed the Mandate of Heaven. [111]

♠ Military levels ♣ 7 ♥

This (from 2.) was the hierarchy used on field campaigns. After the campaign the militia was demobilized. [112]

1. Emperor

"After AD 89 the title of Ta Chiang-chun or 'Commander-in-Chief' was a political appointment which carried the responsibilities of a regent."[113]
2. ying (division under a chiang-chun, or general) [114]
"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." [115]
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" [116]
"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."[117]
3. pu (regiment under a hsiao-wei, or colonel)[118]
"... often translated as 'colonel', was a lower rank used for temporary appointments
3. 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." [119]
4. hou kuan[120] or ch'u(company under a captain, chun-hou)[121]
"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." [122]
5. hou[123] or t'un(platoon under a commander, t'un-chang)[124]
"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." [125]
6. sui (section, lead by an officer)
"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." [126]
7. Individual soldier
"Conscripts served mainly as infantry; cavalry was provided by volunteers from noble families or by non-Chinese auxiliaries." [127]

Professions

♠ Professional military officers ♣ inferred present ♥ Western Han: Conscripts spent a year of service in training. [128] Trained for one year in their home commandery. [129] "The so-called Northern Army (Pei-chun) consisted of professional soldiers who were stationed at the capital for its defense."[130]

♠ Professional soldiers ♣ present ♥ Western Han: Conscripts spent a year of service in training. [131] Trained for one year in their home commandery. [132] "The so-called Northern Army (Pei-chun) consisted of professional soldiers who were stationed at the capital for its defense."[133]

♠ 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."[134]

Bureaucracy characteristics

♠ Full-time bureaucrats ♣ present ♥ Bureaucracy of 120,285 officials in 2 CE. "Loewe speculates that this figure may not include the lower-level officials at the grass roots."[135]

♠ Examination system ♣ [absent; present] ♥ Crude examination system already existed in the Western Han.[136] However, "Before A.D. 132 the hsiao-lien did not have to undergo a written examination. It was decreed in that year that all must be examined..." [137] Also, "Before the Northern Sung, the principal means of entry into the social and political elite was by official recommendation or kinship relations." [138]

♠ Merit promotion ♣ present: 25-150 CE; unknown: 151-199 CE; absent: 200-220 CE ♥

"In 107 CE, Emperor An of the Eastern Han Dynasty (r. 106-25 CE) issued an edict that proclaimed, "I summon the excellencies and ministers, the officials of the Inner and Outer Courts, the governors of commanderies, and chancellors of the princely kingdoms to recommend one person in each of the following categories: those who are capable and good and sincere and upright, those with special powers and skills, those with political and administrative talents, those who understand the past and present, and those who are able to speak out frankly and admonish unflinchingly.""[139]

"Some high-level government branches also tried to recruit lower-leverl government officials in a similar manner (bi zhao)."[140]

By the late second century bureaucratic posts "openly sold to the highest bidder." [141]

♠ Specialized government buildings ♣ present ♥ Mints. Offices of the bureaucracy. Educational academies.

Treasury, grain depots and storehouses. [142]

Law

♠ Formal legal code ♣ present ♥ During Western Han Confucianism gradually replaced legalism. Qin legal code remained basically intact, some severe measures rescinded. [143]


♠ Judges ♣ inferred present ♥ The magistrate of the county enforced law and order and judged civil and criminal cases.[144] -- Is this magistrate a specialist in judging law?

There was an official at the district level responsible for law, tax and labour. At the commune level the chief maintained law and order. [145]

Commandery governor responsible for "the administration of civil and criminal law."[146]

♠ Courts ♣ inferred present ♥ Courts are not mentioned in Loewe's [147] detailed description of the legal process in Han times.

If there were no courts, what was the Superintendent of trials[148] concerned with? Where were trials held, if not in a place for trials, i.e. courts?

♠ Professional Lawyers ♣ inferred present ♥ Lawyers are not mentioned in Loewe's [149] detailed description of the legal process in Han times.

