THE CAMBRIDGE HISTORY OF CHINA

THE CAMBRIDGE HISTORYOF CHINAGeneral Editors

Denis Twitchett and John K. Fairbank

Volume 5Part One: The Sung Dynasty and Its Precursors, 907–1279

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-81248-1 - The Cambridge History of China, Volume 5 Part One: The Sung Dynastyand its Precursors, 907-1279Edited by Denis Twitchett and Paul Jakov SmithFrontmatterMore information

http://www.cambridge.org/9780521812481

http://www.cambridge.org


Work on this volume was partially supported by the National Endowment for theHumanities, Grant RZ-20535-00, and by a grant from the Chiang Ching-Kuo

Foundation for International Scholarly Exchange (USA).






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.






THE CAMBRIDGEHISTORY OF

CHINA

Volume 5Part One: The Sung Dynasty and Its

Precursors, 907–1279

edited by

DENIS TWITCHETT and PAUL JAKOV SMITH






cambridge university pressCambridge, New York, Melbourne, Madrid, Cape Town, Singapore, Sao Paulo, Delhi

Cambridge University Press32 Avenue of the Americas, New York, ny 10013-2473, usa

www.cambridge.orgInformation on this title: www.cambridge.org/9780521812481

C© Cambridge University Press 2009

This publication is in copyright. Subject to statutory exceptionand to the provisions of relevant collective licensing agreements,no reproduction of any part may take place without the written

permission of Cambridge University Press.

First published 2009

Printed in the United States of America

A catalog record for this publication is available from the British Library.

Library of Congress Cataloging in Publication Data

(Revised for volume 5, part 1)Main entry under title:

The Cambridge history of China.Bibliography: v. 5, pt. 1, p.

Includes indexes.1. China – History. I. Twitchett, Denis Crispin. II. Fairbank, John King, 1907–

ds735.c3145 951′.0376–29852

isbn 978-0-521-81248-1 hardback

Cambridge University Press has no responsibility for the persistence oraccuracy of urls for external or third-party Internet Web sites referred to in

this publication and does not guarantee that any content on such Web sites is,or will remain, accurate or appropriate. Information regarding prices, travel

timetables, and other factual information are correct at the time of firstprinting, but Cambridge University Press does not guarantee

the accuracy of such information thereafter.






In memory of Denis Crispin Twitchett (1925–2006)

Mentor, friend, and inspiration






PREFACE

This volume has been long in the making, many of its authors freshly mintedPh.D.s when recruited by Denis Twitchett in the late 1980s. Since that timesinology in general and the field of Sung history in particular have undergoneseveral significant changes: pinyin has become the most widely used form ofromanization; authoritative versions of key Sung texts have been made widelyaccessible online and through the electronic edition of the Ssu-k’u ch’uan-shu;and a punctuated, annotated version of the writings of most Sung authors hasbeen issued in the 360-volume Ch’uan Sung wen. But the writing of the chaptersin this volume predates those changes, which has influenced the conventionswe have followed.

With respect to romanization, we continue The Cambridge history of Chinapractice of rendering most Chinese terms and proper names (the names ofpersons, places, official titles, bibliographic entries, and so on) in the Wade-Giles system. Following the example of previously published volumes, weuse familiar (pre-pinyin ) forms for the names of modern provinces (yieldingKiangsi rather than Chiang-hsi or Fukien rather than Fu-chien) and principalcities (such as Peking, not Pei-ching, and Canton rather than Kuang-tung).Otherwise, all place names are in Wade-Giles, according to the standard setin Hope Wright, compiler, Geographical names in Sung China: An alphabeticallist (Paris: Ecole Pratique des Haute Etudes, 1956). For both place names andpersonal names, numbers are used to differentiate between homonyms, such asChief Councilor Chang Chun and his subordinate General Chang Chun2, orthe prefectures of Ho-chou (in Sung Kuang-nan East circuit, modern Kwangsiprovince) and Ho-chou2 (in Sung Hsi-ho circuit, modern Kansu province). Wehave sought to ensure that all places mentioned in the text can be found on oneof the volume’s many maps, but for fuller coverage readers should consult T’anCh’i-hsiang, compiler, Chung-kuo li-shih ti-t’u chi, volume 6: Sung-Liao-Chinshih-ch’i (Shanghai: Ti-t’u ch’u-pan, 1982).

