oXFORD sTUDIEsIN EARLY E加 1PIREs

scr,Bs Ed,fors

Nicola Di Cosmo,Mark Edward LeWls,and lAlalter scheldcl

助纟D/,I日″沁 orA″‘lc,:r￡〃Pj石纣 s抑招PO,● .erJ·

,ˉom A9b/rlo加 B, 9nnrl“ mEdlted by Ian MorrIs and Waltcr scheldcI

Ro″ε nlId Cˉ h加￠Co,,IP“ mrIve Perspcdil,es oⅡ A,,oe耐 ,/orld EmP氵 res

Ed⒒ed by Walter schodel

R0Irle and China

Co〃p夕r伢 F9i/纟 Pcrspe而yes o″

^彳

‘vⅡ纟竹r World Emp饣 res

Edned by

Walter scheidel

Acknowledgmen“

FIvE“由e犯彳n chap弪 rs h汛 △oluIpe gr抑 out“∞ntⅡbutlons№

tlle lntemanonal∞ nfercnce巛 Institutlons of EmPre:CQmpara刂 vc Persp∝ tIves

on Mocnt Chlnese and McditeⅡ anean Hoto吖”that was hdd at stanford Uniˉ

状rsity on M吖 ⒔-14,2005,under the atIspkes of曲 e巛stanford Allcient Chinese

and MedIterrancan EmPlrcs ComParatlve HIstory Proled'lt Is a great pleasure

to thank our gencrous stanford sponsors,abovc au dle s。 cial soence Histo〃

Institute and lts dIrecto‘ steve HabeⅡ as lvel as the Department oF Classlcs

and the FreemaⅡ spogⅡ Institu弪 for【ntematlonal studlcs【 wouId also lIke to

acknoh· ledge the suPPort° f mycoˉ organizcrs Mark Lcs1· ls and loe Mannlng Lal

Mh爹chu,Lu泳 de Ligt,Joe MannIng,DavId schaberg,Robln Yates,and zhao

Ding·tn presen恫 d papers that are not induded ln this couectl。 n but greatlv

enrichcd our dIscusoon FInaub ulanks arc due to stelan Vrm△ “0肮rd uniˉ

versitv Prcss for lus“ terest h thisPoect,to Brian Hudey for hsa甾“tance,and

to Gwen C。 l⒒n for her work on tllls volume

.fJ雪

⒈

:⒈

丶

、

.

oXFORD

Copl right◎ 2009bl0x佰 rd V“ ℃Isl″ Pr$,h‘

LH“∞r弘 Anden1-H。 l濒ε允阢 ⒉H“。n¨Mdhod动哪 3Rojr¨ Holor,

R9uut,,c,~,OJC ⒋ROmˉ H‘lon EmⅡ rc,o“ G’ B0^⒍ ⒌ Ch∶ n。 H gforv

浇 系馆 扌 固

v!!1 Co`Irc” rs

6Gi艮 CiKulauon a】 Id chari〃 In thC Haa and ROman Emprcs I21

,ft】伙″ 9i/n沼 Eni/o

7The Monetary svstems ofthe Han md Roman Emptes 137

lⅡ‰Jrcr s‘ heJrlel

BlbLography 209

lndex 229

Contents

Cont【lbutors lx

ChronoIogy 斑

【ntroductlon 3

WfJlfcr s‘ 儿gdcl

l From由 e“ Creat C° nvergcnce” to the“ First Grcat Divergen￠ ∴

ROman and Qin-Han state FOrmation and Its Altcrmath "

WhJ|″ Sclle,'e丨

2W处,state Formatlon,and dle El/oIutlon of Mn】 tary lllstltu11ons

ln灿 c∶ent China Bnd R° me 24Nofhc扭 Rosc,,‘ ″氵″

3Law aΠ d Punishment△ n the Fonnation of EmPire 52

翔 rIl,l TI‘ r,Ier

4Eun∝ hs,Womcn,and ImPerial Couns 83

3〃h`切 H砀 冖`n乃

咖 r

5Commandlng and Con$uming the lVorld:Empte,TrIbute,and Trade

in Roman and CllIn6cH芯 ∞ry lOoPcrcr Π凸,ger B“ j,g

Contrbutors

pETER F∶ :IcER BANG lsAssociatc Professorofl“ to〃 atthC Un】 versityofCopmˉ

hagen HIs research focuses on由 e comparatllc economlc h】 story and PoⅡ ucal

economy° f eady empIres,He ls dle author of Rof,,'"B四四σr^Co,,,p四 印`Iyesf“dy or rrn洳 n,,'MIIrR豳 I,l四 TrIJ“rnr/助叩

`″

lz∞8)and o w【 ,rkng on a

comparatlve study of由 e ROman state衤 nd Patlmonlal go⒕ rnme“ He has also

Poblished a number ofa扪 des on the c° mParative historv of eady empires and

o the∞ cli加 or of由 efonhcomhg E,nPjrs l’ I Co盯″″f,om lW1dl Ch诸 Ba/lyl and

rhε o×f。″马%″汕ook O/汤 ε^″

cjε″Fs杨fe(wldl V涮 ter scheldel)Hc chairs the

management∞ mmice° f the EuroPean rcsearch netivork“ Tnbutarv Empires

Comp扯护 tllat c∞ 记lnates∞ mpamuvc欲udy of the Roman,Mugh扭 ,洫d0tto"an empires

M浊 :AH D田 TEWHOFEⅡ ls Professor° f An0eIlt ILsto〃 时 thc UnIverslt/

of Munich Hcr research tocuscs on Roman political and court乩 story,gendc△

and△Ie comparatlve h“torv of Rome and Han ChiⅡ a shelsthe au曲 or of Per

泷fn J,‘ s/e″ 砌⒌zli,och召″ den Ccm饣 rnfIo″ e″ I,o饪 臼 西日r‘ Jm扌

^jjgl‘

泌 (I992)and

H″ rs油旷 ″″〃幅 d曰s仫″″ i〃 夕!lg“ 5fe打 cli纟 ″ Pr扌

"c”四″Dl。 掏 ″k“″￠”zz,vlsCllε 〃

rcs P"0Jlcr"”

'doJ,IΙ

‘

^η眇 仞 l,∞0)and the editor of Rcf,lε M勋 〃ε阝日rJIo

Frm〃 e″ im M。 ,lfIc″ 0羽 J,∶ e,J洳 r“ ″汀如 ″ I0cJf(19叹 )

饫RK EomARD LEwIs o Ki1· ohˉ 飞ng LI profess° rin Chinese Culmre at stanˉ

ford UnI△ oersi0r He sPeciaⅡ zesin the hotory ofanoent Chha and o the author

of助”c|,°

"朗Ⅵd纟″″访助 ,J,,Cll初 n(1990l,Wr订 枷g日 llo AlI砒°″Vm助 矽

Chj″四(109叨 ,助eO″s扛″d口饣ofsP日″而助rJ/CJI勋 n(200⑸,and珈e Flo泌

M/rJl‘ or￡ 0rly clii刀 日(⒛06)He has recend`completed a seies° f threc books

on tlle hlsory°fearIy Chinesc cmplrs,F%口 助 rl,· CJI`″6ε ε〃pjres;Qi冖 日″'HtI″lzO⑺ ,B酗狲 E,,IP氵 咯 TlJε lVorrhcr,l口orJ劝IJfhern I,yfIfIsⅡ 弱lm Pressl,and a

forthc° m】ng sequeLon由 e Tang perIod

NATHAN RosENsTE:N芯 Professor of Hotorv at0hio state Unlversi艹 HesPC0a匝esin Roman mⅡ taq Pol血 c缸 ,and soo峦 hotory,and‘ the author of

乃〃P召″沏lcs V,z+Ⅱ VfIJ氵忉〃D句%日艹″〃'^ri‘

●orm|lC C口 婀pe″″o`i氵

"而召加饣茁刃e日″

'

C° ,￠汀乙“`ors

嬲

`l∶

;:∶ |刂狩絮t|{∶

∶ia∶ I∶∶{}∴∶∶{∶"拷‰l∶。∶∶∵劣凭篇笱Ii{{∶

(2006,with Robert Morstelnˉ MaR)

`V^LTER sCHEIDEL ls Professor of C】

assics and,by courtfls弘 Hlstory at

stan细 rd U,liversi吖 Ho K‘earch foCuses° n ancient social and e∞ nomic hIsto%

Premodem hlstorical demograPlly,and comparatlve⒛ d transdlsclpltnary world

hoto吵 He has authored or(coledlted nhc o由 er books,lncludlng MensⅡ ″mg

s已s Age,n″ d De.n砒 i″ ″】饣JRo,,In″ E,,lpjre(1996),D钷 砒 o″ Fl饣 A’,J⒏ Dlsε 口sⅡ 冖d

fhe De″ IogrnPl】,·

orR°″InⅡ Egyp`(200I),DeD夕 Ⅱ,昭 Ro`″ 伽 D口Ⅱogrnphy l,001),

Tlic Cn,,I乙″旮 君co/ol,i沱 H0for,Of″ Ⅰe G〃 ro尕onl.n,,ll/c″

'(2007,v△

/lth lan

Morro and Rlchard salleθ ,and Th召 Dy,】 n,,il阝 orA,lo纟″‘E,Fpj磴 sfn饣 Power

rroPl玷 v″n∞ B,zn″订Ⅱ羽 (2008,w⒒ h Ian N1or“ s)He芯 mrrcntˇ edking确￠

om9谰 妒 Co″ Pn,,汤Ⅱ幻 汕纟Ro″o,I EcomorIy,rh￠ oV。 rd Hn″ d西ook of贝研,I。刀

s抑茄阝 l· l⒒h Alessandro Barchk“ ),and Tlle ofo″ Hn″

'bo口

k orJIe Af9‘ 佗″`

srnJc(w"b PetCr Ban吵 ,and w【 ,r⒗ ng on mon【 lgraPhs on anc诒 nt emprcs and

anoent demographV

KAREN T刂 RNER o the Rev lohn Brooks ChaIrin the Humanlties and Profesˉ

sorofHistoryattheCouegeoftheHolyCross HcrworkfocuscsoncomParatlvc

kw,Chinesc kg龃 h‘ tory,V讵 tnamese h“ tory,hw and human ogh‘ In As谄 ,and

women and wa⒈ Her PublicatIOns uldude厶 ·c″ 而e Wo″ 纟″0rj氵‘f助沙″δ亻g,,】 o″‘

,rwar加″,No栩 hl/l召加n,,l09朗 )and rl诏 Il,,l,r● orf幻gR″ 扫orL“w加 Chl,lo

(2000),as lveⅡ as numerous articles o`compamtwc kgaI hIstor” women and

wa巧 and women· /elerans in Vle1nam she produced and directed tlte documen

伍ry跏 H,dde″ WnrrJo‘ lFOIccs加〃 油e Ho ChI WIl,,而 rrd″ and。 currendy

worklng on a book on the origlns oflaw in Chlna

Chronolo趼

‘1600-GlO45BCE

G1045-771BCE.

77t△ 256BCE77【 △08IBCE

770B,CE

551-479BCE

403-221DCE361-338BCE

316BCE247-210BCE

230-221BcE

221-206BCE206BcE矽 cE

141-87BCE歼Ⅱ cE

25-220cE

zzO-ss9cE220-265cE

265JI6CE304-439cE38⒍与34c.△

535-581cE

58⒈‘∶8c厶589cE

shang Dlmast/

Western zho“ Dynasty

Enfe弱陆ent of Qln Ylng(∞ nventional date)

Eastern z~hou Dynast/

sPnng and A“ unlIl Penod

Ennoblcmcnt ol Qln Xlang

1ife of Kong Fuzi(Conftlous)

(conventional dates)

Warring stdtes Period

Reiorms ofshang Yang血 Qin

QIn∞ nquest of s】 chuan

Reign ofKIng zheng ofQIn(z’ l-210BcE as

QIn shi HuangdD

Qin conqucst ofthe other、 hrrhg states

QlIl Dynasty

Westem Han D” ast/

Re鸠 n°f Han弧`d:

Xin Dynastv(reIgn ofWang Mang mtu zs c E)

Eastern Han D卩 as〃

peri。 d。 fDlsunion(sLx Dynas刂 es Perlod)

Three Knl酐 oms pe“ od

lArestem JlIl Dynast/

sLxteen81ngdoms PerIod

Nonhern We1p阳 as〃

`~℃

stern VVci and Northern zhou D” asties

su:Dynas〃

sui conquest ofsouthcm China

斑i CJlˉo″oJo岁

618-907CE

90`J‘OC庄

960-】 276CE960-1126CEI12`-12'6CE

1271-1368CE

l“卜16妞 CE1644-19I】 CE

RoME

`53-slO BC EG650-60OBCE

∞旷夕 oCE396BC,。

32⒍夕2BCE264一 l亻6BC.E

215-168BcE

lg2~188:cE206-133BCE

133-30BCE

88硝 4CE5⒏5IBCE48姐 BcE43-32BCE

2'BCE035C~E

23s-284CE

284-305CE284-‘02/641cE

306-337CE313CE

325CE

%鸭 D” as″

Flve跏 gdo,ls penod

soⅡg Dmastv

Northem son8Per】 odsouthern song PeⅡ od

Yuan D,Jlasty l△Iongol砂

Mlng D” astv

Qtng D” as〃 (Manchu)

Fmnda讧 oIl of Rome←owention胡 datel

ROman rcgal period(coIlventlonal dates)

Emergence of Latul o〃 state culture

Roman RePtIbllc(conven刂 ond dateω

Conque≮ ofS/eⅡ (conven讧 on献 datel

FuⅡ control over Latium

Wars ofc° nquest ul peninsular Italv

Wa‘ aga伉“Cartnage

Wars against Maccdon

War agaInst the se1eucid Empire

ConqlIest ofIbenan Peninsuh

Period of cIl/u wa阝

sooal War agahstItaⅡan aules

XVars against p。 nttls and AJmenia

Conquest ofCaul

Dictatorsho ofluⅡ us C狙 sar

s∝ond Triumvlrate

Formal restoration° f由 e RcpubLc

PruloPatc← arˇ lmPerlal monarch,· )

Reign of炯 gusttls

Pe^od ofthe soldlcr EmPcrors

Reign ofDiodetIan

L孜er Roman EmPirc

ReIgn ofCoIIstanme

Formal toIσ atlon and bcglnning of state

suPpo“ for Christiani〃

CouncⅡ ofNicaea

Establishment ofC。 nstant血 oPle

Ban of pagan lemples and sacri员 ce‘

FinaI separatlon of the eastern and lvestcm

halves of the empire

C’,ro″ oJo8y 丬iⅡ

4】 0CE sack ofRomc by the Goths

476热80CE Termlna刂 on ofthc Western Roman Empire

527-565CE Reign of lusdnian

s3妈 s0CE %st Roman wars of K∞ nquest h the westerⅡ

卜ζedlterrancan

60"zg C E~ VVar agauist由 e Sasanld Emptc(Persiω

“⒋ 7】 8CE Arab inva“ ons

800CE Charlemagnc αowned Roman EmPeror

962CE 0仗 o I σoWned Roman EmPeror

1204cE Crusader conquest of Constantinople

1453CE~ Tullosh conqucst of ConstantuloPk

1806cE Dissolutlon° fthe Ho圩 ROman EmpIre° f

Geman Na刂on

End ofthc Papal sta1e

Τ

°

°8c丶

一:一

一△

≡

`一

涅

丶窗

r/J扌 r。

'仍

c历o竹

Waker scheidcl

THE“ Ⅲ丈。ry°f血 eL扯er Han D”asγ”rcporto伍c cu“ oⅢ sof Da

Qin,° r“ Greater China氵 a dot mt lcalm near the western enns ofthe eanh Its

inhabi佗 rits were Iall and shaved thclr heads,l,·orc embroidercd clothes,and

Phntcd0屺 vorm mulberry订ees Thor ruIer occupied6vc palaces whosc col-

umns were made ofCrystal砂 ass wa「 ,。 fnatural disasters dlat would require hnl

∞“eP down and be reP aced by somcone dse,he阳 s knrlwn to hon【 ,rtho con-

lenu。 n wkh。ut complaht That曲 cse features bear no dlscerniblc re义 mbIante

t° the ROman EmPire as we knoW it may wcⅡ ha彳 somethlng to do with thc lad

that a。 ccss to thls remote place was incon· /enicnt【 yb1ocked by“many1ons and

fer∝ loustigcrs which interceptand ham tide【 er⒌ ifthe P盯〃d°es notlndu洳

oκra hund.ed men rt· rnished with arms,they are invarhbly dex· c ured氵’Roman

。bserwrs faced a s】 pⅡr prerllcamen← for由 em,the臼 stemmost reath6ofAsla

lvere“not easy° f acces$teW men come iom dlere,and seIdom'This made"

df|,c,llt to voit the seres。 r“s酞 peoPle;’ atheibts who llved佰 r morc than os/o

hundrcd vears,occupied themsc11· e$with scraPing snk疔 °m trees,Were丘 erce

and warIike as wen as墅 n刂e and pcaceil】 ,sPor弪 d bllle eyes and naxen hal、 mdnel/e【 taked lo stranE;ers=

2Dimtuk水 ce骚 σκ田″F,愆而o″ ￠ r″ eE。讪 rco"t· i‘ {‘ n阝ttemu吖 c【 l mh“‘ Kl殓“n0o罗 nc‘

嘁黼 黼 揲鞲黼奏Ch△ na were bound to appear to visitors ffom medieval Europe sllCh as Mafo

鞲挥鞲斟姣鞲槲 鞲蝌 掇 :

∶瑟黥f邕盂F扌盟萎菇l五s堪:盅;;母:∶∶吾lⅠ:∶f黑扌盅:瑟

∶∶:∶:∶∶I∶∶1旧茗:l∷踪;∶l扌星嘿罗溆漶爨 :∶盅驾骂

炖击 藤 anc6呲F∞ 0great∞ Pσ Illlt these kLlds“ com侧 son⒌

,dlc Ove⒈

land route iom Chan矿 an to the MeditcⅡanean coast wound its way across

4,5∞ mΙ1cs(7,00Okm)ofstePpe and mountains,△ hue ei/en the most dlrcct sea

鞠Ⅳ黜f露黼 蓝琪藁枷菇鞲

伽rro'“ ‘`lo″

5

htrC口d钪 termedane⒌ sJk,jads and lron o叻 ccts from Chna,Ⅱ ne马 ghss,and

勘?sum钉 om the、】editcrranean4

Modcrn students of anCicnt history hal/e no such eκ use W九屺 ⒒nguls

tic rcqu△ emen‘ and acadcmk convcndons∞ nthue to impedc cr【 ,ss cultural

research,a1.a欲 amount of readlV a∝ esslble in的 rma“ on lnv· Ites a compar⒊

tiw approach'Yet ei,en toda弘 “holarˇ interest in∞ ntaσ and exchan莎 ,In the

°”ectsand mechanoms ofthc“ ans∞nonentalItlxury tradc,and ln tlle∞ ncur-

rent transmlssion of suPernatural bckcfs and tcchnlcal skius dramatlcaⅡ y°ut

welghs1he amount of attentlon pa,d to the potent∶ al bencnts。 fc。 mParatlve

anaˇ s。 The grl,△qng p°Pllarity of“血k Road studies” Is emblematlc of this

imbaIance,which,for aⅡ ⒒s pcrsistence,has aM唧 δbeen hard to” so即

R o hard to jusd即 oecause onl,· ∞mparlsor,s with odler c"Illzadons m狄 e

⒒possIbk to dlstulguoh common features佥 om cukurauy sPeciflt or unlqtle

charade“stks and de1· elopmen‘ ,hclp us ldenti印 variabks曲 at lvere c“tlcal to

partictllar bistorkal outtomes,and a⒒ ow us to assess the nature of any glsen

anclent state or socle〃 耐血 n由e说dcr contcxt of prcmodern world histor/

Compara‘ s·e hoto〃 can take many foms ForI】 lstance,sclcial sclen刂 sts have

dotlrlguohed bctlvee,· l“andvttal compaosoⅡ”

bem· een equlvakIlt unlts for

the purpose。 f lde"i印 ng uldCPendent variablcs that help αPlain∞ mmonor contrasting Pa扛 crns0r occurrences,and“ Ⅱlustrotive comPa“ sons∽ bemeenequivaknt units and a由 eory or concept tbat evaluate evidence∶ n relation to

predlcti⒕ theory rather tr,an Particular units in rdatlon to one anothcL Othˉ

ers think ln terms of“ ParalIel demonstra0on ofthcory” (cquIvalcm to“ Ⅲustra-

tiw compa“ so俨 )that aims的 r thc empirical venncati。 n of theorv,“Contrast

of∞ ntα‘”that sllows how the unique走 aturcs of partictllar cases afect the

unfolding ofcommon s【 ,tIal Prc ccsses,and“ macrocausal analvsIs’ that cmploys

comParoons lIl order to draw causal lnferenCes about macrohi‘ toocal Processes

and struttures and,ldeaⅡ ≯to generate new thcory0thcrs stⅡ advocate“ uni-

versaLzug;’“encomPassu,gF’ and“varlatIoⅡ nlldIng” tcdniques‘ Most actual

work l,lthls area has foⅡ owed a戈 ase oriented∞ rather than a“ variablc orIented”

approa.h that vicw‘ hlstorica1Ω ses as connguratl。 ns of characteristics that are

to bc rc1ated to Particular outcomes’ ComparatIv· e histor阝 by its very nature,

9bⅡ th泅。gh mul:lva石 ate“ 仓“‘刂CaI刨 d阝 K

6 Ro啊召″Id Cl,j`:″

ls not abotlt“ kws” but about曲 e search for what h孙 been caued“ r。 bust proˉ

cesses;’ denned as c。 mb】 natlons of characterotk i血 dal∞ nditi° ns that produce

苫 盅 甘 黥 揣 :圪渫 找 Ⅲ 找 黯 蔬 璐 $ducc“ milar outcomes,or VlCC Ⅱrsa In other wo记 s,∞mParatIve h“ ory uses

豇蘸丁耩屋E麒蒗醒遐壬露扌罪旺搡黼粲 ::;Ⅰ亡Ⅰ;癯、咖背盅i艹 s茹柒va“ ables【 ,r conjunctures and to suPPon gencralizatIOns In the present case,

howes/e6thc absoIute scarci0/of what wodd· Wstcms theor:sts would Ca⒒‘‘c° reˉ

黯;;Ⅰ:ξ:絷骂荐瑟:、窝fl赵带:展r默渊 哏

absorPtion° f all or almost au stateˉ IeveI politics ln thelr resI cctIve eCoIoglcaⅡ y

bounded macroregions cnsures dired comParabuiγ h lerms of observation as

weu as a∏ alysi⒌ both proceed at the(very)macrosooallcveI of由 e eⅢ crg】 n8or

maturc nearˉ moRopoustk superˉ ‘tate⒑

As I hale alrcad,· noted,dlo叩 proa。 ll has seldom bem扭 opted ln modern

schoh阝 hlp Moreove△ 扭tll【 ,ugh sclme eˇ lkiu,· ∞mparatI△ ew【lrk on Chha

and由 e Meditcrmnean ln andqui〃 has appearcd lll recent years,⒒ 、verv hcavl-

h拮 甘 :缸罗Ⅰs毖:捎 :r茭 t扌:∶iJiiI;;∶ 〖f:紧 黑 lJ昆&Wt描China The most promhmt and proⅡ 众c proPonent of th;s line of hquiry has

been Gco珩叩 Llo,d,who hns pubhshed no fe△ ·er than s议 books on scknce,

medicine,and ways of understanding tlle wodd血 thesc c,N· o enVironment‘ "

A smaⅡ number of other scholars have produccd comparauve lvork in related

areas⒓ Frit⒎ Hcincr Mut“ hler has shown particular lnterest in thc historloˉ

graphIc,△ hradltlons ofimpe“ al Rome and Han China B

lr冉蚤扌i带If遐抽撼瑙联弼黯驸硼碳ll搀耀擗田 c苕

贺J扌 ;景秽r::,{F+;:1i;gu sh‘ 1et,,ee卩 bbser咄b^山耐 、xdin诅 。n un O“ 邙 e9the而 p°←

弼苷i婴 鲫 襁 萎晏萝丧菇】臁姐芈谎;￡品卢铹F::∫f器 ::击扌

′揣 :rl:Ⅰl∶FⅠ;;∶:叫J浍焱紧f背Ψ‰7

r9Frod:f‘ 忉o" 7

At the same tLme,∞ mp征atile studlcs of polldcal,mdltary,soCial,economiC,

or legal血stitutIOns have remaIned¤ 扯e皿 ely rare Ⅱ The∞ mParatlvlst l,lteres‘

ofMaxM泥bes Karl Wi∮ fogeI,shmuel EIsenstadt,and samud Flner havc hadlittle

impact on the rescarCh agcnda of specialist historians in ei由 e,丘 e⒙卢 Recent

histori∞ socloIog】caI studics of imPenalism and social power that deaI ln山

ancient Creecc and ROme comparatis· elv and wi曲 in a broader∞ ntGo do not

norma⒒ y poy much a讧 enuon to c° ndItlons in China“ C° ncrete case⒍ udies bv

ProfessIOnal histooans are alm【 ,stimposslblc to nnd Hsing⒈ TIen、 unPubushed

d:sserta心 on on thc pditicalro1e ofthe Roman and Han m山tary、 the onlybook

len莎h“udy that comesto mlIld More纩 neral but sho“ er∞ mParatil/esuw叩 s

by Gunthσ L°fenz,Christian Glzewskl,and samuel内“head have reccndy been

loIned by a“ mdar∞ otrlbudon by Mana De鸵 cnhofer but ha△·e thus far gencr

ally faⅡ cd to generate乩 rther debate⒘ Itis emblematic oftlle idcational focus of

e蛀‘ting resca:ch thatthe mostambi刂 ous Prolect to date,a substantlal coucc刂 。n

of PaPcrs Prepared for an htematlonal∞ nfereIlce on κbncelvlng thc‘ Empire`

Ancie斌 China and Rome-舳 【ntercuItural Comparison lIt Dlalogur hdd in

Germany h2005,dea、 exclus⒒el,vvlth弪 对ual and artistic representatlons and

rcnecti。ns°flarge scaIe state fomation招 Vidoria Tlnˉ bor Hu1、 recent Po1i‘ ˉ

cd stIencc anal,· so of balanong mcc乩 nIsms ln lA/a口 ing states Chula and early

modcrn Europe prox/ld锱 an attraCt″ e modelforthe comParati沂 study of Rome

and Cllula but escIlclvs a synchronk aIlproach⒚

The prescnt volume o thc nrs:h a scries of works to engage ln the∞ mˉ

Paratll/e institutional“ ud,of ancient ROme and earl1· China A few years ago,

and,niaR h‘ P,°d° ced s° meo“ n讪Ⅱ crts议 u“ ja,o`k“⒋h够 h哪‘k△ hrgcⅡ btcr"mΙ ed to诋ε"ˇ

15Xs· ber l9B0,199⒈ 、,/1tfoε d⒚ 5⒎ El出nsladd%亠"ned。

。7The‘i,arⅡns s1仓 t6Pro9ect· J汛e un"eⅡ

`lo"汨诋卩c曰 lc叱 了aVs hto ωmparali,t lslof● hilse1Iel-e lclttd lll c“ Po阝∈“它TtBsa"l9,g on Puta

叮hlri ln饣 rⅡ al on赳 Con臼 rcncc o,八n6en【 Hb∞,at Fudan tin,eFs!t,ms“ n吵al Ⅱ Au秒岐 ’x5sho1okd

∶∶:∶ i∶岁絮l罗鞯帘留t∶撄 ;∶ l∶∶苜芒揣瑟撬噬瑟片11扌嘿has three Prinopal objectiYes:

don仓 nd associated developments l】 l eastern and western Eurasia wcre

in“rumentalin deferminhg the n改 urc ofwh。 t has bcen caued dle“ Gre蓟

搛 谶臌 黼 亵茔巍髭萁

漶 寥找骤硪 骡1r嬲觜 找i毖甓蹴

扌置摹孽搀忑胥芒茁蛋r茧王§l〖癯 艮鞲 堪

姘罨T崔:乱絷t鞘拈茹獾1r属圣抚f况黜J驾盅I

α扌:出冕孓找撇啼;瑟翌FJ搽抚昭滥r℃褶

f,】 rmdⅡ cⅡ o″ 9

Their comparat"e Perspectlx· eh0ghtens our appreoation of“ milarides as weu

as di伍σenc6be柳 een the RomaΠ and Chinese αpenences that o cruClalto th0

endcwor withoutit,cattsal analysis lac炻 vital contro‘ Atthe same tinc,these

con“ lbu‘ onsshow how much wo钛 remains to bc done The sequd lo tlll。 Yd-

ume wi⒒ rcturn to some ofthese osues Whneintr。 duchg add】 ‘onal由 eme⒌ thc

ch缸 acter and钆 nCtioning of di¤ 、rcntlcvels of imPerIal rtde丘om the monarohs

tO statc o茹 0als and bcal ehtc防 tbe a∝ Ommoda0on and;nstrumcntalizatlon of

rehgIO△ s bellets by tlle state;the politicd and economic dinension of urbanom;

and the relauons beb,· een sel← prodatmed“ universal empt6” and their pciph

e⒒ es:In a forthcoming monognph on state soCie〃 rela“ onsln anCIent ROme

and China and theirimmcdiate successor st敌 es,I Wiu deve1。 pa mo四 sJqlthctiC

aCCount of many of these features by assessing the changing con员 gurations of

polltkal,mⅡ iur≯ economic,and ldcologtral p。 wer∷ In add"ion,nly colleaguc

Ian Morro and Iare Pl。 nnhg to publlsh the resuIts of b··o sepa【ate meetings that

dcdl with d证 呜en“ rends in eastern and western Eulasian state brmdtlon sinCc

l。 te antiquiγ and thelrlong tcrm consequences犭 Earˇ pe。。ds of hIstory also

°ccuPy a Promlncnt p。sition lll Moros’ sc0mparat铷 c study of soodI dexelopˉ

mentin we$tern Eurasia and China飞

Together with砾 e present/olumc,d· ese forthcoming studics art mcantto∞ n

trlbut~· totheCKationofab,oadcr framewo钛 钇r the studˇ ofPar‘ cdar re鲈 ons,

periods,and processes Llat transcends thc histoical specmts of th。 se reglons,

pcfi° ds,and proce$cs Thev arc also meant to lhk up lo the e筘 orts of other

Cross△ dtl,ra1l1· oriented conabα ati沂 in⒒ htiws sLlCh“ tbc EttroPean research

nebt· o依“TrIbutary Empires ComPare汀

’which juxtaposes devdopmen岱 h the

Rom。 n,Mu吵 蔽,and ottoman empi6,and the Unked炖 n酎om几孙ed“ Netˉ

,sork on Ancientand Modern Imperiahsms” =;庐d thesc e仔 orts are neccssary ror

cleatlngabaslsrorⅢ ul‘ c8se comParis° n⒌ largersamples mak k easierto design

and fe“ catlsal h叩 otheses and,h time,m,△ Y eVen auoW ust。 c。mplemen1case-

。riented∞ Ⅲparisons witll varlabk o“ ented analysis of premodern h芯 torical

sooeties A generatlon ago,Moses FinlcV mused that“ h]deall⒗ we should creatc

a thirJ d沁 cIPhne’ in addition lo anthrop。 logy and sociologyˉ -“ the comparaˉ

t"e study of hterate, pKˉ hdustridl,hlstorical sooetles;’ and sugg“ ted“ preˉ

Maolst Chha,pre~olonldl India,med凼 d Europe,pre Fx· o⒗Jonary Rus“ ⒋

、晌

"dfom虹Ⅱ “吖 m!山eT an蓟 loo⒃ 、bdt‘ nir,2009· 0⒆ 而雨叔ed” Pttt,Ban8and ft nded b,曲 e Eu⒑

Io Ro/ll￠ 口`】

d Chj刀 四

and nothing to⒗ se佥om broader PersPectives

Fro锕 汤 召“Gr召伢F Co彳 vcr解 彬c纟 FO r9,召

‘1卩讠rs扌 G昭 伢扌Djv召 r黟刀c召

”

Roman and Qin-Han State FormatIOn

and I‘ A贪ermath

、Valtcr scheidcI

l TW∶ N EMpΙ REs?

T·vO ulousand/ears ago,perhaps halfoftrlc en‘ ie human sp∝ i♂ had come under

dle control ofjtlst“ 恂 po褪阝,dle Roman aIld Han emP廿 es,at。 Pp°slte ends of

Fllra“ a Both cntIo6vlere broadl,/slInⅡ ar h饣 crms of“赞'Bo伍

of them were

rLln by godˉ JIse empero‘ resld血 g In曲 c扫唱est cities伍 c world had seen so昆 ‘

lI· ere made up。 fsome l,50O to2,000admlI· istr。 ur dlstric‘ ,and,atleast at umes,

mpb烬d hundrcds of thousands of solclers Bo伍 states lald claull to ruIing the

wholc wodd,or乙。″/r,。 m″ and″″Ⅸ掖,whⅡc both encountered sunⅡ ar compe心

t妯 ,l for surPlus bct、 veen centrd goverrun△ ent and⒗ cal eⅡtes and s1naⅡar prcssuˉes

爹pen控 d昕 sCcondaP/钲 atc forma刂 on be,ond ul。 rf。nuers。 Ild mbscqucnt

￠barbarlan” innltra№ n Bo曲 ofthem e· ,eB cnded h s血 Ⅱar啪阝 one h砥 the

orighalpolItkdtore thcwesthEurope,伍 e nortllin tˉ h“a-ˉ ,〃‘贞r丈 ,vcakencd

by wadoldom and then taken oxer by“ barbar路 n” successor statcs,Whcrcas d,e

°ther hdlfwas preseR,ed by a tradidonahst regime It was on】 y各om the late sLxtn

Centur/C E onwar【 i that dlc“ vo tr犭 ectories of state佑 rmation began to dlver爹 ,

slow灯 at nl孜 but m∝ e dramaticdu· /os· er tnle,beo△ cen dlc qLJc缸 restontIOn

ofa Chh犷 ls/lde empire h ule E笳 t and山ed∝1he ofempire and centml govern

ment血 伍eW0st、 fo⒒ovved by thc slow creatlon of a pol,ccntric state svstem that

proved reslstant to my attemPts tO Jnpose hcgemo乃 ‘let al° ne un⒗catlon,⒛d

ultnlateⅣ OⅡ al,· ed“ to thc nowˇ famⅡ ar dⅡ ter°fmoder∏ nadon欲 ates In teⅡ ns

12 Ro″ I召 Π,1'C′ :i″“

ofst斌 c☆ ze,statc caP∝ it,,and statc hstituti° ns,Nve obse卩 ℃a prol° n旷d process of

gradud cOIl△ ergence Ⅱ祉hsted for ma吖 centu。es bLl w峦 evenluauy re莎 aced”

a Process ofincreashg dlvergencc that∞ nunued血 to the early"entieth centuⅢ I

a唱ue that tho allo△vs usto spcak ofa“ Gre,it CopYergence” thatsPanned the endK

丘rst mJIennium B c E and the nrst half of由 e nrst mⅢ ennIum C EⅡ untd a“ (First)

Grcat DI△·crgcnc圹 began to unfold ffom aboutthe sLxth Cenulrv c E onlVard=

ENvIRoNMENT

As far as the e。 ological context is conccrned,both imperia【 en“ ties sharcd the

tllndamentaI requl/ement ofbeing located w⒒ hin tIle tcmPerate zone of Eurasla,

lvllich thanks to its chmate,nom,and fauna had long favorcd the del/eIopment

of sooal∞ mple妊〃and h呜 C PoⅡ desJ The Ⅱo emPtes dso hadin common a

div沁 ion into ovo dilqerent ecologlcal sphcre⒌ in the case of Rome,a Mediterra-

nean core and a conJnental European northern PerlPhery,and,ln Ch血 a,a loess

and rivcr p1aon core and a ho试 er and· setter southern peoPher`In both cascs,

albe1t weu a丘 er the cnd of antIquIty,thclocus of dc,· elopment eventuau,sh诉 ed

into lhese former Peopherics Howcvc‘ 由c en"r【 ,nment also a(counted for subˉ

stanual diBkrences,m。 st notably the f。 tt that tlle R° mα n Empire centc【 ed on a

temperate sea C0K伍 at was hIghˇ conduci状 lo communication,thc transter of

goods and PcoPle,and the Prtljcctlon of powe‘ whereas Chlna consists of river

valle/s tllat are separa侄 d by mountaln ranges and,at least Prlor lo thC creatIo∏

ofamb"ious can甘 sxstems丘 om thc slxth ccntu吖 c ε onward,posed幺 r greater

ph,· sical obstacles to integratIOn lvlore° ve‘ Whercas the main lvestern riwrs such

as the Rlldne,Danubc,and NⅡeconwrge up。 n theinnersca c° re,Chinese ris/ers

all n。we孙tvVard,thercby reinlorcing regionalseparadon In view of tllese df胎 r

cnces,one mlght slIspect that cε 馆rop四 r,D“岛wcstcrn Eurasia was morc瓜 ely to

end up po1it:cally united tllan its castern CounterPart0n由 e°ther hand,China

is more compact(in terms ofthc ratio ofsur佰 cc area to bor【ler lcngth)and sc〗 〔

contalned,well shlelded by mountains and sca on three sldes,and open only to

the arid CenⅡ al A“ an steppc By contrast,the temperate ecumene in Western

Eurasia extends tlvlce as far westˉ cast铴 m thc Athn“ c ulto eastern【ran and

is endolved with a much more Permeable fl。 ntier to the northeast that used to

faclutate movemcnt by agricuIturalists and nomads alike Xsle must ask whether

and to what ekient these c° ntrastlng features helP‘ count for the Fact that whⅡ e

tllc Chinese%ore” (conscn a刂 vely de且 ned as the regl° n controued by the Qh

EmPte atthet咖 e oflls m钿 mum exten“ on tn214BcE)was un:ted ror936of

14 Rtl`″ cn"d ClI氵 ″″

fourth and carˇ thind centuries B C￡ ,aⅡ oS· er Ital,· for Rome and exPanslon lllto

⒌cnuan IIl the tas召 ofQin0nce agaIll,th、 grow伍 occurrcd WⅡ houtt五ggeong

:}::∶甜:庋垩lⅣ∶;钯嘿茗盅报蒜}扌&蕊::;忑}劣盆

Ⅳ刂Wj兵瑕l菇掩显羿委链嚣菇星lF瑟玉豇嚣

i呈

;i氍r脚【l∶嘎摆挲l∶:11甚 1ⅠrΙⅠ∶;f岔 i茗谳l11莴ccnluries B C E in Rome and IIl a more comprcsscd forlllat in由 c thlrd centu叩

Bc￡ in China In both c孙 e$,hegemo呷 preceded direct rde,al山 ough the proˉ

tobure洳σatization of Qln佰 cJitate i more raPld outright anneXat,on由 an the

much more止 mited adminotrative caPabⅡ ities ofthe oⅡ gaKhic regImc in Rome

Also in both mscs,hrge‘cdc conque欲 trlggered v· lolent dclju“ mcnt Processe⒏

in the East,a shi丘 丘om thc“△va⒈ maChine” state ofQin to theIess overt灯 Central~

ized rcg血 e ofthe eady Han,and in the West a more protraded traIls尔 ion that

Icplaced Ihc estabhshed oⅡ g红chy with a mdlta〃 monarchy0wing to the morc

profound character。 f thls latter shi丘 ,connictln R。 me was more sustalned,blIt

in both cases the rcsu⒒ was tlle samσ a monarc” widl,dt kast at6rst,strong

aristocrat;c particiPation

The丘丘h stage,in the nrst bv。 cσlturies c E ln Rome and命om the second

centu叩 BCε ∞ the se∞ nd centu〃 cE ln Han,was charaderIzcd by“ olnng

αpanslon and incrcaslng ulternal hom。 genlzation【 n both cases,we w∶ tllcss

lhe stren登 hCning of p°wer缸 llocal clites who cooperated with the state but also

constrallled ks range° fa山on tho Process w亦 ultermpted in Ph灬 e6b`lvar

Iordlsm and tempora叩 Ilagmentatlon in thc thlld century c E,a crisis that was

more read⒒ y co∏ tained by dle Profcss:onal mn讧 ary°f tlle ROman Empire than

bv the s1.· ado记s ofThree K】 lgdoms Chha The scvcnth phasc Of attemPted re⒌

toratio∏ Was much morc Prolonged and atlcast temp° rarⅡ y successftll in Rome

thon in thc interBalˇ rl△ en state of lln but ln boLh cases ended ln ba,barlan

conquest,iom the eady fourth∝ ntury C E ul northern China and6mm the

eady n丘 h ccnttl〃 c E in the we“ ern ROman EmPirc The subsequent pha矿 8

sals the alreadrmen“ °ned dW0ion in∞ rumP statesin thc Roman E小 tand thc

Chincsc south and“ barbariar’ succc甾or states CIoser to the northem0ontlers

In both cases,conquerors increasingˇ merged with local elites,and transcendent

rdigions that daimed autonomy缶 om the statc一 Chrisoalllγ and Buddhsm-made consldcrable progress s汰 h ceIltury c E attempts at reunlncatl。 n were

moresLlccessm h ChInathan h tk Medlelrancan HowcwⅡ k was on″ afte⒈

word,in phase9,that des/cloPments丘 nally d"erged sharPl弘 bebveen thc Tang

consohdatIOn in dle Eastand the nea「 destruttlon ofthe East Roman or“ Byzan-

une” state by Perslans and Arabs and thc subsequent polltlcal丘 agmentatlon of

F,o羽 ·ll召 “C″nr Co`I、 `e召ε

"″

”∞″】e“Π阝rCr钶 fD扌 vε昭纟″“” B

the Past2,220vcars,or42Percent ofdle timc,the corresPonding tauy f。 r the secˉ

tion ofthe western eCumene that was under Roman rttlc at曲 e deatl,ofAugllstus

h14c E ls perhaPs three and a half∝ nturlcs,or mereˇ 〗8pCrccnt° f the past

l,998years4More imPortantlv,for thc past s,iXieen centtt0es,the latter scorc has

bcen exa‘ t灯 zer。 onlytbe Vma〃 ad EmpiK e攻 r managed to stretch allthe way

f|om the A刂anuc to thc Indus,and that onIy钇 r somc IOrtV Vcars

Bo由 the Roman and Qh-Han emp订 es were buik on tcmPIates pros· ldcd by

antecedentstates and expanded into a widening ecumen⒏ in the、 Vest,⒍ om the

0Ver Cultures of the Middle East into the Mediterrancan and on to contmental

Europe,in the East iom the lAzeiaⅡ d middIcYcⅡ 【,w Rl1·ervalle/sInto the Central

p1ain and then on to the south In the East,the basic context had been crcated by

the sllan爹 W“弪rn zhou Po、‘es(‘ “0t△″lBCE〕 and th。 r domlnant ell⒃

cuItL,re and the sPread of the lVestern zhou garHson odes across the Central

Plall△ reglon In the Med"erranean,th、 role had becn per佰 rmed by the dissemiˉ

na刂 oⅡ of Greek setdemeilt$across thc klcdItc【 rancan Ⅱ仗oral(丘 om thC Cigh由

centtlry B c E)and thc cdtural Hcue茹 zatl。 n ofaut° nomouslocale"tes

Back in1994,Christlan GizeWskl Prop。 sed a use钆 1血 neˉ phase ParaⅡel mode1

of the develoPment° fthe Qinˉ Han and the Roman states,WhiCh,in somewhat

m° dI丘 cd form,can be uscd lo luustrate thc stokIng degree of paraucl m【 ,l/eˉ

mcnts at the most basic les· el of“ atc lormatlon;the丘 rst sta旷 (down to about

500BcE)witnessed thc creation of pouties at the western margins of a much

m·ldcr ecumcne,a positioning that faˇ ored a focus on mⅡ Ⅱary tˉ apabm0,In

both Romc and Qin The maln dincrence was that whereas QlIl was alread/"ed

lnto a wlder statc s阝 tem,由c feudal nemo【 k°fW卟tcrn zhou,ROme,farther

removed from thc“ Creat powers” of the Levant,was auton0mous and embcdˉ

ded oIuy ln regi° nal ciγ statc clusters(Latins and Etluscans) At lhe second

stage,in thc鼬 and into the钇 urth∝ntuⅡes B c ε,both cntities grew ulto

autonomous mlddtng Powers and exPehenced connIct vvlth Ct,mparablc comˉ

petitor⒌ wld汕 centra"ta″ ln the.ase of Rome,and ln the△ and wiu△ ln the

passe￠ (GIln″zJlo,,g)in tltc case of Qh B° th polltics continued to retaul dleir

lndel,endcncc becausc thev vi·ere phvskauy shIdded from“ Great PowerⅡ co⒈

nicts in m。 r dcwloped Fgions缸“her east Ma乜 ng tIle mo‘ t of theIr“ marcher

state adVantage;’ this aⅡ owed them to accumtuate mⅡ itary capabⅡ itie‘ widlout

en∞ untering dlc supetlor absorPdve caP∝ it/° fmore Powcrm states Thc dlird

phase resuItcd ln hegemonic power o,· er a la.ge sector of the ecumenc血 the

FroFl油￠“C昭“rCo″ v饣召g″ cε

”fo而 e△订sf G″四f】,jyerge″ ″

Ⅱ 15

bo山 由e Ⅲamic and the Fran⒗ sh sl1.cessor statc$a pmcess曲 扯was par哇 cdarl1·

prolonged and htense h western EuroPc These de△ /elopments mark thc onset

of dlc“ F∶rst Grcat Diler旷 nce” that Ied lo the creatlon of the song,Yuan,Ming,

and QLngempl犯sin Chha,cumInat琉 g1n thc current PcoPk、 RCpubllt,and to

the gradual en订 enChmcllt ofstatc PolycentⅡ sm In EuroPe

4 CoNvε RCENCE

Convergent trends in state format⒗ n werc not lastin砂 y impeded by substanˉ

tial initial direrences in regime t,Pe and state organIzatlon The most obvIous

dIfFcrcnce betlvccn Rome and Chlna lay lIl thc hcreasIllg cen订 aIIza“ on of the

V而 rrlng states pcriod that creatcd soongcr state structurcs than an阝 hcrc ln

Europc prior to由 e modern perIod‘ Put in the most general lenns,由 c lA arˉ

rlng states of Chha impIemented paraⅡ d seIfstrengtllcning reforms desIgncd

to inσ ease thet mdIta「 /competitiveness访 s江 s·ls dlelr r~ak In the fourth and

th,rtl centuries B c尼 ,the state of QIIl lvent tlle tarthest by breaklng the pcllver of

heredItary n° bles,reorganizhg i‘ en刂 re terrItory nto dudγ °ne unifom∞ nˉ

sciPtion distric‘ ←,n衽 ),creating a Pathway grlcl ocmss dle countru ranklng thc

en刂 re PopulatIOn ln elghteen grades and dllldlng“ into groups of丘 ve and ten

f。r∞ uectlve suBeiⅡance and llabdI“ ins刂 tut△ ng rcIvards for ⅢIIltar/Prtlwcss,

imPoshg codI允cd penalIa,v,and standardizing currcn%weIghts,and mcasures

These reforms,howcwr imperfecd△ ·th吖 m呷 have becn implemented in Pracˉ

dcc,wcnt some way in crcatIng a homogencOlls territonalstate,soughtto αk焖state control acmss au le攻 k。f socic%concentmted power h the hands of曲 e

kIng,raised b° th由 epσ忙r ofthc丈 ate and由e autonomy° fthe central go1· ernˉ

mentto unPrccedented〗 evc‘ ,and reputedlYenablecl Qin to m° b洫 and deplov

miΙ itaΨ and cow‘ew° rk lorCes numbenllg ln the hundreds。 f thousands In

fortllcomhg work,Dln鲫n zhao argues tllat thls dex e⒗ pment was ultimatelv a

钆ncuon ofprolonged hconcluslve warfare betlveen falrly es· ellIy ma‘ hed com-

petit0阝 ,an enxl】 onmcn1in whlc红 only intenslnCati。 nc。 uld Produce declslve

out∞ mes7brhen the statc of Qln盘 nauy abs。rbed ks sLx rivals ul thc230s and

220sBcE,the re∮ me°fthe F∶rst EⅢ Pe〖°ra讧empted to imPose and Perpetuate

tho s泠 tem across Chlna In由 e noxcl abscnce of thC∝ ntrlPetal白 rce of ulter

statc∞ mpetition,this cndcavor tiggered Fslst8nce that raPidIy overthrew lhe

Qtn rc眢Ⅲc alld kd to a reas‘ ertIQn ofregIOnal forces that undeIxvIclte the estabˉ

hshmellt° fthe Han monaKh≯ I1tookthe new d,oasp,at kast halfa∝ ntu〃 to

Cur伍Ⅱ regional and aristocratiC au∞ nom△ ,a proc~。 ss that was aided by con钆 ct

Mth the ⅪoΠ gnu,∞ n缶 mlng the P“ noPle that,var makIng PrenpItates state

_一·__一·一_∷一~_~~〓_·〓_

16 Ro`"g口 冖'C`li″

口

maklng^J1cr the temporary doplacemcnt of dle Han内 △asty ddrlng tlle、 Vang

Mang usurpatlon o the eorˇ 盘rst￠ ntur/C E and ensulng civ吐 war the c1ock

was once ag⒋ n set back200rars,resto“ ng much Pol1·er to rcgional diqucs and

magnatcs In由 e end,tllc glowing p° wer of Proˇ i∏ c【 al gentry and command

ers turned-wadords consplred to undcrmhe and nnally euΙ ninate山 e cent〖al

governmentin thelate second and earˇ t“rd centuries c E吝

In the Iast thrce ccnmries B c E,Rome accomplohed conquests on the samc

scaIe as Qh that were notac∞ mpanicd by comp征 able intensi丘 cation ofgovernˉ

ment【n both cases,hoWcver,su∝ ess血 l expanslon was made p° sslbk by mass

conscoptlon° f peasants In the忆 urth centu吖 BcE,whcn Rome faced com-

pct“ors ofcomparable strength and militaq organlzation呐 thin曲 e【talian Pen

inslJa,k uttroduced a scries of self strcngthening reforrⅡ that。 choed many of

Qin、 reFOrms ln tllc samc Pe“ °d9缸be"usuauy in a m° re mutcd fashlon:the

introduα IOn of【 llrect taxat】 on to钆 nd xvar m洳 ng(r冖 沙“r″″、dle strengdlen

Ing of由 e peasant〃 by abohshlng dcbtˉ bondagc;伍 c exPanslon of∞ nscrlptlon

aCross the endre citizenry;peoodlc reglstratlon of adult men;dle σeatlon of

thirry娟 S/C consc^Puon dist“ c“ ←汀加lsl,血∝u°nauy at kastin somc w吵 ∞"-

parablc b the thl呷 -one知 nJI ofQlⅡ Iand grants ω sddIers drab△ ngl,n annexed

tcr"torie岛 and p°htical四brm to accommodatc sooal mob逝 9at ule elite lescL’

Beginnll,g in2%BcE,and Ccrlaln虹 aIte【 2o2BcE,Rome dld not nomall,fdce

stak1evel competitors w"h matching mobJlzation p° tcntiaIs This,and the conˉ

sequcnt absencc of Prolonged inconc1usl△ e warfare against other stat6,obviated

the need佰 r路 ruler~reachLig domesuc reforms Promo“ ng∝ ntralizatlon and

bureaucratlzatlon1n0tper vvords,ule benents。 f as沪 ηme订 iC Warfare(a铷 lnst

stales曲 at relIed more on mcrc田arles in the castcrn and southern lVtcditerra

nean and a钾lilst les。 complG【 chi新 doms and trlbesin the northern and,vestern

pcrlPhery)enabled Rome to succecd hntn kss domestk restructuring tllan was

required“ 山c htcnsdy compe0tive cn访 ronment ofMrarr,Jlg states Chula⒑

Moreovcs Protobureaucratiza‘on wasl°gicauy in∞ mPa“ ble lv1·dl the gov

ernmen恒l arrangements of the Romnn Repuuk,w“ ch Ms controlled by a

smau number ofaristoσ att Iinea旷 s that relled on social caPltaΙ ,patronage rela-

oonships,and the manipulatlon of ritual Performances to malnta1n polvc‘ and

more mundanely d【 ew on thcir own iiend$,cuents,slaves,and tcedmen to6iˉ

员ll key admini从 ratⅡe tasks"Tlghtˇ regimentcd Poptllar Po1iucal particiPation

lB R0冫 Ⅱ召四`冫

‘扌CJ氵冫I〃

c E lhat most resembles llle Han EmPie ul ins“ tlltonal as weu as Prattlcal

tcrms‘ "Both eⅡ pires werc dllided lllto ar【 ,und lO0Provincc‘ with sePamte

cIvⅡ Ian and mⅡ :tary kadershlP that werc lIl tum suPervlsed by about a d° zen

lnsPectors(“ Vtars” and“shePhercls/resPcctive灯 );the central adminlstration

was or胛 nizcd around a numbcr of minis"Ies(the Pl· ,咖c+lIs pmgmrio,锕 ngo″ r

offc杨 ΓI‘″b pmFp∝ i″ ‘srlcrj‘Ιf扫 lCl亻

`氵

,and″夕go〃 ″,踟"‘

〃ln Romc,the“ Three

Excellcnoes” and“ Nine Mlnisters” h Chinaλ thc“ inner” court and lts agen“ ,

ulcIuding eunuchs,had gradually gaincd hnuence relauxrc lo l。 rmal state insd

tutlons,whiIc the empcrors becameincrcaslngly sequestered Even chⅡ d emper

ors managcd by posver乩 he纩nts9wh° hadlong bcen commoniⅡ China butrare

in ROme,exentualˇ appea【d血 thelater Roman EmPire

ln thc nn扭 anallsis,the moor dIffercnces血 Poutical and adⅢ hlbtradve orgaˉ

nizatlon beoveen Rome and Chu· a can be Gxpla1ned byinlhal dl【 erencc‘ h reg:me

V晖 1n the mse of ROme,∞ucmve aJ5tocntiC血 e acc° unLed ror an eady reluc

tanke to anncx,for the la.k of bureauc[邴 n° tjust du“ng the RcPubhc but dso

duong thc钉 “three centurics of曲 e monar山 ≯md tor the∞n讧nuhg usc of

aHstoc白 ts as ddcgates° f the涮 er and as his mJltarv LOmη a昶e阝 for伉c saInc

thre← hundred vear Period In Chha,by co趾 ra玫 ,￠ ntrallzatlon,也c creauon° f

ter“ torial s1ates,and由e dsemp【 ,lverment of arIstoσ ,ats佰 cdltated rapid annexaˉ

tlon andburcaucratk αpansi。 n AsecondN· aiablc,the nature of△ nterstate∞∏rqiti,

mediatcd Po1tkalsoucture,as the shi丘 to“ as,mimetrIc” Connict may have he1ped

extend the sllelfLfc of Roman dlgar山 ≯whercas pIolonged hcondus"e“ sⅥ,-

metoc” warfare in Chlna rcWa【 ded￠ ntral讫atlon and Concentratlon of powcL⒖

Butthls o notto say曲 at o1gnrchic廿 aditions con0nued to∞ nstraln Roman statc

fomadon:nde6rotdy`5oon asaniF,petus lor rc钇 m had been Pr° vldCd by the

muhary and poLucalcr沁 is of dle midˉ 刂Ⅱrd tentu〃 cE,Roman state ulstitudons

raP记ly convcrged wⅡh曲ose ofthe Han statc a strong numeritdlcxpanslon ofthe

burcaoσ acv,hom° gcnlzad。 n ofre芋 strauon and taxadon,the scP缸 atton ofIl△nl~

tar,and o计lian admlnlstraton,thc crea位 on of formal hierarchles and sphcres of

competence in admlnlstratton,and the se屺 rulg oftradltionalties bch,cen曲 c ruler

and ho c°urt on thc onc hand and the Φpk扭 and⒒s hintedand。 n the othe⒈ ⒗

Thecommon nouon山 at臼 dy△Illpcrial山lna was∞n“derably mole“ bureau

crat讫ed” tllan lnc Roman Empire lnnates a.tual di仔 0rencc$Ⅱ rst of支u,thc num~

ber of senior posit⒗ ns was essentlauy dle$ame in both states,a le△ s/hundrcd h

雨 ‘t汛 Re扯 ‘“ano咏 :‘ to叱ε httcr outΦ m￡ aκ 仙rn,htd b9P雨 mPeⅡ J chl“ &珀 t】|s山征 fa tjlo cL巛 “I

Fro″ ″氵c‘℃rcnr Co″ l,c留 ″″”ro″饣

“F`阝 f Cre四 fD氵 I/ergcⅡ cc” l`

provided a benign arb止 ra“ on devi∝ equlva,ent to the sen·ices1h荻 ln more

conv·enti° nally o【 ganized statcs Would ha长 bcen乩 rn`hed by a vveak monarch

Financial managemcnt,which requlred a greater concentratlon ofhuman capita1,

was largely larmcd out to private contractors In tho c° ntext,the army was the

。nly instituti° n that attained a certain Icvcl ofProfesslonal弦 ation Thls,in turn,

la1d tllc groundll/olk ror the increaslllg aut° no m/of m"itar,powCr near the

end ofthe RePubuc,w,llCh faCⅡ itated wadordism and the crea“ °Π°f a mllltarymonarch冫

【n terms of Michael Mann℃ dis“ ∏cti。 n of thc four main sources of sooal

powe△刂the ohgarchic regime° f dle Roman conquest state Was maintained

as long。 sp。 hticaI,mihtar⒖ and ldeol° 8ical power were d。 sely ded t° gcthe【

and controlled by tlhe same aristocra“ c coIlect~e0nce m":ta吖 Powcr brokcfIec from poⅡ tical and ideoIogcal c。 nstraints,the rule of the collectIwc wa$

rplaced by warl° rds and m° narchs,who camet° Iel/on a fully professlona⒈

1zed army and managed PohtkalPowerth∞ ugh thc“ adition缸 mechanoms° f

patronage and patrimoplal沁 m The Ⅲain differencet° China`thatin China,mlllta吖 power w岱 mosdy(though by∏°meal△。ahvays)su∝ cssfulˇ cont【lined and tor l° ng Periods evcn margina1izcd by Political ideol。 gical power

The near Perfect Han filsion。 fp°htical and ideoI° gicaI powcr w灬 a钆 nc0°nof the centrahzing rclorms of thc Warring states pe“ od and thc subsequentadoptlon of a hybrid Conluoan-Lcgahst belief systeⅡ that reinforced state

au1h° rityⅡ Exvept in thc eady city state Phase of犰 c Roman poh0” R。manregimes never bene丘 ted from a c° mparab1y cl° se hnkage。 fP° htical and ldc° ~

loglcal poweⅡ Ec° nomlc power was arguably less constralncd in the Westthan

in Ch血 a,which alIowed the Qin and Han states to aim for grcater hterference

棣 程 雀 l⒊w∶ ∶∶::冉:∷∶

eR°man≮征eo讯 y oclalcdl,adou泪

0【 r dme,both svslem‘ GxPe“ enced what° ne mlght cau a“ n。 rmalizatlon”

ofthe degrec。 f state c° ntro1in thc scnse of a regressl。 n to thc mean,the mean

臣P弘tf乱

`拈

J罴毖嬲 楹 龙蒽漯 &挠 器 恝 探started out at° Pp° site eIlds of the spectrum∶ Qin was unusuauy centraIized andburcaucratized,where“ R。me was run by a coucc心 Ye and gKat″ depended° n

I;⒈∶I;∶∶嚣丨漯狨::忑辞摁 拣霹f搌 III∶ :∶【l∶糨eventual doninati。 n ofthc ent△ e otumene0ver timc,both p。 hdcal s邺 tcmsconverged,a process that began around2oO B c E h China and血 the late nrst

centu叩 B c E ln Rome Itls thc mature Roman EmPire of由 e fourth cenmry

岫冉黎;:F是犁L贺潆J咎璧Ⅰ眢拶“nη 凡d哪扯sm sce巳 蛳m伍d喇 sl oem←

Fl o″ j助 c“C〃“fC° ″|饣 r解 9Ⅰ″”

,· o rll召“Flrs`G″ “r Dl,/c召 e`∶〃

” 19

嚣1甜隘r要摁找糨 :且掩肥嬲 胛 鞯瞿and Ileedmcn whJe dle户 l,lilln C四签四r厶 tne patrim°nlal staff of dle cmpcrors,

must hav/c con1aL,ed thousan凼 of slaxes and α dales By40OcE,the R。 Ⅲanstate empl° yed° vcr30,0oo civⅡ ian o的 cials,∞ mparcd to around⒗ ur d"es asmany ul lsJe$tem Han Chula F The PrincIpalshi艮 be"∞n the eady and由e laⅡ r

∷ 掠求翌滗恝 谧坩土燕l牒翟劣摞拥器器force Thc mostsl印 i丘 cant din℃ Icnces bcllvecn Rome and China wer retalned at

翅摞招锶苕遐扰i嚣vEd留辟黥瑟⒊f嚣搬∷ 捷眼搬默器找揽捻⒒u嘿缧紫求滞黑:豁

thc pr"ince tllel ser,ed in“ Thus,i· hi〗 e many ofthe onc hundred thQusanli。 dd

∶ 莒Ι坩 扌F黯 :揣 茹 毖 柱 T扰 m默 榄 甘 拶 :i∶i丨 罂 ll∶【∶

∵ drCd thousand mcn svho PoPu扫 弪d dle o〃 ∞unc讧 softheR。 man Emplre,the“ ⒑∶ groups oPcratcd h rather dIfrerents。 cial contekts,as leaders° ftheir own∞mm⒈

∶ nit抬 s“ the la饿 cr rase and as more dcta.hcd state。gen‘ in dle forme⒈ MoreoleⅡ

∶辍骚巍鹦巍醺鬈卺襻: Ⅱw° uJd be unwise to° v·erestiⅢ atc由 e meritocra‘c Glmenslon° f earl1· Chhcse

冒 °铕。ddom:manl Han“ atc a旷 n阝 ob“ u,ed offce,· la reCommcIldau品 ,that。 ,

撤鞲冁槭磷槲獬laul klnds° fo笳tlals came to bcne丘 tiom ha△qng studlcd la⒕△

黹踯嬲磷黼骚辑撼群犁龊蛐槭蛐蚰舳愚耕拂ⅢⅠ蛋黼黼呈妓ζl巢

2o Ro″ ic n`】 dC′Ii"d

詈黼 槲凳隳槲蚺襻:wkncss a s,i】 the“ s of forogn and loca1ehtcs′

5 D1vERGε NCE

】1荀 ectorks of state tOrmation signalˇ diκ rgCd iom thc sLxth Cent,dr/cE

onWard∶j蔽

th茁 “me,ltlsdnim`a⒒ emptetlreunihcadon ofthe ong1naIRomm

:群扌jε裂If鸾琵茗1∶f∶丁l:刂慑Ⅰ∶∶1I甓 :l∶∶谳:∶∶萎凭絮

叩:l∶∶ll‰揣:∶:丨

:∶∶∶牒lF`1a∶丨!∶ll黯 r瑟滗深袈盟:∶∶∶l∶∶iArler the fdnu【 e of chademagne’ s imPeriaI revival,Pohtic铋 ⒍agmentltion

溺 攘 再 盟 ξ 麒 蚺

of centr扭 ized states was a drawn out ploCess that primari1· unfoldcd during

tlle nrst half of the second md1en血 um c E butin some cnses took CVen1on-

泔蛋J紧扌::;Fi蕊喘11怒猡:絷描探鸾I:1fIJ:

md尕Ⅰ沫滞T茹谎:土 熙J萎ifR耵 rI苫;踹贳tm饣α“≮ωm卩闲i℃

羿甘委f釜擞:鞯芒憾逊鞯韪l瞿;

胃哏冼u∶r莒岛漶:L扌〖黥且Ι获T钅器爿夂苟找苫;嚣贳

营 鹬蚤鲫圩:拉泞丨:1Fi万瑟:t扌莒者⒈砦:蚤r↓R豇T;∶∶糯 ;瑟芏讠;(stlch as in Britain)b、 tron旷 ≮ates· △·Ith r鸲 istratlon,t￡ 1】【洒on,and∝nt旌 lll

黼 槲 蘩锪 羼撤墨苞F熟瑙蹒i榭掩Ⅲj蓝辑圭

槲毖支麟 鞲 辙 撤 淋

熟茹搀西鞲芟露撤i诳;ff⒒ⅠⅠ谶变严T莒 Ⅳ巳∫玉窝 嬲 品 龠器Ι茹 指 寨 糯 碳 廴ad涣Kdq洫

dramatica1″ fiom cond趾 ionsin much of· ·,estern Eurasla ThcΙate6丘 h and sLxth

ceΠ tu【 ies c E in particular w止 nessed伍 e纩adual restoration of Han。 t· lc goY

ernmcntal institutIOns that enabled rulels to Count and taK a grow llg propo⒈

tlon of their sublect。 ,Curb clite autonomy and mobiL。 ee收 r larger r岱 ources

F⒑″ rllg“ C″〃`Co″

l。 ‘召冖cg” fO·l,C‘ Firsr G滋nf r,氵 vgrgg″ ￠″ ,.

i∏ tern ll social and inte11ectua1upheavals,the creation of new kJnds of ma“ umc

empim,and(cventualIy)techn。 l° gical progress gave o缒 to thc modcrn natlon

sta攵 e in the eighteenth(of Pcrhaps onV oineteenth)centur乒 In sLxth cCntury

cE Chi且 a,by contmst,imperial reuni6cau。 n restorcd thc bureaucratic statc

that largdy succeeded,albe众 wⅡh substantial interruPt1ons,in maintaining a

Corc Wide gnPire under Chlrlese or lorcign【 eade‘ hiP untn19n and,in eftect,

up to thc present da乒

、hy did this haPpen?In prinoPle,a wh。 le varietx Of factors may have bcen

rdevant Forinsunce,the larger“ 赞ofthe weslem ecumcne was moK cond⒈

cir to lragmcnt,ition∶ China lacked state kvel compe伍 tors of tlle callber of the

Persians and Arabs C【 imauc changC in the second half ofthe nrst miuennium

cE m吖 h狎e benented n。 【thcrn China more than Europc Thc sin°巛barbar-

ian” stlccesω r stat。 s were mo四 adept at containing Ⅲ°vcmcnt in the steppe,

whcreas Eujopean regimes were· ttlnerable to Avars,s1狎 s,Btll钾 rians,Ma卵 ars,

and Vi炻 ngs China、 vas sPared the two hundred years of fecurrent plague that

rw唱ed the ca【 ˇmedk恤 1vs est3The∞ ntribuu。 n。 f ideolo铲 ca【 Power铋 so

Kqutes∞ nsider荻ion TheSino1ogkdl"aditlon hab⒒ uaⅡy emphaslzcd thelon爹

term impavt of Con乩 cian elite tradiuons(。 r rather of tlle Con乩oan Lcgalot

x·er“ on that had been creatcd in tllc Wjestern Han Peri。 d),which侑 vored t,hc

no0on ofa wcll ordercd unined state Ⅲanaged by scho1arly civuian bureaucrats

Howevcr,thc signincance。 f ideational lOKes nee凼 to be cYaluated in a com-

Parative c。 nl~。 xⅡ in tho cⅡ e,We nlust g1,/e due weight to the comparato℃ laCk

ofsubstantive Pol“ icahmpad ofideoΙ ogIcalcommi1men灬 to Chris1ian uni呼 li

tnc postˉ Roman Mrest,of attempts to harness the notlon of“ elern乱 Rome” for

empirc bJIlding(as in the case of Chademagnc and thc Ottonians),and° f the

【“aⅢ kt【 leal° fthc uniγ °fthC“ ″″,,,l Moreover,tlje pos← Han perlod in China

w岱 char“ tehzed by increased competluon llom r"al behef sv丈 ems,such as

Daoom and Buddh,sm Thc tcmporary em。 rescenCe of Buddhl“ monasteries

in the Northcrn Wα pcriod cven suggests a mCasure of Conκ rgcncc bco,,ecn

dev·eloPmemsin earl,· mediwal ChIna and latc R° man and post Roman Europe,

where由 e derical establlshment accumLl ated Vdst resourCes,eClΦ sed tlle鸵 ,lte

in汪s at∞ ss to human capka1and eventuauy,ame to share in"s so,/ereignγ ”

Ne· /ertheless,itis tue that Con乩 oan scholars pro△/记ed a suiublein玫 run△ ent of

state management,Wher。 as the absence of an equ1,· dent group in the Chistian

Wrest may ha爬 made止 more dimcult f。 r post Roman regimes to ma:nt茁 n or

restore a“ strong” statα 由e int“ nsicaⅡy at,tonomous and sChlsmad伍 uy rixen

Chribtlan chuKhes thaζ had eYo&ed ou1“ de and in some sense lIl opposition to

the imperial虻 a1c could not otre【 ∞mparab【 e ser,kes翊冫ldhg丘lttlons beⅡcen

Fro7” ″Ic“G″ n扌 Co″ ,。召g河 c￠”沏rjle“ Fl阝诊C“双fD`vg召B门 Cg” 即

fc r mihtdrr efforts tha1cwntuauy resuked in imperial reu“ ncati。 n9scrlous

ch缸1enges t° re.entralizatlon,sllCh as lptense Connict be柳 ee且 r打al nomadlc

groups and the emcrgcncc oflarge numbers of forti6cd settlements伍 ,lt were

organized around clans and vnlage units and designed to protect(and heΠ ce

父CllF⒗C缸 Control oveθ the ag“ c讧 tural popdad∞ ,瞰 re e··。IltuaⅡ y conta~ned

in consequence,radi∞ uy di“辶ren1° utComes were av【 ,ided,such舔 teudaⅡ zation

and longˉ term iagmcntation ac.os$Ch血 a arCaHi妾 countcrfatmaI曲 at had

indecd drcady matcridized on a PF· aous occasion,back in thc earˇ Spring

and'uJtumn Perlod in tllc oghth century B c E莎 Tho raises tlle questlon° f

why the foreign conquest ehtes succeeded Jl shoring up s1ate caPabⅡ iues.s· here

their wes∞ rn counterParts faded The natuK of antecedent go⒕ rnmentalinstiˉ

tutions and dl臼℃rcnces in thc coⅡ Pensa“ on of mⅡ ita「/lOKes(most notabVbebi·ecn|hc statc managcd allocation of goods in the East verslts thc assignatlon

°fland Jl parts。 f thc Mrcst)and their organization(a predominance° f cavaIry

or infantry)may all havc playcd a σitk愈 lo】e Au these。 sues cau钇 r hlrthcr

invesugatl° n A compar征Ⅳe perspecd· e wJl be essential i∏ 记enti,Ing ractors

ul故 pre。 莎 tated dram砬 lcaψ dl簸 Fnt⒗ 鸭 term clltComcs h№ “ and Mreso

lhe famous‘Ⅱ astic c/cle o” h Chna and the妲 sⅡ k.lt polvcen订 om ofthe

mcdlev钮 and modem European statc s,stem

罨鬈鼽this era∶

槲甘髁鹦鞲鞲蓁暇巢f革菩莒碧l苷燃摹鞔革⒈苫屠I萎莒芏茧佬members ofa dassthat dcnned“ serin1征ge Partthrough waL Monarchs bCcame

掖鞲委群报犭茧涮 茹槲 茁瓒摞糌yJ嚣玄霹昆Ⅰ抒絮猬1絮嘿黑$器浅were the hered:tary p°ss6sions ofthe hneages and rep1icated the ins“ tutions of

∞it:1罟i社湍 罗抻 眢茁i击絷 l∶∶∶in∴l∶e:黯

摧了滞 J括湍sc∵

1⒈ i‘ ⒚。。驻 ’。m山 t dewbPmanl Ⅱ dlesh仓 ng and乙 ot emⅡ ·es,ce no V CIu呜 ]00⒎ lHo

Vˇ‰‘s扌历扌纟For″ 1伢扌饣o彳,伢彳'扌

肋召EvoIo‘ 扌氵o饪

。f卜r`r扌 rrI〃 勋s扌ir仿古Jo彳s切 A彳 c氵召″扌C勿氵彻

毋竹d Ro抑纟

Nathan Rosenstcin

l 、VAR AND s^TE F°RM ATI0NI

Ⅰ吻Ⅱ SrfIrc助 ″"o`V″

,口″'、

″Jifll〃 】l’ rj″″j°″s 笱

the monarchˇ on a smaller scale Clans posscssed Ihell° wn弪 mPles and sac“ ˉ

6ces and nebˇ orlc ofa【 :stocr。 tiC dePcnden‘ and retdiners who could be mobiˉ

⒒zed⒗ rwa⒈ They coⅡ tituted,in Iact,ru"y aut° nomousstatesin thet own right

since they were Fll灯 caPable。 f carrying out indcpendenuy the“ great a白%irs° f

the state” Thu$,the structure of What PassCd for the state in thc Bronzc Age

can best be descr∶ bed as△ udal because the“ state” as suCh Was nothing m。 re

than an aggregatc of“ min⒈ states” -inCluding the monarchy⒒ sell on wh。 se

c。 nectiw mibtanv rcsources the p° 、ver ofthe klngdom dcPcnded It沁 $arcely

surPo“ng,then,th,ll thc mlno⒃rlal and te汛 loial hneage5⒏ aduau,· 肛ew to

"valthe Power ofthc monar.h himser。

r that the vendettas and wars sPawned

by a“ stocrats’ extreme sens:tivi〃 t° sughts t° their honor led丘 nally to centu〖 iCs

of1nternecine bIoodshed that thc m° narchy Was po、verless to check Thc spong

and Autumn pc"od that lolIo、 ved(722→ 8IBcE;note that thc Eastern Zhou

d,q,凼 ,[7。 0△弼 :c El ox· en妒 sw“ h th。 and the fouowhg严 。od,thc昵 rˉ

ring states【 453221:cε j)witnesscd a long e【 a ofv· loIence through which the

zhou alistocnq not onˇ h呜dy destroy出 itser and m。 rc dlan lO0m血 istates

but the glcatcr p。 litical o【 der that they had constituted

0ut of thls carn呜 ea吹ry different rorm。 fstate emerged as tlte intense con·

nict am。 ng thc Ⅱneagesled them to sooaland admlnlstra“ ,·e innova“°ns aimcd

at scCuring a maitary advantage against their rivaIs4the nrst欲 eps Were tdksn in

the mtd scventh centur≯ when thestate ofQiabandoned the aⅡ stocratlt monopˉ

° °n warhrc in order to eIllarge its armcd forces Other states Were foKed t°

lollow su:t At εrst,only llle nonarΙ stocratic P° ltions of the cap⒒ al poPtltati° ns

were enrolIed in the arrη6but。 ver time as conni∝ s intenslflcd and demanded

esedar墅r armlcs,the state of Ⅱn in由 e mld skh centu吖 。Ntended consc“ ⒉tion to subjcct pe。 ples and the rural poPulati° n of its agricultural hinterland

