Serving Heaven and Emulating the Ancients: Western Han Confucians’Movement to Reform Regulations and Improve Governance

Jiang Xiren

Abstract： In the early years of the Western Han， Confucian scholars， led by Jia Yi and Dong Zhongshu， launched a movement of reforming and improving governance， flying the banner of serving Heaven and emulating the ancients. Due to their different orientations， the Confucians could be divided into two groups： the “serving-Heaven” group， who liked to discuss portents; and the “emulating-the-ancients” group， who advocated establishing the ritual system. In the later years of the Western Han， Wang Mang exploited the first groups theory of portents to usurp the throne and founded the Xin dynasty， and then put into practice the second groups theory of establishing ritual， pushing the movement to its climax. However， Wang Mangs government overused portents， and mechanically established ritual， all of these factors contributed to the quick collapse of the Xin dynasty， and the proclamation of the failure of the movement to restore the ancient system. Nevertheless， the movement is of profound historical significance to Chinese politics of later generations.

Keywords： serving Heaven， emulating the ancients， Western Han Confucians， reforming regulations， improving governance， portents， ritual system

The Qin （221–206 BCE） and Han （206 BCE–220 CE） dynasties were a crucial period in the history of ancient China. The end of the enfeoffment system and the establishment of the prefecture-and-county system laid the foundation for the basic mode of governance and social administration that would survive for more than the next two millennia of feudal monarchy. As Xiong Shili 熊十力 （1885–1968） observes， “It was the Han dynasty which shaped the onward progress of more than two millennia in China. Any account of Chinese society， politics， culture， and academic development cannot ignore the Han dynasty.” Under the demand of the new era of socialism with Chinese characteristics to modernize the national governance system and enhance governance capacity， it is particularly necessary to study the politics and ideology of the Qin and Han dynasties. An in-depth study of the campaign for reforming regulations and improving governance in this period may bring to light some truth of the governance and social administration in the Qin and Han dynasties， and provide insight into better ways of governance and social administration for the present.

Criticizing the Qin and Correcting Han Fei：

The Origins of the Movement [Refer to page 82 for Chinese. Similarly hereinafter]

The early Han dynasty inherited the political system of the Qin dynasty. However，

Confucians [of the Han] directed their attack at the institution of the Qin Empire. This is called guoqin 过秦 （criticizing the Qin）， or finding fault with the Qin system; Also， they criticized the ideology of the Qin Empire， that is， the thought of Han Fei 韩非 who was the leading exponent of Legalism. This is called zhenghan 正韩 （correcting Han Fei）， or rectifying thoroughly the problems of Legalism.

Criticizing the Qin and correcting Han Fei became the point of departure for Han Confucians taking the current system to task and seeking to establish a kingly government; also， in a more practical sense， they were the incentive for Western Han （206 BCE–25 CE） Confucians to campaign vigorously for reforming regulations and improving governance.

In the early Han， Lu Jia 陸贾 （ca. 240–170 BCE） was the first to reflect on the lessons from the fall of the Qin dynasty. To Lu Jias mind， the fall of the Qin lay in its failure to heed the changing situation and adjust their policies from the act of seizing the empire to the ongoing task of governing the empire. Considering the lessons from the collapse of the Qin， Lu Jia argued that although the Han dynasty also seized the empire by force， it was necessary to govern the empire by virtue， and establish Confucianism as the dominant political ideology. Only through a combination of force and virtue can a government achieve a long period of order and stability.

The successor to Lu Jia in criticizing Qin governance and Legalism was Jia Yi 贾谊 （200–168 BCE）. In “On the Faults of the Qin” [过秦论]， Jia Yi wrote，

Those who annex states honor deceit and force， and those who stabilize the empire emphasize adaptation to changing circumstances. Therefore， the way to seize the empire and the way to govern it are worlds apart. After annexing the states， the Qin became a large empire， but it did not adapt its way of governance， nor did it change its policies. There was no difference in governance before and after the establishment of the empire. The Qin emperor continued to wield absolute power over the empire， so his rule quickly came to an end.

