Legitimation of A Marginal Dynasty The G PDF

LEGITIMATION OF A ‘MARGINAL DYNASTY’: THE
GREAT XIA IN SICHUAN, 1362-1371

- A CASE STUDY
MAX JAKOB FÖLSTER
(University of Hamburg)
Introduction
The focus in scholarship on imperial Chinese history generally rests on the
history of the legitimate ‘major dynasties’ (Han, Tang, Song, Yuan, Ming, Qing),
thus following what has been labeled as “the Zhou interpretation of history,
whereby all of the Chinese past is seen as having originated from one
(mythological) source leading inexorably to the Zhou and continuing thereafter
in an unbroken succession of ‘legitimate’ dynasties.”1 This interpretation is
most evident in the dynastic tables. But these are misleading exactly because
they suggest an unbroken succession of the dynasties. In reality “[n]ew powers
and contenders for power often overlapped with established rulers.”2 However
these rival powers are mostly neglected, albeit a considerable number of them
did persist for some time, as in the case of the Great Xia 大夏. For the purpose
of this paper such short-lived and locally confined rules will be called ‘marginal
dynasties’. Since the control over all of the realm (tianxia 天下) was a central
point in the theory of the legitimate succession of dynasties (zhengtong 正統),
traditional Chinese historiography considered them to be illegitimate.3 Opposite
to the unified rule of a legitimate dynasty, they were regarded to merely have
achieved partial peace (pian’an 偏安) in a section of the realm. Generally they
are labeled as states (guo 國) ruled by a king (wang 王), as distinct from a
legitimate dynasty (chao 朝 ) ruled by an emperor (di 帝 ) or straightly
dismissed as usurpers (jianjun 僭君 or jianqie 僭竊 ) who established
illegitimate dynasties (weichao 僞朝).4
There are ‘marginal dynasties’ that are represented on the conventional
dynastic tables and those like the Great Xia that are not. During long-lasting
The author would like to thank Prof. Dr. Michael Friedrich (Hamburg) for his numerous
helpful comments on earlier drafts of this paper and Gayle Teget for correcting the English.
1 Wilkinson 2000, p. 7.
2
Ibid., p. 14.
3
For the development of the theory of the legitimate succession of dynasties see Rao Zongyi
1977. Especially Ouyang Xiu’s writings on it have been very influential, Chan 1984, pp. 38-
39; Trauzettel 1967; Davis 1997.
4
Kurz 2002, p. 279; Hu 1992, No. 1064, 7337 and evaluation of Li Chongzhi 1981, see
below.
72 MING QING STUDIES 2013
times of political fragmentation, major parts of what was conceived as the realm
were controlled by ‘marginal dynasties’. They are generally put together under
the collective terms of Sixteen States (shiliu guo 十六國) (304-439) and Ten
States (shi guo 十國) (902-979).5 While these somehow officially recognized
‘states’ have been studied to some extent,6 those not represented in the dynastic
tables have not received much attention so far.7
A tentative inquiry into era names (nianhao 年號) revealed up to 184
potential ‘marginal dynasties’.8 Although era names were mainly a method of
recording years, their adoption at the same time was equivalent to “an
affirmation of the sovereignty of the ruler”. And since “not only the emperors
themselves but also leaders of non-Han and rebel governments adopted
nianhao”, they offer a way to identify ‘marginal dynasties’.9 However, only
very few of the 184 would qualify as dynasties in the sense that they established
“a line of hereditary rulers of a country”.10 Over 80% of them lasted merely one
(if at all) to three years and only had one ruler. Just four of them (one being the
Great Xia) succeeded in passing their power on to their sons. Nonetheless, it can
be assumed that all of them attempted to establish a dynasty and wished to pass
on their rule to their descendants. They established their own courts (chao 朝)
as the adoption of an era name, a proper dynasty name (in 66 cases) as well as
the often mentioned appointment of officials (zhi guan 置官 ) suggests.
Traditional historiography leaves no doubt about its repudiation of these rules.
Either it is said that they proclaimed or declared themselves (!) ruler (zili 自立,
zicheng 自稱 or zihao 自號), thus stressing the fact that they lacked the
appropriate support, or it is emphasized that they “ascended a false throne (jiwei
wei 即偽位)”, arrogated to themselves the title of emperor (jianhao 僭號 or
jiancheng 僭稱), “unlawfully ascended the throne (jianji wei 僭即位)” or even
“unlawfully ascended a false throne (jianji weiwei 僭即偽位)”.11
5
The Three Kingdoms (sanguo 三國) (220-280), which actually also fall under this
category, are somewhat exceptional. They have a very prominent position in Chinese history
and from early on have been subject to substantial romanticization. See Shen 2003.
6
I am only referring to studies in Western languages. Sixteen States: Eberhard 1949;
Schreiber 1949-1955; Rogers 1968; Honey 1990. Ten States: Stumpfeldt 1982; Amthor 1984;
Kurz 1994, 1997, 1998, 2002, 2003, 2011; Clark 2009; Lorge 2009; Wang 2011. For a
translation of an official history for the Ten States see Davis 2004, pp. 467-602.
7
An exceptional study is Kleeman 1998.
8
All data are the result of a preliminary evaluation of Li Chongzhi 1981. This compilation
has the advantage of giving short extracts of the relevant sources. Due to the great number, I
have not checked all the original sources. The evaluation cannot claim to be all-
encompassing. It is very likely that there were more such rules. This evaluation is just
intended to give an impression of the scale.
9
Wilkinson 2000, p. 182. However, one has to bear in mind that the practice of era names,
which began in 116 BCE, was subject to change. Until 1368 emperors would adopt different
era names in the course of their reign, only from then on the era name became equivalent to
the reign of one emperor. For a more detailed discussion, see Wilkinson 2012, pp. 276,
510-515.
10
http://oxforddictionaries.com/definition/english/dynasty?region=us [viewed 31
August 2012].
11
Results of the evaluation of Li Chongzhi 1981.
Legitimation of a “Marginal Dynasty”: The Great Xia in Sichuan 73
A simple look at the chronological distribution shows a clear

concentration within periods of disunity, especially 4th to 6th century (50 of 184),
but also the early 7th century (26) as well as the 17th century (16) reveal obvious
peaks. Besides chronological clusters there also seems to be a geographical
concentration. The best example is Sichuan, where the Great Xia (1362-1371)
with the emperors Ming Yuzhen 明玉珍 and his son Ming Sheng 明昇 are but
one of many ‘marginal dynasties’ in the history of this area.12 This has led to the
verdict on Sichuan being China’s stronghold of rebellions: “Is the realm not in
rebellion yet, Shu (i.e. Sichuan) is the first to rebel; Is the realm already under
rule, Shu is the last to be ruled [天下未亂蜀先亂，天下已治蜀後治].”13
This article explores, how the Great Xia – as exemplary case of a
‘marginal dynasty’ – claimed its legitimacy. In the first part a detailed history of
the rise and fall of the Great Xia will be presented. The second part examines
their legitimation strategies. By contrasting evidence for traditional patterns of
legitimation and elements of radical millenarian beliefs in the sources it will be
shown that, although the Xia’s origins lay in a religiously motivated uprising
and these beliefs continued to be vital, its leaders eventually turned to the
established tradition and their representatives, former officials and scholars, in
order to secure legitimacy.
1. The Great Xia

A general obstacle when studying ‘marginal dynasties’ like the Xia poses the
character of the historical tradition in China. It is dominated by official
historiography and since ‘marginal dynasties’ were considered illegitimate they
did not receive their own official history. In the official histories they are only
treated marginally. Moreover, official historiography served certain purposes. It
“was not about facts, but about good and bad examples” that originally were to
14
be used for ethical instruction of the princes, i.e. the future rulers. History was
always conceived to be a mirror of the past, that should serve as either
encouragement or warning to later generations. This is especially true for the
12
Gongsun Shu 公孫述 established his Cheng 成 Dynasty (25-36) in Sichuan during the
chaotic period at the end of Wang Mang’s 王莽 rule. From 220 to 263 Sichuan was ruled by
Liu Bei 劉備 and his son Liu Chan 劉禪 as emperors of Shu 蜀. In 306 Li Xiong 李雄
proclaimed a Cheng 成 Dynasty in Sichuan, which after Li’s death 335 was renamed Han 漢
and lasted until 347 (see Kleeman 1998). Two of the Ten States were found in Sichuan (see
Tietze 1980). Wang Jian 王建 and his son Wang Yan 王衍 ruled as emperors of the Former
Shu 前蜀 (907-925) (see Wang 2011). And only a few years later in 934 Meng Zhixiang 孟
知祥 proclaimed the Later Shu 後蜀, his son Meng Chang 孟昶 followed on the throne and
ruled until 964 (see Amthor 1984). For a general history of Sichuan, see Chen Shisong and Jia
Daquan 1986.
13
Shu Jing Lu 蜀警錄 by Ouyang Zhi 歐陽直 (1621-?), in Zhongguo Yeshi Jicui 2000,
p. 62.
14
Vogelsang 2005, pp. 150-151.
biographical sections (liezhuan 列傳 ), in which founders of ‘marginal