Thlb develoPnent was at nrst only a弪 mporar,expedient,but the pressu犯 s of

waf foKed Ⅱn and。 the‘ comPeung states to makc such measures PermaΠ ent

untd by thc thlrd∝ ntury they、 vcre nclding armIcs° feno【 mous“ ze numberlng

in tbc hundreds oft「 lousands of men(ifthe sourt。 s are to be bcheved)Finall,

the state of Qin under the guidance of tbe legalist thinker and general shang

垧ng in曲 e mid-钇 urth centtllv“ tabllshcd whdt would become the paradl⒏

mntic。tructure ofthe“ warring state” It o n。 t dearthat e,ery state subsequendy

∞nformed c° mPletely lo· he adminotratls· e pa仗 c【 n that Qin created,but the

varIOus fc钇 rms n undertook were to onc degree° r an0thcr rePhcatcd am° ng

"s rl1·

扯s Central to the Qin reforms was the grouping° f the popuIatIOn inlo

un⒒s of nxe h。 useholds that were each rcsPonslble n。 t° nIy ror proYiding the

squads° f6△ e recruits thatlormed the bu扭 ding bloclvs° f Qin armles but址 so允 r

26 Ro`″饣'″

″Chj″ n

黼 辑鞲燕鞑斟鞯夥菸:

萤拊焦芽菇暇关ξ群焦fⅢ芯拄撖

滩槲鞲要菇r垂槲觯mil“ arY sewice and corYee1abor,and t。 佰c1ht缸 e these ta呔 s,the,carried out

detaika censuses of the Popuhtion ThCy also enforced a sewre but apparˉ

i封弹群薯群碾祺蘖鹫鞲帚source of cocrcive lorce for u‘ e against rccalcitrant subjccts Thcse innovaˉ

tions created“warring states广 as Mark Lcwo puts⒒ ,“ states bunt thr。 ugh the

攒 弼 搀 醛 l辎 盘 聃 槲 芏

zation of these statcs

1,rtl巧 s氵 四″ Fo″ ″″ 氵o″,lI,l'M″ j抑,`rlI‘ fjnJri°

`Is 氵

In tho dimate ofendemk war1∶:lre,mass armies lKcle essentia【 to the stlr· i|、

`dof an,wa/ring statc,and to mobuize thcm thcir governments.elicd no1simp|y

on the cocrclsc Polver that thelr bureauσ 扯iC aPParatus Pro诉 ded but also on

the tangiblc incent加es that they o仟ered to peasant。 for their comp⒒ ance wkh

dcmands for t田 田s and seWte and l· or zeal in b,lttle whcn consC“pted In th‘

Iight,the goˇ efnmcnts’ contern to m洫 mlze thcir poptllatlon矿 agrltu⒒ uraI proˉ

ductivlψ and the concrete measures dlat they underto° k to do so can be seen,

饷 ma由涣rent a呜 k,as enorts⒗ 米vuK thc、 ,· elfale of由 or su丬 ects亻 su丬 ects

,verc to pay taxcs,it、 vas ln thcir rulers’ intcrest to ensure that they did not1ack

山e whcre、 Wthal⒗ doso h ad乩 tlo%becau货 hnd wa‘ aPparnu1· /en讧血lhth抬 peood,rule阝 could not adord lo be too halsh in lheir demands on their

suⅡ cc岱 ,岛 r subJects who fe⒒ tˉlemselx/es oPPressed in one⒗ ngd°m cotud eas~

ny migrate to another whcrc tonditlons、 v·CrC betteL The s阝 tem of higbl△ conˉ

Pe“‘昭⒌at6each eager to attra.t addlt,onal su丬 ects created a knd of“ πght

of exk’ which cotlld茁 r,· e as an imPlk"rein on albi订 a吖 p° wCr‘ Mole。veⅡ

because jus"Ce came through saIa"ed∶ ocaI o铕 oals apP。 inted b/thC central

g° s/ernment rather than atthe hands。 fs。 me local potcntate,the laws,if se昭 re,

Were扯 least apphed es/en handedIy Butthe m° stimp° rta∏ t lncentlve that tliese

gox·emmcnts hcld out was the ProsPed。 f be迁erlIlg°ne‘ economic and sooal

pos"lon thr。 ugh succcssin war The wa.ring states estabhshed dabofate h诒 rar

chksof nn炻 °r“tles that rcwarded mcritorlous sewicc to lne state,Partlt’ Jlady

in、va【 0n.ˉ e agalll,Qin诣 paradlgmatic Lewo ocsCr1bes its system of seventeen

ranks in JlIs w呷 :

Mi1itar,success measured by the number of hcads° fsIain enemles was

rewarded、 1· 】th P⒑ m°“onln mn△ Forindividualsquad members or the

th碴‘ofa squ龃 oI nse,rcwards Werc昏△en for hcads ol cnemles actt】 讧⒒y

kt11ed by the血 di访 dua1Forthe commandcr ofa unit ofa hund【 cd men

or more,re、valds were g1ven for the total number of enemy kllled bˇ hls

troops Those⑾ ed in battIe c° uId have tlleir merits transferred lo dleir

desc~。 ndants ReaChing certain nnks eno1led the bearcr to thc p° sses$ion

of specined quantitles of land,houses,and slaves Those of the eighth

rank or ab° xre ak。 obtained the tax income of a specincd number ofvⅡ ˉ

Iages and thc highest lour mnks in Qin’ s hicrarchy。 f miIitary mcrit

werc thc lord$σ “” )and″°Ⅱ found elsewherc L° wer tltles natched

with ranks in the army and g° vernment adminis讧 a“0n,witb thc l° ls/est

four ranks c° rresponding to thc soIdier≯ and ranΙ ‘6,·e and above serv-

i∏ g as omcersin the army and o伍 oals in the adminotatlon The ranks

hkew沁 e entailed certain1鲳 al and reIigous PnvⅡ 吒es In the legal realm,

一·一一一~一_一~~~∷

~一一一一~一

2s Ro`,】 cn"dC凡 j氵】`

the surrender oftides could be used to remit certaln Punishments,so they

provided a degree of Protection against severe Pena1ties In the religious

rcalm,they endded thc holder tO Prlx/neges1n burial,indudlllg the right

to a highertomb mound and thc pIan"ng of moretrees on thctomb;

The su” e(灬 of Qin and the otllcr、 varrI】 lg statcs theretorc apPear lo ha,/e bccn

wi1Iing and Perhaps even happy to g° to war bCCause they Pcrcelved k to be in

thor mate[钔 selsinterest to do ω and betause their rulers lookcd aner thci〖

扩neral ec°nomt wd%re alld olte【 ed them,1。 ce$to lnlp。 rtl乱 jusuce

The formadon of the RomaΠ impeoal state was striklngly difterent,desP"e

“s or培 lns in a“ mⅡ ar pattern of con6tant,htense war缸 le^ltaˇ ln the s次 tll,

nrth,and f。 urth ccntu“ es B C E li·as a reg1° n oFsmall ci〃 states and loose tribal

conledcradons,of which the cent.,,uy loca￠ d Roman Rcpubhc wa5onc ofthc

stronger Graduall弘 Rome exlendcd⒒ s hegemony over most ofItaly during thc

lourth and third ccnturies and over the whole° flbc Mediterranean in the secˉ

ond aRd nr丈 Yot akhough Romc went to、 var almo‘te彳 ry rar during these

four cemuoes and mobnizcd ltd￠ s Popula1ion ln Pr° p。 ruon扭 terms。 n a stale

comParable lo Chin矿 s、sarr:ng丈 atcs,"ne收 r derlopcd thc sorts of admlIllstraˉ

dv/c structurcs that in China· v·cre a concomitant and prerequo"e lor the illl

mobdiza刂°n of state resoulces lor wa⒈ Indeed,thc ins“ tuttons of gos/ernment

du“ ng Rome`greatcst Pcrlod° f milit,l〃 mob"ization,in the late third,second,

and6r￠ cent l⒒ es B cⅡ 、vcrC minimal con】 pared to tho茹 of Qin and the other

s· ,· ar“呷 “atcs Unm⒆ BcE,an arl欲 ocncy c° ntrolled Pu扭 k anairs through a

coundl(the scnate),which had htt1e lormallegal power but enornlous intormal

autllo“″Its members a‘ o stated all magotracies,whI山 、verc mcd through a

s阝 tt· m of compeutive乱 ections in whlch a"Roman c"i。 ens were thcoretically

en0ded lo vote(a"h。 ugh dlc organiza“ °n ofthe s· oting assembl讵 s and other

c订cumstances made these electioos hr&om dcm° cratic) These ma昏 stratCs

conducted alI thc bu‘ :ness of state,but bccause thC magIstncics wcre fevv,the

bu“ness thcy conducted was quite⒒ m"ed A quinquennialcensus of由 e Repubˉ

hc、 citizpns was takn for thc purPoses° fv。 stabhshing habih,to mⅡ Ⅱary sc⒈

vke ind taxaton Howe【 Ⅱ despite dracolllan penaltles for evasion,the census

baskally dePended on the x/oluntary coopcratIon of regotrants for"s success

No bureauσ aq Was in Place t° enforLc coⅢ Phance simiIad弘 to adminoter ks

to、vns and rural areas lhe R~。 public fclied o∏ thc c° operation oflocaI elites whose

power bases wervˉ indePendent of the centr扭 admin1欲radon Conscripti° n,too,

was predivated° n thc willingness of recru订 s to come forward ln the absence

°f an exiensⅣe bureauσ扯yo【 p° lice force to enlorCe ComPliance Beglnning

in the lo“ rth Centur、 t港 es of a sort“ hc· rlD"冖″″)were couerted t。 钆nd the

ll/n‘ s汩 re助″″口rio,· ,n″ d MJ`ir l〃 f″ s扌 i冖

`rio`Is ”

RePubhc’ s nl"itary endeavors,but thcse wcre technicaIIy loans lrom the ci‘ zens

to tbe RePubIic that might,at least on occa“ on,be repaid at the end of a vic

to“ ou$campaign【 n16?BCε ,fouo、 ving thC conquest of Macedon,tlte sen-

ate abo"shcd thcir collectlon altogetheⅡ and therea丘 er R°man ouzens enlo阼 d

immunl△,仔 om direct taxa“ on for sex· eral ccnttl.ies(although t「 .ey werc sublcct

to a numbcrof血 dirctt t心 es)

The divergcntc in tllc tralectory of stateˉ tOrmation in Repub1ican Rome and

the war"ng states ofChina Ⅲay bc att“ bu1abIe,in part,lo stgniε Cant dinercnces

in the nattlⅡ °fthe mihtary chauen莎 s each flced‘ 、Varlare仓 mong the warring

‘tatCs of China was nearly c° n0n uous0ne mkula“ on pu‘ tlle number of,v。rs

Lsecveen the major states betlscen656and夕 lBCE扯 256’

'刂

liances amo呷

tlle s四 eral malor statcs that competcd fQr Power in tho PerIod were imperma

nent and丘 equently shi鼠 ing,and for oκr lrour centu^cs no° ne ofthem w孙

able to叩 in a p° “tlon of such unchallenged superloo〃 tllat丘 c° uld other

conquer its r"als or lorce them to accePt its hegemonu Thesc wars mo仟 o怍 r

o丘cn lasttd sweral years and could resuIt in the comPlete annihiIa“ on of thc

losing dynasC” the destructIOn of"s胡 腔rs and temples,and the absorpdon of

ks domains into the访 ctor、 ⒗ngdom1n a context ofsuch e心 stent∶ a1dan墅 r io

the states and their lIlabdi〃 to dCPend on resources beyond thelr own丘 ontters

tor the m田 「ls to defend themsel浓 s,⒒ is not surprising that rlllers adoPted a

strategy° f maxImizIng the extractlon of money and manpowerliom thcir° wn

territories thr。ugh the est,lblohmen1of strong co∏ trok改 the centeⅡ an eiecˉ

ti巛 admⅡ otratiYe aPParatus,and lhc extensls/e reglIucntatlon of the“ sublects

The Pattcrn of Roman war佤 re w岱 qu止 e dl符erent Rome began asthe dominant

。9′ la狩 h Latlllm,alld lts pa由 ω domh⒗ n“ k,△ ll/、 vas h呼 灯ilnhterFu/ed

despite major mnitary challenges and occasiona1se“ ous setbaCks Begi∏ ning in

lhe htcr丘 丘h centur”"o爬

rcame one r"al a良 er another in the Peninsula,and

、vhen⒒ faced war on mo妲 th^n one fiont,n was gcnerauy able t。 prevent its

enem le5丘 om coⅢ bining ercct"ely agalnst it^蔽 er o275BCE,订 s exIstei,∝ as

as|ate was thKatened° 衬y once,by Hannibal,and for a c° mparatively brlef

period,钸 m218to207BcE(卢 dth° ugh Hanplbd dld not忆 ax e Ital△ untⅡ 203

BCE,the Roman de炙 at of relnfoKements⒍ om sPaIn led by hls brothe【 in207

B c E elf· ct1vel,/endcd any illKat he Posed tO R。 me)k dld∏°t face the s° r岱 of

longˉ term Lhdllenges that threate∏ ed st扯 es in China,and tho fact mav to sor.ne

extent accou∏ t ror t,le fanuK。 fthc Repubkc、 leaders to maⅡ 饣dle sorts ofe对 enˉ

s~e aker。tIOns in the in‘ titutional structuF of thc RePublic that Chinese rulers

【csorted to ln o【 der to surYlVe

⒒would b￠ wrong,howel/es to downpIav too much the mⅡ ka吖 dangers that

the Repubhc did fl‘ ,cc Duongthc n鼠 h and l。 urth centurics,Rome confronted

lˇ h△ s抑 怊 FOr冫 ″“氵09J,“″〃山fiJif,n〃 .ilI5扌 i扌 :‘ fio`,‘ 31

in338BcE,lo11oWing lhe supPresslon of a sc"° us revl,k among lts autes in

Latium a且 d CamPania,Rome used the e斑 ensIOn ofits citizenshiP lo ensure the

l°n1。/and support of va“ °us grouPs。 f nonˉ Romans in Ital`New tribes were

Created lIl whch to accommodatc dlcse newll en丘 anchlsed ROmans and mcrge

them into tne civic and political鼓 ructure ofthe RePubhc Citizensh,P was notan

unmkd blesslng it meant obhgatlon‘ ror mihtary$eDke and taxes,whⅡ e ben

ents s∝h as the^ght to⑩ te or hold publlt omtc wcre hrgcˇ bc” nd thC rea山

of most new citi夕 ns Y0tncw c"izens du“ ng the la使 r fourth,third,and sec° nd

Centu【 ies Were intcgrated on tcrms of∞ mplete equaIi〃 wi由 thc old,and there

0no四 ldente of re⒍ stan∝ orrebcuion am。 ngthem R。mestmdψ enla呜 ed"s

territory(tlle呷σR° ,,· n″ Ils)untⅡ by由e Iatc tbird Lcntury k enc° mPassed much

oftl· e bestland in∝ ntral Ⅱaly At th砬 date,the cⅡ izen body probably numbcred

arou】 ld300,000aduIt males out of a t。 tal of PerhaPs970,000lIl the PeninsuIa

souLll of the p。 valle” Romans thereiore constituted somevvllatless than a third

of the ItdIian Populatlon at ulis date,m扭 山g them the lar爹 st° f Ital￠ s ethnlt

grouPs and s° able to over,vhelm any⒍ ngle gfoup,much less any ind~tdudl

state,lhat Ⅱight chaucnge ulelr suzeraintv⒑

The abdI〃 °fthe oozen body as wcu as° f the〗 talian aⅡ ies lo bear the bur-

dcns of l1· arfarc was cnhanced oy thc One form° f sooal englneerlng dlat the

Rcpub1k regular虹 undcrtQok,the dtsPatch° fc。 lonles to ocCuPy conqucrcd

lands"The prima〃 purposc of such founda刂ons was mdlta,'_the co1onies

were located at stratcgk points h recently conqucrcd areas to serVe as de facto

gaⅡ恣ons and sta昏 ng areas Down to the eady sccond ccntur弘 their partiopants,

Roman otizensand Ⅲembers ofau诒 d communities,acquiled LatIn ognts,mod

ded on those posscssed by mcmbcrs ofRome、 的rmcr La0n nclghbors(who had

become citoens tollowulg tl.e supprcssion of their revok)~蚯 eI the Hanniba拉 c

Vsra‘ h。 weveG new c° l。 nk‘ retained or were granted Roman cit讫 enshiP Citi

zens of the earIier Lath co1onies e匆 °辉d a Prlv刂 e莎 ds:atus vls犭 vo ordina〃

9oci`,which Ⅱnked thcm dosdyto Rome and made dlem am° ng the Repubhc’ s

most dcPendable a1Iies They enhanced Romc、 mditary P° tentlal by Perhaps

somewhat lewer than150,000men Those who c1ected to par“ ciPate In an,of

thcse coIonlal跖 undatIoⅡ were mcn who lacked adequate lanns on whth to

supp°rt由cmsel· es and thclr FamⅡ les Colonics thus to some cXtent presented

the creatlon ofa dass oflandess c△ ize∏ s and auIes wh。 lvcre unabIc to paV taxes

or ser浓 in the army(sh∝ at R°me as u,the classic碰 Greek poIels a minimum

amount of wcaltll was Fquired to qualis· for inlantΨ °r caval” seWice),whⅡe

tllose wh° remalned behind were sparcd the need lo di“ de their holdings among

too many heirs As dle resuk ofthese poIicies° f coIonization,alⅡ ance bu1ding,

辛一一一一一一一~·一一 ;鞲

:Ⅰ瑟黼 、奋蛋赏茔圩茔苷蓿:撤诹浓扌摅 j∶∶薪⒒爰坩T⒉盥:丁r嚣硝l铙:∶∶:∶r潇孟I

章l:;;∶ 鞲言躅珏擞弼鞲膊摸胛:飙搏掇襻苒茧

鞯撰硼:躐劈程鞲嘁群擀allies(the s° c″、instead the treaties lequired them to缸 rnish con1ingents for the

篷鞲辙冁葚啜髁:窝 I∶:i∶∶tJ∶ 1:::1黹甘 怒 ∵ 留 笤冱 :甘:虽下甓 下

jⅠJ∶扌冱滗

overwhelming mihtary rorce to bear in puttlng down attempted KM“ ts0nly

v·lth the蓟 d ofa po诧 nt,eXternal source of m"⒒ a,strengh,such as Pyrr’lus in

281279BCE° r Hannibalin218-207BcE,Cotlld the auics h。 pe to break仟 ee

of Roman dominance,and a number ofthem d妃 descrt Vct四en du“ ng these

relat"ell brief ePisodcs,enough allies四 maincd loyalto enable Rome u"imately

to tum back the chauen莎 and rcstorc⒒shegcmony Ho△ ·/eVe‘ Roman hegcmon,,

if dl9tasteml and n°ttO be Pre炙 rred to⒍ eedom if the oppoItuniil/presented

⒒sdn was nexertheless in general not opPresslx· e In leturn for placing thcir m⒒ Ⅱ

泓:箔狱1琮忿l【社挠砝衷浠坛1J⒒;`Ι找扰羿暇11and ci“ zens we[e enuued t。 share in the fru"s of Roman Yictorics

In view ofthe Rcpubuc’ s succcss ln cnIarging thc numbe【 ofal1汩 s flom which

“could extract the wherew“ hal for wa‘ in弪nsincatIOn0f eXtrac“ on through an

{i:i∴ i!{!i∶ |∶ 〓 描 蓠 锚 鞒 潇 :盂狐

’

T罨 棣 l盅 踉 昱:∶九

一〓〓姜

Rol″ cn″ dC九讠″Π

檄蛐黜黼瀵摭槲

:∶墁:t瑟捃Jl甘更早ii11∶↑加J瑟:;;遐I∶叉拄1莨 :∶凫:蚤l:Ⅰ

sums lo the Roman treasury both h thc sh° t mn,as war reparattons fouΦ 〃

擀群l护l挂f亵:l撼耩 c骡璀另鞲:黻玄l:Ⅰ翌:F胃￡t吒 TT∶黥ir髁 :;:∶l屯:;I:∶ iJh

鞲渊蝌婪鹦露∷鲆逮:苫i:慰浼拧∷∴;;苷莒紫箔诺:丨Ⅰj;∶茗、抖帚锣:报揣Tolder to茹 curc their wiⅡ lig comPliance and their cnthustastiC particlPatjon in

c。mbat1"“ a【炻 these nlcent打 esseem to haW t。 ken thc form of Pohticd rights

ε浓n belorc the establishmcnt of曲 e RePub1ic,when Rome was stiI1goYemed

‰瑟紧罩苫:找胖献龃滥嬲昭墚ξ县捋bascd on an ed盯 gcd bodxr拼 ot】 zerls gave allthose whom he αpectcd to paltloˉ

舞:摊礤lf垂甘啻妻ll蛋莒再i苷驷硼

to r~。佰se mlllta〃 se r,·iCc at times when the cⅡ γ was血 grave dan留r丘om its

Vl/t16SrlFε FO″″,· fio″ ,n″ d MiΙ氵抑〃乃lxri“ 】:氵 o”s 弗

neighbors仍 rced a·varicty。 fcon∝ s“ons丘°m Rome、 pdtrioan rulers阝 These

induded the缸 ndamental otlzen oght of prOvo.r,rlo,that ls,appcal to由 e”d⒏

ment ofthe Peoplc仔om a magotrate`tap止 alsentencg KCo钾 lt。 n ofthe power

ofthe订 ibunes ofthe plcbs to ofer Protection against arbitrary ar〖 cst and Pun-

1· hmehtby magi遏 trate“ a voice in the condud ofthe re‘ p〃 乡`ic日

v∶a an assembly

№own asthe co″ ci加 ″·lp`c凸 0tlle abohtlon ofenslawment tor deb‘ and a malor

dteration in the comPOsition of the ruling dass订 ser岱 ac。nsequcnce of the

ope血ng up ofthe曲 lct magotraoes and Ⅱ estho° ds⑽ 收 dthy men ofPkbelan

stock艋e【 thenrstquarterofthethirdcentu.。 ≯h° wes/er Poli1icd kon∝ s“ons to

the ci0zcns by the RePub1ic’ s ru1ers grcw Ⅲuch lcss仃 equent such concessions,

°ne ma/supP。 se,were alw呷 s dota丈e缸1to the a0stocrati sinCe they hmjted lll

。ne way or another their Powerln the state and oVerits otizeIls,but Romc、 rul-

ers had l:ttk choic· ·since由e mil:“ 吖““atlon made ganting tllem imPerative

人Changc in t「 ,e mu⒒ ary situauon,h。 weⅤ e‘ madc Posslble a slli鼠 h the klnds

。f concesslons Rome、 r llers wcre prepared,o grant in eKhan旷 for ordinary

cit弦 cnζ milltarv变 wiCe

The RePublic‘ grcat victory at scntinum in295B C E broke thc back of a

grand coalition of its princtp斌 encmlt· s in Ital≯ tIle samnits,Etruscans,and

Gauls,and a oslng of the formcr h conncdlon witll Pyrrhus、 vktorics in

28l△ 279BCE w孙 b【 utauy suPpressed lollowing RoⅢ e’ s de】 cat of the EPrlot

klng in275B c E Therea丘 eⅡ no Italian opponc∏ t ever agaln Po‘ cd a serious

threat to thc Republic,and it o posslble that tho far lcss threatcning situation in

the penlPsula madc allstocrots much1ess ready to grant politicalrights and pow-

ers to ordinary Roman c止 izens Howe、 `e厶 it m吖 als° be true that tor the l扯 ter

tlle ProsPert° fagrcaterxolteinthecommunlγ 、dec∶sion m泳 血g Processes or

increashg【 y wel⒈ deε ned ovd rights grew less attmCtlle to浊 em,slnce the ler

r to“ 缸叭pans⒗ n拼 t№ RePubllc and the attendant由 sPer龃 ofthe山立m bodv

over an increa“ ng虹 wide area madc c⒒ ic and polltical rights,whΙ ch forthe most

part could onˇ bc eˇ rcised at Rome⒒ se⒒ of ⅡmC immedlate value hstead,

what may ha浓 comc to ma仗 er lar more to ordinary Romans were oPPo衣 uni-

ties钇 r Persona【 a山ancemcnt through warfar AJ· ter b破 des旷nerals reg谜a.lv

Par澜 ed thcir lcgions and p· esentcd decorat⒗ ns to foo⒈ soldiers and c肛 alryˉ

men who had dlsplayed excep‘lond gauant吖 by isklng the订 llves abo照 and

bevond tllc call of duru Thcse awards,1依 e the谁 n炳 of C「.lp e鸵 warring丈 ates,

enhanted the social and particLIlady lhe rehgious status ofthos~。 who won them

As PollbiⅡ rcports,onˇ these⑽ rts° fdCC0ratlons Wcre Pcrmitted to bc w【 ,rn in

reIig10us protessions sPolls taken佥 om an cncm/kⅢ ed,ll man to-man∞ mbat

、ere hung。 p outsidc由 c呐 ctors’ houscs They ser,ed岱 permaneIlt markcrs in

34 R° ″ig夕 ″dC加 i,】 日

l{Pob Ⅱ。,Ⅱ 9 IⅡ Gdh。 9^′′订卜‘而“2113

】8Po〗 u哂 J51-⒎ APⅡ an儿 e汕 〃"‰

阝●9bu R冖。d叩 I·

Ⅵ‰6s抑″助r泖“rio″ ,口 ″'M〃

氵掖”r,· sr犰〖rio″ s 35

creatlon of a哕 sort of pro欠 s“ on扭 bureallcn邮 扯ho岬 hjustlsed记 eob昏 tal″

by the ar“ tocratic ethos of pubuc ser1· lce,also in e篚 ect、ⅥDrked to Predude the

establishment ofan l△ stitutlon that could rivah怂 authoriCl in the state and sers e

as an instrument of domhation by a,s· tuld be mon肛 ch

Y∝ the弪nslon be啷 een the s趸 nate`Prattice of colIed加 ℃leadcrship of thc

sta侄 and the exlgel△ t demands ulat war c° uld impl,se was ncs/er resol,/ed It w,ls

rcΠccted structurally in the hstituuon ofthc di“ atQrshIp During thc fourth and

third centurles,mⅡ itary emergencics o丘 en led to the appointment of a diα atob

who had血 I1and unc° nstrained Power In o【dcrto de扭 with the cIi“ s Hoh/cvCs

dictato‘ served o「 ly forsLx monlhs,nottbe year曲 ,It othcr magistrates normaul/

held ofFce,and thls hmita“ on re佥 ec峦 d thc deeP su$picion within the a.istoα a吖

of concentradng to° much powerin the hands ofanv one ofis men,bers Ide° ˉ

loglcaⅡ≯the need fo keP such powcr with· ll bounds was αprcsscd血 1egen凼

°f ldealized heroes lllxe Cincl11natus,Who Was summoned佥om his rarm and

aPp。 inted dIctn。 tor to叼 Vc a R° man army曲 at the enemy had trapped onO

hc had accomplished ho mission,howcve厶 Cinon∏ atus laid down ho o铄 ce

and remrned to ho pl° w a mere员 众een da阝 a大er leavhg沈 沙For mo纹 of tlle

ReptlulL s hlst。 ˉ≯lhc ten“ on ber,v/een the nCCd for cile~tlV e mⅡ ltary⒗ ad,。 rsh】 P

h a crisis and thc dangcr曲 ,s could Pose to the aristocraq’ s co11ectWe ruIe was

obviated by the deep rcsewes of mⅡ ⒒a吖 power that Rome∞ uId brhg to bear

along olth a highIy eΠ℃ttWc ta.ticd svstem of】 l佰 nt吖 combat(on which,see

below)Togethes th6e fdct。 rs seCured Vitiory Kgularl1· enough to Permit the

praCtice of p1acing c。 mmand in the hands of Po1iticaⅡ y success钆 l mcmbers of

tle aostoσ aC,e· en ifthcy had evintcd htde p“ 。r aptitude for gencra1血 1。,or

had cwn kd Roman armtcsto de艮 ilt Mdl⒗,e猕 oencv in other words,,lelded

to the need to dt订 IbuⅡ h碚 h public°Invcs and bestQw honor wIdely among thc

征0toCraCy in order to lo斑er coheslon am° ngits members and p四 vcnt onc of a

few indi访duals f|om domi∏ athg pubhc⒒ 妾at Rome by virtue oftheir repcatcd

suCCcss on the batt1ene1d∶ l

Thc primaq°f polltks o爬 r warin Roman statelorm。tlon Continucd whcn a

mo∏aKhywasrees佗 bllshed in the latc⒔ rstccntury B c E’’C:讧I warhad en钾lred

most ofthe Roman wodd bebieen49and31BCE,although丘 ghting was not

conthuous These wars were ended by Rome、 nrst cmpcro6Augustus,who subˉ

sequentˇ established a long Ia文ing rule h27B c E that became the basis fOr

imperial g° s·ernmcnt o收 r the ensu,ng kcnturlcs lll do:ng⑽ ,Augustlls Cre砬ed

the gcrm oftl,e admlni针 rat"e and6且 ancia1bureaucraq dlat wouId lorm the

hstitudon·dl backbonc of dlat gormment Ⅱe also altered山e Roman m扭 itar”

蛋葚祺蚕蔓嚣蕃鞲砷l槲薮J鞲鞲攥斡鞲槭l鞲摄享斟l膦鞯搏辍髀and money d° nat1· /es were awarded a丘 er sucC6s钆 1campaigns These pra￠ ices

Were Conbnued by dllsubsequent empcr° rs∶j

⒕l逸厣扛潇菅甘批圣鞲弼髭牡蛋逆l掖F器:扌 盟⒒找廴垠冒扌宝⒒刂;唔

=苫

Ⅰ瞿T坩=cll,· and ofwhom at k凼 tsome consldered thcmsc"et as,sr。 rdhy ofsuprem仓 cy as

芏神斟鞋Ⅰ强棘;擀黼Ⅰl媒鞲:ξ∶l翠甯拣

r;找⒒器 技瑟黥鞘照t∶∶∶t刂 :∶坛愚Tj

buslIless th。 t now came withln ho pur,iel∮`∶

He also began to u货 men from伍 e

wealthy but nonsenatooal equestrian dass as lils agents lll thC Pro诮 nces sub$-

莴 兜 :rJ漫:;1默 :∶黥 瑟 ;T【扌】莒fI∶臂罗盅:∶T∶ ll∶∶群 愚芽

t"e dcpartments in lbe palace wkh△xed r。sponslbnltles oi,· er timc,emPe⒑ ls

娄擗玉苕亵裤芟1智裢题辍璀Ifl鞲玉蛋∶∶:∶ lI∵∶Ⅰ呷基1J昆圣以扌撬岁万蒜条惑‰r⒒茗虽【:∶群莲玉罨

⒊:∶扌琵瓦↓F默 :∶1骂牒配劈捃l黑罴骂胃混皙I嘿

abovc allelse and madc汪 J△e Paramou「 .tsource ofPe阝 0n破 presugq tlle sccond

愚j=∶黯尾甘絷絷茗蒜揽拌挂脎圹器惑捎窝弼the访ctories Rome`gcnera‘ won∞ me to Co“ dtute far and awa,the great6t

甜七:∶t陪茎:F强罴t℃菇t∶曹⒊岙:t哥 :逻 f∶丢鞘 :f嚣蚤氵皙

thc condutt of public business by“ rtue ofthem thi$nexus bebveen War,pcrˉ

son甚 prestige,and po1iticahnnucnce。 。丘cn thought to h猁 eb∝n a critical

element血 the Rcpublic、 bclllcosiγ bebvecn lllc fourth and曲 c丘 rst ccnturies

BcE,a1though the matter is con"oversid由 琰t四 en in thc丘 rst ccntur乃 when

othcr souKes of personal prestige were lllσ easing in importan.c,dle Cachct of

military gl,ry rem钫 ncd strrlng,and thc RcpubIic、 armics cont血 ued to be【 ed by

members of the senatorial cIass The closcst thlllg to a class of mⅡ ita叩 cxperts

,lt Rome ln th0Pe⒒ od w“ the访 rj″Ii`|矽 饣s(“ mⅡ itary mer9),aristoσ 衬$who

scrved flequcntly Jl po“ tlons of subordindtc command B“ the,wtre in no

senss。 prOIessional soldier岛 they wcrc merely members ofthc political dass who

compcted forthe弘 me high Public o伍 ccs and politicallnnuence dlat other sena

tors kild TheiΓ strate吖 was slmply,o focus thclr etIOrts prlmariˇ on miIitary

犯hic· /ement,the tladkional sourcc of glory at Rome,ratber than the klnds oF

endcavors Ilkc· orcnsic orator/or expertise iJl the l孙 that had recently come to

takc tllcir plac6alongside a m"ita吖 reputation as5our￠ s0f prcstige at Rome

Vlf16S抑'For″

I口扌汩冖,n″〃Vr,`氵 rr,l,· I‘扌灿￠氵o lls ″

wer ab1e to dra· ,曲 e upper dass6increasingly into conab。 raoon lli imPCrial

ru1e,and consequently the social statu$ofthose who nucd the p。 sit1ons within

the Pah∝ bureauσ∝y Ⅱ Weu aslhe provinoa1admini斑 radon rose dramatican≯

untn tHey comp“ scd th°δe丘 om thc top of thc social hlcrarthy ratbe【 than the

bottom"The needs° f war were responslb【 e for very ht⒒ e° f tll沁

Ho,ever,these adminotratl,/e refo〖 ms were by no means as llloroughg° ing

as those in the Chinese warring statcs,as thc ad h° c nature ofimPCrial Provin-

cial adminotr仓 uon dem。 nstrates b somc pro"nces were teChni“ uy under由 c

Contol ofthc scnak,an insututl。 n that CmPerors Preserved l△ om the Republl

臼n era akhough rcmadc so t「 li众 was coⅢ plete【 y sub父 r,ient to the emperors’

wohes Members of the senate gol/emed these provlntes,yet lhcsc governors

、泥re in efect imPeial aPP° illtees beca“ e of the empcrors’ abihOl to contro1

the dcci“ ons° f the senate Othσ prox/inccs the enpcro‘ g【lYerncd d涣 cds

tlhrough heutenants(`昭 nr扌 or p门 α‘m匆昭s),whik血 creasingy large Portiops oF

the empirc came to be。 wned by the om∝ 。f tllc empero⒈ Th6e areas,Ioo,

Were Con△ o11ed by imperial appointces(also te【 med Procuratorθ lNll,ere CllIna,

under the c。 nstant strc“ of wa6dewloped a cadrc of ProFessionaΙ c加 u sewan、

who wc爬 c状 ntually appointed dlrough a ogor° us αamlnation吖 stCm and wcr

quite dotinct from tlle。 1d Zhou nobi1iˇ”Rome、 cllql admhistrau° n rcmauled

s°cially much hke廴 he Repubhc、 The senatorial cIass丘⒒cd the toP pos"ions in

the impe“ al burcauσ aq(a1though ncarˇ dlI° fthc kading缸 miⅡ es durhg lhc

Repubhc had d`aPpeared lt° m the缒 nate`ranks bˇ the end ofthe丘 rst centur,

cE,and ncw ramnies had risen tO prOminence)and holders° flcsser Posts weK

drawn疗 om the wca1t” equ6讧ian dass No o幼 ecti屺 吵硬m° f evaΙ uatlon of

an individual senat° r’ s。 r equestrian’ s qualiIications for a post e3usted;rather

birth and Patr°nage were the keys to securing b° th the magistracies that b· erc

Pr° requisitc fo apPointmcntlo lIle top po“ dons withh lheimpe0aladmino订 a

tlon and those pos1tl。 ns them数 l·/es as well as any。 tIter‘ L.kewiw,there o no

widente of the klnd of盅r reaching social and economic englneerlng that Qin

putin place At most,one can poi∏ tto a hm⒒ed number ofc。 l° p】 al founda

tlons under the emPke thatimPosed unilOrm su.,ey墅 lds。 n the count叩 slde

surroundl】 lg them according to whlch么 uotmeIlts were aPp° r“°ned among the

setucls F。 rthe most partthe adminot【 a刂 on’ s raCh did n。 t cxtcnd to the locd

kveI,bllt,“ u∏ der thc Rcpubhc,the∝ ntmI go收rnment dependcd。 n thc c°°p

erati。 n° flocal chtes to c。 uect t狙 es and execlItc ks dkecu诞 s vnder Romc’ s丘rst

empero%ule censⅡ Was eXtended tO ho provinci缸 sublects d° ng wilh Romanc"izens i∏ order t。 estabhsh the habni〃 of the brmcr to taxat⒗ n Hσ eveⅡ

"勿

6s加招 助 ″″'打

o7‘ 口″

'Λ

历

`氵

m〃 如 s+J印 J砀Ⅱs 39

Thc pllmaq of pdktd° ver≮ rI.ψ mnita叩 riecds ma血 1ested tselt【 ,na

tac“ caI Ic爬 1。s wcu汐 The,阝 tcm0f lota1ion甘 command of armlcs has becn

all lded to ab° vc the RePubllc、 chlef maglstr。 t6,lIe t,vo∞ nsuk,we止 seleCtcd

by the Roman Yoters and腚 Ⅳcd only for a sin砂 e lea⒈ Reelcctlon became Pr。 ~

gre$Ⅱdy rarer bebvecn300and c151BcE,when“ was oudawe-aI⒗ gcthcr

(although extcptions wcre ocCasionaⅡ y made)This system meant ulat gCncrals

wh° had demonstrated rea1aPutude for command onˇ mrcl)'g° t矶 e chance to

1ead armies a second‘ ne The men who succeoded t.hem might have had con~

“derable expcrience as soldiers during⒖ clr”″en“ es,but therea殳 er the o伍ces

they held wcre mainly cWil;an lr characte⒈ They came to the taslx。 fleading the,r

armies untested in曲 e弭 erosc of oscra"c° mmand It沁 not surPr。 h⒏ thereˇ

fore,th破 妯 man in缸 ntry tac心 cs,based° n lcglons arrard in ma“ pI岱 ,remaincd

lar旷 Iy unchanged during the RePub⒒ c Even thc shi众 丘om1e昏°ns°rgani夕 d by

ma血 Ples to° nc dmWn up by cohor“ rePrescntcd m缸 nl1· a.rc丘 nement of曲 e

eadier technIque The Roman诲 cticd wstem had to be stra启 h·for’·a记 cnough

lo bc ma6tred by a general who had ncver e欢 rciscd overau command。 f an

army befo,e(exen tlough prc“ ous exPerlence ll△ ght havc shown him how the

s冷侄m lvorkd)T「 ,c maIuptllaˉ k∮°ns were hl曲 ″换 山ve Irl∞m漉 t,as tFke

RcPublic’ s many“ ct° ries a迁 cst,and the leglons°唱anizCd lnto coh。 rts that suc

cecdcd thcm werc e、 `en more so,so there was1itde lllcentiVc to cha∏ gc As a

Copsequm。 e,the eˇ cctatlon ol suCCess ln bat诬 on thelaso ola pr0昭 n ta。 tlC缸

s阝tem simp灯 reinforced tlhc tendency to g11e pn° rIγ to the PoIitical nceds of

the aristocraq nther t.han cmphaslze exPer诒 n∝ and demonst.atcd success h

sele∝ ng generals at R°meThIk rePub1ican lllteg【 ati。 n° f civil∶ an and military leadcrshIp withh大 s aos

toCraCy caⅡied°vcr into the empte,in keeplllg witll the dalm of August“ lo

hax/e“ resto犯 d the Repubhc'B∝ ause emper。 rs determined wh° held thc hIghest

public ofnces,arist° Crats who∞ ughtthcm were forCed to become their Couabo

rato【 s in orderto obtain the5e hon°rs,which they needed in° rder to validate山 e

eΙ ite s。 o扭 st缸 us they had inhc"铵 d。 r to which thev aspi,ed Nthough o【 rau

command ofR° me、 a.mies was∏ 。w vested h the eⅢ pcror himsdG h practice

day△od呷 c°mmand。 fthe legions waslll thc hands ofimperlaI aPpointees,a1so

tcIJnled妇 ‘'r`,who we四

drawn ffom tlle ra砥 s° f those senat° rs who had been

al1owed to ho1d the higher pubIic magi$tracics These men were no more mⅡ itary

spcoalots than their RepubIican predecessors had been They had b picauy held

a varie印 oflower c订 山an and mi1i妞 ry posts Phor to aPP° intment as a lcgatc°f

a“ ngIe legion or a gr。 uP° fp吖 00r three Iegi。 ns \~%at secured these Po“ ti。 ns

w孙 ,nrst,l。 田〃to tlle reigning empcror and,sec° nd,thc patronage of【 hosc x,△·Jl

lnnuence wi廴 h the cmPeror。 r the personal rriendshlp。 fthe emperor himsdf

括羁弼甜撼 :滞T里茗;;:m黥F烈s琵甜裱

藜躏赚黼曜嫩珊 :

∷∷一∷一∷∷一一~一一一一一一一∷一一∷∷一一∷一∷一一~_~._~一

.~一

一一_一一∷∷一

黻 :弼萎弹蜡靼进茁Ⅳ督熟r茹数°rv″“‘,were What enabled him Io lead in either a civillln or a md⒒

ary capaLⅡ”

鳙 〖::lt丨 吾丨黼 iIi寸lJI∶l

wars had to be lought,emperors fiequently took the负 eld at the head of tllei【

forccs,even r tlley did not usuauy lead troops into batde and relied on othcrs

to handle the strategiC,tactica1and l。 glstical detaik of thclr c。 mpalgns b/hen

emperors were not presentin pcrson,overau∞ mmand in such cascs rested wΙ h

dosc reh0v/es,lIsu仓 ll△·sons and su∝ essors VlClories were ascrlbed to an cmPcr-

°r、 Per∞ nal divine sptit or gell仃 ‘,and aⅡ were celcbra使 d血 ho name,ex cn if

he had not been Present Ind∞ d,tbe uue。 f emPeror derlves臼 omj″ lpemro6an

accolade bestowed up° n a victooous gCneral by his troops under the Republic

The dlfteren∝ ·,lth the advent oFtlle nonarchy wⅡ that n泖 there was onˇ oI’ e

昭 F1∶N蹴 托 :lfr钭窟 ;∶Ⅰ甘l∶∶∶111吾 t∶∶∶∶:∶ ;甘1瑟 瑟 岩 县

foundauons° fimperialrule The四 publican notion that serviCe to thc state was

tb.e baso tor Po【 i‘ca1authOrio/and leadcrshiP was madc to sen· e the ends of

monarchy through the emPerors’ monopoly ox· er st山 bene丘 ts^Jd slnce“c

tory In war s‘ lI rcpresented,asit had underthe Repubhc,thc Param° unt se「吐Ce

to Rome,田 ch vi.iory an emperor、 armies w° n became a turther con⒖ rmauon

ofthe1egitimacy of h`rule川

Relations bebi· een dle ovllian chte and miIitary leaders in`Varr△ ng statcs

China哎 and in sharp contrastto the situation at Rome〕∶ThCre the dcstruction of

the zhou n。 bⅡi~du。 ng tlle wars ofthe sPring and Autumn pe“ od and the rise

of warfare insolving m凼 s armies ulat rcquired a,· e吖 dilfercnt sct of skⅡ s than

indix/ldual nghting Prowess oPened the wal lorthe c【 eatlon ofa dass of m让 itary

sp∝ ia1is‘ these men wcrc comⅢ oners and prolesslonals,llkc thcir counterPar`

血 the bureaucra9∴

^md1dke lhem,muita呷

c。mmanders owed由 orpo‘itions to

traIning and dcmonstratcd c。 mPctencC They n° t only commanded trlc anllics

ofthe、v征

"ng states but were o丘

en the autIl° rs oftheo【 ct∶ cal works on warfarc,

such as sun犭 、%gArr qfll/n'Indeed,the abⅡ t,to command successfLlˇ came

to be assocIated with ma文 ery of a body of such弪 xts ratller than a gcneral、

血nate Personal capabnities Tho hterature stressed not OIlly d治 oplheln manˉ

aging mass armies buttrickeγ and deceitin the∞ nduct of m∶litary operations,

42 Rol|c四 ″'C`li冫

】n

Waslo deempha“ ze the rolc ofthe mi】 itarv sPccIa"sts who had emergcd durlng

the、 Varring states perIod,lo idcntifv· the military svlth ovil so0et,arld-as at

Rom←△o char水 terize the rder as the naturalleader ofboth Thls llne ofthint

lng graduauy p妲xaiIed and ukimatel·/Pr。foundly a限 cted mⅡ itaΙˉ,`Command

duringthe Han and hter dv,lasties

(Flor thc PhiIosophers who asserted that the sooaΙ ordcr depended on

tle trus6vorthiness of the ruler in h内 “tuds or punlshmcnts,thc daims

to autonomy of an art Ⅱ e,⒍ ∞mmandl bascd on manIpdallon and

dec⒋ t、 vcrc c1carΙ y unaccePt。 ble this弪 nsion o rc盘cCted in the histor/

ofthe Han o伍 cer corps,where po,i,· e雨J,sem⒈ indePendent command

crs olthe m止tary dlle of由 e ClVJ l^`(∶ r and ea巾 decades lvere graduauy

suPp1anted by鸭 ents of the court with no military exPerience,and m⒒ iˉ

tary c° mmand ultimatdy became thc prr,vlnCc of imperlal a伍 ncs and

courde阝 cho铷 n lor thcir obedlence rather than their钛 Ⅲ Thetr血mphof opologots for autocraC/over dle claims of expertise hi“ atcd both the

longˉ term dev剞 uauon of mⅡita~∞ mⅢandin ch血a and the emergent

ideal oftl,elitefary man who was able whcn necessary to brlng his gencral

skius t。 bca〖 on mⅡitar/command歹

Thls culture of al△ timilita“sm was made poss曲 le to a consIderablc degrcc

because lor scv· erd∝ nturies foIlowing lhe foundatlo血 ofthe empire by Qin in

221B C E and then,after a perlod of ct△ ·Ⅱ war,lhe cstab1shment of the Han

dyn孙“ Chha由 d not hLe a mllItaq ch龃 engc On“ s borde‘ th缸 皿riousˇ

thrcatened i‘ e疝 stcnce At dlls“ me,伍 e emPre、 most potent opp° nents w·ere

tlle Xjongnu,nomadlc ho阝⒏archers I"ing on the stePpe north ofC“ na羽 The订

mobdiγ and nre P。 we【 Presentcd an insunllountable tactical challenge lo the

Qin and earˇ Ha∏ cmpies’ slow moving infant〃 amles,and the fact that tllc

hve1dlood ofthe》 乙ongnu depended Ⅸdus"ely on n。 cks thatcotud be easⅡ y and

quic妃y moved when danger threatencd made them economicauy nvuherable

to any mil:ta吖 camPaign that China could mount B∝ ause the stcppc was too

arid to suPP° rt the agrIculture that was the esscntial∝ onomt basls for Chincse

socicⅡ tlle emPire c° uld not hold caPtured tCrritorv by6tabllshing colonles

°f Peasants to support garrisons of soldiers,whilc the c。 st of transPorting tood

and other necessitics trom dle.enter to largc c° ncentra“ons of troops on’ dle

perIphe吖 proved to be prohlbiti1· eˇ eˇcns"eH。we诉s dcsPitc the mdlta叩

srength ofthe Xaongnu,tll呷 ncxer represented a seoous tllrcat Φ the imperlal

govemmcnt’ s exjstence CllIna、 much larger Populatlon dwaned their numbcrs,

、,,n△ ~qlnrε 助″Ⅱ田|氵。″,n"″ M″ iFl,〃 h‘ r`ll"olls +l

thc abili〃 lo Penctrnte an encmy、 stratagems and to mask one、 °lvn灿△crmsat Romc the abihty to win mⅡ itary vict° ries formcd the basis lor authorit,in

lhe civillan sphere,i且 Chl】 la thls aPProach to st【 aIegy and tacucs put warfare at

odds with the basis ofa rule`s Iegit岫 acy As Lewis puts it,“ The prince,whether

as the morq。 l eXemplar° ffne C° nlGuCians° r thc dotrIbutor。 frewards and punˉ

ohments ofthe L鸲 ahsts,∞ uld only ruIe ifh△ c°mmands、 ,ere truso△·ortl艹 s°

the dece"and订 lckery that denned the sIrdy of the commanders undercut thje

founda"°ns° f thc、 say of the rulc⒈”’l To rcsolve this diIcmma,somc Chincse

Phu。 s。Phers a唱 ued that、 var and the miIitar/c° nsututed a四 alm separate and

d峦“nct丘 on tlhc civuian w。 dd,so that what was accePtablC and ne￠ ssary thcre

dld notimpIn黟 up° n the rde⒈ Consequentˇ they argued,commandcrsin the

ndd c。 uld n。 tbe c° nt【。lled by rukrs and t。 attempt lo d。 s° w。 uld lead to

dlsasle⒈ The ruIc‘ when hc lcrmalIy invested a general witn hls c° mmand byteremoniously handing him an ax in the ruler、 ancestal tempIe,at lhe same

time granted him abs° lute and auton°mous authoriγ during hls∞ nduct ofthecampa坨卩 To nI止her undersc° re that seParatlon,tllc armv"ser used dodling,

language,and ritual$that wcre d抬 “nctfrom the ckihan w。 ddHolve△·e△ tllIs Posl刂 °n was strongly oPposed by scholars of b° th the LegaⅡ st

and C° n血 oan sch° °b,wh° in“ sted° n“the unquesu。 ned铋 premacy。 f a rulcr

wh° uPheld the s。 oal° rder through proPer laws or appropriate r⒒ ualsJ’;(Thls

prcmoe led each sch° °1for different reas° ns,to d趸 ny the proprie吖 ofand nccdfor a separate miⅡ ta〃 sphere go浓 rncd by its°wn dotinct sorts° f rules Thelr

a呜umcnts in either case b鲳 an with the asscrtlon tllat a vlrtuoⅡ rtller at the

head of a Propedy c° nstitlIted state had no necd° f lhe dexcr st【 ata莎ms andtrickery tlat mⅡ t【ary writers insisted that war required For die Con乩 oans andthe Legali“ s alike,the conduct of war was merely an asPed° f sooal rda刂°n⒌1`propedy g°迎med Pe°P1e wasthe baso of m"ita〃 polvcr the访 rtues ofth￠

找 骢 陬 翟忑:盂u以描:缧 猛J瑟 胃嚣找 捃 背郢 嫘

char∝ tehzed b,/harmoIly be“ 爬eIl the rder and llIs su9eCts and,ne h whkh

a PrOPcr hierarchl/existed am° Πg them since the arm/was idendcal with the

People,the proPer hierarchy and的 rmauons within the a【 my w° uld aose n扯 urauy。 ut。 f a properll° ldcrcd‘ocle弘 soldiels w° dd bellnked by由 esame‘ es

of obedIcncc and a【 fcct⒗ n that unⅡed famⅡ ies For the Legalists,° n the o曲 er

hand,“ the army was the prima〖 y form° f° rgani犭 ng the pe。 ple,so the tech~

nIqucs that PrcscBzed sooal° rdcr also mahtaiⅡ ed disclPIlne ul the arm” andn° seParatc mⅡ itary arts were ncedCd” ∶‘Thec° nsequence of dlis hne ofthought

ll【 l巧 5仰 re lˉ or羽 夕汀o刀 ,刀`Id IVjrl`氵

抑 l/tⅡ‘`而"°

″s 弱

but m° reimP°rtandu the centraI a△ nl° fthe Ⅺ°n叩 u rlucrs’ s“atcgy lvas not to

conqucr Chincse ter“ tory_forthe Ⅺongnu had no des订 c lo bec。 mc farmers

撤槲擞鹦鞲蕊they could not grow° r manufacturo themseIles The Ⅺ。ngnu statein efect was

搬 濯 瘛 黜 槲鞲

在擗

鞑报硼樊 撼 鞲鞲嘏旷菇1隘眨Ⅰ趑嚣挡逮;∶lrt秽潇吁变J∶茧T丨:茛扌1∶Ffea鸵

∞ng

际m∶姓f∶:标耆扌Ⅰ’i拣窝赁If嗲撬扌v蔡抵 :l:漱re拒

甚摹麒 雠髑髑 盔数槲

黼 鹦槭 蕨带迤翮 蔡opment Posslble,especlauy the situat】 on on the付 ontic阝 Nelther tlle Han ruIers

·∷∷∷一一∷∷∷∷∷·_~一∷一一∷一∷一一~一一∷_一__

一△__~一∷≡

艹 Ro`"eJ溯 Ch`Hd

nor Rom宫 s emperors for most of the6rst bvo Centuries of tllCir rule fa∝ d diK

m山 ta” thrcat$⒍ om beyond their borders Hence,each could assign command

on thc ba“ s ofc“teoa oth钉 tl△ an1raining,skⅡ l,and experiente at⒒ tlC cost to

tne emp订 e、 mihta〃 po“ tlon

3 ′vAR ΛND sT^TE F0RM八 TION II

The changed nature oftbe mihtary thKaf伍 cing trle Q讠 n dynaso/and ks succesˉ

so6the Han,扭 so culminatcd in the aboliti° n°f"ass armles a∏ d lhc sy$tem of

unlversal maIe∞nscription upon、 vh1ch they depended under the Eastcrn Han

d” asty(2卜 夕OcE)in30△ l CEΙ°The hrgc In%lltry arm诒 s oflhc Walrlng

states era had bee∏ develoPed to combat simnar armles neldcd by曲 C varlo us

Chinese‘ tates Contending for power during that period0ncc Qin had。 verˉ

come ks“ l/a‘ and estabushed chinas irst unlversa1empirc,tllc nced for wa⒈

fare against otrler Chhese armks vanished,sa收 for pe“ ods of clvi1war ltke

th。 se that brought ab° ut the faⅡ of Qin ln206and the establishmcnt ofthc Han

由ηas刂 in汪s place in iO2But tllese outbre瑟 s we四 rafe tllereanes and c。 nˉ

scqucntˇ ll,e necd lor mass armles and univ/crsal md"ary serv:ce di狃 Ppearcd

lnstead,the Ⅲihtary focus under the Han shi丘 ed fo the northern frontier and

fne XJongnu,agal.,st wh0m,as noted aboκ ,mass lilrant吖 armIe‘ we【e la昭 ely

lnelfective D￠ tnse agaInst this sort of hIghly mobⅡ c enemy requked lon⒏ se⒈

vice gar“ s。ns to Prote“ distant⒍ontiers and,ldeany,armies ofmounted archers

that∞ uld mec"he Ⅺongnu on tlleir own terms In h0etforts to conquCr tllcm,

tlle Empcror Wttdi began to remal【 e theimperi扭 armv,emp1oying la呜 ec° rps of

mounted trooPs as weⅡ as professlonal soldiers durlng ho campaigns川 H°w~

el/er,s讠 nce horses cannot easⅡy be raoed in tbe great rive【 valleys that⒗ rmed the

Chinese heaIt1and owing lo unsultable en诚 ronmentd condltions,emPero^had

to seck horses and horscmcn in the north,and tht meallt that the best sollilers

with which to combat the托 ongnu were other Ⅺongnu Eastern Hon empcrors

began therefore to cmpIoy trlbes ofsouthern冫 1ongnu,who had,ost outin a clvⅡ

war against thcir northern cousins and who sllbsequendy surrendered lo the

emperor to opp。 sc thc latte⒈ TO man the garrisons that guarded the仔 ontlcr and

als° watched over由 e emPire、 barba“ an allies,xzolunt∞ rs and convlc‘ reprIcwd

rrom death scntences Proved much m。 re sultablc tban peasants conscriPted fo【

onˇ a烬 ar。 r。,lo ata tmle These lorces and smau gaⅡ is。 ns ofel∶ te troops lIl tbe

~entcr to protcctthe empα or formcd the Eas便 rn Han mlIltary for much ofthat

dmasγ ’s history Tho reofgan讫 auon o¤ tred dle addItIOnd advantages砥 hr⒌ ,

secun%“ nce— as at Rome underthc emp订 c-these sorts of soldiers obx/啦 ed

l吻 6s抑 FF Fo″ ″nrio″ ,n″ d Vrj`i加 〃 l″ s|iⅡ !扌 lo`is 45

the dangσ thata c° mmandcr would win theloya【 〃of h。 arm/of peasant conˉ

scripts and lead them in an attcmPt to oserthrow thc】 elgning emperor and,scc

ond,econo"≯ “nCe these smallcr钆 rccs were much chcaperto run In1ts former

asPect,Chlna、 shi丘 to professlonal soldiers paraⅡ els thc sImⅡ ar imovation by

Romds员rst cmpe【 °rh、 goa1,too,was Politicdl securitv for ho Iegime m° Kthan miIitary eficcti屺 ness

Th、 s阝tem was la.gdy5uccessfuI at dercatt,lg thc threat of the northcrn

卜乙ongnu by the end°fthe nrst century c E,but that very success provcd disas-

trous tQ tlle Eustcrn Han￡ Vlll∶ ke thc legIoΠ a“ es ofimperial Rome,armies of

balborians and convicts cvinvcd htde loy破 〃to thC state,whⅡ e the emPte、 bar~

barian aIIies,oncethenorthcrn Ⅺongnu had been defeatcd,lostthc△ imPortance

t° 由cc° urt and hence the sub“ dles that had been the Poce oftheIr cooperatlon

Consequendy,they turned to Plunde‘ and bccause so many。 fthem had becn

brought hto the emPirc,the garroons Pro收 d lncapable of deterrlr,g their

attacks lvI°rc scrious was tlle fact that the main threat to China’ s bordcrs in the

second centu〃 came now rrom the、vestin the persons ofthc Qiang Thc clabo

rate border fortiscations,espeoally the C四 at lAdll,devel° ped to defcnd agai∏ st

the northcrn nomads,ls· cre。 f no usc against a threat cmanating犰 m the west

Further cor.p11tating thc problem of defe灬 e was the兔 ct that thc Qlang had

no oˇ erarchI】 lg poIidcal°Ider and dld not brm large c° nfederaclcs as had thc

Ⅺongnu the$e facts made negotia“ on di伍 cu⒒ ,whi1e dle erects。 fmiIita吖 vk-

torles were hmited。 nly to the speonc“ lb卟 conqucred The solutlon of estab

hshing col° nles° f Chinese Peasants in the b。 rder regions in order t。 Protectthe c° nqueFd t“ bcs and b“ ng由 e Qlang into tlle Han economic and pohticd

s阝tem loundefed° n lhe dlmcul“ cs。F maintalnIng agr】 tultural commuIliues ul

the a“ d westin the r。ce of曲e constant depredations of the Qiang and on the

αPense of supporting tllem when theV could not feed由emsdκ s FInaIlv the

deci‘ lon to mo趵 thc cap"alto Luo叩 ng in the eastern part ofthc empke lr thc

e衍ˇn‘ t centtIry c E kd to thc ascendaIlq of四 sternc阝 at Court,、vhⅡe inter-

estin western m改 tcrs was very hmitcd Ultunatel乒 asthe Han g。 vernmcndclst

Con"ol of the western⒍ on"er,pr° vinoal governors began to take the initiat,e

ul defense thc forces thcy led began to devel° p into Pri叼 te amles undcr the

control° f great families wh° ‘e loyal,was to thelr c°mmanders The resuk was

the breakup° f the Han miIita〃 svstem and a l°“°f control of wanare by theCourt that ul“ matdy contributed to the c° 1lapse ofthe d/nasⅡ

The Han`fadure to c。 n订 ol Ⅱs Western丘 on‘ers therefore led to serious m山 -

tary Problems,which in turn brought witl· them slgni丘 ca∏ t threats to dle rul-

hg dsnl凼 o,dthou凼 not Φ曲e cmplre lt【 dfs洫 llar Prouems at R。 me№uuProve even more dire lNl刂 or mⅡita呼 山reats on Its n。rthern iontkrs had a“ sen

、吻 ‘sJ日 rc ror旧 〃″°″,四 ″″△饣

`jf..ˉ

,.ilas扌iⅡ FioⅡ‘ ψ

samc“ mc,mobile neld armles,which constitutcd“ 扭to∮ c resCwes,Werc Created

tO【 u.●h to troubk spo‘ and strlke at attac妊 ng forces艹 E田 n more importantw“ the decisi。n of the emperor Dlodetian(Ⅱ 28艹305cE)In286c E to cre-ate a ser。nd,cocmpσ or to g° xern the western half° fthe empire and lhen to

supPlv both himser and his c。 regellt w“ h se∞ ndsˉ ln-∞mmand and eventua1suc.essors,styled Caesars构 thls d订 islon oF respon“ bdlγ among four rulers,whIch ls termed lllc tetraKhy,permitted a much doser m° nItoring° fthc ion-tiers fJlan had been poss1ble under a single empcror,and bccause each lctra【 ch

commanded h芯 own εeld arm弘 a mihta〃 emergenq on my仟 onder∞ uld bc

Ⅲct much more swimy and cHtct"dy Howeve6this regnle not omy au。 wedlor a much bettcr dcfen贸 against externaI threats but,equally imPortant,slmu1ˉ

tancOudy lvas ablc to put an cnd lo cil/II war for many vears becausc a p° ten“al

usurper nolv taCed tlle chaⅡ enge° f overlhroWing not。 ne ruler but histhKe co1-

leagues as we⒒ ln order to secure PolvC⒈ In addiⅡ on,tlle posi“ °n ofthe emPerorh】 mse1f thanged Jl rcsP° nse to thc m⒒ ta〃 and PolltIcal c【 isis。 fthe third ccn

tu砰 Under Λugust,Jsand m° st。 fhls su∝ essors,the distance betv△ ·ecn emPcrorsapd lh蔚 r su切 ec‘ ,pa“ kuhdy at the hlgllc“ soo扭 kYc‘ ,had not been grea←successnIl cmperors presented an imagc of c。 mi″ wkh members° f the scnato-

rial dass wh】 lc au emperors claimed to be“ leuow~s。 ldIers” of thc kglonaIks

Dtode“an,howew‘ inaugurated a r,uch diB℃ rent stance of empcrors toward

曲elr su向 ec‘ Emperors n【 ,lv began to Ⅱve血 dccp secluslo∏ Access ω由cm ivas

h熄 hl,· restric饣d and surroundcd by elaborate￠ remory nnd p∞ tocol IIltended

to eX,oke al△·e Ⅱdrc1· erenCe in th荀 rsubleds hlgh and lo⒒ Thealm wasto d四 ate

the Pcrson of山 e empe【 or to a status b呷 ond merely human and sl,in,Jl沁 w呷to ward off attempts to°Ⅱ〖thmw him on the pr.。 【umpti。 n th扯 n° mere m° rtal

could takc his Place Dlodetlan、 s° Iuti°n ofthe p。 htical crisIs i∏ turn enabkdthe tctrarchs to c。 ncentrate their encrgies on the emP订 c’s foreign loes,which

‘;1】 ∶lauy brt,ught由 e Iluhtarv Ⅱ砧 ω aIlend Even岱 t,ugh伍 e teoarˇ d记 n。 t

⒗ng suⅣi彳 ⒒s tounder and oYⅡ war° n∞ ag。 lll led fo the estabhshment of a

su△gIe emper°‘the chan墅 s∶n the mⅡ ita叩 and go田mment dlat DIOcle刂an put

hto place brought tlle emplre a century° f Protectlon

HOlvc· eⅡ 伍c resoIution° fthe emPire`曲 ird tcntu吖 c“ sis did notcome with-

默

罚 弼 F烈 换 Ⅸ lT鞋 莓 瑕 扌靳 梅 枷 1we⒒ The empire`mmtary estabhshmem doubled in“ze,and dlo enlargemcntnecessitated a dramatic Inσease由 taxa"on to PaV佰rit And thc cIcvation° fthe