Because our authors prepared these chapters prior to the widespread avail-ability of standardized editions or online and electronic text databases and in






xii preface

varying sinological environments, multiple versions of the same work maybe cited between chapters and occasionally within the same chapter. Varianteditions are all listed in the Bibliography. Translations of terms and officialtitles are consistent across chapters, with occasional deference to contextualdifferences. In all matters of translation, romanization, and geographic nomen-clature, we aim for a high degree of consistency between this and the companionVolume 5, Part 2. These two volumes, in conjunction with Volume 6 (Alienregimes and border states, 907–1368), provide a thorough survey of the historyof China and its neighboring states from the tenth through the fourteenthcenturies.






CONTENTS

Preface page xi

List of Tables and Figures xvii

List of Maps xviii

Acknowledgments xxi

List of Abbreviations xxiii

Introduction: The Sung Dynasty and Its Precursors, 907–1279 1by Paul Jakov Smith, Haverford College

Introduction 1Coming Out of the T’ang: State Building in North and South 1Founding and Consolidation of the Sung, 960–1000 11A Cycle of State Building on the Steppe, Tenth to ThirteenthCenturies 15Sino-Steppe Relations and the Shape of Dynastic Events 20

1 The Five Dynasties 38by Naomi Standen, University of Newcastle

Introduction 38Fighting for Allegiances 39Allegiance and Alliance 74Moving to Consolidation 112

2 The Southern Kingdoms between the T’ang and the Sung,907–979 133by Hugh R. Clark, Ursinus College

Introduction 133From Banditry to State Formation, 875–c. 910 140






xiv contents

Early Political Recruitment 158Political Change, 920s–940s 163Economic Structures 171State Structures and Interstate Relationships 188The Close of the Interregnum 197Conclusion 205

3 Founding and Consolidation of the Sung Dynasty under T’ai-tsu(960–976), T’ai-tsung (976–997), and Chen-tsung (997–1022) 206by Lau Nap-Yin, Institute of History and Philology, AcademiaSinica, and Huang K’uan-chung, Institute of History andPhilology, Academia Sinica

T’ai-tsu and the Founding of the Sung, 960–976 206The Weak First, Strong Later Strategy 220Sino-Liao Relations and the Two Sons of Heaven 247A New Type of Emperor: The Diffident Chen-tsung,997–1022 260

4 The Reigns of Jen-tsung (1022–1063) and Ying-tsung(1063–1067) 279by Michael McGrath, Adrian College

Jen-tsung’s Early Reign: The Regency of Empress Liu(1022–1033) 279Jen-tsung and Lu I-chien’s Ministry (1033–1043) 289The War with Hsi Hsia (1038–1044) 300The Ch’ing-li Reforms (1043–1045) 316The Southern Frontier Region 328The Imperial Women 334The Death of Jen-tsung and the Accession of Ying-tsung 335Politics from Spring 1065 until the Death of Ying-tsungin January 1067 343

5 Shen-tsung’s Reign and the New Policies of Wang An-shih,1067–1085 347by Paul Jakov Smith, Haverford College

Shen-tsung’s Ascension and the Crisis of the Mid-eleventhCentury 347Gaining Power 363The First Phase of the New Policies: Economic Reform underWang An-shih 383






contents xv

From Economic Redistribution to Revenue Extraction 414The New Policies under Shen-tsung 447The Campaign against the Tangut Hsi Hsia 464Shen-tsung’s Death and the Ouster of the Reformers 478

6 Che-tsung’s Reign (1085–1100) and the Age of Faction 484by Ari Daniel Levine, University of Georgia

Retrogression: 1085–1086 484Political Gridlock: 1086–1093 509Resurrection: 1093–1100 531

