¹ the work translated in part by Professor Dubs, Homer H. as the History of the former Han dynasty (Baltimore, 1938)Google Scholar, hereafter noted as History. As is shown further on in this article, however, the work really is not a “history” but is primarily a collection of documents. These other titles, therefore, seem more appropriate. Cf. Dubs, , “Wang Mang and his economic reforms,” Toung pao, 35 (1940), 220–221.Google Scholar The edition cited in this article is Wang Hsien-ch'ien's (1842–1917) edition, the Han shu pu chu referred to as HSPC.

² See Wylie, Alexander, Notes on Chinese literature (Shanghai, American Presbyterian Mission Press, reprint of 1901), p. 16Google Scholar, where the first twenty-four are listed, and pp. 15–24 where each of these is briefly described. The twenty-fifth is the New history of the Yüan [Mongol] dynasty by K'o Shao-min The twenty-sixth is the Provisional history of the Ch'ing dynasty compiled from 1914–1928, published in 1927–1928, withdrawn from public sale in 1928, and again released for sale in 1937. This work has not yet been adopted officially by the Chinese government. Gardner, Charles S., Chinese traditional historiography (Cambridge, 1938), pp. 97–98.Google Scholar

³ Ssu-Ma Ch'ien's Historical records translated in part by Chavannes, Edouard as Les mémoires historiques de Se-ma Ts'ien (Paris, 1895–1905).Google Scholar

⁴ These estimates do not include the Provisional history of the Ch'ing dynasty. The estimates are based on a plan and format resembling that of Dubs' History.

⁵ For a discussion of the plan, see Gardner, , op. cit., pp. 87–88.Google Scholar

⁶ (247–195 B.C.; reigned 202–195 B.C.) is the posthumously awarded “temple name” of Emperor Kao, the founder and first emperor of the Han dynasty. See Dubs, , “The name and ancestry of Kao-tsu,” T'oung pao, 32 (1936), 59–84Google Scholar; and Dubs, , History, vol. 1, pp. 27–150.Google Scholar

⁷ On translation of this title, see Sargent, Clyde B., Wang Mang, a translation of the official account of his rise to power,-with introduction and nous. Sections IV, n. 22; VII, n. 89.Google Scholar To be published by the American Oriental Society. This volume was originally in press in Shanghai on December 7, 1941. Since then nothing has been heard of it.

⁸ HSPC, ch. 99A, p. 15b. See Dubs, , History, vol. 1, p. 201, n. 3.Google Scholar

⁹ See Dubs, History, vol. 1, chapter 1.

¹⁰ See Sargent, op. cit.

¹¹ The author's censure is especially conspicuous in the brief remarks of “Appraisal” at the end of each of these chapters, especially the “Appraisal” appended to chapter 99 and translated in Sargent, op. cit.

¹² For example, see HSPC, ch. 98, p. 12b, and ch. 99A, p. 25b.

¹³ Translated into English in Dubs History, vol. I, chapter 2.

¹⁴ A translation of this is to be included in Dubs' History.

¹⁵ Kao-Tsu's reign as emperor did not begin until 202 B.C.

¹⁶ Ch'ien Han, and Hou Han. They are also distinguished as the Earlier and the Later Han or as the Western and the Eastern Han this latter distinction turning on the locations of the dynastic capital which during the Former Han was in the west at Ch'ang-an, near modern Sian, Shensi, and during the Latter Han was in the east at Loyang in modern Honan. I use “Latter Han,” instead of “Later Han,” to match Dubs' “Former Han” which I prefer to “Earlier Han.”

¹⁷ For specific treatment of this period, see Dubs, History, vol. 3; also “Wang Mang and his economic reforms,” T'oung pao, 35 (1940), pp. 219–265; Stange, Hans O. H., Die monographic über Wang Mang (Abhandlungen für die kunde des morganlandes XXIII, 3, 1939)Google Scholar, and Leben, persönlichkeit und werk Wang Mangs (Berlin, 1934); and Sargent, op. cit.