dynasties’ are often treated – as is the case for the Xia’s founding Emperor Ming
15
Yuzhen. The biographies were not only “selected to provide precepts and
16
examples for the reader”, but can also be related to certain categories.
Founders of ‘marginal dynasties’ often serve as the bad model for incompetent
rulers, whose power lacks legitimacy. Seunghyun Han, for example, has shown
for Zhang Shicheng 張士誠, one of the contenders to the founder of the Ming,
Zhu Yuanzhang 朱元璋, that he was represented as a mere villain by the Ming
official historiography, in order to portray Zhu as the legitimate ruler. Hence
17
Zhang is described as an incompetent, lazy, hypocritical and murderous bandit.
In case of the Xia there fortunately are other sources available that allow a
different perspective than the one of official historiography. Since the
18
compilation of history played a vital role in the process of legitimation, it was
quite natural for rulers of ‘marginal dynasties’ to create a history office.
Normally the material collected by the court historians would then serve as a
basis for the official history of a dynasty, which as a rule was compiled by the
successive dynasty. As the Xia were not considered a legitimate dynasty there is
no official history, but a scholar named Yang Xueke 楊學可 made use of such
materials and wrote a private history of the Xia, the Mingshi Shilu 明氏實錄
(Annals of the Ming Family). Another important source is the stele inscription
19
that was found during the excavation of Ming Yuzhen’s tomb. A more detailed
description of the sources is to be found in the appendix.
The exceptionally good source material has inspired quite a few studies
on the Great Xia by Chinese scholars. In the beginning, modern Chinese
scholarship on the Xia was undertaken within the framework of research on
peasant uprisings (nongmin qiyi 農民起義 ), which were identified as
forerunners of the communist movement in China. Main task of this highly
ideological approach, generally, was to merely identify class backgrounds,
determine collaboration and class loyalty, as well as to describe the
20
repercussions of such uprisings. While scholars before the Cultural
Revolution dismiss Ming Yuzhen as a member of the landlord class (dizhu jieji
15
His biography is to be found in Mingshi, 123: 3701.
16
Twitchett 1961, p. 102.
17
Han 2008. But Han has made it also quite clear that this view was later challenged by a
localist interpretation of Zhang Shicheng’s regime.
18
On the link between historiography and legitimation, see Hok-lam Chan’s study on the
historical revisions initiated by the Ming Emperor Zhu Di which ultimately served to secure
his long-term legitimacy: Chan 2007.
19
Throughout this paper a critical edition of the Mingshi Shilu (hereafter: MSSL) will be
quoted. The critical edition is part of Fölster 2009, pp. 114-121. The critical edition is divided
into 54 paragraphs, according to which it will be quoted. The stele inscription Xuangong zhi
Bei 玄宮之碑 (Stele of the Dark Palace) (hereafter: XGZB) is published in Zhongguo
Wenwu Yanjiusuo and Chongqing Bowuguan 2002, pp. 229-230.
20
Naquin 1980, p. 105. Harrison 1969 offers a more detailed discussion on the importance of
the peasant uprisings for the Chinese communists.
21
地主階級), later scholars identify the Xia as a revolutionary peasant regime
22
(nongmin geming zhengquan 農民革命政權 ). The excavation of Ming
Yuzhen’s tomb in 1982 was followed by a great number of studies on the stele
23
inscription and questions related to the new information it revealed. Besides a
small number of articles on questions of detail the majority of them deal with the
24
entire history of the Xia. Their authors mostly examine the history
chronologically by giving the main facts. A major problem remains that even
newer works persist in simply labeling the protagonist as revolutionaries or
reactionaries. And, although the authors make use of all sources and
acknowledge inconsistencies within, they do not apply a systematic approach to
the sources.
In Western research the Great Xia have not gained much attention so
far. Otto Franke briefly mentions Ming Yuzhen and the Great Xia in his
unfinished Geschichte des chinesischen Reiches (History of the Chinese
25
Empire). Vincent Shih and Chan Hok-lam insignificantly touch on Ming
Yuzhen in their articles on the ideological background of uprisings in Chinese
26
history. Works on the early Ming focus on Zhu Yuanzhang and discuss the Xia
merely as one of the many antagonists of the Ming’s founder. Furthermore,
because the Xia are not considered to be a major antagonist – these are Chen
Youliang 陳友諒 and the aforementioned Zhang Shicheng – they for the most
27
part remain a side topic. The so far best account on the Xia is the entry on
28
Ming Yuzhen in the Dictionary of Ming Biography. Since this is a dictionary
entry, it naturally does not treat the topic exhaustively and even more
importantly, Ming Yuzhen’s tomb was not yet discovered at the time of its
publication.
******
21
Wang Chongwu 1954, pp. 95, 99; Wu Han 1965, p. 137.
22
Hu Zhaoxi 1977; Li Bangzheng 1979.
23
Hu Zhaoxi 1982; Liu Kongfu 1983, 1987; Dong Qixiang 1984; Hu Chaoren 1984; Zhang
Cailie 1986.
24
On the class background of Ming Yuzhen: Zhuang Yanhe 1982. Ming Yuzhen’s tomb:
Dong Qixiang 1982a; Huren Wenhan 1993. Appraisal of Ming Yuzhen: Zhang Yizhi 1983.
Currency issued by the Xia: Dong Qixiang 1988. Rule over western parts of Hubei: Deng Hui
1987; Guo Shengbo and Liu Xingliang 2011. General histories: Xu Wenbin 1982; Dong
Qixiang 1982b, 1983; Li Bangzheng 1983, 1985; Liu Kongfu and Pan Liangchi 1989; Teng
Xincai 2000a, 2000b.
25
Franke 1948, pp. 539, 546.
26
Shih 1956, pp. 200-201; Chan 1969, p. 215. The same is true for two works on folk
religions: Overmyer 1976, p. 29; Ter Haar 1992, p. 16, note 3. Dardess 1970 does not treat the
Xia at all in his article on the background of the late Yuan rebellion.
27
Dreyer 1982, pp. 71-73; Farmer 1995, pp. 22, 25; Ma Li 2002, pp. 140-141. The same is
the case for the relevant chapters in the Cambridge History of China: Mote 1988, pp. 27, 41-
42; Dreyer 1988, pp. 100-101. See also Mote 2000, pp. 539-540.
28
Dardess 1976b.
As is the case for the Ming Dynasty the Xia’s antecedents lay within the
uprisings of the so-called Red Turbans (hongjin 紅巾). While Zhu Yuanzhang
had joined the Northern Red Turbans, Ming Yuzhen, founder of the Xia Dynasty,
had joined the Southern Red Turbans. The former had their center within the
modern province of Anhui and the latter in Hubei. Both movements were driven
by similar religious ideas propagating the advent of Maitreya, Buddha of the
future, which would usher in a new utopia. But they acted independently from
each other.
Han Shantong 韓山童, leader of the Northern Red Turbans proclaimed
that “the empire is in great disorder, Maitreya Buddha will descend to be reborn
and the King of Light shall appear in this world [天下大亂，彌勒下生，明王
29
出世].” The revolt he incited among the workers that were drawn together to
repair the Grand Canal in 1351 failed and Han was executed. Shortly thereafter,
some of his surviving followers successfully rose for a second time, now
worshiping Han’s son Han Lin’er 韓林兒 as Small King of Light (Xiao Ming
Wang 小明王). In 1355 they even proclaimed him emperor of their newly
established Song 宋 Dynasty. Spectacular military successes, that brought the
rebels as far as Korea, were soon followed by major setbacks. In 1363 Han
Lin’er, then trapped in his besieged capital Anfeng 安豊 (Anhui), had to be
saved by Zhu Yuanzhang, who had joined the movement in 1355. Some years
later Zhu finally arranged for the death of Han Lin’er, who posed an obstacle in
30
the legitimation of his own aim for power.
The leader of the Southern Red Turbans at least nominally was a certain
Xu Shouhui 徐壽煇, an itinerant peddler of cloth from Luotian 羅田 (Hubei).
31
He was chosen to be the leader because of his exceptional appearance.
According to the stele inscription found in Ming Yuzhen’s tomb the Red Turbans
32
in the south already staged their uprising in 1350, thus earlier than in the north.
And more importantly they also proclaimed a Song Dynasty, with Xu Shouhui
as their emperor. Tianwan 天完, the dynasty name transmitted in most sources,
is an invention made by the Ming-time historians, who compiled the Yuanshi 元
33
史 (Official History of the Yuan).
29
Reconstructed text based on different sources: Ter Haar 1992, p. 116.
30
On the Northern Red Turbans see Dardess 1970, 1976a; Mote 1988, pp. 42-43; Dreyer
1988, pp. 12-64. On Zhu Yuanzhang’s relation to Han Lin’er and his Song Dynasty see
Dardess 1970, pp. 555-557; Chan 2008, pp. 107-117. On the Maitreya belief see Chan 1969.
31
Yang Ne 2004, pp. 145-147. For a biography of Xu Shouhui see Taylor 1976.
32
A further evidence corroborating this might be that Peng Yingyu “rebelled in a yin-year,
yin-month on a yin-day during a yin-hour” 以寅年寅月寅日寅時反 (Gengshen Waishi 庚申
外史, Shang 5: 1211; for a German translation see Schulte-Uffelage 1963, p. 34). The next
yin-year after 1338, the year of Peng’s rebellion, was exactly 1350. This probably had some
religious relevance connected to the prophecy of Maitreya’s advent. This correlation has
already been noticed by Chinese scholars: Jiang Wanxi, Wang Chuanping and Liu Yuchuan
1982, p. 15; Dong Qixiang 1984, p. 13.
33
Other contemporary sources like Caomuzi 草木子 and Gengshen Waishi do not mention
the name Tianwan. On the background of this invention and for earlier explanations of the
rather awkward dynasty name, see Chan 2008, pp. 124-129.
Like the Northern Red Turbans, the movement in the south in the first
34
stage was able to conquer large territories. Ming Yuzhen joined Xu Shouhui’s
forces during this period of expansion. Ming was a peasant from Meiqiu 梅丘, a
village near Suizhou 隨州 (Hubei). Born in 1329 he, in contrast to Zhu
Yuanzhang, who descended from a poor peasant family, most probably belonged
35
to the richer families of his home community. It is said that he once served as
Commander of the Local Patrolling Archers (xunsi gongbing paizitou 巡司弓兵
36
牌子頭) and after the outbreak of the Red Turban rebellion the village elders
entrusted him with the defense of the village. For this he set up a militia and
37
build a rampart on a nearby mountain. Why Ming Yuzhen joined Xu’s forces
38
is not clear. Whatever the reason, he remained loyal towards Xu Shouhui.
Shortly after the Southern Red Turbans, confronted with a major offensive by
Yuan loyal troops, lost more and more ground and eventually fled into remote
areas. Even under these circumstances Ming did not defect. He had been
appointed Grand-marshal of the Troop Fighting the Barbarians (tongbing
39
zhenglu da yuanshuai 統兵征虜大元帥) and led his homeland militia-men
under the high command of Ni Wenjun 倪文俊. It was this Ni, who, starting in
1355, led the Southern Red Turbans’ counterattack. They finally regained
40
control over most of the territory, which had previously been lost. In 1357
Ming received order to make his way up the Yangzi from Yiling 夷陵 (Hubei)
to seize grain which was to serve as provisions for the Red Turbans’ troops. He
41
clearly went to Sichuan in order to plunder.
While preparing for the return trip, he encountered the men of a Yuan
militia, who had fled from Chongqing 重慶 after their commander, Yang Han
楊漢, had come into conflict with the Mongolian Öljeitu 完者都, Sichuan’s
Governor to the Right. The men urged Ming Yuzhen to take his chance and seize
the barely defended city. The seizure of Chongqing indeed went without
34
For the most detailed account on the military operations of the Southern Red Turbans see
Yang Ne 1982.
35
XGZB.
36
Caomuzi, 3: 54. This is a sort of local police force, which were first established during the
Song (960-1279). They were subordinate to the local police office (xunjiansi 巡檢司). Hanyu
Dacidian 1986-1993: Vol. 4, p. 80; Yuanshi, 101: 2594-2596.
37
MSSL 2; Ming Taizu Shilu 明太祖實錄 (hereafter: TZSL), 19: 265.
38
While his tomb’s stele inscription states that Ming joined the Red Turbans of his own free
will, MSSL 4 and TZSL 19: 265 emphasize that he had to be forced into cooperation. The
sources also have different dates. XGZB gives 1351, MSSL has the 11 month of the year guisi
(December 1353/January 1354) and TZSL does not give a date at all.
39
MSSL 4.
40
MSSL 4; TZSL 19: 265.
41
MSSL 5-7; XGZB; TZSL 19: 265; Yuanshi, 45: 940. The authors of the Yuanshi
misleadingly write that it was Ni Wenjun who made his way to Sichuan. The MSSL, the only
source that has Ming start his travel to Sichuan already in 1355, while all others note the year
1357, emphasizes the benevolent character of Ming’s trip. The author states that Ming
intended to look for grain (shao liang 哨糧) to help the starving population. TZSL clearly
speaks of plundering grain (lüe liang 掠糧).
difficulties and opened the way into the Sichuan basin. After reporting his
42
success to Xu Shouhui, Ming was appointed Provincial Governor of Sichuan.
But there still remained strong Yuan forces in Sichuan. Under the command of
Öljeitu, who had escaped from Chongqing, as well as Nanggiyatai 郎革歹 and
Zhao Zi 趙資, two other Yuan generals, they were holding major cities such as
Jiading 嘉定 (modern Leshan) and Chengdu. It took until 1360 before Ming
Yuzhen had defeated them, seized all major cities and taken the three leaders
prisoner, who were executed on the marketplace in Chongqing, after Ming
43
Yuzhen had vainly tried to win them over.
The Yuan forces were not the only enemy Ming Yuzhen had to cope
with. There was also the Green Turban Army (qingjinjun 青巾軍), a splinter
group of the Northern Red Turbans, who had been active in Shaanxi and then
penetrated into Sichuan about the same time as Ming Yuzhen seized Chongqing.
After their complete defeat in one decisive battle it seems that many of them
joined Ming Yuzhen. The most prominent example is Fu Youde 傅友德, who
later, because Ming Yuzhen failed to employ him, became an important general
of Zhu Yuanzhang and played a crucial role in the Ming army’s conquest of
44
Sichuan.
Shortly after Ming Yuzhen had conquered Chongqing, brutal and bloody
struggles erupted among the Southern Red Turban followers of Xu Shouhui. Ni
Wenjun, who had been the key person in the revival of the Southern Red
Turbans, fell prey to the ambitious Chen Youliang. Chen justified the killing by
spreading the rumor that Ni had planned to murder Xu Shouhui. Ming Yuzhen at
the time being occupied in Sichuan was not able to intervene directly, but sent a
message to Xu Shouhui warning him of the emulous Chen Youliang. This was
42
MSSL 8; TZSL 19: 265-266. The sources differ in the account of Yang Han’s fate.
According to the TZSL Yang was able to escape, while the author of the MSSL has him
murdered by Öljeitu.
43
MSSL 11, 13, 17; TZSL 19: 266; XGZB. See also a text dedicated to the three leaders of
the Yuan troops written by Zhao Bi 趙弼 (1465-1487), which gives more details: Shu
Sanzhong Zhuan 蜀三忠傳 in Xiaopinji 效顰集, Shang 8-11: 309-311. Since Zhao lived
sometime after the events and his text obviously serves the purpose of moral exhortation
praising the three men for their unyielding loyalty, this source has to be treated with caution.
44
The Green Turbans and their leader Li Xixi 李喜喜 are mentioned in: MSSL 14, 15;
TZSL 17: 240 and 19: 270. For a study of the Green Turbans that identifies further sources,
see Chen Shisong 2006. Li Zhongxian 李仲賢 mentioned in XGZB is most likely to be
identified as Li Xixi. Fu De 傅德 mentioned in the XGZB is probably to be identified as Fu
Youde. On Fu Youde’s career, see Mote 1976.
45
The general interpretation of Ni Wenjun’s attempt to assassin Xu Shouhui, mentioned in
Yuanshi, 45: 939 and also almost identical in TZSL 8: 101, is that he tried to seize power. This
interpretation is shared by Taylor 1976, p. 602; Xu Wenbin 1982, p. 46 and Yang Ne 1982, pp.
125-126. Dardess (1970, pp. 551-552) sees the conflict in the light of a shift in strategy among
the rebels after 1355. Ni stood for a more opportunistic approach, which was disliked by the
advocates of the old messianism and led to open conflict. I follow the interpretation of Liu
Kongfu and Pan Liangchi 1986, pp. 24-25, who have pointed out that it was Ni Wenjun who
had revived Xu’s power and thus had no interest to kill him. This is further corroborated by
the account in Caomuzi, 3: 53 suggesting that it was a struggle over power between Ni
Wenjun and Chen Youliang. Ming Yuzhen’s warning and the attempt to assassin him are
mentioned in XGZB.
45
answered by a failed attempt to assassin Ming Yuzhen. Chen continued to
expand his power base in Jiangxi and in 1359 when Xu Shouhui, for unknown
reasons, came to Jiangxi, he had his guards slain, took Xu prisoner and
proclaimed himself King of Han (Han Wang 漢王). He then endeavored to
eliminate Zhu Yuanzhang, with whom he fought over the control of the lower
Yangzi region, engaging in a major campaign to seize Zhu’s capital (the later
Nanjing). For this offensive he not only sent message to Zhang Shicheng, the
third contender for power in the lower Yangzi region, summoning him to attack
Zhu from the east but also on behalf of Xu Shouhui ordered Ming Yuzhen to
send troops supporting him. In the light of initial advances and feeling confident
of a final victory, he in 1360 had Xu Shouhui killed and proclaimed himself
emperor. Ming Yuzhen, believing to have received Xu Shouhui’s orders, firstly
dispatched soldiers until he learned of Chen’s regicide. He then promptly
executed Chen’s envoy and called back his men immediately. In the period
following, he publicly condemned Chen’s misdeeds and discontinued all contact
with him. As a reaction to Chen’s claim to power, Ming proclaimed himself
King of Long and Shu (i.e. Shaanxi and Sichuan) (Long Shu Wang 隴蜀王),
46
thus making clear that he did not acknowledge Chen’s proclamation. During
the ensuing period Liu Zhen 劉楨, most important adviser of Ming Yuzhen,
repeatedly urged Ming to establish a dynasty and proclaim himself emperor.
Ming finally acquiesced and in 1362 ascended the throne in Chongqing
47
declaring himself emperor of the Great Xia.
In the following years Ming Yuzhen did not show any ambitions to
interfere in the ongoing struggle in the east between Chen Youliang, Zhang
Shicheng and Zhu Yuanzhang. Instead he endeavored to enlarge his territory to
the north and south. But the campaigns were not successful. In the north, only
the region around Jiezhou 階州 (southwestern Shaanxi) could be permanently
occupied, while the conquest of Hanzhong 漢中 (Shaanxi) and thus further
48
expansion to the north failed. The campaign in spring 1363 to conquer
Yunnan, which was controlled by the Mongolian Boru Temür 孛羅帖木兒,
46
Chen Youliang’s regicide and his struggle with Zhu Yuanzhang: Dreyer 1982, pp. 29-31,
39-41. Chen Youliang’s order on behalf of Xu Shouhui is mentioned in Caomuzi, 3: 54. Ming
Yuzhen’s reaction: MSSL 14; TZSL 19: 267 and XGZB.
47
MSSL 15, 16; TZSL 19: 267-268; XGZB. The sources differ on the date of ascension.
While MSSL and TZSL only differ by one day, both giving the third month in the year renyin
(1362), XGZB notes “the first day of the first month in the year guimao” (1363). The same
date is given in Yuanshi, 46: 962, but wrongly mentioning Chengdu as place of the
proclamation. The date in XGZB probably reflects the official beginning of the era name,
since it was common practice to begin the new era name with the beginning of the year
(Wilkinson 2000, p. 181). This has been suggested by Li Bangzheng 1983, p. 31.
48
Yuanshi, 46: 959 mentions assaults on cities in Shaanxi, among them Hanzhong. On the
failed seizure of Hanzhong see MSSL 20; TZSL 19: 268. Shaanxi at the time was controlled
by the Yuan loyal warlord Li Siqi 李思齊. Jiezhou was still under control of the Xia in 1371
during the Ming campaign to conquer Sichuan: MSSL 48; TZSL 64: 1211-1213, 64: 1216, 64:
1219.
ended in a disaster. The Xia army entered Yunnan on three different routes. The
initial seizure of Zhongqing 中慶 (modern Kunming) by the army under the
command of Wan Sheng 萬勝 was followed by a devastating defeat by the
Mongolian troops, who had secured the support of the local tribe leadership. The
49
Xia troops suffered large losses and had to completely retreat from Yunnan.
After the expansion efforts had failed Ming Yuzhen concentrated again on
administration in order to stabilize his rule. He implemented a reform of the
central administration and adopted a system roughly based on the Yuan’s with a
Central Secretariat (zhongshu sheng 中書省), with Chancellors to the Right and
Left, and a Bureau of Military Affairs (shumi yuan 樞密院), replacing a system
modeled after the Zhouli 周禮 (Rituals of Zhou), which had been installed after
the proclamation of the Xia Dynasty. The three-level local administration with
prefecture (fu 府 ), district (zhou 州 ) and county (xian 縣 ) remained
unchanged. However, on the district level, new officials were appointed to seven
50
strategically important cities in the north, south and east.
Ming Yuzhen’s attempts to stabilize the Xia’s rule were interrupted by
his sudden death of an unknown disease in 1366. His then ten-year-old son Ming
Sheng was declared emperor and his mother was designated to serve as regent.
Even before Ming Yuzhen was buried, severe conflicts among his followers
erupted. The information on this struggle are rather fragmentary. There
seemingly were two rivaling groups, who gathered around the two highest
ministers – Wan Sheng and Dai Shou 戴壽. Both men had been supporters of
Ming Yuzhen from the time he put together his first militia and Wan Sheng, who
had led the Yunnan campaign, in addition was also his sworn younger brother
(yidi 義弟). However, it was Dai Shou who seems to have enjoyed the support
of the imperial family. After Wan Sheng had killed Zhang Wenbing 張文炳,
member of the Bureau of Military Affairs, he was lured to court by Ming
Yuzhen’s sworn son (yizi 義子) Ming Zhao 明昭, where he was strangled to
death. The control over the court was then in the hands of Dai Shou. But the
dynasty did not come to peace yet. 1367 Wu Youren 吳友仁, a regional official,
first protested against the murder of Wan Sheng in a letter and then openly
rebelled. After military attempts to put down the rebellion had failed, Dai Shou
finally reached an agreement with Wu Youren sacrificing Wan Sheng’s
49
MSSL 21; TZSL 19: 268; Yuanshi, 46: 959. The most detailed account of the campaign in
Yunnan, but notably not from the Xia’s perspective, is to be found in Nanzhao Yeshi 南詔野
史 (Unofficial History of Nanzhao) (40-42: 395-396), a Ming-time work on the history of the
Dali Kingdom in Yunnan. The authorship is not clear: Franke 1968, No. 7.5.8, see also the rev.
and enlarged version Franke 2011. For a French translation of this source, see Sainson 1904,
pp. 131-133. The sources differ on the date of the campaign: I follow Nanzhao Yeshi and
MSSL, which both have spring 1363. TZSL writes winter 1363 and Yuanshi notes 1362.
XGZB does not mention the campaign at all, while MSSL only mentions the victorious
beginning.
50
Administration after the Zhouli model: MSSL 17; TZSL 19: 268. Reform: MSSL 26; TZSL
19: 269.
murderer, who was executed immediately. Dai Shou thus regained control over
51
the Xia’s whole territory.
In the meanwhile Zhu Yuanzhang had been able to gain victory over his
two rivals, Chen Youliang and Zhang Shicheng, and now openly contested the
Yuan for power proclaiming himself emperor of the newly founded Ming
Dynasty in 1368. In the following years he was able to gain control over almost
all of China. In 1371 only Sichuan and Yunnan were not yet conquered by his
52
armies, but this was only a matter of time.
There had been constant diplomatic contacts between Ming Yuzhen and
Zhu Yuanzhang. In a number of letters, in which he frequently alluded to
historical examples from the time of the Three Kingdoms (220-265), Zhu tried
to win over Ming’s support to fight the Mongols and even offered him to
maintain his rule in Sichuan. Ming, though, remained skeptical and declined the
53
offer. After Ming Yuzhen’s death Zhu Yuanzhang continued to send envoys to
Sichuan and the Xia equally sent men to the Ming court in Nanjing. At first Zhu
followed a strategy to convince the Xia court to surrender. At the same time one
of his envoys also acted as scout bringing back a map of the territory. This
shows clearly that Zhu was already preparing for a campaign if it became
necessary. The Xia court was quite aware that an attack was imminent, but
decided to trust in the geographical advantages of Sichuan, which is protected
by a mountain range to the north and only accessible from the east through the
Three Gorges (sanxia 三峽), and simultaneously to continue the diplomatic
exchange to win more time. The exchange continued, but Zhu’s intentions
became increasingly unambiguous. In one of his letters he stressed the fact that
Sichuan, despite its geography, throughout history never had been able to hold
out for long. In a last attempt, one of Zhu’s envoys appealed to the preservation
of the Ming family. As all this remained without avail, he gave order to prepare
for an invasion of Sichuan. The necessary pretense to start the campaign was
given when, in August 1370, Wu Youren attacked Hanzhong. The expedition
began in January 1371 and only eight months later the Xia Dynasty’s Emperor
54
submitted his capitulation in Chongqing.
The Ming army advanced on two different routes. General Tang He 湯
和 was to lead his troops from the east through the Three Gorges towards
51
Ming Yuzhen’s death: MSSL 32; TZSZL 19: 269-270; XGZB. MSSL does not mention a
disease. Conflicts after Ming’s death: MSSL 37, 41, 43. Short biographical note on Wan
Sheng: MSSL 38. Caomuzi, 3: 54 mixes Ming Yuzhen’s death with the following struggle
among his followers claiming that he was murdered by a younger brother.
52
For Zhu Yuanzhang’s fight against Chen Youliang, Zhang Shicheng and the Yuan, see
Dreyer 1982, pp. 25-73; Mote 1988, pp. 44-57; Dreyer 1988, pp. 72-100.
53
There are four letters by Zhu Yuanzhang extant but only one by Ming Yuzhen: TZSL 18:
243-244, 17: 239-241; MSSL 28, 29.
54
Ming envoys in Sichuan: MSSL 33, 36, 44, 46; Xia envoys in Nanjing: TZSL 20: 275; 21:
301-302; 27: 409; 35: 630; 47: 936; 54: 2066; MSSL 42. Discussion at the Xia court: TZSL
43:855. Zhu Yuanzhang’s envoy as scout: TZSL 22: 322. Letters by Zhu Yuanzhang and his
envoy: TZSL 37: 751-752; 44: 859; 46: 909-911. Attack on Hanzhong: TZSL 54: 1068-1069.
Chongqing; Fu Youde, the former Green Turban, took the route familiar to him
in the north, from Shaanxi towards Chengdu. Zhu Yuanzhang’s plan to surprise
the Xia with an unexpected attack from the north was successful. The first
advances along the Yangzi failed at the fortification in Qutang 瞿塘, the most
western of the Three Gorges, where the Xia had installed iron chains across the
river and catapults on the river banks. The breakthrough achieved by Liao
Yongzhong’s 廖永忠 naval forces was only possible after the Xia had
withdrawn forces from Qutang to meet the anticipated attack on Chengdu by Fu
Youde. When Tang He’s army reached Chongqing, the empress dowager decided
– against other advice – to surrender without a fight. Soon after Chengdu fell,
where Dai Shou had held out. The last to offer resistance was Wu Youren in
Baoning 保寧. The city finally fell in September and Wu was taken prisoner.
The leading generals of the Xia, if they had not lost their lives during the
fighting, were executed while most soldiers were integrated into the Ming army
and put on garrison duty in Xuzhou 徐州 (Jiangsu). Ming Sheng and his
mother were brought to Nanjing. There Zhu Yuanzhang demonstrated his
generosity and exempted Ming Sheng of the expected submission ceremony. He
even bestowed him the title of Marquis Turning to Righteousness (guiyi hou 歸
義侯) and gave him and his mother residence in the capital. But only a year later
Ming Sheng and his mother along with Chen Li 陳理, Chen Youliang’s son,
were deported to Korea. Zhu Yuanzhang feared that these two potential
contenders for power would stage uprisings against him. Both Ming Sheng, who
married the daughter of a Korean official, and his mother died in Korea. Their
55
descendants still live in Korea today.
2. Legitimation of the Xia Dynasty