7 The Reigns of Hui-tsung (1100–1126) and Ch’in-tsung(1126–1127) and the Fall of the Northern Sung 556by Ari Daniel Levine, University of Georgia

Approaches and Departures: Historiographic Issues 556Court Politics during the Ch’in-sheng Regency 559Court Politics and State Policy during Hui-tsung’s Reign 571Court Culture and State Religion during Hui-tsung’s Reign 602Popular Uprisings, Border Conflicts, and the Fall of theNorthern Sung 614

8 The Move to the South and the Reign of Kao-tsung(1127–1162) 644by Tao Jing-shen, University of Arizona

The Establishment of Kao-tsung’s Rule 644Banditry, the Suppression of Local Disorder, and the Powerof the Generals 662Government Reorganization 666War and Diplomacy, 1131–1141 672The Peace Process, 1138–1142 677Ch’in Kuei’s Dominance, 1141–1155 689Stabilizing Civilian Government 694The Economy and Financial Policies 697The End of the Ch’in Kuei Era 703Abdication 707

9 The Reign of Hsiao-tsung (1162–1189) 710by Gong Wei Ai, University of Malaya

Introduction 710






xvi contents

The Peace Settlement of 1164–1165 713The Ch’ien-tao Period (1165–1173): Years of Reconstruction 720The Ch’un-hsi Period (1174–1189): The Growth ofAbsolutism 737Foreign Relations after 1174 738

10 The Reigns of Kuang-tsung (1189–1194) and Ning-tsung(1194–1224) 756by Richard L. Davis, Lingnan University

The Reign of Kuang-tsung (1189–1194) 758Bureaucratic Leadership 762Royalty at Odds 766Autocracy under Ning-tsung (1194–1224) 773Han T’o-chou against the Bureaucracy 775The Ban on Tao-hsueh 783Rapprochement and the K’ai-hsi War (1205–1207) 789Insurrection in Szechwan 795The Coup in Lin-an 805Shih Mi-yuan in Power 812Loyalists of Shantung 823Sung-Chin Conflict 827Domestic Concerns 830An Uncertain Succession 833

11 The Reign of Li-tsung (1224–1264) 839by Richard L. Davis, Lingnan University

Shih Mi-yuan in Isolation 839Foreign Policy 852Bureaucratic Leadership and the Forces of Opinion 872The Rise of Chia Ssu-tao 890

12 The Reign of Tu-tsung (1264–1274) and His Successors to 1279 913by Richard L. Davis, Lingnan University

Dynasty Besieged 913A Dynasty in Retreat 929The Fugitive Court 946

Bibliography 963

Glossary–Index 1011






TABLES AND FIGURES

tables

1. Sung Weights and Measures page xxiv2. Sung Emperors and their Reign Periods xxx3. Chronology of the Five Dynasties and Ten Kingdoms 64. Chronology of the New Policies during Shen-tsung’s Reign 3855. Percentage of the Population in Active pao-chia Service, 1076 4156. Households and Population of Hang-chou (Lin-an) 7027. Population Growth for Four Cities from Northern

to Southern Sung 702

figures

1. Genealogy of the Later Liang ruling house xxv2. Genealogy of the Later T’ang and Chin ruling houses xxvi3. Genealogy of the Later Han and Later Chou ruling houses xxvii4. Rulers of the Southern Kingdoms xxviii5. Outline genealogy of the Sung imperial family xxix






MAPS

1. Political map of the Northern Sung, c. 1100 page iv2. The Five Dynasties and the Ten Kingdoms, 907–960 23. The Sung domain and its neighbors, c. 1100–1291 184. North China, c. 895–905, showing Chu Wen’s expansion

out of Honan 465. North China, c. 911–916, showing Li Ts’un-hsu’s conquest

of Hopei 636. North China under the Later T’ang, c. 926 687. China under the Later Chin, c. 938 868. The Sixteen Prefectures ceded to the Khitan in 937 889. Territorial expansion under the Later Chou, c. 959 119