Obviously， this view is consistent with Lu Jias， addressing the need for policy adjustment before and after the establishment of the empire; Moreover， while criticizing the Qin， both of them lashed out at the Han dynasty inheriting the Qin system， thus paving the way toward the movement of reforming and improving governance. According to the “Biography of Jia Yi” [贾谊传] in the History of the Former Han Dynasty [汉书]， Jia Yi， in his “A Memorial on Governance” [治安策]， carefully examined and exposed the defects and disastrous consequences of the Qin dynasty and Legalism. This naturally anticipated the reform to come which would change the customs and common practices.

The Qin dynasty was founded on Legalism， and the Legalist instrumentalism played havoc with social ethics such as ritual propriety （li 禮）， righteousness （yi 义）， integrity （lian 廉）， and the sense of shame （chi 耻）. The ideal social order advocated by Confucianism—that of respecting ones seniors and loving ones relatives—went up in smoke， and led to the decline of standards in public life. According to Jia Yi， customs and ethical norms which had been destroyed in the Qin dynasty were not yet reestablished in the early years of the Western Han， and still needed substantial improvement， so that the task at hand for better governance was to change the system. Namely， to establish Confucianism with its principles of benevolence （ren 仁）， righteousness， ritual propriety， wisdom （zhi 智）， and trust （xin 信） as the dominant ideology， to provide guidance on social values and regulate the order of social and familial relations， such as those between father and son and sovereign and ministers. Jia Yis view can be seen as the forerunner to the effort by Western Han Confucians to restore the sage-king style of governance and transform the political system.

Building on the ideas of Lu Jia and Jia Yi， Dong Zhongshu 董仲舒 （179–104 BCE） first clearly expressed the view of achieving good governance through political reform. Adopting such methods as criticizing the Qin and correcting the ideas of Han Fei contributed to Dongs realization that the lingering traces of the Qin and Legalism would shake the Han Empire to its core and leading him to the conclusion that it was urgent to conduct reform and improve governance. Dong said，

To use the metaphor of a stringed instrument， if the sound produced by the instrument is so discordant that its strings need to be replaced， then one should replace the strings before playing the instrument. Similarly， if the way of governance is so deviant that it fails completely， then it must be changed to make way for good governance. If the strings in need of replacement are not replaced， even a good musician cannot play music with the instrument. Similarly， if a government in bad need of reform is not reformed， even a sage-king cannot rule properly. After the Han Empire was established， good governance has always been sought but never obtained even today. The reason is that the reform due has not yet been implemented.

In this passage， “reform” means changing the political system of the Qin， replacing the Qin system and Legalist ideology， along with its harsh laws and punishments with Confucian values and the Confucian way of cultivation through ritual and music. “Dong Zhongshu intended to use academic study and culture to guide politics， and to use politics to control the economy so as to achieve the goal of improving social mores and establishing good governance.”

During the more than seventy-year period following the rise of the Han dynasty， Confucians led by Lu Jia and Jia Yi continued criticizing the Qin and Legalism and reflecting upon their failure; eventually， Dong Zhongshu proposed to reform regulations and improve governance. Later， this proposal was taken and implemented by Confucians in the Western Han. To quote from Li Ruohui 李若暉，

Confucianism in the Han dynasty began with the criticism of the Qin by Confucians such as Lu Jia and Jia Yi. However， unfortunately， the Qin system still continued to be implemented in the Han Empire. While the Confucians were criticizing the Qin， what they

were truly criticizing was their own Han Empire. As a consequence， to restore the system of the ancients and carry out reform became the relentless pursuit of later Han Confucians.

Thus， amid waves of criticism of the Qin， a new stage was ushered in， and Han Confucians vigorously pushed ahead with the movement of reforming and improving governance.

Serving Heaven and Emulating the Ancients：

The Path to Reform and Good Governance [84]

It is Dong Zhongshu who put forward the idea of “serving Heaven and emulating the ancients.” In Luxuriant Gems of the Spring and Autumn Annals [春秋繁露]， Dong said， “The Way （dao 道） of the Spring and Autumn Annals is serving Heaven and emulating the ancients.” Dong thought that reforming regulations and improving governance must follow a particular set of rules. Essential to the rules is the principle of serving Heaven and emulating the ancients， which means， in a real sense， emulating the way extolled by the Spring and Autumn Annals， the Way of ancient sage-kings， and following the will of Heaven and the Way of Heaven as disclosed in the subtle language of the Spring and Autumn Annals.