The concept of legitimacy has since long been, and remains, a much-discussed
and often debated subject, which makes it impossible to find one universally
accepted definition.56 Therefore, it might be best to put it in simple terms:
55
For descriptions of the Sichuan campaign see Dardess 1976b, p. 1072; Dreyer 1982, pp.
73-74, 1988, pp. 100-101; Langlois 1988, pp. 125-127 (with map). Information on the
Sichuan campaign are all based on relevant parts in TZSL. Relevant parts in MSSL are
obviously later interpolations taken from the TZSL. This is most evident in a change of
perspective in MSSL 48, 50, 51. TZSL 60: 1167-1168; 63: 1208-1209; Fu Youde’s advance:
64: 1212; 64: 1216; 64: 1219-1220; 65: 1228; 65: 1232-1233; 66: 1235; 66: 1239-1240; Tang
He’s and Liao Yongzhong’s advance: 66: 1237-1241. Capitulation: 66: 1243-1244. Wu
Youren: 68: 1283. Ming Sheng’s fate: TZSL 67: 1257-1258; 71: 1318 and Dardess 1976b, p.
1072. The Ming family in Korea compiled family chronicles, the earliest dates 1701 (Cheng
Weiguo 1997). Members of the Ming family in Korea since 1995 yearly travel to Chongqing
to offer sacrifices at Ming Yuzhen’s tomb, where a museum was built in 1990 (Zhang Zhong
2012). Also in Suixian 隋縣 (Hubei), Ming Yuzhen’s place of birth, a Ming Yuzhen museum
opened in February 2012: Ming Yuzhen Jinianguan Longzhong Kaiguan, 3 March 2012.
56
For a recent overview see Peter 2010.
“Legitimacy is the recognition of the right to govern.”57 Legitimation, then, is

the process by which legitimacy is created and maintained.
For imperial China there exist various studies on the legitimation of
single dynasties and rulers, but a general account on the legitimacy and
58
legitimation processes of the imperial system in China remains a desideratum.
Quite naturally there have been changes and differences in the patterns of
legitimation throughout imperial times; nonetheless, two fundamental concepts
can be named. First, the doctrine of the Mandate of Heaven (tianming 天命),
according to which Heaven assigned the right to rule. At the same time this
mandate was not unconditioned nor eternal, it could be transferred to others if its
holder proved unworthy. Secondly, the Confucian ideal of benevolent rule by a
sage king assisted by the cultured elite. This ideal held that a benevolent and
morally erect ruler would provide the people with adequate food, soldiers to
defend the country, and use moral suasion rather than coercion to achieve his
59
objectives. Source of this ideal were the mythical model sage kings of
antiquity, the Confucians’ Golden Age, when a perfect rule was thought to have
60
prevailed. Every new rule thus was an attempt to reestablish this perfect order.
Although Edward L. Farmer in his book Zhu Yuanzhang and Early Ming
Legislation treats the Xia only marginally, he has put forward an interesting
assumption on the legitimation basis of the Xia Dynasty. He writes: “What we
see in the Xia state, then, is an effort to combine appeals to the Confucian
traditions of the Han elite culture at the same time that lip service was paid to
61
the symbols of the radical millenarian movement.” Farmer continues to argue
that Ming Yuzhen tried to merge elements of the radical millenarian belief “with
enough of the Chinese elite tradition to legitimize the Xia in the eyes of both the
62
upper and lower strata of society”. However Farmer’s assumption seems to be
63
merely based on the secondary account in the Dictionary of Ming Biography.
57
Coicaud 2002, p. 10.
58
The most useful general presentations for the moment are the introductory chapters in
Chan 1984 and Wechsler 1985. See also Chan 1980. Yau 1996 is an attempt of a general
presentation, with a focus on the aspect of myths in the legitimation process. For studies of
single dynasties and rulers, see Franke 1978; Guisso 1978; Goodman 1998; Chaussende 2010.
See also the contributions in Leung 2007. Unfortunately the proceedings of the “Conference
on the Legitimation of Chinese Regimes” held at Asilomar, Monterey, California, 15-24 June
1975, remained unpublished. Jack L. Dull’s contributions, including introductory and
concluding remarks as well studies on the legitimation of the Qin and Han, are available
online: http://e-asia.uoregon.edu/static/homer [viewed 17 July 2012]. C. Leban’s contribution
was published posthumously: Leban 2010.
59
Chan 1984, pp. 24-25. Wechsler 1985, pp. 12-13 names the “the cession of the throne to a
moral worthy” (the model being the legendary rulers Yao and Shun) to be the second key idea
of political legitimacy in China. But this stood in conflict to the political practice of dynastic
houses handing the power from father to son and thus caused a constant tension between
political ideal and practice in imperial China.
60
Yau 1996, pp. 69-71, 180.
61
Farmer 1995, p. 22. The argument is shared by Ma Li 2002, pp. 140-141.
62
Farmer 1995, p. 24.
63
Dardess 1976b. The Mingshi Shilu is not listed in Farmer’s bibliography.
It is thus necessary to scrutinize the actual sources. Taking up Farmer’s