10. Huang Ch’ao’s movements, 878–880 13911. Consolidation of the Sung, 960–979 22512. Liao invasion of the Sung, 1004 26513. The first Sino-Tangut war, 1038–1044 30414. Nung Chih-kao’s uprising, 1049–1053 33015. Annexation of Tibetan territories under Shen-tsung and his

sons, 1072–1109 46716. The Sino-Tangut war of 1081–1082 47417. Revived campaign against the Tanguts, 1097–1099 55018. Hui-tsung’s wars in the northwest, 1103–1117 61819. Uprisings of Fang La and Sung Chiang, 1119–1121 62320. Sino-Jurchen contest for Liao and the Sixteen Prefectures,

1117–1124 63121. The Chin invasions of Northern Sung 63522. Chin raids south of the Yangtze, 1129–1130 65623. The embattled Southern Sung, c. 1130 66824. Yueh Fei’s incursions into Chin territory, 1140 68325. Southern Sung borders as of 1142 68526. Chin invasion of the Southern Sung, 1161–1162 705






maps xix

27. The K’ai-hsi war of 1206 79528. Border situation as of Li-tsung’s succession, c. 1224 84629. Abortive Sung intervention in Honan, 1234 85730. Mongke’s invasion of Szechwan, 1258–1259 87131. Centers of defensive activity, c. 1258–1273 91932. The conquest of the Southern Sung 943






ACKNOWLEDGMENTS

Of the many debts that have been incurred in the evolution of this volumethanks must first be paid to our contributors. They labored long and hardto produce what were, in many cases, the first English-language narratives oftheir assigned periods, and it is through no fault of theirs that it has takenso long to get their efforts into print. They, and their department chairs andpersonnel committees, have shown exceptional forbearance.

Everyone associated with this volume is indebted to the late Denis C.Twitchett, the visionary scholar, mentor, and friend who brought us all togetherand whose guiding hand has shaped The Cambridge history of China. As Denis’scoeditor from 2001 to his death in 2006, I was a privileged beneficiary of hisprofound scholarship and the boundless warmth and generosity of his spirit.Although this would be a stronger work had Denis still been here to give itone final inspection, we hope he would be pleased that it is finally out, anddedicate it to him as a token of our deep esteem.

Many others have helped to bring Volume 5, Part 1, to completion. In work-ing through the various chapters it was always a delight to come across com-ments and suggestions by the late James T. C. Liu (1919–93), the preeminentSung historian, who like Denis was friend and mentor to many of us involved inthis project. Ralph Meyer, long-time project manager for The Cambridge historyof China, brought preliminary order to the chapters and to the union glossaryand bibliography until his retirement in 2002, when he was ably succeededby Michael Reeve. John Chaffee and Willard Peterson, editors respectively ofVolume 5, Part 2, and Volume 9, Parts 1 and 2, took time from their ownvolumes to offer valuable advice and assistance on this one. Many of the mapsin this volume were initially drafted using Geographic Information Systemdatasets created by the late Robert M. Hartwell (1932–96) and made availableto the scholarly community by the China Historical GIS Project at HarvardUniversity; I am grateful to Peter K. Bol and Merrick Lex Berman of Harvardand to the Academic Computing Center of Haverford College for their helpwith this invaluable resource.






xxii acknowledgments

The East Asian Studies Program at Princeton University, directed duringthe relevant years by Martin C. Collcutt and Benjamin A. Elman, has gen-erously supported The Cambridge history of China project in numerous directand indirect ways. The Project has been privileged to receive financial sup-port from the National Endowment for the Humanities and from the ChiangChing-Kuo Foundation for International Scholarly Exchange. We are gratefulto these institutions for their financial support and the scholarly recognitionit implies.

Paul Jakov Smith2007






ABBREVIATIONS

CPPM Tzu-chih t’ung-chien ch’ang-pien chi-shih pen-moCWTS Chiu Wu-tai shihCYYL Chien-yen i-lai hsi-nien yao-luHCP Hsu tzu-chih t’ung-chien ch’ang-pienHTC Hsu tzu-chih t’ung-chienSHY Sung hui-yaoSS Sung shihTCTC Tzu-chih t’ung-chien






THE CAMBRIDGE HISTORY OF CHINA

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