Dongs idea of serving Heaven and emulating the ancients laid the foundation for the Western Han Confucians movement of reforming regulations and improving governance. Building on this initial idea， gradually Confucians campaigned along different lines， resulting in two main approaches， one oriented toward serving Heaven and the other emulating the ancients. The former was focused on exploring the will of Heaven， and using this idea to regulate and rectify human affairs; the latter was focused on exploring the system of ancient sage-kings， and using it to regulate and rectify the Han system. Those who adopted the first approach liked to speak of portents， and tried to interpret them as Heavens warnings to the ruler; those who adopted the second approach liked to speak of rites and ceremonies， and hoped to use them to reform and improve governance. The two groups shared the common goal of reforming regulations and improving governance. We can be certain that the two goals of serving Heaven and emulating the ancients are not entirely separate from each other. While testing Dong Zhongshu on governance， Emperor Wu of the Han （r. 140–87 BCE） said， “Those who are good at speaking of Heaven prove themselves by human affairs， and those who are good at speaking of antiquity prove themselves by what is happening at present.” The consciousness of the operations of the cosmos and that of human history are interwoven， with different scholars having different emphases.

Dong Zhongshu was the first Han Confucian to speak of portents. The “Treatise on the Five Phases” [五行志] in the History of the Former Han Dynasty recorded，

The Han dynasty rose in the wake of the Qins destruction of various schools of learning. During the reign of Emperor Jing （r. 156–141 BCE） and Emperor Wu （140–87 BCE）， Dong Zhongshu studied the Gongyang Commentary on the Spring and Autumn Annals， and became the first to make calculations through yin and yang， thus establishing himself as a master in Confucian learning.

After Dong， it became in vogue among Confucians to calculate by yin and yang and to speak of portents.

Speaking of portents was an important step of reform by Han Confucians， and its real target was the rule of the Qin dynasty and the autocratic monarchy founded on the doctrine of Legalism. As Pi Xirui 皮錫瑞 （1850–1908） noted， “Later it was believed that the ruler was superior to the minister. A Confucian minister dared not remonstrate directly with the ruler， so the minister did so obliquely by invoking the Way of Heaven. For the ruler grew tired of hearing lectures on benevolence and righteousness， but was in awe of omens and portents from divination.” Autocratic rule was practiced in the Qin dynasty， based on the doctrine of Legalism， with the emperor having absolute power over the country， power that was not checked even to the smallest extent. The Confucian reciprocity between ruler and minister—the ruler behaved to the minister with ritual propriety， and the minister behaved to the ruler with loyalty—was banished. The Qin system was continued into the Han， and power was increasingly concentrated in the hands of the emperor， who was the arbitrator in political decisions and was subject to little or no regulation. In order to tackle this problem and limit the power of the emperor， Han Confucians resorted to discussing portents. Essential to this method are the following two characteristics.

First， it was advocated that the mandate of Heaven was only temporarily bestowed on a royal house， so that the ruler was wrong to think of himself as the rightful owner of the country. The First Emperor of Qin （r. 246–210 BCE） regarded the country as his own property， and Liu Bang 刘邦 （ca. 256–195 BCE）， the founder of the Han dynasty， held the same opinion. Commenting on this attitude， Huang Zongxi 黄宗羲 （1610–1695） said，

The world was seen as one persons property， which could be passed on to sons and grandsons， with endless enjoyment for one particular family. As the founder of the Han put it， “Look at what I have made， and compare it with that of my elder brother. Who has achieved more？” In saying these words， the emperors delight in the pursuit of profits is more than obvious.

To prevent the ruler from holding such a dangerous idea， Western Han Confucians used portents to explain that the mandate of Heaven was subject to shifts and changes. Ge Kuanrao 蓋宽饶 （d. 60 BCE）， quoting from Han Yings Commentary on the Book of Changes [韩氏易传]， said，

The five emperors ruled the world as public officials， and the Three Kings ruled the world heads of a family. Those who ruled as the head of a family passed the throne to their sons， and those who ruled as a public official passed the throne to worthy men. Passing the throne is like the rotation of the seasons. Those who have made their achievements step down and those who are not worthy are not entitled to the position.