hypothesis the sources will be examined for (a) traditional (Confucian) patterns
of legitimation and (b) elements of the radical millenarian belief. Furthermore
the question of how to assess the sources itself will be addressed.
(a) Traditional Patterns of Legitimation
The two traditional concepts of legitimation mentioned above are best tangible
64
in rituals that served to demonstrate and verify legitimacy. In case of the Xia
there are no detailed descriptions of rituals performed, but the Mingshi Shilu
quotes two edicts by Ming Yuzhen and one by Ming Sheng, which clearly show
the use of traditional patterns to legitimize the Xia’s rule. The first of Ming
Yuzhen’s edicts was proclaimed after he had just adopted the title of a king in
1360:
胡元運去，中國豪傑竝起而逐之。予本鄉農，因亂為眾所推，始為自保，
豈敢圖人。邇者，義兵一起，羣醜底寧，湖湘向化。顧玆蜀地久被青巾之
亂，莫有爲之剪除者。予奉天誅罪，豈能自安，已經殄滅兇徒，幸爾坐收
全蜀。是乃天意，夫豈人謀。方今圖為畫一之規，與民共用太平之治。誠
恐百姓不知，以予為爭地殺人之師，非弔民伐罪之舉。予取爾蜀於青巾之
手，非取諸元。爾輩亦當復見中華文明之化，亦不可安于胡元之陋習也。
65
更宜洗心從治，慎勿取惡招尤。
The fortune of the barbarian Yuan is gone, the heroes of China have raised and
chased them away. I am originally just a peasant, who in troubled times has
been elected by the masses. In the beginning I just wanted to protect myself,
how would I have dared to make plans for others. As soon as the troops of
righteousness had arisen, the racketeers became calm and peaceful, and
66
Huxiang pledged allegiance. However, Shu (i.e. Sichuan) had to suffer under
the ravages of the Green Turbans for a long time, there was no one, who would
destroy [the Green Turbans] for them. Since I have received order by Heaven to
punish the culprits, how could I have remained idle, I have already annihilated
all villains and fortunately in all of Shu they were caught with ease. This was
Heaven’s will, how could it have been plotted by man. Now I intent to draw up
uniform laws, in order to share a peaceful rule together with the people. But I
am really afraid that the people do not realize [this] and deem me to be a leader,
who kills people, strives for land and does not take it upon himself to have pity
on the people and punish the culprits. I have wrested your Shu from the Green
Turbans’ hands, not the Yuan’s. You will again witness the culture of the
Chinese civilization, for we must not rest in the corrupt customs of the
barbarian Yuan. You should purify your heart and obey the government’s
instructions, take care not to do evil or to summon misfortune.
64
On the role of ritual, see Wechsler 1985, pp. 6, 21; Goodman 1998, pp. 23-24.
65
MSSL 14.
66
Designates the region around the Dongting lake and the Xiang river: Hanyu Dacidian
1986-1993, Vol. 5, p. 1446.
This edict makes it clear that the Yuan have lost Heaven’s mandate and Ming
Yuzhen’s conquest of Sichuan is claimed to be sanctioned by Heaven. All this is
elaborated on in the second edict issued with the establishment of the Xia
Dynasty in 1362:
天生斯民，必立司牧。夏、商、周之迭運，漢、唐、宋之繼統，其來遠
矣。迄于元主，北狄汙我中夏，倫理以之晦冥，人物為之消滅，咸云天
數，敢謂人謀。邇者子孫失道，運祚衰微，上天有命，示厭棄之機。豪傑
乘時，興驅逐之策。惟我國家，肇跡湖湘，志欲除暴救民。卿爾建邦啓
土。成湯七十里，盛德已振于三巴，歷數八百年，神功終收於一統。上承
天命，下順民心，謹以壬寅年三月初二日祭告天地、祖宗及歷代帝王，
即皇帝位，國號曰大夏，其以今年為天統元年。嗚呼！恭行天罰，革彼左
袵之卑污，昭顯茂功，成我文明之大治。尚賴遠邇豪傑，勿吝嘉謀，庶幾
67
大小臣工，協登偉績。
Heaven gives birth to this people and has to install a herdsman for it. There
have been changes of dynasty from Xia to Shang to Zhou and the transfer of
power from Han to Tang to Song; such changes have occurred for a long time.
When it came to the rulers of the Yuan, the northern barbarians besmirched our
China, therefore moral principles were obscured and people were annihilated by
them. All say, this was Heaven’s calculations, but I dare to call it man-made
plans. Soon [our] sons and grandchildren would have lost the correct way and
the benign destiny would have faded, [but] Heaven possesses the Mandate and
has indicated his disgust and the right moment to overthrow [the Yuan]. The
heroes took this opportunity and initiated the plan for expulsion. Our state has
its origins in Huxiang and intends to end the violence and save the people. You,
my ministers, have established the state and taken its territory. Cheng Tang’s
[forefather] possessed an area of [only] 70 [square] miles, [but] his abundant
68
charisma was felt even in Sanba. The power was transferred for 800 years
until, due to miraculous achievements, it was taken by a single rule. Since I
have received the Mandate of Heaven from above and below I am in accord
with the people’s hearts, on the second day of the third month in the year renyin
(28 March 1362) I have respectfully made sacrifices to Heaven and Earth, to
my ancestors as well as to the rulers of the former dynasties, before ascending
the imperial throne. My state is named Great Xia and my era name Celestial
Rule begins this year. Alas! I will reverently execute the punishment appointed
by Heaven – extirpate the stain of the barbarian rule, reveal my abundant merits
and bring the great order of our civilization to perfection. [For this] I depend on
[the support of] heroes from near and far – do not be stingy with good advice. I
hope, senior and minor officials in harmonious cooperation will achieve great
feats.
67
MSSL 16.
68
Archaic name for Sichuan: Hanyu Dacidian 1986-1993, Vol. 1, p. 187.
The opening phrase alludes to a sentence from the Zuozhuan 左傳

69
(Commentary of Zuo) referring to the concept of the Mandate of Heaven.
Further below no doubt is left that the new ruler, who has received the Mandate
of Heaven, is to be Ming Yuzhen. This is also made evident in the choice of the
era name Celestial Rule (tiantong 天統). Following the first sentence reference
is made to the theory of legitimate succession of dynasties, reflecting very much
70
the then prevailing opinion by just naming the major dynasties. Interestingly
enough, the Yuan are not only depicted as wicked rulers, a common topos in the
representation of last emperors of a dynasty in imperial histories, which is to
legitimate the transfer of the Mandate of Heaven, but they are denied any
legitimacy at all. This clearly xenophobic view, stressing the non-Chinese
character of the Yuan, seemed to be quite common at the time. Fang Xiaoru 方
孝孺 (1357-1402) for instance writes very negatively about the barbarians (yidi
71
夷狄) and shares the opinion that their rule was not legitimate. Likewise Zhu
Yuanzhang deemed the Yuan’s rule to be illegitimate, albeit his view on the Yuan
72
appears to be quite inconsistent. In the same way Zhang Shicheng’s effort to
restore old customs and public morality among the people reflects the notion of
73
a general degeneration under the Mongol rule.
No reference is made to Xu Shouhui’s Song Dynasty, whom Ming
Yuzhen had served loyally, in the edicts itself. But both stele inscription and
Mingshi Shilu report that Ming publically paid tribute to Xu Shouhui after he
had been murdered. The Mingshi Shilu mentions the construction of a temple in
74
honor of Xu, where regular sacrifices were made. The inscription adds further
details:
不易國號，不改元；謚宋主曰應天啓運獻武皇帝，廟號世宗，猶舜之宗堯
也。
[Ming Yuzhen] neither changed state name nor era name and bestowed the ruler
of the Song with the posthumous honorary title “Emperor who according to
Heaven has established a [new] cycle and achieved military merits” and the
69
The exact wording is found in Hu Anguo’s 胡安國 (1074-1138) commentary on Lunyu
13.9 (Lunyu Jizhu 1958, p. 580), which ultimately is based on a sentence in Zuozhuan, Xiang
14: “Heaven gives birth to the people and installs a ruler for them, so that he takes care of
them [ 天生民而立之君，使司牧之 ].” Chunqiu Zuozhuan, The ICS Chinese Texts
Concordance Series 1995, p. 256.
70
Ouyang Xiu, whose ideas on the legitimate succession were prevalent at that time, further
counted the Western Jin (265-316) as legitimate: Fincher 1972, p. 60. For detailed
discussions, see Trauzettel 1967; Davis 1997.
71
Fincher 1972, p. 61. Fincher’s work is based on an examination of Fang Xiaoru’s Shitong
釋統 and Hou Zhengtong Lun 後正統論, in Xunzhi Zhai Ji, 2: 52-61. Interestingly MSSL 34,
53 includes comments on the two Xia emperors by Fang Xiaoru. For more details, see Fölster
2009, pp. 86-87, 110-111.
72
Dardess 1978, p. 7. Zhu Yuanzhang’s view of the Yuan Dynasty, according to John
Dardess, is inconsistent in many ways. The picture he draws varies, because it served Zhu’s
purpose of justifying his rule in different periods and contexts.
73
Mote 1962, p. 214.
74
MSSL 14.
temple name Shizong. He venerated him as his model like Shun had venerated
Yao as his model.
The relation to Xu Shouhui was a delicate issue in terms of legitimation. The

loyalty (zhong 忠) of the subject in his relation to the ruler is a core value in
Confucian thought and is incorporated in the five human relations (wu lun 五
倫) as well as in the three cardinal guides (san gang 三綱). Turncoat officials
(er chen 貳臣), who have served two different dynasties, are condemned as
75
disloyal and treacherous. A subject, who dispossessed his master in order to
proclaim himself emperor, was considered all the more condemnable. The step
to first proclaim oneself king before ascending the imperial throne, which was
also carried out by Zhu Yuanzhang and Chen Youliang, can be interpreted as a
strategy to avoid an all too clear break with one’s former lord and allegations of
disloyalty. At the same time this enabled the enforcement of one’s claim to the
76
succession. Traditionally the transfer of imperial power was to be performed
by a formal abdication ritual (shan rang 禪讓). But this already had not been
77
the case when the Yuan succeeded the Song. The stele inscription gives further
credit to Ming Yuzhen’s succession by alluding to the mythical model rulers Yao
and Shun. Shun served the Emperor Yao, who impressed by Shun’s
achievements appointed him as his successor to the throne. This story is the
78
blueprint for succession by virtue rather than heredity.
In connection with the accession to the throne Ming Yuzhen performed
the obligatory rituals publicly claiming the Mandate of Heaven. He ‘reported’
his claim by making sacrifices to Heaven and Earth as well as to his ancestors.
Later he “erected an altar for the sacrifices to Heaven and Earth, where he made
sacrifices in spring and autumn and posthumously named the last four
generations of his ancestors emperors and erected an ancestral temple, where he
made sacrifices in all four seasons [立郊社，祭以春秋。追帝其四代，立廟，
79
祭以四時 ].” The stele inscription lists all his ancestors by name and
posthumous honorary title (shi 謚), male and female, and further notes that: “he
posthumously named all of them emperor and empress and made sacrifices to
them according to the rites and music of the son of Heaven, equally grand as the
sacrifices to Heaven and Earth [皆追王曰皇帝、皇后，祀以天子禮樂，與郊
75
Hu 1992, No. 2499; 7745; 10978.
76
“[…] advancement to [king], was in practical term, as close as one could get to the throne
without actually taking it.” Leban 2010, pp. 39-40.
77
Franke 1978, p. 10. According to Leban 2010, p. 3 the practice of formal abdication was
invented by Wang Mang (45 BCE-23 CE) and lasted into the period of the Five Dynasties
(907-960).
78
The most detailed study on the legend about Yao and Shun is to be found in Allan 1981,
pp. 27-54.
79
MSSL 17. The practice to bestow four generations of the emperor’s ancestors with imperial
titles and posthumous titles was a common practice among founding emperors: Wang
Shoukuan 1995, pp. 62-64.
社並隆].” The imperial ancestral rites based on the Confucian idea of filial piety
(xiao 孝) were since the Han (202 BCE-220 CE) recognized as one of the most
important imperial rituals. They were “of obvious importance, in view of the
80
need to maintain and prove continuity on an hereditary basis”. The sacrifices
81
“to the rulers of the former dynasties” were equally important and at this time
already an age-old tradition. New emperors could thus portray “themselves
symbolically as the end-points on a long line of heroic monarchs” and “share in
82
their charisma”.
Besides these ceremonies there are other symbols of imperial rule
mentioned. According to the stele inscription Ming Yuzhen received imperial
83
seal and ribbon (huang xi shou 皇璽綬). Later the Ming Dynasty’s army
captured a large number of insignia, which were all brought to Nanjing. In
addition to the imperial seal, there are listed golden seals, a crown, banners, 58
84
silver and 640 bronze seals. Another unambiguous symbol for imperial rule is
the picture of a dragon found on the sepulchral stele’s head, as well as on one of
85
the robes retrieved from Ming Yuzhen’s tomb. In both cases the dragon has
86
five claws, which, since Han times, was the emblem of imperial power. Ming
Yuzhen also made use of traditional imperial prerogatives such as the
proclamation of a calendar and the issuance of money. The calendar he
proclaimed was named “in advance of Heaven (xiantian 先天)”, which most
87
probably is a further expression of the claim of the Mandate of Heaven.
Besides the abundant references made to the concept of the Mandate of
Heaven, there is also evidence for the Confucian ideal of a benevolent ruler as a
way of legitimation. In the above-cited edicts, Ming Yuzhen styles himself as a
savior of the people, who brings peace and stability. His intentions were “to end
the violence and save the people” and then “to draw up uniform laws, in order to
88
share a peaceful rule together with the people”. The stele inscription states
that his efforts to establish a stable order were successful. Under his rule “rites
80
Loewe 1994, p. 107. For the obvious political function of the imperial ancestral cults, see
also Wechsler 1985, pp. 123-126.
81
MSSL 16.
82
Wechsler 1985, p. 136.
83
Loewe 1994, p. 105: “From early times, the imperial seal came to constitute a material
symbol of authority which was lodged in the person of a rightly acclaimed emperor.” See also
Wechsler 1985, p. 87.
84
MSSL 51.
85
For pictures and descriptions of the burial objects see the official excavation report Jiang
Wanxi, Wang Chuanping and Liu Yuchuan 1982. Reproduction of the sepulchral stele
inscription Zhongguo Wenwu Yanjiusuo and Chongqing Bowuguan 2002, pp. 229-230.
86
Williams 1979, p. 137.
87
On the Money issued under the Xia, that can be identified by the era name, see Dong
Qixiang 1988. The calendar name is mentioned in XGZB. It probably stems from Yijing, Qian
23: “[…] When [the great man] acts in advance of heaven, heaven does not contradict him.
When he follows heaven, he adapts himself to the time of heaven. If heaven itself does not
resist him, how much less do men, gods, and spirits! [先天而天弗違，後天而奉天時。天且
弗違，而況於人乎？況於鬼神乎？]” Translation: Wilhelm 1967, pp. 382-383. On the
promulgation of a calendar as monopoly of the emperor see Wechsler 1985, p. 212.
88
MSSL 16, 14.
and music, punishments and administration, regulations and laws were in