If there were no lawyers, what did the Superintendent of trials[150] and his departmental staff do? We can infer there were specialists working on law here.

Specialized Buildings: polity owned

♠ irrigation systems ♣ present ♥ Extension of irrigation projects [151] Comprised a yanzhu, a reservoir, and fang, a dike. Water was channelled a sui at top of the field while a gui drained it away. [152]
♠ 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."[153] "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."[154] 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."[155]"Pumps and norias on the southern moat supplied the city with water." [156] -- is this drinking water?
♠ markets ♣ present ♥ Commandery governors had a bureau that dealt with markets. [157] Luoyang probably had one market. [158]
♠ food storage sites ♣ present ♥ Great granary in Luoyang. [159]

Transport infrastructure

♠ Roads ♣ present ♥ Roads improved. [160] Commandery governers had bureaus that dealt with roads. [161]
♠ Bridges ♣ present ♥ Commandery governers had bureaus that dealt with bridges. [162]
♠ Canals ♣ present ♥ Lu Bei, grand administrator, dug canals in Dong commandery. [163] Commandery governers had bureaus that dealt with canals. [164]
♠ Ports ♣ present ♥ Gangling and Qiantang.

Special purpose sites

♠ Mines or quarries ♣ inferred present ♥

Information

Writing System

♠ Mnemonic devices ♣ present ♥ The earliest known written documentation of the Chinese abacus dates to the 2nd century BC [165]
♠ Nonwritten records ♣ inferred present ♥
♠ Written records ♣ present ♥ "Early in the Han and before, writing had been done on wood, bamboo and silk. Wood and bamboo were bulky and cumbersome, and silk was expensive. As papermaking technology improved, it proved to be the most economical and easiest medium on which to write."[166] However, older mediums, such as bamboo tablets, remained in use.[167]
♠ Script ♣ present ♥ "Early in the Han and before, writing had been done on wood, bamboo and silk. Wood and bamboo were bulky and cumbersome, and silk was expensive. As papermaking technology improved, it proved to be the most economical and easiest medium on which to write."[168] However, older mediums, such as bamboo tablets, remained in use.[169]
♠ Non-phonetic writing ♣ present ♥ Chinese
♠ Phonetic alphabetic writing ♣ absent ♥ Chinese

Kinds of Written Documents

♠ Lists, tables, and classifications ♣ inferred present ♥ Administrative documents.[170]
♠ Calendar ♣ present ♥ There was a director of astrology under the superintendent of ceremonial who drew up the annual calendar. [171]
♠ Sacred Texts ♣ inferred absent ♥
♠ Religious literature ♣ inferred present ♥
♠ Practical literature ♣ inferred present ♥ There was a court architect who "directed the building and repair of imperial palaces, temples, and tombs, the construction of funerary parks, and the planting of trees."[172]
♠ History ♣ present ♥ Historian and astronomer Liu Xin, Just prior to period (c50 BC - 23 CE) he is representative of intellectual life. Curator of the imperial library, he established a library classification system, and calculated pi(π) to 4 decimal places. [173] Female historian Ban Zhao. Completed the Hanshu after Ban Ghu executed, and wrote "Lessons for Women." [174] Pan Ku [175] (d.86 BCE) / Ban Gu (d.92 CE)
♠ Philosophy ♣ present ♥ Wang Fu (90-165 CE) wrote "Qianfu Lun". Contained chapter "On excessive luxury." [176]
♠ Scientific literature ♣ inferred present ♥ Physician Hua Tuo (c140-208 CE) used anaesthetic during surgery. [177] A director of astrology invented the seismograph in 132 CE[178] - this was Zhang Heng (78-139 CE) and the device was called the Di Dong Yi.[179] "...sulfur and saltpeter were recorded in the Pharmacopoeia of the Divine Agriculturist compiled during the Han dynasty."[180] Medical prescriptions.[181] Zhang Heng (78-139 CE) was a polymath cartographer, mathematician, inventor (poet and painter) who was for a time a royal astronomer.[182]
♠ Fiction ♣ present ♥ Yuan Kang, Eastern Han scholar, wrote Yue jue shu "a private history of the Spring and Autumn period ... often considered to be a precursor of fiction writing." [183] The imperial court produced poetic writing. [184] Not all writing composed within or presented to court. "Zhang Heng composed his famous "Fu on the Two Metropolises" as a private individual, and there is no evidence that he presented it to the court."[185]