These remarks were made to warn the ruler of the possibility of losing the mandate of Heaven， which “is withdrawn from those who rule badly and bestowed upon those virtuous who rule well， hence the mandate has no preference for any particular family”; the remarks also reminded the ruler that “the world belongs to all the people living in the world， not to any particular person.”

Second， Confucians liked to talk about the interaction between Heaven and humankind， with the conclusion that the rulers misbehavior inevitably led to portents， and that the only way for the ruler to eliminate negative portent was through self-examination， self-cultivation， and benevolent rule. To restrict the power of the Han emperor， Confucians elaborated on the mysterious and awesome relations between Heaven and humankind. Dong Zhongshu said，

If the country is about lose its Way and plunge into chaos， Heaven shall first of all bring forth natural disasters as warnings to the ruler. If the ruler does not examine himself and rectify his behavior， Heaven shall bring forth bizarre events to startle the ruler. If he still pays no heed， then fatal destruction eventually comes. As can be seen， Heaven is benevolent， caring for the ruler and trying to save him from misgovernment.

Therefore， the real intent of Han Confucians speaking of portents was to prevent the Han from continuing the misgovernment practiced in the Qin.

Shusun tong 叔孙通 （fl. 206–194 BCE） was the first Han Confucian to advocate establishing a system of ritual， but the system he set forth was nothing more than the superiority of the emperor over his subordinates. The real initiator of such a system was Jia Yi， who elucidated the significance of ritual and advocated replacing the harsh Qin laws with the Han ritual system. According to Li Ruohui， Jia Yi “drafted a comprehensive ritual system for the Han dynasty， trying to use it to replace the Qin laws.” After Jia Yi， Dong Zhongshu proposed to restore the ancient system and reform regulations， that is， to emulate the ancient sage-kings and govern by moral education through ritual and music， wiping out the Qin tyrannies and Legalism together with their harsh laws and punishments. However， Dong was focused on discussing portents based on his reading of the Gongyang Commentary on the Spring and Autumn Annals. His approach to reforming regulations and improving governance was oriented toward serving Heaven， but the ideas he put forward did in fact point to the path of emulating the ancients， which was carried on and put into effect by later Han Confucians.

As another important path that Han Confucians followed in reforming regulations， advocating ritual aimed specifically to rectify the Qin mode of governance， which was guided by Legalism and knew only harsh laws and punishments， a system that was still in use in the Han dynasty. The Confucian moral education of ritual and music had been abandoned. To redress what went wrong and reform the Han system， Han Confucians pushed for establishing ritual system chiefly along two dimensions.

First， in theory， they clarified the different roles moral education and harsh laws played respectively， and established a mode of governance that prioritized moral education over laws. Jia Yi noted that the difference between ritual and laws was that ritual were bent on preempting misconduct while laws seek redress after the act， the two having completely different functions. Moral education had great value in “eliminating evil in the bud， and conducting moral education spontaneously， leading people away from evil day by day without their being aware of the process.” As a consequence， if the role of moral education， of ritual and music， is given full play， people shall not have any motivation to do evil， and there is no need for laws to remedy the situation afterward. Besides， with regard to the effect of governance， the rule of ritual is apparently better than the rule of law. Han Confucians did not put their trust entirely in moral education， and set laws and punishments besides; in fact， they believed that moral education was the master， and laws and punishments were the servants. Dong Zhongshu compared laws to yin and morality to yang， and thought that although Heaven championed moral education instead of laws and punishments， “if yang does not have the assistance of yin， the order of time in a year shall be disrupted.” That is， although governance mainly relies on moral education， laws and punishments are a useful complement. Ritual， music， policies， and laws have different uses， and they complement each other. The intention behind Han Confucians advocation of ritual was to reform the system and establish a kingly Way.

Second， in practice， Han Confucians gave politics and society an overhaul through the ritual system， correcting deficiencies， restoring the system of the ancients， and reforming the Han rule. There were many problems to deal with， such as the violation of ritual， extravagance and waste， a mess in official ranks among the upper class， with the degradation of customs， lack of honesty and shame， and intolerance and indifference among the lower class. Han Confucians seeking to restore ancient ritual and change the Qin system may be accused of not keeping up with changing times; however， worthy of approval is their intention to remedy what went wrong， to improve peoples lives， and to establish a good government.