outstanding order [禮樂刑政，紀綱法度，卓然有緒].”
In other parts well-established topoi are applied to emphasize the ruler’s
legitimacy. This begins with the elevation of the ruler by his adherents. In this
topos, the future emperor is offered rulership by his followers but only accepts it
89
after having declined the offer three times (san rang 三讓). In the Mingshi
Shilu, Ming Yuzhen’s elevation to king is already described as a kind of election:
“The masses chose Yuzhen to be King of Long and Shu [眾推玉珍為隴
90
蜀王].” The establishment of the Xia Dynasty was supposedly preceded by
repeated requests on the part of the advisers. In the end Ming Yuzhen “had no
choice but to counsel with the masses and comply with them [不得已，諮謀於
91
眾，從焉].” The topos is most explicit in the stele inscription:
父老豪傑告留曰：《生民無主，欲將何之？》峻辭固讓再四。諸將遂立誓
推戴曰：《臣等不股肱王室，鬼神殛之。》始允眾志。
The old and the leading local figures asked him to stay: “The people are
without a ruler, where else would you want to go?” He sternly declined and
persistently renounced again and again. Only when all generals swore an oath
and supported him as leader – “If we do not protect the royal house, devils and
spirits shall kill us!” – he yielded to the will of the masses.
The attribution of unusual characteristics to a ruler – such as supernatural

appearances during their birth, unusual physiognomy or special talents at very
early age – is yet another often used topos to demonstrate an emperor’s
designation to rule. Ming Yuzhen is also delineated in this way. His mother is
said to have become pregnant with him after having encountered a dragon in
dream. Ming is described as having been extraordinary tall and allegedly had
92
double pupils (chong tong 重瞳) in one eye. The Ming family chronicle,
which was compiled by Ming Yuzhen’s descendants in Korea, portrays him as a
sort of wunderkind, who already knew several Confucian classics and books on
military strategy by the age of nine. It also reports a typical prediction, where a
stranger, impressed by Ming’s appearance, foretold that “this man will be among
93
those that contest for the realm (天下爭衡者此人)”. In the same way the
birth-date inscribed on the sepulchral stele, “9 day of the 9th month in the year
th
jisi (己巳九月九日)” (3 October 1329), with the double nine, which is the
89
In his detailed study of Cao Pi’s accession to the throne in the year 220 Knechtges (2005)
refers to the san rang as part of a “rhetoric of refusal”.
90
MSSL 14.
91
MSSL 15.
92
MSSL 1. Chan Hok-lam has identified several stories, in which Zhu Yuanzhang is
attributed different semi-mythical imperial attributes: Chan 1975.
93
Cheng Weiguo 1997, p. 39. These kind of prophesies are a standard instrument in
legitimizing emperors. See the examples for Zhu Yuanzhang (Chan 2005, pp. 92-99) and Zhu
Di (Chan 2007, p. 101).
highest Yang-number, can equally be interpreted as an expression of Ming

Yuzhen’s uniqueness.
In this context, the repeated allusions to the mythical model rulers are to
be named. The comparison to Shun, who, by the way, is said to have had double
pupils, is to bolster Ming’s legitimation, after Xu Shouhui’s death has already
been mentioned above. There is a further allusion to Shun in a message to Ming
Yuzhen by his general Zou Xing 鄒興 during the disastrous Yunnan campaign,
in which he reports on the initial successes:
恭惟皇帝陛下，智勇如湯，文明協舜，深慨中華之貴，反為左袵之流，矧
在位之貪殘，致生民之困悴，恭行天罰，遂平定於多方。禮順人情，即進
94
登於五位。[...]
Distinguished Emperor, Your Majesty; Your wisdom and courage resemble
(Cheng) Tang’s, Your cultivation and brightness comply with Shun’s. Deeply
moved by China’s nobility and revolted by the barbarians’ customs as well as
their ruler’s corruption and ferocity, that have led to misery and despair among
the people, you have respectfully carried out the punishments meted out by
Heaven and thus have pacified many places. When the rites were in accord with
the people’s feelings you have ascended the throne. [...]
Here again Ming Yuzhen is described as benefactor, whose actions were in

accord with Heaven’s and the people’s will. Besides being a general model for a
wise ruler the comparison to Shun in the context of this military campaign in the
south might have been chosen because Shun is said to have pacified different
95
barbarian tribes himself.
The mythical model ruler Cheng Tang, founder of the Shang Dynasty
(ca. 16th century-1045 BCE), is also referred to in the edict on the occasion of
the establishment of the Xia. The edict actually alludes to Cheng’s forefather Qi
契, who is said to have possessed only a very small territory (70 li). In the end
96
however Cheng Tang was able to unify the realm under his rule. This might be
interpreted as a justification for the fact that Ming Yuzhen could not claim to
have unified the realm, which after all was a central prerequisite for a legitimate
rule according to the theory of the legitimate succession of dynasties.
Interestingly Yu 禹, the founder of the legendary ancient Xia Dynasty,
is not mentioned at all. After all Ming Yuzhen adopted the same dynasty name.
This deliberate choice is to be understood as a programmatic statement,
proclaiming a return to the pure origins of Chinese culture, the ancient Xia were
believed to be the very first Chinese dynasty, and an overcoming of the
94
MSSL 36.
95
Mathieu 1989, pp. 85-87. Zhao Shanpu 趙善璞, who declined an offer by Ming Yuzhen to
serve the newly established dynasty, wrote a poem in which he justifies his decline equating
himself to the ancient eremites Xu You 許由 and Chao Fu 巢父, who had declined similar
offers by Shun and thus indirectly compares Ming Yuzhen to Shun. MSSL 22; Yufeng Zhao
Xiansheng Zhuan 玉峯趙先生傳, by Zhao Bi 趙弼, Shang 15-17: 313-314. The entire poem
is found in the biography by Zhao Bi, but he writes of Zhao Shanying 趙善瑛.
96
On Cheng Tang’s forefather see Shiji, 13: 505.
barbarian influence of the Mongolian rule. The edicts make clear that the people
“must not rest in the corrupt customs of the barbarian Yuan” and that Ming
Yuzhen wants to “extirpate the stain of the barbarian rule” in order to “bring the
great order of our civilization to perfection.”97
The establishment of an administration after the model of the Zhouli and
the taxation according to the well-field system (jing tian 井田) are also to be
seen in this light. Right after the proclamation of the Xia Dynasty a central
administration with Six Ministers (liu qing 六卿) was installed. Taxation was
modeled after the ancient well-field system, “levying one tenth (十取其一)” of
the harvest. And also the division of Sichuan in eight circuits (ba dao 八道)
98
might have originated in ancient models. These models are essential for the
Confucian ideal of perfect order as it allegedly was in place under the Western
Zhou Dynasty (1045-771 BCE). Especially the Zhouli has a long tradition in
being seen as an idealized blueprint for government organization. Throughout
history there have been several attempts to apply it to the actual administration
of the state. In all cases the reference also served purposes of legitimation. Wang
Mang 王莽 (45 BCE - 23 CE) employed it in an effort to legitimize his short-
lived Xin Dynasty (9-23 CE) that he had established in a coup. Leaders of the
Northern Wei, Western Wei and Northern Zhou invoked the Zhouli “to provide
their non-Chinese dynasties […] with classical precedent and Confucian
legitimacy”. And in case of reform efforts Wang Anshi 王安石 (1021-1086)
99
used the book “to authorize the ill-fated New Policies of 1069”. The Xia
obviously followed this tradition, seeking to legitimize their new rule by
invoking the Zhouli.
Finally, the posthumous honorary names that were given to Ming
Yuzhen follow traditional patterns. As befits a founding emperor, he is granted
the temple name Grand Ancestor (taizu 太祖). His posthumous title Qinwen
Zhaowu Huangdi 欽文昭武皇帝, which might be translated “emperor, who was
patron of the civil and successful warrior”, contains the two most common
characters wen and wu that were among the guidelines for honorific titles. The
97
MSSL 14, 16. Other names like Zhou or Han that would have made the same programmatic
statement were not an option as in 1354 Zhang Shicheng had adopted Zhou as dynasty name
and in 1360 Chen Youliang had declared himself emperor of the Han. Dreyer 1982, pp. 29,
39-40; Mote 1988, p. 31. On the mythical character of the ancient Xia see Allan 1984.
98
Administration after the Zhouli model: MSSL 17; TZSL 19: 268. The same wording on the
taxation is found in Du Yu’s (222-285) commentary on the Zuozhuan, Xuan 15 (Shisanjing
Zhushu Chunqiu Zuozhuan, 14: Vol. 14.1058). It remains uncertain how far these ancient
models were actually implemented.
99
Elman and Kern 2010, pp. 2-3.
same holds true for the two-character posthumous titles that were bestowed on
100
his ancestors.
In the same way Ming Yuzhen’s ascension to the throne followed
traditional patterns, his son’s succession emulated such patterns. However, it has
to be remarked that there is an important difference. While Ming Yuzhen’s
101
succession was inter-dynastic his son’s was intra-dynastic. This is also
reflected in the legitimation strategy. Ming Sheng had been declared heir
102
apparent right after the establishment of the dynasty. After his succession a
new era name, Beginning Prosperity (kaixi 開熙 ), was adopted and the
following edict proclaimed:
皇天眷命，篤生我。太祖皇帝恭行弔伐，創業開基，期靖中原，以登至
治，顧大業未就，龍馭上升，舉國臣民，攀號莫及。予小子哀疚方殷，而
臣民以嗣位為請。謂神器難以久虛，國家不可無主，懇請再三，辭避無
術。謹於四月初一日祗告天地、祖宗，即皇帝位。予稚年涼德，忝任君
師，惟敬天以勤民。在修身而法祖，纘承烈緒，廣鴻業以無疆，誕敷武
103
文，祈天命於有永。尚賴臣工協志，同濟時艱，補闕拾遺，匡予不逮。
August Heaven regards one with his favoring Mandate and gave his blessing to
me. Our Great Ancestor, the August Emperor respectfully condoled the people
and punished the villains, he established the empire, laid the foundations and
hoped to pacify the central plains in order to reach perfect order. [But], the
dragon (i.e. the emperor) ascended [into Heaven] before he was able to
accomplish his great undertaking, and in all of the country servants and
populace have bewailed [his death]. I, the small child, am in deep mourning,
nonetheless officials and populace have asked me to succeed to the throne. It is
said that the magic vessel (i.e. the throne) should not be vacant for a long time
and that a country cannot be without a ruler, [so] I was urged repeatedly [to
ascend the throne, and] it was useless to decline. On the first day of the fourth
month (10 May 1366) I have respectfully informed Heaven and Earth and my
ancestors before ascending the throne. I am young and I lack virtue, therefore I
am ashamed of taking up the position of emperor and teacher, only out of
respect for Heaven I want to strive toward the welfare of the populace.
Concerning the cultivation of one’s character, I follow the example of my
ancestor and continue his grand heritage; I will boundlessly expand this great
100
XGZB. In MSSL 32 the posthumous title is slightly different, but also contains the two
characters: Wenwu Zhisheng Huangdi 文武至聖皇帝. For the practice and guidelines of
awarding posthumous titles to emperors, see Wang Shoukuan 1995, pp. 17-70. The titles
bestowed on Ming Yuzhen’s ancestors are mentioned in XGZB. Besides temple name and
posthumous title emperors traditionally also received a tomb name (Wilkinson 2000, pp. 109-
110). For Ming Yuzhen there are two different tomb names attested in the sources. According
to XGZB it is ruiling 叡陵 while MSSL 32 notes yongchangling 永昌陵 as tomb name.
The different names probably stem from the fact that Yang Xueke did not have knowledge of
the tomb name, since imperial tomb names traditionally were not publically announced, and
therefore made up a name on his own. On this assumption, see Dong Qixiang 1982a, pp. 106-
108.
101
On the difference between inter-dynastic and intra-dynastic types of succession, see Leban
2010, p. 2.
102
MSSL 17.
103
MSSL 35.
enterprise and promulgate his civil and military achievements everywhere and I
pray for a long-lasting Mandate of Heaven. Nevertheless, I rely on my servants
and officers to harmonize with my intentions, to surmount this time of hardship
together, to rectify my shortcomings, to point out my mistakes and to assist me
with what I do not accomplish.
Again reference is made to the concept of the Mandate of Heaven as well as to

the ideal of a benevolent ruler, whose main concern is the people’s welfare. The
mandatory sacrifices (heaven, earth, ancestors) are performed and also the topos
of the ruler, who repeatedly declines the offer to ascend the throne made by his
advisors before finally accepting, is to be found. Due to the intra-dynastic
character of the succession, there are many references made to Ming Sheng’s
father and predecessor Ming Yuzhen. It is clearly stated that Ming Sheng wants
to continue his father’s tradition.
The edict’s first four characters are taken from the Shujing 書經
(Classic of Documents). They are culled from a section which deals with the
aforementioned legendary Emperor Shun, who had succeeded Yao, and his
104
abdication in favor of Yu, the founder of the ancient Xia Dynasty. This sets
the tone for Ming Sheng’s succession. Like in the case of Ming Yuzhen a linkage
to the earliest dynastic legends is evoked. Then the text takes up the expression
dusheng “to be blessed by Heaven” from the Shijing 詩經 (Classic of Odes),
where it is used to describe the birth of King Wu 武王, whose father King Wen
105
文王 was the founder of the Zhou Dynasty. Both are revered as model rulers
in Confucian thought. King Wu’s successor, his son King Cheng 成王 also
serves as a model, especially for intra-dynastic succession. As in Ming Sheng’s
case King Cheng was a child when he ascended the throne and his uncle, Dan
the Duke of Zhou 周公旦, took responsibility as a regent until his nephew was
old enough to rule himself. In Ming Sheng’s case it is the mother, who is
reported to have acted as regent. Quite clearly both allusions are meant to give
further credit to Ming Sheng’s succession to the throne.
Cultivation of one’s character (xiushen), which is referred to in the
edict, is a key term from the Daxue 大學 (Great Learning). This is the first of
the Sishu 四書 (Four Books), which in this form gained their importance
through Zhu Xi 朱熹 (1130-1200). In 1313 they became the basis of the civil
service examinations and remained to be the basic curriculum until the
abolishment of the examinations in 1905. According to Zhu Xi’s understanding
the Daxue is the fundamental text that gives a concise outline of Confucian
104
Shangshu 3 (Legge 1972a, p. 54).
105
Shijing 236 (Legge 1972b, p. 435). According to Zheng Xuan’s (127-200) commentary on
the Shijing, the expression dusheng means that Heaven had blessed the mother, whereupon
she gave birth to the equally blessed King Wu (Shisanjing Zhushu Maoshi, 16: Vol. 5.1491).
doctrine. Therein cultivation of one’s character is described as one prerequisite