证J∶、刂1∶}∶岛昭黟:I滥蔬⒘哭;足芯⒈:⒊ ;∶】∶:{l汪:f狲掇∶￡备‰m:j:恕“°n。 f u nesv

艹6 Ro″ 1e'冖 lJ Cl汀`】

t。

∷一∷∷∷∷~∷∷∷∷∷∷~∷∷∷∷∷∷∷一∷∷∷∷一∷∷∷∷一一∷∷∷∷∷一∷∷∷一一一∷~∷_一一一∷一一∷∷一一~一一~一一一一

∷∷∷∷∷∷∷∷∷∷∷∷~∷∷一一一∷∷一∷∷一一一∷∷一∷一一一~一一一_~∷

~一一一

~~~_一

~_一一一一一一∷一一一一一_

4s R口 冫氵Iε n″ d Chi冖 四

辅黼:鞭撤黼簧莲硼胥搀‖鞋:蓬茧胛垂鞯罐镞鞲虽槲l;章f:扌扌i啻霪:撖鞲蛐谶鞯槲 瑟醌 槲 鲫a众cr their Ktirement or d臼 th Members ofthc provinod uPPer das父s9Who

槲 槲 鞲营葚槲嬲撤茁主蕃耱

潆耱槲

Ⅵ勿Ⅱs扌口rc For`l,nrio″ ,夕`】'Mj`i抑

r'I⒎】sri巾 ″丿o″ s 49

either to rpsist or atleast control these incursions,for reasons lllat go weu bey。 nd

tlle scoPe of th。 chapter As in Han China,h° we,/c‘ Part of the problem1ay1n

the deo“ on of wes泌rn emPcroIs lo emPloy t【 oops drawn丘om some oflhc

lccent barbarian immigrants who served h their natl△ ,e tornatlons undcr their

own ru1ers Empcrors had recour熊 tQ them because plaguc and other兔 ctors had

Causcd the empi四

`populauon t。

dFchnc,ma⒗ ng recrul:s di伍cult to nnd but

uno∝upied缸 rmland plen‘ 乩l Hen∝ ,lne decislon to auoW ba【baoan m鸠 rants

to setde in ROman tcⅡ ito呼 h exchan旷 fOr mLlt,iry service seemed h如 a sdtl

don to oxo prob1ems"onve However,thc loya1o,/° f tllesc trooPs,lk the Han

dynas,`barbarian alhcs,was di岱 Cultto dePend on,and thclr mnitarv c钎ocˉ

dvene$was。 丘en questi。 nablc Ukimatel≯ emPero【 s in the west simP1y肛 ew

less and less ablc to govern the pro访 nces thcy n° minaⅡ y ruled,even Ital,itself

unt⒒ 丘nall,a new emPeror simPIy fdⅡ ed to bc nominated whe∏ h`PredeLcsˉ

sor佗 ll Instead,in a constellation° f successor states in the、 V唠 t,nonˉ Roman,

immigrant d nlastics rtled曲 。t eventuauy钇 呜cd ties with the o妃 Roman ru卜

hg classes ln their弪Ⅱitorics In the East,however,lmpeoal governmcllt pω 攻d

much more resilient,even endeavoring to.econquer much of由 e Mfest in the

鸵/enth centtlr≯ until the cmergcnce and conquests ofIslam dePr"ed☆ of much

of its,erritor≯ 1mPerlaI governmentin China,by contrast,surVⅣ ed because its

mo“ po,,er钆 1cxtcrnaΙ multary challengc camc⒍ om opPonents Who WeK eco

logically quite din、 rentand who,con鸵 quentl≯ sought notto invade and occupy

its territories but on】 y cxtrad materia1bencnts ll。 m止 ,whtch tonicdˇ g"e

t「 em a powcrftllstak in cnsu^ngthe emPte’ s su卩 lVal

Cl臼 d弘 war profoundly a陲 ~ted the订丙eCto咸 Cs°fstate rorn,atlon in Chhla and

Rome ltlstas dead乒 howcx· er,thc severiγ ofthe threats each Con丘 。nted≮r°ngiy

.l nuenced thosc攵 r匆 ect° ries Ιn spring and All“ mn and、 Varring states China,

amd0state wstem in w“ ch each coⅢ pOnentc"oycd a rc ugh Pario/of stren砂 h

缸Ⅱcd to leach a staue baIanco。 f PoweL$The uncertahV of aⅡ iances and t|le

e疝stcn“dl lhreat that e犯 h statc Iaced forced lhcm all to dc,/clop h wa,s that

maxlmized the订 ab扭 i氵 to α订aCt仔om thelr own su匀 ec^the nnancid and man

P。 wCr rcsouKes they needed to defend tlemselx· es and oveIcome tbeir oPpo

nents Thc p∞ cess imp° scd higHy bureaucrat该 ed￠ntral admInlstrations upon

their socleties Capablc of exiending thc governmenrs reach dovm to the le⒕ 【°f

nve h。 usellold unks赳 thou吵 Latlum dtlrhg the earˇ Repubht reP￠ sented a

“mdar mulus妇 tc Ψstem,the哎 ates"comprocd all tac· d the addltIOnal Chal-

knge。 fa c°rnmon祭 ternal threat that brced tllcm to hIld W呷 s of coopcrathg

一∷~∷∷∷一一〓一~∷〓∷∷一_

∷一~~∷∷~∷∷一一一一~∷一_~~一一一一一∷~∷∷一一一~~∷

50 R0′″召四″′C`]i″夕

in° lGer t。 su卩i状 Coalition bundlng at R。 me substituted允 r lIlcreashg the

g。 vernment’ s abihr,zto squeeze nore men and money out oflts citizcn p。 pu1a

tlon CruoaⅡ≯too,R° mc ha【 l oκrthownits monaKhy(trad509:cE),wh1e

in Chha thatfo【 m ofgoVernmentrem茹 ned unques“ °ned Thus,Romelacked a

Central auth° rio/around whIch a bu疋 aucratiC admlni从 ration could coalesce In

the汕 sen∝ of a mihtar/threat伍 at wotlld havc compeⅡ ed Rome to de伙 IoP in

the、旧ys tnlt C缸na dld and becausc coali1ion bunding and,a丘 er338BCE,thc

inc° rporati。 n of many non Romans hto the Rcpublic’ s ouzen b。 dy enabIed⒒

to meet succe$ftllˇ the threats止 did face,the a“ stoσ ac/s sel:interests cou1d

detcrⅢine how the Roman“ atc eVolved These hterests entaⅡ cd,员阝t,Prewnt^

ing any slng1e aristoσ at or small佰 .tion佥om galning control of thc Rcpublic

and,sccond,PreservtIig a s,stcm of anstocr酞 lv control over the ckizcnry based

on pcrsonaI prestige and patronage Each mditated strongIy against山 e estabˉ

lishment of a burcaucratiC admlnistration that c° uΙd displace the vertical h】 △kb

of patlonagc,llat tied ordina吖 ROmans to those in Powσ or chaⅡ enge aristo-

cratic conscnsus in dle senate as the dominant organ Controlling public af陌 irs

0n1ya丘 er aristocrauC po,ier w孙 oV。 r·Jlrown could the丘rst empc【 or beg,n to

estabhsh ju钲 such a s阝 tem to c° ntro1缸 semplrc Yet Romm imperla’ adminls

trafion during its nrst t,l° ∝ntLries nex/Cr Progressed as昆 r down that road as

Warring states China had,in1arge part bccause patronage and ideoIog/along

wkh a hmited bureaucrac Were adequatc to d,e ta酞 ofgδ吞血ng d△e emPire

Not untn the m⒒ ⒒ary and poIitkal σlso of伍 el△ird∝ntu叩 dld the e斑 genoes

of w征 on∞ again become the dom.llant钇 rce shaPing state formadon,forcing

thc creation of the sort of eXtensive and intrusive bureaucraCy that Ch∶ na had

dcvcloped ccnturies eadie⒈

The nature of lhe threats that each empire faccd,their severi0,and p。 litical

佰ctors als° auected who was mobnized for war as weI1丕 how they were mobi

lized and kd The danger of utter ann小 Ⅱatlo丑 fo△ Ced thc goxemme"s of spring

and Autumn and Warrtng states China to mo收 fiom Warfare as a∏ ehte monoPˉ

。虹to as泠tem° f mass cOIlsCiption and to o熊 r stlbst。ntial matcria1rcwa记 s(as

we鞋 as penalties)in e“ hange.ror the Particlpa‘on of ordina吖 sllblcc“ h由eir

kingdoms’ wars A cl孙 s of mihury cxpcrts dcvel° pcd at the mmc time to lead

thcse new tγ pes of campaigns,mcn whose origins apd tra:ning ParaueIed thc

cadres of扪 m△ nistnt如e bureauCrats that Wcrc belng钇 rmed atthc same吐 me

0nce the armlcs of Qln had vanquishcd its r"als,hc△△e浓‘mass l"ics were

gladuall· /山 andoned BeQuse伍 cm让 ta〃 tllauengcs c。 nno∏t,ng car″ imperIal

China pro,ed to be both intractable and rt n° t serlous enough to thrcatcn tlle

cVsten￠ of虹s goYernmcnt,thc mass armles山 at“ s bureaucra吖 had been crc

ated t° mobn讫 ec。 uld be dispenscd with profess⒗ nal soldiers drawn丘 om⒗w-

喵tstrata ofthe Chinese popuIation and cavalry hired丘 om the steppc tribes were

more eH℃ ct打c again‘t曲eem,re’ s opponents,less of a burdcn on the treasuΓ u

and lcss of a tnrat to· dle re旮 me simⅡ arΙ y,tle men charged witIh Icad△ lg these

W攵‘S· ,l饣 For″】夕rj°″,n″

'拟饣

`氵

加r,r· ls|氵 ″历o lI。 51

armies cOJld be selccted on c“ l【loa other tIlan miIita吖 g〖 pcrtise a∏ d co皿Pden“sin∞ the consequences of fai1u记 lfere no longer dte The elite monopoIy° n war

ended ear1y破 Rome as wc⒒ ,tor rcasons that arc not well undcrstood The Ⅲass

Consσ iption tbat rcplaced it,howeve马 took place in the∞ nte对 ofa丈 ruggc。 x/cr

P。 1itical“ ghts within the c。 mmunit,and c° nsequentˇ thc hcCnt、 ℃s oflcred

Il αchangc ior Par“ cipad。 n in、 var were political as weu as material The end

of tllat struggle coincided with the end of the m∝ t挺“ous lon⒏ term milita〃

chal1enges to№ man hegemony w让 hin the peninstda,and for that rcason,凼 We⒒

as the changing nature ofthe citizen bodu tbe aristocra锣 1pohtical concessions

to the ci“ zens who comp∝ ed the Rcpubhc、 armics subsequendy grew much

lcss εequent Pr° fessi。 nahzation only occurrcd once thc poltticallandscape had

dr孙 tlcdˇ cba鸭 Cd and the need° f the netvly establlshed monarchl lor sccu",

against Potential challengers made Ⅱ imperati收 to cr,。 ate a mⅡ itar,loya1to the

rulIng d” as″ Tho cllange onˇ pertalned tO Lhc ralLk and nlc,h。 w四er打 oto-

cra‘ c no且 speCial,x“ c。 mmanded R° me、 armlcs dlroughout由 e RepubLc and

durhgthe nrst。 v。 Centuoes ofthe empire0Illy the rise° fa much gf狄I threat

tha∏ t「,c emPir~。 had c° n丘°nted uP to that Point forced the cha.acter ofthe o脸 ˉ

cer cla阝 t° chan墅 in the third centuru inaugurating a lasung” lit bebveen lbe

c“olian and rrI诋 la叩 elite that in imporfant w呷s hastened the白 u ofthe western

emPiK0so ce姒 uries1ateL

L讶w讶 竹砑 P伢彳话 万〃71召竹苫

oF E解彡昭

Karen Tt rncr

扌l,e For″1伤扌joll

hw o so inestricabl· en妒 wined in culttlre tbat,for all its

spcciah~ed capabi】 ides,it maY indeed,best be seen not“ mPly as

a mechanom ror attendlng to dlbputes or enlo【 Cing decislons,nol

solely as artkul荻 ed ru】 es or as evldence° f dlnercntial power but

as a rlame,A.ork钇r ordcred relationships

厶nw ns CⅡ ′Ⅱ∫″

A commitmentto cWnl小 stands孙 one of Rome1enduring leg,lcts,the b仓 sls

⒗r the rule oftaw in the countries th扯 presewed Roman kgalldca、 and p.。 ctltes

拔 撖 燕 耱 斟 碡 蒌 揲 辅 群 瓒 鞲

de,ote hltle atlcntlon to pcn ll phu。 $。 Ph:es and pmctkes∶ By contrast,obserw阝

of Chinese hotory、 s,ho a唱 ue tllat impcrldl Chin舐 Proccupa讧 on widl σiminal

law cont1nucs to hinder legal refOrm point to tlle Poh心 caI哪 stem dlat emer旷 d

h Qin md H川 dmes亦 tl e source of harsh pepd hws de“ gned lo guald tlle

resou.tLs of the sta使 ratbCr than thc ogllts of sublec‘j△

ue,by the time of the

Qln unihtallon lll Chlna,岱 Mark Lcˉ wo ha$shown,a bod,· ofmⅡ叔o勖 P° htl

c胡 tlle° ry and lll$tooca1anecdote1egidmatcd the stat~。’s rightto m° noPoliz。 and

man唣e∞ ercion丬 Btt thc“纩and tlleory” based on the Con血 cian ldcal of曲 c

“ruk of man” tliat h孙 domlnated narrativcs ab° ut tlle nature0f politkal author~

i9in china obscur6由 ca讧 entton that、Varrrlg states and Han w“ tcrs paid to

law灬 a me岱ur⒗ kg止Ⅱnatc h蚰 uuond讫 ed岫 kn∞

【n th沁 chaptcsI wantto focus on onc ofthe mostscn“ ti巛 matters佰 ced by anv

expanding poh0∶ h。 wt° justi印 the statc、 right to pun沁 h ehtes whose support

Was neCessary for pohucal sun/1· /aland Commoncrs、 vhose Comphance and labor

l器 :肾∷:沦 l::∶ 1涩Ⅰj∶∶l1o山灬$6dcbj♂ h~nm油m homkπ ⒗“

￡`w,ild P㈣

。h″Ig″

"l rJlc For″

口r氵 o,1犭 ε″Iplrc 艿

su。 tahcd the inst⒒ uuonal apparatus Judging佥 om the wealth of writing on

the toPic丘 om observcrs in both empⅡ es,no otheI aKa of.tatcCra丘 generated

more unease among el:t。 s who witn6sed thc emef扩 n“ °f uni收rsal rJlershiP

than cedIng to the empcror and his courts tlle authooCj/tO determine categ。 rles

of de,/lante and曲 c lc,c【 °f pun订 i· e acdon nece$ar/to maint击 n older and

dcter钆 rther Yiolencc shauel Eiserlstadt、 content⒗ Π thaf tradi“ onal buleau

cradc emPtes deak wkh thc common Pred:cament。 f balancing thc desiIes。 f

rukrs and elitcs_committcd to tadkional,asc^ptix/c modcs of power ·w/ith

the ambitions of“ ne,v men” dePendent on bureaucratk po“ tlons and v破 ues

provides a u父 钆l star“ ng Point No inpcria1poh,c° uld sup,ls· e by coerc"e

methods al° ne,he argues,but ho xhcmc pla∝ s undue weight on the acuons° f

rulels to mana箩 哎ate"oknce5More Ⅱe钆l o Danlelle pd]en’ sstudy of Punish^

mentsin anCient Grecce,WhICh sh∽ vs how indlvidu铋 actors波 many1eve‘ ofthe

state aPparatus hnuenced penaΙ po"c诒 s^s shc obscwes,inform敲 bodles,such

as dans and guilds,do not have to rationalize their dccisions to touCh the bodies

oftlhelr members“ In contrast,le昏 tima1c punohnlents b孙 ed on state authori轷

must bc justinable吞 tl。 rge wi山 in llle pohucal c。 mmunirl Punishmcnts that

mak u父 of“ ale pos^`Ι:r lor伍 ep泖"ol曲

c Pd污 h由 e al1.lcnt⒍ c狄 m叫must be delenslble according to de丘 nitions of佰 irness and jusdce that Prevad

throughout the poh吓’户dlen nllds m。 re v,llue“ Bourd怡 Cs theory of Pracdce,

which argues that hldl△·idua‘ can e∶ ((:rt agen吖 and naniPuhte rllles c、`(:n iΠ

“tua刂 ons of reladve powerlessness,than in Foucaurs m。 del of Pohtic缸 theate6

governmentah“ and sc。 pted dramas ofYiolence As^山 en O“ e「 es,￠ somerl11es

aF lcss ne疝ble than othels or require greater eFort to manipu1ate,but strate曾 c

actors may⑩ metimes be winl11gt。 take on tnat w。 钛、

It o impolfant to note at thc ou心 et that no lns0tutlonal Ch∝ “ e斑sted to

curb llle s。 △crelgn、 absolute Power ol/er matters of Ⅱ灸 and death in e“ her

emPir In a deadly game in which tlle empcro阝 h咸d thc highest。 ards,Persua

slon remaincd the Ol,ly a收 nue lor Curblllg the献 scretlonary po,ver° f ruIcrs As

well,Iam nots· Jgggtlr,g in tll芯 chapte· that in伍 e Lase。 f China,pa仗 erns佥 omthe Past have not a臼 飞ctcd a过 cmp‘ to⒗ ster kgal relo【 m in modern times,as I

no侄 in the conc1u“ °n Butin由 e叩订"of this p【

。ject,I want to redlrect atteno

tion;om the problems血 thc pre挺 nt to suggest h° wc。 nceP刂 ons° f1a,i· that

emerged in the eany empires c° nthbuted to the longe砬 r,。 fthe imperials阝 tem

In other xvords,I acknov· Jledge that what w。 s kalt” 孙r thC bodx po⒒tlt m馆 llt

not have fas/ored thc individuaIs who supPorted it Butl al$o wantto argLe u,at

σitits传arill ofthc c° nsequcn∝ sofm1ebˇ PersonaIir/ln early Han China drew

各om a particlI ar blend of cukural and historical“ bocolagd’ 山at ga,e ttˉ efJl lo

tIleIr a讧 empts to teppcr the a· b淡 .arv use of山 pcrial pσYe⒈ Indecd,疔on a

:薛Ⅰ∶莒薛谢珙F:甘聃菪Ⅲ鞲 森胯蘧苷觜;:∶ ∶∶汪嘿FT涩「嚣y妥蓄黯l扌lf;贯孓跺品l;I黥Γtional rela伍。nship beⅡccn law and moΠ archy came abolJt“ °wl,in tlle Pro∞ ss

°fa由 “ttng rePubⅡ can ldeals to曲 c re扭 Ities of emplre⒙

PATTERNs° F HISt0RY

::菡淡l∶t∶∶∶苫二&$J1Ι :嚣lll∫f昭 ff足:::=器甘盅蕙who undefstood the dangers of the“ tcr伙ntionist玫 ate^♂ the warring terri

nese ConftIcians,钇 r。xamp【 e,bllt rather as a meChanom for exert,ng colltro1

鞲 襻 e鞲 搦 甜 擀 羰 鞯 辅

C〃夕Ⅱ2j decΙared,Iaw cxisted lo mobiΙ lze the common PeoPlc to perform dutics

lor the哽 ate contrary t。 thor indinatIOn⒌巛Thc l钒vs are m0re important than

tlle Peop1e Therefore the wise ruler should n° ta1ter l孙 vs out of arecti。 nf。 r

the People The pe。 p1e must bc e欲 eemed ltss than thc Ia△vsF’9The tleausc。 n

“ConforⅢ ing to the Lax· ·In tllo remarkab1c text expan岙 on the lcgalist notion

thatthc human factor mu纹 be mt.ted,alIowing laws to serVe as the“ marklng

1ine” for al1staK affak⒏“statutes,rcgda砬 ons,and Ploc·dures must bc pat-

terned on tlle'no and mustbe pub1ic and dean kwards and pul· lshments

“流L△ ;摞‖:I扌::毖Ⅰl:耳 :∷裎糕 浪于探 :∶∶摅;I糨t求摁茹Ⅰ

‘nlv'〃

'P〃

″oh″钔 F加 〃】c FOr,,· 四rion￠ ￡〃 p扌 沼 为

must bc predictable and ccrtain” “The tc【 t变 peats thc Icgallst dictum that par-

dons mtl【t neV。r be granted The C° n血oan pragmati“ Xunzi(n238:cE),who wit,lessed the cos‘ ofthc moK violent wars thdt preceded tIlc uni丘 ca刂on,

assessed the sta弪

`opprcssi浓

dcman凼 forlabor and mi⒈ ta叩 sewic⒏“The state

o the most P咖e拓△伉strumeBt⒗ r bcneflt in thc world aBd k o the heaviest

burden丬 Eady C。 nRlclan crluts correttIy记 en0ncd law as a to。 I that lcga⒈

otic bureauCrats Could utlllze to order human an%irs at lllc expcnsc of Lheir

°wn Pri,IIeges as educators and Cermoni铋 maskrs BlIt though thcy longed

for a sage rder IIl a spirit a圮 n to P1ato’ s benevoknt desPot,who cou1d recrcatc

tlle hauowcd。 ld zhou EmPirc and adⅡ in】stcrjusuCc w⒒ h。 ut the hindrance° f

la△v,Con血 oan writers lramousl· denned rules based° n thc act.vltles oflegendˉ

ary阳纩 klngs fofjudging the beh狙 ior ofthe klI gs of their own day泛 I,ndeed,

Mencl,Js、 (d389BcE)dcdaratlon that a lxlΠ g wh∞ c actIOns ContradlCted his

responsIbilities no longer deserκ d thc Fs【 lcct° f his° mce ech。 cs^“ stot【 e`

justi且 cation for〃 rannicidc

ThC Ql】 l EmPire should havc represented tllc ctllmination of]egaⅡ st eftor‘ to

σeate仓 bureaucratiC state ru忆 d by a Politic敲 m∝blnc that侄 mpered thc whims

ofrulers灿 d in lact,as we kpow丘 om the1egal materia1s buricd w"h alow level

Qln° fnclaI d父。vered at Sh山 hudi钪 1975,at tne locaI lev· els of governance,a

very ri昏 d wstem ofcor,trolling o铄 ciaI discrctlon did e攵 st on the b° oks E· en

dle First Emperor° f ChIna,the uItimate desPot血 standard收 r“。ps of Chnese

impe0铋 hlsto邴 PromisCd to danfv t桠 h哂 ,as钲 de inscrlPd°ns佥°m his relgn

a仗 est“ It Was attr,e IeveΙ of court pohtics that the Qin regime佰 ned t。 mcet the

chaⅡ enge of insdtutlon扭 l/ing ks p° wcr a success⒗ nc“ sis encoura纩 d a rev°⒒bylowll comm° ncrs attempting to escape c° weelaborscr访 ce The Qin Cxamplc

Provlded Han EmPir。 buⅡ deIls witll se· 。raI advanta舄 es The empire had engen

dered a rsPite,albclt sho止 Jl,/ed,f.om c° n斑 ant wartare and had crea侄 d a modcl

for exPandIng instit ltional structures su"able钙 r go火rn血 g a ce波 raIi贺d state

Han narratlVes of the n诅 。f QJl,whose emPerors and omCla‘ wcK char莎 dw"h maknglawsandim∮ ementLng Pun0hments%∝ ordlng to thcir own wanˉ

ton hghts卩 扌a、o pr°访ded cJtics with a rich rllctorical乩 nd ior censu"ng con

temP° ra呷 rdlσ s and thelr henchmen lsqlen trlc Han elder statesman Lu1a

rminded the Han loundcr fhat he might have won the empire on horseback

btlt could not gowrn狂 by佑 rce,the emperor understood the messags bcfore he

entered tlne rebc⒒ ion a钾Ⅱ欲Qh,he had sewed孙 a lowJeve1burcaucr衬 in thc

!;see Kern2ooo km h8bdy‘ Ⅱu叩e,乩 eu‘ e of krms‘uch as Le8d‘ t`ndˇ CoPruoanr but1cann° t

一∷一一∷∷∷∷_∷∷∷一一一一〓∷一∷一一∷一∷一一~_一一∷

潦祺艹条i埘I擀搦谳茁啭蛋iF踏u扌至{硎圣旺挂鞋茁W秉条黼樾酗i搀蕊馋虽芷啭了萎f茧求甚麒

5‘ 尺o7″ g“ ″dC” i`!夕

Qin svstem His ro° ts in the state ofChu,which riv缸 cd Qin fora wellˉ deve1oped

lcgal sy⒍cm down lo the locallevd as we kllow lrom rc￠ ntlV αc猁ated mate"-

a‘ ,mt】 st ha1· e also contobtlted fo ho contern with kgal ma住 ers DcsPite h。

prom诒 e to stmpli印 the1,lxvs ofQin ata c“ ticd momcntin h0bid forthc cmpie,

GⅡ zu o.dered his o猛 oalsto uoⅡ ect and PKserw tlle Qin laws and to bund on

ks ritu乩

"ur吖and court∝ remonials to enhance his own position AJld so Han

ruleⅡ and了 elormers、 x· ent about the business of centrahzing power adoPting

the Qin laws and emp1o,qng some ofits o筋 oa、一even whne decryiΠ g曲 c Onerˉ

ous dcmands made by the defeated regime Butthere we【e dlsagreemcnts about

how to in侄 gr,△ te holdovers from the earller emPlre at the ume and disagree-

ments among sino1oglsts ab° ut how much dlssent各 om subaltern actors went

on durlng lhc Han I ag四 e with Mark LelvIs that a∞ mmitmcntto un1o and

wholcncss emer旷 d out ofthe con欲 ant warfa四 th钛

"oubled the Preimperlal eraand with Nathan six· ln that few vOIces surfaced in tavor ofrestorIIlg a flagmented

Pohtic赤 svstem b sivin contcnds that as th召 Han Empire dcvdoPed ln the nrst

centur弘“lntell∝tuals bound the strtlctuK of Heaven and mrth,and that of the

human body to that ofthe stater and transformed the imagc of the conqueror

from a warrlor to a dopcpser ofbenefnc“ ons and utc`B“ t sh汀 n os· erloo‘ howtheories bascd on resonance w⒒ h tlle monarch at the v~· ntcr also C了Cated a dis

cursi迎 ”acein whlch de1· er inteuettua‘ cou1d placc at the feet° fthc cmPeror

blamc forimproper dccoions aΠ d their consequent mani拒 statIOns in the naturaI

wor⒙ Moreove6the Han emperols could notslrnply act as bencfactors but had

lo tak a rok ln kgIsh刂 on and α∝udon As Pue迁 a鸡ues,the tcn“on that su⒈

faced in the cady Han wriungs cente,ed around the susPicion that tlle empirc,

whIle llecessa码 h们 been佰 unded bv force md sust击 ned b,p⒒ noPles of govˉ

ernance d诒n to the sage⒗ ngs,who suPPosedˇ m拉nohCd u疝γ bv访 nuotls

rule Nostalgia〖 eached ldr back,to the gotden age ofthe uni6ed、 Vestcrn zhou

Empire The“ tradltlons” suPposeclly embodIed ln Lho dlstant utOPia were rein-

ented and manipuIatcd over tlle course° fthe Han,for the political contours of

tlo anoent cmpire rema】 ned convcnicnt灯 malleable to nt ckrrent concerns″

Thus,the ear1y Han o marlKed by a stru骆 lc bcO,,een emPerors daimIng their

oght to manage‘ 从

"under Heaven”

and bureaucrats reminding thcm that the

lessons° fh沁 tory taught that tr,e Liu famny、 mandate to rLtle Was condltlonal

The田 陋 s no arlkdated dotIbt bˇ Han tllncs,holi.cvc6that a u血 盎ed poⅡ〃undcr a slnglc rule厶

“Thc0ne Man卩 orcred the only"ablc system to Put an

end to chaⅡ Thrcatsin the form ofambi“ ous kn and ofncials dtd endangerthe

Han emperors,and rcsentment toward cultural and poⅡ tlcal centraIlzatIOn dld

sur昆∝ But there ls httle evldence that any° fthesc ambkious rcbels en"sloned a

58 JVl,l口 日”'CJij″

n

tlle蚯 i丘 in Rome,钉 om an ollgarchic governmcnt b孙 ed on the rights of elites to

deodc alld dok clut punohmen‘ to a monaK,lntent on assenn81ts nght to

denne crime and锱 sign remedles e“ her Personal″ °r through state controned

courts,constituted a far more se:ious psrhological brcal.with由 e past than the

Qln centrallzatlon Under thc Reptlbl● t,except for hehotIs Crimes such as Parriˉ

cide or acts that harmed lhe publk wc1farc,cit仡 ens could declde when ω invoke

theldw and were c斤 pccted to use pris/ate means to cnfoKe dccisions Bau而 an

asscsscs the shi丘 in ho趾udy ofcrimlnalla叽“W、 cn Augustus founded the P“ n

cipate in27Bc hec-e。 ted thc cond,tlons佰 r as profound a change in crimiˉ

n缸 丿t·stItC as h aW other sphet of go、 nernment and sock￠ ” Bo:kol1.skl In a

textbook on Roman law de丘 nes deady why th`change ma∮ cred,although k ls

unportant to rcmC”ber that°nly graduany was lhe佰 rmuIarJ system Fplaced∶“VirtuauyallaspcctsofClVⅡ Procedurewerenownrllu,· in the hands ofthe state,

and sublcctto hcIeaslng1y detancd regulatlon,as has tended to occurin modern

lcgal sy仗 ems The old s阝 馋m,compHsing a prelimina吖 hear血 g and钆 Ⅱ trlal,

was aband° ned The casc now consistcd of a cognitIOn an mvcstlgatlon by the

mag:state,Who Conducted the whoIc toal and made the decislon hΙ mscIF⒛

this Ieference to modern叩 stcms and the reach ofthe statc must bc quahˉ

ned B。th。 Ⅱ and criminal proccsscs h Roman impeⅡ al courts werc ulitiated

by lhc ci“ zen,although the du〃 of the prclvInclal g° vernor to lteeP order and

hunt down scrioⅡ s C“ minals also cnabled prosecu刂 on¨r.a洫 thc hnlcti。 n

ofsummaryjustice by the statc Cogn"ion,whlth orIginated as thc process of

ad丿 udic··u。 nc。 nducted by Proˇ incial g° vernors,Was gradually e双 endcd to the

0〃 of Rome咕 eli Therc rcpublkan trlals盱 ju叩 ceased lo￡ iΙ nct】 on(adul佗 ry

was probab灯 the h$t to叩 ,ea巾 h the thtd centur/cE)and ju。 sdict】 on bv

∞gnki° n was contentmted in the o猕 ce ofthe urban p诏 妇ct of dle ci9of ROme

XVhⅡe statuto〃 叩ldan￠ was Provided°n penakies and punishments,山 is was

graduauy sub爬 rted ovcr庄 mc by nlPehal modincatl。 ns。 f thC systcm,whlch

were thensel△·6responses to Court deClsio∏ s,made ul hⅡ e with changed conwn-

tIOns m pun芯 hmcnt m Thc incrcascd勹 udkIal savage叩”ofthe ROman Emplre

血hte andqui〃 should therclore be seen as caused not only by impenaI丘 at,but

also by decisi° ns oflocaljudges and cour‘ lnlhc w1th sooal cxpectatlons’ :

2 LAw AND DIscRE丁I0N

%citus,promulent欲 atesman and staunch beⅡ c、艹i(:r ln the spadan values of the

mrls· ReI ubllt,.e胛 rded qtl即 sms as a shrcxvd poh“ 0an who ended dissen讧 on

Lnw四 nd P“ ″o”″I臼

"″!r乃 BF° r″四r氵 o"oFE冖 Pi″ ’

trlllv plura"stlc poh卟 The uni△ ·ersal emperorship was lhe prizc,and asIatcr hi⒌

tor,has shown,rebds manipula1ed Han symbo‘ and insdtu“ ons lo lcgiumate

lhck own conques‘ No altemati屺 p。

"ticaIlorms emerged out of ChLla、

das-

“cal cra Ⅱ had llapPened ln Crecc,and b,· the四 pu⒍lcan cra h Rome,monˉ

archy wa‘ ∞ler荻ed as a temporarv cxped碴 nt h Ksl,onse lo a pcr⒗ d ofintern斌

con钆ct that threatened the【 rv exlstenCe ofthe Repubhc ltls lnteresung f。 r the

historian of China to n° 1e that some contcmp° lar·es regarded Ju1ius Caesar、

n。 ttCⅢ ptlo extend ho d1。 tatoⅡ hP bC汐 io the c““s that丿 usdned k with thcsaⅢ e

mLx of awe and hatred that grceted the undeniaDle accomPlishments° fChha‘

Ftrst EmPero己 ln ho study of Roman le甲 l and constitut⒗ ∏al hlstoru Kunkl

oudines、 hc prouemslaced by Caeso。 r、 su∝ essof⒌

玑 e creator of the Roman monarchy was faced with the gras· e task of

reconciling his s⒒ ua“ on in的 me more or less sads佰 ctorv way with the

traditlons of岱 e rcpubhcan penod a∏ d with the repubhcan° utlook oR at

any rate,岱 e kadIng secdons ofthe Roman clt△ zen bod`Ⅱ was lIl deaIing

w"h these impalpable th1ngs that Caesar had昆 ncd when,with his usual

consistcΠ t△,he elltcrcd upon a course of action which must hav· c kd

forthwith to an unamblguoudy m° narchicaI orde⒈ 、Varncd by the fauure

°fh。 ad° Ptive hthe厶 Augustu5now sought and round the soludon of

ho ProblcⅢ in a pccuⅡ ar coⅢ Promise¨ seen from the standPoInt of

formal constitutlonal hw,the new order(28-27BC)seemed e却 ressˇ

and ceremonious灯 to restore the Repub"c whlch had bccn shakcn to ks

founda“ ons in thc turbuknce ofthc last centurv B c⋯ Tllc nesvl,· orgaˉ

n汔 cd republican c° nstitudon bestowcd indced upon thc beaFr of the

monarchical power a wh° le se"es of ftlncttons° f the greatest pol订 lcal

0即⒗cance Au叩 stu“ crgltlon can be underst∞ d,theⅡ foK,onˇ as

a狗 Ke standing outslde lbe rePub"ca∏ order,whose晌 carlon oftrust was

to supp° rt and supp1ementit咚

Kllnkcl points。 ut that R° man emPer° rs were Charged with ma1ntain:ng° rder

but hindered by a lega1and c。 ns⒒ tutionaΙ legac/that was in lact not suitabIe for

the task of go△/erning an emPlrc

Desptte the contln讧 ng e蛀stence of republican institu“ ons and values,

Augustus、 gradual assumPtIOn of c° ntrol ol/er aⅡ aspcct5°fC"“ and mil:ta吖

matters o regarded lll Roman hotooography as a rc1· oIu刂°nary deparulre iom

theIdeak ofthe RepubⅡ c How mu山 J,c Roman prhcIp欲 c仃 uly markcd a ncw

form of8° vernment continues to be debated,just as hotoria,ls° f Clllna d、 agKc

abotIt the c,xteilt0f the diIference bebveen tlle latc VVarring statcs kΠ gdoms andthe QlIl and Han imP甲 lal s泠 tems Bu1丘 om a compara",cΙ °ok,⒒ seems that

二J,,ˇ d/ld PllJ,l,JlJllg订 加 而召助 ″ⅢIlo"orE,,Iplre ”

but at a high pricc、 △ether ho qη ical acc° unts of interattion‘ bcbicen the

絮 黥 蒜 器 逻 罴 漯 驾 恿:l111Ⅰ⒒ ∶:∶糊 i置找 撺 瞿 找 rfound as‘ essmm^“ the earˇ emperors b In general,however,lVnlle hstoriⅡ s

of Roman law disagrce about the rcl1e° fAugustus vn⒌ 犭"s thc senate,the eaHyRoman Empire o not扩 nerally casugated as a dcspotic regullc"In值 tt,ancient

and modern writers,ln Asia as weu as thc lsrest,ha,·cp° intcd to“ 0ricntal” kgal

systems a‘ to°‘°f“suItapomr∶ ,诫ich reI∶ ed on per【 onalratherthan hw咱 Jm如

oriental desPotism was ass° ciated w"h eastern regimes d。 serto home in ancient

Creece and Romc,but for later° bse卩crs,impcria1Chha has served as thc Pre~

Ⅰ↓I∶11∶ :挖∫F&:;Fl1;甘 :∶tII瓦铛 拷 揽 ￡∶;贳滥 r扌;;浞 :

aboutthc value° fthe ruIc° naw in the Xsrest hasled somc kgal ululkcrs to admre

ChlIla For its crnlcd approach to law F°r examPle,伍 e leg斑 re仓 llst∫ eromc Frank

Praised Chha fori‘ d。dain of1:u舯 tl。n and commimentto tlle dlscre刂 on。 fthe

go° d丿udge mdler than black ktter hw、 For premodem statc buⅡ ders,dle realI~

d6屺疋mole comueX吣 cause they dld n∝ e”呷 thc lu× u,of a“町ψ kgdsVstcm in由e nrst Place氵 N° modern thinker has stated lhe dⅡ emma more doquendv由 an.Xtul升 ℃ a,。

·s cannotstand a⒗ nc⋯ br when thcy ar lmPlcnlenⅡ db/the right pcrson thcy sur,ive butifncgkcted lhcy dIsappcar La· ,o ule baso

br good gox/emment but由 c suPcrior man o the baso幻 r la⒕ s° wh∞ therc芯

a supei° r man,the law c浓 n fsparse,wiIl cover any s,tunt° n,but whcn由 ere is

嚣黻 坩 u,苷lIl:茫 抚 :∶|氵 i;Ⅰ∶∶l∶;l:皙 :毖岁%硼

^lelthσ卯砂”。汕

PIutarch`desc。 Pu° n of lbe actlv· ities of the lded1alvmakes s° lon,modlnesArlstotle’ s famous dictum thattllelaws must g。 仰rn the magist.ates ofsol° n heψrites aPprovingly:“ 【t。 said that he w孙 obscure a∏d amblguous h曲 cM"d~ing of h必 坛ws,°Π Purpose to increase dle h° n°r° fho c。 urts for since thcIr

dlfFerenc6c° ulkI not be adlust辽 d by the letter th叩 w。 uld hax/c lo brlng。 ll thelr

causcs to thc Jlld莎 ,wh° thus were in a manner masters。 f the laws`汐 ChineseConfilctans wou1d have agrced w大 h tho Portrait oFthc ide缸 lawgive巧 but with

扌ill:∶1丨lⅠ∶t号【揆 i挂 Ⅰ丨l挝丨茧 犭 冀 瑶 鞯 溱

。f Je杳 ;f卢人1∶ JⅠl:s^Φvκ h‘nd W B∞dob” s‘e白anaub and而 hei凼 l。 0幻r由 <h stoo° gmphy

Haf点 l瑟 :l∶:揣拈T℃雾ⅢⅠ耜:抚肥l拣韶:“

d· l Ⅱe讪 ef m嗣钭HL^

‘o Ro`氵 Ιc n`】 dC乃”I‘ l

be6v∝ n personal agendas and the pub"c good when cal"ng on the r。 Ke0f thC

state to、 vagc War o【 Pun。h deΨiance:“ Eliminate sel佥 sh lnterests and act only for

Pubhc concerns;’η⒗r the`vodd o nottbc wortd ofany one manF"

E,en the legalots、 vho a【 gued for st⒛Πg monarchy placed the health of曲 e

state aboxe tlle whims ofindividual monarchs shang%ng(d338BcE),the

cady legahst reIOrmcr Cred⒒ ed w趾h gⅡlng the state of Qh an edgc1n thc com-

pe“ tion for dominance among tlle contending states,de丘 ncd the cnhghtcned

ruler孙 onc who hecds lawsin au matters of government‘∶He aCcorded insu

tu6onal conⅡ nuity more weight than talcnted炻 ng⒌“sagcs cannot transfer to

others their pe〖 sonal and natural charac1erlsucs Only lhrough law can this bc

accomp1ohedⅡ Doag丘 ement ce∏ tered on the approp“ ate founda‘ on for la⒒

R R Peerenboom has a唱 ued that Huang Lao phu。 s。ph≯ a pmgmatlc Daolsm

that prevaned in thc eady Han as a correC“ Ve,o由e meddhng Po"cics a"ributed

to the Qin regin1e,represented a thcor“ cal constraint on the ruler by bindˉ

ing him to a predetermined moral ordcL;s I agree th荻 thc conception of drlo in

the Huang Lao texts represented a dmcless,unix/ersal“ andard for1,lx,but vlew

the text`purPose as orlented far more toward pngmauc rathcr than morahs“ c

co ncem⒌ As tlle I″ gr· I begln⒌“T le dno钞 ses blrth to lhc际 and hw o what

marks succcss and mnure Laws and rcgulatIOns are ofthc utmostimportance

in8°vCrning becausc lllcre o no conltlblon in the governmcnt that uses them

and no d`order once the lalvs and regulations are Produced If you are public

sptited and without pr~ate bias,and” ur rcwards and punishⅢ ents arc trusted,

,。 u wm hav· e good g° vem血 e∏ t∷4Th诒 thcory that subordinated posltil/e hw

to a higherlaw based on a standard as immutabk as thc ro眨 tion of the seas。 ns

clearly aimed to mute the Pers° nal innuen(e。 f rulers But thc case lor natura1

la、v as a check on power was raKly made in recorded dcbafesin the Han souKCs

I∏ hght of how often thc decisions。 f sage klngs,△ ere uscd to cr"ique dle cu⒈

rent丈 a弪 of affalrs,m∝ h more deePˇ ingrained was lhe belIef th,ll lllere was

no esCaping tlle fact that human actlons dtd,l11fact,affed thc workjngs of ulc

natural worlrl‘ 0ne ofthc mostimp。 rtant manua‘ fof managing thc unix/ersal

emplre,w“ ttn uΠ der thc dircc刂 on ofthe Chance1lor of the Qin state around

239BCE,dehneat。 s梳e rulers obhga“ ons but a、 o ho ox/eraKhing PoweⅡ‘

`Command0sues from the ruler、 moutll Those h ofn。 al p。sitions rece"e it

and carry it out It mo佐s unlmpeded allthe way down and⒒ permeates the

pcople、 hear‘ and proPagates to the four quarters of【 the rcalm丨 J’

j°

,△ Ⅱ巛h19δ o

L“w″记 P″ΙlxJl″ cl r切 而￠Fo″ lIllfIo″ o/E,″pllc 6△

ChlIlese thinkers nev· er dlstingu∶shcd alaw oFthe metroPole付 om the】洲sof

outslders as did rePub"can juhsts,who refrdlned on p“ nciple from extracting

莎neral princlpks f.om spccinc cases and distI】 lguislled the Ⅱ眵ov氵佗,the Iaw of

Roman ot讫 ens,fl。 m thelaws of° ther peoPles【 t seems that a hrger concep

ti°n°flaw emcr纩 d underthelater emPire ln Rome W饣 iters such as Ammianus

and symmachus dem° nstraled the订 understanding tllat emperols should not

stand abox·e the laws,as thcir critiques° findI诉 dual emperols re1· eal罗 But others

desc【 lbed lhe lkaw ln1arger te"1s La、 v ser/ed jusuce,ensured a bahnced缸 ncdon

ofthe stdte as a whole,and apPhed lo e,· ery° ne,even the empero△ accolding to

p“ scus|n tlle h反h centur≯ lo【 CxampIe丬 In te〖 ms that would h,· /e sounded

famd1arlo Han th∶ nkers who embraccd a Pmgmatlt,s,mcrCuc P。 lidc扭 theor”

tlie famou5ju"st Ulpian argued h the third century c E dlat estabhshed laws

should not be altered with° ut good reason and de丘 ned the burden ofempire tor

mcn hk hlmsdn叮 or vs·c serw tl,e peeds ofjus"ce and ad· dr,ce kno谰 ed旷 of

thegood aIldtheJtlst,d0‘ n即 ishIng the丿 u从 from tllc unlust,sep缸 at】 ngthe kg扭

丘om then1egd,seekingto make men good not only lh【 ough fcar ofPunohmcnt

but lhrough the hcenti收 of rcwards F’ ;’ According lo Harrics,Ulp】 an con-

￠ivcd of a hw tllat cxtended to au Ⅱxlng creatures,as dld the Chinesc thlllkcrs

who1i∏ kd Ialv witIl the natural△ vodd In pracdcalterms,asthe Roman emper-

orship became more insJtLltlonahzed and a bureaucra吖 beholden to thc state

deleloped,lall ma乜 ng bccaⅡ e morc routinizcd and codi丘 ed W△ at Vlpian tried

to do,she、 vrites,“ wasto hmktheimPⅡ tof1hc emperor、 actl,"ies as Part。 fthe

operadon ofgcneranalv,by whkh the empirc was g° 旧rned'Bˇ the latc cmpire,

she concludes,“The emPcror was notthc only constituuon the emP订 e had;’⑽

3 THE EMpER。 R AND TH￡ L八W

Te浓 book【 counts of R°man and Chinese imperia11aw p° int tO Ihe emPeror as

tlhe supreme leglslatOL lt is true that曲 e nnal decl.ion about makng and chan⒏

ing1alˇ rested with the emperors,but thc histooes reκ a1a much more compleX

“tua“ on at work,onc that o丘 en involxed a mu"itudeofactolsandagend。 s The

pers°nalities of emperors loom large ul T。 c"us,and later in^mmlanus,bccau￡

th叩 were Publi‘ ngures who opσated in a v· ast,urban Pohtical· Jleater〖 n thc eady

emp订 e,accopd△ ng to Tacitus,the cmper。 rs pers。nally directed the lcgal svstem

but atlcast paid Ⅱp servke to the senate The Han emPerors,more sequestered

wi曲 in the pdace walls as tk” ηas。/maturcd,appear lrl thc hIsto“ es most。 tien

to ddegate the dan扩 rous busulless° f ControⅡ Jlg lhe iInperial rdatlles,clariF/ing

∷∷∶=|

∷=置=

廴∷=∷

σ2 Ro,,1ε .n″ t|C`!i冫 t‘ l

hx·rs,and adjudicaung dl|hcult cases to tlIe bureaucrats,【 ea△ ing to thcmse、 es the

rightto pond6cate about the nccd to ameliorate the harsh pllnishments ul their

nducla〃 r。k as guardians ofth趸 pe° ple、 wdfaˉe Tllls lack of attcntIOn to the

dlrect intcn· entIOn oFHan rtllers:n actualcases mIght havc stemmed h pad from

the hlstorlans’ 艮ar of the conscquences of pinltlng b1ame for m芯 gos/ernment

squarel,· on tllc rulers under whom thev comPosed thc△ ,△ ork But h gencr扭 ,

a deepˉ scated Waoness of dired,Personahnvokcment ul kgd change seems to

have characterized Han lnlPerial atitudes tolVard1ego1adon

Han emperors ad奶 cated that hws be dari且 ed to e⒒ minate con缸 slon and

sp° nsorcd court debates aboutthe harshest PullIshments,blIt tlley are not lden-

ti丘cd with Particular laws(such as Augustus’ s law° n adulteryλ the regukdons

and smtutes Han hoto“ ans and o伍 cials mentIOn when aPPcaling to Precedent

aPPear to be timeless,uniwrsal products witllout relcKnce to human author

sh1p^ad rt,as、 1·e knoW fiom the htstories and the discovery of丘 agments of

the Han c。 de at zhan暂 iashan tn Ι983,thc Han dynasγ preserved and amp1ined

the Qin hws W⒒ le a cohcrent∞ 扯 dld nr,t appcar uIltⅡ the Tang Dsqlas“ hws

prohFerated o浓 r the coursc ofthc Han、~℃ learn about kgolati° n and reform

mosdy from ncgads· ep° rtraI峦 of bureallcrats at,vl,钛 Du zhou(d95:cE),placed by sima Qian am。 ng the harsh o伍 oalsin Wudl、 relgn br ho sycophan

讧c attitude,declared pragmatltaIˇ ∶“、V】ateκr the伍 rIkr rulers th° ught was

right they made inro statutes a∏ d What1ater rtller‘ thought right they added

as ordcrs so how can the old la,vs be aPproprlate br die dmesr扭 zhang%ng(dl16BcE`one° fWudi、 most ac"X· c kgIshtors h ho position as Commanˉ

dant° f Justicc,dc6ncd statutes and ordlnances and added treas° nous thoughts

lo c“ Ⅲes punlshed by death He was ca斑 igated by his contemp。 raies for tam-

Pe。 ng w"h dle old Ιal玲,hated bˇ the imperIaI prulces lor implnglIlg。 n thcir

pr""eg6,aΠ d e屺ntllauy f。 Ked|o comm“ suicidc These o铄 cials were not

“mple tcchnocrats for the most Part but had eIdler≮ udted with or Patronized

erudltes who∞ uld deducelegal P“ nciPIes々。m the mosts备 cred弪对s Chao Cuo

(d154B c E λ forexamPIe,enjo,ed imperial pat∞ nagc tor h:s lo,al〃 fo the Liu

dan and kno谰 ed扩 of thc canonical εoo攵 ∝D°αI″εⅡ‘bLlt C1· enmauy earned

由e hatKd of ol/al o铄 oa1s and Ille teⅡ ito“ al⒗ ngs aIter subⅢ kting tr.ir9nCs△

s1atutcs to thc1a、Is and was ordercd to be e故 cuted in hls court robes in tlle ma⒈

ketplace4:Ho tate was not unusua⒈ 仔om tbe0me of shang Yang through the

Han,thc act oftampcring w"h thc laws onen br。 ugh1a"oIcnt end to the ncn

who dared undcrtake the task

this con贫 Ⅳati收 stancc toward a"ering the Ialv renects what puett caIIs the“ambl·/alcnce of creation” that character立 ed late dassltal thlIkng$Change,as

‘田wn″

'p〃

″氵珈″e lr宀 :砒￠por〃夕Ⅱo″ o,Fε 抑彡沼 旬

dle etlec“ c texts W订 h a Daolst slant con始 nded,alwals carrIed unforeseen dan

gers Laws were Changed ofcourse,buta d∞ P attachnlcIlt to“ thC Ialvs ofold” and

rductkln￠ to lInk llllers wi山 1eg“ ati。 nm孙 lxs thc records of thc actual Proc吣

of retofm,sfe do know山 at zhang%ng collected NArlIdI、 declsl° ns to be used as

Precedents in later cases but havc no evidence of h° w Partictdaf statutes anected

decisions^t lvo瓜 o what Hcn〃 Maine caⅡ 召d thc“ 忆gal丘 ction;’ h wh:ch newlaws were cons"ucted acLOrdlllg to the n,/th that tllc,simPˇ reh的 Ked tra由 -

‘onal values"Ban Cu,h hls treadse on punlshmcIltsin thc F勋 JIsllI‘ ,nea刂 y outˉ

uned h。 w tlle need to formulate w° rlvabk laws whik remainIn8true t。 trad"ion

worked ou△ “I wiⅡ PrcscIlt what has happc【 d slnce the Han arose-to sh【 ,w

how tlle la· ,s and regulauons have been nxed t。 c° nform with antlqtIl〃 Nenthough changed⒃ su“ the prcsent age∶

’‘;In early△ △Pcrial Chha,where pubIiclaw ne趵 r comPlete″ rePl谷 ced danlaw and mⅡ

"ary law,so too in the t【

an“ tlon

to empire h ROme,由 c process° f insdtlltio∏ alizing the magotrate、 courts and

曲e rok ofthe emperor h tglsladve and judklal afldis procceded slosvly Bv IJle

reign of Thetld° sius(37⒐ 455CE),especkⅡ y in the eastern half of the empire,

hw became more bureaucratlzed and lcss dePendcnt° ∏uie cmperors’ dlreLt

uivolvcment茹 llle day-to day bllsuiess of decldhg Iaws aⅡ d punohments In

Rome asln China,massIxe and orga血 zcd codlnm刂 on。 f the1axvs began only

after a Pcrlod° f crisi⒌ dl,Isi° n beovcen thc eastern and Wcstern empires ln

Rome,and由 c fau of Han and ensuing Period ofdlsunlon ln Chna

Thc hIs∞ ry otthe rogn of Jle third Han cmpero马 meIldl← 18lr⒖ 7:cE),。Particularˇ oLh wkh accounts abotlt wranglIIlg besveen the empcror and

court o伍 cials° v·er细 ndamental osues of g° l/ernanCe,】om how to ba】 ance the

Lntcrests of the imperial familv again哎 the necds° f dle state to de佥ning the role

of山 e cmpemr in rcIIgIOlls rites and legal dccisiol.s⒗ vVelldl had no need to

jusu印 his attentio∏ to hˇ”since llle fou∏ der、 promise fo mi0gate thc harsh lali· s

。f Qin ProvidCd a mandate thatlale【 eⅢ perors were requircd to hon° ェBudaxi·

Was not hls only concern:tcnsion withll the imperial clan for faxors and terri

toΓ”succession P⑩ bkms,an u“ tabk钸 ntIes。 nd the need to establlsh a v该 bkhstituti。 nal and otualapparatus consonant Wi由 ho Positlon as head° fstate aⅡ

demmded a仗 ention

What o lIltcres刂 ngin tbc Chinese case o” st h°w many men° fabdi〃 bclle,ed

that thc good。 f由 e state must take precedence o昭 r the llltcrest of rulers and

Ihe】 r kln and wh° then rose lo the dangerol】 s chaⅡenge】 n one艮 mo刂 s Passa纩

lncluded ln the histories,v0Jendl‘ intrePid rf,Ig〃ejtCommandant ofJusticel,tlle

hlghesdalv o荫 cer in thc realm,ar“ cltlated ho v芯 lo∏ of the relaton betv△ ·een dle

64 RD`氵 】召n″dC乃”l‘ l

cmperor and the hw whcn佰 rced by lhe emperor to justis/his decision to nne

a∞ mmoner,wh° had ignored an order to dear tlle way⒗ r the impeoal entou

rage Vsnlen the irdte emPeror protested the1ight sentepce,乙 ang shizhisct rorth

ho。 wn resPonslbnitie⒏“The冖″蛩 o o the one wh。 m“ ntahs balance血 thc

lvorld孔 al1ow四 en one dcvlation in the laws would muse them to no longer be

taken seriously^Jd then how would thc pcople kjnow how to behavc:’’He、vent

on h dai印 thc ruler、 po“廿on within the k钾 1sYstem∶“Thclaw mustbc uphdd

by the s。 n of Hc狎en and ho peopk dlke and th。 内the penal〃 prescribed by

la、￠’zhang admltted that r the cmperor had ordered tllc man executcd on the

sPot,that、 vould have bcen the end ofit B,t once the busincss of as“ gning thc

CorreCt punishmcnt entcrcd his ptlrvieˇ 6he was bound lo uphdd his duOy to

m击 nt前 n imparti碰 iγ MoreoveⅡ he threatc∏ ed“ If(the Punishncn刂 were made

heavie【 in tho case,the pe。 Pk would no longer trust the laws May I ask thcEmperor to consider thesc consequenccsF、 ~℃ ndl concedCd“ The scntence/ou

decided matches卜 he σimel” 氵

4 THF CRiTIcs

Thc most obvious critics ln the吱 dy R° man EmPte wcre assooated W大 h the

StOk schoo1ˇ △en Ner。 at使mPted t° denect a m。收 to IesWrect″子缸ε‘抑‘

(tfeason)as a punishable° fense,the stoic,Thrasea,oPPosCd thc dcath Pcn-

alt,,not on纩 ounds ofc【 emen,9but to guard Iegah饣 y The cmperor、 motⅣ e

seemed to ha`ˇ ‘〈:been to galn credit for himsdi of tlie re“ stance of Thrasca,

Bauman w⒒ tc⒊“It w小 aΙso a reaction against thc idca that demcncy was the

sl’ e0al prerogatWe ofthe heredkary monarchy that the1uⅡo-Claudian dynas,

had become To those stoics who disliked tllat s° rt ofrlller in prinoPle,the`咽6we【e the one sure shidd aga妄 nst o/ranΠ y” 4‘

X/。 yne has claimed tllat Ll e stoics

ser,ed as Rome’ s PrOtobureauCrats be iluse° ftheir d诒 daln for tlle cult of Pcr-

s。 naliγ and c° mm迁 mentto a rule b。 und legal wstem i° But whik indtvidual

6gures assooated with thc slok st hool did,at times,Challenge impe"al po、 ve巧

unIilke Han bureaucrat‘ ,tllcir autllori〃 was° 任Cn Persontll rathcr Illan lllstituˉ

tlonaI,and thcy were mole devoted to fePubhcan values than the securir/ofthc

impe“ al apparat ls

It o onˇ later,孙 a burcaucracy began to del/elon that an ins伍 ncc simiIar on

the抛 rfa∝ Io zhang shizhI、 showdown with Wendi appea6,犰 trlc wrItlng of

the tourth century Roman h诒 torian^mmianus~1aKeninus w△ en thc EmPeror

%knunian l lv· ho was well kIlown钇 r ho aP。 plectic hts sshcn c∞ ssed-

‘nw田″'p″

″汕″昭″f切 而F Fc· ″″nf氵D″ o,FE/,lpirc 钙

Iearned that certain R。 man senators had Ksorted to mag1c and reh争 ous inⅥ Dca“on Potendally harmftIl t° ho Posidon,hc° rclered the harshest Punishments

aPpIied under a generalruLng that au such crimes be dassi盘 ed as treas。 n,wi1hs钉⒑Ⅱ ConseqtIences,as^mm血ⅡK∞ rJ￠

`△

whom thejustlce“ lhe anoent

‰F扰r岁::l】∶,盯雀I:崽;募:〖:∶翌衷rFi捃 :l屏蒜扌Ι

菠礴獠弼耳搬撰:巫苎鞲撒ri

p岱坩:廴 :∶扌:∶tj∶∶找:托吝且蕊l錾百rc器:盟措廴,s茹t

揞1描暇品生髁掖P呜k北m岫 epeal ofth∝ md妯α

劈雀嚣翁j摞11fu憾毖:蜡:m∶飧j鹫 :∶:f::∶ TⅠ;f:糯

藜鹫蝌:踯瓒萋Ⅰ錾I擀黑×lJ∶∶∶∶棠γ梦:扌絮蕊报F泺:∶氵:∶ l∶ l∶崽氨&莒絮l

t罗蓦紧搌袈絮茗gldIf帚宵:△:∶昭孟:ri;】 II1∶∶Ⅰ夏F甘:I

蓝茗:i:鞋礴蕊扭彀萎晏弼鞲黏骣夺鹭蘖碱蹲瓒要鞲蚺鳙 ~

蕙襻槲峭槲槲趸

66 Ro″ ig'河d, ∶氵I四

Thc αc加ated materials from the Q】 n aⅡd Han per⒗ds∞n钉m thatthe hls

tooans严 eoCcuPa‘ on lsqth the rda“ 。n bcbvcen monarch· rand hw was matched

by thc g。 vernment’ s attendon to admIni钲 ering the emPlre acCordhg to law In

the nnal an急 l阝is,howeve6the∞ dcs Kvcal tne worrics of由 c statc radlcr than

how Lhelaws wcK【 tuauy imp1Cmcntcd,and thc historians’ narrativcs of events

offcr our best guidc for砥 wing how ldc耐s mcshcd with ralitics_f only hom

a hrnited vmta墅 As0n Robins° n has noted in her studv of penal pollcies

h。 r tlellt ROme,℃ ur sources盯 e too h而 teQ,oo partial,for ar,yo” c吐 l,。 ,

statistkally valid,recognition of attitudes PcrhaPs,howcver,thi$is a positⅡ e

炙ature Ⅵ沦have snaPsho‘ of a仗 itudes t° sPCcinc events By de丘 nitlon,our

re● orded Cases ar unusualin them贸 1ves° ther,△ lse they wollld not have becn

reCorded They do not paint a uni钇 rm pkture,but dley a四 strnung becau贸

tlley Fpre鸵ntsomcthing of纩 eatimportanCe to伍 eir rocolder5” 弱E`叼 n thc Han

hotorians,who workd under the dirett gaze of aut° cratIt rtJle‘ ,betray q讧 te

wcu their atutudes t° ward law and P° we⒈ s1ma Q弦 n and hls rather created a

⒍agmcntcd narratiw about the lau of Qlll a爪 d the rise o+Han,but the hlstor/

is c°ns1ructed jn part as a messa挛 that the佰 dcd P。 Iicles of the QiⅡ regime

shouId sen/e孙 a warlllng lo Han cmperors wh° planned lo fouow ln虹 s path

sima QIan’ s doub1s ab。 ut tlie k昏 tnlacy of the dynas〃 he se、歃,mu·Jlation

on、乃Ιdi’s ofders,terrible experiences in P“son,and resentmcnt lllat a man of

his po钫 tlon be m妍ccted lo bodⅡ y harm a∝。unt lor some of ule ambivdlence

about the Dle。 f【a,v that surfa∝ s through。 ut曲e lext Hls biograPhies of the“harsh onloals” wh° ser⒕d、乃Jalrekcrate the C° nItlcian∞ nvic“ on that mcn of

sound moralconduct wiⅡ never go Wrong no mattcr what由 cir posItlon and that

h、vs and pun芯 hments° nIy encour,lgc htigiousness among the common PCoPle

Some sectIOns d∝ 叩 thC harsh appⅡ tatlon of1a叽 btlt°tller pas煲 旷s adnit曲 at

。fncia1s fa∝ d a hard fa酞 lil admlilotcring laws to keeP the common Peoue in

Ⅱne and acknowledgc lre need tor law∶ “Laws are made to guide the people arjd

pu血 shⅢents are imPlemented to p【 event evⅡ Iflhe mardal and clv/Ⅱ elements

are not in ba1· dnce,even law abidlng pe。 plc w迎 be ner· ous about爬 ma∶ning

stead昆 st‰ The H夕 ,is凡 〃,c° mposed nearˇ bso∝ ntuies late马 whe∏ the d△Tas〃

had suⅣ 加ed an htcrregnum,the thKat oflarge landh。 Iding fam且iesloomed to

challcngc thc∝ nter and"s burcaucrats,and eConomk and s。 oal d订olons wldˉ

encd,l,。 s no less pre° ccupied widl h叽 and,in fact,Ban Gu(32-92cE)added

a treatise。 n the dcwlopmeqt of1岱 v rr° m anoent timCs to h芯 hotorr B吼 h11ne with the times,tl,c la∝ r historian dispIa,sa佰 rm° re tolerant stanα toWard

halsh punishments than tlle sima famiIy,despite hls C° n血 cian leanings In Ban

crs vc【 si。n of the oⅡ gins ofstate砬°lcnce,thesage klngs made叩 od use ofla。 ls

and Punohments,ratller than virtue and岔 Fmp1aIˉ ,`conduct,to ensure orde△

∠`wt·

·'Pll·

o幻`″

ε″r,,rl e Fo″ ″nrir,ll∝乃″PI〃 ￠

The hfe and tiⅢ es° f^mmianus Marceuinus are better d。 cumc「 ted than thc。ady Han A Gr~。 ek r.om lbe oty° f^nt⒗ ch,a mi1itary staIf oilces a nrst hand

w止ness to war and pcrsecuti°n,JJllmianus ad。 pted the per” ect加 e°fsome° ne

潴:龙 ;∶l窝楹1∶1;:群 jI;茹:I扳寥踯 崽找 、∶3;:∶ :

黪锪禹槲

∶铲:留摺:∶埭,∶∶∶II翟t擒点F贯i找茁黯漱掖 Jλdurlilg fhe RePubhc was曲 c practke of allowhg otizcns。 f sufn0ent从 a。us wh°

梗 淄 蓝 垒 孑簟 辍 i莨l∶鞲 燕 妾 斟 蹒clite、 ,oⅡies that status w° uId no lon旷 rsene凼 a Protec讧 o∏ tom dishonorablc

耕巡j骀搀描露罹毳鞠I圭麒TⅢ蛋out Dlsσ etlon sh° uld bc。oxerα sed,he ar叩 ed,be勖rc the scntence,with exicmal

厣错抒擗l罐;馘i数碎鞲箨群孓秦

由d∮:沽架 卩

昶 ”9⒍ 山 ’d scl9义 “k° n.。 n8d曲"φ

孙o"PuⅡ咖m汛 汛 m淌 dme kP凼 k tlrou8h曲 c

68 Ro"ed″dC宀 氵`饣

‘l L,· ll`仰 dP〃 汀is宀 ″●。″rⅡ】油ε助 r″ I rlOⅡ OFE`″ p`rε ∞

狰槲i攀菇:群鞲辙凳嚣撤

鞲槲 瑟j蓄蝌槲扌h投滤:Ⅰ∶c器抚毙八芏茗:嚣萎l慌滗茫且lⅠT扌 i瑟〗;坚提

:鞫 :鳔normal rh· thm of huⅢ an and Cosmic pattern⒐

“HCaven,Earth a.nd Man were

humatelv1。 nnected ond con【 ldeKd ω be lomdog诒 s of,pe another th吖 △seⅡ

∶黯i糇摁 苜坩弼掖;黜讠j∶∶∶l∶1∶;:∶j;絮‰:

ks own boundar” 的r if"dld not the entire吖 stem was adVerse灯 a限 ctcd”臼

章1F∶湮茭iti〖莛:Ⅰ:r录Il蚤:ΙI茔:露蹒l〖刂茁扌

Hc warned rulers that their moods and actlons reVerberated through the un⒈

vcrse and so they must align themselves with the predictable cydes ofthe natural

wor妃 when theY decided Ⅲatters of Ⅱ1· and dcath“

The no“on that punishments must matCh CriⅢ es“ ngs through the tex“

at e、 叼吖 leVel、 vendi himself declared that,“ 0nly when lax,sa.ejust and Pun-

ohmellts appropriate wiu the pe。 Ple follow tbcm∫’^‘ Chao Cuo(d 154BcE)

casugated the Qin regime for auowing Petty la、 vs to prol1|erate and lor faning

t0C0ntrol the Ⅲagistratps,who“ took adA/antage of tlc numcrous,conhJ“ ng

l小烬 to make lile and de破 h deci从 o ns accor献 ng to their。 wn wanton hghfsJ’ 注

Q梳 and Han emperors c° n钉onted a dangcrous dilcmma on thc onc hand lhcy

$pted t。 centrah⒛ a"rel馆 ious actl,i"es in thc订 own。 砾ce血 o记er to Pre· ent

competing local cuks ε。m chaⅡ engng th。 r dom血 ance;but on the otbcr thcy

look upon themsel/es the⑽ le bIame· sllen imb引 anccs resLlted in“ g灬 ofHeav

Cnˇ disapproval Jia Yi(20l169BcE)warned the ru】 er who uscd his powcr

to punoh t° 煦us印 per∞ nal grudgcs that he would h tlrn become thc oⅡcct

°f vengeanc⒏“r the punishment o approp“ ate for the crime,you can Punlsh

manv peoPle with。 ut bcing,lt佰 ult r the punishmcnt is not right and you kI⒒

or,e perω n[not1iable lor c“m司 ” lr c“ me sln Derˉ p。ned ω hlgk丈 HeavenrpJid Heaven、 ,ould Kspond w止 h signs tb扯 eveΠ one in the empire could read∶“oPPre$ive laws and ordnancessdmulate plagu岱 ofinsects and乩 rthcrⅢ°rc if

theinnoccnt aF Putto dmth,the country wⅡ l dry up ln drtlught`’ ‘x

0nc ofthe Roman cas~。 s ln,【 llvlng punohment on a llrge scde tnat seems to

№ve cfealed unease ln Nero、 ro钾 re淘ked around the mLlrdeⅡ 盱 ah。 tlserloltl

slaYe`ofthe U此 an Pre‘ l:ct,Pedanius secundus The triahnvol、`〈

:d au f。 ur hundred

nembers ofh、 h° usehold,lndudlng ho d~es,who could be tortured and pu1to

de扯h as accomph∝ s,no ma吐 er what lheir individual role】 ltlle cnme cas“ us,

a“hald hn矿 stoic,acc° rding to Bauman,agreed th改 somesh,· es might be losal

but征钾ed Ihat only佗 ar∞ uId kep tllem in lin⒏“No doubt hn。 tent pe° ple wlll

die There o an element ofi珂 ustice in e、 /erv preCedent But the pubIk inlerest

out· ·oghsthat ofindlx· idu,ls”⒆Taotus desCribes the scene∶“No oneindced darcd

slnglˇ lo。pp。 se ule。 pinlon of Cas“ Lls,but cIamor。 us voiCes rose ln repˇ 佥。mall wh。 piticd the numbe‘ age,or sex,as Weu asthe und。 ubted inn。 cence oflhc

great m西 oriˇu sdll,thC par,whth v。 tcd孙 r攵hclr exccutIOn prevaned广 N。 t。 llly

mally父 nato‘ butthc pubhc wh。 hned the routc to the eXecutlon“ Cordhg to伍 c

鲫 鲫 矍躅濑醉耳荸J蛋窑掩槭蔡瑟疃篓槭bccause“ some were afraId to exPose山 c empσ orto odlum:’ "0ther fantallzing

re传rences to h汛 ng responslbni〃 f。r unjust pu戒 shment to。 dIum surfacG Lhe

;冕:三】ξ罨肾谩嚣呈罚旯器:拣tl括:∶怒进J找:垠&满、Bauman,“ The need to denect ule。 dium of death sentcnces0aP° inter to pubhc

÷t丨:l∶留r挥 ::∶lTr翥坌:;t运 :∶〖:∶玄i::1∶丧瑟l露霍T袈aKnar邗 ThⅡ ,connccdo∏s bet,vreen odlum and the death penal〃 can be detected

in Roman trought,and emperors dlcla吐 emPtto dcnectthc consctllIences ofsanC

岁t∶豪贤描熙⒎$F盅找找残搬℃慨亮:繁蛮J蝥罗号111冕1丨:1∶:找::忿:叮￡钅1泔嬲J氵浔f滥:l拈

the era。 fthe Christlan cmpe【 ors

Thc prOblem of de丘 ning and punlshing tre孙 on ooubled both eady empires,

ior tho most弪Ⅱlb【 e ofc:imcs involwd competition among rival elites Harrics

observcs tllat n6V,more uldⅡ iv··tre谷 son laX,· s were a CoⅡ equence ofone man

rule:“ Unpredictablc though讧 w峦 ,lac炻 ng in denIlltl。 n,and open to abusc,a

treason lal,was nccessary⒗r emperors to jus0F/the measures tbCy took lor

their own protectlon against thcir soldie阝 ,thcir governing d孙 s and even their

supposed1ˉ iencl【 B酞 the tleason I岔 v was aI∞ a mcans by which thc e1ite w孙

brought under incrcasing灯 s廿 iCt C0ntroΙ by an ever morc overt autoCra9'’”In

both earl1· empires,empe.ors adoPted a curlous灯 Cauti。 us stance toWard ths

z四·,n″ dP,JI· s乃 ,″ g″ rl,·

`”

召For″汩 o″ OrErp扌 沼 71

delicate matteL Nsrendi in178B c E speci且 ca11y ordered伍 at those∞ ught utter-

ing treasonous opini。 ns not bc br° ught to trial° n the gr。 unds thatsuch mca-

sures Wollld。 t诅e legitimate c“ ticism from belo“ that伍 e∞mm°n peop1e wcre

tOo igΠ oIant to ralize the箩 dir,of thelr actlons,and that lhc ot.oab were

not Capabk of dothguohing talse⒍ om accurate Kpo【 岱 E△ en Roman cmPerors

wi由 a犯 putatlon允 r excess,Caligula and Nero,for example,displayed a lenicllt

attitudc tσ vard Posslbk cases of tre。 son More subt1e methods conveyed dte

mes弘 ge that by rc丘 ainulg to。 roer dea伍 ,utc emPcr。 rimp1icltjy daimed the

“ght to takc hfe,as Valentinian dcverˇ reⅢ hdcd the senate a夤 er agreeIng to

acquittals in treas。 n case⒌‘扒 pardon,consC0pt fathers,bran祗 those persons

whom it ffee⒐ kd。cs not佗 ke awav theinfamy of σime but铲 aΠ ts remisslon° f

puΠ ishment孙 a falo⒈ In tlhe case of one of b· fo aCCu缒 d persons,dl芯 may bc the

right c。 u‘ c He who Pa【 dons the senate condemns the senate|’ 7‘

ln the earΙ y em∮ re,pgr,,″ d`氵 o,the。 ld term that aPPlled to an act伍 at threa1~

ened t△,e wdI being of tle c。 mmu血 t,aBd could血 clude milita,lnc°mpetcnCe or treaChe叩 as we11as omcial h“ al momanagement,Was mcrgcd with the

notIOn that treason Could apply to acts tbat damaged由 e greatness,″“i饣s忉‘,of由e Roman Peoue户 ￡cording to Garnse” when tne wellare and dignis· of the

emPcror mirrord the healtb ofthe斑 破e,no Ⅱm"se⒗sted to determine how

treason might be construed;i Atthe dme,sencca beli四 ed"posslble to dist血 -

guoh bebˇ een Crim笛 th,lt tru⒈ threatened the pubhcinterestand σimes agahst

the empero巧 which in fact mercly o∏ Vnded°ne man、 digniγ∶“《ngs should

°nˇ put peoplc to death when they are saus6ed that it is lll曲 e pubΙic intercst,

lor brutaIity悠 for0rants” =唇 But as Har“ es points out,由 e pr。bIem.ested in

dennhg what copstituted dle pubhcinterest whcn court p° htics all foo o盘 en kd

to charges made「 or p。 liticaI gain rather than to protect the emperors and their

authori0Harri6dcscrlb6hoW the ambiguous【 egacz ofthe republican n。 tlon

of trcas。 n led to abusc undcrthe emp订 c∶

`~、iΙ e the securi〃 ofthe empir。 was

not h缸α at risk flom outsidc e∏ emies,the apphcati。 n° fthc p召 石dΙ￠J′讠口血屺r

pret,ltlon oftreason mattercd lcss dlan伍 e emPeror`(and his c° urtiers’ )obses-

slon With ho(a∏ d their。 wn)securiγ and铗atus”’

In China,clites had htde to lose in the订 ansidon f|om the vs/arring states t°

cmpi芷 Thc early phⅡ 。‘°phical trca“ ses that callcd for vonsistenq h punish-

ments did limelo temperthe bruta【 ,nast,,and sh。 i⒒ ves ofa、、ne who attracted

the displeasuK。 fthe strongmen who ruled w汪hout any nccd io lcgltimate theIr

deoslons By Han讧 mes,。nCe thc Liu dynasb/estabhshed⒒ ser岱 Iegitimate,

淡was its foundes prccedents,and弪 mples,否 weH as reigning empσ°rs,that

72 R口 ″IcnⅡ d C乃 冖Ⅰd

鼽 踯

灿 叼 ″dP“ 赫 ”

`″

召汀氵冖i Flle FOn″ 耐 o″ ofε″ΨJrg 乃

nount a vendett,i againstthe Liu famny、 ℃td煜 spik Mrendi`eloqucnt aIgumcnt

against collecti,· 。punishments,We knosˇ fr°m the Han hoto“ caI sourc6that

punohing thc rdatives of tllc criminal co ltlllued Moreove鸟 thC Qln and Han

passlon⒗ r standardi祀 tIOn did not apPly to coll∝ u,e Punishments as LeWo

shows,the members of tlle descent group implicated h such punlshmcnt varˉ

led ρ It is possible that VVendΛ vtry sttldled attempts to us~。 his atlthoric,for

seemin献y bentgn rasons When he advocated Pliminaung tl.e collectiw punohˉ

me"s Constituted“ euergetismr as Paul、`爸

”e has desσ lbed the freely ofiered

bene俗 cttoⅡ that o∏ 灯a忙ader with e“ ess powcr can o0e⒈:Btlt as the mⅡ y

a∝ ouj ts0f punohment apphed sometimc$without"iahn the h芯 to"es and

heaW per,al〃 for a comⅢ oper’ s llle丘 ol a jadc ring attcst,when the iⅢ Pcrid

。utho“ o,w孙 thFatened,the emperor became a ru山 less ad旧 cate ofthe harsi

est Penal艹 The case oF the major Han thinker Dong zhongshu is instructl,e,

佰r hc exPcriCn∝ dh抬 undcr a O/Iant Who both rearcd and needed thc support

of in1dlectua1s11ke himse1ξ and he oPerated on both“ dcs of thc la叽 g·/ing

adx/ke about doubtmll鸲扭cases when callcd upon and su“ Vring improonmellt

when tlle emPelor sllspec弪 d him of using his蚰 owled$about dlc connectlons

beO· cen thc physical and natural、norld to start a丘re ln曲c ancestraltemple小 沮d

f Gary Arbuc妊 e’s狂gument伍 at Dong wasindeed capab抬 of trc孙 on o corrCt,