Money

♠ Articles ♣ present ♥ The Han economy became fully monetized. Wages were paid in cash. Taxes could be paid in cash (rather than labor services). [186]
♠ Tokens ♣ ♥ Unknown.
♠ Precious metals ♣ inferred present ♥ Continuation from Qin monetary system: bronze coins; gold and silver bullion used as store of wealth.[187] gold and silver bullion used as store of wealth. [188]
♠ Foreign coins ♣ inferred absent ♥ Did Roman coinage reach China? Would it have been used as money?
♠ 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.)."[189]
♠ Paper currency ♣ absent ♥ "The Song dynasty introduced paper money in 1024 because China did not have enough silver or copper for its growing commercial economy." [190]

Postal System

♠ Couriers ♣ present ♥ Commandery governors had a bureau that dealt with postal stations and couriers. [191]
♠ Postal stations ♣ present ♥ Commandery governors had a bureau that dealt with postal stations and couriers. [192]
♠ 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, Jill Levine, Thomas Cressy ♥

Military Technologies

Military use of Metals

♠ Copper ♣ inferred present ♥ In bronze
♠ Bronze ♣ present ♥ "Bronze weapons were still in widespread use at the beginning of the Han." [193] Bronze weapons, e.g. axe. [194] bronze sword [195]
♠ Iron ♣ present ♥ Iron-clad armor replaced copper. [196]
♠ 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."[197] First steel adapted by Chu in 5th century BCE[198], 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."[199] "As early as the later Han dynasty and the early Jin dynasty, the Chinese were already capable of producing steel."[200] 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."[201] First high-quality steel 450 CE.

Projectiles

♠ Javelins ♣ inferred absent ♥ Not mentioned by sources
♠ Atlatl ♣ inferred absent ♥ New world weapon, unlikely.
♠ 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."[202] "Like the infantry, cavalry also used halberds, spears, swords and bows."[203]
♠ Composite bow ♣ present ♥ Han infantry "were equipped with spears or halberds, swords, and bows or crossbows."[204] "Like the infantry, cavalry also used halberds, spears, swords and bows."[205]
♠ 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."[206]
♠ 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."[207] "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."[208]
♠ 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" [209] "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."[210] "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." [211]
♠ Gunpowder siege artillery ♣ absent ♥ Gunpowder introduced in 900 CE [212]
♠ Handheld firearms ♣ absent ♥ Gunpowder introduced in 900 CE [213]

Handheld weapons

♠ War clubs ♣ inferred present ♥ Not mentioned by sources. Existed earlier in chronology for this region so not a question of whether technology is present. Battle axes, a similar crushing weapon, are known, so it is likely metal war clubs could have been used, if they were deemed to have been useful.
♠ Battle axes ♣ present ♥ Bronze axe. [214] "Halberd or dagger-axe blade, from a 1st century BC site at Liang-wang-shani in Yunnan (British Museum)." [215]
♠ Daggers ♣ present ♥ "Bronze knife, Han period (British Museum)." [216]
♠ Swords ♣ present ♥ Han infantry were equipped with swords.[217]
♠ Spears ♣ present ♥ Han infantry were equipped with spears.[218]
♠ Polearms ♣ present ♥ "Halberd or dagger-axe blade, from a 1st century BC site at Liang-wang-shani in Yunnan (British Museum)." [219]

Animals used in warfare

♠ Dogs ♣ absent ♥ Never used in warfare. [220]
♠ Donkeys ♣ present ♥ Supply train: oxen, donkeys, horses, mules, camels. [221] Used as pack animals in warfare [222]
♠ Horses ♣ present ♥ Cavalry "recruited from among the Wu-huan and Hsiung-nu." [223]
♠ Camels ♣ present ♥ Supply train: oxen, donkeys, horses, mules, camels. [224] Used as pack animals in warfare [225]
♠ Elephants ♣ ♥