106
in a hierarchical model of steps to attain a well-governed state.
(b) Elements of Radical Millenarian Belief
It is much more difficult to detect elements of the millenarian belief under the
Xia than it is to demonstrate the impact of traditional Confucian patterns of
legitimation. One major reason for this, as will be shown, is the biased character
of the available sources. It is without doubt that the Xia developed out of the
religiously motivated Red Turban movement in the South. However, information
on their actual belief is scarce.
Evidently, there was a first uprising 1338 in Yuanzhou 袁州 (Jiangxi)
that is related to the Red Turban movement in the south. It was led by the
(former?) monk Peng Yingyu 彭瑩玉 and his disciple Zhou Ziwang 周子旺.
The authorities quickly put down the rebellion, in which Zhou Wangzi and
Peng’s family were killed, while the monk himself was able to escape. The
religious character is quite obvious. Quan Heng 權衡, author of the Gengshen
Waishi 庚申外史 (Unofficial History for the Gengshen Emperor) which reports
on the years 1333 to 1368, notes: “All rebels wrote the character for Buddha on
their back and heart, believing that with the character for Buddha [on their body]
they would be invulnerable [反者背心皆書佛字，以爲有佛字刀兵不能
107
傷].” Quan continues to describe Peng as a kind of miracle healer who was
highly esteemed by the people. Also the names of Peng Yingyu’s sons, Heaven’s
offspring (tiansheng 天生) and Earth’s offspring (disheng 地生), and his wife,
the Buddha mother (fomu 佛母), have a definite religious connotation.
The Southern Red Turbans are said to have “venerated the monk Peng
108
Yingyu” (宗彭瑩玉和尚). And according to the Ming Taizu Shilu 明太祖實
錄 (Annals of the Ming Dynasty’s Grand Ancestor), official annals of Zhu
Yuanzhang, the movement’s initiator Zou Pusheng 鄒普勝, a Macheng 麻城
(Hubei) blacksmith and disciple of Peng, “used his (i.e. Peng Yingyu’s) skills
propagating prophecies, and proclaimed that Maitreya shall descend to be reborn
109
and serve as ruler of the world [以其術鼓妖言，謂稱彌勒下生當為世主]”.
This millenarian expectation has to be seen as the central message of their
106
Gardner 1986.
107
Gengshen Waishi, Shang 5: 1211 (German translation: Schulte-Uffelage 1963, pp. 34-35).
108
Gengshen Waishi, Shang 21: 1219 (German translation: Schulte-Uffelage 1963, p. 59).
109
TZSL 8: 100. Whether another uprising in 1348 under the leadership of a certain Peng
Guoyu 彭國玉 is in any way related to Peng Yingyu is unclear. Some scholars deem them to
be the same person (Lian Lichang and Qin Baoqi 2002, pp. 57-58) other scholars hold the
opposite opinion (Yang Ne 1982, p. 109; Yang Ne 2004, pp. 151-153). At the same time it is
by far not clear to what degree Peng Yingyu was involved in the uprising led by Zou Pusheng.
Zhang Cailie 1986, p. 57 tries to show the relation between Peng Yingyu and Xu Shouhui.
ideology.110 This idea is shared by many millenarian movements throughout