In short， through criticism of the Qin and Legalism， Western Han Confucians， guided by Dong Zhongshus principle of serving Heaven and emulating the ancients， set up a mass movement of reforming regulations and improving governance. Driven by the two groups of Confucians， the movement gained momentum and reached its climax in Wang Mangs 王莽 （45 BCE–23 CE） reform.

Decline of the Han and Wang Mangs Failed Reform：

The End of the Movement [88]

To begin with， Han Confucians spoke of portents in order to prove the legitimacy of the rule of the Liu clan. Liu Bang， the founder of the Han dynasty， was from a peasant family. As the Han was newly established， the legitimacy of Liu Bangs rule was questioned by both court officials and common people alike. To resolve this problem， Han Confucians， employing the Yin–Yang Schools doctrine of the Five Virtues Cycle， put forth the view that “the Liu clan was the descendants of Yao.” “The emperors family can be traced to sage-king Yao. In the Zhou dynasty （1046–256 BCE）， Yaos descendants settled in the place of Qin and changed their surname to Liu.” Liu Bang killed a white snake at the start of the uprising， and this symbolic event was used to identify Liu as the “son of the Red Emperor.” Thus theoretically， Liu Bangs rise from a peasant to the emperor is justified through cosmic portents.

Later on， as the movement of reforming regulations and improving governance advanced， Han Confucians， swayed by the general atmosphere of criticizing the Qin and correcting Han Fei， began to criticize the Han autocratic monarchy. Sui Meng 眭孟 （d. 78 BCE）， Ge Kuangrao， Jing Fang 京房 （77–37 BCE）， Liu Xiang 劉向 （77–6 BCE）， and other Confucians came forward. They advocated the shifting of the mandate of Heaven， which was believed to have no preference for members of one particular clan， so as to warn the ruler and regulate his behavior. In the period of the reign of Emperor Cheng （r. 32–7 BCE） and Emperor Ai （r. 7–1 BCE）， Gan Zhongke 甘忠可 （ca. d. 22 BCE）， Xia Heliang 夏贺良 （d. 5 BCE）， Li Xun 李寻 （d. 6 BCE）， and others expressed the view that “the Han was in decline [according to the will of Heaven].” In relation to this， Qian Mu 钱穆 （1895–1990） said，

Textual research shows Sui Meng had stated， “The Han imperial house descended from sage-king Yao， and would one day take the throne.” Xia Heliang and others later said， “The Han was in decline， and the mandate of Heaven would be bestowed again，” so the emperor then changed his name to Chen Shengliu 陈圣刘 （metaphorically， Emperor of the Liu clan descending from Emperor Shun whose surname was Chen）. For according to the theory of the shifting of the virtues of the Five Emperors， if the Han descending from Yao was in decline， the successor to the throne should be a descendant from Shun. So， the new name Chen Shengliu was used to exorcize the spell and prolong the vitality of the empire.

As Han Confucians campaigned for reform and better governance， their speaking of portents were intended to limit the power of the emperor， and their speaking of “the decline of the Han” was only to persuade the emperor to examine himself， engaging in self-cultivation， and seeking to keep the mandate of Heaven. However， these had the side effect of creating opportunities for Wang Mang to usurp the throne. Wang took the throne， taking advantage of the auspicious signs and omens and proclaiming that the mandate of Heaven had already shifted and stipulated a new dynasty to succeed to the Han. Wang justified his usurpation in the same vein as Confucians had justified the legitimacy of the Liu family to rule in the early Han dynasty.

After Wang Mang came to power， he reformed the Han system and restored ancient ritual， and put into practice all the Western Han Confucians proposals of establishing the ritual system. In fact， the reason that Wang Mang could usurp the throne is twofold. First， he took advantage of the tendency in Han Confucianism to speak of portents. Second and more importantly， he followed the trend of pursuing ritual， and made efforts to push ahead with that reform. Campaigning vigorously for the restoration of ancient ritual， Wang gained the unanimous support of the Confucian scholars during his time. The political movement， having its origins in the Western Han， of reforming regulations and improving governance reached its climax during the Xin dynasty （9–23）， established by Wang Mang

However， Wang Mangs reform did not lead to the desired results of improved governance. On the contrary， the Xin dynasty came to a quick end due to serious problems both in the country and threats from abroad. Reflecting upon this political movement launched by Western Han Confucians and the rise and fall of Wang Mangs rule brings to light two lessons worthy of attention.