the cmperor had good KasoR tO suspect· dlls man,who ma「 Ipulated ldeas abo△ t

thc qdcs of hotory to Place a kosmolo∮ ca1death sentenCe on thC ruΙ c of the

Llu clan氵’:ArbucⅪ e sug旷 sts that Dong had himser in mind西 tbc rounder of

a new dyη ast冫 、△atever Dong zhon鲈 h矿 s motlx· cs might haw bcen,the most

eIfectivc mcans to destr° y thc dynas,was n° tt° move again纹 t虹e cmPer。 r but

lo dcmonstrate that tl△ e elaborate symbols lhat suPP° rkd the dynasty`righ1to

ru【 e no longα rmained vlable

冫 B0D】 LΥ HARM

ln`Varring States China,despik the mlth tllat“ the mdtⅡ atlng punohmcnts do

not app″ tO thc superIOr peoplc,” in fact,e1ites e” o/Cd n° le轳 l protectlon佥omthe harshest ptlnohments Ⅱ was n⒍ ollly ltllels vvllo attcd arbltlalⅡ y;ma呷

tdlcs in the的 urc$sllow h。w men oflikc status harmed° ne another With crc-

aur rieth。 ds-b°i1ing dir was one tcChnique that enjoved a certaln p° puIar-

i旷 s Han emPcr° rs dld not havc to contend with a dass ofpcoPlc wh° Cxpcctcd

∷∷~∷~∷一∷∷一一~∷∷∷一一_一_一一一~

一一〓∷一一∷

74 Ro冫″en″ dC′∶i`∶ 四￡口w,lI″ PⅡ 冖劭 l,l￠″fi″ 扌宀gF0r″ 1四扌io河 q厂 E〃p`诏 乃

to dop1a,his power to grantlen诒 nc。 a∏dc° unterproPoscd that the mllt讧 ating

punohmcnts be abolished and new regtllations drawn up to dFte[mhe how to

mark dc⒒ ant PcopIc dccordllng tcJ the crime lvitll shavcn heads,iron couars,° r

beati鸭 一 ,s/1th° ut pcrmanendy aI1erll,gt陋 ir bodies Ill锸 t,howα e‘ mmuati° n

was nc皿rehmh酎cd,bcatin轳 o命en man砂 ed° r创ued pe。 plc,and thc debates

abo吱 changl】lg thclaws Kg肛 ding the harsh punishments continued throughou

the ear1y impcrial Pe试 od W℃ ndrs nlotives for attemPting to end mutⅡ ation are

atopt ofsome deb欲 e According to Char抬 s SanR,k was the scholar on⒍ 。al豇 a

Ⅵ who had argued h a text dated to W℃ ndi、 reign由at th6e hdrsh punishmcnts

sbould not aIlPˇ t° 1he territorial klngs,who constituted the⒏ aYest danger to thc

cmperor、 powe厶 atthe兕 me time tIlat he adVomted reducing tlle sizc a∏ d power

oftheir klngdoms TlIs very Lalculated move to aPpease tllese订 oublesome e1ites

was not犯 ∞mpa蔚 ed by a proposalto山 mina弪 tlle dcath PenaIt/ butto alIoW

them tle prI· de『 ofsulcIde ratherthan mutⅡ adon or ex∝ utlon s‘ Btlt in fact,as

the hotories rcvcal,elites、 vere ncl/pr protected from thc harblles1pu血 shmeIlts,

and some cn数 s show that extraord· nary c1·forts wcre made to destroy thc corpse$

of power乩 l enemles in o.der to destroy tl,eir potenc” PerhaPs one rCason曲 e

mlal daughter’ s plea did not fa1I on dcafears o tbatlicr latherwas an ofn0al,and

justas h imPeHal Rome wea1tl,and statkls offercd protectIOn丘 0m boduy harm,

more o犴 en tllan not,毵 Cordlng to Carnser’ so too in China ranked o伍 cia、 and

membe‘ dtheimpe⒒ al血mn1· theoreuca lv c。 tlld not陕 punolled w⒒ hotlt per

mlsslon钉om the emPero马 wh。 then usuany lelerred the∝ tualsentenchg to the

Commandant of9ustlce’ O Co∏ 血oan lheto“ c h fa,or of cducatlng the PeoPle

bctore endange讨 ngthem thfOugh war and p刂 nohments did not c炷end to uslng

punishment as a means to relorm Crimina‘ Indeed,one of由 e fcw a呜 umCnts

for refo〖 m山 rough punlshmentin the anoent Worlcl o tound rl Plato,btlt the

R°mans did not adoPt ho v1。 lon The rocus in both cmPires rcmalned on thc

body Bllt as I expIain bclo、 、thc Han bcl诒 st虹 atthe boundarics ofthc hdhidud

p”sltd bo钾 weK permcaH6th钒 the mat“ dboψ d叩I呷ed由 e hnersaG

and that humans、 vere malleable crcatures甚 l contributed to a hcightened scnsc

tllat any mark that changed a pcrsors。 u6vard appeara∏ te,c收 n a syInbolic one,

mtIst bc CareItlⅡ y apphed叫

In Chlna,as血 Romc,tonure w孙 deemed丿 ust⒗ able h o记 er to secure

“truth” by lOKlng a con传 s“on,though h both cases,dlc unreLablity of coerced

90Hd谩c,o灬 ;o0‘ crvφ 由扯dα c,m∶ 雨ng” “whch ran“ 旧d汛`PⅡ

v‖ o阝 ⒖山猛cdt but、 ve know ti【 m

:⒒垩莨‰∶岔跻嘿恶默袋:lr蕊 W∶凭W龀拂 :∶毛1;1r猝显∫氵`∶小鞲姿崔Ⅰ社鞋:谳、骈f∶璀!l黯￡!iiiI铷湍:找昭

Lnlv nJl'P″ l lslll7,c″ rj″ rlle For`″nⅡol!o,￡ ″lp氵rc 〃76 Ro″ Ie“

"dC而i冫冫‘l

8 EcONo、i1Es0【

Economic lptercsts lurked beneath Han emPerors’ moralistic pronouncements

and the bureaucrats’ rigld adminotati· fe codes Chinese emperors headed alegal

s阝 tem that,while hck】 ng the kx· eI of technology to orgaI讫 e and dociPline its

populabon as c伍 ciendy as modcrn statt·s,did h%ct pay a great deal of attcn-

tion to catego“ zing ms legal subjects h terms of thclr labor poten“ aI Indeed,I

would argue that much carllcr than in the ls est,Ch1na dex/elopcd a Fou.auldlan

notlon0f bioPower the。 atcgori犭 ng,standardlzing control,and mobⅡ izauon

°f indllidual bodies to servc thc statc%The Chinese case chauengcs F。 ucault`

c° nten“ on tnat a Passi。 n for0rganizing bodies tor their Productive capaci"es

markd ashi录 in pollti.ˉ al hfe from dasskalto modern Ψs弪 ms In China,pat“ ~

monial dlspIa1· s ofthe ruler、 terrlble power to punish and bureaucratlc imperⅡ

tⅣes e斑 sted in tandcm,esP∝ ia⒒ y dt the lower levels of sooeo/Resources we【 e

ukimately atstake The manua、 buned w“ h alow丬 evel Qin omcialin217BcE

deady meant to restrict ho deo“ ons about managing and controll∶ ng gl,vern

mcnt resourccs`~℃ vˉ an see in these matcoals Ihat thc state、 ConCern允 r match-

lng crime and punohment plard。 Jt at the loxs· esde’/ds of the admlnistration

Ⅰn a sec“ on o∏ ans、 ers to questions about the Qin statutes,the statc′ s ConCePˉ

tton ofjustItc o ar“ culated:“ In Pronounongjudgmcntin criminal cases,Iwbat

。mcan叫 by‘ not“ raight’ ?lJshen a crime warmnts a kaW〔 pun。 hmm凵 and

Purp° sely to make"hght,or when a come warrants a light!Punlshmen凵 and

purposely to make"he洲 y thatls the meaning of‘ not str前 ght’’°’

The nnes and labor sew记 e sPcued。 ut h dcta"in the Qin admin。 trati,e

manuals describc c° mmoners in terms of preose phlskal attributes or ta1ents

that might be useFdl for thc statc Crlmina‘ as“ gncd the heavlest hbor could

be mutⅡ ated,but thc sturdiest men,the Wall builders,were usually lc丘 intacˉ

marked b·/曲 aved heads or beards rlr speci扭 dothing s1rict ruks governed lhe

use ofresource$food w笳 ratloned to pr° vide just enough su文enance to aCcount

for thc s讫e and jobs oHaborers,a∏ do路oals werc harshl,· punished⒗ r nc砂 ect

ing goκ mment stores or%"ing to de"ver men for labor servicc Mark Lewls

concludcs that c° nvlLtldbor formcd a far mo【 ee伍oent poolthan“ 狎cs or cor

《cl四 ie⒌“￠khso many b pes° fσime,and thc endre cmPire to draw upon,thc

conX· iCt popd改 lon prtlvlded a bottomkss suPPly of exPendable陌 boF Further

evldence thatthese workcrs suffered md订 eatmcntand mdlnouoshmentsurfaCes

in ex~avatetl Qh and Ha∏ cemetc“ es,ac∞ rding to Lcwo鳃

Fou∞ ult、 m° dd appllesto the economic and Pohtkalrcalm,but anthroPolo

昏sts have Pro△/,ded Ⅱe钆hn“ gbts aboutsl mbohC Conncctions bebveen thc ind⒈

·tdud bod” t№ sooaLbod弘 and the bod,· pdkk A‘ slv·ln№t6h Compa“呷

78 Rtl″ ∶e li″'Cl∶

i″四L四 w nⅡ

'p〃耐s枷〃,Ir i″ rh纟 助r″ i夕 rjo″ σ El″ PⅠ″ ”

imperauvcs scemed of贽 condary unP° rtance Fergus MⅢ ah lor eXamPle,notes

that condemnauon t。 Jle mu,es llId no|p吐marJy operate to securv。 a st lrdy hb° r

lorce and dlat beatings and lacera吐 ons№ metJlles rendered the condemned crulli

nalless6t forlabo⒈ Moreoves Iabor△ p dle mhes was notcon6ned to ch⒍ nhals but

r~。 ser,ed ror parttuhdy subsers加 e or da血 gcrous groups,砬 dudhg Christlar.s1"

But ewn Chris"an emPer0阝 dld not exemPt feⅡ ow bcLe浞 rs炱°m asslgnment

to由 e mIncs and quarrIes O’ r we lqe1o· pu血 hments as rePresentatlons and ule

C灿吼inol bo却 as a mirr。Ⅱ or microcosm,ofsooe“ di”la,s ofcIueIO,lll ule arena

c熊 dls e灯 Knoered山 c dc访 ant亦 aru oulsdσ 扯 a dme when由 e emPire lncor

PoratCd ld呜er numbcr。 oflormer enemies lpto ks ci山 en bod`∞ 0r perhaps h

une w:山 s/evne、 scheme、 the eⅡ perors钾 merulg。 flarge numbers ofbodies for

his pubhc留 mcs sat诒 丘ed h“ euergedstic need to dop1。y and sha/e the surIlus° f

human resources that ordy a universal rder widl an empL℃ at ho由sposal codd

muster Don扭 dK1· le’ s lvork on spettades of death ln anocnt Rome desc“ bes由 e

Problens created by the sheer nurr.bers of humans and anlmals。 9cIed h and。 ut

of由e Roman aKna and ldentlhes伍 e source of tho hJll,an.ap“ a⒈“For Rome

noxIi konvidcd criminal时 h妃 re a surplus Comm° di邬 a koure rcsource,a” ˉ

product ofnlperiahsmr∶ σ

Hr lve收r we might explain thc dioercncc,eady impcrlaI ChInese state buddˉ

crs careftl⒒ y husbanded and managed thelr con"ct laborcrs whlk later Roman

emPer° rssquandered them In Chha,pubⅡ c Punlshment,mcted out most olten

m the markct Place,did aim to shamc the crrninal and deter ftltl rc deViants

But pohticd1ife in旷 ncral did not operate on a grand scale w“ h the emperor岱

a tentr。l丘 gure as ln imPcrial RoⅢ e The criminal body in the ChLnese case Was

not V/lc,s· Cd孙 a Vehicle to cnhance dire“ 1y the Pres“ ge of emperors btlt as a cog

in the vasdabor p° ol necded t° σca弪 and maint“ nt「 c important in$titudonal

symbols of empire such as mass~e imperiaItombs and great waLs

9 LEcAc】 Es

In tbc historiography of Roman b” Honor适 and Harrles argue tllat by the thtd

Centu吖 nesV钇rces began to Ⅱmit the P° wer of emperor.s"egal wnt血 gs uPheld

objectwe standa【 ds in Private cas‘ tllat cxtended to public law and the emPcror

“mself∞ di众 catlonnarroWedthescopeofiⅢ perlaldiscretion;Chrodan author-

ltles pro说 ded a c° ullteRVelght to imPerial p° wer;and a more p° PuⅡ st imPerial

ina旷 emerged“ But° thcr woters note that dcsptte tbe impact° f Christiani“

8o Ro″ :c`汀

'C′

li冫氵d

and despitc the lact tliat emPerr,‘ endorsed codi伍 cat⒗ n and dari丘 cauon。 fthe

laws,Pcnal policies wcre not humanizcd in thc Process Gar灬 ey argues1hat thc

“the inσ eascd activiψ btlt con“ nucd ine伍cienq ofthe centra1adminotration

in the” hele° flaw enfoKemen‘ the Icmoval。 fhm爪 a“ons w⒒ hin the judlo扭

∶∶∶F:∶1程戋i扌找泔冱:∶F节i&πξ∴∶∶1娶写钅袈茗l;:l拜

Garnscy and MacMullen both a1trlbute a父 emlng1ack of ehte svmpatby tor tle

surc“ ng° fthc groups most vulnerable to pubhc degradatlon to tnc m0re“ gid

s°cial st【 atinca“ 。n trlat charaα er讫ed thelatσ empl,e岣’

1n the early Han pcriod,thc unusuany nuId nature ofsocie0‘ in which alOwψ

。fn。 al c。 uld bccome cmPeIOr and thc highest onl。 al c。 uld兔u丘。m grace lnt0

sep/"ude° r worse,empatrly l。 r the su踟 rlng of thc lower olclcrs migh钅 weu

h四c accounted for debates about the harsh punishments As the Han Empi【 e

m,△ tured,and as d"oions beo,veen soCial cΙ asses became more rigld,atutudes

toWarki punohme涎 s har扯 ned as well,desp"c khc otncial ad。 pdOn of Contu-

oanom,ls thc orthodox ldcolo叩 ofthe emPi.e In Ch1na a鼠 er t「le dme ofxsudl,

薛Ifl轼千群萤蛋变l褒

:黻蛊;Ⅲ∶苫搭c。 uld ncither be understood cltarˇ n° r app1icd consistendy A gencration ea⒎

heb Emperor ⅪJandi had expres‘ed the sentiment th,lt the omcia、 were at l△ ult

tor abusing thc hws and harming the common peODle and so it was the rdcr、

duγ to rcfoml tbe laws and managc由 e。 fncials in the inte.est of the gcnerd

welhre⒆ But despke impc“ al rhetoric in血 vor of“mPh印 ing thcl扒 俗and stan

袈 巷:毖:琵擐 :∶∶∶}a:l∶ ∶∶:∶∶∶∶l:∶ l受:l里11品占 i胃r∶∶∶∶∶∶∶l;尾寥 岛

scr,itude apPear on the books'"Ban GCs expositlon on Iaw and punohment

betra阝 a rar m。 re tolefant att"ude toward severir,than carliσ Han write^Hls

aCCount of a debate about punobment in Jingdl、 reign(157-141BCE)shoWs

the empcror and ho oHloals盯 guIng over the Preose number of s△ Iokcs and

whcrc bcat血 g sllodd陕 aP丬诒d on the“雨 nd bOdl/wIth伍e em晖 ror∞ ⒈

dudingrThe basunad。 。the mea“ io lcath them Therelore regu妇 te the si贺

of rhe stick∶’ltiδ hard to know how much this passa吕 e renects h。 to“ ca1reality

and how much the sterner at“ tude taken by the emperor serYes Ban Gu、 own

behef曲 at harsh Punohmen‘ must be legltimatcd BLlt the argument tnat bodllV

harm can be rationalized by advocating for care缸 uy mcasuring ks app⒒ cadon

points to the da∏ ger of as$ociating bureaucratlzatlon With humane punishˉ

meIl岱 ValL6甾 sochted with W曲 erian“ ratIOn汕 t’ Ⅲch as u血 tormi“ dari艹

‘mˇ 四″〃P″ 〃沁儿`″

″ l,扌乃e助 r`丿 7nr氵 tl· 矿 E·氵Pz〃 Bl

and standardizatlon,did at"Ines Prclvide rritics with rhet° 。cd ammunitton t。

揣n∶

崔撒黥呈E糨:,揣 lj∶ l∶;l挠i捻拧抖摁t

群盯膦瑙舞Ⅰ茁器瑛:;iii∶遐:l弼屦ofru【 ers and their amb沁 ious灶n dId attim6Ⅱ anage to hnuencc detislons,but

incvkabl” emperors b∝ ame cnδ conccd in the p。

"0ts°f the“inner court” and

cent"乩 gal for∝ s。verrOde the inΠ ue∏cc° fthe burtaucrats⒓

汝t lhe blueprint⒗ r balanong pat“ monial and bureaucrauC血 terests crcated

du^ng the ear灯 Han llled on and° 涣rcd a汶 h source钇 r heroniodsand rd~ers to Cau up。 nt。 supp° rt their proposak and deo∮ 。ns F° r example,XxJcIldi、

幺mous ofncia1zhang Sh” 1w孙 at tim钋 celcbrated by lat,。 r re佰 rmcrs For hoabih″ to witltstand impclial Prcssure and by° thers cas“ gated br sξ 饺ing a danˉ

gcrous P四 cedent when in由 e case。 fthc commoner who startIed the cmper。 r、

hors6hc c。 nceded t。 lhe emperorthc rjghtto have tle Po。 r wrPtch c× ctuted on

tlle sPot” The sciptthat oudincd the rulcr、 duties to the Iegalsystem continˇ

ued to be drawn uPon,and Han act。^Provlded a rich and c°

ntraddory乩 nd° f

Pr“ edCnt户血crthe dcmoe。fthc Han,ewn non Chinese ruΙ e.s tn"iated the订

reigns by° rde访 ng thc饣 offloa‘ to re“ sc thc codes/"and worricd about their

respon“ bnir,⒗ r cap1a1pu汛 shment Jonathan Spence oH诒 rs a wry accesslblc

p° rtralt of thc Mankhu Empelor Kan郫 j⒍ l∞ 2Ι 722)ruminatlng。 l/er lhc

lF点1泔 Jr茹虞1上扌遇r宦 :::∶⒉i∶嘿k1扌 s∶豁珏漯絷j⒊T喙

each man c° ndemned to death,and thc reason for whth thc death penal呼 hadbcen givon Then【 wo谜d check through the hst ag缸 n with the Grand secretanes

and tleir sta仟 and we w° uld deCidc who might be spared?’ ⒖H° w much tl,e

written laxts might afect th舔 e decl。 i。 ns made at dletop dependcd on山 c∞ rt° f

message tlie emPer° r wanted to convey and the politicalimplicatiOns。 fthe casc

0ver the coursc° fthc t,v·o thousand ra阝 that the imperiaI system managed to

survive,atthe top emper。 rs P1ayed tllelr roIes°ut as Parental ngu犯 s,wlllch Ie昏 t

imated se,c⒒〃when necessary and bcncvoIento when αpedent"‘ Atthel° lver

lel/eIs,ma昏 stratCs,trained in the C。 nnlclan dassks rather than Iav‘ 培nored° r

manipulated the Ietter° fthe la△ v as necessary to keep° rder and mah扭 h theirp。sitions The c。 ntemp。 rarY legal reformer and scholar Hc Wufang c。 mParesEnglish c° mm° n law with impeoal ChineseIavⅡ c° ndudlng thattlle dottine Of

s沏沼″艮。。neve.ˉ look hold ll China,where thejudge“ $neraⅡ y prcached a1lhe

82 Ro7,】 en冖 ll C`冫订m

par“ es or rep/oaChed them ethicaⅡ y,quoted° r dld not quotc the law artic1es,

and曲 cn rcndercd ajudgmcntto the doptlte Hc did notattcmptto est,lblish any

Iegal princlplcs to be bllowed by later judges丬 ΓC° n乩 c妇n△raLled judg6had

little need to challenge the s,stem,which provided tllem with salaoes,bene缸 s,

and st。t,ls Moreol/eⅡ a命ertbe Han,the Con钆 cian famⅡy hierarchy was backed

bylaw wlth bene丘 ttoward patriarchs and tcⅡ ibk costs for womcn and youth

Finauy,whne chincsc dIeori$ts durhg饣 hc Han wo,ked丘 om thc锱sumption

dlat aⅡ humans operatcd wtthll a∞ mmon moral univcrse,in ract,th这 r epo-

temologkal assumptlons ab° LIt human naⅡ rc remained n盯 rowcr也 an ulose

that Prv。iled in Greece and Rome Truc,C∶ cero、 Yi“ on of lllc“ rcasonable ma矿

who could participate h poliucallile斌 、 connned t。 a small gr。 up of ProPerf,

owning residcn钅 s ofa smau ciγ statc But oWr omc a morc exPans"e id田 of

par、icipa“ 。n dcYeloped that lormed tl.e basis br an independentjudiciary at

the higher忆 x/e‘ of go1·crnancc and tnal by a丿 u,°f pCers at tbe lomllc【 1As

He、Ⅵei昆 ng laments,“ The EngⅡsh Practicc ofle吐ing Ⅲitcrate common PeoPIe

take part dlrecdy in” dIcia〃 activities through thejury syskm w。 s unthinkabIe

h tradlt⒗ nd Chlna尸 路Bmman copdu洳 s ho stuψ “ crbile and punlshment

in Rome by d∝ laring∶￠It was not by aCcident由 at tlle crimlllal l孙 v mosed out

on the a∝ olade that greeted i‘ pr11,ate counterpart oⅡ r thc long centuries fo⒈

⒗l,△ng the raIl of ROme∶ "⒚ 蚰 d yet,孙 Is"由 c past and present,thc pcrsotcn∝

of rcpublican ldm‘ abou攵 pIOceduraljⅡ uce lc太 a positi沂 1cgac/on which later

lcgal s阝 tems w° uld be reconstruC1ed EXcn whcn a“ crueF’ emperor pr。 “ded,a

common undcrstanding ofthc rights OFthe accuscd remalned-a trlalto bc held

ll public,witll a订 Ltstcd vouncⅡ fo翕 amc the decis讠 。n,and a chance to mount adefense In a comparatl1· e hght,a trla1dccmed unldir bˇ Roman standards o∏ tred

far m° re chance for altcrnative voices to speak° n beha1f of thc actalsed pers° n

tnan a ma轳 strate、 inves‘ gauon ul china,which presumed guⅡ t佥om the out-

set and allowcd br no dc饴 nsc Profe$or He notes that the Chinese statc ne收 r

pr,皿 0ed to mai∏ tain a legal wstem to protcct rlghts or ploperrJ Law exlstcd

∶ as a means to preserv。 order and garner thc resourCes needed to maintain thc

∶ lmp汛 铋apParatus,,,lld0lItes,w lPtlσ C,nlllc血 n or Communlst,has· C allvals

decided ma仗 ers0fhre and death The svstem has Worked for o收 r bvo thotlsand

years B,t the human costs have been high l「 deed

￡伢竹钐c乃 ~q,丐

^乃

//ze″ ,伢″‘氵rJflp召 彳伢J Cε勿rFs

Maria H Dc仗 cnholer

EuNucHs have g敲 ncd a securc口 ace h anoe"Chnese as呶 Ⅱ asancient European hlst° ry More° κ厶they seem to be a Phen。 menon that o n。 t

rstrictcd to thc ancient M· cdd°6for that mattcr,to any gc° graphic。 「cuItura1

r鲳 lon in particula⒈ Many sooeues knew them and madc use ofthem trlr。 ughout the∝ ntu】 l6Many examples arc to be found in China,India,persia,【 A=abian cultJre,tlle R。 nan EmPi.e,the Byzantinc Empire,and Rllssla∶ eunuchs arc

acommo∏ anth∞ P° logica1妾 atuK

Eunuchs appe盯 in x/er/dilferent c。 nte怼s Fori∏ stance,they are mentloned Ll

dlc Bible In Matthelv I912,we read,“ For u.erc。re cunuchs wh° havc been so

仔om birth,and there are eunuchs Who h狎 e been made eunuchs by men,and

肝蛋:揲锶%:茗婆黥 臭罂:∶∶∫:∶患:器￡∶Ⅰ1:∶I各

甜盅F瑟甄:觜且翠茳⒊F嚣愚絮:生j苄黥∵T袢

括￡∶∶∶:∶∶∶ll∶∶丨:丿l∶熙津1srl;甘T九 :}∶丨:e昆苕旯‘Ι∶森,戍 j∶:瑟:圭

yattendants,。 r pmxlders° fsPeod er。 tic scΠ ices Howeve6onIy the c。 ults of

ccntraⅡ y or叩血zecl emPres° iered an en“ rOIlmeˉ攵whero曲eywe爬 auc° 轳htremcndous p° Iiticahnnuence and le箩 nd狂 y wmkh Theeunuchs,stem hclPed

8艹 Ro″ lc.a″tI Cl7氵

`∶

″

m⒋ ntaln the myste“ ous dtstan● e beⅡ een ll· e rdcr md ho subjects砥 ⒈com-

mented examples in antlqui〃 lndude the courts ofthe E阝 tern Roman emPcrors

佥om the fourth and鼠 丘h centuries c E° and the Chinese court丘 om the nrst

emperor Qin sh】 huangdi unti11912But what made thcse castrated mcn so suc

cess凡 hn Pol⒒ lcal s阝 弪ms ul荻 a1s。 dcs·elopcd ehbora,c Careef Pa收 erns for the

arotoC:a吖 to servein the go爬 mmelltz vN△ly did these LOunterparts to the omoa1

and a“stocratiC malc wofld become the Perfect courtiers:And what madethem

s° specIal that they became a^rmˇ estabhshed P° we[at the grand6t coufts of

1he ancient wodd

i】 Bccc,氵 冫Ιi7氵 g“ ε"″

Ⅱc九 ;山亻0扌

`IotI●

n″tI Rgnso″ ‘

The one thlng eunuchs a11had in commo∏ was a de6Ciency of thelr genkals,ln

mo玫 cases caused by the irre,erslb【 e act of cas"atlon Let us6rst take a closer

look at dl茁 erent b pes° f castration XVe encounter partˉ castra“ on,where onIy

the tesudes were lemoved%t甜 Castration was tbe alternativα k enta⒒ed thc

removal of both the penis(Pen∝ tomy)and the tes‘ desˇ弪thods Yarled tlo"

a shsh of a slvord to a clash bet,v· een tlso stone‘ ;To眨 I castra"on had a h螅 her

morta"ty rate and seemsto have been the Πorm ln China

The age at which四 stration took place als° plav℃ d an importantlole Most

eunuchssecm lo have been αcated bc佰 re pubcrty as castratIOn in cbildhood was

less dangcrous lor the eunuch to bc the evidence shows that the Ⅲortaliγ rate

was h培 her arter Pubertv Howeve‘ there were se攻 ralreasons for the high num-

ber of castrations of adult men In ancient China,castra“ on was a tradkional

Punohment,lor lnstante,债 Prisoners of war or traitorsδ Ⅱen highˉ n-ng。nl。ds c。 u1d hcc tho fate9slmiIarly in tlle R° man EmP订 e and Byzant,um,

Castration was prac‘ ced as a pend〃 for P“ soners of Wa巧 pohtkal opponents,

sCXllal offenders,and doobcdlent sIaws⒑ 【tc° uld a、 o be emploved asa mean‘

of tort“ re

If thc testItles were removed a丘 er Puber弘 the eunuch was stlu capable of

achleving an ercctlon“ nce,akhough hc would be sterile,he continued to rcce"e

testosterone through thc adrenal g1ands⒓ Numer° us⒆ urCes曲 oW that eunuchs

、ere highlv· v,alued sexuaI Partners;moreover,they interacted with both scxes

In Rome,sla△ es werc castrated so that they co议 d be used lo斑 t1s即 tllelr° wners’

E〃"Ⅱ

d】 ‘,ˇ炀”Ie″ ,n” d△,pσlo`Co〃 r‘ 岛

sexual deslre岛 toung mcn who had d田 ady bee且 castrated werc hkewise regarded

as usettll add"ions t° the household Ⅱ They had t° play the desPised passive role

in hom。 sexual reladon$hips and welc therelr。 re Caued p“ ″:饣氵,meanhg“ tho巽

、vh° 昏vethemsckes hk a· s·oman`’ "In China,too,eunLchs werethe submiss1· /e

sexuaI PartΠ els of m° st ofthe emPerors H° mosexualiγ was a ΠormaI Part of a

Prince’ s life Princes and eunuchs had grown up and bcen educated togcthe⒈ ”

But cunuchs’ crotiC serxices were not⒒ mRcd to homosexuaI acts,eIthcr in the

East or in the、 ℃st泅 Nsjcalthy、 v。 men prefefrcd inteKourse with castratcd sIaves

lor a good reason∶ 1here was no rok of pregnanc吒 r In the fourth and n丘h cen-

turics c E,、 Vomen、 interc°urse with eunuchs had become a widesPread top:c of

public debate汴 the、〃an1en ofthc emPcror、 palace in Ch1na als0腔 em lo have

rehed on eunuchst° allnll thelr sc`ual desires”

扌2 刀冫C Pro￠ ″“犯;A Λroder″ Etn″lp佗

Nuleteenth century acc° unts shcd light on holv the castra刂 on ProcCdure was

undertakn in China where total castauon was the n° rm and tl,c巛 cunuchˉ

maker” lvas a sPeclaI° ccupauon ln preparatIOn for surgeη 6the Paden“ abd【 l

men and upper thigh$、 vere ughtly bound、 汀th‘trings or bandages that le矸 1he

Pen。 and5c.otum cxposed Thesc wcrc then washed dlrec times in hot pcppcr

water whⅡ e the Pa“ entsatin a semir∝ Iining posltt°n onah臼 led piece° f血 rnl-

ture kn° wn in Chinese as the Rl`苫 The“ eunuchˉ makeP’ repeatedly qucstioned

the Patlent whether he reallywamed to即 through with thc su呜 c呼 rdlc patleIlt

c。 nnrmed h。 c° mmitmen1,he was nrm虹 heId d° wn byas“stant5whdc hls pe∏ ls

and the scrotum Werc cut ofl、Vlth° ne sweep° fa razo⒈ sharP slck1eˉ shaped kn:艮

the urcthra was pluggcd and blocked off a∏ d the、 lound was c° Vcred by paper

soakcd in cold water;1熄 ht bandages were app1诒 d The,△ ssistant then had to wauk

the patient around for^vo or dlrec hours before allowulg h1m to Iie d° wn Hels.asforbidden lo taI【 e nuids f。 r three da聆 A丘ertho Perlod was° 仰△the u犯 thm Plugwas removed and r urlne gushed out,the opcra“ °n was re护 rded as a succ6s If

no urlIle aPpeared,the prognosis was that tlle man、 volI d soon die an agonIzing

death AJqer cas订 atlon,the eunuch‘ gen"als、 s/ere putin a c。 ntainer where they

werc pickled,after whi.ll th吖 wcre rCturned to him for safekcePing Thc eunuch

would ha仰 to present them for advancement in rank,and a丘er hls death,bIs

扩n止als、vodld be buried to旷 dler witll the co【 阝e⒛ Thc、 oounds usuauy he缸ed

c/。淙:i∶∶;求黥 爿I磨|l氵k.ci’ 伽m、孓Iη ,Ⅱu茹 p崆 j。 rum g史 g‘ tst血△Qu mⅡm

E〃″〃c宀s Wbl,,e冖 ,口汀'fJ·

:pσ勋`CD〃

“ 87

laoly castrated themsclv· es in eady Chrls“ anitv,cmasculat⒗n was pracdced

to ensure chasdtu The“ church father” 0rlgen is the mo‘ tt。 m0us eXample3

^阝

tonishingIy,this modc1tur∏ ed outto havc no钆 ture h tne Chris‘ an church;

emascula“ °n was sub父 que∏t圩 c° ndemned It was the soˇ ereIgn、 palace that

raPid灯 became the most Promlsing pIace for eunuchs,whether in China° r in

imperlaI R°meIn add"i°n to belng a fofm of Punohmellt,castration Was als° as驷 bol of

conquest as wel【 as°f revenge in ancient EuroPe as weu as china Hcrod° tus

gives an αamp坨 in the vendctta beⅡ een pe"ande6the t,Tant° fC° rintll,and

the Co“ nthlan⒌ He sei犯 d300sons of noblc lam"ics in Cor.,ra,° nc of lhe

su匀 u墅 ted ci刂 es,and they lvere scnt to sardis to be castFated” By scvering the

吖mbol of manh° 。d iom pr话 oners of wa〖 they were t° be madc completely

subseΠient A s】 m"ar pattern Qn be佰 und lIl Chha Mrc know IIle sad story of

1he)oung prince° f Lou1an,a walled state on the western border During the

re,gn。 fEmperorˇ ∽Jdl,he wastaken h° stage and castrated FoⅡ owing the dcath

of dle kng of Lou Lan ll192BcE,the Pe° Ple ofthC count〃 requcsted tllat伍 e

Prince bc returned to take the throne The rulcr of Han r㈡ ected the request,

hoxveves for k w° uld have bcen most embarrassing r thc prince、 c°untr menhad found him to be a eunuch=c Ill sP⒒ e。 fhis noble bir伍 ,the P“ nce c。uId not

rcturn to hls homeland because of hIs shame6d derormitb n° rc° uld he cntcr

forcign socic吵 Wudl、 dCslre ω demonstrate∞ mplete c°nquC5t o evldent h

addi“ on to the p。 Ⅱtlcal uses ofcastratlon,“ was als° part ofearll/Chinese crimi

na"alv:de,ath sentences for CaPltaI° 涣nces c° uld be∞ mmuted to castration彐

By c。ntrast,Custration never became a仗 andard penal⒐ in R° man la⒕

, CouRT EuNvCHs∶ 人N OLD CHINEsE TRADlt1。 N

⒉丿 spcc,dJ5灯 JJs nⅡ

'D〃汀芬

As Ukk Jungd has shown,the Chhese hnguage orers a number of ve〃

detaucd e【 Presslons for court eunuChs记 GeneraⅡ ˇspeaklng,thc term扭 “四″gIΙ 曰″

ma△ refer to any“ ms"故ed mar’ in general orto one、 vho sewed in lhe imPeri扭

Palacc in ParticulaR’j In佰

ct,加 ““`召

】1n″ 。the cxa。 t and。fn。 alterm lo descnbe

tltosc∞ stratcd n″ d empI° ved at the imPcrIal collrt as servants CIJ四 饣】s the gcneral term lor%fhoal” ln Chinese E爬 n an cmpσ or`servants w钰 eo伍 oals andFJlerefore somc klnd of苫 Im″ This gives us an indlcatIOn oftheIr sooal Prestigc

Eunuchs、 vere also caued‘

`″

″1n“ rf″ ,thc,j ncans to serVe,whⅡ e沼″alw⒔ ys

Ⅱ sv‘ tQo,us‘ ”orDI,″`ⅡⅡ"10;

~_~一

~_·∷∷一一

_~~~∷一∷~_一一∷~~一一一

86 R秒9Ig`″〃r~l″I`

in about l0O da聆 ,whereupon thc nel,· cunudl s·ould proceed to tllc岫 PerlaI

householdlorinstltlctlon Attheendofthen阝 t ycas tlle eunuch,,olJd be trans

feⅡed to thc白 mPerlaI palace to take uP hls new occupadon Ⅱ

9J Ro,e″ “″ce ofEl· llⅡ cll‘

Apart fiom some noble y° ung men iom su” ect trlbes who hdd been1aKen as

ho丈昭 s and tlien castrated,eunuchs mme⒍ om thelowests"dta of soCie“ The

sourCes ofsupPly were the samc as br slaves ln thc Roman EmPire,曲 e markt

佰r eu〗∶11∶ lChs prospercd because prkes fof castr谷 tes wcrc high,much hghcrin fi:1ct

than for normal slavts,which泌 hardly surp“ sing given that slnce thC end of tl,e

丘rst centu叩 cE,castratlon had been forbIdden on R° man so"Thc cmpcror

Domkian had Passed a law th欲 prohib订 ed c西"a“

°n against somebod/s wlu

Pena⒒ ics were severe± Thc poet MartiaI Praised thls1aw山 at restricted thc power

of thc p四 ·。,r/nf,l″ 氵“·severd laws that morc or less· ekeratcd tho llljuncdon

follo、 ved during thc subsequent centurics Therefore,most eunuChs aPparendy

mme【 iom outs【 le the emPIre:there Was no Penal〃 °n owningthem户 Most of

them werc“ aves° r cxˉ shvcs=尽 The Provenance of Chinesc eunuclls‘eems lo

have been ⅢLxcd At nrst,eunuchs werc coⅢⅢ0nly obtained∞ m outslde伍 c

empte、 Bul toward the end of the Easte【 n Han DtTas“ there see皿 slo h猁 e

been a hrge numbcr ofsel← castratcd men Voluntary cas订 atton was based uPon

the economIc princlPlc° fsuPPly and dcmand Demand,vas stroⅡ g enough to

encounge men t° a∝叩tthe nsks ofc孙"ation ln the hope of ma⒗

∏g a career

asa eunuch A cdtured man had IO smdˇ manγ yeaFs to pass the statc examin⒉

u°ns in。 rderto attalp a Positlon ds an orn。 al s。 melowerˉ Class ind~idu扭 s who

lacked the means|o attend the Con钆 oan schools and master tlleir eklmhation

system cho$e a different road∞ innuence,wealth,and sooalstanding by castrat-

lng either themselx/es o【 as° n In the1a“ er ca鸲 ,the缸 ther was usu龃 y responˉ

“ble for lho decisi° n As a Palace eunuch,the son,vould be exPectcd and able trl

suppo.t ho lamil`j

【n both cuku【 es,cas订 a1ion was a means ofgaining emplowIcntin tlle impe

rialhousehoId Atthe Eastern Roman imPe“ al c° urt,a纩eat∏ umberofc刂 nuchs

were cmpl。 rd in domcstk and adm ll谄 tratir乩 nc“ ons,organlzed within a

scparatc hier盯 chy and touo△iqng their dlstinct career paths But rehglous mot⒈

vation also Played a signincant r。 Ie in the Vsrcst In the pre-ChristIan period,

⒗llol啶 rs of the cuk of the ancient motheI goddess Cybele sometimes voIun-

88 RO,`Ic n″″C丿 :`″“

stands fOr“ human belngj’ Gentlally speak△ ng,ˇ r曰】dcnotcs those whO servξ

other PeoPIe butin our contextindicatts the eunuch,thatis,thosc who wcre cas

trated so that lhcy could serve the households° fthe empero`Thc hkrahcrmtoreunuth w$,,″ rg冖 BtIt/n″ ,meaning“ castrauc.n;’ was rare’ useo,exCePt ln

attempts t。 slandeL For exan1pk,o茹.ldls might use the term,.,″ zei(a Castrated

lhief)lo scold a eunuch iΠ a disPute As、 ve can see,山 e word’ s modern connota

tion【enects the sublcct、 historI

one reason for the str。 nginnuence。 f eunuchs° n tbc son of Heaven、 vas dle

hct that h“ mate relations bebveen eunuChs and emperor were cstabhshed Il

eany ch"dh。 od Assoon as he W孙 °ld enough t° leavc ho nu【 sc、 “de,animPerial ponce would bc instrt cted in spcech,table manncrs,dcportmcnt,et咱 uCtte,

3nd genera1kn° wledge by c。 urt eunuChs"【 n add“ ion,eunuchs als。 fo。 k an

intercst in the natural sciences and teChnoΙ°莎 lt was a eu∏ uch who in收 nted

paper in105cE卢 As well as the po∏ ce’ s teachers,eunuChs、 vere also ho c。 m~

Pani。 ns Even his6^tsexualcXpcricnce was o丘 en shared with a eunuch茄 Pdlace

eunuchs shared the most indmatc moments。 fan emperor、 h饴 Thc impeoalprince(or child emPeror)was surroundcd by eunuchs and by women,m∞ tˇ

hls mother and her虹 nsfolk,and had h盯 dly any co,ltact with more independent

men,espccially not with men lr。 m olltslde thc courⅡ e· ·en eXccut"e ministeIsWere eXduded仔 om dose contaCt h thc。 r≯ the CⅢ pcror reξned supreme Btlt

h practice,becau腚 °f his seclusioll,thc s° n of Heaven dcPended ahoste∏ tireΙ y

on ho eunuchs_and on the炻 nsmen。 f thc empress。 r more usua1l,th。 sc。 f

the regcnt do、 vager emPress r

ε、℃n str。 ng emperors were subject tO eunuChs’ innuence,espeCia⒒ y where

the scxual asPects t° lheir duti6were inv。 1x/ed L呔 cm。st Chinese emPer° rs,thc

血Ⅲ°us X.olldⅡ ,ho broughtthc Han D qlas〃 fo"s Peak。 fpoweⅡ wasboαual;and

a丘er伍 e dea山 ofhls ra/o"te c° nCubine,he ttlrned to a hancls。 me eunuch,namedLuan Ta,、 vho was血 Inu路 r with magic praLtces^der devating h△ n in rank and

conferong upon him unprecedented honors and pr6tξ e(whkhinduded maknghull alanded marquo with dle虹 ghtto c° uect t徕 esliom hundleds ofhoⅡ eh。 lds),

hc pFscnted him wi曲 a Palace,a血ne car“ age,and c° J=ndcss“ a,es He even ga迎

him ho daught∝ asa b"dc and bestowed on him an。伍cialjade seal and由 c00c“Gcneral° ftlle Hea,· enJ)Wa/’ L砹 c马 b⒒ erl,tlls,△ PP° inted,、s/udl had this eunuch

cXeCtlted⒗ r daring to try to decelve the son。 fHeavcnMoststories about Chinese paiace eunuchs comc iom the23standard Dynas-

tic Horo“ es j氵 But h`torlography was the m。 n。 P。 ly ofthe C° n钆c路n sch。 Iars

that dominated Chincse otflciald° m C° urt eunuchs and Con乩 oan tnined

90 R刃″c`冖 ′rˉl】 ″7‘ l

A eunuch who hstallcd a PuPPet emperor must haxe bccn a斑 ghtmre for

all o瑟oa‘ zha° Gao was foreveridenu6ed wkh usurpatlon,pol⒒ icahntrigucs,

and murders The st° 吖was reported p“ ma【i1y by thc Han historians sima Qian

andJh u,b° th。 fwhom hvcd h【 he ser。 nd Cc,ltuγ B c E As C° n乩oans,they

°pP。 sed Legalism,thc First Emperor’ so伍 oal PhlI° s°Phy thatsupported thc idea

of centralized t° tal Pσ ve⒈扌O They consequent1y Po止 ra阼d Qin sh由 uangdi as a

murderer and。 Ppressor Who ⅡⅡed to rttle with humani〃 and righteousness

But the⒒ vid rWalry beb哞 en o伍 cials and eunuchs at the pala。 e also shapcd thc

historians’ vi6,s on zhao Gao Theiraccount Witn6ses thc cmcrgcnce ofthe“ eˉ

rC° orPkd ro抬 thateunuchkcametO Dlay h Ch∶ ncsc hlsto五 ograpW阳 sw澍 1as ll

the hl.tories of other eI.npires川 、that。 fa scaPegoat for an emperor、 deeds Thc

grand eunuch Zhao Ga。 ,who was thc shadowy lqgure behind the emPeros was

then shgled out to曲旺e lhc blame ofthc FIrst Empcror`many offcnsi爬 poⅡˉ

o6^dd For⒏ /er a丘e6ho d“ pised namc w【 luld be held up to Chin。 se emPerors

as a dlre war血 nga甲 In丈 ganting eunuchs any innuen∝ 。ler Lhem

ε″/lⅡ dls,lˇ。`J∶

c″ ,口 ″〃r· 9】pcrin`CoI`r‘ 89

o砾 oa‘ c° mpeted tor pohdc扭 innuence lll the pdace As pers。 nal attendants

毖羝:=找毖(i∶∶茹忠哥瀑:t瑟冱T∶f蚤裙蜇【i⊥ i甯巢￡⒒茗鞘⒉11器盅V桄老森茗贺】找扌紫虫器T苤褓0mo.e,tltie emper° ro盘en uscd eunucllb to balancethe Power° fCon钉 cian civⅡ

殚 :茧Ι搡鞑潦土谓宵耦骢耦 芷

Π】eF`阝 r Fh″ o“sF〃″〃‘宀。厂C乃丿″四:T” g7h扫 o/zJl口。C夕。

鞲 搬 I唇踏 亟 懋 鞲 l黼court eunuchs In21o B c E the emperor died on aIOuthe ulspection touェ Immedl改 el” c° ncems w。 re raoed about who sh° ulti succeed h血 lo tlhe tlhrone,and an

∶∶∶婕J涩裟岁&衷祢:∶筏森λ蓄:;∶∶默 s牒:j∶ 1胃莲【嚣:uT∵汪j:川勰T絮锦絮器呈∫℃∶甯1:丨鞔

〖l拊:搔:蛋Ⅰ∮1鞲樾 、扌啻枷l蔺

黼 章粼瑙鲫 :鞴茸膦氨鞲鞲l崔醛孛多F硼抒Ⅰf搔霉Lisiknew mo四 伍an he wassuPp。 scd to ab° ut,lle订 sccrets and had nOw bcc。 mctbe biggest threatto the ncw court W止 h ulc x。 ung CmPcror。 n hls slde,Zha° Gaoreplaced Li si、 叱Ιlc c。 Ⅱ°lIsly but medlOQlcaLy pu呜 伍g Li、 ass。 oat。sH。we仰6popular dlsc。 ntent mounted and withln。司y a tew months,rvobeulons br。 k° ut

擀 琳 蜞

鞲 攒histoⅡ eventuauy bccame a ωsual,。 f ulls c。nniLt⒚

εl,″ lltlJ‘ ,lˇo″ e″ ,‘l″″``llP召

r氵σ′C。 I`r‘ 91

audien￠s、 flth° lIlcia△ ,she remained d悠 creedy c。 ncealed behind a screen° r

Curtain she upheu the custom that denicd uncastrated mcn dose contact with

impcoal w。 meΠ ThⅡ ,订 w孙 hcr eunuchs wh。 transmi仗 ed statc memoranda佥om the ministe‘ ,d.·liκ red herimpeoaI dec.ees,and granted°【denicd access

to hcr prescn∝ Ⅱn feturn,she end。 wed most。 f her eunuchs with ge∏ er° us land

grants,including tak revenues l’

The story ofempress do、 ,,lgef Lu、 ru1c should be seen n° t。 nΙ y as an cxPh~

na“ on ror the“ se°f eunuchs at tle impc【 iaI court,btlt aIs。 as a plca against

womenin p。 wer bythe Con缸 cian htto“ ographers、 1ore。 ve巧 they were su5pⅡ

Clous ofComphci9becveen eunuchs and w。 men Thus,under her male succes~sor Xsiendi,matters suPPosedly took a turn for thc better,alth° ugh the euΠ uchsdid of coursc remain"It ls e访 dent that C° n乩oan Chincsc hlstori° graPhcrs

considered both1· /t men and eunuchs t° have been an ev"innuence。 n伍e

thr。 ∏e

k占 t苔 热 扭 ;紧 凇 T铞 苫 吧 窜 揲 呈强 Ⅰ惑 r暮an innuential昆 miˇ wh° had entered the palace as a wi佗 °rc。ncubine,a womanfa∝ d柳。crucla1dtltic⒌ aPart丘 om giviΠ g bir曲 to as° n,shc was αPeckd∞ pro

mote tne ma【 e mcnbers° f herldmⅡ y to innuentlal p。 “d。 ns in tlle Palac· kt"would h胛 e bcen difncuIt奶 r a nels/c° mCrtO gaIn access to the emPcr。 r bccau腚

evcn the mostint血 ate asPetts。 fthe empcror’ sh炙 wcre su切 ect to etiquette and

∶省 11∷ 甯 :J∶∶p∶嗲 ⒒l骨营苄 贳 弘:丨盅 ;l∶l∴∶狂if玎tr‰∶1镞 孓o质 .e that deak exdusl· ely with tlle llldmatc relatlons bcb爬 en the empel。 r and

empress and his。 the.wivcs and concubin” 、Ⅳ△en the cmPcror engaged ulinti

群 愚 蕈 !搀 IiF苎 娄 :品 :l鞍 Ⅰf漶鞯 甘居Ⅰ∶lⅠ1

Castrated men were∞ nsidered the perrect变^qnts and guardia灬

br womenACcording to刀Ιo〃″(“ B° ok ofthe R"cs。 fthe zhou D,qlas9” ),tlhe炻 ng invested

onc queen,three madams,ninc concubine$,△ 〃ent卜 se【n va“ ed ranks of con

sorts,a∏ d ogh,one c° urdadics ror dutics h the【 nner Court【 nc。

"凵

nCdon

鞑槲 :i丨i∶∶o∶i蹒j荽簿:羰襁距雠拈⒕J￡溲|l、tl÷宽i∶∶∶I凡挠lllF咖

°fP°wσ h伍 cp,l ac⒏

人ND EUNucHs∶ A“ NATuRAL” ALLIΛ NCE

The evⅡs oftˉ lc eunuch svstem haVe been the sublect of much dcbate in Chinese

h。ton。 graph乒 Thelootcau敬 Wassought h the extensiVe sy.s弪 m ofcOncublnage

in the Impe“ 胡Pal犯e ln the case of Chha,itls easy to see hoW ths condusion

m,lv be r臼 ched;nex,crthc1ess,a comparatl△ /e approa山 to this Phenomcnon I】 ld⒈

cates dlat tho need not ha· ·e been the truc rcason Although EuroPe had aban-

doned p。 lygamy ccnturies earlie马 eunuchs rose to Power at the Eastern Roman

Court Atthe same time,thcre o no dcn” ng that w。 men and cunuchs sharcd a

sPecial c。 nncc“。n and common interests in China签 well as lIl Eur° pc

In a"the dynas‘ essucceedtng tne Qin rdeェ court eunuc`Conthucd to肛owin numberand h丑 uence and,ukimate]y,became an important p肛 t。 f China、

aPparatus° f iⅢ perial rde At丘rst,tlley suiered a sctback under the跖 under

ofthe Han Dvnas“ Gaozu Fully aware of the dama旷 done by one eunuCh h

the Qˉn dynas“ he kptthese p创 ∝e seⅣ an灬 under tight control Eu⒒ uchs盯e

seldom menu。 ncd in the hotones。 f his rogn Instead,he graduauy deveI。 Peda burc,lucraCy based on C° n血cian PrinciP1es Thc eunuChs’ Comeb∝ k started

Mth Gaozu`wi炙 ,empress Lu刽杌r Caozu was su∝ ccded by hIs meck,sen钫 -

dve⑩n Huiin195BcE,ho mother-no、 v empress d° wager-<aInc沁 O her

olVn as his rcgent Υ°ung Huidi was said to sk° n the throne“ witb fold煜 d hands

and unIuf⒏ cd garmen“”whⅡ e his m° ther ran the g° vemment4∶ During daiˇ

92 RO″Ic n"dC宀 扌Ⅰl`

In the Zhou DvT,asO1the number of women around lhe throne repor泾 dly

totaled120I∏ the ro】lowing ccnturles,the numbcr ofconcubines seems to have

increased s1四 ddy Ⅵ`udi was salcl to hklve acq讧

red scx eral tho“ ands ofbeauii钆 1

Women tor hls hareIn,which came to be nued t。 capa,i,F° uovv· lngthe emPer-

or’se、ampIe,the custom to have as many conciJbines as Poss1ble soon became

wid6pread among both scplloldcrs and wealthy o伍 cia‘氵And asthe number of

concubines gre叽 so dlllthe number ofeunuchs

0rganized eunuch pα ver took° fi under the Eastern Han D” astv Again,

、,omen、 ambltlons seem to h,ls· e been responsIble Ι‘In tho Perlod,tlle eunuCh

agen吖 zhongchangshi was feco∏ stkuted,whkh made k Possible tor highˉ

rankIng castrated cour“ ers to gain acccss lo the emPeror and thc empress,sk

do,唿 ge〖 eIllprcss6suCcessivcly Promoted zhongchangshi eunuchs to powcrFol

posltlons,u仆 “"ln配

y sowlng thc seeds FOrthe dmas〃 、d。 wnfal⒈-accordl1· g lo

Con缸cian hlstoriographers,that o Ιn135cE,the eunuchs were permitted lo

adoptsons,and their power肛 ew with thcir wcalth assome ofthem owned la唱 e

agrltulturaI lands Eady fl189cE,emPeror LIngdi died at the a莎 of illir氵 ˉ

bVo,and beCausc l△ ls son,the new emPeror shao,w“ only tht⒃ en阼 ars old,

the empress d° wa旷 r bytlle name ofHe_look oxer the helJn ofthe statc she

immediatelv promoted her oldc【 brolher He1111,who had earLer foug“ the“涣⒈

low TLrban” rebels,to be thc Grand Commandan1and appointed bvelx· e grand

eunuChsto mana墅 the1nner Court zho∏ gchangshi He】 in,h。 wewr,slded With

the burcaucrat‘ and put his“‘tes the empress dowage“ under pressure to remoVe

the eunuchs,chargingthem with mmPant c° rrup"on and abuses ofpoweL{’

Thc in破 showdown伍 mein septembcr of189c E when thceu∏ uch Quˇl,J

slew thc Grand Commandant Hc1in during a court audience He∫ i矿s depudes

in tum brought tllor troops lo the caP订 钮Ltlo”ng and kn1cd m。 re than tlvo

thousand eunuchs in retribu1ion The chicfcunuch zhang Rang took the teen-

aged EmPcror shao and tlle EmPress Dowager He and ned n。 rtll△ vard to△varcl

tl,eV011ow R"e⒈ But aRer bclng suⅡ °unded by his enemle$,zhang Rangjumped

∶nto tbe river and drσ ″ned himseIξ whiIe ho patron and protecto〖 He was forced

t° take Poison The E】nperor shao was then deposcd and succecded by his oght-

ua「old haI孓 brothe‘ the empcror Ⅺandi Butthat wasthe beginnhg ofthe end

ofthe dynast≯·c

4 V√o、ΙEN AND eUNUcHs IN lMPERI^L RoME

It is uselu⒒ o comPare the ftlncuon ofeunuchsin China with practicesin anoent

Rome,alld in p,lrtrular to订 y o ldenti⒍ dlIferences and∮ m⒔征ltts in thelr

￡"″

l‘ cl】 s,ll o``∶ ε`b口

冫】df’ l pgr|n`Coz【 r‘ 93

aulances w"h women In thc pursuIt ofinnuence and p【 ,△ven Howeves since the

develoPment ofthe role Played by Roman eunuchs0shght1y dlreIent疔 。m what

we nnd in chinesc histooo砂 aphv,itls important to start by consider血 g the llIs

t° 吖 and structu犯 °ffcmale powerin Rome ln general,as wcll as the precursors

t0the∞ urt eunuchs,the freedmen

4Ι 啪 ″臼ll″d Pom。 ,o`助 wer枷 R口 ,lI召

For sex/er扭 reasons,the$ituauon of R° man women diHtred substantivcly丘 omthat of thCir ChInesc counterParts F° rmal monogamy was a prinop1e that had

ncver bcen seI⒗ usˇ ques“ oned in the Grecoˇ Roman xvorld Indeed,by the cnd

ofthe Repub1ic,Rome had already dex/eloPed unusu创 rights for wom召 n UPon

c`Ⅱ四″c巾四rlo,aw° man was able to hx/cl,ldcpcndend/rlom a father or a hus~

band and setde her own aflalrs;Even so,thc rightlo hoId o伍 ce had ncver becn

extended to the female half of dle popula‘ on A、 ⒆man see虹 ng in∏ uen∝ on

Pol"ics had lo puˉ sue tho goal by innuenclng a man behind the scenes0ur

souKesseem to become mo.。 c阳 nsitke to the Issue of female PoIitical血 nuence

with tlle creatlon of th￠ Principate From Augustus’ s reign。 nward,thc women

ofthe mⅡ ng famⅡ y auracted a great deal ofattentlon殳 om historical w“ ters and

werc commomy suspected of maniPula刂 ng their husbands and sons,ifnecessary

tllrough the usc° fcrimlnal methods Thlstraditlon commences wⅡ h Augustlls、

wife and Tibcrius’ s mothcr Livl。 and reaChes its丘 r‘ t peak雨 th Agrippina tlle

YOungeェ Both w° mcn managed to estabIisll tllcir son‘ (by PrCvl° us husbands)

as horsto the throne As emperols,Tlberius and Nero are both portrayed孙 sui

fe“ ng under their mothcr IIlt“ gues v

AgriPPina、 vas the slster of thc notooous CaligJla and the daughtcr of the

conso腔n刂y popuIar Ccrmankus,and hente a direCt descendant of the founder

ofthe Princlpate,Augustlls she dready had a son,Luo“ DoⅢ iuus^山 en。 barbus

Ncro,when she became lhe∈mPeror Claudius、 lou【 th wire in49c E His decislon

to marγ ner、。ds based on d” asu∝。n⒍deratlons A汾诬ony Ba玎 e"has a【卵ed,“Clauclus woultl nccd a wilc,not for scx or companionshlp, but because he

needed a P。 htkal aⅡ y to help him keeP at bav the lorces stiⅡ tllreatcnhg to top

ple his principate He had toed to seek bIlks with lJlc noblc houses and they

had%iIed Hc must has/c rea⒈ zed that曲e° ∏Iy etfe￠ive secuoγ w°uld come

丘om a union l,i″ :i″ dleimpe“ al house”:〗 .Kpart f.om由 is,suetonius daims that

Claudllls、 decIslon ma⒗ ng had ahva,s been lIlnuenced by h:s lvll/es and⒍ ce汪

men廴 V￠hat is m° rc,becausc of hcr dcscent,^唱 riPPina might have become日

dange「 to Claudius if she maroed into ano山 er house,an argment ascribcd tO

∷一一一一_一一一一≡一〓≡

〓一一·一〓一∷~_一〓〓〓〓∷〓〓∷〓一一∷一一一〓∷∷∷~一〓一一一一〓一一一

94 Ro″】en″'C`:∫

,:夕

tlle hnucn“ al freedman and con丘 dant pa⒒ as5i FamⅡ y ues were already d。 sg

⒏ $d茗 措 羽 拓 滥 器 黯 1:甯器 堂l贯 :l:Fξ ∶

’J扌

she recelx,ed the d刂 c° f‘

`ugustaF’

shc was thc贞 rst v△·lIc°fa1i订 ng cmPerOI to

shar h the distin.tion ofth01iue弘 i。 re。 N· eⅡ she receixcd anothcr important

:鞲麸芷:l∶∶∶∶搭虽置t丨槲邋槭鞲点汪℃1J扌骂描黥叽累T拣1茹豁岩1F扌△拉耦

∶lrF∶∶翟fl⒒∶午飞揲 cI:1瀑;I1袈胪:厶⒔⒒留:找&∶↑Ⅰ

擀槲蔓辙雠槲撤拭黼搂五:千:弪晷I蚶u磷菪瑙茧

甄擀堇豫茁章囊薯骚蝌槲I;;Ⅰ;罐l嚣∵品荃:窑:卩贺:子:变 1∶∶l眼pi,了莨铝::〗〖】Cuald,as··ell孙 thc People and the senate,,xould swear allegiance to a woman,

whlch was consIdered shame血 l讪

Lˉ ″ i↓

`Cl9‘

,lˇb″Iε

",`冫I'△冫VσlrIJ co“ r‘ 95

42Foren亻 〃·le阝 犭 渐ec口 〃/r El/,″ 宀⒌ F/eε

'`冖

召″

i冖 ″昭 Ro″ ln″ Pn彷留

^″

l,l而 o`rnrJo刀

lt was Clauditls who c。 n∝ ntrated p° wer among the admlni哎 rators at his palˉ

aCc to pro访 de a countcrlvcight lo hls p° L‘cal ovals,thc senators翊 though the

osc ofthe frecdmen had alrcady begun under内Jgustus,m their hnuente sIgninˉ

candy ulcrcascd under Callgula some impcrlaI丘 eedmen ss/erc already Performˉ

ing dudes of a naglstr8te and ln cmcrgcnoes were even entrusted W"h° 砾cial

po$ts1n32c E the;ecdman Hlberius hcld ule Prelccture of E钾 ?t for somcmonths;in48c E Narcissus was made Prc攵 ct ofthe Guard for° nc day⒍ V叫△en

Claudius succeeded Caligula in41cE,he was backd by the Praetohan Guard

and the paIace rrccdmen but not by the senate,which had been dcbating whether

to abdIsh thc Pr∶nopate ak° gethc砂 ;The guardsmen and丘 eedmen depended

on tho sPecinc r。 rm。 fa monarchy允 r thcir lll/eⅡ hood、 which turned them into

Claudius、 aⅡ les rlght fiom由 c be昏 nning Theimpc“ al仔ecdme∏ were lorelgnˉ

crs of humble o“ 昏n but highly cdu.ˉ 。ted;most ofthcm wcrc Greek and there

fore barred丘 om holding omceattbdttimc Desplsed bythe nobⅢ γ and cnur~oly

dependcnt on Claudius,thc订 loyal〃 belonged to him alonc Thlsimphed a subˉ

missivcness that many arlstoCrats might s0Ⅱ .esist CIaudius e对 ended the secˉ

retafiats in ho h° tlsehold,which、 吹re already stafted by slav· cs and eKˉ sIaves,

and enhanced the status of the most trusted丘 eedmen pa⒒ as and CaⅡ otus,

drcady hnuenud under c扭 培uh,小 vvell a$Pdyb“s and Narossus lVcre由 e

most imPortant heads of山 ese o伍￠s“ As hcad ofthe sccretaoat'm扌 lo历 0lls,

由e6sc扭 adminlstra‘ on,Pauas∝ clIPtd a k叩 po“ tlon N缸添sus,the ProtI’ Jl″ s

nD gP污 r〃“,was re叩 on“ bΙ c for c。 rrespondence and sen`ed asa p“ vatc secretary

The department n`仂 c`lIs was in char旷 of petitions,headed by Polybius and

thcn Cauistus A‘ 冖:'氵沁,夕 c。 gl汀″o冫Ⅰib"‘ supPoftedjurIsdicuon。 ,These Claudian

缺edmen wcK notorlous钇 r thelr axaricc thcy accumu冶 ted le纩 ndary wcalth,

whkh becamclhe mo“ pr。 minent wmbol ofthe订 onuen∝ 乩

To at圮 in her extraordina〃 Po∮‘°n and establoh her s。 n as C1audiⅡ 、sucˉ

￠$oGAgrlppinaalsorehedonthchelPofieedmen PaⅡ ashadbeenAgriPpina、

auy and lat碍 r acted lil favor ofNcro σ In62cE,howe· ·e6Nero oroercd ho exec⒈

tlon ul ordCr to seize hls weaIth“ NaKlssus had faYcred a di限 rcnt∏ obIewoman

to become Claudius、 .onsort In0ctober54cE,AgriPpina arranged ho α∝uˉ

"on at Mes协hna、 graxe矽 To;eedmen,"secms,“senatorlaI即 lcrnⅢ ent had

6B Tac"u每

^""“

‘HQ· c。‘“u‘ Do‘ :Ⅱ 冫su&o“us‘^1Ⅱ

X· m,,4

鞲骨槲驳晏槲萎蘖蛋

stillJ’7

εⅡ″″chs,V fo″ Iε

",d″″I″

`pε

r`四

`ˉ

olJr8 97

the s阝 lem、 They absorbed crluc。 m tbat might otllerwise have bcen directcd

against tlhe empcr。r pa1ace intrisues of mahcious eunuChs were conYeniently

b1anled for Perceiκ d Ⅱls DesP⒒ e harsh c“ 心cism of the eunuch power s阝 ttm,

both emp。 r° rs wh。 attemPted to ab。 hsh it,Julian(361-363CE)and、 1axlmus

(455cE),伍 ned t。 ostabhsh an efFect"ea⒒ ernat"ca∏ d the wstem sur“ vcd

0ne ofthe emp订 e、 mostinnuendd p°“tions had bc∞ me a doⅢ ain ofthe

eunuCh⒌ the Grand Chamberlain(pl,gposin‘ jncri α油if“泥),chtf° fthe cham-

berlains(c“ 乙t〃油ri扌)and,in the c。 urse oftime,an increasing number° f otrler

groups of castrated dOmes讧 c se卩 ants i‘ In thc es诲 bhshed order。f Precedence

ofthc Ea纹 ern emP订e,the Gmnd Chambenain,a cu∏ uCh and v。 x shvp,held the

fourth rank h the realm a佥 er Praeto“ an Prelects,the PKrect ofthc Cio,,and

the Ma丈 ~。 ‘ofthe S° ⒙ie阝 'Ho tenule con“ nued atthe empcr。 r`pleasule and

o丘en laskd longer than thc three years thought to be normal lor Praetorlan Preˉ

fects some ofthem b∝ ame缸 mous Euscbitls,a formcr d洲 c,w岱 PrnePos′ Ⅱ‘

sncr氵 α‘biclll ofthe empcror C。 nstantius l】 (337-36】 cE)and Played an a.t"e

part in contemPorary P。 1iucs He was sentenced to death by Constanuus’ s suc~

Cessor,the ascetic enperor luhan(36】 -363cE);s Etltropius,a form· r slave,

probab灯 of^Jmenian orig1n,had been madc a eunuCh in ho earliestin昆 nc艹 Hehad akeady won the con6dence oftne enperor Theodosius and became Grand

Chambe曲 n of The° d°“us’s son,the emperor Arcadius(39sˉ 08CE)~andthe rivd of empress Aeha Eudoxia the Grand Chamberlain,who had originauy

pωmoted the emPcror、 mar“ age with tbe beauuttll Eud。 ⒗a,who was hersdf

Pardy oflorogn。 rigin,and lllc Practorian Prc灸 ct Runnus can be considered the

true rulers dur血 g the reign ofthe chil【 l emPeror Arcadius” Finauy,Eutrop】 us

was senten∝ dt。 death As Chr阝 ao“ us eKlaimed∶“If you ha,e a cunuch,klⅡ

him;ifyou h神 cll t,buy° ne and klll himr’xo

The Grand Chamberlain in partiCulas and the corps of eunuchs in generaI,

expanded their Powσ welI beyond the lormd con6nes of palace admhistratlOn

Tho had凡 rther consequence⒌ eunuChs came to be chosen.r。 r sPeClahasks out-

“dc the palace Inv。 sted w"h impe“ al auth° ritl and high rlnk,eunuchs were

sent on spcclal mis“ons Thus,Eusebius was scnt to qucI1an hcipicnt revo"In

the army of CaLtl by bribing tltc rcbel lcadcrs"Thc emPer° r Theod。 sius dls

patched Eutr。 pius t。 c° nsuk a h° ly hermit in EgyPt ab° ut the outome of his

c。 nnitt with the usurper Eugenius"

43meP。 wer。 F El"Ⅱ d9s访 Ro羽 d″ Ln陀 A″“缈″〃

ln Rome,castrauon was c。 nsldered something to be an eastern cu5t0m tn故 had

l骈 阝 Ⅲ 遵 赉 扣 撖 丁:荤搽 罨 芽 婺 rj融 f扌l薮

part ofthc cmpiF,where elaborate￠ remonies go·/erned the emPer° r`seduded

1i‘

`:”Thc kev charactefistics of Roman eunuchs were the same Ⅱ in China,or at

lea文 r·se击 bled hell、 doscˇ "ProxJm"y to tbe empcror and assurance0f his

favor were the sOle srm basls of the Court eunuChs’ power户6se「,ants of the

抚智器衷T冤∵Jr挠苜找苜j描T戳$絮y怼

豁臊 :罗早髁 坩槲 ll蛋i挂砹ⅢiⅣ找 硼 i骢皙J髁

i:∶ }}i∶∶S‰⒊;赀1忘 丨辞1Hα 诅dm。 re路灬··l nk仗 。。●s·ho kn。 qs··l z

E〃″〃Llls,l|/o,″C`I,n″ d Jl刀 pε r勋′Co"rrs 99

98 RJ冫″e'″ 〃C`li`m

c。 uld iust as we11result h b】 ttcr rivalries

ConCubines Tho∞ mmon interest ul‘ mateˇ seems to haVe enabled them t°

gain innuence thr° ugh thc bcd chambcs instrumCptahzing trleir h“ mate relaˉ

tio∏ s wi曲 therukrand ho dependenq on them asa wmpon againstthe o伍 cials

thcy werc comPeting against Both groups had to龟 ce and atkmptto dea】 、^·

Jl

exdusIoΠ ⒍om many rights and,at le“ tin China,±ormal powe卜 -and,as a con-

sequence,d诒 c[imina‘ on Bu therels moreto the Powers订 uCturs than thls

Thc pha⒒ us has always bcen scen as驷bo and uscd as an in“ rumcnt-fpower tho pef叩 ectiw guid。 s us toward an eXplanati° n ofthc phcnomcnon

。f eunuchs and ltlc订 role in Powef relauons in anuquity w】 dt made eunuchs

s° ecid?ˇ v△y did castrauon thangc errrhing lor t「 le pe【 son aIfected’ Men、

idend〃 o prima“ 灯based。 n their8enitaIs,whereas s·vomen’s ldenu〃 has tra

dltionaⅡ y been ued t。 their fathcrs or husbands and s° ns Xraluing men more

than women and Consltle0ng。 ne、 own sex infeHor has decp ro。 tsin women、

educa伍 on This means tlhat women’ s ego a∏ d selεconscousness were suppo驴 d

to dcpend entirel,° n men,or rather on the伍 mi1v,and on the aPp犯 ciatIOn tjley

receiYed for giving birth to sons出 Thls encouraged submissivcness and佰 cili-

tated their integration int。 the stricdy Patriarchal structures of Chinesc and

Roman sooer,sOcial backgound made htde diference In l.ct,Lhe few w。 menwho broke out ofan。 nγ△nir,and gaincd pobttaI hlnuence dld so as mothers of

sons and on their behaI只 o盂cn acting as thcir regcn‘

W△ en a man had lost hls genitals he1· ound himser in a“ milar sltuatlon as

Women did He sti⒒ had ho btth famny but needed a ncw p° int° f relerence

⒗rho钆 ture h佗

^‘

hc was no longer∝ cepted by othcr men,s’ lI=e eunuch had

becOme depcndcnt on patriarchal structures“ mnar t。 th。se faced by women

By commkting thcmsel,· es enurPl,/to the订 nast。 r 、Vith both b° dy and soul_

eunuchs were seen as the perlrectserVantsin both China and Rome

, CoNCLvsI° Ns

s;s0t,at9Ho`Ⅱ kFrlc¤’“/c31

I拄f默琵谳‰;j:∶甘:1骡1求黑茹品瑟ilf∶∶:∶∶:F扌 t∶1兔

s艮

Jent as0ne of the gFat cha11eng。 s to∝0nomk h0tor平 The corc oflhe matter

鹦龠蝶蓝槲冁辙

Co,ll朽 降历竹历讠J9g伢 ll歹 Coll51饣 //ljl,g扌 九εVˇbrJd

EmPire,Tribute,and Tradein Roman

and Chinese IIistory

Petcr Fibigcr Bang

罂 :糨 亡jlJ;T|【

Ιl1∶;;l∶∶∶;Ⅰl谋H∶ l胥II属 d

thelr own voliti0n scnd止 ovcr a long road and acro§ a vast expanse

ofsea to th。 se who cannot casiˇ e硬n set fo。 t upon0ursoⅡ ,suCh

conductis altogether nlore cowardy and disgra∝ ruP

_Dio ChrvsosfomⅡ

Co″ l/d″ d而g`″〃⊙″xl,〃加g fhg V砀 ″冖 lol

as they auo,ved themseWes to become en“ aVed to the订 th△丈for the“ weakh of

the wre∝hed and unfoltunateF’ 止s peoplc had to fiec themsekes ofsuch de“ les

Yet,否 o also dear⒍ om tlle spceCh,the import of1uxurics止 self was one of dle

bene丘、ofemp艹 e

The problcm ofhow to combine a Pohucal ilscourse that was仃 equcnt灯 hos

ule lo and abvays susPici° us oftrade and merchants wlth the widesPread exis

IcnCe of m征 kets and commercia1ism constituks one of the great conundrums

in the ho⒃ ry of agr。 han empkes such Ⅱ Rome and China lt has produced

⑩nc ofthe most hspiring schol盯 shlP in the ndd of preindus订 ial eCon。 mic

history Thc year1973was to prove one of an ex ePti° nal1y rich harvest wtth

Moses F1nley’ s Tll纟 A″ oc″`￡

cα⒑,Jl/md Mark El△·in’s刀Ic PlⅡ ″:of Fllε Gˉ ll仁

le‘ eP,,0BOth books set out铀 ma“ mdar qlIesdon,wllv· had Grec∝ RomanA"幻 uio and China,desPlte thet briniant and impres“ w achle· /ements,not

developed modern capka⒒ sm?Fillley rou∏d an explanation in thc cukuF。 fthe

Greeks and Romans∶ Elvin suggested that China had entered a so caued high-

kvel equ"ib【 llm traP Inspired by the comments of Adam smilh on由 e vdst

intemal market of China,Elvin vicxved tle“ Celestial Empire” as haYing reached

a sort of preindustrial equilib戒 um从 ate where订ad止 ional resources were being

exI l° ⒒ed in tlle m∝ te路 Cknt wau but where钆rther devdopmelit,tnere幻变,

was“ so wen nigh imPoss⒖ le’ In Finle￠ s sthemc“ 。thc culturaI and po1itical

out⒗ ok ofthe1andowning ehtcs and the Predatory acti呐 “es of山e st改e tnat

block development,、 vher。。as in El· ·in、 analy“ s the pohticauy d。 minant clll-

tu【 etakes a much mOK margina,po“ tion In sPite of1n∞ rmktent ho趾 iliγ and

moral condcmnatlon,the Chin6c imPerid state c【 ecti伙 ly had to tol。r扯e,and

perlOdkally el/en Promote,the developmem of commercialism and tree market

tnde Benign indiflerence and laissez佰 ire,sometimes en1ightened,some0mes

by defall t,and destuct加 e inteΠ cntlonlsm mark the t,vo oppos⒒ e explanato叩

Poles be^veen、 vhich modern scholarship has been tom in"s deb扯 es about the

p° hucal.~。 Πomy ofagra“ an cmpires

Both klnds ofexPlanauon,h。 we· ·er,scem in need of modlnm0。 nT。day lcw

students of prondustridl cmPlres、 xould bc wuhng to subscrlbe to a/lew ofthe

xtate as ωpablc° f domina0∏g and su丬 ecting the economy to the point of eco

nomic Khldad° n Indi"dual pohoes could eXcKoc a probund lIinuence。 n

由ose afected,btlt their reach WouId normany have been hmkcd,enec‘ 灬。

lnted For thc p° pu1a.pada· ge,tlle imPe“ al g°κrnment o bound to h狎 e been

a兔irly dotam reah,and a relatiwly hght burden fo b四 s众 ⒍mply lacked thc

meaΠ s to estabhsh a more P仍 I· errLll prsence ln tbC dany liws of most pe。 p【 e

lo2 Ro,″ en冫 Jd C′ :氵

`】

夕

丨:∶fi黼I}昌ljj∶萎:甘l:li∶【∶j∶;Ii!∶j∶

i∶

∶⒊岩l氵:T石蜜苫J扌艮:ETf揿浪孟汪茹蕊:↓叩窟&拶hshment of tlle Han"lbtlte吖 stem,whiCh attempted to r吒 ulate the sphere of

in弪rest Ofthe Chinese EmPirc h a hierar~hy of订 曲utary re1ations‘

蠲锪鞲攥躅They sought to b0ng south East Asla and countries lining the Indian0cean

￡谦狲撩黻Ⅲ茸群l点髑j黻瘛 定洫 ‘

y官

贺 1∶∶;J∶I::Γ点 :1∶,∶:Ψ :拾 9黯 1nP。 me咖 鸭 聊 m护 m‘

Co″ l,l四 ″〃`″

gn” d CD`:,Jl,J切 g`hε Ⅵ勿r`d lo3

withln thc orbit of the ChInese t“ b lt旺y sy丈 em and四turned triumphantll

laden with pro妾 ssions ofsubmosion by loreign rlllers and proous o切 ects,r。 ri-

位es,curio“des,and maΠels to rencct the wlde reach ofthe emperor`mighoy

sways The Roman gov。 rnment never acted0n its trlbutary ins“ ncts to conCeiX/C