Chinese history and has its origins in the early medieval period (roughly 220-
600).111 Contemporaries further describe their religious character, stating that
“they recited Buddha’s name, burning incense and spreading the six characters
(念佛燒香俵散六字)” and that “they madly relied on the holy man from the
Western Regions (誑托西方聖).” The six characters might either refer to namo
mile zunfo 南無彌勒尊佛 (“Oh, Venerable Buddha Maitreya”) or namo
amituofo 南無阿彌陀佛 (“Oh, Buddha Amitâbha”).112 The Western Regions is
113
an “obvious reference to the Western Paradise of Amitâbha”. It is thus clear
that the movement had its seeds in lay Buddhist activism. How far the Red
Turban movement was related to what generally is labeled White Lotus
Teaching (bailianjiao 白蓮教) is the subject of much controversy. For a long
time the general assumption was that the White Lotus Teaching was the result of
a process, in which peaceful Buddhist laymen activists, who commonly were
organized under the name White Lotus Society (bailianshe 白蓮社), gradually
incorporated the millenarian Maitreya belief. This process was believed to have
culminated in the Red Turbans’ uprising. Barend ter Haar, however, has
convincingly shown that the Northern Red Turbans were not connected to the
114
White Lotus teaching at all. However, in case of the Southern Red Turbans
Yang Ne has demonstrated a definite link to the White Lotus. He identifies as
many as 18 persons among Xu Shouhui’s followers, who carried the character
pu 普 as part of their name. The character was a common sign of affiliation to
the White Lotus movement and goes back to Mao Ziyuan 茅子元 (1086/88-
115
1160), who is held to be the founder of the White Lotus Teaching.
Xu Shouhui, whom Ming Yuzhen served so faithfully, seems to have
been identified as the reborn Maitreya. The Ming Taizu Shilu reports that he was
110
Ye Ziqi in his Caomuzi 3: 51 and Tao Zongyi 陶宗儀 in Nancun Chuogenglu 南村輟耕
錄, 28: 355, both contemporaries of the time, also note on the rebels belief in the advent of
Maitreya. On the background of the millenarian Maitreya belief see Chan 1969, p. 213. The
concept of Maitreya as a savior seems to go back to the Maitreya-vyākaraņa-sūtra 佛說彌勒
下生經, which was translated into Chinese in the 3rd century. For an English translation of the
part describing the utopian paradise, see Chan 1969, pp. 212-213. For a more detailed
discussion of the early Maitreya belief, see Ma Xisha 2011, pp. 19-25. See also Nattier 1988.
111
Ownby 1999, 1514-1515. See also Seiwert 2003, p. 202-203.
112
First quote from Chunyu Xuanji 春雨軒集, second quote from Shichuji 石初集, both
taken from Yang Ne 2004, pp. 146-147; see also Yang Ne 1983, p. 215. The translations are
taken from Ter Haar 1992, p. 126.
113
Ter Haar 1992, p. 126.
114
Ter Haar 1992 gives a summary of the relevant research on this topic in his introduction.
On the Northern Red Turbans see ibid., pp. 119, 125-126, see also Ma Xisha 2011, pp. 43-44,
who also concludes that the Northern Red Turbans were not connected to the White Lotus
Teaching, and Seiwert 2003, p. 199-202.
115
Yang Ne 1983, p. 215; Yang Ne 2004, pp. 142-144. On affiliation characters (pu and jue
覺), see also Ter Haar 1992, p. 80-87. Seiwert (2003, p. 181, note 48) points to the problem
that the same affiliation characters were also used by another tradition.
116
designated ruler because “his appearance was different from all [相貌異眾]”.
Ye Ziqi 葉子奇, the author of the late 14th century text Caomuzi 草木子
(Master Plants), gives a slightly different story, which points in the same
direction: “When Xu bathed in a salt water pond, the people saw fine rays of
light emanate from his body. Everyone was astounded. Thereupon they made
him emperor [徐於鹽塘水中浴，眾見其身上毫光起。眾皆驚異。遂立為
117
帝].” The chaotic and disastrous conditions of the 1350s apparently caused
many people to draw hope from the Maitreya prophecy, according to which the
establishment of an earthly paradise promised to end all their misery, and to join
the Red Turban movement.
The reason for the relative scarcity of information is that all transmitted
sources were invariably written or compiled by members of the elite, whose
mindset was heavily formed by the Confucian education they had received in
preparation for a career as officials. They were thus not in favor of, or candidly
rejected, the Red Turbans’ religious beliefs, especially since the Red Turban
movement in the beginning acted openly hostile toward the elite.118 This is most
evident in the slogan “Destroy the rich to benefit the poor (摧富益貧)” recorded
by an eye-witness in his description of the rebels entry into the city of Shaowu
邵武 (Fujian). In many places local officials and members of the landlord
gentry were humiliated or massacred. Although, as John W. Dardess notes, the
driving force behind this rather were the shiftless elements, who had joined the
rebellion later, than the original followers of Peng Yingyu, members of the
119
gentry were not likely to have made this distinction.
The same problem holds true for the sources on the Xia. A look at their
authors’ biographies corroborates this. The stele inscription from Ming Yuzhen’s
tomb and also most of the edicts were composed by Liu Zhen. Liu was a native
of Luzhou 瀘州 (Sichuan). Other sources remark that his family originally was
from Changzhou 昌州 (Yunnan) and that his grandfather had fled to Luzhou at
the end of the Song Dynasty. Liu received a presented scholar (jinshi 進士)
degree from the palace examination in 1330 and thereafter served as Registrar
120
(jingli 經歷) in Daming 大名 (Hebei). After having resigned from his
office, for reasons not mentioned, he went back to Luzhou. During the turmoil in
Sichuan he took refuge in the mountains nearby. Around 1359 he met Ming
Yuzhen. The description of their encounter in the Mingshi Shilu alludes to the
famous meeting of Liu Bei 劉備 (162-223) with Zhuge Liang 諸葛亮 (181-
116
TZSL 8: 100.
117
Caomuzi 3: 51.
118
For a detailed discussion of the general relationship between popular religious movements
and elite culture see Seiwert 2003, p. 485-501.
119
Quote from an inscription by Huang Zhencheng (Huang Zhencheng Zhuanbei 黃鎮城撰
碑, in Jiajing Shaowu Fuzhi 嘉靖邵武府志) taken from Yang Ne 2004, pp. 147-148. See also
Yang Ne 1982, p. 122 and Dardess 1970, pp. 547-548, who lists a number of such cases.
Dardess also gives a complete translation of Huang Zhencheng’s text.
120
Hucker 1985, p. 1227.
234), which became the emblem for an emperor personally visiting a talented
man to recruit him. Liu Zhen became Ming Yuzhen’s most prominent adviser
holding various important offices. The repeated comparison to Liu Bei’s famous
adviser Zhuge Liang emphasizes the central position he held. Allegedly, it was
he who urged Ming Yuzhen to establish the Xia Dynasty. According to later
historians, he was also responsible for the installation of the education and
examination system, the building of ancestral shrines and most probably also for
the installation of a central administration modeled after the Zhouli. His zi 字,
name given on coming of age, Weizhou 維周, which might be translated as
“preserve the Zhou”, could well be expression of an ideological conviction. Liu
seems to have lost influence after the reform of administration in 1365, since he
is no more mentioned among the high officials. But he regained an official post
121
after Ming Yuzhen’s death before he finally died in 1369.
Like Liu Zhen, the author of the Mingshi Shilu, Yang Xueke, was also a
Confucian-trained scholar. Yang was a native of Xindu 新都 (Sichuan).
According to the biography, written by a certain Liu Weide 劉惟德, who had
met him in 1409, Yang was the descendant of the famous scholar Yang Zhen 楊
震 (?-124), who was known as the Confucius from Guanxi (Guanxi Kongzi 關
西孔子) (area in today’s Shaanxi province). He had received the customary
training in the Confucian classics, but decided not to take up an office. Instead,
he devoted himself completely to the field of study and teaching. He fled the
fightings in Sichuan to Kunming (Yunnan), where he was received positively.
According to Liu Weide, he continued teaching the Confucian classics and at the
same time acted as a kind of political adviser. His biographer hints at certain
tensions in his relation to the local decision-makers that led Yang decide to
return to Sichuan. Yang supposedly realized that he was not able to impose his
Confucian thoughts on the ‘barbarians’ in Yunnan. Back in Sichuan Ming
Yuzhen offered Yang an official post, which Yang declined pleading an illness.
In the same manner, Yang later declined a similar offer made by the victorious
Ming Dynasty. The phrasing on Yang’s refusal of Ming Yuzhen’s offer seems
unambiguous but the time of his return to Sichuan, just after Ming Yuzhen had
conquered Sichuan, as well as his obvious political ambitions give room for
doubts. Further acknowledging the fact that the Mingshi Shilu uses material,
which clearly must have originated from the Xia Dynasty’s archive, it becomes
121
MSSL 12, 15, 17, 37, 45. TZSL 19: 267-268. On his family background and for the date
of the palace examination see Yu Ji’s 虞集 (1272-1348), whose family originally came from
Sichuan and who always kept contact to Sichuanese (see Smith 1992), Song Jinshi Liu Zhen
Xu 送進士劉楨 (in Daoyuan Xuegu Lu 道園學古錄, 6: 12a/b), which is a short text written
as a farewell to Liu Zhen from the capital, where he had sat the imperial examination. See
also: Luxian Zhi, 4: 589. Later historians on Liu Zhen: Mingshi, 123: 3703; Mingshu 明書,
90: 1822 and Mingshi Jishi Benmo 明史紀事本末, 11: 37. According to XGZB Liu Zhen
also served as court historian and as teacher to the heir apparent.
obvious that Yang Xueke most probably had a closer relation to the Xia Dynasty
122
than his biographer wants to admit.
Finally, the Ming Taizu Shilu, the third of the major sources on the Xia,
as an official product from the Office of Historiography at court was doubtlessly
compiled by scholars, whose thinking was dominated by mainstream Confucian
123
ideas.
In spite of the biased character of the sources there is some evidence for
millenarian beliefs under the Xia. The most obvious evidence is the proscription
of Buddhism and Daoism declared by Ming Yuzhen: “He banned Buddhism and
124
Daoism and had a Maitreya temple build [去釋老二教，並彌勒堂].” In the
official annals of Zhu Yuanzhang the wording is only slightly different: “He
banned Buddhism and Daoism and only revered the teaching of Maitreya [去釋
125
老教，專奉彌勒法].” This has been interpreted as establishment of the
126
Maitreya belief as a kind of “state religion”. But all there is on the
proscription are these meager lines. If such a proscription were actually
implemented, this would have involved the closing of monasteries and the
persecution of monks. One would expect some kind of reflection of it in
historical sources, which is not the case as far as the author can tell.
Further evidence for the worshipping of Maitreya under the Xia are
eight statues chiseled into the stone along the riverbank of the Yangzi near
Chongqing. According to the 19th century local gazetteer of Baxian 巴縣, a
town south of Chongqing, this was the work of Zou Xing, the above mentioned
general, whose letter to Ming Yuzhen from the Yunnan campaign has been
127
quoted. The eight statues are situated in two different alcoves. According to
Wen Yucheng, who has studied the statues, one alcove shows Maitreya between
two of his disciples, while in the other alcove there are three seated Buddhas (fo
佛) again framed by two disciples. The Buddha in the middle rides on an ox,
while the left disciple sits on a lion and the right disciple on an elephant. For
Wen Yucheng, who remarks that such depiction normally is unknown to
128
Buddhist art, this shows that the statues present Manichaean deities. Wen
draws on the earlier assumption made by Wu Han. Wu argues that the Red
122
Qingfeng Xiansheng Zhuan 清風先生傳 in Quan Shu Yiwenzhi 51: 1557-1559.
123
On the background and involvement of one of the key figures among the compilers, Xie
Jin, see Chan 2005.
124
MSSL 17.
125
TZSL 19: 268.
126
Shih 1956: 201; Li Shoukong 1968, p. 33; Chan 1969, p. 215; Li Bangzheng 1979, p. 25,
1985, p. 35; Overmyer 1976, p. 29; Mote 2000, p. 540.
127
Baxianzhi 1, Xia: 164.
128
Wen Yucheng 2002. Unfortunately the black and white photographs of the statues in the
article only give a very unclear image. Besides the interpretation of the statues in this light
also some peculiarities in Ming Yuzhen’s tomb were explained by drawing on the assumption
of a Manichaean influence. The fact that no cloth was found in the coffin was interpretated in
reference to Manichaean instructions, according to which the body had to be buried naked:
Dong Qixiang 1982a, p. 103; Xu Wenbin 1982, p. 53. Also the representation of sun and
moon on silk found among the burial objects were linked to Manichaean beliefs: Jiang Wanxi,
Wang Chuanping and Liu Yuchuan 1982, p. 6; Wen Yucheng 2002, p. 47.
Turbans’ belief was influenced by Manichaean thought and that the Ming
Dynasty’s choice of name reflects this influence. Wu Han’s study is mainly
concerned with the Ming Dynasty and its origins among the Northern Red
Turbans, Ming Yuzhen is only mentioned marginally. Wu asserts, without giving
any proof, that Ming Yuzhen’s original family name was Min 旻 and that he
later adopted the name Ming 明 due to his Manichaean conviction – one
129
Chinese term for Manichaeism is Mingjiao 明教 (Teaching of Light). Wu
Han’s assertion has been accepted without questioning by many Chinese and
130
Western scholars.
Not only has Wu Han’s assumption of Manichaean influence been
131
disproved, but also the assertion of a name change lacks convincing evidence.
Wu Han’s assertion of name change probably stems from Huang Biao’s Ping Xia
Lu 平夏錄 (Record on the Pacification of the Xia). Huang quotes sources,
without naming them, according to which Min was Ming Yuzhen’s actual family
132
name and Yuzhen his zi 字. Zhu Guozhen 朱國禎 writes in his private
history of the Ming Dynasty from 1632, again quoting not further specified
sources, that Ming Yuzhen’s original name was Min Rui 旻瑞 and Yuzhen his
133
zi. Common source might be Caomuzi, whose author Ye Ziqi writes of “one-
eyed Min (旻眼子)” instead of using the name Ming Yuzhen. This nickname is
connected to the story that Ming Yuzhen lost one eye during a battle on
Dongting Lake 洞庭湖 (Hunan) against Yuan forces around 1355. No other
134
contemporary source mentions the name Min. Unfortunately there is little
information on Ye Ziqi and his work. This makes it difficult to explain, why he
notes Min as the family name. Ye was a native of Longquan 龍泉 (Zhejiang), in
1362 he had passed the local exams (zhoushi 州試(. He offered his service to
Zhu Yuanzhang, but to no avail. Nonetheless, he served as Assistant Magistrate
(zhubu 主簿) in Baling 巴陵 (Eastern Hunan) for a few years. Back in his
hometown in 1378, he became entangled in a scandal and was sent to prison.
129
Wu Han 1956, p. 261. On the background of the term Mingjiao as well as alternative
Chinese terms for Manichaeism see Lin Wushu 2011. See also Wang Jianchuan 1992.
130
Chinese scholars: Jiang Wanxi, Wang Chuanping and Liu Yuchuan 1982, p. 27; Dong
Qixiang 1982a, pp. 100-102; Teng Xincai 2000a, p. 55. Western scholars: Dardess 1976b, p.
1069; Farmer 1995, p. 22; Mote 2000, p. 540. Ma Li 2002, pp. 140-141.
131
Ter Haar 1992, pp. 102-123 gives a good summary of the research on the question of
Manichaean influence. See also: Yang Ne 1983, pp. 209-210; Wang Jianchuan 1992, p. 334-
346; Yang Ne 2004, pp. 114-126; Lian Lichang and Qin Baoqi 2002, pp. 46-55; Chan 2008,
pp. 99-100.
132
Ping Xia Lu 平夏錄 in Jilu Huibian, Juan 31: 1a. For more details on this source, see the
appendix, p. 106.
133
Huangming Shigai 皇明史概, 4: 102.
134
Caomuzi, 3: 53-54. The other sources are MSSL, TZSL and Gengshen Waishi, Shang 23:
1220 (German translation: Schulte-Uffelage 1963, p. 62). Battle and lost eye are mentioned in
more detail in MSSL 4 and TZSL 19: 265. In Lang Ying’s (1487-1566) Qixiu Leigao, 8: 88,
for which he clearly used Caomuzi for the entry on Ming Yuzhen, the nick-name interestingly
becomes “one-eyed Ming” 明眼子.
135
This is where he began the work on his Caomuzi. Hence, he probably only
possessed second-hand information about Ming Yuzhen, maybe even only from
136
hearsay. Min is a rather unusual family name, if it exists at all. One
explanation might be a confusion with the personal name of Ming Yuzhen’s son
Ming Sheng, at least the characters Min 旻 and Sheng 昇 are quite similar, and
137
there are other instances where Ye Ziqi obviously confused information.
More likely, is it related to Ye’s rejection to use the character Ming 明 caused
by his unfavorable opinion of the Ming Dynasty. Pan Jinghui has shown that Ye
consequently evades the use of this character when referring to the Ming
Dynasty and relates it to Ye’s experience with Zhu Yuanzhang who did not
138
employ him. Whether Rui was his personal name and Yuzhen his zi cannot be
said with certainty. Only the use of Yuzhen as personal name can be regarded
genuine, since there is multiple evidence that the name was tabooed, according
139
to common imperial practice, after he had become emperor. In short there is
no evidence in support of Wu Han’s assertion of a name change motivated by
religious beliefs. In addition, there simply is no hard evidence on the personal
belief of Ming Yuzhen whatsoever. Even if one has “to recognize that no amount
of textual evidence will ever indisputably prove what any historical personage
140
might have believed at any given moment in time”, not one source states that
Ming joined the rebellion because of religious conviction. One might be able to
interpret Ming Yuzhen’s relation to Xu Shouhui, which above has been
characterized as a traditional subject to emperor relation, in religious terms.
135
On Ye Ziqi and his Caomuzi, see Pan Jinghui 2000; Longquan Wenshi Ziliao 2000, pp.
175-176. The title Caomuzi (Master Plants) seems to derive from a statement in Ye Ziqi’s
foreword, in which he explains his motivation to start writing: “Distressed in prison, I became
afraid that once I had gone before my brief time, I would rot like plants do and I was truly sad
about this [幽憂於獄，恐一旦先朝露，與草木同腐，實切悲之].” Caomuzi, Zixu: 5.
However, the information on the events at the turn from Yuan to Ming probably were not part
of the original Caomuzi but of a different work by Ye Ziqi, the Qidong Yeyu 齊東野語. His
descendent Ye Pu 葉溥, who in 1514 made the first print of Caomuzi, most likely merged the
two works into one. Pan Jinghui 2000, pp. 216, 218.
136
There is no person with the family name Min in Zhongguo Lidai Renming Dacidian 2005.
The Wanxing Tongpu 萬姓通譜 (19: 362), a work on family names by Ling Dizhi 淩廸知
)1529-1600), notes this family name, but does not give any examples as is the case for other
names. For the family name Ming Ling gives 23 examples, from which six are from Ming
times (53: 814-815). Ming Yuzhen is not among them. The Ming family’s family chronicles
from Korea traces the origin of their name back to Chunqiu times, 722-481 BCE (Cheng
Weiguo 1997, p. 40). Since this was general practice for all family names, it is without real
meaning.
137
For example the death of Ming Yuzhen gets mixed up with the subsequent struggle among
his followers, claiming that he was murdered by a younger brother and that his wife tried to
kill the younger brother. Caomuzi, 3: 54. See also the number of obviously wrong dates that
Pan Jinghui (2000, pp. 220-221) was able to show.
138
Pan Jinghui 2000, pp. 218-220. There only is one exception: Caomuzi, 3: 61.
139
XGZB and MSSL (1) mention the taboo. The town Zhenzhou 珍州 in Guizhou was
renamed Zhenzhou 真州 because of the taboo (Mingshi, 43: 1034; Zhongguo Gujin Diming
Dacidian 2005, p. 2015). Other later historical works mention that his name was written
Yuzhen 玉真 instead of Yuzhen 玉珍 because of the taboo (Mingshu, 90: 1821; Zuiweilu
罪惟錄, Zhuan 6: 230).
140
Bokenkamp 1994, p. 60.
Perhaps Ming’s expression of reverence had its origin in the religious role of Xu
Shouhui. In any case, Ming obviously did not break as radically with the
religious background of the rebel movement as Zhu Yuanzhang did. Zhu soon
condemned the Red Turbans to be mere trouble-makers and completely denied
that he once might have shared similar beliefs. He now wanted to establish a
stable dynastic order himself and knew all too well about the potential threat of a
millenarian movement. In the end, he even enacted a law prohibiting religious
groups who worshipped Maitreya. Ming Yuzhen, on the other hand, as has been
shown above, seems to have protected the Maitreya belief by law, at least
141
nominally.
A further evidence for the dissemination of millenarian beliefs under the
Xia are a number of religiously motivated uprisings, which took place on the
Xia’s former territory after 1371, and that had to be put down by the Ming
authorities. Li Shoukong, who has collected the sources on these upheavals,
142
links them to the religious beliefs propagated by the Xia. In 1379 Peng Pugui
彭普貴 led an uprising in the region around Chengdu and Jiading. He was
charged “to have deluded the masses with prophecies (以妖言惑衆)”, a standard
143
wording used for this kind of religiously motivated uprisings. In 1381 there
144
was a short revolt, in which the leader claimed to be Maitreya. In 1397
finally a rebellion led by Gao Fuxing 高福興, Tian Jiucheng 田九成 and the
monk Li Puzhi 李普治 broke out in Mianxian 沔縣, a town west of Hanzhong,
and spread over the whole area. Tian Jiucheng called himself August Emperor
Ming of the Han (Han Ming Huangdi 漢明皇帝) and adopted the era name
Dragon and Phoenix (longfeng 龍鳳). The name Ming might well have been
adopted as reference to the Xia’s ruling family. Gao Fuxing claimed to be
Maitreya. The Ming authorities were able to get hold of Gao Fuxing the same
year the rebellion broke out, but Liu Puzhi, Tian Jiucheng and others, among
them a certain Liu Pucheng 劉普成 , continued to cause trouble in the
mountainous region between modern Shaanxi and Sichuan provinces. Only in
145
1409 were the authorities able to capture them.
Although there is no explicit link to the Xia Dynasty, it is obvious that
the millenarian Maitreya belief played a crucial role in all of these uprisings.
Furthermore, it is striking that there are many persons among the rebels with the
character pu 普 as element to their name. As has already been mentioned
above, Yang Ne has identified many persons with this character in their names
141
Zhu Yuanzhang critizing the Red Turbans: Dardess 1983, pp. 188-189. On Zhu’s
disassociation from the millenarian movement, see also Dardess 1970 and Taylor 1963. Zhu
explains that the circumstances pressed him to join the rebellion. Since the ruling Yuan turned
against its own people, they were forced to take up arms: Dardess 1983, pp. 192-193. For the
law prohibiting the worship of Maitreya see Jiang 2005, p. 112.
142
Li Shoukong 1968, pp. 33-35.
143
TZSL 124: 1989; 124: 1994-1995; 125: 2005-2006.
144
TZSL 138: 2181.
145
TZSL 249: 3606-3607; 249: 3608; 255: 3677; Ming Taizong Shilu, 94: 1253.
among Xu Shouhui’s followers. This at least suggests an indirect link to the Xia
Dynasty, since Ming Yuzhen also belonged to Xu Shouhui’s followers. Another
much later rebellion is explicitly linked to the Xia. In 1475 people of a local
tribe in Chenzhou 辰州, a town in modern Guizhou province close to the border
of Sichuan and Yunnan, staged an uprising. Their leader Shi Quanzhou 石全州
claimed to be a descendant of Ming Yuzhen. He adopted the title Ming Wang 明
王 (King of Light or King Ming). Whether the title refers to millenarian
religious beliefs or was chosen as reference to Ming Yuzhen is not entirely
146
clear.
Conclusion
The examination of all sources has shown that there is rather weak evidence for
the importance of millenarian beliefs under the Xia. At the same time there is
ample evidence of traditional patterns of legitimation. Nonetheless, it would be
premature to conclude that millenarian beliefs did not matter at all. Considering
that the authors of all relevant sources were members of the elite their mindset
must have had a heavy impact on the content. They either do not mention, or at
least would not elaborate on, what does not fit into their view of the world,
which results in the few and weak mentions of the religious aspects of the Xia
Dynasty. But, since there is such evidence at all, it should be taken seriously. It
means the authors could not completely ignore the fact that these religious
beliefs somehow played an active role. Scholars have shown that in earlier
periods, especially during China’s early medieval period (roughly 200-600),
millenarian beliefs were very common and even influenced emperors and the
cultural elite. During this time they were frequently employed by emperors to
147
legitimize their rule.
Nonetheless, in the light of the biased sources, it remains difficult to
assess to what degree the millenarian Maitreya belief played an active role in the
legitimation of the Xia. In the end, what Dardess has called the “transformation
of messianic revolt” probably also holds true for the Xia. The Red Turbans’
millenarian belief “predicted the doom of the old order and the beginning of a
new millennium of peace and prosperity”, but itself was “incapable of providing
the organizational rationale whereby the new era might actually be brought into
148
being”. They thus turned to the elite and their traditional Confucian ideas.
This doctrinal shift has been extensively described for Zhu Yuanzhang and the
149
Ming. In case of the Xia the former Yuan official Liu Zhen is the best
146
Ming Xianzong Shilu, 140: 2611-2612. See also Li Shoukong 1968, pp. 39-40. Dardess
1976b also mentions this uprising.
147
Ownby 1999, pp. 1515, 1529-1530.
148
Dardess 1970, p. 540.
149
In addition to Dardess 1970 see the following studies: Taylor 1963; Dardess 1983; Farmer
1995; Ma Li 2002.
example. He is said to have initiated the establishment of the dynasty in the first
place and he is also responsible for the installation of an administration system.
Moreover schools on the local level, a Directorate of Education (guozi jian 國
子監) and a Hanlin Academy (hanlin yuan 翰林院) at court were set up, at
150
which a number of less prominent officials took up positions. Examinations
to recruit officials were held in 1362 and 1366 with a total of 17 successful
151
candidates. Furthermore, Ming Yuzhen in person actively tried to recruit
scholars. Besides Yang Xueke there are other cases of local erudites, whom
152
Ming was not able to win over. This strategy also is reflected in the official
edicts of the two Xia rulers, which are directly addressed to members of the elite
and openly call for their support. This is most clearly articulated in the closing
paragraph of Ming Sheng’s edict: “Nevertheless, I rely on my servants and
officers to harmonize with my intentions, to surmount this time of hardship
together, to rectify my shortcomings, to point out my mistakes and to assist me
153
with what I do not accomplish.”
Besides the need for bureaucratic and technical know-how of the local
elite causing a deliberate turn to the Confucian trained experts, it should also be
remarked that they were equally needed for their knowledge of ritual. It has been
argued that ritual serves to demonstrate and verify legitimacy. However, ritual
cannot simply be made up by anyone, it always draws on or imitates recognized
precedents. Rituals and symbols applied by the Xia likewise prove this. The
members of the elite were the ones who disposed of the knowledge how to
154
employ and interpret these precedents.
Yet another point, that should be taken into consideration, is an ebbing
of millenarian expectation. Examining millenarian movements in medieval
Europe Richard Landes points out that all written records were compiled after
the climax of millenarian expectation had passed. As the immediate disturbances
and excitement declined the authors denied or toned down the nature of these
155
beliefs, even if they earlier might have shared them. Of course, the European
150
Installation of schools and academies: MSSL 17; TZSL 19:268. MSSL 19 mentions Liu
Zhan 劉湛, who served the Xia as Chancellor of the Directorate of Education (guozijian jijiu
國子監祭酒 ), Niantu Tunan 年徒圖南 (Mou Tunan 牟圖南 in TZSL 19: 268) as
Chancellor of the Hanlin Academy (hanlinyuan chengxiang 翰林院丞相) and Shi Tianzhang
史天章 a Hanlin Academician (hanlinyuan xueshi 翰林院學士). TZSL 20: 275 further
mentions another Hanlin Academician, who acted as envoy of the Xia.
151
MSSL 18, 39. Zhou Lasheng 2008 merely reproduces the few information found in the
sources.
152
Chen Derong 陳德榮 (Daoguang Chongqing Fuzhi 道光重慶府志, 114: 355) Liu Chen
劉諶 (Luxian Zhi 6: 1007-1008; see also Mingshi 124: 3719) and Zhao Shanpu 趙善璞
(MSSL 22; Yufeng Zhao Xiansheng Zhuan 玉峯趙先生傳, Shang 15-17: 313-314) all
declined Ming Yuzhen’s offer to serve the Xia. Since Sichuan had suffered immensely under
the Mongol invasions (1231 to 1280), which led the local elites to leave Sichuan and never to
return (see Smith 1992), it can be assumed that there was no large pool of talents for the Xia
to recruit from.
153
MSSL 35.
154
Wechsler 1985, pp. 21, 35; Goodman 1998, p. 13.
155
Landes 2000, pp. 107-108.
setting with its own characteristics due to the Christian faith is not immediately
transferable to 14th century China. It is for instance rather doubtful that the
authors of the Chinese sources, which have been studied in this paper, ever
shared the millenarian beliefs of the Red Turbans. But in Europe as in China
adherents of millenarian movements at some point must have realized that the
prognosticated new age of peace and harmony did not come true. They would
either completely turn away from the millenarian hope or maintain their
expectation, just postponing the advent of millenarian paradise. In any case the
millenarian belief would become less fervent and lose its immediate impact on
society. Millenarian expectation did not vanish completely and could be
reactivated, for which the repeated outbreaks of rebellions in the region at the
end of the 14th century are ample evidence. In the end the results of this study
speak against Farmer’s assumption of a combination of traditional and
millenarian elements in order to legitimize the Xia Dynasty. It clearly were the
traditional elements that were applied to seek legitimacy.
Generally it might be possible to state that the support of the Confucian
trained elite was vital for the legitimation of any newly found dynasty, since the
know-how for governing and ritual was inextricably tied to this group. This
support would enable rebels to create a stable regime and eventually establish a
‘marginal dynasty’. However this is merely one factor among many others
deciding, whether a ‘marginal dynasty’ could evolve into a major dynasty.
Appendix: The Sources