First， in the later years of the Western Han， the Confucian theory of portents was taken to extremes when used in politics， and gradually became a tool for political struggle among the emperors and their subordinates. In addition， Wang Mang usurped the power of the Han dynasty by claiming to receive the mandate of Heaven. Influenced by Wang， those who aspired for power in turn would also pretend， in one way or another， to be following the passing decree of Heaven and thereby seek upward mobility. Although Wang Mang set some limits to this practice， and outlawed the receiving of the decree of Heaven by private individuals， the theory that Han Confucians had made to reform the Qin system was overused to the extent that it became completely out of hand. The imperial court was overwhelmed by superstition. This is a very important factor in the quick collapse of the Xin dynasty.

Second， the ritual system upheld by Han Confucians， once put into practice， was seriously undermined by its strict adherence to the ancient system and refusing to adjust to changing environments. The true purpose of Han Confucians was to replace the rule of harsh laws and punishments with the ritual system so as to set up the core values of Confucianism as the dominant values of society， improve the standards in public life， and guide people to become virtuous. However， Emperor Xuan of the Han （r. 73–49 BCE） sharply criticized Confucians， saying： “The Confucians， simple and pedantic， totally ignored the changing environment. Unaware of the need to be flexible， they favored the past and slighted the present， confused people as to names and realities， and made people uncertain about what to believe in. How can I use them to govern the country？” These defects were magnified through the lens of Wang Mangs reform. The “Biography of Wang Mang” [王莽傳] in the History of the Former Han Dynasty recorded，

Wang Mang believed the world would be at peace if the ritual system was established， so he thought hard about the division of administrative areas， devoted himself to the making of ritual and music， and sought to synthesize the theories of the Six Classics. Ministers held discussions from dawn to dusk， year in and year out， with little time for urgent matters， such as peoples lawsuits， and no time to defend their rights.

There was a considerable stopgap between the ritual system Wang Mang wished to establish and its actual establishment. Wang was wrong in taking a rather romantic view toward the political system， believing in its supreme power and mistaking its symbolic meaning for its real benefits in use. Huan Tan 桓谭 （ca. 23 BCE–56 CE） levelled precisely this criticism at Wang Mang，

[Wang Mang] desired to emulate the ancients in everything he did， worshiping the system of ancient sage-kings， yet was unaware of his inability to establish such a system. Focusing on what was far away and missing what was close at hand， Wang took the wrong thing as his main priority. As a consequence， he upheld virtue and justice only to plunge the government into chaos and violence. In a word， Wang had no idea of which task should be his top priority.

Wang Mangs reform is focused on emulating the ancients， yet it fails to take into account the present; it is focused on restoring the system of ancient sage-kings， yet it refuses to adapt to the changing environment. Therefore， the Utopian and irrational side of the Confucian rule of ritual was taken to its extreme. To use Qian Mus words， “Wang Mangs reform followed the ancients only mechanically， and was doomed to fail.”

On the surface， the movement by the Western Han Confucians failed with the fall of the Xin dynasty， but the movement lasting two hundred years is of profound historical significance. Related to this， Yan Buke 閻步克 said，

The Qin dynasty relied on laws and administrative techniques， the early Han dynasty used Huang–Lao Daoism， Emperor Wu and Emperor Xuan of the Han dynasty “combined the hegemonic Way and the kingly Way，” and later in the Xin dynasty founded by Wang Mang， Confucian doctrines were followed throughout the reform. During this long period， various political doctrines emerged and great variation occurred in the ideology of the empire.

In the midst of the shifting ideologies， Western Han Confucians openly criticized the Qin and Legalism， and rejected Huang–Lao Daoism. They advocated ritual and music， promoted Confucian values， such as its notions of benevolence and righteousness， and tried to use the Way of Heaven and the ancient sage-king system as their ultimate standard. By all these methods， they sought to transform and rectify social reality and construct an ideal of the kingly Way. Later， their theories and practices developed over time and gradually merged with Legalism. In the Eastern Han （25–220） a Chinese mode of governance and social administration characterized by Confucianism without and Legalism within was established. This traditional mode of governance has exerted its influence on the history China for the next two thousand years.

Translated by Hou Jian