a simi1ady⒐andIOse廿 ading Poh9∴ But on a smauer义 ak,Ⅱ did加 aⅡ itsdf of

swerd stratc昏 es dlat we al的 nnd empIoyed,though probabl,· ham°【e Ws

tematk fashion、 by lhe Han Chincse court’ Thcse lnduded at伫mPts to c° ntroI

the mo· ement of men and goodsin仔 ontier K吵 °ns lor taXatlon purp° ses,the

maniPuhtion of boldering订 lbes by莎 anting o【 wiLlholcl ng the prlvⅡcge fo

trade on imPerial territor” In1Ike fashion,prohibiuons were issued on exPort

of goods of str哎 egic value such as iron,nint,wheat graIn,and salt The Roman

CmPer° r also poded himse1f on.e吠 1,·hg at court dle Cllle丘 alns of dlellt tibes

aΠ d lungdoms that subm改 ted tribute In return,tlley werc gcnerouslv showered

witll Presents and,佥 equentll also reco攻 d thc Prix·lltge of takng with tnem

goods fortheir own Pers° nal use,howeYer dehned,fiee of export duo,⒑

tilbutary emPke was a waV of Colltrouing and dlstribut血 g we。。1th It aimed

to exPand the level,range,and diver5it,of resouK6avaiΙ able to山 e ruling c1ass,

group)or peop1el,hen shghg the praiscs of Rome,a∝ lent a哎 hors regulady

c° ngratulat。 d themsel· /es。 n the Vast nches and abundance of goods now血 g to

the caPila1thc∞ nt·r of human ovdlza0on The Powerto command and conˉ

sume the world in aⅡ 止s gredt vahety w“ Pubhcˇ celcbˉ ated and prodaimed

ul grand triumphal ova“ ons that fou。 、ved milita【 y· /.ctory Llsten to JosePhus

deschbing the triumph ofXresP灬 ian and his son Titus a庋 cr the幺 ll of Jcrusalem:

“1tis imPosslDle adequ仓tely to describe伍e multitude ofthosc mar/els and t「 eir

magniR∝ ncc under every im鸭 inabIe aspett whether in works ofart or dll/ersi〃

or riches or raridcs of natur6for aImost alI the oblects which mcn who h剐 c

eYer been ble‘ sed wi1h fOrtunc haVe acq洫ed one by one一 the wondcrful and

precious pr° ducu。 ns ofv征IOus natlons Were gathc【 d on this day in nassed

forma讧 on to deⅢ onsoat~。 tlhe grandeur of Rome"|Gone Was认 e“ Colden Ag￠’

tlle era of satum,When natuK had readl″ y1elded its Products and Ⅲan had

been佥 ee fioⅡ lo扭 But empire held odt伍 e promise,to tlle pri讧 leged⒒ ctors、 of

e”吖lIlg。onothcr age of pl· nry and prosp。 rir·ρ TrlbLtary em口 re,1水C marl【e‘

,

embodled an eco∏ omiC strateg∴ It enabled ule vttors to Pool and command

a wide seΙ ection of regi° nalΙ y dl△·erse sPeCialities and riches It was∞ ercion

Io4 Ro`″ e四 〃dr,i″ 四

kadhgto c。 nsumption1n tole rcmainder° f thls chapter,I wnl$kctch° ut lhree

eConomiC dimc∏ sions。fthe w° r炻ngs° fa旷arlan emP订 c∶ (l)emp饣 c as a trIbu

tπy enterprisg(2)trlbute e反 radi。 n and c。 mmcrClahza“ on;and(3)邡 ab“茁condu“ 。n,impe“ al cu⒒ urc ofconsumpuon

The celebrad° n ofthe wide range ofrare and w。 nder⒖ ⊥Produk,s made ava1ablcthrtlugh the acqui“ 0on of empire resP。 nded to tlle expeoence° fa、四dd char-

aCterized by smau,l。 cahzed c° mmunitles It was a w° dd where m。 st Products

never le丘 their p】 ace of° rigin and c。 nsumPti。 n was heav"y dctermined by what

the⒗cd geolo勘 ‘climatc,and ecolo鼢 duowed t。 be g⑩ wn。 re延 raα ed Pca弘 nt

agrictlltJre reigned suPreme,and the Poten“ al for gIOwth was narroWl,ciKum~

scrlbed It was llhe w【 ldd ofsmau,nca【 alltarklc c。 ⅡⅢu血 tics known各 。m Plalo`R￠PI油″G and,as the Creek phⅡ °s° Pher candidly cxPlained,if Peop1e desired tohavc acccssto mo犯 than the um"ed ch。 kc avaⅡ ab1e to lhcm,lhe c° mmunih/had1。 Pursuc a strate鲫 of war and impc"ahsm。 Only succcssm Conqucst wouldbong m。 re tcrntoHes into their possessi。 n these were a necessary require

ment fo obt汪 n control ov/er a greater炯 ier/and a hrger am° unt of res。 urces

In Eiscnstadt、 妾1icitous expKs“。n,impe“ absm almed at σmthg“丘ce-n° atingreso urCes∶ "Byimp。 sing订 lbute,emp订e IOrced resOurc~ˉ s out of伍 c semIc1osedce“ oflo臼 l∝°nomies and broughttbcm hto a wider sPhere。 f ckculatlon

菇 找 l茬苫Υ妻1:∶稃 ￡l1扌:戒 :;￡△ ⒘1u∶岁 1叩琵宝 :numeroussm钲 Icommun止 i岱 a∏d concentrate consumpdon。 fthe accumuldtedweakh t° a re玫“cted numbcr of prl· /neged pe[s° ns and Placcs The resuk was,

br instance,to tJrn CaPital ot诒 ssuch as Rome,Consta∏ tinopIe,Chang’ an,aΠ dLuo卩 ng into preindustri缸 曾ant conJrbadops With P°

Ptllatlon numbers rtln

嚣 :塄↓ ⒊岽搬 显 絮 hTr默 :iD∶ 占FF找 拣 :i扌 SIf嚣 犭an equally wider PaIα t·

·°fc° nsumPtIOn。 pP。 rtuni11es bIn Romc,al】 由ew。dd,dlm°sniterauy came t。 gether She was“ the great whore” ofthe Re〃 切汀。″as well

as the“ ccntcr of tllc univˉ rsc” °f her panegyr内 ts,a phce that receix/ed dle best

and the ls· orst炱°m ex·er,Where EmPirts1认 elleR° man and the Han can therelore be dcscribcd in ec。 n。 mic terms as订 ibute producing entσ pr沁 es

Tbe main cost。 fthe impcriaI enterPhse was thc arm乒 universal empires h狎 c

a weu earned reputati。 n IodaYish expend订ure The R。 ma「ls were no ex~ePtIOn

⒇c}∶n泔T`漾 i}社 ;;∶;舅:∶;Fds颉d№d‘ 记s,lll山 L岬 ng货 e⒏ d臼““n咖如瑚 and

1o6 R口 ″昭n`7″ C乃 氵冖'

gencrany only employcd1t$vast miIitary mi甘 lt with circumsPectlon Failure tO

recognize this general princiPle h凼 mlbled modern commentators on a number

°f occasions,mOst notab1y When they ereded an elaborate theory of dclcnsive

RomanimPeid。 m ln曲 e sevond∝ ntufyB c E A丘 er tlle v1.toly at P冖 na lI1168

BcE,having denniti· fely de妾 atcd tlle kngdom ofMacedon,Rome was reIuctant

to anncx the teⅡ⒒or,of the conquered foe Instcad,thc e斑 s0ng Po1itic钔 enti〃

was dismant【 ed and IcpIaced by four sc1← ⒂Yeming rcpubllts These,howe收 r,

We了 C lCR With an obhgation t。 submk an annual trlbute to the Roman victo6

°nl” 订o true,at haF the⒙ 始of由 e old royal tax BLlt tbcn agaln,Rome had no

intentlQn° f gaⅡ isoning rlle formcr M∝ edonian tcroto呼 p。Iic血 g and dctenc.。

against bordcring llibe$wcre the resP° nsibiIity of the ne谰 y created polities0n

top oftho,mines(so me° fthem dosed for a brkf呷 ell as a result ofthe ri砘 lrie·

of Roman domes6c pol次 ics)and Probably dls。 thc old royal estates Were Co爪 -

nscated th。 w。c。 not reluctdnt or de庀 nsive impeoahsm;⒒ wds an attempt to

enjoy empi田 on lhe cheaP and collect trIbute with the least possiblc eⅡ。rt and

exPense【ˇ

Tribute obtained through

:撼骣爨藜襟薮鞲鞯囊垂蘑瀚撼辙鞲麟槭l辚擀瘛 :豫

茹靴强槲 鞠槲 槲 Ι垩槲ambitlons The empel。 r and hls mhistcrs sh° lIld rather`ultⅣ ate benevolenc∶and"ghteousness,to set an examplc t° thc peop1c,and e双 end wide their访 r

蝌搏茗i鞲瀚槲飚i鹦practices bcnevclent adminotra“ °n should be matchless ln thc w° d山 r。 r him,

搬I茹槲鹬

掖陬乩Tm

湎 畀 滥 ;丨 :讠i濯 扌 诎 :∴

ek’ °· ”‘、e EunQ"on.s no.I灿 cr,n txI ri跏 由官∞mp。 s

mininum of e「ort remalned a key prinople

C口"″

″″〃切g四Ⅱ″ˉD阝〃″切g liε V/or″ Ⅰo7

cxP。 sition in thc work。 f0、ven Lattimoreˇ Bcstowing rich gi丘 s。 f grain and

sik on n° nadic chicFtains ll return for a token tribut· ·,nominnl recognltion° f

Chhesesup四 maO‘ and peace were muCh lc“ expensivc than the h,aging ofwars

with no end in s1ght and Iitdc pr° sPect of plundcr and gai,l capable。 f众 nanc

hg the e筘 orts against a m。 bdc encmy that rema,ned hard to com.oΙ Equau弘

such tIlbes could be u· e犰Ⅱy cmPloycd h war agahst other n。 madic gloups th扯

threatened impehalterr迁 。fy

To bc sure,the p° tentiaΙ dra、 vbacks° fsuch P° licies、 vcre佰r佥 om neg】 igi

bk,asthe westem R。 man emPerors d、 covered in the n丘h century c E B° ught

Peace was lrequcntˇ unstable0ien the power oftrlbutary chie丘 ahs wasinsuF

nc泾ntly cons° hdated to guanntce a h斑ing arrangement Therc wus a、o a osk

that a∝ css to ule Wealth ofthe impe“ al g° 1·efnment did not sa‘ s,demand btltr扯her whetted lhc appet"e of barbarian kaders and their warri° r retinues ror

morc Thls cOLlld pose a se“ °tls Irlrcat if tlic ulⅡ al aⅡiance w"h the empir。 hadhelped strm爹hen lllC sooal and mi1ita〃 organization of the订 Ibal band Impe

“al Powcr and barba“ an tribes c“ sKd in an uneasy equ"曲 “um Nonethclcss,

fiom thc imPeoal perspectir,the nnancial rewards ofth。 se pdkles l,equentˇ

。ub啶 ighed由 c risks Thesc,aner a1l,could n。rmally bc handled By c。 n攵 nst,the

Costs of Waging war against the barbarians on the仃 ontier dwarfed the expcnsc

of buying them。 Il widl gi丘 s and miIitary scwi∝ The sou【 ces rIre灯 enabIe

“ to make preose calculauons But k^someumes possIblc to镐 rm a rough

imPres“ on Chinesc ngures,l。 r instance,seem to suggc5t that a set of Puitive

mmPaigns against。 nc grouP° f bnrba“ an nomads h tlhc decadeliom lO7-n8

C E Cost thc impeHal g° Ⅴernment6xe to sLx times the en“ le amount spcnt on

b征 ba“ an aPPeaseⅡ ent∶;In Lhc I° ng term,Chintse cIrlpero阝 undcrstandabIy

chose uneasy a∝ omm°d"lon over Cost灯 mobnizad。 n

The impu、 e to sas/e on tl e∏ umbef ofsoldlers wⅡ tr6istlDle In dils aKa,

eX加 nsiVe emptes such as Rome and Han ChIna erIjoyed one advantagc they

drew t.lei resouK6fr° m a very broad base Even atloW le· eb of mobilizatlo∏ ,

tlley were stiu ab【 et。 ncld unpressi、 馆numbc【 s The di伍 c·Jkics αperienced by

Roman emperof· in waging simultanc° us乩Ⅱ sc敲 e wars on Thc Gcrmanic andpersian iontiers have olten enough been mentioned as one。

f the weakncsscs° f

thc empire Yet汰 ought to have been possibIe temporarny to exPand th辽 “zo

Ofthe armY Atsome b· cn,-丘ve to th订 〃 lt· gions,the impcrial a【 my w9cs big-

gcr than the pcace dme force retained bˇ the rcpubhcan government h Lhe late

60s B C E to guard"s much1ess e对eⅡ l·/e territori6,btlt sma【 ler tllan由 c Peak

numbers reached during the钇 lI。 wing decades of conqu6t and revolutIOnary

strug妙 es theimpcrial缸 nη‘乩rthermoK,inc.easlngly drew"s lecrul‘ toⅢ all

o·/er tIle emPlrP whⅡ e th￡ brun饣 °f thc burden of nelclI.lg the v峦 tarmks。 f the

of Roman impellallsm孙 r centuries It may be worthWhiΙ e to dwell on the

MacedoΠ ian example a li钍 le longer It suggests that one of the sec【cts behind

the succ6s° fthe R。 mans was the achievement of economIc‘ of scale Thc

Maced° nian arⅡ y was a1nlost wholly dismantIed vl△ thotlt t【 igge苡 ∏g a slnlilar

hcreasein the number oftroops on the Roman side Globon already commc∏ ted

on lhc rcla“ vely smaⅡ number of soldic阝 that the impe“ al statc m缸 n诲 ined to

ensure∞ ntro1ofthe铲 eater Mediterranean ssodd∞ 0n occasion,tnough。 丘en

to|he accomPaniⅢ ent of hostne snccrs佥 o〗n the impco扯 elite,emPerors eVen

pre灸 rred t。 buy。 f hostne barbaian trlbes° ∏tlhe imPc0d⒍ oΠ t诒rs that were

eager for plunder instcad of wa昏 ng an unremunerat~e Wa⒈ Such tr由 6couldalso be exploited as a cheaP sOurce of reσ uits for the arm艹 】n late andquiⅡ

Roman emperors hcrcaslngIy came to rely°n Germanic tcderate troops ω nght

thelr wars and sta妲 orf in,adcrs this meant that Ihe go收 rnment did∏ othwcto dIvc“ valuable pr。 “∏o扭 subleL‘ 付om t“paylng鸭“cultur创 activities ω

anη y duⅡ⒉successir Chhese d· nⅡ伍es cultWated the art of managng l。 。sel,/

organoed“ barbaoan” trib6on the imperldl i° n‘ er to perfc tlon ConFtloan

opini° n was h general more ravorab【 y inchned toward such Pohcles of accom-

modation than a Roman arlstoσ a呷 CheHshing the memo吖 of订s proud repub

hcan past The relatlonship be卜 vcen the sedentarized agricultural core and the

nomacllc stePPe各 on0cr ls a kcy themc in Chinese histo呷 and found its das“ c

】o8 Ro7″ e日 ″dC′订″“

ky崔〗【t⒒ΙⅠI:丨扌:lI血 mm“ e氏 止d⑽ e耿a泱dk叩 hg adll· lll吱 n

l∶显莲t∶ ;l∶嵌Ⅳ∶巢:l言;i∶石:i啻 :∶弹Xi器斡i搭

叨蚤F黑照找F氍黯T;甯器者括翠占【r;∷搬:

rct,lliat“ Cox/crnment wkh。 ut bureaL cmC￠’

tl·e Iabd coinpd by Pet。 r Garnsey

and Richard saI1eⅡ 0not an eXagger。 t⒗ n In thelourth and盘 Rh centuri6,Pro-

vinod adminlstrauOn αpanded Ⅱ Tho brougllt tlle numbcr of adminotrators

礴I驷哇J毒书耀坩涮戡擀Ⅰ甜带更ⅠⅠ∶M灿md

l1o R0冫 9f召 d’!tl C′ li`In

Was a tenef on Whkh Crcco R。 man and Han d⒒cs ψDulcl generallI have been

鞲篝爨踯Ι镞 f芽鞯黼 i丨 :|∶i!i∶亟J挂 ll∶∶∶∶l∶ {l∶

j掖:

鞲扫苴击鞑鞲逋鞲瑙鞲擀

:槲r辍嚣嚣黜瀚鞲辙:

the1a1er hoto“ cs ofboth empir· s Butbe钆 re compctition overthe Contro1ofthe

鹬黼鞲槲槲獬 撼

∶蘸 茁骨∮ii雠贤辘;J哑l铩毒Ⅰl拙塥蜜斟诹菩J滞 :∶弼FF

Co″ :″ l'Ⅱ

'冖

】gd″'Co"‘

〃⒎″冖g·lle lsrOrlri lo9

doserto lhat of Han China,whose admlnistration penetrated tQ the~ounγ level

In【 40CE,the governmcnt comp“ sed at its lowest level some l,179counues,

each headed by a state magistrate a雨 sted by one or Ⅱo∞mmandants and a

rew bureaus0n derage,tho miniscLle adminotratI· fe sCt up would halIe been

respon“ ble lr。 ro·●erse。 ing1小‘orde而 tax co11ecuon,maintenanCe of the￠nsus

records as w· ll as other govcr∏ mentaltasks for a poPulation° fsome for〃 to6丘 y

thousandF;、 krith such lean bureauCraCies,thc adminls"a"on ofboth Han China

and Rome had to depcnd。 n the active co1laboration of groups that excrcised a

Comnlanding in∏ uence in ru【 al soCie‘ c⒐ primarily localIandowning aristocrats

and llle weakhiest segmen‘ of tlle Peasantr≯ But nothing e,· er co皿es tor￡丘e

Hcre o a ktt。 r丘om thc Roman province of E趼 ?t in288cE∷“The a∝ounts

h狎e themseWes pro,ed tllat a number of Persolls W0hing to swauow uP the

cstates ofthe trcasury havc devised钆 r thcmsehes vaoous ddes,suCh Ⅱ admin-

istrators,seCretarics,or superintcndcnts,bˇ which mcans thcy securc no advan

tage for thc订 c孙 ury buts、 ,·a⒒ ow up止 s surPlusF’ =8\V凼 tage was an endcmic and

e收 n an instituttonahzed feature of the订 ibuta叩 system The imper1。 l adminis-

tra伍 on Could only asPirc t。 hmitthe number of reopients who bencited佥 om

"s resources But"tould not wadethe pr。

blcrpx;it dcpcnded on locaIsuppolters

t。 have its taxes colleCted∶’

The iⅢ pe“ al go浓 rnment had to accept that loca1ge「 tr/and aristocracy

retained and acquired control of a sizeab1e part of thc agricukuraI surpIus in

return for presidIng over the process ofta× couectl。 n Ther缸e ofimperialtaxa-

tlon Could not eas讧 y bc inc涫 ased Most of the time,t欲 es were kCPt at a sta~

ble and re【 atl,el,· low levehn both thc Roman Empire and Han China;O Both

the estabhshment of the Han d” as,and its restora“ on under tbc la∞ r Han

wcrc to⒒ Olv。 d by tax reduc0ons"Augustus,lIl hls own account of his re馆 n,

boasted that he had subsidized the treasurx OJf ofho own钆 ndsrathσ than,虹 o

imphed,burdened the populatlon with钆 rther ta,es j=Emperors who attemPtCd

to increase or in订 oduCe ncw t。0Xation仔 equent灯 encoun泾 red tough oPposition

New ta粗 s were tlle produtt of bad h“ bandry on the part ofthe monarch:this

⊙″I淑 ,l,l刀 I。o朋 d Col,【 l″i呜 r幻召lA/orlrl lll

agricllltllral surPlus inten“ ncd ber,een impenal statc and landed ahstocr∝ ies,

mutual benents had atcrued for a long timc Th凼 process o muCh more c1eady

v沁lble in t.he Roman Empte because Greco Roman elites chose to buud with

marble and nred brick rather tllan perishabIe materials Durlng Jie nrst bv。 cen

tuoes c E,thc水 vumuhuo∏ “aostOcratiC hChes was∝ Compa血 ed by aspa∞ of

butlding acti⒒ tics and conspicu。 us c。 nsumPtlon that fo.ever tansformed dle

1andscape。 fthe Mcd1terranean and bcyond Thloughout lhe Roman Empire,

aristocrats proudly prodaimed their weak五 and strcn莎 h byad。 rning thelr cioes

with m° numental buⅡ dings and lvorks of art E· er since,the copious remains of

this a“ i砬,hax/e comⅡ anded the atkntion of cro,vds of tra,· euers and t。 urisfs,

who cont杭 ue to nock t。 muscums and e扛 avatlon“ tes to admke fle accomˉ

p1ishments of a1ong gonc Past ThC imPositlon of a trlD,tary empire lllcreased

Co“umPtIOn and the且 ow ofrcsourCes both locauy and empir← wldc

so fa△ the饣 ributc produong enterprise has becn sktthed as an in文 rumellt of

pure exPloitatlOn This was how ltlooked to Fink弘 for instanCe Certainl≯ lo印

n0tlons of a“ Rechtstaat” underphning an imperiaI peacc that enabled c∏ ter

pi☆ ng抛忉∝‘to Pro叩 er undcr the丘ee叩 tit of the markt seem disd【 tly

mispIaced’ ;Thc backbone° fthe imPerid economies,血 Romeas weⅡ asin Han

China,was not provided by capitalist entrepreneurs;it Consistcd of peasants,

vcrylarge numbers ofthcm ROman morahsts and Conhloan hte⒙ ti ne· er tircd

oframming homc this m6sagg“ The ltlndamentabvay of go。 ·ern:ng the pe° Ple

o to make由 cm settle on the land?’;:Bu“ hc Prcva1Cnce of peasant agriCulture

need not h肿e made the imPeria1economy a犯 ro sum game lt o WeⅡ kpown

how伍 roughout hotory the Produc位 on of mokt pea兕 nts has not been dtected

toWalrl maklng a pront on the marl(彳 :t Rathe‘ peasants generauy geared thcir

attl访‘6的 saoss^ng the tO.nsumpt on ncecls of tbelr ho“ ehdd m丈 kw否Whe且 thCse nced$were m仗 that peasants stopPed lvc rklng,and not when钆 r由 er

aCtlXiψ Wou1d have been unable to generate a pro丘 t in tlle market place^‘ a

resuk,the peasant househoΙ d o鼠en had unused labor reser cs’°In佰·/or。 b1e Cir-

cumstances,markets might induce Peasants to mobⅡ ize these re5Ou【 Ccs in pur-

su“ of pro丘 t But markets a‘ o posed risks to thc pcasant Ma【 kets incrcased ho

depcndence° n unp./edictable price nuduao。 ns Producnon pimarⅡ y for tlle

market1· /as a dangerous strate卩 :Ⅱ c。 uld only be comPlementa「 ,讪 By c°ntrast,

deⅢ andsimposed on the peasant by the imperlalsta弪 and arotocraudandlords

Were not oPtlonal Hotoricall弘 tlle combinatlon of iⅢ perial订lbutc and a“ stoˉ

cr甙ic rents h凼 been able to chim a xer△ sizeable sharg of p召 asa「tt produttion

】12 Rol冫 lt· 四71dC7】

`″`

they仂【ced the pcasant to increa,e his surP1us Pr。duction to a∞ nsiderabk

bc hdlcat打 c of曲 ce⒗stence ofsuch a Drocess

Co″Ι″J.I fl汕 1gn” 〃CD″ 5Ⅱ″访I。。·lle Vl orlrl n3

those k lacked,and obtain a more conⅤenient brm of storing and saxing by

conⅤ erting goods into cash

These alncti。 ns were Performed敌 a numbcr ofIex/e、 At the top,tbe Roman

goκmment availed⒒ self of cop,tmctors,“ d"idualˇ and】n grouPs,to exploi又

mhes,han【 lle⒑ mc of the tax colleCtlon,or莎 nizC tran叩 Ort,and⑽ on This

PDmoted stiong gr° ups° f丘 nanciers,o Pkauˇ widl s° lld land posse$ioIls to

back曲 cm up buta‘ o祝th commcrcial血tere$ts Thck strcngth culmhatcd

during the latc Repubhc,whereas the emperors stlbscquentIy curtaⅡ ed their

pσ啶LⅡ ComParab1e glouPs are known仃 om Han history Hcre I「 je governˉ

ment a⒒ emPtcd to tap into commcrtla1Pmqts by monopolizing tbe Producˉ

tlon and s【ale ofsak and iIOn,nodeast of the nlPortantir。 n兔 rmlng tools The

admlnlstratlon ofIhe go· ernment monop。 lles was Ie丘 in the hands ofsome blg

bu“ nessmen,Who accumulated Ⅶ丈“ches,InCluding la唱 e lmd hold“ 绎 But,

as akeady indicated,thesc revenue PoliCies were controVersia1Undcr dle later

Han dynast” the mc poPolles收 t more or kss aba「 ldoned,o lly to bc parti诅ˇ

reⅤ i收d much laterin Cblncsc history菊

The Pro∝ ss of C0mmercial mobilizau° n。 f.he surp1us was,howevcr,not

soleˇ artlc ll,ltcd in tlle pc"odk enσ 旷nce of a⒒ mited layer of· ,·edthy statc

ContraCtors EVen more important were the毵 tiviues taklng place at a much

more baslt lcveI ofagrkukuralsooerv Under rlle empe【 ors,t虹e Roman state,as

suggested by the latc氐

"h Hop虹ns,may ha巛 attemPted to shi丘 most ofits tax。 s

丘om dclive叩 in虹nd to p钟 mentin cash J’ ln tllat,⒒ wDuld ha″ r6embled the

Han adIhoriti锱 The htter compensated lor a,ery⒗ w hnd tax rate bx/clalmˉ

ing a rather more substa∏ 刂al poⅡ tax,which was suPPosed to bc paid血 coin

It o equaIly dI】 ificult to determine,l11the bs/o cases,just to wh破 巛tent suth a

shi大 actudly$uccecded妞 The sParse evidence,which survives,suggests that‘ he

pidureis an uneven one Monctary de丘 aplent oftaxes continued to exlst sid←

byˉ slde delive〃 in⒗nd tllroughouI both cmptes、 ~△at o certain,howevc巧 o

that ne⒒ hcr tlle Roman nor lhe Han s伍 tc could easdy haYe found u赞 氕I wa阝

to Consume most of ks taxes in炝 nd矽 Even whcn by the late thkd centu叩 cE

the Roman shte,struggh11g to increase⒒ sincome,seemslo ha收 introduced a且

elaboratv。 s,stem of detaIled taxation in knd,∞ mmer~jaI commutatlOn of obll

gatlons was intrinsk to its successtLI lunctioning sO【 n RoⅢ c,钆rthermore,wherc

the emperors opcratcd a pubhc gr蔽 n dole,installmcnts of llie EgyPtian grah

tribute were moved into the ma【 k1by prlx/atc agents Medici丑 al herbs,莎 o,vn

; TR】 BvtE AND C0M MERcIALIz^TI0N∶

As tRANsF° RMER

崔薜丨甜丨:∶∶氵耢鞋雨j丨:滩釜钿$w鼎扌蹴 1犭 t

nnr苄πr氵 ;浞讠∵泔l笮 iirs,r“巛l ox“ de,D。m唧d”O【’eh印∝kl。·’k∝∝k灬 d

翠 瑟 群 1∶∶∶TWT∶ 禺 罗嘿 ∴谩【黾× 焦 涩撼 蓦 紧

CommcFiauz改 l。 n。 f the tributary surpIus o bound fo have haPpened tIl one

wav or othe【

八s in thc lastˉ ,o cases,some of thls would hal/e been channelled to comˉ

mercial agents by the state nscl‘ Pmsants hving near markct towns、ⅥDllld n0t

infrequcnt灯 ha,/e bcen able to market tllcir own Products h other regions,

marketing might have haPpened through曲 e agenσ y oflarge landowners who

would ha·℃coⅡ ected tax6and rcn‘ 攵om thelr t· nants and then shippcd the

produ∝ to urban m缸 ke‘￡Tho Process woli d赤 so ax· ~。 ∮浓n nset。 肛。uDs ol

commercial middlemen investlng in the local conectl。 n。 ftaxcs A sct oflourth

Century c E Papyri enab1es us to observe suCh Personsin aC弋 ion thcy reportthe

aCtl,/itics of b〃 o brothe‘ who speciahzed in t休 collection`ˇ℃6nd them sp∝ uˉ

h“ ngln the p汛 e°f吵ld h orderto LOnver"he mally sm翮 indlx· dud tax payˉ

mCnts of peasants rnadc wkh the hugcly deva1ued silverヵ ″o int° 1he gold coins

Fquired by t虹 e Roman st破 e They can also bc seen borr° wlng moneyto pay thc

taXes orvmages血 ad,m∝ and theIl aiema· d严。ceedl叩 to∞uect th“et然 es,

obviously in dlc hope of m铷 ng a pro缸 宓Thc PIOcess oftrlbutary αtr艇 tlon

would have spawned a complex Pmccss ofcommσ c诲hzation【 ti,△ vcl△·ed seⅤ eral

k· e‘ of dct"iγ and di∏ trcnt grouPs of mlddlcmen′ BlIt it话 also imPortant to

stress that thls process Wou【 d have been uneven and Varied considerably both in

lnten“ 9and Ip charakter dePending on prcYaⅡ ing locd~ondkions

this brings us back to the bcginning of tho chaPter and the rclationsh:p

beo,xeen trlbute and trade1n sP止 c of aristoσ atic Pr旬 udiCc toward∞ mmerc诫

acti、 '止 ics and hosuh〃 鸭ainst“ the m⒙ dleman`mallxettradewasanlnte铲 al and

in somc resP“ ‘valued Part ofthe tibuta吖 pro.ess Plinv tlle Elde‘ a prOm←

nent aristocrat in lhe emperor`ser,ice,induded among h、 pf“ sc of Roman

Powerth。 。bscwatton:“ For now(hatthe wodd has been unked undcrthe皿 钉-

es〃 °fthe Roman Empire,who wotlld nottliink thatlife has benehted iom the

exchange ofthings and thc partncrship in bl【 issed Peacc and that cvcn all those

things which we〖 e previous1y hddcn have now bcen madc widelx/ap/anabk氵,,;A5

h峦 also become lllCreasIng~clear lIl recent Chincse“ hdarshIp,marke‘ were

σuc讠 al ln玫 rtlments0greasc thc Wheek ofthe agricJltura1economy and mobi-

llze the Pcosant Produc0on surPlus。 f thC trlbutary s阝 tem j‘ But⒒ was in pre-

c灬e1y that capaci,IheywCre needcd Hcncethe Chineseimperialautho“ ues had

C口`·

l,i‘ Ⅰ`1di冫

lg四`Ⅰ

'Co⒎

IsI″冫1j`ig砒 gⅠ br`d 115

litue inchna“ on to pr。 m。 te traders and merchants小 suCh由 rough the grm,t of

monopohes and privilegesin the fashion of Eu【 oPcon mercantilist pol:oes;氵

The panmctcrs ofthe Chin6e po“ tion can be mappcd ol,t from debates that

occurred durlllg the Han Period among Conhloan hterati and imPerial minls-

tes konc·rning the varlous golrernmcnt monoPohCs°n sak,imn,and equitable

marketing△ The view tak￡ n by the ministcrs was that WhⅡ e commercial and

ardsanal pursuits could bc suspected of divcrting energies fiom dlc agricuΙ tufaΙ

seCto【 ,they were nevertheless necessar≯ For

thc ancient foundcrs ofthe common1· /calth made open the w呷 s ofboth

钆ndamental[agHcu⒒ urall and branch hdusthes and+acilitated equi-

tab1c distibutlon of goods Markts and courts were Provided to harmoˉ

nize varIOus demands thcre PeoPk° f all dasses gathered together and a11

go°ds collected、 so that缸 rm er‘ merchant,and worker could each obtain

what he desired Thus without ard$ans,the缸 rmers wiΙ I be dcprivcd of

tlle usc ofimplcment⒌ witllout merchants,aⅡ Prized commodkies wi11bc

cut。 茁The lormer would1ead to slopPage of graln prodtlttlon,the latter

to exhaustion of wcakh

By intervening in this Process1hc governmCnt、 mouId be abΙe to cunan Com~

mercial prosts of dubious sooal value and di收 rtthem to pub⒒c benent so k

Was asserted:“ k o clear thatthe△ on and sak monopoly and equable ma【 kting

are really intended for the orculation of amassed wealth and thc rcguIation of

the consumpdon涎 ~olding to thc urgenq ofthc nced's’ The restllt would be a

prosperous agriCultural cconomy

The hard Iine Con血 oan v诒 “ ho,v/e《 6r旬 eCted th。 position Through thesc

van。us measurPs,trle d。 sentcrs hdd,thc gowrnmentcomPeted with thc popuˉ

latlon fo【 Pronts and had f“ scd taxes Far丘 om succeedlng in tuming peoPk to

ag“ culturc,llle stale monopolies had only m8de tho branch ofeconomk act打 -

ib· lt,ss prontablc Instead,the governmcnt should lorego the Pronts f1ˉ 。Ⅲ ⒒s

monopohes and reduce ks l·l/eI of呷 ending Nothing would be no四 e伍 cicnt

in p【 omotlng ag“ Clllt ire than suCh a sho,v ofimperla1仔 u铲Ⅱ〃thdt忸 ught the

people modest1i“ ng Good go△ /emment kneW tnat the Wealth of the emPlre

was best1eft、 vith the subjec‘ and did not get deeply invoIved in the pursuit° f

m。 n叩 rmerchants are br山e purpose of draining s伍 gnatlon and the a【‘sans

ror pro呐 d,ng looh they should not become thc prIncipal concern ofthe go平

emment;’‘。h other wor乱 ,the orcdau。 n。 f goods w岱 imPor妞 nt,b lt Ⅱ、xzas

important h that“ was subδ CrVicnt to the t南 ut。ciy pro.ˉ ss Both s,des of the

l16 Rol″ ￠rl″ dC′ii`i`

debate、 vere interested in expanding the丘 ontier of agricukure,n° t in capturing

m叩滢哏变Ⅳr岔玉。“GK∞驭o man∞⒗血0σl thnt讪 ntesq讧 eu m趾

鞲溺巍鞲:托找冤l皮婴:JⅠ×∶∶∶l。扌蚤〖】萏丑:;f∶:岁摁π苕Ι扌ture That would guarantee the creaton of many moF new pea5ant households

that werc sumocntl,Pr。 sperous to Pay tlle imperi“ taxes^丘 er an l11itial star1

∶Ⅲ拄Ⅰ垩{f翟絮甯:拭翅鲡 1黥J∶漶泔累Ⅰ

l莛群珏菩榭l趱燕忒iJ蔡雾l;挥攀teenth and nineteenth centuries For some of"s food grahs,raw cotton,and

timber,the weakhy and densely popuIated\hng犭 delta had come to depend on

器

°

;∶∶各 茹 I混 嚣 t胛器 羝 瞿

=t:器

掠 ⒒ 留 Ⅰ黹 :

reglons suppl,· lng primary PrOducts began⒗ nll uP,the dcve1opmcnt ofth跽

trade was arrcsted1nstead of turth。 r increa“ ng specialization and le昏 on扭

inteldePcndence,tlle peasant p° pulation in the Mlcldle Yan轷 iregion and north-

em Cll1na respo,lded by d"erting mme of“ s hbor iIlto llandicrai and protoh-

dus订 id Cl0th Pr。 duction,tltus subsututing the need for血 ports wth products

ofthe订 own Thc Chinescimperialec。 nomy shaped in partbylong held Con钆 -

cia众 l【 leals,devcloped more by r· ,producing⒒seF in sma1hdentic斑 agricuk lral

ceus than by intensi钉ulg regional sI eo甚 izdtlon and exchange b2

【ncldentau弘 th敌 path° f etOnomk deκlopment has b∝ n one oflhe most

inⅡnseˇ debated Problems of Roman eConomiC hlstory Rostox/t孜 if ascribed

a key role to the phenomenon ofimport substitutIOn in ho dassI~study ofthe

roe and ra1Ι oftheimpe“ a1ec° nonly From the htcsecond Century B c E,sizable

exports of Itahan wine,1ater⒗ ⒒owed by rcd斑 ip ceramic tabkware,had d四 elˉ

opcd,particulady h the Westcrn Mediterranean Under dle rcign ofthe cmper^

。rs,howcx/C‘ th0now was rwersed As the weste【 n provinces bccame more

Romanized,thcy豇 eed tnemse"es「 om the need for Fta1ian imPorts Instcad,

local Production of r· d￠lp pottcrb wine,and many other goods developed in

Gad,spain,and^Jiica,evcn to lhe extcnt of exporung th6e produtts iO Romc

C口″″I四 ″d氵 ″g4″d0″ 【ll″ i加g湘召Vl/or`' l∶ 7

and⒒ dy For RostoⅥ贽f and many of ho latcr⒗u。wc【 s,th0produccd an eco

nomic cri☆ s,nrstin Italy and then in the empire The Roman economy had been

traPPed in a process of decreasing sPeoaliza1ion oflabo⒈ω This,however,o nota

helpfdl w。 y ofapProachi∏ gtl c父 dex/eloPments The reduttlon1n⒒ahan睬 ports

was more than o际 et by increased and morc tllverse agricu"ural and ar0sanal

prodLtoon in the provinces$%讧 e impeod Italy was佰 r lroⅢ reduced to pen

ur≯ aghcukure and manufacturing reacbcd a levcl ofinten“ r,in trje wester∏

provinces that κmaincd unmatched ror∝ ntu“ es after the佰 u ofthc eⅢ Pire⒁

The Chinese comparoon teaChes us that what realˇ Iook phce w峦 “mply the

reproduction and expan“。n of“ civi1ized” agocu1turd PrOduction Aggrcgate

Pr° ducti° n and thc disPosablc surplus had increased

4 IMPε R【 AL sTYLEs0F CoNsuMPTl0N

With the formatIOn of e义 enslv· e dominion and Ihe concentndon of wcaItl,

through订 lbutarv extr∝ uon,nex.tormsand solCs。 fconsumptlonin r。 od,dress,

entertainment,budding,burial,pubhc ceremon≯ and rehg。 us。 tual dc昭loped

in lhe、 “Ddd,° fR。 me and Han Asthe rJlcrs of“ 删 thc、 xodd;`he emperorsset

the pace and t° nc ror the imperlal aostoσaCy and the grouPs oflocalelites across

tnp△〃o cmPtes They PromOIccl an urDan s勺 河e° fc。 nsumpuc,n that soughl

t。 emPhasize伍 e abni0of its prac“ doners to Command,in impeoal佤 shton,

lar纩 c° ncentra‘ olls of、 veakh and a great va“ety ofrare products丘 om lcdr a,Va平

The c⒒ies Provtded the sc· ne forsymbo"c arlstoCradc dlspla阝 ofpower There,

Ιarge奶 lI。 wings and groups of spcctators and servicc people were maintained

bˇ the expendlture of elite lncomes Bulk trade in va“ ous ag“cultural Produc‘

expanded to pr。 visi。n thcse groups

Btlt aistocndc excellence w由 not only eXpressed in an abll〃 to asscmble

great numbcrs of people Thc c大 les also attoldcd Ⅲcmbers ofthc ehtc谷 conve

nient stage on which t。 compete and dlstinguish tl,emsekes through the pos

session of rare and cxpensiⅤ e pr°ducts 、【ore intense soCiahzing and丘 equent

inter∝ uon aⅡ。ng the aroω cracy brought wkh⒒ the emergence° f a oVihz仓 ~

tio∏ 。f rc丘 nemen“ 止was a cuku田 ofluxu「 ,consumpt】on and connoi$seur· hlp

where‘‘the sPecial qualities and兕vour of a great rangc oflocal producing uni心

across thc who1e of Eurasia,strptching° ut into Afrka ,werc PresCrYed and

cller油 cd ror tlleir di「 erence;’ as empha“夕d by Chlo Ba,ly As lle gocs on to

explain,

tl.ereIOrc h叫 di各trcd丘om modern capitalot consumption lll that they

emPha“ 赞d the sPeclJl products and qu扯 m6ofd。 tant rea1ms W△ ereas

n8 R研 氵lε n`″ C凡 宀"

n。 dcrn compIe、 ”dcmands the uni镐 rmib/of Le“ s and trainers,the

arch前c蕊 mPlki~of ever,/d呷 h灸 demanded th改 莎田tm⑾ pi贺 d dl‘

如fencc in goods,kamed servants,Womcn and anlmak and ωugllt to

capture their qualities、 1odern positiond’ go。 ds aK selire灸 rential to

lhemselves and to the markets that cTcate demand for them;the cha“ s

ma‘c goods ofarchaic gIObaⅡ zatlon Were embeddcd in ideologi6which

transCcnded them【 n one sense archaic lcrds and rur铋 lmdcrs were co卜

lectors rnct ler than Consumers Xsn1,lt theV dtd,h。 wcve马 was more than

mcrcly to cO11ect becaLlse the people,oblects,fo。 ds,garments and srl/les

of dcp° rtment thus asscmbled changed ihe substanfe ofthe Collecto⒈ 。’

Tho capao〃 to changc the substance ofthe LOnsunle毛 howexc‘ a‘ o gcner-

ated anvJe心 es1n both empies,moral dlscourses de捉 lopcd ab。 ut the ptOper

apProPoauon。 n旺 ury chan旷 ,a丘cr dl,could slg血 即 elt№ r erihanLement o,

pσsonal quah“ es or moral co【 rtlPuon It was crucial notto become a daⅡ of

onc’ s de☆res,as Dio Chrysostomus urged at曲 e bcginning oflho chaPte⒈ Hadhc or other Greco Roman mo砭 hsts bcen kn° wn t。 C° n乩 cian htera“ ,they

would have gamered muCh sympathy Han m。 rahsts tan be⒗ und lo complain

in a“ m刂 arˇein aboutthe craze⒗ rIuXurlcs,the en°rmous"ches wast~。 d on din

ne阝 aΠ d adornlng womenlOlk,and the corlsequent drain on tlle emPⅡ C、 wealth:“Beauu乩 ljades and c° ra△ c。 ne仔 om m。 unt K’ un PeaHs,rhinoceros horns

and dephant tusks are pr。 duced h Kuei Lin These placcs are more than ten

thousand h distant丘 om Han Calculating tllc hbour for farming and sⅡ k raising

and the costs in materia1and capita1it wdl be found that one article oflofeign

imports c° sts a Price one hundred“ mes ks Ⅴalue As the ru1ers treasuK the

即oos trom dotnnt hnds,收 耐th no,vs。 ubⅣ ard Therefore,a Ⅱtle丞乙ng dces notvalue useless things’

’吞‘

such statements of doapprox/a⒈ ho,,es e6dlcl n。 thing efiec“ ,elY to counk【

the ne、 v luxunous s艹 les of c。 nsumpti° n Ratheb they served t。 poh∝ thc

bounda访 es。f ehte socie〃 alld r·lnfor∝ the m,s0que and cukuraI alIur of a“ s

IOCratic c。nsumPd。 n、Ιoney that might buy the emb【 ems of elite status,伍ey

insisttd、 was not enough to ensure its proper use In both sooeties,the nou-

veau“ che outslders,sJCh as lx· e丬 t” mer~han⒖ or汕∮ocra伍 c rrpedmcn,wh°

sought to estabhsh theⅢ sel· /es ul upper Class socie0were stigmauzed and sati

rized fOr th趸 ir aIle旷 d vuIga△〃and Ιack° fdo￠ mment Thc S“吵r氵 c。 ″of tbe

Roman writer Pctronius o a fam° Ⅱ examPle ofthis genre th破 has become a part

of wodd htemture No amount。f hchcs,^the n° vel te狂 hes through止s most

col。 r勋 l char∝ter Trimakhi。 ,could pre,cnt|he newc°mer疔°m bec° ming the

laughi∏ g stock ofpohtes。 cicγ To引°id hum l,a“ on,° ne had to beimmersed in

Co″″r,″″l lg四″d Co冫 lsl扌 ″I氵

`1g`h召Vl/or″ n9

establohed el汪 e culture the true aristoCr,。 tkncw h。 wt° avoid the η⊥Igar e.tcss

of thc merely“ ch but a‘O how not ω apPear mcan,sting6and c° mm° n∶“Ιn

ancicnt um·,s,reasonable hmils were setto thc xtJ/lc of palaces and h° uses,char⒈

o‘ and ll/ehcs Ph血 n丘crs alld str,li· 曲atch收疋not part oF曲 e system of由 e

ancient Emperors The true ge∏ deman,while checklng extravaganCe,w° uld dis-

aPPr° ve° f parsimonlousness beCause overihn丘 ine$tends to narrowness、 :

Mcre acquoid° n,in other worcls,Was缸 r;om sumclent° guarantoe suCress

地I approprla‘ on ofthc trappings° faristoσatk cultuK El“ e ideolo叩 required

thcm to be di茹 cuk lo handlc Master,was reserWd fOr the e【 .lusivc grouP in

command ofthe c° mplex∞ des ofliterary and philosophic arlst。 cratiC CiYdiza-

tion“ 0f coursc,tre Prev甘 cnce of pr|udices l酞 e these dld notst° p och° utsid-

ers and thc so。 ally ambitlous iom$talslng out whate,/er daim to d`uncti。 n

they could bˇ cmulating the st)`le。 fthe g° Yerning dasses But these notions did

serYe to assert曲 e cukural he挛 m° ny° f the latttr and consohdate their abihty

to sCt the tone in the wodd of consump6on Impe“ al st)les of consumPtion

dcve1oped under the leadcrship of the court and the govcrning cIasses ^d eaCh

end of lhe Eurasian kndmass,thcy sponsored an exqulsite but rcgionauy d。 ~

tinct cukure of dehcate,re员 ned agr:cukural and artoan product,on Fine siks,

lacquerwork,Vintage wine,ghss,sculpturc,the hst couId eas,lygo on R° manarchaeo1o叨 has sh。 、vn thatthe mate“ a【 Culture。 f the emPire、vas both more

diverse and exto· ns1·e than that ofthe Periods bctoF and aneL~

But aristocratic stues of consunpdon did not merdy increase dcmand lor

internally produced g。 。ds; they also generatcd an upsurge in long~distance

tradc;n、 Ierchant5traveled for years t。 bring back the rare and K丘 ned sub

st~nCes and produc^of laraway regions for the r止 ua‘ of power and religion in

whkh the c。 nsuming upper dasscs put the订 weaΙth on display【 n th。 period,

trade beb· een thc Med止 erranean and Arabia and India expandcd enormousl”

1eKhants brought back rl。 m thc East rich cargoes of in∝ n铷 ,"orb preo° us

stoncs,rare sPltes,mcdicina1substances,and deltate cIothes AJnong tllcse

、vCre Chinese s"ks,、 vhich can still be scen on display in surprislng quantities

in the Nation记 、lu5eum of”“a in Damascus,brought to the Roman1,Qdd

仔om India by the cafavans of the desert cⅡ 'of Palm,ra η At tllc same ume,

12O Ro冫氵IC`″ ti C′ ii氵】“

Cbinesc demandˇ awned trading contac‘ w"h South East A“aand e,en hdia

to obtain exotic1uxuries Around1he6rst century c E,the con1ours ofa Eur

asian world trade cmerged wi由 dlexandria and the Midd1e East on one end,

lnd∶ a(and Ind° ncsla)as a midway station,and China atthc other end Thiss阝 -

tem Would graduallˇ develop and exPa∏ d ove【 the fo⒒ o、 ving￠ nturies the scale

。f acuv"y and tlle numbcr of par△ cipants were always hm⒒ ed△ At thc same

“me,the cargoes of tho trade rePresented eno【 mous values” Eventualll they

would temPttne Portuguese,fouowed later by merchants llom the northwestern

parts of Eulope,to break into tho sys崆 m to CaP攵 urc s。 me of⒒ s Prohts by cir

Cumnavigat1ng A仔 ka The eady modern perlod produced a new co” un●ture in

the o【 d pattern of wodd trade for which the“ “ng demand of1mptˉ rial entes in

Rome and Han China had laid the foundat⒗ ns

These devdoPments pr。 vide the rtal b狂 kgound to the enigm改 ic el trv

in thc HoⅡ Hd″ shⅡ that“ in the ninth yd`:"rar I166CEl,during the relg∏

。f EnPeror Huan,tne klng of Da Qin⒈ e,thc Roman Emplrel,户 ddun卜 e,

Marcus Aurchus Antoninus?l,鸵 nt cwoys订 om bcyond the饣 ontiers tlrough

Rlnan{ie,ac。 mmande吖 Cn the central Viα name鸵 coas凵 ,to° 臼飞r dephant

tusks,rhinoceros hOrn,and turde sheⅡ Tho was the收 ry6rst ume thcrc was

〔cllrettl c°mmtln油 tlon[beⅡ een tlle“ v。 Coulltr t引 Jη thClnlpeo扭 chronlcler

h。 lvever,did not Put much iaith in this lpformati。 n He thoughtthe hst of扌 丘s

tOo hconsPkuous Certalnl· itseems qu汪 e unhkely that Marcus Aurehds,if hc

wastndeed lhe r△ ler hiding behind、 ddun,’ shotlld hax/e se,lt an embassy to the

Han Court0ne plausible hyPothesis,th岬 仂re,is that a group of meKhants

ftom the R。 】】an EmPiK in search ofrar products managed lo m酞 e their way

aCross the"ade r。 utes。 f Eumsia to r· ,ach Chin甘 s centcr of powcr and conˉ

suⅢ P“。n Such incidcn‘ ,howe、￡s were few and fdr between Thc emerging patˉ

tern oflong distance trade did n。 tj。 in the Eurasian cores of CiVilization tightIy

togethe⒈ Tho trade w“ orgalllzed Ip stages The Cxo ⅢDnd empirtis remaiΠ ed

hidden to eaCh ofller in a b汀 ilight realm of lrable and mγ △h;5Han Chha and

imPerial Romc Fprcsent r,so separate cukura1trad⒒ ions Butthcy do seem to

have had much in c° mmon and even to havesh缸 ed some products atihe kⅡ I

°fl1xury trade They were comparable△ /orlds

G咖 clrcW伢`扌

o″ 伢″丿C肋〃`〃

lPl幽召F1rn″

伢刀

'Ro御讶彳￡卿p″6

、】ark Ed、vard Lcwis

THEgM鸭 “咖 s apd char⒒auerd诒 f was a缸 n曲me趾 d asped° f

both political and s° oal authoo〃 h Han Chha as wcⅡ asthc Roman EmPire

H。 wex,e‘ whuc the R。 man case has bccn the oblcci of∞ nsider。 ble stud弘 thc

Han case,despite an abundance° f refcrences tO·dle topic,has bcen largeˇ

Ign°rcd In凼 is。 hapter I w扭 钛etth the ran旷 of references to g砍 s and t lario,

by Ihe cmpcror,L△ e imPerial eΙ ite,and⒗ cal e1,tes ofHan Chha and suggesta佗 wofthe m钔 °r di丘℃【ences佥°m the R° man casc

CH】 NEsE PRAcTIcEs

Gi丘 giving灬 a mode of allth° rirl had a∞ nsiderabIe hst° 〃h prc蚰 Pe∮扭China、 Iost importan刂 y thc bronzes dlat征 e° ur kcy wri仗 en source扔 r Lhe

lsJestern zhou d”小〃ol∝ 5矽71:CE)arc de响 ted h鸭 dy的 r∝ ordhgroyaI∮ &s to thC n° biIi%which ser,ed as permanent chaners for nobk stattls

and privⅡege The ilndamental po1itical rolc of铷 ch gI丘 s o thcorizcd in sevˉ

eral passagˉ s in伍 e fourth centu,Bc￡ 乙t″h:昭盯ln tl e spru△ g and Atltum

PerIod σ71△81BcE),由 c pdidcal Power ofthe hegem° n,曲 e ⅡⅡitarⅡy d° rr,i

nant statc ruIer Who in name rema△ led subordinate tO llIe Zh。 uk山ng,was赳 s°

strongly ldenti丘 cd w⒒h a benc丘 cent mode。 fattlon,tlle le丈 oratlon or preser旧 -

tion of perishing s掖tes XXl.uc tll。 wⅡ not explIckly tha.io/° r gIn,from earˇ

timesitcame t。 be descrlbed as a rorm。 fdc,、vhch bythe mlddle。 f伍c MrarrIng

states peiod was glossed as ac‘°ns ofgenerositv orthe fv△ ng“ hfe b· dle ru【 er

who gained由e support orIoyal〃 ofthe pe。 P1e Even morc exPlicit o thc rehˉ

刂on beⅡ een maste阝 ar,d dic,n“ (kθ 曲犷mme to be fJIldamcn佗 lto p。 htical

and s° cial statLs in thc、 Varrlng states and Kmained so througho"tbe Period

ofthe Han dynasγ h th。 rclat妄°n Lhe mastcr provi浼 d food and lodging for h沁

122 Ro冫 ,】 C夕``dC′

】氵冫’●

黥 愚 :嚣 共 k△ 恝 :i且帚J、::ll∶骂

v∶

;:ll∶ ;絮 箔 曳 ↑ 雀找

tfadkions as the Pa订 ing of“ punlshment(xl· g)” and“ hIe gl,in旷 or“gener° si,

(dc),’ and tho modd in亿 rmed the~alendars of[ol`al∝ t⒒ i〃 that were incIodcd

in scvcral m西or works。 f the period Thc dε described in this hterature ranged

疔om the gnn0ng of⒒ le through acts of dehberate mcrq lo matcria【 P叫卩△cnts

and gi丘 s lrom the rtllcr to his aⅡ ies and subordinates=

In the impcoal pe“ od gi丘 giving became denn"is/e ofthe Chinese emperor`

lole,as硌 deady shown ln the“ Fundamental Chronides(沙 c`Ⅱ )” °fthe d冖 astlt

hotories These ch【 onides of court actWitks focus on the cmperor、 acts and

dcclees,and∮ ⒍glx· ing in all⒒s forms灬 the single most仔 cquen[-'n0ted oPe。 f

actlon Impeoal gi盂 s and chnrlty indudcd atlea$t the tollo,ving eight0,pes

First,lhe empσ °r bestowed ranks in a腚 l/enteen 0r0,ven〃 rank hierarchy

(the numbershi佼ed acro$time)that e文 ablished the hlerarkhiCal poslt;ons of扯

free malesin the cmpire Th6e mnkshad oo咎 nated in the、 Varring States Pe“ 。d

as rewards lor milihry ser,· tte or for prOviding grain for the arη 6and they had

become the破 rdctllring pripclPk ofthe Qln丈 a弪 疔om tIle mlade ofthe fc urth

“ntu叩 BcE Th吖 werc dosely hnked lo the emperor`“ ghtto mak aPPoint-

ments,and the hlgher ran芯 lIl tl e hierarchy were calqued onto the hieralvhy

of bureaucr,△ 0co茹Ces Th吖 were c,rried foΠ vard lnto the ear圩 emPires and

Kmained a m匆°r structu“ ng prhcIple of thc state at least into thc bc昏 nning

ofthc Eastern Han in the earIy nrst century C E In the Qin pcriod such ranks

entaned the righⅡ o own speCined am。 unts ofland and command曲 e services

of a specined numbcr ofse「 ,/ne lab。 rers(probab1y convicts or captl/es)】 n the

Han Pcrlod ule primary benc6t ofrnnk ho1ding,apart疔 om status in thc loca1

communib,W笛 Pr"Ⅱ egcd△ eatnent in Iaw,凼 cc[tain punishme∏ ts could bc

ledeemed thlough伍e surrender of ran“ p。st.lumously a1· ,ardCd ran‘ couΙ d

a‘ o bc trans彘 r丘d to de“ endan‘,who would“ mdarly bene缸 仔ona them’

As mllIt。ry ser呐∝became lessimportant undσ the Han,with tne co∏ centr⒈

tioI】 of丘 ghting at the饣 ontiers where Peasant lesies were of no use,thc ranks

、啶re primari9a、 vaIded on happy occa“ ons ln the“ 缸mⅡ￠’hfe。fthe eⅢ peror,

such as the b订 th ofa son orthe~。stab1ohment ofan h⒍ r,∞ t△ey became a form

oflargesse that un“ed the emPcror with his peoPle ln shared celebration‘ 、lany

occasions on which ranks were granted included the distribution of wine and

meat to l0Cal commuilI‘ es for purposes of the celebrauon,with the quanuues

given to cach indlxidua1dctcrmhed by【 ank,as o indicated血 a math primer由 at

gave problemsin di·nding up meat dePend】 ng on the rankb ofthose Present

C0吁 Cjt〃 hrlo″ d″dC乃 d rIr,"rhe H'″ d″ d Ro`″夕″~F`冫 lDI〃 s I23

Thls shi盘 from rewa[ds lor military service to perlodlc“ u血 vctsal” aw衍 ds ls

弹槲 黼 ;圣ΙⅠ节辈l拣l‖iI箨o ver,since at th。 time ran圮 were largcly universauy awarded FOr cmpire-wlde

e,/ents,rathcr than bestowed on ind订 iduals ror thclr speci丘 c achievemcnts,thc

rardungs in· lhc Han camelo d。 sply coinode wi曲 age C° n5equentⅡ tllC sγ stem

relnforccd the Han P° hcy° fh° norlng lhe aged and thc general emph否 。。nage as a basis ofstatus and authoi,in the village communiγ

otl】er gi盘 s that

were speCi6cally targeted to the aged as e1enlen‘ °fthis poⅡ c,wⅢ be discussedbelo、‘’

Tho was the d。 sest伍 at Han China had t。 a dotinctiYe pubhc realm tllat

鞲蔓j撼、豕、丨丨W茎邃麒:1∶槲tlle records that曲 e state kept。 f订 s subjects,marked status h recurrent1° c,△ l

celcbra‘ °ns,and bcstowed c1mr legal Priv"eges,the emperor‘ bene丘ccnce wasmade vi“ ble at tllc I° cal le仰⒈and h灬 rolo as patron。 r Protector° f thc c° m~mon Peop忆 was given manifest instkuti° nal αpres“ on The blerarchy c。 nsti

tutcd through these ranks was ds。 intended fo dictate the termsin which peopk

Wcrc to bc graded and judged This“ si° n of the sociaI order was ardcu1ated ln

a mem° “al by Chao cu。 ,wh。 p° s止 ed a rkdkalten“on bebveen an ideal but

unreah贺 d“ Pubhc” order marked by dle I孙 v and ranks and a subxe、 ive° rderConstitut。 d lhrtlugh prl/ate w臼 hh and°伍cial coⅡ up"on that p∝vadcd actualCus饣0ms and valucs:

Now the ldvs dcbase merchan^,but merthants have bec° Ⅲe rich and

honorod The laws ho∏ °r peasants,but peasants ha· e become poor andbase Thus what。 h° n。 red by cuⅡ ent cLstom(s"o trtated by the rulcr

aδ base,whⅡ e th° ￡wh。 ar sc°rnCd by the min° r ofFoals are hon。 led

⒊冱摞罂JTr∶器盅找变嚣锷氵;ll:∶Ⅰl盅崔cnIorccd

∞拽【莨段泔1苔Jl捶黥 :r器嘿iF戍押滥mole valuab讵 Thc way to make glain vaΙ uable o to aⅡ Ow thc Pe° ple to

use k to secu,/er。 wardsand redcmp"。 ns丘 om punlshmcnts If” u call on

lhe pe。 pIe ofthe empire to present grain to the l° cal onlcials,and therebv

to be砂··en nn‘ and als° t° redee皿 Chm6卜 vhith was a缸 nc‘ on° lrank引 ,then汶h peopk wHI№ s/e ranks,严锱。Il‘ wⅢ have m。 Ⅱ”and

⒓4 Ro″ tc nnd C`li冫 ,●l

龊 喜蛋鐾鞴扌槲

蓁锪

C∮ 0汀〃′夕r南″'″

″¤ 昭冖zJ山l珈 e铷 ″n″〃Ro″】d″ ε″∶p氵rgs ⒓ 5

the eadyimperial penod,although th内 may simply Fnectthelack ofs°lld docu

mentation佥 °m the Warring state$period

In additi° nt° universal pardons,there were also more speCific pardons

restncted to a sPecined region or categorv of the poPulation tet a dl订 d△,Pc

of Pardon was the Pohcˇ of“ inspectlon of cases” in Which speoal agen‘ of the

empcror toured the local admin:strativc cities to veo印 tllat Pun。 hments were

CorreCt and lo ovoⅡ uk any cases of pcr∝ ived injusuce。 r exres“ Xe severiCr In

the【 ater Han tho bccamea【 itual p· rbrmed as oneCl逞 mentofattcmPtst。 rehCx/e

droughtin which the emperor pcrs。 naIIy visited prisons and besto、 ved佥 ee acts

of grace on lhose being held on suspioon Ofrdat⒒ ely hght σiⅢ es A x/eIsion of

tho clcmenˉ y resthctcd to membe6of the ehte was lhe regtllar practicc of the

emperor gran吐 ngo伍 cialsthe Ⅱghtto luⅡ themsel△ /es_inx/ol,/ing a ritual presen-

tatlon of a sw° rd t° cut one’s throat and b° 、d to catch the bl。 od一呕 her tlla∏

su臼飞r the humⅡ iadon°f pubhc cxecu0on or a pun0hmcnt of phy“ cd muti【⒋

tiOn such as castration苫

The reas。 ns lor thls poIlcy of routine pardons are not entireˇ dear and may

have vaHed∝ ross time护 d1rcc。 rded cases justined the acts as resp° nses卣 ther

to happy el/ents ~apPl1△ g ofan hei6establ1· hment ofa ca莎 talciⅡ Πamlng of

an empress,mar,· l° us e△·tnts that indicated cdesdal approval or to mi茹 or

tunes_nooCls,drOughts,marVelous ernts that indicated cclcstial c。 nde皿 n⒉

tlon Hσ vex· cr,there are Ⅲany records ofsuch even‘ that do n° 1eudt a pardon,

so"seems that a1l。 f lhese were p° ssible occasions lor an【 t of grace but not

a slI伍 oent mot"e sex/er11reColcled paΓ ts of dccrecs suggest lhat thc ac‘ wcrc

in焚 nded to reduce Poptllar discontent,whiCh Could manifest⒒ self“ magically”

in inauspti。 us c,ents or more realisticaⅡ y in banditry and rebeⅡ ion k is not⒉

blc t「lat pardons were lilVaoably g1· ·en in thc spong° rsumme马 thc seasons of

grolvth and uf。 thatin the ritualcdendars ofthe period were to be deⅥ Dted to the

h炙 g1·/ing aspectb° fthe emperor、 rok

Jlothσ signincant p。 int is1hat sev⒏aI of the decrees,as Well as the a佰 reˉ

mendoned poΙ icy° f“ hspect⒗ n of cases,” indkate suspicIOn thdt Ioca【 。伍cials

maniPlllated the law t° thor own bencf】 t Tho same suspici。 n。 f。晌oals act-

ing dt odds w止 h lhe la、 v and the emPeror’ s wnl was articulated above in Chao

Cuds memood Finau” lIl the Eastern Han,、 vhen the bestowal of gr·矿acts of

gra∞ bccame routlne,th6e pardons became a regttlar s。 u.ce of manp° wer for

ulc斤°ntier armies,which were continu龃ll restoClxCd W止 h men pardoned的 r

caPital° ffen￠ s’ 【n Condu“ on,"secms that the Han cmpcrors c1ear灯 recog

ni~。 d tlle need t° babnce the scYe讧 ,。 f heir kgal adm:nistratIOn,whlch was

the physlcal狗 unda‘ 。n。 f thcir玟 波e,with regular manlfestatlons ofbenencence

G∮ Cirα汀四fl p〃 nⅡ‘JC乃 四冖″”】r乃 e fi z″ 四″'尺

o,· n″ ε`″

p″6 ⒓7

be acting on the model providcd by the empe】 oⅡ were also rec° lded dotrlbJtiΠ g

sOme ofth扯 hn“ to necd,n宙鲈bo‘ "

A Rih and nn耐 m。 de。 fgi丘 gi访ng⒗ peasants was the re叩 lar昏 受s由at were

not mendoned in由 e“ Chronides” shcethey w⒏ e routine thc mo时 dlstinctl,/e

of tbesc werC the Presentat讠 ons to the aged,which indudcd g1· ·ing dove stalls

to anyone who had reached the age ofsevent≯ as、Vell as a sta荭 and ar】 n re“ to

hdi“ dua‘ who werc no long· r rcquked to attend C0urt(The ch° ke of do照 s

in the decora“ on ofthc sta跽 is explained in sevcral wa,s,the m° st pefsuas"e

。f which灬 that they were a bird锱 sociated with spring and the rejuvenation of

lJe)The dovc sta抵 would have been)`Ct another dis‘ ncuve and visible s:gn of

the imperial presence in the vi11agc commun“ ≯for ex· en Klativell small,1Ⅱ a扩 s

wo111d have had a fe、 v“ dividuals who rcachcd the age ofseventy and hence were

entIt ed to Carry Ihe statl Llke a11oblcc‘ assooated with tlle cmperor,these sta∏、

ouId h,lx/e been charged with a numinous powef and pres“ 莎 Tho咕 cltady

shown in a legal case recorded on some Wr⒒ ing strlps dlsc。vered△la Hantomb

An。 nl。a1struck an。 ld man,thus causing him⒗ drop his stall whiCh bro炷

when Ⅱ ftllto thc g「 ound slncc the o叻 ect was a gi丘 oflhc empero厶 the。 伍oal

was eXeCuted for having bloken大 ”

In addi“ on to these nve m。 des。 f distrlbutlng honors and goods to com-

mo∏ ers,the emperor also sho、 ,ed conspicuous genefosi” to° fhcials and nobles

Apdrt from bcstowing addkionaIranks on his o⒗ cials,just as he did to the com-

moners,and to paying their salaries,which was a‘ o a lorm ofimPerial generOs-

iⅡ the empcror also g洲 e仔 equent gi丘 s to all ofhoa‘ or to chosen indlvidua1

these girts、 veK nlo“ commonly cash,as was prcsumably thell sala“ es,which

Were lo【malⅡ measured in qualltities ofgrain,but notinlrequenuy the emperor

dso gave speci丘 ed dmounts of precious metals,especia⒒ yg°ld This pratu∝

dated back to the、 Jarring state5peiod,、 vhen preoous metals、 ve【 c uscd as spc

cial gi鼠 s awalded to o伍 ci铋 s whom the rulcr wished to honor In addkion to gl± ts

oted in the“ Chronlc16、”some blographlcs of o伍 oals also descrlbe recelx· ing

such gi仟 s缸 om the cnlpclo‘ usua1灯 whell the o伍 cid retired As wdl be discus贸 d

bclc l吗 tluese gi丘 sl,· ere sometime5in turn d、 t“ buted by伍 c orlcloal to his伍 mⅡy

or neighbo‘ ,so tl atthe o伍 oal acted ds a c。 ndu订 that dirccted impcrial chariγ

dσvnwardto the commo∏ pe。 pIc h

The range ofthe emperor`giⅡ s also extended fo the non-Chinese pcoples at

tlhe斤 onuels°f曲 e Han state Th6e g lts included the” B〃加 ofe“ ngs of gdd,

鞲槲槲撼鞲黼獭

鳙躅

12s Ro″ le夕 仪氵C乃 i`】 n

鞲擀i薮鲫 郦 瀹鞲黼§槲麒弼辙莛“1注lfl∶浓F1斟:∷

l器::￡ }丬 :诺J甘I:悬抚:)暴↑阝+∶嚣i拶$:奋热;七甘:η rt爪

c∮ Cjr"fnrio″ n”〃C乃 四r∶ 〃加 ,lle Hd冖 d调 尺o″】夕Hε`冫

lpJr6 129

PI:ncipate was a diⅤ ine gi鼠,and that the description of o仟 erings to the g。 ds as

“gi丘 s’

’(do″田)was a collVentiona1usage′

1n addi“ on IO au thcse f。 rms of concrete or instituuona1giRs,one must also

examine the rhetoric ofthe period Thus,a request to retlre、 ⅥDtlld be descrlbed

as asking the empe【 or for the“ gi丘 of onc、 skeleton;’ “n∝ 由e emPeror con

订olled the Pels。 ns of hl。 °moals and had to glx/e thcm back to thel.hmuics

be⒗ re they wotlld be allowcd to dePart llom the Court similarIy a reply钉 omthe empe[° rto a memorialfrom an o伍 oal was a‘ o descrlbed as the bestowal of

a gift|’ such Phfases are to a Certain extcnt rhctorical,but thcy arc also asPects

。fthe phenomenon not。 d byX/evne in which曲 eR。 man rulcr’ s very cxjste∏ ce

and evefy act that hc Performed could bc trcated as an ac1of bencvolcnce or

gencrosi吖 :t

As noted ln the above hst,scx/eral of lhe fOrms of imperlaI砂 鼠gi访ng,such

as dle dotrlbu“ °n ofland to p臼 sanⅡ ,Were imitated on a smauer scale orlower

level by membe、 oftheimPc"al f。 mⅡy orthe court In addl讧 on,loc钲ˇpower缸 l

缸mⅡ lcs a1s° en钾g胡 in⒗ Ims ofgi乱 g1··hg orcha“ ,as。 Il de皿 C∏t0fthp订 status

and pαvc⒈ 0ne reopic∏ t。 fsuch giRs was thc cmperoⅡ lvho re∞ lXcd tbc trlbute

°fgoo凼 and Peouelrom tnc di涣 r∏ t regions° fllIs rt甚 mˉJlothcr form、 vas the

gath函 呷。f“ 眇est reutn。 rs(㈦ 氵·、vho condnu记 to bea mⅡ relˉ。ment oflocaⅡ y

eminent households(as weu as urban gangs)in Han China Par心 cu1arly in the

Eastern Han thc Practice oflocal chao⒐ and poor F1ief also ngures prominendy

in the biographlc accOun‘ ,stone inscnP“ 。ns,and PhlosoPhicd e$avs。 f thc

Han grcat families The pomary reciplents of suCh cha“ table actions were more

dotant klnsm迢 n and1。no、v Yiuagers,but at certain Periods thcy sPread more

broadlˇ to lncIude wh° lc commandCries TheimPo效 ancc ofsuCh∝ 讧vi“ es to the

°rgani猛 tlQn and the∝ ⒒vkies ofthe Han lo.alelite o one ofthe m。 lor dlemes。 f

tllle Han sources from the Pe“ od,induding the stone in“ ⒒P0°ps that members

of the great兔mⅡ ies commis∮ oned for their own缸 n and tllat tlius demonstrate

how th6e pcoPlc u∏ derst° °d thc bascs oftheir own cminence∶

such cha"ty to。 k severd钇 rms First,weaIthy men oRcn entertained虹 n and

neighbo‘ in great banqucts In se,。。raI Cases,tlle Wealth仍 r such act~iti6o

expliotl,desc“ b趸 d as coming fr。 m prior gi丘 sb)'the emper° r。 r members ofthe

imPeria1佰 mⅡ)l one。 fthe mostinfe渡 s“ ng o the c凼 c ofshu Guang,who had

rece∶ved a quantitˇ 。f gold⒍ om the emperor as a ttirement g】 丘and who Jscd

⒒to灸ast aⅡ his ne碚 hb°阝 、、△en me】 ηbcrs of hls f。mil,had Iie vⅡ agc elders

Iem on⒊ rate that he was wasting too much of his fami圩

`newfound wealth,shuCuang rePlied:

13o Ro″ lc n冖tJ(讪Ⅱ1,】C0’ C氵 rL“ 切rlo″ t,l'ClI,l″ I,· ,rll￠ H,l″ ″J″ Ro″ 田″El″p|ˉes Ⅲ

〓 ∷¨

〓〓∷i”

●

一

:黼檠槲 1槲擀

罴紫理烈宵f抚r祟△r⒒瑟:⒒器岽烈挟r11找

J濂搬品柑搏茹慊擀锶妊荽茁谢I谶$“°罗茸州WJ∵女羁J;::}垲罩咒怨∵I莹{;;谓击

0Jncrary inK"Pti。 ns Final1v,loca1lam"ies hcrcasingly Prox· lded famine aΠ d

n。。d lelie二 as well as defense against bandits

The αactre怡“onshiP bet,seen the emperor’ s拿丘gi“ ng and that° fthe pow-

CrltIl lamll es ls not enulely dear and probabIy shi鼠ed aσoss time0n the。 ne

hand,many ofthe cha“ table ac0ons of tlc佰 m"ics seem to have been directly

pattemed。 n tbose ofthe emPeror As noted abo爬 ,th呷 ewn dalm to bc cxtend

hg or carry访 g out impcrial benelac“ ons,as h tbe cascs of dlstrlbtltion ofland

t。 pcasants o〖 shu Guang、 use°fan imPe“ al gl丘 to ProvIdC banquets⒗ r poore【

nC启 hb° rs H。 weve厶 the cmpha☆ s in1ate Han st。 ries° n pubhc w° rlxb,local mih-

tary defen贸 、and rchcl仔om nood。 r佰minc indicates that the loraⅡy innuen~

tial lamⅡ ies were dircCdy laklng charge ofthc roles that the impeod state-duc

to impovcr芯 hⅢ cnt and the consequences of mllltary rtforms_was no longer

caPabk of handling This lvas on the onc hand a mode of upholding the court,

but止 w。 lld abo has· e bcen percelv/ed as a⒗ rm of usurpat⒗ n The⒒ n悠 。n。 cal

gi丘 giving to unsanCtioncd cu⒒ s also suggest wa阝 in Which the bene丘 cence° f

the great hmiIies was a d订cct chaucnge l。 thcimpc“ al ordc⒈

Many of lhe activ订 tes described above are not dissimnar,。 the∮ ft gl’ 血g or

cha“t,ablc act1·止ies。 Fthe Roman emper° r° r thc imperial elite(Due tO the tiaW

aCCessib"ky of accounts of山 ese actiV止 ies,I wiu n。 t recapⅡ uIate the ma丿 °r ele

ments、 )Ho、 veveb there are a灸 w dlfferences that cIearˇ relate to lhe varllng

stuCfures ofthe r,° emplles and thC de6ning hallmarks of political authoriⅡ

F订st,pubhc bcnev。 knce and tlla“ 吖 in the Roman EmPire,11kc that in the

Grcek world that formcd ks cas仰 rn hal⒏ was dcn∏ ed by⒒ s urban ffame V钸 ηe’s

“euc「 setisΠ 1′vasinseParable rlom the ciⅡ which wasthe basic un"ofthc pohtiˉ

cal order The samc eΠ lpha葫 s on thc Lltimate urban⒗ cus of this c° nduct“ so