There are three major sources for the history of the Xia. Besides (1) the Ming
Dynasty’s official annals (shilu) and (2) a private history written by Yang Xueke
there further exists (3) a stele inscription belonging to the Xia founding
emperor’s tomb.
(1) The Ming Taizu Shilu 明太祖實錄 (Annals of the Ming Dynasty’s
Grand Ancestor) were compiled by the Ming court historians after the death of
Zhu Yuanzhang, whose temple name is Grand Ancestor, using the material
collected at the history office during his reign. It further served as raw material
for the official history of the Ming that was completed in 1739. This source thus
156
offers the Ming Dynasty’s point of view.
(2) The Mingshi Shilu 明氏實錄 (Annals of the Ming Family) is a
private history compiled by Yang Xueke. The technical term for this kind of
source is zaiji 載記, which might be roughly translated as ‘chronicle’. In the
156
The Ming Taizu Shilu were revised twice. This was done on order of Zhu Di who had
usurped the Ming throne in 1402. In order to provide his legitimation, he had to make sure
that the mentioning of the original throne heir was eliminated from the shilu. This most
probably did not affect the parts on the Great Xia. Generally on the background of the
compilation of the shilu, see: Franke 1968, pp. 8-16, see also the rev. and enlarged version
Franke 2011, and Franke 1961. Specifically on the revision ordered by Zhu Di, see Chan
2005, 2007.
Siku Quanshu 四庫全書 (Complete Library of the Four Treasures) there is a

whole category with this name, under which also Yang’s work is to be found.
According to the compilers’ introduction to this section the term goes back to the
Hanshu 漢書 (Documents of the Han), in which its compiler Ban Gu 班固
(32-92) collected accounts of certain ‘usurpers’ under this term. Later works also
used the terms false histories (weishi 偽史) or warlord histories (bashi 霸
157
史). The compiler obviously had access to material from the Great Xia’s
archive, since he reproduced imperial letters and edicts. Yang, a native of Xindu
in Sichuan, witnessed most of the Xia’s history. According to his biography he
had fled to Yunnan from the turmoil at the end of the Yuan, but returned to his
158
home after the establishment of the Great Xia. It is noteworthy that he chose
to name his work shilu, which normally was used for the official annals of an
emperor. This unusual usage was already noted by the compilers of the Siku
Quanshu. Though Yang’s work was not incorporated in the actual collection, it is
among those that received a critical note. In this note the compilers mention
three other works that make use of the term shilu in their title and state that it
was quite a common term in old times. They thus do not recognize it to be an
attempt to grant it the rank of an official history. At the same time they wonder
why Yang of all possibilities chose this term, noting that other histories of this
kind are generally named chronicle (zhi 志), record (lu 錄), note (ji 記), or
159
transmission (zhuan 傳). However, they do not offer any further explanations.
On the one hand Yang’s choice is certainly to be explained with the method
applied. As is the case with the official shilu he compiled extant material from
the archive in an annalistic manner. On the other hand one should not exclude
the possibility that he indeed attempted to enhance the Great Xia’s status. After
all his work gives a very positive appraisal of the Great Xia, which is clearly
criticized by the Siku Quanshu compilators. There are four textual witnesses of
160
the Mingshi Shilu.
157
Siku Quanshu Zongmu Tiyao 1933, pp. 1425-1449. Yang Xueke’s history of the Xia is
listed on p. 1443. On the background of the term zaiji, see Rogers 1968, pp. 16-17.
158
Yang Xueke’s biography: Qingfeng Xiansheng Zhuan in Quan Shu Yiwenzhi 51: 1557-
1559.
159
Siku Quanshu Zongmu Tiyao 1933, p. 1443. The three other works mentioned are:
Dunhuang Shilu 燉煌實錄 by Liu Bing 劉昞 (Northern Wei); Jiankang Shilu 健康實錄
by Xu Song 許嵩 (Tang); Huangzu Shilu 皇祖實錄 by Li Aoji 李翱集. Only the Jiankang
Shilu received a critical note by the compilers, see Siku Quanshu Zongmu Tiyao 1933, p.
1091. See also Franke 2011, p. 17.
160
Basis for the critical edition, see Fölster 2009, pp. 107-121, are three textual witnesses: [1]
Mingshi Shilu, Ju Yingshi Qianqibaiershijiu Quezhai Congshuben Paiyin 據仰視千七百二十
九鶴齋叢書本排印, Xu Song 徐松 (jiaobu 校補) in Congshu Jicheng Xinbian 叢書集成
新編 103, pp. 81-87. [2] Mingshi Shilu, Ju Chaoben Yingyin 據鈔本影印 in Zhonghua Lishi
Renwu Biezhuanji 2003: 577-583. [3] Mingshi Shilu in Xuehai Leibian 1977, pp. 1269-1276.
See also Franke 2011, No. 1.4.11. Recently I have discovered a fourth textual witness. For a
description of this manuscript held by the National Central Library in Taiwan, see Fölster
2013.
(3) The Xuangong zhi Bei 玄宮之碑 (Stele of the Dark Palace) is the
only true primary source, since all other sources are compilations of older
materials. The stone stele had been erected in front of Ming Yuzhen’s tomb. It
was excavated in 1982 when Ming’s tomb was found coincidentally during
construction works in Chongqing. The stele measures 134 x 57 x 23.5 cm and
the inscription consists of a total of 1004 characters in 24 lines. The text was
compiled by Liu Zhen, Ming Yuzhen’s most prominent adviser, and gives an
account of the Great Xia’s emperor’s life. It offers many additional information
which are not mentioned in other sources. At the same time others are
deliberately left out, since the purpose of such an epitaph is to pay tribute to the
deceased. It is quite clear that Liu emphasized Ming Yuzhen’s accomplishments
161
while passing over his failures.
Other texts explicitly dealing with the Great Xia are all based on the
Ming Taizu Shilu and/or the Mingshi Shilu. This is the case for Huang Biao’s
Ping Xia Lu 平夏錄 (Record on the Pacification of the Xia) and the chapter on
Ming Yuzhen in Qian Qianyi’s (1582-1664) Guochu Qunxiong Shilüe 國初群雄
史略 (Brief History of the many Heroes at the Beginning of Our Country) as
well as the official history of the Ming and other privately compiled histories of
the Ming Dynasty. Some make use of further sources, but these only add some
minor details. While Huang Biao does not account for his sources, Qian Qianyi
does so in giving a collection of all sources available to him, even if they are
contradictory. He also quotes a further, probably lost source, the Mingshi Shiji
明氏事跡 (Traces of the Ming Family’s Deeds). The Ping Shu Ji 平蜀記
(Notes on the Pacification of Shu) on the other hand is a mere copy of relevant
162
passages from Ming Taizu Shilu.
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LEGITIMATION OF A ‘MARGINAL DYNASTY’: THE

GREAT XIA IN SICHUAN, 1362-1371

A simple look at the chronological distribution shows a clear

1. The Great Xia

biographical sections (liezhuan 列 傳 ), in which founders of ‘marginal

2. Legitimation of the Xia Dynasty

“Legitimacy is the recognition of the right to govern.”57 Legitimation, then, is

It is thus necessary to scrutinize the actual sources. Taking up Farmer’s

(a) Traditional Patterns of Legitimation

The opening phrase alludes to a sentence from the Zuozhuan 左 傳

The relation to Xu Shouhui was a delicate issue in terms of legitimation. The

and music, punishments and administration, regulations and laws were in

The attribution of unusual characteristics to a ruler – such as supernatural

highest Yang-number, can equally be interpreted as an expression of Ming

Here again Ming Yuzhen is described as benefactor, whose actions were in

Again reference is made to the concept of the Mandate of Heaven as well as to

doctrine. Therein cultivation of one’s character is described as one prerequisite

(b) Elements of Radical Millenarian Belief

ideology.110 This idea is shared by many millenarian movements throughout

Appendix: The Sources

Siku Quanshu 四庫全書 (Complete Library of the Four Treasures) there is a

______ (1982) “Ming Yuzhen Xuangong zhi Bei Chuxi” 明玉珍玄宮之碑初析,

Peter Fabienne (2010) “Political Legitimacy” in The Stanford Encyclopedia of

Wu Han 吳晗 (1956) “Mingjiao yu Da Ming Diguo” 明教與大明帝國, in Wu Han 吳

S-ar putea să vă placă și

biographical sections (liezhuan 列傳 ), in which founders of ‘marginal

The opening phrase alludes to a sentence from the Zuozhuan 左傳