Armor

♠ Wood, bark, etc ♣ inferred absent ♥ [226] "Infantry were often protected with leather or iron lamellar armour."[227]
♠ Leather, cloth ♣ present ♥ [228] "Infantry were often protected with leather or iron lamellar armour."[229]
♠ 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."[230] "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." [231]
♠ Helmets ♣ present ♥ [232] Infantry "wore caps or iron helmets" [233]
♠ Breastplates ♣ inferred present ♥ Western Han reference to " "plates stitched together and divided into several section for the chest, shoulder and collar."[234]
♠ Limb protection ♣ inferred present ♥ Would have been needed as defence against projectile weapons.
♠ Chainmail ♣ suspected unknown ♥
♠ Scaled armor ♣ suspected unknown ♥
♠ Laminar armor ♣ present ♥ "Iron lamellar cuirass from Erh-shih-chia-tzu, Inner Mongolia. Han period."[235] "Infantry were often protected with leather or iron lamellar armour."[236]
♠ Plate armor ♣ inferred present ♥ Western Han reference to " "plates stitched together and divided into several section for the chest, shoulder and collar."[237]

Naval technology

♠ Small vessels (canoes, etc) ♣ inferred present ♥ In use since the Shang dynasty
♠ Merchant ships pressed into service ♣ suspected unknown ♥
♠ Specialized military vessels ♣ present ♥ Warships which had sailors (lou-ch'uan-shih)[238] Engineers invented rudder and stern for steering ships which enabled ocean sailing. [239]

Fortifications

♠ Settlements in a defensive position ♣ present ♥ The Great Wall as a defensive settlement [240]
♠ Wooden palisades ♣ inferred present ♥
♠ 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.[241] Fortifications along frontier 1st century. [242] Walls of Luoyang constructed using tamped earth.[243]
♠ 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.[244]
♠ Moat ♣ present ♥ Luoyang had tamped earth walls and a moat [245]
♠ Stone walls (non-mortared) ♣ present ♥ Photo of Han section of Great Wall built with loose stones. [246]
♠ Stone walls (mortared) ♣ inferred absent ♥ Not mentioned by sources.
♠ Fortified camps ♣ suspected unknown ♥
♠ Complex fortifications ♣ inferred present ♥ Inferred that consecutive rings of walls existed as they had done previously.
♠ 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."[247] "The main work on the wall during the Dong (Eastern) Han period (25-220 ce) took place during the reign of Liu Xiu (Guangwudi), who in 38 ordered the repair of four parallel lines of the Great Wall in the area south of the Hexi Wall. The Great Wall served not only for defense but also to centralize control of trade and travel." [248]

Qin Great Wall: 3,000 km; Han Great Wall: 7,200 km; Jin Wall 5,000 km; Ming Wall 6,700 km[249]

"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."[250]

♠ 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 ♥[251]
♠ 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."[252]
♠ Impeachment ♣ absent ♥

Social Mobility

Status

Elite status

♠ elite status is hereditary ♣ present ♥ "The kingdoms under the Han were essentially a means of placing or rewarding members of the royal clan." [253]

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. [254] Omens and portents were examined to assess whether the emperor possessed the Mandate of Heaven. [255]

♠ Rulers are gods ♣ present ♥ Rulers are divine figures, descendant from deified ancestor spirits, who became representative of / equated with di. [256] 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."[257]

Normative Ideological Aspects of Equity and Prosociality

♠ Ideological reinforcement of equality ♣ absent ♥ [258]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 [259] 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.[260]

♠ Ideological thought equates rulers and commoners ♣ absent ♥ [261]Rulers are divine figures, descendant from deified ancestor spirits, who became representative of / equated with di. [262] 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."[263]
♠ 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 [264] 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.[265]

♠ Ideology reinforces prosociality ♣ present ♥ [266] [267]

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 ♣ 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. [268] [269] [270]

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