ngule‘ in sauer、 a∝。u∏t of patrona旷 in the cady empirc=;The pomary lorms

°f pubⅡ c bcne、 `olence,bOth for thc ru1cr and mcmbefs of the elite,wcrc the

constrtlction of ne、 vbu扭dings for pubhc usc(thCaters,gymnask,batlhs,arenas

的r驷 mcω ,the sPons。 rship。 f gam舔,and thc maintenance of aqueducts and

roads^dl° f these,and additi。 nal char讧 ies such as the feeding° f the speci丘 ed

numbcr oflhe Roman plebs or cha“ ty for poor chnd爬 n provided by imere“ °n

loans to farmcrs,wer focused on tbe citi6They assurcd the provislon° f the

ba“ c requo⒒ cs of an θastenCe that Was“ ovi1讫 ed” lIl thc eˇ mol°glcaI父 nse° f

bcΙ ng urba】 l

1n Han Chhla,on the。 thcr hand,thc bu1k ofimpenalgi丘 giving and“rtu-

dˇ all pr打 a弪 o限"∏

gs、,cm to tllc couIlt阝 ldc t"s afference r丑 cds thc

一~一~一_一~一~一~∷~一_一一∷

∶il!∶ii腆:l避谩昝擗 摊 鞲黼搭 聪找店l%廾:荐弑豁 :∶掠↓胛(∶

}i∶

l∶∶∶∶器浪罨t岁℃找摞早裘贳找Jf摁1品WI茫暇凇:摁 |∶∴|i∶ i∶ |i∶∶嚣1莒F贤

茹!甘丨:擀撼i丨l∶i|丨丨l;∶∶i∶i∶琪t弹:姿迤奔

the rural wor1d(scc below)

The dlff。rend汶 pattem of∮ng“ ng dso ren∝ ts a dffereqcp Dp6veen thc uses

of由e ruralbascs ofthe Roman ehte and the Han Chincse Forthe former,la呜 c

estates x· C rked0y servi1e or contraCt hbor and managcd by local agents were

priniarⅡ y souKes ofincome that enablcd the eminent man to Pu阝 uc ho career

in ll,e cities For the Chine$elit· ,on lhe other hand,estatcs remalned re1atWeV

small through the ploce§ of di访 sion among heirs,and伍 eP“ mary souKe of

l。calinnucnce was trle l。rming of cxtended social ne6vorl【 s on the baso of⒗ n

ties,marriage with other leading tamihes,and the patronage o∏ 、red to Poorer

nC培hbor。 Tho rquired a much more regular presence in thc countqsidc and

made the gilt giving rehtions wkh peasant ncighbo^dcscribed ab。 ve a crtloal

element of the great famllleC authorirl⒚ 少‘imPertal Po、 ,/er dechned and the

grcat famiIi岱 becamc respo灬 ibk foran ewr、 vider range oflocal go,。 rnmental

钆ncu。ns,this rur,ll focus intensincd

second,Ⅵ lnle maks a ckar dotinctlon bc“ Ⅴcen simpk chaoo to the P。 o“ as

CxemPhAcd by late【 Chnsuan PractlLe,and Greek or Roman euer莎 0sm,wblch

consisted of maklng a contibution to a p″ b`l.good shared by all c订 izens This

depended on the exJ欲 ence ofa Cleafˇ denned pub1ic sPace that was dlsdnd疔 om

government0伍 Ces,palaces,and temples,a pubhc space that was fashioned and

maintained by the elltc as the nccessa吖 setung f。 r the cukivaton and disPlε l)`

oftheir aut虹 o“ 0, O such a Pubhc space did not existin Han China,and there o

no evidence at an in the pe【 iod of sPeci6cally urban chariⅡ This1·/ould deYe1op

°n灯 w⒒h the ose of Buddhism,with private fOundauons ofteⅢ ples open to thc

Pubhc,and,lt roughly tl△ e靶mc time wⅡ h tlie development of private gardens

that“m⒒ ar圩 e⒃ l··ed into eady Pubhc par“ only with the emcr扩 nc° °fsuch

new spacesin the nRh and s水 th centuries do we begin to且 nd a Chinese ver&on

。fa dotinctive urban pub"c rea1m;l

Cl/rO汀 HJ/’ fo″ 们d Ch‘ v”′初Fl e H仰 四″d Ro″ ,日〃ε冫卵讠沼s 133

Thc abscnce of nOngovernn,ental public sPacesin Han China was also hnked

1o an absenC of monumentdl buudingin stonc F0r reasons that are not en心 rely

dear,whelher a scar0,of【 aw mate“ d orsimply a cho记 eto buⅡ di且 perishaDle

matc“ als that could readⅡ y be lebuik in the latest stlle at regular htep/a‘ ,the

Chincse never dcvclOpcd a tradition of bui1ding in stone△ Given the emphaso

。n prlvate or impe“ al donauons to the pubhc g。 。d,much euergetom in the

N】ed⒒ errancan Consisted in the buⅡ ding of great stone struCtures i∏ scribed with

the namc and Purp° ses。 fthe d。 nor1t o for tho reason that we posscss the

ma$es ofstone in““pdons⒍om which onc can rec。 nstruCtso muCh of Roman

and Creek socia1histor≯ lncluding the hotory of dona“ ons to fJle public g。 od

The absence of suCh structurcs in China,a∏ d the△ associated records of pub-

ljc spi“ t记 conduct,meant that p。 esuge and innue∏ vˉ·Cottld not be generated

through1hc spons。 rship ofsuch buⅡ dl11gs and that no honor could be gained by

being recorded on them Thisled both to radicalˇ di【ferent modes of expeoenc

hga oo/scaPe and to thc development of dcady dl,/ergent modes° f transfo【 m-

ing material wealtb into吖 mbohckap止 d tlhrough the agenq ofbenc佰ttlons

ThIrd,the otller grˉ at brm ofimpeoal pubhc benevolence,the sp。 nsorship

of games,als° entadcd a modc of Poh0cal behmlor in Rome that would have

bcen unthhkable in China spccincaⅡ ”。ne。 f the key aspects of山 e games

sponsored by the emperor was that the rukr hhnser wotlld h,ave apPea。 。dhpubhc and shared tllc gam6with tlle urban poPul艇 e This Physical presenCe,as

V。yne p。 ints out,、 vas essen“ aI to lhe ro1e Ofthe甲 mes the emperor made a gi钲

of his person as much as ofthe cntertainmentin the arena pr° pe⒈;)In Qin and

Han China,in∞ ntrast,the rulcr did not display himselfin pubhc P。 wer was

generated not thr。 ugh the public aduIation of the peop1e,butthrough a Po1icy

of$questrk0on and hldhg awa乒 seakd up behind1arra录 erlarr° f waus,the

emperor rg· arded。 nly ho dose“ followers W扯 h the suprcme honor ofIet“ ng

them c。 me into his p四 sence Th” power ofthe inside。 ver the outside,and of

thc hidden over the volbk,becamc a longstanding principle。 fthe spada1c。 n-

struC0on ofPowertn imperhl China”

A relatcd di臼 trence was thdt the Ronan emper° r,as di“ u$ed by Fergus

Mdlar,would o丘 en provide gi盘 s to humtle pcople with whom he came imo

Cont【 t in the coursc of ho duties,ju玫 as hc could Ftci⒕ peutl。Ⅱ各。m such

people and adludicate cases on thell behalEj’ Agaln,such contatt for the Chincse

rukr、 sould hd· e taken placc only wnh h。 。wn o伍 oa、 and hencc,as noted

abo· e,they_and the chie丘allls ofsurrendered barba“ ans who A双 e ceremon⒈

alll/a⒒ owed into the imperlal Presencc一ve「 c the only people who wollld haYe

{∷J

∶∷1

l∷∵

帮瑟婿器扌蚤J贳扼J蓝W蒜黑y找找W黥:

阳fF&甯哚盗蒜下IJ贫蕊Ⅰ∶l艮 R。 m¨涮chⅡ鸵四￠“s洫

强硼 :袭斟龊 甚攒l鞯r拣揣陬黜嘿哏里:揣找歹J括翟罚砦1

羿忿翌T蔗 j默:Ⅰlll讠;黯瑙:贽泓$乞苇:∶∶∶∶11器:

〖礴垦姜社黻槭鞲搂胥扯Ⅲ1⊥tor the Chinese case suggests a model of imperlal gcneroslo that e⑩

lx/ed not

鞲甚夕ll黼 {∶苷li槭垫坐1畏遗撂茛∞艹七

r泞u濞:甘 I’鞯曳里扌搅;蔼1pa吐crn for such bcnencencg⒒

w岱 convcntlonal to claim as a m0del not apy earller torm0f pubhc·ewice or

C∮ C氵玎"″

而o″ 田″d~l· ,zl冖 ,`冖】rl,召 Hrl n″ d Ro`″四″￡″p讠 rgs I35

giving by a noble elitc,but rathcr the action of a benencent Hcaven that flcc1y

be哽 owed life on all beneath it,without requiring any ser“ ce in retu【 n(Certaln

“milarthemes aPpear in eady imPerlaI R° man1i倥 rattlre,Where ak∞ unts of the

Golden Agc h which nature炱 eely yieΙ ded up hcr wealth without the】 leccssity

°f human labo【 were in,oked as a precedent for the new imPerid。 lder●:)As a

matter of po⒒ cb the Han emperor、 ∮丘s were also part of a larger aim of pre-

serx/ing asmauˉ h。 lding,ftee peas。 nt【 y that was the foundation ofthe state Tho

Contrast i∏ the°Ⅱgins ofst,△ nda记 imperial gi丘 s in thc bvo s阝 tems。 nce again

draws our attentlon baCk to the urban bias ofthe Roman Case and tlle rural foCus

ofthe Chinese”

3 CoNcLusIoN

巛Gi丘卩as many scholars have noted,o not dwa阝 an anal`tal″ use血⒒crm It

ls neCessary to disungu。 h va。 。us,?es Ofgi盘 circuhuon or chariⅡ because the

。,Pes ofgoods that are cOnVentlond~glvcn and thc roΙ es that are de丘ned血 曲eir

鲈访ng and.e∝订iΠ g、 v11markthe dllqerence beb〃 e。nⅡ ~o Cultures Thus,as n° ted

above,Ve)me emph。。slzes thC contrast beb爬 en Ch“suan charit,,which wodd

become th尼 standa【 d modeI of giving h late andquir” and classk euerge11sm

The latter o de丘 ned as gIks to a pubΙ ic reaIm that即 Duld be potcn“ al1y reco· ed

D,'au members ofthat redn Indecd,the couect"e gi丘 s ofthe e1“ e tO the com-

mon good are in some sense Cons“ tuti收 of thc pubhc.ealm,as a CΙ uster of

ConstruCted spaCes that would not othenvisc exlst,峦 a set of distinctive/lrtues

(“Pubhc spi订”),and as a serics of pe阝 on创 reldtionships dc⒖ ned on the modd

of Patr【 ln and dient1n this wav wc can see how in the anoent Mediterranean

w。 r1d particular m° des ofdistributing wcahh,dlstinct打 om markcttransaCtions,

de丘ned缸st the ci〃 sta弪 and later the empile as dotlnttl· ,e pubhC loσ “,and

how the贷 would be repIaced by Yet another form in the Christlanized world

In trIe Han chin6c case the pubhc redm was not dcady dotlnguohed f.om

the pohuca⒈ s。 that particiPauon iB a rt· p″ 乙`icn meantto be in the seΠ

ice of

tlle ruler(The same∞ rt of pun/llomophonc gloss bˇ which Cltero denned the“repuuk” could dso bc donc in Chincse,whcre whal was“ pubhC” [8o,恣]was

what perta,ned to t垭“lo记

”kP″创)Thtls,kw锱 at αe all the昏 丘or uues bl

which the ruler brought all丘 ce men into his service and granted them corre-

sponding legal privdeses that constituted a broader巛 pubIic” space Thc other

assooattd giRs,as noted abo,· v。 ,were p“ ma“ ly exten钫 °ns of pollclcs aiⅢ ed

at preserving this Polkical space de盘ned by the pa吐 icipation of a ffeeˇ h° Iding

PCasantru

136 Ro`,le冖 ″〃C宀氵`1四

The dear emergen∝ of a Kalm in which local rura1ordcr was de· lncd and

maintaincd through tlle∞ nsPicuous charity and pubk sptitcd猛 tlons Ofpow-

erpll缸 m⒒ies was to a∝ rtain degree the renccti。 n ofthe brpakdown ofthe ear

岁Ⅰ捃鸾1Ⅰ塄摞 了隅 矍鞯爿埭琛嘎罂茗岱

槲擀斟弼熟抒巍槲蕊擞鞲:孱 JT∶丁:l∶ rt∶∶∶t⒒∶∶兀:l9F瑟 :茹 i【:∶:刂11圭 :∶雀 畏△∶F品早〗诘:

loc址 famihes ThIs shi丘 toward a scmIpublic犯 alm denncd by an unca吖 j° lning

of a reduced politkal s佗 te widl an extended k1n and viⅡ age hyb“ d de丘 ncd曲 e

shi丘 疔om theea【 imPe“al(Qi】 Han)era to thc Centuries ofthe Northern and

Southern Dynas饣 ics

%汕 fo竹幽 〃 助 s扌纟//,s of仂 召H日彳

伢竹'R°

/ll伢彳￡“p`r召 s

、缸lcr Scheidel

Bcginning in thc third century B C E,thc impPridl uni丘 cau° n ofb。 th East Asla

and dle Mediterranean ga崆 【ise to incr臼 slngly standardized curIenc,`” stcms

tljat sought to establish stabk means of Pa,ment【 n both cases,the eventud

monopo1i扭 tlon of minting“ ed山 e success of thCse currenoes to tne1· ortunes

of thc丈 a侄 Ytt dp”

"c tb6c晚sk“ mllaotles,subs钮 n“d dlH、 rcn~cs pre· ,觇cd

W△ ile siˇ er and latcr gold dominatcd the monetary economy of thc Ronlan

Empir。 ,the"tt。 ri。us Chinese regimes operatcd a svstem Of bronze coina$s

supplemented by uncoined Preoousˉ mCtd buuion Thls raoes a赞 nes of ques~

tions How dld thcsc diferences aroe,and Why dld they Pcrsist we11be· ond

anuq山 ψ?H。 w dld thc usc of dif艮 rent metals a打 ect thc relationship bet,【 een

the∏ ominal and intlnsic value of monetary oblects?Did dle mhdng of pre-

ciotls mctals in the Rsrest and Chlna’ s relianCe on coppcr dcterminc os/crall lcκ ‘

of moneozad。 ll/To the best of my kno、 dedge,⑩ ne of these osues№ s ever

bcen addr·ssed fIom a comparati⒕ PersPeviivC The兔 nure ω d。 s。 h峦 made止

harder to appreciatc thc spcci6C properties of each of these b/o monetary sysˉ

tems ExPlicit c。 mparoon b[in卧 the cons“ tuent elements of each tradidon into

sharper rdief by de%mⅡ iaizlng the faⅢiha△ it invitcs“ lo qucs“ on establ`hcd

interpretations and rec。 nsider the nature of Putative causa1relationships

Because this su∏ eˇ o the nr斑 of⒒s kind,much of止 istaken up by a paraⅡ d

expo“ tion of moneta” hiSt。

"岱that prOYidcs a bas内 forthe conparat″ c anal艹

so ofspecinc Ieatures The format ofth谄 cxposit1on lsin la呜c part detcrmined

by the h芯 tooo肛 Ⅱhy of tbe stl” ect R。 nct an αaggeradon to鸵 y that tbe

etstIIlg body。 freseaKh sChoIarship° n Roman coins,mone≯ and thc monetary

eConoⅢ y great灯 e·tceeds cOⅡ ♂P0Π ding schola.rship on eady Chinese money ln

tetilis“ both x,Qhme ald.oPhotIca讧 on As a consequence,whIle the prl,· skd

charaderisti6。 fR。man coins and thek dlst“ bu“ on hal/e aIr。 ndy been studied

ln·。ry∞ nsiderabIe detaiI and much attention has been paid to their relevance

)i`〓

一〓‘〓.

∷

`〓

丿∷〓〓一〓一

·:〓

ll⒈

i4葺⒈息〓⒈〓r〓

←〓ι

138 Ro冫 ″g```dC′ l丿

`l“

to bmader quesu。 ns。 f economic histor、 °ur knowledge of ancient Chinese

mone)'and ks uses r。 nlains much more hmited and fragne,and manyimpor

tant quesuons hav,bar· Ιy b。·n addresscd at aⅡ Taklng【count ofthis m岱 sivc

imba1a ncv。`I discuss the Chinese e、

1dence atsomelcn筝 h(sec“。ns25)but hmit

myself to a skeletal outline。 fcondidons in the R° man wodd(section6)Each

survcy o lollo、 ved by a brief5ummary of what Ι kon“ dcr to be the prinopal

trends and patterns(sections5and62)

These parallel surve阝 PrePare the ground for more s阝 ⒃madc comparat打 c

ana灯☆s In scctlon7,l exPlore tl c causes ofthe dominant monetary p° “don

of dilfercnt mctals in eastern and westcrn Eurasia in anuqulty and argue【 l()ra

combina⒍ on of geologlcaI and culturdl,· condngent ract° rs【n sec0on8,I cha⒈

lcnge thc corll enuonal“ n°Ⅲhalistic” understanding of ear【 y Chinese money by

docume∏ dng the crucla1“ gni6cance of订 s intinsic(metal)value I argue that

thc emergence oflnonoPohsdc superstates in both eastern and Westcrn Eumsia

favored the σeauon。 f hybrid currenCy s阝temsin which thc lack of competitlon

rela史 d“ metalllstic” constralnts Without remoVing them akogether,and1hat coin

users in both s)哽 ms retained a substanual degree of seps⒒ iv止y lo the intrin“ c

valuc of their currencies The nnal secu。 n seeks to quanti卸 the meta1money

stocks ofthe Han and Ronlan empi【es at the peak of thcir po、 vers、 Iy丘 ndings

lcad mc to the condu“ on thatin real terms,thc Roman impe"aleconomy was

probab灯 considCrably more mOneuzed than lllat° f dle Han state

‘t o imPortant to da“ 印 the sc。 pc of tho stud平“Mone疒 “an。 t° 。°udy

eluslx/c conCept In lllsto“ cal socicties,“ a⒈ purPose” money thatsimukane° usly

scwed孙 a medium of exchange,a st。 re of Wea⒒ h,and a unk of account rCpˉ

fesented merely a5ubset of all monetary objects and instrument⒐ while coin

age o艮 en_though not ahv呷s-met alhhree c“ te“ a,wcighcd buni。 n,tokns,“nCa⒈moneY” (such as bius of αchange),foodstuffs,tcxti1es、 real estatc,hvc

s∞ ck,sla、 ℃s,of c0lVrie shcⅡ s were aⅡ simnarly capable of pcrforming one or

more of these lunc心 ons Under the right orcumstantes,they c°uld al1“count”

as“ Ⅲoncy” In tlle followhg sectioΠ s,I concentate Primaruy。 nc。 tned or othˇ

er、voe n。 rmed mctal mone” Tho幻 cus o、 ves more to necessi,tllan to ChoiCc

the natu【 e of thc evidcnce forestaus a meaningfuI comParau,ea$cssment of

crcd订 moneyin the Han and Roman economies,and the attualscak of mone

ta9usC° fnormed fe反 Ⅱe hbricsin the formerlsimpos⒌ bleto sauge M。 rp。 ,·eb

Constraints of space compel me to fOrego conlparati状 Consldcra“ on° f mon-

etary thought and the invoca‘ on of m° ney in l.terary docourse,a缸 scinating

topic that、 vould readny suPPort a book-kngth studyI FinalI弘 it ls w° rth noting

that as佰 r as the Physica【 nature of coined money o concerned,∞ nditions in

Tlle Mon召抑〃 ” s″川‘∝ 腕 砌 ″印″ 孔 l,,F″ B″p`邴 139

PtoIemaic and F0ma∏ E哥T⒈-wherc bronze and much debased bⅡ lon l。 sucs

plard a cen1rdrok b° rc a much doser〖 esemblance to ear″ Chincse pr【 ti。·s

than thosein m° st other parts° fthe Roman Empire∶ These simildri‘ es l酞 ewisc

Warnnt Comparat"e in/estigatloΠ lj△ the h△ ture

2 PREIMPERIAL C0INΛ GE IN

With regarll to lhe mjihk钲 and scminlWhkal distant P孙t,later te xtual sources

asCrlbC monetary tlscs lo a Varie0,/ofoⅡ ects suCh as tonoise shells,c° wrie sheⅡ s,

Pear‘ ,sklns,tecth,homs,wheat,teXii【 es,and stone t° 。、3Archacologkal ex/Ⅱ

dence conε rms thc usc of co、 ·rie shells(bei)since the shang pe“ °d(G1600-1045 BcE) and cspcclaⅡ y during the Vlrestcrn Zhou Dyna☆ y (‘ 1045-771

BC￡ )Assemb怡 d on strin邬 °f诒 n(p田 :g),co,v“ 6gnduauy came l。 陇Wc小a standa【 d of,/aluc{It is less cl~。 ab h° wc【Ⅱ whether cowIi· s ever§ 且丘llcd the

add汰lonal Ⅲonetary钆 nction of a medlum。 f ex.hangα tlley mal primaⅡ ly

h孙 /e been used as gi丘 s and pr6tige items comparablc to jade o切 ects and are

mosdy dlscovcred h mortuary settln眇 j Imkatlon Cowoes made of bonc and

later b onzc already aPPeared in the late shang periOd,akh。 ugh production

dld not Peak untn the Eastern Zhou peood(770-256BcE)“ Co、 irie usc w孙

parItularly widespread in Ⅵ△nnan in thc缸 rs° uth∶ 260,00o。 fthem have bccn

uncarthed仔 om lombs da0ng tom before the Qin~Han peood Their PresCncc

stron砂y diminis虹 ed underlater Hnn rtlle butincⅠ ca贸 d again a盂 erw肛 d;they did

not disappear from that region untn the nnalimpo焱 tion ofimPellal controh∏

thc scvcnteenth Ccntur⒘ ;

Mhiattlrized to。 ‘that served as a store of vaΙ ue date back to the late scCond

Ⅲi11e∏ nium B c E冖 but most丘 nds have been made in、 Vestern and eady East

ern zhou tombs s spadc bladcs thdt kept shrinklng ln sizc and weight were the

m° st Prevalen攵 ●pc From the seventh century B c￡ thcsc spades came to bcar

inscriptlons(mostly lhe∞ woe wmbolp贫召and numbers卜 止o only Ir° m that

p° int onward that moneta叩 lsage can sakly be lnfeⅡ ed spade m。 ney、 vas PrO^

duced in a number ot dlstinct"e shapcs that m呷 cast hght on chron。 logy and

prαenance b"爬 q山饵 乩rthσ stu⒋ h乩e late Spll鸭 and洳tumn peood,

呷ades lsnth squarc c° rn e、 represented the m。 丈 c。 mmon,Pe,usu3Ⅱ y9-l0

器兄ⅠF扛T王r澧w孑1iⅠ∶ll∶〗:∶FrJ璀l茅岔u∶:亠

m°n呷

扌岁:F乩戋〓忄难哩I∶∶拣:z1菡 ::∶ l饣嘿茹ic eⅡ“~

ronmcnt ofthe、 Varring s佗 tes perIod(480ˉ 221BCE)The maln C0ntcndcrs

to[o· ·erall suPlem姆`_Qi,Qin,and Chu-developed dosed monetary吖 stems,

whereas the“ Three1n” stat6of zhao,Wo,and Han Ⅸperienced kss g° rrn-

mental centrallzation a∏ d tllus more lotal alIfon° my lll m0ney productIOn In

Han and、Vei,spadc moncy was Produced to a set woghtstandard(of,,",28g)

乜ives continued lo be common In the n。 rthea“ ern stat6of%n and Ql Qi,

Qin,and Chu all dex doPed丈 at← sPeohc cuⅡ eIlq莎弪msm

Judging by the archaeological record,round co1ns apPeafed in the fourth

ventury B c E in tbe states ofthe∝ ntral Great Phin and subsequently came to

be used in a"m西 or stdtes eX∝ pt Chu in the south Presumably modelcd on ear

her c订 cular jade disks(1i)、 vith smaΙ 1holes lll the center,these coins Wcre cast

落r:黯 :掣 ⒒裟 扌 嗜 郭11∶∶l1ts岁萏i详ul:∶扌抒 :l:

standard,casting b“`Ⅰ`in`7g(ie,halε

″n`lg)coins with a target weight of approxl-

mdteˇ 8grams,the weight being inscribcd on tlle佤 ce of饣 he coins Latcr txts

daimcd that Qln shihuangdi creatcd tllo coin ln221BcE,an crloneoⅡ c° nˉ

na"。n。 f tbe Iater imPe“ al P田 dominance Ofth`type ofcoin with the oKum~

stanCes ofits crea0on B田 〃Ιm″ g coins have been佰 und in strata dating from the

mld-fourth ccntury B c E,morc than a century Prior to Qin’ simpeoal uni丘 caˉ

“on They werei且 troduced in a period of profound state sp° nsored changes,

∷拄 ￡赀 1】∶f拈 1s矍瑟 ￡犭 T嗫洋丫 扌驻 琵饮滗宵:∶光紫 :点

A dls·er旷nt m°nctary systcm developed in the sotlthern st"e of Chu,based

°n bronze cσ x· r诒 sand coin s讫 ed由 ln square plates ofgdd bearlIlg punch marks

denoting the name ofthe。 urrenq(,△ ll″ )and the name ofthe Chu caP⒒ al。

The aKhaeo1ogkal record suggests that bo1h currencles cir.ulaIed only within

洪翮 1耀茁撇 槲哑‖槲槭淇

麟辍鞲鞋槲槲黼槲撖sxa屮ε

&甓!盯畦:rrr秫扌1;l±1苫1{ht d∶血rent‘ horitc妃 r oflh s‘ ysm

刀Ic M″昭m〃 s,·●r。。,灬 ol″ Ie Hn″ Ⅱ″d Ro″ ,n,】 El″ p|res "l

Chu `ˇ△Ⅱe the usc of imitatlon Cσ V0es continued oltler l。 cal trad“ ions,"

thc circlllatlon of g° ld in a qu灬 ⒈coin tormat remnined eKeption。 l h China

l,△ khou吵 “扭so∝mrred么 【thersouth in Ⅵetnam aΠ d may rePresellta rc妒 onaΙ

and ul“mateIy“ forelgn” custom)Id。 cⅡ s tho eVidcnce in more detai1bdow

(sCcti。∏41)lVllo lssucd these c° ins:Thc Ιiterary"aditi° n conve,s the iⅢ p【esslon曲 at

rulers“ e,the state)made deosions concerning the话 suing of money Thus,

it、vas pos“ bk to imagine thatin524BcE,凡 ng Ⅱng of zhou repIaced“ hght”

coins with“ he狎 v” coins,thereby somchow aⅡ egedly dePr11· ing his su” ec‘ °f

their properγ h trle G“n″Ξi,a铷 ri6of dhlogucs set in lhe se,enth ccnt lry

B c E bllt bcliex· ed to be cOmP° sed atthe1xJa Atademyin Qiin· he lourth and

th订d centuries B c E and couated1il thc订 汽naI lorm ln山 e6rst ccntury B c E,

emph孙 讫es the扯 “rabI1i″ of stdte∞ mrol overthe mon吖 suPPl,Tllls pos"lon

ls norm扭 Iy envoioncd as thc rder、 controI over the Cirtulad°n ofan巛 is0ng

st∝ k of moncy rather than as pol:呷 -maklng rcgardI】 lg the manu岛 cturing of

money per se For instance,in order to establ∶ sh desired p“ ce le状 ‘,thc ruler

was mcant to manipulate the money supply and hence prices by hoarding or

spend血 g cash rathcr dlan by lssuing or dem° netizlng coln⒗ It has bcen orgucd

thatadeast mdy on,merchallts manufi.ttured coins,emPlo” ng re昏 。nal weight

st。ndards Howevc△ cirLumstan“ al e"dence sug莎sts tbat by about300BcE,

Qtil and Qi had estabhshcd仗 ate control os· er coin productlon Thc situatlon lIl

thc Other states remains obscure,although high levels of uniformi9within each

pohty may sPeak lp favor ofsign16cantgovernment hvokementthmugh° Jt the

regIOn r In textual sourccs cos/e“ ng tlle PreiⅢ perIal Pe“ od,cash ls rarely men~

“oncd in elite conteXts,and no state salaoes血 cash are rec° rded心 Tho inter-

pretati。 n is suPPorted by the l,lct that IOr much ofthe nrst8o/ears ofthe Han

D,qlas艹 Prix·atc lndlx· idua‘ lvere Permkted to makc∞ llls,and tll改 the state

onl,gradually en屺 red tho market(see below)

Vnderthesc orvumstan∝ s,gi/en both曲 e11kely invd/ement or perhaps even

prcdomlnancc° f priˇ ate coln nanu幺 cturers,and thc lIlidal p。 htical丘 a8ment⒉

“on oflhe reglon later e∏ compassed bythe Qin and Han empires,a wide varie,

of curren。 es and dcn°minatlons must h小 ℃been in circlllauon du。ng thc姒征-

“ng states Perlod,and coins would not a“ ay⒌-indeed n°t normaⅡ y~meet

〓

︱△

〓△

〓∵.J一

}〓

△∵:〓

〓.

“

一' 〓〓∷

〓

卜

Ι^〓

〓︱l︱

ll·

哥;;i〓

〓j:i¨

△

⒌〓⒈l⒈

刂哥:l〓

⒈⒈〓"←

142 Ro`⒎ Iε 四″d(″】lJ,la

nominaltarget weightstandards Mre havc n。 inlormatlon aboutthe metal prices

ofthe constituent demen‘ ofthese coins(such as copper and“ n)or abotlt the

relationshiP beⅡ veen thcirintrinsic Yalue and their lace value The幺 ct that coins

Were iepea弪 d1y cast lll keeping wi1h Prevai1ing regional weight standards and

e1· Fn markcd as such indicates that dlelr face△ ·alue、 as atIeastin theor/mCantto

【epre· enttheir metal ⅦIuc,ah,· a阝 auowing For a degree oF selgnior,△ ge●o de攵ay

Producti。 n co丈 s and latent,△ lhefabniψ t。

weight deba砍 meIlt dr"cn by pubhc

and prll ate prQ丘 t seeklng

Legal pro1·lsions of the Qln state da“ ng fiom belorc242B C E that werc disˉ

covcrcd in a tomb at Υunmcng h1975shed light on this i“ ue"thc Pertincnt

section° f this text(thc JlⅡ 沙″红〖)holds that round coins(le,presumably the

凸n″rlul`:g coins of that Period)、 vere to be aCCepted regardles‘ of whethcr thcˇ

Were‘‘nne” 。r“ bad” (ie,hea、 γ or hght),and that it was Ⅱlegal1o sort coins

accolding⒑ size and lˇ eξ hⅡ“XNnIcn c。 mm°ncrs in uleir dea‘ use msh,lule

and bad(pleces)are⑩ be used togetheⅡ onc shoultl not,enuIrc to di筘 erenˉ

uate bet、 vee冂 them∫’∶。This text demonstrates three thing⒍ that coins deviated

from conventlondl Weight standards(、 vhich沁 amPly connrmed by archaeolog1ˉ

ca1data);that peopIe YaIued and hence exchanged coin accord:ng to its、 veight

as a proxy° fits metal Ⅴdug and that the Qin state,a mere generad° n piorto

ks nn铋 lct。 r宀 s0ught to redu￠ transac0on costs by uPholdIng the Plecmiˉ

nence ofthc face s· alue ofcα n访 s泓 vls⒒ s liltrinslc v缸 ue Tlle Qin钲 ate m砰 wmh狎c attempted to denne"sc。 ins as ndu。ary moncy whose eKhange value was

meantto be dlvorced丘 om its mctaI c° ntent

Howcvei h is naiˇ e⑩ maintain that this estabⅡshes由 e丘duciary charactcr

of t△ ls monetary s阝 temF the vefy e“ stence of thls law points to the contrary

asPtau° ns of m° ney lIsers who accorded墅 eatσ “gni丘cance to intrin“ c valuc

Th:s reading rece"es suPPort丘 °m1aⅥ`mcmorlaI ol175B c E and othcrevidence that wⅢ be Pre缒 nted in the rollowing scctlon‘ Atthc same ume,

th:s shoulrl not be taken to imply that the state Was Completely unsuccessluhn

imPosing the P“nciPle of fredy intcrchangeable mLxcd-quaⅡ 〃 LOtns of uni-

form face valuC:textu祉 referenc卟 to a un迁 caued P召 ″~l,。 00coins ln a large

basket or Po← have been vahdated by the discover弘 in shaanxi province,of a

potthat containcd cxadly I,000c° ins ofvarious weights and slzes ofthem,997

were bd"Ij“"g coins of Qin:about oneˉ

n鼠h。 fthem weighed around6grams

or Ⅲo四 (up to l0g)wtllIe the others weighed in at less than5grams,and in6

perce,lt of all∞ se5at kss than3grams r Another” r wlti l,000沙 n″ lIrIIlg Coins

has since becn found in Gansu PrOYince=;Thc丿 f″ 0“

`Ⅱ

(§ 65)states that⒒ was

刀 J召 洳 ″em〃 岛“felll● or油 召ff,l″ n,ld R口 ″n″ 助 PⅠ郎 叩

the state auth° ri“ es who mLxed l,000“ beaudrul and ugIy” coins in a c° nta△ nerand then sealed t,but also that these c° ntainers were to be opened if the gov

cmment needed lo usc thei【 c° ntent⒌ henCe,coins reentered orculadon not in

:∶∶:揣;黯扌里f:艺 I∶}I甘垄Ⅰ⒊罗:Ι嚣窝⒒l:lI1搬 !

盯濂 槲l黠蝌 鞲 瞰Gl△/eI· the contin山 ng Per沁 tmtc ofvo梳 wcighing“ ∝belo叽 sec“ 0n3I),themo呲 lkely scena“°may be one° fan unea吖 mLx° f stateˉ enforced rules and

∶∶IⅠ帚f捻el∶∶Jl∶r∶:∶厶:∶∶程:1罢 扌秽tξ∶雾:严甜⒎盯

雄嗔‖懈热涌轴珏j:∶;搬搭热置

擀J[罹鞋茗菸槲V槲数茨蹒报(section8)

∶lT蕊l);乙 :诺:⒈1∶Ι⒊λ芗;D

鼽 踯 鞭婴泔抵咒荐找且r瑟c∶;1:IJ泯〖∶t:呈 i扌拊戆 :=i:

瀚i遐璀捭荃i嚣蹒七I薛昱撇磷i

吣 ∴ 扌rl「黑 挠 Ι:】 献

硒

t“’ ’l砬hs,o“ n犰 mx,Petken· o1· h山 ⅥR哓 u ar i per.汛

〓ii∵

讠

Ⅰ∷i“

〓

144 R田`】

gn″ ,|C几

`″

田

su CCesso r,∶sthls would documentthe nrst。 fseveral crisls driven debasements

oflhc impe“ al period

,/lhen the Han seized p。 wes the gold bronze吖 stem was maintained In旷 n

eral,we obsσ re strong∞ l△ tinJlψ fr°m the Qln int° the earl,/Han pe"ods”

sinte Qin money wa$∞ nslder【 |d“ heaw” “e,Karce)and阳 imcu1t倘 r pracdcal

purposes” (whkltex/erthat means),thC irst Han emperor au“ ,ed_orin any case

Was notin a position to deny this rξ htt。 -ho subjects to casttheir own coins;o

Down to the ll0sBCE,alarge nuⅢ ber of min‘ e⒗sted side by side∶ tlle impe

oal palace,ind"idual princcs,vassal kIngs,and private oPerat"Cs au c。 ntrlbutcd

tO the over。 llCoin suPPlu G"en the wldc sp【 ead of uoin weight。 at thc“ me〈 and

in⒖ ght ofthe episode。 f175B c E disCussed belOw),thc weighing of coins(and

thus usa旷 acc° rding to metal value)m。 ,be presumed to har been common【 t

o pos“blc thatthe price hna0on rec。 rded fortho Peood was due notso much

to hoardlngⅡ asto tbc hnatl。nary copsequences of osuing underwoghtcoinage

at(much:)h吨 he【 race value This associatlon o repcatetlly estabhshed h later

The hoto“ ographical tradⅡ ion as rePrescntCd by the s加 〃i and thC H'″ ‘凡“

8scribcs a who1e series of monetary mcasures lo early Han rulers Resultant

attcmpts to match thc archaeologica1record to thcsc repor‘ hav。 con丘ned

numlbmatIc study oftho pcri° d to a hter,lture centerCd intcrI rcu· e rrame、 volk

that ha$made止 di⒗ctJt to andvze the m缸 erial evidcncc on its own krⅢ s;l

More than an· /thing。 lse,由 e dlsperscd nature of~oin productlon mditates

against ox/crl· /schemat讫 ing catcgorization

Thus,when thesouKes daim lhatin186BcE,an8-Ξ llcoin(b'z乃"b日

″″“l,g,

theoreticauy c52g)bcarlng tnc customary b'冖 J谊鸭 】nscriPtlon(signaling a-

notional-weight of1291Ι‘)was issued,this nccd n° tindicate a signiflcant break

△om e虹sthg p扭 ctic⒏ aner all,many D“`】

``'″

gc°ins° f tlle Qln period dc缸 tto

alleady c° nformed to a simnar w荀 ght standard=j Four years la弪 6we ar。 told,a

wl`” c。Ill0C,5冫汀0rl18cm lll dlametcθ w孙 intloduced\⒌ 「lce a“ IOrmcr”

Prohibiti。 n of Private coining is auuded t。 in an episodc sctin175BCE,it is

p。ssible tllat th6e田 佰rrps wcre aCCompanied by such a decree” If true,this

night hal/e constitJted an a迁 emPtfo stem the hnati。 nary sl记 e ofc° in weigh‘

by imPoslng0ghter state ContioI o△ conce"abl” to secure seig血orage On the

scak of one lllkd by compcuing uscrs tO accePt an8zh〃 coin at a12￡ 宀“face

value

刀 诏

^ro″

g汩〃 另 0t· /,ls ofFllc〃 n″ d″dR。 ″ “″ ε″

叩

`rFs 145

【n175BcE,thc emper。 r Mrendi intr。 duced a4钅 h〃 cOin(‘ 该凡″b“ lll拓

`昭)

whnc hRing thc prohib订ion on Povate c。 ining女 These c。 ins l虫 ewise b° rc the

lcgend乙 日″″n"g,imPl,lng a缸 cc value thrpc times as high as由 or mefal value

Thus,oYer the nrst thir,vears of d1e Han Peo° d,we。 bscr攻 a gradua1。 路ciddePrcoati° n。 fc。 inage that Presumably aimed to catch uP Wkh the de fdct°

dedine of a.tual coin wclgh1s Thcb四 ·ll丿 n″gc°in was retariffed佥 om an。 o直 nal

(but already largely ll usory)Qin target wcight of12z乃 ″that had on1y occasioΠ

a刂 y been aPpro⒗ matcd by statc authorltles to moF re“ o“ c“ andards of8z凡Ⅱand then吐 z宀″’In anal° gy to“ milar cvents in the R° man Empire from tlleth订d∝ntury c E° nward(see below,腚 ction61),these reforms Ⅲlght best be

:∶芷絮 献 甜 :璧;;里蒜 :扌:描 ↓f∶扌l∶乾:∶r∶黥 T混 i:yFOrlhesame rar,175:cE,the Hr· ,lt而 Ⅱ pKservcs a mcmoo汪 presented t°

扳鞲 鞲揆辩擗涮 鞲 扌∶￡⒈罨λ∶;∶l扌丧l楹ⅠI∶}‰l努:紫jI∶∶::;丁浆:tI∶扌I焦measurc oF debasement、 vas required t° motivate p“ vate individuals to manu

捃陬扌r嬲瓒猛榔 揣

辙 槲 于

胥嘏T淼擀攒〖搬f螂鞲韫

裂辘鞲熟蔓季营鞣鞭襻pIy reporting° flicial pronouncements,Hatˇ C。 n订adiCls the n° d° n that use^habitually accepted c。 ins at th钍 r路 ce s/aIu⒏ ratheb the actu。 l exchange Υ耐ue° f

money was determFied by its welgh← that ls,“s(p四mmed)metal妃 luc(barˉ

∶∶∶jj丨

:∶ F∶il∶∶i槲 I群 i蓝蠢j菇

菸∷罂 古幺:【

tha∶ :∶ y扰 肾 1i÷ f∶ l△ ∶1Ⅰ∶严

虹 汐 “Jt¨ a ind“ ⑾ 山 灬 ¨

"3g汛mmb da刂 og b盯 畋 Ξ

2咕 Ie∶∶∶∶i}:赀铷 ″Ⅱ咚 h砥 咖 吕f oni⒘。t,R县 cE0d鸭 映 dl· s Th¨ ⒛ω峦⒗;J斟 σ鸭e

146 Ro〃沼夕″″C乃 i·,四

A modern obsσ ver might exPectthls problem lo have b∝ n allc诮 ated in the

long t。 rm bythe e限 ct of Gmsham、 Law∶ hght coins oughtto hal/e drivcn hea~γ

onCs out of oKLllation,auow rlg the lattcl tO be pro血 t,,bly recast accordhg to

lower standards】 h Yl,howeve△ seems more c。 nccmcd With tlle dist.e$肛 ising

|ˉ om the necessio,to punlsh so many counterfe止 eˉ s than with the money suPˉ

p灯 per se In the6rst century B c E ln″ ri汕 l刀 ,an in∞ docutor Ⅱnks va【 iadons

in coin welght to the inexpe“ ence of peasants who“ ha欢 faith in dle o1d and

susPe~tthc new” and“ do not kn° w the fa〗 se from the genuiner and are conse

quent1y chcated by merchan岱 wh°“barte/tbe bad kash〕 lor dle goocl for ha仔

make an e“hange FOr double the am。 unt`·Ι°This Points tlJ seoous equiγ osues

aroing fi° m thc circula“ on of debased c。 ina8e,Cspcciauy Ll the conleYt of a

reglonaⅡ y丘agmented Ⅲonetary sy哎 em that would e收 ntuauy rcˇ 。n thC m孙 ~

si/e coin PrOduction levek ofthe nrst centur/B c E to achlcx/c somc mcasure of

emp订 e wide cohcrence and uniformi“ and of a gradual expansIo且 °f monev

use i∏ to,be agricdtu【 al sPhere driven by the monc0zation° ft△xatlon In rhis

“enario,l·d。 wled爹 abk hte【 mediaics werein an greΙ Ient Po“ uon lo manipu

late money ekhanges to their own ad△ ·antage Jia Υi、 prOposed soΙ utIOn to this

pr° b】cm was酎 reme(and ddy relected)-a state m° n° po】yn。 t mere1y°∏∞in

P·oductlon but。 n tlle posses“ on ofcopperas weⅡ A mere mon。 poly° n coining

witllout cu仗 lng of tlle c。 Pper suPPly to prcYent Counterfeithg was considered

insu伍 cient because"w° uId lead fo a scaKi艹 of(legal)c。 in that△It uld Jl turn

炯crcase the benc丘 ts of(iuegaD priYate c。 in productlon:“ Upon promtllgatlon of

the Ia,v,to prolhlblt tlhc casung of ml,ncv lhen colⅡ wo lId抛 reˇ bC hCaw卜 c,

sCarCe丨 、~△en[colⅡ s arcl hca、η‘thcn the〔 c。 unter佗 ite‘ 闸prot,ts a四 eXcess1·/e

thiev血gc° untcrfe止 crs岱 creuPon wⅢ arisc m￠ cl。 uds Even exccution in thc

maIkt pl∝e wiu n° tln kself be enough to Prc忻 nt⒒ r’ Fr。 m ho eady Han van

tage p° int,Jia Ⅵ was uBable or unwiuing to c° nsider dlternative oPdons,such as

a hu旷 increase in tlle Pubhc money st PpΙ y lo a△ old denao。 na:d thc introduc

tion of technicaI leatures suCh as precise c。 in standardizadon that wouId ralse

the co呲 。fe陲αi· e cou耐 crFeitlIl陟 ¨ sh° ther words,tlle solu‘ o“ tllat ex· crl

tu拥 y camc to be adoptcd丘 om tnc nOsB C E。 nward

Greatcr丈a皙 ControI oⅤ er the money supply was tllought to entaⅡ a Yarie,

of bcnents,such as the ruler’ s suPPosed abih,to aGlu哽 prices by血 cre岱lllg。 r

reduclllg the money suppl≯ "as weⅡ as increased lc【 △°ftrust h t缸 is medlL,n

of ekhangα“if the coi∏age o unined,the Pe°Ple w△ u not seΠ e‘ o masle【$

lf the co血 age proceeds仔 om abo巛 ,then those below wiu n。 t be in doubtJ’42

攥 擀 瀑 鞲 替 鞲 槲of Hmvcn Late6cventuall乃 being d灬 obedient,he re,oked”抖This curt c° m~ment reⅡ rs to ll】 cs° caued“ Rev° lt° f tlle se,en Feudat。 Ⅱes” in154BcE th茁

鞲 鞲 圣 弼 耱 蛋 革

l鞯 萤 嚣 贤 撑

32了%c山ro`,e沏〃 R日%″″‘吖 /l’e fj仍 :G,″ ,〃 rl e乙n招

讽然佗r冖 H愠 ″Pgr0'

獬搬 谳逋磷珏簧歹帚搀鞲蘑甘:茗艨 里:r埕甯}撼:器 ;:Ⅰ∶%扌:Ⅰγ↑

=∶

尜雾督:tthan the c° ins ca丈 0n the reˇ °red艹 ll〃 丈andard,4;an° bser瑚 tion lhat。 c。ns0tent Wi山 G,esham、 L孙‘assuming uniform fdce valuc subs伍 n“al rtfo ms

Even s° ,it seems ve〃 1ikcIy that° ne way0r anothe6lhe reforms° fl19/n8B c E aimed to ircreasc g° x/emment rernuc lor waltarc by ma血 ptIlathg伍 c

斫 旒 〖 ∶∶;;:∶ ∶l;∶百:il而

dd9s’ 5· ●Q砀 c“mo皿 ·o● 玷 Chang’ ll"舛 狈 d“ 蛐 e,rc⒛ α

148 Ro″ ∶e“″〃CV氵Ⅱ∶`

monetary systen△ Tho interpFtation o supp° rted by the兔 Lt that at the same

dme the statc a‘ o in订odu∝ d no· /el forms。 fnonbronze foken moncy lsrown as“white metar· and“ hide m° nc￠

’rcp° rtedly t° reduce the state dcncit,0The latˇ

tcr va“ c,apPears to have been a fairll stIaightfOnvard mone严 sPlllning scheme

des碚ned t。 incrca鸵 the governmenrs share° f the surplus app【 op“ated by thc

empire`ruhng dass、 1ade ofthc hid6。 fwh⒒ e deer keptin the emperor’ s park,

a square钇。t Plecc° f hide was P“ ced at4oo,000cash and handed out as gi丘 s

响 noblcs visiting the c。 urt who were eXpeCted1° return the tavor with glfts of

genulne value As such,“ hlde m° ncy” can n。 t have had any“ gnincant imPact

on the generd m。 netarˇ sys始m“ 、hite meta【”

(bnJi〃 )was tne tCrm used forwhat was_supposedlv_China’ s earhcst colned sJ/er money Made ofan anoˇ

。fsnⅡ r and tin,itcamein three den° minau。 ns,the round“ dragon” c。 in weigh~

ing8Ι j″怒(c125g)and vaIued at3,∞ o cash O e,3,000⒋ z宀“coins),the square

“hoI茹

”c° in tor500cash,a∏ d the oval“ t° rtoise” co:n lor300c孙 hH。 weveⅡ rar

from containing any signincant am。 unt ofsiker at an,r。 und“ dragon” c° ins th改

ha,e appeared in the archae° logical r∝ ord arc e"her made° f bronze or。 f lead

and“ n i This shows these0?es wCre c。 nke"ed° fas puK token issucs This o

consotcnt w油 一ne“saldy exaggcrated rcP°Ⅱ that as a resuΙ t,counterfe止

hlg offJle new coiΠs took ofI on a drama“ c scal⒏“severaI hundr~。 d thousand”

people we【 e supposedly condcmned to death for counterFeiting,and“ °rra mⅡhon” 。the【s were deared。 r pard。 ned,whⅡ e“ tlle law breakers had bec。me sonumer° us t】 latthe auth° “ues had been unabk to innlct pun。 hment uPon thcma11;’

;=Be that as"ma≯ “whke metaI” was conscquendy ab° hshcd⑽ on a宋 er ks

incePtlon,in l【 7、 l15,or113BCE“ EⅣen allowing lor ramPant hypclbole,tl△ lk

story probabˇ c° nt急 hls a kerncl° f outh∶ thc introducu° n oft。 ken c° inage

would have created massive incenttves for c。 unterf。iting Ncverthdess,"is pe「

haps m° re lⅡ 《ly that the detllmental ctects。 f%丬△ite mctal,” whne neghgib1c,、iere grOss1yexaggeraledinthemoFgeneralcontexiOfthe兔 iltt犯 °f° ther允 rmsoftokn money that had becn intodu。 d at roughIy the same time,such as the

gready。 vewa〗ued“ rcd-rim” broΠ ze CoiΠ ⒌

As was to be expe.ted,the new5z宀 I【 c° in was undermincd by undenv注 ght

versions“ criminaⅡy counterfe讧cd” by“ the Pe° ple Ⅱs Ιn respon父 ,in115BcE

燕:妻搏槲 槲 :Ι菇撼嚣扌涿豫蓓弼茹 IR:j芪氵‰ 蛮劣 皙赭 l拣y№出 a“ Ⅱn9md Ⅱ祈‘°。邱 uen“ 凡r⒌硐aQa灬 ,leLhod社 蚰

150 灭o··Ⅰe`″ dCˉ li`】 日

V￠heK锱 complete withdra1· /al of e斑 stlrg c° ins mu丈 have been hard toachieve,tlle cⅡ 订a1government e· ·cnfuauy suCceeded in impos血 g a uni凡 rm驳andald b/raolpg coll。 utput to enorrnotls kvds Be∽ ″een n2:c E andtheopcning years° fthe n、 t century C E,oκ r28btⅡ ion t9:fzlIΙ ‘c。 hs were said t°

have bccn Pr°duced by the state,‘ O bra mean。utPut° f∞ 0million(or750tons

of metal)pcr ycar or7to8c° lns Per sec。nd“ 1t wa$in that perlod lhatthe Han

∝hicved monetary unincatl。 n aCross much。 ftheir far nung坨 rrit。 r平 户dthoughusable data are scarce,priCe stabili〃 appcars to haYe maintained for much° f

the员rst∝ ntury B c E Thiss阝 tcm required nscal dlsopⅡ ne at the∝ ntral mhtand、 vas theIelore sensltI、

^:to Changes ln revenue requirement⒏ thanks to thc

retum to thc订 ibute s阝 tem to appeJse thc Ⅺongnu a丘 cr Wudi、 relgn,dramaσ c

spikes in f,nding dcman凼 wcre absent,and the tcmPt肘 IOn to devaIue(and thus

龊 瑙 戴 搀 菇 鞲 芦 F鞯 擀 募sanCe and incompetencc at the ce∏ traI mint_“ OliCidls and artisans alk steal

fr。 m the pton芯 。fthe m"‘ m。 reo/e马 they Ian t。 ensure tha攵 c° ins are made to

】琵J嘿 哩 础 箔 强强Ⅰ梦

咖 忙诋 蛳 债 Ⅱb鸡 孙曲e蚰 per1,ll

33Tll召 Vfo″ m〃 R咖 r· ‘q厂 Vˇh鸭^犭

四烬

Thls equilibrlum w峦 upset durlrlg tlle usu屮 atlon ofWhng Mmg(6/9-23cE),wh° sought tO estabhsh hl,° wn neW dγ ηasty Xin,to rcplace the Han"Internal

resistance and renewed external connictincreased丘 scal needs whⅡe unrestinter~fcred widl revenue Co"ecti° n Tholcdto a whok seⅡ 6ofbewⅡ de.in砂 yc° mplexCurF∏ q relorms that were c。 mpressed into a short per⒗ d flom7to14cE^Ⅱ

莶括 思 罗 E∞md tlle血 ±泪utilor Or pew仍kn∞h蛔 啷 咖 莎∝s

The所 st refo.m,durlIlg、 hng Mang`regenq ln7cE,crented three ne、 v

denomha‘ °n⒌ tne dLi饣 初刀,aI2z宀 “vvc1ght c。 in v乱 ucd at5o“ mes thc racc

找菇瑟义li茗絮f雀‰苜窝屯￡茗u:罗埋℃甯i盅at500Han,vI⒓″〃(ie,°跎ndued;loo times)or28~29g and valued at5,ooo

蝌鞲鞲鲽槲黼鞲憾弼阝丿磊}各〓:刂湍::潆崴J;绊

°··咖卧飞°m*n⒚胝8啊 n⒎珀R朋 l99+n∝⒕

Tl】 e lVfo″ gfd〃 sl‘

'召

″1sq厂 r” ch,″ ″td Ro`″ 四″ε钩Pircs 149

由e cental govemment launched⒒ s own verslon of the5z乃 “coin,valued扯

5cash° r5dmes the Prtvi° us(plovincial)丿〃″g″口w″ ll〃 and k△ own asthc“ red

“m” c。 in(chj￠ w〃zh〃 )vshne the ex水 t meaning oftho tσ m:s° bscure,宽 thc

ConkXtshowsthat k mustreferto的 me knd ofsa始 〃feature that was suPp° sed

to protect tl1。 sc token c° ins fiom c。 unterkiting The authorities apParendy

app四 ciated that the creauon of a t。 ken coin would great1y increasc thc incen

ti欢 s for∞ unterfciting and sought tO prc收 nt this⒍ om haPpcning Moreo收 r,

the underVhg oblect如 c_to replaCe乩 sting mital c° ins by more h∞ vⅡy。 ,cⅡ

va1ued tokn col11sto shore up lbeimpe】 】al bud旷 t can hardIy bcin d° ub← as

only these c。 ins wcIc to be“ aljowed to circulate lor payment。 ft旺es and o伍 cial

usc” and° nll thc governmcnt was nlcantto be ablc to manulacturc them,c虹st~

hg乩 ll metal colns Would have to be handed。 ver t。 trle auth。 rities(fc r rcmelt

lrig and.eostllng al a m∝ h hther缸 ce v胡 ue)ul exch,iIl墅 FOr the lnew token

茳搬赛树莪擀ii|i∶∶|∶∶嚣鲫 ~

恣莨F甘:盅1F伍

y∶器fl;∶愚蓬::Ⅰr找弘莒琶Bl黑凭菇In由 e me谷 ntime,the new sa【 tand t° nm°noPoly° f the ccntra】 g°κrnmcnt

set up ln117BcE m呷 h猁e incrcascd re攻nue$su⒗ciently to permit tbe state

to ab。 rt its railcd experimentati° n with t° ken coinage宽 h° raround n3BcE,coin production by the provinces and ne恁 Was。 udawed By1l2BcE,a govern-

苫1踹罕乩苫s泔链璧t1Ψ止Tt】器 &∶∶瑟紧崔留sidiaries,and au earkr coin was_adm蛄 n the。 wˉ妃emonct立 ed From lllat

p。 int onward,thc monctar,syskm stab山 ,ed,and∞ unte踉 iting rcp°rtedly feu

to muCh Iowcrlevds A con收 唱ence of several Iaα °【s avvounted for thIs deYe⒈。pmen⒈ tbe ab。 h‘ on。 f°vert token Coinage rcduced incenuves f。 rc。unter-

辙槲烈瑟宦:鞲i鲫薯邋襟:Ⅰ毳:杼鞯Ⅰ扛l舞l垂强榭Ⅰ∶茁c。suy

刀】g llro″ er,vs9s'′刀‘oFrllC正汤″伢″

'R°

,。】日H￡仞p:邯 I51

(⒈ e,overvalued C56o times not c° un“ ng the mIrluscule amount of gold in1ay

in the insc【 ip“ on)∞ This army∞ exJstcd with the Han w〃 z扭 夕c。in旧 lued at

l cash Pr⒒ ate°wnership of gold was oudawed,⒛ d subleLis wcre to subm“

thcir holdings to the trcasury in(∶ ,(chan旷 ⒗r cash lt may be由 atthc new large

denominat】 on tokcn c。 ins were d6igned to abs° rb private goId at⒗ wc。st Onewondcrs to what cxtent由 ls regdation colIld be enfOKe出 h。 we,/c61eP0rts。 f

hugc stocks° fgoId atthe end ofWang Mang`rcign(see below,settlo∏ 42)sccmt。 suggest that由 e goⅤcrnmem was not eptire灯 unsuccessftlhn tll。 ende孙尕D‘dthough compu【 slo∏ may weu have been a moF imPortant佗 ct° 【than fa止 h in

the new token currcnc· /1n any case,We are toId that thc creation of token couls

wasimmed】 ateIy fOuowed by a surge h counterfeiting。 ·

UPon his atcessi° n to thc throne Il19cE,Wang Mang aboⅡ shed tbe″ 〃珈“coin as wcu as h芯 。wn蚯ife∞ ins The formcr was r。 pIa。 ed by a⒈ ll“ coh l/aI~

u龃 at l∞ sll“ e,"讧 vklknt in face Y础 ue to tlle now扯 monctlzed Han″〃拓“coin and dlus。 vewalued5timcs)The洳 q汤 ″co.ltinutd tO orculatc Th。

rcform rem。 ved the vastl,· °vervalued kni艮 c。 ins once tlley had accompⅡ shedwhatexer they c。 uld do to draw chcap buuion血 t。 the treasⅡ ≯

铞shlfiing jnstead

to a low^dcnom△ natlon tokn coln。 f%r gleatα p° tcn‘d孙 r wid6Pread us~·

that consequent灯 promised new streams of revenue拙 In orcler t° ctlrtaiI c° unterfe⒒ lng,Pri,/ate P° s鸵ssion of copPer° r chart° al was prohibi饴 d,讪 a paten刂 y

iⅢ practicablc injundion th扯 ule state c。 uId hardly hope to enlOKe The ngv

⒈z苡

"c。ins met w⒒ h a prcdlα abIe responsG oWng to the miniⅢ al h位 insic

valuc oflhc new den° minatlon,the poPulat⒗ n comhued to usethe Han I/〃 Ji“

C0lIls that must haYe been avaⅡ able In abundance"ln conscquence,the new

coins‘‘丘naⅡy did n。 t circulatc” i=Hoarders of Han coins werc t。

be dep°rted奶the丘 onuers,and lar阼 numbαsof∞ u·lterlckrs received h。 rsh pcnal“ es’

j

In l0cE,massive war preparatlons agaInst the》 △°ngnu promp铵 d a newround° f monetary r。 forms By creating an e对raordinati圩 c° mplCx new sls-

tem comp“ scd°f28diierent dcn°minauons。 f郢 nerauy cxtrcme1yo,· ewaIuedcoins,thc state appears to have sought to bo° st re昭 nue h由 e run up to ule

camPalgn Thc nc、 v systen featured g。 ld and sⅡ 硬r lngots,tortooe sheus and

cOwric she“ of paiKd value,and16ditcrent炻 nds ofbron/c coins(s诙 ofthemround and ten spadc〃 pe)^‘ lI· the pre· l° us rar,dle b孙ic un"was a⒈ ~ash

滞J胛擀热鞲ⅠHl醛t忑Ι$l芯盅辟l揣揣嗍

〓〓∷卜卜:∷

〓"沌

:〓●△一I丿

〓

〓一·∷一·一·一∷一一一一一∷一一一∷〓〓一一一∷一一一·_一一∷一~_一一~∷

~~一

一∷一∷∷·一一∷∷一一∷··∷一∷一一∷_一

∷_

∶蓬

阳:〕萎黥 冫黥 豪茹齄 l∶:;i甘 r足ⅣT雀:【∶∶:

rife Tho account cnta11s a parador the new t° kcn coins could not have bcen

widdy re丿 eLted四汀d haκ broughtp面 n"。 c。 unterFeikrs atthe same time More

imp。 rtlnt灯 ,tlle+ormcr daJp is inc° Ⅱistent w虹 h thc la呜e numbers ofspadccoins that have bcen recovered not merdy au over eastcrn China but even in

Κo[ca” In四 ali0⒖ 凡r a few years the l,ooO cash spade c° lns,tlle5cash″ 访Ⅱ ″,

the⒈ m曲 x该°q“汤″,and the Han″ 〃ll〃 。rCulaled“ 扯 Ⅱ 鼓扯 (Nc爬 rthe~

less,the s.leer amount of,,t⒓ 宀“c° ins puti∏ to orcu1atlon during tlhe Previ。 ls

Century lc胛 es htt1e doubttbat Han currcncy d。 mina抑 d thc ccon。 my throughˉ

№朵lI七缸糇蕊肥品摁 :⑾

⒋羽咖kp㈣ eor Ⅱmd u m吵"wrspaⅡ

洫硕曲e

喃毒l鞑羰Ⅰ敝甜婊撼苔i;l姜:谌搭舻::∶是1湍驾:芹昊f麋

蓥蛋葚嚣罨霉堇荨瑟嚣繁菩::罨萎蔡垂age s阝 弪如 oflhC Iatc We$tern Han

J亻 o″ l访。冖s ⅡⅡ'ε

r rllp Eˉ s饣r″ H/· l

擞蓝茹醛颖鞯:鲫鞲J5助 Jog“ε工四眩rl,r。 ″e抑〃Dc昭′叩 l,,c,·

^卢dth° ugh the1l· ‘,lⅡ tradition、 vas rep° rtedly maintained in由 en。rthern succes-

幕J器f溴

‰2墨

ff裎:潸铠蕈萎廿璀黠嚅铣摞

℃⒏罟:糍:宀 l:|;∶ ii::l丨 :∶ :j∶∶坐1志羯】;f°n显T品衤t帑πr拄诺i∶∶:i∶:坫∷翮:

器嚣埔帑替弘蚤:商Ⅰ钅:卩嚣‰!叨

⒋徊”

器 姆 f:滞 抚

'驷

罗

m田 犰 m mcE碰 mng ω讪 。.汾 nd Q咖 ht心ng n￠

礴喃磷皿擀钺蚤鞋熟报躺弼裤i读驷Ⅰw‖我

152 R口`,iε

ll】 〃C′ 7`″ 四

plece weighing l z加 〃but equivdent in Ⅴ缸ue to the discontinued lvl扌 zh〃 coin

The degfee of over旧 luati。 n of highe,denominati。 n pleccs rose With the订 f。ce

Yalue艮 om l,567Percent forthe lo round cash c° in weighing3z乃 “to a stag旷 ⒈ing20,733Perccnt lor the l,0oo cash sPade coin wcighing24z丙 〃i● 【t is telhngthat thc top vaIued spade c° in(equivalent t° l,000Cash)survives in伍 r gre且 ter

numbcrs than the° ther n血 e den。 m血 ati。 ns in that rormat,eⅡ hcr because thc

governnlent put ParticuIar emPhasls。 n the most° verYdued denomha刂 on orbecause c° un峦 rfeiters dlcl

The suc∝ $0fthisreform o undcar On the one hand,1ater Han souKes aver

lhat p“ vale uscrs r~。 leCted m。趾。fthese ncw cu.renoes and counterfeihng was

Tlg Afo″FllV s,‘ 扌口″s盯 汕召Ht· fl,lld助`″

n″ EllIPJr6 153

den。mha6。ns and【etaincd° nly the⒈ cash and5o cash coins ror0rctlla“ on邝、Vc Φn onˇ speculate tllat h。 sub丿 ec‘ w° uld subsequent1y alienak° 爬p,a【 ued

coins to pay tne订 taxes(at th过rn° mind value)whil。 govcrnment o伍 cials wh°

【eCelVed haIf° f their salary in cash w。 uld red the pinch when thc coins lhcy

received fa讧 ed to be accePted at佰ce valuc in private transactions In l4c E these

0Vo tokcn Coins were ab。 hshed as wen and replaced by thc南 〃Oq〃 d″ wcighing

5/l″ and w° rth l cash(ie,essentially thc old Han″ lfz乃 1`coin)and a丘 du~

oary spade coin(” Ⅱo汕 )of25z几 Ⅱ vdued at25c峦 h,and thu$overVa【ucd bya laαor of s、℃ Thc c⒗ sting l~丬 z1‘ c。 in sin】pIy ce脔ed t。 count as legal tende厶

whereas lhc l⒉ z几 ″5o casΙ l洳叼ir· l was to CircuIatc for another sLx years at a

reduced value of1cash The lattcr provoion was pardculady odd g如 en th破 ⒒undcIvalued the coin reIatl△·et° the others∶ n tprms of metal value As a resuk,

both denominad。 ns werc hkel,· to bc mclted down and【 ecast to manu缸 ctule

counterleit2⒌ cash spade coins As the imprdctkal ban on p冖 vale ownershipof copper and charc° 缸had dlready bcen Kscinded h】 3c E and penalties for

Counterfciting were signincantl/rcduced in l吐 cE,nlicit pr°ductlon ofthe newspade c。 ins presumably c° ntinued ror aslong as tho denomlrlaton wasin ctcuˉ

1adon Ιn rcsP° nse,pcnaIties were r。 oed agaIn,Pro“ ding for the ensla爬 mcn1(t。

the mi∏ tin Chang’ an)ofany culpot`员 r neighborIng ramilies”

Since wel。 ck Pri∝ data for th芯 Pcriod,"。 impos“ ble to dctermine whether

succ6sive waves oft° kcn coins drow up markctpoces,akh° ugh exiremely h乇 h(a⒖ e"pos“ bly symbohc andl。 r deliberately innated)p五 ces1· or riCe and莎 ahsare reportcd for dle Iatter rars° fvsang Mang’ s reign s刂 Enough Han co1ns may

ha,re been ava吨 ble to m茁 ntaln Pre Xln pri∝ levds In that case,⒈ z乃〃∞ins

valued at】 cash c° u】d have been used as dc【 acto丘 acti° na1c°inage,at丘 ve to

a9l〃 zh“ c° in,and larger denominau°ns avoided Howe收 ‘in as nuch as new

c。 ir.s with hlghcr face v赳 ues werein use and thc govemmcnt was ablc to enforge

accePtance of6duoary coins,their pre父 nce° ught to hal/e had an innau° naryc跪 ct spcomens°f、氵0ng Mang、 currenoes su rv加 ed in grater numbσ s than

Wudi、 eIusiw“ 、hi弪 metal” osucs and cann° t haκ been comPIete灯 sideli∏ edby Ⅲoney use阝 wcn during thcir vcry short pe“ od of cirtdation The c° Ⅱe

quences of succ6sive dcmonet该 ations must have been Particular灯 sevcK formembe‘ 。fthe tl汛 e who had come to hold llgh denominatton tokcn coips lhat

subsequendy l° st their va1ue The resu1tant raⅡ °ut need n。 t have been cntireΙ yunintentlonal,as Mfang Mang s° ught to acCumulate preo° us metal stocks in

ⅨCnan$for token bron,e col灬 and mor。 generau。 砬med t。 undermine tlle

函 sting arist。 cracy in°rder to benent ho own supp° rters Ⅲ

1ust as血 the eany

刀沼lVfofler lrl助‘r四″s犭 汤召H,l刀 四冖

'灭

o加四冖ε,lP氵 ·。t ls,

Han shu and Vsu,experienced a rapid detc“ °ration of their resPective m° n-

菡撼t羿

扌涨摭拮湍卿锟搦胃胃l磐孤l′絮oX·crValued token coins of2,ooo cash and5,ooo c小 h跖Ⅱol,ed in the24os c E"

弼基璐Ⅰ蓝屦磷检恙 :鞑挥F】找氵:j∶思l卩扌苕jI∶氵霖垠:皙△ξi:苫 l∶∶:∶l:;ξ茛劣盅帮蹴鞯在:∶丫哏喁iξ;糨葛l捩 Ir石智h;

瑟 陬 l逻玎t圭蟹显汀1y￡fl甘F甜 属找

=￡

手甜 :∶F絮 :lΙ∶型F圭、,ell as grain served as the primary media° f exchanse and“°res of vaIuc during the佰 urth and丘 +th centufies c E,whnC Han,v〃 丬】“c。 ntinued t° 0rculate

架拈抚钿嚣背l瞿置曳找呢ξ苏窑猡Ι且扌元:生暮

擞缴撤醛谶雩蛋隹皙髯箨槲骚鞋胪鼽 遇硼谏

4 MoNETARY usEs。 F GoLil人 NDIN ANcIENT CHINA

〃` P诏

氵〃p钌Ⅱl`P诏‘砣6

~∷~一一∷∷一一一一一一一~一~

All known to° lc° in$a∏ d round c° ins were made ofcoppes br。 nze,° r occa-sio∏ ally ir。 n Given the Prevalence。 f preci°us metal∞ ins in all。 ther mon~etary s阝tems。 f thc ancient wodd,|lom CeIuc Br"ain t。 Cupta India,this

∶拉 苕

汛¨ ab。ut tlhc uscs“ gdd md“ k钉 讴thtn血 ⑾ n6c spher茳

济湾扌︱卩阡汁沁h卜

μ陆狨

巧6 R0冫氵】C四″d Chi`⒕

In tradklons about the Past,gold occup讠 es a proml11ent p。 sition sima Qlan

lumps together“ tortoise and cowrie sheⅡ s,gold and bronze coin,ldlile shaPcd

and spade shaped mone￠ as thC means of CXtbange that were cr~。 at.。d as Com-

merce deYeloped咛 Thc弘 me hne up o featur· d h a debate setin召 l B C E where

酊!l;i:(t∶石飞T∶l1鞯骂盗1∶∷∶:蚤塞⒘点茛`∶

翌T变Ⅰ∶:∶J谣

The G〃 n″zi estabhshes a hicrarchy of different o,pes of monc艹 Thus,thc Zhou

kln轳 were thought to haxe‘ made Pca试 s and jade tbeir supe“ or currenc/and

gold the△r second culrenc/Whnc knife shapcd and sPade shaPed bronzes、 ere

relegatcd to the position of inlerior currenCiesJ’’’

vT「lile pearls and jade ncver

serlred as money per se,they were∞nainIy exfhanged in the toP echelOns of

societl w"hin an el⒒e仃ans【心on缸 or【 ler tllat ekluded commoners(see bel。 w,

section73)k apP。 ars that both pearls and jade∞ ultl even be imagned t。 be

imbucd with qua“ ma。cdl prOPcrtiesVOO Gold,by contrast,Was COnsidered to bc

more w记cly avalhble and uscd∶“Thc6ve gralns are the sovereigns of Destinv

to the People Gold and knife shaPcd spcde scrve as thcir common cuⅡ enL,”⒑

In numerous other PassagCs9℃old and knife shaped and sPadc shaped specle”

are re灸Ⅱed to孙“the common currcncy ofthe peopler⒑

∶In s。 me contexis,gold

could even be singed。 lt孙 thc anchor ofthe whole monetary svstem:“ Gold0

the st.indard of expenditures Th咛 pon~e who d0Cerns the钆 ndamentall孙 vs of

gold wnl understand the dangers of Parsimony and p【 odξ a1i|r”mj The context

suggests that k、 as rulcrs(rather than ordinary money uscrs)wh° appear to

ha,/ev诒wed gold as thc key“ andard⒗r expcndltures and由 atthc v缸 ue of gold

nuctuatedaccorGingtotheratIoofthegolclsupplytothesupplyof(other)c。 m-

m。 diues,"。 ne of several invocad。 ns of the quan吐 r,the。 ry of money lll the

C〃口71z氵 tradition and beyond m:

In the prcimperial period,how wcre preCi。 us meta‘ uscd ln actua1t『 ansaC

tions?The“Trcatisc on Food and Money” in thc Hans加〃imagines that ln the

eady Zhou pcriod the state did not on1y issue r° und Coins on the z,,〃 s、 andard-ˉ

which is dearly wrong一 but also circu1ated‘‘actual gold’

’ln units of one zhou

squar· lnch(c23cm=)and l丿 i〃 (c25° g)η b In th。 scenar⒗ ,go1d served as“ the

1,s Ro″ 诏口″d¤∶`″

四

。mcid salarics were usu机 1y paid in foodstuns,whereas g。 ld was reserved

for specIal∮丘s and rewards⒙ r the1itera叩 tradid。 n ls to be σusted,go收 rn-

mental use of br° nze cash appears to haⅤ e been c° ⅡespondIn砂 y rarζ t冰cs were

due(mostl,/)in grain and doth and labor seΠ i∝ s rathcr than coin,and ehte

documents rareˇ meno。 n coin,excePt with rcfernce to mcrchants and smau

payments"9、 跪 m乇 ht sPeculate t「 lat in this cOIlteXt,(unminted)g。 Id wollld

stand。 ut as a high value prestige good rv。 served fOr large Kale state business,

Ieprpsendng a sociall,clc,atcd transactionaΙ sphcre that may h狙 c been poorˇ

integr,lted wkh the br。 nze curlenq systcm of Lhe commoner populdt洄 n(see

Rlrther bdo"sedlon73)Th。 not⒗ n,howcvc△ 、h征 d lo recO【 de si△ tll co⒈

ventional assertions that g。 ld as weu as the Yarious catcg° ries of br° nze coins

se「,ed as the戈 ommon tuⅡcnCics” of“ the pcopk” (sCe abo收 )Unfo爪 unate艹

widence for thc,se of gold in nonelite conte对 s appears to be· e〃 rarC in the

teXtual reCord0ne dcc记 edˇ nond"C story o reldted h the正 丿纟艹“Formerlv·

there was a man of Qi wh。 desired go1d0Π e bright morning,he donned his

clothes and hat and went to the market,where hc cncountered a gold seller’ 5

booth,仔om whicb hesnatChed some gold and ned The c1erk stopped him and

asked:N,hy did you snatCh thC gold with PeopIe standing au ar。 und?’ The man

replled`ˇ hen I took the gold,I did not see1he People,1only saw thc goldr"=o

That gold,v· r uld haˇe been avaⅡ able for sale is clear⒍ on its widespread use in

the production ofjewelry and ornameⅡ ts n HoWeVer,ks monetary Iilnction at

subeⅡ te lcYeIs rcmains unclea⒈

InIOrmatlon Pertnlent to ul0osue。 Lllited to the souJ△ σn state of Chu that

Provides the maln exvePtlon to由 e bron贺 based currency s/stems ofthe P￠ uIlp←

riaI PerlodV∷ Thc local“ ?⒖ wσ e an ulnPort· lnt sourCe of g叔 d,and Chu elllord

a rePutati。n as a gold rich region u公 Ⅱ gold buuion nnds锚 m fhe MIarr血 g Statcs

perlod originate from dlc terito砰 ofthls state p4Cold was cas1h krge natshe,· ts

丈amped,sl山 a number ol cdeaⅡ ” r【

=ctan眢△ar se狃 malls;th6e re~tang6could

be blokn o’·for separate use Each reα angle bore an ulosed i灬 c0ptIOn w止 h

the姣【m/lIn″ (the name° fthc monc” and曲 C name of the curront caPital cit,

of Chu(nr哎 Yhg,then Cheng)⒓ ;Ind。

^du扭sheets cOLl d con。 ist of16,20,or

rl沁 f。

"⒄〃 s,s亡 e仰‘ofrhe H。 Ⅱ mdRo″ I召″￡″p:沼‘ 157

m。 st preoous mcdium of exchangc” whne“the m。 st ConVenknt one was the

knlfc-mone≯ Iandl lhe° nelvhltb nowed IhkC w· lter iom a叩r血创w“ coins”舫

V/h⒒e there is currendy Πo sign of thesc tiny gold ingo‘ in the archaeologi

cal rec° 记,m the fact that the othcr denominadons did血 角ct orcul,te in1ater

Pe“。ds raises thc posslbdlO,that atleast芯 far as9″ sized吕 old o concemed,th`

daim reaccts c。 ndit⒗ ns at a la欢r stage,most hkdy lIlthe Han peo。 d泅

GⅡ ded cowrks and im“ auon col.Tles made entire灯 °f gold o钭 e been

unearthed at carly sites"O Given the monetary use of bronzc● owries in the

Zhou per,Qd(see ab° ve,scction2),we may wonder f these ool“ ts abo sewed

a monetary purpose,but nothing乩 rther o known In addkion,excavatio∏ s

ha/e repeatedˇ ieldcd spade shaPed sdl/· r bas翕 om as earˇ as tbe sP· lng and

Autumn pc“。d m Thc订 ’ttncuon is unkn。 wn and they do not aPpear in tbe

texiual trad1uon

飞义ud Kcords pertalning to the Vrarr血 g states Peri° d佥equentl,/men0on

Certalll numbe阝 of丿 ill,a弪 rm tl1,itcan mean“ gold” but扭 so re如^to other metˉ

als,and酿 wise to the g° 1dY缸 ue of othe-that is,bronze丬 enoⅢhatlonsl"

Refercnces to hⅡ n″J氵〃,° r“ rcuoW go1d∫、n,lte a htCral rcading as uni‘ ofacttl铋

go⒙ ,。 but ewn in those cas“ the conte对 sometimes sug黟 sts that th芯 need not

ne∝ssart【 y haYe becn llle iIltended meaning(sec belo、 v)The Y91ue ofa丿 i″ of

gold rclativc lo bronze co血 s or odler commodi“ es would丑 uduatc accord血 g to

the G〃 们zj,if grain poces stood at a Certain Iex/el,the Price° f(1)· ··i was⒋ o00

(cash)n4

Gold use o commonl,“ t Iated in ditc sculng⒌“W⒒h but蛔 ” l· 125k创 °f

gol l,sLx pairs of white jade pendants,I dare not兔 c。 Your GraceJη ⒖如Ιlers and

other e1ite memb。 rs coJld be portra烬 d as handng out gold岫 The” (o310g)

often occurs as a unit ofgold Pcng⒒ sts a large number of Kfcrences,oFten asso-

ciated with rega1actions on an aPpropriateˇ grand scdα lJle most CommoPly

mentioned aⅢ ounts are l,000Ji″ °f” 。fg。 ld(ie,c250-310ks)(】 6timcs)and

】00丿氵″。r/氵 (ie,c2531kg)(12times);the highcst ones ll,000∫ i〃 (ie,⒍ 2’ s

tons)(oncc)and【 0,000丿 l,or/i(ie,c25-31tons)(4times);ta11ies below l0o

刀i沁Fo〃 g抑〃 s,‘馆羽s旷 Fl,e Hll1· 仰

'Rol,ln″

E,刀Pir凼 159

24r~。Ctangks Mally sllΠ Mng unl‘ are far佥 o皿 姆uare or redangdaΓ ∞mers or

ldr爹 r blts are moslng,soⅢ et血es丘 agmellted碉 u缸 es arejohcd lo旷 theb and so

rorLh As a c。 nscquence,LndlNqdu扭 un"s must al,va,s have bccn woghed to deter

mlne由 or actud¤￡llangc vdue r‘ Peng llststhc wogh‘ ot36Ⅱems,ran昏ng丘°m4incomple弪 squares we螅 hhg66gra.i△ s to佥 agmcn“ as ug⒒ as座 grams T sel收

