The Offical Selection and Promotion System during Western Han Dynasty

During the rule of Han emperors, it was possible for a minor, county-level official to be promoted to the highest offices in the government, like the Imperial Chancellor (丞相) – a phenomenon rarely seen in other periods. Focusing primarily on the middle, and late period of the Western Han dynasty, this thesis examines several component parts of Western Han administration, discusses recruitment, and advancement processes at each level, in order to illustrate possible career paths, and upward mobility available to officials.

Accumulation of “merit” (功勞), based mainly on time spent holding office, and ranking personnel according to it, were the basis of promotion for many officials of Han administration. Minor county, and commandery officials, holding ranks below those entitled to 100 shi (石) of income, could be gradually promoted to county magistrates at the rank of 200 shi, but avenues for faster advancement were also available, like the chaju (察舉) system of recommendations, or exceptional contributions, like fighting crime. It was not necessary for county officials to go through commandery-level positions on their way to county magistrates, but doing so could increase their chances of advancement through multiple levels at once, through chaju recommendations from Governors (太守), and Royal Chancellors (國相). Since commanderies employed far fewer minor officials than counties, those coming from a county had to rely on channels other than promotion through merit for commandery appointments.

Magistrates holding ranks of 200 to 1000 shi could be gradually promoted via merit, or skip ranks through the chaju system. Since many officials elevated through recommendations were appointed to ranks between 300, and 600 shi and given posts in counties, and commanderies, those following the merit path often faced the problem of limited openings, which diminished their chances of advancement. Therefore, getting through this range of limited opportunities was the key factor in determining one’s chances for future advancement to the rank of 2000 shi. Minor officials in counties, and commanderies could also be elevated to gentlemen (郎吏) for displaying exceptional filial piety, or appointed as assistants to Three Excellencies (公府掾屬). The usual advancement path for gentlemen, and assisting staff to Three Excellencies led through positions of county magistrates, but other means were also available for elevation to “special positions,” like recommendations from high officials, and selection by the emperor. Appointment to these special posts was difficult to obtain through merit, or the chaju system, and those who obtained them had good prospects for further promotion. Among them, counsellors, and secretaries tended to obtain posts through recommendations of high officials, and emperor’s selection; among supervising staff, Regional Inspectors (刺史) with the rank of 600 shi were selected from officials who had held positions with the rank of 600 shi or higher, while officials responsible for the imperial guard relied primarily on their personal relationships with the emperor. Those holding special positions could obtain the rank of 2000 shi after as few as one, or two promotions, or even be promoted directly to one of the Nine Ministers (九卿).

Promotion to ranks of 2000 shi, considered high in the bureaucracy of the period, was possible for both those going through magistrate positions in commanderies, and counties, as well as those receiving special appointments. Commandery Commandants (郡都尉) with the rank of bi 2000 shi, and Metropolitan Superintendents (內史) with the rank of 2000 shi ranked lower than Governors, and Royal Chancellors. Since Chancellors were tasked with directing, and supervising kings, their advancement opportunities were far fewer than those of Governors. Confucian literati without administrative experience were often tapped for positions not requiring direct management of the populace – Senior Tutor of a kingdom (王國太傅), and Superintendent of Capital (中尉), but rarely elevated to one of the Nine Ministers. There were far fewer of the latter than all officials with the rank of 2000 shi; they can be divided into four levels. Six of the Ministers with the rank of Superintendent of Trials (廷尉) or lower, as well as Three Prefects of the Capital Region (三輔長官) constituted the two bottom rungs, and were often recruited from commandery Governors, and Royal Chancellors. The Superintendent of the Palace (光祿勳), Superintendent of the Guards (衛尉), and Superintendent of Transport (太僕) were often elevated from other positions within the Nine Ministries, or from among officials with the rank of bi 2000 shi at the imperial court. The highest position – that of Superintendent of Ceremonies (太常) – was reserved for the nobility.

Imperial Counsellors (御史大夫) were often chosen from among the Nine Ministers, and were frequently candidates for later promotion to Imperial Chancellor. Two possible paths for advancement to Imperial Chancellor can be defined: the “governor path” (地方大吏型), which allowed officials to climb the ranks from Governor, or Royal Chancellor, to one of the Nine Ministers, later to Imperial Counsellor, and finally to Imperial Chancellor; and the “secretariat path” (中朝官、理尚書事型), which allowed for bestowing of honorary titles to specially appointed officials at court, all the way to Nine Ministers, Counsellor, and finally Chancellor. A third way, called the “attendant path” (近侍型), existed for distaff imperial relatives, and personal favorites of the emperor, who became court attendants through bestowment of titles, went through positions in the imperial guard, finally becoming generals, or advising the emperor as Marshals of State (大司馬). This final path differed significantly to those open to regular officials. Following a path to promotion to the highest offices in the land by virtue of one’s personal relationship with the emperor was a phenomenon rarely seen in other dynasties.