¹⁸ On meaning of this term as the name of the dynasty, see Sargent, op. cit., Section XVI, n. 113.

¹⁹ The reign of Liu Hsüan with the dynastic title of Keng-shih and with the posthu-mous title of the Prince of Huai-yang

²⁰ Chiefly in chapters 98 and 99. The period of war that started with the rebellion against Wang Mang in 23 A.D. and ended with establishment of the revived Han dynasty in 25 A.D. is also treated in Documents of the latter Han dynasty chapter 1.

²¹ Regarded as a supplement to Ssu-Ma Ch'ien's Shih chi and known as the Later records

²² Supra, n. 3.

²³ On the Shang-Yin and Chou periods, especially see Creel, H. G., The birth of China (New York: Reynal and Hitchcock, 1937).Google Scholar

²⁴ Especially see Bodde, Derk, China's first unifier (Leiden, E. J. Brill, 1937).Google Scholar

²⁵ Hou Han shu (Documents of the Latter Han dynasty), “Lieh-ehuan,” section, ch. 30a.

²⁶ During his life he was twice sentenced to prison, once for amending his father's work and once for incompetence as a military commander. Ibid.

²⁷ See Swann's, Nancy LeePan Chao: foremost woman scholar of China (New York: Century Co., 1932).Google Scholar

²⁸ Ibid., pp. 47–48.

²⁹ One suggestion is that the “Appraisal” of this chapter is specifically attributed to Pan Piao. HSPC, ch. 98, p. 15a.

³⁰ The Pan family had been prominent in court and had enjoyed high offices in the country. Pan Piao's father was a personal acquaintance of the empress, and his aunt had been a contemporary of the empress and a member of her husband's harem. Pan Piao was probably about twelve years old when the empress died. Cf. Dubs, , “Wang Mang and his economic reforms,” T'oung pao, 35 (1940), 220, 222.Google Scholar

³¹ Cursory comparison of parallel chapters in both works reveals that, essentially. Pan Ku merely copied into his work relevant chapters from Ssu-Ma Ch'ien's work. The changes are minor, and for the most part are literary rather than factual. See Dubs, History, and Chavannes, op. cit. The way in which Pan Ku relied upon Ssu-Ma Ch'ien indicates something of the method that he probably used throughout his work and supports conjecture that he was essentially a compiler and not a critical historian.

³² Dubs, , History, vol. 1, p. 1.Google Scholar

³³ (45? B.C.–23 A.D.). See Sargent, Section IV, n. 48.

³⁴ Bates, Miner Searle, “The establishment of the Chinese Empire” (Yale, 1935; an unpublished manuscript), pp. 27–28.Google Scholar

³⁵ Ch-i-lüeh by Liu Hsiang (79–8 B.C.) and Liu Hsin. See Gardner, , op. cit., pp. 33–38.Google Scholar

³⁶ Or, “Monograph on the five elements.”

³⁷ Bates, , op. cit., pp. 27–28.Google Scholar

³⁸ Gardner, , op. cit., p. 36, n. 39.Google Scholar

³⁹ Gardner, loc. cit., citing Maspero, , Bulletin of the museum of Far Eastern antiquities, 9 (1909), 595, n. 1.Google Scholar

⁴⁰ Gardner, loc. cit., citing de Saussure, , Journal asiatique, 103 (1923), 360–362.Google Scholar

⁴¹ Gardner, loc. cit. Probably such works as the Li chi the I li and possibly the Chou li and the “Yüeh ching” or chapter 19 of the Li chi.

⁴² Wang Ch'ung Lun heng III, 1 (translated in Forke's Lun heng [2 vols., Leipzig: Otto Harrassowitz 1907–1911], vol. 2, p. 6); III, 2 (Forke, vol. 1, p. 306); XX, 2 (Forke, vol. 2, p. 276); XXI, 1 (Forke, vol. 1, pp. 218–219). See Sargent, Introduction, n. 57; Section I, n. 4; et passim.