Kasonably comPlete and regdl盯 姆uar岱 rangc from lO to20纩 ams9with a mmn

of15grams】ndi“dual squares h anodlcr samplc of35⒒ ems wclgh beb″ ecn

12a∏d17grocms n,Tllls pu诂 tpem somcwhat aboYe fhe usual welght of western

gold colr.s,equ1x/赳 ent to12-25内 J叩⒍an四 “’e`or22→ 5C0「 lstanI△ Ilian s汕滋,

rcndering dlem Filncttonduy equ"dent fo【 a.ge go1d collls

Thc·/ohme。fgdd Kdan砂 6h circulatlon o necessard· tln⒗own Even so,

itis probabl· s璁 nlFcantlhatspccimens havc been found acro$tile Chu territory

eK叩 tin the south and m° stl·/h hoards(renecting血 eir monetarv负 nc“ on)

r。 tllcr伍 antombs Morco收 ‘more than I0O exc,lx atcd Chu torrlbs contaln〖 ales

md cKcItionau/tiny we唿 lats由 at apuart。 haxc been deigncd lor tne wei吵 -

ing ofgold|∶ s^d thls suggests that this o,Pe ofcur/enO/Was n0t palt:cuΙ arIy rare:

an Obscr攻 r疔 om the song pcrlod reports thot“"叩

many peoplc” had found

speomensin thc soiI and in r"ers'” For tbese reasons,and gIven uleir m。 der,ate

welght,these units may weⅡ have per妯 rmed genuine monetary ftlnctio丑 s~。 ven

bcγond narrow elite cirdes

、hs this t△ pe of go1d moncy an indigenous devdopment?There are no

t△ o·△n,paraue‘ in。 ther parts of ChlIla,but simⅡ qritems were dso h use fa⒈

ther south,a⒒ the w呷 to V讵 mam矾 e doscst P缸 。llchs provided by the squaK

sd·/er platcs of northxies皙 rn1ndia in dle lourth centu〃 BcE,which Lkewlse

boreseal mar芯 and cou1d be broken hlo pieces门Ossrc w° u1d need to kllow more

ab° ut the re1a众 ve chr。 nology ofthe lndian and Chu co∶ nages to assess the prob-

ablliC,ot easr,satd dln△ I“ on chu gold plat6vontinued to be hoald记 (though

not neCessar⒔ y Circulated)uBtu the Eastern Han Peri° d⒔ A possible paraue1to

Chu gold money may cOncclxablJ· be provided by gold ornaments with inscrlbed

虍lghts lound at YarLxIadu,lne cap“ aI of山 e northeastern Yan state fT。 m311to

222BCE J’ HoweveⅡ 山e moneta〃 pr° pertles of these“ cmsrem泣 n unknown

《2 Go氵 d nⅡ

'SiΙ

v召冖〃汤召Qj″饣勋″PPrlod

The nrst Qin emperorimPosed a bim。 tauic sYster,of go〗 d and coppe⒈‘

`ctualgold which weighed a ll【 20′ l/lⅡ⒏or‘ 310gl was g"en the name0f‘ CurreΠq

狲强汗陆

辑泞江μ

逑

∷∷∷一∷∷∷〓∷∷∷∷一一一一∷∷∷∷∷∷∷∷∷∷∷∷∷_∷∷∷∷∷∷∷一∷一一∷∷一∷∷一∷∷∷∷∷一〓∷∷_∷·∷∷∷∷∷∷∷∷∷一∷_一一_∷∷∷∷∷∷·∷一∷一·一_∷_一·_·_一一_∷∷∷∷∷一一一_∷一一一∷∷∷一∷∷一一∷一一·∷〓∷∷∷∷∷∷∷∷一∷∷∷∷一∷∷_∷∷∷∷∷∷∷一∷∷∷∷∷~∷∷∷

.∷∷∷.∷∷∷∷∷一∷∷∷∷〓∷∷∷∷∷∷∷

一·_∷_∷一一·_~_~~一一_一∷_·∷一一一_∷∷_一一〓∷∷一一〓∷∷一___一·一〓__·一_一_∷一∷_~一一一一一一一_∷一一一一∷一·一~∷∷一·__一一_∷一一一一一一〓一一一∷~~~一一∷·一一〓

16o R口 ″le n"ll C″ ∶″J口

of the srst class丿 and whnethec。 PPer∞ ins wcrc the same as the zhou cash on

the reverse surface,their inscop“ °n read b四 ″Ιlll`娣 and the订 wcight accorded

w"h the1e旷ndJ"〕 Ho、veκ 6whuc g。 ld mal have been measured in/j,the【 e

is currcntl,no cvidence of'j“ zed standardized gold lngots or other forms of

moncy∶ b△·o gold ingots found in shaaLxi bear the legcnd勹 j” but helgh2535

and260grams,broadly equlvalent to tlhe subsequent Han g。 ld un“ of l丿氵"°

r

c250grams"The钇llowing obsewatlons that“ PeaHs,jadc,tono`e Ishell),cow“ es,siIver,and tin were used in or fof vessc‘ or ornamellts,but th吖 were

n° tIused asl mone￠’and lhat“each ofthem acc。 fding to demand and suPPly

∏uctuated lin pricel仃 °m time to“ me,never being【 oq c。 nstant Imonetary

Y甜 uel冫⒖mightbc taken to sug1:丨 (:stthat即 ld and coPPcr dld lIt fact Possess nxed

monetary value,which w° uld im口 y thatthe ov° metals wcrc to bc eXChanged at

a ILxed ratio as、 veu Th1s。 c。 nslstent with the fdd th。 t the Qin regulat⒗ns on

伍e shu诅 udi bambo° stoPs fiom the mIdˉ third tentury B c E stipulatc that`f

one pa阝 and reccIses coins in terms of g° Id or cloth monc弘 he must钇 Ⅱow the

o伍 cial rates广v‘ Itls unknown iftho允 昭d rale was°berd,f"remained stable

over timc,and esP召 cia"y if止 survl,ed into thc Han Period

Undα lhe Ha∏ ,tltc un⒒ of gold measurementl1· as the`″ (16′油`苫

or G250gl

Fhds tom that严 lI。d indudc rounded gold biscuⅡ s as weu asthe soˉ caued“ h。 rse^

hoof” and“dee⒈hoo卩 Pleces,the latter γPcs haˇ hg been htroduced】】l Lhe re培n

of empcror、 Vudi” =Reccnt sun·e,s Lst29sites h14provhCes across Lhe Country

where a totd。 f1,o47Han gold hgols were foundJ珀 The Ovvo largest kllowη h0ards

conslst“ Ι97Han驴 ldPlcces do∞ x·ered dongslde l,O Chu gold Plates and18suler

spades at Guchcng lnllage in Henan prosmce in1974and of219Han Pieces诵 th

a total、veight of54kⅡ ograms山at were mcar由ed ln the Chang’ m area lrl1999D’

ord,· ⑩me of汛 Han go⒙ h即‘bo【 marklngs specbnjlg伍 eir lve吵t A reccr.t

and阝芯of54unmarked P讵 cesⅡ ddsanaleragewoght°f25I2graIns,comParedto

a mcan of2⒋ 73grams血 lheChanζ an samPle of219(as,et uppubⅡ shcd)pleces H仓

these data丈 ·ongˇ uldkate uiat unmarked gold pleces wcre oPectcd to conform

to a tuufom ls· elght standard of l∫ jⅡ Tlus unPresslon o reulforced b/thc磊 K△ dlat

most unmarked P讵 ces dId notstr吖 lar flom tho tar旷 t(6g71)

rlle Af。 Pc汩〃匀··re″阝0/'幻 ε踟 ″″

`Ro励nJl E,,Ψ jrct l⒍

82o

FⅡ uRε 71l,/elglI氵 dIo`rlD″ r,o″ °厂m冖 rlftJ,l,lrI JlflJ,lnrke'枷 ″8o″ 山lscllltt

B/contrast,marked p碴 ces dld not%u int。 a“miIar灯 办arrow rangα °n″one th订 d of a smallcr samplc of29markd"ems range from244to250grams,

whereas almost half ofthem ex.eed l`″ by anp而ere丘 °m6to85Perce瓜 ”1

Tho su睨cs‘ that marklngs l△ ·erc apphed primarⅡ yln orderto speci即 devhtlons

仃om an other,v`e normat1· ,e weΙ ght standard Thc n° tlo∏ 。fa丿i肛based weight

standard is I瓜 tw,se c° nslstcnt With thc obse.ved weight of a number of命 acˉ

tlonal Pkces Ind订 idual quarter pieces have welghed iⅡ at6o9grams(ovice),62grams,6366grams(the mean br9Pie∝ s),and646gmms,thereby ind】 catlng

a mean target weight of2527grams钇 r由 e underl,·ing completc“ dcer hoo卩

dlsks】’Morco砭‘29smau gold pleces found in the f咖 tomb at Mancheng

average I51gr,xms or appron】 nately one Ha∏ ounce(`汤`Ι

g).’ Fineness lias

consΙ stenuy high∶ an andysis of more than200Han“ deer” and“ horseˉ h°°f”

gold Pieces found that m° st of them fcu ul a range丘om9`to99Pcrcent PuriV,、vlth o「 J△ a few ouuiers asl。 w as77percent"

The qLles“ °n of how ule valuc。 f these o切ects was αPrcssed Ιn tcrms ofthe dom△ nant bron贺 current△ is屺 ry dinlcuk l。 answeL In9cε ,`“ ang Mang

v/alued1丿 l,’ °f gold at lo,ooO cash whⅡc l″ “(G125g)ofPar刂 ⑴larl△·pu/e sdver

≡羹

_∷一∷~∷∷〓一_∷_〓·〓

_·

一一〓∷〓一一一一∷∷∷〓一一∷~_一

∷〓〓_·∷一一一一〓∷一∷〓〓一一一一∷一一∷~一〓~∷一一_一一~一一一·.

~∷一_

∷

∷一一一一〓一一·一一一一一〓一一一一·〓一一一〓一∷〓∷.〓

〓〓一

爨

者

162 Ro″ c夕″dCˉl,i"d

was v讪ued at1,580cash and a`氵 “°f au。 ther klnds ofsⅡver was deemed△ c rth

l,000cash’’Tho passage raoes sex· eral scr∶ ous problems F∶ rst of aⅡ ,:t o not

clear how these stateˉ imPosed rati°s compared t° actual market rates se∞ nd“

theiⅢ phcd go1d/sllvcr rat⒗ s of5to1for ordulary sdx er and31汔 to l for high

grade sux· er aPpearx· e〃 low byc° mPara“吹standards u6洫 d小 i【 dl≯ wc cannot

even be sure wh菠 kInd ofcash、 referred to the c° mmon assumPtlon由 at由 is

passagesomehow supportsthe n° tiOn ofan cxchange ratc oflo,ooO w“ 勿h“ coins

忆【l丿j彳 of goId口 nnot readⅡy be rec°nCned With the fact that Wang Mang’ so伍 -

ClaI valuation of gold and sⅡ rr coinctded with the dcmonctizat】 on ofthe Han

Ψ"z宀

〃and its rePlacement by a⒈ ll"coin valued at1cash ln lhe saⅢ e y电r"Thc la位er translates to an extraordLlar¤ y low goId/bronze ratlo of6衽 to l and

sⅡver/bronze ratIOs of s-Bto l,W· hlch mark out lhe nesv bronze osues as pure

token coins{:

Contrary to ule tcn。 r。f modern“ holarshIp,由 ere o nothing to suggest dl皱

l丿″of gold lvas other olnoauv。 r dc facto rdlued dt lO,000(Ψ “/Jl“ )cash at

any time during dle Han peood⑷ 1n fact,there诒 no cv:denCe to supp° rt曲e

assumPtlon that由 σe was an oal。 auy determined exchange rate at aⅡ ”O Thc

c‘ ntu卟 fo№ Wcd"a￠ du“m⒃ 吱B,ced1and6(but mo“ Ⅱ助 ⒃ 1h the k饣 fou“ een山 and1he丘 “th浏 fof

rtPo“ flnt‘ of o氵 勋,,s臼 ζh(bvt M灬 out G‘ hΦ~c阝沁n引 md oVo o1hc阝 rcfer to fn‘ ‘of2助0仓od5o00cash

助 召 A·rF,Plc妃 〃 助 s饣刀阝 or功 g ffn″ nlI'勋 ″口〃EmPircs 1旬

aˇa11ab1es° urces fan t。 crate a Coi·lcrent picture A valuat⒗ n ofIJ氵`Ι

at4,000(cash)in ute Ⅵ汔rrlllg States pe“ od m呷 ewoion cash lll tlle form of Qi嗌 l△

·es(weighlng4∝ 5og)orsmaⅡ spades ofmuch lower,velght and cannot be aPplied

to the Han currenc`户 止且rst slght,severd° ther伫斑u钔 references mlght be laken

to suggest that a nti° °flto l0,000appro灶 mates the“ ght order ofmagnitude

Thc万“,JIn,Ig,ln刀 sJI“,a matllcma“ cal exercise仔 °m the斌略tern Han pertod,° nonc occa“ 。n puts thc va1ue ofl丿 氵″。fg。ld at6,250cash but h another problem

equates l`″ wlth9,8oo cash阝 In° ther examPIes,tne same tcxt priCes hcads。 f

cattIe at I619lJn,tg° fg° Id and at】 ,200and l,818cash;if Jle nrst am。 unt were

priced at lo,ooo∞ sh per丿加0r625cas「 per`j夕″g,it、 vould equd l,012casF.and

therefore resemble曲 e°tl,cr blo The same o true br shccp pri∝s,var,ously

glven as0外2lJn,Ig(°r595cash at IO,0oo cash per∫ⅡO and付om150to,00cash n Atthesame time,howe· /e5these pnces aPPear gcneraΙ ly v(p/low by con

tempora” standard⒌ bamboo“nPs6°m the northern佥 ontier datL△ g攵om tlie

nrst centu“ esBc E and c E~c°nvcy the咖 pressIOn that an ox cost2,50∝ 3,500

cash and a sheeP900-1,oo0臼 sh防 thus,,ve have to aⅡ ow for thc possibili9that

t·he`〃 褊 苫sⅡn,ls乃 〃m呼 PK米 r△ e prkelexe‘ ofan earllσ peo° dw.hen nea"er

bronze∞ im enJ° rd greater Purchasing powcr ln relatlon to Ⅱ1·estock as weu as

buⅡ ion Tho readlngls c。 nsistcnt、vith lhe fact th改 rour bamboo strips from the

分ontier suggest a much higher a收 rage goId pice ofab° ut2o,∞ Ovˉasn Per力 ,’I

The d】 screpanO/bebveen thIs ratlo and thc much lc wer° 伍oal ratIo of9cE

may ar耻 abVhaxe been caLlsed b,Wang Man吵 poⅡ cy ofpromodng os.erva⒗ edtoken toinage and d。 ∞ur鹆ing prlsate oW收 rship° f bu山 on through nominal

depreciatlon· ’Notivlthstandhg the introduction of nomed gold Pieces under

empcror Wud辶 therc can be no d。 ubt tllat gdd was alwa阝 v曰 ued according to

薛狲樾槲噙硼弼搏槭攒擗h捌驱⒒轳氵锪 数槲撇箝槲ⅧⅧPie;;rπ罟扌凭崔紧j1fⅠ∶1发瑟|翟茹凇品湘

`::Ⅰ

硼{fT扌 F拈Ⅰ“扌HJ

订 aξlr各 焉 嚣淡 f1锆 γ &眢⒚:α 丙 v邓 a讪 汕 铷 ∝ J mO‘ ‘h△“ nα 6rhs h刀 ∝kⅡ 创 ¨ 佃

盥啜缁鞯辙踯 毳藜鞲窑澌

_∷_一∷__∷∷一一∷一一~∷一∷一一~∷∷∷一一∷_一∷∷·一∷∷一〓一一一一一一一一∷一一一__一一一一一_一一一一一∷一∷〓一∷_一一∷一∷∷〓一~一∷一一一∷一∷∷〓一一一一_一一一∷一∷一一∷一_一一一一一一一~∷一一一一〓∷一〓≡∷∷∷∷~∷〓_一∷_一一一一一一一≡〓一一~一一一一一一∷__∷一一一∷一一∷〓∷_一

∷∷∷∷一一一一一_~~∷∷∷∷∷∷

164 Ro冫 7Ι e口⒎,t●(γ】i冫 l召

⒒s weight and not pef un止 “Vnder these oKumstanCes,an o伍 oal gold Price

Was not requted lo otlstain that metal、 monetary funCtion∶ I am indined to

agree w⒒ h Li zude`.lsse$ment t「 lat tho m这 al was valued l汰 e any other coⅢ -

modiC,and that止 s poce noated in resPonse t° supPly and demand阝 ;

our understanding of the extent of gold use in the Han PerIod su臼 飞rs lrom

perslstpnt unccrtainti6regarding thc犯tual meaning of the krm丿 i″ in con

tempora「 leou‘ ⑽urCes刀"was repeltedly emp⒗

ycd to denote wea1th lvlt lout

neCessarny referrlng to gold per se巧 :、~△

"e some reports of imperia11a呜

esse

mentionJi″ ,° thers sPcak。 f“ yello、 v” 丿冖band a⒒ h° ugh it o tempting to inte【 pret

the latter as reterences to tansfers of certaiR amounts of actual buui。 n(rather

than cash ofequl,alent x· a【 ue)、 止o troubhng thatin pardⅡ d accoun、 ofthesame

∮丘s in the s幻^jand the H'“ 乃“,° ne sourCe sometimcs re灸 rs to丿 i冖 whⅡ e thc

othpr sP∝ ines“veuoW”J氵″on a maxlmahst reading,tbesc terms may have bcen

tons记 e【 ed interthan纩 able because atlcast in certain conteXts both ofthem

Were thought to describe actual gold⒀ Conversel≯ a minimalist reading might

suggest攵 hat cash vaIue ma吱 ered more than the actual medium of exchange恂

As止 o,∝ rtainty^onl· pos“blc in tho贸 cases whcle amounts of g° Id and cash

缸c men“ oned side by slde as elements。 f the same transaCtlon∶ tOr eXamPle,Ln

76BcE,a vassal klng was granted2oo丿 i″ °f、 eu° w metar· and20mi⒒ ion h

coin⒗ l

Tran蚯 rs of加 一whether“ leu。、v” 。rn。 t that may or may not r晶 r to

actud g。 ld arc frcquent灯 rePortcd in e1ite conteXi⒌ fOrcmost,for royal giRs

to hlgh ra汕 jng recipien‘ b’C。 ld`c∝het m呷 a‘°bc rcnectcd ln tlhc mark

i∏ g“ s凡四llq” (“ highcr” )that rePoaledy appears。 n gold btclits№ ;G。收r∏mcnt

reserVes pardy consoted ofgold(and siIver),and gold was used in intcrnati° n铋

订ansaCtions be,c,nd the Han currenq z。 ne Co1den or guded Plaques with

Chinese characters de丑 0ting tllelr woght tnat have bcen αcaated in Ⅺongnu

tcr“ to,ma,h种e bcen manufac1ured允 ru父 lll trade w"h the northern nomads

or。s part。 f tribute Paγments“ A special tax,lhc“ wine toast for8old氵’was

Tl'Mo″ 抑 r,0/s′c″sq厂 油 召ffˉ ″

`″

″ R⒄ ,nll E,冫 p:rCs 165

imposed on aristocrats(see bd° w)More mundanel,,,nncs and brlbcs were o丘en

exp【 cssed(though n° t nccessariIy paid)in gold‘j

Peng tanies uP all retercnccs to impcnd grants。 f丿 加rec。【ded in the H四 ″sh"

t。 arnve at a grand total of(at le腮 tl900,000丿 ll,90pertent of them disbursed

in the long rcign of Xl/udi/· This is consistent with the report that under this

rulc6gold was cast in dee⒈ and horsc hoof山 apcs a∏ d dot0bu始 d%mong the,assd k1ngs孙 旷an‘ to them冫 ⒍

Unfortunatel· ,k rem茹 nsundmrhow nany⒍these订 ansfers actuauy entailed gold:only3o pcrcent of a⒒ relerenCCs eXphody

men0on“ rllow” J加 ,“s and as noted abo,e,eFn these are not abo,e susPicIOn

1n theorb if allthese payⅢ ents bad been madc in gold,the订 cumLlaux·e welght

would ba【 am° untpd to225t° ns Nevertheless,we need to allow for the p° s

slblll〃 。fa(much:)s皿 auer actual total

Unequiv。 cal evidencc,Or Iarge buⅡ ion holdings is Pr。vided允 r the imPe-

rial trp凼ury1n23cE,tbc inncr apartments of、Vang Mang’ s,· reiyang palacc

WCre said to contaln sLxb/chests,each of which was且ucd w"h lO,oo0丿 iⅡ of

gold,lfhereas other oIhces h° “cd“ several” addltIonal cllests惆 The vcraoc,of

thls daim o hard to determ lle Dubs,whne conceding that“ s1对￠。a susp1-

ciously round number and thats。 me ches‘ m” n。 t hase bcen∞ mPletc1y Fd】 l,

defends the cIedibⅡ in· of thls p凼 sage r1E/en dlsc° unting the contents° f thc“seVerd’ addiuond chests,6o0,000丿 ·lofgdd amoum to15ot° ns,equil/a忆 Iit

to6bⅡ1ion cash accofd∶ ng t。 the conventional conversion ratio of this peri。 d

and perhaps to Ⅱke that amountin markct p“ ces(see ab° 、e)In specie,th、

quanuty resemb16totaI American g° ld exportk to sPalil flom】 503to1660,of

】80tons,冂 and(in wcight)cqua‘ ” minion Λugustan1· l,rg∫ 、,·orth⒈ 9b讧hons6tcl v es,m。 re than l「 c annual Roman impcrid bud旷 t It dose1y rescmbles the

tally fOr the pub"c gold reserve ofthe Eastern Roman EmPire in527cE,° f】 29

tons of(∝ tual?)gold p1n cash terms,tho amount、 not v·ry diFercnt E° mlhe83billi。 n in cash re鸵 w6rcportedly held by the l△ an treasury in the40s`3os

BCEr,Att跤 兕me om6止 ∞mPar6,e叩 佰··or山ˇw证h thC20JO,0oo`Ⅱ of

一一∷一_∷_∷∷∷〓∷∷一一∷∷∷一一一∷一∷∷〓〓~∷_一∷一_~∷∷一〓

_∷

∷∷一一一_∷一一一∷_〓∷∷一一~一一~一∷∷∷∷∷一∷一∷_∷∷一一_·_一一___一一~_一一一∷_~一一一一一一一一___一一一一一一一~一一一_~一一一一∷一〓一__一一~∷〓

166 Ro冫冫z纟 日″duˉ ll`H`

go妃 and8∝ o0,000J枷 ol“ ker hdd” the trtasur,血 the kes· Lond centLtry

CEr· However,if a single vassa1Codd be endo△ ved wlth7,000`Ⅱ (G175tons)

of gold alon墅 记e60mdli° n in c亦h and17,000households,h the e斑 stcncc of

much h唱 er gox/ernmcntal g° ld stoc悠 m培ht we⒒ be r。 garded as σedible^s

usual,汪 o impos“ ble to leu if the200,o00“ yc1low” J`Ⅱ that the cmperor VVudi

had spent,i。 mc135to123BcE,on rewarding hls troops were in lhcir cntireγ

comPosed。 f actual go【 d∶r‘ 。nly in lhat casc c° uld tllis ngu犯 lend some mcasure

ofsuppo⒒ to the taIIy for23c E In short,the reported gold accumu1ation under

VVang Mang appears txtraordinar”~砒。ugh notimPosstbˇ _h鸡 eF冫

The“ wine to孙 r’ tax ltlstit’ Jted by thc emperor Vl/endi(180157BcE)

rcquired ne伍 。lders of a certain standing to subm订 ,on∝ a year,4″日呜 (c62g)

of gol【l per l,000populati。 n under their c。 ntrol r:Given a nef p° puIation total

of638miulon,this、 vodd amountto no mo【 e tllan400kg ofg° ld(At th。 rat。,

it would have taken375years to aCCumulnte、 Vang Man宫 s goId stocks of600,000

`″

)Exen so tho t冰 Was taken seooudy eno呜 h to promptthe dlsmlss创 ofo猛 -

oa‘ who fa"ed to surrender dle correct amount咛 ’

Gold use in subehte seltlngs may be h炙 Ⅱed各 om the e。dstence of relati【 艹small gold lngo“ (see above)The Mantheng ingots of62,15grams equa1ed

0艹 14J订″g h onete狡 ,Fmission ofa d。 ath sentcnceis poced at2%∫ i刀 ,equiV

aIentto tens ofthousands cash m Thls must haX/e αceeded thc caPacities ofnost

rOmmonc阝 ,孙 lllc we,l⒒ h ofa med allamiV c° ·ld bˉ set at10丿 ″Ⅲ Yet these

丘gures als。 suggest that e,/en individua‘ of m。dcrate means could,ho△ i/cveⅡ on

occ。 “on make驷 。d use。 fsmaJ gold lngo‘ 济 oⅡ 5-00BTs丿 i″ Ⅱ。trⅡ ul扯 ,

at20,000伍 sh″ i″ ,tbe valuc° fanˇ onC° fthesespcomens WouId eKeed the Han

poⅡ tax ofbebvcen80and120cash for adLl‘ agcd15to60u byan,·,here丘 om300to2,lO0percent Yet the margins are suCh that gold use need n° t har becn

comp1etely。 ut of reach lor rarc big ticket transac0ons【 f higher rtp° rted tax

rates lOr merChants are a i,thing lo g。 b≯ ㈦members of that Plofesslon wollld

ha9e more frequent灯 been invt加 cd lll“ gold slzcd” transa.iions、 V△ether gold

was in fact regu1ar灯 ex~han箩 d ln such Contexts remains,of∞ u^e,an open

rl诏 Mα lcrl〃 sts招 ″“汀·lle H`″

`″dR口 叨四刀E叨p`昭‘ 167

question The archaeo1ogical Kcord merely suggests that this cannot have been

∞mP1ctely unheard° E In subeli⒃ orclcδ,gold may have been u挺 d primarⅡ y as a

means ofstor"g wealLh In thc eYent ofa cTisl,,“ theComm。 n pe° plr were货 en“父Ⅱhg gold,si]ve△ pear‘ ,jad。 ,and preclous° 叻ectsJ"臼 Mo【 eove‘ go1d maynot

havc becn dⅡ ccdy usablp for Purchase⒌ in a sto〃 ab。 ut llle Eastern Ha且 period,

a“Po° r and siclJy sch° hr” carr讠 es【 0丿Ⅱ∶of g。 ld under his bclt,one of wh记 h

then纩ts so1d to mect the exPcnses for ho血 ncral呖 On the othcr hand,one of

the mathematicd αer~ises in tl△ e`Ⅱzhn″ g,饣 ,.九 “giks pri∝ sin in″g ofg。 ld

lor l,s·o grouPs ofseⅤ en cattlc and sheep each,whereas cash is Consistendy used

ln alargc number° f°thcr case⒌ each head° f ca吱 le o valued at1619Jj夕 ″g(or

G25g),and° ne sheep costs o952Ι i夕刀g(or c14g)淌 GⅡen the persistendy down

to earth chafatt~。 r。fthe c。 ntexts proVided狗 r the mathematltal problerlns,由 osCena“o may weu haYc been consldered plausIble∶ at tllc very lcast,由 erc。 no

indicdtlon thdtthe use ofsmau units。 fmcasuKmentsuCh as`lI冖 g ounces米 rVed

some sPcci焱 c mathematltal purPose掳 One ofthe ex趸rcises menuoned abovc

enYisions a group° f33mcn who poolthei res° ur.es to buy gold∮ Φother one

taks abollt“ a man∞ rr,qng12'Il。 f gold bcyond thc佥 ontle⒈ Tlle仔 onf er tax

o one part ul的 n Now atthe仃 on‘er抑 o丿″ol gold arc妇 ken,and山 m纩 o·

5,000Cash is given in【eturn” I“ 1n all thesc cases,gold usc is1ocated in n° naris-

foCra“ C ConteXts,and bunion is P。 rtlaxtd as a commodI〃 lo bC purch凼 ed with

or exchan莎 d lor bronze cash

ACCording t° Peng’s su「 ·ey,⒀ thc sources for thc Eastern Han convey tbe

:mp￡ sslon that far fewer imPcrlal昏 丘s werc made in gold t№ n du扛 ng tbe盘 rst

h扯 f ofthe Hdn Peood Tnus,the砀 Ⅱ铷"‘

乃〃records a⒗ 钮I of21,740,,· ,l o·

54tons)of(putat打 e)gvlcl,compared to ovcr4o times as much in tHe Westem

Han perlod Howeve‘ lookd扯 mor doselu tho din℃ ren∝ 。a1m∝ t ent订 。ly a

r。 nctlon° fthe ab义 nce of Vcry la唱 e grants in the later centurk⒊ almost eight

ninths ofthe much largcr`Vestern Han tauy。 made up ofthree huge donations

The relativc dist“ buuon。 f gold(or招o记”)gi“ remained the samc,lc hear of

85+曾丘s of2-1,0oo丿 i″ and13gi丘 sin αcess。 f1,00OJl,in the丘r斑 pen。 d and

°f8+gi丘 s oflll l,oo0J氵 冖andjust onein excess of l,000丿 氵″in the second Atthe

sametimc,lhe os/erau l,l。 dence ofrecords di扯 red dramaucaⅡ y∶ 9g。 ld gi迁 s and

18扌 Rε砂/J￠ ″″rh″ε《冫X●|o"Ⅱ hP· ng⒚ 9⒋ 〕5n9

ΙB7 σJ,″彐汩嗲

9叼小^〃

8⒔ 凡ra、饣吖JmJar prouem、viL,lhe same anima厶 und cash P0tes

=ii△寻》

__一一一一⒈一一一扌一_纩〓一一~.一一一一∷一〓一一〓一一〓·一一·,一一一一一一扌一一一一〓一一一〓扌一一一一∷〓∷∷i∷i∴~〓〓〓〓

.

.〓

I68 Ro,,:￠ 四氵】〃Clij,l“

64cash g】 矸s in thc second pellod c。 mpare poorl·/with c100gold gi丘sand c5o

c岱 h gi丘s in thc nrst。 ne we arele丘 wondering if th沁 shi丘 slgni6es mcre liter~

ar,fashion(that gae greater prominence t0臼 shˇalua"o∏ s as opp° sed to the

earher=perh,lps-&en noΠ inal gold valuatlons)or Whether it rcdec‘ genuine

changesin money t】 sc atthc imPe“ al court

Later Chinese soufCes marve1ed at the supp° sed abundance of g° ld in the

(Wfeslern)H如Pe。 od that con"asted lvlth h弪 r sca汨γ

’t A Tnng tOmmentary

on the HrlJⅠ ￠"I noted that“

n【 ,lˇada阝 pcople flequenuy get〈 h。 rseˉ hoor goId

rrom the earth Thc gold“ extremely pure,and art钆 lly shaped氵’P1°wing could

ωrn up an eIldre ar+ull° fthesc prcoous o叻 ects川 、%nouscxuanau。 ns忆 r the

lale and Post Han declinein gold usc have bcen mooted.such as lltc immobmiza~

“on of buⅡ i° n in gnded Buddha statues loll° wing the spⅡ ad of Buddhlsm;the

appr° priati° n ofgold stocks undcr WaΠ g Mang and"s subscquent retent:on by

the rest。 red Han dan;” :and the outn。 w。 f$Pecie to centraI几 iain orderto pay

°F hostdc neighbors and to acquile horses and odler imports灬 【ncreased use

ofg°ld for ornamentatlon0another candidat⒏ whne court s。 octy(both in the

center and amongthe v岱 sal ruIcrs)had alwa阝 absorbed considerab1e quan0des

of gold for ad° rnment,M in the Eastern Han Perlod,g。 Id(aΠ d siher)° blects

became much more∞ mmon lIl扩 aves ulan thcy had becn i⒒P【 evlous centuries,

a tKnd that血rther strcngthened during the Jin pcood$A“ he end ofthe Han

period、 lhe plunde“ ng ofa slngle poncely tumulus,omb allegedly” eIded tens

ofthou$ands of丿

`'I of goldConcurrcntly with thc apparent dec⒈ nc°f the monetary u‘ e ofg° ld in thc

Eastern Han Pcriod,sⅡ er assumed g促 ater significance in the s° uKes F° llowing

Ⅵ内Jdi‘ short1il/ed exPe"ment wtth“ white meta1” coinagc(see abo浓 ,seCtion

32),sVang Mang was the nr哎 。mcially to rccogn沱 e snver(measllred in h创 「^l··

unhscalkd h‘ 盘nd gnded accordingto purity)as a Ⅲonetary means ofexchange,

a reversal。 f Qin shihuangdi、 regulatlon that sⅡ 1·er was not to be uscd in that

capao呼 (see above)From the nrst∝ ntu〃 c E onward,rereren∝ s to stoCks and

grantb ofsnver measured h丿 f″ appearin the record∶ lnln cE,a gfoup of Qiang

△vas reWarded,v· lth lOo,IlI ofgold and20o丿

`″

°f“lve△ and as already mendoned

above,in thc latc sec。 nd Century c￡ ,Dong zhuo h° arded2o-3o,000`″ of gold

I/o Ro″ 】召曰″

'CJ●

i饣日

may increasIllgly hax/e circulated h the rorm ofstandardlzcd ingots In the丘 rst

and second∝ ntuoes c E,snVσ buul。 n may have inc【 eased in imPortance rcla-

dx· eto g。 ld,but the evidence△ ambiguous phase4(‘ 17ll 250GE)witnessedthc partl乱 couapse。 f thc从 andaldlzed bronze cOIn currcncy and inn扯 lonary

debasencnt,fouowcd by a prolonged“ umpin c° in Produc讧 on and reIiance on

e乜 s‘ ng osucsin combinaton witb paunentsln klnd,most n° tablV in Ille fourth

aΠd n丘 h centurics c E

6 PATTERNs° F MolxETARY DEVε L° PMENTIN tHE RoM^N EMP1RE

‘Ι F” |··B刀″z纟 勋S`7ver`‘,Co″

The m° nctary s阝 tems° f anclcIlt Italy and anclellt Chna sharcd a teature dlat

was lac乜ng丘°m other hlstoric缸 socictIe⒌ When C° u,age apPeared奶 r the nrst

timc,Ⅱ was manufactured of cast brOnze∶ 00In Ral弘 unlikc In China,Romans,

Etrtlscans,and samnltcs osucd rclatlvely krge and hcavy bronzc denl,minadons,

钆nc‘ onaⅡ y equivalent t° thc sma11Ⅱ etal bars tilat had Previoudy been血 usc

(such as四 6rll冖 V h Romeand“ ramo secco” c° PPer bars“ Etruria)Thc earLe5t

Roman couls were Cast° n thellbr扭 weight standard(l弼 at‘ 323g),w:th1″ 】‘该(o∏ e-tl,elnh ofan“ ,。r27g)Providhg tlhe smaⅡ cst殳 actional osue OtherItalian

pok刂 es empl钾 (d differeIlt欲 anda记⒌c2oogin Etru。 a and UⅢ bria,G35σ △0Og

in Arimlnum and Hatna Asin Eastern zhou,Qtll,and eady Han China,debas⒏

ment was achie、艹l忌:d by rcduchg weight【 tandards,a Process that was primarⅡ y

dr,,/cn by6scal e妊 gencics causcd by mllltary Pressur⒋ durJlg the First punic

W盯 (26←241BCE),由 e in吭 ns:c value° f the cs△ ,·as loh·cred by one sLxth tO

lO〃 ″cine whⅡ e retalning ks noml「Ial value Debdscment accderated greauy dur

lng由 e second punIc War(21阱 nO2BcE);bebv·ecn218and213BcE,tar扩 t

wogh‘ lor an“ droPPed钿 m26Bg to133gto B3gt° 69gto iO5⒏ redlIcing thc

(puto刂 ,·c)mct龃 value to° neˉ elghth ofthe or馆 halstandard1n the later烬 ars of

tl,c waⅡ the unoalstandard bccame thC norm(l“ 西”=27g,or one· 6veIfth of dle

orIgIndl,vclght)These smaller c。 :ns came to bc oslIed in largc quanutlcs durtng

伍e nr“ half。 fthc second centu甲 Bc￡

In tontrast to Chna,holscl/e‘ the Roman^ItaⅡan monet。 ry systen was

cmbcdded ln a much Ιarger and ollier htematlonal Currency s泠 tem based on

coined“ lveL^s a resuk。 fintensif,ing mⅡ ita〃 enga纩 ment with tho sPhere,the

Roman statc gmduauy adopted a bimetaulc s泠 tem thatPa"ed trad】 tlonal bronze

witll“ Creetsblr sJver iom the late fourth century B c E onWard,the CaⅢ ˉ

panian state/(falIing,beb忱 en G310and24oBcE,rrom73to66g gross and

Tj〗 c Jl/ro"饣 忉 rl s,· s″`″

sq厂 ″:e JorIlI日 ″dR0〃 4`IF/J``彳‘ 169

and8∝ ∞,o0o丿 ″of sⅡ κ⒈“ Reα angLhr and bo扯 ~由aP记 s山 er i鸭。‘h。vc

oCCaslonau,/∞Ⅲe to hgh△ Pcng o弪 s fottr lrls.rlbed specimens lveξ hi呜 125,

205,356,and403grams that date iom the years57and148cE⒚ ’A丘er a Pro-

订aCted hiatus,thesc kems rcsumed the traditIOn of casting s山 tr ing° ts that o

nrs1d。 cumcnted forthe spring and Autumn Pe“ od(scc abovc,secuon41)

1onetary usc° f gold and sllv。 r gready hcrcased under thc、 Vestern ⅡnCold may wel h″ e incrcased in阳 luc relative to∞ ppcr,and Priccs began t° bee【 Pressed in sd炊⒈C°in由 aped gold and sJx· er entcred circulatlon,as did cakes

and ingots Ⅲ The rest。 fauonlst Tang regime rcturned to cash pricing G。 Id and

sllver were used largcly as a st。 re of value whne sⅡ ver ingots were inCrcasingly

employed ln ultcrnatlonal tranmctlons t° ’

, PATTERNs OF lMoNETΛ RY DEVELoPMENT!ls· ANclε NT CHIN八

It o possiblc to d:st1ngu】 sh be冖″een four princ】 Pal stages ln the monctaryhistorvof anoent China In phase l(仃 om very roughly IO00tO G220BcE),indi"dˉ

ual poIiucs 。r pr"ate沆 dl,· iduak within them supplementcd and gradually

replaced∞ wries by casthg bronzc moncy ul the form of m:niaturized to° ‘and(狂 om thc fourth.entury B c E)a‘ o in the钆 rm ofround coins、 hi】 e the

most urbani9ed states lil the‘ entraI C【 eat PIain used b° th the△ °wn`su6aΠ d

those f|om neighboring states,more periPheraI polities devcloped dosed and

putat加 elv· state Controllcd currenq syslems The southern state ofChu rollowed

a货 parate trnjeC1or” combining bronze imitati° n cowrles with smau Punch

ma【ked gold plates In the other states,湟 “Dld and sdx· er reportedly circulated

as buui。 ∏but renaIned ra.e in the archae° Ioglcal【 ecord Thc f,vo dotlnctive

Chu currencies were dlscontinued uP° n conquest by Qin,and n° 血rther coinˉ

slzed goId units were issued in the unlned emPirc In phase2(c22lrl12:cE),

the imPeoal center tormaI灯 LmPosed a bron贺 currency c。mp。sed of∞ lns° f

叼r”ng(but graduauy bwcred)weight slandards penods°f(n° minal)state

monopo1y on coinulg alternated with th° sc in which prlvate lIldI△ ·lduals werepermit弪 d lo contribute to the m。 ney supply Cold circ讧 ated in tlae钇 rm ofbu⒈

‘on but° fnoalˇ c。unted as moncy ln phase3(l12BcE-G170cE),theimpeˉ

【ial government upheld a state monoPoly on∞ in Productlon and for most° f

the timc mainta伉 cd a“ngc毖 ed welghtstandard ExPcrimentatlon w"h loken

money beoveen7and14c E provcd sh。 rt hvcd and unsuccess6且 G° ld btdho“

刀饣△勿″gfFr,驷佗″‘ρ厂rll召 fi,i″ 夕″〃R口 ″夕″￡″p″es v1

fiom68to64g siYer wclght)was used alongside the孙and its fractl。ns Thc

菸联群胖搬镞f槲勰 弹撼茗鞑搀荻崔嬲 撼盟群撺姿垄:樾撕 皙燕撼蛆搓您宝:糊

川tnough lar莎 ∏umbers° f bronze c。 ins wet turnCd outin the丘 rst haΙ f° f

墓擀擀槲撤≡萑鞲辘槲蓖I齐麒澍蝌鞲瑙iJ丨l;祸:翼绍估:谶描氍拣摞掳:;漱 ;Ⅰ茗J;;∶

·"e″

m哎记m“ψ

裟钅j;:岳;l嘿觜::∶

j:在状:1导:甘jlr恣挂:l∶父【;;1Ⅰ∶￥

ond century B c E,Macedonlan gold c° 血sc。 Ptured ln thc wars of’ oo`197and

茗荃狳r孱嬲廴蘑嚣渊器嘿l黯涨摞揣

洳△雀虽泔狳r流气谳瑟l瑟捃脎找渊智甘茗捂盅胛器扌赫程拊留投旺坩罴嚣VⅣa黥笮菇∶1r絮皂:i:讠赞岁;:F黥;莨莨:⒊扌;打男芘扌:堇:陬品友0suCs h the West exllibited1ow nneness。 f95perccnt down to36Bcε ,therc~

段槲辙膊槲雠擀醛Gold coins reaPpeared under sulla`dictat° rship(s订 uCk at3o to dlc pound)

to provlde donat"es to the n山 tary,and agah in49B c E The gold/suvcr ratIo

一靓镔袈

和迈哿+((枳

导翅

172 Ro″ e四"dC乃

i″ n

had been as low as8to l during thc210sBcE;but as sdver innows increased,

these coins were melted do、 vn tO take adYantage of a market ratio of doser to

lO-12to l By50BcE,Caesar、 conquc玫 sin Gau1had lowcred tI,c market price

东 %∶ J孺 饣 Ⅳ 啁

’

⒊ 玄 ∴ 括 r∶ r∶JIⅠ l∶ 嘿 Ⅰ器 :

ofgo1d=l,000〃 ε9I四 r``,ror a goΙ d/si1ver ratio of115to1Under Augustus,the

'“〃I`s Was issued in virtuall,pure go】 d at40to thc pound,whereas the〃 g″ n厂

打‘continued to be struck at1`84pound,its silver content rest0red to975-98

满箔J讠咒絮:∶ ::∶1∶,∶∶∶∶∶I古躲 ;〗∶∶∶黜 ℃;i∶V瞥mq〃 o'm″ s(%口 s)

Roman eˇ anslon Pretip"ated progresslx/e unIn四 “。n。 fthe Mcd⒒ errancan

monetary s泠 ttm(s) ln the west,locd coinages graduauy disapPcared饣 om

the markec Greek and Punic gold and∮ lver on⒌ c"y and Sardinia by thc

210sBcE;Celtic gold in no[thern Italy by c200BCE;au carthaginian coins by

146BcE;Iberian coins in the nrst century B c E;P【 eoous metal∞ ins in Caul

in thc50s B c EⅡ and Iater h/brids by tlle lOs B c E;CeItic coins in BHtain lIllhe

nrst centurˇ c E In thc east,incrcasing quantities of gold and si1ver coins issued

by the HellelllstiC kngdoms wσ e absorbed by the Roman stdte and trans传 rred to

Italy for recoining From189to176BcE,for inslance,Romereα"ed c370tons。f sdver coins孙 war repar改 lons flom thc seleucltl Empte,enough to mlIlt lOo

ni1hon d/· ·四rii(and to undermine the队 1euod sil· fer cuⅡ e,lq)In the A鸭 。an,

the Attalid cis● ophor氵 sⅡver coins contlnued ω be mlIlted under Roman rule,and

Vaoous genenIs wotlld on occa“ on produce tetradrathms Unprecedented dep

redations undcr sulIa a∏ d in tlne second t“ um“⒙l period caused the demise of

many local(urban)sⅡ ver currencies and the susPen∮ on or debasemcnt ofsur-

v"hlg∞ ln鸭 es Byt№ dme Augustusr6tored the osr∞ horl5in凡 ia Mhoiand

伍e押Ⅱan tetradrachm,Roman dc锕 汀|had咸 re蔽Vmade m苟clr hroads lpto Ihc

monetary sPhere ofthe Heucnistic eⅡ t,as doCumcnted by ho征 ds ofthc perIod

The huge drain。n eastern buⅡion encouraged a shiR to Iocal bronze issues,

now pcg黟 d to the Roman洳冖夕″“s Cont血 uing1ocal b.onzc coin producton

guaranteed the av碰 labllr/ofsmaⅡ denomination units that were xltal to mar-

ket transacuons ln traditlonauy Ⅲonctized communities Ill tnc west,by con

tr否 t,mostCommu「 .ld6had ce孙 ed pmductIOn ofl0cal bron贺 sby L· e30scE

It appears山 at ce∏ tral该 ed ProductIOn ofthe R° man n血 t(丘rst h Lugudunum

[L onsl,Ihcn in R。me itse10was capabIe ofpr。 viding tlle(arguably“ gnincantl/

l。ss m° neuzed)westem half of tbe empire with at【 cast⑩ mewhat adequak

amounts ofsma⒈ denominatlon Coins

As a result of moneta,u血丘catlon,trie centr扭 g。 ,ernmcItt inσ easingly

gained the abi【 i,to c。ntrol and manipdate weight and puriψ 丈andards across

lts far n,lng reaJn,elther d订 ccuy thr。 u的 imper妇l osu6or“ dlrecd,vh btal

systems that were lorm斑 l1· or de lado pegged lo the central currenC,s,stem

v4 Ro″饣n冖″tˉ l,i冖 n

to raise outPutin由 C ia.e ofacce1erad∏ g innafi。n The`〃 〃I,【 al50馆Ⅱ in weight,

yet to a much lesser exient than“ We⒈ 仔om l/50to】`52-54(235/38cE)t°l`65(238/i4CE)to l/90(by250cE)In the250s and260s,putatl,e mukipks

of.educed nneness(comm° nly93-95pcrcent,b lt as low as80pσ cent)wC【 C

lssued By269cE,howcver,standards had bcen rcsto【 ed to1/60pound and99

Percent丘 ncn ess

As thc snver currcnq turned into de%cto bronze coinage,the nominal

bronze丘 actions had to bc debased Iilrthcb nrst thr。ugh weight reductions(i∏

lhe230ˇ 2+Os c E)and tnen through adu⒒ era心。n,s,ltll kad at‘ 2ll25perceno

Increasin砂y poo"y manu孩ctured Pieces were churned out in largc quantities,

and,丘 om thc250scE o∏ Ward,la唱 e den。 minatlons were hoarded as a hed莎

aga血哧sil浓 r innatl。 n Tnls芯 con“ stent、 otb a de facto s· sttch to a bronze staⅡ

dalcl and indicates that coins ll/ere u⒒ imatel,va1ucd due to their metal Yalue By

the270scE,de iur· b.onze cohs had become too eXpenslx/e to manu缸 cture

(∞ mp征ed to1a呜 cˇ br° n,e“ sil,cr” coins°f higher兔 ce Yalue),and production

Ceased fC r about a centur乒

Thc c加 ic coinages in the p∞ vinces weK Caughtin a race to tlle bo迁 om,su0

ferrlg debascmcnt ln keePing with thc tlends set by the imperjaI mints HcaviIy

debased sih。ri§u岱 丘nally ceased l11the250s c E Production of bronze coins

crashed in the珏 te250s and26“ c E dueto compC‘ tion with radicalˇ debased

imPerial“ siker” coins and rsultant hnati。 n In the260scE,m0st local mints

Werc abandoned In Egγ ?t,by274cE,纩 mtly debased bi11on ttadrachms had

dr∶ven。 ut all loCal bronze coins

F。u。w∶ng imperlal reuΠ incati。 n,Λ urellanus intr。 du∝ d a fecbly improxed‘‘radiatd’ n〃 rg″“″i4,Ι 1t‘ of39g gross weight and45-5percei,t丑 neness (ie,

c02g ofsnver),tarifed at5冖 V″四r″ 四ll,″ “″60r20s阝记r打 i,both ofthem now

ledu.ed to mere uni‘ ofaccou“ The口 “rαI【,o伍 Cia⒒ y set at l/50p° und but破的

struCk at l″ ∝72,was va1ued at100-120'〃 沼J氵

`访″″

`This s,stem rcmauled inPl毵 e lcr the next b〃 Cn9yeas J“t as beiore,it W签 de lacto anChored ln gdd

coins that traded against biu。 n(ie,heavily adulteratcd siΙ ver)coins that werc

m° s11y bronze

A reforn in293c E aimcd to restor。 a6unctioning sdver currenqI Thc weight

°fthe口 〃rαls W孙 raoed阮Ⅲ l/70to l/60pound,and gold was to be accomp⒉

nled by a new pure siher coin(四 r。。g耐 C〃 s)struck at l/96pound(thc Ner。 ∏i洫

rak)and valued at25de冖 夕冖i coz,l,,〃″凼(as unit of∝ couno A st如 e⒈wash bⅡ

lon∞ ln was valued at5洳 ″'ri扌

∞冫″●li〃 j’ es,and a bronze coin at l洳 ″夕冖“s∞ l··-

″9“ 〃0Thl· refOrm was sho四d uP by mass巾 e rcca11s and reminting but Fai1ed

immediatel1。 and Predi·iauy~asthe nominauy h呜 曲 °迎r··aIued biu。 nc。 in

raPidly lost ieal exchangc va1ue T,△ o retarinlngs(佥 °m6oo to l,200and then

2,400de″ 四rii co″ l,“ 冖6的 r the涩 〃庀vs,and丘 。m25●o50to l00冖 召″四/″ ∞l,.ˉ

|● I″ ″‘for the口 rg钔 kr‘ )la⒔ed∞ keP pace w"h· dlc coⅡ aPse oftlle bⅡon coin

0r″〃川″Ⅱ⒌onCe a驴 in,丘duoary coinage had proxen um,orkab1c,and marlset

l lle^Ιo″ B仫〃0”佗llIs犭 ″】eHn″ 四″涩Ro扪 d冖 E″ Jpi〃s l乃

Thus,once the∝nter d∝ ided on debasement,lOCal、 suers had to follow suit

to maintain circu1ad。 n From thc ⅢlC6rst∝ntury c E onward,the imperial

s山 er coll,age under,,ent a graduauy∝ celerathg Pm∝ ss of dcbascⅢ cnt and

concurr。nt nominal ox/ew扭uatlon Go1d and basc mα al denomhatlons Were

also a限cted to var” ng degrees In64GE,Nero reduccd the weight° fthc dI`ε 11‘

to l/45pound(from l肛 0)and that ofthe'B″夕厂氵lsto l`96pound(fr° ml`84),

whne the1atttr`丘 neness dropped丘 oⅢ 98to93percent Debasemcnt of the

sux/er standard PrOceeded in员 ts and starts,usuaI【 y dri怍nb/mⅡ“ary requ订 e

men‘ down to8C△ 89percent undertne eady Rax/hns restored to叨 5pertent

in82c E but down tci93Percent in tlle following years;down to89~90percent

under Tlajan(981” cE)and on to8a-84perccnt under A破 oninus pius(by

148CE)and to less than80peKem by161c E Base metalCoi∏ slikewoe αPerⅡ

enccd signincant dcbasement in thc course of the sccond centu「 lc￡ ;the‘ el,,o

and叼"4'ˉ

,n刀‘IOrma1s were discontinued;overaⅡ output was reduced;and the

‘‘rg″ lll‘ began to be made° f(cheaPer)br° nzeinxtead of bⅡ ss and addterated

with lcad

Provincia1curFncies were deb孙 ed or retari矸0d accoldh砂 y AtthC saIre time,

a record number° fckies Produ“ d bronze coins,osing△ om c150undcr Augusˉ

tusto C375by200cE0丘 enconsohdatedinmajorssorkshoPs,output was hugσ

some900countermarks on ci/lc base mcl铋 osuesarc uown【 n Eg,Pt,traditlon-

any a seParate current△ zone,thC loca1suver tetradrachm was graduauy debased,

「om3g or sⅡ ver∝"peKent nnenCss under Chudus∞

2%ofsdver or l孓 l`

percent nneness in58cE、 When exIsting:ssues were.eCoined l.l vast numb~。 rs

Local drachms(nominauy“ 1ve【 coins)were now姑 5ued as bmnze cohs

Debasement of thC impeoal“ l△/er currenCy pickcd uP trom攵 hc160s to the

230scE,W止 h a drop in员 neness佥om c8o perCent to c50percent,or fiom2`g

to15g of siker(whⅡ e goss welght rcmained largel/stab【 e)Again,曲 o deve⒈

opmc.lt was driXen by roing mnit.ary eˇ cndture,hcr臼“ngly due fo gro1,ingnl弪 rnal instabniⅡ

^d exPe“mert in丘 duoa” silver moncy failed∶ a“doubl矿

'fll,il氵

〃s(日 ″洄″`″

i日″〃s),tt15timcsthe woght ofthe dV l,· ri〃s but"ke"s缸 ce

va1ue,was in廿 oduCed in215c E but merely promPted hoarJlng ofshgle dc″'r″

ofhigher intrinsic value and had t。 be abolished a灸 w years late⒈ In213cE,the

●II昭 l,sW豁 resel at l/50pound(down佥 °ml旭 5)ˇ1ilitn.ry eY。 n· s neCess⒒ atcd

ule leturn。 f the日 ″汩″i″j'冖 “s血 238cE,now eVen more debased,and as a

resu"the(now intonskany。 屺r,alueC)del· nri“ s soon disappea.ed丘 om cirGu

latlon During the following peri。 d of forpign inva“ ons and temporary ulternal

付agmenta氵°n,deb孙 emcnt№ on re狂 hed dnmadcIe,,e‘ Betxseen238and269

cE,the gross weight° f1he四 ″rt,″ i″ l,i″ 1‘ d0uble〃 e`妞 冖I‘ w△s halved,wh⒒ e砖 s

丘nen迢 ss Fcu丘 。m ab。 ut50pcrcent to17pertent,or nom24g to0】 g of sil状ェ

^t that st,l旷

,the empire had dc Iacto sWitthed to a bimetauic sys侄 m based on

g。 1d and blon贺 ,espeoa⒒ y as uscrs be甲 n to e对 ract thc thin sih℃ r veneer ofthe

new nomhalsⅡ火rc°ins lo seu as btllhon Thc number of mlnts keptincreas血 g

助 召n亻口″铜 〃 6,“ |e·邢 q厂 枋 纟正勋河〃″″ R° 〃 n″ E,冫V讠〃‘ 17,

valuations according to metal content persisted In resPonse to dle h° arding of

remel“ng ofpure s刂 s·er coins,theimpσ i乱 mults Ceased produα ion oft珏 cn皆、

涫Ⅱs soon a众 er3o5c E while the biⅡ on coins conunued lo ci‘谜atc at much

discountcd rates untu the36os c E Constantine adjustcd thc go1d“ anchor’’by

swit~hlng to t「 ,e gold s°

`记

vs btruck at l″ 2to lhe pound and at995percent丘 ne~

ncss sllver∞ mlnued to beipves侄d into I,,/erincreⅡ ljlg numbcrs ofb姐 on coi灬

that went tllrough several c/clts of deb丕 ementand K妇 ri猛ng ofthe muh萨 es

that sllbseque∏ tl,continued tho process Flom303to348cE,dle silx/er content

ofthe biuon″ v羽 扭〃s dropped丘om l`32Poundt° vI96pound,orfrom IO75g

to165g ofsd· er,and饣°m4Percent to04per∝ nt丘neness P“ Ce血 n。tion Pr。

gr6scd aCCord.ll砂 y:bcbseen323and445CE,the value ofthc soJ氵'“

s rOse rl。 m

6,000″召刀四r订 co〃 l,t“ ″sto up to42mⅢ ⒗n,or tom240to7,000ˉ 7,2QO actual

b"lon″〃J,i″ I扌

ln369cE,produ.tlon ofbⅢ 。n co血s nnauy ceased,onˇ to belepl∝ cd,dc lure,

by anofJler pure suver c。 血lllat under,sent hea、 γ debasement aBd dc· aluati° nhthe late fourth centuη 6andlo be continued,de幺 cto,by,/arious denomJlatlons of

bronz。 co血 s、 among w,hlch the cf〃招″io″曰′ls(2去 5g)bccame the most imPortarlt

De迁loPments l’ l tl△ e丘fth∝ntu,cE钆 rthCr leh佰 rced由 c即⒙ blon贺 cur-

renC,system由 at had emergedin d1e second half° fLhe dliⅡd~entur,c E DesPite

。ng。 ing losses of buⅡ ion to亿 relgn p,x· ers,go1d expanded its doninance,Is the

。my re1血bIe value stdndard CoId orcda馊 d访 soJ记 1ls c° ins,packed ulto leather

sacks of loO p。 unds(。 c刀佗l●n订“狃)bdar墅 r trans蜇 tlons Despit。 。ut且 。ws,Lle

trv。 asury of the castcrn empire rePoltcdy managcd to am锱s large quantides of

gold∶ 32tons by± 57cE,l03tons by518cE,and129tons by527cEBy the mldˉ n丘h century c E,(coined)sⅡ Ⅴer had largcˇ dropPCd。 ut of cir

culatlon^masslx/e ad hoc emosion ofo收 r lOO mⅡⅡon PulesⅡ ’/er coins h468

c E rcmdlned a one of emergcncy measure T,△ o currenC,tlers su l,"e山 thc

gold so″ d〃s and″ el,los污 at the top,and low-ralue br。 nze″〃l,zf,li扭 il,i,· ,氵 at lhe

bo攻om Theld仗 er c° n“nued to be devalucd as th” wσ e adllltcrated with lead

Weight rcductions lvere lnsuthCient to keep t.e weight of bronze Coins vaIued

at l‘ o`氵〃“s und~。 r25Poun“ (8kgl,and repeat削 .etari伍 ng was feqlllrcd By

498CE,l‘ oJ氵 tiI‘5traded for16,800`iI″ 冫】7,’ i,instead of7,000-7,200as decreed

玩 4必 c E A textfrom Eg,pt付 om around4每 0c E desσ lb6how a grouP of

taxpayers mct thcir obIigatlons by handhg over l,522,080blonze colns wclgh

lng l,705kg and eqtl valcnt ln Value to2114soJlrf“ which· ··ouid have weighed

o95kg,or about l,800tImcslcsθ ow血 gt° poor produc‘ on standards,″ 〃l,l″Ⅱ

were readny c。 unterfeited and commonll aPPear in ho盯 ds of tltc nfill century

cE Tho sho哂 lll改 dcspⅡc tlle止 low intrin☆ c vdue,tl16e coins vere neVerth⒏

less c° nsidered su笛 o￡nt灯 valuablc to be forged ollt of CVen cheapcr materiˉ

als than tho腚 empIo疼 d by the authoritics,and l虫 cwisc valuable enough to be

hoarded as a store of wealth Tho chiΠ es weⅡ ,xnth lhe ancicnt Chinc6c pracˉ

0ce of counterfeiting low value br° nze coins desp止 e comparatlvCly tinv pront

舯撰耦扣追斟炽划÷斯甑

l/6 R0″ Ie n″

`ClIj71n

margllls and由e ability ofloψ value bfonze coins to sustalⅡ an cxtensl△/e mon

eta〃 economy(see bdow,secoon9)

In498cE,smau bronze c° ins Werc recolned into bronze md炷 P际 (FD`l。 ●),at

85g,with thc冖 “″J″ z谊 ser讧 ng as tlle base standdrd the exchangc rate was set at

l抑

`ltIⅡ

s=衽20乃

`J♂

=16,800″ 〃`Ⅱ `ni″

,lor a rcal叩 ld`b⒑ nze ratio of800to1

(445g gold=3,570g bronze)ln5I2cE,both the weight and thc nominal value

ofthcrollls Wer doubkd Duc⑽ Kne收 d crlbes,a钆rthσ uPgrade to zng(欲 180

Fo″ o·Pcr‘ o′lil s)in538/9C E could not be sustained∶ by lhe end ofthe se旧 nth

Centu〃 CE,thC welght ofthero氵 Jis had dloPped to35g,and讧svaluc ω l`950of

the‘oJ记Ⅱ‘(r° ugllly malntainlng the e心 sting gold`bionze【 atlo)the disastrous

wars ot the seventh century c E spahned huge quanuu6“ △arl。tls dcnom血 aˉ

ti° ns of debascd乃′Ι召‘and chaotic exchange ratcs that oncc again wrecked thc

base metal element of the imPerlal currenCy system

62 C劭lBm`a饣″汕

xveu int。 the thtd centtIw B C E,moneta「 ,Practi∝ s ln lt峦 y dex/eI° ped a,tF,c

mar∮ ns°f an exPandlng IIltcrnational svstcm that origu。 lated in the“ lxer cohˉ

ages of the s&th centtlry B c E八 cgean GIeek sa,,er m。 ncy spread aIong thc

main axes of Creek overseas mtgratIOn,uldudiΠ g the western settlements in

s忙Ⅱy(by thc mid sLxth centu〃 BCE),sotlthcrn kal,· and the coast of sPain

and Provence From the latc sLxth Century B c E,nonˉ Greek populatlons in the

n° rthern Aegean imitated the Greek format At· Jte end ofthe丘 丘h∝ntu〃 Bcε ,

Carth鹆 e adoP弪 d sⅡwrcohage△ n由 Kd∞ IlsequeⅢ c of止 sh屺 n“即ng engage~

ment with the western Creeks In thc last third of the thiId centu〃 BcE” the

conquests of护 dekandcr the GFatIed to thc rephc,lt妄 on of Grcek minting pracˉ

tices au8cr。 ss the former Achacmenid Empirc N。 rthwestcrn Indla,which had

Prex⒗ usˇ begtln to de· /doI an hdigenous tradkion ol sqtlare suver c。 lns,斑 so

l。 u。wcd sult,arld suCcessi迎 waves of rore熄 n dlqlas“ es(Grec° IndIan,sakas,

Pahl狎 as,Kusan)α 廿nded Greeks〃 lc m。ncy use,ltross la唱 e parts ofdle Indan

subcontinent and into CentraI Asia fo由 e north

1nitiau△ ,in thc archalc and eady c1assical Greek world,low valuc coins wcrc

ini/ariably made of sil攻 巧down to imprattiQbly m△ noculc weIghts and aPPar

ently in s· e吖 la呜 c quantities=m FractIOnal bronze emergcd only belatedl” 丘omthe late n丘 h∝nt,Jrv BcE o褂

`rd,as increasing le1·cls of monet砭 a“on raocd

demand佰 r low value media of e涎 hange bevond1eve△ that could be satisned

by、`〈

:ry smalI sⅡ ℃rissues Before the Roman perlod,widespread bronze use l△ ·as

con隘 ed in tbc6.st instance to the dosed curmn吖 s阝 tem ofpt。 lemalc εgypt

Tho pJts thc ollgln缸 Ital芘 n currcncy sYstcm ln a genulndy uIllque Po“ Jon

with△n wcstern Eu【 asla

178 Ro″ 昭〃⒎I'C幻 J’旧

for aboJt60percent of° ,· erall coin valuc,c。 mpared to3ll35pcr∞ nt for“

"erand thc remalnder ror base mctalcoins=0;In phasc4(c200ˉ ‘270Cε ),progres-

“se debasement reduCed‘ iWer dcnomhatlons to a de faCto base nctal turrency

whⅡe gold colns maintalned much oftheir v钲 ue^‘ a result of· dle decllile of siI-

ver coin,bron饣 cohs wereIar莎 1y dril/cn,om the market Phase5(‘ 27ll63'0

cE)、 Ⅱnessed scvcral laⅡ ed attcmpts to restore hI11bodled sil,/er co∶n Gold

remalned the only stabte Yalue standard In Phase6(c370-c700),so° n1im“ed

to the eastern Meditcrrancan,attcmpts to restore sikcr werc丘 nalˇ aband° ncd

and a gold bronze s阝 tcm【emained in place CvtIical debasement of tlle basc

metal uer d.ole Periodic innati。 n,undcrscoring the domlnance of g° Id as tlle

only retiable means ofsto“ ng weatth

7 BAsE-lkIETAL oR PREC∶ ousˉ 、【ET八 LC0INAcE

`Ι

orlgI,ls

At ts eaHIest stages,thc Roman cuⅡen吖 wstem bore gratcr resemblan∝ to

the Chinese邴 tem than to any m° ∏etarV s邺 tem that c迂 sted arJ,。 s·llefe be6veen

由osc iso rc曾 l,ns Ha【 I Romea龃 Ila灯 del/e⒗ Ped h a“mⅡ arl,odated enx,ir【 ,n-

矶ent as the earIy Chinese states,wou1d they have continued to rely on c° lned

bronze whⅡ c sⅡ ⒕r and gold would ha△ e orculated as buui。n2At tne ve〃 least,

the Chnesc case demo灬 tratcs tnat dlo炻 nd“ tr西 ector/l1· as凹 rfccdy ka“ bkand△/lable exen withln a woHd empi四 小at rlvaled the mature Roman EmPire

in terms° f both tcrntor/and PoPuIa讧 on nu顶 beB ln reaIi“ hσ啶蚝 dle〖 tal~

ian PoⅡ ues lv· ere soon dr岱 vn hto the HeⅡ el,J“c monctary svstcm that favored

Colned s"Ver at thc expense° f br。 nze The Mrarrlng states ncx/er陆 ed∞mpara-

bV domhant nelghbors with centuries old prccious metal cuⅡ encies The coul-

slzed gold`atcs° f Chu reprcsented the only lo‘ auy avaⅡ able dltematⅣ e to由 e

bmnze c° hs,slem of the Great Plaln栖 Qh(uh血 atelv Iargely吨 dle subseˇ

qucnt Han)imposcd"s凸″`氵

“`⒙

currcnq system(again,llltimate″ In1he form

of山 e derll atlve v】 zh“ staqdard oflhe]。 tc sec。 nd.entu〃 BcE)on an ofChha,

°9e mIghtxvonder what wotlld h狎 。happened ifChu hnd acconlPlohcd蚰 pcrial

uninca刂。n。 fthe Xs arring states under⒒ sl葩dershlp or succeedcd lIl olerthrowˉ

ing the Q“ re。Jmc ln tlle rc△ ok of20⒐ 8B c E ls k reasonable to suppose that血

that case.Chlna would have cnded uP wlth a bunetaulc currenq s阝 皙m° fc° ined

(or qlIas】 ∞lncd)驷 lrl Ⅱd coincd br0亚 c(round or asΙ mita0on cow“ esy

72 加佗trl`s‘ fPp饣

Both of由 ese counterfaCtual questions ralse an impoftant lssuc How dtd the

physk铋 Pre∞ ndl‘ ons for thc dcveIoPment of a hlghˉ 陶lumc preootls-metaI

刀lc亠 ro″ errl〃 Sysr曰″s ol″昭H四 冖'`ld Ro″

l四 ”E,p氵 r。。t I77

About a centu” aⅡ er Carthage had been drawn into the‘ Ae旷 an” currenq

unI△ e.。 se,∶0∶ Rome followed su"with沁 s Campanian serics of sⅡ ver staters Thc

shoc“ ofthe sec° nd Punic Ⅴ￠ar and sub$equcnt h∏ ows of斑 ver⒍ om theIbeˉ

rlan m洳 es and the HeⅡenistk kngdoms trans跖 rned the orignal br。 nzc bascd

s泠 tem into a b1metaⅡ Ic snκ rˉ br° nze s阝 tem that soon came lo be anchored

in sn浓⒈on。ne estimate,in the second centu〃 BcE,Roman bronze c° ins

accounted曲 r at1cast har ofthe am。 unt of c° in in circolation but only10-15

peKent of"s oxerau vdue如 FuⅡ monetary uni丘 tation lvas a pro"actcd Proces⒌

s庀 ni6cant sltps inc【 uded the absorp“ on and recoining of much eastern suver lll

tlle6r斑 ccnttI吖 B C E and the concurrcnt dcmisc oflocal colnages in the westˉ

ern reglons massⅣ e in丿 ecdons拼 coined即ld钸 m the mtd nrst century B c E

onwarli that created a uniform emPireˉ wldc g。ld standard;the destructlon of

provinoal c° inages in1he eastern provinces in the mldˉ thircl century c E;and

repcated reminting Programs and☆ andaldized emPireˉ wide relssucs ofn弭 fo⒈

mats缸 om c300cE。 nward

、℃「/broadly spcakng,the Roman moneta砰 sVstcm ev·ol,/cd in slx prinoPaI

phases】 n phase l(down t° c3ooBCE),br° nze coins circulated in units of27

to3Ⅱ grams In phase2lc∞ ll sO B C E),sn浓 rand br。 nze circulated in∞ ined

细rm,with sⅡ ver acvounting tor the bulk of valuc I豇 additIOn,snver and espe

oally gold were“ °rcd and exchangcd as bullion Betl,een200and167BcE,Romc captured38,ooO P。 unds(or123tons)° f gold in wa△ ∞me of⒒ h the

form of Macedonian c° i∏ s(the p加 ″lpPe`)In157BcE,the treasur/held17,41o

P° unds(°r56tons)of gold,which仓 ccountcd for more than lou⒈ nfths。 f its

tot胡 tasll reserves(With coined and uncˉ olncd sⅡ 1·er maklng uP the balancel

△ansters runlilng into th° usan诬 of pounds of gold are rep臼 ted″ rep。 rted for

the nrst centurv B C E:“ r these snnP$hots are an`hing to go b弘 gold buulon

must hale accountcd lor an unkj△ owable butsigninca“ share ofmonetary med:a

in thc late RePubhcan period Thus,f bronzc rcauy acc。 unted for no more than

I0-15pcr∝ nt ofll,e overau value° fRoman coinage,⒒ s share in thetotalamount

°fm° ncta〃 medla induding g° Id(and∮ller)buui。 n must haVc been smaller

stin,perhaps well under° ncˉ te∏ th 〖n phase3(c50BcE r20OcE),coinedgold entered the markctin,rery la呜 c numbers Duncan Jones has estimated that

in the16os c E,120mnhon四 “昭ice,880∞ ns of coined g。ld)and some17bⅢ lon sIlver colns(ie” 5,”O tons拼 colned siIver),perhaPs three泅 uarters of

tllem R° man unperhhssues,were in CircuIation The probable share ofbronzc o

guessed at no m° re than5-lO Percent ofthe lO【 aI,for up to5与 bⅢ lon lo、 v亠value

coins In this s∝ naoo(wlllcll m呷 well Innate actual quantities),gold accounted

2Ⅱ Fojth沁 ΦnIitu8t schⅡ dd’ lX8b;"F△ rs to赳ⅡρesofωⅡo9t th"d巛官nd fiom thc eIln∶est Lldhn

陋

灞

恝

圃

属

匡

翅

刀 】e Mol昭妞 r,s,sFB″ 阝 of油 召H四 ″ 〃″

'Rom夕

″ ε″ ″ res 〗”

coinage in、 啶stern Eurasla comPare t0those at the opp° site end° fthe c。 ntinent?

扭潸1饣茫:浪扌;;∶∶‰甘嚣琶捉愚贳⒘渥罨笙志嘿肆拈犭China to asscss thc comParatixe vlabili〃 oF di△e,ent currcⅡ q sl丈 cms∶%

户‘cording to a,cccnt rec° nstructi°Π,thc R° man Empire m吖 have bcen abIc

lo Put closC lo】 ,o00tons of coined gold int° (ir.ˉ ula刂on,孙 we"as s汶 t△ nl灬 as

much c° ined sⅡ【r(see below,scctlon91)^‘ B仓n芍 i ha‘ argued,gold circul⒋

tlon may hale Increased"en hrther h late antlqui0,t° m the fourJl to thc

scventh centLnes c E,atIeastin thc eastcm remnant ofthe emPi犯

"his notlon:糨t黔涨技甯l℃滥募罂抗`甘

贳浴翌销 ;迮

琵氍留饿冱生e束

1J旺 ;忿1涩紫I嚣叩:岁芝苜黩in sPaln were said to produce3oo pou∏ ds of siI跹 r Per d呷

“for the state” (⒈ e,

撇 隳憋;蝌焉孕至婪雪菪瑟翳荃No comParabIe esdmates are avatlable for the Han peood H° wc仰s lvc nre

⒗u tll扯 the%ng Emplle e向 °yCd mlnlng”dds ol12,00ll15,000otlnc钋 01

sⅡver per烬 ar(° rsome sOtI bO0kg at41g Per Tang° unce),aIthough one source

re殳Ⅱ lo as many as25,Ooo ounce5,or op.e metllc‘ on∶仓9Thesc rates are exiremcl,·

Iow comPared to R° man sⅡ lcr production in spain Vnder the s° ng,outPllt was

boosted t° 145,oo0ounces in998and a rcc° rd883,ooo° unces in】 022bcforedroPping to2〗 5,o00-220,000ouncesin l049/78thc most produtt加 ?prefecture

was then cKdited with lO0,0oo+ounces pcr yea⒈ ⅡO These annual°utput ngures

rangc丘om6徊 9tons Es· cn the Peak in Io22,at36tons,merely cquals Roman

producti° n le· /cls in a sln璧 e Province Ιn the same pci° d,g。 Id w笛 produced atannual1evels of‘ lO,ooC△ I5,000° unces,or400-00O klograIt,s,an e"irc ordcr

of magnitude⒗ wer than outPutin any° ne ofthc most proiltable ROman Pror

inces r an,ihin⒏ Preclous metal yleldsin the Han Pc0° d must have been loivcr

扰吖t橡T找I∶:黯胬找漶r毖紫臀:器搜辟hot。 rical g° ld mines in China were aCtiVe in tha‘

Peri。 d"suver wasˇ irtually

聊鞴龉蹒换逮戴

18o R口 ″氵cd″″C′Ⅰ氵″n

unknown in central China P【 io【 to the、

^`arring states Peri°

d"=Tho mctal o

generally nre in central China and c。 nccntratcd im thc佰 r south,and the ea【 li-

est eVidcnCe for thc cupella“ on ofa【 gen‘ 丘rous s llphide°res comes佥 om the

Tang period∶ B1n fact,because ofsupply con“r泣n‘ ,China aPPearsto have been

tllCapable of establohing a sohd“

`?r based currellq sx.s弪

m untⅡ ma“ i收 “⒈

κrimpor‘ 丘om Ⅰapan、 the PhniPpines,and thc New Wodd beo汊 een the mld-

sktcenth and the mld seˇ enteent虹 centuries inlected some7,300tons of thls

metalinto the CpInese eConomⅥ"Conslderd togethe‘ these variotls r· P。 rts,6“ mates,and c°njectures su爹

gest伍 atanoen攵 China might not hav~。 been caPable ofsustaiΠ ulg a highˉ,olume

preclous mdd Cufrency sys⒃ me昭刀fthe auth。 r淡 讵s had、讨由ed to do so Atthe

same timc,tho notion m培 htseem di跪 cult to rec。 nolc wi犰 the hotorical record

ConCeming thc scale of go妃 st° cks and dobur‘ ements dur血 g the lJestem Han

,lnd Xin peri° ds(sCC abo/e,seCtion4刀 lf Wang Mang had犯 tuaⅡ y m,ln邵 ed

to aCCumtllate an阝vhere near150tons of g° ld in ho palace,a“ bu11iOn scaKi〃”

exPlanati° n lor the Presumcd unsustainabih〃 of a preciou⒌ metal cuⅡ enq sys~

tem in anoent China would bec° mc more di氙 cuk lo sust茹 n Ps noted h scctlon

42,tho quanti● ,° fg。ld equab19m111on Augustan四 ″e氵 worul19bⅡ Ilon sesˉ

弪rCes,morelhan trIe annual Roman impc“ al budgeⅡ and t o Iemlln。 cent ofEast

Roman即 vernment stocks of129tons(or际 s,if sux· er w孙 dso lllx/olved)血 527

cε In° rclσ № m“ ntah由 扯叩缸was co泗 P四m汕矽 “盯“h mclem C“ m_that is,h relauon t。 wcstern Eurasia v· ew° uld have to assume that the Ⅺngov· rnmcnt was able to c。 n￠ ntrate a muCh Iarger曲 are of owrau gold st。 clvs in

⒒s own bands This。 血deed whatschol。 rs hale been prepared to bchevc,though

FOr no better reason than a genelic(and,to a” °nehm山 ar w止 h the standards of

cntlcism aPPlied t° creco Roman texts,someWhat nalw)beliefin the ovoraⅡ rel:

abil” °fthe contemp° raq hoton。墅apllml tradⅡ ion_and tb ls in thc∞收 rs

oflhe contral g° ·ernmentto implcnent a mcasure as sWccping as the“ nationa⒈

讫atlon” of(a very substantial share。 f all)Pr1· atoll/llelcl gold st。 cRs,witllin a··e呼sholt pe"。 d ofume"=This o notto say that a m。 del Predlcltcd on the notIOn of

a high degr。 e°fg° x·emme1it h° ardlng in eady impe扛 al China o out ofthe ques-

tioⅡ rePorts;° m tlle Northern s° ng Perlod p° Lltin the same d订 ecuon’ 。

In the end,tllere ale seⅤ eral wa泠 °f reconCdlng the Ⅱterary tradid° ∏aboutgcnerous Han and Ⅺn gold st° cks with ll,c more modest archaeological record

甘【-∶

l谩Ι捃l岛 T茹宅J∶芹r拈:T;啻苜Ⅰ去::絮;1濯:靶)浏y跏曲e same order⒍ magn lt de凼

182 Ro`刀en″

'/lllJ】

夕

In the\VaⅡ ing states penOd,the m句 。r po、 t,e^drew on con“ ript armics。 f

tens and perhaps hundreds of thousands°f peasant$and eVCn in the Qin and

Mrestern Han periods,univeIsal conscripti。 n proppcd up rhe miIitarˇ appara

tus of tlle uni丘 ed cmptc It was not unti【 the E孙tErn Han pertod tllat profe孓

s,ona、 ,Convicts,foreign scmcrs,and mσ cena“es took o,/er旧 How werc thesc

conscripts Provided for?l am not aware of any evidence of reguΙ ar monetary

p呷mcnts血 the Pre-Han Pen° d” 【f tr° °ps lvcre mostly Pro,/“ oned血 kInd,

bronze cash wotlld have proved adcquate for smau addltl。 nal outla阝 FO lt is

perllaps not a∞ incidcnce that in tlle same Perlod,at thc opposite cnd of the

Eu【 孙ian〗 and mass,the lVlcditerranean pos· er that empIoyed hfe-qcIe con$rlp~

“on of smaⅡ holders° n an unPrecedcntcd scaIe was aΙ so ule one tllat initiaⅡ y

disbursed p呷 mcnts in the form of(lar旷 )br。nze coins and aPParcndy fck no

grat need for prccious metal coinage aslong as"Poma“ l。 缸·pd opponenlsthat

emPIoved【 lle samc虹nd of bronze money1t was° n1y whcn lhe Roman btate

becamc more deeply engaged with GKck or“ HeΙ Icplzed” communities that"

added snvcr c。ins tO its armo吖

Even increasing profossionalization丘 om thel。 te Western Han Peh。 d onward

nced not have caused dramatic changes The bcst evidencc o pro访 ded by exta-

vated c。 ins丘om Gansu and thc border K昏 °n$to lhe west Large丘nds° f Qin

and early Mrcstcrn Han bnⅡ ″'″

gc。 ins h Gansu document Ⅲonetary dcmand

Creakd by tlle n。 vel ambkions of the imPerial state at the丘 ontlen l/l⒓ h〃 c° ins

Were sub鸵 qucndy lOcauy manu角 ctured h Iargc quantities’·

In add讹ion,occa-

sional hter r· ferences to thc a【 rl△/al of additlond c° iΠ 仔om cen△ al China poillt

to the nettransf。·r° ft冰 【c浓 n.le h t.·lsh iom the∞ le tO the peiphc吖 :∶

=Farther

west in Xinj:an乡 nnds。 re mostˇ Connned t。 CmPortcd);v“ zh‘ coin5仔 om the

Eastern Han period wh。 se prcscnce coinCidcs wlth Han mⅡ itary occupati。 n=’J

The wood sups bund缸 u△e gar“ s。n of Juyan in Ιnner MongoIia tIlrow some

刀Ⅰc Mo″ eFl,〃 Sl‘ 记冫刀so●·llg Fft″ d″〃Ro″ m″ E冫″pi″s ⒙1

and l9tcr outpLIt⒖ gure⒌ the eady tallics may be exaggerated;they necd not

alwa)'s rpfcr lo aCtudl gold;or they m吖 be corrett but renect thc success￡ ill

seque时 ration of a§ ets by the state Regardless。 f which option、 ve prefer,there

can be1ittle doubt that gold and especially silver were scarcer in ancient China

than in the ancient Med⒒ erranean Hot°Ⅱcal compa^son曲 o、 v‘ that tlle meta1

supply rcPeatedly pla阼 d a cr扯 ltaI lole in determini∏ g the cha./acter° f dillerent

CurrenCy s阝 tcms The eadicst‘

`egean”

c° ins were made of eIec“ um found°n

Mount Tm° l。 s and h the Paktol。 s Rl状 ri∏ Lyda Snver d。 mlllated the Creek

CurrenCy s阝 tcm than“ to the depo“ ts of Attica,ThraO,⒌ Phn。s,and Samos

Central Asian and hdian g。 Id supported the Kushan and Gupta dinars C。 ld

0sues by Celtic P° hdes were driYen bysupPl≯ just as bul⒒ on imports缶Om Nubia

and由 e sencgal`Niger region acc。 unted for the腔 mporary shi丘 lr° m snver t。

gold currenoes in the early I引 amic Midd讵 Eas“ the°pening°f new minesin

b,。 I丘h and thirteenth century EuroPe ended the previotls monetary rcC6“ 。n;bur1ee∏ th ccntury g°ld imPorts rrom Guinea facdltated the砖 h订oduCtion。 f

gold coiΠ age in lat medieval】 taIy;the docovery ofoch Tyro1ean si1vcr mines lll

the n丘 eenth century and subsequent mⅡ six/e trans攵 rs命om the newˇ acquiled

SPan恣 h territ° ries of、 1exico and Peru sustained the productlon and cVcntu,91

dominante。 fheaw“ l·er c° insin wcstern Europs and Braz∶ han gold supp° rtdthe hcr British go⒙ currncy∶ r户dl tho sugges‘ th扯 the reIativc stdrClty。 fpr←

ci° us metalsin anoent China mn"ated against the creati° n°femPir⒏ wide gold

or silvcr currenCies

7J 0"″ m氵 Fr,d0阝

thc impact of suPPly cons订 ··lnts mη `have been leinlOKed by a lack of struc

tural demand br normed h培 h value l。 w-weight m° netary hstrumcnts in the

FOrm of preo° us~metal coin、 hⅡ e thc re孙 O ps奶 r lhe creatlon of Coinage h

飞cstern A“a、hn。 r arc co∏ trOVerslaI-and曲 e desire to pa,mercenaries may

not bc the m。 st comPelling soIu“ on on o涣 卜 and whⅡ e archa∶c Greek toin

a莎 ,oncˉ ad。Pted,w凼 弁eque"l1· used in prls/a弪 m“ket exchan扩 (as the gr° w-ing es· idence br smJl⒈ denomina“ on siher c° ins v。 ry c° mpdhngly bll。xs s),

subsequent im订dtions。 丘en apPear to have becn triggered by mihta甲 need⒌

th、 o almost certainly true。 fthe Hclknlsuc klngd。 ms,imPσ ial Carthage,and

RePublican Rome,and probab1y of va"ous【 beoan,Celtic,and Iranian pohties

as weⅡ In the late佰 urth century B c E,the area of c。 in use in westem Eura“ a

suddedy hcreased se爬 raΙ 0mes by folce of arms aIone,and this exPanslon w孙

subsequenuy sustahed by m"itary mnding dcmands

刀】e Mo″ er,zr,岛“″羽s吖 汕c HillnⅡ

'R。

″`″

助,p rFs 183

light°n the imPortance of∞ in h a mⅡitary setting duringthe1ate Westcm Han,

Wang Xlang,and earliest Eastern Han periodsF(Xralucs we【 趸generauy expressed

in cabll term⒌ m。 re speCincau≯ whue mIlltary sa1a,entldements we【 e always

quantined Ln tllis wa” the actuaI pa0lents could be made eithcr in coin or in

klnd。 ;】 t has been ar囹 △ed that cash paplents predomina腔 d,and Hclen Mrang

notes tha攵 the龟 ct tl at llle pr。 posal to resumc w】 I ll〃 p【oduction arter thc Ks

toration of Han rule was KP。 rtedly madc by Ma Yuan,tllc go浓 rnor° f Lon抄 i

(Gansu)may rpnect the demand for cash at the northwestern丘 °ntie⒎∶“How-

e· ,。马Wh⒒ e th6e te·ts1ea收 no doubtthat°路∝rs and assooated o访 Iian o伍 oals

Were at least in Part c。 mpensated in cash,it话 not at au clear whedler ord⒈

Πa〃 s° ldiers c° mmonIy rece"ed p呷 ments in thc form of c。 in For instance,

the monthlv allowance of3%sh油 。f graln tlequCntψ 。sued to regular ser,ice-

men_amountingto66lIters and Cqulvalentto someWhere around20l0dOo cash

as we⒒ as suPpΙ emented by sdt.atlo∏s and smauer f。 。d alIo、vances for ramⅡ y

member卜 m呷 weu ha· e repr“ ented thc total c° mpepsatlon of pri叼 tcs and(at

∞mewhdtlol,crpay kvdω okon“ c6==’ I且 thC matllre Rom如 Emp订c,b,∞⒈trast,omyP。 rtI。 ns ofthe nominalsaldJes° fc°mmon soldicrs wcre eit虹 er conˉ

vertcd into aⅡ ocati° ns i且 kmd0r rctained in personal acc。 unts·’:Thu6,in the

Chhese casc,initial rohance on∞ nsCriptlon,an emPhasis。 n paymentsin khd,

and the ab货 ncc° fcompet:t° rs operathg Preo° us-metal curr· ncy s阝 tems Fancd

to C四 atC strong demand for large quantities of standardI,ed hξ h t° mediumˉ

value and I° w~weight m。 netary oblects夕’

The extcnt to WhiCh dirferent demellts。 fthc P° P llau。n uscd preoous metal

for monetary purposes is a№ r澍cvant here A much latcr obsep。‘C,u⒕△-in hIs“ kc° rd of DaⅡy K五owlcdgc,” may hal/e cIaimed that“ du“ ng Han goId

orculatcd among both upper and lower c1asses” Ⅱσ H° wever,later rep° rts were

ulumateˇ spun。 tlt of rcp° r‘ oflar旷 amounts ofvcuow`″ handed。 utby Hanrulers and need not rencct anv genuine knowlcdgc of P锱 t conditl°ns As】 have

〓郴揆裂轴到卦<巛

圣靼

184 R0冫冫:e田"dC乃

i`Jn

out⒗ cd above(settlons41-2),gold usc was Pomarnyˉ albelt not exClusⅣ clγ`-孙sociated with ehte pfot,ngonists Iftho image renec‘ Kali0⒖ Ⅱ might be helPml

t。 dcnne the imPeod monetary wstem in tcrm$of“ transactional ordersJ’ 1、 ls

concept,d"dopcd by paⅡ y and Bl° ch and reccIldy apPhed by Kurke to t,he

study° fexchangc and mo∏ e‘zadon in archaic Greece,derⅡ es fiom the° bse「

v,ltion that“ mally‘°cleties cons“ tute thc acuvities° f exchange and economics

as“Vo sepa【 ate but organicauy ar伍 culated transac“ onal。 rdcrs、-a“ longˉterm

transacti° nal° rdcr卜 ha刂

`alw呷s pos:tix/eˇ valued,insofar as"o percciwd to

perPetuatc aΠ d reproduce the la唱 er s° c诒land c°smlc ordcr and a short term

ortier in the sPhere° f indi呐 dual acqu砾“°n that“ t.ˉ nds to be moraⅡ y unde

termined slnt~。 ⒒concerns llldiVldual purPosCs whIch are largely iⅡ elevant to

the longˉ term order刂 In the eady Grcck c° nte纹,珀Jrke singles out binarIcs‘bpposlng the s-bohc‘ renned g。 ld9of aristocratic加 纟rrljr0氵 t° dle圮 un诒 rfeit

c。 ir。f the c“ luded k,lko氵 ,opposing the stabk and secuF orcu⒒ of eLte gi丘

exchangc to the iΠ docriminate and Prom芯 cuous orCulatioR of Ⅲoney in the

Pubhc sphc【 eJ’ "=

Thc memo“ al of Cha° Cuo,set in【 78BcE,might pro缸 ably be interpreled

withl】 ltho⒍amσvork,cmphaslzlng as it does thc subl/ersts e PotCmlal of higi

value o” ect⒌“Peads,jadc,goId,and“ l,/e【 are⒒ght,sma"articks,and are easy

lo hlde H,△ ving them in one`grasP Ia personl can tras· d all a.ound withln the

seas Withou“ he hardshlps ol hunger or c° Id These mLtse those in go1· ernment

Posi讧 ons hghdy to turn their backs upon thcir rulers;Itbese causel peoplC indii

fcrendy to go awav⒍ om thet naux· c loWnshIPs⒒ llese gi收 l thle1· es and r【 ,bbe阝

the incen“ ℃ 丨for c“ mcsJ;and Ithese makl lu矽 ti收 s able to hax/e1ighdvelght

weahhr=’ ’By c°ntrast,the text gocs on to relate,grai∏ or textjIes are too hc肿 γ to

carry around,)net essentlal⒗ rsuR· l1· al the imPhtatlon bclng that dlose with-

out∝ Cess to preCious lowˉ weight tems are reduccd ω uslng dlese∞ mmod“ ics

and henLe safcls· pinned d° wa“ F。 r this reason an enⅡ ghtcned ruler csteems tllc

咱Ⅱ 莎ains,’ and lXespoes名 old and`dC'卢 dth° ugh tho tcxt docs not say ln so

many words,the pbvsical burden rePrescnted by highˉ value amounts of bronze

coins would also haⅡ serV· cd to c° lnstraIn undesirable mobdlb·

Nev·.。 rthcless,with regard to Han China,tnnsaC0onal cons"ai“ s may wdl

havc been more rclaxed:n practice:the anecd° tcs relatcd∶ n sec〖 ion⒋ 2sugˉ

gc纹 由at commoners Were仔 ee t° handle gold in as much as they were ab1e to

afford to Dc facto,howev· e6most Pe° Ple,for most° fthe ume,nust have been

excluded佥 °m the gold cconoΠ

`At nrst slght,dle sltuatlon Ln the Roman EmPlre丘om3臼 c E Onsvard,aIld essenllaψ al【

eady slnce the2ω scE,bears a丈 ropg

!ciik ωvntti C tl“ g0mongˇ Ⅱe Pk.r丬c;whc￠ 西 gdd knd‘ to bc p° n,呻闷 否 drm%“ ng h m° re p汴 uot

184 R劬Ⅱε口氵ld Ch氵`:“

r,u山 ned abox· e‘ cctIc,ns4Ⅱ 妙,驷 l i tlsC was prularlll/ dbeIt nct“ dus"clY

assoClaⅡ d Wkh ehte protag° nlsts rthis image re且 ects realit弘

"might bC hclp血l

t。 denne the imperlal moneta,s泠 tcm lll terms of“ tnns∝ tlonal orders” Th:s

concept,deve1oPed by Parry and Bloch and recendy apphed by Kurk to the

study ofeKhange and mone“ zadon in ar。 haic Greece,deril/es flom the obser~

vatlon trIat“ many sooetles constitulc the atilv"ies of exLhange and economics

as t,v· o seParate but orga而 caⅡ y ar“culatcd transactional o记 趸rs”_a“ longˉtcrm

transat“ onal order Itha刂 。alwa冷 p【 ,sitix· cˇ valued,i∏ sofar as⒒ o pcrcoved to

perpetuate and reproduce the larger social and cosmk° rder· and a shortoterm

order in the‘ phere of lndi访 dual acquoitlon that“ tends to be mo了 alˇ unde~

1ermined∮ ncc i1conce【 ns lndlv· ldual purposes which afe largdy irrcl四 ant to

tlnc long term ordeFJ In the earll Greek context,【 Jrkc slngles out binarles

%ppo⒍ ng thc svmboⅡ c‘【c丘ned gold· of aⅡ stoσatlC幻￠rrl`ro氵 to tIle℃ ounterfeit

coul’ of the cxdudcd k四 火oj,oppo“ng the斑 ablc and secure circult of elite gi众

cxchange to the ind;scriminate and P【 o】n:scuous circulau。 n°f moncy in the

Public sphere”丬

The memorIa1of Chao Cuo,set ln178BcE,might Pro丘 tably be in弪 rpreted

within lhls tamework,emphas讫 ng as it does the subvcrsive potcn“ al of hlghˉ

、alue oblcc烛“PeaHs,jade,gold,and siIl/er are l熄 ht,sⅢ au artkles,and are easy

to hldc Hav】 ng them ln onc、 gmsP〔 a personl can"aVd al1around witbin thc

seas without the ha【 dships of hun纩 r or cold these cause those lll gove〖 nmcnt

posi“ ons Iight灯 t° turn thcir baclxs upon their rllkls;"hcse causel pe° Plc indIi

terendy to go awav from thclr na1】ve townshlp⒐ t由 ese g】 ve1·JllCves and robbcrs

tlle hcentl1· e丨 lor crlme引 ;an i Ⅱhese malsel iIζ tl,6ab怡 to M⒕ Ⅱght,o,e唿 llt

wealth∷》By con仃 ast、 the tcxt gocs° n to rdatc,grain° r te对 Ⅱcs are too hea、γ to

tar/y around,rt essential允 r suⅣ i△ a⒈-the impbtatlon be血 g dlat those。 mt怔

out ac∝ ss to preCious low-weigllt"ems are rcdu∞ d to dsing these commodi“ es

and hence sa佗 灯 PlnnCd iown“ FOr thls rcason all cnll逭 氵1怡ned ruler estecms the‘nve glainsF and desp△ es gold aqd扭 deJ’ 妒dthough tho te× t docs not‘ ay lll so

many、∞rds,thc ph阝 icd burden represen贮 d by highˉ aIue amoullts of br0nze

c。 ins would also h羽 escwed to Cons‘aln undesirabk mobiIlb/

Ngertbeless,with regard to Han China,trans∝ 0onal∞ ns“ alnt‘ may Well

have bccn moIe【 elaxed ul practice the anecdotes relatcd ul scttIOn乏 2su⒏

ge酞 that commoners werc亻 ;∶ee lo handle gold ul as much as they were able to

a【ford tO De facto,howes· e马 most people,for most° f thc t山 e,must have bccn

exduded fiom the goId econom乒 At丘rst slght,thcsituatIOn in the Roman Em萨 rc

命om367c E onward,and essen刂 auy址 ready sln∝ the260scE,bears a strong

刀昭M仍昭ro〃 sl'‘ fo″ s∝ ●·g fit Ⅱ·。Ⅰ″Ro`″四″ε,,P氵 ″s !Bs

resemblance,l】l formalterfns,to thatin Qinˉ Han China∶ in b° th cascs,tllc m° netary s泠 弪m was bu"t artlund a“vo~“ er struα ure of gold and bro∏ zc Lookedat m。 re d° $eI弘 h。 weve‘ Profound dl臼 tren∝sc° me to the fort Thc late R° nans阝tem reIied on(coined)g° ld as an anchor whllc bronze or copper wcre Pco~

odicaⅡ y aband。 ncd to debasement and dcvalua“。n This m°dus operandi was

嬲 紫 丑摞 黑 R∶扌社:∶愚t蓦 :t∶:Ⅰlj∶:;;∶∶〖:∶∶泫罗 Ⅲ 窝 棣 Fablc)base metd den° mha0° ns,creating st∞ng structur胡 demand for goId由 at

had no parallel in ancient China h fact,as the Han b【 onze coinage remained

stable ror most°f曲e time,theimpetus for a“ ∏ight into go1d’ f⒒ exlsted at au,

h·ouId have been much wcakcr than in dle unstable monetary environment of

the later R° man Empire】 n consequencc,gold use would h猁 e rcmalned m° re

(sociaⅡn hmited than lI,theIater Rom8n Empire

CondltIOns in anClent China m呷 have had morein common Wi曲 those Ιnrepublican Romc,where g。 Id bulh。 n腚r火d asa m钩 ns of paymcnt,store of

weaIth,and unk ofatc°untˇ △ne its。 x·e弘 n“gnincan∞ f。 r the la侄 republkan

economy o di伍 cult ω dctermine,Hollander stresses the casudl way In which

dite sources(cspe。 auy cicero)reler lo the uˇ of un∞ hed gold and sllκ r h

monetary transadlon⒌ btluion was deady regardcd as a usenil and n。 t at all

uncom m° n form of m。 ney∶∶日On occasion,rcciPients collld evcn be low dass,

such as s° ldiers。 r even slaves B50verall,howeveⅡ buuion订 ansa欲 ions apPear lo

have been hmited in thc丘 rst instan∝ lo the state,the Weal由

`and traders~Thekey diHtrence he‘ in the reIative abundance of$nver that c。 uId be turned lIlt°

C0lIlin thc W℃ st and its nea【 absencc⒍°m early China

Howeve6thc exJstcncc of a stabΙ e bronze coinage systcm,the apparent scarˉ

ciW° f gold and especlalˇ su,· e6andlow stucmra1demand for p·eoousˉ mctal

c° in are Insu伍 cicnt to a∝°unt fo【 the faα that gold and silx· cr did n° t nor-

maⅡ y orculate ln coined torm-″¤r召昭″i河 lIl彷 fc″ q“o″ r氵艹氵6∶ ;“ The stamPedg°ld plates of Chu,sould have pro” ded a w。 rkable temPlatc,and later° n,the

Chinese st征 e encountercd“ Grcckˉ sⅡ e” coins in its western protect。 ratc in Bmˉ

jiang H,· brid Ⅱwcstern” Ⅱ屮e∞ IIls that Combined№ ro晶 thi(ie,Indian)and

Chi,nese1egcnds were in fact produced at the intersection of the b,· o moneta吖

sPherCs,∶⒘yet Were n° tim"ated in China proper、 vhere precious metd c° i灬

we【e onˇ osued under foreign domlnatlon3s1ater arrl1· als of sasanld and cady

Tl:e jVfo″ e抑 ,`s,‘惚″‘or″ lC Hrl"n"d Ro`″ n″ Elllpjrcs 185

resemblance,in formalte〖 ms,to thatin Qin-Han Chin⒏ 血both cases,the m° n-

etary system Was bunt ar。 und a r,· ,oˉ tier struCture of gold and bmnze Lookd

at more do时“howeYes pro钆 und diferences come to tlhe fore Thelate ROman

s阝 lem lelltd on〈 c° ined)gold岱 an anchor whllc bronze or coPPer wcre pσ ⒈

。dically abandoned to debasement and devaIua1ion This modus operandi was

conduci恢 to thc钇 rmati° n ofa corresponding bs·o tiercd economy ofp。 vⅡegcd

roplel ts and owners of(rellablΘ 即⒙∞h alld dIsadvan⒗ 纩d“e阝 of(unrel1-

able)base met贰 denominations,Creathg strong时 ructural demand for gold that

had no parauclin anoent China ln兔 ct,as the Han bronze∞ ina舻 remalncd

stable fl,r most ofthe time,tlle imPetlls for a“ night inl。 gold∫’ifi1e姑stcd at aⅡ ,

l△·ould hal,e bee∏ much weaker than in the unstable moneta吖 env· lronmcnt of

the later Roman Empirc In consequence,g° ld usc would havc rs。 mained morc

(s° ciauy)limited than ln the1ater Roman EmPire

Conditio且 s in ancient China may h猁 e had more in cOIIlnlon W:岱 those in

republican Rome,where gold buⅡ ion sewed as a means of PalT,Cnt,斑 ore of

wealth,and un"of account WhiIc lts clveraⅡ “gni丘 cancc for the latc rePublkan

econony o difhcu1t to determine,Hollander stKsses lhe∞ sual w呷 in which

elite sources(especiaⅡy Cicero)refer to the use of uncoined gold and sⅡ ver in

Ⅱonetary trdnsactlon⒌ buulon was clear灯 regarded as a uselul and not at all

uncommoB form of money∶j日

On occaslon,reciP:ents could even be low dass,

such as sddlers or四 cn slaxrcs∶》Overau,h。 wwe.buuion transactIOns appearto

havc bcen Ⅱm"cd ln dlc6rst instance lo the statc,the weaIth弘 and traders Thc

kev dlIfcrence lics in由c rclativc abundance of silver that could bc turned hto

c° ln in the lsest and its ne盯 abscnce佥om earˇ C缸 ina

Howeve6the c珀 stence of a stable bronze coinage s,stem9tlle aPparent“ a⒈

0〃 ofgou and espe。 alˇ slller,aIld lolv stru“ ural dcmand lor prcoot】 sˉ metal

coin arc insulrncient to occount for the佰 ct that gold and sdx/er did∏ ot norˉ

mauy。 rclllatc in Coined fonn-″ or″ elI加 lll″j招

'饣

“四″氵i‘j‘·i° The stamped

gold platcs of Chu wotdd have Provided a liorkab1e template,and lBter° n,the

Chljlese state encounteled“ G【 eersqlF c° ins in⒒ s wes弪 【n protectorate in y1n

jiang Hlbrid“ wcsterr’ ~t”ec°血s th破 Comb∶ ned Karoshtlli(ic,Indian)and

Chincse lcgcnds were in侑 ct produ∝ d at the intersec“ on of dle Ⅱo moneta吖

spheres,·J Vet Were not imitated o China proPcr wherc Preci° us mctal coins

were only lssued undcr forc鸠 n domination3:Later arnvals of s邡 ailld and eady

:话 l器 i:∶l∶f∶|扌湍帛:紧用茹求nE。 t⑾ H仓 n"伽 a咚 Ⅱu咖 ⒗be b"r而 ub“

犁::∶∶卩甘:∶∶∶l;;槛 l∶∶{∶1品揣镙盅宋11兔 :;;∶∶帮毖黠1榀 I汹“ω“’拓κ1∝Π

拄茎

w"娥

一mη

一1书

r

艹就

一其岙哦

188 Ro″ 昭臼"d Cl】

``l臼

dotlnct饣°m tllat ofits medium and envi⒍ 。ns monetaryˇ alue as a ftlnctlon

of state6at、 1oder∏ “h。 larshlp tends to stress thc metallotic foundations

ofthe R° man imPe“ al and Prov· 】ncial currencics on thc one hand and the

nduciary character ofeady Chine父 c° in on thc othe【 ∶小H° wevcr,lhe implicd

contrast between these t、 v° systems ls in large Fart ima昏 nary∶∶栅it ncglccts

both the疯 duciary dimcnsion° f Roman coinage and the ph阝 ical cons1raints

that govemed c° in use in China Dcsp扯 e Profound dilferences in terms° fthcrelatii e,·alue of the∞ ns"tucnt eIcments° fthek monetary° blects,the t、 vo

currcncy systems had much in c。 mmon ln b° th cases,thc cxchange vaIue of

coins was determhed by a combinati° n° fthe订 intrin$It mctaI-vaIuc andusers’ wmingness t。 accept them at their n° minal value,a wilIingness that in

turn dep辽 nded° na wh° lc range° f factors such as informatlon costs,trust,

and ch° icc,au of which were to s。 me extent a funcdon of state power andp° hcies

The“ nduciary moder’ °f chinesc money surcrs斤 oli a variety of probkms

For examPIe,"n∝ ds to account forthc factthat Qln c° ins were exp⒒ odyIabcledwith a weight den° minatlon(0n″ ′lrl呜 or“ ha1‘ ounce”)Llat the state at kastlni心ally s° ught to adhere to∶ 艹0ne re∝ nt° bser,er notes the“ app扯 ent conˉ

traclIctIOn of ha△·lng a nduoary∞ Inage where the coin inscr∶Ptlon indIcated a

precoe weight`’ :I‘ But tho contradk‘°n bec。 mes apparent° nls in retrospcct,

in lhe context° f gradual woghtl° ss° vσ time H°wever,thc in∞ ntIOverjble

lactthat br much°fthe third century B c E c。 in weight订 ended1owcr mustnotbe i∏ tcrP四ted as a“gn that k wass。 mehow i【 relex/an⒈ compeotlon by underˉ

涩吉:扌吼丨l∶1F拣 :∶:厚:t∶:丨:穿:∶胥:嚣苕Jr点 ;生秽⒒嚣f∶:黯

摁絮廴:∶茹帚l::黜 :∶∶:∶吒s|鞒f∶滞描栈〃留嚣蹴 蕊托溜ξ∶∶l∶l;思翌Tl絮 w;|ti∶ :∶l:渥T∶磊芷冱滗

‰ 蔬j哩

;l{ii罚 抒 猛 Ι∶:;丨 扩

吣 h‘"p°

nR°m洫 跏 n。se t吣 讪 Pls a耐a,r‘ PtsPevnˇ

F吝 (芏只嚣戋扌Ιn::邮%Σ掼杜嚼氵:∶ξ∴∶1∶ J扌⒒i￡器抟奋J品了淋;::絮

擀飘鞴擗椴蓝槲槲擀搔辅矿 氵错 :∶ 淡 :窘 1Ι :u::忑

·

摞 黥 丨各 ⒊ 觜

⒎ η :^5° Ⅱ 碰 咖‘△ P邙 Ⅱ刊 n”dd。。¨ 螂 岫"

刀饣 Vlol诏 JllV s,srcl,Is or· lCH“″m'Ro″ nli EflIpjrcs l坳

te【 m1nal wafs° f unincati。 n that、 收售ht staΠ da.ds l【 ePt sllding小 1,Vhat we a.e

°bserl/血 g。 the lllc【 emental ero“ on of a wstem° f ideal灯 钆⒈b° dled br。 nze

coi∏ that was unab】c to withstand thc stress of Con11Ilu。 us large scale war and

consequentˇ sp订 aling state demands

I drcady noted abol/e that tlle Qlll reguhtlon llldt sought to ento【 ce lndls

crimhate use of coins of uncven quahty hints at the ex】 stence of dl,· er扩 nt

cwryd呷 pr“ tlc6in lhe su丬 ed popdatIOn“ ce nb° x·c,secuon2)Be th改 as k

mav,i1ls simply incorrcct to daim that thc‘ 、amboo shps fiom Yunmcng Pro〃

that Chinese coins did not ha彳 an int“ nsic vdlue,but instead佰 ncu。 ned as a

mcdum of paymcnt,ng〃 ε':lpo″

by the statc and thc pcople” (my⒒ ahvs)=’

these tex‘“p,oW” n。 thing°ftho k1nd:the only thing they demonstr狃 e t the

丈ate s avo、 ,·ed tnten“°n to cQerCe"s sublects into acCepung丈 at← lss屺 d coin

w讧hout regard to its Preose physical characteristics They do hot and indeed

cannot reveal whether tllo measure met with success or faiIure,nor d。 tlley弪 ll

tls an`hing ab° ut tlle amb⒒ lons of dle sta弪 be” nd由e∞ n6nes oithc h臼 Qlll

period、 Iore° κ6the龟 Ct that this nduciary premisc was unⅡ ateraI灯 imPosed

b)`the state rather than in any meaning乩 I、vay“ ag【eed on” by socie〃 m;ght be

taken to stI眈 est that a genulIie token colIlage、 vas∏ot a viabk opt⒗ n、 Th芯

imPression ls rcInforced bˇ Jla Yi、 memo“ al of175B c E that referred lo dlc

people`habit of assesshg coins according饣 o thcir phvsIcal properties,a practte

that would sccm unsurpo“ ng and indeed una△ /oidable if cOIns、 ,cre thought to

bc valuable because ofthcir weight and^neness but uninte11igible if unquestionˉ

ing accePlancC° f6at omcs had been the Πorm

0nce state revenue$had been Put on a more sohd basis,the maturing Han

state w灬 急ble to攵 ake propcr acc° um of metal1istic concems Thus,whne the

ear灯 Han D日 刀′勋`l。

o沁sues had con“ nued ule Ql】l trcnd tovvard creeping、voght

loss,the lntroduction of the lˇ “z乃 Ⅱ format in the ll0sBc￡ marked a钆 ndaˉ

men澍 shlft to bngˉ ⒃nll con“ sten呷 and侑 iψ ￠aue lnt“ nsIcˇ duc⒕△,Jl“

coins of thc、Veste【 n Han period in ovto(paruy overlapping)modern samPles

exhlbit a beⅡ -cus· e shapcd welght dlstrIbut∶ on that leas·es no doubt that state

mints aimed for a set target woght that was sublcct lO peIiodlc adlustment(ng

ures72-73and table7I)

Itcatches the eyc thatthe cadiest w“ ~ˉJ】“0sues(l18113:cE)tcnd to ek.eedthet n° minal weight°f52宀〃by an alcrage margin of20percent(or lz凡 ΙJ)r metal c。 ntent mattercd to use【 s,thls would havc been a suitable means of

estabhshing the credlbiIi〃 ofthe new cuⅡenq that may howwes nothaw been

19o Ro7,I召 四`l'CV:氵

″四

邑 :I∶;1∶ r}驽孚:∶

d洫汀玩 fI° l】 or’ l"m凡 u的 而“ i矽 BG三 igJ G引

窖爸军导J’

钭岛B吕

骺 男 氵‰ 找 迎 、

’·I° ’l旷仍 咂 zllu咖枷 洳 c。 lledⅡ mg跏 iglllll

souK⒏ shangh“ Bci nlguan qhgt° ngql yan” ubu19ˉo '

砀 e JVfo″ ￠仰 r/助 ‘佗″ s qfr幻 纟踟 刀口lId Ro″ 夕″ E,,,p`re5191

勋ol￠ 7J MeanⅥ 泥ight of l^勹`丬

Ⅱ‘C。 insin Di筘 erent Pe/lods

Nunber Mean、 ~诒 ightin Crams

l18-1】 3BcE (Thierry2003a)

n3:cE邙 cE(ThicⅡ y20o3a)

lla△ 9:cE(thierrv2003a)

338cE-8cε 〈ThIcrry2003a)23-181CE (Thierry2003a)

lI8BcE-8cE〈Snanghai 1970)

23CE-184cE (shan8hai 1970)

vlable in the long runˉ For山e rcmalnder ofthe Vsrestem Han PcrIod,a1· c,age

∞h wclghts closel· /app∞岫male伍 e notlon祉 targd we馆 虹、

八m。 rc detaiIcd breakown re收 als that dlese broad″ crages and owrau d。 ~

trlbu吐 on patterns c° nceal gradud.hange° ver t血 e(ng7⑼ untⅡ tlle Ⅱldˉ

first ccntu,Bc￡ ,thC nominal standard of5z凡 “appears to hale scrxed as a

吣

如

胡

∝

阢

汐

⒛

妞

∞

刘

⒚

姐

”

“

ωα№

F【 GvRE74Ⅵ 勿lg/II do访 DlIrfc″ oF2o。 MΙ zl△u coilIs n1召 :G;丬 纫 G:丿

摁枷鲷

Ⅱ

趣

ωο铷

°o 〓

~o elg

o w

一∷一~∷

·∷∷一一~·∷一〓∷一〓∷_∷一∷∷一∷~~∷

~一_

一一·一_一一一一一_≡~一_一一一_~一

_一_一一一一∷一一_~

192 Ro`7Ⅰε,l`i″ CV:i`Id

l°wer hm"rathcr than as a genulne target weight,gxen that a large proPortion

ofspeomens exceed5珈 “1t was only in the丘nal decades of thc Xtfestern Han

period tllat produc0on almed忆 【an犯 tualtarget weight of5z乃"tho slide con-

tinued in the Eastrn Han perlod,resul“ ng11a reduc‘ on ofabout25Per∝ n1

relatll/c№ the hitlal mean wcight ofthe mld11os B c E Itls str迅 0ng thatin b° th

samples,Eastern Han coins wcrc consistenuy cast acc° rding to o tar蓼 t、 ,· e熄ht° f

28g to3g that lvas approxlmately lO percent sh° rt ofthe nominal wclght the

bcl⒈ curve shape° fthese dlsthbu“ °nslndkatcs thattho was mht P。 hcy rather

than jusⅡ andom dippa纩 It apPc【n‘ th扯 the stat击med№ 破rd【e a bdance

between metal际Ⅱc stabdio,and由 e everˉ Prescnt deslre to inσ ease四 venue Thi‘

Cautlous approach o inconsistent with the Ⅱotlon that∞ ins werc mere tokens

and that use‘ were lrldifferent to ks metal coΠ tent Instead,△ o reminocent of

the Roman imperial P° Ii吖 of,/C吖 slolvly reduong thc、veight and且 ncncss of"s

precl° us mefal coins(see below)

0bscr踟 ble va“ atlon in nhencss re丑 ects s°me measuK of awarencss andappreciation of intrinsic vallle Metalltl呜 ical analvs。 of anoent Chinese∞ ins

is stⅡ hn ks lnlanq6and much more w° rk needs t° bc donc to p【 o"de us w⒒h

rcprescntatlve results N四 erthelcss,pre⒒mina,b· ork in tho a【ca has a1rady

begun to shed hgk on gcnerahrends Ac∞ rding to a pioneer stud” mean copPcr

content averages74PeKCntin a ve〃 smallsamPlc ofω ins Ⅱom the unined Qin

and carly Xsestern Han periods and subsequently rises to92perCent i∏ speciˉ

mens dat:ng佥om tk mldˉ sccond centu〃 B c E to the mld second ccnturv c E,

whⅡ e tlle shaF oflead dropped ftom I5to15pcrccnt Duong the follol,/lng

l,000year⒐ 丘neness was Consistcntly p° sitivc1y co【 re1ated with state strength

By anaIo卧 thls suggests that for some th田 e centur∶ cs Han snances werein,eaˉ

sonabIy good shape and tlhatthe state was CoⅢ m⒒ted to malntainlng high coin

quali,and stable weigh‘ ∶‘‘0ncc agaln,this Pattem Is loglcauy c。 nsistent wkh

a metaIIistic tradiⅡ on° f valuing∞ in but hard to rec° nCⅡc w"h thc notion ofa

PrCQOm】 nantly ndu。 ai∶】curren吖s泠tem

Moreoveb thc rePe仓ted fa"ure of genuine token issucs Provides an even

stronger and Potentiauy de。 sivc argument agalnst ule latten The unsuccesstul

evpe"ments° f、内Jdi and Wang Mang arc a caseIn p。 Int珈飞Ⅱe"o truc thatthe hlstori° graphical tradition was h° sule to thcse t/vo empe【 ors and sought to

c孙 t their actlons ln an unlavorable Ⅱght,thc sh。 rtˉ Ii昭 d nature of由 elr rcspecˉ

tive lOKen coΙ nagcs o an obl∝ tiκ fatt that o supportcd by the archaeologlca1

194 Rol,】 en″

'C加i`Ⅰn

coins bought l丿i″ 。fg°ld,gold wodd hax/c been wor曲 roughly500times

ks wcight in(uncoined)c° Ppe⒈∶田This rati° o comParat~ely low but by no

means imPosslb1e In China in thc second half ofthc fourtecnth centur≯ g°ld

may has· e bccn valued at l,600times its weightin copper,and in1908this ratio

stood at l to l,645∶l’’Howel/e‘ :n nelther° ne° fthese perlods dld the currency

s阝 tem dePend on mass Producuon° f bronze coin that drove up demand for

copPer In the Tang and song Peoods,by contrast,inclasticit∶ c$in copper outˉ

Put c。 nstrained co1n productlon and m° net立atlon:as a Consequcnce,coPPer

Prices rose rclat"e to those of other metals Mas⒌ manu缸cturing of w“ zh“

coins,r。 r much of thc Han Period wouId hkew“ e have boosted the relative

value of coPPer=⒍

Latσ rccords support Lhis co” ccture h thc cle⒕ nth ccntl】吖cE,the min←

ing ofcash regdady a“orbed some4,000tons per,ea6equivalent to the cntire

clutPut ofthe copper mines of伍 e NoIthcrn song EmPIF沩 5bnlⅡ e th。 咱ψ 。a

mul“ plc of the7o0丬50tons of copper that had b∞ n required to produce230

mdlion Han、 vⅡ zl】

"co△ns per涔 ar in the latc XAlestcrn Han period,it ls lItely

that fnining,leΙ ds had greatly incre贫 scd during the intervcning l,l00years∶仂

No output εgures are aVaⅡ ablc lor thc Han pcriod All we know is dlat the vo⒈

ume ofs山 er Productlon incFascd bebvcen l0and15umcs be"een Tang and

the Nodhcrn song periods∶臼ltis imposslble to teⅡ whethcr copper productlon

grelv to a葫 mdar extent嚣 Ho照l/e6r annu甜 ∞pper`dds had0sen onlv bV

a few times bcoveen the Han and the Northern S° ng Periods much忆 ss than

sI【 v·er output rose丘 om the Tangto the s° ng Peh° ds-the production of″ :I【 Jl“

coins、volIld ha艰 bcen su伍 cicmtoputaheavystrainonthecoppersupPlyofthe

Han state,drlving up the Price° f thls∞mmodiγ In佰 ct,comParatⅣ e eˇldencc

丘om other parts of the world shows that specinc co∏ nguratl。 ns of supply and

dcmand wcre Perfectˇ capable of gcncratulg high coppσ P0ces F。 r eXamPle,

in pdexandria h Egypt around1400,gold was、 vor·dl only490times as much

mc、 Ι。氵诏 扌n。′卸 s扌臼 ″‘吖 而 召H山 9n″ d Ro″ n门 E” Ip″ gs l,3

lecOrd and not merely a fdcne impre“ i。 n generated by negat1· /e spin XVudl、

“white mct,al`“ hide m° n印∫

’and“ rcd“ m” c° ins as weu as、 vang、 lang、 rfnq访″

,

k,i·es,仓nd spades had been introduced in resPonse to su呜ing state demand

for revenue and a concurrent desire to disctpline entrenched elltes∶ ;:E··cn r we

were to disregard tlle reas° ns fOr the∶r fanu【 e pr。仔ered by biased sources,we

、vould ncverthcless havc to conClude that1hesc token issues did not athievc the

desired resuks;if tllcy had been viable,they would not have bcen abandoned

as rapidly as they were Due to the nature° f the evidence,we cannot bc sure

whetller"w孙 publk noncomP⒒ance and iaud(as in0mated by thc sources)° r

sudden price innad。 n。 rb° th that d° omed these hno田 dons In the lollo、 ving

ccntlIoes,unmct丘 scal nceds pcoodic甜 ″tr璁墅rcd slmⅡ artokn芯 sues tllat als°

Iacked鸵 :1)`hg Power∶ ;扌

lam n°taxlareofanydircctevidcnCelortheintrinskvalucofcoinsffomthc

PreimPe“ al° r Han perlods【 n thc%ng mints around750cE,the produc“ on

of l,000∞ ins consumed123`lrl” g(thcn5o43kg)° fa n° rmed alloy comPoscd

0fapp了 0⒗ mately835PercCnt copPe岛 145Percentlead,and2percenttin Al1“ ˇ

hg IOr wastagF during the Produc心 on process.the6nohed coins were suPposed

to we坨 h lO0′ l,n`昏 or41g each,and汪 cost the authoritics750coins to producc

a string° fl,0oo∶j⒐

This nlpΙ ies that the intrinsk valuc of123`ia"g of this alloy

Plus lab° r costs and other° ≮rhead such as钆 eladded uP to750Cash XVhne“ e

latter expenses^re impos“ ble lo quanu“ the aPPhca‘ on of mass manu佰 ctu⒈

ing1echnlque$makes⒒ seem"kcly that raw ma1eria、 accounted for most of

the o彳 ra旺 co哎 °fc° in producuon A“ mple thought expeoment lndkate$the

Ⅱm沁 ofthc p1auslble r由 crc had been no exPenses bepnd thc procu〖 emcn1

°f metal(vvhloh cann° th钾 e been tbe case、 the htrlnsic value of a nnlshed coin

wou1d have equalcd6【 percent of“ s face value0n the othcr hand,∶ f metal

had accounted for not皿 0re than tlvoˉ thiIds of total productlon eXPenses,the

intrin“ c value would onIy haw been41Per∞ nt。 fthc nominal s· alue:t there

forc seems1】 keˇ that c。 ins were denominated at apprtlxImatcly bvicc thelf metaI

vaΙ ue∶ |n

The average coPPer content of Han ;v:‘ z幻 I】 coins1hat haˇe undergonc

metaIIurgical anaIy“ s o around85percent,simiIar to proPcdy normed%ng

osucs∶ H0nt№ simPliF,∶ ng assL npdon5that由 e lIltrinsk value of a glven

amou“ of aIlov of a(htg⒈ quaⅡ〃)Han or%ng coin equded dose to⒇ per-

Cent of"s weightin copper(glven1hnt admLxtures such aslead must have becn

chcaPer than copper),and that in the late`Vestcrn Han period21,000ψ Ⅱzh“

刀昭^如

″i.a〃 胁 招l,ls盯 油gH夕″n″d Ro″ I夕 ″EJ冫Vi/酉 195

as c° pPeh a ratio that haPpens to match my estimate for the late We$tern Han

perlod b氵

In hght of aⅡ tho informa“ on,thcrc o nothlng to sug纩 st that thc lntrlnsic

vaIue of Han bronze osues was min洫 al or stri.ˉ tl,dissooated from tlleir nom⒈

na1valuaJons and thcreforc° f mlllor imp。rtance,let alone irrclcvant lnstead,

various strands of evidence are c° nsistent with dle n° ti° n that the market

showed awareness ofthe intrinsk valuc ofco∶ ns and pr:ced thcm ac∞ rdhgly万 o

User d、crimina“ o∏ bascd on the Physical Pr° Per“ es of coins(a5insinuatcd by

thC Qin rules of the`″ bⅡ如j and exphci刂y reportcd in Jia Ⅵ、memorid ln the

H〃 ″‘宀〃),thc state mints’ sustained focus on target weights and le吹 1s of众 neˉ

ncss in tulles of丘 scal stabⅡ i〃 (as b。 rnc° ut by numlsmatk materlaI tom tr,e

shang%ng,late lNestc【 n Han,earˇ Eastern Han,and ear″ and mid-Tang pcr⒈

°ds),the mlll‘Ple welght adlustmen“ ofthe Han wⅡ zJI“ ,the ra“ °of intrinsic

to nominal∞ in vaIuc prcscobcd In the midˉ elghth centu〃 cE,and the Persi⒌

tent laⅡure of gcnuIne token lssucs au∞ nVe呜e in supporting tllis conclu“ on

Vhat ls more,thcse trends con1hued bcy。nd ule%ng perIod To the best of

"s_lncr铋ingly hmited-abn"ies,thc so】】g state sought to supply tl· e market

w:th laIgc quant⒒ ies of缸 ll bodicd bfonzc issues and tltarged onˇ m° dest sei

gnlorage As a resuIt,bronzc coin serv/ed as a store of value,and hoarding by the

weaΙthy was c° mmon n c。 nv℃ rsel,,both thc deb孙 cmellt of c⒗ s“ ng coin9Pcs

and the introdu.tlon oftoken coins Wσ e know∏ to prompt countcrfeiting and

Price innati。 n∶,∶

schematic dlstinctlons betlvccn a“ Ⅵ泥stcrn” prcference lor“ ftlⅡ bodIed” coin

and the“ nducia「 /” monetary tradl“ on of China are at best。 xa幽erated and at

196 Ro″ f四`】

dC乃 i"n

Worst se“ ously mlsleading The matuˉ e Han curren吖 system accommodatcd a

signincant dcgree ofsogniorage due to the ba“ c佰 ct that producdon costs br

base皿dal C0in are nontrWial relati,/c to tllc p“ ce ofthc raw matcoak、 1oreˉ

over,Centrah狞 d mass Pfoduc“ on of care钆 1ˇ normed c° ins and lcgal injunc

tions against pr&at issucs raiscd thc cost of countr灸 iting Takcn together,thesc

俗ct。 rs supp。 rted a relatlx/e灯 high m。 n°poly pri∝ of state coinag⒏ under the· e

circumstances,exen if the n。 minal value。fa wⅡJm coin e玫 eeded"s met破

l/aIue by lO0Percent,thC use ofstate manufactured base metal coin破 nomhdexchange rates remained thc least costˇ op“ °n for the genera1pub1k Itw岱 ollly

when Ihe st,ltc in"oduccd cash that was overvalued by a margi∏ tnat was high

enough to be both conspicuoLs and renderimita0ons pro丘 table that“Gr6ham’ s

Law” becamc ope【 atlfe,priCe innati。 n ensued,and countcr妾 lting proufera· ed

Mukiples of300,500,and3,00O cash undeI XN udi,。 f5,25,50,and up to l0,000

undcr Wang Mang,° fl00,500,and up to5,00O in the Thrce Kingdoms,and of

I0undcrthc Song a"缸 ll in tllls c仓 tcgory∶ ^The s阝 tom tolcrated onˇ a moder~

ate degree° f currency maniPulatton

Tho hmkcd dabiicitv of the rato of intrlnst Vduc to nomtnal VallIe was

by∏ o means unique to earˇ China r日 Regarding th话 relaoonship,comparl⒑ n

bc“l/een the currency s阝tems°fthe Han and Roman empires rel/eals文 riklng

“mll。 n"6Theta呜et sil/σ contentofthe Roman de”'r冖

阝ofone ogh吖 -foLlrth

ofa pound(c385砂 rem宙ncd unthanged lor b∞ ∝nttlriv。s from tlle180sBcE

until the cady nrst century C E lnstances。 f eXCepdonally intense Prcssure on

state丘nances oCCasioncd° nly rclatiwly min。 r and sh° rt hx· ed debascments

ar【 lund90B c E and in the3佻 BcE(see abovc,secdon61)Flom64to235cE_Very蚰 、vIy at⒍ rst and敌 an accelerating rate late⒈ the mean silver con-

tent of the d召 ″四″〃s fell by ab。 ut56pcrcent=i’ lt is un蚰 own to、vhat cxtcnt

P“ces rose in resP° nsc to tlle deCrea“ ng intrlnsic value of newly minted coin

a纩 :飞 vsable sc“al pote data are la昭 ely c° nnned t。 R。man E劭Pt whe【 e the

mcan“ ker content of the pro呐 ncial川 exandrtne tetradrachm传 ll by around

30percent bep,· /een the6os and thc16os c E whde prices rcmainCd stable and

by another50percent bcbvcen170and192c E The lattcr drop coincided w讠 th

rlΙ c ΛⅠ。″crnrl sl‘ 扌E`″ 5ofrlll,HtlⅡ 伢″″Roll'″ ε″P'6 197

a rapid d° ubhng of prices=i=This n】 ight be taken t。 suggest that suddcn largc

changcs in metal c。 ntcnt wcre more hkely t。 imPact poccs than slo、 v gradual

debasement Ber,△ een238and269cE,as6sc汛 demands pscalated a∏ d Pmci。 us

metalsupphes dim血 ishcd dueto incessant mnitarykampaigning and temporar/

血ternal;agmentad。 n,the“ lv钌 content of the new imPeoal sil· /cr coin(thc‘‘d。 uble” dc″ ‘lrⅡ、known as n″ 匆″j″ in″ I/s)fen by98percen△ g【°“ c。 irl wcight

was almost haked whne nncness was reduced仃 。m50to17pcrcent=;:0n∝again,the consequcnces oftho prˉ ciP订 °us sl记e remain ob义 ur。 Much the兕 皿e

is true of bimetalhc exchange rates The g。 ld content。 fthe imperial n″ 沼Ⅱs hadgraduauy been⒗ wered by55pefcent beo een the earˇ 丘仑t cen1ury and the240s

cE,traC灯 ng but n。 t ttllly keePing uP w⒒ h the concomitantloss of75pcrcent

of the siWer curKnc,、 inton“ c vdue【 n thc250s and260scE,as the扯 vo⒈

oprjnent of the n“ mj,~wh∝ e intrin“ c valuc remained rdat1· ely stabk_was

丘nally dec° uPled贪 Om the dramatk debasemcnt of si如 e鸟 n。 minal exchange

ral钋 bcⅡeen g。 lcl and sllvcr colns are llkdy to ha,· e comc untier郸 ovving pres-

sum Unlortunatel≯ tbc ex/idence sheds htue hght。 n actual。 utc° mcs in most

Parts° fthe Roman飞“Drld In EgyPt,prices apPear(。 havc remaincd佤 irl,“able

thrc ughout由 o period butsuddenIˇ rose moF than tenfoid h the mid270scE

whcn the imPeriaI gol/ernment o伍 CiaBy retari仔 Vd the imperial sⅡ ver c° inage

in、旧ys that aPpear t° hax/e muscd k to be conspkuou“ y owrvducd reh扛 1·e lo

c、sdng丈andards A sim"ar hnk beⅡ een orrCial retarirnng and sudden p“ ∝inna“ 。n has been suggested ror3o【 c E when the state d° ubled thc nominalvalue。 fsnver and biuon c。 ins reIative t。 g° ld∶ price c。 ntrols that1· er← unsucˉ

Ccsslully△ mposed immediatel,afterward may have been an attempt to curtan

an ensuing° r anticipated rise i∏ Prices∷9

Tho suggests a c° mplex KahtJ/in which b。 th° moal valuatons and the met蔽

yalue of c。 i∏ s were° f relwance and叨 dden goⅡ mmentinterven“ o∏ was thc

principal cause。 f thc market’ s reilsal to axˉ ccpt certain r厂 pes of coin at龟 cc

valuc卜 01ust$the Qin state°fthc third century B c E had s。 ught lo ass鸠na

un1form vdue to c。 iΠ s° f di“Vrent w。 ghts“ eˉ ab°r,secd° n2),thc R° m all

authooues exp∝ ted t。 determlne the ra诒 s at Which δtate manu幺 ctuFd c° ins

、κreto bc cxLhangcd regard1。ss。 ftheir Precoe ph阝 ical proper"es R°manju“ 欲s

repeatedly empha“ 夕d the interchangeabn"y° f individual∞ ins,the cllaractσ

of any(Roman,though n。 t fOrelgn)coin as the emb。 dIment of a given Yalue

°【P“ce Φ诏r″ ″″)and notas d c。 mmodiψ (`7iε “),and由 e cxpectatlon that the

value of R° man c° ins was a乩 nc伍 on oftheir numberas opp° sed to thet actual

und孟JlJ指丬:l1岁 le&蕊∷殳找t甘 ;∶京嬲黹紫1】盂le淋1J;;r|:J::∶ l

198 Rof冫 ie'″ d CV:i`J曰

weight虫 、Vtlh1n the empir。 ,tne market tolerated0。 w down、 旧rd trends in coin

weight and rlneness in thc scnse that P“ ces d° not aPPear to have inlmcdiately

responded to each incremcntaI redu.tlo∏ of i∏ t“∏sic valuc At lhe same tiⅢ e,

the gradual disaPpedrance of the l° vl,est Vdlue denominau。 ns。 f br。 nze coins

lrom the seC° nd ccntury c E°nward is consistent W⒒ h the n。 tlon of Creeping

prke innatl。 nM。 reo崆 s changes in the comp。 slti。 n of Roman coin hoards

ha【 b∞n ink♀ rted as a sign th,lt du“ ng the a∝ clcra0ng debascmcnt of the

sⅡvcr currenq in the nrst half ofthc th订 d century c E,u铷 rs pKfe∏ ed lo hoard

c。 ins with a higher intrinsic value and thus attaChed☆ gni6cance to the growing

diver旷nce° f nominaland mc1al value=:2

The res止 ence of伍 c imperial currency s,stcm may have owed much的 dle

enormo,ls s0C0fdle Roman Empire tbattrapPed most toul u货 s Within a“ n咎e

s阝tem ofekhan扩 dom血 ated by,ate manufattured coln°【its local surm甲 tes

【n dlo monopolisdc en“ ⒛nment,由c hck ofc。mPe‘ tlon in the· orm ofak∝ n艹

d怊 moncta叩 media or moneta〃 lllnoxis各 om the° utside tended to sune market

resP° nses to Curren吖 dcbascment It nccd not be by coinodcncf,that the stucm四

ofRoman coh nndg i。 m beyond the borclers h【ndia and later also Germany_

seems to rencd铲 eater stnsitl· △〃 tO changes in pKci° us-mct扭 content Ⅲ Themdture Han cOnstituted a simⅡ arl/se1← cOnt“ned吖stem of currency cXCharge

In由 e丘 nal analy“ s,llle Roman currenq s△ stem was not any more“ metal-

hstic” tllan the Han sy鸵 em was“ nduciary” °r vice versa Both monetary rc妒 mescombined an appreciation。 fintHnskvducwitllvaryingdcgKesofto1eranse。 f

long△erm debasement In both cmPircs,乜 own inode∏ ts of WIdesPread I。 ss of

trust in the o伍 oal c° inage tended to be dosely钙 sociated wⅡ h bold me灬 ur。s

tbat dlss。 oatCd nOmin扭 v铋 u召 s丘om p【 evaⅡing staⅡ dard⒌ cxpe“ ments withvarlouδ klnds oflar扩 denomina“ ontokn c° insin China‘ ee凼 ove)and m° netary refOrms in the hte tllird and carly fourth centuries c E in Rome、 V△扭c thcstate gcneralIy benc丘 ted flom lt。 m°∏°P。 1y status h the而 °nctary sPhere thatcnabl。 d it t° increase rcvcnue through gradual debasement Without undermh-

hg the cllrrenc,:s扌 the sheer sca1e° f迁 s dominance aIso magni丘 ed the conse

quenccs° f more ambltious statc interx/entIOn

Ⅱ戚 y$t黥甜l拈J渊:滞 t袈‰羿岂揣揣`揣

器品罂lJ刂I

泔l麸r占‰T:甘 :器竿1:∶∶∶:∶∶∶∶J潸嬲厅;「:絮岔f∶吕劣泔11:i△ 1‰糕罡Ⅲ

∶∶r忍瀹 :;J℃ 巴 :r厶

cε “ce aboˇe‘ ec"on‘ ← 、vas ac‘ omP汕 ed Ⅱ ΦrresPon汕 ns PⅡ ce nrl“ on

孔 召Λ亻"召

幻 -/s“ rglrlli吖 汤 ε Hc″ ″讶 R° 沏 cll Fl,,p`l cs ⒚ 9

⒐` lVfo″

锣 s功 c炻

踯麟觯撇薮麟鞲鹦濂l

鞲簧髁辍槲斟黼鞯亭罟鞲蕃

一~一~~∷一〓∷∷∷∷〓∷〓∷一∷一一一∷∷∷~_∷∷∷一∷∷一

~∷一一∷一~一一∷一一一~一~∷_一

~~__~_

2oo Ro″】c口 ″d CJli″ n

annual rate of wastage was as high as that,creating a total′‘h)/brid’

`tock of22billioR coins By comparis。 n,ifwe assume alowcr annua11o“ ratc° f03percentand_probdb灯 unreallstlcdˇ_douue t陕 s讫e“ 曲c pre l"EhⅡ H,,rl mon叩

st。 ck,we end uP with an early nrstcentury c E tauy。 f23bilIion ΨI扌zh:‘ and12billiOn caHier c。 ins,佰r a totd of35bdh° n This suggests that it would be di「

ncuh t。 rcckon with a total moncy stock ofe汪 her below20biuion。 r much over

3o billi° n bronze Coins atthc end ofthe、 V分 tern Han period】 fpF~· l】亻'∶

IΙ coin

had been sucCess血 h'denoneuzed,。 uresumatc w。 uld haY。 fo be nearthelower

cnd ofthis rangc As nolcd,the archaeol。 gic扌 reco.d侑vOrs aloW end taⅡ yThe am° unt of gold and“ lver that was used lor monetary PtlrP° ses“ ,of

Course,unknown As discussed ab。 ve,re炙ren∞ st° the disburscment of900,00o

丿加 cr G225tons of golcl f all of dlo did血 deed ωnsot° f attud gol茳 in the

V√estcrn Han period and to XA/ang、 1ang’s hoard° f6oo,000丿 j`:。 r⒍ 150tons of

gold are of u∏ certalIl Value alld in any case cann° t be used to esnmate t。 tal gold

stocks atthc time′’Thc四htil/escaroγ ofg。 ld hoalds佥 o】n the Han Peh° d su爹

gcsts that in the most扩 neral terms,monetary g。 1d stocks were smaⅡ er than in

thc Roman Empirc If wc were to speculate由 atthe amount of Han gold money

was h扭 fas lalge,as that° fRoman cohed g。 ld,the rcsultant total of220-440lons

might hdc bccn prkecl at a” 、vherc佥。m9to39bdh。 n cash蜘 It meots a住en

“on that higher cstimates of thc quanti,° fgold m° ncy would imply tln缸 驷ld

rather than bronzc domhated the Han currency system,which sccms incomPat~

iblc with the ttnor ofthe souKes签 ··,eⅡ as evidence from Iater Pc“ 。ds° f Chinesc

hotory Given the verylow prorde。 fsⅡ ver h the、 0stern Han perlod,trlo met缸

、vould n。 t have made a slgninca,.t conthbution to dle money supply

These crude c° n丿 ectures suggest that the aggregate cash Yalue of aⅡ gold,sⅡ

~

ve6and bronzc money atthe end of曲 e Western Han period∞ uld have rangcd

llon30to70bulion c西 h Gl1· en由 at both lhc high end gues茹 s。fthe numbcr

of bron夕 colIis and thc amount。 Fg。ld m。 ney rest on assumPtlons that are

hkely to innatxo tl c r6LIlts,an ncttual tauy of the。 rder of40or50b歧hon seems

more Plausiblc∶⒐Cor.Yerted int。 graln equivalent,metal m° ney stocks° f3o to

70bⅢ lon cash may ha仰 c°【re叩onded to anywhere仔 om6to28b沮 ion hters。 f

grain,wbⅡ e the cons。。rvatix/e6“ m【lte of40tO5ob"hon ca【 ll,· /ould h灬 e trans-

lated to8t。 20billion hters’ ’=

2o2 Ro″ I召 四″〃Cγ】″】四

estimate of tOtal money stoc⒗ worth bebveen lo and20bⅡ ion sesterCes ΨDuld

tran“ ale to an,svherc丘 om22to90bl⒒ on hte丕 °f graln

Due to the dencicncies。 f the evidence,my estimatcs br size oF both the

Han and the Roman money stoc⒗ vary by a lactor of four。 r nVe Howex· es

dcsPite these very Con“derabk n狂gins of uncertainˇ u even the broadest r,in旷

of guesses tor the money文 ock in Han China° f ber,ieen6and28bⅢ ion hters

of grain equivalent barv。 ll°Verlaps with thc much h唿 her range殳om22to90billion hte阝 proposcd for thc Roman Empirc M° rc cons.。 rvat打 e gucsses of8

to20bⅢ ion1iters br Han China and of3o to40biⅡ 1on llters for1he Roman

EmPire wollld ha△·eewn1essin common∶ ’:,s/lth au duc cautlon,】 condude that

due to the dominance of gold and sJver∞ in in wcstern Eurasia and血 hght。 f

the documented Valuadon of diferent mdals relati浓 t° grain in both regions,

the Roman Emp订 c had achi四 ed blgh钉 leYds of m° ne“ zatlon than its Chulese

counterpart

This co∏ dusion r6ts on a compaΓ i5on of meta1stocks and thelr red value

αprcssed in tcrms of纩 aIn However,nonmetauiC m。 netar,media I虫 ewise

requir。 consideratlon【 n thc Han Empire,cash and buu⒗ n were suppIemented

by nloney in tlJc IOrm oftcxtdcs,abol/e allsdk Thc丘 lstknown normed unitl△ as

thc b〃 ofthe late preimperiaI Qin state,a piece of cloth measur血 g8c而`by2ai5cⅡ ″(or I88x585cm)盘 nd valucd at ll‘ 日”

`i四`嗯

cash RClcrcnces lo贞 ncs that

are exPressed in mult” les of the latter6gure suCh凼 lIO,220,l,100,Or2,200

cash suggest that,Ie货 Payments may have bcen coⅡ∝使d in doth rather than

coin2只’Undcr山 c Han d,△ Ⅱ“ b°⒒s of2d订 2田Jn Ⅱ 5~,l· I,lg o17xl,Ι 75Cm)

became dle哽 andard s位 e sik remained a popuI狂 gift ulrough。 ut tllat perlod,

and the m。 netary use。 ftex t珏c$旷 ncrally sur墅 d dur狁 g pcri。 ds° fstate instabi⒈

iγ such as the hter years of Mrang Mang’ s relgn,° r lat~ˉ r。 n in the Jin DvnasCJ

t五e Pe^od ofDou血on,orthe hte%ng D卩 asⅡ 娴 In alIdltIon,p呷 nerl“ h the

bm of“姐ary-sdk” C∶ll0冫砂ω ar,d′ ahryˉ cotton” C“ 沅”are mentioned h

the d°cuncnts付 om the Iuyan garrison“ te j“

`Ve cannot te⒒how much the moneta叩 use of te斑Ⅱes contrlbtlted to the

°veFau money suPPl平 H° weve‘

"is crucial to【

eahze that狗 r cIoth money to

cl。父the gaP beo,· een the money stoCks° fthc Han and Roman cmP订 es,k woltld

have had to be as abundant(in cash弪 rms)as au varie“ es of metal money com-

bined;臼 Thc sourc钙 Certa】 nly do not convey thc imprc50on that lllo was the

∶01、、hng∶00⒋ 51w th50tabk⒗ and cf5Ⅱ tabk9fo了 th忿 0‘ uin8ofd`”"d`d"`°

rˇ largc r!1° ,· doth h

薛鞲黻襁母f轴黻黼 :嬲 :

黯:l:∶ %∶ :吒rⅠ搌:ffi∶ l:∶1∶∶∶l∶∶摁 :曜穹F宝辍1羿J

蝌槲蝌栅巢槲啜留鞯岔:l黥描坩甘潆$撼翟黜距搬黥甜开搜

鞲攥巍葚橐鞲鞲蘑搬嗓革妾娥邋ui鞲章勰 鞲涮黥扌:)j∶;:栋背:黯趑:∶∶l{::l∶∶∶∶措J萎胂遐者able assets,whiCh m呷 weu ha,/c。 ccurred in the R。 ma且 EmplIe A c° mpromise

槲 辅蠡蚤睽社捶漕胂黻鸷擀utr∶∶婴 :∶sI;Ⅰr胃 1】

^i宀

跸、器lii;;1苕 絮拣岔t紧￡∶::::七 :∶苷:∫∶f∫留 :

i驷∮i∶:i虽I礻;膝li∮j;l;ll1艹

Fi:彐lll搭i!∶∶歹丨拊、:详l|

黑 絮 △

t.h° n Han Chna h¨ 3‘e“ t了C△ pcr湘 汕‘而g"bm m。 r咛 asonauc me仓 n凡 r山 eRom仓n hⅡ re

295DvncanJo何 6I铆 ⒋〕2 hqv di,、 a‘ gent:JⅡ bw丿 For Romm、 GD0‘εe F“ es△ n如 ds曲 0dd⒗“h

带露÷瑕 ;祟怼揽赳F⒊轺絮f鞲扌拙群打摄报宇猛%恶

艚烈濂弼槲甘辅黼擀鞲龠擀搬耀

me lvjr。 l gf四 rl‘ ;“扌e″s∝油召∫f`″ 仰dR。 ″ll E,liPl’ fs 2“

casc in times° f stabdi艹 such as much Ofthe NNrestern Han peri。 d Thus,whi1e

nonmetallic mOnetary media must h泖 e helPed to sh。 re up the Chinese money

suppl≯ itis high1y unhkely thatth趸 y wouId have oisetthe underlyingimbalances

in metd stocks be^veen eastern and Wester∏ εura“ a jnj

Moreove‘ hc Roman rnoney suPply was aIso boost· d by nonmctaulc mCans

of paynent Recent scho1arship b锱 empha“ zed the c° Πslderable rolc。 f credt

mOney Ln tlle Roman ec。 nom弘 esp· tia】 l/for largc“敲e transadlons in eⅡ te c订 -

des and forlong dlstan∝ tradc Ju,The naturc of comparablc arran雾 ments in the

Han EmpteremaiⅡ °bscuK】 n lhe%ng and song pe“ odk,shorta墅 s。fbronze

coin taused dena0。 na吖 Pnce decreascs that had to be o胝 et by the introduc

tion oF m。 neta,remitt· inc。s and aCc° unt notes These inn。 vad° ns cxpanded

tlhe money suPPly weu bey。 nd monetary metal stoc炻 H°weve‘ comparable

arrangcments arc not reCorded lor any Peo° d°f Chinese hot。 ry p“ or to the

%ng dynasr” 30,Money￡mittan∝ 5caued“ 倏”ng m由”

(虍 i叼 拓″)。‘hte‘ 戈°n△·e-n诒 nt cxchange” (沙 氵Π″凡〃伢″)丘rst appeared around800cE犰 PaPer money can bc

tnced back。 nIy as rar as tlle tenth kentury c E‘°i Thus,hs° 血r as Han merChants

and bankers made use ofcKdIt mone” there o n。 驷°d reas。 n to assume that

they d妃 s。 。n a much gr。 nder scaIe than dleir Roman c° unterParfs The usc° f

no∏ metalhC monetary me凼 a does notaHVCt my° vσ aⅡ c。 ndusl°n Lhat lcvc‘ 。fmone“ zation_in both gross and pcr cap"a町 m⒌-h the Roman Empire at"s

peak signinmntll/α ceeded those in the equ加 aIent pc"。 d。 fthc Han Empire

92.xr。,″ g/已‘g

As already mcnuoned,the vOlume ofthe moneˇ supply d°es nottell us much

about hquli"y Persc A betteridea of h° w much∞ in circtllated can bc obtained

by tomparing my abo诈 6tim甙6fO budgeta” requIremcBts In lhe.ase° f Han

Chlna,suΠ iving d° cuments丘om an°伍CiaI archix/e of Donghai C° mmanderythat date iom around l0B c E pmvide unique insightinto the ll/orklngs。 f the

nscal s泠 tem。 ne of these texts rep°lts the Presencv。 。F11miuion.e“ dcnts

In266,000househo1ds wh。 ln a given year had Provided thc government WⅡ h

2o4 JRo″ cn″ dC∫Ij″ o

an annud re· enue of267million casb and507,00Os幻 i几 (l0mnb。 n⒒ tcrs)of

graln Ⅱ Ciwn that Donghai Comma∏ dery accounted lor aPPr洳 mateˇ °n←

lortleth of the impeH加 P。 putatlon at thc ume。 nd thal"migIlt be con“dcred

a reasonable“ avera黟”province in the sense that k was nekher located∶ n tnc

caPital Rgion or thc h1ghly deve1oped old co.re of the cen订 al Great Plain nOr

ParticuIar,1· Perlpheral othe‘ and therelore a唱 uably not en“ rdy unreprcscntaˉ

tlre in ttrms of its overall eConomic development,a slmplc extrapoladon仔 Omlhe reP° r使 d rαenue p° ints t° annuahmperlaI gr“ s income ofabout l0to Il

biui° n cash and400mⅡ bon htcrs of grain worth another l or2bn⒒ on cash

As I wm argue in8reater deta"dsewhere,a number。 f indlcators support the

nod° n of an annuahmperlal budget ofthls orcler° f magIl1tude⒑’

Unless cond⒒ ions in Donghai Commandery wcre highIy anomalous,a large

proPortion ofth6e ftInds was rcmitted in cash ratherthan h kL△ d"c Cash pa”

ments of lO bu"on Per/ear、 v·ould have requ订 cd the mobn讫 ati。 n ofanx△vhcre

ffom30lo50pcrcent° f all c“ t血g bIOn次 ∞ins lsfc cannot tcll whethe【 and

to what extent g°ld could be subst"uted for∞ sh∶ howev/eb the souKes do not

四poftthe Pavment oftax iⅡ goId besond a relatively‘ rnau levv° n toP IeⅡ larlsˇ

t∝ra“ (see abo· /e,secu。 n42)Eˇ?n if(say)one~th订 d拼 a11rcx/cnues№ d been

obtained in the form of preo° us mcta120o【 probably doser to30peKentofaⅡ

b⑩ nze coins w° uld hax/e had to change hands e沂 〃rarto sausF,state demands

Ⅱ aPpcas that the山 cuhuon of assets bet,vccn曲 e sla佗 and订 s su切 ects,vas a

kcy funcdon of Han coinage

Tlvo competing models ofthe monetary system ofthe Northern song Pe∮ od

help puttho estimate into perspective In thc eleventh centur/cE,according to

Miyazawa TomoyukI、 model of“ n$cal。 rcdation氵’which con“ders1heimP←

rid bronze currcncy above all as a medlum⒗ r state savings and payments,each

rar about° ne quartcr of the coined money stock、 vas used for tax paγ ments,

onc tenth b【 commercial eκ hange,and most° f the renainder was hoardcd

bylhe govemment Bˇ contrast,Gao Congming`more market ooented model

enl/olons annual tax paln△ △cnts cquivalent to one sLxth ofthe total money stock,

commerclal eKhan莎 on a muc珏 grander scale(d。 ser to oneˉ ha10,and sma11er

state sa△ angs(perhaps one seventh)"l矾 η】Ⅱe the latter∝cnario may bc be住 er

刀,c lXfo″ er,l〃 Sl`‘ fg″‘0lrle Hl″ n″扌Ro冫″四″E`″ pijPs ·o$

supp° rted for the song penod ksel只 the Han data pIace the eady imPerial

monetary wstem in cl° ser proxImity toˇ Ιl,azaw矿s reConstruCtion RePortcd

govefnmcnt sa△ /ings° f83bdⅡ on cash in thc second haIf of the nrst century

BCE W0uld probably have accounted lor no more than oneˉ sLxih or onc n丘 h

ofthe overall money“ ock,including preci° us metals,or30Φ 40pe【 cent of all

coin,implying an intermediate scena“ o ln berveen Ml,azawa`and Ca°’s more

extremc p° sitions j⒓ Then again,1· Vud^supposed abiltty to dlsburse some20o

tons of g° ld or its cash cquixalcntin a sh° rt period of tin△ c and the PurPorted

“de ofWang Mang、 g° ld h。 ard would oncc again scem to be lar better co∏ sis

tent WIth Mi尸 zalva‘ perspectil/e(sec ab° x·c,seCtion42)Thesc issues warrant

ltlrther consideration What mattcrs here is that these reconstrucu° ns sh。 、v that

there o not"ng ln lercntˇ ulluau“ blc ab。 ut tlle notlon tha“ he annu扌 tax rd~

enues of犰 e Han state may haκ represented a,ery“ zeable p° rdon ofthe otal

money stock

Recent esdmates oflhc R° man inlperia1budget h thc middlc ofthe second

tentu〃 cEc° ns·e喟e on approx】 mately l bluI。 n ses锪 rces〕:It o certa血 that not

an°fthesc hnds were collected in cash Ⅱ|Howese巧 exen if we emp1oy the simˉ

plih/ing assuⅢ ption of on annual"senue strcam of I biIIion sestσ ces in coin,

tho amouIlt Would not hale exceedcd l0pcrCent of the c°tned money stock

户dlowing的 r as货ssmcn‘ 血 knd and/or a coinage volume ln excess of10billlon

scslerccs〈 see ab°ve)_ks actual share旧 s probably smalIer stiI】

Intermsofgraincquivalent,the annualre· /enucsoftheHanε mpkeinthelate

nrstcclltury B c E and the R° man Emp订 eofthemid secondcenturycE aPPear

to haxe been roughl,sim⒒ aΓ 2to6billlon lkers in tr,ef。 rmer and2to45bdˉ

hon(丘gures thatincreased s°。n thcrea丘 er and to which wc mustadd municipal

taXes,、 vhich lacked a Han equis llent)in thel扯 te⒎ Gl,·en“ mⅡ arlevds oftechn。 ˉ

lo昏cal developmentand sim"ady slzcd poplllations,thls match is Perlectlv Plau

slble户 α the samc1imc,u「 lcss my above estimat卟 oft。 td metal鸵°c“ are v~。 ry

△i△dc°f the mark,the R° man Empire,vas signincantIy more monetlzed than

the Han state and more coin was therefOre avadable tor commercial exchange° r

hoardlIlg h YIcw ofthe dramaJc su呜 c oflXIediterranea∏"ade and p⒑

ductlon

佰r a mass marke1in the Roman period and the growing wealth° fthe R°maneⅡ tc that d° cs notseem tQ havc been matched by that of⒒ s Han peers,both comˉ

merce and dite h° arding m呷 well haVe been sufhcicntly importantto absorb the

h呜er stOck° fcoΙ nagc in由c RoⅢ an Empke邛 Th“ raiscs imPortant quesdons

、、bke"199⒐ :02;4‘ sP=2JⅡm冖Ⅱn‘ 。t° ka o∫ ‘llb"lon n1h‘ s仓 m‘ p‘ “oJ)2弱 .n;9Ⅱ t C‘nnot`uc ou1th(p° “bⅡr,lhat⒃ me or:he`凼 h^re弪 nue rePorled n the D° ngh如 d∝ umk|nt

2o6 Ro″ ,g″IrJ C′ :i`:夕

about the character ofthc Han and R° man economIcs t.lat g° weu bey。 nd tlle

scopc ofthis surx/ey and mⅡ for more systcmatic ln屺 s‘ ga‘on北

AppENDIx∶ G△ ossARY oF Ⅵ

`EIG HTs

“留″″“⒌ hte Roman咖K【 coin of l/9‘ Rom3n pounds(‘ 34g)lntroduced ln293

n⒌ in"h"y(c30Ocε )a bronze coin weighing l R° man Pound(‘ 323g),by2l1

a CoPper coin oF⒍ 11g

'"″!钅 Roman g° ld c° in struCk at lnO ofa R。 man pound(⒍ 81g)from46BCE

and at l`45pounds(c72g)lrom64c￡ ,with乩 rther weight rductions in

the third century C E

沙'″

Ι氵``j舀

Qin and early Han bronze coin with a target weight of G`8g created by the

bu。m &黑f紫搬觜叨黥 :拉l‰挠c;揣

泯e~m欲 d

掠 甜 卿 r:;i{鲺 f1猛 器 W跞 麒 毖 :涩咱te scc。 nd and thi【d centuries c E A double.tel】 nr氵 Il,known as“ j:的″

``:Ⅱ″ll‘ Was Intr。 duced in2】 5cE户‘洳″″Ⅱ阝∞l,·P〃 ″厶 the″‘ⅡnⅡ〃sc° n“ nˉ

ued t° be u cd asa un"° facvount、 ,ell belond thc doconⅡ ntlatlon oFactual

pound〈‘9g)introdu￠ d ln498cE

Han ounce equivdlent tO I`16`″ °r⒍ 】56g

t△纟lVfo″ c●n〃 0'‘ ″″“旷l,g Hn” n″〃Ro″ l“

`IE● `lp氵

昭‘ .。7

Han weight eqvlvalent to%`″ 。rc125g

see`″ ,″bm,and`Roman fiactlonal s刂 rr colIt〈 %rie″田

'Ⅱ‘)ultermittendy minted iom· Jlc

late thifd centurY B C E t0the mid葙 rst century B c E,and fron the2os

BCE“sued as a brass auoy coin。 f‘’sglate R° man gold coin struck at l`6o° fa Roman P° und(⒍ 54g)and atΙ

`72pound‘ (G45g)tom309cERoman° unce equivakntto VI2″ 凸叼。r‘ 269gHan bronze coin With a target welght of5加 ″°rG33g htr。 dtlced in ll8

Qin pound equiva1ent to20ltl呕 °r⒍ 313g

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