⁴³ See Dubs, , History, vol. 1, p. 215.Google Scholar

⁴⁴ Sargent, Introduction, n. 51.

⁴⁵ Wang Ch'ung's Lun heng, XX, 2 (Forke, vol. 2, p. 276).

⁴⁶ HSPC, ch. 99C, p. 29a.

⁴⁷ Wang Ch'ung, loc. cit.

⁴⁸ If they had not been destroyed in 23 A.D. when the Wei-yang Palace was burned (HSPC, ch. 99C, pp. 28b–29a) and when fires occurred in other imperial palace buildings (HSPC, ch. 99C, pp. 26b–27a). Cf. Sargent, Introduction, n. 50.

⁴⁹ See Dubs, , “Wang Mang and his economic reforms,” T'oung poo, 35 (1940)Google Scholar, passim, and Sargent, op. cit. Introduction.

⁵⁰ The influence of transmitted traditional impressions contributes an explanation for certain incongruities that are present in Pan Ku's Documents. Conspicuous examples of these incongruities are found in the chapter on Wang Mang. Apart from several open contradictions of documentary material by the author's personal comments, the entire chapter, in some ways, is a contradiction. This is particularly conspicuous in Part 1 of the chapter in which the documentary material is nearly all most favorable to Wang Mang while the author's personal comments and the general impression created are exactly the opposite.

⁵¹ For example, see HSPC, ch. II, p. 3a.

⁵² This deficiency is explained most satisfactorily as a result of an historical point of view and an objective in historical writing quite different from those of modern Chinese and Western historians. An emphasis on political morality of the ruler (discussed below) made superficial any thorough investigation of events and their causes. Cf. Gardner, , op. cit., p. 13.Google Scholar

⁵³ Analects, VII, 8 (Legge, The Chinese classics, vol. 1, p. 197).

⁵⁴ Gardner, , op. cit., pp. 12–14Google Scholar; and Hummel, Arthur, Autobiography of a Chinese historian (Leiden: E.J. Brill, 1931), p. xvii.Google Scholar

⁵⁵ See Sargent, op. cit. Introduction.

⁵⁶ For example, see edict cited supra, n. 51.

⁵⁷ I believe that Pan Ku intended to imply a subtle suggestion of censure and disapproval of Emperor Ai (r. 6 B.C.–1 A.D.), who was the last adult emperor of the Former Han dynasty. Ai was morally degenerate and politically incompetent, and his abuse of his imperial position prepared the way for Wang Mang's coup d'êtat and diplomatic conquest of the dynasty. Pan Ku's enforced loyalty to Liu sovereigns, particularly after a prison sentence had taught him the limitations on his liberties as an historical writer, prevented open censure of Emperor Ai; but his disapproval is suggested by the nature of the documents he has selected for Ai's “annals” in chapter 11.

⁵⁸ Analects, XIII, iii, 2.

⁵⁹ As a consequence scholars in general and historians in particular had an unusual opportunity to condition the principles of imperial morality. Undoubtedly, it is partially due to this opportunity that scholars have consistently maintained their position of prestige throughout Chinese history.

⁶⁰ Further discussion and specific illustrations are given in Sargent, op. cit., Introduction.

⁶¹ I do not mean to imply that the history is devoid of valuable material unrelated to the immediate fortune of the reigning family. There is a great deal. Bur it is necessary to emphasize the compiler's primary concern for the imperial family as the nucleus around which most of his material centers.

⁶² (r. 25–57 A.D.), reigned as Emperor Kuang-wu

⁶³ These are the only two major dynasties in Chinese history that were ruled by a single family.

⁶⁴ This is particularly true for the period from 6 B.C. to 25 A.D.